Cisco Networking Academy

Instructor Training Guidelines

Revised January 2005

1 - 14 Cisco Networking Academy Instructor Training Guidelines v2.0 Copyright ? 2005, Cisco Systems, Inc.

Table of Contents

TRAINING MODEL 3

TRAINING OF CATC INSTRUCTORS 3

TRAINING OF REGIONAL ACADEMY INSTRUCTORS 4

TRAINING OF LOCAL ACADEMY INSTRUCTORS 4

TRAINING REQUIREMENTS FOR INSTRUCTORS 5

ACADEMY ORIENTATION 5

TRAINING PROCESS 5

Prior to Training 5

During Training 5

LENGTH OF INSTRUCTOR TRAINING SESSIONS 6

CLASS SIZE RECOMMENDATIONS 7

COURSE COMPLETION STANDARDS 7

INSTRUCTOR FAST TRACK (IFT) OPTIONS 8

CCNA INSTRUCTOR FAST TRACK OPTION 8

Enrollment 8

Graduation 9

Skills-Based Assessment 9

CCNP INSTRUCTOR FAST TRACK OPTION 9

Enrollment 9

Program Schedule: 10

Expenses 10

SPONSORED CURRICULUM INSTRUCTOR FAST TRACK OPTION 10

Enrollment 11

Graduation 11

Online Final Exam 11

Skills-Based Assessment (SBA) or Final Course Project 11

HP IT Essentials I: PC Hardware and Software Course-specific Requirements 11

HP IT Essentials II: Network Operating Systems Course-specific Requirements 11

Fundamentals of Java Programming Course-specific Requirements 12

Panduit Network Infrastructure Essentials Course-specific Requirements 12

Fundamentals of UNIX Course-specific Requirements 12

Fundamentals of Web Design Course-specific Requirements 13

CONTINUING EDUCATION REQUIREMENTS 14

WAIVERS AND APPEALS 14

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Training Model

The Cisco Networking Academy Program provides training and certification for Academy instructors. Trainees participate in a Cisco instructor certification program called the Cisco Certified Academy Instructor (CCAI) program. The CCAI program is designed to ensure that Cisco Networking Academy instructors are proficient in the Academy curriculum and teaching methods. There are different CCAI certifications available for each course.

The program utilizes the "trainer of trainers" model. There are three levels to this training model. Cisco-approved instructors train instructors from Cisco Academy Training Centers (CATCs). CATC instructors then train Regional Academy instructors and Regional Academy instructors train Local Academy instructors.

The components of the training model remain the same at every level of the training process. This training model was developed to give the trainee varied perspectives on course content, including as a first-time reader, classroom participant, and first-time teacher. These training sessions should be viewed as a professional development vehicle. It is highly recommended that instructors include all elements of the training model in their CATC/Regional instructor training sessions.

The differences among a CATC instructor, a Regional instructor, and a Local instructor are in the areas of training and support. CATCs are responsible for training and supporting Regional Academies. Regional Academies are responsible for training and supporting Local Academies. Local Academies are responsible for teaching students at individual educational institutions.

Academy Types

CATC

Regional Academy

Local Academy

Environments in which instructor may receive training

100% in-person only

All approved models including remote, in- person, combination, or Fast Track

All approved models including remote, in-person, combination, or Fast Track

Instructor is eligible to train or teach

Regional instructor, Local instructor, student

Local instructor, student

Student

Environments in which instructors may deliver training or teach

All approved models including remote, in-person, combination, or Fast Track

All approved models including remote, in- person, combination, or Fast Track

All approved models including remote, in-person, or combination

Classes which Academy may create

Instructor training for Regional or Local Academy instructors

Instructor training for Local Academy instructors

Student classes

Training of CATC Instructors

Within the tiered training model, it is important to ensure quality at each level of the academy hierarchy. Cisco Academy Training Centers (CATCs) are positioned at the highest level in this hierarchy and thus need to deliver the highest quality training. To that end, instructors from CATCs who train Regional Academy instructors can only be trained by Cisco-approved instructors in a 100% in-person environment.

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We recognize that these top-tier academies hire very qualified people, instructors that under other circumstances might be candidates for fast track training, remote training, or advanced standing. However, because of their unique position in the training hierarchy, CATC instructors will be required to attend the full in-person training under a Cisco-approved instructor. We hope that these advanced instructors will take this as an opportunity to share their knowledge with the class, and to experience different training techniques.

After a CATC instructor has successfully passed a training class, he/she is certified to teach the course to students and to train Regional Academy and/or Local Academy instructors. This certified instructor must also be affiliated with an academy at an appropriate level to create and deliver instructor or student classes.

Training of Regional Academy Instructors

Regional Academies must first establish a support and training relationship with a CATC. Then Regional Academy instructors may receive training from their established support center (CATC). This training may be delivered in different environments (remote, in-person, or a combination) provided that there is an approved training model for that environment and for that course.

Training models for each environment will be posted to the Academy Connection website after pilot trainings in that environment are completed successfully. When a training model is approved, instructors will see these different environments as pull-down options when creating instructor training classes.

After a Regional Academy instructor has successfully passed a training class, he/she is certified to teach the course to students and to train Local Academy instructors. This certified instructor must also be affiliated with an academy at an appropriate level to create and deliver instructor or student classes.

Training of Local Academy Instructors

Local Academies must first establish a support and training relationship with a Regional Academy. Then Local Academy instructors may receive training from their established support center (Regional Academy). This training may be delivered in different environments (remote, in-person, or a combination) provided that there is an approved training model for that environment and for that course.

After a Local Academy instructor has successfully passed a training class, he/she is certified to teach the course to students. If he/she moves to a Regional Academy, he/she would be certified to train Local Academy instructors. This certified instructor must also be affiliated with an academy at an appropriate level to create and deliver instructor or student classes.

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Training Requirements for Instructors

Instructor trainees must fulfill the following requirements in order to complete training. Training courses are restricted to instructors directly affiliated with a Cisco Academy.

Academy Orientation

The Academy Orientation course is for instructors who are new to the Cisco Networking Academy. Course materials cover using the Networking Academy's on-line management system (Academy Connection), best practices and pedagogy. An instructor must successfully complete the Academy Orientation course, and graduate from training in course content course, before creating student or instructor classes.

Training Process

Prior to Training

* Register for Training Session.

* Download and preview the course materials two weeks prior to attending training.

During Training

* Actively participate in trainer's presentation.

* Actively participate in all activities (online and classroom learning, labs, online assessments, and skills-based assessments).

* Understand roles and responsibilities contained in the QAP document.

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Length of Instructor Training Sessions

The minimum number of days (8-hour days), or hours if remote environment, currently required for each course are as follows:

Course

100% In-Person (min. days)

Combination of In- person/Remote

(min. days in-person/ min. hours remote)

100% Remote (min. hours)

Academy Orientation

Min. of 3 days

Min. of 1 day in-person / Min. of 16 hours remote

Min. of 24 hours

GLN Orientation

Min. of 1/2 day

Not available

Min. of 4 hours

CCNA 1: Networking Basics

Min. of 5 days

Not available

Not available

CCNA 2: Routers and

Routing Basics

Min. of 6 days

Not available

Not available

CCNA 3: Switching Basics and Intermediate Routing

Min. of 4 days

Not available

Not available

CCNA 4: WAN Technologies

Min. of 4 days

Not available

Not available

CCNP 1: Advanced Routing

Min. of 10 days

Min. of 1 week in-person/ Min. of 5 weeks remote

Not available

CCNP 2: Remote Access

Min. of 10 days

Min. of 1 week in-person/ Min. of 6 weeks remote

Not available

CCNP 3: Multilayer

Switching

Min. of 10 days

Min. of 1 week in-person/ Min. of 5 weeks remote

Not available

CCNP 4: Network Troubleshooting

Min. of 10 days

Available March 2005

Not available

Fundamentals of Network Security: Router

Min. of 5 days

Not available

Not available

Fundamentals of Network Security: PIX

Min. of 5 days

Not available

Not available

Fundamentals of Wireless LANs

Min. of 6 days

Not available

Not available

HP IT Essentials I – PC Hardware/Software

Min. of 5 days

Not available

Not available

HP IT Essentials II – NOS

Min. of 5 days

Not available

Not available

Panduit Network

Infrastructure Essentials

Min. of 5 days

Not available

Not available

Fundamentals of UNIX

Min. of 6 days

Min. of 2 days in-person / Min. of 32 hours remote

Not available

Fundamentals of Web

Design

Min. of 6 days

Min. of 2 days in-person / Min. of 32 hours remote

Not available

Fundamentals of Java Programming

Min. of 8 days

Not available

Min. of 64 hours

These guidelines are minimums only. Training centers may schedule more time if their situation warrants. Any approved instructor training guides are posted on the Tools page for each course.

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Class Size Recommendations

In order to maximize the learning opportunity for students, the maximum student to instructor ratio should be 20 to 1 in instructor training classes.

Course Completion Standards

Upon completing training for each course, trainees must earn an 80% on the online final exam and pass any associated hands-on Skills-Based Assessment (SBA) or Final Course Project. Trainees who do not meet these standards may retake the exams. Trainees will be required to pass the second online exam with a score of 85%. Trainees who take the online final a third time must pass at a 90% level. Trainees may take online final exams a maximum of three times and the Skills-Based Assessment a maximum of two times during the in-person session.

For those trainees who do not pass the exams after repeated attempts, the training instructor will determine the best course of action, such as repeating the session, taking additional online tutorials or class seminars, etc. If all other elements of the training have been successfully completed, but the Skills-Based Assessment is not passed after the second try, the training instructor may arrange for the trainee to attempt the SBA a third time. The trainee should make this final attempt only after some additional study.

If distance from the training center is an issue, the training instructor may arrange to have the third attempt of the SBA proctored by a qualified instructor in the trainee's area, providing that qualified instructor has passed the same SBA and is not from the trainee's own academy.

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Instructor Fast Track (IFT) Options

Instructor Fast Track (IFT) training is an opportunity for skills qualification that has little or no instruction associated with it. This rigorous, alternate option is meant for those few instructors who prove they have requisite subject knowledge and skills and who would not benefit from a full instructor training.

The design of Instructor Fast Track training is to ensure that only candidates with prior subject matter knowledge enroll in an IFT class. This prior knowledge is verified by one or more of the following:

* Specific industry certification

* Formal evidence of industry experience

* Formal evidence of teaching experience

A successful candidate proves proficiency in a number of ways. Proficiency requirements may include passing the related industry certification exam, the online final exam, completing the Skills-Based Assessment and case study or the Final course project. A candidate who fails any of the required components is failed from the class; and must enter a full instructor course.

Before creating classes in the Cisco Networking Academy Program, the prospective instructor must also successfully complete the Academy Orientation course. Please note that the Academy Orientation course is a separate course from the Instructor Fast Track course.

CCNA Instructor Fast Track Option

A successful candidate proves proficiency in course content through the successful completion of the CCNA IFT Skills-Based Assessment and the CCNA IFT case study. There is no multiple-choice final exam for the CCNA Instructor Fast Track course. The CCNA certification exam substitutes for a multiple-choice final exam. For that reason, passing the CCNA certification exam is a prerequisite for registering into a CCNA Instructor Fast Track course.

If instructor performance is unsatisfactory at any point during the CCNA IFT training, or should an instructor fail any portion of the skills-based assessment, the instructor will be disqualified from the CCNA IFT training and will be required to enroll in a full curriculum instructor training course.

The CCNA Instructor Fast Track class will only be offered at CATC or Regional CCNA Academies that have been authorized to teach the full instructor course. The CATC-CCNA or Regional-CCNA Curriculum Lead will be responsible for creating the CCNA IFT class. The class is scheduled for 3 days and is offered as in-person format only. The training Academy may charge a normal daily training fee for the IFT.

Enrollment

Unlike the enrollment process for most Academy instructor courses, a candidate may not self-enroll for CCNA Instructor Fast Track offerings. Instructors should check with their support Academy to find out when a CCNA IFT class may be available. Once a class has been created that the instructor is interested in attending, the candidate may request manual enrollment by contacting the Support Desk by telephone or by email. The Support Desk will require the following information:

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* Instructor Trainee’s Academy Connection ID

* CCNA IFT Class ID

* Proof of CCNA Certification

The Support Desk can be reached by email through the ‘Help’ link at the top right of an Instructors' Home page or at webmaster@cisco.netacad.net.

Graduation

Since it is assumed that the candidate has mastery of the course content, there is no prescribed instruction in the curriculum. The class consists of a certified Training Academy instructor administering and strictly proctoring the CCNA IFT Case Study and the CCNA IFT Skills-Based Assessment.

Mandatory graduation components:

* Successfully complete all 4 CCNA Case Studies -or- Successfully complete the CCNA Instructor Fast Track Case Study.

* Successfully complete all 4 CCNA Instructor SBAs -or- Successfully complete the CCNA Instructor Fast Track SBA.

Skills-Based Assessment

An instructor who is able to successfully complete the CCNA IFT Case Study and the CCNA IFT Skills-Based Assessment (without going through the full instructor training) typically has extensive hands-on experience with the necessary skills set. The Skills-Based Assessment is pass/fail. The candidate may attempt the SBA a maximum of two times during the CCNA IFT class. If instructor performance is unsatisfactory at any point during the Fast Track session, or should an instructor fail a skills-based assessment, the instructor will be disqualified from the Fast Track option and will be required to enroll in the full curriculum instructor training.

CCNP Instructor Fast Track Option

The CCNP Fast Track Program is an opportunity for instructors to test out of CCNP 1 – 4 (formerly called semesters 5 – 8) training. The program encompasses 8 days of testing and is divided into two 4-day segments. Instructors must travel to the training site on two separate occasions to participate in the CCNP Fast Track Program.

Requirements must be completed as outlined, in order. An instructor who has taken a student section of a CCNP course is still required to complete all CCNP IFT requirements. If the instructor wishes to speed up the process and take the skills-based assessment and case study in the same day they will need to complete both in the allocated time for that day.

Enrollment

Prior to beginning the CCNP IFT process, the candidate instructor should complete the CCNP IFT Instructor Profile Survey. This survey serves as a guideline in determining a candidate’s suitability for CCNP IFT. The survey is used to gather information about certification, industry experience and knowledge of relevant technology.

Instructors are eligible to participate if:

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* They hold a current CCIE or CCNP certification and

* It is recommended that they have industry experience in the following areas:

o Advanced Routing

o Multi-layer Switching

o Remote Access Devices

Program Schedule:

Trip 1 Day One – Complete CCNP 1 Case Study

Day Two – Complete CCNP 1 IFT Skills-Based Assessment

Day Three – Complete CCNP 2 Case Study

Day Four – Complete CCNP 2 IFT Skills-Based Assessment

Trip 2 Day One – Complete CCNP 3 Case Study

Day Two – Complete CCNP 3 IFT Skills-Based Assessment

Day Three – Complete CCNP 4 Case Study

Day Four – Complete CCNP 4 IFT Skills-Based Assessment

Instructors will be able to take two course skills-based assessments per trip. Instructors are only allowed one attempt at each skills-based assessment. If an instructor fails a skills-based assessment, he/she will not be allowed to re-take the skills-based assessment for that course; however, he/she may still attempt subsequent course skills-based assessments. Credit will be given for a course if an instructor passes the skills-based assessment for that course and completes the associated Case Study.

Please note: CCNP IFT case studies will be sent to Fast Track participants two weeks before the scheduled testing date.

Expenses

Academies will be charged a daily training fee at the current daily rate. All costs are the responsibility of the academy.

Other costs may include:

* Travel (transportation)

* Meals

* Lodging

* Any other associated costs

Sponsored Curriculum Instructor Fast Track Option

The SC Instructor Fast Track class will only be offered at CATC or Regional SC Academies that have been authorized to teach the full instructor course. The CATC-SC or Regional-SC Curriculum Lead for that course will be responsible for creating the IFT class. The class can last a maximum of 2 days, but will normally be completed in one day. The training Academy can charge a normal daily training fee for the class (i.e. for one day of training).

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Enrollment

Unlike the enrollment process for most Academy instructor courses, a candidate may not self-enroll for Instructor Fast Track offerings. Instructors should check with their Support Academy to find out when an IFT class may be available. Once a class has been set up that the instructor is interested in attending, the candidate may request manual enrollment by contacting the Support Desk by telephone or by email. The Support Desk will require verification of industry certification or formal evidence of industry/teaching experience.

Graduation

Since it is assumed that the candidate has mastery of the material, there is no prescribed instruction in curriculum content. The class consists of a certified Training Academy instructor administering and strictly proctoring the final assessment(s). Class graduation is judged on the following mandatory components:

Online Final Exam

The candidate should review the course content prior to taking the exam. The candidate will only be allowed two attempts to pass the online Final Exam. With the first attempt, the candidate must earn an 80%. If the candidate does not pass the first time, he/she will be required to pass the second online Final Exam attempt with a score of 85%.

Skills-Based Assessment (SBA) or Final Course Project

An instructor who is able to successfully complete the Skills-Based Assessment (without going through the full instructor training) typically has extensive hands-on experience with the necessary skill set. The Skills-Based Assessment is pass/fail. The candidate may take the SBA a maximum of two times during the class.

Some courses do not have a Skills-Based Assessment associated with them. For those courses, a Final Course Project must be completed and submitted.

HP IT Essentials I: PC Hardware and Software Course-specific Requirements Enrollment prerequisite (any of the following):

* CompTIA A+ certification

* Formal evidence of one year of recent or current experience in computer repair field

* Formal evidence of having taught two classes* in the subject area

Mandatory graduation components (both of the following):

* Successfully complete the online final exam

* Successfully complete the skills-based assessment

HP IT Essentials II: Network Operating Systems Course-specific Requirements

Enrollment prerequisite (any of the following):

* CompTIA Server+ certification

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* CompTIA Linux+ certification

* Formal evidence of one year of recent or current experience as a Network Administrator

   * Formal evidence of having taught two classes* in the subject area Mandatory graduation components (both of the following):

* Successfully complete the online final exam

* Successfully complete the skills-based assessment

Fundamentals of Java Programming Course-specific Requirements Enrollment prerequisite (any of the following):

* Sun Certified Programmer for Java® 2 Platform certification

* Formal evidence of one year of experience as a Java Programmer within the last 3 years

   * Formal evidence of having taught three classes** in Java Programming Mandatory graduation components (both of the following):

* Successfully complete the online final exam

* Successfully complete the skills-based assessment

Panduit Network Infrastructure Essentials Course-specific Requirements Enrollment prerequisite (any of the following):

* Panduit Authorized Installer (PAI) certification

* BICSI Installer Level I exam

* Australian Communication Authority's Open Cabling Registration

* Formal evidence of one year of recent or current experience in the network cabling field

   * Formal evidence of having taught two classes* in the subject area Mandatory graduation components (both of the following):

* Successfully complete the online final exam

* Successfully complete the skills-based assessment

Fundamentals of UNIX Course-specific Requirements

Enrollment prerequisite (any of the following):

* Sun System Administrator Part 1 exam for either Solaris 7, 8 or 9

* CompTIA Linux+ certification

* Formal evidence of one year of recent or current experience as Linux or UNIX System Administrator

* Formal evidence of having taught two classes* in the subject area

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Mandatory graduation components (both of the following):

* Successfully complete the online final exam

* Successfully complete the skills-based assessment

Fundamentals of Web Design Course-specific Requirements

Enrollment prerequisite (any of the following):

* World Organization of Webmasters Certified Web Design Apprentice (CWDSA) certification

* Formal evidence of one year of recent or current experience using a Web Authoring tool or html

   * Formal evidence of having taught two classes* using a Web Authoring tool or html Mandatory graduation components (both of the following):

* Successfully complete the online final exam

* Successfully complete the final course project

NOTE

*Two Classes is defined as the same class twice; or two similar classes taught once each

**Three Classes is defined as the same class three times; or three similar classes taught once each; or some combination

Formal evidence of industry experience -- A letter, on company letterhead and signed by a company official, stating that the candidate has worked in this technical field for the requisite time.

Formal evidence of teaching experience -- A letter, on school letterhead and signed by a school official, stating that the candidate has taught the requisite number of classes.

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Continuing Education Requirements

Cisco Networking Academy instructors are expected to pursue continuing education opportunities. A minimum of 4 hours of training is required each year for every course that an instructor is certified to teach. There are multiple ways to complete the 4-hour per course requirement, including training classes offered by Cisco or your Support center.

Waivers and Appeals

The Training Team, in conjunction with the AAMs and MDMs or TMs, will consider waivers and appeals to any guidelines and procedures. All requests must be submitted in writing to netacad-training@cisco.com.

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Guide to Scholarships, Fellowships and Grants

for Students in the Arts

2015-2016

Introduction

This guide is intended for students in the performing, cinematic and related arts who are currently pursuing degrees at NYU’s Tisch School of the Arts. The guide includes U.S. government, international, corporate, and private funding agencies that support graduate and undergraduate study and research. Information is included for both U.S. citizens and foreign nationals.

The Guide to Scholarships, Fellowships and Grants for students is structured to give you a brief description of each funding source, its purpose in offering the award, award amounts, application requirements, restrictions, deadlines, and contact information. The Office of Student Affairs has made every possible effort to ensure that the information included in this guide is up-to-date. However, given the precarious nature of financial support for artists and the arts, you should contact any funding source of which you may be eligible prior to applying in order to verify award information, deadlines, and protocols.

This guide does not present an exhaustive list of financial aid opportunities. Our aim is to get you started in the right direction. This guide offers a broad overview of the many kinds of sources of funding available; you should continue your search for funding beyond the opportunities listed in this guide. At the conclusion of this listing you will find a listing of financial aid reference materials.

Where Do I Begin?

It is important to remember that there is no formula for raising money.

Below is an outline of a suggested approach for fundraising:

Grantsmanship begins with a process of self-definition. Before you can consider asking an outside organization for assistance, you must consider your personal and family background, any special awards, honors, or distinctions you have received, as well as your future goals and objectives in your field of study.

Be clear, specific, and creative. At the very least, you should seek to define yourself as broadly as possible in order to appeal to the largest pool of potential funders. Some things to consider: Ethnicity, Gender, Geographical Location, Academic Achievement, Personal Interests, Public Service, Artistic Talent, Science and Technologies, Military Service and Educational Background.

The Query Letter

Once you have compiled a list of potential funders, you should plan on sending query letters. These letters do not need to be elaborate, but the letters should request the following information: application (if applicable), guidelines and relevant deadlines.

Preparing the Proposal

As you receive responses from potential funders, you should pay close attention to the mission statement and guidelines of each organization - there are often important hints contained therein. Further, you may want to consult the foundation profile in the Foundation Index to see where the organization’s money was spent in the previous fiscal year.

This information will help you to tailor your presentation for each organization. It is important to remember that while you initially sought to define yourself in the broadest possible fashion; at this stage it is essential that you are specific in describing yourself as a viable candidate for funding. It is in your best interest to appeal at once to the overall mission of the organization and to present yourself as uniquely talented and worthy of support.

Obtaining Background Information

Once you have decided on an approach to your potential funders, you should begin to gather supporting documentation in three main areas: concept, program and expenses. This data-gathering procedure makes the actual writing much easier. Plus, it will help you think seriously and critically about your own work and goals.

Concept: It is important that you have a good sense of how your studies or project fit into your personal goals and long term plans. The particular need that the proposal is addressing must also be documented. These concepts must be well-articulated in the proposal. Funders want to know that an award will be put to good use, and they need to be convinced that the case for funding is compelling. You should collect background data on the need to be addressed so that your points are well-documented.

Program: The program information you compile should include: (1) Evidence of personal achievement and commitment, (2) The reputation of the institution (Tisch/NYU), (3) The timetable for your studies or project, (4) The anticipated outcomes and how best to evaluate the results.

Expenses: At this stage you will need to sketch out the broad outlines of the budget to be sure that the costs are in reasonable proportion to the outcomes you anticipate.

Things You Should Include in Your Proposal

Executive Summary: An umbrella statement of your case and a summary of the entire proposal; who you are; why your are applying to this particular funder; your goals and objectives; your awards, achievements and distinctions to date.

Project Description: What the funds will be used for; the nature and philosophy of your project or studies; why this kind of training or project is necessary; why it is special, innovative, etc; how it is essential for your ultimate goals; what is the benefit to others.

Statement of Need: This should include the amount you are requesting and why; an outline of your difficulty in obtaining funds.

Budget: An itemized breakdown of the costs of your education or project.

Organization Information: Background on your department, Tisch, and NYU; achievements of alumni from your program.

Conclusion: Summary of the proposal’s main points.

Your proposal should not necessarily be broken down into these individual categories. It is important is that your proposal is complete, informative, and easy to read. Find out if the funder requires specific forms or information as part of an application. Make sure you meet any deadlines.

Follow-Up and Results

Grant review procedures vary widely, and the decision-making process can take anywhere from a few weeks to six months. During the review process, the funder may ask for additional information either directly from you or from outside consultants or professional references. Invariably, this is a difficult time for a grant seeker. You need to be patient but persistent.

If your hard work results in a grant, take a few moments to acknowledge the funder’s support with a thank you letter. You also need to find out whether the funder has specific forms, procedures, and deadlines for reporting the progress of your project. Clarify your responsibilities as a grantee at the outset, particularly with respect to financial reporting, will prevent misunderstandings and more serious problems later.

Rejection is not necessarily the end of the process. If you’re unsure why your proposal was rejected, ask. Did the funder need additional information? Would they be interested in considering the proposal at a future date? Remember, there’s always next year.

SCHOLARSHIPS GRANTS & FELLOWSHIPS

Academy of Motion Pictures Arts and Sciences Student Film Awards

Award levels for filmmaking are Gold ($5,000), Silver ($3,000), and Bronze ($2,000). The purpose of the competition is to support and encourage filmmakers without previous experience who are enrolled in accredited colleges and universities. Awards are given in four categories: documentary, animation, alternative, and narrative. Film must be made at an accredited U.S. school. Funds may be used for any purpose. Applicants must be full time students at an accredited school. Film must have been made in a teacher/student relationship within the curricular structure of that institution. 40 minutes max. No minimum. No entry fee.

Contact: Mr. Richard Miller

Academy of Motion Pictures Arts and Sciences

8949 Wilshire Blvd.

Beverly Hills, CA 90211

(310)247-3000 ext 1131

rmiller@oscars.org

http://www.oscars.org/awards/saa/apply.html 

Adolph Van Pelt Scholarship

Students must be at least one-fourth Native American ancestry and submit proof of tribal enrollment. The Association on American Indian Affairs offers Adolph Van Pelt Scholarships in the amount of $1,500 to students in any curriculum. Disbursement in the amount of $750 is made directly to the college fall and spring semesters pending satisfactory progress. Spring disbursement requires a copy of the fall semester's grades and a spring semester class schedule. This scholarship does not automatically renew. Students are eligible to apply on a yearly basis. All items listed on the application check sheet must be included. Incomplete applications will not be considered.

Contact: Lisa Wyzlic, Director of Scholarship Programs

Association of American Indian Affairs

966 Hungerford Drive, Suite 12B

Rockville, MD 20850

240 314-7155

http://www.indian-affairs.org/scholarships/aaia_scholarships.htm

lw.aaia@verizon.net

Alexander M. Tanger Scholarship

Provide assistance to juniors, seniors and graduate students who are interested in preparing a career in broadcasting. Students must be enrolled full time at a college or university where at least one department is an institutional member of the Broadcast Education Association. Students can be studying any area of broadcasting. There should be compelling evidence that the applicant possesses high integrity and a well-articulated sense of personal and professional responsibility. Award amount is $5,000. See website for requirements.

Contact: Broadcast Education Association (BEA)

1771 N Street, NW

Washington, DC 20036-2891

BEAMemberServices@nab.org or call 202.429.3935

http://www.beaweb.org/scholarships.htm

Alpha Kappa Alpha Mini-Grants

Offers merit and need based scholarships to undergraduates, sophomore year and beyond, as well as graduate students, that demonstrate community service and involvement. Amounts vary.

Contact: Alpha Kappa Alpha

Attention: Educational Advancement Foundation

5656 South Stony Island

Chicago, IL 60637

akaeaf@akaeaf.net

www.akaeaf.org

Amelia Kemp Memorial Scholarship

The average award range is $600-$1,000. The purpose is to provide assistance to laywomen of color who are at least 21 years of age, have experienced an interruption of at least 2 years in their education since high school, are members of the Evangelical Lutheran Church of America (ELCA) congregates, and wish to pursue post-secondary education on the undergraduate, graduate, professional, or vocational school level.

The applicant must:

* be a citizen of the United States of America.

* hold membership in the Evangelical Lutheran Church in America.

* be at least 21 years old.

* have experienced an interruption in education of two or more years since completion of high school.

Contact: Women of the ELCA Scholarship Program

Attention: Valora Starr (Scholarships)

8765 West Higgins Road

Chicago, IL 60631

(773) 380-2747

http://www.elca.org/Growing-In-Faith/Ministry/Women-of-the-ELCA/Engage-in-action-and

support-one-another-in-our-callings/Scholarships/For-Lutheran-Laywomen.aspx

American Association of University Women

2 award programs:

1. American Fellowships: Dissertation fellowships are awarded for the final year of doctoral work. The awards are for a twelve month period beginning July 1. Award amount is $20,000. Funds may not be used for tuition.

2. International Fellowships: Fellowships are awarded for one year of full-time graduate study. Citizens of all countries other than the U.S. may apply. Stipend is $18,000 and non-renewable.

Contact: AAUW Educational Foundation

c/o ACT, Inc.

101 Act Drive

Iowa City, IA 52243

319 337-1716 Ext. 60

www.aauw.org 

aauw@act.org

American College Festival

1. Michael Kanin Playwriting Awards Program: Playwriting awards from $500 to $2,500 is arranged by Michael Kanin. Major awards go to graduate or undergraduate students whose plays are produced as part of ACTF. A college or university must have produced plays. Many other awards, fellowships, and professional assignments are included.

2. Irene Ryan Acting Scholarships: Undergraduate and graduate level student actors in regional or national productions of ACTF are eligible for these scholarships of $500 and an all-expense paid trip to the National Festival in D.C.

Contact: American College Theatre Festival

JFK Center for the Performing Arts

2700 F Street NW

Washington, DC 20566

Susan Shaffer: (202) 416-8860

www.kcactf.org

American Indian Scholarships, Inc.

AIGC provides several programs to aid American Indian/Alaska Native students in pursuit of higher education. Native Americans must be members of federally recognized tribes or Alaskan native groups, and at least one-fourth Native American ancestry. Awards range based on need. Graduate Fellowship is offered for 2 academic years; MFA for 3 years; Doctoral for 4 years. These include the Wells Fargo American Indian Scholarship (Undergraduate and Graduate), Accenture American Indian Scholarship (Undergraduate and Graduate)

Contact: American Indian Graduate Center

3701 San Mateo Blvd., NE

Albuquerque, NM 87110

505 881-4584

http://www.aigcs.org/Scholarships.aspx

American Zoetrope Screenplay Contest

Submit full-length narrative screenplay. Grand prize $5000. Entry must be submitted online as

well as entry fees.

Contact: contests@zoetrope.com.

http://www.zoetrope.com/contests/

Artists Book Residency Grants

These residency grants are designed to enable female artists to produce a limited edition book work at WSW. Working intensively in our studios for six to eight weeks, artists print and bind their own books. WSW technical assistance includes training on new equipment, introduction to new materials, and assistance with production.

The grant includes a stipend of $2,000 to $3,000 for six to eight weeks, materials up to $750, access to all studios, travel costs (within the Continental US), and housing. Projects are chosen by a jury of outside artists and curators.

Application must include:

* The application form: http://www.wsworkshop.org/PDFs/WSW.ArtBkRes.pdf

* Description of the project not to exceed 100 words

* A structural dummy to demonstrate how the book will be bound (It does not have to be a complete representation of the finished piece. However, please include 1-2 spreads that are fully sketched out. Your dummy should be actual-size. We anticipate that, if funded, you will refine your ideas before your residency.)

* The media/studios you will need to produce the book, as well as a materials budget

* Resume

* Ten images of recent work with an image script, which should include title, media, dimension, and date. (Submit images of work other than the proposed book. Images should reflect the direction of your work in your primary medium.) Please size your images no larger than 1240 pixels-horizontal, at a resolution of 72 ppi and format them as RGB JPGs. LABEL THE CD WITH YOUR FULL NAME.

Contact: Women’s Studio Workshop

P.O.B. 489

Rosendale, NY 12472

845 658-9133

info@wsworkshop.org

http://www.wsworkshop.org

Asian Cultural Council

Individual grants up to $10,000 awarded to Asian individuals seeking grant assistance to conduct research, study, receive specialized training, undertake observation tours, or pursue noncommercial creative activity in the United States or among the countries of Asia in the visual and performing arts are eligible to apply for fellowship support from the Council. Americans seeking support to undertake activities in Asia are also eligible to apply.

Contact: Asian Cultural Council

6 West 48th St. 12th FL.

New York, NY 10036

212-843-0403

acc@accny.org

www.asianculturalcouncil.org

Austin Texas Screenplay Competition and Film Competition

For screenwriters who do not earn a living writing for film or TV. Cash prizes are awarded for

comedy, adult/mature, sci-fi, sitcom, and drama. See website for complete rules.

Rules and Regulations: http://www.austinfilmfestival.com/new/screenplay_rules 

Contact: Austin Film Festival

1801 Salina St.

Austin, TX 78702

1-800-310-FEST

info@austinfilmfestival.com

www.austinfilmfestival.com

Beverly Hills Theater Guild

Julie Harris Playwrights Awards

The Beverly Hills Theatre Guild annually sponsors the Julie Harris Playwright Awards Competition to discover new theatrical works and to encourage established or emerging writers to create quality works for the theatre. The Julie Harris Playwright Awards Competition offers the following prizes:

* FIRST PRIZE: $3,500 -- The Janet and Maxwell Salter Playwright Award.

* SECOND PRIZE: $2,500 -- The Beverly Hills Theatre Guild Playwright Award.

* THIRD PRIZE: $1,500 -- The Dr. Henry and Lilian Nesburn Playwright Award.

Entries must be accompanied by the application form:

http://www.beverlyhillstheatreguild.com/harris_application.html 

The playwright may request an application form from the competition office. Send a self-addressed, stamped, #10-business sized envelope (SASE) to:

Contact: Candace Coster, Competition Coordinator

BHTG--Julie Harris Playwright Awards

P.O. Box 148

Beverly Hills, CA 90213

http://www.beverlyhillstheatreguild.com/julie harris competition.html 

CareerFitter.com Scholarship

The CareerFitter.com Scholarship is available to students who are enrolled or planning to participate in a college, university, or graduate school program during the spring/summer/fall 2009 term with a minimum 2.5 GPA. You must submit an essay of no more than 150 words on the following topics: What is the perfect career for you, and why? Awards available are varying but amounts are equal to $500.

Contact: www.careerfitter.com/scholarship/index.htm

Carole Simpson Scholarship

To provide assistance to outstanding undergraduate students who are majoring in broadcast

journalism. Applicants must include 1 to 3 examples of reporting or production skills on audio or

video cassette tapes (no more than 15 minutes total), a description of the applicant’s role on each story and a list of who worked on each story and what they did, a statement explaining why the candidate is seeking a career in broadcast or cable journalism, and a letter of endorsement from a faculty sponsor that verifies the applicant has at least 1 year of school remaining, minority undergraduates receive preference. $2,000 in 2 installments, as well as, an expense-paid trip to the Radio Television News Directors Association Annual International Convention.

Contact: Katie Switchenko

katies@rtdna.org

202 467-5218

http://www.rtdna.org/pages/education/scholarship-info.php

College Photographer of the Year

To recognize and reward the outstanding photographic work of college students. Student currently working on an undergraduate degree are eligible to submit work completed during the previous year. Single picture categories are: sport news, general news, feature sport action, pictorial, illustration, personal vision. Multiple picture categories are: picture story, sports portfolio, documentary, portfolio and online multimedia photo story or essay.

Contact: College Photographer of the Year

University of Missouri-Columbia

Missouri School of Journalism

101B Lee Hills Hall

Columbia, MO 65211

573 822-2198

http://www.cpoy.org/?s=Home 

info@cpoy.org

Eastman Scholarship Program

The Eastman Scholarship Program is open to film, film production and cinematography students at U.S. and Canadian universities. Students will be awarded an amount ranging from $1000$5000. You must be attending an eligible institution as an undergraduate or graduate student to be eligible for this scholarship. To enter the program you must submit a short film that communicates a story or theme in some fashion; clips and short vignettes are not eligible. A faculty nomination is required with your submission.

Contact: Andrea Meyer

ufvahome@gmail.com 

www.ufva.org/grants 

Elie Wiesel Prize in Ethics

To recognize and reward outstanding essays on a topic related to ethics. Eligible to compete are full time juniors and seniors at accredited colleges and universities in the United States and Canada. Essays must be reviewed by a faculty sponsor and three copies of the essay must be submitted. Essays must be 3,000 and 4,000 words in length and on a theme of the student’s choice. Readers look for adherence to design format, carefully proofread essays, well thought out essays that do not stray from the topic and eloquence of writing style. First prize is $5,000, second prize is $2,500 and third prize is $1,500. Two Honorable mentions are awarded, $500 each.

Contact: Elie Wiesel Prize in Ethics Essay Contest

Elie Wiesel Foundation for Humanity

555 Madison Ave, 20th Floor

New York, NY 10022

Fax: 212.490.6006

http://www.eliewieselfoundation.org/faq.aspx

Framline Film and Video Completion Fund

Grants ranging from $5000-$10,000 are provided fund lesbian, gay, bisexual, and transgender

artists who are in the last stages of production of a documentary, educational, animated, or

experimental project about or of interest to lesbians, gay men, bisexuals, and transgender people and their communities. Applicants must be involved in the completion or post-production work, including subtitling or conversion of video to film (or vice versa). In particular, women and people of color are encouraged to apply. A $10 processing fee is required.

Contact: Frameline

Attention: Film and Video Completion Fund

146 9 Street, Suite 300

San Francisco, CA 94103

415 703-8650

info@frameline.org/fund

www.frameline.org/filmmaker-support/completion-fund/

Gates Millenium Scholars Program

This program is meant to reduce the financial barriers of African-American, Hispanic-American, Native American/Alaskan Native and Asian Pacific American students with high academic and leadership promise that are at a significant economic disadvantage. A 3.3 GPA is required, along with a demonstrated financial need.

Contact: Gates Millennium Scholars

P.O.B. 10500

Fairfax, VA 22031-8044

1-877-690-4677

Gilman International Scholarship

The Gilman Scholarship aims to support students who have been traditionally underrepresented in study abroad, including but not limited to, students with high financial need, community college students, students in underrepresented fields such as the sciences and engineering, students with diverse ethnic backgrounds, students with disabilities, and students of nontraditional age. The program seeks to assist students from a diverse range and type of public and private institutions from all 50 states. Award recipients are chosen by a competitive selection process and must use the award to defray eligible student abroad costs. These costs include program tuition, room and board, books, local transportation, insurance and international airfare. Awards of up to $5,000 are made for U.S. citizen undergraduates to study abroad. Award amounts will vary depending on the length of study and student need with the average award being $4,000. Recipients are also eligible to receive $3000 Critical Need Language Supplement for selected languages. Students who are receiving federal Pell Grant funding at 2 year or 4 year undergraduate colleges or universities or studying for at least four weeks abroad are eligible to apply. Summer programs alone are not eligible. This congressionally funded program is sponsored by the Bureau of Educational and Cultural Affairs of the U.S. Department of State and is administered by the Institute of International Education.

If you have any questions regarding your program start dates, please contact the Gilman Scholarship Program (according to your last name).

A - K L- Z

Email: gilman@iie.org Email: gilmanapp@iie.org

Phone: 832-369-3484 Phone: 832-369-3485

Contact: For information, visit www.iie.org/gilman

Golden Key Visual and Performing Arts Achievement Award

To recognize and reward member of the Golden Key Honor Society who submit slides of their work in ten categories: painting, drawing, photography, sculpture, computer-generated art/graphic design/illustration, mixed media, instrumental performance, vocal performance, acting and dance. All entries must be original work and submitted on slides, photographs, or DVD. Award amount is $1000.

Contact: Golden Key National Honor Society

1040 Crown Pointe Parkway

Suite 900

Atlanta, Georgia 30338

1 800 377-2401

awards@goldenkey.org

http://www.goldenkey.org/GK/GKSite/Scholarships--Awards.aspx?menuId=3 

Graduate Performance Awards for Sigma Alpha Lota Members

Held triennially, these awards of $1,500-$2,000 used for study in the field of performance-are given to recognize and reward outstanding performances in vocal and instrumental categories by graduate student members of Sigma Alpha Lota (an organization of women musicians). Awards are granted to 3 vocalists and 3 instrumentalists.

Contact: Sigma Alpha Lota Philanthropies, Inc.

1 Tunnel Road

Asheville, NC 28805

828 251-0606

http://www.sai-national.org/home/Resources/Awards/PhilanthropiesAwards/TriennialAwards/tabid/222/Default.aspx#grad 

Henry and Chiyo Kuwahara Creative Arts Award

This award is to encourage creative projects by student members of the Japanese American Citizens League (JACL). The award ranges from $1,000 to $5,000. The program is open to JACL members who are interested in pursuing undergraduate or graduate education in the creative arts. Professional artists may not apply. Selection is based on academic record, extracurricular activities, and community involvement. Preference is given to students who are interested tin creative projects that reflect Japanese American experience and culture.

Contact: JACL NAT SCH PROGRAM

c/o Chicago JACL CAAPT

5415 N. Clark St.

Chicago, IL 60640

415 921-5225

jacl@jacl.org

http://www.jacl.org/edu/scholar.htm

IFDA Educational Foundation Student Scholarships

Provide assistance to undergraduate students pursuing degrees in design. Program is open to full time students in fields related to design. Applicants must submit a 200-400 word essay on their future plans and goals and why they believe they deserve the scholarship. Selection is based on the essay; the applicant’s achievements, awards; letters of recommendation from a designer educator, a mentor of practitioner in the field. Amount of the award ranges from $1,000 - $3,000.

Contact: Sue Williams

Director of Scholarships & Grants

colleaguesinc@earthlink.net

www.ifdaef.org/scholarships.html 

Illustrators of the Future Contest - L. Ron Hubbard

Open to artists from all nations. One entry is considered, three black and white or color works illustrating a science fiction or fantasy story with no recurring theme. Your entry may not have been previously published. There are four quarterly deadlines each year. You may send an entry at any time; however, you can only have one entry per quarter. Your entry will be entered in the current quarter. Send photocopies only. Individual artists retain copyrights. Three prizes per quarter from $500-$1,000 and yearly grand prize of $5,000 are offered.

Contact: L. Ron Hubbard Illustrators of the Future Contest

P.O.B. 3190

Los Angeles, CA 90078

contests@authorservicesinc.com

http://www.writersofthefuture.com/contest-rules 

Indonesian Cultural Foundation, Inc.

The foundation offers scholarships for study in the U.S. to citizens of Indonesia with genuine

financial need and a superior academic record.

Contact: American-Indonesian Cultural & Educational Foundation 380 Lexington Avenue, Suite 4400, New York, NY 10168 http://www.aicef.org/scholarship.html 

info@aicef.org

International Communications Industries Association, Inc. ICIA

Post –Secondary Education Scholarships

Scholarships for dependents of member organizations. $1500 awarded to high school seniors or college students who are employees or dependents of employees of Info Comm. Must major in audio/visual subjects. Students with other majors may be considered if their career goals relate to audio/visual industry.

Contact: 703 273-7200 or 800 659-7469

dwilbert@infocomm.org

membership@infocomm.org

www.infocomm.org/cps/rde/xchg/infocomm/hs.xsl/7163.htm

James D. Phelan Art Awards

The foundation awards funds to young California-born artists in various fields of art. Birth

certificate required in application.

Contact: The San Francisco Foundation

225 Bush Street, Suite 500

San Francisco, CA 94104

rec@jxc.org

www.sff.org

Jane Chambers Playwriting Award

Held annually, a general award and free registration to attend the Women and Theatre Conference (late July), and a rehearsed reading of the winning piece at the conference is given to recognize and reward outstanding plays and performance texts that were created by women and have a majority of parts for women performers. Individuals must be nominated for this award. A separate competition is available for currently enrolled students.

Contact: Jane Chambers Award

c/o Priscilla Pag

pmpage@theater.umass.edu

Department of Theater, Fine Arts Center 112

University of Massachusetts Amherst

151 Presidents Drive

Amherst, MA 01003-9331

http://www.athe.org/displaycommon.cfm?an=1&subarticlenbr=6

Japan Foundation

The foundation offers the “Performing Arts Japan” program; performance art that presents

Japanese culture to America. Touring grants and collaboration grants available.

The Japanese Foundation New York Grant aims to support projects that will further the

understanding of Japanese arts and culture.

Contact: Japan Foundation

152 West 57 Street 17th floor

New York, NY 10019

212 489-0299

info@jfny.org

http://www.jfny.org/grant/grant.php 

Japanese American Citizens League

Fellowships are awarded to help defray the cost of graduate education. In addition to general awards, a specific program supports creative projects that reflect Japanese-American experience and culture. Must be an active JACL member at individual/student/youth level.

Contact; Japanese American Citizens League

JACL National Scholarship Program

c/o Chicago JACL Chapter

5415 North Clark Street

Chicago, IL 60640

415 921-5225

http://www.jacl.org/edu/scholar.htm 

Jeffrey Campbell Graduate Fellows Program

A stipend of $28,500 per academic year is available to minority graduate students who have completed their coursework and preliminary exams for the Ph.D. or M.F.A. and are interested in conducting research at St. Lawrence University in New York. Office space and personal computer are provided. Recipients must teach 1 course a semester in a department or program at St. Lawrence related to their research interests. Please check website for further information.

Contact: St. Lawrence University

Jeffrey Campbell Graduate Fellows in Communication Search Committee

Speech and Theatre Department

Canton, NY 13617

www.stlawu.edu

humanresources@stlawu.edu

Jessie Fanyo Payne Grant

This grant is meant to provide financial assistance to undergraduate or alumnae members of the Alpha Chi Omega. This program is open to junior, senior, and graduate members of Alpha Chi Omega. The priority is to communications majors with emphasis on journalism and public relation and to include international programs. Selection is based on chapter involvement and campus service.

Contact: Alpha Chi Omega Foundation

Attention: Foundation Services Coordinator

5939 Castle Creek Parkway North Drive

Indianapolis, In 46250

317 579-5050

bretherford@alphachiomega.org

www.alphachiomega.org

Joseph Ehrenreich Scholarships

Various scholarships available. To be eligible, students must have completed 1 year at a recognized 4 year college or university having courses in photojournalism. They must be full time students with at least half a year of undergraduate studies remaining, have satisfactory scholastic grades, be able to demonstrate financial need, and intend to pursue a career in photojournalism. Nominations and applications may be made by students, interested instructors, or members of the National Press Photographers Association. Nominees and applicants need not be journalism majors, but they must show aptitude and potential in making or use of photographs in communication. Applications must be accompanied by representative examples of the applicants work. For student photographers, a minimum of six 8x10 prints are required. For students working in picture editing, at least 3 examples of recent work should be included. This program is not limited to minority students but their applications are given special attention. $2000 award, 7 total.

Contact: Dr. James W. Brown

jwbrown@nppf.org

http://nppf.org/

Josephine De Karman Fellowship

Provide assistance to outstanding college seniors or students in their last year of Ph.D. program. Program is open to students in any discipline who will be entering their senior undergraduate year or terminal year of a Ph.D. program in the fall of the next academic year. Foreign students may apply if they are already enrolled in a university in the United States. Applicants must be able to demonstrate exceptional ability and seriousness of purpose. Special consideration will be given to applicants in the humanities and those who have completed their qualifying examinations for the doctoral degree. Amount of the award is $20,000 per year for graduate students and $10,000 for undergraduate seniors. Payable in two installments to recipient’s school. No funds may be used for travel.

Contact: Joseph DeKarmen Fellowship Trust

Attention: Judy McClain Secretary

P.O.B. 3389

San Dimas, CA 91773

909 592-0607

www.dekarman.org

Kenji Kajiwara Memorial Scholarship

The purpose of this scholarship is to provide financial assistance to student members of the Japanese-Americans Citizen League JACL). It is open to JACL students currently enrolled or planning to re-enter a college or university, trade school, business college or other institution of higher learning. Awards range from $1,000 to $5,000 depending upon funds and are awarded on academic basis in conjunction with extracurricular activities and community involvement.

Contact: Japanese American Citizens League

Attention: National Scholarship Awards

1765 Sutter Street

San Francisco, CA 94115

jacl@jacl.org

www.jacl.org/edu/scholar.htm 

Kennedy Center American College Theater Festival Ten Minute Play Festival Award To recognize and reward outstanding 10 minute plays by student playwrights. Open to students at any accredited junior or senior college in the US or in a country contiguous to the continental U.S. They are eligible to compete in a regional 10 minute play festival. Undergrad students must be carrying 6 semester hours, graduate students must be enrolled in at least 3 semester hours, and continuing part-time students must be enrolled in a regular degree or certificate program. The national prize is $1,000. Dramatic Publishing Company may publish winner’s plays.

Contact: John F. Kennedy Center for the Performing Arts

Education Department

Attention: Kennedy Center American College Theater Festival

2700 F Street, NW

Washington, DC 20566

202 416-8857

skshaffer@kennedy-center.org

http://www.kennedy-center.org/education/actf/actften.html#tenminute 

Lagrant Foundation Scholarships

The awarded scholarships provide financial assistance to minority high school seniors, college students who are interested in majoring in communications, business, or related fields. Applicants must be African-American, Asian or Pacific Islander, Hispanic, or Native American. A 2.75 GPA is required. Applicants must be majoring or planning to major in communications or business (including public relations, journalism, mass communication, marketing and advertising). Awardees must attend career development workshop in May. Interested students must complete an application form, submit a resume, attach an official transcript, submit a paragraph on how they will finance their education, submit a list of college and community

activities, a list of awards and honors, and write a 1 page essay describing their career goals, accomplishments and why they should be selected. Must be full time student at an accredited school. Need one letter of recommendation from a professor or internship advisor.

Contact: Lagrant Foundation

626 Wilshire Blvd., Suite 700

Los Angeles, CA 90017

323 469-8680

www.lagrantfoundation.org 

Leopold Schepp Foundation Scholarship

Various of awards equaling a maximum amount of $8500. Applicants must be of excellent character and demonstrate substantial scholastic ability and financial need. U.S. citizenship or permanent resident status required. Age limit for graduate students is forty years of age. Age limit for undergraduate students is thirty years of age. Applicant must be in the U.S. at the time of application with a minimum 3.2 GPA on a 4.0 scale. Personal interview is required. A statement by the student of his/her education to date, year in school, the length of the course of study, vocational goal, and financial need, age, citizenship, interview availability in NY and current name and address must be included. Graduate applicants should include a resume and an outline of the perspective program. High school seniors are ineligible.

Contact: Leopold Schepp Foundation

551 5th Avenue Suite 3000

New York, NY 10176

www.scheppfoundation.org 

Lesbian Writers Fund

The Astraea National Lesbian Action Foundation is the first nationwide lesbian foundation. The Lesbian Writers Fund is open to emerging lesbian writers of poetry and fiction and gives varying amounts. Applicants must have published at least 1 piece of their writing (in any genre) in a newspaper, magazine, journal, or anthology but no more than 1 book. Submissions may consist of up to 30 pages of fiction (a novel or collection of short stories) or at least 10 pages, or no more than 15 pages of poetry. All work must incorporate some lesbian content.

Contact: Astraea National Lesbian Action Foundation

116 East 16 Street, 7th Floor

New York, NY 10003

212 529-8021 X22

grants@astreafoundation.org

http://www.astraeafoundation.org/grants/us-archive/lesbian-writers-fund/lwf-0809

Malice Domestic Grants Program for Unpublished Writers

Grants of $1,500 as well as attendance to each year’s convention are awarded to provide funding to unpublished writers in the malice domestic genre. Characteristics of the genre include murder or another serious crime at the heart of the story, emphasis on the solution rather than the details of the crime, no gratuitous sex or violence, an amateur detective as the central character, etc. Applications from minority candidates are especially encouraged to apply.

Contact: Harriet Sackler Grants Chair

Malice Domestic, Ltd.

P.O.Box 8007

Gaithersburg, MD 20898-8007

Grants@malicedomestic.org

http://www.malicedomestic.org/grants.html

Mildred and Albert Panowski Playwriting Award

The purpose of this award is to encourage and stimulate artistic growth among educational and professional playwrights. Applicant must have written an original full length play which has not been previously produced or published. Musicals and one act plays are ineligible. There are no other restrictions as to genre or theme. Award amount is $2,000.

Contact: Forest Roberts Theatre

Northern Michigan University

Attention: Playwriting Award Information

1401 Presque Isle Avenue

Marquette, MI 49855

877.472.3668

http://webb.nmu.edu/ForestRobertsTheatre/SiteSections/PlaywritingCompetition/

PlaywritingCompetition.shtml 

Minoru Yasui Memorial Scholarship Award

This award is meant to provide financial assistance to male Asian American students

Interested in a career in broadcast journalism. This program is open to Asian American high school seniors, undergraduate, or graduate students enrolled full time at an accredited college or university in a broadcast journalism program. Selection is based on scholastic ability, commitment to journalism, sensitivity to Asian American issues as demonstrated by community involvement, journalistic ability, and financial need. Award is up to $2,000.

Contact: Asian American Journalists Association

1182 Market Street, Suite 320

San Francisco, CA 94102

415 346-2051

programs@aaja.org

www.jacl.org/edu/scholar.htm 

Money for Women Fund Grants

Grants of up to $1,500 to poets, fiction and nonfiction writers, visual artists, and for a mixed-genre category (illustration and text) to feminist women in the arts. Application fee is $20. Fund does not maintain email, phone, or website. To request application materials, write to the postal address and be sure to include a SASE.

Contact: Susan Pliner, Executive Director

Money for Women/Barbara Deming Memorial Fund, Inc.

P.O.B. 309

Wilton, NH 03086

http://www.womenarts.org/fund/SourcesforIndividualArtists.htm

Center for Asian American Media

This grant ranging from $20,000 to $50,000 is awarded to producers who are interested in developing and finishing public television programs on Asian Americans issues. 5 to 10 grants are awarded each year. This program is funded by the Corporation of Public Television. Multiple awards for production and completion.

Contact: National Asian American Telecommunications Association

Attention: Media Funds

145 Ninth Street, Suite 350

San Francisco, CA 94103

mediafunds@asianamericanmedia.org

http://caamedia.org/filmmaker-resources/funding/

National Association of Black Journalists

Provide financial assistance to undergraduate and graduate students who are members of the National Association of Black Journalists (NABJ) who are majoring in a field related to journalism. Students must be attending an accredited college or university and majoring: broadcast (radio or television), print, photography, or journalism. They must submit 5 samples of their published or broadcast work, an official transcript, contact information from 3 references (letters not necessary0, a résumé and 500-800 word essay describing their accomplishments as a student journalist, their career goals, and their interest in the field. Amount of award is up to $25,000. All scholarship winners must become members of the association before the grants are awarded.

Contact: Irving Washington, Program Manager

301-405-57520 or iwashington@nabj.org

http://www.nabj.org/?page=SEEDScholarships

National Association of Hispanic Journalists

Various awards. Check website for current opportunities.

Contact: National Association of Hispanic Journalists

Attention: Scholarships

National Press Building

529 14 Street NW Suite 1000

Washington, DC 20045

202 662-7143

www.nahj.org/student/scholarshipinformation.html

National Hispanic Foundation for the Arts Scholarship

This program is designed to provide financial assistance to Hispanic Americans who are enrolled full time in disciplines that include, but are not limited to acting, costume design, film, lighting design and theater. Applicants must be U.S. citizens of Hispanic origin residing in any of the 50 states or U.S. territories and have a cumulative GPA of 3.0 or better. They must be able to demonstrate financial need, defined as family income at or below 60 percent of the area’s median family income, based on family size. Preference is given to students who can demonstrate special talent in careers related to the entertainment arts and industry. They may submit portfolios and /or video/audio tapes of their work. More information is available on website. (Applications on-line only) Multiple scholarships.

Contact: National Hispanic Foundation for the Arts

1010 Wisconsin Avenue, NW

Suite 650

Washington, DC 20007

info@hispanicarts.org

http://www.hispanicarts.org/scholarshipmenu.htm 

National Opera Association Scholarship

To provide career development assistance to outstanding opera singers. Opera singers who are between the ages of 18 and 24 may enter. Membership in the National Opera Association is required. Applicants submit a CD or cassette tape with 2 arias and judges select the finalists on the basis of those recordings. Finalists are then invited to auditions where they identify 4 arias with appropriate recitatives and present 2 of them, 1 chosen by the singer and 1 by the judges.

Contact: National Opera Association

Attention: Vocal Competition

P.O.B. 60869 or 2403 Russell Long Blvd.

Canyon, TX 79016

806 651-2857

rhansen@mail.wtamu.edu

http://www.noa.org/competitions.html 

New England Theatre Conference

John Gassner Memorial Playwriting Award

Two prizes: first prize is $1,000, and second place $500, for new full length plays. The plays must be unpublished, unproduced except for staged readings or workshop productions and not under consideration for publication or professional production. Open to all playwrights in the U.S. Playwrights may submit more than one entry.

Contact: The New England Theatre Conference

John Gassner Memorial Playwriting Award

215 Knob Hill Drive

Hamden, CT 06518

617 851-8535

mail@netconline.org

http://www.netconline.org/john-gassner-award.php

Nicholl Fellowships in Screen Writing

Approximately five fellowships of $35,000 each will be available. Fellowship recipients will be expected during the fellowship year to complete at least one original screenplay 90-130 pages in length, written in standard screenplay form. Members and employees of the Academy of Motion Pictures Arts and Sciences and their immediate family are ineligible.

Details: 90-130 pages in length, written in standard screenplay format, a completed application, and a non-refundable fee of $35.00 (early bird), $52.00 (late).

Contact: Nicholl Fellowships in Screenwriting at the Academy Foundation

1313 North Vine Street

Hollywood, CA 90028

310 247-3000

nicholl@oscars.org

http://www.oscars.org/awards/nicholl/index.html 

Northwest Journalists of Color Scholarship Awards

Eligibility is limited to minority students from Washington State. Interested students must be planning to have a career in broadcast, photo, or print journalism. Applicants may be high school seniors or college undergraduates from Washington State but, may be attending or planning to attend a school anywhere in the country. Students are not required to major in journalism but, must have a strong interest in the field.

Contact: lauren.rabaino@gmail.com

http://www.aajaseattle.org/

Organization of American States Fellowships

Fellowships are available for study in member countries of OAS with the exception of the country of which the candidate is a citizen or in which he /she maintains a permanent residence. There are two kinds of fellowships; advanced study, or training and research. The applicant must have advanced training in his/her field, know the language of the country, be in good health, be accepted at an institution, and plan to return to his/her country. Applicants must submit a detailed plan of study or research. Stipend is enough to cover travel expenses, registration, tuition, fees, study materials and subsistence allowance.

Contact: General Secretariat of the Organization of American States

Department of Fellowships and Training

Trainee Selection Division

Washington, DC 20006

www.educoas.com 

Organization of American States

Leo S. Rowe Pan-American Fund

Interest free loans are provided to help citizens of Latin American and Caribbean member states of the OAS study and carry out research at U.S. universities and colleges. Students can receive a loan up to $15,000. Selection is based on academic and personal record as well as financial need.

Contact: Secretariat of the Leo S. Rowe Pan American Fund

Organization of American States

1889 F Street NW, Rm 619

Washington, DC 20006

202 458-6208

http://www.oas.org/en/rowefund/

PEN American Center – Writer’s Fund

This program provides emergency funds for writers. Limited to residents of New York State. Up to $2000 given depending upon need. Applications are accepted year-round. Must be published.

Contact: Jasmine Davey

(212) 334-1660, ext. 126

http://www.pen.org/page.php/prmID/251 

P.E.O. Sisterhood – PEO International Peace Scholarship Fund

This support for study is designed to help women students from other countries carry out graduate work in the U.S. or Canada. Upon graduation the student will return to her country within 60 days. The maximum award for one year of full-time study is $10,000. Applicants may be from any field of study. The award is renewable, only one time, and the candidate must reapply. Citizens of all countries except the United States and Canada are eligible. Candidates must have a non-academic sponsor who is a citizen of the U.S. or Canada. Students may download eligibility form from PEO website.

Contact: P.E.O. Sisterhood – International Peace Scholarship Fund

P.E.O. Executive Office

3700 Grand Avenue

Des Moines, IA 50312

515 255-3153

http://www.peointernational.org/peo-projectsphilanthropies 

Professional Development Fellowships for Artists and Art Historians

This $5,000 stipend is meant to provide financial assistance and work experience to artists or art historians from culturally diverse backgrounds that are completing graduate degrees. Applicants must be US citizens or permanent residents and able to demonstrate financial need. They must expect to receive the MFA or PhD in the year following application.

Contact: College Art Association of America

Attention: Fellowship Program

50 Broadway, 21st Floor

New York, NY 10004

212 691-1051x201

fellowships@collegeart.org

mfahlund@collegeart.org

www.collegeart.org/grantsandfellowships 

Radio and Television News Directors Foundation - Abe Shechter

Graduate Scholarship

The purpose of the scholarship is to identify and reward full time students whose career objective

is electronic journalism. Award amount is $2,000, plus expense paid trip to the Radio-Television

News Directors Association Annual International Convention in New Orleans. One page essay

detailing merit and career objectives required.

.

Contact: Katie Switchenko - katies@rtdna.org

www.rtnda.org/pages/education/scholarship-info.php 

Ralph W. Shrader Scholarships

These three varied scholarship stipends of $3,000 are awarded yearly to provide assistance to master degree students in fields related to communications and electronics. This program is open to any student pursuing a master’s degree as a full time student in electronics, chemical systems, communications engineering, physics, math, computer science, technical management or information technology. Must be a U.S. citizen attending an accredited college or university in the United States. Applicants must be enrolled full time and studying engineering (electrical, aerospace, computer, or communications), physics, mathematics, computer science, or technology, or information management. At least 1 of these scholarships is set aside for a woman or minority candidate. Additional awards on website for undergraduates.

Contact: Armed Forces Communications and Electronics Association

Attention: Norma Corrales, Educational Foundation

4400 Fair Lakes Court

Fairfax, VA 22033

703 631-6149

800 336-4583x6149

scholarship@afcea.org

www.afcea.org/education/scholarships 

Raymond Davis Scholarship

Provide financial assistance for students interested in continuing their studies in photographic or imaging science or technology. Program is opened to full time undergraduate and graduate students who have completed 2 academic years at an accredited institution. Grants are made for academic study or research in photographic or imaging science or engineering. Graduate students must provide an abstract of their plan for advanced study, research, and thesis. All applicants must outline their career objectives and indicate how the academic work they propose to undertake will further their objectives. Amount of award is $1,000 and up given to one or more recipients.

Contact: Society for Imaging Science and Technology

7003 Kilworth Lane

Springfield, VA 22151

703 642-9090

info@imaging.org

http://www.imaging.org/ist/membership/davis.cfm?AwardCode=RS 

SCI/ASCAP Student Composition Commission

This program is open to members of the society who are either:

1) Students in college or university composition degree programs or

2) studying privately with a recognized professional composer but not enrolled in a degree program.

Applicants must submit both a score and a cassette tape or a CD of a single work for any combination of instruments, voices, and electronics. They may be any age or nationality. Amount of award is $1,250 first place, second place $750. You must be a member of the SCI to enter an application for the scholarship. The student rate is $27.50 per year. If your institution has a SCI student chapter, then dues are $17.50. Please visit website or contact their office for updated information.

Contact: Society of Composers, Inc.

Kari Juusela

kjuusela@berklee.edu

617 747-8629

617 747-2968

www.societyofcomposers.org/students/ascap.html 

Slamdance Film Festival Screenplay Competition

Awards given to top three works in each category (Feature, Short/Webisode, Horror, Teleplay) and the grand prize winner receives $5,000. Finalists will find exposure to major literary agencies and film studios who request the top scripts. The top three also get all-inclusive festival passes for all Slamdance screenings, parties and events in Park City, Utah, and screenwriting software. Entry fees required.

Contact: Slamdance Screenplay Competition

5634 Melrose Ave

Los Angeles, CA 90038

323.466.1786

submissions@slamdance.com

http://showcase.slamdance.com/Writing-Competition

Talbot’s Women’s Scholarship Fund

The Talbot’s Women’s Scholarship Fund was established by Talbot’s Charitable Foundation, established by clothing retailer Talbot’s. A scholarship program that awards up to 17 $10,000 scholarships and one $30,000 scholarship to women seeking a bachelor’s degree or associates degree later in life. Applicants must be women currently residing in the US or Canada who earned a high school diploma or GED at least 10 years ago, be seeking a degree from an accredited two or four year college, university , or vocational-technical school, and have at least two full time semesters or twenty four credits remaining to complete their undergraduate degree.

Contact: Talbot Women’s Scholarship Fund

Scholarship Management Services

1 Scholarship Way

P.O.B. 297

St. Peter, MN 56082

507 931-1682

https://www.scholarshipamerica.org/talbotswomen/instructions.php 

Taraknath Das Foundation

The foundation provides grants and loans for Indian students, scholars and writers, including undergraduates and doctoral candidates. Must be Indian passport holder and have completed at least 1 year of graduate study.

Contact: South Asian Institute, Columbia University

Knox Hall, Room 216, 606 West 122nd Street

New York, NY 10027

212 854-3616

US Department of Education

Numerous grants of an average of $15,000, including the cost of tuition, are available to students

in the arts, humanities and social sciences.

Contact: Director, U.S. Department of Education

Grants Office

400 Maryland Avenue SW, ROB-3

Mail Stop 3327

Washington, DC 20202

202 708-5514

http://studentaid.ed.gov/PORTALSWebApp/students/english/scholarships.jsp

Wagner College – Stanley Drama Award

The purpose of this award is to encourage excellence in playwriting. Candidates may be of any nationality. Applicant must have written a full length play, a musical, or a series of two or three thematically connected one-act plays. The works must not have been professionally produced or received publication. The amount of the award is $2,000.

Contact: http://www.wagner.edu/stanley drama/

Disney/ABC Writing Program

This program is open to all writers with a goal to seek out and employ culturally and ethnically diverse writers, interested in developing their craft at Walt Disney Studios. Applicants must submit a writing sample; for the feature films division; it should be a live action motion picture screenplay (approximately 120 pages) or a full length 2-3 act play; for the television division; it should be a live action, full length half-hour television script based on a current television series. Fellows receive $50,000 salary over a year while living at Disney.

Contact: Walt Disney Studios

Attention: Fellowship Program Director

500 South Buena Vista Street

Burbank, CA 91521

ABCWritingfellowship@disney.com 

http://www.abctalentdevelopment.com/

Women in Film Foundation – Film Finishing Fund

The foundation offers several grants and awards up to $15,000 to women in the film industry.

Award amounts vary. Student projects are not eligible.

Contact: Women in Film Foundation Finishing Fund

8857 West Olympic Blvd. Suite 201

Beverly Hills, CA 90211

310 657-5144

http://www.wif.org/fff-info 

Woodrow Wilson Women’s Studies Research Grants for Doctoral Candidates

The purpose of these grants are to encourage original and significant research in the humanities and social sciences on such topics as the evolution of women’s role in society and particularly contemporary America, women in history, the psychology of women, and women as seen in literature. For students in doctoral programs who will graduate in the next year. Applications must be endorsed by the candidate’s dissertation director and graduate Dean.

Contact: The Woodrow Wilson National Fellowship Foundation

P.O. Box 5281 WS Dept.

Princeton, NJ 08542

609 452-7007

http://www.woodrow.org/higher-education-fellowships/women gender/index.php

World Studio Foundation Scholarships

This program is open to disadvantaged or minority college students who are currently enrolled and majoring in 1 of the following areas: film, video, animation, music, photography, fine arts, illustration, new media and graphic design. Awards range from $500 to $5,000.

Contact: Worldstudio AIGA Scholarships

164 Fifth Avenue

New York, NY 10010

212-807-1990

www.aiga.org/content.cfm/worldstudio-scholarship 

Internet Links:

NYU Financial Aid www.nyu.edu/financial.aid

GIGS www.nyu.edu/gsas/fininfo/gigs

Foundation Center www.fdncenter.org/map

Fast Web www.studentservices.com/fastweb

US Dept. of Education www.ed.gov

NYS Higher Education www.hesc.com

Other Scholarship Websites:

www.jackierobinson.org

www.truman.gov

www.bk.com

www.uncf.org/scholarship

www.naacp.org/programs

www.gmsp.org 

MCO Scholarship

This program is open to students who are enrolled full-time in college or university by December 2014. Applicants must submit an answer to the essay question no later than 11:59 PM EST on May 15, 2014. The amount of award is $500.

Contact:

www.scholarshipguidance.com/scholarship_mco_scholarship_8939.php?&utm_source=newslett er01&utm medium=email&utm campaign=201402utm content=dis%140nyu.edu 

Odenza Vacations Scholarship

To be eligible for this program, students must be between the ages of 17 and 24 by September 1st, 2014. Applicants must submit an answer to the essay question, which can be found on the application page, prior to the June 1st, 2014 deadline. The award is $500.

Contact:

www.scholarshipguidance.com/scholarship_odenza_vacations_scholarship_8936.php?&utm_sou rce=newsletter01&utm_medium=email&utm_campaign=201402&utm_content=dis1%40.nyu.ed u

Global Lift Equipment Scholarship

In order to be considered, students must be currently attending or planning on attending a postsecondary institution in Canada or the US by September of 2014. Applicants must have a GPA of 2.5 or greater are required to submit a short story. Detailed instructions can be found on the application page. Award amount is $500.

Contact:

http://www.scholarshipguidance.com/scholarship global lift equipment scholarship 8934.php

¡Adelante! Fund Scholarships

The purpose of this award is to inspire the best and brightest Latino college students to graduate and succeed. ¡Adelante! Fund Scholarships are sponsored by MillerCoors, Miller Coors Texas, MillerCoors Chicago, and Hispanic Organization for Public Employees (HOPE). The application timeline spans from February 1st to May 1st. Requirements for eligibility and further information can be found online. Available scholarships range from $1000 to $3000.

Contact:

http://www.adelantefund.org/#!scholarships/crij

The 8th Annual Create-A-Greeting-Card $10,000 Scholarship Contest

Students that are enrolled in High School, College, University or Homeschool and are 14 years of age or older are invited to apply for this $10,000 scholarship contest. Submissions are accepted from April 14, 2014 to February 18, 2015. To apply, submit a photo, artwork, or graphics file for the front design of a greeting card. Only one entry per person is allowed. There will be one (1) Scholarship Prize of $10,000 awarded (referred to as “the Scholarship”) and one $1,000 prize awarded to the winner’s school. An additional $1,000 prize will be awarded to one member of the Armed Forces selected from among all eligible Contest Entries.

Contact:

http://www.gallerycollection.com/greeting-cards-scholarship.htm

BigSun Scholarship

The BigSun Athletics Scholarship is offered to high school seniors and undergraduate students without regard to any particular sport. The successful applicant must be currently involved in athletics in some capacity, whether for their school or for their community. The deadline to apply is June 19, 2015. The amount of award is $500.

Contact:

http://www.bigsunathletics.com/

KODAK Student Scholarship Program

This program offers students a Student Cinematography Scholarship Award, in addition to a Student Scholarship Award. Each award will include a cash tuition prize along with KODAK Film Product grants to assist recipients with future projects. Entries must be completed works that communicate a story or theme in some fashion. College student nominees must be fulltime undergraduate or graduate students enrolled in the 2013 - 2014 academic year and planning to enroll for the 2014 - 2015 academic year in a film school’s degree or diploma program. The winners film entry will be screened at the annual UFVA Conference.

Contact:

http://motion.kodak.com/motion/Education/Scholarships/index.htm?CID=go&idhbx=filmschool competition#ixzz3Mk3IQJHg

The Graduate Programs Pre-Grad Scholarship

The Graduate Programs Foundation offers a $1000 Pre-Grad Scholarship toward tuition, graduate school search, or other school expenses. The Selection Committee selects a scholarship winner quarterly. Current undergraduates enrolled in an accredited institution or recent college graduates thinking of applying to graduate school are eligible to apply.

Contact:

http://www.graduateprograms.com/pre-grad-registration/

Paul & Daisy Soros Fellowships for New Americans

The Paul & Daisy Soros Fellowships are open to immigrants and the children of immigrants who are entering or have begun graduate school. Fellows receive up to $90,000 in support of their education: $40,000 in tuition support and $50,000 in stipend support over two years. More importantly, they join a lifelong community of New Americans who are making significant contributions to society.

For full eligibility requirements, to register for a web info session or to apply, go to: www.pdsoros.org.

Islamic Scholarship Fund: Scholarships

ISF offers many joint and sponsored scholarships with partner organizations, masjids, student/alumni associations and private sponsors that share its mission and vision. Applicants who are associated with any of our joint scholarship programs should make that selection on the online application to be given priority.

> Minimum requirements to apply for a scholarship:

o Muslim or active member of the Muslim community;

o Enrollment at an accredited university in the U.S by August 2015]

o Majoring in ISF supported major

o Maintaining a minimum 3.0 Grade Point Average

o A Citizen or Permanent Resident of the U.S

o An undergraduate (sophomore/junior/senior) or of graduate standing (including PhD).

> ISF Mission: ISF’s mission is to improve understanding and acceptance of Islam by increasing Muslim American representation in the professions that influence public policy and opinion. (Please contract us if your major is not listed, but you believe it fits ISF’s mission. We don’t support health, engineering, technology or business related majors).

> ISF Supported Fields of Study:

o Film

* Acting

* Film Studies

* Film and Television Production

* Theater

o Media

* Media Studies

o Journalism

* Journalism

* Print and Digital Journalism

o Communication

* Communication Studies

o Writing

* Creative Writing

* English

Islamic Scholarship Fund: ISF National Film Grant

The mass media has an undoubtedly powerful influence on society’s perceptions and beliefs about the subjects portrayed. While the spread of Internet media sources and social networking sites provide outlets for alternative voices, traditional mass media still reaches a larger number of people and holds substantial power in determining what information is deemed important. The Islamic Scholarship Fund Film Grant specifically aims to facilitate and support Muslims entering the world of film, who intend to create artistic, engaging and positive stories about Muslims. The chosen recipient will receive a grant, which allows them to focus their energy and attention entirely on the creative process. Grant recipients will also receive mentorship and/or networking opportunities from an industry professional to help further the advancement of their script and film. The grant will be split into two categories: narrative and documentary. Narratives will be awarded $20,000 and documentary will be rewarded $10,000.

> ELIGIBILITY

o This must be a first or second film for the filmmaker

o Project may be a narrative feature length, short film, animation or documentary

o Filmmaker must film at least 50% in the U.S.

o At least two members of the creative team must be Muslim

o The content must have Muslim characters or themes

> Award Recipient will receive:

o Cash grant up to $20,000 for narrative and $10,000 for documentary

o Creative support from an industry professional during creative process

o Networking opportunities with industry professionals

o ISF Screening after completion of the film

> Selection Process: 

There will be three rounds for the selection process:

1. Submission of Letter of Interest (March 10th- May 10th)

2. Submission of Application (June 10th-July 10th)

3. Remote interview (September)

4. Final Announcement (October)

Each applicant will be asked to submit a one-page letter of interest. The judges will review the strongest stories to advance to the next round: application. During the application stage the applicant will be required to submit a written proposal, a 3-4 minute pitch video, work sample, script or outline. The judges will review these applications and will choose 3 applicants to advance to the interview stage.

1. Round 1 

> Letter of Interest: Applicant will submit a one-page letter of interest introducing themselves and their project. This should include background of the applicant, brief description of your project, how this project aligns with the goals of ISF, and how this grant will help you make this film.

2. Round 2 

> Video Pitch: Applicant will submit a 3-4 minute video pitching their project. This video should take us on a visual journey of your film. Make sure to discuss the characters, story, obstacles, goals and resolution. Also discuss why you deserve the grant and how it is in line with ISF’s mission and goals.

> Proposal: The applicant will submit a one-page proposal to accompany their pitch video. This proposal should include a synopsis of the project, the proposed budget, shooting location and days, as well as distribution strategy.

> Work Sample: The applicant must include one short 2-4 min work sample, such as a short film, music video, commercial, screenplay, etc. You may take an excerpt from a previous project or current project. If you do not have a sample we encourage you to film one. Please include a link to the work. DVDs and non-online samples will not be accepted.

> Script: If the applicant is submitting a feature length script, they must submit the first 10 pages of the script with their application. If submitting a short film they will submit the entire script. For documentaries an outline or script will be accepted. 3. Round 3 

> The top three applicants will be contacted for remote interviews.

> What the judges are looking for?

* Strength of script (Is the story compelling and unique?

* Strength of work samples (Can applicant execute the proposed project?)

* Strength and confidence in video pitch (Does the applicant create a visual story and is passionate about the project and its goal?)

* Strength of production plan (Is the grant right for the applicant? Is the production plan well thought out and realistic?

* Original subject matter and a unique vision creating a positive light for Muslims.

We will start accepting letter of interests starting March 10th through our online application submission platform. Please stay tuned for updates. Thank you!

Green Scholarship

> Provided by: Plushbeds, Inc.

> Award: $1000

> Deadline: December 15, 2014

The Green Scholarship is open to students enrolled in an undergraduate or graduate program at an accredited U.S college, university or trade school. You must submit an essay of at least 1,000 words on the topic “The Unique Advantages of Living a Green Lifestyle and the Steps to Get There” in order to be considered for this award.

> Fields of study: All Fields of Study

> Website: http://www.plushbeds.com/PlushBeds-Green-Scholarships/Advantages-of-a-Green-Lifestyle-Scholarship/

> Additional information: Please see the sponsor’s website for additional information.

P.E.O International Peace Scholarship

> Provided by: P.E.O Educational Scholarship

> Award: $8000

> Deadline: April 15, 2015

The P.E.O International Peace Scholarship is available to female graduate students. You must be a resident of a country other than the United States or Canada and plan to study at a college or university in the United States or Canada. You must have at least one full year of coursework remaining to be eligible for this award.

> Fields of Study: All Fields of Study

> Website: http://www.peointernational.org/peo-projectshilanthropies 

> Additional information: Please see the sponsor’s website for additional information.

Raymond Davis Scholarship

> Provided by: Society for Imaging Science and Technology

> Award: $1000

> Deadline: Varies

The Raymond Scholarship is available to full time undergraduate and graduate students. You must be studying a field related to imaging to be eligible for this award.

> Type of Award: Scholarship

> Fields of Study: Engineering, Photographic/ Imaging Science

> Website: http://www.imaging.org/ist/membership/davis.cfm?AwardCodes=RS

> Additional information: Please see the sponsor’s website for additional information.

A Practical Guide

Graduate Studies: A Practical Guide

November 2012

Note: This Guide was published by CAGS in 1992. The booklet is no longer in print. Although there have been changes in some aspects of graduate studies since 1992, much of this Guide is still relevant. CAGS is still making this document available in web format as a service to students, faculty and others involved in graduate programs.

Copyright © Canadian Association for Graduate Studies, 1992

The 2003 version was edited by Martha Crago

The 2012 version was edited by Samantha Boland

Forward

This booklet is addressed to students considering Masters and Doctoral programs at Canadian universities. It discusses some of the motives for pursuing graduate studies and provides prospective students with information on things to consider when examining the option of graduate school. There is a tremendous diversity to graduate programs and thus some sections may pertain more to some areas of study than others.

From the perspective of students, graduate studies are not an end in themselves, but rather a means to an end. In most cases, that end is gainful employment. Graduate studies therefore constitute an investment of time and money for the purpose of career development. In some cases the investment is essential, in others it is a matter of choice. From the perspective of supervisors, graduate studies are an almost indispensable part of academic life and sometimes central to successful research. Graduate students are needed for assistance, collaboration, and as a source of inspiration, energy and fulfillment. They are also important partners for obtaining external research funding from provincial and federal granting councils. From the perspective of departments, research centers, and other units or combination of units offering graduate programs, graduate studies are an essential component of research. What distinguishes universities from other academic institutions is their mandate to carry out research and train researchers.

Graduate programs maintain and enhance the academic standing of a university and have a significant bearing on the public perception of the quality of the graduates of that university. As is the case in most partnerships, the probability of success in graduate studies is enhanced by a set of explicit checks and balances which articulate the respective rights and responsibilities of the partners.

Graduate school can be, and often is, one of the highlights in a student’s life. Students are provided with the opportunity to work in exciting environments and share experiences with like minded colleagues that can result in lifelong friendships. Many former graduate students look back on this time in their life with fondness and the realization that it represented an important period of personal development that laid the foundation for a rewarding career.

Table of Contents

Forward 2

Why Pursue Graduate Studies? 4

Skills Required Before Entering Graduate Programs 4

Representative Skills Acquired in Graduate Programs 4

What is Graduate Education? 5

Preparation for Graduate School 6

Making the Decision 7

Making Contacts 7

Choosing an Institution 7

Choosing a Supervisor 8

Financing a Graduate Education 9

Funding Sources 10

Moving Along 11

Acquiring Formal Training and Certifications 11

Choosing a Research Topic 11

Setting Milestones 12

Finishing Up 13

Analysis, Synthesis, and Writing 13

Presenting and Publishing 14

A Note about Intellectual Property Rights 14

Additional Living Considerations 15

Living Expenses 15

Housing 15

Parental leave 15

Childcare 16

Questionnaires 16

For Students 16

For Supervisors 17

For Departments 17

3

Why Pursue Graduate Studies?

Many students pursue graduate studies for the love of learning and discovery. For others, cultural motivation and family traditions have an unquestionably positive influence on the decision to enter graduate studies. Some students pursue graduate studies because their chosen profession requires a graduate degree while others are looking to change career paths or better position themselves for advancement opportunities.

In research programs, graduate students are involved in both the development and the responsible conduct of original, important research and scholarship. As such, graduate students should be excited by carrying out in-depth and detailed studies in the spirit of creative and imaginative inquiry. Graduate students and their work are an important part of an ongoing research process that helps us to better comprehend the human and natural world in which we exist. This research provides the human community with ways of understanding natural, cultural, imaginative, social and technological phenomena and investigating problems through the pursuit of knowledge. Graduate students are thus engaged not only in a social process that provides society with new ways of looking at the world’s complexity, problems and beauty, but in a personal quest for bettering their lives or expanding their learning and insight.

Recently, people with graduate degrees have been referred to as “highly qualified personnel”. In today’s knowledge economy this level of qualification is a valuable asset for an increasing number of jobs. According to the 2007 National Graduates Survey (Class of 2005), 93% of graduates of master programs were employed at the time of survey. As one might expect, earnings increase with education levels, with the largest earning premiums between the bachelor and master levels (Bayard & Greenlee, 2009).

Skills Required Before Entering Graduate Programs

* High academic standing

* Strong commitment to pursuing rigorous research training in a selected subject area

* Enthusiasm and a high degree of interest in learning

* Curiosity, and an open and enquiring mind

* Sound work ethic, integrity and moral standards

* Collegiality

* Perseverance and patience

* Maturity and reliability

Representative Skills Acquired in Graduate Programs

* Excellent critical thinking skills

* Ability to integrate data and information from multiple sources, and to develop and test hypotheses rigorously

* Excellent oral and written communication skills

4

* Skills in a range of analytical techniques using sophisticated instrumentation

* Ability to work with equipment and instruments at tasks requiring precision

* Ability to coordinate or co-supervise the work of others

* Ability to identify problems and to develop and implement innovative solutions

* Ability to work independently and in teams

(Used with permission from the Schulich School of Medicine & Dentistry, The University of Western Ontario [UWO], 2010, p. 3)

What is Graduate Education?

Graduate school includes Masters Programs (typically 1-2 years of full time study following an undergraduate degree) and Doctoral/Ph.D. programs (approximately 4-6 additional years of study which may follow a Masters Degree).

The graduate learning environment is distinctly different from that at the undergraduate level. It has been characterized as advanced, focused and scholarly in nature:

* It is advanced because it builds upon an undergraduate education.

* It is focused because the emphasis in graduate studies is on depth.

* It is scholarly because it is concerned not simply with the acquisition of knowledge and skills, but with the critical analysis of existing knowledge and the creation of new knowledge. Graduate students are expected to acquire and apply advanced analytical and interpretive skills, as well understanding and/or producing research.

Although the expectations of students enrolled in graduate programs may vary, it should be recognized that graduate school represents a very different educational experience than that of undergraduate studies. Scientific discovery is seldom a linear process, and it is generally not possible to drive research directly towards a desired outcome. Discovery is a mixture of insight, effort, curiosity, and good fortune (UWO, 2010, p. 5).

Graduate programs may be separated into three broad categories:

* Professional programs – provide specialized skills and qualifications for a specific profession (i.e., Speech-Language Pathology, MBA programs).

* Terminal programs – Masters and Doctoral degrees are achieved separately. Students apply to Doctoral programs after first completing their Masters degree.

* Non-terminal programs – Masters program feeds directly into Doctoral program without option of stopping after Masters. May be entered into directly from undergraduate studies.

Additionally, your degree may be:

* Course-based – a combination of required courses, practicum placement, qualifying exam, independent research, or capstone course or project.

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* Thesis-based – a combination of required courses and a thesis project under the supervision of a thesis advisor. (UTM Career Centre [UTM], 2012, p. 1)

Thesis-based master’s programs provide an opportunity for students to explore the possibility of pursuing research as a career. The normal time to completion of this degree is 2 years, although completion of a high quality thesis may require a longer period of time. Students are expected to display enthusiasm and dedication towards completing the objectives that define their research projects, which can mean working on their projects beyond a standard work week. In research, the end result is nearly always determined by the effort and commitment of the student to the project. The reward for this is the opportunity to pursue research questions and lead discovery in diverse and important areas that are directed at reducing human suffering and improving our understanding of the world.

Preparation for Graduate School

The process of deciding to enrol in a graduate program and the development of a plan of action often begins well before the completion of a bachelor's degree. In disciplines where the opportunity exits, students sometimes secure summer jobs in research environments to get a sense of what research is like. They also learn through reading and conversation about the research community and the career opportunities in their field of interest.

Some students visit the appropriate departments in several universities and gain an insight into the existing curriculum, programs, infra-structure and support system for graduate studies. Sometimes they also assess through discussions with potential supervisors the type of research project for which supervision and financial support are available and identify research topics in which they are interested and for which they are qualified.

Although standards and criteria vary across programs, one common factor is that the competition is intense. Factors that contribute to admission decisions include:

* GPA – most schools look for a minimum average of B+ during the last two years of undergraduate study

* Suitability for the program – determined by the quality of your application, your research interests and your compatibility with the program/faculty research interests

* Skills and experience – your research experience, volunteer/work experiences and extracurricular activities

* Reference letters – the type of referee and relevance of their comments are weighed more heavily than the number of reference letters you submit

* Admission test scores – if required (GRE www.gre.org , GMAT www.mba.com/mba)

Prepare for graduate school during your undergraduate studies by:

* Strengthening your GPA – Although many programs look primarily at your final two years, a GPA that is consistently high will impress admission committees

6

* Exploring your options – Take a variety of courses to help determine your research interests, talk to Teaching Assistant about their experiences, take part in networking activities, and talk to your professors about graduate programs and their areas of research

* Identifying references – Graduate applications require between 2-3 references. Get to know your professors by taking more than one class with those whose work interests you, participate in class discussions, attend office hours, and join clubs that allow professors to get to know you outside of the classroom

* Building experience – Gain research experience through part-time or summer jobs, senior level thesis courses, faculty research projects, undergraduate research awards, internships, or volunteering with a professor. Experience as a teaching assistant would be an asset. (UTM, 2012, p. 2)

Making the Decision

As prospective graduate students, you are important potential members of a university’s research and learning community. The orientation and guidelines that this document provides are designed to help you approach your future studies as a confident and informed person. Even though you may feel that the process of admission to graduate studies is one in which you are being evaluated by a university, you also have just as significant a role in evaluating your prospective program of study. It is important that you make sure that you have the information you need to make a good decision.

Making Contacts

Making contact with your prospective institutions is important. This may mean:

* using websites

* communicating by e-mail

* talking on the telephone

* making a visit

Do your best to talk to prospective supervisors or heads of graduate admissions committees as well as a range of students including those presently enrolled in the program and those who have already graduated. It is important to gauge your potential satisfaction with a program or a supervisor from a student’s perspective. This type of conversation can help you know what to expect from a supervisor or a course, or may just prove helpful in getting tips on potential living arrangements.

Choosing an Institution

Students choose to pursue their studies at a particular institution for a variety of reasons. For instance, some people choose to attend universities near to where they live. Others base their decision on the reputation of a university. Keep in mind, though, that the research reputation of a university does not always equate with student experiences in a program of study. Sometimes graduate students’ experiences of the programs at a world-renowned research university may not

7

mesh with the university’s high reputation. Students may rank their experiences at a lesser-known university as being far more supportive and encouraging than the university’s research reputation might suggest.

In the case of a professional graduate degree, it is important to verify that the university program is accredited by professional bodies. If this applies to your field of study, look into the accreditation status of the institution and/or program you are planning to attend.

Whether you are interested in a professional or a research-oriented degree, you should research the nature of the university you are considering. Because it is ultimately a question of your fit and prospective experience at a university, it is crucial to be as informed as possible.

Choosing a Supervisor

The choice of the right supervisor depends on many factors such as the track record of a supervisor in seeing students through to a successful conclusion in a reasonable period of time. Personality considerations also play a role. Some students require the caring attention of a professor who may be a superb teacher but less active as a scholar, others flourish in the competitive environment where the star of the research team is an internationally recognized researcher. The relationship between student and supervisor should be based on complementary objectives and qualities. Thus students should not become totally dependent on their supervisor. They should try to maintain a collegial working relationship with all members of the department. In turn, departments should remember that students require continuing departmental support for their successful and timely graduation. Thinking about appropriate supervisors and then approaching them will be one of the most important things you need to do when applying to a graduate research program.

The role of the supervisor will differ depending on your area of study. In certain disciplines, the choice of the type of research project for which supervision and financial support are available will depend quite directly on the research work the supervisor is doing. However, in the social sciences and humanities, research topics often originate from the students themselves. In either case, you will want to identify research topics in which potential supervisors are interested and knowledgeable.

Determining whether a supervisor is an active and productive scholar or researcher is an important factor. Many professors maintain a website which contains their pedagogical and publication history. This may be more detailed and useful than a database search because it will reflect conference participation, courses taught and present research projects as well. Exploring the professor’s website or the department site of the university with which your potential supervisor is affiliated will often give you access to valuable information about the professor’s research and interests. If you are approaching a potential supervisor, knowledge of their own research is invaluable. Become familiar with this professor’s publications and be able to knowledgeably discuss your mutual interests. Potential graduate students should ask the following questions about the supervisors they are considering:

* Do they regularly publish journal articles? In which journals? On what subject?

* What books have they written?

* Do they encourage publications by their students, either jointly or as single authored publications?

Potential supervisors have track records not only as scholars, but also as supervisors. This is also very important in determining whether they are someone you want to work with. Assessing the combination of a potential supervisor's scholarship and supervisory skills will give you a good idea of what your working relationship with them might be like. However, it is just as important to try to get a sense of the person's character and attitude towards supervision in a more personal way. Try to talk to them over e-mail or telephone, or ideally, in person. You will be working closely with this person for a number of years, so something as basic as how well you get along will be surprisingly important. Since the issue in supervision is good “fit,” an honest self-assessment of what you are looking for and what works best for you is also in order.

At the beginning of the study term, supervisors and students should discuss such things as:

* timelines for completion

* forming a Supervisory Committee

* expected work hours, vacation times, research agendas, etc.

* scheduling regular meetings between supervisor and student

* attending departmental seminars, guest lecturers, etc.

* attending academic conferences

* policies on plagiarism

* policies about authorship on papers and intellectual property

The CAGS has developed a Letter of Understanding template that may assist you in these discussions.

Financing a Graduate Education

Most graduate students require financial assistance during their studies. Student financial assistance is available in various forms, including government financial aid (student loans and/or bursaries), and privately funded bursary and scholarship programs, as well as student assistance programs (tuition payments deferrals, emergency funding, food vouchers, etc.) and on-campus work opportunities through work-study programs. Students may also wish to take on teaching or research assistance positions.

Federal agencies such as the Canadian Institutes for Health Research, the Natural Sciences and Engineering Research Council and the Social Sciences and Humanities Research Council as well as provincial agencies are among the primary sources of scholarships and fellowships for these students. Scholarships and fellowships are always tenable for limited periods of time. NSERC, for example, provides a maximum of four years of combined support at the master's and doctoral levels. The maximum funding for a master's program is two years.

9

Business and industry often offer scholarships for study in designated areas. In addition, most graduate programs provide teaching assistantships from university operating funds and research fellowships or stipends from faculty research grants and contracts. Most Canadian universities maintain a database or records of funding sources and publish selective listings in their graduate calendar.

Many (if not all) Canadian universities have a financial aid office to assist students and prospective students in seeking and securing financial assistance to enable them to pursue their education. The Government of Canada also has a comprehensive website explaining the eligibility and application process for government student loans, which students and prospective students may find useful.

At the time of admission into a graduate program, it is essential that students, supervisors, and program administrators have a clear understanding of the financial support obtained, for what purposes, over what period of time, and in return for what services. The need for financial stability in graduate school cannot be overemphasized. Many academically able students have failed because they underestimated the financial drain on their resources and because they had depleted all available sources of support before their studies were complete. It is important that students measure their personal financial needs realistically against these available funds.

Funding Sources

In addition to those listed here, many institutions offer internal awards. Although this list is not exhaustive, here are some of the most common external granting agencies:

Association of Universities and Colleges of Canada – Higher Education Scholarships

https://juno.aucc.ca/wes/?pg=834

Canadian Bureau for International Education

www.cbie-bcei.ca/education-management-services/alphabetical-list

of-programs

Canadian Cancer Society

www.cancer.ca/rese

arch/Grants%20and%20Awards/Ongoin g%20funding.aspx?sc_lang=en

Canadian Institutes of Health Research (CIHR)

www.cihr-irsc.gc.ca

Fondation Baxter & Alma Ricard

www.fondationricard.com

Fonds de la recherche en santé du Québec

www.frsq.gouv.qc.ca

Fonds québécois de la recherche sur la nature et les technologies

www.fqrnt.gouv.qc.ca

Fonds québécois de la recherche sur la société et culture

www.frqsc.gouv.qc.ca

Heart and Stroke Foundation of Canada

www.hsf.ca/research/en/home

IODE Canada War Memorial Doctoral Scholarship

www.iode.ca/War-Memorial-Doctoral

Scholarship.aspx

John and Lois Lamont Graduate Scholarship

         http://www.cfsh.ca/What-We-Do/Scholarships_and_Awards/John-and-Lois-Lamont-Graduate-Scholarship.aspx

10

Mitacs

www.mitacs.ca/funding-opportunities

Natural Sciences and Engineering Research Council of Canada

www.nserc-crsng.gc.ca

Ontario Graduate Scholarships (OGS) / Ontario Graduate Scholarships in Science and Technology (OGSST)

https://osap.gov.on.ca/OSAPPortal/en/A -ZListofAid/PRD1346626.html

Social Sciences and Humanities Research Council (SSHRC)

www.sshrc-crsh.gc.ca/Default.aspx

The International Development Research Centre

www.crdi.ca/EN/Funding/Pages/default.

aspx

Trudeau Scholarships

            http://www.trudeaufounda tion.ca/en/programs/scholarships/applica

tions

Vanier Canada Graduate Scholarships (CIHR, NSERC, SSHRC)

www.vanier.gc.ca/eng/home

accueil.aspx

Moving Along

Acquiring Formal Training and Certifications

Much of the formal training in research-oriented graduate programs is received during the first year in the program. This training varies with the nature of the discipline and the department. In many programs it is customary to provide graduate courses and to examine the students in these courses, usually by written tests or papers. In other programs, the course work is augmented by directed reading or individual study accompanied by periodic evaluation. However, it is generally agreed that the first year should include an introduction to research and should not be entirely spent on formal teaching. Students should begin to participate in research seminars and attend conferences in their discipline as soon as possible.

For research involving human participants, animals or radioactive, biological or hazardous materials and lasers, certification normally must be obtained prior to starting the research. Often, grant funds cannot be released until the relevant certification has been obtained.

Choosing a Research Topic

Once a student is integrated into a program and a faculty member has agreed to be a supervisor, the next matter is the choice of the student's research topic. At the master's level, the topic should be feasible in a predictable period of time and its scope should be reasonable. In departments without doctoral programs the temptation sometimes exists to expand master's theses into mini-doctoral theses, usually at a cost to the students which outweighs the associated benefit. At the doctoral level, the choice of research topic often determines the career path of a student and therefore requires thoughtful planning and expert advice.

11

In some programs, a student may become involved in one of the ongoing lines of research within the department. There is a growing tendency in Canadian universities, encouraged by the federal and provincial research councils, to pursue collaborative research. Graduate students can be the beneficiaries of this trend. The available research topics in such cases are partially predetermined by the existing departmental research programs. The success rate of students in such programs is reasonably high because the research is directly linked to the milestones of the programs.

In other programs, the choice of a research topic may depend more on the advice of a specific supervisor who may have a general idea of several research possibilities. In deciding on a particular research topic, the supervisor should be confident that given hard work and reasonable ability, it is fairly certain that the student will bring the project to a satisfactory conclusion in a predictable period of time. On the other hand, an exciting line of research occasionally presents itself in which the outcome is more uncertain. In these situations the student and the supervisor should have a fallback position in case unexpected difficulties arise.

Setting Milestones

After having chosen a research topic, students should, with the help of their supervisor, make a realistic plan for their research and thesis work which takes into account the departmental and university rules, as well as their own constraints and outside responsibilities. This plan should be endorsed by the supervisor and the departmental graduate studies committee. The CAGS has developed a Letter of Understanding template that may assist you in these discussions.

The plan should establish in writing appropriate milestones which the student should reach at various times. It should be filed with the director of the program and form the basis for regular assessments of progress involving the student, the supervisor, and the department. Students should keep systematic records which enable them to take note of the pace of their progress and of their research activities and related events in an objective, quantifiable way.

Everything tends to take much longer than inexperienced students expect. With the help of their supervisors, students need to plan their time carefully if they are to complete their graduate programs within an agreed period of time. The start of a research project is nearly always slower than students expect. Another common cause of delay is the fact that sometimes the students, or the supervisors, are never satisfied with the accomplished research. They can always think of ways of improving the obtained results. In short, they cannot bring a project to a conclusion. Perfectionism can be a virtue, but students should write up what they have already achieved. With a draft, they would almost certainly see more clearly whether any improvement was actually necessary.

Not infrequently it happens that the collected information or obtained results are inadequate to support a thesis. This inadequacy is often not recognized until the thesis is actually written. Students then have to gather additional information, perform further experiments or calculations, or do more research, usually resulting in a delay of at least six to twelve months. If the accumulation of information depends on seasonal or other unpredictable factors, the delay may be even longer. Essentially this outcome is due to a lack of planning. The role of a department in

12

monitoring research progress is particularly pertinent to minimizing the risks involved in this kind of research.

For doctoral students, there exists a pivotal milestone which determines whether they should continue in a program in the form of their admission to candidacy. This process usually consists of written and oral comprehensive examinations evaluated jointly by several faculty members in addition to the supervisor. The precise nature of the examinations differs considerably from university to university and from discipline to discipline. In some cases the examinations are of a diagnostic nature and serve indeed as the mechanism used to decide whether a student continues in a program. In other cases the examinations are summative and serve to flag gaps in a student's knowledge which need to be filled. In both cases, however, the examinations can be a traumatic experience and students often over-prepare for them. Firm departmental and faculty rules and regulations should be in place to clarify the process.

In a number of disciplines, several universities have introduced the fast track option that allows a student to proceed to a doctoral program from a master's program without completing the master's degree requirements. In addition, some universities also permit talented students in certain disciplines to enter doctoral programs directly from bachelor's programs. In such cases, master's programs sometimes represent a fallback option for students who cannot complete their doctoral programs. It is then up to the graduate faculty of a university to specify the exact conditions under which a doctoral candidate can enter a master's program in the same field, and what requirements must be met in order to obtain a master's degree in place of a doctorate.

Finishing Up

Analysis, Synthesis, and Writing

Often students define the thesis process in terms of researching, then writing. They are proud of the fact that they have achieved their research objectives and that all that remains is to write up the thesis. Several years later they have still not finished. The problem is that research is generally fun and relatively easy once the project has been defined. In contrast, writing is always demanding, and it is especially demanding when it has not been done for the entire period of research. For this reason, students should be encouraged to combine researching and writing at all times. It is particularly difficult to combine the writing up of a thesis with full-time employment and students should be encouraged and given the means to complete their thesis before leaving the university.

Two particular points must be mentioned here. First, the thesis should be no longer than necessary. It should demonstrate that the student understands the background to the research, explain clearly the methods used, present the results, and discuss the findings within an appropriate framework. Verbosity and padding should be avoided at all stages; they detract from the issues at hand and provide easy targets for criticism by examiners.

Secondly, unless the student is a particularly gifted or experienced writer, the use of one of the many books that are available on good writing will likely improve the thesis. There is more in

13

this than making the thesis a pleasure for the examiners to read. Unclear writing is frequently a reflection of unclear thinking, whereas students who write clearly soon discover that a problem of expression often arises from a lack of understanding.

Graduate faculties and departments usually have specific guidelines and regulations governing the preparation of theses. Before starting to write a thesis, students should therefore familiarize themselves with the formal requirements which a thesis must meet. Most universities will accept a thesis that is a series of articles written in the publication format for that discipline.

One of the basic requirements of a doctoral thesis is that it be original. At the doctoral level, a student's contribution must always be in the form of a substantial advancement of knowledge. The student should have been trained as a scholar and thinker who is able to place this new knowledge convincingly and eloquently in a broader conceptual context. The student should also feel confident to guide the research of other students in the same field.

Presenting and Publishing

All research students, both master's and doctoral, should be encouraged by their supervisors to make presentations, participate in conferences and submit manuscripts to journals, often starting with research notes. The many good results of such activities include greater self-confidence, a better perspective on the quality and meaning of their research, and more visibility in the job market. They also help students to acquire a variety of skills which are necessary for a career in research or in research management. Students sometimes do not realize that colleagues may be more interested in the wider aspects of the project and its impact on the whole body of knowledge than in their raw results. For these reasons, students should be given the opportunity, particularly toward the end of the period of research training and while writing up their results, to present the results of their research in a public forum, both for criticism and enrichment.

A Note about Intellectual Property Rights

Students must receive proper recognition by their supervisors for contributions made in

publications before and after the defence of a thesis. This is particularly crucial where a student's research is part of a larger team project, and where related results emanating from the larger project have already been published, either jointly by the students and their supervisors or by other members of the team. There should be a very clear departmental policy which regulates the respective rights of students, supervisor, and research collaborators to publish results of joint research.

Another issue which sometimes arises is whether a student actually has the intellectual property right to previously published material. It may happen that the copyright to research articles belongs to a scientific journal or publishing house and students must obtain written permission if they wish to include reprints in a thesis and subsequently copyright the thesis. In situations where a thesis consists entirely of previously published material or is a work of art, the regulations and

14

procedures for the examination of such theses should be established in writing at the time of admission of the student to the program.

In the case of research of immediate or even prospective commercial value, or where the dissemination of knowledge is being delayed because of the proprietary nature of the results, the confidential nature of the thesis defence raises additional ethical questions which the university should anticipate. In these and similar situations, the university regulations should also spell out unequivocally the extent of a student's right to restrict publication of research results, while still meeting the degree requirements.

Questions about authorship and credit for research to be carried out should be anticipated and settled early in the program within the context of departmental guidelines and policies with your supervisor. In the case of collaborative and team research, it is often difficult to isolate the original contributions of individuals from the project as a whole. In such cases it is particularly important to be able to refer to the specifically agreed and recorded objectives which each team member was required to attain, and to have a record of seminar and conference presentations which document the contribution of individual researchers.

Additional Living Considerations

Living Expenses

From food to accommodation, clothing and transportation, living costs will vary by location. For instance, in Toronto, accommodation can cost between $7,300 and $14,000 per year (http://cie.utoronto.ca/Coming/Living-Here/Cost-of-Living.htm#cost).

Is a vehicle required? Is public transportation sufficient? These factors will also impact the student’s budget. For a graduate student with a family, there are other expenses considerations. The Graduate Student Association at the University of Waterloo has prepared a sample budget for a typical graduate student with a family.

Housing

Finding a place to live can be both exciting and challenging for new students. Many universities have housing geared to upper-year and graduate level students and this may be the first consideration for students new to a city. In addition to being on-campus, residence offers other social and academic supports to residents. University-owned apartments are also often close to campus and can offer additional benefits to students.

Some students choose to live off-campus. A visit to the off-campus housing office can assist students in finding suitable housing and understanding lease agreements. Students will need to do some legwork to determine which area to live in and whether proximity to campus is a factor in their decision making.

Parental leave

15

A graduate student who is bearing a child or who has primary responsibility for the care of an infant or young child immediately following a birth or adoption is eligible for parental leave. Students who are pregnant or considering having a child or taking parental leave should review the specific guidelines related to requests for maternity/parental leaves at his or her particular institution.

Childcare

There are many childcare options and they depend on what type of care your child needs. It is important to ask yourself questions such as:

0 When will you need child care?

0 Do you want your child in a home-based program or child care centre?

0 Should you choose a program near your home or school?

Child care is available at many institutions and each will have different care options ranging from full-time to drop-in options. The Province of Ontario provides a good guide to choosing the right child care for your child(ren): http://www.edu.gov.on.ca/childcare/finding.html

Most regions have childcare subsidy programs available, and it may be worthwhile to investigate whether your income and child care needs meet the criteria for the program. It is important to keep in mind that there may be wait lists for funding and childcare spaces may not be immediately available.

Some institutions offer a child daycare subsidy for graduate students in order to help offset the cost of childcare for graduate students. For instance, the University of Alberta offers one such subsidy, to a maximum of $500 per child per fiscal year (to a total maximum of $2,000 in each fiscal year).

Questionnaires

The purpose of this booklet was to identify key aspects of the dynamic relationship between graduate students, supervisors and departments. The focus was on the presentation of a suitable framework in which students and professors could interact with a good measure of predictable success. The following questions are intended to highlight the main points of the discussion.

For Students

* Have you assessed your financial needs during your studies and do you have a financial

* contingency plan?

* Do you have a written commitment from your department which specifies what financial support you will receive during your studies, for what purposes, over what period of time, and in return for what services?

16

* Have you made a plan for your research which includes achievable milestones and a timetable for achieving these milestones?

* Have you made a plan for your research which includes achievable milestones and a timetable for achieving these milestones?

* Have you discussed your research plan with your supervisor and agreed on the milestones and a timetable?

* Are you keeping systematic records of your work and results, and are you able to answer questions on the milestones achieved?

* What progress have you made towards your degree in the last few months?

* Have you written a draft of any portion of your thesis for which you have completed the research, and are there tables, figures or other matters which you could prepare at this time?

* Have you discussed your research results and draft with others, and do they find your written work clear and articulate?

* What is your timetable for completing the remaining phases of your research and for writing up your thesis?

* What are the remaining requirements for your degree and when do you expect to graduate?

For Supervisors

* Are your students' research topics well-defined, realistic and manageable within the agreed timeframes?

* Have you discussed different management strategies and methodological approaches with your students after having decided on their research topic?

* Have you set up a schedule of regular meetings with your students in order to monitor their progress in relation to their research plan?

* Do you have a mechanism for refining your students' research topics in the early stages of their program?

* Have you provided your students with guidelines on the appropriate length of a thesis in your field?

* Have you provided your students with guidelines on writing up and presenting their research?

* Do your students keep detailed records of their work and do you check these records periodically to see whether they are systematic and adequate?

* Are you familiar with your students' milestones for the next few months?

* Have you provided your students with the opportunity to give seminar and conference

* presentations on their research?

* Have you discussed with your students the question of intellectual property rights and credit for collaborative research?

For Departments

* Do you provide your students with written statements specifying what scholarships, fellowships, teaching assistantships or research assistantships they will receive during their studies?

* Do you have a document describing the responsibilities of a thesis supervisor?

* How do you ensure a good match between supervisors and prospective students?

* Do your students have a research plan, deposited with the department, listing the objectives of their research program and identifying a critical path for achieving them?

* Do your students have to present reports at regular intervals which are assessed by members of the department other than the supervisor?

* Do your students, supervisors, and the graduate studies committee meet on a regular basis to assess the students' difficulties and progress?

* How do you ensure that a student's timetable for writing a thesis and completing the degree requirements is realistic?

* Do your students have to give seminar and conference presentations on their work?

* Do you have guidelines on the respective roles of co-supervisors of a thesis?

* Do you have guidelines on collaborative research?

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References

Bayard, J., & Greenlee, E. (2009). Graduating in Canada: Profile, labour market outcomes and student debt of the class of 2005 (81-595-MIE2009074). Retrieved from Minister of Industry website: http://www.statcan.gc.ca/pub/81-595-m/81-595-m2009074-eng.pdf

Schulich School of Medicine & Dentistry, The University of Western Ontario. (2010, April). Department of Physiology and Pharmacology Graduate Student Handbook. Retrieved May 22, 2012 from: http://www.uwo.ca/physpharm/forms/Graduate%20Studies%20Handbook%20Jan%2020 11.pdf

UTM Career Centre. (2012, September). Considering Grad School (Tip Sheet). Retrieved from UTM Career Centre website:

http://www.utm.utoronto.ca/careers/pdf/consideringgradschool.pdf

University of Waterloo (2011). A Guide for Graduate Research and Supervision at the University of Waterloo. Retrieved from: https://uwaterloo.ca/graduate-studies/sites/ca.graduate-studies/files/uploads/files/A%20Guide%20for%20Graduate%20Research%20and%20Su pervision%20at%20the%20University%20of%20Waterloo%202011_2.pdf

19

Tips and Tricks

Toner Cartridges

When manufacturing our products we place great emphasis on

consistent high quality and functionality. Despite this, it can sometimes

be the case that the printed image looks different from what you

wanted it to. Here you will find a few tips which you can use to improve

the printed image. We assume that you have already followed the

instructions in the user manual.

Page 1 of 5

General tips for using toner cartridges:

Maintenance and cleaning: 

In order to maintain consistent printing quality, it is very important to

ensure regular cleaning and maintenance of the printer. During

printing, toner powder accumulates in the printer and can lead to

contamination of the heater and the laser or spoilt printouts.

Firmware: 

Time after time, the original manufacturers are changing the firmware

for printers and provide firmware-updates. After downloading and

installing the software it can lead to cartridges which had previously

worked fine suddenly no longer being accepted by the printer. KMP

tries to counteract this by working closely with chip suppliers.

Combining original and KMP toners:

It is possible to use both a mixture of original and KMP cartridges and

to replace original cartridges with KMP products, or vice versa. In the

case of colour toner there may be slight colour variations.

When using a mixture of cartridges from other alternative

manufacturers there may be significant variations. These occur

frequently with printers working with a separate developer. Waste toner

from the last toner cartridge may remain in the developer and may be

mixed with the toner from the new cartridge. If the characteristics of

these toners differ too much, undesirable colour deviations may occur.

After several printouts (the number of which depends on the printer),

the colour reproduction should improve, which means as soon as the

amount of waste toner in the developer drops below a certain share

and falls further. In this way, the colour fidelity of the KMP cartridge will

attune over time.

Differences between various components and

cartridges: 

Drum:

Page 2 of 5

Some printers (e.g. by HP) are operated with cartridges which already

have an integrated photoconductor (drum).

With other printers (e.g. by Brother) the toner tank and drum (drum,

unit) are separate from each other. The drums have to be reset after

replacement, usually by pressing a key combination on the printer. You

will find directions for this in the manual for the printer and in the

accompanying instructions.

Chip:

Some cartridges have a chip. This is responsible for detection and

page yield.

Colour toner:

The toner powder for these cartridges is usually chemically produced.

The shape is spherical and very fine. There are negatively and

positively charged colour toners.

Monochrome toner:

The toner powder has a crystalline form similar to sand.

Seal:

The seal separates the toner tank from the rest of the cartridge. In the

case of all cartridges with a seal, this must be removed before

inserting. This is a plastic strip which sticks out from the side of the

cartridge. If the seal is not removed, you will not be able to print.

Versions:

KMP Premium Quality cartridges are high quality toner cartridges. All

wearing parts are replaced, a new OPC is built in and high-quality toner

is used. The KMP premium quality is also standard for the KMP HC

and XXL versions.

HC and XXL are versions of toner cartridges with higher page yields.

Some cartridges therefore have bigger toner tanks and look slightly

Page 3 of 5

different. Please check the compatibility list to see whether your printer

is suitable for these versions.

Economy is a very affordable option, in which only the toner is refilled.

No other parts of the cartridge are replaced.

XVantage cartridges are another very affordable option. A new OPC is

built in. For these cartridges we only guarantee text quality. For graphic

printouts its suitability is limited.

There is no toner on the paper after changing 

the cartridge: 

>Please check whether the seal on the cartridge has been removed.

>Printers in which the toner tank and drum are separate must first be

refilled with toner. Please refer to the instruction manual of your device.

>If there is no toner left in the drum, the printer automatically refills the

drum. This takes some time. Some printers cannot print during this

time. Other printers only provide an incomplete printout. Please be

patient.

Ghost images on the printout: 

Ghost images are mirror-image text or graphic reflections on the

printout. These are a result of contamination or a defect to the laser or

the heater.

Cartridges are not accepted by the device after

being inserted: 

>Please check whether the cartridge is suitable for your printer. You

will find information about this on the KMP packaging and at

www.kmp.com under product search.

>When using a colour printer, please check whether the correct colour

cartridge has been inserted in the corresponding compartment.

>Please check whether the cartridge is properly engaged.

Page 4 of 5

>For cartridges with a chip, a defect in this chip could be the reason.

Please also check whether the contacts in the printer which come into

contact with the chip are dirty.

Blotchy printouts: 

>The cartridge could be damaged. Toner comes out uncontrollably

leading to blotches on the printout.

>For some printer models (e. g. Kyocera) the waste toner bottle is not

on the cartridge, it is incorporated into the device separately. If this is

full, the toner spreads around the device and can lead to spoilt

printouts.

>The printer has not been serviced for a long time. This can lead to

flawed printouts.

Recurring blotches or imprints on printouts: 

>The drum could be damaged. The imprints repeat with each rotation

of the drum.

>There may be foreign objects (e.g. paper remnants) in the device.

Page 5 of 5

NEWS RELEASE

UNDER EMBARGO UNTIL JANUARY 7, 2016, 12:01 AM ET

Contact:

Elizabeth Perill

Executive Publisher, Surgery

Elsevier

+ 1 212 633 3833

hmsmedia@elsevier.com 

ISHLT Issues Updated Candidacy Criteria for Heart Transplantation

Experts Publish Guidelines in The Journal of Heart and Lung Transplantation

New York, NY, January 7, 2016 – To determine patient eligibility for heart transplant, the International Society for Heart Lung Transplantation (ISHLT) maintains a list of criteria, first issued in 2006, that acts as a guideline for physicians. A major 10-year update has now been issued and published in The Journal of Heart and Lung Transplantation, which is freely available at www.jhltonline.org.

“The 2016 ISHLT Listing Criteria for Heart Transplantation: A 10-Year Update,” focuses on evolving areas of importance not fully addressed previously, including infectious diseases such as the candidate with HIV and hepatitis, congenital heart disease, and restrictive cardiomyopathies. In addition, all of the original 2006 guidelines have been updated to incorporate newly available information and instances in which evolution in clinical practice demanded significant changes. For practitioners, the update includes 145 references to the recent literature concerning heart transplantation.

This multi-disciplinary effort between the ISHLT Heart Failure and Transplantation, Pediatric and Infectious Disease Councils included 15 task force members from eight nations, and was chaired by Mandeep R. Mehra, MD, Professor of Medicine, Harvard Medical School and Medical Director, Heart and Vascular Center, Brigham and Women’s Hospital, Boston MA, and Editor-in-Chief of The Journal of Heart and Lung Transplantation.

“There are many controversial issues in the guidelines that we have tackled head on including heart transplantation in previously denied conditions (HIV, hepatitis amyloidosis, certain congenital heart diseases) that we now allow or recommend more lenient listing,” noted Dr. Mehra. “The 2006 guidelines were particularly important in that we recommended against an age limit for transplantation or time dependency for patients with previously healed cancers (e.g. waiting a minimum of five years for freedom from cancers). The new guidelines not only update several of these prior issues, but also tackle the most controversial topics of our times.”

Notable changes to the 2006 guidelines include:

* For overweight patients with heart failure, the criteria now stipulate that physicians should recommend a weight loss program to reduce body mass index (BMI) to less than 35, rather than

the previous target of 30. This somewhat relaxed goal was changed in response to new

evidence-based information and may result in more patients qualifying for transplantation.

* Because new evidence has questioned the predictive accuracy of the Heart Failure Survival Score (HFSS), the ISHLT now recommends that listing patients solely on HFSS criteria should occur, only in situations of indeterminate prognosis.

* Right heart catheterization (RHC) is recommended for all adult candidates in preparation for listing for cardiac transplantation and periodically up to the date of transplantation. The committee now agrees that this periodic RHC is not advocated for routine surveillance in children.

* Use of mechanical circulatory support should be considered for patients with potentially reversible or treatable co-morbidities such as cancer, obesity, renal failure, tobacco use and pharmacologically irreversible pulmonary hypertension with subsequent re-evaluation to establish candidacy.

* Any patient for whom social supports are deemed insufficient to achieve compliant care in the outpatient setting may be regarded as having a relative contraindication to transplant. The benefit of heart transplantation in patients with severe cognitive-behavioral disabilities or dementia (e.g. self-injurious behavior, inability to ever understand and cooperate with medical care) has not been established, has the potential for harm and therefore heart transplantation cannot be recommended for this subgroup of patients.

* Patients with HIV infection, hepatitis, Chagas disease, or even tuberculosis can now be considered as suitable candidates provided certain strict management principles are adhered to by the teams.

# # #

NOTES FOR EDITORS

“The 2016 ISHLT Listing Criteria for Heart Transplantation: A 10-Year Update” by Mandeep R. Mehra, MD (Chair), Charles E. Canter, MD, Margaret M. Hannan, MD, Marc J. Semigran, MD, Patricia A. Uber, PharmD, David A. Baran, MD, Lara Danziger-Isakov, MD, MPH, James K. Kirklin, MD, Richard Kirk, MD, Sudhir S. Kushwaha, MD, Lars H. Lund, MD, PhD, Luciano Potena, MD, PhD, Heather J. Ross, MD, David O. Taylor, MD, Erik A.M. Verschuuren, MD, PhD, and Andreas Zuckerman, MD. On behalf of the International Society for Heart Lung Transplantation (ISHLT) Infectious Diseases, Pediatric and Heart Failure and Transplantation Councils. The Journal of Heart and Lung Transplantation, Volume 35, Issue 1 (January 2016), published by Elsevier (DOI: 10.1016/j.healun.2015.10.023). The online version, including supplementary data, is freely available at www.jhltonline.org.

To obtain additional information from the ISHLT regarding this publication, or to arrange an interview with the authors contact Mandeep R. Mehra, MD, at +1 617-732-8534 or mmehra@partners.org.

ABOUT THE JOURNAL OF HEART AND LUNG TRANSPLANTATION

A forum that includes all aspects of pre-clinical and clinical science of the failing heart and lung

The Official Publication of the International Society for Heart and Lung Transplantation, The Journal of Heart and Lung Transplantation (www.jhltonline.org) brings readers essential scholarly and timely information in the field of cardiopulmonary transplantation, mechanical and biological support of the failing heart, advanced lung disease (including pulmonary vascular disease), and cell replacement therapy. Importantly, the journal also serves as a medium of communication of pre-clinical sciences in all these rapidly expanding areas.

With an Impact Factor of 6.650, The Journal of Heart and Lung Transplantation (www.jhltonline.org) is ranked 1st of 25 journals in the Transplantation category, 9th of 123 journals in the Cardiac and Cardiovascular Systems category, and 6th of 57 journals in the Respiratory System category in the 2014 Journal Citation Reports®, published by Thomson Reuters.

ABOUT THE INTERNATIONAL SOCIETY FOR HEART AND LUNG TRANSPLANTATION (ISHLT) The International Society for Heart and Lung Transplantation (www.ishlt.org) is a multidisciplinary, professional organization dedicated to improving the care of patients with advanced heart or lung disease through transplantation, mechanical support, and innovative therapies via research, education, and advocacy. ISHLT was created in 1981 at a small gathering of about 15 cardiologists and cardiac surgeons. Today, ISHLT has over 3000 members from over 45 countries, representing over 15 different disciplines involved in the management and treatment of end-state heart and lung disease. This multinational, multidisciplinary mix is one of the biggest strengths of the Society. It brings greater breadth and depth to ISHLT's educational offerings and provides an exceptional environment for networking and exchanging information on an informal basis.

ABOUT ELSEVIER

Elsevier (www.elsevier.com) is a world-leading provider of information solutions that enhance the performance of science, health, and technology professionals, empowering them to make better decisions, deliver better care, and sometimes make groundbreaking discoveries that advance the boundaries of knowledge and human progress. Elsevier provides web-based, digital solutions — among them ScienceDirect (www.sciencedirect.com), Scopus (www.scopus.com), Elsevier Research Intelligence (www.elsevier.com/research-intelligence), and ClinicalKey (www.clinicalkey.com) — and publishes over 2,500 journals, including The Lancet (www.thelancet.com) and Cell (www.cell.com), and more than 33,000 book titles, including a number of iconic reference works. Elsevier is part of RELX Group plc (www.relxgroup.com), a world-leading provider of information solutions for professional customers across industries. www.elsevier.com 

TransUnion Direct

Administrator Guide

Administrator Guide Topics

Welcome to TransUnion Direct

2

Your Role and Responsibilities

5

Getting Started

6

Managing Users

8

Managing a Company

15

Managing Locations

17

Help Resources

21

© 2014 TransUnion LLC All Rights Reserved 555 West Adams Street, Chicago, IL 60661 April 30, 2014

The use of this document is intended for the exclusive use of the individual or entity to which it was provided and should not be disclosed to any third party without TransUnion’s prior written consent. No part of this publication may be stored in a retrieval system, transmitted,

reproduced, or distributed in any form or by any means, electronic or otherwise, without the explicit prior written permission of TransUnion. 1

Administrator Guide Topics

Welcome to TransUnion Direct

Welcome! Your organization has asked you to be an administrator for TransUnion Direct — a quick, easy-to-use, secure website that allows users to access TransUnion services right from their PC.

Who Should Use This Guide?

This guide is designed for both company and location administrators of TransUnion Direct. This guide will assist you with tasks that you must complete for the users at your organization, including resetting passwords, creating new users, and updating contact information for locations and users.

What You Need to Know

Below are a few concepts that you should be familiar with as you start your administration role on TransUnion Direct.

About User Roles

There are several available user roles on TransUnion Direct. A user often has several user roles. They include both company-level and location-level roles:

Company-level Roles

* Company Administrator — This role manages the site at the company level and at the location level and can also administer to all users within the company.

* Company Activity Report User — This role has the ability to run activity reports featuring activity data for all users and all locations within the company.

* Batch User — This role can submit files containing multiple subjects (aka batch orders) through the Portfolio Services navigation tab or via the “Place a Batch Order” option in the Individual Services navigation tab.

Location-level Roles

* Location User — This role can place orders for services via the Individual Services tab.

* Location Administrator — This role manages the site at the location level and can administer to the users within that location only.

* Location Activity Report User — This role has the ability to run activity reports featuring activity data for that location or users within that location.

To assign user roles, see Update a User’s Company Roles or Update a User’s Location Roles.

April 30, 2014 2

Administrator Guide Topics

About Subscriber Codes

Subscriber codes are TransUnion-generated numbers that are used to track and manage the services your company purchases from TransUnion.

Each location should have at least one subscriber code assigned to it. When a user logs into TransUnion Direct, the user’s default location and subscriber code take effect. The user can always see his or her current location and subscriber code on the left side of the page, under the Subscriber Settings heading.

About Companies and Locations

Companies are organizations that have signed a contract for services with TransUnion. A company can maintain multiple locations under its umbrella.

Company administrators define locations in TransUnion Direct. Locations are usually based on departments, such as human resources, or actual physical locations, such as a local bank branch. Users and subscriber codes, which are also under the company umbrella, are associated with locations. Thus, users that are associated with a location have access to the subscriber codes associated with that location. Both users and subscriber codes may be assigned to more than one location.

The following graphic demonstrates the relationships between companies, locations, subscriber codes, and users. After users and subscriber codes are assigned to locations in the graphic below, User B, who is in the Human Resources location, has access to Subscriber Codes 1 and 3, while Users A and C, in the Sales locations, have access to Subscriber Code 2.

Security

TransUnion Direct is designed to ensure a high level of security to protect the confidentiality of your organization’s orders. Below are security features you should be aware of.

* Secure Login — TransUnion Direct prompts users to change their passwords every 90 days. Users can reset their own passwords. (Instructions can be found in the TransUnion Direct User Guide.) You can also reset passwords for users through the Administration navigation tab. See Reset a User’s  Password.

April 30, 2014 3

Administrator Guide Topics

* Challenge Question — Users will be asked to set up a challenge question and response when they log in to TransUnion Direct for the first time. The challenge question provides extra security to the user’s account and to the orders placed on the site. The user will be prompted to provide the response to the challenge question whenever he or she tries to view details of past orders, or when he or she resets his or her password. If a user forgets the challenge question, he or she can request to receive the question via email. (This option is available wherever a challenge response is requested.) If a user forgets the challenge response, you can reset the challenge question and response. See Reset a User’s  Challenge Question and Response.

* Timed Log Out — If you are logged in but inactive for 25 minutes, a time-out warning appears, asking you if you would like to stay logged into the session. If you do not respond, you will be logged out of the session after another five minutes of inactivity. Any orders you placed during that session will be available in the Order History.

* Digital Certificate — Administrators are required to have a digital certificate. Your organization may also choose to require that users connect to TransUnion Direct using a digital certificate. The digital certificate acts as a pass key on the web browser for a specific workstation and user ID and provides extra security for transactions. Digital certificates cannot be shared by multiple user IDs. If a user uses multiple workstations, the user should download a copy of his or her digital certificate on each PC.

When setting up a location, the company administrator determines whether a digital certificate must be downloaded and whether the certificate download will require an administrator’s assistance. If a digital certificate is required, then each user associated with that location will need to download a digital certificate when logging into TransUnion Direct for the first time. Instructions for downloading a digital certificate can be found online at TransUnion Direct.

April 30, 2014 4

Administrator Guide Topics

Your Role and Responsibilities

As the administrator of your company and/or location, you are the first level of support for users at your company.

The next table lists company administrator and location administrator tasks.

Task

Why It’s Important

Who Can Do This Task?

Manage locations, including:

* Create new location(s).

* Assign subscriber codes to a location.

* Unassign subscriber codes from a location.

* Remove locations from a company.

By keeping location information up to date, you ensure that users always have access to the correct locations and subscriber codes.

Company administrator

Manage company and location administrator accounts, including:

* Create additional administrators.

* Upgrade a user to an administrator role or to a company activity report user role.

* Assign users to additional

locations.

By managing administrator roles in a timely manner, you help ensure that proper personnel have access to administrator functions.

Company administrator

Manage users within your location, including:

* Create new users.

* Reset user passwords.

* Disable, enable, or terminate user accounts.

Assign and unassign users to a location user or location activity report user role.

By keeping user information up to date, you ensure that users have appropriate access to TransUnion Direct, ensuring that orders are placed securely and reducing the risk of fraud.

Company administrator

Location administrator

Manage their locations, including:

* Designate locations as requiring digital certificates and designate whether installation assistance for digital certificates is required at a location.

* Edit location address.

Designate or change the default subscriber codes for a location.

By keeping location information up to date, you ensure that users always have access to the correct locations and subscriber codes.

Company administrator

Location administrator

April 30, 2014 5

Administrator Guide Topics

Getting Started

If you are set up as a company administrator, you will receive two emails from TransUnion Direct, one with your user ID and another with a temporary password.

If you are a location administrator, you will receive an email from TransUnion Direct about your role as an administrator. You should expect to receive your user ID and temporary password from another administrator.

Before logging into TransUnion Direct for the first time, check the system requirements, which are listed in the TransUnion Direct User Guide, to ensure that your organization’s workstations meet these requirements.

The first time you log in, a simple, four-step “Getting Started” process will assist you in setting up your user account, including the download of a digital certificate. After you log in, do the following:

1. Check your setup in the Administration section of TransUnion Direct by clicking on the Administration navigation bar (blue bar at the top of the page) to display the Administration options:

- Click Manage Company to make sure the subscriber codes you requested are listed.

- Click Manage Locations to review the location that was set up. If necessary, you may add new locations.

2. Click Manage Users to review the user IDs created in your organization. You may create new user IDs for employees within your organization who will be using TransUnion Direct.

After you create user IDs, inform each new user of his or her user ID and temporary password.

Note: Users can download the TransUnion Direct User Guide from the Resources section, by clicking the Help Center link on any page. The guide contains instructions on getting started, placing orders, and more.

3. If you’ve chosen to require digital certificates for a location, you may need to assist users in downloading the certificates.

April 30, 2014 6

Administrator Guide Topics

Accessing Administration Functions

TransUnion Direct features an Administration tab on the Home page to assist you in handling the management of users and locations.

* Manage an Existing User — Search by User Name or User ID to find the user account your need to update. Use the Task option to jump to the Reset Password, Update Details, Update Role, Disable, and Terminate functions immediately. You can also start the process of creating a new user.

* Manage an Existing Location — Search by Location Name, User ID, or Subscriber Code to find the location you need to update. You can also start the process of creating a new location.

April 30, 2014 7

Administrator Guide Topics

Managing Users

In the Manage Users area of TransUnion Direct, you can do the following:

* Create a new user.

* Update details of an existing user.

* Disable or terminate an existing user account.

* Assign or unassign a user to a location and location roles.

* Reset a password.

* Reset a challenge question.

* View user audit information.

Create a New User

Role: Company Administrator, Location Administrator

On the Home page, click Create a new user from the Administration tab. The Create New User wizard leads you through the process.

Step 1. Enter User Details

Enter the name and contact information for the user. If the user should have a specific user ID, check the request box and enter a requested user ID. Click Next.

Step 2. Assign Company Roles

Role: Company Administrator (Location Administrators may assign the batch user role only)

If the user should be assigned the role of company administrator, company activity report user, or batch user, select Yes. For descriptions of the user roles, see About User Roles.

If you select Yes, the Company Roles control panel appears. Select the appropriate roles for that user. Click Next.

April 30, 2014 8

Administrator Guide Topics

Step 3. Assign Location Roles

Assign the appropriate location role(s) for the user, including location user, or location administrator, or location activity report user, at the appropriate location(s). For descriptions of the user roles, see About User Roles. You must select at least one role for at least one location. Click Next.

Note: If you are a location administrator, you can only assign users to the location for which you are an administrator.

Step 4. Confirm User Information

Please review the details of the user. To make any changes, click the appropriate Edit button.

To save this user and retrieve login information immediately, click Save.

To save this user and create another user immediately before retrieving login information of all new users, click Save/New.

Note: A success message on the Company Users page displays the new user’s user ID and temporary password. It is your responsibility to securely communicate the user ID and password to the user. You will be able to access the temporary password for this user ID in the User List until the user has logged in and selected a password of his own.

Update User Name and Contact Information

Note: If you are a location administrator, you can update contact details for users in your location only. Users in other locations will need to contact the administrators of their locations. In addition, you cannot update the information for company administrators in your location. Company administrators who need assistance need to contact another company administrator for assistance.

Role: Company Administrator, Location Administrator

Users can update their name and contact information in the Manage Profile section of TransUnion Direct. You can update a user’s name and contact information by following the steps below:

1. In the Administration tab on the Home page, search for the user or click View All Users to see the entire list of users that you administer.

2. Click the User ID of the user whose details you need to update.

April 30, 2014 9

Administrator Guide Topics

3. In the User control panel, click Update.

4. On the Update Contact Information page, update the name, email address, and telephone, as necessary.

5. Click Save.

Tip: Next time, you may choose a faster way to update a user’s contact information. In the Administration tab on the Home page, select the Task option Update Details and search by User ID. The Update Contact Information page for that user will appear immediately so that you can update the user’s information.

Disable or Terminate a User ID

Role: Company Administrator, Location Administrator

Disabling a user ID is not permanent. The disable option is used to temporarily stop access for a user, such as in the case of a leave of absence. The user ID may be enabled at any time, and the user’s current password will still be applicable.

When you terminate a user ID, that user ID cannot be restored. If an employee leaves your company, TransUnion recommends that you promptly terminate the user’s ID to TransUnion Direct.

1. In the Administration tab on the Home page, search for the user or click View All Users to see the entire list of users that you administer.

2. To disable a user ID, find the user ID that needs to be disabled. Click the Disable icon for that user ID.

3. On the Disable User page, review the user’s details. Complete the process by clicking Disable.

Note: If you need to terminate a user ID, click the Terminate icon . On the Terminate User ID page, review the user details and complete the process by clicking Terminate.

Tip: Next time, you may choose a faster way to disable or terminate a user ID. In the Administration tab on the Home page, select the Task option Disable and search by User ID. The Disable User page for that user will appear immediately so that you can disable the ID. If you need to terminate a user ID, select the Task option Terminate.

April 30, 2014 10

Administrator Guide Topics

Enable a User ID

Role: Company Administrator, Location Administrator

When you enable a user ID, the user’s most recent password is still applicable.

1. In the Administration tab on the Home page, search for the user or click View All Users to see the entire list of users that you administer.

2. Find the user ID that needs to be disabled. Click the Enable icon for that user ID.

3. On the Enable User page, review the user’s details. Complete the process by clicking Enable.

Assign a User to a Location

Role: Company Administrator

To assign a user to a location he or she is not yet a part of, follow the steps below:

1. In the Administration tab on the Home page, search for the user or click View all users to see the entire list of users that you administer.

2. Click the User ID to proceed to the User Details page.

3. Click the Roles tab.

4. Click Assign. The list of all available locations appears. Find the location to which you need to assign the user.

5. Check the appropriate user roles for that location. Click Assign.

The user is added to the location’s user list.

Tip: Next time, you may choose a faster way to assign a user to a location. In the Administration tab on the Home page, select the Task option Update Role and search by User ID. (Sometimes “User” is upper case and sometimes lower case; should be consistent.) The User Roles page for that user will appear immediately so that you can assign the user to locations.

April 30, 2014 11

Administrator Guide Topics

Update a User’s Location Roles

Role: Company Administrator (For a user already assigned to a location, the location administrator may assign and unassign the roles of location user and location activity report user.)

To update a user’s roles for a location that the user is already assigned to, follow the steps below.

1. In the Administration tab on the Home page, search for the user or click View all users to see the entire list of users that you administer.

2. Click the User ID for the user who needs to be assigned a new role.

3. On the User Details page, click the Roles tab.

4. Click Update next to the location that the new role is associated with.

5. Check the appropriate roles. You can also unassign location roles from this user at the same time by unchecking roles.

6. Click Save.

Note: To unassign a user from a location (remove this user from all roles at this location), select the checkbox next to the location and click Unassign. On the Unassign User Location Roles page, click Unassign to complete the process.

Tip: Next time, you may choose a faster way to assign a user to a location. In the Administration tab on the Home page, select the Task option Update Role and search by User ID. The User Roles page for that user will appear immediately so that you can update the user’s location assignments.

Update a User’s Company Roles

Role: Company Administrator

A company administrator can update another company administrator’s roles.

1. In the Administration tab on the Home page, search for the user or click View all users to see the entire list of users that you administer.

2. Click the User ID for the user who needs to be assigned a new role.

3. On the User Details page, click the Roles tab.

April 30, 2014 12

Administrator Guide Topics

4. Click Update in the Company Roles section.

5. Check the appropriate roles. You can also unassign company roles from this user at the same time by unchecking roles.

6. Click Save.

Note: To remove all company roles for this user, uncheck all the company roles and click Save.

Reset a User’s Password

Role: Company Administrator, Location Administrator

Follow the steps below when you need to reset a user’s password.

1. In the Administration tab on the Home page, search for the user or click View all users to see the entire list of users that you administer.

2. Click the Reset Password icon for the user.

3. On the Reset User’s Password page, review the user’s details. To complete the process, click Reset.

Note: The user’s password is reset to a new temporary password. You will need to communicate this temporary password to the user. You will be able to view this temporary password until the user changes it. After the user logs in with the temporary password, he or she will be prompted to enter a new password. The user’s previous password cannot be restored.

Tip: Next time, you may choose a faster way to reset a user’s password. In the Administration tab on the Home page, select the Task option Reset Password and search by User ID. The Reset User’s Password page for that user will appear immediately so that you can reset the password.

April 30, 2014 13

Administrator Guide Topics

Reset a User’s Challenge Question and Response

Role: Company Administrator, Location Administrator

If a user cannot recall the response to his or her challenge question, even after requesting the challenge question by email, you may reset the challenge question. Follow the steps below when you need to reset a user’s challenge question.

1. In the Administration tab on the Home page, search for the user or click View all users to see the entire list of users that you administer.

2. Click the User ID for the user.

3. On the User Details page, click Reset Challenge Question.

4. On the Reset User Challenge Question page, review the user’s details. To complete the process, click Reset.

Note: The user’s challenge question has been cleared. The user will be prompted to select a new challenge question and response the next time the user logs in.

April 30, 2014 14

Administrator Guide Topics

Managing a Company

In the Manage Company area of TransUnion Direct, you can do the following if you are a company administrator:

* View details on your company.

* Customize the display name of subscriber codes.

* Manage company-level roles for existing users.

View Company Information Details

Role: Company Administrator

1. From the Home page, click the Administration option in the menu bar at the top of the page, and then click Manage Company.

2. You can view the company name in the Company tab, subscriber codes in the Subscriber Codes tab, and users who have been assigned company-level roles in the User Roles tab.

Customize the Display Name of Subscriber Codes

Role: Company Administrator

Selecting the correct subscriber code will be easier for your users if you customize the display name of the code to a name that will make sense to them. For example, for a subscriber code that is used for ordering collections services, change the display name to Collections Services.

1. From the Home page, click the Administration option in the menu bar at the top of the page, and then click Manage Company.

2. On the Company Details page, click the Subscriber Codes tab. The list of subscriber codes is shown, along with each display name and active products that are linked to each code.

3. Click the Update link for the subscriber code with the display name you want to update.

April 30, 2014 15

Administrator Guide Topics

4. On the Update Subscriber Code page, enter the new Display Name in the Custom Subscriber Display Name box.

5. Click Save.

Manage Company-level Roles for Existing Users

Role: Company Administrator

1. From the Home page, click the Administration option in the menu bar at the top of the page, and then click Manage Company.

2. On the Company Details page, click the User Roles tab. The list of users who are assigned company-level roles appears.

3. To remove all company-level roles from a user, click the checkbox next to that user’s name and then click Unassign. On the Unassign Company User Roles page, complete the process by clicking Unassign.

4. To add user roles or unassign some of the user roles from a user, click Update next to that user’s name. On the Update Company User Roles page, select the roles the user should be assigned (or unassigned) and click Save.

Note:

* For descriptions of these roles, see About User Roles.

* Location administrators can assign the batch user role as well.

April 30, 2014 16

Administrator Guide Topics

Managing Locations

In the Manage Locations area of TransUnion Direct, you can do the following:

* Create a new location for your company.

* Update details of an existing location.

* Update the certificate and/or installation status of a location.

* Assign a subscriber code to a location.

* Unassign a subscriber code from a location.

* Remove a location.

Create a New Location

Role: Company Administrator

In the Administration tab on the Home page, click Create a new location. The Create New Location wizard leads you through the process.

Step 1. Enter Location Details

Enter the name and address of the location. The name you enter will be the location name displayed on the site.

Under Current Settings, select whether a digital certificate and installation assistance of that certificate is required. Click Next.

Note: If you are unsure of whether a digital certificate or installation assistance is required, contact your information technology or information security departments.

Step 2. Select Subscriber Codes

Select the subscriber code(s) that should be available to this location. You must select one subscriber code as the default. Click Next.

Step 3. Assign User Roles

Select at least one user role for each user you want to assign to this location. Assign users to location roles on the Assign User Roles page. Click Next.

April 30, 2014 17

Administrator Guide Topics

Note: A user can be assigned to multiple roles, including location user, location administrator, and/or location activity report user. For definitions of these user roles, see About User Roles. If a user should not be assigned to this location, do not make any selection for that user.

Step 4. Confirm Location Information

Review the information you entered for the location, including name, address, subscriber codes, digital certificate requirements, and users and their assigned roles. Click Edit to modify any of your entries.

To save the location, click Save. The location is added to the Company Locations list. To save this location and add another location immediately, click Save / New.

Assign or Unassign Subscriber Codes for a Location

Role: Company Administrator

After you create a location, you may need to assign or unassign subscriber codes from that location.

Note: If a new subscriber code is added to your company, a company administrator must assign it to the appropriate location. None of your users can access/ use a subscriber code before it is assigned to a location.

1. In the Administration tab on the Home page, search for the location or click View All Locations to see the entire list of locations that you administer.

2. From the Company Locations list, click the name of the location you want to update. The Location Details page opens. Click the Subscriber Codes tab.

3. To assign another subscriber code to the location, click the Assign button. Select the checkbox next to that subscriber code and click Save.

4. To unassign a subscriber code from this location, click the Unassign link next to that subscriber code. Review the details of the subscriber code. Click Unassign to complete the process.

Update the Name and Address of a Location

Role: Company Administrator, Location Administrator

1. In the Administration tab on the Home page, search for the location or click View All Locations to see the entire list of locations that you administer.

2. From the Company Locations list, click the name of the location you want to update. The Location Details page opens.

3. To update the name and address, click Update on the Location tab.

4. After completing your updates, click Save. The Location tab displays your location and the updated information.

April 30, 2014 18

Administrator Guide Topics

Update the Digital Certificate Settings of a Location

Role: Company Administrator, Location Administrator

1. In the Administration tab on the Home page, search for the location or click View All Locations to see the entire list of locations that you administer.

2. From the Company Locations list, click the name of the location you want to update. The Location Details page opens.

3. To update the digital certificate setting, change the Digital Certificate or Installation Assistance requirement.

4. After completing your updates, click Save. The Location tab displays your location and the updated information.

Remove a Location

Role: Company Administrator

1. In the Administration tab on the Home page, search for the location or click View All Locations to see the entire list of locations that you administer.

2. From the Locations list, click the Remove link next to the name of the location you want to remove.

3. The Remove Location page opens. If one or more subscriber codes or users are linked to this location, you will see a list of abandoned users and a list of abandoned subscriber codes.

Important: If a user is “abandoned,” he or she may not be able to log in. If a subscriber code is “abandoned,” users will not be able to access it.

April 30, 2014 19

Administrator Guide Topics

To maintain a record of these users and subscriber codes that will need to be managed after the location is removed, click the Print icon in the top right corner.

4. Click Remove. The Locations page appears with a success message at the top.

Change the Default Subscriber Code for a Location

Role: Company Administrator, Location Administrator

After you create a location, you may need to set another subscriber code as the default.

1. In the Administration tab on the Home page, search for the location or click View All Locations to see the entire list of locations that you administer.

2. From the Company Locations list, click the name of the location you want to update. The Location Details page opens. Click the Subscriber Codes tab.

3. To change the default subscriber code for a location, click the Set default link next to the subscriber code that should be the default.

4. A success message appears at the top of the page informing you that the subscriber code you selected has been made the default.

April 30, 2014 20

Administrator Guide Topics

Help Resources

TransUnion Direct provides several paths to getting assistance:

* Reset Your Password Online — If you forgot your password or your login is locked, follow the instructions in the TransUnion Direct User Guide.

* Subscriber Central — You can quickly access help information on our online help center, Subscriber Central, which provides FAQs, video tutorials, and user documentation for TransUnion Direct. We’ve also included a form within Subscriber Central entitled “We’re Listening,” which you can use to send us your feedback on the site. To access Subscriber Central, click Help Center: Subscriber Central, which is located under the Resources heading on the left side of every page on the site.

* Email from TransUnion Direct — TransUnion will communicate to you directly about new features, system maintenance times, and more. Look for news in your email inbox and make sure you can receive emails from the email addresses listed in the System Requirements section of the TransUnion Direct User Guide.

* TransUnion Service Desk — You can also call the TransUnion Service Desk at 1-800-813-5604. When calling the Service Desk, please make sure you have the following information: your user ID, subscriber code, and your company’s name.

April 30, 2014 21

DEPARTMENT OF HOUSING

POLICY FRAMEWORK AND IMPLEMENTATION GUIDELINES

FOR

THE PEOPLE’S HOUSING PROCESS (PHP) DELIVERY

MECHANISM

SEPTEMBER 2005

Table of Contents

Glossary of Terms

Executive Summary

1. Policy Framework of PHP 7

1.1 What is the PHP 7

1.2 Legislative Prescripts 7

1.3 Roles of stakeholders 8

1.3.1 National Housing Department 8

1.3.2 Provincial Housing Departments 8

1.3.3 Municipalities 9

1.3.4 Support Organisations 9

1.3.5 Account Administrator 14

1.3.6 Housing Support Centre 16

1.3.7 The Certifier 16

1.3.8 Housing Support Committee 17

1.3.9 The Technical Advisor 18

1.3.10 Beneficiaries 19

2 Funding for PHP 20

2.1 Housing Subsidies 20

2.2 Facilitation Grant 21

2.3 Establishment Grant 22

3. The PHP Implementation Guidelines 24

3.1 Phase 1 Initiating the Project 24

3.2 Phase 2 Management of the Project 32

3.3 Phase 3 Implementation Phase 37

3.4 Phase 4 Project Conclusion 44

Appendices

Appendix A Pro Forma forms for PHP

Appendix B Procurement forms for PHP

Appendix C PHP Process Flow

GLOSSARY OF TERMS

AA Account Administrator

BEE Black Economic Empowerment

CBO Community Based Organisation

BNG Breaking New Ground

HAC Housing Advisory Committee

HOD Head of Department

HSC Housing Support Centre

HSCom Housing Support Committee

HSS Housing Subsidy System

IDP Integrated Development Plans

MEC Member of the Executive Committee

MHDP Municipal Housing Development Plans

MTEF Medium Term Expenditure Framework

NGO Non Governmental Organisation

NDOH National Department of Housing

NHBRC National Home Builders Registration Council

PFMA Public Finance Management Act

PHD Provincial Housing Department

PHDP Provincial Housing Development Plan

PHPT People’s Housing Partnership Trust

PHP Peoples Housing Process

PPP Public Private Partnership

PPPFA Preferred Procurement Policy Framework Act

SHI Social Housing Institutions

SLA Service Level Agreement

SO Support Organisation

EXECUTIVE SUMMARY

1. Purpose

To obtain the Committee’s approval for the:

i. Policy Framework and Implementation Guidelines for the Peoples Housing Process Delivery Mechanism;

ii. Pro-forma documents relevant to the PHP policy; and

iii. Procurement Process and documentation which are applicable to all the remaining Subsidy mechanisms, including the PHP.

2. Background

The National Policy for Supporting the Peoples’ Housing Process, as a housing delivery mechanism, was approved by MIMEC on 11 May 1998. The aim of this policy is to assist qualifying beneficiaries of the Housing Subsidy Scheme, who choose to make a ‘sweat equity’ contribution to their subsidy, by building or being involved in the building of their own homes.

Some of the key principles behind this policy are the establishment of partnerships, the transfer of skills, community empowerment and a process that is people-driven. In addition, this policy also provides beneficiaries with organisational, technical and administrative support for the duration of the project.

In June 1997, the People’s Housing Partnership Trust was established and was mandated to drive the implementation of a comprehensive capacity building programme in support of the PHP delivery mechanism.

During 2003, the People’s Housing Partnership Trust (PHPT) commissioned a review of the performance of the PHP. The final report, released towards the end of 2003, indicated a number of shortcomings in the PHP process that contributed to the PHP not performing in line with Government’s expectations. At the same time, the Department met with a range of roleplayers to identify any shortcomings in the PHP delivery mechanism with a view of enhancing the existing Implementation Guidelines.

The findings of both of these processes showed, among other, that the current policy, as contained in the old Housing Code, is vague and gives raise to Provincial Housing Departments and Municipalities interpreting the policy in a variety of ways that contradicts its original intentions.

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Furthermore, the Comprehensive Plan for the Development of Sustainable Human Settlements (The Plan) now requires the Department to redefine the focus and content of the PHP delivery mechanism, in order to build greater consensus and understanding amongst all stakeholders in the PHP delivery mechanism.

In view of the above, and the requirement that housing programmes should comply with Procurement principles, the enhanced Policy Framework and Guidelines for the Implementation of the PHP Delivery Programme, were developed.

3. Discussion

The attached documentation consists of:

An enhanced Policy Framework that will guide Provincial Housing Departments, Municipalities and other stakeholders to undertake a housing project through the PHP delivery mechanism, including:

a) a description of the legislative and other prescripts that impact on, and regulate the PHP delivery mechanism;

b) a description of the various role-players and their responsibilities; and

c) the allocation and application of the different Housing Subsidy and Grant funding available to beneficiaries in a PHP project.

Implementation Guidelines which deal with the processes and procedures that implementers need to follow when undertaking housing delivery through

the PHP and outlines the capacity building processes to follow; and

In addition, the Guidelines make provision for detailed procurement processes and documentation to be applied in PHP projects, where needed.

4. Recommendation

It is recommended that the Committee approves the attached:

i. Policy Framework and Implementation Guidelines for the Peoples Housing Process Delivery Mechanism;

ii. Pro-forma documents relevant to the PHP policy; and

5

iii. Procurement Process and documentation which are applicable to all

the remaining Subsidy mechanisms, including the PHP.

National Department of Housing

19 September 2005

1. POLICY FRAMEWORK OF THE PHP DELIVERY MECHANISM

1.1 What is the PHP delivery mechanism?

i. The PHP is a housing delivery mechanism whereby beneficiary households build, or organise between themselves, the building of their own homes, make a ‘sweat equity’ contribution through their labour and exercise a greater choice in the application of their housing subsidy through their direct involvement in the entire process. As part of the process the beneficiary may contribute recycled material or he/she may wish to build the house him/herself;

ii. Technical expertise may be sourced to assist the beneficiaries with the installation of electricity and plumbing, and later, the certification of their house; and

iii. Beneficiary households enjoy greater choice over the use of their housing subsidies, resulting in positive housing outcomes, increased beneficiary input, and enhanced beneficiary commitment.

1.2 Constitutional, legislative and other prescripts

The policy for this housing delivery mechanism is underpinned by the following constitutional, legislative and other prescripts, all of which impact on and regulate the PHP delivery mechanism:

i. The Constitution of the Republic of South Africa, 1996 (Act No. 108 of 1996)(Constitution);

ii. The Housing Act, 1997 (Act No. 107 of 1997)(Act);

iii. Comprehensive Plan for the Development of Sustainable Human Settlement September 2004 (The Plan);

iv. The Public Finance Management Act, 1999 (Act No.1 of 1999)(PFMA);

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v. The Municipal Finance Management Act, 2004 (Act No. 56 of 2003)(MFMA);

vi. The Division of Revenue Act, 2003 (Act No. 7 of 2003) (DORA);

vii. Preferential Procurement Policy Framework Act, 2000 (Act No. 5 of 2000) (PPPFA);and

viii. The Development Facilitation Act, 1995 (Act No. 67 of 1995)(DFA).

1.3 Roles and responsibilities of the various stakeholders

1.3.1 National Department of Housing (NDOH)

The NDOH is responsible for creating conducive and enabling conditions for housing delivery, within the housing legislative framework, to ensure access to adequate housing and in addition, it establishes the policy framework and guidelines for the implementation of the policy.

1.3.2 Provincial Housing Departments (PHDs)

The PHD will facilitate the project approval process, the reservation of funding, the evaluation and monitoring of housing delivery and assist with consumer education and capacity building, if required by the Support Organisation (SO).

In addition, the PHD will be required to:

i. Determine whether the SO has the required core skills (i.e the Account Administrator and Technical Advisor), prior to the approval of the SO as a legal entity;

ii. Conclude Funding Agreements with the SO;

iii. Act as developer of a PHP project, when necessary;

iv. Release the grant and subsidy funds to the project;

v. Ensure the timely payment of project claims to the Account Administrator;

vi. Resolve disputes between beneficiaries and the SO, if required; and

vii. Promote an advocacy and awareness campaign.

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1.3.3 Municipalities

Municipalities will be required to create an enabling environment for the successful implementation of the PHP delivery mechanism.

In addition, Municipalities will be required to:

i. Provide information and advice on housing matters;

ii. Act as developer of the PHP delivery mechanism, if required;

iii. Support households in planning the settlement, including the layout and engineering designs;

iv. Act as a SO and submit project applications to the PHD for consideration if selected to do so;

v. Obtain Council Resolution(s) indicating their support for a PHP delivery mechanism, where the municipality or Community Based Organisation (CBO) acts as a SO;

vi. Support CBOs and Non-Governmental Organisations (NGO), or any community group acting as the SO by for example, acting as Account Administrator;

vii. Provide support and participate in meetings, where necessary;

viii. Prioritise land for development;

ix. Assume ownership of the engineering services installed;

x. Provide bulk and connector engineering services;

xi. Approve house building plans, inspect and certify work in progress;

xii. Promote community facilitation;

xiii. Resolve disputes between beneficiaries and the SO, if required;

xiv. Undertake consumer education and capacity building exercises; and

xv. Promote an advocacy and awareness campaign.

1.3.4 Support Organisation (SO)

1.3.4.1 A SO must be one of the following categories of legal entities:

i. A Company incorporated in terms of Section 21 of the Companies Act, 1973 (Act No. 61 of 1973);

9

ii. A Trust;

iii. A voluntary association or a Co-operative formed in terms of the Cooperatives Act 1981 (Act No.91 of 1981; or

iv. A Communal Property Association formed in terms of the Communal Property Associations Act 1996 (Act No. 28 of 1996).

1.3.4.2 Beneficiaries may choose to appoint a SO from any of the following types of institutions, provided that the SO is a legal entity:

a) Community-Based Organisations;

b) Non-Governmental Organisations;

c) Community service organisations, associations, churches, unions, and other civil society bodies (provided they are formally established as legal entities);

d) A Communal Property Association formed in terms of the Communal Property Associations Act 1996 (Act No. 28 of 1996);

e) Provincial Government;

f) Municipalities; or

g) Private sector institutions, provided that they do not provide any other housing goods and services as part of the PHP project in question.

1.3.4.3 The SO is responsible for providing, inter alia, organisational, technical and administrative assistance to beneficiaries.

The SO does not have to give the technical and administrative assistance itself. What is required, is that the SO must ensure that the technical and administrative assistance is available, at no cost, to the beneficiary. The SO can appoint other support providers, who will give the necessary assistance to the beneficiaries, provided that the SO agrees to pay the other support providers the fees stipulated.

A. Organisational assistance:

The SO will be required to:

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i. Assist beneficiaries to organise themselves to work together to undertake the PHP project;

ii. Assist beneficiaries to identify, investigate and choose from the various options available to them in the PHP project;

iii. Provide beneficiaries with information in respect of subsidy qualification criteria;

iv. Register beneficiaries;

v. Identify and establish a facility to be utilised as a Housing Support Centre (HSC);

vii. Assist beneficiaries to resolve internal disagreements as they arise;

viii. Assist the beneficiary community to establish a Housing Support Committee (HSCom), comprising of stakeholder representatives; and

ix. Co-ordinate all HSC activities.

B. Technical assistance: 

The SO will be required to offer the following technical assistance is given to beneficiaries, i.e, all planning necessary in respect of the project, including:

i. The layout of the township (if applicable);

ii. The design of services (if applicable);

iii. The upgrading of any services (if applicable);

iv. The determination of the total amount of the subsidy available to the beneficiaries;

v. Give the beneficiaries general advice and assistance about the process;

vi. Advise beneficiaries about the minimum norms and standards applicable;

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vii. Prepare a detailed cost schedule and a cash flow forecast which indicates the stages subsidy disbursements will be required;

viii. Assist beneficiaries in the preparation and approval of house building plans;

ix. Assist beneficiaries to conduct a skills audit;

x. Provide beneficiaries with the necessary assistance/training to be able to build;

xi. Manage material purchase/delivery and/or material store, if applicable;

xii. Acquire specialised service providers in respect of plumbing and electrical installation (where applicable);

xiii. Monitor the building work carried out by the beneficiaries; and

xiv. Certify the progress which the beneficiaries make in constructing their houses (this will be done through the Certifier).

C. Administrative support:

The SO must also provide administrative assistance, by:

i. Establishing efficient administrative and financial systems for the HSC;

ii. Preparing and submitting Project and HSC Business Plans;

iii. Compiling project application with beneficiaries;

iv. Applying to the Housing MEC for project approval;

v. Assisting beneficiaries to complete, submit and follow-up subsidy application form to the Housing MEC;

vi. Concluding a Funding Agreement with the PHD;

vii. Performing a beneficiary skills audit;

viii. Submitting a skills development proposal to the Department of Labour;

ix. Co-ordinating the training of beneficiaries;

x. Identifying small builders from the immediate community;

xi. Establishing administrative, financial and logistical support and systems at the HSC;

xii. Providing job descriptions to HSC personnel;

xiii. Monitoring the performance of the Certifier;

12

xiv. Entering into building agreements with the beneficiaries;

xv. Arranging for beneficiary/occupation certificate to be signed upon the completion of each house;

xvi. Operating the Specified Account (through the AA); and

xvii. Assisting beneficiaries to manage relationships with materials and service suppliers, and to source competitive pricing of building materials.

1.3.4.4 With regard to building materials, the SO and the beneficiaries can agree that:

i. The SO will buy building materials in bulk; and

ii. The SO will provide advice to any beneficiary regarding the manufacture and specifications of building materials.

1.3.4.5 The SO may outsource the organisational, technical and administrative assistance as set out above, provided that the SO agrees to pay those service providers from the establishment grant and/or any balance from the facilitation grant or its own resources.

If such an outsourced relationship exists, it must be governed by a Service Level Agreement (SLA) and there should also be a power of attorney to regularise the relationship.

1.3.4.6 Other responsibilities of the SO, not directly related to the beneficiary include:

i. The SO must open a specified account with a bank registered in terms of the Banks Act, 1990 (Act No.94 of 1990);

ii. The account must be designated as a trust account if the SO is not a Provincial Government Department or a Municipality. The Specified Account must be held at a bank branch in the province, in which the project is located;

iii. In cases where beneficiaries choose the municipality to act as SO, the prescripts of the Municipal Finance Management Act (MFMA), (Act 56 of

13

2003) will apply. The MFMA requires that all municipalities operate at least one primary bank account and, for this reason, a local authority acting as SO may utilise their existing bank account as the Specified Account, on condition that the funds can be identified at all times and are only utilised in accordance with the approved project and agreement, as entered into with the MEC;

iv. The Specified Account must have multiple signatories and, at least two signatories, required for disbursements. Only the AA may make payments out of this account; and

v. The Specified Account must be an interest bearing account which provides for the best possible interest rate.

1.3.5. Account Administrator (AA)

1.3.5.1 The AA shall provide financial management and administrative support by:

i. Opening a separate bank account with a recognised banking institution;

ii. Accepting financial accountability and responsibility for project funds;

iii. Ensuring that any financial contribution by a beneficiary is paid into the account;

iv. Administering and making regular payment of wages/salaries to HSC personnel;

v. Purchasing office and building equipment;

vi. Preparing and providing facilitation and establishment grants cash flows to the PHD;

vii. Submitting monthly progress reports and account reconciliation to the PHD;

viii. Procuring of and negotiating for competitively priced building materials with suppliers, by ensuring that delivery is made to individual stands, and checking and certifying the quality of building materials delivered;

ix. Preparing and submitting a monthly account’s reconciliation report to the PHD which discloses the value of funding paid by the PHD to the specified account, all interest earned on the funding, all payments made out of the specified account, and a summary in respect of each beneficiary which shows all payment amounts;

14

x. Submitting to the PHD a reconciliation of all funds received and expenditure incurred on the specified account, after the project has been completed; and

xi. Auditing the project at the conclusion of each phase.

1.3.5.2 The AA will be appointed by the SO and must be identified in the project application (or before conclusion of the agreement) to the Housing MEC.

1.3.5.3 The AA should have suitable experience in financial matters, and should either:

i. Be a Certified Public Accountant; or

ii. If not a Certified Public Accountant, provide such financial or other guarantees as the Housing MEC may require, to ensure that he/she is solvent and that he/she will be able to discharge his/her responsibilities without risk to the subsidy resource. This may include, inter alia:

a) A background check;

b) Security, such as, a bank guarantee, bond, or professional indemnity insurance, equal to the cash flow draw down amount being transferred into the AAs account. (Proof must be provided that at least 80% of the funds have been spent before further transfer of funds can be effected); and

c) Inclusion, in the Implementation Agreement of a clause appointing the Housing MEC as the preferred creditor, in the event that an AA becomes insolvent.

1.3.5.4 If the approved AA is replaced during the course of a project, the Housing MEC or the designated official must be notified and the change must be approved in writing.

1.3.5.5 The SO must pay the AA’s fees (or his or her salary, if the AA works for the SO). The establishment grant may be used for this purpose, but no subsidy money will be made available to pay such fees.

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1.3.6 Housing Support Centre

1.3.6.1 The SO and the beneficiaries must establish an office or other facility in an easily accessible place to the beneficiaries. This office or facility, known as the Housing Support Centre (HSC) should be available at all times to enable beneficiaries to call for necessary assistance at their convenience; and

1.3.6.2 The HSC may be staffed by people chosen from amongst the beneficiaries. If this is the case, the process of selecting such personnel should be undertaken jointly by the beneficiaries and the SO, and should be done in a transparent manner.

1.3.7 The Certifier

1.3.7.1 The following issues must be noted, in relation to the certifier:

i. The SO is responsible for appointing the Certifier, who is to be identified in the project application (or before finalisation of the project agreement), to the Housing MEC;

ii. The Certifier should be a suitably qualified and experienced person; e.g. an architect, builder, civil engineer or similar professional, should be registered with the relevant professional body, or should be a competent person identified by the SO, should have the ability to provide construction-related technical support to project beneficiaries;

iii. The Certifier must be able to interact successfully with the beneficiaries;

iv. If the approved Certifier is replaced during the course of a project, the Housing MEC must be notified and must approve the change in writing;

v. The Certifier may be an independent service provider or an employee of the SO, except if the SO is a provincial government or municipality;

vi. Certifiers are not required to have Professional Indemnity Insurance since they do not design or build houses in terms of the PHP delivery mechanism. Nevertheless, the Certifier along with the SO, is responsible for providing suitable technical advice to beneficiaries, as part of the contractual agreement between the SO and beneficiaries;

16

vii. The SO must ensure that the Certifier inspects the building work undertaken by each beneficiary regularly. In the course of these inspections, the Certifier must:

a. Give the beneficiaries relevant technical advice;

b. Issue certificates confirming construction progress (countersigned by a beneficiary representative). Such certificates may take any form, suitable to the Certifier, beneficiaries and SO, but must be clear and unambiguous about what is being certified (e.g foundations, top structure, plumbing, wiring, etc.) and for what purpose; and

c. Submit these certificates to the AA to verify that construction work has been performed by beneficiaries, or to verify that construction related services have been provided by third parties, in order to allow for payment to the relevant materials suppliers and/or service provider.

viii. The beneficiaries must appoint one or more representatives. The certifier must ensure that he/she is accompanied by one or more of these representatives when the Certifier carries out an inspection of the work done by any particular beneficiary. All the certificates issued by the Certifier are to be signed by one of the beneficiary representatives;

ix. The SO must pay the Certifier’s fees (or his/her salary if the certifier works for the SO).

1.3.8 The Housing Support Committee (HSCom)

1.3.8.1 The chosen representatives from the beneficiary community form the Housing Support Committee (HSCom) to represent the beneficiaries. They will play a coordinating role amongst the PHD, the municipality and the beneficiaries.

1.3.8.2 The HSCom will be required to:

a) Enter into an agreement with the SO on behalf of the beneficiary community;

17

b) Represent the interests of the beneficiaries/homeowners in the process;

c) Attend to beneficiaries’ problems and concerns during the house construction process;

d) Take decisions in consultation with the beneficiary community (this will depend on the mandate given to them by the beneficiary community that will indicate how this should be done);

e) Consult, on an ongoing basis, with the beneficiary community;

f) Take management decisions on the running of the HSC (on behalf of the beneficiary community);

g) Initiate meetings, with identified beneficiaries in order to communicate (per identified block or section) PHP delivery mechanism requirements to them;

h) Ensure that all beneficiary subsidy applications are completed and submitted for approval timeously;

i) Follow-up with beneficiaries regarding house options and payments of top up funding, where applicable;

j) Ensure that the beneficiaries are ready to begin construction when their turn arrives;

k) Co-ordinate and monitor the building brigade (team of beneficiaries) activities and construction programme, and reporting regarding blockages to the HSC; and

      l) Facilitate the signing of ‘happy letters’, where relevant. 1.3.9 The Technical Advisor

1.3.9.1The Technical Advisor, from the SO must review the available resources, the time table submitted with the funding agreement and the results from meeting with the HSCom and prepare a development project plan which reflects the milestone dates for the completion of the activities and the allocation of resources.

18

1.3.9.3The Technical Advisor will also assist the HSCom to establish the required building teams for the construction phase of the project.

1.3.9.4 He/she must use the information gathered during the skills audit to identify the available labour resources. Labour resources will be considered against the building brigade model which specifies the ideal number of labourers per team and any other skills required for completion of the project.

1.3.9.5 Where required, the Technical Advisor would identify additional resources by calling on individuals who indicated whether they were interested in receiving training. These individuals would be referred to the Department of Labour where they will receive training in identified areas. Once the training has been completed, the trainees will be allocated to the established building teams.

1.3.10 The Beneficiaries

1.3.10.1The role of the beneficiaries is to participate actively in the decision-making process and the building of their own houses. Beneficiaries may also identify the land for the project and must represent the community of beneficiaries in all aspects of PHP.

1.3.10.2 Beneficiaries must:

a) Organise themselves and form a HSCom;

b) Form and/or identify the SO;

c) Support the project and appoint the SO;

d) Effect savings for top-up finance, if required;

e) Attend and be involved in the workshops at the initial stages of the project;

f) Individually complete a Subsidy Application form with the HSC;

g) Contribute to the building process in the form of sweat equity, and/ or building materials or top up finance;

h) Make a decision in respect of the housing option available;

i) Choose to undergo training;

j) Take care of the environment and other related aspects of the project area and its environs; and

k) Undergo beneficiary consumer education.

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2. FUNDING FOR THE PHP DELIVERY MECHANISM

Qualifying beneficiaries, who undertake a project in terms of the PHP delivery mechanism, are eligible to access Housing Subsidies and Facilitation and Establishment Grant funding from the PHD.

2.1 Housing Subsidies available for the PHP delivery mechanism.

2.1.1 The following four Housing Subsidy types are available for beneficiaries who participates in the PHP delivery mechanism:

i. The Consolidation subsidy;

ii. The Project-Linked subsidy;

iii. The Institutional Subsidy; and

ii. The Rural Subsidy

2.1.2 The individual subsidy is not applicable to the PHP delivery mechanism because development always proceeds through collective beneficiary involvement.

2.1.3 Qualifying beneficiaries who occupy and own serviced sites without formal houses, but who have not received state assistance to build a house, are eligible for Consolidation Subsidies. The general rules applicable to Consolidation Subsidies will apply.

2.1.4 Non-owners, occupants and landless people who are eligible for housing subsidies, and who want to participate in the PHP Delivery Mechanism, may apply for Project-linked or Institutional Subsidies.

2.1.5 Beneficiaries may apply for Rural Subsidies and participate in the PHP Delivery Mechanism if they occupy land:

i. By virtue of the laws and customs of a tribe, if the land is State land;

ii. As holders of registered quitrent tenure rights or registered rights/permissions to occupy in terms of any of the enactments referred to in the policy for Rural Subsidies; or

iii. By virtue of the administrative practice which previously existed, if the land occupied is State land. This includes all unregistered quitrent tenure

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rights and unregistered rights/permission to occupy granted in terms of the enactments referred in the policy for Rural Subsidies.

2.1.6 Households who have been allocated sites in terms of phases 1 to 3 of the Informal Settlement Upgrade Programme and who wish to take ownership may apply for Consolidation subsidies and construct their top structures through the PHP Delivery Mechanism.

2.1.7 The PHD may assist the SO, through their PHP project manager, to complete the required applications for funding. Pro-Forma Business Plans as reflected in Appendix A1 can be used to ensure that the required information is provided when applying for funding.

2.1.8 The SO would be required to establish cost estimates for the various phases of the project and to use these cost estimates to control future spending against the initial cost estimates.

2.2 Facilitation Grant

2.2.1 Once beneficiaries have decided to start a PHP project they may submit an application to the Housing MEC for a facilitation grant, via the Municipality. The agreed amount may not exceed 3% of the prevailing maximum subsidy, per beneficiary.

2.2.2 The Facilitation grant is to be used to:

i. Formally initiate a project through the PHP Delivery Mechanism;

ii. Arrange six (6) (mandatory) workshops to explore and decide on project options such as site layout, services, house designs, building materials, construction approaches. Select ion or establishment of the SO;

iii. Prepare the project application including a Business Plan; and

iv. Any other matters needed to prepare for the PHP project.

2.2.3 Application for the Facilitation Grant

i. The SO will prepare and submit the application for a Facilitation Grant (See Appendix A2 for an example) to the MEC.

ii. The application for the Facilitation Grant should contain the following:

a) The identified households for participation in the PHP project;

b) Full details of the land identified for development;

c) The timing of the workshops to be held to develop the project;

d) An indication of the municipality’s support for the project and the project’s status in its IDP; and

e) Other relevant information to motivate for the Facilitation Grant.

2.2.4 Should the municipality be the SO, they may “pay themselves” the Facilitation Grant.

2.2.5 The SO may apply for the Facilitation Grant post facto on production of relevant documentation and records of expenditure.

2.2.6 The Provincial MEC for Housing may develop provincial guidelines for assessing applications for Facilitation Grants.

2.3 Establishment Grant

2.3.1 The Provincial MEC for Housing may pay the SO an Establishment Grant of up to 2.5%, rounded off to the nearest R100, of the prevailing maximum subsidy per beneficiary.

2.3.2 The Establishment grant:

i. Must be agreed amongst the Housing MEC, the beneficiaries, and the SO;

ii. Must not be deducted from beneficiaries’ subsidies;

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ii. Must be paid by the Housing MEC to the SO in stages agreed to, and be recorded in the Implementation Agreement; and

iv. Must only be used for:

a) Establishing the HSC;

b) Acquiring office furniture, telephone, fax, computer and consumables for the HSC;

c) Paying the operational costs of the HSC, including the wages of the staff, salary or fee of the Certifier and AA;

d) Engaging skills transfer agencies/ programmes to build administrative/organisational capacity and construction skills;

e) Acquiring of small tools and equipment; and

f) Paying the auditor.

2.3.3 Release of the Establishment Grant

i. The procedure for release of Establishment Grant funds will be the same as for the subsidy funds and both types of requests must be made on the PHP Disbursement Requisition Form (See Appendix A3).

ii. The following conditions apply to the release of the Establishment Grant:

a) Care must be taken to ensure that the timing of the release of the Establishment Grant and subsidies is coordinated to ensure that the former is not wasted whilst waiting for subsidies. This will ensure that funds for running the project, paying service providers, etc., are available as the project progresses;

b) The Funding Agreement must specify the stages at which the Establishment Grant funds will be required, together with a clear link between these draw-downs and the required progress under the project; and

c) If the project is delayed, and the required milestones were not achieved, further payment must be stopped until the situation has been rectified.

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3. GUIDELINES FOR THE IMPLEMENTATION OF THE PHP DELIVERY

MECHANISM

3.1 Phase 1: Initiating the Project

3.1.1 Initiating the project

i. PHP projects may be initiated in a variety of ways, but in all instances,

must be based on the informed participation of the beneficiaries.

ii. A PHP project may be initiated by any of the following parties in any of

the following ways:

a) A municipality can identify the land and the potential beneficiaries for the housing development in terms of its Integrated Development Planning (IDP) process, (see Procurement documents Appendix LA – Land Availability Request);

b) Beneficiaries may propose the PHP project on land that they have identified in consultation with the Municipality. Geotechnical reports must be obtained from the relevant Municipality if the proposed land is in line with the Municipality’s IDP. During this stage the beneficiaries must also identify the subsidy mechanism to be used for the PHP project;

c) Beneficiaries may also propose a PHP project where they already have ownership of the land that requires further development;

d) The PHD can initiate a PHP project based on an aggregate of needs identified by the PHD; or

e) The community can approach a NGO or CBO for assistance with the initiation of a PHP project.

iii. At the first formal consultative meeting for the PHP project, beneficiaries

should apply for a facilitation grant and after exploring options, establish or appoint a SO.

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3.1.2 The Support Organisation (SO)

3.1.2.1.The beneficiaries and the SO must enter into a contract which sets out:

a) All the details of the project for which support will be provided;

b) The rights and responsibilities of the beneficiaries and the SO;

c) Governance processes that ensure that beneficiaries are able to make mutually agreed decisions; and

d) A process for conflict resolution in the event of unresolved conflict between the beneficiaries and the SO, including escalation to mandatory third-party arbitration involving a final decision by a mutually agreed Mediator.

3.1.2.2 The municipality must approve the SO for the purpose of compiling and submitting the project application only (See Appendix A4) for an example of the Project Application Form).

3.1.2.3 The SO must complete the Project Application Pack and submit it to PHD.

3.1.3 Workshops for beneficiaries

i. The approval of the facilitation grant will enable the SO to conduct a series of workshops for beneficiaries to:

a) Explain the concept of sweat equity and roll out of the PHP project;

b) Elect a housing support committee;

c) Discuss and plan where necessary, township establishment process for the project, including layout, design, zoning, ownership and procuring, town planning and land surveying services;

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d) Discuss and obtain consensus on levels and standards of engineering services to be provided and/or upgraded, including the procurement of civil engineering services in consultation with the Municipality;

e) Identify all service providers and the process for their appointment;

f) Discuss and decide on the construction approach to be utilised and to formulate, (if needed), a set of construction guidelines for the project;

g) Discuss various proposals on house designs and costing;

h) Discuss and decide on the ways in which the building materials will be sourced;

i) Discuss the construction teams and the combination of skilled and semi skilled labour; and

h) Prepare and submit the application to the MEC for conditional approval of the project, through the Developer (NB only the PHD or the municipality can be the Developer).

ii. It is also advisable to conduct a workshop at the end of the project to review successes and lessons learnt.

3.1.4 Obtaining Conditional Project Approval

3.1.4.1 Flowing from the workshop process, the SO may now submit an Application for Conditional Project Approval to the Provincial MEC. A SO must be able to satisfy the PHD that it would be able to render the required technical and administrative assistance to the beneficiaries (see Procurement Documents Appendix PS – Tender and Contract) (documents for the appointment of professional service providers, such as Quantity Surveyors, Architects, Geologists and Engineers).

3.1.4.2 The application for Conditional Project Approval by the SO should contain the following information(See Appendix A4 for an example):

a) Whether the project is in line with the Municipality’s IDP;

b) The proposed arrangements for the SO, HSC, AA, Certifier and Specified Account;

c) Whether SO’s own employees will give the technical and administrative assistance or whether other support providers will give that assistance;

d) The details of any of the SO’s employees who will give assistance, together with the qualifications and experience of those employees;

e) The details of any other support providers who will give assistance, including their qualifications and experience;

f) A copy of the contracts that have been concluded with other support providers. Those contracts must set the work requirements of the other support providers, the fees that the SO must pay, and the times at which the fees will be paid;

g) A description of the HSC from which the technical and administrative assistance will be given to beneficiaries, together with an estimated cash flow of its operational requirements;

h) Arrangements between the beneficiaries and the SO for project management, including any beneficiary organisations involved, and the roles and responsibilities;

i) Preliminary house designs and costing, as well as the proposed building material arrangements;

j) Details of any skills development initiatives;

k) The service levels and housing standards to be applied;

l) Whether the PHP project has been enrolled with the NHBRC in respect of:

* an evaluation of the Phase 1 geotechnical investigation report;

* inspection of all infrastructural services, ie, storm-water services, water reticulation, etc;

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* an indication of whether a proposed foundation or slab-design is suitable or not.

(NB An enrolment fee of 1% is payable to the NHBRC, if project is enrolled); and

m) Beneficiary acceptance of responsibility for any defects occurring in housing produced in the PHP project.

3.1.4.3After Conditional Project Approval has been granted, the SO can finalise the plans and arrangements and prepare a Final Project Application for approval by the MEC or his/her delegated authority.

3.1.4.4The HSCom can, after Conditional Project Approval has been obtained, submit subsidy application forms for individual beneficiaries. The HSCom must continuously follow up on outstanding subsidy applications and give feedback to the beneficiaries.

3.1.4.5The PHD will use the Project Application Information Pack to compile a feasibility report to the MEC to approve the proposed project.

3.1.5 Final project approval

3.1.5.1 The final application for project approval should contain the following information:

a) A finalised list of beneficiaries and their eligibility for a subsidy;

b) Details of the approved layout of the township, design of services, and/or upgrading of services (if applicable);

c) House designs;

d) Specifications and details for sourcing building materials and construction services;

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e) Conducting a skills audit and identifying resources needed to assist beneficiaries to carry out the project;

f) A cash flow indicating the stages at which subsidy disbursements will be required; and

g) Whether the project is enrolled with NHBRC.

3.1.5.2 Upon MEC approval of the PHP project, the SO can apply for the Establishment Grant. The Developer (i.e PHD/Municipality) must prepare and conclude the funding agreement with the SO.

3.1.6. The Funding Agreement

3.1.6.1 In general, the Funding Agreement will:

a) Stipulate that the beneficiaries must implement the project with the support of the SO;

b) Confirm that the Housing MEC will pay the approved subsidies; and

c) Indicate the stages at which the subsidies will be paid, based on the SO's estimate of the project's cash flow requirements.

3.1.6.2 The Funding Agreement (see Appendix A5) must contain the following elements:

a. A description of the property to be developed, including a locality map or Surveyor General Diagram;

b. Written municipal approval for the project in terms of its IDP and a commitment by the municipality’s building inspectorate to conduct on-site progress inspections at specified intervals;

c. The timetable for the entire project;

d. A description of the arrangements for beneficiary and Support Organisation/Service Provider management of the project, including inter alia:

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(i) How the beneficiaries will be represented and will co-operate with the SO;

(ii) The identity of the SO;

(iii) A copy of the contract between the beneficiaries and the SO;

(iv) Details of any service providers the SO will use to fulfil its contractual responsibilities;

(v) Details of the mechanism to be used to resolve any disputes arising amongst the beneficiaries, and between beneficiaries and the SO;

(vi) An application for an Establishment Grant for the total number of beneficiaries; and

(vii) Whether the land must still be proclaimed as a township.

e. The preliminary Geotechnical Report for the land and its eligibility for subsidy variations;

f. The identity of the town planner and land surveyor to be used or details of arrangements made by the SO for town planning and land survey work;

g. The costs for town planning and land survey work and, if the project is a Project-linked Subsidy project, the stages at which subsidy funds to cover these costs will be paid to the SO;

h. Whether services must be provided or upgraded as part of the project:

(i) Details and cost of the services, and the details of the civil engineer or others who will be appointed;

(ii) The stages at which the cost of engineering designs, approvals, and the installation of services will be paid;

(iii) The amount available for the top structure and the cash flow projection for the release of those funds;

i. The stages at which the MEC will release subsidy funds to the project and the detailed steps and documentation involved in this process;

j. The authorised representative(s) of the MEC for the purposes of communication and administration during the project;

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k. Bridging finance arrangements, if needed, or the means of securing building materials and services up-front, if bridging finance is not used;

l. The housing norms and standards to be applied;

m. The construction approach to be adopted including inter alia, any arrangements to pay project beneficiaries/building teams for construction work;

n. The way building materials and services will be procured and distributed to beneficiaries;

o. Details of the Certifier and the AA;

p. Details of the HSC, including staffing and responsibilities;

q. The establishment grant payable by the MEC to the SO for the PHP project, the timing of these payments, and the financial arrangements to be applied if the project is delayed for reasons beyond the control of the SO and beneficiaries; and

r. The arrangements should a breach of contract be committed by any party, including a facility for mandatory arbitration.

3.1.6.3 Once the Funding Agreement has been signed, the following actions occur:

a) The AA and Certifier should be appointed;

b) Service providers should be appointed, where required;

c) The release of subsidy funds to the project, can begin; and

d) The HSC can be constructed, if an existing building is not used as a HSC.

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3.2. Phase 2: Administration and Management of the Project

3.2.1 Facilitating the start of the project

i. The signing of the funding agreement signifies a major milestone in the PHP process and a number of operational activities can now commence after this approval.

ii. The SO will use the funding agreement to compile a Business Plan (see Appendix A1) which will contain the details of the HSC design. The Business Plan must be submitted to the Developer, whereupon the responsible officer will approve the Business Plan in principle only and will submit it to PHD.

iii. The PHD will then prepare a report to the MEC or his/her delegated authority who may approve the Business Plan, and through the officials at the PHD, inform the municipality, in writing, that the Business Plan has been approved.

iv. The SO and the Community Steering Organisation must identify a suitable site for the HSC and should obtain municipal authority to utilise the planned site for a HSC. (see Appendix GS – Tender and Contract) documents for the appointment of suppliers of goods and suppliers of non-professional services via the Tender process. Also see Appendix 3Q – Comparative quote form for the selection of goods and service providers via the quotation process).

v. Once municipal approval has been granted, the HSC can be set up and the following activities will then have to be implemented by the SO:

a) Erect a building, or prepare an existing building, based on the input from the Geotechnical report;

b) Obtain and install the infrastructure, including furniture and a computer system; and

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c) Appoint and train personnel. The SO will be responsible for

compiling the job descriptions. The HSC must be run at a minimum by the following staff:

i) Community Liaison Officer who will undertake all the administrative, facilitation and financial management functions.

ii) Technical Advisor who will undertake the technical support functions (e.g order material, organise builders, supervises the process and receive material deliveries).

vi. The SO will compile a list of potential local manufacturers and material

suppliers. The purpose of this is to build up a database of suitable suppliers who have the infrastructure to deliver the expected quantities timeously and at a reasonable price. The invitation to local suppliers, to submit information will not be based on the Bill of Quantities at this point in time. The following information must be obtained: (see Appendix EDA – Entity Declaration Affidavit) form.

a) Name of the organisation;

b) The organisation’s HDI status;

c) Location of the organisation;

d) The material/services the organisation specialises in;

e) The organisation’s previous involvement in similar housing projects;

f) The organisation’s ability to deliver; and

g) Screening of the organisation’s registration and tax status.

vii. The SO should perform a skills audit among the beneficiaries to identify

training requirements which will enable these beneficiaries to build their own houses. A skills development proposal must be drawn up and submitted to Sector Education and Training Authority (SETA) and the Department of Labour. Both SETA and the Department of Labour emphasise sustainability of housing development and therefore expect the proposal to address ongoing utilisation of these trained resources in building houses. The PHD should facilitate the process to perform the skills audit and arrange training.

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viii. The SO must appoint a geotechnical advisor. (see Appendix PS – Tender and Contract) documents for the appointment of professional service providers). The geotechnical advisor will be responsible for:

a) Obtaining the available geotechnical report on the land to be used for the PHP project;

b) Evaluating the report in terms of the NHBRC requirements;

c) Conducting a site meeting and additional tests, if required; and

d) Compiling and submitting the Geotechnical Findings Report to the PHD. The report should contain information regarding the soil type and factors that would influence the cost of the foundation of the houses to be built. The PHD must evaluate this report to determine the Geotechnical Variation amount to be added to the housing subsidy formula.

3.2.2 The capacity building process

Capacity building is ongoing and includes capacitation on all activities ranging from the start of the project to the completion of the project.

i. The SO must conduct an information session with the affected Ward Councillors for the purpose of facilitation during the project lifecycle.

ii. The SO must also conduct mass meetings with beneficiaries to inform them of the proposed project and their involvement in it. Information must be disseminated regarding the process to be followed, the subsidies and the support available to them.

iii. The SO must conduct a workshop with a the beneficiaries for the purpose of selecting the HSCom. This committee should consist of approximately four (4) members. The members will be required to provide their services on a voluntary basis. (See Appendix A6) for an example of an agreement between the SO and the HSCom).

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iv. The aim of this entire process would be to allow the community to take full ownership of the project and to understand that they are entitled to full participation in the choices to be made.

v. The HSCom will be tasked with identifying labourers/beneficiaries for training. The administration of this task will be undertaken by the SO. The selection of trainees must be carried out in accordance with the input received from SETA and the Department of Labour during the capacity building phase of the project.

3.2.3. Designing the house

i. The SO and the Building Professional will be responsible for scheduling a workshop with the members of the community as indicated on the approved beneficiary list.

ii. When designing the house, attention must be given to National Minimum Norms and Standards in respect of Permanent Residential Structures as prescribed. Environmentally friendly designs should be used wherever possible, with the placement of houses allowing for the promotion of energy savings and extensions to the buildings.

iii. The meetings should be scheduled according to the various phases of the project and should be arranged to include only the relevant phase’s beneficiaries. This is done to ensure optimum group sizes and to facilitate personal interaction with beneficiaries.

iv. During the workshops the community must be informed about the project phases during the building process and about the various responsibilities of the role players during these phases e.g:

* the Technical team would be expected to communicate the dwelling size and available subsidies to beneficiaries, including information such as the dimensions and floor area of the designs

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against the costing structure of the various options. Incremental options that are available on designs would also be explained.

v. The basic design specifications and requirements that would have to be considered, when making choices concerning the dwellings, should be discussed and explained during the meeting. This would include issues such as optimum positioning of the dwelling on the stand, as well as the various building regulations, the dwellings would be subject to. During this process three (3) typical designs should be ideally selected and approved. After the initial workshop, the HSC’s personnel would be required to open individual beneficiaries files for use during the subsequent individual Planning Meetings.

vi. The typical house plans must be submitted to the Council for approval. The SO will use the typical house designs to draw up a Bill of Quantity per design. Suppliers from the supplier database will be invited to cost the Bill of Quantity. (NB The Geotechnical report must be available at this point in the process).

vii. Once the HSCom has received the costing per design type, it can then workshop and finalise the costing per unit. This final cost will include the following cost components:

a) Foundation;

b) Building material to completion; and

c) Labour cost (Only plumbers and electricians).

The HSCom may then recommend suppliers, based on the quotations received.

viii. The SO or the Developer, in consultation with the HSCom, will then select and appoints the suppliers. (See Appendix GS – Tender and Contract Documents for the appointment of goods and services supplier. Also Procurement Documents Appendix 3Q – Comparative quotation Form for the selection of Suppliers).

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Note: All procurement of goods and services must conform to the procurement guidelines, in line with the legislation (PPPFA) and in this regard the relevant documents are attached hereto as Appendix A. Where a municipality is the SO, and provided that its procurement process is aligned with the prescripts of the PPPFA, the municipality may use its own documentation, or alternatively the attached procurement documents must be used.

3.2.4 Individual Beneficiary Interviews

i. The Technical Advisor, from the SO, in conjunction with the HSCom, should, arrange individual meetings with the beneficiaries.

ii. Meetings will be conducted in the form of interviews, during which the beneficiary would be required, based on the information that was given at the initial planning meeting, to indicate his/her specific preferences.

iii. The person conducting the interview must ensure that the beneficiary’s comments and choices are recorded in detail on the beneficiary Interview Form (see Appendix A7) for Interview Form and filed in the Beneficiary File. Uncertainties must be resolved with the beneficiary without delay.

iv. The Technical Advisor will also be required to review the variables and other needs that have been defined for a specific dwelling, e.g:

* If the beneficiary indicated that he/she does not want a standard housing design, arrangements would need to be made for the Building Professional to meet with the beneficiary to design a rough plan or to review the plan that the beneficiary may have. The Technical Advisor would be responsible to ensure that the design is in line with the parameters of the project.

v. The Technical Advisor would be required to discuss the costs and funding allocation for the specific unit during the meeting with the beneficiary. If the beneficiary needs exceed the funding allocation of the project, arrangements will have to be made for the beneficiary to provide for the shortfall.

vi. During the meeting, confirmation would be required from the beneficiary whether friends/family would build the home or whether the beneficiary

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would be willing to learn to build the house her/himself. Beneficiaries who elect to assist or build the house themselves would receive credit in the Bill of Quantities.

3.2.5 Applying for the Subsidy

i. Once the HSCom is appointed, it may communicate with the PHD, to obtain information regarding the process for the subsidy application.

ii. The SO will be required to obtain the personal information from all the beneficiaries and to update the beneficiary database. This disclosed information will also include the subsidy type and amount as well as any additional resources that the beneficiary may contribute to the building of his/her house;

iii. In-Process Inspections will be the responsibility of the SO, but will be monitored by the Developer’s Project Manager who will also be responsible to ensure that the project timelines and specified deliverables are achieved as planned.

iv. When the final costing per unit is completed, the Beneficiary Database must be updated to include the cost for the unit. This process assists to keep track of all the elements of the project and ensures that the house is completed within the available resources, and the beneficiary is kept informed.

v. When the beneficiary requirements have been confirmed, the beneficiary needs to complete and sign the subsidy application forms. The SO must submit the application forms to the PHD for processing.

vi. The PHD will process the subsidy applications, and if additional information is required, the application form will be returned to the SO for completion. Notification of the outcome of all the applications, whether failed or approved, is then given to the SO once all the applications have been processed;

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vii. Once approved, the PHD will require the MEC to set aside the funding for this project;

viii. Upon approval of the subsidy application, the SO can also prepare and submit the actual claim for the subsidy funds from the PHD, based on the achievement of milestones. Once satisfied that the requisite milestones have been met the PHD will then make an electronic payment transfer to the Specified Account.

3.3 Phase 3: IMPLEMENTATION PHASE

3.3.1 The Construction of the foundation

i. Should unstable soil formations be encountered (i.e any soil condition that requires any of the following specialised foundations; stiffened strip footings, stiffened or cellular raft / deep strip foundations / compaction of in-situ soils below individual footings / piled or pier foundations / soil raft.), the services of a structural engineer must be employed to design and certify the foundation design. (See Procurement Documents Appendix PS – Tender and Contract Documents for the appointment of professional services).

ii. If the soil conditions are stable, the beneficiaries will, after the bulk services have been installed, commence with the preparation of the land and the construction of the foundation.

iii. A Professional Engineer, appointed by the SO, should be contacted to certify the foundation.

3.3.2 Ordering building material

i. Building material must be ordered in accordance with the project and building plan. The purchase order must be forwarded to the selected supplier, whereupon the SO/Municipality and/or PHD may negotiate bulk

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discounts on material. These prices may be fixed for a six month period and material should be delivered in small quantities directly to the stand as and when required. (See Procurement Documents Appendix GS – Tender and Contract documents for the appointment of Goods and Services Supplier (See Procurement Documents Appendix 3Q – Comparative Quotation Form for the Selection of Suppliers).

ii. If the building material (excluding the sand and stone) is delivered to the HSC the beneficiaries must collect the material and acknowledge receipt for the materials received. For security reasons, it is not advisable for the HSC to store large quantities of building material on site.

iii. Delivery notes for all building material received from a supplier must be signed and submitted to the HSC.

iv. The SO must forward all invoices and delivery notes for building material received to the AA who must then arrange payment to the supplier (see example of a Payment Certificate in Appendix A8).

3.3.3 Building the house

i. Notification must be issued to the beneficiary, at the appropriate time, to commence building the top structure.

ii. During the construction stages the Certifier, accompanied by the nominated beneficiaries, must inspect and certify the construction stages.

iii. On completion of the house the Developer’s Project Manager must certify that the house as complete and must request an inspection from the municipality.

iv. The Municipality will then inspect the house and ascertain whether the houses were built according to the plans. The Municipality or PHD may order work to be stopped if they are not satisfied with the quality of the construction being carried out or if the norms and standards specified in the Implementation Agreement were not met.

v. The SO will issue a “Happy Letter”/ Completion Certificate signed by the Developer’s Project Manager, the Council representative and the

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beneficiary as an indication that the beneficiary is satisfied and he/she can then move in (See Appendix A9 for an example).

vi. Signed Happy letters/Completion certificates must be issued and submitted to the AA before payment will be processed.

3.3.4 Ensuring Progress during construction:

i. Beneficiaries and other roleplayers must apply themselves diligently to the housing construction for the duration of the project to ensure that undue delays are avoided.

ii. To optimise the delivery process the Funding Agreement must include a timetable for the construction phase.

iii. Since the Funding Agreement is a legally-binding contract with the Housing MEC to deliver the houses at an agreed rate of progress, the onus is on the beneficiaries and their SO to ensure that the construction timetable proposed is realistic. It is suggested that any deviation from the agreed timetable must be agreed in writing with the Housing MEC, based on conditions reasonably beyond the beneficiaries’ and SO’s control.

iv. Should the Housing MEC find that there is no justification for the delay, he or she must suspend the project financing until the problem causing the delays have been rectified, and the project has been brought back in line with the timetable as agreed in the Implementation Agreement.

3.3.5 Release of and accounting for subsidy funds

i. All requests for the release of funds must agree with the construction stages and cash flow estimates for the project as set out in the Funding Agreement. If deviations from the Funding Agreement are required, the Housing MEC must agree in writing to the deviation from the Funding Agreement.

ii. All requests for release of subsidy funds for the project must be made by the AA, countersigned by the SO, and addressed to the Head of the PHD or his/her agreed representative.

ii. The AA must complete a PHP Disbursement Requisition Form. This form signifies:

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a) The items and/or services for which the funds are requested and the project stages to which they correspond;

b) The beneficiaries against whom these subsidy funds have been requested; and

c) Any associated request for disbursements from the establishment grant.

iv. If the disbursement request involves payment for collective services to the project such as; town planning, land survey and/or service installation by third parties, copies of the invoices must be submitted to the SO for these services, together with a statement from the Certifier and beneficiary representatives indicating their acceptance that the work has been completed satisfactorily, must be appended to the PHP Disbursement Requisition Form.

v. The Head of the PHD must confirm receipt of this PHP Disbursement Requisition Form and all associated documentation within seven days, and request further details, should this be required.

vi. The AA must respond to any queries as soon as possible and should there be no queries, the PHD must transfer the requested funds to the Specified Account within fourteen days of the receipt of the PHP Disbursement Requisition Form, or within fourteen days of the queries being satisfactorily resolved. Evidence of this transfer must be provided to the AA by the PHD, along with a statement of the remaining project funds and Establishment Grant funds.

vii. Once the funds have been paid into the Specified Account, the AA must confirm receipt.

viii. The SO must ensure that the AA delivers a report to the PHD no later than fourteen days after the end of every month while the project is in progress. Failure to provide such a report may result in the immediate suspension of the project. This report must set out the following:

a) All the amounts of money paid into the Specified Account by the PHD.

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b) All the interest earned on that money.

c) All the payments made out of the Specified Account in the name of beneficiaries.

d) A summary in respect of each beneficiary, which sets out the amount of the subsidy already paid to the beneficiary and the amount remaining.

e) A statement of whether the project is meeting its cash flow projections contained in the Funding Agreement and if not, the reasons and steps to be taken to remedy the situation.

f) The remaining subsidy and Establishment Grant and Facilitation Grant funds due to the project; and

             g) AA’s declaration of VAT claimed on behalf of beneficiaries. 3.3.6 Closing the claim cycle

i. The SO must request a final inspection from PHD, whereupon a PHD official will inspect the house and submits an inspection report to the SO to be used to complete the claims reconciliation (See Appendix  A10).

ii. Plumbers and Electricians must be paid per task completed, at a labour rate determined per unit and not per day worked. The SO will manage a float that is used, not only to pay for labour, but also other local suppliers who do not have banking facilities. This float must be replenished when necessary.

iii. General monthly progress reports must be submitted to both the Council and the PHD.

iv. Once the project has been completed in accordance with the Funding Agreement and all subsidies have been paid out, the AA must submit a detailed reconciliation to the Housing MEC covering:

a) All funds paid into the Specified Account;

b) All the interest earned on that money;

c) All payments made out of the Specified Account; and

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d) Detailed assets redistribution and security thereof.

v. When the AA delivers the final reconciliation to the Housing MEC, he/she must also deliver a cheque for interest accrued to the specified account and all VAT refunds, if VAT was registered. Only with the permission of the Housing MEC may the SO retain the interest and VAT refunds for use in the project.

NB All reports specified are mandatory and the Housing MEC may take any steps necessary to compel their timeous submission, including suspension of project funding and/or legal action against the AA and SO, if necessary.

3.4 Phase 4: PROJECT CONCLUSION

i. At the conclusion of a PHP project the SO must inform the Housing MEC in writing that the project has been concluded as per the Implementation Agreement, including inter alia:

a) Installation of services;

b) Construction of housing;

c) Transfer of title to beneficiaries;

d) Any other conditions included in the Implementation Agreement.

ii. The Housing MEC or his/her representative and the Municipality must inspect the project to satisfy themselves that all aspects of the project have been completed as per the Funding Agreement;

iii. The beneficiaries, their SO, the Housing MEC and the Municipality must sign a letter confirming that:

a) All aspects of the project have been completed as per the Funding Agreement;

b) The beneficiaries indemnify the Housing MEC and the municipality against any further claims in respect of the houses produced; and

44

c) Beneficiaries accept that their subsidies have been used to their

satisfaction and that they understand they have no further claim to a state housing subsidy.

A further document which may be useful in completing a PHP project is the PHP Checklist (See Appendix A11).

NATIONAL DEPARTMENT OF HOUSING

26 SEPTEMBER 2005

GUIDELINES FOR SUBMISSION OF

THESES

AND

DISSERTATIONS

VANDERBILT UNIVERSITY

GRADUATE SCHOOL

1

TABLE OF CONTENTS FOR GUIDELINES

Page

INTRODUCTION 4

Style 4

Composition and Structure 4

Acknowledgement of Support 4

MANUSCRIPT PREPARATION 5

Abstract 5

Title Pages 5

Font 5

Margins 5

Pagination 5

Spacing 6

Number Schemes 6

Division 6

Body of Manuscript 6

Words and Sentences 6

Headings and Subheadings 6

Acronyms/Abbreviations/Capitalization 6

Tables and Figures 7

Table of Contents Preparation 7

GENERAL INFORMATION 7

Language Other Than English 7

Multi-Part and Journal Article Format 7

Permission to Use Copyrighted Material 8

EXTRA COPIES 8

INTENT TO GRADUATE 8

FORMAT REVIEW 8

SUBMISSION 8

Master’s Thesis 9

Ph.D. Dissertation 9

ProQuest Information and Learning 9

Copyright Registration 9

Survey of Earned Doctorates 9

Curriculum Vitae 9

PRINTED SUBMISSION 9

2

CHECKLIST AND FEES 10

INSTRUCTIONAL AND SAMPLE PAGES

Margin Template 11

Format for Abstract 12

Sample Abstract 13

Format for Title Page 14

Sample Title Page 15

Sample Title Page, Revised for Electronic Submission 16

Sample Copyright Page 17

Sample Dedication Page 18

Sample Acknowledgement Page 19

Table of Contents Template 20

Sample Table of Contents 21

Sample List of Tables 22

Sample List of Figures 23

Spacing Template (Chapter One, Page 1) 24

Sample Chapter One, Page 1 25

Sample Continuation Page (with quotation and footnotes) 26

Sample Continuation Page (with figure or table) 27

Sample References Page 28

ACADEMIC PROGRAMS AND MAJORS 29

3

INTRODUCTION

    These guidelines provide students at Vanderbilt University with essential information about how to prepare and submit theses and dissertations in a format acceptable to the Graduate School. The topics range from writing style to the completion of required forms and the payment of fees.

    The majority of students submit an electronic version of their thesis or dissertation to the Graduate School. Electronic versions, once approved for format by the Graduate School, are uploaded to the Vanderbilt University database of Electronic Theses and Dissertations (ETD). There are instructions on the Graduate School website for guidance through this process.

Style

    There is a distinct difference between submitting a manuscript to a publisher and providing a completed thesis or dissertation to the Graduate School. A manuscript represents a pre-publication format; a thesis or dissertation is a final, completely edited, published document. Students should use these guidelines, not other style manuals, as the final authority on issues of format and style. Areas not covered in this document or deviation from any of the specifications should be discussed with a Graduate School format editor. Do not use previously accepted theses and dissertations as definite models for style.

Composition and Structure

Manuscripts consist of four major sections and should be placed in the order listed:

Preliminary Pages

Title Page (required)

Copyright (optional, Ph.D. only)

Dedication (optional)

Acknowledgment (optional)

Preface (optional)

Table of Contents (required)

List of Tables (required)

List of Figures (required)

List of Abbreviations/Nomenclature/Symbols (optional)

Text

Introduction (may be referred to as Chapter 1)

Body of Manuscript

References (required)

Appendices (optional)

Acknowledgement of Support

     Acknowledgement of grant and contract support is included on the Acknowledgement page (Example: A grant from the National Science Foundation). A sample is on page 19.

4

MANUSCRIPT PREPARATION

Abstract

    The abstract is a separate document from the manuscript; it is not bound with the thesis or dissertation. Abstracts must be printed on white, 8 'h x 11 inch paper. No page numbers are printed on the abstract. One copy is required. Abstracts must have the original signature(s) of the faculty advisor(s). The maximum length of the thesis abstract is 250 words. The maximum length of the dissertation abstract is 350 words, including the dissertation title. A sample is provided on page 13. Majors are listed on page 29-30.

Title Pages

    Title pages must be printed on white, 8 'h x 11 inch paper. Committee member signatures on the title page must be originals.

    Spacing between text on the title page will vary according to the length of the title. Sample title pages, including one revised for electronic submission, are on pages 15-16. Format instructions are on page 14.

Font

    Use a standard font consistently throughout the manuscript. Font size should be 10 to 12 point for all text, including titles and headings. It is permissible to change point size in tables, figures, captions, footnotes, and appendix material. Retain the same font, where possible. When charts, graphs, or spreadsheets are “imported,” it is permissible to use alternate fonts.

   Italics are appropriate for book and journal titles, foreign terms, and scientific terminology. Boldface may be used within the text for emphasis and/or for headings and subheadings. Use both in moderation.

Margins

    Measure the top margin from the edge of the page to the top of the first line of text. Measure the bottom page margin from the bottom of the last line of text to the bottom edge of the page. Page margins should be a minimum of one-half inch from top, bottom, left and right.

    Right margins may be justified or ragged, depending upon departmental requirements or student preference.

Pagination

    The title page is considered to be page one, but the page number should not be printed on this page. All other pages should have a page number centered at the bottom of the page. Number the preliminary pages in lowercase Roman numerals. Arabic numerals begin on the first page of text. Pages are numbered consecutively throughout the remainder of the manuscript.

    The Introduction may be placed before the first page of Chapter 1, if it is not considered a chapter. The use of Arabic numbers may begin on the first page of the Introduction.

5

Spacing

    The entire text should be single-spaced, one and one-half spaced, or double-spaced. Block quotations, footnotes, endnotes, table and figure captions, titles longer than one line, and individual reference entries may be single-spaced.

    Double spacing should follow chapter numbers, chapter titles and major section titles (Dedication, Acknowledgements, Table of Contents, List of Tables, List of Figures, List of Abbreviations, Appendices, and References). Double spacing should also occur before each first-level and second-level heading, and before and after tables and figures embedded in the text. There should only be one blank space after headings.

Numbering Schemes

    Chapters may be identified with uppercase Roman numerals or Arabic numbers. Tables, figures, and equations should be numbered consecutively throughout the manuscript with Arabic numerals. Equation numbers should be placed to the right of the equation and contained within parentheses or brackets.

Use uppercase letters to designate appendices.

Division

Body of Manuscript

    Departments will determine acceptable standards for organizing master’s theses into chapters, sections, or parts. Usually, if a thesis has headings, a Table of Contents should be included.

    The dissertation must be divided into chapters. The use of parts, in addition to chapters, is acceptable.

Words and Sentences

    Take care to divide words correctly. Do not divide words from one page to the next. Word processing software provides for “widow and orphan” protection. Utilize this feature to help in the proper division of sentences from one page to another. In general, a single line of text should not be left at the bottom or top of a page. Blank space may be left at the bottom of a page, where necessary.

Headings and Subheadings

    Use headings and subheadings to describe briefly the material in the section that follows. Be consistent with your choice of “levels” and refer to the instructions on spacing, above, for proper spacing between headings, subheadings, and text. First-level headings must be listed in the Table of Contents. Second-level and subsequent subheadings may be included.

Acronyms/Abbreviations/Capitalization

    Abbreviations on the title page should appear as they do in the body of the thesis or dissertation. Examples: Xenopus laevis, Ca, Mg, Pb, Zn; TGF-â, p53.

    Capitalize only the first letter of words of importance, distinction, or emphasis in titles and headings. Do not alter the all-cap style used for acronyms (Example: AIDS) and organizational

6

names (Example: IBM). Use the conventional style for Latin words (Examples: in vitro, in vivo, in situ). Genus and species should be italicized. Capitalize the first letter of the Genus, but not that of the Species name (Example: Streptococcus aureus).

Tables and Figures

    Figures commonly refer to photographs, images, maps, charts, graphs, and drawings. Tables generally list tabulated numerical data. These items should appear as close as possible to their first mention in the text. Tables and figures may be placed in appendices, if this is a departmental requirement or standard in the field.

    Tables and figures should be numbered with Arabic numerals, either consecutively or by chapter. Be consistent in the style used in the placement of tables and figure captions.

    Tables and figures may be embedded within the text or placed on a page alone. When placed on its own page, a figure or table may be centered on the page. When included with text, a table or figure should be set apart from the text.

Tables and figures, including captions, may be oriented in landscape.

Table data and figure data must be kept together, if the information fits on one page.

Table of Contents Preparation

    Although the Graduate School does not provide word processing expertise or information, one hint is included. In Word, use the “Format Tabs” feature to prepare the table of contents. Type the number 6.5 in the Tab stop position box, select Alignment right and select Leader Option 2. These commands allow the computer to right align the page numbers and accurately place the "dots". Use the space bar for indentation. Table of contents instructions and examples are included on pages 20- 21.

Use these same steps to prepare the List of Tables and Lists of Figures.

GENERAL INFORMATION

Language Other than English

    Students in foreign language departments may submit manuscripts in a language other than English. The title of the thesis or dissertation should be written in the foreign language on the title page and abstract.

Multi-Part and Journal Article Format

    A multi-part presentation format may be used for combining research that has been conducted in two or more related or non-related areas, or for presentation of combined journal articles (published or submitted for publication). Organization of the parts or articles into chapters is recommended. Each “chapter” may contain its own list of references and appendices.

    Each dissertation should include the appropriate preliminary pages, an introduction presenting the general theme of the research and literature review, and a conclusion summarizing and integrating the major findings. Each “chapter” should consist of well-defined “subheadings,” such as introduction, methods, results, and discussion.

7

    The preliminary pages should include only one Table of Contents, List of Tables, List of Figures, and List of Abbreviations/Nomenclature. Tables and figures should be placed within the text, not at the end as is customary in articles prepared for journal publication.

Permission to Use Copyrighted Material

    The standard provisions of copyright laws regarding quoted material under copyright apply to electronic publication. Dissertations are scanned by ProQuest for previously copyrighted material. When a student has published portions of their dissertation as articles in a copyrighted journal, permission from the journal to include that material must be obtained. ProQuest requires written permission from the copyright holder of any extensively quoted material. Emailed approvals from the journals are accepted. Proper acknowledgement within the text of the manuscript must be made. Students should discuss questions about copyrighted material with their dissertation director.

EXTRA COPIES

    The Graduate School recommends Campus Copy for procuring bound copies of theses and dissertations. You may contact them directly at 615-322-6849, or by email at http://printingservices.vanderbilt.edu.

INTENT TO GRADUATE

    At the beginning of the semester in which a student will be completing a degree, he or she must fill out an “Intent to Graduate” form and return it by the date specified at the top of the form. Intent forms can be downloaded at http://www.vanderbilt.edu/gradschool/formlocator and require the signature of the Director of Graduate Studies. Inform the Graduate School if information on “Intent to Graduate” form changes or if completion plans are delayed.

FORMAT REVIEW

    After the specifications in these Guidelines have been incorporated into the thesis or dissertation, a student needs format approval. Please contact Liz Leis at liz.leis@vanderbilt.edu or 322-3934 or Linda Harris at linda.harris@vanderbilt.edu or 322-3943 to schedule an appointment. This meeting requires less than an hour. It is helpful to send your document in advance, as an email attachment.

    Students who no longer reside in Nashville must adhere to the specifications in these Guidelines. Many students schedule a meeting time when they are on campus for their defense. Manuscripts can be sent for format review electronically. Students are responsible for ensuring that all documents are received. The Graduate School address is 411 Kirkland Hall, Vanderbilt University, 2101 West End Avenue, Nashville, TN 37240.

SUBMISSION

    Required documents should be submitted to the Graduate School by the deadline listed at the top of the “Intent to Graduate” form. Refer to the “Checklist” on page 10.

8

Master’s Thesis

     The master’s student must submit one copy of the title page, with original signatures of the committee members and one copy of the abstract, with the original signature of the advisor.

Ph.D. Dissertation

     The doctoral student must submit one copy of the title page with original signatures of the committee members and one copy of the abstract, with the original signature of the advisor. The forms described below must also be completed and returned.

     ProQuest Information and Learning. Dissertations must be published electronically through ProQuest. The Publishing Agreement Form is available at:

2014-2015 ProQuest Dissertation Paper Submission Agreement. Return pages 4-5 (and possibly page 6) to the Graduate School.

     Worldwide access is preferred; however, students may restrict access to their work for a period of up to two years. After two years, the dissertation will be released for worldwide access.

     Copyright Registration. ProQuest will register a copyright on behalf of doctoral recipients. Students who elect this service should sign the copyright section of the Publishing Agreement Form, include a copyright page within the dissertation, and pay the registration fee. Copyrighting is optional. Discuss questions with committee members.

     Survey of Earned Doctorates. Students finishing a doctorate degree are requested to complete the SED survey accessible at http://sed.norc.org/survey. Information provided to the National Opinion Research Council remains confidential and will be used for research or statistical purposes. Email confirmation of completed survey to GradSEDsubmission@vanderbilt.edu.

     Curriculum Vitae. Instructions on preparing a curriculum vitae are available at: http://vanderbilt.edu/gradschool/formlocator/thesisanddissertationsubmission/CVrequireme nt.pdf. This document should be sent electronically to Gradcvsubmission@vanderbilt.edu.

PRINTED SUBMISSION

     Students who elect to print their theses or dissertation must provide the Graduate School with two complete copies of their document. Both copies must be printed on white, acid-free 8 1/2 X 11 inch paper of at least 20-lb. weight and 25% cotton content. Paper of this quality is required to preserve the content over time. Vanderbilt watermark meets these minimum specifications, but watermark is not required.

     Copies submitted to the Graduate School must be sharp, clear, and free of smudges or extraneous marks. Text print must be consistently clear and in black ink. Print on one side of the page only. The use of color in graphics, figures and tables enhances detail and is encouraged.

     There is a binding fee of $38 ($19 per volume). Both copies are placed in the Vanderbilt University library system.

9

Checklist and Fees

The following items must be submitted to the Graduate School by the deadline listed on the Intent to Graduate form:

Master’s Thesis:

1. One copy of the title page on plain, white 8'h X 11 inch paper (copy paper is

acceptable) with the original signatures of advisor and second reader (month on the title page is the degree conferral—May, August, or December).

2. One copy of the abstract on plain, white 8'h X 11 inch paper (copy paper is

acceptable) with original signature of advisor(s).

Ph.D. Dissertation:

1. One copy of the title page on 8'h X 11 inch plain, white paper (copy paper is acceptable) with the original signatures of committee members (month on the title page is the degree conferral month—May, August, or December).

2. One copy of the abstract on plain, white paper (copy paper is acceptable) with original signature of dissertation director.

3. One photocopy of the title page on plain, white copy paper.

4. One photocopy of the abstract on plain, white copy paper.

5. ProQuest Publishing Agreement. Here is the link to access the document: 2014-2015 ProQuest Dissertation Paper Submission Agreement. Complete pages 4 & 5 only...include page 6 if you elect to register your copyright.

6. Survey of Earned Doctorates http://sed.norc.org/survey (email

confirmation of completed survey to

GradSEDsubmission@vanderbilt.edu).

7. Curriculum vitae (send electronically to GradCVsubmission@vanderbilt.edu).

8. Fees:

$ 65.00 Traditional Publishing OR

$160.00 Open Access Publishing

$ 55.00 Copyright fee (optional)

Electronic submission: Revise title page with typed names of committee members, then convert document to a PDF. Name your file with your last name (for instance, Schemmer.pdf). Upload on the ETD (Electronic Theses and Dissertations) web site. There are no binding fees.

Printed submission: Two copies of the entire thesis or dissertation, printed on white, acid-free 8'h X 11 inch paper, of at least 20-lb. weight and 25% cotton, must be turned into the Graduate School. The binding fee is $38.00. The electronic publishing fee is also required from doctoral students (Traditional or Open Access).

Checks or cash: One check for the total amount due should be made payable to Vanderbilt University. Cash is accepted in the exact amount only.

10

Margin Template

T

Minimum 'h"' top margin

(from top of page to top of fist line text)

<-Minimum 'h"' left margin Minimum 'h"' right margin 4

(Page numbers fall WITHIN the bottom margin and must be centered

(From the bottom of the last line of text to the bottom of the page)

Minimum 'h"' bottom margin

y

11

Format for Abstract

MAJOR 

(All caps, underlined, right justified, one inch from top of page. DO NOT

   precede Program name with the words “Department of”). *See pages

29-30 for the list of majors

(Set line spacing to double spacing after  Title)

Final title of dissertation, upper/lower case, single-spaced, centered

Your name, upper/lower case, centered

Dissertation (or Thesis) under the direction of Professor (Full Name) 

(Underlined, centered, upper/lower case, double space to text, no page numbers)

TEXT

(Double spaced)

Approved Date

Type full name of Dissertation (or Thesis) director

12

Sample Abstract

HUMAN GENETICS

Strain-Specific Alleles of Phox2B Differentially

Modify Sox10Dom Aganglionosis

Lauren Colleen Walters

Dissertation under the direction of Professor E. Michelle Southard-Smith 

    Hirschsprung disease (HSCR) is characterized by a lack of enteric ganglia in a variable portion of the distal bowel. The complex inheritance pattern of this disorder has led researchers to focus on genetic effects other than the putative disease mutation. Mouse models provide a controlled background for these types of studies. Sox10 is an essential gene for the development of the enteric nervous system (ENS). Sox10Dom mice on a mixed genetic background exhibit the variable aganglionosis seen in HSCR cases. Congenic lines of Sox10Dom mice on distinct inbred genetic backgrounds, C57BL/6J (B6) and C3HeB/FeJ (C3Fe), differ in penetrance and extent of aganglionosis. A linkage screen for modifiers of Sox10Dom aganglionosis was undertaken in a large B6 X C3Fe F2 population. Several potential modifier regions were identified, with the most significant located on chromosome five (Sox10m3). The most relevant candidate gene in this region was Phox2B, an essential factor in autonomic neurogenesis.

Approved Date

E. Michelle Southard-Smith, Ph.D.

13

Format for Title Page

Title of dissertation, upper/lower case, single-spaced, centered

(One inch from top of page to top of title)

(Spacing will vary depending on length of the title of thesis or dissertation)

By

Your Name

(The following five lines must be included in this exact format)

Dissertation (or Thesis)

Submitted to the Faculty of the

Graduate School of Vanderbilt University

in partial fulfillment of the requirements

for the degree of

DOCTOR OF PHILOSOPHY

in

Major

(Refer to pages 29-30)

Month, Year

*IMPORTANT: The month will always be either May, August, or December

This is your actual  GRADUATION semester, not your thesis or defense semester

Nashville, Tennessee

Approved: (Original signatures of committee members) Date:

(Typed member’s full name under each signature line)

(Typed member’s full name under each signature line)

(Typed member’s full name under each signature line)

(Typed member’s full name under each signature line)

(Typed member’s full name under each signature line)

(Title Page carries the value of page “i”, but do not print number on page)

14

Sample Title Page

Mechanisms of Antibiotic Resistance

and Pathogenesis in Acinetobacter baumannii

By

Marguerite Indriati Hood

Dissertation

Submitted to the Faculty of the

Graduate School of Vanderbilt University

in partial fulfillment of the requirements

for the degree of

DOCTOR OF PHILOSOPHY

in

Microbiology and Immunology

August, 2012

Nashville, Tennessee

Approved: Date:

Timothy L. Cover, M.D.

Dean W. Ballard, Ph.D.

Timothy S. Blackwell, M.D.

Terence S. Dermody, M.D.

Eric P. Skaar, Ph.D.

(Title Page carries the value of page “i”, but do not print number on the page)

15

Sample Title Page, Revised for Electronic Submission

Mechanisms of Antibiotic Resistance

and Pathogenesis in Acinetobacter baumannii

By

Marguerite Indriati Hood

Dissertation

Submitted to the Faculty of the

Graduate School of Vanderbilt University

in partial fulfillment of the requirements

for the degree of

DOCTOR OF PHILOSOPHY

in

Microbiology and Immunology

August, 2012

Nashville, Tennessee

Approved:

Timothy L. Cover, M.D.

Dean W. Ballard, Ph.D.

Timothy S. Blackwell, M.D.

Terence S. Dermody, M.D.

Eric P. Skaar, Ph.D.

(Title Page carries the value of page “i”, but do not print number on the page)

16

Sample Copyright Page

Copyright © 2014 by Clinton Cody Bertram All Rights Reserved

17

Sample Dedication Page

To my amazing daughters, Megan and Alisha, wise beyond their years

and

To my beloved husband, Jonathan, infinitely supportive

Begin printing page numbers here, using lower case Roman numerals and continue consecutive Roman numeral numbering throughout the preliminary pages.

18

Sample Acknowledgement Page

ACKNOWLEDGEMENTS

    This work would not have been possible without the financial support of the Vanderbilt Physician Scientist Development Award, the American Roentgen Ray Society Scholarship or the Vanderbilt University Medical Center Department of Radiology and Radiological Sciences. I am especially indebted to Dr. Martin Sandler, Chairman of the Department of Radiology, and Dr. John Worrell, Chief of the Section of Thoracic Radiology, who have been supportive of my career goals and who worked actively to provide me with the protected academic time to pursue those goals.

    I am grateful to all of those with whom I have had the pleasure to work during this and other related projects. Each of the members of my Dissertation Committee has provided me extensive personal and professional guidance and taught me a great deal about both scientific research and life in general. I would especially like to thank Dr. Ron Price, the chairman of my committee. As my teacher and mentor, he has taught me more than I could ever give him credit for here. He has shown me, by his example, what a good scientist (and person) should be.

    Nobody has been more important to me in the pursuit of this project than the members of my family. I would like to thank my parents, whose love and guidance are with me in whatever I pursue. They are the ultimate role models. Most importantly, I wish to thank my loving and supportive wife, Jennifer, and my three wonderful children, Lauren, Jacob and Elizabeth, who provide unending inspiration.

19

Table of Contents Template

TABLE OF CONTENTS

Page

DEDICATION iii

ACKNOWLEDGEMENTS iv

LIST OF TABLES vii

LIST OF FIGURES ix

LIST OF ABBREVIATIONS x

Chapter

I. Title of Chapter I 1

First level heading one (upper/lower case) 1

First level heading two 3

First level heading three 6

Second level subheading one (upper/lower case) 8

Second level subheading two 10

First level heading four 15

First level heading five 17

II. Title of Chapter II 20

First level heading one (upper/lower case) 20

Second level subheading one (upper/lower case) 23

Second level subheading two 25

First level heading two 28

First level heading three 30

Appendix

A. Title of First Appendix 125

B. Title of Second Appendix 137

C. Title of Third Appendix 143

REFERENCES 149

20

Sample Table of Contents

TABLE OF CONTENTS

Page

ACKNOWLEDGEMENTS iv

LIST OF TABLES vii

ABBREVIATIONS xiii

Chapter

I. Introduction 1

Ferromagnetic Nanoparticles: Theory and Synthesis Strategies 5

The Direct Formic Acid Fuel Cell 11

Ultra-Hard Late-Transition Metal Borides 14

II. Direct Synthesis and Size Selection of Ferromagnetic Iron Platinum Nanoparticles 19

Introduction 19

Experimental 20

Results and Discussion 23

Conclusion 35

III. Direct Synthesis and Characterization of Iron Palladium and Cobalt Platinum Nanoparticles 37

Introduction 37

Experimental 38

Results and Discussion 49

Conclusion 52

IV. Microwave Synthesis of Palladium Carbon Nanocomposites and Their Formic Oxidation

Catalytic Performance 54

Introduction 54

Experimental 57

Results and Discussion 87

Conclusion 96

Appendix

A. Lithium Intercalation of Vanadium (V) Oxide 99

B. Synthesis and Characterization of Palladium Bismuth, Palladium Lead, Nanacomposites for

Formic Acid Oxidation 103

REFERENCES 121

21

Sample List of Tables

LIST OF TABLES

Table Page

1.

Process Hazard Analysis (PHA) Techniques----Basic Information

38

2.

Safety Hazard Analysis Techniques----Basic Information

42

3.

Comparison of Hazard Analysis Techniques----Strengths and Weaknesses

43

4.

Selected Human Health Risk Assessment Techniques----Basic Information

53

5.

Selected Health Risk Assessment Techniques----Strengths and Weaknesses

54

6.

Distinguishing Characteristics of Point Estimate and Probabilistic Human Health Risk

Assessment Methods

62

7.

Selected Human Health Risk Assessment and Risk Management Methodologies

65

8.

Example Risk Assessment Matrix from Brown et al. (2005)

115

9.

Baseline Risks for SDA Human Health Contaminants of Potential Concern

151

10.

Baseline Risks for BCBG Residential Contaminants of Potential Concern

156

11.

Possible Subsurface Disposal Area (SDA) Disposition Alternatives

171

12.

General Process Steps Needed to Disposition DOE Buried Wastes

175

13.

Hazard Evaluation for Manage-in-Place Alternative, No Action Option (1A)

186

14.

Gap Analysis for Manage-in-Place Alternative, No Action Option (1A)

191

15.

Summary of the Most Important Human Health Risks and Knowledge Gaps for the SDA

Remedial Alternatives

203

16.

Possible Bear Creek Burial Grounds (BCBG) Disposition Alternatives

215

17.

Process Steps Needed to Disposition (BCBG) Buried Wastes

216

18.

Hazard Evaluation for Manage-in-Place Alternative, No Action Option (1A)

222

19.

Gap Analysis for Manage-in-Place Alternative, No Action Option (1A)

227

22

Sample List of Figures

LIST OF FIGURES

Figure Page

1. Oviposition sites and resulting fruit shapes for flowers pollinated by Tegeticula

cassandra and t. yuccasella

12

2.

Survivorship results for Tegeticula Cassandra and T. yuccasella

21

3.

Example of differences in vapor pressure over time for the three flower

23

4.

Distribution of the pollinator Tegeticula elatella and the cheater T. intermedia the United

States

39

5.

Maximum likelihood tree for the Tegeticula elatella, T. intermedia mitochondrial DNA

haplotypes

45

6.

Likelihood scores calculated from AFLP date for Tegeticula elatella, T. intermedia, and

individuals from the Big Bend population

47

7.

Site locations for Tegeticula intermedia and T. Cassandra in the United States

61

8.

Hypothetical scenario for the evolution of cheating in the Tegeticula intermedia

T. Cassandra lineage

62

9.

Maximum-likelihood tree for Tegeticula intermedia and T. Cassandra mitochondrial DNA

haplotypes

71

10.

Mitochondrial DNA haplotype network for Tegeticula intermedia

72

11.

Mitochondrial DNA haplotype network for Tegeticula cassandra

73

12.

Isolation by distance results for Tegeticula intermedia and T. cassandra

75

13.

Mismatch distributions for Tegeticula intermedia and T. cassandra

76

14.

Posterior distributions of migration for Tegeticula intermedia and T. cassandra

78

23

Spacing Template – Chapter One, Page One

CHAPTER I

TITLE OF CHAPTER

First-Level Heading

    Begin each chapter at the top of a new page. Follow the chapter number and chapter title with the same amount of space (line and one-half, double space, or “two enters, with spacing set to double space”). Use this same amount of space to precede first -and second- level headings, and before and after figures and tables.

Second-Level Heading

    The number of levels and the placement of the headings and subheadings will vary, dependent on departmental requirements or preference. Headings may be centered, left justified, in bold face, italicized, indented or numbered. Use the same style throughout the document.

Be consistent with spacing and heading styles.

(Begin the use of Arabic numbering on the first page of text. Continue consecutive Arabic page numbering throughout the remainder of the document, including the appendices and references)

24

Sample Chapter One, Page One

CHAPTER 1

INTRODUCTION

    Most children develop spatial concepts by looking at their environment and moving through their surroundings (Long & Hill, 2000). Children who are blind are unable to visually learn about their environment and are often delayed in the motor skills necessary to explore their environment (Adelson & Fraiberg, 1974; Jan, Sykanda, & Groenveld, 1990; Palazesi, 1986). Despite these delays, children who are blind are able to develop and use cognitive maps of spatial relationships though not necessary following the same pattern as children with typical sight (see literature review).

    First, key terms are defined and the impact of blindness on cognitive mapping is discussed. Next, a historical perspective on cognitive mapping in children with visual impairments is provided. Then, methods of measuring cognitive mapping are presented, and the importance of studying cognitive mapping abilities in children is discussed. Finally, research questions are presented.

Definitions and Impact of Blindness on Cognitive Mapping

Definitions

          Cognitive mapping – a psychological process in which one “acquires, codes, stores, recalls, and decodes information about the relative locations and attributes of phenomena in his everyday, spatial environment” (Downs & Stea, 1973, p. 9).

25

Sample Continuation Page (with quotation and footnotes)

Once again when he reminds us of Thomas S. Kuhn’s work on paradigms: “But as Thomas S. Kuhn has stated in the Structure of Scientific Revolutions, theory often follows rather than precedes the practical ‘shift in paradigm’ that he regards as constituting a revolution in most research disciplines.”95 Perhaps the practice of a new paradigm is coming into place with the theory to follow. Perhaps we as historians of ancient Israel should acknowledge an axiom of philosopher of history, Michael Stanford,

It is therefore not a weakness of history that it generates unending debates Therefore history is to be seen not as a set of cast-iron facts, but rather as an ongoing conversation with one’s fellows about affairs of importance or interest – past, present or future. The discussion can at times become debate, or fierce argument...History is not a concept but an activity – an activity of a unique kind...History is...best understood as an endless debate, constituting an important part of the continuing conversation of mankind [sic].96

    Contemporary historians then continue to press forward by contemplating increasingly complex questions. Perhaps it is in conversation with the broader discipline of history and philosophy of history that historians of ancient Israel will find acceptable foundations for a new paradigm.97 Historiography in general, and historiography of ancient Israel specifically, finds itself at an extended crossroad, in need of an agreed-upon historiographic framework. In establishing this framework, the discipline must acknowledge the tradition upon which it stands; it must acknowledge the corrective challenges that have and continue to modify that tradition; it must push that tradition to ask itself challenging questions; it must reformulate itself to meet its current “depression + conduct disorder but do not have ADHD”. This is a more accurate representation of the presentation clinicians must deal with in community settings. Finding “pure” examples of a single diagnosis is uncommon. Therefore, in the current study, a child was listed as having a diagnosis if he/she met the criteria for that diagnosis and regardless of the other diagnoses for which he/she might have qualified.

95 Dever, 69, discussing Thomas S. Kuhn, The Structure of Scientific Revolutions (3rd ed.; Chicago: University of Chicago Press, 1996).

96Stanford, An Introduction to the Philosophy of History, preface, viii.

97As already suggested by Long, “The Future of Israel’s Past,” passim and Halpern, The First Historians, passim.

26

Continuation Page (with table or figure)

“depression + conduct disorder but do not have ADHD”. This is a more accurate representation of the presentation clinicians must deal with in community settings. Finding “pure” examples of a single diagnosis is uncommon. Therefore, in the current study, a child was listed as having a diagnosis if he/she met the criteria for that diagnosis and regardless of the other diagnoses for which he/she might have qualified.

Figure 2. Venn Diagram of Co-Morbid Disorders

    In addition to the PCAS diagnoses, Internalizing and Externalizing scores from the Child Behavior Checklist were used as indicators of “broadband-specific features” (Weiss, Susser, & Catron, 1998) rather than the narrowband-specific features represented by specific diagnostic categories. Measures of Internalizing and Externalizing behaviors function as indicators of what the parent/surrogate views as the primary problem. T scores for theses two scales were used in analyses. Theses T scores reflect the deviation of all subjects from the mean of their respective normative (age and gender) groups in the same fashion without losing any statistical power (Achenbach, 1991).

27

Sample References Page

REFERENCES

Able, S. and Ungewickell, E. (1990) Auxilin, a newly identified clathrin-associated Protein in coated Vesicles from bovine brain. J Cell Biol, 111, 19-29.

Bartels, C., Xia, T., Billeter, M., Guntert, P. and Wuthrich, K. (1995) The program XEASY for computer-supported NMR spectral analysis of biological macromolecules. J Biol NMR, 1-10.

Bashford, D. and Case, D.A. (2000) Generalized born models of macromolecular salvation effects. Annu Rev Phys Chem, 51, 129-152.

Bayer, P., Arndt, A., Metzger, S., Mahajan, R., Melchior, F., Jaenicke, r. and Becker, J. (1998) structure determination of the small ubiquitin-related modified SUMO-1. J Mol Biol, 280, 275-286.

Beal, R., Deveraux, Q., Xia, G., Rechsteiner, M. and Pickart, C. (1996) Surface hydrophobit residues of multiubiquitin chains essential for proteolytic targeting. Proc Natl Acad Sci U S A, 93, 861-866.

Bertolaet, B.L., Clarke, D.J., Wolff, M., Watson, M.H., Henze, M., Divita, G. and Reed, S.I. (2001a)

UBA domains mediate protein-protein interactions between two DNA damage-inducible proteins. J Mol Biol, 313, 955-963.

Bertolaet, B.L., Clarke, D.J., Wolff, M., Watson, M.H., Henze, M., Divita, G. and Reed, S.I. (2001b) UBA domains of DNA damage-inducible proteins interact with ubiquitin. Nat Struct Biol, 8, 417422.

Biederer, T., Volkwein, C. and Sommer, T. (1997) Role of Cue1p in ubiquitination and degradation at the ER surface. Science, 278, 1806-1809.

Bodehausen, G. and Ruben, D.J. (1980) Natural abundance nitrogen-15 NMR by enhanced heteronuclear spectroscopy. Chemical Physics Letters, 69, 185-189.

Bonifacino, J.S. and Traub, L.M. (2003) Signals for Sorting of Transmembrane Proteins to Endosomes and Lysosomes. Annu Rev Biochem, 72, 395-447.

Braunschweiler, L. and Ernest, R.R. (1983) Coherence transfer by isotropic mixing: Application to proton correlation spectroscopy. Journal of Magnetic Resonance, 53, 521-528.

Buchberger, A. (2002) From UBA to UBX: new words in the ubiquitin vocabulary Trends Cell Biol, 12, 216-221.

28

ACADEMIC PROGRAMS AND MAJORS

Majors listed in middle column below must be used on Title Page and Abstract

Academic Program Major *(To be reflected on title page) Degrees 

Anthropology Anthropology M.A., Ph.D.

Biochemistry Biochemistry M.S.*, Ph.D.

Biological Sciences Biological Sciences M.S.*, Ph.D.

Biomedical Engineering Biomedical Engineering M.S., Ph.D.

Biomedical Informatics Biomedical Informatics M.S., Ph.D.

Biostatistics Biostatistics M.S., Ph.D.

Cancer Biology Cancer Biology M.S.*, Ph.D.

Cell and Developmental Biology Cell and Developmental Biology M.S.*, Ph.D.

Cellular and Molecular Pathology Pathology M.S.*, Ph.D.

Chemical and Biomolecular Engineering Chemical Engineering M.S., Ph.D.

Chemical and Physical Biology Chemical and Physical Biology M.S.*, Ph.D.

Chemistry Chemistry M.S.*, Ph.D.

Civil Engineering Civil Engineering M.S., Ph.D.

Classical Studies Classical Studies M.A.

Community Research and Action Community Research and Action M.S.*, Ph.D.

Computer Science Computer Science M.S., Ph.D.

Creative Writing Creative Writing M.F.A.

Earth and Environmental Sciences Earth and Environmental Sciences M.A.T., M.S.

Economic Development Economics M.A.

Economics Economics M.A.*, Ph.D.

Electrical Engineering Electrical Engineering M.S., Ph.D.

English English M.A.*, Ph.D.

Environmental Engineering Environmental Engineering M.S., Ph.D.

Epidemiology Epidemiology Ph.D.

French French M.A.*, Ph.D.

German German M.A.*, Ph.D.

Hearing and Speech Sciences Hearing and Speech Sciences Ph.D.

History History M.A.*, Ph.D.

Human Genetics Human Genetics Ph.D.

Interdisciplinary, Individualized Degrees Interdisciplinary Studies: (Subtitle) M.A., M.S., Ph.D.

Interdisciplinary Materials Science Interdisciplinary Materials Science M.S., Ph.D.

Latin American Studies Latin American Studies M.A.

Law and Economics Law and Economics Ph.D.

Leadership and Policy Studies Leadership and Policy Studies Ph.D.

Learning, Teaching, and Diversity Learning, Teaching, and Diversity M.S.*, Ph.D.

Liberal Arts and Science Liberal Arts and Science M.L.A.S.

Management Management Ph.D.

Mathematics Mathematics M.A., M.S., Ph.D.

Mechanical Engineering Mechanical Engineering M.S., Ph.D.

29

Medicine, Health, and Society Medicine, Health, and Society M.A.

Microbiology and Immunology Microbiology and Immunology M.S.*, Ph.D.

Molecular Physiology and Biophysics Molecular Physiology and Biophysics M.S.*, Ph.D.

Neuroscience Neuroscience M.S.*, Ph.D.

Nursing Science Nursing Science Ph.D.

Pharmacology Pharmacology M.S.*, Ph.D.

Philosophy Philosophy M.A.*, Ph.D.

Physics and Astronomy Physics M.A., M.S., Ph.D.

Political Science Political Science M.A.*, Ph.D.

Psychology Psychology M.A.*, Ph.D.

Psychology and Human Development Psychology M.S.*, Ph.D.

Religion Religion M.A., Ph.D.

Sociology Sociology Ph.D.

Spanish and Portuguese Spanish M.A.*, Ph.D.

Portuguese M.A.*

Spanish and Portuguese M.A.*, Ph.D.

Special Education Special Education Ph.D.

*A master’s degree is awarded only under special circumstances.

30

Co-creating unique value with customers

C.K. Prahalad and Venkat Ramaswamy

C.K. Prahalad is the Harvey Fruehauf Professor of Business and Venkat Ramaswamy is the Michael and Mary Hallman Fellow of Electronic Business and Professor of Marketing at the University of Michigan Business School. An internationally recognized lecturer and consultant, Professor Prahalad is the coauthor of the influential Competing for the Future (Harvard Business School Press, 1994). This article is based on the authors' book The Future of Competition: Co-Creating Unique Value with Customers (Harvard Business School Press, 2004).

© 2004 C.K. Prahalad and Venkatram Ramaswamy. All rights reserved.

Twin paradoxes describe the twenty-first-century economy. Consumers have more choices that yield less satisfaction. Top management has more strategic options that

      yield less value. This emerging reality is forcing a reexamination of the traditional system of company-centric value creation that has served us so well over the past 100 years. Leaders now need a new frame of reference for value creation (see Exhibit 1). The answer, we believe, lies in a premise centered on co-creation of unique value with customers. It begins by recognizing that the role of the consumer in the industrial system has changed from isolated to connected, from unaware to informed, from passive to active. The impact of the connected, informed, and active consumer is manifest in many ways.

Information access. With access to unprecedented amounts of information, knowledgeable consumers can make more informed decisions. For companies accustomed to restricting the flow of information to consumers, this shift is radical. Millions of networked consumers are now collectively challenging the traditions of industries as varied as entertainment, financial services, and health care.

Global view. Consumers can also access information on firms, products, technologies, performance, prices, and consumer actions and reactions from around the world. Geographical limits on information still exist, but they are eroding fast, changing the rules of business competition. For example, broader consumer scrutiny of product range, price, and performance across geographic borders is limiting multinational firms' freedom to vary the price or quality of products from one location to another.

Networking. --Thematic consumer communities'', in which individuals share ideas and feelings without regard for geographic or social barriers, are revolutionizing emerging markets and transforming established ones. The power of consumer communities comes from their independence from the firm. In the pharmaceutical industry, for instance, word of mouth about actual consumer experiences with a drug, and not its claimed benefits, is increasingly affecting patient demands. Thus, consumer networking inverts the traditional top-down pattern of marketing communications.

Experimentation. Consumers can also use the Internet to experiment with and develop products, especially digital ones. Consider MP3, the compression standard for encoding digital audio developed by a student Karlheinz Brandenburg and released to the public by the Fraunhofer Institute in Germany. Once technology-savvy consumers began experimenting with MP3, a veritable audio-file-sharing movement surged to challenge the music industry. The collective genius of software users the world over has similarly enabled the co-development of such popular products as the Apache Web server software and the Linux operating system.

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STRATEGY & LEADERSHIP I VOL. 32 NO. 3 2004, pp. 4-9, Emerald Group Publishing Limited, ISSN 1087-8572

Exhibit 1

The new frame of reference for value creation

Activism. As people learn, they can better discriminate when making choices; and, as they network, they embolden each other to act and speak out. Consumers increasingly provide unsolicited feedback to companies and to each other. Already, hundreds of Web sites are perpetuating consumer activism, many targeting specific companies and brands. America Online's AOL Watch, for example, posts complaints from former and current AOL customers.

Co-creation of value

What is the net result of the changing role of consumers? Companies can no longer act autonomously, designing products, developing production processes, crafting marketing messages, and controlling sales channels with little or no interference from consumers. Consumers now seek to exercise their influence in every part of the business system. Armed with new tools and dissatisfied with available choices, consumers want to interact with firms and thereby co-create value. The use of interaction as a basis for co-creation is at the crux of our emerging reality.

In the conventional value creation process, companies and consumers had distinct roles of production and consumption. Products and services contained value, and markets exchanged this value, from the producer to the consumer. Value creation occurred outside the markets. But as we move toward co-creation this distinction disappears. Increasingly, consumers engage in the processes of both defining and creating value. The co-creation experience of the consumer becomes the very basis of value.

The future of competition, however, lies in an altogether new approach to value creation, based on an individual-centered co-creation of value between consumers and companies. Armed with new connective tools, consumers want to interact and co-create value, not just with one firm but with whole communities of professionals, service providers, and other consumers. The co-creation experience depends highly on individuals. Each person's uniqueness affects the co-creation process as well as the co-creation experience. A firm cannot create anything of value without the engagement of individuals. Co-creation supplants the exchange process.

The new frame of reference for value creation

What might a new, internally consistent system based on co-creation of value look like? Managers must attend to the quality of co-creation experiences, not just to the quality of the

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STRATEGY & LEADERSHIP I PAGE 5

firm's products and processes. Quality depends on the infrastructure for interaction between companies and consumers, oriented around the capacity to create a variety of experiences. The firm must efficiently innovate --experience environments'' that enable a diversity of co-creation experiences. It must build a flexible --experience network'' that allows individuals to co-construct and personalize their experiences. Eventually, the roles of the company and the consumer converge toward a unique co-creation experience, or an --experience of one''.

Notice what co-creation is not. It is neither the transfer nor outsourcing of activities to customers nor a marginal customization of products and services. Nor is it a scripting or staging of customer events around the firm's various offerings. That kind of company-customer interaction no longer satisfies most consumers today.

The change that we are describing is far more fundamental. It involves the co-creation of value through personalized interactions that are meaningful and sensitive to a specific consumer. The co-creation experience (not the offering) is the basis of unique value for each individual. The market begins to resemble a forum organized around individuals and their co-creation experiences rather than around passive pockets of demand for the firm's offerings.

The DART model of co-creation of value

Consider the co-creation experience from a firm's perspective. The firm and its suppliers can learn more about consumers and get new ideas for design, engineering, and manufacturing. The employees - from design engineers to carpenters - can more deeply understand consumer aspirations, desires, motivations, behaviors, and agreeable trade-offs regarding features and functions. Through continuous dialogue, employees can relate their efforts to individual consumers. The company can reduce uncertainty in capital commitments and even spot and eliminate sources of environmental risk.

But the co-creation process, demanding as it is, raises important questions for managers:

* In-depth dialogue with customers is very time-intensive. How can my firm interact so intensely with each consumer and maintain operational efficiency?

* Co-creation allows for an unusual degree of customer input into product design. How do I maintain consistently high standards of product quality and cede some control over design?

* Transparency allows customers to interact with my firm in potentially intrusive ways. How much access up and down the supply chain do I allow customers?

* Individual consumers are at the very heart of the co-creation experience. How do I deal with the heterogeneous demands of my customer base?

* Discussing options openly gives customers a degree of control over the risks that they assume - but not necessarily the liabilities. Where do I draw the line on acceptable risks - and where do my legal responsibilities begin and end?

* Co-creation moves the firm toward an individual-centered view of demand. How does demand forecasting work under such unpredictable circumstances?

The building blocks of co-creation

As the consumer-company interaction becomes the locus of value creation we need to understand the process of co-creation through its key building blocks: dialogue, access, risk assessment, and transparency - the DART model of value co-creation.

Dialogue. Dialogue means interactivity, engagement, and a propensity to act - on both sides. Dialogue is more than listening to customers: it implies shared learning and communication between two equal problem solvers. Dialogue creates and maintains a loyal community.

`` Eventually, the roles of the company and the consumer converge toward a unique co-creation experience, or an `experience of one'. ''

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STRATEGY & LEADERSHIP I VOL. 32 NO. 3 2004

Consider the customers of Cisco Systems, the leading maker of computer networking equipment. Recognizing the competence of its customer base, the company created Cisco Connections Online, which provides a suite of interactive, networked services with quick open access to Cisco's information, resources and systems. This network allows Cisco's customers to engage each other in dialogue, helping to solve one another's technical problems and enhancing the Cisco experience for everyone.

Access. Access begins with information and tools. Consider Taiwan Semiconductor Manufacturing Company (TSMC), one of the world's largest and more creative semiconductor firms. TSMC has given its customers access to data on its manufacturing processes, design and fabrication libraries, and quality processes. Thus, as the semiconductor business becomes more software-oriented, even small software firms can access the knowledge base of large manufacturing facilities like TSMC, reducing the investment needed to participate effectively in the semiconductor business.

Risk assessment. Risk here refers to the probability of harm to the consumer. If consumers are active co-creators, should they shoulder responsibility for risks as well? The debate about informed consent and the responsibilities of companies and consumers will likely continue for years. However, we can safely assume that consumers will increasingly participate in co-creation of value. They will insist that businesses inform them fully about risks, providing not just data but appropriate methodologies for assessing the personal and societal risk associated with products and services.

Risk assessment and informed choice got a boost from the US Food and Drug Administration's decision to reintroduce Lotronex, a drug used in treating irritable bowel syndrome. After Lotronex was first introduced by GlaxoSmithKline in 2000, more than 275,000 patients used it. When significant side effects led to several deaths, Glaxo withdrew the drug from the market, less than ten months after its introduction.

In the age of the active consumer the story didn't end here. Thousands of irritable bowel sufferers protested, demanding that the FDA re-approve the drug's usage under stricter controls. In 2002, the FDA agreed.

Transparency. Companies have traditionally benefited from information asymmetry between the consumer and the firm. That asymmetry is rapidly disappearing. Firms can no longer assume opaqueness of prices, costs, and profit margins. And as information about products, technologies, and business systems becomes more accessible, creating new levels of transparency becomes increasingly desirable.

Consider the ongoing revolution in securities trading. Instinet, a global agency broker, uses advanced technology to enable managers of retail mutual funds, 401(k)s, IRAs, and other investment plans to negotiate the best execution price for a trade directly with each other, 24 hours a day, in more than 40 markets worldwide. The new level of transparency from the beginning of the trading cycle through post-trade cost assessment and settlement lets Instinet's customers measure the real-time costs of their trading. Such transparency of trading is now attracting individual investors, empowering many of them to trade alongside institutions.

The building blocks in combination

Combining the building blocks of transparency, risk assessment, access, and dialogue enables companies to better engage customers as collaborators. Transparency facilitates collaborative dialogue with consumers. Constant experimentation, coupled with access and risk assessment on both sides, can lead to new business models and functionalities designed to enable compelling co-creation experiences (see Exhibit 2). Even conventional companies such as Sony now engage in collaborative dialogues with consumers, who helped co-develop Sony's PlayStation 2. From Intel to Microsoft to Nokia, consumers are helping to shape new technology, ranging from Web-enabled devices and networking software to cellular phones. They contribute to the debate, both technically and in terms of their expectations and views of value. In so doing, they are co-shaping the future.

When companies combine the four DART building blocks in different ways, they can create the following new and important capabilities:

VOL. 32 NO. 3 2004 1

STRATEGY & LEADERSHIP I PAGE 7

Exhibit 2

Migrating to co-creation experiences

Access and transparency. Coupling access with transparency enhances the consumer's ability to make informed choices. For instance, consumers in the USA now have instant access to yield rates of investment options offered by most financial services firms. They also have a reasonable level of transparency regarding the track record of various investment options and the quality of services offered, particularly the experiences of other customers with each firm. Consumers can therefore make better choices among investment options and firms.

Dialogue and risk assessment. Combining dialogue with risk assessment enhances the ability to debate and co-develop public and private policy choices. For instance, the existence of a broad-based dialogue, more scrutiny of companies, and widely disseminated information concerning the risks associated with cigarette smoking is increasingly leading society to develop new policies as well as facilitating more informed private choices. Ongoing debates concern such questions as: Should we let tobacco firms market their products in ways that attract children and young teenagers? Should cigarettes be sold in vending machines or on the Internet? Should we regulate and control tobacco as strictly as alcohol or prescription drugs? Acting as citizens, individuals are significantly affecting public policy even as they are making informed private decisions as consumers.

Access and dialogue. Coupling access with dialogue enhances the ability to develop and maintain thematic communities. To promote the mega-hit movie Lord of the Rings. The Fellowship of the Ring New Line Cinema reached out to the more than 400 unofficial fan Web sites, giving them insider tips, seeking their feedback on the details of the movie and offering them access to the production team.

Transparency and risk assessment. Combining transparency with risk assessment enhances the ability to co-develop trust. For instance, the debate in the Firestone-Ford tire liability case centered on the amount of information Ford and/or Firestone had about risks associated with the combination of vehicles, tire pressure, and driving conditions. Should Firestone have revealed all the information about well-documented risks only, or also about the suspected but undocumented risks worth legitimate debate? Very few industries and firms

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STRATEGY & LEADERSHIP I VOL. 32 NO. 3 2004

volunteer to disclose risks and debate them with consumer groups. Should financial services firms have a --consumer bill of rights,,? Should investors be informed about risks in clear English (or other local language), instead of legal jargon? Consumers must trust the firms with which they engage in co-creation. The motto for smart companies is rapidly becoming --When in doubt, disclose,,.

The new dynamics of co-creation

As we have seen, the elements of DART - dialogue, access, risk assessment, and transparency - are the basic building blocks of value co-creation, and managers can combine them in different ways. Although many firms and industries are experimenting with these elements, and the evidence of the changing nature of value creation accumulates, many companies are unable to embrace the new framework of co-creation. Why?

A large part of the answer is that co-creation fundamentally challenges the traditional roles of the firm and the consumer. The tension manifests itself at points of interaction between the consumer and the company - where the co-creation experience occurs, where individuals exercise choice, and where value is co-created. Points of interaction provide opportunities for collaboration and negotiation, explicit or implicit, between the consumer and the company - as well as opportunities for those processes to break down.

Discovering next practices

Obviously, managers need a radically different approach for re-igniting the growth and innovation capabilities of their firms. We see a new frontier in value creation emerging, replete with fresh opportunities. But successful prospecting will require framing and practicing value creation in a fundamentally different way from that of the past.

Recognizing that the traditional system is becoming obsolete, many firms are already testing new business assumptions. In the emergent economy, competition will center on personalized co-creation experiences, resulting in value that is truly unique to each individual.

VOL. 32 NO. 3 2004 1

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AMERICAN ACADEMY

OF AUDIOLOGY

AMERICAN ACADEMY OF

AUDIOLOGY FOUNDATION

Research Grants in Hearing & Balance Program

STUDENT INVESTIGATOR APPLICATION GUIDELINES

CATEGORIES:

1) GENERAL AUDIOLOGY OR HEARING SCIENCE

2) VESTIBULAR

3) HEARING AIDS, CLINICAL PROTOCOLS AND PATIENT OUTCOMES

Direct Inquiries to molek@audiology.org

American Academy of Audiology

11480 Commerce Park Drive, Suite 220

Reston, VA 20190

Revised July 2014

American Academy of Audiology

American Academy of Audiology Foundation

Research Grants in Hearing & Balance Program

Student Investigator Application Guidelines

Promoting research in the profession of audiology is an important component of the long-range plan of the American Academy of Audiology. In support of this goal, the American Academy of Audiology and the American Academy of Audiology Foundation provide research funding through the Research Grants in Hearing & Balance Program.

Purpose of Research Grants in Hearing & Balance Program

The American Academy of Audiology and the American Academy of Audiology Foundation wish to support basic and applied research in hearing and balance. Such research will benefit persons with hearing loss and/or balance deficits by improving the ability of professionals in audiology to evaluate and manage hearing and balance disorders.

The American Academy of Audiology Foundation and the American Academy of Audiology will make grants for research projects with duration of one year. Grants of up to $5,000 will be made based on the merit of the research project and application. Grants may be made for basic research or clinical/applied research in the following categories:

1) General Audiology or Hearing Science

2) Vestibular

3) Hearing Aids, Clinical Protocols and Patient Outcomes

Student Investigators Eligibility

* must be a doctoral student working towards a doctoral degree in audiology or hearing science who are completing a research project as a part of their course of study

* must be a doctoral student who is currently enrolled in a non-profit tax-exempt institution in the United States or Canada, public or private, as this is where grant funds will be issued

* must conduct their research project under the advice and guidance of a mentor

Application Procedures

Grant applications will be submitted using the Academy’s online grant submission system. Applicants will be directed to select the category of grant they are submitting in. No paper copies will be accepted. The deadline for receipt of the application and all supporting materials for funding in 2015 is October 1, 2014 at midnight. Funds will be dispersed by June 1st, 2015.

You will be required to upload several PDF documents. The body of the proposal should adhere to the following requirements: Font should be a minimum of size 12 or no smaller than 6 characters per inch. The proposal should be single-spaced with no more than 6 lines per vertical inch. Margins should be a minimum of 1 inch for all borders.

Last Revised 07/08/2014

Recipients are highly encouraged to submit to present an AudiologyNOW! 2016 poster once the project is complete. Grant recipients are invited to attend the American Academy of Audiology’s AudiologyNOW!® 2016 convention and exposition and are recognized at the Honors & Awards Banquet.

Outline for Application

1. Applicant Information

a. Personal Details

b. Mailing Address

c. Contact Details

d. Professional Information

e. Role

f. Curriculum Vitae/Resume (upload)

2. Abstract

If funded, this information will be published by the American Academy of Audiology in a

report of the Research Grants in Hearing & Balance Program

a. Title of project

b. Purpose of project (maximum of one to two sentences)

c. Amount Requested

d. Study Period

e. Abstract of research (maximum of 200 words)

f. Clinical application (maximum of 100 words)

3. Body of proposal (maximum of ten pages, excluding references)

a. Specific aims

b. Background (including results obtained by others)

c. Significance/potential of the research

d. Supporting data

e. Methods (research plan)

f. Timeline and statement of anticipated progress in one year

g. Description of arrangement for mentoring (if applicable)

h. Facilities available

4. Detailed budget for research proposal and budget justifications (see details below)

5. Other Research Support

Please state: (1) whether the same project is receiving support from another source; and, (2) whether an application has been submitted to another source for such funding. If, after application to the Academy, this same project receives support from another granting agency, the principal investigator and the grant recipient’s institution shall promptly notify the Academy Research Committee of such funding.

a. List funding sources already received by applicant (and mentor, if applicable) for the proposed research project. List source and grant number (if NIH, indicate which institute), title of project, principal investigator, percent of time, amount of funding (per year and total), and period of funding (dates).

Last Revised 07/08/2014

b. List pending sources of funding for the proposed research project. List source (if NIH, indicate which institute), title of project, principal investigator, percent of time, amount of funding requested (per year and total), and requested period of funding (dates).

c. List abstracts of all funded applications with an indication of how these projects differ from the one submitted to the Academy.

6. Letter of support from mentor

7. Human and animal subjects use statement and documentation. IRB approval can be pending at the time of application but must be submitted once notification of

a. Human subjects approval by IRB (if human subjects included in study).

b. Copy of human subjects consent form (if applicable).

c. Animal experimental use approval by IACUC (if animal subjects included in study).

8. Conflict of Interest Statement

An applicant for a grant from the American Academy of Audiology/American Academy of Audiology Foundation must sign, with the application, a conflict of interest statement signed by the Principal Investigator and an authorized individual from the institution.

9. Application Agreement

Budget Requirements and Restrictions

Grant funds may be budgeted and used for the following direct costs of carrying out approved projects:

a. Salaries of technical and supporting personnel

b. Purchase of small equipment items

c. Supplies necessary to carry out the project

d. Subject or animal care fees

e. Other specifically authorized expenses as may be essential to carrying out the project.

Grant funds may not be used for the following:

a. Salary of the principal investigator (student investigator) or mentor

b. Travel

c. Living expenses

d. Printing costs

e. Public information and education programs

The Research Grants in Hearing & Balance Program does not provide payment of any institutional indirect costs.

The Research Grants in Hearing & Balance Program Review Committee will evaluate the reasonableness of the inclusion and amount of each item in a prepared budget. The investigator should follow the allocation of expenses to specific categories.

Investigator Obligations and Reporting Requirements

In accepting a research grant, the institution, the principal investigator, and the mentor are responsible

for using grant funds only for those purposes set forth in the application.

Last Revised 07/08/2014

The approval period for a project is one year. The project period may be extended by up to six months, without additional funding, if requested before the end of the project year by the principal investigator, and approved by the Academy Research Committee. To request an extension email molek@audiology.org the following: reason for request, length of time requested, and mentor endorsement of the extension.

Obligations of grant funds must be incurred within the project year. A report of expenditures must be submitted within three months of the end of funding. Unless otherwise authorized by the Academy, unexpended funds must be returned to the Foundation with the expenditure report.

*Grant Recipients & AudiologyNOW!

* Grant recipients are highly encouraged to submit to present an AudiologyNOW! poster once the project is complete.

* Grant recipients will be honored at the AudiologyNOW! Honors & Awards Banquet the same year their poster is presented.

*(example of timing: 2014 grant recipients would attend AudiologyNOW! to present a poster and be honored at the banquet at AudiologyNOW! 2016)

Limited travel support to attend AudiologyNOW! may be available through the AAA Foundation for those researchers with financial need. Contact the Foundation office by January 15 of the convention year attending for more information.

Each grant recipient will be required to submit:

* a full report detailing his or her research methods and findings within three months of the completion of the funding period (see details below).

* The mentor will provide an evaluation of the grant recipient’s performance and his or her impressions of the impact of the grant program on the recipient’s career.

This information must be received through the online submission system. Paper copies will not be accepted.

Whenever appropriate, results should be presented at an Academy conference and/or submitted for possible publication in an Academy journal.

Acknowledgment of Academy and Foundations support should be made when findings are reported to scientific audiences or in scientific journals, or when publicity is given to a project. Publications resulting from work supported in whole or in part by the Academy should contain a credit line stating support from the American Academy of Audiology/American Academy of Audiology Foundation Research Grants in Hearing & Balance Program. A PDF copy of the published paper should be sent to molek@audiology.org.

Evaluation of Applications

The Academy Research Committee will evaluate applications on the following attributes:

1. Rationale/Purpose

Submissions should have a strong rationale for the study/presentation which is supported by the literature. The statement of the purpose should be clear and if appropriate hypotheses should be included.

Last Revised 07/08/2014

2. Methods

The study should be appropriate for the specific experimental questions. The methodology and

statistical analyses should be clearly described.

3. Overall Clarity

The submission should be well written and organized in a coherent manner.

4. Importance of Work

Submissions which address an important issue or problem will be given special consideration. The potential impact of the research on clinical practice, education of students, the profession or, future research will be considered.

5. Innovation

Innovated submissions will be given special consideration. These include projects which

developed or employed novel concepts, approaches, methodologies, tools or technologies.

6. Budget

The study budget should be appropriate for the specific experimental design. The budget should

be clearly described.

At the conclusion of the grant period

Within three months of the conclusion of the grant period, the following information should be

submitted.

(1) Summary of results

In 150-200 words, describe the results of the research project in layperson's terms. This information will be posted on the Academy website and should be written in a manner to make it of interest to the general public as well as members of the Academy. This follow-up summary will be a companion piece to the layperson’s paragraph indicated above in the Description of the Research.

(2) Final report

The Research Committee will forward a copy of the final report submitted by the Grant recipient to the AAA Foundation office. The purpose of this is not for publication, but for oversight on research grant fund usage.

Last Revised 07/08/2014

Department of Physical Therapy

Exercise Physiology Program

Student Manual

Class of 2013

TABLE OF CONTENTS

I. EXERCISE PHYSIOLOGY PROGRAM 4

A. Department Faculty 4

B. Department Staff 4

C. Department Mission and Philosophy 4

D. EP Program Description 5

E. EP Curriculum Sheet 7

F. EP Course Descriptions 0

II. EP PROGRAM REQUIREMENTS 3

A. Professional and Essential Functions 3

B. Health Requirements 4

C. CORI Check 5

D. Honor Code 5

E. Academic Calendar 5

III. EP PROGRAM ACADEMIC POLICIES 6

A. General Degree Requirements 6

B. Academic Standing 6

C. Dismissal 7

D. Appeals Process 7

E. Academic Probation 7

F. Non-Academic Dismissals and Appeals 7

G. Practicum Experience 8

H. Incomplete Grades 8

I. Academic Dishonesty and Prohibited Academic Practice and Behavior 8

J. Non-Academic Misconduct 9

K. Physical Therapy Department Honor Code 9

L. Withdrawal / Reinstatement 9

M. Academic Honors 9

N. Grading and Quality Points 11

O. Critical Incident Report 13

IV. GENERAL INFORMATION 14

A. Faculty / Staff Offices 14

B. Communication 15

C. Use of Facilities 15

D. Laboratory Guidelines 15

E. Counseling Center 16

F. Career Services 16

G. Computer Laboratory Information 16

V. EXERCISE PHYSIOLOGY CLINICAL PRACTICUM 19

A. Practicum General Policies 19

B. Emergency Policy 20

C. Practicum Attendance Policy 20

D. Other Policies 21

E. Generic Abilities 22

F. Student Practicum Performance Evaluation Form 33

G. Introduction to the Student Practicum Performance Evaluation Tool 34

VI. FORMS SIGNED AND RETURNED 44

Appendix A. Receipt of Student Manual 44

Appendix B. Essential Functions / Program Requirements 45

Appendix C. Honor Code Testament 47

I. EXERCISE PHYSIOLOGY PROGRAM

A. Department Faculty

Chairperson: Dr. Sean Collins

Professors: Dr. Linda Kahn-D’Angelo, Dr. Susan O’Sullivan

Associate Professors: Dr. Sean Collins, Dr. Gerard Dybel, Dr. Connie Seymour, Dr. Joyce White, Dr. Bruce Young

Assistant Professors: Dr. Danielle Day, Dr. Cynthia Ferrara, Dr. Erika Lewis, Dr. Deirdra Murphy

Clinical Assistant Professor: Dr. Keith Hallbourg

DPT, Director of Clinical Education: Dr. Keith Hallbourg

B. Department Staff

Program Administrator: Ann Bratton

Coordinator of Laboratory Resources: Dale Pevey

C. Department Mission and Philosophy

Mission

   The mission of the Department of Physical Therapy is to promote human health and development through:

1. Teaching of theory and practice of exercise physiology and physical therapy in classroom and community-based settings preparing graduates to practice their profession with knowledge, competence, and respect for human well-being.

2. Scholarship in the discovery, application and dissemination of knowledge in exercise physiology, physical therapy, and health.

3. Public service in partnership with local, regional, and national organizations advancing prevention-based strategies in health promotion.

Philosophy

   The faculty believes that individuals have intrinsic worth and a right to optimal health and function. Function is defined as those activities identified by an individual as essential to support physical, social, and psychological well being and to create a personal sense of meaningful living.

   The faculty believes that students are active participants in the educational process. As potential professionals, the relationship between students and faculty is one in which there is mutual respect,

understanding, and interchange of ideas. The faculty, as experienced professionals, serve as resource persons, mentors, and role models for the developing professional. The faculty view themselves as facilitators of the learning process. Students are expected to demonstrate commitment to learning as the basis for continued personal and professional growth, effective interpersonal and communication skills, problem-solving and critical thinking skills, and appropriate professional conduct. Effective use of time and resources, feedback, and stress management strategies are also important components of the behaviors of the successful student.

D. EP Program Description

   The goal of the Department of Physical Therapy is to prepare individuals in the undergraduate Exercise Physiology (EP) program. Exercise physiology is the study of acute and chronic physiological responses and adaptations resulting from exercise and physical activity.

   The undergraduate curriculum is broad based and includes courses in liberal arts, basic sciences (anatomy & physiology, chemistry, physics, biochemistry), and professional courses (exercise physiology, kinesiology, exercise prescription/program planning). The EP courses are comprehensive and cumulative and prepare students for the practicum experience in the senior year. Students can be assigned to one of a variety of settings, a cardiac or pulmonary rehabilitation setting or a private or corporate fitness center for a semester. While working in the practicum setting, students attend a weekly seminar to discuss issues which arise during the practicum, strength and conditioning experience, or research industry-related setting.

   There are numerous career opportunities for graduates of the exercise physiology program. Graduates can work as exercise practitioners (group exercise instructor, personal trainer, strength and conditioning coach) in private or corporate fitness settings or with sport teams. Clients present with varying fitness levels, medical concerns, and ages. The focus is on improving or maintaining health, fitness, or performance. Graduates can work in sports medicine (the field of medicine dealing with injuries sustained in athletic endeavors and/or illnesses impacting sport performance). Practice settings may include sports medicine clinics or sports training facilities. Graduates can also work in cardiopulmonary rehabilitation settings, including hospitals, outpatient clinics, and medically supervised fitness centers. Patients/clients present with cardiac and pulmonary conditions, and may be recovering from surgery or acute hospitalization. There are no professional licensing requirements at the present time. There is a certification process for health/fitness instructors and clinical rehabilitation practitioners by the American College of Sports Medicine (ACSM) and certification in strength and conditioning by the National Strength and Conditioning Association (NSCA).

   Students can also pursue graduate study in Exercise Physiology. Advanced degrees in EP (Master of Science, doctoral degree) prepare individuals for positions as exercise specialists (ACSM certification, NSCA certification,) exercise program directors or in the clinical rehabilitation track. Graduate degrees in EP also prepare individuals for research or teaching positions. A Ph.D. is typically required for teaching or research positions in higher education. Students are also exceptionally well-qualified to enter graduate programs in other health professions including nursing, occupational therapy, sports nutrition, sports performance, and strength and conditioning.

   Graduates of the exercise physiology program meet all the necessary requirements for application to the Doctorate in Physical Therapy Program (DPT) at the University of Massachusetts Lowell. The DPT Program is a fully accredited, 3 year program designed to prepare entry-level practitioners in physical therapy. It includes 96 credits of coursework and 35 weeks of clinical education experience. Applications to the DPT program at UML are competitive. A percentage of available spots in the DPT program at UML are reserved for qualified graduates from the EP program.

   Requirements for admission to the graduate program in physical therapy include a Bachelor’s degree from an accredited university or college, an undergraduate grade point average (GPA) of 3.0 or better, a GPA in science courses of 3.0 or better, Graduate Record Examination (GRE), documented personal experience in a physical therapy setting, and three letters of recommendation.

   Highly qualified UML EP students may be invited to apply to the DPT program following the junior year (minimum overall GPA and science GPA of 3.5 required) through the Expedited Admissions Program. Expedited students must complete their Bachelor’s degree in EP while maintaining their 3.5 GPAs. If invited, these students are exempt from the UML graduate application fee and the GRE requirement.

   Requirements for other graduate (including DPT) programs are generally similar, though some differences may exist from program to program. Students are encouraged to explore graduate admission requirements for any program they are considering. Faculty advisors guide students interested in whatever career they may be considering throughout their four undergraduate years and in the successful completion of prerequisites and the application process.

E. EP Curriculum Sheet

Course of Study for Exercise Physiology

Class of 2013 Forward

Freshman Year

Fall Semester

Spring Semester

35-101 Human Anat & Phys I (Sci & Tech)

3

35-102 Human Anat & Phys II (Sci & Tech)

3

35-103 Human Anat & Phys Lab I (Sci &

1

35-104 Human Anat & Phys Lab II (Sci & Tech)

1

Tech)

42-101 College Writing I

3

42-102 College Writing II

3

47-101 General Psychology (Social Sci)

3

48-101 Intro. To Sociology (Soc Sci-Div & Eth)

3

92-283 Intro to Statistics (Math

3

31-201 Community Health & Environment

3

38.101 EP Freshman Seminar

1

47-260 Child & Adolescent Develop (Social Sci)

3

Elective (Arts & Humanities)

3

16

17

Sophomore Year

Fall Semester

Spring Semester

35-251 Physiological Chemistry I*

3

35-252 Physiological Chemistry II*

3

35-253 Physiological Chemistry Lab I*

1

35-254 Physiological Chemistry Lab II*

1

95-103 General Physics I (Sci & Tech)

3

95-104 General Physics II (Sci & Tech)

3

96-103 General Exper Physics I (Sci & Tech)

1

96-104 General Exper Physics II (Sci & Tech)

1

35-206 Human Nutrition

3

38-202 Intro. to Exercise Physiology

3

Elective (Arts & Humanities)

3

47-272 Abnormal Psychology

3

14

14

Junior Year

Fall Semester

Spring Semester

38-305 Exercise Physiology I

4

38-406 Exercise Physiology II

4

38-307 Exercise Physiology Lab I

1

38-408 Exercise Physiology Lab II

1

38-315 Kinesiology

3

30-306 Intro. to Gerontology

3

38-317 Kinesiology Laboratory

1

92-363 Introduction to Data Analysis

3

36-350 Biochemistry

3

38.301 EP Junior Seminar

1

Elective (Arts & Humanities)

3

38-356 Pharmacology

3

15

15

Senior Year

Fall Semester

Spring Semester

Free Elective

3

38-420 Advanced Study in EP**

3

38-418 Senior Seminar

1

Free Elective

3

38-417 Research Methods in Exercise Phys.

3

Free Elective

3

38-422 Exercise Prescription & Programming

3

Free Elective

3

38-412 Clinical Practicum (1/2 the class)

4

Free Elective

3

14

15

OR

Fall Semester

Spring Semester

Free Elective

3

38-418 Seminar

1

38-417 Research Methods in Exercise Phys.

3

38-412 Clinical Practicum (1/2 the class)

4

38-422 Exercise Prescription & Programming

3

38-420 Advanced Study in EP**

3

Free Elective

3

Free Elective

3

Free Elective

3

Free Elective

3

15

14

Total Credits = 120

* Physiological Chemistry can be substituted with General Chemistry sequence with labs

** Advanced Study in EP can be substituted with Directed Study in Health Promotion

Revised 10/1/09

F. EP Course Descriptions

38.101 EP Freshman Seminar Credits: 1

The Freshman Seminar will introduce new students to UMass Lowell, the School of Health and Environment, and the Program in Exercise Physiology. Students will participate in weekly activities to improve study skills, communication skills, and problem solving. They will also learn important information about careers in Exercise Physiology and health-related fields.

38.202 Intro to Exercise Physiology Credits: 3

This course will provide a broad overview of the various fields and career options within Exercise Physiology. Students will have the opportunity to network and interview guest speakers from all different careers, and also to explore the various environments in which Exercise Physiologist work by way of site visits to hospitals, clinics, etc. Strategies for success in the UMass-Lowell EP curriculum and guidance on choosing and applying to graduate schools will also be addressed.

38.301 EP Junior Seminar Credits: 1

The Junior Seminar, offered during the Spring semester to Exercise Physiology majors, will orient students

to information required for their practicum experience during their senior year.

38.305 Exercise Physiology I Lect Credits: 4

This first course of a two-course sequence will examine the short and long term effects of exercise on the oxygen transport systems including bioenergics. Clinical components of the course address diseases of and rehabilitation for cardiovascular, pulmonary and metabolic systems. The material is structured as an integrative physiology course. As such, you will be required to assimilate material previously learned about human anatomy, physiology, chemistry and physics with material learned in this course to form an integrated understanding of the responses and adaptations of the human system to exercise. Exercise physiology bridges the gap between basic biologic science and professional fields of application, such as coaching, training, allied health and rehabilitation. This course will provide a solid background in the science, theory and concepts so that you will have a concrete basis for the application of exercise physiology in a variety of fields.

Corequisite: 38.307 Exercise Physiology I Lab

Prerequisites: junior year status EP; Anatomy and Physiology I & II with Labs; Physiological Chemistry I & II with labs; Physics I & II with Labs; Intro to EP.

38.307 Exercise Physiology I Lab Credits: 1

This is the first of a two-part series of laboratory courses that is taken concurrently with Exercise Physiology I (38.305). This course is designed to offer students the opportunity to integrate the concepts and principles of exercise physiology discussed in lecture with practical laboratory experiences. Students will be expected to develop practical skills in the laboratory consistent with current standards of clinical practice, learn to administer exercise tolerance tests, interpret and present exercise test data, and develop appropriate exercise prescriptions for developing cardiorespiratory fitness in apparently healthy, athletic, and clinical populations.

Corequisite: 38.307 Exercise Physiology I Lect

Prerequisites: junior year status EP; Anatomy and Physiology I & II with Labs; Physiological Chemistry I & II with labs; Physics I & II with Labs; Intro to EP.

38.315 Kinesiology Lect Credits: 3

In Kinesiology, the study of Newtonian Mechanics, Anatomy, Neuromuscular Physiology and Motor Control is combined to teach the analysis of human movement. The major focus of the course is the qualitative analysis of human movement and its wide range of practical applications. Topics also include quantitative analysis techniques, body mechanics, posture gait evaluation, and sport or activity specific movement patterns with a focus of identifying and interpreting causes of less than optimal movement patterns. Students are given the freedom to explore areas of their interest within the goals and objectives of the course, however with this freedom comes a greater responsibility for the critical thinking and learning required to be successful in the analysis of human movement.

Corequisite: 38.317 Kinesiology Lab

Prerequisites: junior year status EP; Anatomy and Physiology I & II with Labs; Physiological Chemistry I & II with labs; Physics I & II with Labs, Intro to EP.

38.317 Kinesiology Lab Credits: 1

This course should be taken concurrently with 38.315.101. This course is designed to practically apply topics discussed in kinesiology lecture. Students are given the opportunity to engage in various activities that will allow them to observe and analyze the numerous factors involved in human motion and the impact of those factors on human performance. Students are given the opportunity and encouraged to explore areas of personal interest within the goals and objective of the course.

Corequisite: 38.315 Kinesiology Lecture

Prerequisites: junior year status EP; Anatomy and Physiology I & II with Labs; Physiological Chemistry I & II with labs; Physics I & II with Labs; Intro to EP.

38.356 Pharmacology Credits: 3

This course provides an introduction to the chemistry, biochemistry, and physiological actions of various pharmaceuticals. Fundamental concepts will be stressed and will include a discussion of drug receptors, drug receptor interactions, pharmacokinetics, enzyme induction, drug metabolism, drug safety and effectiveness and idiosyncratic reactions. Several major groups of drugs will be studied. Articles from current literature will be discussed.

Prerequisites: junior year status EP; Anatomy and Physiology I & II with Labs; Physiological Chemistry I & II with labs; Physics I & II with Labs; Intro to EP.

38.406 Exercise Physiology II Credits: 4

This course provides a continuation of Exercise Physiology I and deals with the short and long effects of

exercise on the skeletal and neuromuscular systems. This portion of the sequence also provides an

integration of the physiological systems when considering the effect of exercise.

Co-requisite: 38.408 Exercise Physiology II Lab

38.408 Exercise Physiology II Lab Credits: 1

This course is designed to provide the student with hands on experience in a variety of laboratory

techniques and field techniques for the assessment of human performance.

Corequisite: 38.406 Exercise Physiology I

Prerequisites: 38.305 EP I and 38.307 EP I Lab, 38.315 Kinesiology and 38.317 Kinesiology Lab

38.412 Practicum I & II Credits: 4

This course is an off-campus experience in either a cardiac/pulmonary rehab clinical facility or in a fitness

setting. Students experience practical applications of the concepts and theories learned in the classroom

settings. Strength and conditioning, research or industry related setting, or other setting appropriate to the

particular student’s interests.

Co-requisite: 38.418 Senior Seminar

Prerequisites: All 2nd and 3rd year course work in the exercise physiology major.

1

38.417 Research Methods In EP Credits: 3

This course involves an in-depth study of current research methods, topics with specific applications to the

field of Exercise Physiology, and an introduction to the best evidence practice The content includes the

sources of data acquisition, research design, testing procedures, and treatment of data.

Prerequisites: All 2nd and 3rd year course work in the exercise physiology major.

38.418 Senior Seminar Exercise Physiology Credits: 3

This course is specifically designed to enhance the practicum experience in the senior year.

Co-requisite: 38.412 Clinical Practicum I & II

Prerequisites: All 2nd and 3rd year course work in the exercise physiology major.

38.420 Advanced Study in Exercise Physiology Credits: 3

This course is designed as the final course required of all exercise physiology majors. Students summate and integrate classroom and clinical experiences in Exercise Physiology in the preparation of a final project.

 Course requirements are designed to encourage student learning and interest around individual specific career plans or focus. The culmination of the course is production of a major project and a public presentation through research and integration of oral, written and visual projects throughout the semester. Class meetings focus on assisting students in establishing a professional identity while individual conferences routinely discuss project planning, progress and problems. The course focus is to widen your area of expertise and broaden your career choices.

Prerequisites: All 2nd and 3rd year course work in the exercise physiology major.

38.421 Directed Study in Health Promotion  Credits: 3

Directed study offers student (by invitation / acceptance by a Faculty member in the Dept of Physical Therapy) the opportunity to engage in a directed research project under the supervision of a department member. Working closely with the instructor, students define and investigate a research topic in an area of special interest and present the results of their investigation in a significant paper. Seniors only.

38.422 Exercise Prescription & Programming Credits: 3

This course provides an essential foundation for exercise prescription and programming, and sound

educational practice. Factors that impede or enhance exercise compliance and progress are explored.

Clinical teaching skills, safety, and professional behavior are also addressed.

Prerequisites: All 2nd and 3rd year course work in the exercise physiology major.

2

II. EP PROGRAM REQUIREMENTS

A. Professional and Essential Functions

    One goal of the faculty of the Department of Physical Therapy is to prepare competent, entry-level practitioners in exercise physiology. All students are expected to demonstrate essential skills necessary to work accurately and safely with peers, faculty, staff, and patients/clients in a variety of settings including classroom, laboratory, practice settings (fitness center, cardiopulmonary rehabilitation, strength and conditioning, research or industry sites).

    The faculty have the responsibility to prepare practitioners who are well-educated and who possess personal and professional skills in observation and examination, communication, motor function, critical thinking, and behavioral/social function. The faculty recognizes that reasonable accommodations or adjustments may be necessary as required by the Americans with Disabilities Act.

Students in the Exercise Physiology program must demonstrate certain minimum skills, including:

1. OBSERVATIONAL AND EXAMINATION SKILLS

a. Observe demonstrations and participate in classroom and laboratory experiences.

b. Obtain an appropriate health/fitness/medical history from the patient/client.

c. Accurately examine body systems and determine vision, hearing, speech and non-verbal communication, cognition, strength, flexibility, and functional capacities of patients/clients.

d. Accurately examine cardiovascular fitness, including vital signs, blood pressure, heart sounds, breathing patterns, and exercise endurance.

e. Reliably read all equipment monitors and dials.

2. COMMUNICATION SKILLS

a. Communicate with others in a respectful, polite and confident manner.

b. Demonstrate understanding of English, including speaking, reading, and writing using correct grammar, accurate spelling, and expression.

c. Accurately complete all written assignments and on time.

d. Maintain accurate documentation in patient/client records.

e. Demonstrate effective use of therapeutic communication such as maintaining eye contact, attending, clarifying, coaching, facilitating, and touching.

f. Demonstrate respect of personal space of patients/clients and others.

g. Maintain confidentiality.

h. Demonstrate appropriate non-verbal communication.

i. Translate complex information simply and clearly.

j. Use communication technology effectively.

3. MOTOR SKILLS

a. Accurately use manual techniques to assess pulses, skin condition, muscle, joint and limb movement.

b. Manipulate with precision dials, knobs and other parts of equipment used in the practice setting.

c. Negotiate level surfaces, stairs, and ramps as necessary to assist patients/clients appropriately.

d. Perform a variety of laboratory examinations and procedures which require changing position, sitting, standing, squatting, kneeling, and maintaining balance.

e. Respond quickly and effectively to sudden or unexpected movements of patients/clients.

f. Perform basic Cardiopulmonary Resuscitation (C.P.R.), infant through adult.

3

g. Demonstrate the ability to sustain performance in the practice setting for an 8-10 hour workday.

4. CRITICAL THINKING

a. Demonstrate the ability to recall knowledge, comprehend and interpret, apply, analyze, synthesize, and evaluate information obtained during didactic, laboratory, and practice setting experiences.

b. Demonstrate problem-solving skills necessary for identifying/prioritizing problems, and developing appropriate solutions/plans for patient/client problems.

c. Demonstrate the ability to evaluate and integrate scientific research.

d. Ask for appropriate help when necessary.

5. BEHAVIORAL AND SOCIAL SKILLS

a. Demonstrate appropriate interpersonal skill evidenced by mature, sensitive, and effective professional interactions.

b. Demonstrate a positive attitude (motivation) toward learning.

c. Demonstrate attributes of honesty, integrity, compassion, courage, enthusiasm, cheerfulness, empathy, and continuous regard for others.

d. Demonstrate emotional well-being necessary for exercising sound judgment.

e. Demonstrate appropriate time management, dependability, and punctuality.

f. Critique own performance, accept responsibility for one’s own actions, and follow through on commitments and assignments.

g. Actively seek feedback/help and appropriately utilize constructive feedback.

h. Demonstrate organizational skills, completing all professional responsibilities and assignments in a timely manner.

i. Adapt to ever changing environments, demonstrating flexibility, and learning in the face of the uncertainties and stresses inherent in the educational and practice settings.

j. Respect cultural and personal differences of others, including being non-judgmental.

k. Delegate responsibility appropriately, and function as a member of a team.

l. Maintain appropriate professional distance with patients/clients.

m. Maintain appropriate personal hygiene and adhere to dress codes mandated by the school and practice setting.

B. Health Requirements

1. All students in the Exercise Physiology program must:

a. Prior to entry into the Exercise Physiology I course in junior year, provide evidence of a current physical exam, signed by a physician or nurse practitioner, indicating satisfactory general health, and in particular, clearance to participate in moderate-to-vigorous physical activity.

b. Prior to entry into the Practicum in the senior year (fall or spring), provide evidence of a current physical exam indicating satisfactory general health and proof of immunization for measles, mumps, rubella, and Hepatitis B. In addition, students must have had a tetanus shot within 10 years, be free of tuberculosis, and have taken a test for color blindness.

c. Any other pertinent health information/needs must be communicated to the department faculty in a timely manner.

d. Some clinical facilities require that students have had the chicken pox or its vaccination.

2. CPR CERTIFICATION (INFANT THROUGH ADULT)

Evidence of current CPR Certification (infant through adult) is required prior to entry in the senior year.

4

C. CORI Check

A criminal background check (CORI check) is required before starting the Clinical Practicum.

   Massachusetts passed the Criminal Offender Record Information (CORI) act in 1996. According to the CORI Act, Massachusetts General Laws Chapter 7, sections 167-178, agencies have the right to require a criminal record check on any student affiliating at their institution. Education practicum experiences and some state licensing boards require a CORI check.

   Failure to pass a CORI check may jeopardize continued matriculation in the program, practicum placements, eventual licensure and/or certification. Final determination of a failed CORI check will be made by the department’s Professional Review Committee. Processing of the CORI may take up to six weeks, so it is imperative that the paperwork be completed as soon as possible.

D. Honor Code

1. Students in the Exercise Physiology Program are expected to adhere to the Honor Code. Students are expected to maintain the highest ethical behavior both in and out of the classroom. Cheating or plagiarism is strictly prohibited. Should students witness either behavior, they are required by the Code to report infractions.

2. Students found in violation of the Honor Code will be dismissed from the program.

E. Academic Calendar

1. Be aware of the University’s academic calendar and meet its deadlines.

2. The traditional K-12 February vacation is NOT part of our calendar. Students are expected to be in class and at practicum.

5

III. EP PROGRAM ACADEMIC POLICIES

A. General Degree Requirements

    Students are required to complete all curriculum requirements of the Exercise Physiology major (a minimum of 120 credits) and all University general education requirements. No more than 30 credits may be from Course Equivalency Examinations (CLEP). Transfer credits will not be accepted once the student has 60 credits at the university. Students may not take and transfer in credits from a 2 year college once the student has achieved junior status.

Students in the Exercise Physiology major must maintain:

* a minimum 2.7 overall GPA

* a minimum 2.7 cumulative average in required science courses (A & P I/II; Physics I/II; Chem. I/II; and all labs)

* a minimum 2.7 semester GPA

* a minimum 2.7 average in EP major courses and may not get less than a C in any course (major courses begin with 38.).

    Students must complete A&P I and II with labs before becoming a sophomore in EP or must transfer to Undeclared Health.

    Students must successfully complete all science prerequisites prior to entry into the junior year. (Anatomy & Physiology I & II; Physiological Chemistry I & II, Physics I & II with labs.)

    Students who enter the University as a freshman or transfer to the University with fewer than 60 credits are permitted a maximum of 15 semester credits for course repetitions/deletions to remove grades of C- or less from their cumulative GPA.

B. Academic Standing

Each university student is subject to two sets of academic regulations those of the University (see the

online catalog http://www.uml.edu/catalog/undergraduate/policies/default.htm)

and the academic rules of the college and program in which he or she is enrolled.

    In registering for courses, each student assumes full responsibility for knowledge of and compliance with the definitions, regulations, and procedures for the University, as set forth in the online catalog. Moreover, in accepting admission to the University, each student assumes responsibility for knowledge of and compliance with the definitions, regulations, and procedures of the University pertaining to his or her student status as set forth in the appropriate UML publications. The academic rules for the Physical Therapy Department are presented below.

    Grade point averages for all students in the Exercise Physiology program are reviewed at the end of the freshman year and at the end of each semester thereafter.

    Students who fail to satisfy these academic requirements will be dismissed from the program with the right to appeal. Letters of notification are mailed at the end of the semester to student’s home addresses. Students are required to maintain current addresses in ISIS. The Department Professional Review Committee is made up of members of the physical therapy faculty and meets to decide whether to recommend loss of degree candidacy (dismissal from the program) or continuance in the program on probation with a plan to correct deficiencies.

6

C. Dismissal

   Students will be dismissed from the program if he/she fails to meet the academic criteria stated above or receives an Unsatisfactory grade (U) on a Practicum Experience.

   A student dismissed from the major has the right to appeal for reinstatement in the form of a written petition to the Department’s Professional Review Committee.

   Students dropped from the major may transfer to other majors in the School or University, depending on a favorable decision by the department chair of that major. All intra-university transfers are on a space-available basis only.

   Students may transfer into Undeclared Health in the School of Health and Environment during the first two years only. Transfer must be approved by the Director of Undergraduate Education. Students who move into UH are not placed on probation. Return to the EP major will be based upon successful completion of the school’s and EP program prerequisites and requirements and on a space-available basis.

D. Appeals Process

   The student has the right to appeal for reinstatement in the form of a written petition to the Department Professional Review Committee. The formal appeal, in writing and containing the pertinent facts, should be presented by the student to the Chairperson of the Department no later than the date specified in the letter of notification. The Professional Review Committee shall convene and discuss the appeal. The appeal must include: (1) an explanation of the reasons for the unsatisfactory performance and (2) an indication of what you will change in order to succeed in the program. If reinstatement is recommended, the student will be placed on probation. Terms of the probation will be specified in a letter to the student.

   An individual dismissed for non-academic reasons may be required to present statements documenting physical and/or mental health from appropriate licensed health care providers. On the basis of a review of such statements, the Professional Review Committee will determine if the individual will be reinstated or denied continuance in the program.

   If the decision of the Department committee is not satisfactory to the student, the student may forward the appeal to the college dean within two weeks of the decision of the Department committee.

E. Academic Probation

   Students whose appeal is successful will be readmitted to the program on probation. Students placed on probation must meet all the conditions of their probation including maintaining all SHE and EP program criteria for the remainder of the time in the major. Students may be placed on probation only once. Failure to meet the terms of the probation will result in dismissal from the program with no further appeal possible.

F. Non-Academic Dismissals and Appeals

   Additional information can be found in the Administrative Dismissal section of the online catalog at: http://www.uml.edu/catalog/undergraduate/policies/administrative dismissal.htm

7

G. Practicum Experience

    Grades for EP Practicum experience are given as either Satisfactory (S) / pass or Unsatisfactory (U) / fail. If a student receives an Unsatisfactory grade, he/she will be dismissed from the program with the right to appeal.

    Students may not proceed to their Practicum Experience until all fr/soph/jr coursework is satisfactorily completed. Students must also complete specific health pre-requisites (as stated in the Professional and Technical Standards and Program Requirements).

H. Incomplete Grades

   An incomplete grade may be granted when a student is temporarily unable to complete EP course requirements due to illness or unusual personal circumstances. An incomplete grade must be cleared no later than the end of the next semester of enrollment as stated in the University’s official academic calendar. If the incomplete grade is received in a program course that is a prerequisite to the following semester’s course, the incomplete grade must be cleared prior to the commencement of the following course.

I. Academic Dishonesty and Prohibited Academic Practice and Behavior

   The following definitions are provided for the information of all students and constitute official notice of prohibited academic practice and behavior as taken from the online catalog at http://www.uml.edu/catalog/undergraduate/policies/academic dishonesty.htm

Academic dishonesty includes but is not limited to:

Cheating - use, or attempted use, of trickery, artifice, deception, breach of confidence, fraud, or misrepresentation of one's academic work. Submission of the same work in its entirety for credit in two courses without obtaining the permission of the instructors constitutes cheating.

Further defined cheating is:

* misrepresenting academic work which has been done by another as one’s own efforts – whether such misrepresentation has been accomplished with or without the permission of the other individual;

* utilization of prohibited assistance (whether in the nature of a person or a resource) in the performance of assignments and examinations;

* copying of another person’s work or the giving or receiving of information or answers by any means of communication during an examination;

* utilization of the services of a commercial term paper company;

* the unauthorized or fraudulent acquisition and/or use of another’s academic property.

Fabrication - falsification or invention of any information or citation in any academic exercise.

Plagiarism - representing the words or ideas of another as one's own work in any academic exercise. Further defined plagiarism is:

* direct quotation or word-for-word copying of all or part of the work of another without identification or acknowledgment of the quoted work;

* extensive use of acknowledged quotation from the work of others which is joined together by a few words or lines of one’s own text;

* an unacknowledged abbreviated restatement of someone else’s analysis or conclusion, however skillfully paraphrased.

8

Facilitating dishonesty - helping or attempting to help another commit an act of academic dishonesty, including substituting for another in an examination, misrepresenting oneself, or allowing others to represent as their own one's papers, reports, or academic works.

J. Non-Academic Misconduct

    Improper conduct or behavior of students is subject to the University of Massachusetts Lowell Student Conduct Code and Judicial Process. Copies of this document may be obtained from the Dean of Students Office.

K. Physical Therapy Department Honor Code

    All students are expected to adhere to the department Honor Code, Appendix C, which states: I agree to adhere to the honor code of the Physical Therapy Department throughout my tenure in the Exercise Physiology program. I understand I am responsible for complying with professional standards of behavior. I understand prohibited practice and behaviors to be defined as cheating, lying, or plagiarizing. The preservation of integrity in the academic process is an exercise of professional judgment. The Honor Code requires I will not only adhere to all ethical practices, but I shall report to the Department observable behaviors in other students that violate the Honor Code.

L. Withdrawal / Reinstatement

    Students are expected to complete the degree in four consecutive years. In extenuating circumstances, the student can petition the Department Professional Review Committee for consideration of a withdrawal. If the withdrawal is approved, return to the program (reinstatement) is on a space-available basis and by clearing any program deficiencies that need to be made up.

M. Academic Honors

    University Honors: The University recognizes baccalaureate graduates who have attained exceptional scholastic distinction. To be eligible for such recognition a student must achieve a minimum grade point average of 3.0 for all courses completed at the University and must have earned a minimum of 60 semester credits at the University as upper class students. Three levels of distinction are noted at commencement: summa cum laude; 3.85, magna cum laude; 3.5, and cum laude; 3.25. University honors are officially entered on the permanent record of the students.

    Honors Program: Undergraduate students enrolled in the University Honors Program who complete all program requirements graduate as Commonwealth Honors Program Scholars.

Dean’s List: To be eligible for the Dean’s List:

1. Undergraduate students must receive a semester grade point average (GPA) of 3.25 or higher.

2. Undergraduate students must take a minimum of 12 credits with grades of either A, A-, B+, B, B-, C+ or C for the semester. Grades of Pass/Fail or Satisfactory/Unsatisfactory do not count toward the 12 credits.

3. Undergraduate students cannot receive grades of incomplete (INC) for any course.

4. Undergraduate students cannot receive a grade lower that C for any course.

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5. Students may not use grade deletions to improve their semester GPA and qualify for the Dean’s List.

    The Dean’s Award is given to the graduating senior with the highest GPA in the Exercise Physiology program.

    Department Honors: The Department recognizes baccalaureate graduates who have attained scholastic and clinical distinction. The Exercise Physiology Award of Excellence is given to the graduating senior who demonstrates exceptional academic and practicum performance. Exercise Physiology Practicum Excellence Awards are given to those graduating seniors who demonstrate excellence during their senior Practicum experience.

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N. Grading and Quality Points

GRADING 

A = 4.0

A- = 3.7

B+ = 3.3

B = 3.0

B- = 2.7

C+ = 2.3

C = 2.0

C- = 1.7

D+ = 1.3

D = 1.0

D- = n/a

F = 0.0

To determine your GPA, divide the quality points by the # of credits.

Example: A & P I A 3 cr. 4.0 X 3 = 12

A & P I Lab B 1 cr. 3.0 X 1 = 3

4 15

15 quality points

4 credits = 3.75 GPA

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Grading and Quality Points Continued

Student Class of:

EP ADVISEES: SCIENCE GPAs 

Note: A 2.7 “Science GPA” to stay in the EP major means: A & P I/II; Phy. Chem. I/II; and Physics I/II with all labs. You must also maintain a 2.7 overall to graduate.

The other courses listed (EP and Kinesiology) are those additional science pre-requisites you will

need to apply to UML’s PT graduate program.

- To apply, you need at least a 3.0 Science GPA and 3.0 overall GPA

- To apply for expedited admission, you need at least a 3.5 Science GPA and 3.5 overall GPA

- You may use either EP I/lab or EP II/lab

COURSE Grade

Quality Points

Credits

= Total

A&P I

3

A&P I Lab

1

A&P II

3

A&P II Lab

1

*PhyChem I (or Chem I)

3

*PhyChem I (or Chem I) Lab

1

*PhyChem II (or Chem II)

3

_

*PhyChem II (or Chem II) Lab

1

Physics I

3

Physics I Lab

1

Physics II

3

Physics II Lab

1

EP

4

EP Lab

1

Kinesiology

3

Kinesiology Lab

1

TOTAL

33

*The chemistry sequence can be satisfied by a year of chemistry with labs.

Semester Calculations: Science GPA

Total QP

O. Critical Incident Report

3 Solomont Way, Suite 5 Department of Physical Therapy Lowell, Massachusetts 01854-5124

tel: 978.934.4517

fax. 978.934.3006

e-mail: PT_EP@uml.edu

Web: www.uml.edu/College/she

SCHOOL OF HEALTH AND ENVIRONMENT

ACADEMIC CRITICAL INCIDENT REPORT

Student’s Name:

Evaluator/Observer:

Date:

Description & Date of Incident:

Generic Abilities:

Actions & Strategies Taken:

Student Comments:

Student’s Signature Date

Evaluator’s Signature Date

cc: Department Chair

Academic Folder

Student

Advisor

IV. GENERAL INFORMATION

A. Faculty / Staff Offices

    To contact, either e-mail or leave a voicemail. Faculty office hours are posted each semester. The following faculty have offices in Weed Hall:

Dr. Sean Collins, Department Chairperson, Associate Professor, Weed 202

Sean Collins@uml.edu 978-934-4375

Dr. Keith Hallbourg, DPT, Director of Clinical Education, Weed 200

Keith Hallbourg@uml.edu 978-934-4402

Dr. Linda Kahn-D'Angelo, Professor, Weed 214

Linda Kahn@uml.edu 978-934-4411

Dr. Susan O'Sullivan, Professor, Weed 220

Susan OSullivan@uml.edu 978-934-4412

Dr. Connie Seymour, Associate Professor, Weed 224

Connie Seymour@uml.edu 978-934-4434

Dr. Joyce White, Associate Professor, Weed 208

Joyce White@uml.edu 978-934-4414

Dr. Bruce Young, Associate Professor, Weed 305B

Bruce_Young@uml.edu 978-934-4413

The following faculty have offices in O'Leary Library:

Dr. Danielle Day, Assistant Professor, O’Leary 309

Danielle_Day@uml.edu 978-934-4483

Dr. Gerald Dybel, Associate Professor, O’Leary 313B

Gerald_Dybel@uml.edu 978-934-4410

Dr. Cynthia Ferrara, Associate Professor, O’Leary 319

Cynthia_Ferrara@uml.edu 978-934-4399

Dr. Erika Lewis, Assistant Professor, O’Leary 311

Erika_Lewis@uml.edu 978-934-4405

Dr. Deirdra Murphy, Assistant Professor, O’Leary 310

Deirdra Murphy@uml.edu 978-934-4533

Department Staff

Ann Bratton, Program Administrator, Weed 200

Ann Bratton@uml.edu 978-934-3114

Dale Pevey, Coordinator of Laboratory Resources, Weed 200

Dale Pevey@uml.edu 978-934-4491

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B. Communication

    Students and faculty will maintain unconditional positive regard for each other in all interactions. Students can make appointments with faculty and the ACCE to discuss issues confidentially. Students will resolve conflict in an appropriate fashion by discussing the situation first with the faculty member involved, with follow-up as needed to the Department Chair. Students are expected to be prompt and on time for class in appropriate attire. No cell phone will be used in class or throughout practicum experience. Students are expected to notify faculty and the ACCE of absences in a timely fashion as well as appropriate supervisors while on practicum.

    Students must use their UMass Lowell email accounts and address for communication with faculty and the ACCE. Students are expected to check email periodically for information and updates. Students are expected to provide the Department with current postal address, phone number, and email addresses as well as prompt notification should a change occur.

EP Bulletin Board/Web Pages

    In the corridor opposite Weed 316, there is a bulletin board for announcements and items of interest. Additionally, individual program courses using a web page may have electronic email, discussion boards and real-time chat capabilities to facilitate communication between the faculty member and the students enrolled in the course.

C. Use of Facilities

    Classrooms are in Weed Hall and should be maintained in good condition. Smoking is not permitted in Weed Hall. Laboratory hours (including open hours) are posted outside each room. Keys may be obtained (1) from the Coordinator of the School of Health and Environment Laboratory Resources, Mr. Dale Pevey (Room 200, 7:30-4:00, M-F), or (2) at the College Service Center, (Weed 103, 8:30-5:00, M-F).

D. Laboratory Guidelines

    Students should be appropriately dressed for lab activity as a professional atmosphere will be maintained in the lab. Dignity of subjects should be respected, and comfort and safety always provided.

Students are expected to:

1. Take personal responsibility for the care and maintenance of labs and all equipment.

2. Leave sinks and surrounding areas as clean as possible.

3. Return equipment and furniture to appropriate places after each use.

4. Get written permission from an instructor to remove any equipment or supplies from the building.

5. Tape a “Do Not Use” note on any equipment that appears broken or is not functioning properly and submit written information concerning the problem to an instructor.

6. Place linen in the appropriate container when soiled.

7. Not wear shoes on any equipment which contacts human skin (i.e.,plinths, exercise mats, tilt table).

Laboratory Safety Procedures

1. Hands should be washed prior to and at the completion of laboratory work and before touching each new subject.

2. The room is to be occupied by a minimum of two students at all times.

3. Students are not to use equipment without prior authorization and instruction of a faculty member.

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E. Counseling Center

     The UML Counseling Center offers individual and group counseling to assist students who have concerns in vocational, personal, and educational areas. Counseling services are available free of charge and with the complete assurance that any concern discussed will be held in strictest confidence. The center is located on the 3rd floor of the McGauvran Student Union Building, South Campus, (978-934-4331).

F. Career Services

     The Career Services Office provides assistance with dissemination of vocational information and career interviewing services. A basic resource library in the office provides occupational information, industrial literature, graduate school information, and self-help career aids. Students can establish and maintain an up-to-date file of personal records, a resume, letters of recommendation, and other supportive documentation. Copies of student credentials are sent to prospective employers upon their request or at the request of the student.

     Activities conducted by Career Services include the following: letter writing clinics, resume writing clinics, salary negotiations, a travel-business etiquette success seminar, full and part time job placement, interviewing practice, graduate placement, and guest speaking services. Students are encouraged to avail themselves of these services early on in their undergraduate career. These services are also available to alumni. The office is located in Southwick Hall, Room 200 (978-934-2355) and on the web at http://www.uml.edu/student-services/career services/default.html 

G. Computer Laboratory Information

     The School of Health and Environment has three computer laboratories available for EP students. These labs are open between the hours of 8:30 AM – 9PM Monday through Thursday, and 8:30 AM – 6 PM on Fridays. The labs are not open on weekends, holidays, or weather related closings. A student must have a valid ID card to use the computer lab resources.

     These labs are also used for classes throughout the school year. Any scheduled class will take precedence over an “open” lab period. All class use of the labs will be posted outside the door of each lab.

1. Weed 212

This lab consists of 24 Dell workstations and one teaching station. There is also a print station consisting of one Dell computer and a HP LaserJet 4200 Series Printer in the front of the room. These machines contain the standard Microsoft Office Suite as well as Adobe Acrobat, SPSS, and the nursing program specific software such as NCLEX 3550 and the MediSims. They also contain the browsers and other software needed to complete home work and online class work. In addition, this room contains the ArcGIS software.

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2. Weed 216

This lab consists of 17 Dell workstations and one teaching station. There is also a print station consisting of one Dell computer and a HP LaserJet 4200 Series Printer in the front of the room. These machines contain the standard Microsoft Office Suite as well as Adobe Acrobat, SPSS, and the nursing program specific software such as NCLEX 3550 and the MediSims. They also contain the browsers and other software need to complete home work and online class work.

3. Kitson 200B

This lab consists of 6 Dell workstations and is primarily for the use of Work Environment students. These machines contain the standard Microsoft Office Suite as well as Adobe Acrobat, SPSS, but also have many other statistical packages installed on them. Also installed is the ArcGIS software and the browsers and other software need to complete home work and online class work.

    The usage of these Laboratories and their resources is governed by the procedures and rules outlined in the UMass Lowell School of Health and Environment Acceptable Use Policy (following page). Failure to comply with these policies will result in the loss of SHE computer lab privileges.

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School of Health and Environment Acceptable Use Policy

   In order to make available the limited amount of resources to the most students, several policies have been put in place to govern use of the computer labs in the School of Health and Environment (SHE). Most policies have been addressed in the University of Massachusetts at Lowell Computer Network Usage Policy. This document adds additional specific policies regarding the use of SHE computer lab equipment and resources.

Violation of these policies and procedures could result in loss of lab use privileges.

Workstations

   There are 3 computer labs designated for use by the School of Health and Environment students: Weed 212, Weed 216 and Kitson 200B.

   These systems are to be used only by students currently enrolled in a School of Health and Environment program. You may not move or attempt to move any piece of equipment. If equipment needs repair, you are to make it known to the lab staff. You are not to change the setup of any computer in the lab. The computers have been setup to accommodate the vast majority of the students. If you need a specific change, please contact the lab staff.

Unauthorized use

   It is the responsibility of the users to ensure that they make sure that they are indeed enrolled in a program in the School of Health and Environment. You may be asked to show your ID and have your name checked against a master roster at any time by the lab staff. You will be asked to leave the lab if you are not on the master roster.

   You may not use the lab resources to gain unauthorized access to other UML or non-UML computer systems. This also includes but is not limited to “password cracking”, “spamming”, “hacking “or “denial of service attacks”.

Printer usage

   Only SHE enrolled students will be able to print in the computer labs. Each student will be given a password to use the print stations. When clicking “Print” on your job, you will be prompted for your username and password to print. It is the responsibility of the user to keep this account and password secret. Users who give out their printing username/password to other individuals will have their access to printing privilege revoked. If you do not know the username and password, please see a lab staff member and he/she will check your name and ID against the master roster. If your name does not appear on that roster, it is the user’s responsibility to have that corrected.

   If there is a problem with the printer, please do not try to fix it yourself. Please tell a member of the lab staff and the issue will be corrected as soon as possible.

Eating and Drinking and Cleanliness

   There is absolutely no eating, drinking or smoking in the labs. Food and drink may not be brought into the labs, including unopened items. Failure to comply with this policy will result in the loss of lab privileges.

   It is the responsibility of the user to keep his/her work area clean. Please take any refuse with you when you leave.

Game Playing

   Game playing is not permitted in the labs at any time unless specific authorization of the lab staff has been granted. There are limited resources and these need to be available for others who have been assigned homework using the specific software installed in the labs.

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V. Exercise Physiology Clinical Practicum

   This capstone course in the EP curriculum is taken during either the fall or spring semester in the Senior year. It is an integrated practicum in which students are assigned either to a cardiopulmonary rehabilitation facility or to a fitness center for 12 hours/week. This experience is an integrated one, meaning students also return to campus to take other courses and attend Seminar. The practicum is designed as a practical application of knowledge and as an opportunity to polish professional behavior, communication skills (verbal, non-verbal, written), problem-solving abilities, safety, and administrative/management skills. The goal of the Department of Physical Therapy is to prepare entry-level practitioners in exercise physiology and in physical therapy.

A. Practicum General Policies

1. The practicum component of the curriculum is directed by the Practicum Coordinator. The Practicum Coordinator identifies and develops sites which are suitable and compatible with our program. Students do not contact a facility to establish a practicum experience.

2. All affiliations sign a contractual Agreement with the University. This Agreement, which is a legal and binding document, outlines the rights and responsibilities of each party. All such Agreements must be in place prior to any student beginning Practicum.

3. Any costs for practicum education are the students’ responsibility. These may include transportation, parking, attire, nametags, meals, health pre-requisites, BLS certifications.

4. Students will meet with the Practicum Coordinator in their junior year to discuss pre-requisites for the practicum experience. These include health pre-requisites, immunizations, CORI checks, Basic Life Support certification etc. All these must be completed prior to beginning a practicum. In addition, some placements may also require an interview or attendance at an orientation or an on-site blood test.

5. The Practicum Coordinator will meet with the students in the Junior year to determine who will go out on practicum during the fall semester or during the spring semester of their Senior year. Specific placements are made in a group meeting with the Practicum Coordinator. There is no guarantee for placement because of a student’s employment, lack of transportation, family responsibilities, or athletic team participation.

6. There is a co-requisite of Senior Seminar for those students out on practicum.

7. The Practicum coordinator will visit a site as needed.

   Should arrangements be made to withdraw a student from a practicum for any reason, each case will be handled on an individual basis. In some cases, students may conclude their assignment at a later date (i.e. withdrawal for a medical reason) or a student can be dropped from the EP program.

   Students who have special physical, mental, or emotional problems are expected to spell these out to the Department prior to consideration for practicum placement. Medical diagnoses and medications must be known (specifically) for the students safety as well as for the safety of the clients with whom they will interact.

19

B. Emergency Policy

1. In the event of a medical emergency involving a UMass Lowell student, please follow this procedure.

Take all necessary action to deal with the emergency in a timely manner.

a. Contact the Department of Physical Therapy at UML-Phone: (978)934-4517. The secretary will connect you with the Practicum Coordinator, the Department Chair or the Dean of the School of Health and Environment.

b. Have ready:

Student name

Facility name

Facility phone number

Nature of emergency

Facility contact person

c. The University will contact “the person to notify in case on an emergency.”

2. Exposure to Bloodborne Pathogens while on Practicum 

   All students are expected to follow Universal Precautions. In the event of exposure to bloodborne pathogens, the student will follow these procedures.

a. Follow agency policy for reporting, testing, treatment AND THEN REPORT TO

b. UML’s Student Health Services Director, Nancy Quattrocchi at (978) 934-4492 for reporting and referral for testing and referral for treatment if not provided by the agency.

   The Health Services will have confidential medical evaluation and follow-up. Students need not share the details of the incident with anyone except the Director of Student Health Services. It is the exposed student’s option to participate in the testing and treatment.

C. Practicum Attendance Policy

   Practicum experiences are part time (12 hrs/week) and times are arranged by mutual agreement of the student and supervisor. (Students will follow the University calendar.) Attendance is mandatory during practicum hours. Make up of any missed hours are at the discretion of the student’s supervisor, in consultation with the Practicum Coordinator. Prolonged absence due to illness or injury may result in the student being pulled from practicum and re-assigned in another semester.

1. If a student cannot attend practicum due to illness, injury or family emergency, the student must notify his/her supervisor and the Practicum Coordinator.

2. Students are excused from practicum should the University be closed due to a snow day. Any make-up for snow days is a mutual decision between the supervisor and the student, unless there is a problem. If so, call the Practicum Coordinator.

3. Students who are observing religious holidays shall be excused from practicum that day and be given the opportunity to make up those hours. Speak to your supervisor and to the Practicum Coordinator ahead of time. 

4. Attendance at the co-requisite Senior Seminar is mandatory. If there are any problems, contact the Practicum Coordinator and the seminar instructor.

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5. The traditional February vacation for grades K-12 is NOT part of our academic calendar. Students are expected to be in class and attend practicum.

D. Other Policies

1. Students may not get paid by the site during their practicum semester. It is both an ethical consideration and specifically prohibited by our contractual agreements.

2. Students may not “double up” hours to finish clinical before the end of the semester.

3. Students may NOT do any invasive procedures such as drawing blood for a cholesterol test; as they are not trained and qualified to do so.

4. Students must wear a nametag at all times at practicum so that one is clearly identified as a student.

5. Students must observe Universal precautions. 

6. Students must maintain confidentiality and all H.I.P.P.A. regulations. 

7. Students must sign documents with an “EP, S” after one’s name to indicate one is student.

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E. Generic Abilities

Generic Abilities*

   Generic abilities are attributes, characteristics or behaviors that are not explicitly part of the profession’s core of knowledge and technical skills but are nevertheless required for a successful profession. The ten abilities and definitions are:

Generic Ability Definition

1. Commitment to Learning The ability to self assess, self-correct, and self-direct; to identify needs and sources of learning; and to continually seek new knowledge and understanding.

2. Interpersonal Skills The ability to interact effectively with patients, families, colleagues, other health care professionals, and the community and to deal effectively with cultural and ethnic diversity issues.

3. Communication Skills The ability to communicate effectively (i.e., speaking, body language, reading, writing, listening) for varied audiences and purposes.

4. Effective Use of Time The ability to obtain the maximum benefit

and Resources from a minimum investment of time and resources.

5. Use of Constructive Feedback The ability to identify sources of and seek out feedback and to effectively use and provide feedback for improving professional interaction.

6. Problem-Solving The ability to recognize and define the problems, analyze data, develop and implement solutions, and evaluate outcomes.

7. Professionalism The ability to exhibit appropriate professional conduct and to represent the profession effectively.

8. Responsibility The ability to fulfill commitments and to be accountable for actions and outcomes.

9. Critical Thinking The ability to question logically; to identify, generate, and evaluate elements of logical argument; to recognize and differentiate facts, illusions, assumptions, and hidden assumptions; and to distinguish the relevant from the irrelevant.

10. Stress Management The ability to identify sources of stress and to develop effective coping behaviors.

*Adapted from May et al, Journal of Physical Therapy Education. 9:1, Spring 1995

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1. Commitment to Learning

Behavioral Criteria

Beginning Level

* Identifies problems

* Formulates appropriate questions

* Identifies and locates appropriate resources

* Demonstrates a positive attitude (motivation) toward learning

* Offers own thoughts and ideas

* Identifies need for further information

Developing Level (builds on preceding level)

* Prioritizes information needs

* Analyzes and subdivides large questions into components

* Seeks out professional literature

* Sets personal and professional goals

* Identifies own learning needs based on previous experiences

* Plans and presents an in-service, or research or case studies

* Welcomes and/or seeks new learning opportunities

Entry Level (builds on preceding levels)

* Applies new information and re-evaluates performance

* Accepts that there may be more than one answer to a problem

* Recognizes the need to and is able to verify solutions to problems

* Reads articles critically and understands limits of application to professional practice

* Researches and studies areas where knowledge base is lacking

Post-Entry Level (builds on preceding levels)

* Questions conventional wisdom

* Formulates and re-evaluates position based on available evidence

* Demonstrates confidence in sharing new knowledge with all staff levels

* Modifies programs and treatments based on newly-learned skills and considerations

* Consults with other allied health professionals and physical therapists for treatment ideas

* Acts as mentor in area of specialty for other staff

23

2.  Interpersonal Skills

Behavioral Criteria

Beginning Level

* Maintains professional demeanor in all interactions

* Demonstrates interest in clients

* Respects cultural and personal differences of others; is non-judgmental about clients’ lifestyles

* Communicates with others in a respectful, confident manner

* Respects personal space of clients and others

* Maintains confidentiality in all clinical interactions

* Demonstrates acceptance of limited knowledge and experience

Developing Level (builds on preceding level)

* Recognizes impact of non-verbal communication and modifies accordingly

* Assumes responsibility for own actions

* Motivates others to achieve

* Establishes trust

* Seeks to gain knowledge and input from others

* Respects role of support staff

Entry Level (builds on preceding levels)

* Listens to clients but reflects back to original concern

* Works effectively with challenging clients

* Responds effectively to unexpected experiences

* Talks about difficult issues with sensitivity and objectivity

* Delegates to others as needed

* Approaches others to discuss differences in opinion

* Accommodates differences in learning styles

Post-Entry Level (builds on preceding levels)

* Recognizes role as a leader

* Builds partnerships with other professionals

* Establishes mentor relationships

24

3.  Communication Skills

Behavioral Criteria

Beginning Level

* Demonstrates understanding of basic English (verbal and written): uses correct grammar, accurate spelling and expression

* Writes legibly

* Recognizes impact of non-verbal communication: maintains eye contact, listens actively

* Maintains eye contact

Developing Level (builds on preceding level)

* Utilizes non-verbal communication to augment verbal message

* Restates, reflects and clarifies message

* Collects necessary information from the clients interview

Entry Level (builds on preceding levels)

* Modifies communication (verbal and written) to meet the needs of different audiences

* Presents verbal or written message with logical organization and sequencing

* Maintains open and constructive communication

* Utilizes communication technology effectively

* Dictates clearly and concisely

Post-Entry Level (builds on preceding levels)

* Demonstrates ability to write scientific research papers and grants

* Fulfills role as client advocate

* Communicates professional needs and concerns

* Mediates conflict

25

4.  Effective Use of Time and Resources

Behavioral Criteria

Beginning Level

* Focuses on tasks at hand without dwelling on past mistakes

* Recognizes own resource limitations

* Uses existing resources effectively

* Uses unscheduled time efficiently

* Completes assignments in timely fashion

Developing Level (builds on preceding level)

* Sets up own schedule

* Coordinates schedule with others

* Demonstrates flexibility

* Plans ahead

Entry Level (builds on preceding levels)

* Sets priorities and reorganizes as needed

* Considers client's goals in context of client, clinic, and third party resources

* Has ability to say "No”

* Performs multiple tasks simultaneously and delegates when appropriate

* Uses scheduled time with each client efficiently

Post-Entry Level (builds on preceding levels)

* Uses limited resources creatively

* Manages meeting time effectively

* Takes initiative in covering for absent staff members

* Develops programs and works on projects while maintaining case loads

* Follows up on projects in timely manner

* Advances professional goals while maintaining expected workload

26

5.  Use of Constructive Feedback

Behavioral Criteria

Beginning Level

* Demonstrates active listening skills

* Actively seeks feedback and help

* Demonstrates a positive attitude toward feedback

* Critiques own performance

* Maintains two-way communication

Developing Level (builds on preceding level)

* Assesses own performance accurately

* Utilizes feedback when establishing pre-professional goals

* Provides constructive and timely feedback when establishing pre-professional goals

* Develops plan of action in response to feedback

Entry Level (builds on preceding levels)

* Seeks feedback from clients

* Modifies feedback given to clients according to their learning styles

* Reconciles differences with sensitivity

* Considers multiple approaches when responding to feedback

Post-Entry Level (builds on preceding levels)

* Engages in nonjudgmental, constructive problem-solving discussions

* Acts as conduit for feedback between multiple sources

* Utilizes feedback when establishing professional goals

* Utilizes self-assessment for professional growth

27

6.  Problem-Solving

Behavioral Criteria

Beginning Level

* Recognizes problems

* States problems clearly

* Describes known solutions to problem

* Identifies resources needed to develop solutions

* Begins to examine multiple solutions to problems

Developing Level (builds on preceding level)

* Prioritizes problems

* Identifies contributors to problem

* Considers consequences of possible solutions

* Consults with others to clarify problem

Entry Level (builds on preceding levels)

* Implements solutions

* Reassesses solutions

* Evaluates outcomes

* Updates solutions to problems based on current research

* Accepts responsibility for implementing solutions

Post-Entry Level (builds on preceding levels)

* Weighs advantages

* Participates in outcome studies

* Contributes to formal quality assessment in work environment

* Seeks solutions to community health-related problems

28

7.  Professionalism

Behavioral Criteria

Beginning Level

* Demonstrates awareness of state licensure regulations

* Abides by facility policies and procedures

* Projects professional image

* Attends professional meetings

* Demonstrates honesty, compassion, courage and continuous regard for all

Developing Level (builds on preceding level)

* Identifies positive professional role models

* Discusses societal expectations of the profession

* Acts on moral commitment

* Involves other health care professionals in decision-making

* Seeks informed consent from clients

Entry Level (builds on preceding levels)

* Demonstrates accountability for professional decisions

* Treats clients within scope of expertise

* Discusses role of exercise physiology in health care

* Keeps client as priority

Post-Entry Level (builds on preceding levels)

* Participates actively in professional organizations

* Attends workshops

* Actively promotes the profession

* Acts in leadership role when needed

* Supports research

29

8.  Responsibility

Behavioral Criteria

Beginning Level

* Demonstrates dependability

* Demonstrates punctuality

* Follows through on commitments

* Recognizes own limits

Developing Level (builds on preceding level)

* Accepts responsibility for actions and outcomes

* Provides safe and secure environment for clients

* Offers and accepts help

* Completes projects without prompting

Entry Level (builds on preceding levels)

* Directs clients to other health care professionals when needed

* Delegates as needed

* Encourages client accountability

Post-Entry Level (builds on preceding levels)

* Orients and instructs new employees/students

* Promotes clinical education

* Accepts role as team leader

* Facilitates responsibility for program development and modification

30

9.  Critical Thinking

Behavioral Criteria

Beginning Level

* Raises relevant questions

* Considers all available information

* States the results of scientific literature

* Recognizes "holes" in knowledge base

* Articulates ideas

Developing Level (builds on preceding level)

* Feels challenged to examine ideas

* Understands scientific method

* Formulates new ideas

* Seeks alternative ideas

* Formulates alternative hypotheses

* Critiques hypotheses and ideas

Entry Level (builds on preceding levels)

* Exhibits openness to contradictory ideas

* Assesses issues raised by contradictory ideas

* Justifies solutions selected

* Determines effectiveness of applied solutions

Post-Entry Level (builds on preceding levels)

* Distinguishes relevant from irrelevant data

* Identifies complex patterns of associations

* Demonstrates beginning intuitive thinking

* Distinguishes when to think intuitively vs. analytically

* Recognizes own biases and suspends judgmental thinking

* Challenges others to think critically

31

10.  Stress Management

Behavioral Criteria

Beginning Level

* Recognizes own stressors or problems

* Recognizes distress or problems in others

* Seeks assistance as needed

* Maintains professional demeanor in all situations

Developing Level (builds on preceding level)

* Maintains balance between professional and personal life

* Demonstrates effective affective responses in all situations

* Accepts constructive feedback

* Establishes outlets to cope with stressors

Entry Level (builds on preceding levels)

* Prioritizes multiple commitments

* Responds calmly to urgent situations

* Tolerates inconsistencies in health-care environment

Post-Entry Level (builds on preceding levels)

* Recognizes when problems are unsolvable

* Assists others in recognizing stressors

* Demonstrates preventative approach to stress management

* Establishes support network for self and clients

* Offers solutions to the reduction of stress within the work environment

Adapted from May et al, Journal of Physical Therapy Education

32

F. Student Practicum Performance Evaluation Form

University of Massachusetts Lowell School of Health and Environment

Department of Physical Therapy

EXERCISE PHYSIOLOGY PRACTICUM

STUDENT PERFORMANCE EVALUATION

(please print)

STUDENT: Class of:

PRACTICUM FACILITY:

TYPE OF EXPERIENCE: Outpatient Cardiac Rehabilitation

Outpatient Pulmonary Rehabilitation Fitness/Wellness

Strength / Conditioning

___ Other:

TIME OF PRACTICUM: Academic Year Fall Semester

Spring Semester

PRACTICUM SUPERVISOR(S):

DAYS ABSENT:

REASON(S):

WERE DAYS MADE UP: YES NO HOW MANY NOT?

If not, please indicate reason:

Adapted from The New England Consortium

33

G. Introduction to the Student Practicum Performance Evaluation Tool

This Evaluation Tool was adapted from The New England Consortium, and it is designed as

a process-oriented tool. The emphasis is on developing students as thinking and behaving

beginning professionals who not only command didactic knowledge, but also can apply it with clear

communication skills. It is also important that students are flexible within the professional setting so that

they can adapt to ever-changing situations with ease and good humor.

The Tool is divided into five major areas for individual review:

I. Professional Behavior and Attitude

II. Safety

III. Interpersonal Relationships and Communication Skills

IV. The Problem-Solving Process

V. Administration/Management Skills

Guidelines for Grading

Objective: 

This Evaluation Tool is process-oriented and specifically delineates to the student not only technical competencies but also those behaviors and expectations which comprise both professional behavior and a systematic approach to solving problems.

GRADE THE STUDENT AGAINST ENTRY-LEVEL COMPETENCE.

1. Base your grades on the most frequently observed level of performance. No grade should be based on an isolated incident. The student needs the opportunity to correct any problem areas.

2. Each grade should reflect the student's performance at that specific point in time i.e. mid-term or final. Avoid "averaging" how the student performed over the first half or the last half of the affiliation.

3. Please use the "comment" section to illustrate points, provide anecdotal and/or information to help document grading.

4. Use whole numbers only. Do not use decimals (2.5) or plusses or minuses. (2-, 3+).

34

The Rating Scale and Definitions

The following definitions are provided for consistency and clarity. Please use the rating scale below to indicate the student's level of competency for each of the stated objectives/sub-objectives. Please utilize a whole number when rating a category, thereby avoiding half grades or plus and minus grades.

The Scale: 

4: Excellent. Consistently meets the stated objective and/or the student is capable of functioning safely and independently. The student may seek confirmation from the practicum instructor. (Confirmation = Student may confer with the practicum instructor prior to, or following an activity for the purpose of sharing information and/or validating the student's decision-making or behavior.)

3: Good. Consistently meets the stated objective. The student, however, needs guidance from the practicum instructor about decision-making, information or behavior. (Guidance = Student needs advice from the practicum instructor to expand knowledge or skills. The presence of the practicum instructor in the immediate vicinity is not necessary.)

2: Weak. Meets the stated objective, but with inconsistencies (knowledge, behavior or decision-making.) The student requires supervision from the practicum instructor. (Supervision = The student needs verbal cueing or physical assistance from the practicum instructor. The presence of the practicum instructor in the immediate vicinity is necessary.)

1: Poor/Unacceptable. Does not meet the stated objective (knowledge, behavior or decision-making.) The student requires constant supervision from the practicum instructor. The practicum instructor is essentially standing next to the student. (Constant supervision = The student requires continuous verbal cueing or continuous physical assistance from the practicum instructor.)

N/A: Not applicable. The stated objective is not applicable to this setting.

N/O: Not observed. The stated objective is not observed to the extent that a rating is appropriate. No grade shall be based on an isolated incident.

* The asterisk indicates competencies which are felt to be essential criteria for satisfactory completion of the practicum experience. These relate to safety and adherence to ethical, legal and administrative policies and procedures. Any inconsistencies (rating below "3") found in the essential competencies will be interpreted as practicum incompetency and result in failure of the practicum.

Full documentation of such inconsistencies must be provided to the student and to the Chair  and/or Coordinator of the Exercise Physiology Program at the University. 

35

I. PROFESSIONAL BEHAVIOR AND ATTITUDE

Mid-term Final

*1. Is punctual and dependable.

*2. Wears appropriate attire, including required nametag.

3. Follows ethical and legal standards of practice and behavior.

4. Demonstrates enthusiasm and professional curiosity.

5. Accepts constructive criticism well.

*6. Accepts responsibility for own actions.

*7. Shows respect for others (clients/peers/supervisors)

*8. Maintains confidentiality.

9. Is cooperative and courteous.

10. Adapts well to changing situations: is flexible. *11. Maintains appropriate professional distance.

12. Is able to self-evaluate accurately.

*13. Demonstrates good personal hygiene.

14. Shows initiative: Sees what needs to be done and does it without being told.

15. Demonstrates empathy.

16. Demonstrates neutral professional touch when touching clients/patients.

yes no

17. Participates in appropriate in-service education.

yes no

COMMENTS/DOCUMENTATION: Professional Behavior and Attitude Mid-term:

Final:

36

II. SAFETY

Mid-term Final

1. Observes facility's health and safety regulations (including Universal Precautions)

*2. Knows the facility's emergency protocol.

*3. Recognizes changes in the client's physiological and psychological status.

*4. Responds appropriately to changes in the client's status.

*5. Handles clients safely.

6. Asks for appropriate help when necessary.

7. Can monitor more than one client at a time.

*8. Knows contraindications/precautions to exercises.

Assumption of Risk Issues: 

*9. Teaches what to do and why.

*10. Teaches what not to do and why not.

COMMENTS/DOCUMENTATION: Safety

Mid-term:

Final:

37

III. INTERPERSONAL RELATIONSHIPS AND COMMUNICATION

SKILLS (VERBAL & NON-VERBAL)

Verbal

Mid-term Final

1. Speaks politely and tactfully.

2. Uses appropriate tone of voice.

3. Speaks clearly; does not mumble.

4. Uses proper grammar.

5. Uses appropriate terminology (refrains from using inappropriate slang or jargon).

6. Demonstrates ease in speaking in front of a group.

7. Establishes effective relationships with client.

8. Establishes effective relationships with practicum instructor(s) and staff members.

9. Acknowledges feedback from practicum instructor(s).

10. Initiates communication easily.

11. Asks relevant questions in a timely manner.

12. Can "translate" information into easily understood language for clients.

Non-Verbal

1. Recognizes the importance of non-verbal communication.

2. Recognizes the effects of his/her own non-verbal communication upon others.

3. Maintains appropriate posture, gesture and facial expressions.

4. Correctly interprets and responds to the non-verbal behaviors of others.

Paperwork/Documentation 

1. Maintains documentation in accordance with facility's policies.

2. Writes in an organized, logical, and concise manner.

3. Writes legibly, using correct spelling and grammar.

Mid-term Final

38

4. Uses appropriate professional terminology and

abbreviations.

5. His/her written material is accurate.

6. Written materials are done in a timely manner.

Student Presentation/Workshop

1. Presented an in-service workshop, client lecture or

special program at the facility.

yes no

Topic:

COMMENTS/DOCUMENTATION: Interpersonal Relationships and Communication Skills (Verbal, Non-verbal, and Written)

Mid-term:

Final:

39

IV. THE PROBLEM-SOLVING PROCESS

Problem Identification

Mid-term Final

1. Clearly recognizes that a problem(s) exists that needs

to be addressed.

2. Is able to define the problem(s) that need to be addressed.

3. Can explain the problem accurately to the practicum instructor.

4. Can analyze the problem(s) into components to be solved and put them into priority.

Management/Gathering of data 

1. Organizes available data.

Reviews medical/physical history

Reviews risk factor profile.

Reviews health/lifestyle habits.

Reviews medications.

Reviews informed consent.

2. Identifies need for additional information, when appropriate.

3. Understands the effects of meds. on performance.

Skills to gather pertinent data (Grade if appropriate to site)

1. Blood Pressure

2. Heart rate (radial pulse)

3. EKG lead placement

4. Protocols:

Bruce

Modified Bruce

5. Interprets Borg RPE scale(s) to clients

6. Strength Testing

7. Muscular Endurance Testing

8. Flexibility Testing

9. Body Fat Composition Testing

4. Recognizes end points of testing

Development of a solution(s) 

1. Correctly understands test data.

2. Establishes realistic and timely goals with and for client.

3. Designs a comprehensive exercise prescription with appropriate frequency, intensity, duration, mode, and progression.

4. Can explain and defend rationale behind selected exercise program.

5. Understands and appreciates the client's psychological and physiological needs and abilities.

6. Can adapt an Exercise Prescription.

40

Implementation/Teaching of the solution(s)  (Grade if appropriate to site)

1. Effectively teaches the following at an appropriate level:

1. Aerobic Activity:

Step Aerobics

Walking/Jogging

Treadmill

Rower

Stair Climber

Bicycle

UBE

Other: (list)

2. Resistive Exercises

Weight Training Machines

Free Weights

3. Flexibility Exercises

4. Relaxation Exercises

5. Stress Management Information

6. Nutritional Information

7. Weight Reduction Information

8. Environmental Factor Information

9. Eating Disorders Information

Other: (list)

2. Teaches activities logically, clearly.

3. Anticipates common errors in specific exercises and corrects accordingly.

4. Knows sequential progression of exercises.

5. Imparts accurate information to the client.

Evaluation of the solution

1. Monitors and evaluates client progress.

2. Knows when to modify exercise prescription.

3. Knows how to modify exercise prescription.

4. Reviews new goals/methods with client.

COMMENTS/DOCUMENTATION: Problem-Solving Process

(Problem Identification, Management/Gathering of Data, Development of a Solution, Implementation of the Solution, Evaluation of Solution)

Mid-term:

Final:

41

V. ADMINISTRATION/MANAGEMENT SKILLS

1. Organizes time effectively.

2. Completes tasks in a prompt, timely fashion.

3. Takes and delivers accurate messages.

4. Uses free time productively.

5. Maintains efficient, clean, and safe work area.

6. Demonstrates how to clean and to maintain the various pieces of equipment.

7. Knows how to calibrate equipment.

Mid-term Final

COMMENTS/DOCUMENTATION: Administration/Management Skills Mid-term:

Final:

42

MID-TERM

Please rate the student's overall MID-TERM performance, and indicate with an X:

Objectives Objectives

Met Not Met

I. Professional Behavior and Attitude

II. Safety

III. Interpersonal Relationships and

Communication Skills

IV. Problem-Solving Process

V. Administration/Management Skills

Date of Discussion:

Student Signature:

Practicum Instructor Signature:

FINAL

Please rate the student's overall FINAL performance, and indicate with an X:

Objectives Objectives

Met Not Met

I. Professional Behavior and Attitude

II Safety

III Interpersonal Relationships and

Communication Skills

IV. Problem-Solving Process

V. Administration/Management Skills

Date of Discussion:

Student Signature:

Practicum Instructor Signature:

Note: After the final evaluation, return this form to the Coordinator of the Exercise Physiology Program at the University within three (3) business days of the last day of the affiliation so that grades may be submitted in a timely fashion by the Coordinator. Thank you. 

43

VI. FORMS SIGNED AND RETURNED

Appendix A. Receipt of Student Manual

University of Massachusetts Lowell School of Health and Environment

Department of Physical Therapy

Exercise Physiology Program

Student Manual

Class of 2013

I have read and understand the information in this student manual.

I agree to abide by the policies contained within this student manual.

Signature:

Print name:

Date: ISIS #:

44

Appendix B. Essential Functions / Program Requirements

University of Massachusetts Lowell

School of Health and Environment

Department of Physical Therapy

Exercise Physiology Program: Essential Functions

    I have been fully informed of the Essential functions required of the curriculum – which include both academic and non-academic requirements essential for the successful completion of all stages of the curriculum, including physical, cognitive and behavioral (technical) standards – as outlined in the EP Student Manual.

Signature:

Print name:

Date: ISIS #:

45

Appendix B continued

University of Massachusetts Lowell

School of Health and Environment

Department of Physical Therapy

Exercise Physiology Program: Essential Functions and Program Requirements

RESPONSE SHEET: PLEASE COMPLETE EACH SECTION AND SIGN BELOW. IF YOU ANSWER YES TO ANY QUESTION/CATEGORY, PLEASE PROVIDE AN EXPLANATION BELOW.

DO YOU FORSEE ANY DIFFICULTY IN DEMONSTRATING SKILLS IN?

OBSERVATION Yes____ No_____ described in section #1

COMMUNICATION Yes_____ No_____ described in section #2

MOTOR SKILLS & FUNCTION Yes_____ No_____ described in section #3

CRITICAL THINKING Yes_____ No_____ described in section #4

BEHAVIORAL & SOCIAL SKILLS Yes_____ No_____ described in section #5

CAN YOU COMPLY WITH OTHER PROGRAM REQUIREMENTS?

HEALTH Yes_____ No_____

CPR CERTIFICATION Yes_____ No_____

CORI CHECK Yes_____ No_____

    HONOR CODE Yes_____ No_____ EXPLANATION:

Signature:

Print name:

Date: ISIS #:

46

Appendix C. Honor Code Testament

University of Massachusetts Lowell School of Health and Environment

Department of Physical Therapy

Honor Code

I agree to adhere to the Honor Code of the Physical Therapy Department throughout my tenure in the Exercise Physiology program. I understand I am responsible for complying with professional standards of behavior. I understand prohibited practice and behaviors include cheating, lying or plagiarizing. The preservation of integrity in the academic process is an exercise of professional judgment. The Honor Code also requires that I will report to the faculty observable behaviors in other students who violate the Honor Code. The preservation of integrity in academic process is a responsibility of everyone.

Signature:

Print name:

Date: ISIS #:

47

Save a million quiz

Using the quiz to help get your message across

The ‘Save a million’ quiz is directly related to the key message of IOSH’s Lif€ Savings campaign: good health and safety management can save money as well as lives.

You can use the quiz to help make the link between effective health and safety management and other core business functions, to try to get senior managers to see health and safety in a different way.

We suggest you use the quiz:

-as an ‘ice breaker’ at the start of a meeting or pitch

-to make your point during a training session

-to get managers thinking about the issues at the start of a

business case presentation 

Each question in the quiz gives an opportunity to get the key

message out or to bust some of the myths. For example:

-You can make the point that Janssen Pharmaceutical saved €2 million by improving industrial hygiene and ergonomic standards on its drug packing station

-Stress the massive €3.2 billion bill for the Irish public purse. Remind your audience that this is the cost of failure, not money ‘wasted’ on implementing the law. Make the point that this staggering bill is well worth tackling in the current economic climate

-Use the fact that one DIY chain was fined €250,000 for health and safety breaches, to demonstrate the damage it can have on the bottom line – and company reputation

www.iosh.co.uk/lifesavingsireland

The quiz questions

The quiz consists of six questions:

1 Following a fatality, what was one DIY chain fined

for health and safety breaches?

A €250,000 [correct answer]

C3 €25,000

C €2,500

D €250

2 In one recent year, what was the total national value of fines for health and safety failures? A €8.2 million

C3 €820,000 [correct answer]

C €82,000

D €8,200

3 What did Janssen Pharmaceutical save by

improving health and safety at its drug packing

station?

A €12 million

C3 €2 million [correct answer]

C €200,000

D €20,000

4 How much do accidents and ill health at work cost

each year in Ireland?

A €3.2 billion [correct answer]

C3 €3.2 million

C €320,000

D €32,000

5 How much does absenteeism cost small businesses

each year?

A €692 million [correct answer]

C3 €69 million

C €690,000

D €69,000

6 How much does an average accident cost a

business in the construction sector?

A €170,000

C3 €17,000 [correct answer]

C €1,700

D €170 

The DIY chain was fined because a customer was hit and killed by a half-tonne fencing panel that had fallen more than four metres from the top of a stack. Point out that the costs around this case extend far beyond the fine and legal expenses – the poor publicity and reputation damage would be costly too.

This figure is from the Health and Safety Authority’s 2011 annual report. The most common reason for a fine was being struck by something.

Janssen Pharmaceutical improved the industrial hygiene and ergonomic standards on its drug packing station, which lead to a dramatic increase in production. The new design also saw cost savings from cutting solvents used to clean equipment, a lower budget for personal protective equipment, and a drop in maintenance requirements.

€3.2 billion is an HSA figure and covers the costs to individuals, businesses and the state.

A survey by the Small Firms Association in 2006 found that stress is the main cause of absenteeism in small businesses in Ireland. The survey revealed that the highest levels of absenteeism were in the electronics industry, with an average of 16 days a year, followed by the engineering sector at 11 days. The national average was nine days.

This figure is from a 2005 Dalley survey which questioned businesses from the construction, mines and quarries, and agriculture and forestry sectors. An average accident in the mines and quarries sector cost €8,700; an average accident in the agriculture and forestry sector cost €2,000.

02

Using the quiz

Before you start

You need to have internet access to run the quiz.

If you’re using the quiz as part of a meeting or presentation, it’s best to connect your computer or laptop to a large screen monitor.

Go to www.lifesavingsquizireland.co.uk. The game needs to be full screen to be most effective.

To begin the quiz, click the ‘Start quiz’ button.

If you need to return to the start of the quiz at any point, click ‘Save a million quiz’. If you want to go direct to the campaign webpages, click ‘Lif€ Savings’ in the top left of the screen.

Each question gives your ‘player’ two lifelines. Just click on the icon they choose.

50/50 – when the player chooses ‘50/50’, the software will take away two of the wrong answers. Once you’ve clicked this icon, it will appear crossed out.

Ask the audience – this is so you can involve others, perhaps your player’s colleagues. It should help you to make the quiz more engaging and interactive. Again, once you’ve clicked this icon, it will appear crossed out.

When your player has selected an answer, and you click that answer, the correct answer will appear in a yellow box and the other wrong answer/s will be faded out.

The ‘Next’ button near the top right of the screen will bring up the next question – click this and the next question will appear.

After you’ve completed all six questions, click the

final question text box and it will take you to a ‘Thank you’ screen.

TOSHIBA Telecommunication Systems Division

Voice Processing Systems

Stratagy iES32, ES4, ES80,

ES96, ES96R

System Administrator Guide

June 2002

Publication Information

Toshiba America Information Systems, Inc., Telecommunication Systems Division, reserves the right, without prior notice, to revise this information publication for any reason, including, but not limited to, utilization of new advances in the state of technical arts or to simply change the design of this document.

Further, Toshiba America Information Systems, Inc., Telecommunication Systems Division, also reserves the right, without prior notice, to make such changes in equipment design or components as engineering or manufacturing methods may warrant.

STG-AG-ESALL-VA

Version A, June 2002

© Copyright 2002

Toshiba America Information Systems, Inc.

Telecommunication Systems Division

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2. Intellectual Property. You acknowledge that no title to the intellectual property in the Software is transferred to you. You further acknowledge that title and full ownership rights to the Software will remain the exclusive property of TAIS and/or its suppliers, and you will not acquire any rights to the Software, except the license expressly set forth above. You will not remove or change any proprietary notices contained in or on the Software. The Software is protected under US patent, copyright, trade secret, and/or other proprietary laws, as well as international treaties. Any transfer, use, or copying of the software in violation of the License Agreement constitutes copyright infringement. You are hereby on notice that any transfer, use, or copying of the Software in violation of this License Agreement constitutes a willful infringement of copyright.

3. No Reverse Engineering. You agree that you will not attempt, and if you employ employees or engage contractors, you will use your best efforts to prevent your employees and contractors from attempting to reverse compile, reverse engineer, modify, translate or disassemble the Software in whole or in part. Any failure to comply with the above or any other terms and conditions contained herein will result in the automatic termination of this license and the reversion of the rights granted hereunder back to TAIS.

4. Limited Warranty. THE SOFTWARE IS PROVIDED “AS IS” WITHOUT WARRANTY OF ANY KIND. TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, TAIS AND ITS SUPPLIERS DISCLAIM ALL WARRANTIES WITH REGARD TO THE SOFTWARE, EITHER EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, THE WARRANTY OF NON-INFRINGEMENT OF THIRD PARTY RIGHTS, THE WARRANTY OF YEAR 2000 COMPLIANCE, AND THE IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE. THE ENTIRE RISK AS TO THE QUALITY AND PERFORMANCE OF THE SOFTWARE IS WITH YOU. NEITHER TAIS NOR ITS SUPPLIERS WARRANT THAT THE FUNCTIONS CONTAINED IN THE SOFTWARE WILL MEET YOUR REQUIREMENTS OR THAT THE OPERATION OF THE SOFTWARE WILL BE UNINTERRUPTED OR ERROR-FREE. HOWEVER, TAIS WARRANTS THAT ANY MEDIA ON WHICH THE SOFTWARE IS FURNISHED IS FREE FROM DEFECTS IN MATERIAL AND WORKMANSHIP UNDER NORMAL USE FOR A PERIOD OF NINETY (90) DAYS FROM THE DATE OF DELIVERY TO YOU.

5. Limitation Of Liability. TAIS’ ENTIRE LIABILITY AND YOUR SOLE AND EXCLUSIVE REMEDY UNDER THIS LICENSE AGREEMENT SHALL BE AT TAIS’ OPTION REPLACEMENT OF THE MEDIA OR REFUND OF THE PRICE PAID. TO THE MAXIMUM EXTENT PERMITTED BY APPLICABLE LAW, IN NO EVENT SHALL TAIS OR ITS SUPPLIERS BE LIABLE TO YOU FOR ANY CONSEQUENTIAL, SPECIAL, INCIDENTAL OR INDIRECT DAMAGES FOR PERSONAL INJURY, LOSS OF BUSINESS PROFITS, BUSINESS INTERRUPTION, LOSS OF BUSINESS INFORMATION/DATA, OR ANY OTHER PECUNIARY LOSS OF ANY KIND ARISING OUT OF THE USE OR INABILITY TO USE THE SOFTWARE, EVEN IF TAIS OR ITS SUPPLIER HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. IN NO EVENT SHALL TAIS OR ITS SUPPLIERS BE LIABLE FOR ANY CLAIM BY A THIRD PARTY.

6. State/Jurisdiction Laws. SOME STATES/JURISDICTIONS DO NOT ALLOW THE EXCLUSION OF IMPLIED WARRANTIES OR LIMITATIONS ON HOW LONG AN IMPLIED WARRANTY MAY LAST, OR THE EXCLUSION OR LIMITATION OF INCIDENTAL OR CONSEQUENTIAL DAMAGES, SO SUCH LIMITATIONS OR EXCLUSIONS MAY NOT APPLY TO YOU. THIS LIMITED WARRANTY GIVES YOU SPECIFIC RIGHTS AND YOU MAY ALSO HAVE OTHER RIGHTS WHICH VARY FROM STATE/JURISDICTION TO STATE/JURISDICTION.

7. Export Laws. This License Agreement involves products and/or technical data that may be controlled under the United States Export Administration Regulations and may be subject to the approval of the United States Department of Commerce prior to export. Any export, directly or indirectly, in contravention of the United States Export Administration Regulations, or any other applicable law, regulation or order, is prohibited.

8. Governing Law. This License Agreement will be governed by the laws of the State of California, United States of America, excluding its conflict of law provisions.

9. United States Government Restricted Rights. The Software is provided with Restricted Rights. Use, duplication, or disclosure by the United States Government, its agencies and/or instrumentalities is subject to restrictions as set forth in subparagraph (c)(1)(ii) of The Rights in Technical Data and Computer Software Clause at DFARS 252.227-7013 (October 1988) or subparagraphs (c)(1) and (2) of the Commercial Computer Software - Restricted Rights at 48 CFR 52.227-19, as applicable.

10. Severability. If any provision of this License Agreement shall be held to be invalid, illegal or unenforceable, the validity, legality and enforceability of the remaining provisions hereof shall not in any way be affected or impaired.

11. No Waiver. No waiver of any breach of any provision of this License Agreement shall constitute a waiver of any prior, concurrent or subsequent breach of the same or any other provisions hereof, and no waiver shall be effective unless made in writing and signed by an authorized representative of the waiving party.

YOU ACKNOWLEDGE THAT YOU HAVE READ THIS LICENSE AGREEMENT AND THAT YOU UNDERSTAND ITS PROVISIONS. YOU AGREE TO BE BOUND BY ITS TERMS AND CONDITIONS. YOU FURTHER AGREE THAT THIS LICENSE AGREEMENT CONTAINS THE COMPLETE AND EXCLUSIVE AGREEMENT BETWEEN YOU AND TAIS AND SUPERSEDES ANY PROPOSAL OR PRIOR AGREEMENT, ORAL OR WRITTEN, OR ANY OTHER COMMUNICATION RELATING TO THE SUBJECT MATTER OF THIS LICENSE AGREEMENT.

Toshiba America Information Systems, Inc.

Telecommunication Systems Division

9740 Irvine Boulevard

Irvine, California 92618-1697

United States of America

TSD 081601

Toshiba America Information Systems, Inc.

Telecommunication Systems Division

Limited Warranty

Toshiba America Information Systems, Inc., (“TAIS”) warrants that this voice processing equipment (except for fuses, lamps, and other consumables) will, upon delivery by TAIS or an authorized TAIS dealer to a retail customer in new condition, be free from defects in material and workmanship for twenty-four (24) months after delivery. This warranty is void (a) if the equipment is used under other than normal use and maintenance conditions, (b) if the equipment is modified or altered, unless the modification or alteration is expressly authorized by TAIS, (c) if the equipment is subject to abuse, neglect, lightning, electrical fault, or accident, (d) if the equipment is repaired by someone other than TAIS or an authorized TAIS dealer, (e) if the equipment’s serial number is defaced or missing, or (f) if the equipment is installed or used in combination or in assembly with products not supplied by TAIS and which are not compatible or are of inferior quality, design, or performance.

Customer will, at its sole cost and expense, provide the necessary Uninterruptible Power Supply (UPS) equipment as specified by TAIS in the Stratagy ES General Description for use with the Stratagy ES system at all times. System failures and/or damages resulting from either not using a UPS with the Stratagy ES or the use of a UPS not equivalent to that specified by TAIS are not covered by this warranty.

The sole obligation of TAIS or Toshiba Corporation under this warranty, or under any other legal obligation with respect to the equipment, is the repair or replacement by TAIS or its authorized dealer of such defective or missing parts as are causing the malfunction with new or refurbished parts (at their option). If TAIS or one of its authorized dealers does not replace or repair such parts, the retail customer’s sole remedy will be a refund of the price charged by TAIS to its dealers for such parts as are proven to be defective, and which are returned to TAIS through one of its authorized dealers within the warranty period and no later than thirty (30) days after such malfunction, whichever first occurs.

Under no circumstances will the retail customer or any user or dealer or other person be entitled to any direct, special, indirect, consequential, or exemplary damages, for breach of contract, tort, or otherwise. Under no circumstances will any such person be entitled to any sum greater than the purchase price paid for the item of equipment that is malfunctioning.

To obtain service under this warranty, the retail customer must bring the malfunction of the machine to the attention of one of TAIS’ authorized dealers within the twenty-four (24) month period and no later than thirty (30) days after such malfunction, whichever first occurs. Failure to bring the malfunction to the attention of an authorized TAIS dealer within the prescribed time results in the customer being not entitled to warranty service.

THERE ARE NO OTHER WARRANTIES FROM EITHER TOSHIBA AMERICA INFORMATION SYSTEMS, INC., OR TOSHIBA CORPORATION WHICH EXTEND BEYOND THE FACE OF THIS WARRANTY. ALL OTHER WARRANTIES, EXPRESS OR IMPLIED, INCLUDING THE WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, AND FITNESS FOR USE, ARE EXCLUDED.

No TAIS dealer and no person other than an officer of TAIS may extend or modify this warranty. No such modification or extension is effective unless it is in writing and signed by the vice president and general manager, Telecommunication Systems Division.

Introduction

This guide has been customized for your use and describes how to use the Stratagy System Administrator User ID Mailbox (User ID 999) for the Stratagy ES systems.

Organization

This System Administrator User Guide includes one or more of the following topics.

* System Administrator describes the available System Administration Menu functions.

* Voice Processing covers in detail Stratagy call processing control and the use of User Agents, Class of Service, and mailboxes. It also covers the Mailbox Editor menu options in detail.

Conventions

Conventions

Description

Note

Elaborates specific items or references other information. Within some tables, general notes apply to the entire table and numbered notes apply to specific items.

Important!

Calls attention to important instructions or information.

CAUTION!

Advises you that hardware, software applications, or data could be damaged if the instructions are not followed closely.

Courier

Shows a computer keyboard entry or screen display.

Helvetica Bold

represents tokens. For example: M( ).

Italics

represent parameter and menu/screen field names, and book titles. For example: hot_box parameter, Extension field.

“Type”

Indicates entry of a string of text.

“Press”

Indicates entry of a single key. For example: Type prog then press Enter.

Plus (+)

Shows a multiple PC keyboard or phone button entry. Entries without spaces between them show a simultaneous entry. Example: Esc + Enter. Entries with spaces between them show a sequential entry. Example: # + 5.

Tilde (~)

Means “through.” Example: 350~640 Hz frequency range.

?

Denotes the step in a one-step procedure.

Stratagy ES System Administrator Guide 06/02 1

Introduction

Related Documents/Media

Conventions

Description

?Denotes

a procedure.

See Figure 10

Grey words within the printed text denote cross-references. In the electronic version of this document (Strata DK Library CD-ROM or FYI Internet download), cross-references appear in blue hypertext.

Action/Response Table

1. Actions you perform appear in this column. They can consist of either a single step or a series of numbered steps.

2. When the action you perform results in a screen, menu, etc., the screen displays to the right. 

The immediate response to the action performed appears in this column. Additional notes and comments are also included.

Related Documents/Media

Note Some documents listed here may appear in different versions on the CD-ROM, FYI, or in print. To find the most current version, check the version/date in the Publication Information on the back of the document’s title page.

You can find additional detailed information about Stratagy in the following companion documents:

* Stratagy Voice Processing General Description

* Stratagy ES Installation and Maintenance Manual

* Stratagy ES User Guide

* Stratagy ES Quick Reference Guide

* Stratagy Library CD-ROM

For authorized users, Internet site FYI (http://fyi.tsd.toshiba.com) contains all current Stratagy ES

documentation and enables you to view, print, and download current publications.

2 Stratagy ES System Administrator Guide 06/02

Overview

Stratagy ES has a special mailbox known as the System Administrator mailbox. It is Mailbox 999, and you access it through the telephone just as any other mailbox.

Note The System Administrator mailbox 999 cannot be assigned to another mailbox number.

In addition to normal options available on the Main Menu, the System Administrator’s Main Menu includes a System Administration option (8).

All procedures in this chapter assume that you are logged on to the System Administrator’s mailbox.

System Administrator

Your company will assign all or some System Administrator functions to an employee who knows your telephone system, organizational structure, and the needs of your customers and employees. The Technical Service Representative will perform the remaining functions. System Administrator functions may include:

* Initial setup (assisting the Installer with defining your company’s configuration and customization requirements)

* Customizing mailboxes

* Customizing special mailboxes

* Generating reports

* Performing system shutdown and restart

* Backing up the system

* Using the System Administrator mailbox

Stratagy ES System Administrator Guide 06/02 3

Overview

System Administrator Menu

System Administrator Menu

System Administration is an option designed for the System Administrator to create system lists and to manage system-wide functions (see Figure 1).

Main Menu

Figure 1 System Administrator Menu

Notes

* Instructional greetings can be recorded by logging into the answering User Agent and pressing 3 Manage Mailbox + 6 Record Instructional Greeting. The greetings can be recorded using the same procedure as recording a Personal Greeting for a mailbox. Up to 7 greetings can be recorded. See the Stratagy ES User Guide for details.

* System Distribution Lists are created using the Distribution List option on the User Agent Menu from the Stratagy E Administration Menu. See the Stratagy ES Installation and Maintenance Manual for details.

4 Stratagy ES System Administrator Guide 06/02

Overview

System Administrator Menu

Select Option on System Administration Menu

1. From the Main Menu, press 8.

2. From the System Administration Menu, press:

1 Record system announcement

2 Delete system announcement

3 Record busy-hold music

4 Manage mailbox

5 Add mailbox

6 Set date and time

* Review system status

9 Return to Main Menu

Stratagy ES System Administrator Guide 06/02 5

Overview

System Administrator Menu

6 Stratagy ES System Administrator Guide 06/02

Features

Record System Announcement

System announcements are useful in disseminating system-wide information. With this option, you can record an announcement that Stratagy ES plays to every user when he/she accesses his/her mailbox.

Users can interrupt the system announcement by selecting from the User Main Menu during playback. However, the announcement plays each time the user accesses his/her mailbox until it has completely played. Once played in its entirety, Stratagy ES deletes the announcement from the user’s mailbox.

You are prompted to enter the mailbox number.

Stratagy ES prompts you to record the system announcement.

You can repeat options 1~3 as many times as you wish.

The complete greeting plays.

The system prompts you to record at the beep.

The appended greeting plays after the already recorded portion of the greeting. The system prompts you to record at the beep.

The greeting is canceled. The system returns to the previous menu.

Stratagy ES tells you that greeting (number) has been recorded and returns to the previous menu. Again, you are given the option to review or record over the greeting you have just recorded.

4. When finished, press 9.

Returns to the main menu.

Stratagy ES System Administrator Guide 06/02 7

Features

Delete System Announcement

Delete System Announcement

With this option, you can purge a previously recorded system announcement.

1. 

From the Main menu, press 8 System Administration.

You are prompted to enter the mailbox number.

2. 

From the System Administration menu, press 2 Delete System Announcement.

Stratagy ES confirms the deletion.

3. 

When finished, press 9.

Returns to the main menu.

8 Stratagy ES System Administrator Guide 06/02

Features

Record the Busy-Hold Music

Record the Busy-Hold Music

By pressing *, the busy-hold music is heard by callers when they elect to hold for a busy extension. Stratagy ES plays the entire recording before re-trying the busy extension.

When the system is delivered, it plays approximately 30 seconds of music. You can replace this music with another recording which plays either music or recorded information about your company or its products and services. To make a recording, you can use the telephone handset. We recommend that you prepare a professional recording.

1. 

From the Main menu, press 8 System Administration.

You are prompted to enter the mailbox number.

2. 

From the System Administration menu, press 3 Record Busy-Hold Music.

Stratagy ES confirms the deletion.

3. 

When finished, press 9.

Returns to the main menu.

Stratagy ES System Administrator Guide 06/02 9

Features

Manage Mailbox

Manage Mailbox

Manage Mailbox enables you to perform special mailbox functions.

1. From the Main menu, press 8 System Administration.

2. From the System Administration menu, press 4 Manage Mailbox.

3. Enter the mailbox number to be added and press #.

4. Select one of the following:

You are prompted to enter the mailbox number.

Stratagy ES prompts you to enter the mailbox number.

Stratagy ES repeats the mailbox number entered.

1

Lock Mailbox

Prohibits user access to the mailbox.

2

Unlock Mailbox

Unlocks a locked mailbox.

3

Reset Mailbox

Clears the mailbox specified. Resets the Info/Status field values to 0. Changes the Users Menu and Auto and Notify record field values to those specified in the Defaults Box (default User ID 997).

See Chapter 6 – Messaging Voice Processing in the

Stratagy ES I&M for information on creating a User Mailbox.

4

Delete Mailbox

Enter mailbox number to be deleted and press #. You are asked to confirm the number:

1 - Confirms entry and returns you to the previous menu.

2 - Cancels functions and returns to previous menu.

5

Reset Security Code

Resets security code to security code designated in default Mailbox (999). Enter mailbox number and press #. You are asked to confirm the number:

1 - Confirms entry and returns you to the previous menu.

2 - Cancels functions and returns to previous menu.

9

Cancel

Cancels function and returns to the System Administration menu.

10 Stratagy ES System Administrator Guide 06/02

Features Add Mailbox

Add Mailbox

You are prompted to enter the mailbox number.

Stratagy ES prompts you to enter the mailbox number.

Stratagy ES repeats the mailbox number entered and prompts you to confirm your entry.

Confirms and assigns the mailbox number, and returns you to the System Administration menu.

Stratagy ES prompts you to enter the User’s first name.

Using the telephone’s dial pad, enter the user’s first name. When finished, press #. Use 7 for Q and 9 for Z.

Note Entries made using this option display as numeric characters in the Directory Name 1 field of the User Mode Options Menu.

Stratagy ES prompts you to enter the User’s last name.

Using the telephone’s dial pad, enter the user’s last name. When finished, press #. Use 7 for Q and 9 for Z.

Note Entries made using this option display as numeric characters in the Directory Name 2 field of the User Mode Options Menu.

Changes the extension number for the mailbox.

Enter the extension number and press #. Stratagy ES repeats the extension number entered and prompts you for the following:

1 – Confirms and assigns the extension number with a supervised transfer and returns you to Add Mailbox menu.

2 – Erases first entry and prompts you to re-enter the correct number.

3 – Confirms and assigns the extension number for a blind transfer. Returns you to the Add Mailbox menu.

4 – Confirms and assigns the extension number for a blind transfer with supervised busy. Returns you to the Add Mailbox menu.

* – Cancels function and returns to the System Administrator menu.

The changes are saved and Stratagy ES returns to the System Administrator menu.

Stratagy ES System Administrator Guide 06/02 11

Features Add Mailbox

The beginning to the Add Mailbox menu restarts. Cancels function and returns to the previous menu.

Erases first entry and prompts you to re-enter the correct number.

Cancels function and returns to the System Administrator menu.

12 Stratagy ES System Administrator Guide 06/02

Features

Set Date and Time

Set Date and Time

You are prompted to enter the mailbox number.

Stratagy ES prompts you to enter the mailbox number.

System prompts you to enter the date in the following format MM/DD/YY (MM = month, DD = day, YY = year). When finished, press #.

System repeats your entry and asks you to confirm by pressing:

1 - Confirms and changes the date. Returns you to the System Administration menu.

2 - Erases entry and enables you to re-enter the date.

9 - Cancels function and returns you to the System Administrator menu.

System prompts you to enter the date in the following format HH/MM (HH = hour, MM = minutes). When finished, press #.

System repeats your entry and asks you to confirm by pressing:

1 - Confirms and updates the time. Returns you to the System Administration menu.

2 - Erases entry and enables you to re-enter the time.

9 - Cancels function and returns you to the System Administrator menu.

Cancels function and returns to the System Administrator menu.

Stratagy ES System Administrator Guide 06/02 13

Features

Set Date and Time

14 Stratagy ES System Administrator Guide 06/02

Important Dates to Remember Table of Contents

Introduction to this Guide

2

Estimating Marquette Costs

3

2014–15 Educational Expenses

3

Annual Expense Worksheet

5

Understanding the Financial Aid Notification

6

Grants

6

Scholarships

9

Marquette Tuition and Housing Benefits

13

Loans

14

Loan Repayment Schedules

17

Loan Consumer Information

20

Work Assistance

21

Accepting the Financial Aid Offer

22

Paying the Bill and Financing Options

25

The Billing Process

25

Financial Aid and the Student Bursar Account

26

Disbursements of Title IV Funds for Books and Supplies

26

Payment Options

28

Other Information to Know

28

Changes in Aid Awards

28

Reapplying for Financial Aid

29

Verification

29

Summer Financial Aid

30

Satisfactory Academic Progress

30

Refund Policy

34

Rights and Responsibilities

36

List of Helpful Contacts

39

1

Introduction to this Guide

  The purpose of this guide is to provide helpful tools to assist students in having a successful Marquette experience. This reference guide covers Marquette’s costs, provides details about the financial aid offered and includes additional payment options for financing a Marquette education.

  Based on the information provided on the 2014–15 Free Application for Federal Student Aid (FAFSA) and in conjunction with university, state and federal guidelines, students are offered the financial aid listed on the electronic Financial Aid Notification (FAN). This guide will help students understand the FAN, provide procedures for responding to the award, indicate the method in which assistance will be delivered, and detail the rights and responsibilities students have as a result of accepting any financial aid.

  Please be aware that the financial assistance listed on the FAN has been temporarily reserved for students and failure to respond to the FAN in a timely manner may result in cancellation of the offer. Students must respond to the FAN by accessing the Student Center of CheckMarq to accept or decline any loan or work assistance that has been offered. Scholarships and grants have already been accepted for students. Students whose offers include loan assistance must accept it and complete any other required documents for the award period no later than two weeks prior to the last date of enrollment or the award will be canceled. Optional Parent/ Student Loans are not accepted or declined on CheckMarq. Please refer to the message on the FAN for further information or see page 24.

  Keep a copy of the FAN with all other important financial aid records and receipts. If there are any questions after reviewing this guide and the offer of assistance, please contact or visit our office. To ensure the privacy of our students, families are required to provide the student’s Marquette ID number and Marquette Central Access Number (MCAN) when contacting our office.

Estimating Marquette Costs

  The first step in preparing for the new academic year is to determine direct charges (i.e., tuition) and other indirect costs or variable expenses. The Office of Student Financial Aid establishes standard expenses that represent typical costs for students during the academic year. Following are the expenses used by our office to determine financial need for the academic year. These costs are based on full-time enrollment and are subject to change. Chart 3 is determined by the student’s filing status as dependent or independent on the FAFSA and housing plans. Use the Annual Expense Worksheet on page 5 in conjunction with these charts to see how the financial aid award, in combination with family resources, can cover college costs.

Educational Expenses for 2014–15

Chart 1 — Annual Marquette Tuition Costs

Undergraduate (12 credits or more per term) $35,480

Physician Assistant 35,480

Doctoral-phase Physical Therapy 38,220

M.S.N. (4 semesters, flat rate) 50,000

Law School (12–18 credits per term)

Students enrolled after fall 2010 41,040

Students enrolled before fall 2010 38,100

Dental School (12–18 credits per term)

Wisconsin residents* 45,560

Non-Wisconsin residents 54,220

Executive M.B.A. (12 credits or more per term)

New students 69,000

Continuing students 65,000

Per-credit-hour Tuition Rates

Graduate School: $1,025

Education graduate 765

Law School

Students enrolled after fall 2010 1,630

Students enrolled before fall 2010 1,515

Undergraduate Courses

Part time 995

College of Professional Studies 635

* The state of Wisconsin provides a tuition subsidy for select dental students who are Wisconsin residents. As with any governmental appropriation, the amount is subject to change as part of the legislative process. The expected state subsidy for 2014–15 is $4,330 per term per Wisconsin resident but subject to change at any time. In the event of a subsidy change, students will be billed for a subsidy reduction or credited for a subsidy increase.

2

Chart 2 — Other Annual Marquette Costs

Undergraduate

Graduate

Law Dental

Books/Supplies

$1,008

$756 to $1,008

$1,248 $800 to $2,280

Student Fees

450

Instruments

150 to 550*

0 – 1,900

650 to 10,200

(subject to change)

* Nursing freshmen, sophomores, juniors and seniors

Chart 3 — Other Annual Expenses (Estimated)

Chart 4 — Annual Travel Expenses (Estimated)

Wisconsin

$ 300

Midwest States

540

East/South/Mountain States

820

Western States

1,040

Alaska

2,000

Pacific Islands

2,000

Caribbean

2,200

Annual Expense Worksheet

   The cost information listed on the previous pages will be helpful when completing this worksheet. Students should refer to the Financial Aid Notification to complete section B of this worksheet. Figures in sections A and B are likely to be fixed amounts, and figures in section C are discretionary and can vary.

Keep this for your personal records. Do not send it to Marquette University.

A. Marquette Costs

1. Tuition (chart 1) $

2. Student Fees (chart 2) $

3. Room and Board (chart 3) $

4. Subtotal: (add lines 1, 2 and 3) $

B. Financial Aid

5. Deposits already made to Marquette $

6. Total scholarships and grants from all sources

(i.e., tuition remission, outside gift assistance, etc.). $

7. Total loan assistance $

8. Subtotal: (add lines 5, 6 and 7) $

9. Net owed to Marquette (subtract line 8 from line 4)

     If 0 or negative, write 0 $

C. Other Costs

10. Books and Instruments (chart 2) $

11. Personal (chart 3) $

12. Travel Expenses (chart 3 or 4) $

13. Subtotal: (add lines 10, 11 and 12) $

14. Remaining amount needed for the academic year

(add lines 9 and 13)* $

* You must have a plan to cover your remaining balance.

4 5

Understanding the Financial Aid Notification

  This part of the guide contains a brief description of the types of assistance listed on the Financial Aid Notification (FAN). An introductory paragraph is provided below for each general aid type (i.e., grant, scholarship, loan, work assistance), with more descriptive paragraphs to explain the various programs categorized under each aid type. These paragraphs are designed to provide basic information about each type of aid offered at Marquette.

  Students must respond to the financial aid offer by accepting or declining loans and work online through CheckMarq before any financial assistance is received.

Grants

  A grant is a type of need-based financial aid that does not have to be repaid. Grants can be awarded from federal, state, institutional and private sources. All grant assistance is automatically accepted for students on CheckMarq. Additional information about grant programs is provided below.

Federal Grant Programs

Federal Pell Grant — Recipients must demonstrate financial need, not hold a prior bachelor’s degree and maintain Satisfactory Academic Progress (SAP). Students whose 2014–15 application for financial aid was selected by the U.S. Department of Education for Verification will need to have the accuracy of the information confirmed before a Federal Pell Grant can be paid. Pell recipients may receive a Pell Grant for a maximum of 12 full-time terms. The final Pell Grant award will be based on enrollment at the close of late registration each term. The maximum Pell Grant that can be received is $5,730 per academic year. The amount of your grant will be credited directly to your bursar account.

Iraq and Afghanistan Service Grant (IASG) — Recipients must meet the following criteria to be eligible: not Pell-eligible; not hold a prior bachelor’s degree; maintain Satisfactory Academic Progress (SAP); have a parent or guardian who was a member of the U.S. Armed Forces and died as a result of military service performed in Iraq or Afghanistan after Sept. 11, 2001; and who at the time of the parent’s or guardian’s death was less than 24 years of age or was enrolled at least part time in college. The maximum award is the same as the Pell Grant maximum. Payment is adjusted for less than full-time study. The amount of your grant will be credited directly to your bursar account.

Federal Supplemental Educational Opportunity Grant (FSEOG) — Recipients must be Pell Grant eligible, not hold a prior bachelor’s degree and maintain Satisfactory Academic Progress (SAP). The federal maximum SEOG that can be received is $4,000 per year and is based on available funding. The amount of your grant will be credited directly to your bursar account.

Federal Bureau of Indian Affairs (BIA) Grant — Recipients must be an enrolled member of a federally recognized tribe and/or certified as having one-quarter Native-American ancestry. Academic enrollment status requirements vary by tribe. A student begins the application process with his/her tribe, which results in the tribe sending the school a Financial Review Form to complete. In addition, the student must provide grade reports to the tribe after each term. Once the school has completed and returned the Review Form and it is approved by 

the tribe, a BIA check is sent to Marquette at the beginning of each grant-eligible term. The amount of your grant will be credited directly to your bursar account.

State Grant Programs

Wisconsin Grant (WG) — Recipients must be enrolled at least half-time, demonstrate financial need, not hold a prior bachelor’s degree, maintain Satisfactory Academic Progress (SAP) and be certified as eligible by the Wisconsin State Higher Education Aids Board (HEAB). Awards are based on available funding. The grant will not exceed $2,900 per year and can only be used to cover tuition. The Wisconsin Grant can be received for a maximum of 10 terms. The amount of your grant will be credited directly to your bursar account.

Wisconsin Talent Incentive Program (TIP) Grant — Recipients must be undergraduate residents of Wisconsin who meet the low-income/disadvantaged criteria as established by the Higher Education Aids Board (HEAB), not hold a prior bachelor’s degree and maintain Satisfactory Academic Progress (SAP). A student must receive TIP as a freshman to be eligible as a continuing student, and continuing students must demonstrate need to be eligible for a renewed award. The maximum TIP Grant for first-time recipients is currently $1,800. The maximum TIP Grant that can be received for continuing students is determined by HEAB and based upon available funding. TIP can be received for a maximum of 10 terms and is available for only 6 years after the initial grant is awarded. The amount of your grant will be credited directly to your bursar account.

DVR Training Grant — Students who believe they may be eligible to receive a Department of Vocational Rehabilitation (DVR) Training Grant must first file the FAFSA, then contact their nearest DVR office. Students will work with a DVR counselor to complete a DVR Training Grant Information Form. DVR will forward this form to Marquette’s Office of Student Financial Aid for completion. The maximum DVR Grant that can be received is determined by the DVR office. Students eligible for the grant will receive a check from DVR at the beginning of each term. Awards are added to a student’s account as an outside resource, and financial aid may need to be adjusted accordingly. Grade reports must be provided to the DVR counselor each term. Visit dwd.wisconsin.gov/dvr/default.htm for details.

Wisconsin Indian Student Grant — Recipients must be enrolled full-time, maintain Satisfactory Academic Progress (SAP), be an enrolled member of a federally recognized tribe and/or certified as having one-quarter Native American ancestry, and be certified as eligible by the Wisconsin State Higher Education Aids Board (HEAB). The grant will not exceed $1,100 per year and can be received for a maximum of 10 terms. The amount of your grant will be credited directly to your bursar account.

Wisconsin Visually Handicapped/Hearing Impaired Grant — Recipients must demonstrate financial need, maintain Satisfactory Academic Progress (SAP) and be an undergraduate Wisconsin resident with a certified sight or hearing impairment. The maximum amount of grant a student can receive is $1,800 per academic year. Grants can be received for a maximum of 10 terms. The amount of your grant will be credited directly to your bursar account.

Wisconsin Covenant Scholars Grant (WCSG) — Recipients must be enrolled at least halftime, demonstrate financial need, not hold a prior bachelor’s degree, maintain Satisfactory Academic Progress (SAP), have signed the Wisconsin Covenant pledge in eighth grade between 2007–11, have completed the pledge requirements and be certified as eligible by the Wisconsin State Higher Education Aids Board (HEAB). The grant will not exceed $1,500

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per year. WCSG can be received for a maximum of eight terms over five years. The maximum combination of WCSG and Wisconsin Covenant Foundation Grant will not exceed $2,500 per year. The amount of your grant will be credited directly to your bursar account.

Wisconsin Minority Grant — Recipients must demonstrate financial need, not hold a prior bachelor’s degree, maintain Satisfactory Academic Progress (SAP), be a second-, third- or fourth-year undergraduate student, Wisconsin resident and identify as a minority student as defined by HEAB. Students will be nominated by the Financial Aid Office. The maximum grant is $2,500 per academic year for a maximum of eight terms. The amount of your grant will be credited directly to your bursar account.

Other State Grant Programs — Residents of Delaware, Pennsylvania, Rhode Island and Vermont may be eligible to receive grants from their home state. Students are encouraged to contact the appropriate state higher education agency about the availability of these programs and to inquire into the application and disbursement procedures. Recipients must maintain Satisfactory Academic Progress (SAP). The amount of your grant will be credited directly to your bursar account.

Institutional Grant Programs

Marquette Grant — Recipients must demonstrate financial need, be enrolled full-time, maintain Satisfactory Academic Progress (SAP), and not hold a prior bachelor’s degree. It is renewed for continuing students only if the Free Application for Federal Student Aid (FAFSA) is processed and received prior to the March 1 priority deadline each year, the student continues to meet eligibility requirements and funds are available at the time the application is completed. Some applications will require supplemental documents to be submitted. Any requested documents must be submitted within 30 days of the initial request. This grant can only be applied to tuition costs. The amount of your grant will be credited directly to your bursar account.

Marquette EOP Grant — Recipients must demonstrate financial need, be enrolled full-time, maintain Satisfactory Academic Progress (SAP), and not hold a prior bachelor’s degree. It is renewed for continuing students only if the Free Application for Federal Student Aid (FAFSA) is processed and received prior to the March 1 priority deadline each year, the student continues to meet eligibility requirements and funds are available at the time the application is completed. Some applications will require supplemental documents to be submitted. Any requested documents must be submitted within 30 days of the initial request. This grant can only be applied to tuition costs. The amount of your grant will be credited directly to your bursar account.

Privately Funded Grant Programs

Wisconsin Covenant Foundation Grant (WCFG) — Recipients must be enrolled at least half-time, demonstrate financial need, not hold a prior bachelor’s degree, maintain Satisfactory Academic Progress (SAP), have signed the Wisconsin Covenant pledge in eighth grade between 2007–11, have completed the pledge requirements and be certified as eligible by the Wisconsin State Higher Education Aids Board (HEAB). The grant will not exceed $1,500 per year. The maximum combination of WCFG and Wisconsin Covenant Scholars Grant will not exceed $2,500 per year. The WCFG can be received for a maximum of eight terms over five years. The amount of your grant will be credited directly to your bursar account.

Scholarships

  A scholarship is a type of financial aid that does not have to be repaid. Scholarships can be awarded from federal, state, institutional and private sources. All scholarship assistance is automatically accepted for students on CheckMarq.

Federal Scholarship Programs

HHS Scholarship for Disadvantaged Students — Recipients must be enrolled full-time in a health profession degree program. Scholarships are based on available funding, parent income information verifying an economically disadvantaged background and demonstrated financial need. The amount of your scholarship will be credited directly to your bursar account.

Military Scholarship Programs

ROTC Scholarships (Army, Navy or Air Force) — The amount of the scholarship listed represents the equivalent of the program-specific tuition and book/fee allowance. This scholarship replaces any other Marquette scholarship and/or grant previously awarded. The amount of your scholarship will be credited directly to your bursar account.

ROTC Enhancement — This enhancement is in addition to your ROTC Scholarship and cannot exceed university room and board charges. This enhancement replaces any other Marquette scholarship and/or grant previously awarded and is available only to students participating in the ROTC Scholarship Program. Recipients must maintain Satisfactory Academic Progress (SAP). The amount of your enhancement will vary depending on when you contracted with your ROTC unit. No cadet will receive excess of $3,500 a semester towards university room and board charges. The enhancement will be credited directly to your bursar account.

Note: Students previously on ROTC Scholarship that were not an MU ROTC Enhancement recipient, will be reviewed in 2014-15 on an individual basis for this funding.

Yellow Ribbon Program — Eligibility is determined based on GI service requirements. Recipients must maintain Satisfactory Academic Progress (SAP) and be eligible for the Post-9/11 GI Bill at the 100 percent rate to be considered for the Yellow Ribbon Program. For complete eligibility and application instructions, visit marquette.edu/mucentral/registrar/  vet yellowribbon.shtml. The Yellow Ribbon Program, funded by the VA and Marquette, closes the gap after all tuition-specific aid has been applied. This includes, but is not limited to, Marquette scholarships and/or grants, WG, private tuition specific scholarships, and veterans’ educational benefits. The Yellow Ribbon award will never exceed the lesser of tuition and fees or the maximum award established for the student’s program of study. The amount of your award will be credited directly to your bursar account.

State Scholarship Programs

Wisconsin Academic Excellence Scholarship — First-time recipients include Wisconsin public and private high school seniors with the highest grade point average for their school. The award will be finalized when Marquette receives official notification of a student's scholarship from the state. Continuing students must earn 24 credits per academic year (not including summer) and a minimum cumulative GPA of 3.0 to be eligible for a renewed award. The amount of the award will not exceed $2,250 per academic year and can only be used to

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cover tuition. The Wisconsin Academic Excellence Scholarship can be received for a maximum of eight terms. Recipients must maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Institutional Scholarship Programs

  Marquette University scholarships are awarded on a competitive basis to students of high academic ability and promise. Marquette University scholarships apply to full-time tuition expenses only. A combination of all Marquette grants and scholarships, and other tuition-specific aid (i.e., WG), cannot exceed the cost of tuition. Likewise, if a student receives a full-tuition scholarship from another source, he/she is no longer eligible for the Marquette scholarship and/or grant. ROTC and Evans Scholarships replace any Marquette University scholarship or grant.

Note: Marquette academic scholarships are renewable if students continue to meet renewal criteria stated in the scholarship notification letter from the Office of Undergraduate Admissions. If there are questions about the renewal criteria, please contact Marquette Central. Failure to meet all criteria will result in the loss of the academic scholarship.

Boys & Girls Clubs Scholarship — Awards are determined through the admission process. The FAFSA must be filed each academic year to receive this scholarship. The Boys & Girls Clubs Scholarship replaces any other Marquette scholarship previously awarded and is renewable for up to eight terms. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). This scholarship covers full tuition. The amount of your scholarship will be credited directly to your bursar account.

Burke Scholarship Program — Awards are determined through the admissions process. The FAFSA must be filed each academic year to receive this scholarship. The Burke Scholarship replaces any other Marquette scholarship previously awarded and is renewable for up to eight terms. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). This scholarship covers tuition and fees. The amount of your scholarship will be credited directly to your bursar account.

Marquette University Academic Merit Scholarships — These merit-based scholarships include the Ignatius and Magis Scholarships. Scholarships are renewable for up to eight terms. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). Graduating seniors who enroll in fewer than 12 credits in their final term will be eligible for their scholarship(s) on a prorated basis. The amount of your scholarship will be credited directly to your bursar account.

Marquette University Endowed Scholarships — The Marquette University Academic Merit Scholarship may be partially funded through gifts provided to the university by private donors. The name of the scholarship, as stipulated by the donor, is listed on the financial aid award. Scholarship eligibility criteria and renewal criteria have not changed. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Marquette University College Competition Scholarship or Explorer Scholarship — These scholarships are awarded to the winners of the College or Explorer Scholarship Competitions. The scholarship can be renewed for up to eight terms provided that renewal criteria are met. This scholarship may be combined with an Ignatius and Magis Scholarship, 

and the combination will not exceed tuition. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Diederich Scholarship — Awards are determined through the admission process. The FAFSA must be filed each academic year to receive this scholarship. The Diederich Scholarship stipulates in the award letter if it may be combined with an Ignatius and Magis Scholarship. It is renewable for up to eight terms. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Evans Scholarship — The Western Golf Association and Evans Scholars Foundation award these scholarships. The FAFSA must be filed each academic year to receive this scholarship. This scholarship only covers tuition and fees at Marquette after all federal, state and private scholarship and grant assistance have applied. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Goizueta Foundation Scholarship — Awards are determined through the admission process. The FAFSA must be filed each academic year to receive this scholarship. The Goizueta Scholarship can be added to Marquette scholarships, but the combination will not exceed tuition. The scholarship is renewable for up to eight terms. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Ketterer Scholarship — The scholarship can be renewed for up to eight terms provided that renewal criteria are met. A Ketterer Scholarship is additive to other academic scholarships awarded by Marquette, and the combination will not exceed tuition. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Marquette Club Scholarships — Marquette University alumni share their generosity through several regional tuition-specific scholarship programs. Club Scholarships are additive to other Marquette scholarship awards, except full-tuition scholarships. Scholarships can be renewed for up to eight terms. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Marquette Jesuit High School Scholarship — The scholarship can be renewed for up to eight terms provided that renewal criteria are met. A Jesuit High School Scholarship covers half tuition and replaces any other Marquette University scholarship. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Monroe Scholarship — The FAFSA must be filed each year to receive this scholarship. The award amount varies based on the federal need calculated from your FAFSA. The scholarship can be renewed for up to eight terms provided that renewal criteria are met. A Monroe Scholarship is additive to other academic scholarships awarded by Marquette University, and the combination will not exceed tuition. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

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Marquette Dean’s Scholarship — This scholarship is awarded to students transferring to Marquette University from specific community colleges. The scholarship can be renewed for up to eight terms provided renewal criteria are met. Dean’s Scholarships are additive to other Marquette scholarship awards, and the combination will not exceed tuition. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Marquette Phi Theta Kappa Scholarship — This scholarship is awarded to Phi Theta Kappa Honor Society members transferring from two-year colleges. The scholarship can be renewed for up to eight terms provided renewal criteria are met. Phi Theta Kappa Scholarships are additive to other Marquette scholarship awards, except the Transfer Competitive Scholarship, and the combination will not exceed tuition. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Marquette Transfer Competitive Scholarship — This competitive scholarship is awarded to transfer students from two-year colleges. The scholarship can be renewed for up to eight terms provided renewal criteria are met. The Transfer Competitive Scholarship is additive to other Marquette scholarship awards, except the Phi Theta Kappa Scholarship, and the combination will not exceed tuition. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Nancy Long Pesiri Scholarship — Awards are determined through the admission process. The FAFSA must be filed each academic year to receive this scholarship. The Pesiri Scholarship can be added to other Marquette scholarships, but the combination will not exceed tuition. It is renewable for up to eight terms. Students must be enrolled full-time in the College of Nursing, continue to meet the award criteria and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

OPUS Scholars Award — Awards are determined through the admission process. The FAFSA must be filed each academic year to receive this scholarship. The OPUS Award replaces any other Marquette scholarship previously awarded and is renewable for up to eight terms. Students must be enrolled full-time in the College of Engineering, continue to meet the award criteria and maintain Satisfactory Academic Progress (SAP). This scholarship covers full tuition. The amount of your scholarship will be credited directly to your bursar account.

Seramur Scholarship — The scholarship can be renewed for up to eight terms. A Seramur Scholarship is additive to other academic scholarships awarded by Marquette, and the combination will not exceed tuition. Students must be enrolled full-time in the College of Business, continue to meet the award criteria and maintain Satisfactory Academic Progress (SAP). The amount of your scholarship will be credited directly to your bursar account.

Urban Scholars Scholarship — Awards are determined through the admission process. The FAFSA must be filed each academic year to receive this scholarship. The Urban Scholars Scholarship replaces any other Marquette scholarship previously awarded and is renewable for up to eight terms. Students must be enrolled full-time and maintain Satisfactory Academic Progress (SAP). This scholarship covers full tuition. The amount of your scholarship will be credited directly to your bursar account.

Privately Funded Scholarships

National Merit Scholarships — The National Merit Scholarship is additive to any other Marquette-sponsored scholarship. The scholarship is also additive to a Corporate National Merit Award as long as the combination of the two awards does not exceed $2,000 annually. Renewal is determined by the National Merit program. Recipients must maintain Satisfactory Academic Progress (SAP).

Expected Private Scholarship — This reflects the total outside private scholarships a student has received in the past or has indicated he/she will receive in the upcoming academic year. If this total is incorrect, access CheckMarq and select “Request Counselor Action” to indicate how this award has changed or email marquettecentral@marquette.edu.

Private Scholarships Received — This dollar amount reflects funding received from outside sources. According to federal regulations, scholarships received from donors outside Marquette are considered to be resources available to meet a student's financial need. Students must report all outside scholarships from sources other than the federal, state and university programs. Need-based aid may be reduced when a student receives a combination of need-based aid and outside scholarships that exceed the financial need. In addition, a reduction of merit awards may occur if the total of all tuition-specific awards exceeds the total cost of tuition or if the value of all awards (including the outside scholarships) exceeds the total cost of attendance. Students are responsible for following through with the scholarship donor to make sure the scholarship checks are sent directly to Marquette Central in a timely manner. Checks must be properly endorsed to ensure the scholarship is credited to the student's account. Scholarships will be split evenly between the fall and spring semesters unless otherwise noted by the donor. Any questions about these awards should be directed to Marquette Central.

Marquette Tuition and Housing Benefits

Marquette University offers tuition discount and housing assistance programs to individuals affiliated with the university. Details about each program follow.

Marquette University Tuition Benefit Program — This amount represents a tuition benefit to dependents of qualified employees of Marquette University. This benefit cannot exceed university tuition charges minus any tuition-specific assistance, such as the Wisconsin Grant. This benefit replaces any other Marquette scholarship previously awarded. Students are encouraged to file the FAFSA before each new academic year at fafsa.gov to determine eligibility for the Wisconsin Grant. Contact Marquette Central for details. The amount of the benefit will be credited directly to your bursar account.

Housing Assistance Program — This amount represents the room and board allowances associated with an individual's selection as a resident assistant, apartment manager, resident hall facilities manager, assistant to the hall director or university minister. Contact the Office of Residence Life for the terms of the award.

Marquette University Employee Remission Program — This amount represents a tuition discount offered to full-time employees of Marquette University. Contact Marquette Central for details. The amount of remission will be credited directly to your bursar account.

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Loans

  A loan is a type of financial aid that has to be repaid. Students who accept loans will be asked to sign a promissory note (a legal obligation to repay) and in some cases also complete loan entrance counseling. The process for each loan may vary. Refer to the "Accepting the Financial Aid Offer" section on page 22 to determine how to receive funds. Upon graduation or withdrawal from the university, students may also be required to complete loan exit counseling.

  On July 30, 2009, the Federal Reserve approved final amendments to Regulation Z (Truth in Lending Act) that revised the disclosure requirements for certain private education loans issued by Marquette. Regulation Z does not apply to Federal Title IV loans (i.e., Stafford, Perkins and PLUS). Truth in Lending requirements impact the process of applying for and receiving the HHS Dental Disadvantaged Loan, HHS Health Professions Loan, Federal Nursing Student Loan, HHS Nurse Faculty Loan and Rice Journalism Loan. These requirements are listed under the “Accepting the Financial Aid Offer” section of this guide on page 22.

Federal Loan Programs

Federal Nursing Loan — Available funding and demonstrated financial need will determine eligibility for this loan. Recipients must be enrolled at least half-time in the nursing program, must not be in default on a federal education loan or owe an overpayment on a federal education grant, be a U.S. citizen or eligible non-citizen, maintain Satisfactory Academic Progress (SAP) and meet other general eligibility requirements for the Federal Student Aid programs. The interest rate is fixed at 5 percent. This loan is interest free as long as a student is enrolled at least half-time in an accredited nursing program. During the grace period, repayment of the principal is not required and the interest does not accrue. The amount of your loan will be credited directly to your bursar account.

Federal Perkins Loan — 2014–15 is the last year this loan will be awarded. Available funding and demonstrated financial need will determine eligibility for this loan. Recipients must be enrolled in a degree-seeking program, must not be in default on a federal education loan or owe an overpayment on a federal education grant, be a U.S. citizen or eligible non-citizen, maintain Satisfactory Academic Progress (SAP) and meet other general eligibility requirements for the Federal Student Aid programs. The interest rate is fixed at 5 percent. No interest accrues while the student is enrolled at least half-time, during the grace period and during approved loan deferment periods. The amount of your loan will be credited directly to your bursar account.

HHS Dental Disadvantaged Loan — This loan is based on available funding, parent income information verifying an economically disadvantaged background and demonstrated financial need. Recipients must be enrolled full-time in the dental program and must not be in default on a federal education loan or owe an overpayment on a federal education grant. The interest rate is fixed at 5 percent. No interest accrues while the student is enrolled at least half-time. The amount of your loan will be credited directly to your bursar account.

HHS Health Professions Loan — This loan is awarded based on available funding, verified parent data from the FAFSA and demonstrated financial need. Recipients must be enrolled full-time in the dental program and must not be in default on a federal education loan or owe an overpayment on a federal education grant. The interest rate is fixed at 5 percent.

No interest accrues while the student is enrolled at least half-time. The amount of your loan will be credited directly to your bursar account.

HHS Nurse Faculty Loan Program (NFLP) — NFLP is awarded based on available funding. Part-time and full-time students in the nurse Ph.D. program, pursuing a career as full-time nurse faculty, can be considered for NFLP. Recipients must not be in default on a federal education loan or owe an overpayment on a federal education grant. The loan cannot exceed total tuition, fees, books and supplies. The interest rate is fixed at 3 percent if the required criteria are met. Eighty-five percent of the loan can qualify for cancellation when required employment/service obligations are met. Loan term details are supplied to potential recipients. Once application requirements are met, the amount of your loan will be credited directly to your bursar account.

Federal Direct Subsidized Stafford Loan — Recipients must be an undergraduate, enrolled at least half-time in a degree-seeking program, must not be in default on a federal education loan or owe an overpayment on a federal education grant, demonstrate financial need, be a U.S. citizen or eligible non-citizen, maintain Satisfactory Academic Progress (SAP) and must meet other general eligibility requirements for the Federal Student Aid programs. Direct Subsidized Stafford Loans first disbursed between July 1, 2014 and June 30, 2015 have a fixed interest rate of 4.66 percent for undergraduate students. No interest accrues while the student is enrolled at least half-time. Interest subsidy during the six-month grace period is eliminated for new Subsidized Stafford Loans made on or after July 1, 2012, and before July 1, 2014. The repayment period still begins six months after the student is no longer enrolled at least halftime, but interest that accrues during those six months will be payable by the student rather than be subsidized by the federal government. There is a 1.072 percent origination fee for loans first disbursed on or after Dec. 1, 2013, and before Oct. 1, 2014 and a 1.073 percent origination fee for loans first disbursed on or after Oct. 1, 2014 and before Oct. 1, 2015. Interest subsidy as of July 1, 2013, for a first-time Federal Subsidized Stafford Loan borrower is eliminated after he or she exceeds 150 percent published length of his/her program (measured in academic years). For example, for a four-year bachelor’s degree program, the maximum period for the interest subsidy is six years (150 percent of four years = six years). In addition, a borrower reaching the maximum time frame limit becomes ineligible for the interest subsidy benefits on all Federal Subsidized Loans disbursed to the borrower on or after July 1, 2013. For more detailed information about the loan processing fee, refer to the loan disclosure statement. The amount of your loan will be credited directly to your bursar account.

Federal Direct Unsubsidized Stafford Loan — Recipients must be enrolled at least halftime in a degree-seeking program, must not be in default on a federal education loan or owe an overpayment on a federal education grant, be a U.S. citizen or eligible non-citizen, maintain Satisfactory Academic Progress (SAP) and must meet other general eligibility requirements for the Federal Student Aid program. Direct Unsubsidized Stafford Loans first disbursed between July 1, 2014 and June 30, 2105 have a fixed interest rate of 4.66 percent for undergraduate students and fixed interest rate of 6.21 percent for graduate/professional students. Interest accrues while the student is in school. The repayment period begins six months after the student is no longer enrolled at least half-time. There is a 1.072 percent origination fee for loans first disbursed on or after Dec. 1, 2013, and before Oct. 1, 2014 and a 1.073 percent origination fee for loans first disbursed on or after Oct. 1, 2014 and before Oct. 1, 2015. For more detailed information about the loan processing fee, refer to the loan disclosure statement. The amount of your loan will be credited directly to your bursar account.

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Federal Direct PLUS Loan (Grad/Prof or Parent) — Graduate/professional students or parents of dependent students who file the FAFSA are eligible to apply. The maximum amount that students or parents may borrow is listed as an Optional loan on the FAN. This loan cannot be accepted online because the appropriate paperwork needs to be submitted before the loan is processed. A graduate/professional borrower must complete and submit the Grad PLUS Credit Authorization Form, and a parent borrower must complete and submit the Parent PLUS Loan Request Form. Forms are available at marquette.edu/mucentral in Forms – Financial Aid. The ability to view the Parent PLUS or Grad PLUS in CheckMarq does not signify that the loan has been approved. Students must file a FAFSA, be enrolled at least half-time, maintain Satisfactory Academic Progress (SAP) and meet other general eligibility requirements for the federal student aid programs. The parent borrower and student must be U.S. citizens or eligible non-citizens and must not be in default on a federal education loan or owe an overpayment on a federal education grant. Graduate/professional students or parents of dependent students may borrow a maximum of the Cost of Attendance minus other financial aid. Direct PLUS Loans first disbursed between July 1, 2014 and June 30, 2015 have a fixed interest rate of 7.21 percent. Interest accrues while the student is in school. There is a 4.288 percent origination fee for loans first disbursed on or after Dec. 1, 2013, and before Oct. 1, 2014 and a 4.292 percent origination fee for loans first disbursed on or after Oct. 1, 2014 and before Oct. 1, 2015. For more detailed information about the loan processing fee, refer to the loan disclosure statement. The amount of your loan will be credited directly to your bursar account.

State Loan Programs

Wisconsin Minority Teacher Loan — This loan is based on nomination by the Office of Financial Aid. Recipients must be a third- or fourth-year undergraduate student enrolled at least half-time in a program leading to teacher licensure, be a Wisconsin resident and identify as a minority student as defined by state statutes. The maximum award per year is $2,500 with the maximum amount borrowed not to exceed $5,000. Students who teach in a Wisconsin school district with a 29 percent minority enrollment or participating in the interdistrict pupil transfer program may qualify for partial forgiveness of the loan. Students not teaching in an eligible school district must repay the loan at a fixed interest rate of 5 percent. The amount of your loan will be credited directly to your bursar account.

Wisconsin Nursing Loan — This loan is based on nomination by the Office of Financial Aid. Recipients must demonstrate financial need, be enrolled at least half-time in the nursing program, be a Wisconsin resident and make Satisfactory Academic Progress (SAP). The maximum award per year is $3,000 with the maximum amount borrowed not to exceed $15,000. Students who agree to practice nursing full-time in Wisconsin may be eligible for partial loan forgiveness. Students who do not practice nursing in Wisconsin must repay the loan at a fixed interest rate of 5 percent. The amount of your loan will be credited directly to your bursar account.

Other State Loan Programs — Some states such as Alaska, Connecticut, Minnesota, New Jersey, North Dakota, Pennsylvania, Rhode Island, South Dakota and the territory of Guam offer alternative loan programs to state residents. Contact the appropriate state’s or territory’s higher education agency about the availability of these programs, as well as application and disbursement procedures. The amount of your loan will be credited directly to your bursar account.

Institutional Loan Programs

Rice Journalism Loan Program — Recipients must be undergraduates enrolled full-time in the College of Communication with a planned major in advertising, journalism or broadcast and electronic communication, maintain Satisfactory Academic Progress (SAP), and must demonstrate financial need. The interest rate is fixed at 1 percent. No interest accrues while the student is enrolled at least half-time. The amount of your loan will be credited directly to your bursar account.

Privately Funded Loan Programs

Alternative Loans — These are nonfederal educational loans available from a variety of lending institutions that are meant to be used after federal loan eligibility for the year has been exhausted. Although minimums and maximums vary for these loan programs, all require a satisfactory credit history. When one of these aid types appears on the FAN, we have certified the loan for the amount indicated. Please be aware that the lender may still deny the loan because of your credit history. For more information about alternative loans, visit marquette.edu/mucentral and select Loan Types: Undergraduate. The amount of your loan will be credited directly to your bursar account.

Loan Repayment Schedules

Perkins Loan*

Total Amount Borrowed

Average Monthly

Payment

Number of Payments

Interest

Amount

Total Payment

$ 1,000

$ 40

27

$ 58.23

$ 1,058.23

5,000

53

120

1,364.03

6,364.03

12,000

127

120

3,273.39

15,273.39

* Interest rate during repayment is fixed at 5 percent. Minimum repayment is $40 per month or $120 per quarter. Interest is calculated on the unpaid balance each month beginning nine months after leaving school. The monthly payment includes principal plus interest.

Health Professions Loan,

Loans to Disadvantaged Students, Federal Nursing Loan**

Total Amount Borrowed

Average Monthly

Payment

Number of Payments

Interest

Amount

Total Payment

$ 1,000

$ 40

27

$ 58.23

$ 1,058.23

5,000

53

120

1,364.03

6,364.03

12,000

127

120

3,273.39

15,273.39

** Interest rate during repayment is fixed at 5 percent. Minimum payment is $40 per month or $120 per quarter. Interest is calculated on the unpaid balance each month beginning 12 months after leaving school for Health Professions Loans and LDS and nine months after leaving school for Federal Nursing Loans. The monthly payment includes principal only. Interest is added to the monthly amount.

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William D. Ford Federal Direct Subsidized Stafford Loan, Undergraduates***

Total Amount Borrowed

Balance When

Repayment Begins

Monthly

Payment

Total Payment

$ 5,000

$ 5,210

$ 63.90

$ 7,668.38

10,000

10,421

127.82

15,337.71

15,000

15,631

191.72

23,006.09

20,000

20,841

255.62

30,674.46

25,000

26,051

319.52

38,342.84

*** The interest rate is established each year based on the 10-year Treasury note auctioned at the final auction held before June 1 plus a statutorily defined add-on. The interest is paid by the federal government while the student is in school. The above repayment chart is based on the interest cap of 8.25 percent and assumes a 10-year (120-month) repayment schedule for each loan.

William D. Ford Federal Direct Unsubsidized Stafford Loan, Undergraduates †

Total Amount Borrowed

Balance When

Repayment Begins

Monthly

Payment

Total Payment

$ 5,000

$ 6,134

$ 75.24

$ 9,027.89

10,000

12,269

150.48

18,058.07

15,000

18,403

225.72

27,085.96

20,000

24,538

300.97

36,115.47

25,000

30,672

376.20

45,144.02

† The interest rate is established each year based on the 10-year Treasury note auctioned at the final auction held before June 1 plus a statutorily defined add-on. The above repayment chart is based on the interest rate cap of 8.25 percent and assumes no interest or principal is paid during the enrollment period, 27 months of in-school deferment plus a six-month grace period and a 10-year (120-month) repayment schedule for each loan. Paying all or part of the interest during the in-school period will reduce your monthly payments and total amount repaid.

William D. Ford Federal Direct PLUS Loan, without in-school deferment *

Total Amount Borrowed

Balance When

Repayment Begins

Monthly

Payment

Total Payment

$ 5,000

$ 5,000

$ 67.47

$ 8,095.87

10,000

10,000

134.93

16,192.66

15,000

15,000

202.40

24,288.53

20,000

20,000

269.87

32,384.40

25,000

25,000

337.34

40,480.27

* The interest rate is established each year based on the 10-year Treasury note auctioned at the final auction held before June 1 plus a statutorily defined add-on. The above repayment chart is based on the interest rate cap of 10.50 percent and assumes a 10-year (120-month) repayment schedule for each loan with no in-school deferment. Repayment begins 60 days after the loan is completely disbursed.

William D. Ford Federal PLUS Loan, with in-school deferment**

Total Amount Borrowed

Balance When

Repayment Begins

Monthly

Payment

Total Payment

$ 5,000

$ 6,181

$ 83.40

$10,008.71

10,000

12,363

166.82

20,018.43

15,000

18,544

250.22

30,027.14

20,000

24,725

333.63

40,034.92

25,000

30,906

417.03

50,043.62

** The interest rate is established each year based on the 10-year Treasury note auctioned at the final auction held before June 1 plus a statutorily defined add-on. The above repayment chart is based on the interest rate cap of 10.50 percent and assumes no interest or principal is paid during the enrollment period, 21 months of in-school deferment plus a six-month grace period and a 10-year (120-month) repayment. Paying all or part of the interest during the in-school period will reduce your monthly payments and total amount repaid.

William D. Ford Federal Direct Unsubsidized Stafford Loan, Graduate/

Professional ?

Total Amount Borrowed

Balance When

Repayment Begins

Monthly

Payment

Total Payment

$ 5,000

$ 6,069

$ 78.53

$ 9,423.88

10,000

12,138

157.06

18,847.75

15,000

18,206

235.58

28,269.84

20,000

24,275

314.11

37,693.72

25,000

30,344

392.64

47,117.59

‡ The interest rate is established each year based on the 10-year Treasury note auctioned at the final

auction held before June 1 plus a statutorily defined add-on. The above repayment chart is based on the

interest rate cap of 9.50 percent and assumes no interest or principal is paid during the enrollment period,

21 months of in-school deferment plus a six-month grace period and a 10-year (120-month) repayment

schedule for each loan. Paying all or part of the interest during the in-school period will reduce your monthly

payments and total amount repaid.

18 19

Loan Consumer Information

  Student eligibility for other financial aid is not affected by the acceptance of offered student loans. However, loan amounts could be adjusted when any new aid is added to the student’s package, e.g., outside/private scholarships.

  The Direct Stafford and PLUS electronic Master Promissory Note (eMPN) is an online process at studentloans.gov. After the loans are accepted by students online through CheckMarq and the loans have originated, students are sent an email to their Marquette email account notifying them that the eMPN is ready to be signed.

  The online eMPN process has four steps and requires the student borrower’s federal Personal Identification Number (PIN) to complete (visit pin.ed.gov). The signed eMPN is valid for 10 years. Borrowers need to only sign it once during this time period. A PLUS borrower may be required to sign subsequent promissory notes if he/she was required to previously provide an endorser.

  Subsidized Stafford Loan interest is paid by the federal government while the student is enrolled at least half-time and during approved loan deferment periods.

  The Unsubsidized Stafford Loan and PLUS Loan interest is charged to the borrower for the life of the loan. Borrowers have the option to pay the interest or defer interest payments while in school. Deferred interest payments will accrue and be added to the loan principal at the time of repayment (capitalized).

  Students must be enrolled at least half-time to be eligible for federal loans. If enrolled less than half-time, loans will not disburse and previously borrowed loans will enter the grace or repayment period. Students must maintain at least half-time enrollment to qualify for an in-school deferment.

Marquette’s half-time enrollment per semester, including summer, is:

* ????????????? ???????????

* ???????????????? ???????????

* ???????? ????????????

  Students wishing to withdraw from Marquette must complete the official Withdrawal From All Courses Form. This form is available at marquette.edu/mucentral in Forms – Academic. The withdrawal form must be signed by a Marquette Central representative. This provides an opportunity for the student to receive loan exit counseling information, including repayment and loan consolidation information.

  A borrower is obligated to repay the full amount of the loan regardless of whether the borrower completes the program of study in which he or she is enrolled within the regular time of completion.

The following is a list of consequences if a borrower defaults on a federal loan:

* ?????????????????????

* ?????????????????????????????????????????????????????????????????????????????????

* ??????????

   

The National Student Loan Data System (NSLDS) is the U.S. Department of Education’s central database of student aid. When a student or parent of a student borrows a Title IV Loan, Marquette will submit the loan details to NSLDS. NSLDS loan details will be accessible by guaranty agencies, lenders and schools determined to be authorized users of the data system. By visiting nslds.ed.gov, students can access information about any federal student loans and Pell Grants received. Students need their federal PIN from pin.ed.gov to access their records.

  For questions about the borrower’s rights and responsibilities for the terms and conditions of federal loans, please contact:

Susan Teerink

Director of the Office of Student Financial Aid

Zilber Hall, Suite 121, P.O. Box 1881

Milwaukee, WI 53201-1881

414.288.4000

Work Assistance

  Many students help finance their education through part-time employment on and off campus. Students must work to earn the money awarded under the Federal Work Study (FWS) or Marquette Student Employment (MSE) programs. Student employees are paid every two weeks according to a schedule determined by payroll based upon the number of hours worked and student's pay rate or wage.

  The amount of FWS listed on the FAN represents the amount students are eligible to earn each semester during the academic year. In some instances, a student may be eligible to earn more. Students who wish to earn more than the award amount should contact Marquette Central. Students employed through the MSE program are not limited to the amount listed on the FAN. If no work program is listed on the student's FAN, that student is eligible to work under the MSE program. For more information, contact Student Employment Services at studentemployment@marquette.edu.

  Wages begin at $7.25 per hour and increase depending on the skill level of the job. The student's employer will determine the rate of pay. A $2,000 award on the FAN represents approximately seven hours of work per week at minimum wage.

Note: Students will earn more or less than their awarded amounts depending on the number of hours worked and the rate of pay.

  All jobs are made available through JobConnection at jobconnection.mu.edu. Job opportunities are coordinated by Student Employment Services. Through JobConnection, students select jobs for which they would like to apply. Students are expected to contact prospective employers to apply and interview for the job. The employer makes the final job offer. First-time Marquette student-employees must comply with the Immigration Reform and Control Act of 1986. This means that the student will need to complete an I-9 form with Marquette Central on the first day of employment. Students must provide original documentation (i.e., Social Security card and driver’s license or U.S. passport) along with their Job

20 21

Placement Form provided by their employer. Copies or faxes of documents are not acceptable. A list of acceptable documents to complete the I-9 process is listed on the last page of the I-9 Form. Students may view the I-9 requirements on the student employment website at marquette.edu/mucentral/financialaid/ses i9.shtml. Contact Student Employment at studentemployment@marquette.edu with questions.

Note: New freshmen will have access to JobConnection early July.

Federal Work Study Program — Federal Work Study (FWS) jobs are available in a majority of campus departments, as well as with several off-campus nonprofit agencies. FWS is awarded based on financial need, and continuing students must submit the FAFSA prior to the March 1 priority deadline each year. All part-time job opportunities on campus are coordinated through Student Employment Services. Students will receive a paycheck every two weeks based upon pay rate and hours worked.

Note: Students wishing to accept FWS for fall must complete verification (if selected) by August 1 (see page 29 for details).

Marquette Student Employment — Marquette Student Employment (MSE) is employment on campus that is not federally funded. Student earnings are not limited to the amount listed on the financial aid award. Students will receive a paycheck every two weeks based upon pay rate and hours worked.

Note: Marquette Student Employment (MSE) and Federal Work Study (FWS) are not the same work program. When hired to work on campus, the student and employer must understand which program the student has been awarded.

Direct Deposit for Student Payroll— Marquette strongly recommends that all students sign up for direct deposit. To ensure payroll is not delayed, set up direct deposit by August 1. Log in to CheckMarq. On the Quick Links Bursar tab, click on the Sign up for direct-deposit refunds or student payroll link. Click on Add Account. Enter your bank routing number, account number, account type and click Save. Click OK. You will then be able to review or edit the information you entered.

Note: Student employees that have not set up Direct Deposit will need to pick up their paper paycheck at the Payroll Office; Straz Tower, 915 W. Wisconsin Ave., Room 175.

Accepting the Financial Aid Offer

   Once students become familiar with the types of financial aid offered on the Financial Aid Notification, it is time to accept or decline aid. The information below provides students with the tools to accept and receive awarded funds.

Grants and Scholarships — Grants and scholarships listed on a student's Financial Aid Notification are divided equally between fall and spring semesters unless otherwise noted. Grants and scholarships are automatically accepted at the time the award is made and will be disbursed to the student bursar account no earlier than 10 days before the start of class for the term.

Loans — Loans listed on a student's Financial Aid Notification are divided equally between fall and spring semesters unless otherwise noted. Students who wish to borrow less than the amount of loan offered can access CheckMarq and select "Request Counselor Action" to request a reduction of the loan or email marquettecentral@marquette.edu. The process of receiving loans varies by the loan program.

HHS Dental Disadvantaged Loan, HHS Health Professions Loan, HHS Nurse Faculty Loan, Federal Nursing Student Loan and The Rice Journalism Loan — The disclosure requirements per final amendments to Regulation Z (Truth in Lending Act) impact the process of applying for and receiving these loans.

1. When offered one of these loans, students will be notified via their eMarq email account to review the following on CheckMarq:

a. Private Education Loan Application and Solicitation Disclosure. This disclosure will detail the general terms of the loan, estimated amount student can expect to repay over the life of the loan and provide information about the potential availability of lower-cost federal loans. This form does not need to be returned.

b. Private Education Loan Approval Disclosure Form. This disclosure will detail the general terms of the loan, estimated amount student can expect to repay over the life of the loan and provide information about the potential availability of lower-cost federal loans. It states a student has up to 30 days to accept the offered loan. This form does not need to be returned.

2. Private Education Loan Applicant Self-certification Form. Students are required to print, sign and submit this form to the Office of Student Loan Accounts. This form can be found by clicking: Quick Links Financial Aid Tab > View my financial aid OR Accept/decline my financial aid > TILA Disclosures > Loan Applicant Self-certification > View. The loan will not disburse to the student’s account until the signed self-certification form has been returned.

3. After accepting the loan on CheckMarq, students will be notified via their eMarq email account to review a third Disclosure called the Private Education Loan Final Disclosure Form. It states a student has up to three days from receipt of this disclosure to request the loan be canceled. This form does not need to be returned.

4. Students will be notified via their eMarq email account to complete the electronic Master Promissory Note (eMPN) at signmyloan.com. This email will also contain the personal identification number needed to access loan information.

5. After the Office of Student Financial Aid receives notification that the eMPN and self-certification are complete and the Private Education Loan Final Disclosure Form has been reviewed the loan will be credited to the student’s bursar account no earlier than 10 days prior to the start of classes for the term unless a student has requested a cancellation of the loan.

Federal Perkins Loan – After accepting this loan in CheckMarq, students are notified via their eMarq email account to complete the electronic Master Promissory Note (eMPN) at signmyloan.com. Students can use their FAFSA PIN or generate a UAS PIN to access loan information. After Financial Aid receives notification that the eMPN and entrance counseling are complete, the loan will be credited to the student’s bursar account no earlier than 10 days before the start of classes for the term.

22 23

Federal Stafford and Federal Unsubsidized Stafford Loans

For First-time Federal Stafford Loan Borrowers: 

1. Students must accept loans on CheckMarq.

2. After loans have been accepted, students are notified via their eMarq email to complete the electronic Master Promissory Note (eMPN) at studentloans.gov. Emails will be sent mid-summer for the fall term and occur on a rolling basis thereafter. Students are required to electronically sign the eMPN using their Department of Education PIN.

3. First-time borrowers are also required to complete entrance counseling before loans will pay to the student bursar account. Loan entrance counseling gives further instruction and information about borrowing Stafford Loans. Entrance counseling is completed online at marquette.edu/mucentral/dlentrance.

4. After the Office of Student Financial Aid receives notification that the eMPN and entrance counseling are complete, the loan will be credited to the student’s bursar account no earlier than 10 days before the start of classes for the term.

Note: Attempting to sign a promissory note before receiving the email notification will result in an error message.

For Continuing Student Borrowers: 

1. Students who have completed the above requirements in a previous year only need to accept the Stafford Loans online through CheckMarq.

2. Loans will automatically disburse to the student’s bursar account no earlier than 10 days before the start of classes for the term.

Federal Direct PLUS Loan (Grad/Prof or Parent) — Students and parents are not able to accept the OPTIONAL loan amount listed in CheckMarq. To initiate the loan process, follow the steps below.

For First-time Grad/Professional PLUS and Parent PLUS Borrowers: 

1. A Graduate/Professional borrower must complete and submit the Grad PLUS Credit Authorization Form, and a parent borrower must complete and submit the Parent PLUS Loan Request Form. Forms are available at marquette.edu/mucentral  in Forms – Financial Aid.

2. Completed forms must be submitted to Marquette Central for processing. The Department of Education will check the borrower’s credit history. The borrower will receive written notice of the credit review from the Department of Education.

3. Once the Office of Student Financial Aid receives notice of credit approval, Graduate/ Professionals are notified via eMarq email and parents are notified by letter to complete the electronic Master Promissory Note (eMPN) at studentloans.gov. Emails will be sent mid-summer for the fall term and occur on a rolling basis thereafter. Borrowers are required to sign the eMPN using their Department of Education PIN.

4. First-time Graduate/Professional borrowers are also required to complete entrance counseling before loans will pay to the student bursar account. Loan entrance counseling gives further instruction and information about borrowing PLUS loans. Entrance counseling is completed at marquette.edu/mucentral/dlentrance.

5. 

After the Office of Student Financial Aid receives notification that the eMPN and entrance counseling (for graduate/professional borrowers only) are complete, the loan will be credited to the student’s bursar account no earlier than 10 days before the start of classes for the term.

Note: Attempting to sign a promissory note before receiving the notification will result in an error message.

For Continuing Grad/Professional PLUS and Parent PLUS Borrowers: 

1. A Graduate/Professional borrower must complete and submit the Grad PLUS Credit Authorization Form, and a parent borrower must complete and submit the Parent PLUS Loan Request Form. Forms are available at marquette.edu/mucentral in Forms – Financial Aid.

2. The eMPN and entrance counseling are typically not required for continuing borrowers unless an endorser is required.

3. Once the Office of Student Financial Aid receives notice of credit approval, loans will automatically disburse to the student’s bursar account no earlier than 10 days before the start of classes for the term. Loans approved with an endorser require signing a new eMPN before the loan will disburse.

Paying the Bill and Financing Options

The Billing Process

   Payment of tuition, room and board, and other fees is due in full approximately seven days prior to the beginning of the first and second semesters. Students who have registered for classes will receive an email notification via eMarq that they can view the e-bill online. Emails will be sent in July and December for each respective semester.

   Registration is not complete until all tuition, room and board, and other fees are paid. A student who does not pay in full or enroll in the Marquette Monthly Payment Plan by the due date will be subject to a $100 fee to remove the registration, transcript and diploma block.

   Authorized financial aid (excluding FWS and MSE) for the current semester will be deducted from the total charges for the semester. If not budgeted through the Marquette Monthly Payment Plan, the balance due is payable to the Office of the Bursar before the start of classes.

Please note that students who do not intend to return to the university are responsible for withdrawing from all classes online through CheckMarq. A student not withdrawing from all classes will be billed as an enrolled student.

24 25

Financial Aid and the Student Bursar Account

   Students must complete and submit all required promissory notes, entrance counseling and Verification documents and have registered for classes before financial aid can be credited to the student’s bursar account. Most sources of financial aid are credited directly to a student's bursar account 10 days before the start of class for the term for payment of tuition, fees, room and board (if applicable), and related costs.

These sources include:

* ?????????????????????????????????

* ????????????????????????????

* ???????????????

* ?????????????????????????????????

* ???????????????????????????????????????????????????????????????????????????Students and Nurse Faculty Loan

* ??????????????????????????????????????

* ??????????

* ?????????????????????????????????????????????????????????????????????????????

   Several other aid sources are disbursed in the form of checks and will require student endorsement each term. Students will be notified when checks are available for endorsement. Those sources include certain private or alternative loans and certain private outside scholarships.

   If the student's financial aid does not cover the term charges or the financial aid is not available, students and/or families must pay the difference or select the payment plan option to ensure the completion of registration. Students are responsible for completing all paperwork and steps required to finalize the award so it pays into the student's bursar account. If financial aid exceeds the term charges, the student may be eligible for a refund. Students will be contacted by the Office of the Bursar via the eMarq email account when the refund has been processed.

Disbursements of Title IV Funds for Books and Supplies

   Effective July 1, 2011, Pell Grant eligible students who have Title IV funds awarded in excess of school charges are eligible for a refund. The refund should be made by the seventh day of class to obtain books and supplies. Marquette University meets this requirement by refunding the student his or her Title IV credit balance by the seventh day of class.

   If a student has not yet established eligibility to receive Title IV funds at least 10 days before the beginning of a payment period because of outstanding verification requirements or unresolved conflicting information, this requirement does not apply.

Marquette Monthly Payment Plan (MMPP) Semester Worksheet

Anticipated Semester Expenses

Tuition $

Student Fees (full-time undergraduate only) $

Misc. Fees (basketball tickets, gown, etc.) $

Marquette Residence Hall (room and board) $

Marquette Apartment $

Meal Plan Only $

TOTAL SEMESTER EXPENSES $

Do not include books, health insurance or personal expenses in this budget.

Anticipated Semester Payments/Credits

Tuition Deposit* $

Housing Deposit** $

Federal Direct Stafford Loan*** $

Federal Parent or Grad/Prof PLUS Loan*** $

Federal Perkins Loan $

Scholarship(s) $

Grant(s) $

Payments $

Other**** $

TOTAL SEMESTER CREDITS $

Subtract total semester credits from total semester expenses $

Budget for semester

Divided by 5 = $

Monthly payment

* Credited to the tuition costs of the first semester only.

** Credited to the housing costs of the first semester only.

*** Estimated amounts vary because of processing fees.

**** The dollar amount awarded under Federal Work Study or Marquette Student Employment may not be deducted.

26 27

Marquette University Payment Options

Traditional Semester Payment — Payment of all tuition and other billed charges is due in full prior to the start of each term. The fall term payment due date is Aug. 19, 2014, and the spring term payment due date is Jan. 6, 2015.

Marquette Monthly Payment Plan — Marquette offers the Marquette Monthly Payment Plan (MMPP), which enables students and their families to budget all of their semester tuition, room and board, and student fees in five equal monthly installments for fall (August – December) and spring (January – May) semesters. The MMPP is not a loan; there are no interest or finance charges. Students must enroll each semester for the payment plan, and the cost is a $35 enrollment fee per semester. The fall semester program begins Aug. 5, 2014. All payments are due on the fifth of each month.

For more information, please access the Payment Plans link at marquette.edu/mucentral.

If you have questions or need assistance with enrollment, please contact Marquette Central

at 414.288.4000.

Payment by a University-approved Third-party Sponsor — Students whose tuition is paid by a university-approved third-party sponsor (ROTC, foreign embassies, directly billed companies, etc.) must submit their billing authorization to Marquette Central by the payment due date.

Other Information to Know

Changes in Aid Awards

  Financial aid awards may be revised during the academic year. Possible reasons for revision include changes in a family’s situation, a change in the student's enrollment or housing status, receipt of outside resources, etc. Families may also be selected to verify the financial data provided on the FAFSA. If selected for Verification, students will be required to submit documents to Marquette Central. If eligibility for financial aid has changed after a review of these documents, an award adjustment may be required. Students will receive notice of all financial aid changes, and a new FAN will replace all previous award notifications.

  When determining a student's financial aid award, we make every effort to offer the maximum amount of assistance a student is eligible to receive from the resources we have available. In determining the award, we are governed by federal, state and institutional regulations, which may limit the types and amounts of assistance students are eligible to receive. Furthermore, if the funds in any of the aid programs we administer have been exhausted, we will not be able to offer assistance from these programs regardless of the student's financial need.

  Students are responsible for reporting to the Office of Student Financial Aid all assistance received from outside sources because federal law requires that we consider all outside assistance as a part of the financial aid award. This means that outside scholarships will first be used to meet any remaining need. If a student's need is met, every effort will be made to reduce self-help aid (loans and employment). However, in some instances, adjustments may include a reduction in Marquette grants. Please contact Marquette Central for information.

28

   

If you have questions about how a financial aid award was determined, call Marquette Central at 414.288.4000, email marquettecentral@marquette.edu or write to us at Marquette University, Zilber Hall, Suite 121; P.O. Box 1881; Milwaukee, WI 53201-1881.

Reapplying for Financial Aid

  Each year, students must complete and submit a FAFSA to be considered for financial aid. To ensure maximum consideration for all types of financial aid, the Office of Student Financial Aid must receive the results of a processed FAFSA prior to the March 1 priority deadline. Keep in mind that it may take up to four weeks for us to receive the results of the processed FAFSA. The FAFSA must be filed no later than February 15 before each new academic year, using income estimates if necessary, to meet the March 1 priority deadline. Waiting until W-2s are received or tax returns are filed is not an acceptable reason for delayed FAFSA filing.

  An applicant whose FAFSA is processed and received after March 1 will receive a reduced financial aid award. Late applicants wishing to appeal must do so within 30 days of the date of the initial Financial Aid Notification. Appeals will be heard for those students who have experienced serious health or personal problems. Appeal forms and information are available from Marquette Central.

Verification

  The Department of Education designates which FAFSA applicants are required to complete a process called Verification. Once the FAFSA is processed, the applicant will receive a Student Aid Report that will inform him/her if his/her FAFSA was selected for Verification. Federal regulations require schools to check the accuracy of the data reported on the FAFSA for applicants selected for Verification.

  Marquette applicants selected for Verification will receive an email document request via their eMarq email account. To comply with this request, students must submit a fully completed and signed 2014–15 Verification Worksheet and must verify student and parent or spouse income information.

  A copy of the federal tax return is not acceptable documentation for verifying FAFSA income data. If eligible, the easiest and quickest way to verify FAFSA income (student, parent(s) and/or spouse) is to use the 2014–15 FAFSA IRS Data Retrieval Tool once the 2013 Federal Tax Return(s) are filed and available on the IRS website (electronic tax filers: within two weeks; paper tax filers: eight to 10 weeks). Do not make any changes to transferred IRS data. Visit marquette.edu/  mucentral/verify1415 to learn more about this process.

  Applicants not eligible to use the FAFSA IRS Data Retrieval tool must submit signed copies of the 2013 Federal IRS Tax Return Transcript. Visit marquette.edu/  mucentral/taxes1415 for information about how to obtain a Tax Return Transcript.

  All requested documents must be submitted to Marquette Central within 30 days of the initial request. Financial aid processing cannot be completed until verification

29

has been completed. Failure to provide documents within 30 days will result in a reduction or elimination of financial aid.

Summer Financial Aid

  Students eligible for a Federal Pell Grant during the academic year who did not receive their full grant may be eligible for a Summer Pell Grant. Also, various loan options may be available for students during summer. Students with remaining Stafford Loan eligibility for the year may borrow up to their class-level maximum for the summer term.

  Generally, various loan options are available for students during the summer. If students have Stafford Loan eligibility remaining from the previous academic year, they may be eligible to borrow up to their class-level maximum during the summer term ($5,500 – freshmen, $6,500 – sophomores, $7,500 – juniors/seniors).

  To be considered for summer financial aid, students must be degree-seeking, enrolled at Marquette during the summer and enrolled at least half-time (six credits for undergraduates). They must also complete and submit a summer financial aid application, which is available for download in March before the summer enrollment period at marquette.edu/mucentral in Forms – Financial Aid.

Please contact Marquette Central with questions about summer financial aid.

Financial Aid Satisfactory Academic Progress Policy

  Marquette University is required by federal regulation to apply qualitative and quantitative standards in measuring academic progress for financial aid purposes. These standards apply to all students who receive institutional, state, and federal Title IV and Title VII funds administered by the university. Federal Title IV programs include Federal Pell Grants, Federal Supplemental Educational Opportunity Grants, Federal Direct Stafford and PLUS Loans, Federal Perkins Loans, Federal Work Study, and the Iraq and Afghanistan Service Grant. Title VII programs include HHS Health Professions Loans, the HHS Scholarship for Disadvantaged Students, the HHS Loan for Disadvantaged Students, the HHS Nurse Faculty Loans and Federal Nursing Student Loans.

  Marquette has established the following criteria in conjunction with federal regulation published on Oct. 6, 1993, Federal Register Part 668.16 and in the Higher Education Amendments of 1986. Progress will be evaluated annually after the spring semester for pace and after every semester for students who are RWAR’d or on a SAP plan. Termination is effective for the next term of enrollment. Notification of termination will be sent electronically to the student’s Marquette email address.

  Progress for students working on a second degree begins at the start of the new degree.

I. Qualitative Standards of Academic Progress

  Financial aid recipients are governed by the performance standards of the school or college in which they are enrolled.

Undergraduates

1–24 credits — student must maintain a cumulative 1.500 GPA.

24-plus credits — student must maintain a cumulative 2.000 GPA.

After two years of attendance (including transfer credits) or junior standing (whichever occurs first), undergraduates must maintain a cumulative 2.000 GPA.

Law

After the end of the second term of attendance, a student must maintain a

cumulative 1.900 GPA (full-time students).

After the end of the third term of attendance, a student must maintain a cumulative 2.000 GPA (full-time students).

27–45 credits — student must maintain a cumulative 1.900 GPA (part-time students).

45-plus credits — student must maintain a cumulative 2.000 GPA (part-time students).

Graduate School

1–9 credits — student must maintain a cumulative 2.500 GPA.

9-plus credits — student must maintain a cumulative 3.000 GPA. Graduate School of Management (GSM)

1–9 credits — student must maintain a cumulative 2.500 GPA. 9-plus credits — student must maintain a cumulative 3.000 GPA.

Health Sciences Professional (HESP)

Physical Therapy: After the end of the first term of attendance, a student must maintain a cumulative 1.500 GPA. After the end of the second term of attendance, a student must maintain a cumulative 2.200 GPA.

Physician Assistant: After the end of the first term of attendance, a student must maintain a cumulative 2.000 GPA. After the end of the second term of attendance, a student must maintain a cumulative 2.800 GPA.

Student must meet academic standards as defined by the College of Health Sciences.

Dental

After the end of the third term of attendance, a student must maintain a cumulative 2.000 GPA.

Incompletes, withdrawals and transfer of credits from other institutions (including consortium credits) are not included in the MU GPA. Course repeats are only

30 31

included once in the GPA according to the Marquette policy for repeat course work. ESL course work is included in the GPA.

If your college has required you to withdraw for academic reasons, you will have failed Satisfactory Academic Progress for financial aid purposes and you will be ineligible for financial assistance for the subsequent semester. You may appeal this determination.

II. Quantitative Standards of Academic Progress (Pace)

  Students must complete their academic programs and receive their degrees within a maximum time frame to continue receiving Title IV financial aid. Listed below is the maximum number of credits (including AP, test and transfer credits) or years a student may attempt toward degree completion. At the point it is determined that students are unable to complete the program within the required maximum time frame, they will receive notification that they are no longer eligible to receive Title IV financial aid. In addition, students who have completed their academic program requirements but have not conferred (taken) a degree will be notified they are ineligible for Title IV aid.

Undergraduate (including double majors) 200

Second undergraduate degree 291

Health Sciences Professional 180

Law 135

Dental School 5 years

Graduate School of Management 6 years

Graduate School — Master’s Degrees 6 years

Graduate School — Doctoral Degrees 8 years

In addition, the following quantitative standards must be met:

Undergraduate

Students must earn 67 percent of their cumulative credits attempted.

Graduate School, Graduate School of Management, Law and Health Sciences Professional

Students must earn 75 percent of their cumulative credits attempted.

Doctor of Dental Surgery

Students must earn 80 percent of their cumulative credits attempted.

Note: Grades of I, IX, NC, UNC, X, ADW, UY, W, WA, UW and U, unreported grades, grades of F or audit after the add/drop semester deadline are counted as attempted but not earned credits. Repeat courses are only counted once in the cumulative earned. Credits are counted for all terms in which students didn’t receive aid, as well as credits waived under academic amnesty policies. Part-time attendance counts in the max time frame calculation. ESL course work counts toward attempted and earned credits. Marquette does not offer remedial or enrichment courses.

III. 

Failure to Meet the Satisfactory Academic Progress Standards

Quantitative (Pace) and Qualitative

A student who fails SAP cannot receive aid for the subsequent term. A student

has the option to “appeal”. See Section IV for Appeal procedures and requirements.

   If a student in an ineligible status receives aid, full repayment will be required of all funds received, excluding employment earnings. A student working under the Federal Work Study program will have his/her employment terminated. When a student has made satisfactory progress as outlined above after a particular term at Marquette without the benefit of student financial aid, the student must contact the Office of Student Financial Aid and request a Satisfactory Academic Progress re-evaluation. The student will then be reinstated to an eligible status.

Note: Per state statute: Eligibility for WI Covenant Scholars Grant and WI Covenant Foundation Grant ceases if the scholar does not maintain acceptable academic standards (i.e., SAP) as prescribed by the student’s institution of higher education. After eligibility for the grant(s) ceases, it is not able to be reinstated.

IV. Satisfactory Academic Progress Appeal Procedures

1. Student must complete the Appeal Form (see *Note) by following instructions on the form. The basis of your appeal may include, but is not limited to, the following extenuating circumstances: personal injury or illness, family difficulties, interpersonal problems, death of student’s relative.

Note: All appeals must include an adviser approved academic plan that, if followed, will ensure that the student is able to meet Satisfactory Academic standards by a specific point in time. A student is considered to be on “Financial Aid Probation” the first semester after his or her appeal is approved.

2. Subsequent appeals of the same nature are not permitted. If you wish to appeal again based on the same circumstance, you will need to provide very clear information about what has changed since your previous appeal to permit you to make satisfactory progress at the next evaluation.

3. Results of the appeal will be communicated electronically to the student’s eMarq email account from the Office of Student Financial Aid.

4. Deadline – Appeals must be submitted no later than two weeks prior to the end of the term for which aid is desired. Allow up to three weeks for processing appeals.

5. Recommendation of the college is final.

*Note: The Satisfactory Academic Progress Appeal Form for each college can be found at marquette.edu/mucentral/financialaid/resources sap appeal forms.shtml.

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V. Reinstatement of Eligibility

  When a student has made satisfactory progress as outlined above for a particular term at Marquette without the benefit of student financial aid, the student must contact the Office of Student Financial Aid and request a Satisfactory Academic Progress re-evaluation. The student will then be reinstated to an eligible status for the subsequent term.

Refund Policy

  Students who decide to withdraw before the end of late registration may cancel classes online via the Student Center on CheckMarq. Students who register for classes and subsequently decide to withdraw from the university after registration closes must file applications to withdraw through their college. Refunds will be given based on the following schedules:

Tuition Refund and Adjustment Schedule

100 percent refund through the close of registration

80 percent refund during the second week

60 percent refund during the third week

40 percent refund during the fourth week

20 percent refund during the fifth week

No refund after the fifth week

Board — Prorated (number of full weeks remaining in term as a

percent of 16 weeks)

Note: There is no refund of the admissions application fee, the matriculation deposit and the housing deposit.

College of Professional Studies Tuition Refund and Adjustment Schedule 100 percent after first class

80 percent after second class

60 percent after third class

40 percent after fourth class

20 percent after fifth class

No refund after the sixth class

  A student who withdraws from the university may be eligible for a refund of a portion of the tuition, fees, and room and board paid to Marquette for that term. If the student received financial assistance, a portion of the refund will be returned to the grant, scholarship or loan source from which that assistance was received.

  A withdrawing student should complete the official Withdrawal From All Courses Form, which is available for download at marquette.edu/mucentral in Forms – Academic. This will enable Marquette to refund the maximum possible institutional 

charges. The withdrawal date for financial aid refund purposes will be the date the student initiates the withdrawal process. For students enrolled in the College of Professional Studies, the withdrawal date for financial aid refund purposes is the last day of attendance.

  Three formulas exist for determining the amount of the refund: Marquette’s refund policy, state of Wisconsin grant refund policy and the federal “return of Title IV aid” formula derived from the 1998 Reauthorization of the Higher Education Act. The federal formula requires a return of Title IV aid if the student withdrew on or before completing 60 percent of the term and received federal financial assistance in the form of a Federal Pell Grant, Iraq and Afghanistan Service Grant, Federal Supplemental Educational Opportunity Grant, Federal Perkins Loan or William D. Ford Federal Direct Stafford or Parent PLUS/Grad PLUS Loan. The percentage of the refund is equal to the number of calendar days completed in the term divided by the number of calendar days in the term.

  If a student withdraws after his/her financial aid was awarded, but before all aid has been disbursed, the unpaid aid will be included in the federal refund formula as aid that “could have been disbursed.” If the refund calculation indicates that the student is still eligible for the undisbursed aid, the aid will be offered to the student via a post-withdrawal disbursement, which will be sent to the student in a written statement.

College of Professional Studies and Attendance

Students enrolled in the College of Professional Studies are monitored for class attendance. When a CPS student withdraws from the university, the refund calculation is performed using the last date of attendance as opposed to the date of withdrawal as directed by the Department of Education.

Furthermore, a CPS student is not considered to have withdrawn if we receive written confirmation that the student will return to complete a later module within the same semester. If the student doesn’t return for the future module, a refund will be calculated using the last date of attendance.

  Students not receiving federal aid will have their refunds calculated using Marquette’s refund policy and the state of Wisconsin grant refund policy, if applicable.

  If any refund remains after the required return of Title IV aid, the refund will be used to repay Marquette funds, state funds, other private sources, and the student in accordance with state regulations first and then in proportion to the amount paid by each non-federal source.

  For purposes of repayment, if funds are released to a student because of a credit balance on the student’s account, the student may be required to repay some federal grants. Worksheets used to determine the amount of refund or repayment are available upon request.

34 35

   The following example illustrates how the Marquette refund policy and federal policies work together.

Example:

   A student withdrew on Thursday of the third week of classes in a 110-calendar-day term. Her charges of $5,000 were paid as follows: $1,200 Federal Direct Stafford Loan, $1,100 Federal Pell Grant, $2,000 Marquette scholarship and $700 paid by the student.

   Under the federal return of Title IV aid policy, $1,200 would be returned to the Federal Direct Stafford Loan program and $732 would be returned to the Federal Pell Grant Program. Under Marquette’s refund policy (60 percent during the third week = $3,000 tuition refund), $791 would be returned to the Marquette scholarship fund and $277 would be returned to the student. In summary, of the $5,000 in institutional charges, $3,000 would be refunded as follows

Title IV

$1,932

Marquette

791

Student

277

Total

$3,000

A summary of the refund breakdown will be sent to the student’s home address.

Rights and Responsibilities

   When accepting an offer of financial aid from our office, students enter into an agreement with the university. There are certain rights and responsibilities associated with this agreement that students should clearly understand before applying for or accepting financial assistance.

Rights

* ????????????????????????????????????????????????????????????????????????????assistance and information.

* ?????????????????????????????????????????????????????????????????????????????cation, Marquette strives to provide schools, parents and students with factual information about its costs, aid opportunities, programs, practices, policies, and deadlines.

* ??????????????????????????????????????????????????????????????????????????????????????remain confidential and will not be released without your written consent. No financial aid award that reflects your family financial situation will be publicized.

* ????????????????????????????????????????????????????????????????????????????????one type of aid will not depend upon the acceptance of another type of aid.

* ????????????????????????????????????????????????????????????????????????????????nents of your aid package (i.e., you may replace loan assistance for employment and vice versa).

* 

?????????????????????????????????????????????????????????????????????????????????you have the right to have your financial need recalculated. Because of limited funding, an increase in need will not always result in an increase in your financial aid award.

* ?????????????????????????????????????????????????????????????????????????????????to your financial aid file. If you would like to review your file with a counselor, you must submit a written request to our office at least one day prior to the day you wish to review your records.

* ??????????????????????????????????????????????????????????????????????????????????of race, color, gender, age, sexual orientation, religion, disability, veteran’s status or national origin.

Responsibilities

* ??????????????????????????????????????????????????????????????????????????????expect that you will make every effort to cover a reasonable portion of your total expenses while you are enrolled at Marquette.

* ?????????????????????????????????????????????????????????????????????????????????offered to you and the steps required for aid to pay your bursar account and to have a viable plan to cover your outstanding balance. Use the Annual Expense Worksheet on page 5 to begin this process.

* ????????????????????????????????????????????????????????????????????????????????your financial aid. We expect that you have read and understood all information that relates to our financial aid policies and procedures.

* ???????????????????????????????????????????????????????????????????????????????the pursuit of your education at Marquette. Payment of tuition, fees and/or housing costs should be your first priority.

* ???????????????????????????????????????????????????????????????????????????????meeting educational expenses at Marquette. The amount of repayment is based on regulations published by the Department of Education.

* ??????????????????????????????????????????????????????????????????????????????eMarq email account, the official means of Marquette communication. This communication may include Financial Aid Notifications, document requests, annual reminders to reapply for financial aid within required deadlines, loan requirement notices, and important federal and/or state changes in regulations or financial aid.

* ???????????????????????????????????????????????????????????????????????requesting counsel or information about your financial aid application and records.

* ??????????????????????????????????????????????????????????????????????????????on a timely basis. If you are applying for aid that has an established deadline, it is your responsibility to meet that deadline.

* ??????????????????????????????????????????????????????????????????????????????

36 37

to apply for the type of assistance you wish to receive. Forms for financial aid are not automatically sent to you.

* ?????????????????????????????????????????????????????????????????????????????????office. If we receive information that conflicts with data on your application materials, our offer of aid could be changed or canceled. Funds obtained using false information will have to be repaid, and you will be subject to criminal prosecution.

* ?????????????????????????????????????????????????????????????????????????????between the ages of 18 and 26. Under the Military Service Act (P.L. 97252), students who fail to comply will be ineligible for Title IV funds.

* ?????????????????????????????????????????????????????????????????????????????

* ?????????????????????????????????????????????????????????????????????????????received from any source outside of our office. Withholding such information could jeopardize your eligibility for financial aid and result in cancellation of your financial aid from Marquette.

* ?????????????????????????????????????????????????????????????????????????????disbursement of your financial aid.

* ???????????????????????????????????????????????????????????????????????????affect your eligibility for financial aid. These changes include address, type of residence, your financial circumstances, your enrollment status, your academic level, your marital status and your co-op plans.

* ??????????????????????????????????????????????????????????????????????????????for all loans borrowed; knowing the cumulative amount of loans borrowed; and retaining copies of all loan applications, disclosures and promissory notes.

* ????????????????????????????????????????????????????????????????????????????????or address while you are attending school and after you have left school.

* ??????????????????????????????????????????????????????????????????????????meeting the requirements of loans with cancellation clauses as outlined in the promissory notes of individual loan programs.

List of Helpful Contacts

Marquette Central

Offices of the Bursar, Registrar, Student

Financial Aid, Student Employment and

Student Loan Accounts

Zilber Hall, Suite 121

414.288.4000

Fax: 414.288.1718

marquettecentral@marquette.edu

marquette.edu/mucentral 

Visitors: 1250 W. Wisconsin Ave., Suite 121

Hours: 8 a.m. to 4:30 p.m. Monday-Friday CST

Student Employment

studentemployment@marquette.edu

Educational Opportunity Program

Marquette Hall, Room 403

414.288.3030

marquette.edu/eop 

Visitors: 1217 W. Wisconsin Ave., Room 403

Graduate School —

Scholarships/Assistantships

Holthusen Hall, Room 305

414.288.7137

marquette.edu/grad 

Visitors: 1324 W. Wisconsin Ave., Room 305

Department of Athletics Office

Al McGuire Center

414.288.6303

Visitors: 770 N. 12th St.

Law School —

Scholarships/Admissions

Eckstein Hall

414.288.7090

marquette.edu/law

Visitors: 1215 W. Michigan St.

Marquette University does not discriminate in any manner contrary to law or justice on the basis of race, color, gender, age, sexual orientation, religion, disability, veteran’s status or national origin in its educational programs or activities, including employment and admissions. At the same time, Marquette cherishes its right and duty to seek and retain personnel who will make a positive contribution to its religious character, goals, and mission in order to enhance the Jesuit, Catholic tradition.

Although care is taken to ensure the accuracy and timeliness of information contained in this guide, because of constantly changing federal and state legislation, as well as unintended error, the contents are subject to change and/or deletion without notice. Up-to-date information can be obtained by calling Marquette Central.

© June 2014, Marquette University, Milwaukee.

38 39

Marquette Central

Zilber Hall, Suite 121

P.o. Box 1881

Milwaukee, wI 53201-1881

414.288.4000

Fax 414.288.1718

marquettecentral@marquette.edu

marquette.edu/mucentral

An operational plan is an annual work plan. It describes short-term business strategies; it explains how a strategic plan will be put into operation (or what portion of a strategic plan will be addressed) during a given operational period (fiscal year). An operational plan is the basis for and justification of an annual operating budget request. Therefore, a strategic plan that has a five-year lifetime would drive five operational plans funded by five operating budgets.

HOW TO: Prepare an Operational Plan

Basic Operational Plan Requirements

As required by Act 1465 of 1997, an operational plan (OP) must be prepared and submitted by each department/agency (or budget unit) as part of its "total budget request document." An OP draws directly from agency and program strategic plans to describe agency and program missions and goals, program objectives, and program activities. Like a strategic plan, an operational plan addresses four questions:

c Where are we now?

? Where do we want to be?

c How do we get there?

c How do we measure our progress?

To answer those questions, meaningful data must be included for prior fiscal years, the current fiscal year, and the ensuing fiscal year (the fiscal year for which funding is requested). The OP is both the first and the last step in preparing an operating budget request. As the first step, the OP provides a plan for resource allocation; as the last step, the OP may be modified to reflect policy decisions or financial changes made during the budget development process.

Because Louisiana appropriates funds to budget units by program, the operational plan (OP) is focused primarily on program level information. However, that program information must be placed in the overall context of the department/agency (budget unit) within which each program operates and must identify and describe the activities of which each program is composed. The OP must link department/agency goals, program goals and objectives, and program performance. To do this, the OP provides information about the department/agency (budget unit) submitting the budget request; the program or programs operated by the department/agency (budget unit); and activities included in each program. Specifically, the OP includes:

Operational Plan Format, Guidelines, and Instructions 2

* Department/agency (budget unit) name, number, and description (mission and goals);

* Program name and authorization for each program in budget unit;

* Program description (including mission, goals, and activities) for each program in budget unit;

* Program objectives (with link to strategic plan) for each program in budget unit;

* Program performance indicators for each objective for each program in budget unit;

* Organization and program structure chart for budget unit; and

* Program contact person(s).

The OP is based on the premise that existing funding levels will be extended, with adjustments, into a continuation level budget. Therefore, the OP should describe a program as it currently exists and as it would be at a continuation budget level. (Continuation budget is defined as "that funding level for each budget unit and program that reflects the financial resources necessary to carry on all existing programs and functions of the budget unit at their current level of service in the ensuing fiscal year, including any adjustments necessary to account for the increased cost of services or materials due to inflation and estimated increases in workload requirements resulting from demographic or other changes.) Full justification, citing performance data, for any workload adjustments included in an agency's continuation level calculation must be provided in the Continuation Budget (CB forms). To implement components of their strategic plans, many agencies seek program enhancements in their operating budget requests. Program enhancements should be justified (complete with new or modified objectives and performance indicators) in New or Expanded Service Forms (NEs). If program composition or performance is affected by adjustments proposed in a Technical/Other Adjustment Package (T/OAP), these changes should be described in the T/OAP. Together, the OP, CB, NEs, and T/OAPs should reflect a program's mission, goals, objectives, activities, and performance at a total budget request level.

The Office of Planning and Budget (OPB) uses information from the OP, CB, NEs, and T/OAPs to evaluate performance, support budget decision making, and prepare the program information portions of the executive budget and the executive budget supporting document. Operational plans that do not comply with the guidelines established by the Division of Administration (and provided in this document) may be returned to the submitting budget unit for modification.

Once the OPB has reached a preliminary funding recommendation for each budget unit and program, draft program narratives and performance spreadsheets are provided to each budget unit so that the budget unit can add performance indicator values reflecting service levels at the budget level recommended by the OPB. At the same time, a budget unit may revise continuation level performance indicator values to reflect any changes to continuation level dollar amounts that may have been made by the OPB after submission of continuation level calculations by that budget unit. Any appeal of the OPB preliminary funding recommendation must be accompanied by a justification based on performance. (Guidelines for completion of recommended budget level performance indicator values and appeal of the OPB preliminary budget recommendations are provided by the OPB during the budget development process.)

Operational Plan Format and Components

The following outline of operational plan components is the basic format for an operational plan. Guidelines for operational plan components are provided after the outline.

Operational Plan Format, Guidelines, and Instructions 3

The operational plan components and guidelines discussed in this document are basic, generic requirements. Please note that the OPB may require the submission of additional information to augment an OP or to explain issues identified during the analysis of the OP and other budget request materials.

Operational Plan Format, Guidelines, and Instructions 4

Department/Agency (or Budget Unit) Name, Number, and Description

The department/agency (or budget unit) submitting the budget request should be identified by name and agency number. Examples include:

Agency No. 04-141 = Department of Justice, Office of the Attorney General;

Agency No. 10-355 = Department of Social Services, Office of Family Support; and

Agency No. 13-853 = Department of Environmental Quality, Office of Waste Services

The department/agency (or budget unit) should be described simply and succinctly. This description, which should include the mission of the department/agency and its goals, describes the context within which agency programs operate. It identifies the common, organizationwide goals that should be reflected in program goals and objectives. (In a one-program budget unit, missions and goals at the agency and program levels are almost always identical.) The inclusion of departmentwide or agencywide performance information is sometimes appropriate but remains optional.

Program Name and Authorization

Each program should be identified by name. Examples include: Administration; Radiation Protection; Parks and Recreation; Licensing and Inspection; and Child Care Services. The primary constitutional, statutory, or other references (such as executive order or federal mandate) that pertain to the program and its activities should be cited. If these references include state law, use the statutory citation rather than the legislative citation (that is, give the Louisiana Revised Statutes reference rather than cite the legislative act and year). If these references include federal law, administrative procedure, program guidelines, or court order, cite the public law, code, rule, case, or consent decree.

Modifications in program names or structures must be approved by the Office of Planning and Budget (OPB). If you are contemplating such changes, be sure to discuss this with OPB analysts prior to submission of your budget request.

Program Description: Mission, Goal(s), and Activities

Prepare a program description for each program. This description should explain the need for the program and must include program mission and goal(s) as well as a description of the activities within the program.

Program Mission and Goals

Mission is a broad, comprehensive statement of purpose; it describes what an organization does and whom it serves. Goals are the intended broad, long-term results. Goals are clear statements of the general end purposes toward which efforts are directed. Program goals may be a component of broader department/agency goals. Program goals must be consistent with department/agency goals.

Operational Plan Format, Guidelines, and Instructions 5

Programs should be described simply and succinctly. The narrative should be written with the assumption that the reader has no knowledge of the program, what it does, why it is needed, or how it works. The use of technical terminology, abbreviations, and acronyms should be avoided; if technical terms or jargon cannot be avoided, then these terms must be defined clearly. The information needed to complete the program description should already have been developed in the strategic planning process; in fact, most of the program description--certainly mission and goals--may be lifted directly from the strategic plan.

To develop the program description, use the following steps:

1. Consider the following questions:

* What is the program's mission or purpose? That is: What does the program do and whom does it serve? Why is the program needed? Why was the program created? (Review the program's mission statement in its strategic plan.)

* What are the program's goals? That is: What are the broad, long-range end results to be achieved by the program? (Review goal statements in the strategic plan.)

* In broad terms, how does the program work? How does it go about accomplishing its mission and goals? (Review program strategies in the strategic plan.)

(Do not repeat and answer each of these questions in your operational plan. These questions are a simple guide to help you prepare your program description.)

2. Imagine giving a one-minute explanation of the program to the legislature, general public, or community groups. Assume the audience knows nothing about this program. Think about how to best describe the program in terms they can understand.

3. Develop a paragraph that clearly identifies the mission and goal(s) of the program.

(Example: The mission of the [name of program] is to . . . . ." The goals of the [name of

program] are: . . . .") If necessary, add explanatory information.

Some programs are purely administrative in nature and involve funds that are "passed through" to other organizations or governmental units. Such a program is naturally concerned with competent oversight and administration of these funds, and performance indicators regarding such should be provided. However, state policy makers are also concerned with the results generated by the organizations that ultimately receive the funds. Some explanation of why the funds are passed through--that is, what benefits are derived and by whom--should be included in the program description. Performance indicators, verifying the results achieved and services provided, should be included in the program performance indicators.

Program Activities

An activity is a distinct subset of functions or services within a program. For example, the Civil Law Program (in the Department of Justice, Office of the Attorney General) has two activities: Civil Division and Public Protection Division.

Operational Plan Format, Guidelines, and Instructions 6

Identify and briefly describe major program activities. Again, the narrative should be written with the assumption that the reader has no knowledge of the activity. The use of technical terminology, abbreviations, and acronyms should be avoided; if technical terms or jargon cannot be avoided, then these terms must be defined clearly. The activity structure for each program should also be illustrated in a program activity chart.

The program activity structure identified in the operational plan should parallel the activity structure delineated for that program elsewhere in the total budget request package or the Discretionary/Nondiscretionary Activities Addendum.

Program Objectives

Objectives are intermediate outcomes--specific, measurable milestones along the road to accomplishing goals. They identify results or service levels to be achieved. Objectives should be SMART; that is, they should be: Specific; Measurable; Aggressive but Attainable; Results-oriented; and Time-bound.

To set program operational objectives, review the program's five-year strategic plan. The following questions should be addressed:

1. What are the program's strategic goals and objectives? What results are expected over the lifetime of the program's strategic plan and when during the plan are these results expected? What strategies will be implemented to achieve goals and objectives?

2. How does this operational plan relate to the program's strategic plan? What portion of the strategic plan will be undertaken during the upcoming fiscal year?

In the context of the program's strategic objectives, you may set incremental operational objectives. For example: If a strategic objective were to reduce the level of toxic air emissions by 10% by 2003, there might be a schedule of planned intermediate reductions. In this case, the strategic objective would remain focused on the outcome anticipated by the end of the strategic period, but operational objectives would reflect incremental changes.

Or operational objectives may parallel a logical progression of actions or events. For example, operational outcomes for a strategic objective about improved air quality might relate first to planning and organizing to reduce emissions. These would be followed in subsequent operational plans by objectives related to actions taken to reduce emissions; actual reduction of emissions; actual improvement in air quality; and, finally, improved health. In this case, operational objectives and performance measures would evolve and progress as program strategies and actual results evolve and progress. Often, in this situation, operational objectives are related to strategies set out in the strategic plan.

Determine the relationship between program activities and program objectives. For example, will an objective be achieved through a particular activity or a combination of activities? Since activities represent distinct subsets of functions or services within a program, does your plan include an objective for each activity in each program? Or cluster several activities under a common objective? Your operational plan should indicate which activities are related to which program objective(s).

Operational Plan Format, Guidelines, and Instructions 7

As you draft program objectives:

> State each objective separately and show related information (strategic link, performance indicators, and explanatory notes) immediately following the objective. Do not submit objectives together as a list. Rather, present one objective with its related information before stating another objective.

> Present objectives in a logical sequence, preferably in numeric order. For example, all objectives related to a particular program activity should follow one another, rather than be scattered throughout the operational plan. If an objective relates to a specific program activity, identify that activity in the objective statement. If several activities share a common objective, cluster performance indicators by activity.

An objective is a clear statement of a specific, measurable outcome to be achieved. It should not be a listing of strategies or actions that will be performed during the fiscal year. Remember, also, that the operational plan is constructed on a continuation basis. Some program strategic objectives may involve the creation of new activities or require enhanced funding to expand existing services. Such objectives, along with measures of increased performance and service levels, should be shown on New or Expanded Service Forms rather than in the operational plan.

REMEMBER

> Identify the link or relationship between each operational objective and the program's strategic plan. Include a "strategic link" statement with each objective. Example:

Objective 1: Through the Appeals activity, to speed up the hearing process so that by June 30, 2000, there are no more than 40 unheard separation cases over 4 months old and no more than 120 other unheard cases over 6 months old.

Strategic Link: This operational objective is an incremental step toward accomplishing Strategic Objective V.1: To speed up the hearing process so that by June 30, 2002, there are no unheard separation cases over four months old.

> Be sure that the time frame for the operational objective is clear. Objectives in an operational plan should be achievable during the fiscal year covered by the operational plan. Therefore, if no time frame is mentioned in an operational objective, that objective is assumed to be bound by the fiscal year covered by the plan. If an operational objective has any other time frame (for example, school year, federal fiscal year, or calendar year), the objective statement should include a clear reference to that time frame. Or, if an objective is slated for accomplishment at some specific point within the fiscal year covered by the operational plan, that date may be cited. (Example: "By January 1, 2001. . . .")

> Label or otherwise identify those objectives that you consider to be key as opposed to supporting level. (The executive budget and appropriation bills contain key objectives; the executive budget supporting document has both key and supporting objectives.) When identifying key objectives, consider the following factors:

? Is achievement of this objective a critical success factor for the program?

Operational Plan Format, Guidelines, and Instructions 8

* Is this objective related to a "big ticket item" (a major or mandated activity that requires an extensive allocation of resources)? Is this objective related to the annualization of a recent, significant budgetary enhancement?

* Is this objective related to a "hot button item" (a prominent or persistent issue or problem)?

* Has this objective been identified as key in the past by (a) legislative committees and staff; (b) the OPB; (c) performance auditors; (d) your program managers and staff; and/or (e) other decision makers?

The OPB has ultimate authority to determine which operational objectives will be included and assign the level at which they will be included in the executive budget and executive budget supporting document. However, the OPB gives careful consideration to the key or supporting designations in operational plans.

Program Performance Indicators

To justify funding for a program, it is necessary to demonstrate and document the effectiveness, efficiency, and excellence of the program. Performance indicators are the tools used to measure performance, progress, and accomplishments. They are reported in the operational plan and other budget forms.

Performance indicators consist of two parts: indicator name and indicator value. The indicator name describes what you are measuring. The indicator value is the numeric amount or level actually achieved or to be achieved.

Performance indicator values for the fiscal year of the budget request become performance standards during the appropriation process. (See "Performance Standard" on page 12.)

Types of Performance Indicators

Louisiana's management processes use five types of indicators to measure performance: input, output, outcome, efficiency, and quality. These indicators are based on systems logic (how a process works) and each type is designed to answer different questions. Together, these indicators provide a balanced view of performance.

Operational Plan Format, Guidelines, and Instructions 9

Input indicators measure resource allocation and demand for services. They identify the amount of resources needed to provide a particular service. Inputs include labor, materials, equipment, facilities, and supplies. They also can represent demand factors such as characteristics of target populations. Input indicators are useful in showing the demand for a service, the total cost of providing a service, the mix of resources used to provide a service, and the amount of resources used for one service in relation to other services. Input indicators are often paired with output and outcome indicators to develop an input/output comparison.

Output indicators measure quantity. They measure the amount of products or services provided or number of customers served. Output indicators are volume-driven. They focus on

Operational Plan Format, Guidelines, and Instructions 10

the level of activity in providing a particular program. Transaction numbers and workload measures, which are designed to show how staff time is allocated to respond to service demand, are most commonly reported. Output indicators are useful for resource allocation decisions (particularly for calculation and justification of workload adjustments in operating budget requests). However, they are limited because they do not indicate whether program goals and objectives have been accomplished; nor do they reveal anything about the quality or efficiency of the service provided.

Outcome indicators measure success. They measure results and assess program impact and effectiveness. Outcome indicators are the most important performance measures because they show whether or not expected results are being achieved. Policy makers are generally most interested in outcome indicators.

Efficiency indicators measure productivity and cost-effectiveness. They reflect the cost of providing services or achieving results. Cost can be expressed in terms of dollars or time per unit of output (or outcome). Efficiency measures can also portray the relationship of inputs to outputs (or outcomes). Ratios are often used to express these relationships. Efficiency indicators can gauge the timeliness of services provided. Efficiency measures are important for management and evaluation. They help organizations improve service delivery. Often they are used to justify equipment acquisitions or changes to systems or processes.

Operational Plan Format, Guidelines, and Instructions 11

Quality indicators measure excellence. They reflect effectiveness in meeting the expectations of customers, stakeholders, and expectation groups. Measures of quality include reliability, accuracy, courtesy, competence, responsiveness, and completeness associated with the product or service provided. Lack of quality costs money. For example, resources devoted to performing rework, correcting errors, or resolving customer complaints can also be important to track. Quality measures are sometimes considered to be outcomes. However, quality indicators have been separately defined to reflect the importance of quality improvement.

Sometimes performance indicators fall into more than one category. For example:

* Some outcome indicators are also quality indicators. If your objective is to retain an initial accuracy rate for disability determination that is higher than the national average, then performance would be measured by comparing your rate with the national average. The result of this comparison would be an outcome indicator as well as a measure of quality.

* Some output indicators are also outcome indicators. If your objective is to increase the number of clients served by 1,000, then performance would be gauged by the change in number of clients served. "Number of clients served" would usually be considered an output indicator, but in this case, it could be considered an outcome indicator as well. (An even better solution to this particular situation would be to target a percentage change in the number of clients served and to use "number of clients served" as an output indicator and "percentage change in number of clients served" as an outcome indicator.)

Operational Plan Format, Guidelines, and Instructions 12

In general, the focus of the objective (that is, whether the objective is output-oriented, outcome-oriented, efficiency-oriented, or quality-oriented) affects the taxonomy of the performance indicator.

It is important to select a balanced set of meaningful indicators to measure program performance. The performance indicator matrix on page 13 shows examples of each indicator type for various kinds of programs. No minimum or maximum number of indicators is required per objective. Rather, you should have at least one outcome indicator and as many of the other indicator types as are appropriate to provide a clear view of performance progress.

Explanatory notes may accompany performance indicators. They help everyone gain a more complete understanding of performance indicators. They establish context and fill in the background. Explanatory notes identify input variables, program variables, and external variables and explain how those variables affect performance. They provide a link among indicators that should be used in tandem. So, feel free to footnote.

Performance Indicator Levels

Performance indicators may be key or supporting level. Key indicators are included in the executive budget and general or ancillary appropriations bill. For key indicators, interim targets and actual performance must be reported in each quarterly performance progress report. Supporting indicators are included in the executive budget supporting document but not in the executive budget and general or ancillary appropriations bill. For supporting indicators, interim targets and actual performance must be reported in only midyear and yearend performance progress reports. Performance standards for both key and supporting performance indicators are established during the appropriation process.

The OPB has ultimate authority to determine which performance indicators will be included and assign the level at which they will be included in the executive budget and executive budget supporting document. However, the OPB gives careful consideration to the key or supporting designations in operational plans.

Performance Standard

A performance standard is the expected level of performance associated with a particular performance indicator for a particular fiscal year and funding level. Performance standards are proposed during the budget development process and established during the appropriation process. Performance standards are commitments for service; they identify the level of performance linked with the level of funding budgeted/appropriated.

After the OPB determines a preliminary budget recommendation for a budget unit, the OPB sends a draft program narrative, with performance spreadsheets, to that budget unit. The budget unit should carefully and thoughtfully fill in the blank "Recommended Budget" column with performance indicator values that accurately reflect anticipated performance/service levels at the budget level recommended by the OPB for the upcoming fiscal year. These recommended budget level performance indicator values are proposed performance standards.

REMEMBER

PROGRAM

ADULT LITERACY

PROGRAM

REHABILITATION

SERVICES

PROGRAM

REGULATORY/

PERMITTING

PROGRAM

EMPLOYMENT

PLACEMENT

PROGRAM

INPUTS

Number of adults enrolled in literacy courses

Louisiana's current illiteracy rate

Number of clients eligible for service

Number of permit applications received

Number of employment counselors

Louisiana's current unemployment rate

OUTPUTS

Number of students completing adult literacy course

Number of clients served

Number of permits issued

Number of people served

OUTCOMES

Number of students able to read at the sixth grade level upon completion of course

Percentage

reduction in rate of illiteracy

Percentage of clients rehabilitated

Percentage increase in incomes of rehabilitated clients

Number of entities in compliance with requirements

Percentage of people placed in jobs above minimum wage

Percentage reduction in unemployment rate

EFFICIENCY

Cost per student

Number of students completing course compared to number of students enrolled

Cost per client

served

Number of clients rehabilitated compared to number of eligible clients

Processing time for permit applications

Cost per permit

issued

Number of people served per number of employment counselors

Counseling hours per person served

QUALITY

Percentage of students satisfied with the instructor and content of the course

Average satisfaction rating for courteous service

Percentage reduction in processing errors

Percentage of people indicating that counseling was responsive to their needs

Operational Plan Format, Guidelines, and Instructions 14

Performance standards are as much a part of an appropriations act as the appropriation levels and authorized positions contained in the act. Performance standards may be revised only through the August 15 performance standard adjustment and BA-7 budget adjustment processes. In both instruments, performance standard revisions are linked to budget/appropriation changes.

See "Performance Standards: Guidelines for Development and Revision" for more information on performance standards.

Reporting Performance in the Operational Plan

Each objective should be accompanied by a balanced set of meaningful performance indicators. Performance should be reported in tabular format; indicator values should be numeric. Occasionally some performance information (such as one-time accomplishments) may be expressed in sentence form. However, tabular format with numeric values should be the norm. Performance data may be augmented with graphs, charts, and other materials.

Basic Performance Indicator Table Format

The basic performance indicator table (shown on page 15) includes columns for performance indicator level (key or supporting), performance indicator name, and performance indicator values for:

* Prior year performance standard. This is the performance standard shown in the Louisiana Performance Accountability System (LaPAS) for the end of the fiscal year just ended. If you are using a performance indicator that did not have a standard in the prior fiscal year, put "Not applicable" in the column. Add a footnote explaining why there is no prior year performance standard.

* Prior year actual performance. This is the actual performance achieved during the prior fiscal year. This figure should be the same as the yearend actual reported in your Yearend (or Fourth Quarter) Performance Progress Report (due September 8) for the fiscal year just ended. If it does not agree with the figure reported in LaPAS, add a footnote to explain the difference. All prior year actual performance indicator values should be real, hard numbers. If you report anything other than an actual figure (for example, "Not available" or an estimated figure) for a prior year, include a footnote to explain why an actual figure is not available.

* Performance standard at initial operating budget level. This is the performance standard shown in the general or ancillary appropriations act for the current fiscal year and in the performance spreadsheets provided by the OPB with your current year appropriation letter. If you are using a new performance indicator (one that was not used in budget development or appropriation for the current fiscal year and therefore does not have a performance standard or appear in the LaPAS database), put "Not applicable" in the column. Add a footnote explaining why the indicator does not have an initial performance standard.

Operational Plan Format, Guidelines, and Instructions 16

* Performance standard at existing operating budget level. This is the most current performance standard for the performance indicator; it reflects any changes associated with August 15 performance standard adjustments or BA-7 budget adjustments. When a performance standard is adjusted by one of these instruments, the OPB revises that performance standard in LaPAS. When a performance indicator is created and a performance standard established as a result of an August 15 or BA-7 performance standard adjustment, that indicator and performance standard are added to LaPAS by the OPB. For existing operating budget values, report the performance standard shown in the LaPAS database as of October 1.

If the performance standard for an indicator differs significantly from what you believe actual yearend performance will be, you may add an explanatory note indicating what you anticipate yearend performance to be and why it varies so greatly from the standard. This situation may occur because of unanticipated external factors that significantly affect the

performance environment or as a result of a poor projection made during the budget development process. Regardless of the cause, you may use a footnote to explain the situation. However, you must report the performance standard under the existing operating budget column.

If your operational plan includes a new performance indicator for which there is no existing standard, provide an estimate of expected performance or service level through the end of the current fiscal year. Do not use a year-to-date actual number. (You may use year-to-date actual figures to help you estimate a yearend total, but do not put a partial year number in the existing operating budget column.) Add a footnote explaining that the existing operating budget level is an estimate and not a standard.

* Projected performance value at continuation budget level. Unless you are reporting data as general performance information (see section below), you must project a performance value for the ensuing fiscal year. This value may reflect adjustments requested in Continuation Budget forms but must not include enhancements requested in New or Expanded Services forms. Continuation level performance is not an automatic extension or duplication of the existing performance standard; it should reflect anticipated changes in external business environment or internal management. If you have indicated that the current estimate of yearend actual performance differs significantly from the performance standard for an indicator, your continuation level value should take that expected difference into account.

If you are using a performance indicator that has no prior year or current year performance standard, it is appropriate to show "Not applicable" in those columns. Make a reasonable effort to gather and provide prior year actual data for a new performance indicator. In the existing operating budget column provide an estimate for the existing operating budget value for a new indicator. Basic performance indicator tables that show "Not applicable" or "Not available" in all prior year and current fiscal year columns raise the question: "If you have no baseline data, then on what basis did you set your objective and target your performance indicator value for the upcoming fiscal year?"

REMEMBER

Operational Plan Format, Guidelines, and Instructions 17

Do not submit performance indicator values for a "requested budget level" or a "recommended budget level" in your operational plan. You may document the performance impacts of enhancements on New or Expanded Services Forms. If these enhancements are part of the OPB preliminary budget recommendation, then you may include those performance impacts in the recommended budget level values you add to the OPB performance spreadsheets that accompany the OPB preliminary budget recommendation.

General Performance Information Tables and Other Materials

General performance information (historical or trend tables, charts, and graphics as well as external comparisons of performance) may be provided as appropriate. Not every performance indicator needs to be presented in a multiple-year setting. However, some indicators may be reported best in a historical or trend chart. For example, some performance indicators cannot be projected effectively and should be reported on a prior year actual basis only. To demonstrate performance trends, include three to five years (five is preferable) of actual data. Rankings and external comparisons may be included to show how Louisiana's programs and performance compare to those in other states or the private sector. However, most state rankings or ratings are reported only on an annual basis and cover only prior fiscal or calendar years. Sample layouts for historical or trend tables and external comparison tables are shown on page 18.

Explanatory material may be included to further clarify and explain performance, trends, or comparisons. Other materials may be used to support the operational plan. These may include: internal or outside statistical information, spreadsheets, surveys or rankings; internal plans, studies, evaluations, reports, and publications; or any other supporting materials.

Indicators included in general performance information do not become performance standards and are not tracked in LaPAS. General performance data tables may appear in the Executive Budget Supporting Document but are not included in the Executive Budget. General performance information appearing in an appropriations bill is not considered a part of the appropriations act. Because of different reporting requirements for general performance information and regular performance indicators, you should discuss changes in the way you report performance (shifting from regular performance indicator reporting to general performance information or vice versa) with OPB and legislative staff before you make those changes in your OP.

Additional Guidelines for Reporting Performance Information

It is essential that the performance indicators and other data cited in the operational plan be meaningful, clear, simple but informative, accurate, consistent, and verifiable. Further:

> Performance indicators should, of course, be related to the objectives under which they appear. If the relationship is not immediately apparent, explain why the indicator is shown under a particular objective and what it means.

> Performance indicators are measurements of the performance or service levels associated with budgets/appropriations. However, unless you are using your budget/appropriation amounts as input indicator values, it is not necessary to put the dollar amount of your funding in performance indicator tables.

TABULAR FORMATS FOR REPORTING GENERAL PERFORMANCE INFORMATION

GENERAL PERFORMANCE INFORMATION: NUMBER OF CLIENT SERVED, FY 1994-95 - FY 1998-99

PERFORMANCE INDICATOR NAME

PRIOR YEAR

ACTUAL

FY 1994-95

PRIOR YEAR

ACTUAL

FY 1995-96

PRIOR YEAR

ACTUAL

FY 1996-97

PRIOR YEAR

ACTUAL

FY 1997-98

PRIOR YEAR

ACTUAL

FY 1998-99

Number of clients served

21,705

22,677

24,203

24,734

15,040

GENERAL PERFORMANCE INFORMATION: COMPARISON OF 15 SOUTHERN STATES IN COST PER CLIENT SERVED IN FY 1998-99

Alabama

$147

Arkansas

$164

Florida

$155

Georgia

$159

Kentucky

$160

LOUISIANA

$151

Maryland

$156

Mississippi

$150

North Carolina

$161

Arkansas

$152

South Carolina

$151

Tennessee

$156

Texas

$163

Virginia

$158

West Virginia

$146

AVERAGE

$155

Operational Plan Format, Guidelines, and Instructions 19

> Although a balanced set of indicators is necessary for budget decision making, emphasis should be placed on outcome indicators. Labeling indicators by type is optional.

> To assist the OPB in pinpointing key performance indicators, label or otherwise identify those performance indicators that you consider to be key indicators as opposed to supporting indicators. When determining which indicators are key, consider the following factors:

* Is this indicator an outcome indicator?

* Is this indictor related to a key objective? Key objectives may have both key and supporting performance indicators. However, a supporting objective may have only supporting indicators.

* Is this indicator related to a "big ticket item" (a major or mandated activity or outcome requiring extensive allocation of resources)? Is this indicator related to the annualization of a recent, significant budgetary enhancement?

* Is this indicator related to a "hot button" item (a prominent or persistent issue or problem)?

* Who values the indicator? Has this indicator been identified as key in the past by (a) legislative committees and staff; (b) the OPB; (c) performance auditors; (d) your program managers and staff; and/or (e) other decision makers

The OPB has ultimate authority to determine which performance indicators will be included and assign the level at which they will be included in the Executive Budget and Executive Budget Supporting Document. However, the OPB gives careful consideration to the key or supporting designations in operational plans.

REMEMBER

> Be sure that the performance indicator name clearly describes what you are measuring. Do not use acronyms unless you have first spelled out the complete name or title for which the acronym stands. Do not use technical terms or jargon unless absolutely necessary and then provide clear, simple definitions or explanatory notes.

> Report performance indicator values on a cumulative fiscal year basis. If there is a good reason to report on some other basis (calendar year, school year, federal fiscal year, program year, as of a particular date within the fiscal year, average daily count, etc.), identify the other reporting period and, if appropriate, explain why you are using it.

> When making a regional comparison of Louisiana and other states, the most common combination of 15 southern/south central states is: Alabama, Arkansas, Florida, Georgia, Kentucky, Louisiana, Maryland, Mississippi, North Carolina, Oklahoma, South Carolina, Tennessee, Texas, Virginia, West Virginia. If you are using some other combination of states, be sure to identify the makeup of the regional group. (For example, some federal statistical databases include Delaware in the southern region; the 16-state region of the Southern Legislative Conference includes Missouri.)

Operational Plan Format, Guidelines, and Instructions 20

> If you are comparing Louisiana to a national average, median, or composite, be sure to provide any explanatory information necessary to explain the basis and result of the comparison.

> If you use and report data from some source outside your department/agency or program, be sure to cite the source fully. If your department/agency or program is a large one with many databases and data products, cite the particular in-house database or data product from which performance information is extracted.

> Be consistent in what you report and how your data are calculated and reported.

* Once meaningful performance indicators have been developed, use them consistently. Unless there is a valid reason to change, measure the same things and use the same terms, definitions, measurement periods, and sources each year. If, however, indicators that have been used in the past are no longer meaningful, reliable, or appropriate, do not repeat them needlessly. Confusion can be avoided if you discuss significant changes in performance information with OPB analysts before you submit your operational plan and/or if you provide a brief explanation for modifying or dropping long-used indicators in the operational plan.

* Programs that are reporting the same performance indicator must be uniform/consistent in how those indicators are named and defined and how values are calculated. (For example, each adult correctional institution in the Office of Corrections Services reports the same performance data in the same way at the same time.) This requirement crosses budget unit boundaries. (For example, there are various programs or activities in different budget units addressing aspects of the teen pregnancy issue. Workforce development activities occur in many different departments. Personnel, accounting, and procurement functions are present in most departments/agencies.) Programs that are providing the same type of service or addressing the same need or issue should work together to develop and report common indicators for common areas.

> To the maximum extent possible, use standard definitions and generally accepted or recognized calculation methods and formulas. For example: The definition and calculation method for incarceration rate are established by the U.S. Bureau of Justice Statistics; the calculation method for highway death rates is set by the National Highway Traffic Safety Administration. There are standard ways to calculate full-time equivalent employment, per capita expenditures and certain caseloads or workloads; there are also standard ways to adjust comparisons for population differences.

If there is no standard definition or generally accepted calculation methodology or formula, or if you have chosen not to use a standard definition or generally accepted calculation methodology or formula, then explain the basis on which you are defining terms and calculation rates. (Documentation of validity of performance indicators should have been prepared during strategic planning. If you are now using performance indicators that were not validated as part of your strategic plan, it is especially important that you give thought to this issue during operational planning.)

Operational Plan Format, Guidelines, and Instructions 21

> Do not use the abbreviation "NA" since it can mean either "Not available" or "Not applicable." If you need to use either of these designations, spell out the entire phrase. If you use either “Not available” or “Not applicable” for a performance indicator value, then you must add a footnote explaining why the data are not available or not applicable.

> Do not include decimals in dollar figures; round to the nearest dollar. (There are some exceptions, such as average daily costs, which may differ by only pennies, or dollar amounts expressed in millions or billions, when it may be appropriate to carry the figure to at least one decimal place.) If you are expressing dollar amounts in millions or billions, indicate such in the name of the indicator (Example: Total tax collections [in millions]).

> Carry calculations and percentages to one decimal point only (example: 24.5%) unless there is a valid reason to do otherwise.

Organization, Program Structure, and Activity Structure Charts

The operational plan should include: (1) an organizational chart (showing organizational structure for the budget unit as a whole); (2) a program structure chart that identifies a budget unit's programs and each program's activities.

Program Contact Person(s)

Provide the name, title, and contact numbers (telephone, FAX, and e-mail) of the person(s) whom OPB analysts should contact if there are questions about the operational plan or if additional information is required. This contact should be the person who coordinated or prepared the operational plan. However, for budget units encompassing many programs, you may wish to provide a list of contacts, one for each program described in the operational plan, in addition to the principal or coordinating contact person.

Integration of Statewide Planning and Coordination Initiatives

Three statewide strategic planning processes are underway. Each of these efforts was established by the legislature, with the support of the governor.

? State Master Plan for Economic Development (Louisiana: Vision 2020) - Act 30 of the

1996 Special Legislative Session created the Louisiana Economic Development Council, which is responsible for the formulation and updating of a 20-year master plan for economic development. Beginning July 1, 2000, the council will submit an annual report and plan known as the Economic Development Action Plan to the governor, the president of the Senate, the speaker of the House of Representatives, the chairman of the Senate Committee on Commerce and Consumer Protection, and the chairman of the House Committee on Commerce.

? Workforce Development Strategic Plan - Act 1 of 1997 created the Louisiana Workforce Commission (LWC) and charged it with the development of a strategic plan

Operational Plan Format, Guidelines, and Instructions 22

to establish the framework for the provision and coordination of services and resources for all workforce development programs. The commission's strategic plan was completed in 1997. The LWC reviews and approves annual operational plans of state departments and agencies that conduct workforce development programs and activities.

? Children's Cabinet Comprehensive Plan - Act 5 of the 1998 Special Legislative Session created the Children's Cabinet and directed it to develop and implement a comprehensive plan for coordination of policy-making and planning for all state agencies and programs responsible for services to children and families.

Operational Plan Requirements Related to the State Master Plan for Economic Development (Louisiana: Vision 2020)

Act 1036 of 1999 requires each department and agency of state government to incorporate, to the maximum extent possible, components of Louisiana: Vision 2020, the State Master Plan for Economic Development into their strategic plans. These components must be clearly delineated. In addition, each agency must incorporate within its operational plan, to the maximum extent practicable, components of the annual Economic Development Action Plan and must clearly delineate those components in its operational plan. Louisiana: Vision 2020 may be found on the Department of Economic Development website (www.lded.state.la.us/).

The State Master Plan for Economic Development (Louisiana: Vision 2020) has been adopted by the legislature and is ready for incorporation into agency strategic plans. However, the first Economic Development Action Plan is not scheduled until July 1, 2000. Although some agencies may already be reporting performance indicators related to the benchmarks identified in Louisiana: Vision 2020, delineation of Economic Development Action Plan components in agency operational plans will not be required until the FY 2001-2002 budget development cycle.

Additional Operational Plan Requirements of Louisiana Workforce Commission

Under the provisions of Act 1 of 1997, which created the Louisiana Workforce Commission (LWC), each agency responsible for workforce development programs is required to submit an annual operational plan for each workforce development program that it administers to the commission for review and approval. (Agencies specifically named in the act are: Department of Economic Development, Department of Public Safety and Corrections, Department of Social Services, Department of Labor, Department of Health and Hospitals, Department of Education, State Board of Elementary and Secondary Education, Board of Regents, Department of Veterans Affairs, and the Offices of Lifelong Learning, Workforce Development, Elderly Affairs, and Women's Services. Remember, however, that the act may cover budget units not specifically named in the act as well as those listed.) Agency operational plans are submitted to the commission along with their workforce development budget requests. The specific operational plan requirements of Act 1 exceed the basic OP requirements described above, and the LWC has developed forms and guidelines designed to gather the information it needs. A LWC addendum is included in the annual operating budget development materials sent to budget units by the Office of Planning and Budget or may be obtained directly from the commission.

Operational Plan Format, Guidelines, and Instructions 23

The LWC addendum does not replace but supplements the basic operational plan requirements described above. Budget units subject to Act 1 of 1997 must submit the LWC addendum in addition to the basic operational plan.

Operational Plan Requirements Related to the Children's Cabinet

Children’s Budget Forms, which are required by L.R.S. 36:2604(C) to identify and assemble all state programs and expenditures for children into a single document, must be completed by those budget units that have programs and expenditures for children. Each such service must be described, including a description of how the service fulfills the program’s mission, who the principal users are, and who the primary beneficiaries of the service are. In addition, all related objectives and performance indicators from the budget unit’s operational plan and other budget request forms, such as the New or Expanded Services Forms, must be shown on the appropriate Children’s Budget form.

Following adoption of the Children's Cabinet strategic plan, additional information on delineation of related components in department and agency strategic and operation plans will be provided.

Getting Help

If you have questions about preparing a basic operational plan, contact the Planning Section of the Office of Planning and Budget at telephone (225) 342-7410 or fax: (225) 342-0906.

Questions regarding Act 1 of 1997 or the Louisiana Workforce Commission budget addendum required by Act 1 of 1997 should be directed to the Office of Lifelong Learning/Workforce Development in the Office of the Governor. This office staffs the Louisiana Workforce Commission. The telephone number is (225) 342-2462 and the fax number is (225) 342-1494. The Office of Lifelong Learning/Workforce Development's webpage is located at http://www.gov.state.la.us/depts/lifelong.htm.

Questions regarding Louisiana: Vision 2020, the State Master Plan for Economic Development or annual Economic Development Action Plans should be directed to the Louisiana Economic Development Council (LAEDC). The LAEDC office is housed in the Department of Economic Development, One Maritime Place, Room 312, 101 France Street, Baton Rouge, LA 70804 (Post Office Box 94185). The council office telephone number is (225) 342-0215 and the fax number is (225) 342-5389. The LAEDC webpage and Louisiana: Vision 2020 report are located at www.lded.state.la.us.

Questions regarding the Children's Cabinet should be directed to the Office of the Governor at (225) 342-7015.

Astrobiology: A Very Short Introduction

by David C. Catling

Questions for Thought and Discussion

* Chapter 1 addresses the question of “What is Life?” by considering what we know from terrestrial life, our one example. Members of the public often wonder if scientists are failing to consider “life as we don’t know it”, which is an idea popularized in science fiction. Is the concept of “life as we don’t know it” useful in factual science? How would we define “life as we don’t know it” and how would we look for it?

* In the formation of the Earth, to what degree did chance events allow the Earth to become a habitable environment and what does that mean for the likelihood of Earth-like planets elsewhere?

* What is an acceptable level of proof that a geological or geochemical trace found in ancient rocks is a sign that there were once living organisms?

* What are the various possibilities for where life originated and their relative merits, and how will it be possible for future science to decide amongst these options?

* If an asteroid had never hit the Earth and ushered in the age of the mammals with the Cretaceous-Palaeogene mass extinction 65 million years ago, do you think technological civilization would have evolved in some other animal lineage, perhaps even the dinosaurs? What are arguments for and against such evolution?

* Our civilization is heading towards a point in the future where it can genetically engineer individuals and also greatly slow an individual’s aging process. If and when this happens, how do you think it will alter the future evolution of the human species? Are there potential implications for the evolution of advanced life and civilizations elsewhere in the universe, if they exist?

* In Chapter 5, the book takes the point of view that viruses are not alive. But are there arguments for considering viruses as living entities?

* Could some viruses be remnants of the “RNA World” and if so, how would we find out?

* In Chapter 6, Table 1 gives a list of bodies in the Solar System where life might exist. What kind of extremophiles (listed in Box 1, p.81) might exist on each of these celestial bodies and how would we detect such life in space missions?

* Which icy moon should be a higher priority for a space mission to look for life: Enceladus or Europa? Why?

* A scientific debate that has been raging for at least thirty years is whether early Mars was predominantly cold with periodic wetness or whether it was “warm and wet” for long intervals of geologic time. What do you think about the validity of the arguments used by both sides of this debate? What are the ways in which future missions to Mars could help to resolve the debate?

* In general, the search for life in the Solar System is the exploration of places where liquid water was present in the past or is present today. Could there be plenty of liquid water on a body without life ever originating? Is it possible to imagine a subsurface ocean on Europa that has no life? If so, why might a dead body of water occur?

* Is the conventional “habitable zone” concept too restrictive, bearing in mind its limitation to liquid water, Earth-like habitats? Are there good scientific arguments for looking more widely for inhabited exoplanets?

* In viewing a spectrum of light from an exoplanet to find biosignatures, how would we ever be sure that we are seeing life rather than some purely chemical process

that mimics life? Would we be able to determine the presence of life on an exoplanet similar to the Archaean Earth, which had a biosphere but with an atmosphere devoid of oxygen?

* In “Fermi’s Paradox”, how realistic is Fermi’s assumption that technological civilizations on planets elsewhere would be spacefaring and be able to spread throughout the galaxy? An interstellar spacecraft moving at a substantial fraction of the speed of light would face many problems such as the huge amount of energy required and, because of great speed, the potential for explosive collisions with even tiny pieces of debris. If such a spacecraft had to move more slowly, would interstellar travellers be organic beings or robots? In fact, is Fermi’s idea of spacefaring extraterrestrials merely a projection of human beliefs (given a human history of conquest and exploration) that may have no relevance for unknown extraterrestrial culture with unknown motivations?

* If efforts in the Search for Extraterrestrial Intelligence (SETI) succeed in picking up a message transmitted by an alien civilization, what do you think are the chances that we would understand such a message? If we understood a message, what might be its cultural impact on humankind? Would receiving such a transmission have the same importance for humankind even if we don’t understand the message?

* Should humans beam messages into space describing Earth’s location and our civilization or is it dangerous to make other civilizations in the galaxy (if they exist) aware of us? “Messaging to Extraterrestrial Intelligence” (METI) has recently been pursued by private organizations such as Lone Signal. Some argue that advanced civilizations will be altruistic by virtue of their longevity and high intelligence. Alternatively, the American scientist Jared Diamond has argued that an advanced civilization elsewhere would treat us brutally like we treat simple animals. See Chapter 12, ‘Alone in Crowded Universe’ of J. Diamond (1993) The Third Chimpanzee, Harper Collins, New York.

Further Reading

Further reading is given on p.131-133 of Astrobiology: A Very Short Introduction