COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK

 

COLUMBIA UNIVERSITY IN THE CITY OF NEW YORK

INSTITUTE FOR THE STUDY O F HUMAN RIGHTS

PROJECT AND

ORGANIZATIONAL

DEVELOPMENT FOR

NGOs AND CBOs

A HANDBOOK

TABLE OF CONTENTS

PART I: PROJECT MANAGEMENT

A. Policies, programs and projects: project design in context p. 3

B. Key elements in project design p. 5

C. Building a logical framework p. 10

D. Monitoring and evaluation p. 12

PART II: BUILDING INTERNAL MANAGEMENT CAPACITY

A. Managing people in national NGOs and CBOs p. 15

B. Financial management in the field p. 20

C. Adapting to new technology p. 26

D. Providing leadership p. 27

E. Communicating effectively across cultures p. 30

PART I

PROJECT MANAGEMENT

A. POLICIES, PROGRAMS AND PROJECTS: PROJECT DESIGN IN CONTEXT1

Why are these concepts important?

A good project proposal can convince a donor that you are going to use their money wisely. But a well-designed project is not just a fundraising tool. It also helps you, once you have obtained funding, to plan your project activities, identify what is important, find out whether you are achieving your objectives, deal with unforeseen events more easily, and provide an account to your donors how – and for what -- their money was spent.

What is the principle behind the methodology for project development?

It is called “results based management”, that is, making your plans on the basis of a needs assessment to map out where and why you want to intervene, defining the impact that can be expected from your contribution, and then work out what your organization has to do in very specific terms to achieve that result, in a way that can be measured.

What do the donors want to know?

When they review your proposal, they will ask:

* Why do you want our money?

* What will you do with our money?

* What will you achieve with our money?

* How much of our money do you want?

When they review your reports, once the project has started, they will ask:

* What did you do with our money?

* What did you achieve with our money?

* What went wrong, or was different from what you had expected?

* What lessons were learned?

What are they looking for?

* Timeliness: are you meeting deadlines?

* Consistency: do your proposal and your reports tell the same story?

1 The instructor will have copies of three key documents that were used as sources for this chapter: the ILO’s “Child labour, A guide to project design”, written by Alec Fyfe; the European Commission’s Directorate General for Humanitarian Aid’s “Manual, Project Cycle Management”; and the UN Population Fund’s handbook for its “Results-Based Management Orientation Workshop”. Anthony Land, Fordham University, also contributed some ideas.

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* Quality: sufficient detail so your proposal and reports do not sound vague or evasive; evidence of logical planning; monitoring and evaluation of activities and results; financial reliability; a good exit strategy or handover to the community – sustainability.

Policies, programs and projects

These terms may be confusing, but they are all connected, and they describe the architecture of development planning.

A policy is a public commitment to a high and broad goal, like eliminating child labor or combating HIV/Aids, and it is often in line with international standards or conventions. It is usually adopted at a national level as part of a government’s priorities.

A program is comprehensive and coherent set of projects or actions based on public policy at the national or regional level, and it usually involves a wide range of ministries working together (such as the ministries of health, education and labor in an HIV/Aids program), and it often covers a broad geographic area, sometimes an entire country, sometimes a major region, like Darfur.

A project is a building block in such a program. It is more limited in scope and time, and has clear deadlines. It often works with one particular target group (for example, children) in one particular sector (such as health), in a well-defined geographical area, such as Kalma camp in Darfur – the project might, for example, be to establish basic pediatric care services for all the children in the camp.

The project development cycle: not a circle, but a spiral – going upwards! In developing an implementing a project, you go through six essential phases:

* Identification of the problem you want to address

* Defining and understanding the problem – situation analysis

* Planning a course of action – formulating the project document

* Implementing the course of action

* Checking on the progress of the project - monitoring

* Evaluating the effect and impact of the project

This can be described as a cyclical process, because a good project evaluation brings up lessons and insights that can be used to improve existing projects, and to formulate more effective projects in the future. If your project is one building block of a larger program, the entire program will benefit from those lessons learned, and the next phase of the program can be designed on the basis of the experience gained. So one should not really draw a circle to describe this, but a three-dimensional spiral, a staircase going up and around.....

What makes a good project?

There are four yardsticks to measure the quality of a project:

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* Is it relevant? Does it really tackle the problem it sets out to address? If the problem, for example, is that the children in the village can’t read, is a new school the best answer, or should one look at the parents’ attitude to education, the shortage of teachers, the lack of money in the village’s budget, the need for labor in the fields, or the government’s lack of investments in the social sector? Does the project have a credible “entry point”?

* Is it feasible? Is it likely to achieve its objectives? What risks does the project face? What resources – financial and human - does it have? How realistic is it?

* Is it cost-effective? What is the relationship between the cost of implementing the project and its expected benefits? Is there a strategy that would have achieved the same results at lower costs? For example, sending all the children in the village who can’t read to an expensive boarding school would probably improve their literacy, but the cost would be immense, and the impact on the community would be very destructive. So building a school might be a more cost-effective strategy.

* Is it sustainable? Can it go on delivering its benefits after the external assistance has come to an end? For example, with there be teachers for the school, money to pay them, parental support, good educational policies from the government – long after the school has been built, and the project has closed down?

B. KEY ELEMENTS IN PROJECT DESIGN

A well designed project starts with a written document which is logical and complete. It describes what will be done, who will do it, and how long it will take. It describes the situation as it was before the project started, so you can evaluate its achievements and impact at the end. And it creates a contract, an agreement that describes the duties and responsibilities of all the people involved.

Identifying the problem, assessing the needs

The most difficult part of designing a project is to know where to begin, and what questions to ask. To decide where to begin, it often helps to draw a “problem tree” – looking at the problems behind the problems, establishing a “causal stream”.

For example, you are concerned about the low income of family farms in your village. A “problem tree” would look like this:

* Low family farm income, because of

* Declining crop yields, because of

* Severe soil erosion, because of

* Farmers using improper plowing techniques, because

* Farmers are unaware of the benefits of contour plowing, because

* They have no access to agricultural extension services or information.

So where should your project intervene? Work directly with the farmers, or try to build capacity in the rural agricultural extension services? Both strategies could make sense, and it depends on the profile and capacities of your NGO which approach you choose.

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You would ask questions such as:

* WHY is the project being undertaken? Sample answer: low family farm income...

* WHAT specific aspect of the overall problem justifies the project? Sample answer: the lack of rural extension services.....

* HOW does the project fit into any local, regional or national programs? Sample answer: it would strengthen the very weak governmental agricultural support services, and work with them, not apart from them.....

Stakeholder’s analysis

The “stakeholders” in a project are all the people or organizations who either stand to be affected by the project, or who could “make and break” the project’s success. They may be winners or losers, included or excluded from decision making, users of results, or participants in the process. Stakeholders analysis is the mapping of a project’s key stakeholders, who they are, what interests they have in the project (positive or negative), and how these interests can affect a project, “make or break” it.

Such a mapping activity will help you identify:

* Which individuals or organizations to include in your “coalition” or network

* What roles they should play, and at what stage

* With whom to build relationships, which relationships to nurture

* Whom to inform and consult about the project

You can use a matrix that would look like this:

Influence /importance

High influence

Low influence

High importance

Stakeholders who can gain

Stakeholders who stand to

or lose a lot from the

gain or lose a lot from the

project, and whose actions

project but whose actions

can affect the project’s

cannot affect the project’s

ability to meet its objectives

ability to meet its objectives

These actors are powerful –

These actors lack power – but

you need to develop good

you need to make sure their

relationships

interests are fully represented

Low importance

Stakeholders whose actions

Stakeholders who have little

can affect the project’s

to gain or lose from the

ability to meet it’s goals, but

project, and whose actions

who have little to gain or

have little influence on the

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lose from the project

project

They may be a source of risk, unpredictable, so keep an eye on them!

Just keep them informed.

Project strategy

First of all, you need to determine who is going to benefit from your project, who will be its beneficiaries. Can you be precise: how many, where are they to be found, what are their social, economic and cultural characteristics? Then ask yourself who will be your partners, not only at the local, but also at the national level. If you have done the stakeholders analysis, the answers should be obvious. Create a network, integrating beneficiaries and partners, that is, make sure they talk to each other. Decide on their roles: how will you communicate with them? What are the lines of authority (this is especially important if you work with other groups who share your objectives, but whom you don’t control – they have their own funding and staff)? Who takes decisions? Do you need a steering committee to bring everyone to the table?

Then you need to decide on a project approach. There are two types of approach, and they each require a very specific project design. Direct support (DS) is one type of intervention, and it means that the project works directly with the beneficiaries (e.g., children, their families, a group such as landmine victims) through the provision of services such as education and training, health care, or construction of shelter. Many projects, however, choose a second type of intervention, called institutional development (ID). Examples are the strengthening of NGOs or government institutions so they can deliver better services to the target group, those children, families or landmine victims. In that case, the NGOs or the government (for example, the national mine action center) are the direct recipients of the project, but the beneficiaries ultimately are the people who get improved services. The advantage of those “ID” projects is that they have a multiplier effect, as eventually more people will be reached. But if the proper institutions are not there to be strengthened, or if they are not interested, direct support may be preferable....

From objectives to inputs: developing a logical framework, or “logframe”

After you have decided on a strategy, identified your beneficiaries or target groups, and mapped out your stakeholders, you now have to draw up a concrete action plan. This normally has four components:

1. Objectives

2. Outputs

3. Activities

4. Inputs

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These elements have a logical relationship. If you have the inputs (people, supplies, vehicles and so on), you can undertake the activities (e.g., build, organize, transport) so that the output is produced. The school has been constructed, the well has been dug. Now your objective should have been achieved: 200 children in the community can go to school; 300 IDPs have a well closer to their shelter, and the clean water brings diseases down.

Clearly, this logic only works if there is a realistic proportion between the inputs and the objectives. You can’t build a school with ten bricks and one teacher, and with one spade, you can’t dig a well.

ACTIVITIES

OUTPUTS

OBJECTIVES

INPUTS

About objectives

An objective is a simple expression of a desired end state, and it can usually be arrived at by turning a problem on its head. Problem: in our village, 200 children between the ages of seven and twelve can’t read. Objective: 200 children in our village between the ages of seven and twelve will be taught to read. Very often, in a project document you will find two types of objectives, or aims of the project: long-term and short-term, or broad as opposed to more specific and time-bound. Objectives are usually measurable changes that occur in behavior, attitudes, commitment, institutional and societal practices, or legal norms.

The long-term objective is also called the development objective, for example the elimination of illiteracy among children – your project will not do that, but it will contribute to this broad objective. The short-term objective, or immediate objective, is where you plan to make a measurable impact: for example, the reading skills of those 200 children in your village. Sometimes, in some models, people talk about goals (long-term, broad) and purpose (short-term, concrete). In the European Union’s description of the project cycle, they use the terms “overall objectives” and “operation purpose” – but the concepts are the same, no matter the specific terms used.

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About outputs

Outputs are the products which result from the project activities. The key word is “to produce”. Examples of outputs might be materials, curricula, reports, draft policies, or people trained. Not all outputs are achieved at the end of the project – some may be ready earlier than others.

About activities

Activities are the actions undertaken to produce the desired outputs, that is, they are the things that will be done, not the results themselves. The key word is “to do” – organize, develop, design, build, commission, and so on.

A good way to set out your activities is through a work plan. Your first draft is part of your project document, and once implementation starts, you will have to update and adjust the work plan all the time, as things never work out exactly as planned. Best to draw a chart of your work plan, as illustrated in this simplified model:

Activity

First quarter

Second quarter

Third quarter

Fourth quarter

Design school and get permits

x

Prepare the ground, dig foundations

x

Start the walls

x

Finish walls and put up roof

x

Put in windows and paint, furnish

x

In reality, your work plan (also called a Gantt chart) will be lot more complicated, and it may be based on a weekly or monthly schedule, rather than quarterly. Activities may overlap, so you may want to use bars instead of crosses. Carefully consider which activities can be undertaken at the same time, and which have to be done sequentially (e.g., can’t paint the rooms until the walls are up). Estimate carefully how long each activity will take – and stay on the conservative side in your estimates!

About inputs and budgets

Inputs are the funds, equipment, expertise, human resources, and so on, necessary for carrying out the activities. Inputs may come from many different sources, and they can occur at various levels: local, national and international. The inputs shape your budget, as each element needs to be costed. When you prepare a budget, make sure that your own contributions are reflected – if they are in kind (e.g., the time you spend finding good people for your network), put a price on them.

It is helpful to use a computer program, such as Excel, to prepare your budget. Standard budget lines are: personnel (list each position and the salary required), personnel support costs (taxes,

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insurance, benefits), transport (for vehicles, indicate both the cost of operations and the cost of writing off their purchase), supplies, rent (office space, storage space), monitoring and evaluation, and indirect costs (maintaining an office staff to support the project administratively).

C. BUILDING A LOGICAL FRAMEWORK

Having done so much already, it is time to create an overview of the entire plan, and introduce some tools to refine the planning process: assumptions, risk assessments, and objectively verifiable indicators. For this, we use the so-called “logframe”.

A typical logframe looks like this:

Description

Objectively

verifiable

indicators

(OVIs)

Means of verification (MOV)

Assumptions

and risks

Goal (general objective)

Wider problem that the project will help to resolve

Changes in the extent or severity of the problem

Statistical data or expert analyses over time; evaluations

Can be linked to security, government policies

Purpose

(specific

objectives)

Immediate impact envisaged to the project area or target group, i.e., the change or benefit to be achieved by the project

Things that can be measured: test results, survey results showing levels of satisfaction, changes in behavior etc.

Conduct tests, do surveys, compare base line data with current data

Stakeholders committed, funding not interrupted, staff selected as competent as expected

Expected results (outputs)

Specific deliverable results of the activities undertaken – meant to achieve objectives

Number or frequency of services provided, percentage of beneficiaries treated, studies completed

Keep records of all activities, levels of participation, and so on; track reports

Access to beneficiaries assured, sources for records reliable, studies meaningful

Activities

Lists the numerous things that need to be done to achieve the results expected

Mainly quantitative data, and data re timeliness or quality

Detailed management tracking, record keeping

Site selection or selection of target group allowed work to proceed in expected conditions

Inputs

Lists all the equipment, staff, vehicles, sites

Time of arrival, condition of goods,

Minutes of meetings, procurement and

Audit systems and oversight tools sufficient to

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etc. required

qualifications of

personnel

prevent fraud or

staff

records,

operational logs

kickbacks

Some donors insist that the specific objectives set out in the project document meet the SMARTER criteria: Specific, Measurable, Achievable, Relevant, Time-bound, Ethical, and Recorded (i.e., made available to all stakeholders). In the narrative of the project document, it makes sense to pay some attention to this requirement.

It is important to make a distinction between risks and assumptions in your project design. The conditions that are outside the control of the project, but critical for its success, are described as assumptions when they are likely to exist: a supportive government, adequate legislation, competent local staff – you have studied these conditions, gathered information, and concluded that they will indeed prevail. At the same time, you realize that something can go wrong: the government may be replaced by a less favorable one, legislation may not be enforced, and local staff will fear for their safety in joining a project such as yours. A stable security situation may deteriorate. None of this is very likely at the moment – otherwise you would not propose the project. But you do want to identify what could possible go wrong....

About audits, inspections and investigations

The donor usually reserves the right to arrive, unannounced, to review whether you are living up to the agreement that you signed when your received funding. Sometimes the donor wants to inspect the financial records (financial audit), sometimes the donor is more interested in a management audit: are things done effectively, on time, at the least cost? For this purpose, external auditors may be brought in. Some donors require the recipient NGO to have its own internal audit process as well. Cooperation is usually mandatory. When there are suspicions of misconduct or of fraud, the donor may require a full–fledged investigation. Most project agreements spell out in some detail what the donor can and cannot do.

Sample documents and materials for exercises

In the instructor’s resource material, there are a number of documents that may be of interest to the students, such as a completed project document (submitted by a Sudanese NGO to the UN for funding), a simple “quick impact” application form used in post-conflict recovery programs (for very small projects, such as fixing a bridge or painting a school), sample project budgets, and detailed project design and management guidelines used by agencies such as UNFPA, the European Union and the ILO. These are mostly in English, and it will depend on the time available and the language skills of the students to what extent they can be used in the course.

The instructor may wish to assign a project to the students, whereby the group as a whole decides on an overall development project to be addressed, agrees on a specific context, and then splits up in groups of four or five, who independently draw up a logical framework (and maybe even a

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budget) showing how they would design a project in response to the problem. Each group them presents to the others, and comments on the others’ work.

D. MONITORING AND EVALUATION

Everyone -- your donors, your stakeholders, and most of all, you yourself -- wants to know how the implementation of your project is working out, and whether it achieves the results you had expected. You need to monitor progress, and evaluate outcomes. Concrete evidence about the outcome of a project is essential to decide whether it has actually contributed to the elimination of the problem it was meant to address. Future decisions rely on the quality of such information.

When you developed your logical framework, you identified indicators which would allow you to determine whether you had achieved the results that you had expected, whether you had delivered all the outputs you had planned, and whether all the activities on your list had in fact been completed. You also developed or identified tools to verify these indicators.

In fact, you had already designed a monitoring and evaluation framework – ready to use! What is monitoring?

Monitoring is a continuous internal process, conducted by managers, to check on de progress of project interventions against predetermined objectives and plans – your logframe. Monitoring is an ongoing management task: have we achieved today what we set out to do? Where do we have to make adjustments in our plans? Regular reports on project implementation are the outcome of a monitoring process: was equipment available as planned, are activities on time (as mapped in the work plan), are the outputs produced on schedule? This kind of careful watching makes it possible to catch problems before they become unmanageable, and to take corrective action before it is too late. The reports can follow the logframe and the workplan.

What is evaluation?

Evaluation is the act of discovering whether we are achieving, or are likely to achieve, our objectives. Evaluations answer specific questions:

* Effectiveness: to what extent has the project achieved, or is it likely to achieve, its objectives?

* Efficiency: do the expected project results continue to justify the costs?

* Relevance: does the project continue to make sense – are its objectives still relevant to the problem?

* Validity of design: is the design logical and coherent, and are the linkages between the components clear?

* Unanticipated effects: is the project having any significant effects, either positive or negative, that were not expected?

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* Alternative strategies: is there, or would there have been, a more effective or efficient way to approach the problem?

* Causality: what external factors affected the project’s performance (see the assumptions and risk assessments in the logframe)?

* Sustainability: what is the likelihood tht the project will be sustained after the withdrawal of the external support, such as donor funding or technical advisory presence?

Why are evaluations done?

In project and program management, evaluations usually have two objectives:

* Lessons learning: to help all partners and stakeholders to learn from experience through discovering whether particular interventions have worked or not, and through understanding why they have been relatively successful or unsuccessful in particular contexts, and

* Accountability: to account for the use of financial resources to funders, such as the donor agencies themselves, the parliaments, taxpayers, foundations and individuals who provide their funds, and the beneficiaries in whose name the funds are raised and used.

Types of evaluation

There are two ways of grouping evaluations. First of all, they can be defined in terms of timing – at what point do they take place? Second, they can be defined in terms of personnel – is it an internal or external exercise?

Three types stand out in terms of timing:

* Interim evaluations, also called “reviews”, look at project outputs, likely effects and impact while the project is still being implemented. This is not monitoring (day to day management control), but it helps to assess at an early stage whether it is necessary to adjust any policies, objectives, strategies, funding arrangements or institutional partnerships.

* Terminal evaluations are the analysis at the end of a project – they provide decision makers with information for future planning and project design (but the actual impact of the project may not be clear that soon).

* Ex-post evaluations refer to the assessments carried out some time after the completion of the project, perhaps two or three years later. At that stage, the long term impact of the project becomes more visible, and questions about its sustainability will be easier to answer.

There are several types of evaluations in terms of the people involved:

* Internal evaluations, conducted by the project staff, in cooperation with stakeholders, often timed around key phases of an ongoing project.

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* External evaluations, conducted by consultants whose distance from the project can lend greater objectivity. These often focus on the management processes as much as on the outcomes.

* Participatory evaluations, externally led, which try to channel the voices of the beneficiaries in order to give as true a picture as possible of the project’s impact on those whom it was meant to serve.

Getting the most from evaluations

There are several strategies that you should take into account when you plan an evaluation, so you get the best results:

* The benefits of the evaluation should justify their costs – do not go overboard. Ften, evaluations are too costly and time-consuming in proportion to the information they provide. As a general rule of thumb, the cost of an external evaluation should not exceed five percent of the total project budget, unless you are conducting a pilot project that will be replicated on a large scale if it is successful.

* Encourage an “evaluation culture” in your organization. Show that you will apply the lessons learned, and do so already at the monitoring stage, confronting any problems that may arise rather than hiding them. The senior staff of your organization should lead by example.

* Shape your evaluation around the areas where you most need guidance for the future – no need to spend too much time on internal efficiency is the real question is how a specific new distribution strategy affected the beneficiaries – set the right terms of reference.

* Choose the right evaluator. Internal evaluations can be valuable if resources are limited, and the areas of uncertainty are mainly organizational, or if policy choices are clear. External evaluators may have a better perspective, but they also don not know your organization as well as you do. Sometimes, a mixed team will work well.

* Protect your credibility. Make sure that the evaluators whom you choose are widely respected as independent experts, known to most stakeholders. Make you selection process transparent, by publicly soliciting bids, for example. Ask the potential evaluators to include a description of their methodology in their proposal.

* Make it clear what will happen with the evaluation report. Involve all the stakeholders openly. Set up a participatory review process; make both the recommendations and your decisions on those recommendations public.

Sample Documents

In the materials provided to the course instructors, there are some very solid OECD guidelines for those who need to justify the cost of monitoring and evaluating, or who need to choose the right evaluator. A chapter on participatory evaluations from URD, the French NGO’s participatory management handbook, is also included, as well as a rather lengthy copy of the UK’s Department for International Development (DFID) internal guidelines for its field staff, giving the donor perspective. Again, these are all in English, but they may be of use to some participants in the course.

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PART II

BUILDING INTERNAL MANAGEMENT CAPACITY

It is not enough to be able to present a good project proposal or to develop good indicators for monitoring and evaluation – the question will immediately arise: does this NGO or CBO really have the capacity to implement this project? Donors normally ask questions about a NGOs staffing, its human resources policies, its financial structures, its internal oversight, its leadership, and its ability to work in a diverse environment, across the barriers of culture and identity.

This second part of the manual examines some of the basics that you can do to build such capacity, and to convince the donors that the appropriate structures are in place.

A. MANAGING PEOPLE IN NATIONAL NGOs AND CBOs2

A coherent human resources management system consists of a series of building blocks that are all connected. In the following section, we will examine the architecture of such a system, by looking at each of those components, and at the way they interact.

Note to instructor: it might be helpful to discuss with the participants how general principles of good human resources management, such as those outlined in People in Aid’s “Standards of Conduct” (included in trainers’ materials), can be tested against practical indicators - e.g., if an organization truly believes its staff are its most important resource, how much does it budget for psychosocial support? If the participants have a good knowledge of English, the entire document should be reviewed, and then shared.

Strategic planning

* First of all, we need a vision of what we want to achieve, what the world would look like if our vision became reality: for example, “a world without violence”

* Then, we need to prepare a mission statement: what we as an organization intend to do in order to contribute to that vision: for example, “bring down the number of child soldiers in militant groups in our region”

* Then we need operational objectives, in other words: how are we going to do this?

* For that, we draw up an organizational structure: how we group our people effectively. Usually, in a small NGO, that requires the functions of senior management, administration, logistics, and program management

* This can then be refined to the level of a staffing table: each function is described in terms of the positions created to support it. For example, the administration function

2 Based on syllabus and course content developed by Professor Dirk Salomons for New York University’s Wagner School of Public Service, 2001

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might translate into a) chief administrative officer, b) finance officer, and c) personnel officer. The logistics function could require a lot of staff, or just one person, depending on the nature of the organization: if you transport food and shelter over a large distance to various regions, this might be a big unit – or you might just need one logistics officer, dealing mainly with internal transportation and some basic procurement

* For each of these positions that you have created, you need a thorough job description, and an outline how the job interacts with others, e.g., supervisory relationships

* Finally: staffing is never static. Organizations constantly change – they grow and shrink as resources come and go, and their mandate shifts as the external challenges evolve. So it makes sense to make projections for various scenarios, and decide what your staffing would look like under each of these options, so you can initiate recruitment, rotate staff, or decide on layoffs well in time.

Job classification and job design

* Decide what type of hierarchical structure best suits your organization:

o Command and control, top down, highly structured, many layers – good for operational work, e.g., fire brigade

o Informal, egalitarian, few layers, consultative – good for advocacy work, policy analysis

* Create classification levels for those jobs, a system of ranks, and develop the indicators to justify the differences among those ranks, such as:

o Level of education required

o Level and type of experience required

o Level of autonomy or authority, also financial

o Extent to which one supervises others

o Impact of work, and consequences of errors

o Level and nature of external contacts

o Physical hardship

* Define and rank the jobs in your organization accordingly. Ensure the job descriptions are accurate. You would probably discover you have created several occupational job series, for example: 1. Chief, finance section, 2. Senior finance officer, 3. Finance officer, 4. Finance clerk – four levels within one administrative specialization.

Note to the instructor: the material made available to the instructor has guidelines for the preparation of job descriptions – it would be helpful to conduct a group exercise whereby a description is developed for a job that everyone knows, such as “driver”. A set of sample job descriptions (program officer, administrative assistant, office assistant) is also included for reference.

Setting salary levels and establishing benefits

* Decide what position you want to take up among your competitors (each has its advantages, depending on the work you do as well as on the labor market):

o Top employer, paying the highest salary, retaining existing staff, attracting others away from your competitors, investing heavily in training

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o Middle range, cautious but stable, not attracting “stars”, but getting the job done with limited turn-over of staff

o Lowest range, minimal pay, little or no investment in training, high staff turn-over

* Find out what benefits you have to offer legally, and decide which you want to offer as a matter of sound and human policy: e.g., pension, medical insurance, life insurance, housing subsidies, transportation subsidies, education grants, etc.

Carrying out a salary survey

* Select your comparators: organizations that have jobs similar to yours:

o National NGOs

o Community based organizations

o International NGOs or international organizations that employ national staff

o Banks, embassies, private sector companies with national staff

o Government institutions

* Try to get access to their salary scales and job descriptions

* Match your jobs with theirs, not just in content, but also in scope, size of operations

* Use those pay levels as guidance in constructing your own salary scales

* Involve your staff in the process, both for transparency and for acceptance

Managing the recruitment process: getting the word out

* Good job descriptions make good vacancy announcements: just add the required skills and competencies, the type and nature of experience expected, salary range and key benefits, a brief profile of your organization, how and where to apply.....

* If you carried out a good salary survey, and positioned your jobs attractively, you should be able to attract good candidates

* Good stakeholders analysis now has an additional benefit: you have an instant network to make your vacant position known, and you get an opportunity to profile your organization as your job advertisement is always also an advertisement for your organization

* Choose your media for advertising carefully: print, websites, professional journals – set a budget, prioritize, don’t generate more applications than you can review and respond to

* Don’t forget: recruiting is a public relations exercise for your NGO – you may only hire one person, but many more will remember how you treated them!

Selection: finding the right candidate

* Decide on a selection process (in line with the way in which your organization takes decisions): establish a committee, authorize the line manager to make the choice, or have upper management choose the best candidate. Put the process on paper, so it is transparent, and share it with everyone involved.

* Review all applications, reply courteously to all applicants (even just in a pro forma email), and create a shortlist of no more than four to six names. If your organization aims at diversity, this should be reflected in your shortlist.

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* Arrange for face-to-face interviews with these candidates, so that they meet all the key people in your NGO – then have everyone compare notes. Use a standardized interviewing format, and use standardized interview summary sheets. This makes it easier to rank the candidates later on. Do not set up interview panels – they paralyze the candidate.

* Check references – formally and informally (using your professional network)

* Take a hiring decision quickly – good candidates do not wait forever!

Note to instructor: there is a set of guidelines for the interviewing process in your documentation– you might want to go over these with the students, and set up mock interviews, using a job description they themselves have developed, and then take turns, so that each student is interviewer, interviewer and observer. The observer comments to both interviewer and interviewee on what went well, and what did not. The interview report form provides a structure. Discuss the use of open questions, probing, supporting attitude.....

Career development and mobility

* Map out the career paths in your organization -- within occupations (e.g., from finance clerk to finance officer) and across occupations (e.g., from finance officer to program officer) – create room to grow

* If your organization is very small, think about career paths within a range of organizations in your area – do you exchange information about vacancies that are coming up? Do you pool resources for training?

* Encourage mobility, within your own organization or across organizations, and across regions, if your work allows that – the broader the experience that people get, the more useful they become

* Develop an rational and minimalist performance evaluation plan – start by setting goals for each staff member, write down expectations, keep a written record of special achievements but also of disappointments (“critical incidents”), discuss with staff member, summarize in writing at least once a year, make it clear what the consequences are of good performance (new contract, possibly more responsibilities) and poor performance (contract not renewed, or less responsibilities with less pay)

* Avoid comparing staff with each other, by ranking them or giving them “grades” – in performance evaluation, the only question should be “did the staff member do as well as he or she could”. People differ and have individual strengths and weaknesses – did they make the best of the talents given to them? If so, they performed well!

* Do not give “bonuses” for good performance. It angers the people who do not get a bonus, and it sends the wrong message: job satisfaction should come from the nature of the work itself, not from external incentives. Pay levels themselves should be adequate that people feel free to focus on their work.

* Have written policies on promotions, internal selection, and performance evaluations – discuss them with staff and make them available to everyone.

Training and learning

* Make on-the-job training a responsibility of supervisors – part of their performance goals 18

* Have a training plan based on the needs of the work unit, not of the staff member. Training is not always the answer. It may be cheaper or more effective to reassign, or replace .... Good selection should limit the need to provide training beyond induction and familiarization with organizational procedures, possibly language training

* Give staff members each a small grant for personal development instead, and give them free time, e.g. two hours a week, to invest in their own growth – need not be directly job-related

* Organize regular events where staff are exposed to the most recent developments affecting your organization – bring in speakers, circulate newspaper articles, have a house journal

Conflict resolution

* Know your country’s labor laws, and respect them

* Establish internal, informal procedures to deal with conflict before it escalates

* Have a fair disciplinary process, with clear, written procedures

* Develop a “mentor” system whereby junior staff can rely on senior colleagues for advice and support

* Make sure you have clear policies on sexual harassment: what it is, how to report it, how it is investigated, what the sanctions are (also on false accusations)

Wellbeing and workplace safety

* If your staff work in a stressful environment (conflict zones, harsh climate, isolated areas), provide psychosocial support (peer counseling, rest and recuperation leave, job rotation)

* Offer your staff access to anonymous support services to address personal crises, such as family conflicts, addiction, or debts – find community resources to provide such services

* Ensure work place safety – maintain equipment, keep cars in good shape, keep office environment accessible (e.g. unobstructed stairs, non-slip floors)

* Make sure staff have access to rapid emergency care – nearby hospital or clinic

Staff security

* Gather information about possible security threats, both from criminals and from politically or religiously motivated armed groups

* Develop a security plan: who is in charge, how to communicate in times of danger, how to protect the office premises, how to train staff to react appropriately in a crisis, when and how to evacuate

* Build alliances with other, similar organizations to pool resources and information, emergency strategies, communications infrastructure

Note to instructor: among the materials made available, you will find the entire security manual of Care International, which shows you how a large international NGO addresses its external threats. National NGOs have far fewer resources, but some of the principles remain the same.

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The text of a lecture on the subject, used at Columbia University, is also available – all this in English... In addition, there is a United Nations document, in Arabic, about security in the field.

B. FINANCIAL MANAGEMENT IN THE FIELD3

Why is this important?

Your responsibility for the sound management of financial resources is as important as it is for managing the people in your organization. The chapter on the preparation of good project proposals gave you some tools for resource mobilization, fund raising, but once you have received the grant, you are accountable for its use, and for that, your accounts need to be in order.

Especially in small organizations, you will receive little support from Headquarters, if you have a Headquarters at all – much of the management responsibility rests with the manager in the field: you! Quality financial reporting also means that you have a good overview of your project’s progress, and you will find that good financial records make sound project monitoring and evaluation much easier.

Preparing a budget

* You already did that when you presented your grant proposal. Maybe you received the full amount that you requested; maybe you have less at your disposal. But it is time to review and adjust that budget, as it will be your main accounting tool.

* There are actually two types of budget. One is called a revenue budget, and it shows the ongoing income and expenditures over a fixed period of time, usually one year. Excluded are items that may last for longer than one year, such as vehicles, equipment and computers. An organization may than also prepare a capital budget, estimating the cost of these longer-term items, showing where the money will come from, and spacing it out over several years. For your purposes, you should simply combine the two – including both types of expenditures into one budget.

* A budget is a summary of your detailed calculations. Before you add a number for, say, salaries, you will have a discussion about the number of people you plan to employ, for how long, at what pay level, with which benefits, and so on – your worksheet then adds up to the number you put into the budget. Thus, a budget should not be a series of wild guesses – it should reflect careful, calculated estimates. If you have done work in the past, this becomes much easier, as you have past data to rely on.

* Once your budget has been reviewed and updated, it might look something like this:

3 Base on John Cammack, Financial Management for Development, International NGO Training and Research Centre, Oxford, 1999, and on management models used by the Praxis Group, Ltd. , an international consulting firm.

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DDAG HEALTH CARE CENTER

REVENUE BUDGET 1 JANUARY TO 31 DECEMBER 2010

INCOME

Amount 12 months

Columbia University grant

$ 50,000

Grant from Ruritania Government

$ 50,000

Grant from UNDP

$ 20,000

Total income

$ 120,000

EXPENDITURES

Salaries (4 people at $10,000 each per year)

$ 40,000

Rent of premises ($ 2,000 per month)

$ 24,000

Purchase of drugs

$ 16,000

Medical supplies

$ 20,000

Electricity and water ($200 per month)

$ 2,400

Travelling expenses (car lease, maintenance, gasoline)

$ 7,600

Training program (four sessions per year)

$ 3,000

Office expenses (lease computers, printing, cleaning)

$ 7,000

Total

$ 120,000

Cash flow forecasts

* You may have received your grants all up front, in one payment, and all the money is in your bank account. Congratulations! If not, your donor may make payments linked to certain achievements (one third when clinic is built, one third after two training courses are held, and so on). In that case you will have fixed monthly expenses, but your income will arrive in bits and pieces over time. How to make sure you do not suddenly fall short, and have no money to pay the bills at the end of the month or the quarter? Make a projection of your cash flow – it will look a bit like this:

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Period

Jan - March

Apr – June

July - Sept

Oct - Dec

Receipts

Grant Columbia

25,000

25,000

Grant Ruritania

20,000

20,000

10,000

Grant UNDP

10,000

10,000

Total receipts

30,000

45,000

10,000

35,000

Expenditures

Salaries

10,000

10,000

10,000

10,000

Rent

6,000

6,000

6,000

6,000

Drugs

8,000

8,000

Medical supplies

20,000

Electricity etc.

600

600

600

600

Travel

4,000

1,200

1,200

1,200

Training

750

750

750

750

Office expenses

4,000

1,000

1,000

1,000

Total

expenditures

53,350

19,550

27,550

19,550

Balance at the end of the quarter: income minus expenditures

30,000 minus 53,350 is deficit of 23,350!

45,000 minus 19,550 is surplus of 25,450 – we are back in positive territory

Again: we have a problem - calculate

All is well that ends well - calculate

* The example above shows how you can run into trouble. In the first quarter, you would run a deficit of $ 23,350! There are several things you can do: get a bank credit line (unlikely in most developing countries, and the interest rates will destroy your plans); ask your supplier of medicines to give you credit (not that likely either); instead of buying all medicines up front, buy the minimum now, also buy fewer drugs, and space out your expenditures so you do not exceed income each quarter. So you would revise your cash flow table.... If you did not do this kind of analysis, you would face unpleasant surprises!

Bank accounts, petty cash and cash books

* As soon as you can, open a bank account. This will give you a written and reliable record of all money that comes in and that goes out. With bank statements to back that up. Start a simple cash book, writing down every day whatever you spend. If you work with “petty cash”, a cash amount you keep in the office for small expenditures, keep a separate logbook for that, and make sure you have a signed receipt for every payment you make. Keep that money under lock and key, preferably so that it takes two people to open the cash box.... Keep copies of your bank statements in a safe place – best to scan them and e-mail them to yourself, so there is a record in your “sent mail”.

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A better cash book

* In fact, if you already set up a cash book, you might as well link it to your budget, as that will save you a lot of work later on. By itemizing all income and expenditures by budget line as you go along, you can see at any time not only how much money you have left, your “balance”, but also how much you have spent on each budget item separately – so you can see whether your cash flow projections have held up in reality! This is what your cash book might look like:

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Date

Description of activity

Income

Salaries

Rent

Drug

purchases

Medical equipment

Electricity and water

Travel

Training

Office expenses

Balance

Jan 1

Bank

deposit

Ruritania

20,000

20,000

Jan 4

Check # 1 payment Ali salary

5,000

15,000

Jan 5

Check #2

payment

rent

2,000

13,000

Jan 7

UNDP

grant

deposit

10,000

23,000

Jan 7

Check #3

Payment

Ahmed

salary

5,000

18,000

Jan 8

Check#4

first

medical

shipment

4,000

14,000

Total

30,000

10,000

2,000

4,000

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* This model gives you all the financial information you need on a day to day basis: how much is there in the bank, how much did we spend under each budget line, how does this compare to my cash flow projection.... At the end of the year, you add it all up to have a financial statement.

Internal controls

* It is important that financial systems are designed to make sure that as few mistakes are made as possible, and that the opportunities for misappropriation (in fact, theft) are minimized. A qualified accountant may have to inspect your systems once they are in place, but on an everyday basis, the management of the NGO is accountable. Some rules and management actions may reduce the risk:

o There should be written policies, procedures and rules to deal with financial management, and all staff should be made aware of them

o Management should monitor its cash flow and compliance with the budget on a monthly basis, if not more often, to ensure no crises arise

o Precise records should be kept, and every transaction should be recorded as it happens. Receipts should back up every expenditure. Annual financial statements should be accessible for all stakeholders, as well as staff. It makes sense to have an oversight board.

o Introducing a “payment voucher” system may make sense, whereby a senior manager approves each expenditure before it is made, unless it is a recurring cost, such as salaries or rent. But nobody should just go out and buy a computer! Written approval, a voucher, should be required. Or, alternately, staff should be given an individual limit how much they can spend in a given period, and their purchases should be reviewed afterwards.

o Larger purchases should be made in line with internal procurement standards. Often, the donor will impose its own – see the sample UNDP contract in the instructor’s materials, for example, where the recipient Sudanese NGO is given specific procurement guidelines.

o Bank accounts should always be in the name of an organization, not an individual. All requests for bank withdrawals, like checks, should be signed by two people, or “two out of three”, whose names and signatures have been deposited at the bank by the senior NGO manager (the only one also allowed to make changes). Keep all money in the bank – never keep more than “petty cash” in the office. Chck books should be locked up.

o If you use cash, keep it secure, in a safe. Only one person, the “cashier”, should have access to the cash. Receipts should be kept for each cash transaction.

o Segregation of duties: separating tasks, for example making sure that no person is solely responsible for an entire transaction, e.g., from ordering equipment to signing the check paying for it.

o If there is a suspicion of fraud, call in a professional auditor. It may be necessary to involve the police. Making sure that any evidence is immediately secured, so the person who may have committed the fraud can’t destroy it.

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o Engage a good auditor to go over your books on an annual basis, make recommendations for system improvements, provide a “management letter” with findings and recommendations, and produce an audit report.

C. ADAPTING TO NEW TECHNOLOGY4

Why is this important?

There is always a danger that national NGOs in developing countries, especially when they come out of a period of conflict, feel completely isolated from the world around them – few resources, little international exposure, few connections with counterparts in other countries from whom they could learn, or with whom they could compare experiences.

Yet, with the expansion of the internet, this sense of isolation can make room for the possibilities of developing an extensive network in cyberspace, developing professional contacts and linking up with cutting edge new technology through a careful selection of relevant websites.

This chapter introduces some of the opportunities offered by the many sources now available on the World Wide Web, and makes the case that modern technology is accessible to all.

Why do we use technology in development?

* To do things that wee not possible before, for example, vaccinate against diseases

* To save, or make better use of resources

* To facilitate project management by strengthening communications, enhancing security, or streamlining operations through information technology

* To improve development programming, in areas such as water management, energy, income generation, communications and IT, social services and construction, transport

* Many of these technologies are interconnected: better water management, for example, leads to bigger crops for farmers, and thus improves income generation

Why then do new technologies so often fail in the field?

* There may be technical reasons: too complex for remote, rural areas; not reliable

* More likely, there are social and economic reasons:

o The technology is not sustainable, as no skilled people are available to operate and to maintain the systems – and supporting technologies may not be available

o The may be culturally incompatible with local societies (think of solar cookers)

o The funding to expand the technology is lacking

o Only few will profit from the innovation, lack of popular acceptance

o The benefits are seized by the well-off (e.g., drip hydration: few can afford the initial cost of equipment)

4 Based on a presentation prepared by Professor Dr. Jennifer Bremer, Associate Professor and Chair, Department of Public Policy and Administration, American University in Cairo

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What works?

* Things that can be built locally and maintained by the community’s residents, but only if they can become a local business – otherwise they do not spread

* Things that come in a box, don’t need assembly or maintenance, and offer good value (such as mobile phones, which create local businesses and are widely used)

How to find suitable technologies for development activities in the field?

* Don’t limit your search to Africa – much has been developed in rural areas of Asia

* Search the web for sites that offer information on sustainable, appropriate technology, such as:

o www.en.howtopedia.org 

o www.villageearth.org 

o www.kiwanja.net

o www.tacticaltech.org/guides/intro 

o www.t4cd.org 

o www.tsfi.org

o www.intrac.org

* Also look at the websites of some of the major international NGOs, such as Oxfam or Save the Children, and some of the UN programs and agencies, such as UNDP, UNICEF, the ILO, FAO, and WHO

Bottom line

* Technology can be a very good thing

* But only if it is adapted to the work environment

* And makes your project work better

D. PROVIDING LEADERSHIP5

Why is it important?

Any organization that wants to make a contribution to society needs to have a clear vision where it can have the most impact, and serve in the most meaningful manner. While it is important that the organization be democratic, and that all members have a voice, it cannot survive unless it has a clear structure, and unless it takes its decisions in a firm and consistent manner. To provide such structure and consistency, it needs to choose its leader. But what makes a good leader?

What is real leadership?

* We know it when we see it:

5 Based on research conducted by Alice Hecht for the International Peace Institute, New York

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o Vision, action, excellence, inspiration, motivation are all elements of good leadership that we think of when we try to define it.

o Leadership is a human quality that some of us seem to have more naturally than others but it does not mean that only a few gifted ones can become effective leaders.

How do we recognize false leadership?

* We have executives who by the nature of their position in the hierarchy of the organization have acquired the status of ‘leaders’. With the best possible intentions, they never seem to be able to persuade others of the importance and the validity of their vision and the strategy they have developed to implement it. They eventually use the strength of their position to impose their ideas on the various stakeholders. They do not command respect; people wonder how such a high-level leader can be so lacking in self- awareness and so out of touch with the organization.

Do you become a leader or a manager?

* Both require skills to get people to do a job in order for the organization to achieve its goals.

* The big difference: managers have to deal with the 'here and now' while leaders have the future in mind.

* Leaders provide a long term vision of what they want the organization to achieve. They see possibilities where others see problems.

* A leader’s behavior has to fully support the values of the organization. If the leader does not act out these core values, he or she will never be able to mobilize and inspire his or her staff.

It’s about values

* Every organization should have core values that it treasures and nurtures and that are recognized and shared by both staff and management.

* Integrity demands consistency between one’s beliefs, values and principles and personal behavior.

o Leaders have to symbolize integrity and accountability because the moral reputation of their organization depends on them.

* Leadership positions are transitional. You have not been selected for a life appointment.

o Your staff will quickly figure out whether you are using your current position to line up your interest. A leader has to show total commitment to the job he is in today. If you act with personal gain in mind, whether political or financial, your colleagues and your staff will pay lip service to your title but none will respect you as a leader.

* Most NGOs and civic organizations are built around moral values and democratic principles.

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o You know the difference between a dictator and a leader! A leadership style that relies on threat and abuse no longer works and administrative systems should be in place to take action against abusive behaviors.

o You need to exemplify the principle of respect for the diversity of points of view by surrounding yourself with people from a broad range of beliefs and cultures.

Leadership requires decisiveness and professionalism

* As a leader, you will be required to take decisions that are not always popular but are in the interest of your organization.

* You reach leadership positions because you are a decision taker, not because you are nice.

* The key is how you communicate and implement your decisions.

* Leadership demands professional accomplishment.

o You need to be able to understand the issues at stake and be able to analyze the information provided to elicit the respect of your staff.

* Leadership demands ethical behavior.

o Many leaders have tumbled because they did not adhere to ethical values or turned a blind-eye to behaviors among their close associates that were in violation of professional and ethical standards. The behavior of your advisers and staff reflects on the perception of you as a leader. Action must be consistent with statements.

What else?

* Consistency in mood and behavior are essential – losing your temper means losing respect.

* Make sure that your public persona matches a leadership image.

* Don’t let your private life destroy your reputation as a valuable member of the community.

* Set an example of a harmonious work environment.

o Great leaders carry around them an aura of authority and calm. They do not need to raise their voice to be heard. They know how much more they will get from their staff through respect and positive communication. A climate of fear and anxiety does not generate innovation or creativity.

* Leaders are persistent when faced with challenges and know how to remain calm in stressful situations and in moments of crisis.

o To be a successful leader, you need to navigate the stumbling blocks of the bureaucratic and political maze.

o Challenges are part of day-to-day life and even if you feel utterly stressed, keep above the fray. It will help everyone when you remain calm. Losing one’s temper does not motivate others.

* You can’t do it alone. Create an ad hoc board of advisors.

* Surround yourself with people from diverse background and who know more than you do.

* Make sure that you consider the agenda of all your constituents.

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* Listen and stay humble.

* Finally, let it go!

o It might be ‘your idea’ but if it was a good one, everyone will claim it as theirs and it will become part of the new organization.

o Nobody will remember how the organization functioned before! That will be the measure of the success of your vision.

Make sure you have followers!

* Involve your staff.

o People love to be given assignments outside their routine activities. And make sure to reflect their willingness to take on more work

* You need to be credible.

* Stay involved in all parts of the work of the mission.

* Give broad guidance but let your staff run with it.

* Keep up to date with the implementation of projects.

* Be the first to arrive and the last to leave.

* You need to be visible:

o You will not gain followers if you barricade yourself in your office and only a few chosen ones have access to you. You are the King or the Queen to them.

* Dedicate time and efforts to meet with your staff in their work space, not yours, especially those at the bottom of the hierarchy.

* Only promise what you can deliver.

o Be careful not to make a promise that you cannot deliver.

o Choose a level of expectations that matches your authority. Your staff will never trust you again if you promise and then can’t follow through.

* Accept responsibility.

o You are the leader and the buck stops with you. Share successes with everyone but take the blame and carry the responsibility for failure.

E. COMMUNICATIONS ACROSS CULTURES6

Why is this important?

We all live in a world of tremendous diversity. We travel, and meet people with different backgrounds, different habits, different religious values, and different political views. And even if we do not travel, all kinds of people come to us – different tribes, different nationalities. Living in isolation, dealing only with people who are exactly like you, is very difficult today. Learning to live in a diverse world is not only a matter of reluctantly accepting that not everyone thinks like us – there is also an enormous pleasure to be had from learning about different cultures: new music, new stories, new food, new ideas.

6 Based on lecture notes prepared by Professor Dirk Salomons, Columbia University, with inputs from Dr. Peter Slors, consultant.

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What is culture – how do cultures differ?

* What is normal? Look in the mirror, what do you see? You are normal, certainly, and you assume that people who do not look like you or think like you are not normal. But when they stand in front of the mirror, they also think they are normal, and they see you as different, not normal. So who is right? Is there anything like normal, or do norms just differ across cultures?

* If so, what is culture? Are you born with a culture, or do you learn a culture’s values as you grow up? A good definition is: the external, learned values and norms that shape an individual’s and a community’s behavior.

* Gurvitch, a sociologist, makes a distinction among four levels of culture. Imagine you travel to a new country. The first, upper level of that new culture is all that is materially visible, infrastructure, such as bridges, markets, schools, skyscrapers. You can see all that as you walk around. The second layer consists of the systems of a culture, its legal framework, educational system, business models, political parties, churches, etc. – you can go to a library and learn about that. The third layer of a culture is made out of its norms, habits, customs, attitudes on issues such as gender relations, how to bring up kids, how to relate to work, discipline – you can observe this as you live among the people in this new country. The fourth layer is the most intractable and most important one: values, beliefs, ideals, hopes, e.g., religion, patriotism, family. Thsat is also the most difficult layer to understand.

* The last two levels are the most interesting. You find that it is hard to understand or characterize one's own culture, unless you have experienced other cultures.

What does this mean in practice?

* Culture determines to some extent how you think, feel, and act. Gives you a frame of reference and identity.

* Same act or gesture can be interpreted in many ways If someone shows you the soles of his shoes, do you think that is offensive? If someone burps after eating, is that bad manners?

* Think: look at a highly paid executive, living in a mansion, taking home millions – is it someone you admire or despise? What one culture sees as ambitious, the other defines as selfish..

* Feel: eating lungs or brains – delicious or horrible? Would you eat a cat or a dog? A horse? Which cultures do?

* Act: hand something over with your left hand? Eye contact or no eye contact?

* Not only culture though determines how we act: there are common human characteristics and traits -- need for food, for a social role, security -- feelings such as joy or anger. They transcend cultures.

* Then there are individual traits -- introvert, extrovert, optimist or pessimist, cautious or impulsive.

* Culturally determined behavior is only the third dimension of people's action. Everybody cries. Everyone laughs, sings, dances.

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* There are also dimensions linked to what Goleman calls “emotional intelligence” such as 1) self-regulation or self-control, 2) motivation, ability to wax passionate about something, 3) empathy, ability to understand how others feel, 4) social skills, and ability to relate to other people. These are also not limited to any one culture.

How do you deal with the differences?

* We have to be careful in using cultural differences to characterize people. Thus: danger of stereotyping. You move from "Dutch are generally frugal and adverse to showing their wealth" to: "Dutch are stingy".

* Before you know it, you enter the realm of prejudice, and then it's a small step to racism, ethnocentric behavior and what have you.

* In international setting: people overlap different cultures, have taken on ability to move from one to the other.... Example: people treat their parents or family in one, traditional way, and use appropriate language – but in the office, they act differently. Men and women may interact professionally at work, but revert to more traditional ways in a private setting.

What models exist to map out cultural differences?

* Specialists in cross-cultural studies often use Gert Hofstede's theoretical model (Dutch sociologist, 1950s). Hofstede distinguishes among four dimensions: a) the extent to which a community will accept differences in power; b) the extent to which a society is risk-averse, tries to avoid uncertainty, ambiguity c) the extent to which a society has an individualistic or a collectivist/community-oriented attitude; d) the extent to which a society cherishes "male" or "female" values -- assertive, materialistic, self-centered versus nurturing, demure, spiritual.

* Hofstede did ratings per country -- concluded for example that the French accept a larger power distance (hierarchy) and avoid risk far more than the Dutch.

* Pitfall: there are so many variants within one national culture... so maybe one should provide a frame for analysis, rather than a fixed grid of findings, which can easily become prejudices.....

Alisjahbana’s model

* More appealing: the Indonesian philosopher S. Takdir Alisjahbana. Focus on values -how much importance societies attribute to them...

* "Values as Integrating Forces in Personality, Society and Culture", 1975

* Six core values:

o Solidarity, attachment to the group

o Power, through individual development or achievement

o Economic value, usefulness, "ownership" of natural resources

o Esthetic value, beauty, stewardship for natural resources

o Theory, the value of rational and objective reasoning

o Religion, the value of belief in invisible mysterious forces

* You can reduce this to three coupled sets of opposite values:

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o Social: individual power versus group solidarity

o Spiritual: theory versus religion

o Material: control of resources versus stewardship, aesthetics

Social values

* Makes a big difference whether a child is brought up sleeping alone in crib, all by itself in a playpen, developing skills through toys, or whether a child is carried on its mother’s back, sleeping with parents, observing relationships rather than objects -- "I" vs. "we"...

* Individual vs. group also: Western focus on individual heroes and captains of industry as role models, less emphasis on group achievements benefiting society (e.g., teachers and nurses are paid poorly). Western workers tend to be mobile, uprooted, while many countries in the global South focus on relationships and group unity, harmony.

* Cultures that value the group have extended family rules: family comes before business. If you have power in an organization, you owe your family jobs. Frequent family visits are obligatory --- You have to support your family financially, your income belongs to the group, the family, the clan, not to you individually. This fits in with discussion on merit vs. patronage...

* How they see us individualists: "should you really put your parents in an old people's home, warehouse them?"

* Different negotiation models – get to know people before you talk business.

* Other cultural dimensions: guilt versus shame. Responsibility vs. fear of exposure. Linked to individualism vs. group culture. "Loss of face". Important to leave someone's value intact, not to humiliate, shame them. Speaking the truth is less important than maintaining harmony. So don’t always expect straight answers.

Faith versus rationality, secular versus religious societies

* Some people believe that a higher being has given them clear rules and values to live by, and that these rules have been revealed in holy texts, be it the Koran, the Bible, Buddha’s teachings or any of the other great religious writings. They find it absurd to make a division between their religious life and their political or professional life – you do not leave you values and beliefs behind when you leave your home.

* Others believe only in reason, and argue that religion has nothing to do with daily existence. They believe in a strict separation of church and state, and in moral values separated from religion.

* When people with such different values have to work together, they need to understand that these differences are real, and they need to respect these differences. In general, it is wise to observe the values of the host country in this respect, and to realize that people will always act on the basis of their convictions. This does not make them “good” or “bad”.

Ecological values: consumption versus sustainability

* This is the battle between people who believe they “own the earth” and those who see themselves as custodians for future generations. The coping mechanisms of people affected by conflict may be highly efficient in using every scrap – be it the innards and

33

offal of animals caught for consumption, be it berries and leaves, be it herbs for

medicinal purposes, rain caught in reservoirs. When they see western wastefulness, they are appalled.

* Oil companies, embarrassed by so many environmental disasters, now realize that frugality is a good image builder and marketing tool – alternative energy, solar panels, wind power, electric cars – “green” offices, recycling of waste. This has become a matter of culture, and people who do not share those values are seen as “greedy, thoughtless”. On their part, they see those environmentalists as alarmists, tree huggers, people who block access to essential natural resources.

Other cultural divides

* Being versus doing – another cultural divide. Achieving, results, promotions, bonuses, public recognition for individual prowess. Or: letting things flow spontaneously, live for the moment, enjoy your coworkers, things evolve organically.

* Western perception of time: time as money, timeliness as a virtue, living as dictated by schedules and timetables. Five year plans, one year plans, short time contracts. Racing from the past to the future, no sense of "now" as the essence of living. Question - if you are invited for dinner at 8, when do you show up?

* Alternative: time as a flexible commodity, time for others an essential courtesy, results accepted as objectives but not time bound, the future as hard to define, impossible to plan for. Time is respect. In managing people, this distinction is crucial.

* Space: privacy versus common space. European vs. American bathrooms. The locker room syndrome. Distance -- how far away do you stand or sit when talking to someone? How awkward is to be jammed into an elevator or bus with others? Window view or corner room as symbol of hierarchical position..... Is your office a private place, do I knock? Executive office vs cubicle...

* Communication. Sending and interpreting messages, verbal and non-verbal. Think of clothing, fashion -- how complicated even within our own culture!

* Language: the meaning of "yes"... Try out several inflections....

* Two main groupings:

o Indirect language, circumspect, deferential, oral, flowery, formal (e.g., Buddhist or Islamic cultures)

o Direct language, precise or even blunt, written where possible, businesslike, informal (e.g., North America, UK, Netherlands -- note languages that have only one "you"!)

* Listening - it's an art. Moran, International Management, 1986, identified at least five types of listening:

o Unresponsive listening, absorbing information without evaluating it

o Defensive listening: seeking counterarguments as you listen, oozing distrust

o Offensive listening, seeking opportunities to attack wherever possible (political debates)

o Polite listening, inattentive, just waiting to get a word in yourself

o Active listening - listening for meaning and intent.

* Non-verbal communication. Body language. Facial expressions. Show emotions or not? Make direct gestures or not? Maintain eye contact or not? Firm handshake or not? Bow?

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How deep? Point at things, or not? How do you gesture "come here", with palm of hand showing or not? Remember: The finger!! Can get you killed in NYC... Touching people, not touching? Men holding hands?

* Colors as symbols... e.g., color for mourning -- black in Europe and North America, white for Islamic countries and Japan, purple for Latin America.

* The meaning of red: love and danger in Western countries, death in some African countries, evil in Indonesia and Thailand (don't use red pen).

* Green: safety in the West, Holiness in the Islamic world (see their flags-- don't use green in advertising).

* All this is essential when it comes to negotiations, e.g., access in a humanitarian crisis.

Some do's and don'ts:

* Don't rush to judgment. Observe, listen, look, ask.

* Find the human being inside the "other". Peel off the externalities, find the face, find the voice.

* Show respect. What is normal for the other? What will they think of my behavior?

* Ask yourself questions about the new culture: whom do people admire here, what do children learn, what is punished most heavily, what insults hurt most, what do men or women fight about, why do people commit suicide?

* Begin to see your own culture as equally unusual, observe how it influences you....

* Develop the skills and aptitudes that allow you to develop and maintain contact with people from another culture more easily -- patience, humor, restraint, acceptance of contradictions.

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MEM03001B Perform manual production assembly Date this document was generated: 27 May 2012

MEM03001B Perform manual production assembly

Modification History

Not Applicable

Unit Descriptor

Unit descriptor

This unit covers assembling components and/or sub-assemblies in a production environment and testing the components and/or sub-assemblies to ensure compliance with specifications.

Application of the Unit

Application of the unit

This unit applies to production-orientated assembly operations that are essentially manual in nature and do not require complex adjustments.

This unit should not be selected when Unit MEM18055B (Dismantle, replace and assemble engineering components) has already been selected.

Where the selection and use of tools is required as part of the assembly process, see Unit MEM18001C (Use hand tools) and Unit MEM18002B (Use power tools/hand held operations) as appropriate.

Band: A

Unit Weight: 4

Licensing/Regulatory Information

Not Applicable

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Pre-Requisites

Employability Skills Information

Employability skills

This unit contains employability skills.

Elements and Performance Criteria Pre-Content

Elements describe the essential outcomes of a unit of competency.

Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the required skills and knowledge section and the range statement. Assessment of performance is to be consistent with the evidence guide.

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Elements and Performance Criteria

ELEMENT

PERFORMANCE CRITERIA

1. Read and understand job sheets

1.1. Job sheets and instructions are understood and followed correctly.

2. Select assembly equipment and components

2.1. Assembly equipment is selected according to instructions or job sheets and used to standard operating procedures.

2.2. Components/sub-assemblies are obtained and arranged for assembly.

2.3. Equipment/tools are used in a safe manner.

3. Assemble

components

3.1. Assembly is produced following correct sequence of operations, using selected equipment to standard operating procedures.

3.2. Production data is recorded/input to standard operating procedures.

4. Perform tests

4.1. Assembly is tested/checked for compliance to job sheet requirements, following standard operating procedures as required.

5. Protect assembly from damage

5.1. Components and/or assemblies are handled and

stored safely, in a manner least likely to cause damage.

Required Skills and Knowledge

REQUIRED SKILLS AND KNOWLEDGE

This section describes the skills and knowledge required for this unit.

Required skills

Look for evidence that confirms skills in:

* following job instructions and standard operating procedures

* selecting and using assembly tools, components and sub-assemblies

* entering routine and familiar information onto proformas and other standard workplace forms

* following oral instruction

Required knowledge

Look for evidence that confirms knowledge of:

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REQUIRED SKILLS AND KNOWLEDGE

* application and use of assembly tools and equipment

* sequence in which the assemblies are to be performed

* storage location of the component/sub-assemblies

* required tests and checks

* required action for non-conformance

* potential damage through the use of inappropriate handling and/or unsafe storage procedures

* use and application of personal protective equipment

* safe work practices and procedures

* hazards and control measures associated with manual production assembly

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Evidence Guide

EVIDENCE GUIDE

The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

A person who demonstrates competency in this unit must be able to assemble components and/or sub-assemblies in a production environment and test the components and/or sub-assemblies to ensure compliance with specifications.

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Assessors must be satisfied that the candidate can competently and consistently perform all elements of the unit as specified by the criteria, including required knowledge, and be capable of applying the competency in new and different situations and contexts.

Context of and specific resources for assessment

This unit may be assessed on the job, off the job or a combination of both on and off the job. Where assessment occurs off the job, that is the candidate is not in productive work, then an appropriate simulation must be used where the range of conditions reflects realistic workplace situations. The competencies covered by this unit would be demonstrated by an individual working alone or as part of a team. The assessment environment should not disadvantage the candidate.

This unit could be assessed in conjunction with any other units addressing the safety, quality, communication, materials handling, recording and reporting associated with performing manual production assembly or other units requiring the exercise of the skills and knowledge covered by this unit.

Method of assessment

Assessors should gather a range of evidence that is valid, sufficient, current and authentic. Evidence can be gathered through a variety of ways including direct observation, supervisor's reports, project work, samples and questioning. Questioning techniques should not require language, literacy and numeracy skills beyond those required in this unit of competency. The candidate must have access to all tools, equipment, materials and documentation required. The candidate must be permitted to refer to any relevant workplace procedures, product and manufacturing specifications, codes, standards, manuals and reference materials.

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EVIDENCE GUIDE

Guidance information for

assessment

Range Statement

RANGE STATEMENT

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Components/sub-assemblies

Parts that make up the sub-assembly and components

Recorded/input

By means of production schedules, job sheets, checklists

Tested/checked

Carried out according to specification of assembled product

Unit Sector(s)

Unit sector

Co-requisite units

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Competency field

Competency field

Assembly

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Knowledge Base 6418:

Planning your first 90 days as the new Remedy administrator

Adopting a new role and supporting new applications can be a challenging experience, especially when there are unknowns about how and why things work as they do. The new administrator is justifiably conservative, afraid to make changes for fear of what it may break, and mostly reacting to problems as they appear. In contrast, the experienced Remedy administrator, if properly prepared, can be a sage agent of change within your organization, recommending, evaluating, and championing improvements in your system to reflect your evolving business needs. There is no single right path for going from one to the other, but a frequent element in the successful journey is a bit of up front planning, evaluating what roles will be required of the Remedy administrator and how best to facilitate them. A further reward of this exercise is that its outputs also facilitate training for your backup administrator, or transitioning the responsibilities to your replacement when you move on.

The paragraphs below discuss some ideas that you may want to consider in your development plan, and references additional resources, which may be helpful.

The good news is that being an AR System administrator is similar in practice to being administrator of other applications. The same traits which make a successful administrator are applicable: being thorough when investigating changes, being responsive to problems reported, deploying changes in an orderly fashion, following a plan of preventative maintenance, and preparing for disaster recovery.

Define your current environment

A good first step in assessing your needs is to define your present environment. This step may not be necessary if you have been involved from the beginning, but in most cases it's good to come up to speed on developments previous to your involvement. This may include putting together a summary sheet of application and product versions, collecting any requirements definitions, design docs or logs maintained either by your predecessor and/or consultants. Also gather product manuals, media, internal documentation, and training materials.

These are very tangible components and specific details. Another aspect of defining your current environment involves understanding the role of these applications within your organization, what needs they fulfill, what constituencies they serve, and how these will grow and change over time. What features or roles of the application are areas of upcoming development? When evaluating your current environment, try to get a grasp of both the size and shape of the application and administrative role, as well as a feel for its progression within your organization.

Define your roles and needs to fulfill them

The next step of the evaluation should investigate your needs to successfully perform your administrative duties. Below are some common administrator responsibilities.

- Application configuration such as adding categories, groups, etc

- Preventative maintenance, such as performance tuning, archiving

- Addressing reported problems by users

- Investigating and implementing application customization (in some cases)

- Deploying application changes or upgrades

- Backup/restore process

This needs assessment step is an important part of preparation, and should be based upon your role and current environment as discovered earlier rather than a generic list, but below are some suggestions to start with:

Familiarity with configuration tools

Need to know what configuration steps are interdependent, or related, what the tradeoff in choosing one

or the other

How do the different parts of the application work together?

Are there different modes or roles in the application?

What diagnostics are available to troubleshoot problems?

What diagnostic modes are available?

Where is the application and configuration data stored?

What tools do I need?

In preparing a list of needs, try to organize them into three categories: things you need to know from memory, things that can be available as reference material, and tasks or things you'll have to do once to be prepared.

Collect and assess resources

Once you've defined your needs, it's time to evaluate and collect resources to address them. These two steps, defining your needs and evaluating available resources, are often done jointly as part of general “looking around”, but arguably you'll get a more complete list of your needs by making that list first, without letting the most available resources steer your impression of your needs.

Generally available resources include documentation manuals, education courses, knowledge base entries, and a variety of other technical resources available from the Supportweb web site.

Electronic versions of the manuals are generally available for download from SupportWeb, where you can right click on the link and save the PDF file locally. Quite possibly, there will be additional manuals that are related, either high-level conceptual overviews or advanced topics such as the Programmer's Guide, which you will not have in hardcopy so perusing the Documentation area of the website is a good way to look at what resources are available.

Likewise, course descriptions are available via the web site. In considering what courses to attend, go back to your summary of needs, both in your roles and your categorization of needs (what you need to know from memory, vs. available as reference, vs. having performed at least once.) Courses provide coverage of the most frequently needed information, and provide a sound big picture of topics, laying down a foundation that will be augmented by the manuals and experience administering the system.

Let's say that in your evaluation of your current environment, needs and resources, you determined that your position will be an application administrator for the HelpDesk application, which will initially be deployed and administered pretty much out-of-box. But within the next few months after deployment, your role will grow to collect requested changes, to prioritize and implement them, and then to begin work on implementing the full Asset Management application. In the review of the available manuals and resources for the HelpDesk and Asset Management applications, and the Action Request System for those customizations, you found the former to be too point-specific to determine the best way to approach configuration, and the latter way too detailed to know where to start.

Since your initial role would be that of an application administrator, you may decide to attend the HelpDesk course first, or that one plus the Asset Management course, to get a feel for both though your focus on Asset will not come until later. The evaluation of your needs, assessment of other resources, and some preliminary thoughts on how to set it up, would make for a productive class as you would be able to address this questions during that time. Suggestions and ideas from the instructor or your classmates can provide insights if you come to class after a little thought into the issues.

Having decided to not attend the “Administering the Action Request System” or “Advanced Topics” courses just yet, you would exercise a bit of restraint in using those tools to make any customizations. That is, you would focus on other administrative duties and diagnostics, collecting requests and evaluating whether they can be done within the HelpDesk application itself. Perhaps a few months later, you would schedule these additional courses on development in the Action Request System, and armed with some specific requests and your own experience, you'd get a lot out of the courses. This is just one approach, and others of course exist, but it's an example of how to let your needs and your timeline determine what courses to take, when to take them, and how to get the most out of the experience.

Finally, as part of this step of familiarizing yourself with available resources, acquaint yourself with how to access Technical Support and the specifics of your Support Plan, as well as internal system support personnel like your system administrator or DBA. During what hours can you reach these resources, and can you reach them after hours? How should your report problems or make requests of these resources? What information will they need when you report problems to them?

Make a “To do” list

The last step in this process is to write a preliminary 90 days timeline for your preparation as the new Remedy administrator. Your timeline might include weekly tasks, or a “focus for the week”, and should include target dates for each task. Be sure to schedule classes early enough that you can position them appropriately in your plan. The discussion above and the steps you've taken for each step should you prepare to make an informed plan. Like all plans, it is subject to unknowns that can change it. Also, the 90 days timeframe if fairly arbitrary, it could be as short as 30 days, but be sure to give yourself sufficient time. Consider how much time you'll have available for your administrative duties, if you also perform other roles for your organization.

Remember that the objective is that at the completion of your plan, you'll be confident and accomplished in your role of administrator, can efficiently and eagerly address problem reports and change requests, able to broadly address questions and suggestions about the abilities of the system and your implementation to address your organizational needs. So write your plan to accomplish that goal.

Also see the following knowledgebase article for some ideas in preparing your plan:

KB 6366: Suggestions for setting up a maintenance plan

A couple of additional resources of interest to new administrators:

On Diagnostics:

KB 6278: A primer on reading filter and workflow logs

KB 6161: Setting up a dev server, how and why

On Customization:

KB 6216: A checklist for unit testing application customizations

KB 6196: Suggestions for rolling out application customization

KB 5451: Customization requests addressed to Support vs. Consulting

Knowledge Base 6366:

Suggestions for setting up a maintenance plan

As many experienced administrators will attest, having a sound maintenance plan is key to both preventing problems and resolving them quickly when they occur. Below are some suggestions for the new Remedy administrator in putting together a maintenance plan.

A starting maintenance plan like the one suggested below might be 5 to 8 pages in length, and be used both as a checklist of periodic duties and a place to collect important information on your system environment. Such a document can be a big help to your backup administrator, and facilitate working with tech support, your system administrator, DBA, network administrator, or other staff who are take care of your systems.

1. Summary sheet of application and tool versions

Troubleshooting often begins with specifying the versions of each component, so this will save a lot of time. The suggestion here is to keep a summary sheet of your current versions, along with how you find the version number. For example, you can check the version of most client tools by choosing a menu option, Help | About.

For other suggestions on checking versions see Knowledge Base (KB) entries: 5630, 5469, 5407, 5375, 5376, 5377, 4962, 4462, 2866

2. Summary sheet of startup locations, scripts, etc

For similar reasons, you want to record the installation directory of products on the server, and any startup processes or scripts that are part of the application. This helps to map what components on the system should be protected, backed up, and/or shared, and is especially useful if the system is shared with other applications.

See also KB 4177 for an example on the HelpDesk application.

3. System specs and names

The server name, fully qualified domain name, IP address, version of OS, server model, memory, disk space, and similar specifications on the AR Server and database server may be useful at different times for troubleshooting.

4. Disaster recovery/backup plan

Arguably the most important responsibility of an administrator is to be able to restore the system to a working state if some massive problem occurs. It's a rare occurrence, with Remedy or any other system, but precautions should be taken to ensure it can be done smoothly. If working with a DBA or system administrator, you'd want to ensure that they have all the information they need and that your roles are clearly defined.

Test your backup plan by restoring your production system to a test server to make sure it works as expected, and thoroughly compare behavior with your production server. Remember that backing up your database is of no value, unless you can successfully restore it, so a little practice is in order. Restoring your backup to a test server (instead of your production server) allows you to test without compromising your production server, validates your solution in the “loss of server” scenario, and can be very useful in testing customizations on your test server by mimicking production.

Consult your DBA or system administrator regarding database and system backup strategy and DBMS tools available.

5. Check diagnostic queues or logs

Several applications include diagnostic queues and/or logs. For example, the HelpDesk application writes files to the RappDir directory before processing them, and similarly, the CRM Solutions applications write records to the Run Process Queue form for processing. Checking the directory or form for collecting files/records, or failures when processing them, is a good idea to identify problems early. The ARServer maintains the ARError.log file for server errors, and your web server or database server may also have log files that are worth checking periodically.

6. Check available space on servers

Your database may allow for automatic growth to accommodate data, but you would still want to periodically check system drives for available space. A common problem to watch for is running out of swap space or space on the drive containing the Temp directory, which can cause a variety of strange symptoms. Your system administrator may have a more complete list of system checks.

7. Server restart procedure

To ensure you have all the steps, sequence, and checks all in one place, it's a good idea to write a server restart procedure for yourself so it is available when necessary. Typically, the process involves shutting down the services/daemons in a specified order, such as application services (rappsvc, bbqueued, etc) then AR server processes (arserverd, etc), and then database services if all on the same system. There may also be a step of verifying that each service/daemon is stopped, and then restarting them in the reverse order. Most important, remember to define a few tests to ensure everything came back up correctly, including tests of network connectivity if the system was rebooted.

If processes on other systems connect to the AR System server, such as a web server, then you may want to add a test of those systems to your restart checklist to ensure everything is working properly afterward. Typically a server restart would be done after hours to minimize the impact on users, so test thoroughly to avoid coming in the next morning to waiting problems. As a further step, you can consider automating the process, using available tools appropriate for your platform. But beware, you cannot automate the tests that everything came up properly.

See also KB 5332, 5113, 5059 that describe some examples, and ways of sequencing the server restart process.

8. Routine performance checks

You may want to define a process to either spot check performance, or check for performance impacting problems such as leaving logs enabled. This would be a time to evaluate your archive timeframes, the number of server processes you have defined on the server, system resources, and so forth. Performing this check every month or few months might be appropriate.

9. Location of docs and other resources

Collecting documentation and resources in a central location is a good idea so you can reference it, archive it, and augment it when new resources are available. Collect design documents, requirements specifications, implementation plans, and any documentation resulting from consulting projects.

10. Maintenance log

A good practice as an administrator is to keep a log of your activities, changes, and updates to the server. Keeping an electronic copy allows you to archive it in the location suggested above and keyword search for specific events. Maintenance logs sometimes reveal the root cause of an obscure problem, which might not be noticed right away. It is a particularly good idea when administration duties are shared.

11. Special notes or differences

It may make sense to break out a summary of some special circumstances from the maintenance log. For example, if there a feature has been customized for a different purpose, or if you've been told that a particular use is unsupported, it may make sense to keep a summary of these details. This might point to relevant details in an uncommon problem, and be a list of considerations when evaluating an upgrade plan.

12. Integration points to other systems

For similar reasons, you may want to keep a summary of integrations between AR System applications and other systems or applications. For example, if there is an integration between a non-ARS Oracle database, and a particular form in the AR System, a note of what forms, databases, and systems are involved will be a good reminder of this integration point. The details of a successful integration often fade with time until some unexpected change steps on it, so this is again a preventative suggestion to avoid such a problem.

Knowledge Base 6278:

A Primer on reading filter and workflow logs

Diagnosing many different kinds of application problems, questions, and concerns begins with recreating the behavior with the appropriate logs enabled and sending them to technical support. The reason this is such a common step in the troubleshooting or investigative process, is that it is deterministic - it tells you what happened, when, and with what data. Even more importantly, this diagnostic approach can localize a problem caused by customization, providing insight into functionality, which was done by a third party, a consultant, or a departed administrator leaving no documentation behind.

But creating logs is not a panacea. There are definite situations when it is more appropriate, things you can do to make the logs more easy to decipher, and tricks to finding what you need a bit quicker. And in the case of customization, logging may tell you what happened, without revealing how the intended functionality is meant to work, and why it differs in some situations. Nor does taking logs definitively correct the problem in a single step - it may localize a particular problem to a few workflow items you must look at in Remedy Administrator, or it may just suggest the next step in troubleshooting by localizing or ruling out potential causes of the behavior.

The paragraphs below are meant to share some of the history, science, and art of reading filter and workflow logs, and how they are used by technical support to diagnose issues. The topics covered include:

- A brief genealogy of logs

- Different kinds of logs, and when they are useful

- The basics of reading logs

- Sequence of operations

- Choosing the right text editor to examine logs

- Things to do to make logs more useful

- Using logs to diagnose a few common problems and questions

A brief genealogy of logs

The diagnostics available in the Action Request System have evolved over time, as the features of the product have grown, and as requested by Technical Support to drive quicker resolution to problems. Server side logging, including Filter, SQL and API logging have existed since very early versions. Client-side logging in Remedy User to record the activity of Active Links and Macros was introduced in version 3.2, see KB 6084 on how to enable these logs. Beginning with Action Request System 4.0, these active link and macro logging could be enabled by selecting an option directly from Remedy User (Choose Tools a Options, Advanced Tab, and enable the Workflow Logging).

This macro logging was fairly limited, in the sense that it would not report values passed to macros, an omission which was corrected in Remedy User version 4.03 and later. Beginning with Remedy User version 4.5, there was also introduced a method to record server-side activity in client side logging, thereby reducing the amount of information recorded to the logs which, as is discussed later, is quite helpful in reading log files. (This feature of Remedy User 4.5 is described in the ARS Server Administrator's Guide Ch 2).

Remedy client side API logging was available in Remedy User 4.01, as documented in KB 3456, but was subsumed by the Remedy User 4.5x client trace modes (enabling API logging in Remedy User 4.5x)..

On the server side logging capabilities, the Action Request System version 4.5 introduced a more scalable implementation of server side processing using threads, and with it, logging to track activity of multiple threads. Prior to this, server logs (filter, API, SQL, etc) would write to different log files with a file

extension indicating which server process handled the activity. For example, after enabling filter logging, you may see several files on your server: arfilter.log.390621, arfilter.log, arfilter.log.390635, and have to search all of them for the desired log segment.

As of this writing, ARS 4.52 is the latest version, but later versions may include additional logging features where appropriate, to facilitate diagnosizing new functionality. Since logging capabilities have changed, an occasional request from tech support is to use a particular version of Remedy User to enable logging and reproduce the behavior, as it gives better diagnostic information.

Different kinds of logs, and when they are useful

The most common logs requested are Filter and Workflow (Active Link/Macro) logging. There is a fair amount of overlap of functionality which can be implemented by Active Links and/or Filters, so a common request is enable both logs (on the client side, if on Remedy User 4.5) at the same time, and reproduce the behavior so both can be examined. The most common symptoms reported are either an error message or a field whose value is changed unexpectedly, and both of these (a Message action, a Set Fields/Push Fields action, respectively) can be implemented by either an Active Link or Filter. A Run Process action can also be performed via either an Active Link or Filter, so there are several cases where these logs are appropriate. Compare the actions available when creating a new Filter, vs. a new Active Link, and in all of these cases, it'd be appropriate to make concurrent Workflow/Filter logs.

Similarly, escalations can perform these actions, Set Fields, Run Process, etc, but these occur at a time independent of user activity, and the errors appear in the Arerror.log instead of being presented to the user. In these cases, an escalation log would be appropriate, typically running the log long enough for the error or symptoms to occur, and then disabling the log.

SQL logs record the SQL commands sent from the Action Request System Server to the database server, but does not include the results set returned from the database server. All of the data in forms, and the definitions of the forms and workflow objects themselves, are stored in the database so SQL logging generates a great deal of low level information. Interpreting SQL logs requires greater experience, both with the SQL language and familiarity with the Remedy data dictionary. The Remedy data dictionary is documented in the later chapters of the "Server Administrator's Guide" (ARS version 4.5), or the "Remedy Administrator's Guide Volume 2" (ARS version 4.0x) but it's not expected that customers are familiar with this low level information. SQL logging may be requested by Technical Support in situations of data corruption, and to troubleshoot searches which return unexpected results, or just sometimes when it'd be useful to search for a particular value that would only appear in the SQL log.

API logs show Remedy API calls made by a Remedy client (such as Remedy User, Remedy Administrator, Remedy Import, or any API program such as RappSvc, BBExecd, etc) to the Action Request System Server. Many but not all API calls have a subsequent SQL call to the database server. Exceptions include checking user or form information which may be cached in memory on the Action Request System, and consequently not require a call to the SQL server. The API calls are logged, but not all the parameters to the API call. API logs record low-level information, which is not expected to be interpreted by customers, except in cases where they write API programs. The Remedy Programmers Reference describes the Remedy API calls. Most commonly, API logs will only be requested when written to the same file as the SQL log, so the SQL calls can be correlated to an API call.

User logging records when users login and logout from the server. This may be useful to troubleshoot cases where the number of logged in users is different from that expected, but is mostly used independent of the other logs.

Thread logging is new in ARS 4.5x, to track thread activity. It is used primarily to investigate performance issues and the load balancing behavior of the ARS Server.

The basics of reading logs

There is a unique prefix at the beginning of each line, indicating what workflow log the line is from. This is particularly helpful when you enable multiple logs to a single file.

<FLTR> - Filter log

<API > - API log

<SQL > - SQL log

<WFLG> - Workflow log (ARS 4.5x, Active Links and macros)

<ACTL> - Active Links

<MACR> - Macro logging

Server side logs also include a server timestamp and login name of the user initiating the action on each line. Most of the information that will concern you, however, is further to the right so scroll right to see the workflow activity.

All logs begin with a line indicate the log has begun, and end with a line indicating it has been disabled. The looks something like the following:

<FLTR> /* Thu May 17 2001 10:52:03.9740 Demo */

<FLTR> Filter Trace Log -- ON

....<FLTR> /* Thu May 17 2001 10:52:03.9840 Demo */

<FLTR> Filter Trace Log - OFF

After this, they will include a line indicating the start of some operation. For example, if a user was to create a new request, there would be a line indicating the beginning of this operation:

Start filter processing -- Operation - CREATE

or

Start active link processing -- Operation - On Window Open

And a line indicating the end of that operation:

Stop filter processing

or

Stop active link processing - On Window Open

Note that in the Active Link/Workflow logs, the end line gives an indication of which operation is ended, whereas the server side logs just indicate the end of the current operation.

Immediately following the line beginning the operation are two or three lines with additional information about the operation. Below are three examples. The first is from a filter operation, selecting request # 7 from the AR 4.5 Sampler form. The second is an active link log segment, recorded when opening the base_ReportTemplate form in a "Create a New" window. The third is another active link log, but on the operation of selecting an item from a character menu. This sniplet tells us the name of the field with the attached menu, and indicates the menu is accessed when the form is open in a Create a New window. As we'll discuss below, information such as the form name, user name, and the Request ID will help us find the transaction of interest, by keyword searching for these values in the log.

<FLTR> Start filter processing -- Operation - GET

<FLTR> AR 4.5 Sampler - 000000000000007

<ACTL> Start active link processing -- Operation - On Window Open

<ACTL> For Schema - base_ReportTemplate

<ACTL> On screen type - CREATE

<ACTL> Start active link processing -- Operation - On Menu Choice

<ACTL> For Schema - base_ReportTemplate

<ACTL> Linked to field - Primary Audience (600001643)

<ACTL> On screen type - CREATE

In between the start and end line of the operation, you would see each workflow object defined to execute on this operation is checked, in the sequence defined by their execution orders. In filter logs, you will also see filters, which are disabled, but in workflow (active link) logs, active links, which are disabled, are not reported in the logs.

For each workflow object checked, it will report PASSED if the Run If qualification is true, and will show the If actions performed. If the Run If qualification is not met, the workflow will be reported as FAILED qualification, and any Else actions will be performed, if any are defined.

Example, from filter log:

Checking CreateMessage (500)

Passed -- perform actions

And from workflow log:

Checking base_Report: Window Close (0)

Passed qualification -- perform if actions

There can be multiple If Actions, or Else Actions, or both, defined for a filter or active link. In the log, they will be listed in the order defined in the workflow, with the first one being zero. Below, is an example of an Active Link, which performs three actions, a Set Fields action, a Push Fields action, and a Change Fields action.

<ACTL> Checking SeveralIFActions (0)

<ACTL> -> Passed qualification -- perform if actions

<ACTL> 0: Set Fields

<ACTL> Assigned To (4) = Demo

<ACTL> Status (7) = 0

<ACTL> 1: Push Fields

<ACTL> To Schema User on Server @

<ACTL> 2: Set Characteristics

<ACTL> For field -- Short Description (8)

<ACTL> Change field to read-only

Two important things to note about the log example above. First, it shows the actual values set, in the Set Fields action. This is information you cannot get by looking at the Active Link itself, since the value might be set from a user entered field, or from a different record than expected.

Second note: the partial log above does not tell you from where the data was pulled, or how exactly the Set Fields action is defined. The Set Fields action may have been hard-coded to the value Demo, or it could have been defined to be populated from a keyword, a user defined field, or a field on another form.

It also doesn't tell you if a pick list was presented to the user, if multiple entries matched, and the user selected one with a value of Demo.

Thus, making appropriate log files does not entirely replace looking at the workflow definitions, but it does help direct your investigation by recording what happened and with what data.

Sequence of operations

Below is an example of a filter log, performing a filter, which has several If Actions. Filter logs are more involved than Active Link logs, because filter actions occur in multiple phases. (See ARS 4.5 Server Administrator's Guide, Ch 5, for more information.) In the example, you can see that the Push Fields action is defined first in the filter, but the action is actually performed after the Set Fields and Message actions.

Checking FilterWithSeveralActions (500)

--> Passed -- perform actions

0: Push Fields

<deferred to phase 2>

1: Set Fields

Assigned To (4) = Myself

2: Message

Your request has been processed

/* Sun Jun 10

2001

15:14:51.8000

*/

End of filter processing (phase 1)

/* Sun Jun 10

2001

15:14:51.8000

*/

Restart of filter processing (phase 2)

/* Sun Jun 10

2001

15:14:51.8000

*/

0: Push Fields

<deferred from filter FilterWithSeveralActions>

Email Address (103) = youraddress@yourcompany.com

/* Sun Jun 10 2001 15:14:51.8000 */ Start filter processing -- Operation - SET

User - 000000000000001

The example above is simple, because there is just one filter defined on this form. In real world situations, the first instance of "0: Push Fields" and the second instance of it, where the action is performed in Phase 2, may be separated by several pages of other filters executing, and in Phase 2, there may be several deferred Push Fields actions.

There are a few tricks you can use to make examining the log easier. First, note the line:

<deferred from filter FilterWithSeveralActions>

when the Push Fields action is performed. Another thing you can search for is

0: Push Fields

though this may instead find another filter that has a Push Fields action defined in it.

Choosing the right Text Editor to view log files

All of the log files described above are text-based, and you can use any text editor to view them.

With experience, you'll find there are several features in a text editor that are useful in viewing log files:

Enable/disable word wrap - The server side logs in particular are very long, so if you have word wrap selected in your viewer it may be hard to see what is going on in the log, as a single line will wrap in your window to be two or three. Typically, it's preferable to disable word wrap and scroll to the right to see the other information. The ability to specify a smaller font may also be useful, so you can fit more per line.

Keyword search both forward and backward - Notepad allows you easily search up or down in the file from your current field selection, as does MS Word. Wordpad only allows you to search down.

Handling of LF characters - Log files generated on a UNIX server have line feed characters, rather than CRLF characters, to separate lines. If you copy that log file to a Windows system and view it in Notepad, the carriage return is not added, and the lines are not separated. Viewing the file in Wordpad makes it easier to read. If you copy/paste it into MS Word, and then copy/paste it from Word, the CR characters are added so you can "convert" it to a format easily viewed in other text editors.

How it handles the file in memory - when viewing huge log files, you may want to use Wordpad, or an editor which handles memory effectively, rather than opening the whole file in memory.

Bookmarks and color coding - Programmers text editors often include the ability to add bookmarks or define strings to be displayed in a different color. This may be helpful when viewing large log files, by having Start and End operations in a particular color.

Things to do to make logs more helpful

When making logs to investigate problems or scope changes, there are several things you can do to make them easier to examine. One is to keep them small, running the logs only long enough to capture the targeted behavior. Server side logs can become large in a short period of time, so enabling logs after hours or at a time when other user activity is minimized is preferable. The new ability to enable server-side logging from Remedy User 4.5 is a big help in this, allowing you to limit server logs to activity generated by a single user. When doing this, remember to leave the logs on long enough to capture the behavior, confirming its completion before disabling the logs. A new tool available with ARS 4.5x allows you to look at log files in real time, to facilitate this. See "Server Administrator's Guide page 2-19 for a description of using arlogdisplay.exe.

Second, make a note of the request ID, the login name of the user, and the steps performed when the logs are recording. This will make it much easier to search for the relevant part of the logs.

On ARS Server versions prior to 4.5, separate log files are generated for each server process, using the RPC numbers. For example, enabling filter logging on a server with MPSO (multiple fast and list servers enabled), may generate several log files in the same location named: arfilter.log, arfilter.log.390621, arfilter.log.390635, etc. Remember to search/send all of these log files, as the action may be distributed between multiple server processes, so examining all the log files is necessary to verify no information is lost. When convenient, you may want to temporarily disable MPSO (disable all fast and list servers) before making these server side logs on servers earlier than version 4.5. Typically, that is only practical on test servers.

Finally, make a note of the behavior, which you observe. Error messages and text may be helpful in searching the log. If there is a difference in behavior in two different situations, such as different users or different workstations, make two sets of logs, and note which went with which scenario. This is information, which is easy to capture at the time that you are making logs, but difficult to remember afterwards, so it's good practice to jot notes as you make the logs.

Using logs to diagnose a few common problems and questions

A few common scenarios where log files are useful to diagnose or investigate functionality include:

Scenario 1: A field is being set to a particular value on submit, but not sure why, or from where the value is being pulled.

Using logs: If the update to the field appears as soon as the request is saved, it may be a filter or an active link, which makes the update, but most likely not an escalation. (if the change only appears several minutes later, then it very likely could be an escalation.). To investigate: Enable both filter and Active Link logs, and recreate the behavior. In searching the logs, you may search for the field name updated, the field id, or the value. Remember that selection lists or option fields will show the value as the integer position. For example, it'll be set to 0 for the first value.

Scenario 2: An error or warning message appears when you try to make a certain modification to a request, indicating you must update some other field. You want to determine the source of this error, and may want to disable it.

Using logs: The message is given by a Message action. As with the previous example, it can be given by a filter, active link, or escalation, and the most likely candidates are the first two. Enable both filter and active link logging, recreate the behavior, and search the logs for either the error message, or ": Message" (that is "colon space Message").

Scenario 3: You want to customize or mimic the behavior of the application in one place, and want to know what is involved.

Using logs: Since filter and active link logs show you the workflow defined on the operation, even if it does not pass qualification, it is a more comprehensive view of what functionality may be involved in your change. If you enable logs and see that there is significant workflow behind the operation, you can better determine if the change is a simple one, or more of a project.

Ref:

See the "Server Administrator's Guide, Action Request System 4.5" Chapter 2 for additional information

and example of log files.

Knowledge Base 6216:

A checklist for unit testing application customizations

When changing or adding functionality to applications, an important step in the process is to consider the impact of unexpected data or user behavior, so you can design the appropriate reaction and develop unit tests which exercise them. That is, put yourself in the role of a quality assurance engineer, and think about different scenarios and corner cases, which might get you into trouble. In this process, you may decide some corner cases are too unlikely, or too innocuous to worry about, but your checklist can be a valuable tool to make sure you didn't forget any that are important. Below are some suggestions.

Unexpected/invalid data - What should happen if a field used in workflow is blank, or the wrong kind of data, or too long? If the process is user-interactive, you may want to design your workflow to first check for acceptable values, and give an error to the user otherwise. In other cases, a NULL value is acceptable, and the qualification of workflow is defined to not execute when the value is NULL.

Users populate fields in other ways - For example, you may define a dropdown character menu to assist users in selecting a value, but what should happen if they instead type in a value, or select an item from a pick list (assuming you've added one)?

Users access the data in different ways - Do your changes assume the user will access requests in a particular way, such as from a shortcut, by querying for a request ID, or opening it from a “control panel” type form? If so, what happens if they access them in other ways?

Users change data manually - Can users cause problems by changing data manually, after selecting it. For example, what would happen if a user selected a name from a pick list, then saw that it was misspelled, and manually updated it? Is that a scenario that you'd rather handle by appropriate user training, or should you protect against it?

If one match? Multiple matches? No matches? - In cases where data is accessed or updated from other forms, how should you handle these different scenarios? Your choices are easily configured with the workflow object, but you may want to add this to your checklist to remember to double check these settings, or set up unit tests to verify proper behavior.

Affect on different user communities - If your application supports multiple user communities, for example, users who submit tickets, users who work them, and managers who track metrics, which of these groups should be affected by your changes? Even if your modifications only target one of these groups, you may want to include unit tests to verify no adverse behavior to the others.

Affect on different clients? Platforms? Versions? - Should your modifications only apply to certain clients, or all clients? If you use web clients, such as RemedyWeb, ARWeb, or an application specific web client, you may want to unit test them. Also, if you have different versions of the clients deployed, you may want to check the behavior in them. You can use keywords such as $VERSION $ to have workflow distinguish between different versions.

Impact on email template or automatic submissions via API programs - Should your changes apply to these cases? If they should, remember to implement changes in filters instead of active links. If they should not, you can use some flag field set by these mechanisms, to have workflow distinguish and exclude these non-interactive submissions.

Affect on integrations - If you have integration to other applications, servers, or systems, you may want to include a test to ensure your changes do not adversely affect it.

Existing data - Test with some existing requests, to see that no problems exist here. Remember that when you create a new field on an existing form, all the existing records will have a NULL value for this field. You may want to define a one-time escalation to update those records with a default value, if appropriate.

What happens when an item is deleted? Archived? Reopened? - This is similar to the case of existing data. You may want to consider cases like this in your unit testing.

Timing considerations - This is a generic testing approach, but does not come up too much in Remedy development. You can specify an execution order in workflow, so paying attention to this during implementation usually prevents this from being an issue.

Frustrated user testing - If there are steps in your application which may take a bit of time, you may want to add a unit test where you act like a frustrated user, clicking on it repeatedly, just to see what happens. This is just for your own information, to see if strange behavior or confusing behavior results. That way you can note it before it is encountered in the field.

Slow system testing - Another good test, if some users have slower systems or small amounts of memory.

Performance impact - This is usually best handled in design, rather than unit testing. By using efficient queries, or considering the effect of big queries, you can avoid many performance issues, which might be hard to track down later. A performance issue is more likely to appear when there is a lot of data, so if you are making modifications to a system where there is already many requests, you may want to add selected unit tests to verify your design accounts for the performance concerns.

Knowledge Base 6196:

Suggestions for rolling out application customization

FQ: What practices are recommended to deploy application changes?

How you deploy modifications to your applications can have a significant influence how users receive the changes and whether new features are fully exercised. Below are some suggestions you may want to consider to ensure a smooth and successful deployment of application customizations. You may also want to use this process, perhaps in a more limited sense, when making configuration changes to applications when the changes would impact existing users.

Note: Investigating, implementing, and testing application customization are natural antecedents to deployment, but these topics are discussed in other places.

First and foremost, deployment of application changes should be scheduled rather than done on the fly. The process itself may be quick and easy, but the point of scheduling deployment is in preparation, and time for contingencies if problems are encountered. As some experienced administrators will attest, separating the steps of planning and implementation can in itself lead to more thorough preparation, and fewer hiccups in the process.

Typically, changes are deployed after hours or late in the day so the impact on users will be minimized, and you'll have plenty of time for unit testing, troubleshooting, or disabling changes if any unforeseen problems arise. If you have users who work late in the day, announcing the downtime beforehand is desirable, and can be done at the same time as notifying users of upcoming changes, as discussed in greater depth below.

At the time that you deploy the changes, you should already have a breakdown of what items need to be created/migrated to the server to implement the changes. This is information, which should be discovered in the process of scoping the changes on your development server, and documented in a design document. For example, you may have a requirement to add a notification to senior management in a particular case. Your design document may be just a summary of the requirement, relevant assumptions or notes, and a list of the items that implement the change, including filters, active links, fields, etc. This list should include the names of the objects to be created/migrated, so that you do not forget any required components during deployment. Remember to use a naming and numbering convention for your objects, so you can easily distinguish them from out of box objects.

After making the changes to the application, be sure to unit test the modifications. This is again a case where having a set checklist ahead of time is preferable. Arguably, the best time to create unit tests is during the design phase of planning the changes. This is the time when you can think broadly about the affect of the changes on different users, different aspects and uses of the application, and what can go wrong with the changes, and work through some scenarios. This preparation ahead of time, again, leads to more efficient and comprehensive execution during your deployment.

A frequently neglected step in the deployment process is communicating the changes to the affected users. Ideally, this information should be available prior to deployment or at least, at the time the users will first encounter the changes. This allows them time to review the changes, and raise questions or concerns when you can best address them. Without such notification, users may encounter the changes at differing times, potentially seeing them as glitches in the system, or misinterpreting their intended purpose.

To facilitate a complete and timely message, it's usually desirable to compose it beforehand rather than late in the day after deployment. You can always revise it if appropriate prior to posting.

Typical content may include a brief description of the intent of the changes, specific examples of how to access the new or changed functionality, and maybe a FAQ type summary of anticipated questions. This may also include a summary of organizational or procedural changes associated with the use of the application.

Two means of distributing this information to users are common - a broadcast email to user constituencies, or posting a link or message within a form of the application itself. On the former, maintaining a current list of users and their email addresses is greatly simplified if the email message can be distributed from the AR System. This assumes that users do not login as guest accounts and their preferred notification mechanism is Email.

On the latter approach, of posting a message or link in the application itself, this can be done in Remedy Administrator by adding a link or message area to a commonly used form, which can be updated with the latest updates on the application. Advantages of this approach are that the message will be accessible even by users who do not use email, and the information will be readily accessible from the application itself, when the information is needed. If an intranet web page is maintained for internal IT information, adding a link to a web page is an attractive alternative, as is makes the information readily accessible, can be referenced and updated easily, and can incorporate pictures and graphics to illustrate the

changes.

Finally, after you've completed the deployment, don't forget to update your change log, where you record your changes to the server. Keeping an accurate change log is important in troubleshooting, planning for future changes, and for bringing aboard new Remedy Administrators. If you've followed the suggestions above, the entry into the change log is straightforward. You should include the information from your design doc on the change and list of components, your standard checklist of unit testing after the

change, and optionally the notification sent out to your users to announce the change. Don't forget to include the date of the change, and any issues that came up during deployment.

Knowledge Base 6161:

Setting up a dev server, how and why

FQ: How can I set up a development or test server without costing a fortune? Why is it important?

A sound recommendation when customizing or troubleshooting applications is to first test changes on a development server. In some cases, a development server is not available, making a simple matter much more risky and difficult to perform. The paragraphs below examine some obvious and not-so-obvious advantages to having a test server, and some cost considerations in setting one up to meet your needs.

First, on the advantages of keeping a development server. Anyone who has made a simple mistake that had far-reaching consequences can attest to the necessity of having a test server to prototype changes and test routine tasks. A good example is writing an escalation or business rule that updates requests or sends notifications to managers, in which case misstating the qualification can cause a mass update or a flood of emails to affected parties. Testing it out first would avoid such errors.

Less obvious reasons to have a test server include more productive workdays, efficient troubleshooting, and better receptivity to changes in the user population. A test server allows you to make changes during regular business hours without impacting users, and while colleagues and technical support are available if problems or questions arise. Troubleshooting a problem on a test server is greatly simplified by having minimal user traffic during logging, and without waiting until after hours. Furthermore, testing changes on a development server first allows for more successful rollout of new functionality to users, since it can be fully scoped and implemented, and introduced in a way to minimize confusion. Finally, a test server is a required component to a healthy administrative routine of planning and preventative maintenance.

The ideal situation, if cost were no object, would be a test server that was a duplicate of the production server, with the same data, applications, hardware, and simulated user load. That would provide a very accurate test bed for changes, as well as investigating performance tuning, upgrade plans, and validating a backup/restore process.

But for minimal cost, you could instead set up an unlicensed Remedy server on a Windows NT/2000 workstation, either on the administrator's desktop or a reasonable Win-tel system, using an unlicensed database and the same application versions as installed on the production system. Though this system would have limitations, it would satisfy the need for the most common use of a test system - investigating and prototyping changes to application workflow.

At present, the AR System Server and all of the Remedy Applications can be installed and used without licenses. There are several restrictions with this: No more than three fixed user licenses can be assigned, no more than 2000 records can be entered per form, and you cannot define multiple server processes. The impact of this, though, is that you cannot simulate production levels of concurrent user activity, data load, or use some of the load-balancing and scalability features of the server and applications.

Similarly, several database vendors offer products, which can likewise be used in non-production environments, with restrictions in performance, data load, and available features. Personal Oracle or SQL Server Desktop Edition may be an economical avenue to setting up a test server. See your database vendor license agreement and documentation for details on restrictions, requirements, and limitations.

In practice, a viable test server with the entire suite of ITSM or CRM applications, the database, and all client tools can be installed on a typical administrator's desktop, if that system is a fairly recent system running Windows NT/2000, preferably with 512MB or more RAM. Depending on the other purposes of the system, acceptable response time, and productivity considerations, a better system may be warranted.

In planning what expense and effort to put into a development system, consider the following:

It's best to match versions of software installed on the production server, except when testing upgrades. Minimize differences between production and dev environments when possible. To this end, you may differ from the above mentioned minimum test server, if your server is on a UNIX platform, for example.

If the database version used in production and development servers is the same, you can also use the system for testing your backup/restore process. This too may warrant a deviation between the minimum test server approach described above.

If your testing requirements require you to exceed the 3 fixed user write licenses, or 2000 request per form limitation of the unlicensed Remedy server, you can request temporary evaluation licenses from Remedy. If you suspect this may be a future use of the test server, you may want to select hardware, which can support such testing, and investigate whether similar temporary licenses are available for the database (DBMS) vendor.

Use naming conventions that make it easy to distinguish between production and development servers. Always have client tools prompt for login, and you may want to use different account information for production and development servers, to minimize the likelihood of accidentally making changes to the production server.

If administration responsibilities may be shared with a backup Remedy administrator, then you may want to put the test server on a separate system from the administrator's desktop or create a Windows login for the backup administrator so they would have access to the test server during the administrator's absence.

Remedy Migrator is a separately sold product that facilitates easy movement of data and workflow between a test and production server, or reporting a list of differences in objects on the two servers. You may want to go cheap on the dev server hardware and budget for this tool or something similar if workflow changes will be the primary use of the dev server, or alternatively, invest in a more powerful test server and choose not to use Remedy Migrator, if backup/restore operations, upgrade planning, and performance testing are expected to be the primary purpose of the test server.

Remedy,a BMC Software company.Remedy,the Remedy logo and all other Remedy product or service names are registered trademarks or trademarks

of BMC Software,Inc.

© 2003 BMC Software,Inc. All rights reserved.

Kinetic Precipitation Model

User's Guide and Reference Manual

Alp H. Gencer

Version: 99.11.08

Contents

1

Theory

1.1 Full Kinetic Precipitation Model

1.2 Reduced Kinetic Precipitation Model

1.3 Algorithm of the Table Generator

2

2

3

4

1.3.1

Layout of the grid

5

1.3.2

Filling the table

6

1.3.3

Re-discretization

6

2

Using KPM

7

2.1

KPM commands

7

2.1.1

The defect command

7

2.1.2

The table command

8

2.1.3

Support commands

8

2.1.4

Using UNITS

8

2.2

KPM Operators and Functions

8

2.2.1

RKPM operators in DOPDEES

8

2.2.2

RKPM functions in Alamode

9

2.2.3

FKPM operator in DOPDEES

10

© 1997-98 by Alp H. Gencer

Chapter 1

Theory

Nucleation and growth processes play a critical role in a large range of materials processing systems. Classical modeling approaches divide such processes into two discrete steps, with nucleation and growth being modeled using fundamentally different assumptions, each valid only under idealized conditions. Thus, although these approaches are very useful for understanding qualitative behavior, they are unsuitable in many cases for the development of quantitative models, particularly under complex annealing conditions (e.g., multi-step anneals). Noting the power of modern computers to solve complex systems of coupled differential equations, we have developed a unified approach to modeling of nucleation and growth processes which extends nucleation theory to include the behavior of supercritical as well as sub-critical aggregates.

   This manual describes briefly the theory that's underlying the Kinetic Precipitation Model (KPM) and the specific implementation. User's that are only interested in using the model can confine themselves to Chapter 2, although a short look at this chapter should help to understand the parameters.

1.1 Full Kinetic Precipitation Model

The major challenge in modeling the evolution of precipitates and extended defects is the fact that different sized defects have very different properties. The Full Kinetic Precipitation Model (FKPM) [3] treats precipitates of different sizes as independent species (Li) and accounts for their kinetics by considering the attachment and emission of solute atoms.

   The driving force for precipitation is the minimization of the free energy of the system, where the free energy of a size 12 extended defect is given by:

AG?, C A = —nkT In (1.1)

C"

Here, Css is the solid solubility and AGenxc is the excess surface and strain energy of a size 12 extended defect.

   The main reaction in the system is the attachment and emission of solute atoms to and from precipitates. If In denotes the net growth rate from size 12 to + 1 we may write the

2

following equation:

DAn (CAfn — C72* fn+1) for 12 > 2

In = (1.2)

D Al (CA CiV2) for n = 1

Note that /1 is different from other terms, because it represents the rate for formation of the defects by reaction of two interstitials.

   The growth rate of precipitates is written in the form DAn, where An incorporates effects of both diffusion to the precipitate/silicon interface and the reaction at the interface. An is calculated based on solving the steady-state diffusion equation in the neighborhood of a precipitate, taking its shape into account. CC*, represents the interstitial concentration at which a size 12 precipitate would gain no energy by growing from size 12 to size 12 1:

AG.,)T1 —

= C" exp  (1.3)

kT

The evolution of the size distribution fn is given by the difference between the net rate at which defects grow from size 12 — 1 to (/72_1) and the net rate of growth from size 12 to + 1 (In). Since the fundamental growth process is the incorporation of a solute atom, the total change in CA includes a term from each growth reaction, giving a sum over In:

afn 

at — In

aCA

at

1.2 Reduced Kinetic Precipitation Model

The Full Kinetic Precipitation Model adds an extra dimension, namely precipitate size, to the problem being solved. To minimize the computational budget, Clejan and Dunham [1] have developed a more efficient version of this model, based on the same principles. Instead of calculating all the fn, one needs to calculate only the lowest three moments of the distribution (rn„ = Efl"_2 n2 fn, where i = 0, 1, 2) and make a closure assumption. In particular, the closure assumption used is that the distribution is the one that minimizes the free energy, given the moments. The resulting system, known as the Reduced Kinetic Precipitation Model (RKPM), has the following set of continuity equations:

07720

at

am, " r OC

= 2'/1 [(n + 1)' atA= Dv2cA - 211

at n=2

   Note that the sums over the In can all be written in terms of sums over fn and nfn, and hence can be calculated from the three moments. [1] However, these calculations require the solution of a non-linear equation system at every time step and each grid point. To make the simulation computationally efficient, the sums are pre-tabulated for a range of rn,,, values and interpolation from these values is used during the simulation. The resulting system is thus:

3

07720

D D

[A1Q24 — moC"'Yo]

[2A1C, + moCA71 — moC"72]

(1.6)

 at amt

 

 

 

at

am2

D

[4A1Q24 + moC A73 — mocss74]

at

OC A

am,

at

at

with

-yo A,67 f2

00

E Anfn

n=2

00

A167.1.2 + E An-1Q-1fn (1.7)

n=2

oo

= (2n ± 1)Anfn

n=2

00

A,67 f2 + E (2n — 1)An_167„,_ifn

n=2

1.3 Algorithm of the Table Generator

At the heart of the implementation of the Reduced Kinetic Precipitation Model lies the look-up table, that is used to get the values of 7, during the simulation. Since the 7, and the moments are related by means of strongly non-linear sets of functions, a table look-up and interpolation method is used to calculate 7,.

   The distribution of the defects over sizes is given by the function derived from the closure assumption:

fn = K exP I kT + zin + z2n2) (1.8)

with K, z1 and z2 are chosen given the moments. Obviously, K is just a normalization constant, hence we can normalize the distribution by dividing by mo. We denote normalized values with fn:

00

fn = 1

n=2

oo

Enfn

n=2

oo

En2 fn = Th2 n=2

(1.9)

4

make the griding equally spaced, and to correctly set the origin of the table, the following transformed variables are used as the base of the grid:

ml = log(rni — (mmin — 1)) fn. 2 = log (1h2 — mrin

2n 

1/74

(1 . 1 0 )

   This ensures that the lower left-hand corner of the grid is at (0,0). The grid is equally spaced with the fineness the user specifies.

1.3.2 Filling the table

The table is "adaptive", i.e. a grid point is generated only when it is needed. The lookup routine calculates first rn1,rn2 values and determines from that whether a table interpolation is needed or narrow routine will be called. The interpolation routine calculates fhl,fii2 values and finds into which box they fall. Then, the four grid points surrounding that box are requested from the table. If they had been previously generated, the 7, values are returned immediately, otherwise the table generator tries to generate these points.

   Since fhl,fh2 and z1,z2 are related through highly non-linear functions, a Newton-Raphson multi-dimensional root finder is used to find the z1,z2 values corresponding the requested point. Since Newton-Raphson may become unstable and not converge, we need a close starting point, like the next grid point to the one requested. So, z1,z2 values for that point are asked, and if that point hasn't been previously generated, first that point is generated. This search process continues until a generated point is found. The table always starts with one point, the lower left-hand corner point, which is filled during initialization.

   Upon exit, the generated portion of the table is written to disk, with the user-specified file name. So, successive calls to a table with the same parameters causes the table to be read from the disk, expanded if necessary, and then to be rewritten to disk.

1.3.3 Re-discretization

The sums that appear in the expressions for 7, (Eq. 1.7) can easily be calculated by direct summation over the range of sizes of interest. However, for systems where the sizes can get very large, such as dislocation loops in silicon, doing the sums from, say from size 2 to 1,000,000 becomes very cumbersome. We may gain in speed if we realize that for larger sizes the distribution will not vary considerably from one size to the neighboring one. Thus, we will only need some representative value of fn for a range of 12 values. We assume that the distribution is continuous for large sizes and then re-discretize it.

   The n, values that we will consider in the sum are found by the following procedure: We start with no = 2 and dno = 1, and find n2+1 = n, +dn„ where we multiply dn, by a constant factor a after each step, and go up to a user-specified maximum size nma„. We make sure that n, is always an integer. Then, each n, gets a weight in the sums depending on the range

it represents, w, = — n,_1). The sums then are performed with this weight.

6

Chapter 2

Using KPM

2.1 KPM commands

2.1.1 The defect command

The defect command creates a new defect/precipitate and returns it. It's syntax is as follows:

defect {cnstar script} {lambda script} Istepl Imaxsizel

   The {cnstar script} is a script returning Cn*/C". Any valid Tcl script can be used for C7CSS. When the script is invoked the Tcl variable n is set to the current precipitate size. The script should return Cn*C" as a function of the precipitate size. Note that Cn*/C" should be a function such that by definition:

11111 ss n = 1

n-*oo C

   Imaxsize I and I step I show rediscretization parameters (see section 1.3.3), which may be omitted. If they are omitted, I maxsize I defaults to 1,000,000 and I step I defaults to 0.1.

   The {lambda script} is a script returning the kinetic forward rate, again as a function of the precipitate size, n. For customary defect sizes, Tcl procedures have been defined. All procedures are called with a single argument, the precipitate size, and return An as determined by the geometry. Some preset Tcl variables can be used to determine the characteristics of the functions. In particular, KPM_capture should be set to the capture radius of the precipitate (defaults to 2.71A, the value for silicon) and KPM_lambda should be set to the interface reaction distance (D/k)at the precipitate/matrix interface. The default value is 2.71A. Here is a list of procedures for calculating lambda:

* KPM_Spherical: For spherical precipitates. KPM_rho is used to determine the density of solute atoms in the precipitate (defaults to 2.5 x 1022cm-3)

* KPM_Loop: For dislocation loops (disc shaped). KPM_loop_sigma is used to determine the areal density of interstitial atoms in the dislocation loop (defaults to 1.57 x 1015cm-2)

7

* KPM_311: For {311} defects (elongated planar defects). KPM_311_sigma is used to determine the areal density of interstitial atoms in {311} defects (defaults to 1014cm-2) and KPM_311_wmax is used to determine the maximum width {311} defects can attain (defaults to 90A)

2.1.2 The table command

The table command creates a new RKPM lookup table and returns it. Thus, the table command is only necessary when RKPM (and not FKPM) is used. It's syntax is as follows:

table "defect" "filename" Ibasell Ibase2l

   Here, "defect" is the output of a defect command and "filename" is the name of the file the calculated table will be written to. Try to use a consistent naming scheme, so that tables can be reused. I basel I and I base2 I are the grid spacings of the table in the fib' and fii2 directions, respectively. If omitted, they both default to 0.05.

2.1.3 Support commands

The moments command: This command is used (in DOPDEES) to initialize a moment variable. The syntax is:

moments I num I Imihatl I mO

   Here, 'num' indicates the number of moments to be initialized (3 for RKPM), I mlhat is the average size, and I m0 I is the zeroth moment. This commands returns a list of values (of length I num I) where each element has the value mori71 with 0 < i < I num I .

The KPM-init command: This command is used to reinitialize the KPM library.

2.1.4 Using UNITS

Included with KPM distribution is a package called UNITS, which has simple commands for resolving unit discrepancies. Please read the documentation for this package, which can be found in the directory KPM/UNITS.

   IMPORTANT: One thing to be careful is that if the user changes the unit system, the KPM library has to be re-initialized using the KPM-init command.

2.2 KPM Operators and Functions

2.2.1 RKPM operators in DOPDEES

Within DOPDEES, there are 3 operators that call the RKPM routines. Each of the 3 routines are used for different systems:

8

* op rkpm-dop #CA# #M# <CA> <DA> ICssl "table"

rkpm-dop is the basic RKPM operator and is used for systems as described in Chapter 1. #CA# is the name of the solute atom, and <CA> is a function returning its active value. #M# is a vectorial field (with 3 components) denoting the 3 moments. <DA> and I Cs s I are the diffusivity and the solid solubility of the solute, respectively. The last argument, "table" is the output of a table command.

* op rkpm-iv #CI# #CV# #M# <CI> <CV> <DI> <DV> ICssI "table"

rkpm-iv is a modification of the rkpm-dop operator for systems where the precipitate size can grow by incorporating one atom or shrink by incorporating another one. Extended defects in silicon, which can grow by incorporating interstitials or shrink by incorporating vacancies, are an example. The equations governing this system are slightly different.

* op rkpm-bic #CB# #M# <CB> <DB> <theta> ICssI "table"

rkpm-bic is for systems where two atoms form a precipitate, as in boron interstitial clusters (BnIm) or arsenic vacancy clusters (Asnlm). Kinetics and energetics of such systems are slightly different.

   Specifying any RKPM operator once updates the residuals of all components. More than one RPM operator may be specified, with different parameters and fields, so that two processes may be going on at the same time (e.g., interstitial agglomeration and dopant precipitation).

   In addition, there is a function that is written for systems where the rkpm-bic operator will be used:

* func kpm-theta <CIO> I CIO* I I kTalpha I I gamma I

This function returns the <theta> parameter needed for the rkpm-bic operator. <CIO> is a function returning concentration of neutral interstitials, I CIO* I is their equilibrium number, I kTalpha I is kT la in the model. The function returns:

(Cr  ) 7 C; exp 4a [ kT 1112\ go Cr  )1

2.2.2 RKPM functions in Alamode

Due to structural differences between Alamode and DOPDEES, RKPM has been implemented in Alamode as functions, rather than operators. They have same names and similar syntax as their DOPDEES counterparts. Since Alamode doesn't support field names that are vectors, all three components of the moment vector must be specified explicitly.

   Since the function can return a single value, a last argument comp has been added to each function. The function will return only the residual of the component indicated by comp, which then can be added to comp's equation using rhsFunct ion. The moments have component numbers equal to their indices, and the last component(s) is(are) the solute

concentration(s). It should be obvious that the function has to be used 4(5) times once

for each component to obtain a complete set.

9

* rkpm-dop:

Parameters: Mo M1 M2 CA DA Css table comp

CA DA are fields or functions.

* rkpm-iv:

Parameters: Mo M1 M2 CI Cv DI Dv C„ table comp

CI Cv DI Dv are fields or functions.

* rkpm-bic:

Parameters: Mo M1 M2 CB DB 6 Css table comp

CB DB e are fields or functions.

For all functions following arguments are common:

* Mo M1 M2 are fields indicating the three moments.

* C„ is a variable holding the solid solubility.

* table is the output of a table command.

* comp is a number indicating the component number.

Again, there is the kpm-theta function, which returns the e argument for rkpm-bic:

* kpm-theta:

Parameters: Co Ci*0 kTa 'y

Co is a field or function.

c70 kTa 'y are variables.

2.2.3 FKPM operator in DOPDEES

DOPDEES also provides a fkpm operator as the implementation of Full Kinetic Precipitation Model. FKPM uses many fields at every grid point and is thus much slower than RKPM, but it is much more stable and doesn't have the closure assumption of RKPM. The syntax is:

* op fkpm #F# #M# <D> ICssl defect

Here, #F# is a field with as many components as in the model, #M# is a field having two components for handling large sizes, <D> is the diffusivity of the solute atom, I Css I is the solid solubility and defect is the output of a defect command (when using fkpm there is no need for a table command).

10

Bibliography

[1] I. Clejan and S.T. Dunham. "A reduced moment based model for precipitaion kinetics and application to dopant deactivation in silicon". J. Appl. Phys. 78(12), 7327 (1995).

[2] I. Clejan and S.T. Dunham. "Interactions of point defects with boron and arsenic precipitates". In Process Physics and Modeling in Semiconductor Technology, Electrochemical Soc., 398 (1996).

[3] S.T. Dunham. "Modeling of the kinetics of dopant precipitation in silicon". J. Elec-trochem. Soc. 142, 2823 (1995).

[4] A.H. Gencer and S.T. Dunham. "A predictive model for transient enhanced diffusion based on evolution of {311} defects". J. Appl. Phys. 81(2), 631 (1997).

11

PROGRAMMER’S MANUAL - Fall 2009

The Smithers Community Radio Society is an incorporated non-profit that manages a locally supported, volunteer operated community radio station that provides programming with a focus on local artists, non-mainstream Canadian music, and commentary reflecting the community's diverse perspectives.

Mission:

To strengthen and enrich the Smithers community by delivering volunteer produced radio

programming.

On the web - www.smithersradio.com

Contact - PH. ?

Your Checklist as a Programmer:

* Talk to one of the CICK reps from the Programming Committee about your show idea, create an outline for your show for them to review.

* Become a member of CICK

* Create an Account on the webpage and request programming rights on this account [contact glen at info@smithersradio.com]

* Request a smithersradio.com email address [optional]. Send your email name request to

* info@smithersradio.com along with what your current email address is .

* Read the programmers manual – ask for clarification on any items you are not sure of

* Sign the programmers agreement and deliver to the station or a Board Member

* Schedule a training session before your first show, shadow a show and request assistance for your first show.

* Create a program and schedule it on the webpage.

TABLE OF CONTENTS

THE BRIEFING

Introduction

Mission Statement

Objectives

THE SAFETY MEETING

CRTC Rules and Regulations

Controversial Material Policies

Discipline

In Studio Conduct

House Rules

Volunteer Rights & Responsibilities

THE PROGRAMS

Programmers Responsibilities

CRTC Policies & Requirements

Canadian Content Defined

Programming Procedures

Playlists

Public Service Announcements

Station Identifications

Sponsorship

Program Scheduling

RESOURCES

Programming Standards

In the Quest of Excellence

Journalism Ethics

NCRA

CRTC

SOCAN

CRTC Defined Content Categories

THE BRIEFING

Introduction

Welcome to the Smithers Community Radio Society! We’re excited to receive your energy and creativity as an addition to our community radio venture. We welcome your active participation in all the fun and responsibilities that come being a member in our Community Radio Society. This manual is an essential resource for you. It outlines the basics of your involvement with the station and our governing rules and regulations. It will make reference to important policies that affect you and give you the rundown on how the society operates.

Station Milestones - The Smithers Community Radio Society has grown from a handful of keen volunteers who first met in early 2008. We formed a non-profit society and started fund raising and filling applications for the remainder of the year. We received our CRTC developmental licence on July 6, 2009, giving us the permission to broadcast until August 31st 2012 at 5 watts. With your support we will be requesting a higher wattage licence before our existing licence terminates.

Station Structure - Smithers Community Radio is a non profit soceity who elect annually a Board of Directors to govern the society, coordinate volunteers and hire staff. The lifeblood of the station, however, are the volunteers and programmers! There are many key roles involved in running a radio station and we encourage all programmers to take on a role of their choice.

Mission Statement

To strengthen and enrich the Smithers community by delivering volunteer produced radio

programming.

Programming Objectives

Smithers Community Radio’s programming aims to serve listeners of Smithers and the internet through balanced, thought provoking, entertaining and educational material which exposes listeners to new avenues of artistic and cultural expression, ideas, and deliberation.

1. Programming aims to provide for an audience diverse in ethnicity, culture, political, sexual and other orientations, age and physical and mental abilities.

2. Programming aims to provide material (spoken word, music and public affairs) which covers local, national and international components which have a local relevance, and may be difficult or impossible to access elsewhere.

3. Programming will not promote material, viewpoints or organisations that are sexist, racist, classist, homophobic, or have as their objectives to slander, belittle and malign groups or individuals.

4. Programming will not be created to promote an individual, group, product or business for the purpose of material gain.

5. Music programming aims to aid in the development of local and Canadian talent.

6. Music programming aims to reflect the diverse tastes and interests of our listeners and to expose listeners to genres and selections not heard on other local stations.

7. News and Public affairs programming aims to allow for the expression of a diversity of opinions, and the employment of diverse information sources and research methods. CICK does not take a unitary editorial stance on any given issue.

8. News and Public Affairs programming aims to cover issues and events not traditionally covered by corporate media.

9. Programming will meet our requirements as set by the CRTC and our license.

THE SAFETY MEETING

CRTC Rules and Regulations

As a broadcast license holder, CICK is bound by the laws and guidelines of the Canadian Radio television and Telecommunications Commission [CRTC], The Broadcast Act, and the Criminal Code of Canada. Despite allusions in the Broadcasting Act to freedom of expression on the air, there are a number of regulations that restrict certain things from being said on radio. Not only will the person who makes such remarks while on air be subject to legal action, but so will the station.

Educate thyself o programmer, on what these regulations are, and we shall keep the lawyers at bay, and our integrity intact.

The most important question programmers should ask themselves is:

NOT "Will I get in trouble for saying this?"

BUT "Why am I saying this?" or "What purpose does it serve?"

CICK will definitely support you in the face of a complaint if you can give good answers to

these last two questions.

CRTC regulations state that a licensee shall not broadcast:

1. Anything contrary to the law

2. Any abusive comment that, when taken in context, tends or is likely to expose an individual or group

to hatred or contempt on the basis of race, national or ethnic origin, religion, gender, sexual

preference, or mental or physical ability.

3. False or misleading news.

4. Any remark which advocates or teaches the use of force to change the Government of Canada anything against broadcasting regulations.

5. Any telephone interview or conversation or any part thereof with any person unless the person's oral or written consent to the conversation being broadcast was obtained prior to the broadcast, or the person telephoned the station for the purpose of participating in a broadcast.

This is not a definitive list. When in doubt, err on the side of caution, please.

Programmers should all be familiar with CICK materials on Defamation and Slander, Hate

Propaganda, Obscenity, Bias and Balance, and Copyright.

Policy On Airing Controversial Material

The following policy outlines the station's stance on the airing of controversial material.

1. We will not broadcast any verbal utterances that promote discrimination or hatred against an individual or group or class of individuals on the basis of anything that makes them an identifiable group.

2. We recognize that some of the verbal utterances that could be determined as falling within #1 are used in a manner to expose the audience to such discrimination in order to increase awareness and with the belief that this will facilitate the eventual eradication of these discriminations.

3. CICK recognizes that artists often use abusive terms in a satirical way but with the same intentions as outlined in #2. It is the responsibility of CICK to ensure that each programmer is able to judge to the best of her/his ability whether the artist's intentions are compatible with these clauses.

4. CICK is mandated to explore all kinds of music and auditory stimuli. These can often include texts of artists exploring the most difficult facets of human experience and behaviour, for example, sadomasochism, addiction, slavery, insanity, mass murderers, hatred, racism, sexism, torture, or genocide. We believe that such artists often act as the emotional catharsis of our society and as such have a right to be heard. CICK programmers must be prepared to justify the airing of such material by identifying its redeeming factors and by providing a context.

Discipline

Programmers are granted a lot of freedom on Smithers Community Radio. There are, however, various

conduct

guidelines and procedures that must be followed, as outlined in this manual, which, if followed, shall

result in only a very rare need for Discipline. However, the Programming Committee may

discontinue a programme if:

* The programmer does not show up for their show and does not give notice.

* Programming does not fulfill the programme proposal or description written up on the webpage.

* CICK depends on programmers following the key elements of these proposals/descriptions in

order to plan the programming mix to meet our own promise of performance to the CRTC.

* The programmer refuses to take responsibility for his/her on-air comments.

* It has become apparent that the programmer is stealing from CICK. Theft of our equipment and materials jeopardizes other programmers' opportunities to produce great radio.

* Drugs or alcohol are being used by programmers while doing their show. Not here, please.

* Broadcasting while intoxicated doesn't work. It is a federal office to be drunk on air.

In-Studio Conduct

Guest Guidelines

* A programmer may have personal guests in the station during their program. A personal guest is a friend or relative that you want to sit in on your program. Guests should not be heard in the background will you are on the air.

* When inviting other guests on your program for interviews, always use good judgment. -YOU

* ARE RESPONSIBLE (e.g. libel/slander, defamation of character) for the words expressed by your guest, during your show. If your guest were to maliciously defame someone or use obscene or profane language the consequences could affect them, you, any co-hosts and CICK.

* Forewarn your guests, let them know that you don't condone irresponsibility and unprofessionally. Protect yourself. It's good practice to get the person's address and phone number, before the interview, to reinforce how serious you are about holding them accountable for what they say.

Phone Calls and Complaints

Answer the phone as you would for any "real" job. Be courteous and don't argue with callers. Take a

message if necessary, and put it in the appropriate mail tube.

CICK House Rules

We all share our space and we are all volunteers – treat the studio with respect.

1. No dogs/cats/bikes inside.

2. No smoking.

3. No Food or Drink while using computers or studios.

4. Always sign up for equipment - book in advance to avoid disappointment.

5. Pack In & Pack Out all garbage and recycling materials. We do not have janitorial staff and other volunteers should not have to clean up after you.

Volunteer Rights and Responsibilities

Smithers Community Radio is a volunteer organisation. Although there may be, from time to time, some paid positions at CICK, the vast majority of us are doing this for their love and respect of community radio. All volunteers who intend to become on-air programmers, or who attend technical

training sessions (on sound equipment or computers), or otherwise benefit from CICK’s training

programmes, must be member of the society.

Volunteer Rights:

1. The right to be treated as a co-worker, not just free help, and shown respect.

2. The right to a suitable volunteer placement within the organisation, with consideration for the personal preference, skills and abilities, and temperament of the volunteer.

3. The right to inform him or herself thoroughly in the policies, procedures, and activities of CICK.

4. The right to adequate training to enable said volunteer to do his/her job effectively.

5. The right to offer suggestions to the organisation, and to have a voice in planning.

6. The right make a complaint to the Board of Directors, if the volunteer fells that his/her rights are being violated.

7. The right to follow the organisation's course of action with regards to harassment, grievance,

and resolution of differences.

Volunteer Responsibilities:

1. To offer to the organisation only that which you are willing and capable to provide. It is the volunteer's responsibility to live up to his/her commitments.

2. To ask about things you don't understand. Don't assume that information is necessarily forthcoming that will allow you to do your job better. If you feel uninformed, ASK.

3. To be reliable. If you said you were going to help out, just be there, please.

4. To follow CICK policies, with regards to representation of the station to the public.

5. To adhere to relevant station rules and policies and those set by the CRTC.

6. To respect the equipment and premises of Smithers Community Radio.

7. To contribute to the cleanliness and maintenance of the station when asked.

8. To represent the station only in the capacity in which you are knowledgeable or experienced. That is, if you are a programmer of children's music, do not represent the station's news department to the public.

THE PROGRAMS

Programmer's Responsibilities

Below are the basic responsibilities which each programmer must fulfill in order for the station to

operate smoothly for all volunteers and listeners. Programmers who are unable or unwilling to adhere

to these requirements may have their programme suspended.

PRESHOW

Research and prepare each show. Draft an outline for each programme noting:

* length and content of spoken word components

* musical selections categories (must meet the category requirements, see below)

* time allowances for Sponsorship mentions/messages, PSA's, and Station ID's (see below).

Ensure that the studio is equipped to handle all technical operations required

Ensuring that you are capable of handling the show's technical requirements. If the show

requires making changes to the on air studio set-up, the studio must be returned to its original

set-up before the next programme is scheduled to begin. Do not attempt technical wizardry

beyond your comfort level.

The programmer should arrive at least 10 minutes early to do check your mail slot for sponsor

logs to be read during your show and select appropriate PSA's from the clipboard

DURING SHOW

Read/play Sponsorship mentions/messages on time

Treat all equipment with respect and care

Do Station ID's at least at the top of every hour

Do not bring any food or drink into the booth

Read or play PSA’s

End your show with a piece of music, prepare the booth for the next programmer

AFTER SHOW

Ensure that the studio has been returned to its original set-up.

Clean up any mess in the studio

Complete Programme Playlist – this is a CRTC requirement! More information is found below.

Programming Policies

CICK's application to the CRTC for a community radio license includes the following commitments in CICK programming. Check every show you host for compliance with the relevant content requirements. Ask us if you're not sure how to apply them. Here are some definitions and minimum percentages of what CICK programmers are required to play in order to fulfill the conditions of our license. A more detailed guide is found in the Resource section.

Content Category 1 (Spoken Word): We are required to produce a minimum of 30% Spoken Word

programming, which includes News and all spoken word programmes.

Content Category 2 (Popular Music): This encompasses all "popular" selections in the

following summarised genres: Pop, Rock, and Dance; Country and country oriented, Acoustic

and Easy Listening. 20% of musical selections must come from a sub category other than

Pop, Rock, or Dance.

Content Category 3 (Special Interest Music): We are required to play a minimum of 15% of music s

elections from this category, which includes: Concert Music; Folk and Folk Oriented Music,

Jazz and Blues, Word Music and International, and Non Classic Religious music.

Content Category 4 (Show Promos with music and Station ID's with music)

Content Category 5 (Station and Programme Sponsorships)

Canadian Content Requirements

In the interest of promoting the Canadian music scene, there are required minimums for musical

selections that are to be met. These requirements are different depending on the Category of music

being played.

A minimum of 35% of the selections played of Category 2 music will be Canadian.

Category 2 Music - as defined by the CRTC - is Popular Music: Pop, Rock, Dance, Country,

Acoustic, and Easy Listening.

A minimum of 12% of the selections played of Category 3 music will be Canadian.

Category 3 Music - as defined by the CRTC - is Special Interest Music: Classical Concert,

Folk, Worldbeat, Jazz and Blues, and Non Classic Religious.

What is Canadian content? A music selection is considered Canadian content if it meets at least two

of the following four conditions (abbreviated as the "MAPL system"):

MUSIC - the music is composed entirely by a Canadian.

ARTIST - the music or lyrics are performed entirely by a Canadian(s).

PRODUCTION - the musical selection consists of a live performance that is: a) recorded wholly

in Canada, or b) performed wholly in and broadcast live in Canada.

LYRICS - the lyrics are written entirely by a Canadian.

There are a few exceptions to these rules, especially dealing with live music or older recordings.

Not all Canadian albums have a MAPL marker, so keep an eye out for other signs. The words

"SOCAN" or "FACTOR" indicate that the music fulfills CanCon regulations. SOCAN was

formed in 1990 from CAPAC and PROCAN; look for these words on older music.

Programme Procedures

Playlists

Playlists are to be filled in by every programmer for each show. This is a requirement of the CRTC and we are required to keep them for one year. Playlist templates are found on the website and can be typed in before, during or immediately after your show. They will include a listing of each track played during that show [performer, song title, album, label and category], the exact time of station identifications and which public service announcements are read/played. A tally should be completed at the bottom.

Public Service Announcements (PSA's)

PSA's are scripted or prerecorded mentions of events, meetings or services that CICK airs as a service to local non-profit or qualifying organisations. All programmers are responsible for finding time within their live programming for reading/playing between 1 and 3 PSA's. A clipboard is kept in the studio with

current PSA’s. Programmers must record the PSA's by number on their playlist.

Station Identification (Station I.D) Procedure

CICK is required by the CRTC to do Station ID's at the top of every hour. The Station ID is as follows: "You are listening to CICK on 93.9 FM, Smithers Community Radio in Smithers" or "You are listening to Smithers Community Radio Society, 93.9fm in Smithers". The exact time of the Station ID(s) read must be recorded on the Programme PlayList.

Sponsorships

Sponsorship is different from advertising in the same ways that non-profit community radio is different from commercial radio. Commercial radio plays hits that will bring listeners to their advertisers - the advertising is primary. We play sponsorships from our supporters to allow us to keep producing great radio - programming is primary. Sponsorship will account for a very large portion of CICK's budget and will be our biggest single source of revenue. For the good of the station it is very important that Programmers understand and fulfill all of their sponsorship requirements.

The Sponsorship Coordinator will supply each show with a Sponsorship Log Sheet outlining what sponsorship item needs to be read/played and at what exact time. It is essential that all

scheduled sponsorships are read/played. No fooling around!

Mistakes - So you missed a sponsorship spot. Don't do this. No, really...don't do this. If you are still on the air, attempt to fit the spots into the time remaining if reasonable, and write the actual time played on the log. If this is impossible or the show is over let the station manager know immediately. If the station manager is not around (late night show, etc.) Leave a note on the sponsorship log and call the station the next day.

Sponsorship Options

1. Bronze level - Station Sponsorship Mention- A simple statement of support for the station. This would sound something like “x-business is a supporter of Smithers Community Radio Society.” Sponsorship spots are scheduled in a run-of-station manner and will rotate throughout daily programming.

2. Silver level - Station Sponsorship Message- A 15 or 30 second live message. Sponsorship spots are scheduled in a run-of-station manner and rotate through the day.

3. Gold level - Program Sponsorship Mention- Sponsor a specific show. You receive a mention four

times per hour along the lines of “This program is brought to you by x-business.” The mention is read live by the programmer.

Program Scheduling

Programmers are responsible for what goes on-air during their scheduled time slot. This means that if a programmer is not able to host a scheduled show, it is their responsibility to either find a replacement host (who must be a trained CICK programmer), or to have a prerecorded show scheduled to play in their timeslot. You are responsible to have your show information on the web page and on the schedule.

RESOURCES

Programme Standards

No one was born with the skills to create quality community radio. We all have to learn them. As we are learning, we are also building an audience and a group of supporting sponsors in the community. TECHNICAL (dealing with the hardware)

* In a quality program:

* There is no variation in sound levels. Different levels from mics, CD's, sponsorships and other programme components requiring the listeners to be continually adjusting their volume controls are to be avoided.

* It begins and ends when scheduled. No filler is required.

* The sound quality of the various components (recorded music, taped interviews) is good

enough that listener enjoyment is not inhibited.

PERFORMANCE (vocal technique and manner)

In a quality program:

* The Canadian content and other housekeeping (station breaks, PSA's) are woven seamlessly into the show.

* The programmer does not give a "play by play" of studio happenings.

* There should be no phrases like "Here's a PSA", "That was some Canadian content"

* Cancon and other housekeeping is well distributed throughout the program.

* The programmer makes smooth transitions between talk and music without verbal fumbling.

* Dead air is to be avoided (but it's preferred to nervous babbling when something goes wrong).

* If you feel the urge to say "um", "ahh", "anyway" (or other verbal tics) say nothing at all.

* The programmer doesn't apologize.

* Talk is scripted, rehearsed, and dynamic. Names are pronounced correctly.

* Spoken word content is delivered in a clear voice at an easy measured pace.

* The host and guests are engaging and well spoken (knowledgeable).

* The content "tells a story" by making a coherent point and exploring a definite theme.

EDITORIAL (legal aspects and appropriate content)

In a quality program:

* The programming balance of CICK is contributed to by following the show's approve program

proposal/description. any changes (host, subject matter, musical genre) are cleared with the

* Programming Committee.

* Emphasis is placed on local artists and music from independent artists and labels.

* New ideas and new art are sought. Programmers chart new territory.

* The content and language used are appropriate to the timeslot and the audience.

* CICK's Promise of Performance to the CRTC is adhered to.

* The legal aspects of broadcasting are adhered to.

* Canadian content requirements are met or surpassed.

* Connections are forged with the community and with the radio station's greater context.

* Reference is made to relevant/related programming/services/events when appropriate. PSA's and promos for other CICK programmes are used to help accomplish this.

In Quest of Programming Excellence

Your Voice

Whether you're a DJ/programmer, a newscaster, an interviewer, or a narrator, the way you use your voice is vitally important. Since it is your only direct personal link with the listener, if you wish to be favourably received, you must think about how you sound. You may be about to make the most intelligent statement of the past century, but if you utter it anxiously and short of breath, no one's going to be impressed.

Your voice is affected by the nature of your thoughts and feelings. Fear, anxiety, depression, etc., will find their way into your voice. Aim for a confident yet personable tone. Exaggerating the emotion in your voice (within reason) helps to avoid sounding like you've been napping while the music was playing. Act naturally and don't be afraid to use body language. The listener can "hear" if you are smiling, waving your arms or excited. Small appropriate gestures will colour your voice and help you in telling your story.

Don't dwell on how many people will laugh at your slip-ups. The fact is, probably no one will. DJ's and programmers have always messed up, and they probably always will. The experienced ones just know how to carry on without getting flustered.

When speaking into the microphone, be relaxed. Talk as you would to a person sitting across from you. Speak clearly and at an easy, measured pace. Yes, you may be speaking to hundreds(?) of people out there, but please do not come off sounding like an obnoxious arena rocker. "Hellloooo Smithers, are you ready to ROCK!!?" is going to alienate most CICK listeners.

Music Mixes

We encourage programmers to emphasize music from independent artists and labels. We want to play music that people do not hear on other regional radio stations. Allow yourself time to sample new releases, listen to other CICK programmes, and make note of interesting music that is new to you. Think about your mixes. Are you looking for a smooth transition from one selection to the next? Or do you prefer to jolt your listeners with abrupt changes of mood/style/tempo. Think about the length of your song sets as well. If the sets are too long, listeners won't remember what was what when you give the titles and artists. If the sets are too short, it's difficult to develop any kind of flow.

With a little forethought, research, and creativity you can make a unique music program. You have a great deal of freedom - we depend on programmers to chart new territory. Don't waste this freedom by just playing your favourite songs and listing titles week after week.

Also remember that as a music programmer you are much more than just a disc spinner - You must use "verbal enrichment" to complete your show! See below under "Airchecks" for verbal enrichment ideas. One note on Canadian Content ("Cancon"): Don't talk about it - just play it. 35% for most music program types.

Reading

The most important part of reading on the radio is to sound like you understand what you're saying. It is possible not to understand what you're saying and still sound like you do, but for most of wee mortals, it definitely helps to have an intellectual grasp on the information.

You may want to "slash" your written copy. This means putting vertical lines in places where you can

pause for a breath / without sounding stupid / or at a loss for words. Pauses help you to maintain your rhythm. Rhythm is very important in announcing - jerky reading is painful to listen to. Tap your toe (quietly). Try reading to the beat of songs where appropriate. Play with rhythmic variations.

Always read your script over a few times before actually going on air with it, so that when you do read it on air, you don't surprise yourself with some bizarre sentence structure or a difficult word. Strive to create the illusion that you're not reading at all. If the wording is giving you trouble during practice, simply change it.

In the end, your radio voice is going to improve only with time and practice. Do airchecks often and consistently.

Writing

Writing that is intended to be said rather than read demands a different pace. Save the more

convoluted prose styles for some other medium. Verbosity and erudition usually translate into boredom and/or confusion on radio.

Write with your voice. Try first saying out loud what you want to express, and then write it down. Try to retain a personal tone, but at the same time, speak English. Thinking of your friends and others you know who may be listening might help you to find the right tone and style. However, steer clear of obscure language (for example, slang that only you and your friends know) and in-jokes. Most listeners will never have been to one of your parties.

Your writing (and your speaking) should sound like one community member speaking to other community members in a free exchange of ideas and art. That's what CICK is all about.

Listen to your show afterwards

The quality of your voice is something all too often overlooked. Listening to your show vital for good programming. You'll be surprised (and maybe horrified) to hear what you sound like.

Download your shows and keep copies of them to play again if you cannot make a show.

Make note of a few things when listening:

1. Enrichment (for music programs): Are you doing any? Or are you just reciting a shopping list of the songs you just played? Enrichment is a lot of things but, mainly in the CRTC's words, it's "interpretation of information in which explanation, extrapolation, opinion, or commentary is the primary element."

Be creative. Talk about what the music means to you. Read poetry. Announce upcoming CICK and community events. Put together sets of music based on a theme, or profile an artist, or a label or a trend. By increasing the enrichment portion of your program, you help CICK to meet its commitment to CRTC to program at least 30% of the broadcast week for spoken word. Some programmers find it useful to keep a book of ideas/information/funny snippets to use on air. You could script out your announce breaks but that usually sounds stiff. Point form notes work well for most people. Even if you don't use them it's nice to know they are there in case your mind suddenly goes blank. Some people can consistently ad lib interesting breaks but this is rather rare.

2. Your voice: This is your primary tool of communication with your audience. An awareness of how you sound is essential. Check your voice against the guidelines given above. Think about intonation, enunciation, and volume.

3. The quality of what you are saying: Do you make sense? This is important - after all, we are in the communications field. Quoting lengthy and obscure passages from works in a language not spoken by your listeners may be nice every once in a while, but can quickly become oh-so-tiring. Pretend you are in a lecture hall speaking to 300 people. Do they care what you are saying? Would you?

Journalism Ethics

* Seek Truth and Report It

* Journalists should be honest, fair and courageous in gathering, reporting and interpreting

information.

Journalists should:

* Test the accuracy of information from all sources and exercise care to avoid inadvertent error.

* Deliberate distortion is never permissible.

* Diligently seek out subjects of news stories to give them the opportunity to respond to allegations of wrongdoing.

* Avoid undercover or other surreptitious methods of gathering information except when traditional open methods will not yield information vital to the public. Use of such methods should be explained as part of the story.

* Never plagiarize.

* Tell the story of the diversity and magnitude of the human experience boldly, even when it is unpopular to do so.

* Examine their own cultural values and avoid imposing those values on others.

* Avoid stereotyping by race, gender, age, religion, ethnicity, geography, sexual orientation, disability,physical appearance or social status.

* Support the open exchange of views, even views they find repugnant.

* Give voice to the voiceless; official and unofficial sources of information can be equally valid.

* Distinguish between advocacy and news reporting. Analysis and commentary should be labeled and not misrepresent fact or context.

* Distinguish news from advertising and shun hybrids that blur the lines between the two.

* Recognize a special obligation to ensure that the public's business is conducted in the open and that government records are open to inspection.

* Minimize Harm

* Ethical journalists treat sources, subjects and colleagues as human beings deserving of respect. Journalists should:

* Show compassion for those who may be affected adversely by news coverage. Use special sensitivity when dealing with children and inexperienced sources or subjects.

* Be sensitive when seeking or using interviews of those affected by tragedy or grief.

* Recognize that gathering and reporting information may cause harm or discomfort. Pursuit of the news is not a license for arrogance.

* Recognize that private people have a greater right to control information about themselves than do public officials and others who seek power, influence or attention.

* Only an overriding public need can justify intrusion into anyone's privacy.

* Show good taste. Avoid pandering to lurid curiosity.

Act Independently

Journalists should be free of obligation to any interest other than the public's right to know.

Journalists should:

* Avoid conflicts of interest, real or perceived.

* Remain free of associations and activities that may compromise integrity or damage credibility.

* Disclose unavoidable conflicts.

* Be vigilant and courageous about holding those with power accountable.

* Be Accountable

* Journalists are accountable to their readers, listeners, viewers and each other.

* Journalists should:

* Encourage the public to voice grievances against the news media.

* Admit mistakes and correct them promptly.

* Abide by the same high standards to which they hold others.

The NCRA www.ncra.ca

CICK is a member of the National Campus/Community Radio Association. The NCRA is a not-for-profit national association of organizations and individuals committed to volunteer based, community-oriented radio broadcasting. The association strives to advance the role and effectiveness of campus/ community radio in Canada through government lobbying and advocacy. The NCRA tries to work closely with other regional and international community-oriented radio organizations to provide materials and networking services to its members.

THE CRTC - Canadian Radio and Television Commission

The CRTC holds CICK's license to broadcast, and has the power to revoke it for violations of the license terms. The Canadian Radio-television and Telecommunications Commission (CRTC) mandate is to ensure that programming in the Canadian broadcasting system reflects Canadian creativity and talent, our linguistic duality, our multicultural diversity, the special place of aboriginal people within our society, and our social values. At the same time, the CRTC must ensure that Canadians have access to reasonably priced, high quality, varied and innovative communications services that are competitive nationally as well as internationally.

CRTC Contacts: 1-877-249-CRTC (2782) (Toll-free) www.crtc.gc.ca

SOCAN www.socan.ca

SOCAN is an organization that administers the communication and performing rights of virtually the world's entire repertoire of copyright-protected music, when it is used in Canada. We collect licence fees, then distribute the fees as royalties to our members and affiliated performing rights organizations (PROs) worldwide. We ensure that music creators and publishers get paid for the communication and public performance of their music in Canada. To do this, we collect fees from individuals, businesses and organizations that play music in public, broadcast it, or communicate it by telecommunication. We do what's right for music.

CICK pays a percentage of our operating budget to SOCAN. We are audited by SOCAN twice a year to review content and playlists.

Public Notice CRTC 2000-14 Ottawa, 28 January 2000

Content categories and subcategories for radio

Category 1 - Spoken Word

This category includes the following two subcategories:

Subcategory 11: News

The recounting and reporting of local, regional, national and international events of the day or

recent days, with particular emphasis on the topicality of the events or situations selected, or on

the constant updating of information, or both as well as background material about current events

when included in newscasts but excluding weather, traffic and sports and entertainment reports.

Subcategory 12: Spoken word-other

All programming with the exception of material falling under subcategory 11-News and categories

2, 3, 4 and 5 (Popular Music, Special Interest Music, Musical Production and Advertising).

Category 2 - Popular Music

This encompasses musical selections in the genres or groups of genres set out below:

Subcategory 21: Pop, rock and dance

This refers to music from the entire pop, rock and dance music spectrum. Examples include all

types of rock music, including soft rock, hard rock, classic rock, heavy metal, modern rock,

alternative rock, jazz rock, folk rock, and blues rock. It also includes pop, rock & roll, rhythm &

blues from the fifties and sixties, soul, dance, techno, rap, hiphop, urban, and contemporary

rhythm & blues. This includes musical selections listed in charts such as AC (Adult Contemporary),

Hot AC, Pop Adult, AOR (Album-Oriented Rock), CHR (Contemporary Hit Radio), Alternative,

Modern, Adult Alternative, Active Rock, Dance, R&B, Urban, and Techno, compiled and published

by music trade publications.

Subcategory 22: Country and country-oriented

This includes country & western, country music recorded since the 1950s, new country, and other

country-oriented styles. It includes musical selections listed in Country charts compiled and

published by music trade publications.

Subcategory 23: Acoustic

This refers to music performed in an acoustic style that draws largely from Category 2 Popular

music genres.

Subcategory 24: Easy listening

Easy listening includes easy listening instrumentals, adult standards, middle-of-the-road and

beautiful music.

Category 3 - Special Interest Music

This encompasses musical selections in the genres or groups of genres set out below:

Subcategory 31: Concert

Concert music includes the whole spectrum of the "classical" music traditions, including opera and

operetta. It also includes extended dramatic excerpts of popular musical theatre when performed

in a full-cast version. It does not include orchestrations of "popular music", however classical in

form.

Subcategory 32: Folk and folk-oriented

This genre includes authentic, traditional folk music, as well as contemporary folk-oriented music,

that draw substantially on traditional folk music in style and performance. It includes old-time

country music recorded before the 1950s, and traditional bluegrass.

Subcategory 33: World beat and international

This genre includes world beat music that draws heavily from the traditional music styles of

countries throughout the world. It also includes music from the popular, folk and classical music

traditions of countries throughout the world that are played in instrumental form or sung in

languages other than English and French.

Subcategory 34: Jazz and blues

This includes both historic and contemporary music in the jazz and blues traditions. Examples of

music in the jazz tradition include ragtime, Dixieland, "golden age" swing, modern swing, bebop,

"cool" jazz, modern, avant-garde, Latin-oriented jazz, jazz-funk, soft contemporary jazz,

contemporary jazz fusion and other contemporary and emerging jazz styles. Examples of music in the blues tradition include classic blues, delta blues, Chicago blues, and contemporary blues music.

Subcategory 35: Non-classic religious

This refers to music of religious faiths. It also includes gospel music, hymns, and contemporary Christian music.

Category 4 - Musical Production

Musical matter broadcast by a station to identify itself or any of the components of its programming, including musical linking devices used to highlight elements of the broadcast service. For greater particularity, this category includes the following five subcategories: Subcategory 41: Musical themes, bridges and stingers

Musical selections used to identify particular program segments, or to extend programming

segments to the end of their allotted time as well as applause, brief musical and other sound

effects intended to punctuate the presentation of other broadcast matter, where this matter is less

than one minute in duration.

Subcategory 42: Technical tests

Broadcast matter intended to be used for the purposes of technical tests by the station or its

listeners.

Subcategory 43: Musical station identification

Short musical selections designed to identify the station by call letters or frequency.

Subcategory 44: Musical identification of announcers, programs

Musical material identifying and accompanying the use of specific announcers, programs or

elements.

Subcategory 45: Musical promotion of announcers, programs

Musical material promoting increased listening to specific announcers, programs or programming

elements.

Category 5 - Advertising

Broadcast matter intended to promote services or products offered to the public by persons

normally advertising in the course of their business. For greater particularity, this category

includes the following three subcategories:

Subcategory 51: Commercial announcement

A commercial announcement for a business, product or service, presented in return for

consideration.

Subcategory 52: Sponsor identification

Identification of the sponsor of a program or program segment other than under subcategories 51

and 53.

Subcategory 53: Promotion with sponsor mention

Verbal or musical material promoting increased listening to the station or to specific announcers,

programs or programming elements, when accompanied by the identification of a sponsor.

MRIA Comprehensive Marketing

Research Exam Study Guide

Marketing Research and Intelligence Association Date: December 13, 2010

MRIA Comprehensive Marketing Research Exam Study Guide December 13, 2010

Table of Contents

Acknowledgements i

Overview 1

A. About the CMRP and CMRE 2

A.1 How the Exam is Set and Administered 2

A.2 What the CMRE Tests 3

A.3 Qualifying to Write the Exam 6

A.4 Maintenance of Certification Program 8

B. Preparing for the Exam 9

B.1 How to Study 9

B.2 Levels of Understanding 9

B.3 Reference Materials 10

B.4 What to Study 10

C. Writing the Exam 20

C.1 What to Expect on Exam Day 20

C.2 Exam Writing Strategies 21

D. Are You Ready? 24

D.1 Sample Comprehensive Question (Part A) 25

D.2 Sample Single and Multi-Subject Questions (Part B) 26

MRIA Comprehensive Marketing Research Exam Study Guide December 13, 2010

Acknowledgements

The MRIA would like to thank the numerous volunteer members for the work they have put into updating this edition of the Study Guide.

i

MRIA Comprehensive Marketing Research Exam Study Guide December 13, 2010

Overview

This guide was developed to assist candidates with their preparation for the MRIA's Comprehensive Marketing Research Exam (CMRE). It is organized into four major sections, each of which is described briefly below:

Section A: "About the CMRP and CMRE" provides background on the CMRP and CMRE and describes the goal of the CMRE. It also describes the process by which the exam is set and administered and the requirements for writing the exam.

Section B: "Preparing for the Exam" provides information on how to study. It expands on the subject areas covered in the core courses and provides a series of questions that will help guide your study and ensure that you have sufficient knowledge to successfully pass the CMRE.

Section C: "Writing the Exam" provides additional background on what you should expect on exam day. More importantly, it provides a list of exam writing strategies that are essential reading for candidates who have not recently written an exam. For many candidates who already have good experience in marketing research, this is likely the most important section. The use of good exam writing strategies can have a significant impact on a candidate's grade.

Section D: "Are You Ready?" presents questions in the same style as you will see on the exam. These questions serve as a good test of whether you are ready to write the exam.

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A. About the CMRP and CMRE

The CMRP (Certified Marketing Research Professional designation) or PARM (Professionnel agréé en recherche marketing) was introduced to further the MRIA's goal of raising the level of professionalism within the marketing research industry. The CMRP accredits the knowledge of experienced marketing research professionals and establishes a career path for new researchers entering the profession. The CMRP designation is granted to those members who demonstrate that they have the required skills to practice as a marketing research professional. The Comprehensive Marketing Research Exam (or CMRE) is the primary way the MRIA assesses a member's ability to practice marketing research. Passing the CMRE is one of the requirements for obtaining the CMRP designation.

CMRPs are expected to have both the academic knowledge and the professional experience to practice in the field of research. The CMRE, therefore, focuses on testing a candidate's ability to apply marketing research skills in practice. It focuses on the issues and problems a practitioner will likely face in day to day practice.

This section:

* provides an overview of the process by which the exam is set and administered;

* describes the purpose of the exam and what it aims to test;

* outlines the criteria that must be met to be eligible to write the exam; and

* outlines the Maintenance of Certification program.

A.1 How the Exam is Set and Administered

The CMRE is set twice a year by the Dean of MRIA’s Institute for Professional Development and approved by the Certification Advisory Committee. The Certification Advisory Committee comprises the Chair of the Professional Development and Certification portfolio, four senior CMRPs and the Manager, Professional Development and Certification. The Committee is chaired by the Dean.

Exams are initially graded by paid markers, however, papers that are within 10% of a pass or a fail are reviewed by the Certification Advisory Committee and a consensus is reached to determine whether the candidates pass or fail one or both sections of the exam. The Certification Advisory Committee is also responsible for responding to appeals.

The names of the exam writers are never disclosed to the exam markers, the Certification Advisory Committee, the Dean, or the Portfolio Chair. Only the education portfolio office staff knows the names of the exam writers and provides the results to candidates. The only identification that appears on submitted papers is a candidate number. Anonymity of the candidate provides an additional level of fairness and independence to the grading process.

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When the results are released to the individual candidates, the names of all individuals who passed the exam will be published on the MRIA website and in VUE. Individuals who are not successful will be notified by the office staff, but their names will not be published.

All individuals involved in administering the exam including the Certification Advisory Committee, the proctors and the markers are all required to sign a confidentiality agreement.

A.1.1 CMRE Structure

The examination includes the following types of questions:

   * Part A: Marketing research proposal in response to a specific case study.

   * Part B: 20 to 25 single subject and multi subject short essay type questions. Candidates have 3.5 hours to write each part. Both parts are written on the same day in a proctored setting. Part A is written in the morning and Part B in the afternoon.

The passing mark for each paper is 65%; both sections must receive at least 65% to pass the exam. Candidates who fail the CMRE must successfully rewrite both sections at a later date if they wish to obtain the CMRP designation, unless they have received a mark of 80% or higher for the other section. In such instance, they will be allowed to rewrite only the failed section.

A.2 What the CMRE Tests

The focus of the CMRE is on testing a candidate's ability to apply their marketing research knowledge and skills to real world situations. This means that candidates must not only understand the theory but also have a solid understanding of how this theory is used in practice.

Marketing Researchers must exercise certain core competencies in performing professional work. These competencies are described in the Core Curriculum Competency Requirements document1. The CMRE tests the candidate’s ability to demonstrate the following interrelated skills:

1. apply the knowledge specified in the subject areas covered in the Core Curriculum Competency Requirements document;

2. identify, define and rank problems and issues even when not explicitly directed to them;

3. analyze information;

4. address problems in an integrative manner;

5. exercise professional judgment;

6. evaluate alternatives and propose practical solutions that respond to the users’ needs; and

7. communicate clearly and effectively.

1 The Competency Requirements document can be found at the following URL on MRIA’s website: www.mria-arim.ca/EDUCATION/PDF/CompRequireDoc.pdf

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Candidates must also possess the ability to complete all of the above under the prescribed time constraints.

A.2.1 Application of Core Knowledge

The CMRE consists of a series of questions designed primarily to simulate assignments that Marketing Researchers encounter in professional practice. Accordingly, the CMRE evaluates the ability of candidates to draw upon relevant core knowledge and to apply that knowledge to the specific facts and requirements presented in each question. Responding solely with memorized information is not sufficient to constitute a satisfactory professional response.

Questions are selected for the exam to ensure that they cover all the key areas of research in a balanced way. These areas include:

* professional practice,

* marketing research design,

* statistical methods for marketing research,

* questionnaire design,

* qualitative marketing research,

* marketing intelligence/competitive intelligence, and

* marketing management.

Please consult the Core Curriculum Competency Requirements document and sub-section

B.4 of this Study Guide for more details.

A.2.2 Identification of Issues

In identifying, defining and ranking problems and issues, candidates are required to take the following factors into account:

* the specific facts and other information explicitly or implicitly presented in the question;

* the stated and underlying requirements of the question; and

* the users’ explicit and implicit needs.

A.2.3 Analysis

Analysis is defined in general terms as the ability to break something down into its component parts. In critically analyzing problem situations that may be encountered in the CMRE, candidates are expected, as necessary, to be able to:

* distinguish between facts and opinions;

* identify cause-and-effect relationships;

* make logical inferences;

* identify relevant assumptions and underlying conclusions;

* identify limitations of given information; and

* distinguish relevant from irrelevant information and reliable from unreliable information.

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In some CMRE questions the problems or issues posed may be implicit, rather than explicit. In these cases, candidates will have to analyze the qualitative and quantitative information given in order to identify, define or diagnose the problems embedded in the question.

There is no necessary relationship between the depth of analysis and the type of question (comprehensive, multi-subject, or single-subject). Given the content and requirements of the question, candidates are expected to do as much analysis as is necessary to provide a professional response.

A.2.4 Integration

Integration may be defined in general terms to mean the forming or combining of parts into a whole, or the viewing of the parts of something as a whole. In the context of CMRE, integration has two distinct but interrelated implications: integration of knowledge and integration of issues.

The CMRE emphasizes the integration of knowledge from more than one subject area or topic. Candidates are required to combine knowledge of topics from different subject areas, or knowledge of different topics within the same subject area, and apply that knowledge as a whole to the solution of problems.

Integration in response to CMRE questions, however, goes beyond the integration of knowledge from more than one subject area or topic. As stated earlier, CMRE questions are designed to simulate assignments that Marketing Researchers encounter in professional practice. So as with real problems, candidates should consider that each question may contain a number of issues that must be examined in relation to one another and as a whole.

A.2.5 Professional Judgment

Judgment can generally be defined as the process of making a choice or decision leading to action. Professional judgment is judgment exercised within a framework provided by applicable professional standards and involves the following:

* a meaningful choice;

* a process from perceiving the problem to making the decision;

* expertise, due care, and professional objectivity; and

* recognition of situations where referral to specialist is appropriate.

Candidates are expected to exercise professional judgment to the extent appropriate when responding to CMRE questions. Frequently there is no single, irrefutable answer to a business problem, so the exercise of professional judgment becomes critical.

A.2.6 Responding to Users’ Needs

In many instances, the preparation of a satisfactory professional response requires the evaluation of alternatives and the presentation of practical solutions and recommendations that meet, to the extent possible, the requirements and objectives of the

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parties to which the candidate is responsible within the context of the question. These user needs will vary with the scenario presented in each question. The candidate must determine the effect that such requirements and objectives have on the priority of, and the approach to be taken to the issues presented.

A.2.7 Effective Communication

A requirement in the work of Marketing Researchers, and therefore a fundamental skill tested in the CMRE, is the ability to communicate effectively. Limited in scope to written communications, the CMRE evaluates the ability of candidates to convey their ideas clearly, concisely, and logically. Effective communication in responding to the questions necessitates that candidates:

* present ideas in a logical sequence;

* clearly explain the application of principles and theories; and

* present arguments that are relevant and reasoned.

Communicating effectively means conveying relevant information in a manner suited to the role assigned by the question and designed to meet the users’ needs. If, for example, the question requires the candidate to write a memo to a fellow Marketing Researcher, then it may be acceptable to omit explanations of technical concepts/terminology that the researcher is certain to know. If, however, the question requires the candidate to write a report to a non-researcher, then more explanation may be necessary and non-technical language should be used to the extent appropriate.

It should also be noted that communicating a complete response requires much more than providing the correct answer. In fact, a correct answer may only represent a small portion of the overall score for a question. The bulk of the grade will be awarded to the identification and analysis of the issues and a rationale that clearly supports the answer provided.

Although in practice formatting a document is important when presenting it to a client or end user, less attention will be given to this aspect of communication on the exam. Given the limited time and wide variety of questions covered on the single and multi-subject questions, the communications component of the grade for each question will focus entirely on the bullets mentioned above under this sub-heading. For the case study, the emphasis of the communications component of the grade will also focus on the bullets above but some points will be awarded for a properly formatted response.

A.3 Qualifying to Write the Exam

The core courses in the MRIA Institute for Professional Development program cover the key theory required to be successful on the CMRE. They are all taught from a practitioner perspective and focus on how the theory is applied to real marketing research problems. The goal of the MRIA Institute for Professional Development program is to ensure that candidates are ready to write the exam.

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Although the MRIA Institute for Professional Development program is focused on application, there are limits to what a candidate can learn in the relatively short length of the individual courses. The qualification requirements established by the MRIA require both academic knowledge and professional experience.

The CMRE is intended to confirm that a candidate has the skills and experience that a CMRP should have. The purpose of the qualification criteria is to ensure that candidates have the skills and experience required to be successful on the CMRE.

There are two paths to be qualified to write the CMRE:

1. Complete the MRIA Certification Program

* Possess a university degree from a recognized university.

* Complete the MRIA’s Institute for Professional Development 12 Core Courses or equivalent2.

* Have a minimum of two (2) years of marketing research work experience.

2. Challenge the exam (write the CMRE without completing the 12 Core Courses):

* Have successfully completed the MRIA Core Course 102-Ethical Issues and Privacy in Marketing Research.

* For candidates holding a university degree from a recognized university: Have a minimum of eight (8) years of work experience at a professional level in the marketing research and intelligence industry at the time of application.

* For candidates without a university degree from a recognized university: Have a minimum of twelve (12) years of work experience at a professional level in the marketing research and intelligence industry at the time of application.

Given the focus of the CMRE on a candidate's ability to apply marketing research theory in practice, it is essential that a candidate obtain the appropriate level of experience. To be successful on the CMRE, it is recommended that, at a minimum, a candidate's experience provide them with the opportunity to repeatedly apply most of the A and B level topics included in the Core Curriculum Competency Requirements document. Candidates should, therefore, seek opportunities to practice as many of these areas in their jobs as possible and should consider gaining experience in the majority of the key areas before writing the exam, even if they already have the minimum experience required to write the CMRE.

2 For further details on equivalencies and qualifications to write the CMRE, please visit the MRIA Institute for Professional Development section of the MRIA web site at: http://www.mria-arim.ca/EDUCATION/CMRE.asp 

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A.4 Maintenance of Certification Program

As of January 2011, all CMRPs are required to adhere to MRIA’s Maintenance of Certification Program (MCP) to maintain their designation. The purpose of the MCP is to ensure that all holders of the CMRP are pursuing continuing professional development throughout their careers. Most, if not all, professions require continuing professional development of their members.

Several principles were followed in developing a framework and a process that would enable CMRP Maintenance of Certification to be implemented. These principles can be found on the MRIA website at http://www.mria-arim.ca/EDUCATION/CMRPPoints.asp.

Professional development is measured by a point system. This point system is simple: CMRPs must accumulate 50 points within a two-year period, from January to December. The system is flexible and, above all, depends upon the CMRP holder to chart a course of action for their own professional development, whether they are a recent CMRP or an established industry leader. Points can be accumulated under any or all three of the following areas: learning, leadership skills, and knowledge sharing (see http://www.mria-arim.ca/EDUCATION/CMRPPointsChart.asp for details).

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B. Preparing for the Exam

As described in the previous section, the CMRE focuses on testing a candidate's ability to apply marketing research knowledge as opposed to simply testing the candidate's understanding of marketing research theory. That means that a candidate must not only understand the theory but also know how it is used in practice. The best preparation for someone planning to write the CMRE is to obtain as wide a range of experience as possible. If your experience has been in one area of research or you have more recently focused on one area of research, it is advisable to try to update your experience working in other areas of marketing research and intelligence before you sit the exam. If you have had the opportunity to work on a wide variety of research projects, you are likely already very well prepared to write the exam. Still a quick review of theory will help you remember why we, as researchers, do certain things the way we do and that will allow you to include a strong rationale in support of your answer.

This section:

* provides suggestions on how to study for the CMRE;

* outlines some of the key things you should know under each area in the Core Curriculum Competency Requirements document;

* includes references to relevant external readings.

B.1 How to Study

If you have a good understanding of marketing research theory and have had sufficient professional marketing research experience, you will likely already know most of the answers to the questions on the CMRE. The purpose of your studying should be to review the theory that supports what you know so that you can include this in your responses. If much of your experience has focused on one area of research, then you are advised to pay closer attention to the areas of which you have less experience.

A good approach to start is to look at the key areas listed in the Core Curriculum Competency Requirements, as well as the topics covered in the core courses and make a note of the topics where your understanding may not be at optimum level. Areas you mark off should be priorities for your studying.

In your studying, you should focus your efforts on understanding any theory with which you are not already familiar. Simply memorizing definitions or lists will likely be of little value when writing the CMRE. Exam questions will primarily ask you to apply concepts to situations that a researcher would likely see in practice.

B.2 Levels of Understanding

The range of services provided by Marketing Researchers has expanded considerably in recent years. It is not possible for entry-level Marketing Researchers to have mastered all potential areas of service within the prescribed term of practical experience and education.

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In fact, even the most experienced Marketing Researchers are not likely to have mastered everything.

The CMRE, therefore, focuses on testing the skills and knowledge that are most fundamental to the practice of marketing research, as described in the Core Curriculum Competency Requirements document.

B.3 Reference Materials

Many books have been written on the topics of marketing and marketing research and most of them would provide solid background on marketing and marketing research for the CMRE. The textbook we are recommending is Modern Marketing Research Step-by-Step, by Chuck Chakrapani and Ken Deal.

This book, which was the original textbook of choice for the Institute and its predecessor, the School of Marketing Research, was completely revised by the authors in the summer of 2010. Two chapters on advanced analysis have been added at the end of October 2010. The textbook will undergo further updates in the coming years to keep in sync with evolving course requirements. The text can be accessed online completely free of charge at any time: http://www.chuckchakrapani.com/StepByStep/default.asp. Alternatively, a printable copy of the manual or of each chapter can be obtained for a small fee.

Another useful general resource is: Marketing Research: An Applied Orientation, by Naresh K. Malhotra. This book is available on the Pearson education website or through an online bookstore such as Chapters.indigo.ca or Amazon.ca.

A few areas of the curriculum not covered off in detail in Modern Marketing Research Step-by-Step are Professional Practice, Marketing Management, and Market and Competitive Intelligence. Suggested reference materials for these topics are provided by the core courses’ instructors. Moreover, the courses’ handouts constitute useful reference materials.

For Marketing Management, any university level marketing textbook such as the Canadian editions of MKTG, by Charles W. Lamb et al. (2010), or Marketing: The Core, by Roger Kerin et al. (2009), will have the theory you need on the key marketing concepts listed in the Competency Requirements document.

B.4 What to Study

B.4.1 Professional Practice

Professional practice is fundamental to the CMRP designation. It is important for all candidates to fully appreciate the fact that the CMRP is an MRIA designation. Whether candidates have received their formal training from the MRIA Institute or from an educational institution, they must be MRIA members in-good-standing to obtain and to maintain the CMRP designation. This implies being knowledgeable about:

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* MRIA’s Code of Conduct and Good Practice;

* MRIA's Ten Core Principles;

* the Charter of Respondent Rights;

* individual and corporate membership requirements of the Association;

* Gold Seal certification requirements;

* the Research Registration System;

* the Qualitative Research Registry; and

* MRIA’s empirical and estimation methods for calculating response rate.

The CMRE may include questions on any or all of these topics. Consequently, all CMRE candidates – whether they are new or long time MRIA members – are advised to familiarize themselves with these topics, all of which are fully detailed on the MRIA website.

Some questions to guide your studies are included below. Note that these are intended only to guide your study to some of the most important topics about the MRIA Standards. These are not the kind of questions that you would likely see on the exam but some of the issues identified in them will be covered.

* What are the issues in combining selling or fundraising into a marketing research project?

* Is it ever appropriate for a marketing research firm to engage in telemarketing or fundraising? Why or why not?

* For what purposes would it be appropriate to merge survey data with data in client database? When would it be inappropriate?

* A research company is looking to gain business from another company in the same industry as one of its existing clients. What are its responsibilities to its existing and potential clients? Under what conditions would it be appropriate for a research company to have two clients in the same industry?

* Can a researcher share high level results from work done for a former client in order to attract a new client in the same sector?

* Under what conditions, if any, can video recordings of focus groups be given to a client?

* If a sufficient number of focus groups are conducted (say 15 groups of 10) on the same topic, is it appropriate to include percentages and/or margins of error in a report? Why or why not?

* What are the issues with reporting margins of sampling error for panel based sample surveys? When is it appropriate to report the margin of error and when is it not?

B.4.2 Marketing Research Design

Designing a research study involves defining the research objectives to solve a marketing problem and then selecting the best methodology to achieve those research objectives. To be able to identify the best methodology the research objectives must be articulated in a way that allows them to be solved using research. Often there are multiple research

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objectives to a marketing problem and one of the skills a Marketing Researcher must have is to be able to analyze the marketing problem and the related factual information around the problem and identify the best marketing research objectives to solve the marketing problem.

Once the marketing research objectives have been established, the Marketing Researcher must then be able to identify and select an appropriate methodology for solving those research objectives. There are often multiple ways to solve a set of research objectives and the researcher must be able to justify the reasons for a recommended approach.

Identifying the appropriate research objectives and methodology is critical to the success of a research project. Research design is, therefore, a component of many questions on the CMRE. A list of the key issues a researcher should be familiar with is provided below.

* What are the benefits of conducting a marketing research study to solve a marketing problem?

* What are the differences between marketing problems and marketing research objectives?

* Consider some common marketing problems and determine what the research objectives should be?

* How can marketing research be used to monitor trends and track performance? Why should it be?

* Are there times when it makes sense to go ahead with a business or marketing

decision without conducting marketing research? What criteria should be considered in making this decision?

* When is it appropriate to use a causal, exploratory or descriptive research?

* What are some of the key differences between qualitative and quantitative research? What are examples of each? When are each most appropriate? What are the limits of each?

* What are some of the differences between mail, internet, in person and telephone surveys? When are the advantages and disadvantages of each?

* What are omnibus studies and when should they be used?

* What are panels and what are the advantages and risks in using them?

* When should secondary research be used over primary research?

* What are some typical sources of secondary research?

* What are some of the key considerations in evaluating the value of a secondary research study/source?

* What is a syndicated study and when should they be used? What are possible disadvantages of syndicated studies?

* What are the key components of a good marketing research proposal?

B.4.3 Statistical Methods for Marketing Research

Quantitative research relies heavily on statistics. Basic statistics are fundamental to determining the reliability of data and assessing whether differences in results are likely

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true differences or just a result of chance. Specialized quantitative applications also use much more complex statistics. A CMRP is not expected to be a statistician but should have enough knowledge to calculate and understand the application of basic marketing research statistics. A CMRP should also understand more advanced statistical procedures well enough to be able to know when the technique should be used, provide a simple explanation of the technique, interpret and make recommendations on the results of the technique. For the calculation of response rates, you should also be familiar with the MRIA endorsed methods found in the Standards section of the MRIA website.

While the CMRE used to contain a few questions requiring candidates to have memorized basic statistical formulas, this is no longer the case starting in 2011. The goal of the CMRE is to test candidates on what professional marketing researchers actually do. It is much more important that you understand the correct statistical procedures to apply given the type of data collected than be able to memorize a number of formulas.

Although most statistics are normally calculated using statistical software, a candidate should understand basic statistics well enough to be able to compute them by hand. Consequently, there will still be questions requiring computations of basic statistics in the exam, but candidates will be provided with a sheet containing the following basic statistical formulas.

* Mean:

Sum of the values of the observations / Number of observations (sample size).

* Median:

Value or observation in the middle when the data are arranged in order of

magnitude (either ascending or descending).

* Mode:

The most frequently occurring value in a distribution.

* Standard Error of means:

Standard deviation / Square root (SQRT) of the sample size.

* Standard Error of percentages3:

SQRT ((%*(100-%) )/ sample size).

* Confidence Intervals:

Mean ± confidence coefficient * standard error

* Standard error of difference:

SQRT((Standard error of group 1)2 + (Standard error of group 2) 2)

* t-test for means:

(mean of group 1 – mean of group 2) / standard error of difference

* t-test for percentages45:

(% in group 1 - % in group 2) / standard error of difference;

* Sample size:

2500 / (required margin of error / confidence coefficient for required confidence

level)2

3 For Standard Error of proportions, use: SQRT((P*(1-P))/sample size).

4 For proportions, use: (P1-P2)/standard error of difference.

5 Also referred to as z-test for percentages or proportions by some authors.

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* Finite Population Correction (FCP):

FPC Sample Size = sample size / (1 + (sample size / size of population))

* A few of the calculations used above require confidence coefficients, 95% is the most

commonly used confidence level, but you should also know the confidence

coefficients for 90% and 99% confidence levels. The confidence coefficients are:

o

90%=1.65

o

95%=1.96

o

99%=2.56

In the examination room, you will be provided with a basic calculator and have access to Excel. In preparation for the exam, make sure you can calculate the above statistics using either the basic calculator or Excel. Practicing some of the samples provided in Section D will help you better understand the application of these statistical procedures. In addition to understanding the above statistics you should also know the answers to the following questions:

* What are the advantages of a sample over a census? Why might a sample be more reliable than a census?

* What is the difference between a population and a sample frame?

* What characteristics are desirable in a sample frame?

* What are the different ways that a sample can be drawn and what is the implication of each method?

* What is the difference between a probability and a non-probability sample? What are the advantages and disadvantages of a non-probability sample?

* In what case might disproportionate sampling be recommended? What adjustments are required when analyzing the data as whole? What impact does disproportionate sampling have on the reliability of the sample?

* Why might cluster sampling be desirable? What are the disadvantages?

* What is the difference between sampling error and non-sampling error? How can each be controlled? What are some examples of non-sampling error?

* What factors should be considered when selecting a sample size?

* How do you calculate a response rate? (See calculation in the Standards section of the MRIA web site)

* What is a confidence interval and what is a confidence level. What do they explain?

* How do you calculate a sample size once you have decided on the desired precision and reliability of the sample?

* Does the size of the population have an impact on the sample size? In what cases?

* What is nominal, ordinal, interval and ratio data? Provide examples of questions that would gather each type of data. What are the implications when analyzing the different data types?

* Define, calculate and explain the significance to marketing research of mean, median, variance, and standard deviation.

* When might a median be a better measure of central tendency then a mean?

* Calculate and explain what is meant by standard error of the mean and standard error of a percentage or proportion.

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* When would it be appropriate to use the following types of analysis? What kind of data is required to use them? What conclusions could be drawn on the results provided by these techniques?

o Chi Square

o Correlation

o Multi-Dimensional Scaling

o Regression

o Analysis of Variance

o Discriminant Analysis

o Factor Analysis

o Cluster Analysis

o Conjoint and Discrete Choice Analysis

o Structural Equation Modeling

B.4.4 Questionnaire Design

Once the research objectives have been established and a quantitative research design has been selected, the next step is to design a questionnaire that will collect the data required to achieve the research objectives. Errors in the questionnaire design stage could undermine the entire research project. Poorly worded questions could lead to data that is ambiguous and impossible to interpret. A questionnaire that is too long or that contains inappropriate questions could also result in a low response rate thereby, reducing the reliability of the data and increasing the costs of data collection. Questionnaire design is, therefore, an essential skill for a researcher and candidates should expect questions that deal with questionnaire design on the exam. Some key questions to guide your study of questionnaire design are provided below.

* In what sequence should questions be asked and why?

* What is the purpose of the main sections (screener, warm-up, main section and classification) in a questionnaire?

* When is it better to start with broader questions and then move to more specific questions and when is it better to start with specific questions and then move to broader questions?

* What differences should be considered in self-administered vs. interview-administered questionnaires?

* What special considerations (e.g., layout, type of questions, questionnaire length, scales, unique features) are there for questionnaires administered in person, over the phone, through regular mail, and over the internet?

* What needs to be taken into account when developing the wording of a questionnaire?

* What are double-barrelled, leading, and loaded questions? Why should they be avoided?

* What are common respondent biases and how should they be countered in the design of a questionnaire?

* How and when should private and personal questions be asked?

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* What types of questions are best for measuring attitudes, assessing behaviour and collecting demographic information?

* What are the advantages and disadvantages of open ended questions?

* What is a dichotomous scale and when should it be used?

* What are the advantages and disadvantages of ranking scales? When should they be used and when should they be avoided?

* What are numeric, Likert, bi-polar (stapel), and semantic differential scales? What are the advantages and disadvantages of each?

* What is the purpose of pre-testing?

B.4.5 Qualitative Marketing Research

Solving marketing problems frequently requires an in-depth or broad exploration of a subject. Unlike quantitative research, qualitative research doesn't generally rely on statistics but it does rely on a unique set of tools that all researchers should understand. Questions on qualitative research will also require strong skills in applying the theory and it is, therefore, recommended that CMRE candidates have sufficient experience with qualitative research before taking the CMRE. Focus groups (and variations of them) and in-depth interviews continue to represent the bulk of qualitative research conducted in Canada. Questions on qualitative research on the CMRE are most likely to focus on these two qualitative research techniques.

Although moderating/interviewing experience is not required for the exam, you should at least have had experience observing focus groups. You are required to know enough about moderating to be able to assess the quality of a moderator you observe. You should also know the best ways to handle difficult respondents and difficult situations that occur on a regular basis. For the exam you should also be able to write a discussion guide and qualitative screener. As with the other topics, a list of questions is provided below to guide your study.

* How should qualitative research participants be recruited? What considerations should be made when selecting respondents for qualitative research? What is the purpose of a qualitative research screener?

* What factors should be considered when selecting the geographic locations to conduct qualitative research?

* What criteria should be used to select between in-depths interviews and focus groups (or variations of them)? When should larger (mega) groups be used and when would smaller (mini) groups be best?

* What is observational and ethnographic research? What are the advantages and disadvantages of these over other forms of qualitative research?

* What are bulletin board and online focus groups? When should each be used? What are the advantages and disadvantages of online and bulletin board focus groups over in person groups?

* What is the role of the moderator? What skills should a moderator have? What techniques should a moderator use to maximize the value of a group or interview?

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* How do you determine the number of groups or interviews for a qualitative study?

* If a focus group is recruited at random, does it impact the projectability of the results?

* What is the Qualitative Research Registry and what is its purpose?

* How does a discussion guide differ from a questionnaire? What are the key components of a discussion guide and what sequence should they follow?

* What is the role of observers in a focus group?

* What are projective techniques and what is their purpose in qualitative research?

B.4.6 Market Intelligence/Competitive Intelligence

Market intelligence (MI) comes from the strategic use of a carefully analyzed collection of key information, both internal and external to the corporation. MI is imperative to better decision making, success, and even survival for firms today. Interest and investment in market intelligence is increasing, as firms see its power and benefit. Solid market intelligence can dramatically impact a company’s success. Becoming competent in the market intelligence area means that market researchers elevate their position, and use a broad range of business consultative skills.

The related, but yet distinct, discipline of Competitive Intelligence (CI) is as important for professional marketing researchers to master. Clients might need competitive intelligence services to counter a competitive threat, to benchmark against industry leaders and learn about their best practices, to uncover competitor weaknesses which in turn can be translated into advertising messaging and sales presentation aids, or to conduct mystery shopping to identify gaps in their own sales and service delivery.

The white paper Using Market Intelligence & Competitive Intelligence to Add Value to Your Business, by Matthew Harrison and Julia Cupman of B2B International (www.b2binternational.com/library/whitepapers/pdf/market_intelligence.pdf) provides a good overview of these disciplines. MRIA’s core courses 301-Competitive Intelligence, Competitor Benchmarking and Mystery Shopping and 302-Market Intelligence are essential to CMRE candidates who have not yet acquired sufficient knowledge of these disciplines through work experience. As with the other topics, a list of questions is provided below to guide your study.

* Could you define market intelligence (MI) and competitive intelligence (CI) and their roles in business?

* What is the relationship between these disciplines and marketing research?

* Describe the main components of the MI process.

* Describe the main sources of MI information.

* What does it mean to conduct an environmental scan? What are some of the things you could do if a client asked you for an environmental scan?

* Can you briefly describe some MI tools and techniques and when you would use them?

* What is the difference between active and defensive competitive intelligence (CI)?

* Your client is asking you to provide guidelines for an employee tutorial on ethical CI approaches. What would your guidelines include?

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* In terms of sources of CI data, what are 3 popular:

o Primary sources external to companies?

o Primary sources of CI data within companies?

o Online sources?

o Secondary sources?

* Give an example of how monitoring blogs can be used as a data source.

* When would it be appropriate to use the following data analytical tools? What conclusions could be drawn on the results provided by these techniques?

o Blind spot analysis

o Data cell screening

o Ratio analysis

o Win-loss analysis

* What are the differences between accidental, unintentional, intentional, and malicious company information leakage?

* How would you instruct a client company to reduce leakages of sensitive information by their employees to their competitors

* How would you conduct a competitor benchmarking study? What is the minimum number of companies you would benchmark. How many people within each of these companies would you interview? Besides offering an honorarium, what other incentive could you offer them to get them to participate?

* What is the usefulness of mystery shopping? When would you recommend it to a client? What are some key differences between retail and B2B mystery shopping? Besides face to face and call centre mystery shops, how else can you conduct mystery shops?

B.4.7 Marketing Management

Marketing research is conducted to gather information that will help improve marketing decisions. It is, therefore, essential that a researcher have a good understanding of marketing. A researcher is not, of course, expected to be an expert in all areas of marketing but should have an in-depth understanding of the key marketing concepts covered in the core courses. Remember, you are unlikely to find a question on the CMRE that asks you to define any of the key concepts in marketing. You should, however, expect questions that ask you to identify key marketing problems and describe how marketing research is used to solve those problems. You may also be asked to examine research results and provide a recommendation to respond to a marketing problem.

If you do not already have a good understanding of the key marketing concepts listed in the Competency Requirements document under Marketing Management, then reviewing a textbook on marketing would be a good start to your studying in this area. The MRIA doesn’t recommend a specific marketing textbook but any university level text book should do.(See Section B3 of this Study Guide for suggestions.)

As you review the topics covered in the core courses, try to consider the marketing problems that relate to these concepts and how marketing research can help to solve them. Some of the key questions you should be able to answer on marketing management are presented below. Again the purpose of these questions is to refer you to the key concepts

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that you should understand, but the CMRE will not include definitional questions like these.

* How does decision making by end consumers and business organizations differ?

* What is market segmentation and why and when should it be used? What are common ways to segment a market? When is each used? What is the role of marketing research in segmenting a market?

* What is a target market? How does target marketing relate to market segmentation?

* What is product positioning? How is it different from market segmentation? What are the different ways that a company could position a product?

* What are the key components of a marketing strategy? What are the generic marketing strategies?

* What is the marketing mix and why is it important? What are the key decisions to be made in the marketing mix? What factors influence those decisions?

* What is branding? How is a brand different from a product?

* What are the different ways of communicating to customers about a product?

* What factors need to be considered when pricing a product?

* What are the different ways that a product can be distributed to consumers?

* What are the common marketing problems that research is used to solve?

* What types of research are used to solve common problems?

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C. Writing the Exam

For many exam writers, it has been many years since they have taken an exam. This section will:

* inform you of what you should expect on exam day; and

* provide general exam writing strategies.

C.1 What to Expect on Exam Day

On exam day you are advised to show up early to ensure you have a chance to familiarize yourself with the testing centre prior to the start of the exam. Before the exam begins, you will have time to review the instructions provided with the exam, but a copy of the instructions for Part B of a recent exam is provided here for your reference.

   C.1.1 Sample of Exam Instructions

Time: 3.5 Hours (1:15 pm – 4:45 pm)

Instructions: 

1. This is a closed book exam. You may only bring pens and pencils into the exam room. A four-function calculator, a computer with MS Office and a printer are provided.

2. You may use Microsoft Word to type in your response and Microsoft Excel to aid you with any calculations. You are not permitted to use any other applications or devices, access any information on the computer, or access the Internet.

3. Please answer all questions and include all calculations and support for your answers directly in the Word file that includes the exam itself. Do not erase the question or question number on the form; simply type your answer below each question. Please save your work frequently.

4. You may also, if you wish, submit some or all of your answers in a hand written format in a response booklet. Please print clearly if you do so. Be sure to number the questions you are answering in the response booklet or booklets.

5. You are not required to complete the exam questions in order but you should clearly number each response if using the booklet or enter your response directly below each question in the Word file.

6. Do not write on the hard copy of the question booklet. Answers written on the printed question booklet will not be marked.

7. You are required to return all materials to the proctor including the memory stick, working drafts and notes, and the hard copy of the exam booklet. It is best to cross out any drafts or working notes that you do not want the markers to evaluate in your response booklet or booklets.

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8. Be sure to write your candidate number on the first page of each part of the exam in the Word file and on each response booklet that you submit. Do not include your name anywhere. Your response will be marked using your candidate number.

9. Electronic copies will be erased following the examination. You must stop writing at 4:45 PM. You will need to print/copy your response to both parts of the exam and download it to the memory stick before departing.

This portion of the exam is worth 50% of the overall mark. You must receive at least 65% on each portion - the research proposal and the short answer portions - in order to receive a pass.

C.2 Exam Writing Strategies

Earlier sections of this guide prepared you for the type of content you would experience on the exam. Given your marketing research experience and education, you probably found few surprises in the type of content that is covered on the CMRE. It has, however, likely been several years since you have last written an exam and if that is the case, this section may make the difference in how you fare on the exam.

C.2.1 Be familiar with the exam instructions and format

Although you will have time on exam day to read the instructions before the exam begins, you'll avoid any surprises by getting familiar with them ahead of time. Reading this guide will hopefully increase your comfort on exam day. It is also recommended that you review the MRIA website a month before the exam in case any changes have been made to the exam since this guide was published.

C.2.2 Read all questions carefully

Before you respond to a question be sure you have read it carefully. Rushing through a question could result in you wasting time writing more than is required or even worse, answering the wrong question completely. Reading all questions carefully is a very good investment of your time.

C.2.3 Focus on the important facts

When dealing with real marketing research problems in practice, there is often a lot of background information that is useful to know in dealing with the project as a whole but is not relevant to a specific marketing research question or problem. The exam questions provide background information that may not be specifically relevant to answering the question. After you have read through the question, try to identify what is important and ignore what is not when answering the question.

C.2.4 Manage your time

Time management is an essential skill in writing an exam and many of the other tips listed here are directly related to how you spent your time on the exam. A good overall

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time management strategy is to determine how long you have to answer each question. To do so, divide the total minutes in the exam (3.5 hours multiplied by 60 minutes = 210 minutes) by the total marks for the exam. Assuming there are 150 marks in the exam, than you have 1.4 minutes per mark per question. If the question is only worth 5 marks, then you don't want to spend more than 7 minutes on it and that includes time spent reading the question. You will ideally want to spend less than 7 minutes because you'll want to save some extra time at the end to review your responses.

The total marks for the single and multi-subject exam will be printed on the exam cover sheet, so you will have a few minutes to read it before you start, so use this time to calculate this number before you begin the exam. The marks for each question on the single and multi-subject exam will be included next to each question so make sure you are spending the correct time on each question.

The case study question is marked out of a 100 which means you have 2.1 minutes (210/100) per mark. Having a solid understanding of the issues is especially important part of responding to a case study, so be sure to spend time analyzing the case study before you start your response. When you do begin answering, try to think about what the case study is asking and what will generate marks.

C.2.5 Don't over answer

One of the most common time management pitfalls exam writers have made when writing the CMRE is providing an answer that goes well beyond what is required. While adding a little extra when writing reports for clients is a good thing, writing more than is required when time is limited is not. There is only a limited time to complete the exam. Several past exam writers have found that the extra time that they spent on questions early in the exam resulted in not enough time to complete (or at least properly complete) some of the other questions later in the exam. The best way to take advantage of a question you find easy is to spend as little time as you can to achieve full marks. If it is a 5 mark question and you have calculated that you have 7 minutes to spend on it, try to answer it in 4 minutes so that you'll have additional time to respond to questions you find more challenging or time consuming later on in the exam. Remember, if it is a 5 mark question, there is no reason to continue writing once you have a response that will earn you the full marks for the question. No bonus marks are assigned for answering beyond the 5 marks.

C.2.6 Proofread your answers

If you have completed the exam and have some extra time on the clock to spare, then rather than submitting your response early, use this time to re-read your responses. You might find a missing word or grammatical error that changes what you were trying to say and could cost you marks. Also be sure that you have communicated responses as clearly as possible.

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C.2.7 Leaving formatting to the end

Don't be caught wasting time formatting your exam. Although it is important that your communication is clear, especially in the case study, no marks are offered for formatting on the single and multi-subject exam and formatting is only a minor aspect of the case study section. If you have time to format at the end, then do so after you have proofread your responses.

C.2.8 Start with what you know

The best way to boost your confidence on an exam is to answer questions that you know best first. If these aren't the first questions on the exam, then remember there is no requirement to answer the questions in order. If the answer to a question isn't coming to you right away or if you feel it will take you a long time to answer a question, skip it and answer the questions you know first. Since you will be leaving more difficult questions to the end, you should be sure to spend as little time on the questions you know to earn the number of marks the question is worth. Whether or not you write your responses in order, be sure to number them so the exam markers know what response goes with each question.

C.2.9 Remember that there are multiple answers to many questions

There are often multiple ways to address a real world research problem. Sometimes one is better than the rest but often there are multiple equally appropriate solutions. The same applies to questions on the CMRE. Don't be thrown off where it appears there may be more than one answer to a question. If the question asks for multiple options, then outline what these would be, and when and why each would be most appropriate. If the question asks for the best or top response, present the option that you feel would be best and be sure to justify your response. The majority of marks for the question will be allocated to your reasoning as opposed to the option you recommend.

C.2.10 Use your workbook

Since the exam has moved to a computerized format, few writers have taken advantage of the workbook provided. For questions that involve calculations, the workbook is a great tool for making notes and working out a problem. Best of all, if you have shown the steps you have taken in the workbook but made a small mistake in one of your calculations, you can at least get partial marks if you show the correct steps in your workbook.

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D. Are You Ready?

You have obtained the required professional experience and you've brushed up on any theory you were missing. It is now time to see if you are ready to write the CMRE. This section provides examples of questions written in the same style as the questions that will appear on the exam. As on the CMRE, the questions are not presented in any particular order and it is up to you to identify the research theory that applies.

Full responses are not provided but key points that should be included in your answers are included for most questions. It is recommended that you try to answer all the questions before reviewing these points. Where answers are not provided, please refer back to the reference materials cited earlier, especially Modern Marketing Research – Step by Step, course handouts, and the Standards section of the MRIA website.

This section:

* provides examples of CMRE style questions;

* includes both a comprehensive case study and single and multi-subject questions;

* outlines some of the key points that you would be expected to include in your response.

***It is important to note that the following sample questions have been selected to help you prepare for the CMRE. However, this section is not intended to be representative of an actual CMRE composition. For instance, there are more questions requiring statistical computations in this section than there will be in the actual exam since performing statistical computations improves with practice.

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D.1 Sample Comprehensive Question (Part A)

ZAP computers, a very successful computer hardware manufacturer in Canada, is considering developing a new line of laptops that include a cell phone built into the computer. The cell phone could be removed and would include a separate hard-disc to allow the user to easily transport files that are on the laptop. Your VP of Marketing at ZAP is very excited about this concept. He is pretty sure that there is nothing else out there on the market like this and he believes that it will give ZAP a competitive edge in the very competitive hardware market. There is a significant cost to developing this product but, if successful, the product could more than repay those costs in the first six months.

ZAP computers' current line of laptops is called Zaptops and each model has a new number. Z-45 is the current model (Z-44 was the last previous model). One of the questions being considered is whether the new model will follow the same naming convention and be the Z-46 or whether a new name such as Zaptop Plus, Zaptop Premium or something else should be used. The company is also considering whether the cell phone should be a standard feature or an optional feature in its new models.

Much of ZAP's success has come from attracting business customers who want a reliable computer without many bells and whistles at a lower price than the competition. It has about 34,000 business customers who purchase on average 15 laptops per year. The company has not previously been seen as an innovator and it hopes to attract a new customer base with the new technology. It does not expect that it would lose any existing customers. For existing customers although the new model will be more expensive than the previous, it will be less expensive than purchasing both a ZAP laptop and a cell phone.

Before making the investment, the VP of Marketing at ZAP has asked you, the Director of Marketing Research at ZAP, to propose some research that would reduce the risk in making this investment.

Key Points:

* Write a formal proposal that would be suitable for presentation to a VP of Marketing who does not have a strong research background.

* Your proposal should include not only all of the necessary stages in a research proposal, but also provide a good understanding of why you are proposing various options, techniques or methods.

* Make sure to include the following in your proposal:

o your understanding of the key marketing question(s) to be answered by the research and the resulting research objectives (in your own words);

o assumptions made and questions for which you would want to have answers;

o the research method(s) you would recommend using, focusing on why this approach is better than other possible methods;

o who the research would be conducted with, how they would be reached, how

many of them would be contacted, and why this number has been selected;

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o an outline of the data collection instrument(s) you would recommend using (questionnaire, screeners, discussion outlines, etc.);

o a high level description of how the data would be analyzed and how the results will address the key marketing question(s);

o a timetable for the project; and

o a rationale for the approaches you have recommended.

* You will not be asked to provide detailed costing. However, you may be given a budget range and, if so, will be asked to provide the total expected cost and the percentage of the budget that would be applied to each major aspect of the research. Keep in mind budget and timeline do not need to be precise, but do need to be realistic.

* You are not expected to provide supplier specific information which would normally be part of a proposal, such as researchers’ biographical notes and examples of similar projects.

D.2 Sample Single and Multi-Subject Questions (Part B) Sample 1

You have just completed a survey of adult (18 years of age or older) Canadians, who have a bank account, on their banking preferences. In total, 2000 valid interviews were completed. In the process of completing the 2000 interviews, the call centre reported that they made 843 calls to numbers that were not in service or were business numbers, 2434 were busy or unanswered, 334 were not completed due to language problems and 459 for household refusals before respondents could be qualified, 683 respondents refused also before screening, 450 qualified respondents were not available, 185 respondents hung-up mid way, 434 did not qualify because there was no one 18 years of age or older or no one that had a bank account, and 770 people refused after screening and qualifying. What is the response rate for this study using the empirical and estimation methods? Which calculation should be reported?

Formulas required to answer this question can be found at the following link to the MRIA web-site http://www.mria-arim.ca/STANDARDS/Response.asp.

Key points:

* Response rate using empirical method is: 31.4%

* Response rate using estimation method is: 29.1%

* Empirical method calculation should be reported as it is the MRIA standard. Estimation is a secondary method that can be reported in addition to the empirical method.

Sample 2

A computer hardware manufacturer is looking to launch a new personal digital assistant (PDA). It would like to conduct marketing research to get reaction to two potential product designs. Design 1 emphasizes style and is sleek and small but as a result of its

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design the buttons are crammed together a little more than the Design 2. Design 2 has less style and is a little bigger but the extra space means the buttons are less crammed and it is easier to use. The Design 1is more like the competition and the VP of marketing is certain that Design 2 even though it has less style will appeal more to the target audience: sales professionals and business executives. Design 2 can also be produced less expensively. The VP of Marketing has asked you to conduct focus groups to gauge reactions of the intended market. He has started to develop the discussion guide for the groups below and he has asked for your feedback on it. How do you respond? What changes would you suggest and why?

* Introduction – confirm all respondents are sales professionals or business executives who use and purchase their own PDA.

* What advantages does Design 2 have over Design 1? Probe for ease of use.

* Is ease of use or style more important in a PDA used for business purposes?

* Is price or style more important for a personal digital assistant/cell phone used for business purposes?

* How does Design 2 compare to the competition?

* Between Design 2 and the competition, which one would you choose? Why?

* Between Design 1 and the competition, which one would you choose? Why?

Key Points:

* Per section C: Subsection 3 of the MRIA Code of Conduct the intro must inform all participants about confidentiality, recording etc.

* The discussion guide is strongly biased to lead respondents to selecting Design 2

* Before getting into designs, it would be useful to better understand what respondents considered in choosing their current PDA

* Participants should be asked what they like and don't like about each model

* Projective techniques would be a more subtle way to gauge the importance of style. If asked directly, most are likely to provide the rational response that price and usability are more important in a business tool

Sample 3

You are the Brand Manager for Spex brand chewing gum and you are observing focus groups to gauge reactions to some new ad concepts you are considering. Your usual moderator indicated that he was sick and you agreed to have a backup take his place. The moderator does a great job with the first group but after 20 minutes in the second group, he is struggling to manage the group dynamics. Two participants are doing most of the talking. One is very outspoken and likes to get her views across. The other just indicated that the reason he knows so much is because he is the art director at a major advertising

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firm. The other six participants in the group have said virtually nothing. Industry experts should have been screened out of the group. The moderator has just come to the back room to see if you had any questions. How do you respond?

Key Points:

* Ask that the art director be subtly removed from the group (e.g. reception could interrupt saying there is a phone call for him)

* Ask the moderator to remind participants that the purpose of the research is to gather all opinions and to encourage anyone who has different views to put them forth

* You could suggest that the moderator use eye-contact and direct questions to try to engage the other participants. If necessary, could also ask the outspoken person to not talk ("great thought but I'd now like to hear what others have to say")

Sample 4

The VP of Marketing at a large jams and preserves manufacturer has noticed that despite an increase in dollars spent on advertising, sales have steadily been decreasing over the past year. What are some potential causes of the sales decline and how could you confirm that they are the cause?

Key Points:

* Competitive Intelligence Analysis – changes in competitive landscape (new products/sizes/pricing)

* Change in consumer tastes – consider syndicated research on consumer food trends

* Advertising program is ineffective – ad testing/ad recall

* Competition is taking market share – market share survey

Sample 5

Your client Zendit, is a mid-sized Canadian courier company. The Director of Marketing has indicated that one of his goals is to increase customer satisfaction over the next year based on the results of research. A benchmark survey will be done now (the beginning of the year) and another survey will be done at the end of year. Extra effort has been made to satisfy Zendit's best customers (those who spend over $5000 per annum). The best customers represent about 20% of Zendit's customer base. He would also like to know what percent of Zendit's clients are using another courier company as their primary supplier. This is the first quantitative survey for Zendit though it has carried out qualitative research previously that identified the areas that customers consider in selecting a courier company. The qualitative research revealed that courtesy and professionalism of drivers, price, reliability (on-time deliveries), and customer service were key in the decision making process.

Part 1 – The Director of Marketing has started to draft a questionnaire to describe the type of information he is seeking. He has asked you to review the questionnaire and indicate those questions that require change. Assume that the survey will be conducted by

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phone with 600 respondents. At least 300 customers of the total of 600 respondents should spend over $5000 per annum with Zendit.

Draft Questionnaire

Q1. For the past year, what was your total per annum expenditures on Zendit's services?

$____

ENSURE THAT AT LEAST 300 INTERVIEWS ARE WITH THOSE WHO SPEND

$5000K PLUS

Q2. How many courier shipments do you send per annum? How many were with Zendit?

Q3. How frequently have your courier deliveries to your end-customers been on-time?

Q4. How would you rate the courtesy and professionalism of the delivery staff? Poor, Could be better, Fair, somewhat good, good, very good

Q5. On a scale of 1 to 10 where 10 is very likely and 1 is not at all likely, how likely are you to continue to use Zendit over the next year?

Q6. On a scale of 1 to 10 where 10 is very satisfied and 1 is not at all satisfied, how satisfied would you say that you are overall with the services provided by Zendit over the past year.

Q7. On a scale of 1 to 10 where 10 is to a great extent and 1 is not at all, to what extent have you observed the significant efforts Zendit has put into enhancing customer service over the past year?

Part 2 – After receiving your quote on doing the survey by phone, the Director of Marketing asks if it would be cheaper and equally valid to conduct the survey by e-mail. He reports that he has e-mail address for about 25% of Zendit's 4,537 clients. How do you respond?

Key Points for Part 1

* Q1- Annual spending is a sensitive question and the answer is not likely top of mind. As a screener, all that needs to be asked is if spending was above $5000 or $5000 and below Better yet, if this information is in Zendit's database, it might not be necessary to includes this as a screener at all. If required, a more detailed breakout of spending could be added to the end of the questionnaire.

* Q2- Difficult to answer and also sensitive – move to end and provide categories for number of courier shipments per year. Or ask in an average week how many shipments do you make by courier. To determine the percent delivered by Zendit, better to ask what percent were through Zendit and then the names of other major courier companies plus other.

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* Q3 - Difficult to answer and code as an open-ended question. This question could be answered in different ways: a) either provide a scale or b) ask respondents what proportion of courier shipments were made on time

* Q4 - Poor scale since it is weighted to positive answers. Also the difference between fair and somewhat good may not be obvious to the respondent. The question is double-barrelled because it asks about courtesy and professionalism in one question. Each should be asked separately.

* Q6-Ask this first to get an overall view before asking specific questions unless there is a reason for this order (reverse funnel). Also, ask of the competition gathered at revised Q2 (other companies used).

* Q7 - Leading question. It would be better to ask what difference they observed in customer service over the prior year using a scale such as worse, the same, better.

* Effort should be made where possible to use the same scale for as many questions as possible where appropriate. Using the same scale would it easier and faster for respondents to complete.

* At a minimum need diagnostic information on all drivers from the qual – how is Zendit doing versus the competition.

Key Points for Part 2

* An e-mail survey would be less expensive than a phone survey but it assumes that the 25% is representative of the entire population of Zendit's clients. It may be that Zendit has the e-mail addresses of just the best customers or those that use Zendit almost exclusively which would limit the ability of getting reliable competitive information. If that is the case, then it might be reasonable. The e-mail survey would not, however, likely be sufficient to achieve the desired 600 completed responses. It may also result in a lower response rate. Suggest that sales reps,/others collect e-mail addresses from those without e-mail addresses (whenever these people contact Zendit ask for the email address).

Sample 6

You are conducting research on behalf of ZAP, Inc., a large, pharmaceutical company that has recently introduced an anti-arrhythmic drug in Canada that offers the same benefits of a drug offered by its competition but with fewer side effects. Canadian cardiologists specializing in arrhythmias have, however, been slow to adopt your clients' new drug over the competition. The VP of Marketing at ZAP has asked you to conduct research to understand why. You have designed a quantitative survey to gather the required data and your client has provided you with a list of 687 Canadian cardiologists specializing in arrhythmias. This list is believed to captures at least 90% of the total population. The VP of Marketing, whose background in research is limited, has indicated that the reliability of this research is extremely important to ZAP. She has indicated that a sample size of at least 600 is required to provide the desired reliability. How do you respond to the VP of Marketing? Assuming a confidence interval of +/- 4% at the 95% confidence interval is desired, what sample size would you recommend? What other factors would influence the sample size? Why might the actual results not be as accurate as the confidence level and confidence interval suggest?

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Key Points

* A sample size of 600 would be required to achieve a confidence interval of +/- 4% at the 95% confidence level for a sample that was less than 10% of the total population.

* Because of the small population, a much smaller sample size is required to achieve this confidence interval and level.

* A finite population correction should be applied and the actual sample size should be 320.

* Calculation: 600/(1+(600/687)).

* Although the study is important, the costs of reaching even 320 professionals at this level may exceed the resources (budget) available.

* The confidence interval and level do not account for non-sampling error and given the audience, response rate will likely be a factor in the reliability of the results. Incentives will also likely be required to obtain responses and this may also bias results if participants feel they need to respond more positively because of the incentive.

* As a researcher, you should ask your client to provide information on how the list was drafted and if the 90% of the total population in the list is expected to be identical to the 10% of the population that is not covered.

Sample 7

ZEDX Corp conducted a research survey of 600 customers to determine which of four new corporate logos its customers preferred. The main question on the survey asked customers to select 1 for logo 1, 2 for logo 2, 3 for logo 3 and 4 for logo 4.

Part 1 - The Marketing Manager for ZEDX who conducted the survey found that the mean score for the question was 3, and therefore concluded that Logo 3 was the best choice. He doesn't have a background in research or statistics and has asked you to confirm that he has interpreted the results correctly. How do you respond? Based on this information is 3 the correct choice?

Part 2 - Assume the frequency distribution for the results are as follows

Logo 1 – 5%

Logo 2 – 20%

Logo 3 – 45%

Logo 4 – 30%

What is the confidence interval for logo 1 and logo 3 at the 95% confidence level? Based

purely on sampling error would you say that logo 3 is likely the best choice?

Key Points for Part 1

* Mean is not an appropriate measure because the data is nominal/categorical.

* To determine the preferred choice, a frequency analysis should have been used.

* It is not possible based on the information provided in Part 1 to determine if 3 is the correct choice.

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Key Points for Part 2

* The confidence interval at the 95% confidence level for logo 1 (5%) is +/- 1.7% SQRT((5*(100-5))/600)*1.96 and for logo 3 (45%) is 3.98% (SQRT((45*(100-45))/600)*1.96) (Chakrapani page 312)

* The confidence interval for the next highest choice (logo 4) is +/-3.67 (SQRT((30*(100-30))/600)*1.96). Given that the there is no overlap you can conclude that 45% is statistically higher than 30 and that logo 3 is preferred by a larger percent than the other logos

Sample 8

Your company has conducted research to help it make a decision on whether an enhancement should be made to one of its core products. Other research has shown that the enhancement would greatly increase the appeal of the product to customers of its major competitor. The sales team, however, expressed concerns that the enhancements would increase the price of the product and some existing customers might switch to an alternative rather than pay the additional price. The Head of Sales estimated that if anything less than 90% of existing customers did not remain customers, then the company would likely lose money by going forward with the enhancement. As the research manager for the company you were asked to conduct a survey to determine if the enhancement should be made. Your survey of a random sample of 600 existing customers found that 92% of existing customers indicated they would definitely pay the premium for the enhancement. The head of sales indicated that since the margin of error for a sample of 600 at the 95% confidence level is +/- 4%, it is likely that the results could in fact be as low as 88%. What is your response?

Key Points

* The confidence interval of +/- 4% at the 95% confidence level applies only to percentages that are close to 50%. The confidence interval gets smaller as the percentage move further away from 50%. In this case the confidence interval is actually 2.17% at the 95% confidence interval SQRT((92*(100-92))/600)*1.96 so based on sample error it is actually fairly unlikely that the true percentage would be below 90%. Of course, there is still a 5% chance that with sampling error the actual percent will fall outside of the confidence interval. The non-sampling error might also influence the results. The marketing research data, however, supports going ahead with the enhancement based on the 90% figure but it is a close call and all the other business factors need to be considered (e.g., longer term impact of the changes). Looking into the other responses to the survey of those of the 8% who indicated they would not remain a customer (e.g., socio-demographic, preferences, needs or attitudes towards the competition) might provide insights into how the client may reduce their risk moving forward (e.g, ideas for implementation strategy, communications or value proposition).

Sample 9

You are the Director of Research for a successful niche travel insurance company called Nofear. Nofear provides travel insurance to adventure travelers and is considering

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offering a credit card. Qualitative research has suggested that its customers are so attached to the Nofear brand that they'd switch cards in a minute if Nofear offered a card that had the features they wanted. The key features of the card being considered are as follows:

Annual Fee: No fee, $50, $100

Rewards: None, 1% cash back, 2% cash back

Car Rental Insurance: No, Yes with $100 deductible, Yes with no deductible

Interest rate: prime plus 8, prime plus 4, prime plus 2

Part 1: The VP of Marketing has suggested you conduct a survey of customers that asks customers what feature they would want in each category. Would such a survey work? Part 2: What multivariate technique would be appropriate? Describe to your VP of Marketing who has no research experience how this multivariate technique would work.

Key points Part 1

* If the survey simply asked which features customers would want, the results would surely show that customers would want the best option for them in each category. Of course these are the options that would be the least profitable for Nofear.

Key points Part 2

* Conjoint Analysis would be recommended in this case. Customers would be shown a series of questions that asks them to choose between two potential packages of the four features or indicate if neither appeal to them. The resulting analysis will determine the importance of each feature and help to identify the combination of features, if any, that would best meet the needs of Nofear and its customers.

* However, if Nofear have already pre-determined the two or three credit card packages they want to go to market with, maybe simply using a monadic design with independent samples may be sufficient. This simpler test can determine which, if any, of the designed products has the best chance on the market, but would not provide as much information about the relative importance of product attributes compared to Conjoint Analysis.

Sample 10

Kooleo running shoes recently conducted a survey of male adults in Canada who purchase running shoes. The study found a correlation of -.8 between the following two questions:

On a scale of 1 to 10 where 1 is not at all likely and 10 is very likely, how likely are you to purchase a pair of Kooleo brand running shoes over the next 12 months?

On a scale of 1 to 10 where 1 is very frequently and 10 is never, please indicate how frequently you run.

Please comment on the questions and the correlation? What is the cause and what is the effect?

Key Points

* The negative correlation actually implies a strong positive relationship between frequency of running and likelihood of purchasing Kooleo brand running shoes.

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Those who run frequently are also more likely to purchase Kooleo shoes. It would have been recommended that both scales run in the same direction to make the questionnaire easier for respondents to complete.

* The correlation itself does not imply that those who buy Kooleo shoes are more likely to be runners but intuitively this would be the more likely cause and effect relationship. It is possible though much less plausible that purchasing Kooleo shows will encourage respondents to run more.

Sample 11

Your client, a soft drink manufacturer, is considering launching a new sports drink in the Calgary and Vancouver markets. Taste test research found that 80% of 350 adult aged 18 to 35 years of age liked the product in Vancouver while only 72% of 400 adults in the same age range liked it in Calgary. Can you conclude that there is truly a difference in tastes between these two markets?

Key Points

* Standard error for Vancouver is: SQRT((80*20)/350) = 2.14

* Standard error for Calgary is: SQRT((72*28)/400) = 2.24

* Standard error of Difference is: SQRT(2.142+2.242) = 3.1

* z value for percentage (80-72)/3.1 = 2.58

* z is greater than 1.96

* You can be 95% confident that there is a true or statistical difference in tastes between the two markets, for drinkers within the same age bracket.

Sample 12

Your employer, Widgetop, manufactures machines that are used by companies to make widgets. Widgetop has enough development budget to implement only one of two enhancements this year. As the Research Manager of Widgetop, you conducted a survey of 200 of your 4000 existing customers to identify the value of each enhancement. Enhancement 1 was rated an 8.5 on a scale of 1 to 10 while enhancement 2 was rated an 8 on the same scale and the standards error is .19 for enhancement 1 and .23 for enhancement 2. Which enhancement do you recommend that Widgetop implement this year? Why?

Key Points

* Statistically you can conclude the difference is significant at the 90% confidence level (8.5-8)/(SQRT(0.192+0.232)) t=1.67; t is more than 1.65

* However, it is more common to adopt the 95% confidence level and therefore t would need to be greater than 1.96 to conclude the difference is significant

* Since there is a slight preference for Enhancement 1, it would be best to recommend it, all other things being equal. However, if there are any other considerations, such as lower production cost, weighing in the balance in favour of Enhancement 2, you should recommend it.

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Sample 13

You are the Director of Marketing Research for a large Canadian wealth management company, Bigmula Management. Your company focuses on individual Canadians with a minimum of $100K in investments (about one million Canadians), though it offers more comprehensive services to those with over $500K and over $1 million. It is especially interested in data on those segments. It knows that individuals with $500K to $1 million in investments represent 20% of its market, while those with over $1 million in investments represent only 5%. You recently led a qualitative research project which successfully achieved the objective of identifying important qualities of a wealth management firm. The marketing team would like to know which of the 20 qualities is most important. Your marketing team wants information that is as accurate as possible. You have budget enough to complete 600 surveys. What is the population for this study? Would a disproportionate sample be the right choice for this survey? Why or why not? Would a disproportionate sample affect the overall reliability of the data on the population? What would the confidence interval at the 95% confidence level be for the population if 200 interviews were conducted with:

* individuals with > $100K to < $500K in investments;

* individuals with $500K to $1million in investments; and

* individuals with > $1million in investments.

Key Points

* The population is individuals with a minimum of $100K in investments or about one million Canadians

* Given that those with $500K to $1million in investments and those with over $1million in investments represent an important market, it would be important to have statistically representative results for these groups. Given that they only represent 20% and 5% of the market respectively, it would be desirable to oversample these groups to ensure a statistically reliable proportion of them are included in the sample.

* Disproportionate sample does not affect reliability

* Since this is the equivalent of a sample size of 266, the confidence interval at the 95% confidence level would be +/-6 for the population

Sample 14

You are the Research Manager for Bizum, a high end umbrellas manufacturer and retailer. You are conducting a research survey to better understand how to convince adult Canadians of the value of your umbrellas which are sold at a premium price to other umbrellas. You planned to conduct a survey of 600 Canadians across the country to gather the information you need and the cost would be approximately $100 per survey.

Part 1: In an effort to save money, your VP of Marketing has suggested that you focus on the BC market only since that is where demand for umbrellas is the highest. Furthermore, he suggests that since fewer people live in BC than in the rest of Canada, you could use a much smaller sample size (say 300) and have the same level of precision. How do you

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respond? Why might it make more sense to do a survey of 300 BC adults instead of a national survey?

Part 2: Your VP of marketing has had a change of heart (i.e. realizes that his budget is significantly under spent). He now suggests that you increase the sample to 800 but include proportionately more BC adults in the survey due to the importance of the BC market. Assume that BC represents only 10% of the Canadian population. Is it appropriate to include more respondents from BC in the results? Why or why not?

Part 3: You go ahead with the survey of 800 respondents and include 260 from BC. One of the questions in the survey is whether colour is considered when choosing an umbrella. The results of this question are shown in the table below.

Is colour considered?

BC

Rest of Canada

Total

Yes

230

320

550

No

30

220

250

Total

260

540

800

What percent of adults in BC consider colour when deciding on an umbrella to purchase? What percent of adult Canadians consider colour when deciding on an umbrella to purchase?

What is the confidence interval at the 95% confidence level for BC and for the total results?

Are the BC results significantly different from the Rest of Canada results at the 95% confidence level?

Show all calculations

Key Points – Part 1

* Whether you sample BC or all of Canada, the same sample size would be required to generate the same confidence interval and level.

* With a representative sample of Canada, the results would be representative of all Canadians. Since the population of BC represents 10% of the population of Canada, the views of adults in BC would not figure strongly in the overall results and the number of BC adults found in the sample would be small (n=60 out of 600). If BC is a much more important population then a survey of 300 adults in BC would provide more reliable data on the BC market.

Key Points – Part 2

* If BC is a more important market, then it would be appropriate to have a sufficient number of responses in BC to identify any regional differences.

Key Points – Part 3

* 88% (230/260) of adults in BC say they consider colour

* 62% of Canadian adults say they consider colour – the calculation is as follows: Since BC accounts for 10% of the population we can divide the rest of Canada number to determine how much BC should count for in the national number. 540/.9 = 600 so the

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BC numbers count for 60 in the total count. The BC numbers should be weighted by

60/260 or .23. .23 *230 = 53. (53+320)/600 is 62%

* The confidence interval for BC for a sample of 260 is approximately +/-6.1% SQRT(2500/260)*1.96

* The confidence interval for the national numbers based on a sample of 600 (540/.9) is approximately +/-4% (SQRT(2500/600)*1.96)

* Standard error for BC = SQRT((88*12)/260) = 2.02

* Standard error for Rest of Canada = SQRT((59*41)/540) = 2.12

* Standard error of difference = SQRT(2.022+2.122) = 2.93

* (88-59)/2.93 t= 9.9 (which is far greater than 1.96 and is statistically significant)

Sample 15

A new Marketing VP has been hired to help your research agency increase its market share. She has an excellent reputation in business development but has little experience in marketing research. She sees a big opportunity for your agency to leverage its experience in the financial services sector. You have been the primary research agency used by the second largest company in the financial services sector and she has learned that the industry leader, who currently uses your main competitor, is currently changing its research agency and has issued a Request for Proposal (RFP). The new Marketing VP has asked you to respond to this RFP. What are your obligations?

Key Points

* The MRIA standards do not give a client exclusive access to a research agency, however, there might be a contract between the agency and the client that does.

* It would also be a professional courtesy for the agency to inform its existing client that it may be working for the major competitor based on the outcome of the RFP. Furthermore, it should be expected that the existing client will wish to discuss this and may choose to change to another agency after discussing it.

* No material related to the existing client may be shared with the potential new client (even if the existing client is dropped) including briefs, specifications, raw sample, research data and findings (except in the case of syndicated studies).

Sample 16

The sales team has suggested enhancements to one of the company's core products based on feedback from clients. The VP of Marketing has asked you, the Head of Marketing Research, whether you would recommend marketing research be done prior to the decision being made to proceed with the enhancements. What information would you need before providing a recommendation? When would you recommend research and in what cases would you not?

Key Points

* The need for research should be decided based on the cost of the research compared to the risk of making the wrong decision. Before making a recommendation you would need to know the cost of the enhancements and the likelihood that the

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enhancements would have a negative impact on sales. If the costs are insignificant and it is certain that the enhancements won't hurt sales, then an investment in research may not be necessary. If the costs are significant or if a wrong decision could have an impact on sales, then research would be recommended.

Sample 17

Your client, a major magazine publisher, is looking to launch a new magazine called the Executive Reader designed for professional males over 40 years of age. A mock-up of the first issue has been created based on content identified in prior research. The first issue can make or break a magazine. Before it goes to print, the publisher would like to get some additional feedback on the content and design to ensure that it meets the needs of its intended target audience. You agree to conduct two focus groups in each of the magazine's three major markets: Toronto, Vancouver and Calgary.

Part 1 - What questions would you include in the screener?

Part 2 - Develop an outline of the discussion guide?

Part 1 - Key Points:

* Readership or interest in similar magazines/publications

* MRIA Code of Conduct and Good Practice requires screening for:

o Not working now or previously in the industry (publishing), nor

advertising, marketing, research, public relations, or media

o Not having participated in a group discussion or in-depth interview on the same topic in the past two years

o No respondents should know one another

o No respondents may be recruited who have attended groups/in-depth interviews in the past 6 months; nor five or more groups or in-depth interviews in the past five years

o At least one third of the respondents recruited must never have attended a group discussion or in-depth interview before

o All respondents must have been living in the specified market area for at least the past two years

o All respondents must be able to speak, read, or write in the language of the group being conducted

* Further, the screener should indicate:

o the date, time and exact location,

o the length of the interview period

o the importance of punctuality

o The payment (and any associated terms)

o The importance of not bringing children/others to the groups

o The fact they may be rescreened prior to the discussion

o That they will be asked for identification at the facility

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MRIA Comprehensive Marketing Research Exam Study Guide December 13, 2010

o That they may be asked to complete pre-session exercises before the session.

Part 2 – Key Points:

a Moderator must explain to all respondents at the commencement of the groups:

o The presence and purpose of the one-way mirror, the video recording, and the audio recording

o The confidentiality of the respondents’ identities, unless they otherwise acknowledge and agree, in writing, to their personal information being disclosed to other organizations

o The proceedings are confidential, and it is understood that the respondent will keep the nature of the proceedings confidential.

a Focus group discussion guide could include a number of topics asking about readership of similar publications, presentation and evaluation of the new concept, interest in reading/subscribing to it themselves, etc.

Sample 18

Your research firm, XYZ Research, has recently conducted some research on behalf of Student Power, a reputable and well known lobby group in Ontario that has been fighting to have the government reduce college and university tuitions. One of the findings in the survey was that 95% of adults in Ontario agreed (somewhat or strongly) that reduced college and university tuition would benefit Ontario in the long term.

Your client was excited about this finding and is eager to promote it through a press release.

They have asked you to review their press release. An excerpt of the draft press release appears below.

New XYZ Research Study Proves That Ontarians Want Tuitions Cuts Now

A research survey of Ontario adults conducted by XYZ Research on behalf of Student Power proves that the views of Student Power are in line with the citizens of Ontario. Student Power has long been demanding a 40% cut to tuition rates and this recent survey shows that virtually all (95%) of Ontario adults agree. Respondents clearly stated that a reduction in tuition is essential to the long term success of Ontario.

What parts of the release would you ask your client to change and why?

If your client refuses to make these changes, what should you say?

Describe some of the information that your client must be willing to make available to

the public when publicizing this study.

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Key Points

* Research findings must only state what is found in the study (it doesn't say that the views of Student Power are in line with Ontarians; it doesn't specify the percent of the tuition cut and respondents didn't say that this was essential)

* If your client refuses, you must demand that your name not be used in any public use of the results

* Client should be prepared to release to the public: dates of interviewing; methods of obtaining the interviews (in-home, telephone or mail); population that was sampled; size and nature of sample; size of the sample upon which the report is based; and the exact wording of questions upon which the release is based.

Sample 19

A new company, YXZ Software Inc, a distributor of a line of financial planning software, has a very large and current customer database that it compiled from warranty

registration forms over the past year. Registration is mandatory to activate the software so the database includes all customers. Unfortunately, the VP of Marketing at YXZ never thought to ask for information other than name, e-mail address, phone number and mailing address on these forms. She would now like to know where customers purchased the software and their general interests so that she can better target YXZ software advertising. You have previously done some research for YXZ to test packaging designs and the company was very happy with the research you did. As a result, the company has asked you to recommend some additional research. What type of study do you recommend and why?

Sample 20

The Metro Food Bank (MFB) is a not-for-profit organization dedicated to supplying food to those in need in larger cities across Canada. It has a very limited budget and aims to use no more than 5% of budget to cover marketing and administration costs. Its goal is to spend 95% of the money it raises on providing food to those who need it. The Executive Director of MFB has learned that a similar charity that provides shelter to the homeless has recently completed a survey with its donors to understand how to make them into repeat donors. Their research has resulted in a significant increase in the number of donors for their shelter. Although she has no room for research in her budget she can see significant value in this kind of survey and would like to proceed with it. If she includes a question in the research study that asks respondents as the very last question: "Would it be okay to contact you to discuss donations to MFB?" then she can charge the survey as fundraising. You are the Account Manager of a large research firm and she has asked you to respond. What is your response?

Key Points

* Research surveys must never be combined with fundraising. See MRIA standards for FUGGGING

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MRIA Comprehensive Marketing Research Exam Study Guide December 13, 2010

Sample 21

Two months ago, Nature Snacks Inc., a small, snack food manufacturer launched a new line of chips made from oats called Chipoats. The product is similar in taste to potato chips but is healthier than potato chips. The product was launched based on new product development research you, as the Moderator, did for Nature Snacks Inc. Your research involved a series of 10 focus groups across the country to evaluate both the name, packaging and taste of the product. In your report you noted that despite some concerns over the name and product description, the vast majority of participants liked the packaging. More importantly, during the taste tests, virtually everyone raved that this was the best tasting snack food product they had ever tasted. Unfortunately after two months, sales have been dismal. The VP of Marketing for Nature Snacks is eager to improve the fortunes of this product. The traffic on www.NatureSnacks.com is very good and he would like to use this as a tool to promote the product. He remembered that the taste tests you conducted were videoed and he is convinced that the testimonials to the taste of the product would help to improve product sales. He has asked you to contact research participants to determine if the videos could be placed on their website. He'd also like to report that 95% of those who participated in the research liked the product. How do you respond? What suggestions do you give your client?

Key Points

* Video recordings for research purpose must be used for research purposes only and cannot be used for advertising. You could suggest that a separate taste test with reals consumers that is for advertising purposes be conducted or that a video be shot using actors

* Percentages and numbers should never be used or reported for focus groups results

* You could suggest that a formal survey (mall intercept or in-home taste tests) be conducted to determine the proportion of the population who like the taste of the product. That percentage could then be used in advertising.

Sample 22

You, as the Moderator, have just completed 16 focus groups across the country on behalf of your client, Kronk Kola, a leading Canadian cola manufacturer. Two groups were conducted in 8 Canadian cities, one with Kronk drinkers and one with those who preferred the market leading competitor, Plunge cola. Participants were asked to evaluate three different designs and compare them to the current design. The VP of Marketing at Kronk was extremely pleased to see that two of the new designs rated well above the competition and the existing design. He was also pleased to see that his favourite of the new designs was preferred by almost everyone over the rest. At the completion of the groups the VP of Marketing sent you an e-mail indicating that one of his assistants kept tabs on the number of people that liked each brand. He sent the percentages to you and asked if they were consistent with your numbers. He also asked that you include them in your report. What is your response? Would you recommend additional research? Why or why not?

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MRIA Comprehensive Marketing Research Exam Study Guide December 13, 2010

Key Points

* The purpose of the groups is to gauge reaction to the designs and not to determine the percentage of those who prefer one design over the other. Percentages should not be reported.

* Discussion of limitations of qualitative research

* Additional research should be recommended if greater certainty is needed to quantify which design should be selected (e.g., major costs to changing and/or major risk to market share with wrong design).

Sample 23

It is late Friday afternoon and your research firm will be conducting nine focus groups the following week on behalf of your client, a large financial services company. The recruiting has been going well. When you spoke with your Recruiting Manager early in the day, she indicated that ten participants have been recruited for eight of the groups and they were just looking for one more for the final group. Just as you are about to leave for the day, your Recruiting Manager calls and indicates that there has been a small problem in the recruiting. As part of your firms' normal quality control procedures, she was listening in on a Recruiter who was asking a friend, who clearly didn't meet the group requirements to agree to be the last participant in the group. When your Recruiting Manager approached the employee, he indicated that he had never done anything like this before but was hoping to fill this last spot in these groups so he could cut out a little early. This same recruiter recruited 14 of the other participants in your groups. What do you do?

Key Points

* Have this recruiter be taken off the project and discuss with your Recruiting Manager what disciplinary actions need to be taken.

* Take the following corrective actions:

o Confirmation calls should be made immediately to all 14 recruited participants to verify if they met specifications. If not, their participation should be cancelled and others recruited.

o If the participants do not meet criteria, the groups should be rescheduled and the client informed immediately of the situation with information on the solution and impact on the schedule of groups.

Sample 24

You learn from one of your Call Centre Supervisors that one of their Interviewers was completing an interview with someone who was clearly not in the target sample for a study being conducted for one of your clients. The Interviewer admitted that he called a friend because he was concerned that his number of completes on this shift was too low. He also indicated that he had never done this before and the other 100 interviews he completed were fine. The top line of the results is due to the client the next day and without these 100 interviews the top line report will not be ready and therefore be delivered late.

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MRIA Comprehensive Marketing Research Exam Study Guide December 13, 2010

Key Points

* Have this interviewer taken off the project and discuss with your Call Centre Supervisor what disciplinary actions need to be taken.

* Have other interviewers re-interview a sample (at least 10%) of the 100 interviews completed by this individual. If important differences are found between the verified interviews and the original ones, remove the remaining unverified interviews and replace them entirely in the final data.

* Inform the client of the situation as soon as possible and explain what corrective measures have been taken. Indicate that any additional interviews will be conducted at your cost.

* Explain the impact on the overall project timeline. Ask the client whether they want the top line for the interviews already completed and those verified (but without the unverified interviews).

Sample 25

A client wishes to have you, as a Moderator, conduct focus groups for three new types of cookies that it is developing. The formula of the new product is top secret. Your client would prefer not to share the ingredient list with participants in case the competition was to be recruited. Your client has indicated that all three varieties contain nuts and wants to make sure that no-one with a nut allergy participates in the groups. How do you address your client’s concerns and requests in accepting this assignment?

Key Points

* The screener should identify the possibility of nuts being in the product, but the screener can be vague. The screener should indicate that food will be served, and eliminate anyone who has a peanut allergy or a food allergy of any kind. The ingredient list must be available to respondents if requested during the group but they need not have a copy in advance or one they can take back with them.

* The screener should be used to minimize the risk of a competitor showing up by carefully screening for occupation – standard industry screeners as well.

* The screener should also cover usage questions so as to have likely purchasers in the groups.

Sample 26

You are the Manager of Marketing Research for ABC Direct, a computer hardware manufacturer and retailer. One of your primary research suppliers, ZYX Research, has just finished the fieldwork on a quantitative study that it is being done on your behalf. The purpose of the study was to assess customer satisfaction with your new premium laptop computer model called the X-85. A representative sample of 500 customers completed the survey. Respondents were asked them to rate their overall satisfaction with the X-85. The survey also asked them to rate both the importance of and their satisfaction with several attributes related to their purchase of the X-85. In advance of the full report, ZYX has provided you with the top line results as shown below.

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MRIA Comprehensive Marketing Research Exam Study Guide December 13, 2010

Percent stating

Very

Dissatisfied

 Very Satisfied

1

2

3

4

5

Overall Satisfaction

5%

10%

10%

35%

40%

Percent stating

Very

Dissatisfied

 Very Satisfied

Satisfaction with Attribute

1

2

3

4

5

Quality

5%

5%

23%

43%

24%

Customer Service When Buying

11%

25%

33%

22%

9%

Customer Support After Purchase

25%

25%

15%

15%

20%

Value For The Money

15%

15%

15%

25%

30%

Delivery

24%

5%

25%

16%

30%

Ease Of Set Up

4%

5%

11%

50%

30%

Design

3%

17%

30%

35%

15%

Portability

1%

5%

15%

39%

40%

Percent Stating

Not at all

Important

  Very Important

Importance Of Attribute

1

2

3

4

5

Quality

4%

8%

15%

33%

40%

Customer Service When Buying

1%

6%

23%

40%

30%

Customer Support After Purchase

20%

25%

25%

20%

10%

Value For The Money

5%

8%

15%

55%

17%

Delivery

16%

5%

44%

35%

0%

Ease Of Set Up

11%

4%

33%

35%

17%

Design

2%

5%

7%

35%

51%

Portability

5%

8%

15%

22%

50%

Part 1 - List three of the key findings of the research based on the topline results shown above.

Part 2 - What additional analysis, if any, would you ask ZYX to provide and why? Part 3 - Your colleagues in marketing were surprised by a few of the findings (lower than expected ratings on design, deliver, customer support and customer service) and have asked you to lead some additional research to determine why customers have rated these items this way. What additional research do you recommend and why?

Key Points – Part 1 (Note that there are many more key findings that could be listed. These are just three examples.)

* Difficult to determine the satisfaction rating is good or bad without baseline comparison.

* Although the scores for satisfaction with some key attributes are very low, overall satisfaction is fairly high. These poorly rated attributes are likely not key drivers of satisfaction for existing customers.

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MRIA Comprehensive Marketing Research Exam Study Guide December 13, 2010

* Satisfaction with customer support after purchase is an example of an attribute that is not highly rated and is also rated very low in importance to many customers

* Although the score for satisfaction with design is reasonably high, it is the most important attribute to clients and may be worthy of improving.

Key Points – Part 2

* Regression analysis of attribute satisfaction and overall satisfaction to determine which attributes are the major drivers of satisfaction.

* Correlation analysis could also be used.

* Should consider different models of customer satisfaction that link satisfaction, or loyalty back to purchasing intent or revenue.

Key Points – Part 3

* Qualitative research because it would allow you to explore in-depth the reasons why respondents answered the way they did.

Sample 27

There is a potential of adding to your company’s base of market knowledge. How? By having employees, especially those in the field, feedback information about your competitors. Imagine, for a moment, if all of your company’s employees were to provide meaningful CI on a regular basis. Information about product launches, new training programs and pricing strategies. Imagine how more timely and effective your marketing decisions would be. The first groups of people to be trained are sales reps, as they are in regular contact with other company reps and buyers who also do business with your competitors.

Your Director – Business Intelligence has asked you to come up with 5 to 7 key guidelines for the reps to follow when collecting CI. He emphasizes the absolute necessity that the reps collect the information ethically, which means no misrepresentation (pretending to be someone else) or underrepresentation (asking for information without telling why you want this information). What would you come up with?

Key Points

1. Do not seek to obtain trade secrets belonging to another company or organization.

2. Do not seek to obtain CI from a third party if you believe that information may have been wrongfully obtained.

3. Do not misrepresent your identity or use false pretexts of any kind, to obtain CI.

4. Do not ask a job applicant who works or worked for a competitor for confidential information about their company.

5. Do not dumpster dive, i.e. go through a competitor’s garbage.

6. Do use deductive problem solving to fill-in gaps in competitive information that cannot be found through open-source collection and ethical inquiry.

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MRIA Comprehensive Marketing Research Exam Study Guide December 13, 2010

7. If you are uncertain about the ethics of an issue, speak to your manager before proceeding.

Sample 28

As with more information based sciences, CI is evolving. In the past few years, for example, CI reporting has been made simpler and easier to read with the popularity of Power Point slides. Training has moved from classroom to 45 minute online modules for employees to learn how to collect and report CI they come across in the market. Awareness that dashboard packages are no substitutes for a formal CI program emphasizes human intelligence from knowledgeable sources and increases understanding that much of the information needs can be met by developing a network of communication within an organization.

Where do you see CI evolving in the next few years? Why?

Key Points

In the next few years, the following will take place:

* CI will be more streamlined. For example, tools to see into various social networking sites, professional organizations, corporate and government sites will be commonplace.

* Greater vigilance by companies on preventing sensitive information being leaked by their own employees.

* More push for CI by senior managers, since many in their previous roles as middle managers will have used CI.

* There will be greater embrace of CI by non-profit organizations. For example, health charities will need to know who else is planning a major gift campaign, while crown corporations expanding into overseas markets will need a better understanding of whom they will be competing against for new business.

* There will be an expanding role for competitive information from beyond one’s country, industry and language, so that foreign language skills as well as knowledge of developments in other industries and countries will become increasingly important if not essential.

* The average horizon for CI will expand beyond the immediate and near term.

* In a process that has already begun because of demand from senior management, information from CI, traditional market research and other sources will increasingly merge to make information sourcing more cost effective, thus reducing the rivalry between CI and traditional market research.

Sample 29

Writing a CI plan, like any other business plan, is an exercise that provides value and learning. Not only will you be forced to define the role that CI will play in your company, but it will also define the framework (e.g. people, time, budget, etc) in which the program will run. For the past few years, you have been responsible for writing your company’s

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MRIA Comprehensive Marketing Research Exam Study Guide December 13, 2010

CI plan. You recently hired an analyst and now it is her job to write the plan. What tips would you give to help her?

Key Points

* Keep your plan concise. This will ensure that more people will take the time to read the plan, and that it will not take an inordinate amount of time to update it.

* Speak to a CI manager in a non-competing leading edge industry that embraces CI to learn which factors have contributed to their success in setting up a CI program.

* Assume that you will not be able to meet everyone’s expectations. The best approach is to work out a compromise with those who will make use of the CI that you provide. Often an internal survey will uncover people’s true expectations and beliefs. Make every effort to conduct one and to communicate the results with your stakeholders before embarking on a CI program.

* Make sure your CI plan is linked to your marketing plan. For example, if the primary objective or your marketing plan is to achieve 5 percent growth for each of the next three years, your CI plan should include specific strategies to help achieve this goal.

* Make sure you list the key deliverables (e.g. customized analytics, templates for reporting CI, online CI training modules, guidelines for conducting CI ethically, etc), as these will serve as a benchmark when gauging the effectiveness of your program.

* Keep in mind that no matter how well conceived you plan is, success will ultimately depend on your ability to market CI to your stakeholders and their subsequent effort to make decisions with the competitive information.

* Include a timetable for feedback from stakeholders on their assessment of the CI they are receiving. Ask:

o Are they getting the CI they need?

o Are they reading the CI you sent them?

o Are better decisions being made as a result of the CI?

GOOD LUCK! YOU CAN DO IT!

Page 47 of 47

TEMPLATE 1: BUSINESS PARTNER INFORMATION

This template supports the auditee to collect information about the auditee’s own business partners. The auditee collects this information on every company that it does business with. The auditor shall review this information.

COMPANY CONTACT DETAILS

Company name:

Legal status:

Founding date:

Adress: Street number

ZIP code

City

Province

Country

GPS coordinates

Company website (if applicable):

Does it have production units? Yes No

Local currency:

Exchange rate to Euros:

Exchange rate date: Day Month Year

CONTACT PERSON DATA

Contact person: Job title

First name Last name

Email

Phone

(including country code & area code)

Primary language:

Official language for written communication

Secondary language:

Other relevant language for communication

(if applicable)

PRODUCTION DATA

Production volume

Production cost calculation Yes No

Lost time injury calculation cost

(part of the accident records)

PRODUCTION CALENDAR

In the table below, indicate the level of production activity for each month (low, medium, high).

January

February

March

April

May

June

July August September October November December

CERTIFICATION OVERVIEW Social and Environmental

Certificates

Name of the scheme:

Certificate or audit validity date:

Day Month Year

Link to online version:

Name of the scheme:

Certificate or audit validity date:

Day Month Year

Link to online version:

Name of the scheme:

Certificate or audit validity date:

Day Month Year

Link to online version:

Name of the scheme:

Certificate or audit validity date:

Link to online version:

Day Month Year

Name of the scheme:

Link to online version:

Name of the scheme:

Certificate or audit validity date:

Day Month Year

Link to online version:

WORKING ENVIRONMENT

Workers organisation or Trade union:

Workers organisation contact person, or workers representative:

Title (Mr./Mrs./

Ms.)

First Name

Last Name Position

Year of Election

Relevant trade union (if any):

Valid collective bargaining agreement (if any):

Legal regular working hours: Hours / Week

Specific overtime premium rate for standard day off (if any):

Legal regulation of shifts (if any):

Standard day off in the country:

Select relevant days

REMUNERATION PRACTICE IN THE COMPANY

per hour

per day

per week

per month

Specific industry-based remuneration (if any):

Description of legally granted social benefits:

Total minimum remuneration for a full-time worker (wages + social benefits):

How long does it take the auditee to pay its

workers after the working period is completed

(e.g. daily, monthly, piece-rate)?

SITUATIONAL DESCRIPTIONS

Description of any specific situation that led to overtime in the past six months (if no situation, answer NONE):

Description of any accident that occurred in the past six months (if no accident, answer NONE):

Description of a strike, walkout, and/or protest during the past 12 months (If not, answer NONE):

Description of a highly risky production technique that could harm workers’ health (e.g. sandblasting) or a less harmful replacement technique, if any (If not, answer NONE):

Description of any voluntary procedure meant to decrease the company’s adverse impact on the environment (If not, answer NONE):

Introduction

CAREFULLY READ AND UNDERSTAND THE CONTENTS

OF THIS INSTRUCTION MANUAL BEFORE USING THE EZSENSE

WARNING

Activation of your ezsense's audible buzzer alarm indicates the presence of combustible gases.

Dispose of instrument and batteries in accordance with local regulations.

WARRANTY

3 months from date of purchase, excluding batteries.

CAUTION

Water will damage the instrument.

Avoid using in areas with high humidity. If the ezsense is not to be used for several weeks, the batteries should be removed to prevent damage from leakage.

LIABILITY

In no event will Honeywell be liable for any incidental damages, consequential damages, special damages, punitive damages, statutory damages, indirect damages, loss of profits, loss of revenues, or loss of use, even if informed of the possibility of such damages. Honeywell's liability for any claims arising out of or related to this product will in no case exceed the order value. To the extent permitted by applicable law, these limitations and exclusions will apply regardless of whether liability arises from breach of contract, warranty, tort (including but not limited to negligence), by operation of law, or otherwise.

ezsense is a small, lightweight, economical gas leak detector using a catalytic bead sensor requiring no calibration. It can be used in checking gas leaks in pipes, fittings, valves, gas storage tanks, home appliances and hot water heaters. It will detect natural gas, methane, propane, butane and LPG.

Operating Instruction

1. Unscrew the battery cover, insert 2 x AA alkaline batteries (Positive terminals in first marked +), replace the battery cover.

2. Slide power switch to ON position. The ezsense will give an audible alarm and all three LEDs will flash. Wait for twenty seconds, the buzzer will beep for the end of warm up. Then the green LED will flash and the confidence beep will continue to be heard every three seconds. The ezsense is now ready to use.

3. Check the area suspected of leakage by pointing the gas sensor close to the area. The audible alarm will sound and the yellow LED, then the red LED will light up according to gas concentration if gas is detected.

4. Turn instrument off when finished.

5. The battery needs replacing when the green LED no longer lights.

ezsense Quick Test

In a well ventilated area, release a small amount of gas from a butane lighter in front of the sensor. The audible alarm should sound and the yellow LED and/or red LED will light up.

Specification

Function

Detecting flammable gas leakage

Range

0 ~ 10,000ppm (20%LEL)*

Green LED: Power On - gas less than 500ppm*

Display

Yellow LED: Low Alarm - over 500ppm*

Red LED: High Alarm - over 2,000ppm*

Approval codes

marked, EMC Directive 89/336/EEC

Power

DC 600mW

Battery

1.5V x 2

Consumption

Size

(AA Alkaline)

Detectable

Natural Gas,

Temperature

-10°~ +50°C

Gas

Butane, Propane, LPG and LNG

Humidity

Max 95%RH

Calibration

Not possible

Weight

110g

Dimension

188mm,

Ø30mm

* methane

Honeywell Analytics Honeywell Analytics Distribution, Inc.

4 Stinsford Road 400 Sawgrass Corporate Pkwy

Nuffield Industrial Estate Suite 100

Poole, Dorset BH17 0RZ, UK Sunrise, FL 33325, USA

Tel: +44 (0)1202 645577 Tel: +1 954 514 2700

Fax: +44 (0)1202 665331 Toll free: +1 800 538 0363

Fax: +1 954 514 2784

MAN0844 www.honeywellanalytics.com

TOSHIBA Telecommunication Systems Division

Voice Processing Systems

Release 3

System Administrator Guide

June 1999

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-SYSTM-VA

XXXXXXXXX

Version A, June 1999

© Copyright 1999

Toshiba America Information Systems, Inc.

Telecommunication Systems Division

All rights reserved. No part of this manual, covered by the copyrights hereon, may be reproduced in any form or by any means—graphic, electronic, or mechanical, including recording, taping, photocopying, or information retrieval systems—without express written permission of the publisher of this material.

Strata, Stratagy, and Perception are registered trademarks of Toshiba America Information Systems, Inc.

Trademarks, registered trademarks, and service marks are the property of their respective owners.

Introduction

This guide has been customized for your use and describes how to use the Stratagy System Administrator User ID Mailbox (User ID 999).

Organization

This System Administrator User Guide includes one or more of the following topics.

* System Administrator tells how to create a system-wide distribution list and describes the available System Administration Menu functions.

* How Stratagy Operates covers in detail Stratagy call processing control and the use of User IDs and User ID mailboxes and how Stratagy processes them.

* Users Menu provides detailed information on the three Users Menu screens and how to create, modify, copy, delete and list the User ID mailboxes. Includes instructions on accessing and exiting the menu/screens, menu options, and field descriptions for each screen.

* Auto (Scheduling) Menu provides detailed information on the Auto (Scheduling) Menu and how to create, modify or disable a record. Includes instructions on accessing and exiting the menu, menu options, field descriptions, and information on how Stratagy uses the records.

* Notify Menu provides detailed information on the Notify Menu and how to create, modify or disable a record or template. Includes instructions on accessing and exiting the menu, menu options, field descriptions and information on how Stratagy uses the records.

* Checklists/forms provides the following forms to simplify the System Administrator’s duties and functions.

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.

Stratagy R3 System Administrator Guide 6/99 1

Introduction Conventions

Conventions

Description

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”press

Indicates entry of a single key. For example: Type prog then 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.

?

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.

2 Stratagy R3 System Administrator Guide 6/99

Introduction

Related Documents/Media

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 provides a system overview, available hardware, and features of the Stratagy systems.

* Installation and Maintenance Manual provides installation and maintenance requirements and procedures for the Stratagy system. Also includes System Administration forms and instructions on how to configure the system.

* Stratagy User Guide (Release 3) provides the procedures necessary to operate the Stratagy system. The Guide includes a tear-out (wallet-size) Quick Reference Guide and a quick reference map (flowchart) outlining Stratagy’s features and operation.

* Quick Reference Guide (Release 3) provides a quick reference of frequently-used features.

* Stratagy Library CD-ROM contains a copy of all Stratagy documentation and enables you to view, print, navigate and search publications.

For authorized users, Internet site FYI (http://fyi.tsd.toshiba.com) contains all current Stratagy documentation and enables you to view, print, and download current publications.

Stratagy R3 System Administrator Guide 6/99 3

Introduction

Related Documents/Media

4 Stratagy R3 System Administrator Guide 6/99

Overview

Stratagy has a special User ID mailbox known as the System Administrator User ID mailbox. It is User ID 999, and you access it through the telephone just as any other User ID mailbox.

Note The System Administrator mailbox (User ID 999) cannot be assigned to another User ID 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 User ID mailboxes

* Customizing special User ID mailboxes

* Generating reports

* Performing system shutdown and restart

* Backing up the system

* Using Stratagy’s Filecopy utility

* Using the System Administrator User ID mailbox

Stratagy R3 System Administrator Guide 6/99 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

Enter User ID, press .

Confirms/returns to previous menu. Erases entry and prompts for re-entry. Changes Extension for User ID. Adds user name to directory. Cancels function/returns to previous menu.

Enter User's first name, press .

Enter User's last name, press .

2479

Figure 1 System Administrator Menu

4 Stratagy R3 System Administrator Guide 6/99

Overview

System Administrator Menu

Select Option on System Administration Menu

1. From the Main Menu, press S.

2. From the System Administration Menu, press:

7 Record system announcement

2 Delete system announcement

3 Record busy-hold music

4 Manage User IDs

5 Add User IDs

6 Set date and time

* Review system status

9 Return to Main Menu

Stratagy R3 System Administrator Guide 6/99 5

Overview

System Administrator Menu

6 Stratagy R3 System Administrator Guide 6/99

Features

Record System Announcement

System announcements are useful in disseminating system-wide information. With this option, you can record an announcement that Stratagy 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 deletes the announcement from the user’s mailbox.

You are prompted to enter the User ID.

Stratagy 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 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 R3 System Administrator Guide 6/99 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 User ID.

2. 

From the System Administration menu, press 2 Delete System Announcement.

Stratagy confirms the deletion.

3. 

When finished, press 9.

Returns to the main menu.

8Stratagy R3 System Administrator Guide 6/99

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 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 User ID.

2. 

From the System Administration menu, press 3 Record Busy-Hold Music.

Stratagy confirms the deletion.

3. 

When finished, press 9.

Returns to the main menu.

Stratagy R3 System Administrator Guide 6/99 9

Features

Manage User IDs

Manage User IDs

Manage User IDs enables you to perform special User ID functions.

You are prompted to enter the User ID.

Stratagy prompts you to enter the User ID.

Stratagy repeats the User ID entered.

Prohibits the user access to the mailbox.

Unlocks a locked User ID.

Clears the User ID 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 – Users Menu for information on creating a User ID Mailbox.

Enter User ID 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.

Resets password to password designated in default Mailbox (999). Enter User ID 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.

Cancels function and returns to the System Administration menu.

10 Stratagy R3 System Administrator Guide 6/99

Features Add User IDs

Add User IDs

You are prompted to enter the User ID.

Stratagy prompts you to enter the User ID.

Stratagy repeats the User ID entered and prompts you to confirm your entry.

Confirms and assigns the User ID, and returns you to the System Administration menu.

Erases first entry and prompts you to re-enter the correct number.

Changes the extension number for the User ID.

Enter the extension number and press #. Stratagy 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 User ID 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 User ID menu.

4 – Confirms and assigns the extension number for a blind transfer with supervised busy. Returns you to the Add User ID menu.

* – Cancels function and returns to the System Administrator menu.

Stratagy prompts you to first enter the User’s first name/last name.

Using the telephone’s dial pad, enter the user’s first name. When finished, press #. Enter the user’s last name. When finished, press #. Use 7 for Q and 9 for Z.

The User’s name is added to the directory.

Note Entries made using this option display as numeric characters in the Directory Name 1 and Directory Name 2 fields of the Users Menu (see Chapter 6 – Users Menu).

Cancels function and returns to the System Administrator menu.

Stratagy R3 System Administrator Guide 6/99 11

Features

Set Date and Time

Set Date and Time

You are prompted to enter the User ID.

Stratagy prompts you to enter the User ID.

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.

12 Stratagy R3 System Administrator Guide 6/99

Features

System Distribution Lists

System Distribution Lists

System lists are available as a special attribute of the System Administrator Main Menu, and are an excellent means of distributing interoffice memos to a large group of people in a timely manner. The lists also eliminate the need of every user creating a similar personal list.You can create up to seven system-wide lists. Examples of such lists include all users in the system or in a specific department and all company managers.

Stratagy processes mail sent to mailing lists as a low-priority task. Therefore, it may take several minutes to send the message to everyone on a large list, especially if the system is busy.

Create System Distribution List

The Manage Mailbox Menu plays.

The Manage Your Lists Submenu plays.

You are prompted to enter an option.

The system prompts you with the name (and extension) of each User ID on the list.

Stratagy prompts you to enter the User ID.

The name (and extension) plays. You can add additional User IDs as needed.

Stratagy prompts you to enter the User ID.

The name (and extension) plays. The system prompts “Deleted.”

When sending a message, the comment plays each time the destination list is selected.

Stratagy prompts you to record the comment.

You can create another System List or press 99 to return to the Main Menu.

Once defined, you can easily add or delete User IDs as needed to the list.

Stratagy R3 System Administrator Guide 6/99 13

Features

System Distribution Lists

Send Message Using a System List

Each system distribution list (1 - 7) in User ID 999 is available to all users and may be accessed when a user sends or forwards a message to a list. For more details, see the Stratagy User Guide.

1. 

Access Stratagy from your telephone by pressing * + your User

ID number + #.

2. 

Enter your security code

+ #.

3. 

From the Main Menu, press 2.

The Send Messages Menu plays.

4. 

Press 02.

5. 

Select the Distribution

List number (1 - 7).

6. 

Record your message.

To pause during the recording, press 4. To restart and continue recording, press 4 again.

7. 

Press # to send your message immediately and return to the Main Menu.

14 Stratagy R3 System Administrator Guide 6/99

System Administrator’s

Guide

MAN004

Taugagreining hf Armuli 10

108 Reykjavík, Iceland Tel: +354 580 7500 Fax: +354 580 7501 www.nervus.is  info@nervus.is

NERVUS System Administrator’s Guide

The Nervus range of Multimedia EEG systems has been designed and manufactured by Taugagreining hf, an Icelandic company that has always had an enviable reputation for innovation and quality of its products.

Taugagreining hf has been certified by SEMKO as an approved medical devices manufacturer as meeting the requirements of the Medical Devices Directive (93/42/EEC)

Taugagreining hf quality management system has been certified by SEMKO-DEKRA to comply with ISO 9001:2000.

The Nervus range of EEG systems has been independently tested and successfully approved to the following medical safety standards: EN 60601-1, EN 60601-1-2, IEC 601-1, IEC 601-1-2, UL 2601-1, CAN/CSA-C22.2 No. 601.1-M90, JIS T 1001/JIS T 1002 or JIS T 0601-1.

The Nervus range of EEG systems is CE Marked in

0413 accordance with the European Council Directive 93/42/EEC concerning medical devices.

Caution: in the USA federal law restricts this device to sale by, or on the order of, a physician

iii

NERVUS System Administrator’s Guide

Copyright

All rights reserved. This guide contains proprietary information which is protected by copyright and may not be copied in whole or in part except with the prior written permission of Taugagreining hf. The copyright and the foregoing restrictions on the copyright use extend to all media in which this information may be preserved.

This copy of the Administrator’s Guide shall be used only in accordance with the conditions of sale of Taugagreining hf or its distributors.

Taugagreining hf makes no representations or warranties of any kind whatsoever with respect to this document. Taugagreining hf disclaims all liabilities for loss or damage arising out of the possession, sale or use of this document.

NERVUS® is a registered trademark of Taugagreining hf.

Medelec® is a registered trademark of Oxford Instruments Medical. TECA® is a registered trademark of Oxford Instruments Medical

Microsoft® Windows®, Windows NT®, Windows XP® and Office® are registered trademarks of Microsoft Corporation.

pcAnywhere?? is a registered trademark of Symantec Corporation.

All other trademarks and product names are the property of their relevant owners.

Taugagreining hf

Ármúli 10

108 Reykjavik

Iceland

Tel: +354 580 7500

Fax: +354 580 7501

iv

NERVUS System Administrator’s Guide

Contents

1

Introduction

1

1.1

Background

1

1.2

HIPAA regulations

1

1.3

Purpose of this guide

1

1.4

Formal procedures

2

1.5

Definitions

3

1.6

Security and confidentiality policy

3

2

Data security: physical

5

2.1

Protection against power failure

6

2.2

Protection against loss or theft (portable NERVUS systems)

8

2.3

Archiving data from the NERVUS system

8

2.4

Backing up the NERVUS database

9

2.5

Backing up the network server(s)

12

3

Data confidentiality: internal

15

3.1

General

15

3.2

Classes of user

16

3.3

Password policy and security

18

3.4

Allocating NERVUS user names and passwords

19

3.5

Log off or lockout after use

20

3.6

Configuring network systems

21

4

Data confidentiality: external

23

4.1

Network recommendations

23

4.2

Dial-up access using pcAnywhere

24

4.3

Transferring data over the internet

26

v

NERVUS System Administrator’s Guide

vi

NERVUS System Administrator’s Guide

1 Introduction

1.1 Background

The security and confidentiality of patient information have always been important concerns for those who work in health care. With the increase in software-based medical systems the possibilities of breaching that security and confidentiality have increased. Several countries have now introduced legislation governing the handling of medical data. In the United States, for example, the HIPAA Regulations (Health Insurance Portability & Accountability Act) have been in force since 1996.

1.2 HIPAA regulations

The aims of the HIPAA regulations are to:

a) improve the efficiency of healthcare systems by standardising the interchange of electronic data;

b) protect the security and confidentiality of information held electronically in medical systems.

The law requires healthcare facilities to be seen to provide for the security and confidentiality of patient data under four broad headings:

* Administrative procedures: data security policy and responsibilities

* Physical safeguards: security of data against loss or damage

* Technical data security services: security of data against unauthorized access from within the organisation

* Technical security mechanisms: security of data against unauthorized access from outside the organisation

Purpose of this guide

This guide is intended to do four things:

1

NERVUS System Administrator’s Guide

1 Document Taugagreining’s policies relating to the security and confidentiality of patient data.

2 Provide background information on data security for administrators who are responsible for running hospital or healthcare systems.

3 Provide detailed information on how to use the security features of the NERVUS EEG system.

4 Advise on the best way of linking the NERVUS EEG system to the hospital or healthcare system without compromising the security of patient data.

It is also intended to help healthcare providers in their duty to satisfy the requirements of local regulations and guidelines such as the US Health Insurance Portability and Accountability Act of 1996 (Public Law 104-191), also known as the HIPAA.

1.4 Formal procedures

The hospital or healthcare facility should set up formal procedures for implementing security measures to cover the use of patient data. In particular, they should make clear the division of responsibility between those responsible for running their IT systems and those responsible for running the NERVUS EEG system.

In a small establishment, these may be the same person, but in a larger establishment different departments will be involved. It is important that the hospital management correctly and clearly assigns responsibilities to them. This Administrator’s Guide is intended to help them in that task.

2

NERVUS System Administrator’s Guide

1.5 Definitions

Those who run computer systems are often known as administrators, and it is likely that the person running the IT department of the hospital or healthcare facility will be known as the System Administrator. In addition to this, the NERVUS EEG system itself has three categories of user, one of which is Administrator. See Section 3.2.

To avoid confusion, this guide will refer to these people throughout as the IT System Administrator(s) and the NERVUS Administrator(s).

It is the responsibilty of the hospital management to define the division of responsibilities between the administrator(s) of the IT department and the Administrator-level users of the NERVUS EEG system.

1.6 Security and confidentiality policy

It is recommended that the hospital or healthcare facility should have a formal Security and Confidentiality policy, and that all NERVUS users and guest users should sign a declaration that this policy has been explained to them and that they understand it. This declaration would essentially encompass the password policy outlined in section 3.3. It should outline the user’s responsibilities and confirm the users understanding of those responsibilities.

In addition, it is the responsibility of the IT System Administrator(s) and the NERVUS Administrator(s) to follow the hospital’s guidelines on security and confidentiality of patient data.

3

NERVUS System Administrator’s Guide

4

NERVUS System Administrator’s Guide

2 Data security: physical

The principal threats to the physical security of data are:

1 Human error: many security breaches are caused by authorised staff. Examples are: not following a secure password policy; not logging off; inadvertently posting data in wrong place; not following backup procedures correctly.

2 Malicious damage to hardware or software (viruses, hackers etc.).

3 Failure of a computer or computer network.

4 For those using the NERVUS EEG System as a portable device, loss of the NERVUS system itself.

5 Power failure (ie failure of the main electricity supply).

6 Natural disaster (eg fire, flood or other natural disaster).

Human error: it is impossible to achieve complete protection against human error. However, risks can be minimized by having clear guidelines and operating procedures – especially for passwords and backups – and ensuring these are followed at all times.

Malicious damage: there should be anti-virus software installed, and frequently updated, on all computers and networks. Against hacking, the current best protection is a comprehensive system of password and up-to-date firewall protection. See Sections 3.3 and 4.3.

Other threats: to safeguard data against power failure, natural disaster, or the loss or failure of computers, the most important safeguard is to back up all systems and data, every 24 hours, in a way which makes it possible to recreate them even if all data is lost.

5

NERVUS System Administrator’s Guide

In a hospital or healthcare facility running a NERVUS EEG system, there are two main elements which will need to be backed up regularly:

* the server computers which run the hospital’s computer networks

* the database(s) which store data for the NERVUS EEG system

The server computers are likely to be the responsiblity of the IT department of the hospital. For the NERVUS databases, the hospital management must make it clear whether it is the responsibility of the IT department or the EEG department.

2.1 Protection against power failure

Responsibility: IT Administrator(s), under the direction of the management of the hospital or healthcare facility.

The hospital or healthcare facility should ensure that as little data as possible is lost in the event of the main electricity supply being cut off (black-out) or reduced (brown-out). This can be achieved using uninter-ruptible power supplies (UPS) and auxiliary power supplies.

A local UPS, to protect an individual terminal or terminals, can be used. This typically will provide protection against short or temporary local black-outs and regular brown-outs. A UPS of manageable size would typically give less than half an hour black-out protection. Because a computer may lose data if there is a momentary loss of power, it is recommended that the UPS be of the better ‘on-line’ type rather than the simpler, cheaper ‘off-line’ type.

6

NERVUS System Administrator’s Guide

An appropriate UPS will support the system for between 15 and 20 minutes allowing sufficient time to shut the system down safely. For example, a 1400VA smart UPS will support a server with a 4/300 or 6/450 Medea Videoraid for that period. For further recommendations, please contact your local NERVUS distributor.

For longer term protection a large-scale UPS serving the whole building is recommended. Such installations are very large but can give several hours protection against black-outs. Alternatively, an auxiliary mains generator could be used that automatically ‘cuts in’ when power is lost. Since there is often a momentary loss of power while this type of installation cuts in, the additional protection of a local UPS is recommended.

Note: for a NERVUS tower with an ISO1000 isolation transformer, the UPS should have a minimum output rating of 1050VA for 110-120V/200-240V~ input (950VA for 100V~ input);. The UPS should be approved to IEC601-1 or the equivalent national standard.

Clean supply

The mains power supply should be from a clean feed (i.e. mains spikes filtered out). This is likely to be a distributed supply dedicated to sensitive instrumentation and so isolated from the general power supply. A local on-line UPS can be used to perform this function. Then if the hospital supply fails through human error, the server PC(s) are less likely to be affected.

7

NERVUS System Administrator’s Guide

2.2 Protection against loss or theft

(portable NERVUS systems)

The hospital or healthcare facility should have a policy relating to NERVUS EEG systems when used as portable devices. The policy should cover:

* security of the system against theft on-site.

* a clear statement that the system may be taken off-site only by authorized personnel, together with a statement of who such personnel are.

* guidelines for handling portable systems (eg don’t leave a NERVUS Notebook in a visible position in a car, etc).

2.3 Archiving data from the NERVUS system

Responsibility: NERVUS Administrator(s).

In the NERVUS system, EEG data is moved by users from the Record folder to the Review folder, and from there to the Archive folder. The EEG files in the Archive folder should be archived at regular intervals using the NERVUS software, so that they can then be removed from the hard disk of the local NERVUS computer.

In addition, the NERVUS database should be backed up locally, every 24 hours, in accordance with local hospital policy. This cannot be done using the NERVUS software, but the software and procedures used should ensure that the backed up data can only be read using a NERVUS EEG system, and that it can not be disassembled or read using any other software.

8

NERVUS System Administrator’s Guide

In backing up the database there are four steps, of equal importance:

1 Perform the backup: copy the data from the hard disk of the computer where it is stored to CD or DVD.

2 Verification: check that the backup has been carried out successfully.

3 Labelling: make sure the CD or DVD is labelled ‘NERVUS database backup’, and clearly marked with the date.

4 Storage: make sure the CD or DVD is stored in a secure place.

2.4 Backing up the NERVUS database

General

Frequency of backup, number of copies made, and storage of CD or DVD disks, should be in accordance with the backup policy of your hospital or healthcare facility.

In addition:

* Use good quality (branded) media

* Handle CD or DVD disks with care

* Write on the CD or DVD only with CD-R ink pen.

Preliminary

1 Log on as Windows Administrator or NERVUS Administrator.

2 Close Study Room on the system you are using.

3 Make sure Study Room is closed on any other NERVUS systems which may be connected to this system.

4 Make sure you know the location of the NERVUS database (see below).

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NERVUS System Administrator’s Guide

To find or check the location of the NERVUS database:

1 From the Windows Start Menu select Settings, then Control Panel.

2 Double click on Administrative Tools.

3 Double click on Data Source (ODBC).

4 Click on the System DSN tab, then double click on TAUG. Note the location and type (Access or SQL) of the database.

5 Close the ODBC window, and close Control Panel.

Backup procedure for Access Databases

1 Open Windows Explorer.

2 Insert a CD or DVD disk into the CD or DVD drive.

3 In Explorer, double click on the CD or DVD drive which is going to be used for backing up.

4 Create a new folder on the CD or DVD. Give the folder a name which indicates the date of the backup (eg MAR2502). This will allow you to put more than one backup on to a disk.

5 In Windows Explorer, browse to the folder containing the TAUG data source (TAUG.mdb).

6 Select the files TAUG.mdb and TgConfig.mdb.

7 Drag and drop these two files on to the folder you created in step 4.

8 For DVD, the backup takes place as soon as you drag and drop. For CD, right click the drive icon for the CD, select ‘Write these files to CD’, then follow the instructions in the CD Writing Wizard. When the files have been written to CD, click on Finish.

Backup procedure for SQL Databases

1 Go to start – programs – database tool – Database tool.

2 Select Local as Server.

3 Select Taug as Database Type.

4 Select Backup in the Action section.

5 Select the backup device from the Backup Device combo box, or if this is the first backup, then click on the browse button, select a Backup Device and browse to a location to put the backup. Use the naming convention that is suggested.

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NERVUS System Administrator’s Guide

6 Go to the Backup section and select the correct database. Leave the Expiration set on 30 days.

7 Click the Backup button and the database will be backed up.

8 Select Config as Database Type.

9 Select Backup in the Action section.

10 Select the backup device from the Backup Device combo box, or if this is the first backup, then click on the browse button, select a Backup Device and browse to a location to put the backup. Use the naming convention that is suggested.

11 Go to the Backup section and select the correct database. Leave the Expiration set on 30 days.

12 Click the Backup button and the database will be backed up.

13 In Explorer, double click on the CD or DVD drive which is going to be used for backing up.

14 Create a new folder on the CD or DVD. Give the folder a name which indicates the date of the backup (e.g. MAR2502). This will allow you to put more than one backup on to a disk.

15 In Windows Explorer, browse to the folder containing the the backup. files *.tbak - *.cbak, usually called config.cbak and TAUGBackup.tbak.

16 Select the files.

17 Drag and drop these two files on to the folder created in step 14.

18 For DVD, the backup takes place as soon as you drag and drop. For CD, right click the drive icon for the CD, select ‘Write these files to CD’, then follow the instructions in the CD Writing Wizard. When the files have been written to CD, click Finish.

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NERVUS System Administrator’s Guide

2.5 Backing up the network server(s)

Responsibility: IT Administrator(s).

If a NERVUS server is connected to the hospital network, then this network server can also be backed up on a regular basis, as part of the standard network backup procedure. A procedure should be followed that allows backups to be run daily in a way that allows rapid recovery, should data be lost for any reason.

Backups must be checked regularly to make sure that all relevant information is being backed up, and that data can be successfully restored.

Media (e.g. tape) used for backup must be correctly labelled, and stored in a fire-proof safe, preferably off-site.

Hardware and software

It is the responsibility of the IT department in the hospital or healthcare

facility to select appropriate backup hardware and software.

Recommended backup schedule

If there is no standard backup schedule in place, then the following is

suggested:

Daily tapes 6 tapes re-used every week.

Weekly tapes 8 tapes re-used every 8 weeks.

Monthly tapes last working day of the month. 12 tapes. Monthly tape replaces whatever daily or weekly tape is due.

Yearly tapes Last day of the year.

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NERVUS System Administrator’s Guide

This system provides:

* the last six days’ data

* a further seven weeks’ data, going back in one week steps

* twelve months of data in monthly increments

* a copy of the year-end position.

All backups should perform an automatic verify operation after backup. This confirms that data has been written correctly to disk and provides a quick check on the log for the operator.

Suggested tape backup procedure

1 Check the logs to ensure the previous day’s backup was successful, and deal with any failures. If there has been a failure, investigate it and if required rerun the backup during the working day.

2 Remove the tapes. Mark their cases with the date of the backup and whether it was OK or failed.

3 Remove all backup tapes immediately from the server room and store them in the on-site fire safe. They should be transferred off-site within 24 hours.

4 Quick format the next tape in the cycle. This erases existing job details on the tape, and confirms that it can still be written to successfully.

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NERVUS System Administrator’s Guide

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NERVUS System Administrator’s Guide

3 Data confidentiality: internal

3.1 General

This section of the NERVUS Administrator’s Guide covers the protection of NERVUS patient details and EEG data against unauthorized access from within the hospital or healthcare facility.

There are three situations to guard against. In each case the suggested measures for protection are printed alongside:

Access to patient information by unauthorized users running the NERVUS software

The NERVUS system of user names and passwords prevents unauthorized users running the NERVUS software. Essential that a signed security policy or password policy be adhered to for NERVUS user names and passwords.

Access to patient information by unauthorized users looking at a NERVUS system which has been left running unattended

Essential that all NERVUS users log off from the NERVUS PC when it is not in use, and use the lockout facility if the machine is left running unattended.

Access by unauthorized users to NERVUS folders and files via Windows when the NERVUS software is not running

Essential that all NERVUS users log off from the NERVUS PC when it is not in use, and use the lockout facility if the machine is left running unattended.

All NERVUS users will need a user name and password allocated by the IT department or the NERVUS Administrator, to allow them to run the NERVUS PC and dedicated NERVUS software.

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NERVUS System Administrator’s Guide

3.2 Classes of user

Windows System Administrator

Only Windows System Administrators can create and register new users

for the PC, and control access rights for the existing users of the PC.

The default logon for the Windows System Administrator is:

User Name Administrator

Password WinSuprUsr

You may want to change this password, for security purposes, after the system has been installed.

NERVUS users

In the NERVUS system there are three classes of user:

Class of user Access rights

Admin NERVUS Administrator users have read/write/delete access to NERVUS patient and test data

Normal NERVUS Normal users have read/write access to NERVUS patient and test data

Guest NERVUS Guest users have read only access to NERVUS patient and test data

NERVUS Administrator

Within the NERVUS Study Room, NERVUS Administrators can create and register new users and control the access rights of existing users. It is the responsibility of the hospital management, in conjunction with the EEG department, to decide who will have NERVUS Administrator status. System Administrators should by default have NERVUS Administrator rights.

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NERVUS System Administrator’s Guide

The default logon for the NERVUS Administrator is:

User Name NERVUSAdmin

Password NrvAdmn

The default logon allows the NERVUS Administrator to log on to the system when it is delivered. They can then assign user names to other users of the NERVUS software. See Sections 3.3 and 3.4.

NERVUS Administrator status gives the right to:

* create new patient records

* read patient records

* edit patient records

* acquire EEG data and save new EEG recordings

* review recorded EEG data

* delete EEG recordings which have been stored on the system

* allocate user names and passwords to other users

* delete the user names and passwords of other users

* Save settings / protocols

NERVUS User

The default logon for NERVUS Normal users is:

User Name NERVUSUser

Password NrvUsr

NERVUS Normal users can:

* create new patient records

* read patient records

* acquire EEG data and save new EEG recordings

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NERVUS System Administrator’s Guide

NERVUS Guest

The default logon for NERVUS Guests is:

User Name NERVUSGuest

Password NrvGst

NERVUS Guests can:

* read patient records

* review recorded EEG data

3.3 Password policy and security

It is the responsibility of the hospital or healthcare facility to have a password policy in place. What follows is a summary of the procedures used in many establishments.

1 No password should ever be the same as the user name.

2 It is recommended that passwords should be at least 8 characters long, containing both numeric and alphabetic characters.

3 No member of staff should allow their password to be used by, or become known to, any other person. Passwords should not be written down (and in particular, they should not be written on Post-It notes and left on the monitor of the NERVUS PC).

4 If a user forgets their password or thinks that it has become known to others they must immediately inform the IT department or the NERVUS Administrator, so that their password can be changed.

5 All server PCs should be protected by an Administrator password that is known only to members of the IT department and is subject to the same rules for change as all user passwords.

The protocol for passwords and password changes should follow the guidelines laid down by the hospital or healthcare facility.

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NERVUS System Administrator’s Guide

3.4 Allocating NERVUS user names and passwords

It is the responsibility of the management of the hospital or healthcare facility, in consultation with the EEG department, to decide who should have System Administrator rights. It is then the responsibility of the System Administrator to assign the appropriate user levels to users of the system.

What is appropriate will vary from one establishment to another. The following is a rough guide only:

User level

Recommended for:

Administrator

Physician(s) in charge of an EEG department Senior technician(s)

Normal level

Technician(s) carrying out EEG recordings

Guest level

Medical staff needing to review EEG recordings as an aid to diagnosis or treatment

Creating new NERVUS users

Only NERVUS Administrators can create new NERVUS users.

To create a new NERVUS user name:

1 Log on as NERVUS Administrator or Windows System Administrator.

2 Start NERVUS Study Room, if it is not already running.

3 Choose User Administration from the Tools Menu.

4 Click on New User.

5 Enter the user’s name and job title, and select a user type from the drop-down list.

6 Click OK, and close the User Administration dialog box.

7 Register the new users as Windows users, if they are not already registered. See ‘Creating new Windows users’, below.

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NERVUS System Administrator’s Guide

Creating new Windows users

Before new NERVUS users can use the NERVUS system, they must be registered as Windows users as well. Only System Administrators can register new Windows users.

To create new user names and assign passwords, use the standard User Accounts management tool. Standard access rights are sufficient; no administrative rights are required, even for NERVUS Administrators.

3.5 Log off or lockout after use

Responsibility: NERVUS Administrator, who must explain the importance of this to all NERVUS Users and NERVUS Guests. It should also form part of the declaration signed by all users to say that they understand and accept the Security and Confidentiality policy of the hospital or healthcare facility.

It is essential that users of the system log off after making or reviewing an EEG recording, or while the NERVUS equipment is not in use. If they merely shut down Study Room, this gives unauthorized users access to patients’ personal and EEG data.

In addition, they should use the lockout option in Windows if they need to leave the NERVUS system unattended for a short period of time while a recording is in progress.

Logging off

1 Choose Log Off from the NERVUS Study Room File Menu.

2 Select Log Off from the drop-down list, then click OK.

This returns the system to the Windows logon screen.

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NERVUS System Administrator’s Guide

Lockout

To use the lockout facility (in Windows NT4, 2000, or XP), press Ctrl-Alt

Del, followed by K.

To unlock the system, press Ctrl-Alt-Del, then type in your password. The system can be unlocked only by the person who locked it, or by a NERVUS Administrator.

3.6 Configuring network systems

Responsibility: IT System Administrator

The information to control user names and passwords is stored on the server. So the ultimate responsibility for user names and passwords, and for system security in general, lies with the IT System Administrator. In particular, it is the IT System Administrator’s responsibility to ensure that a secure password policy is in place, and that it is observed.

Using the security features within Windows

Responsibility: IT System Administrator

Because the NERVUS database is not password-protected, it is important to set up system permissions in such a way as to prevent unauthorized users of Windows accessing patient details and EEG data.

This involves:

a) restricting access to the server computers; and

b) configuring user access and permissions for the NERVUS PC so that only authorized users can log on to the PC.

Other security measures

Anti-virus and firewall protection are needed for the NERVUS system and for the network (if the NERVUS system is networked). Use industry anti-virus and firewall software, not the cheaper domestic varieties, and make sure virus definitions are updated regularly. Make sure nobody is able to download or upload files to the NERVUS unit without permission.

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NERVUS System Administrator’s Guide

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NERVUS System Administrator’s Guide

4 Data confidentiality: external

This section of the NERVUS Administrator’s Guide covers the protection of NERVUS patient details and EEG data against unauthorized access from outside the hospital or healthcare facility. Such unauthorized access is most likely to occur when data is transmitted over a communications network, or when data is accessed by someone outside the hospital or healthcare facility using proprietery software such as pcAnywhere.

4.1 Network recommendations

Responsibility: IT System Administrator

a) In general, it is recommended that NERVUS EEG systems should use a dedicated isolated network (ie a network which is not connected to any other part of the hospital network).

b) For Routine EEG where digital video is not employed or is

employed for less than two hours per session, a shared network can be used, but high levels of traffic may affect the performance of the recorder and review stations. It is preferable to use a dedicated network.

c) For Long Term Monitoring where recordings include digital video for more than two hours per session, a dedicated network is essential. The operation of the NERVUS 64/128 EEG system is likely to be impaired by external traffic , and data throughput from the NERVUS 64/128 system will greatly reduce the transfer speed of a shared network.

d) If the EEG system forms part of a hospital intranet, then the same security precautions apply to the intranet as apply to the hospital network.

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NERVUS System Administrator’s Guide

Using switches to achieve optimal performance

In large network environments it is possible to use managed switches (eg Cisco) to filter network traffic. The filtering should be set to ensure that only traffic destined for NERVUS systems is passed through to the segment of the network which hosts the NERVUS systems. If the traffic is not filtered, and all network traffic is passed through to the NERVUS systems, this may impair the performance of the NERVUS systems.

4.2 Dial-up access using pcAnywhere

Responsibility: System Administrator

If your NERVUS EEG has pcAnywhere software installed on it, this will help service or support engineers to dial in to the NERVUS system remotely for the purposes of troubleshooting or maintenance.

It is essential that the hospital or healthcare facility set up appropriate levels of permission, both for the NERVUS EEG system and for pcAnywhere, to make sure the person dialling in does not have access to confidential patient and test details stored in the system database.

Installing pcAnywhere

Install the pcAnywhere software on the NERVUS system. If you have more than one NERVUS system, install it on the one with the modem. Follow the installation instructions supplied with the pcAnywhere software.

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NERVUS System Administrator’s Guide

Configuring pcAnywhere:

1 Run pcAnywhere.

2 Right click the MODEM icon, and select Properties.

3 Click on the Settings tab.

The settings for ‘After abnormal end of session’ should be:

   Wait 10 minutes; Cancel host; Secure by Logoff user. The settings for ‘After normal end of session’ should be:

Cancel host; Secure by Logoff user.

4 Click on the Callers tab, then click the Add New Caller icon (this is the left hand icon on the Toolbar).

5 Set the login name to ‘Remote’, and assign a password. Confirm the password, and click OK.

6 Select the Security Options tab. Set Encryption level to ‘pcAnywhere’. Click OK.

Security settings in pcAnywhere

Responsibility: System Administrator

These were set during installation, but can be changed at any time. To change security settings for pcAnywhere:

1 Right click the MODEM icon, and select Properties.

2 Use the Security options tab and Callers tab to make the changes you want to make.

Passwords and user names for pcAnywhere users Responsibility: System Administrator

The hospital or healthcare facility should allocate a single user name for the use of authorized users wishing to dial in, but should allocate a fresh password before each use. It is the System Administrator’s responsibility to check the identity of the person wanting to dial in before allocatng this password.

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NERVUS System Administrator’s Guide

Automatic disconnection

Responsibility: System Administrator

The automatic disconnection feature in pcAnywhere should be enabled, so that the phone line is disconnected if it detects no activity for a fixed period.

4.3 Transferring data over the internet

Responsibility: IT System Administrator

You cannot transfer data over the internet using the NERVUS software. Any such transfer would need to be under the control of third party software capable of secure data transmission.

If you are going to transfer EEG files via the internet, a Virtual Private Network (VPN) is recommended. Files transferred over the internet should always be encrypted, preferably through the use of a key-based encryption system. Follow the procedures laid down by your hospital or healthcare facility for transferring data over the internet.

Use of firewalls

Responsibility: IT System Administrator

Use of firewalls is recommended.

1 The computer network of the hospital or healthcare facility should prevent or restrict internet access for authorized NERVUS users.

2 For authorized NERVUS users using dial-up connection, personal fire-walls should restrict incoming and outgoing access to the internet.

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ZRC-90

Scene Master

USER MANUAL

Introduction:

ZRC-90 Scene Master is a Z-Wave Central Scene Controller. When one of the buttons on the ZRC-90 is pushed, your Z-Wave central controller will receive a signal which it can use to trigger unlimited control possibilities. With 8 buttons, each supporting a long-press capability, you can control 16 different actions in your central controller. The ZRC-90 is a great solution for triggering events more quickly than taking out your smart-phone and running a home control App. The Scene Master is ideal for kids, elderlies and guests who may not have full access to your smart home's mobile application and hence may not have the rights to switch on various lighting, heating, air conditioning and other home appliance. With a convenient snap-in wall mount, the ZRC-90 can also be removed to keep it handy while you go about your home for the ultimate in simple convenience.

Gateway Requirements

Please make sure your gateway supports below functions before use ZRC-90.

Z-Wave Command Class

Controlled

Supported

Association command class

Yes

No

Association Group Information (AGI) command class

Yes

No

Central Scene command class

Yes

Yes

Key Features

- Controls up to 8x2 pre-set scenes and 8 groups dimming function

- One learn-key setup and simple operation

-Report for key pressed 1 time, 2 times, released and held down

-Unlimited controlling capability through gateway

-Able to act as a primary or secondary controller

- Z-Wave Plus compliant

-Super thin, elegant design and able to mount to the wall-bracket

Glossary

Device or Node

Devices and nodes are all terms to describe an individual Z-Wave device. These are all interchangeable when setting up your Z-Wave network.

Inclusion

Add a Z-Wave device to the network.

Exclusion

Remove a Z-Wave device from the network.

Z-Wave Network

A collection of Z-Wave devices controlled by primary and secondary controllers operating on the same system. A Z-Wave network has its own unique ID code so that controllers not in the network cannot control the system.

Scene

A collection of Z-Wave devices configured to turn to a specific level, setting, mode, or perform an operation. Scenes are usually activated by a controller, timed event, or specific conditions.

Primary Controller

The first controller used to set up your devices and network. Only the Primary Controller can be used to include or remove modules from a network. It is recommended that you mark the primary controller for each network for ease in modifying your network.

Secondary Controller

A controller containing network information about other modules within the network and is used for controlling devices. Secondary controller is created from the Primary Controller and cannot include or remove modules to the network.

SUC ID Server (SIS)

When a SUC is also configured as a node ID server (SIS) it enables all other controllers to include/exclude nodes. The SIS automatically becomes the Primary Controller in the network when enabled. There can only be one SIS in each individual network. To avoid inconsistency, all node ID allocations are maintained by the SIS.

Inclusion Controller

The SIS enables other controllers to include/exclude nodes to/from the network. When SIS functionality is enabled the controller also takes the role as the Primary Controller because it has both latest network topology and allocated node IDs. All the other controllers are called Inclusion Controllers because they can include/exclude nodes to/from the network.

Product Overview 

Description of Function Keys

Keys

Functions

Scene control buttons

L

Learn mode (Click once)

W

Wake up (Click once)

R

Remove device (Click once)

Reset to factory default (Press and keep holding

10 seconds then triple click)

+

R L

Add device

(Press the keys until LED light up)

+

W L

Create Primary

(Press the keys until LED light up)

+

W R

Create Secondary

(Press the keys until LED light up)

OP PC

Slide switch

OP = Normal operation (default)

PC = PC firmware upgrade mode

(The slide switch is designed for firmware upgrade by supplier,

please switch to "OP" direction for normal operation.)

Setup and Operations

Before using the ZRC-90, please install the batteries:

-2xAAA (alkaline is recommended) batteries are required for operation.

-Remove the battery cover on the back of your remote.

-Check the polarity of the batteries and the "+/-" marks inside the battery

compartment.

-Insert the batteries.

-Push the battery cover back in place.

(Please carefully read through the following sections of this user manual and store for future reference.)

ZRC-90 can be included and operated in any Z-Wave network with other Z-Wave certified devices from other manufacturers and/or other applications. All non-battery operated devices within the network will act as repeaters regardless of vendor to increase reliability of the network.

ZRC-90 can act as a secondary Central Scene controller and trigger the predefined scenes through the gateway. Please follow "Add ZRC-90 into gateway network" by the procedures of "Learn mode" and "Scene activation and deactivation".

Z-Wave Learn mode

ZRC-90 can also receive network information from other controllers by enter "Learn mode".

(Add / Remove ZRC-90 into / from gateway network)

Step

Setup Key

Setup LED Indication Status

1

Refer to your primary controller instructions to process the Inclusion / Exclusion setup procedure.

-

2

When prompted by your primary controller (gateway), click once on the "L" button.

(The primary controller should indicate the action was successful. If the controller indicates the action was unsuccessful, please repeat above procedure.)

LED will flash slowly until

complete the step of

inclusion / exclusion.

3

User can perform scene control by the keypad of ZRC-90.

LED flash once then stay off if the scene operation is valid or

LED flashes 6 times rapidly then stay off if the command or operation is invalid

Notes:

1. If the device already existed into the network, the unit will exit Learn mode automatically after 5 seconds.

2. If the device does not exist into the network and no command from gateway, the unit will exit Learn mode automatically after 30 seconds.

Scene activation and deactivation

The real actions of scene will be depended on each gateway interpretation.

ZRC-90 key action

Gateway interpretation example

Key pressed 1 time (within 1 second )

Scene activation

Key released

-

Key held down (press and keep holding more than 2 seconds)

Dimming up/down for a group device

Key pressed 2 times (within 1 second )

Scene deactivation

Notes:

Association Group-1 will be a default status report channel in Z-Wave+ lifeline

requirement. Only one node can be assigned to this association group.

Z-Wave Wakeup (Listening mode)

There are multiple usages by entering this mode:

-Version information:

To get application software version, the Z-Wave protocol version and the

supported Z-Wave command version of this controller.

-Manufacturer Specific information:

To get the manufacture ID, product type ID and the product ID of this controller.

-Association configuration:

To create and maintain associations to ZRC-90.

Step

Setup Key

Setup LED Indication Status

1

Enter to the Listening mode by click once on "W" button.

LED will keep flashes slowly

2

Listening mode will exit automatically after 30

seconds of inactivity.

LED stay off

Notes:

1. The mode must not be exited during communication process with another controller. Please wait for entire communication process to be completed.

2. It is not allowed to enter any user input from the remote's hard key after entry this mode.

ZRC-90 act as a primary controller. It can perform Add/Remove device to/from a network and create a primary/secondary controller. Please reset ZRC-90 to factory default to act as a primary controller if need perform Add or Remove function.

Add/Remove Devices

Adding Device to the Network

Step

Setup Key

Setup LED Indication Status

1

Press "L+R" buttons simultaneously until LED light up to add the device into ZRC-90 Z-Wave network.

LED will keep flashes slowly

2

Press the program button on the target device.

LED flashes once then stay off if the device is included into the network or

LED flashes 6 times rapidly then stay off if the operation is invalid

Notes:

1. If you can't add your Z-Wave device, this device might have been included in another Z-Wave network. In this case, please remove this device following the steps in the [Removing Device from the Network] section then add this device again.

2. This step can be skipped if the device is already included in the network.

3. In a Z-Wave network, only the primary controller or inclusion controller can add or include devices into its network. If ZRC-90 is configured as a secondary controller, it will report "Error" if users attempt to use ZRC-90 to add a device into its network.

4. If no ACK signal received for more than 30 seconds, the "Add Device" mode will exit automatically.

Removing Device from the Network

Step

Setup Key

Setup LED Indication Status

1

Click once on "R" button to remove the device from ZRC-90 Z-Wave network.

LED will keep flashes slowly

2

Press the program button on the target device.

LED flashes once then stay off if the device is excluded from the network or

LED flashes 6 times rapidly then stay off if the operation is invalid

Notes:

1. In a Z-Wave network, only the primary controller or inclusion controller can remove or exclude devices from its network. If ZRC-90 is configured as a secondary controller, it will report "Error" if users attempt to use ZRC-90 to remove a device from its network.

2. If no ACK signal received for more than 30 seconds, the "Remove Device" mode will exit automatically.

Create a Primary Controller

(Transferring Only Network Information to a New Primary Controller)

You can just transfer network information to another controller so that it will act as a new primary controller and ZRC-90 will act as a secondary controller. This primary shift is done by following the steps below.

Step

Setup Key

Setup LED Indication Status

1

Place the two controllers close to each other.

-

2

Press "W + L" buttons simultaneously until LED light up.

LED will keep flashes slowly

3

Please make sure the target primary controller is setup

to receive information mode. (e.g. target primary

controller should entry the "Learn mode" if this is an another ZRC-90. Please refer to the target controller user manual for more information)

=> Target primary controller will act as a primary

LED will flashes slowly until complete the step of "Create a Primary Controller"

controller after this action.

=> Original ZRC-90 primary controller will act as a

secondary controller after this action.

Create a Secondary Controller

(Copying Network Information to a Secondary Controller)

You can add a secondary controller to your network and copy all of ZRC-90 primary controller's network information to the secondary controller by following the steps below.

Step

Setup Key

Setup LED Indication Status

1

Place the two controllers close to each other.

-

2

Press "W + R" buttons simultaneously until LED light up.

LED will keep flashes slowly

3

Please make sure the target secondary controller is

setup to receive information mode. (e.g. target

secondary controller should entry the "Learn mode" if this is an another ZRC-90. Please refer to the

target controller user manual for more

information)

=> Target secondary controller will act as a secondary

LED will flashes slowly until complete the step of "Create a Secondary Controller"

controller after this action.

=> Original ZRC-90 primary controller will still keep in a

primary controller after this action.

Reset to factory default

ZRC-90 will be excluded from network and restored to factory default setting.

Step

Setup Key

Setup LED Indication Status

1

Press and keep holding "R" button not less than 10 seconds.

- LED will light up at first 5 seconds

- LED will turn off after 10 seconds

2

Release "R" button then triple click on "R" button within 2 seconds.

- LED flashes twice then stay off

after reset process completed

Battery low indication

The unit will detect battery status after key pressed, the LED will flashes 3 times rapidly then stay off when battery low is detected. Meanwhile, it will report battery low status to gateway automatically.

Physical Installation

In case you need to mount the ZRC-90 into the wall bracket, please be sure to fully read the following precautions and procedures.

MOUNTING LOCATION PRECAUTIONS

-Before mounting, check the material and structure of the mounting location. If the location does not have the proper material or structure, the unit can fall and cause injuries.

-Use commercial items that best match the wall structure and material for the screws and other fixtures.

-Do not mount near a kitchen counter, humidifier, or other location in which it can

  be exposed to smoke or steam. Doing so could cause a fire or electrical shock. -Do not mount in locations with high humidity or large amounts of dust. Doing so

could cause a fire or electrical shock.

-Do not mount to locations subject to high temperatures, high humidity, or exposure to water. Doing so could cause a fire or electrical shock.

-Do not mount to locations subject to large amounts of vibration, large jolts, or large forces. These could cause an injury if the unit falls and breaks.

MOUNTING PROCEDURE PRECAUTIONS 

-Do not modify parts or use the unit in ways other than its intended use. Doing

so could cause the unit to fall and result in an injury.

-Be sure to fully check that there are no electrical wires or pipes inside the wall

before mounting.

-If any of the screws are loose, the unit can fall and cause an injury. Do not

mount the unit with the screws still loose.

-Check that the two screws mounted to the wall are fully inserted into the key

holes of the unit. Otherwise, the unit can fall and cause an injury.

-Do not mount the unit so that it sticks out from the wall edge. It could get hit by

people's bodies or objects and cause an injury.

-Supplier will not be liable for any accidents or injuries that occur due to

improper mounting or handling.

-When mounting, be careful not to get your fingers pinched or injure your hands.

MOUNTING PROCEDURE 

The ZRC-90 can be mounted to a wall or wooden racks using the two key holes in

the wall bracket.

Notes:

1. The RF reception sensitivity and transmit power are varies depending on the antenna direction.

2. Before mounting to a wall, be sure to fully read the precautions.

Technical Specifications

Model no.

BW8510US (ZRC-90US) BW8510EU (ZRC-90EU)

BW8510AU (ZRC-90AU) BW8510RU (ZRC-90RU)

BW8510IN (ZRC-90IN) BW8510IL (ZRC-90IL) BW8510JP (ZRC-90JP)

RF frequency

908.42MHz (ZRC-90US) 868.42MHz (ZRC-90EU)

921.42MHz (ZRC-90AU) 869.02MHz (ZRC-90RU)

865.22MHz (ZRC-90IN) 916.02MHz (ZRC-90IL) 922.50MHz (ZRC-90JP)

LED indication

Blue

RF operating distance

up to 132ft (40m) outdoor line of sight, in unobstructed environment

Powered by

Dry battery AAA x 2pcs

Temperature

Operation: 0 to 40 oC

Storage: -20 to 60 oC

Humidity

20 to 85%, non-condensing

Dimension

110mm x 70mm x 13.5mm

Weight:

60g (main unit and batteries excluded)

15g (wall mount bracket)

Checking Accessories

After opening the cover of the packing box, check that the following accessories are included.

- ZRC-90 Scene Master -Plastic insert

-Wall mount bracket -Wall anchor x 2pcs

-Screw x 2pcs -User Manual

-Warranty sheet -Scene label sheet

Scene Reference List

Scene Button

Action in Single Click

Action in Double Click

Remark

1

2

3

4

5

6

7

8

(Please write down the scene action in case you need further reference in the future.)

Wireless Information

This device has an open-air line-of-sight transmission distance of 132 feet (40m) which complies with the Z-Wave standards. Performance can vary depending on the amount of objects in between Z-Wave devices such as walls and furniture. Every Z-Wave device set up in your network will act as a signal repeater allowing devices to talk to each other and find alternate routes in the case of a reception dead spot.

Radio frequency limitations:

1. Each wall or object (i.e.: refrigerator, bookshelf, large TV, etc) can reduce the maximum range of 65 feet (20m) by up to 20 to 30%.

2. Plasterboard and wooden walls block less of the radio signal then concrete, brick or tile walls which will have more of an effect on signal strength.

3. Wall mounted Z-Wave devices will also suffer a loss of range if they are housed in metal junction boxes which could also reduce the range by up to 20 to 30%.

Maintenance

1 Do not expose your unit to dust, strong sunlight, humidity, high temperatures or mechanical shocks.

2 Do not use old and new batteries together as old batteries tend to leak.

3 Do not use corrosive or abrasive cleansers on your unit.

4 Keep the unit dust free by wiping it with a soft, dry cloth.

5 Do not disassemble the unit, it contains no user-serviceable parts.

FCC Notice

This device complies with Part 15 of the FCC rules. Operation is subject to the following two conditions:

(1) this device may not cause harmful interference, and

(2) this device must accept any interference received, including interference that may cause undesired operation.

Note:

This equipment has been tested and found to comply with the limits for a Class B digital device, pursuant to Part 15 of the FCC Rules. These limits are designed to provide reasonable protection against harmful interference in a residential installation. This equipment generates, uses and can radiate radio frequency energy and, if not installed and used in accordance with the instructions, may cause harmful interference to radio communications. However, there is no guarantee that interference will not occur in a particular installation. If this equipment does cause harmful interference to radio or television reception, which can be determined by turning the equipment off and on, the user is encouraged to try to correct the interference by one or more of the following measures:

-Reorient or relocate the receiving antenna.

-Increase the separation between the equipment and receiver.

-Connect the equipment into an outlet on a circuit different from that to which the receiver is connected.

-Consult the dealer or an experienced radio/TV technician for help.

Notice:

Changes or modifications to this unit not expressly approved by the party

responsible for compliance could void the user authority to operate the equipment.

Warnings

-Do not modify the unit in any way.

-Risk of fire.

-Risk of electrical shock.

-Risk of burns.

-Do not dispose of electrical appliances and unsorted municipal waste, use

separate collection facilities. Contact your local government for information

regarding the collection systems available.

-There is no user serviceable parts in this unit.

-Use only power supplies listed in the user instructions.

Caution

-Risk of explosion if battery is replaced by an incorrect type.

-Dispose of used batteries according to the instructions.

Printed in China F820-8510-0000

Questions

Answers

General Questions

What is Dominion KX II?

Dominion KX II is a second generation digital KVM (keyboard / video / mouse) switch that enables IT administrators to access and control 16, 32 or 64* servers over the network with BIOS-level functionality. Dominion KX II is completely hardware and OS-independent; users can troubleshoot and reconfigure servers even when servers are down.

At the rack, Dominion KX II provides the same functionality, convenience, space savings and cost savings as traditional analog KVM switches. However, Dominion KX II also integrates the industry’s highest-performing KVM-over-IP technology, allowing multiple administrators to access server KVM consoles from any networked workstation.

How does Dominion KX II differ from remote control software?

When using Dominion KX II remotely, the interface, at first glance, may seem similar to remote control software such as pcAnywhereTM, Windows® Terminal Services / Remote Desktop, VNC, etc. However, because Dominion KX II is not a software but a hardware solution, it’s much more powerful:

* OS- and hardware-independent – Dominion KX II can be used to manage servers running many popular OS, including Intel®, Sun®, PowerPC running Windows, Linux®, SolarisTM, etc.

* State-independent / Agentless – Dominion KX II does not require the managed server OS to be up and running, nor does it require any special software to be installed on the managed server.

* Out-of-Band – Even if the managed server’s own network connection is unavailable, it can still be managed through Dominion KX II.

* BIOS-level access – Even if the server is hung at boot up, requires booting to safe mode, or requires system BIOS parameters to be altered, Dominion KX II still works flawlessly to enable these configurations to be made.

How do the new features of the Dominion KX II compare to the KX I?

Dominion KX II has many new and exciting features, including virtual media, dual power, dual gigabit Ethernet, common Web-based user interfaces, next generation local port, etc. See the “Features and Benefits” tab on the KX II Web pages on Raritan.info/KXII.

How do I migrate from the Dominion KX I to Dominion KX II?

In general, KX I customers can continue to use their existing switches for many years. As their data centers expand, customers can purchase and use the new KX II models. Raritan’s centralized management appliance, CommandCenter® Secure Gateway, and the Multiplatform Client both support KX I and KX II switches seamlessly.

Will my existing KX I CIMs work with the Dominion KX II switch?

Yes, existing KX I CIMs will work with the Dominion KX II switch. In addition, select Paragon CIMs will work with the KX II. This provides an easy migration to KX II from Paragon I customers who wish to switch to KVM-over-IP.

Dominion KX II Frequently asked questions

1/10

Questions

Answers

Can Dominion KX II be

rack mounted?

Yes, The Dominion KX II ships standard with 19” rack mount brackets. It can also be reverse rack mounted so the server ports face forward.

How large is Dominion KX II?

Dominion KX II is only 1U in height (except KX464 is a 2U), fits in a standard 19” rack mount, and occupies only 29 cm in depth.

Remote Access

How many users can remotely

access servers on each

Dominion KX II?

Dominion KX II models offer remote connections for up to eight users per user channel to simultaneously access and control a unique target server. For one-channel devices like the DKX2-116, up to eight remote users can access and control a single target server. For two-channel devices, like the DKX2-216, up to eight users can access and control the server on channel one and up to another eight users on channel two. For four-channel devices, up to eight users per channel, for a total of 32 (8 x 4) users, can access and control four servers in a similar fashion.

Can two people look at the same server at the same time?

Yes, actually up to eight people can access and control any single server at the same time.

Can two people access the same server, one remotely and one from the local port?

Yes, the local port is completely independent of the remote “ports.” The local port can access the same server using the PC-Share feature.

In order to access Dominion KX II from a client, what hardware, software or network configuration is required?

Because Dominion customers to install optional installed accessing Dominion

Dominion KX II can Internet Explorer, accessed on Windows, via Raritan’s JavaKVM ClientTM.

Dominion KX II administrators passwords and security, a convenient browser

KX II is completely Web-accessible, proprietary software on clients client is available on Raritan.info

    it doesn’t require used for access. (An for the purposes of

browsers including: KX II can now be desktops,

and the new Virtual

    management (set IP address, etc.) using

KX II via modem).

be accessed through major Web MozillaTM and Firefox. Dominion Linux, Sun Solaris and Macintosh® -based Multiplatform Client (MPC)

      can also perform remote rename servers, change -based interface.

      

What is the file size of the applet that’s used to access Dominion KX II? How long does it take to retrieve?

The Virtual KVM Client applet used to access Dominion KX II is approximately 500KB in size. The following chart describes the time required to retrieve Dominion KX II’s applet at different network speeds:

100Mbps

Theoretical 100Mbit

network speed

0.05

seconds

60Mbps

Likely practical 100Mbit

network speed

0.08

seconds

10Mbps

Theoretical 10Mbit

network speed

.4 seconds

6Mbps

Likely practical 10Mbit

network speed

.8 seconds

512Kbps

Cable modem download

speed (typical)

8 seconds

How do I access servers connected to Dominion KX II if the network ever becomes unavailable?

Dominion KX II offers a dedicated modem port for attaching an external modem. With an externally-connected modem, servers can still be remotely accessed in the event of a network emergency. Furthermore, Dominion KX II’s local ports always allow access to servers from the rack, no matter the network condition.

Dominion KX II Frequently asked questions Page 2/10

Questions

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Do you have a non-Windows client?

Yes. Both the Virtual KVM Client and the Multiplatform Client (MPC), allow non-Windows users to connect to target servers through the Dominion KX I and KX II switches. MPC can be run via Web browsers and standalone. Please refer to Raritan’s Dominion KX II and MPC User Guides for more information.

My modem connection dropped and I got the error message “There was an unexpected communications error – connection terminated.”

What should I do?

This might have happened based on the frequency with which the user tried to connect via modem. Reboot the KX unit and modem, and for future connections, wait at least two (2) minutes between attempts.

Universal Virtual Media

What Dominion KX II models support virtual media?

All Dominion KX II models support virtual media. It is available standalone and through CommandCenter Secure Gateway, a centralized management appliance.

What types of virtual media does the Dominion KX II support?

Dominion KX II supports the following types of media: internal and USB-connected CD/DVD drives, USB mass storage devices, PC hard drives and remote drives.

What is required for virtual media?

The new D2CIM-VUSB CIM is required for virtual media. It supports virtual media sessions to target servers supporting the USB 2.0 interface. Available in economical 32 and 64 quantity CIM packages, this new CIM supports Absolute Mouse Synchronization as well as remote firmware update.

Is virtual media secure?

Yes. Virtual media sessions are secured using 128 bit AES or RC4 encryption.

Ethernet and IP Networking

Does Dominion KX II offer dual gigabit Ethernet ports to provide redundant fail-over, or load balancing?

Yes. Dominion KX II features dual gigabit Ethernet ports to provide redundant failover capabilities. Should the primary Ethernet port (or the switch/router to which it is connected) fail, Dominion KX II will failover to the secondary network port with the same IP address – ensuring that server operations are not disrupted. Note that automatic failover must be enabled by the administrator.

Dominion KX II Frequently asked questions Page 3/10

Questions

Answers

How much bandwidth does

Dominion KX II require?

Dominion KX II offers next generation KVM-over-IP technology – the best video compression available. Raritan has received numerous technical awards confirming its high video quality transmissions and the low bandwidth utilization.

Raritan pioneered the KVM-over-IP functionality that allows users to tailor their video parameters to conserve network bandwidth. For instance, when connecting to Dominion KX II through a dial-up modem connection, video transmissions can be scaled to grayscale – allowing users to be fully productive while ensuring high performance.

With that in mind, the following data refers to Dominion KX II at its default video settings – again, these settings can be tailored to a specific environment. They can be increased to provide even higher quality video (color depth), or decreased to optimize for low-speed connections. As a general rule, a conservative estimate for bandwidth utilization (at Dominion KX II’s default settings) is approximately 0.5Mbit/seconds per active KVM user (connected to and using a server), with very occasional spikes up to 2MBit/seconds. This is a very conservative estimate because bandwidth utilization will typically be even lower.

Bandwidth required by each video transmission depends on what task being performed on the managed server. The more the screen changes, the more bandwidth is utilized. The table below summarizes some use cases and the required bandwidth utilization at Dominion KX II’s default settings on a 10Mbit/s network:

very

is

Idle Windows Desktop

0 Mbps

Move Cursor Around Desktop

0.18Mbps

Move Static 400x600 Window/Dialog Box

0.35Mbps

Navigate Start Menu

0.49Mbps

Scroll an Entire Page of Text

1.23Mbps

Run 3D Maze Screensaver

1.55Mbps

What is the slowest connection (lowest bandwidth) over which Dominion KX II can operate?

33Kbps or above is recommended for acceptable KX performance over a modem connection.

What is the speed of

Dominion KX II’s Ethernet interfaces?

Dominion KX II supports Gigabit as well as 10/100 Ethernet. KX II supports two 10/100/1000 speed Ethernet interfaces, with configurable speed and duplex settings (either auto-detected or manually set).

Can I access Dominion KX II over a wireless connection?

Yes. Dominion KX II not only uses standard Ethernet, but also very conservative bandwidth with very high quality video. Thus, if a wireless client has network connectivity to a Dominion KX II, servers can be configured and managed at BIOS-level wirelessly.

Can Dominion KX II be used over the WAN (Internet), or just over the corporate LAN?

Whether via a fast corporate LAN, the less predictable WAN (Internet), cable modem or dial-up modem, Dominion KX II’s KVM-over-IP technology can accommodate the connection

Can I use Dominion KX II with a VPN?

Yes. Dominion KX II uses standard Internet Protocol (IP) technologies from Layer 1 through Layer 4. Traffic can be easily tunneled through standard VPNs.

How many TCP ports must be open on my firewall in order to enable network access to Dominion KX II? Are these ports configurable?

Only one. Dominion KX II protects network security by only requiring access to a single TCP port to operate. This port is completely configurable for additional security.

Note that, of course, to use Dominion KX II’s optional Web browser capability, the standard HTTPS port 443 must also be open.

Dominion KX II Frequently asked questions Page 4/10

Questions

Answers

Does Dominion KX II require

an external authentication server

to operate?

No. Dominion KX II is a completely self-sufficient appliance. After assigning an IP address to a Dominion KX II, it is ready to use – with Web browser and authentication capabilities completely built-in.

If an external authentication server (such as LDAP, Active Directory®, RADIUS, etc.) is used, Dominion KX II allows this as well, and will even failover to its own internal authentication should the external authentication server become unavailable. In this way, Dominion KX II’s design philosophy is optimized to provide ease of installation, complete independence from any external server and maximum flexibility.

Can Dominion KX II be used

with CITRIX?

Dominion KX II may work with remote access products like CITRIX if configured appropriately, but Raritan cannot guarantee it will work with acceptable performance. Customers should realize that products like CITRIX utilize video redirection technologies similar in concept to digital KVM switches so that two KVM-over-IP technologies are being used simultaneously.

Can the Dominion KX II use DHCP?

DHCP addressing can be used, however, Raritan recommends fixed addressing since the Dominion KX II is an infrastructure device and can be accessed and administered more effectively with a fixed IP address.

I’m having problems connecting to the Dominion KX II over my IP network. What could be the problem?

The Dominion KX II relies on the customer’s LAN/WAN network. Some possible problems include:

* Ethernet auto negotiation. On some networks, 10/100 auto negotiation does not work properly and the KX II unit must be set to 100MB/full duplex or the appropriate choice for its network.

* Duplicate IP Address. If the IP Address of the KX II is the same as another device, network connectivity may be inconsistent.

* Port 5000 conflicts. If another device is using port 5000, the KX II default port must be changed (or the other device must be changed).

* When changing the IP Address of a KX II, or swapping in a new KX II, sufficient time must be allowed for its IP and Mac addresses to be known throughout the Layer 2 and Layer 3 networks.

Servers

Does Dominion KX II depend on a Windows server to operate?

Absolutely not. Because users depend on the KVM infrastructure to always be available in any scenario whatsoever (as they will likely need to use the KVM infrastructure to fix problems), Dominion KX II is designed to be completely independent from any external server. For example, should the data center come under attack from a malicious Windows worm or virus, administrators will need to use the KVM solution to resolve the situation. Therefore, it is imperative that the KVM solution, in turn, must not rely on these same Windows servers (or any server, for that matter) to be operational in order for the KVM solution to function. To this end, Dominion KX II is completely independent. Even if a user chooses to configure the Dominion KX II to authenticate against an Active Directory server – if that Active Directory server becomes unavailable, Dominion KX II’s own authentication will be activated and fully functional.

Do I need to install a Web server such as Microsoft Internet Information Services (IIS) in order to use Dominion KX II’s Web browser capability?

No. Dominion KX II is a completely self-sufficient appliance. After assigning an IP address to Dominion KX II, it’s ready to use – with Web browser and authentication capabilities completely built-in.

What software do I have to install in order to access Dominion KX II from a particular workstation?

None. Dominion KX II can be accessed completely via a Web browser (although an optional installed client is provided on Raritan’s Web site Raritan.info for the purpose of accessing Dominion KX II via modem).

A Java-based client is now available for non-Windows users.

Dominion KX II Frequently asked questions Page 5/10

Questions

Answers

What should I do to prepare a server for connection to Dominion KX II?

Simply set the mouse parameters in order to provide users with the best mouse synchronization during remote connections, as well as turning off the power management features that effect screen display. However, if the Absolute Mouse SynchronizationTM is supported through the new D2CIM-VUSB adapter, then manually setting the mouse parameters isn’t necessary.

What comes in the

Dominion KX II box?

The following is included: (a) Dominion KX II unit; (b) Quick Setup Guide; (c) standard 19" rack mount brackets; (d) User manual CD-ROM; (e) Network cable; (f) Crossover cable; (g) Localized AC Line Cord; (h) Warranty certificate and other documentation.

Installation

Besides the unit itself, what do I need to order from Raritan to install Dominion KX II?

Each server that connects to Dominion KX II requires a Dominion or Paragon Computer Interface Module (CIM), an adapter that connects directly to the keyboard, video and mouse ports of the server.

What kind of Cat5 cabling should be used in my installation?

Dominion KX II can use any standard UTP (unshielded twisted pair) cabling, whether Cat5, Cat5e, or Cat6. Often in our manuals and marketing literature, Raritan will simply say “Cat5” cabling for short. In actuality, any brand UTP cable will suffice for Dominion KX II.

What types of servers can be

connected to Dominion KX II?

Dominion KX II is completely vendor independent. Any server with standard-compliant keyboard, video, and mouse ports can be connected.

How do I connect servers

to Dominion KX II?

Servers that connect to the Dominion KX II require a Dominion or Paragon CIM, which connects directly to the keyboard, video, and mouse ports of the server. Then, connect each CIM to Dominion KX II using standard UTP (twisted pair) cable such as Cat5, Cat5e, or Cat6.

How far can my servers be from Dominion KX II?

In general servers can be up to 45 meters away from Dominion KX II depending on the type of server. (See user manual printed or on Web site). For the new D2CIM-VUSB CIM that supports virtual media and Absolute Mouse Synchronization, a 30,5 m range is recommended.

Some operating systems lock up when I disconnect a keyboard or mouse during operation. What prevents servers connected to Dominion KX II from locking up when I switch away from them?

Each Dominion computer interface module (DCIM) dongle acts as a virtual keyboard and mouse to the server to which it is connected. This technology is called KME (keyboard/mouse emulation). Raritan’s KME technology is data center grade, battle-tested and far more reliable than that found in lower-end KVM switches: it incorporates more than 15 years of experience and has been deployed to millions of servers worldwide.

Are there any agents that must be installed on servers connected to Dominion KX II?

Servers connected to Dominion KX II do not require any software agents to be installed, because Dominion KX II connects directly via hardware to servers’ keyboard, video and mouse ports.

How many servers can be connected to each Dominion KX II unit?

Dominion KX II models range from 16 or 32 server ports in a 1U chassis to 64 server ports in a 2U chassis. This is the industry’s highest digital KVM switch port density.

What happens if I disconnect a server from Dominion KX II and reconnect it to another Dominion KX II unit, or connect it to a different port on the same Dominion KX II unit?

Dominion KX II will automatically update the server port names when servers are moved from port to port. Furthermore, this automatic update does not just affect the local access port, but propagates to all remote clients and the optional CommandCenter® Secure Gateway management appliance.

Dominion KX II Frequently asked questions Page 6/10

Questions

Answers

How do I connect a serially controlled (RS-232) device to Dominion KX II, such as a Cisco router/switch or a headless Sun server?

If there are only a few serially-controlled devices, they may be connected to a Dominion KX II using Raritan’s serial adapter, AUATC, or the new P2CIM-SER serial converter.

However, if there are four or more serially-controlled devices, we recommend the use of Raritan’s Dominion SX line of secure console servers. For multiple serial devices, Dominion SX offers more serial functionality at a better price point than Dominion KX II. This SX is easy to use, configure and manage, and can be completely integrated with a Dominion Series deployment. In particular, many UNIX and networking administrators appreciate the ability to directly SSH to a Dominion SX unit.

Local Port

Can I access my servers directly from the rack?

Yes. At the rack, Dominion KX II functions just like a traditional KVM switch – allowing control of up to 64 servers using a single keyboard, monitor and mouse.

When I am using the local port, do I prevent other users from accessing servers remotely?

No. The Dominion KX II local port has a completely independent access path to the servers. This means a user can access servers locally at the rack – without compromising the number of users that access the rack remotely at the same time.

Can I use a USB keyboard or mouse at the local port?

Yes. Dominion KX II offers both PS/2® and USB keyboard and mouse ports on the local port. Note that the USB ports are USB v1.1, and support keyboards and mice only – not USB devices such as scanners or printers.

Is there an On-Screen Display (OSD) for local, at-the-rack access?

Yes, but Dominion KX II’s at-the-rack access goes way beyond conventional OSD’s. Featuring the industry’s first browser-based interface for at-the-rack access, KX II’s local port uses the same interface for local and remote access. Moreover, most administrative functions are available at-the-rack.

How do I select between servers while using the local port?

The local port displays the connected servers using the same user interface as the remote client. Users connect to a server with a simple click of the mouse.

How do I ensure that only authorized users can access servers from the local port?

Users attempting to use the local port must pass the same level of authentication as those accessing remotely. This means that:

* If the Dominion KX II is configured to interact with an external RADIUS, LDAP or Active Directory server, users attempting to access the local port will authenticate against the same server.

* If the external authentication servers are unavailable, Dominion KX II fails-over to its own internal authentication database.

Dominion KX II has its own standalone authentication, enabling instant, out-of-the-box installation.

If I use the local port to change the name of a connected server, does this change propagate to remote access clients as well? Does it propagate to the optional CommandCenter appliance?

Yes. The local port presentation is identical and completely in sync with remote access clients, as well as Raritan’s optional CommandCenter Secure Gateway management appliance. To be clear, if the name of a server via the Dominion KX II on-screen display is changed, this updates all remote clients and external management servers in real-time.

If I use Dominion KX II’s remote administration tools to change the name of a connected server, does that change propagate to the local port OSD as well?

Yes. If the name of a server is changed remotely, or via Raritan’s optional CommandCenter Secure Gateway management appliance, this update immediately affects Dominion KX II’s on-screen display.

Dominion KX II Frequently asked questions Page 7/10

Questions

Answers

Power Control

Does Dominion KX II have a

dual power option?

All KX II models come equipped with dual AC inputs and power supplies with automatic fail-over. Should one of the power inputs or power supplies fail, then the KX will automatically switch to the other.

Does the power supply used by Dominion KX II automatically detect voltage settings?

Yes. Dominion KX II’s power supply can be used in AC voltage ranges from 100-240 volts, at 50-60 Hz.

If a power supply or input fails, will I be notified?

The KX II front panel LED will notify the user of a power failure. An entry will also be sent to the Audit Log and displayed on the KX Remote Client User Interface. If configured by the administrator, then SNMP or Syslog events will be generated.

What type of power control capabilities does Dominion KX II offer?

Raritan’s Remote Power Control power strips can be connected to the Dominion KX II to provide power control of the target servers. After a simple one-time configuration step, just right click on the server name to power on, off or recycle a hung server. Note that a hard reboot provides the physical equivalent of unplugging the server from the AC power line, and reinserting the plug.

Does Dominion KX II support servers with multiple power supplies? What if each power supply is connected to a different power strip?

Yes. Dominion KX II can be easily configured to support multiple power supplies connected to multiple power strips. Up to eight (8) power strips can be connected to a KX II device. Four power supplies can be connected per target server to multiple power strips.

Does remote power control require any special server configuration?

Some servers ship with default BIOS settings such that the server does not automatically restart after losing and regaining power. See the server user manual for more details.

What type of power strips does Dominion KX II support?

To take advantage of Dominion KX II’s integrated power control user interface, and more importantly, integrated security, use Raritan’s Remote Power Control (RPC) power strips. RPCs come in many outlet, connector and amp variations. The D2CIM-PWR must be purchased to connect the RPC to the KX II.

Scalability

How do I connect multiple Dominion KX II devices together into one solution?

Multiple Dominion KX II units do not need to be physically connected together. Instead, each Dominion KX II unit connects to the network, and they automatically work together as a single solution if deployed with Raritan’s optional CommandCenter Secure Gateway (CC-SG) management appliance. CC-SG acts as a single access point for remote access and management. CC-SG offers a significant set of convenient tools, such as consolidated configuration, consolidated firmware update and a single authentication and authorization database.

In addition, CC-SG enables sophisticated server sorting, permissions, and access. If deployment of Raritan’s CC-SG management appliance isn’t an option, multiple Dominion KX II units still interoperate and scale automatically: The KX II’s remote user interface and the Multiplatform Client will automatically discover Dominion KX II units. Non-discovered Dominion KX II units can be accessed via a user-created profile.

Dominion KX II Frequently asked questions Page 8/10

Questions

Answers

Can I connect an existing analog KVM switch to Dominion KX II?

Yes. Analog KVM switches can be connected to one of Dominion KX II’s server ports. Simply use a PS/2 Computer Interface Module (CIM), and

attach it to the user ports of the existing analog KVM switch. Please note that analog KVM switches vary in their specifications and Raritan cannot guarantee the interoperability of any particular third-party analog KVM switch. Contact Raritan technical support for further information. Raritan’s Paragon and Paragon II analog switches are IP enabled by the IP-Reach® family of remote access products.

Computer Interface Modules (CIMs)

Can I use Computer Interface Modules (CIMs) from Raritan’s analog matrix KVM switch, Paragon, with

Dominion KX II?

Yes. Certain Paragon computer interface modules (CIMs) may work with Dominion KX II (please check the Raritan Dominion KX II release notes on the Web site for the latest list of certified CIMs).

However, because Paragon CIMs cost more than Dominion KX II CIMs (as they incorporate technology for video transmission of up to 300 meters), it is not generally advisable to purchase Paragon CIMs for use with Dominion KX II. Also note that when connected to Dominion KX II, Paragon CIMs transmit video at a distance of up to 45 meters, the same as Dominion KX II CIMs – not at 300 meters, as they do when connected to Paragon.

Can I use Dominion KX II Computer Interface Modules (CIMs) with Raritan’s analog matrix KVM switch, Paragon?

No. Dominion KX II computer interface modules (CIMs) transmit video at ranges of 15 to 45 m meters and thus do not work with Paragon, which requires CIMs that transmit video at a range of 300 meters. To ensure that all Raritan’s customers experience the very best quality video available in the industry – a consistent Raritan characteristic – Dominion Series CIMs do not interoperate with Paragon.

Security

What kind of encryption does Dominion KX II use?

Dominion KX II uses industry-standard (and extremely secure) 128-bit RC4 or AES encryption, both in its SSL communications as well as its own data stream. Literally no data is transmitted between remote clients and Dominion KX II that is not completely secured by encryption.

Does Dominion KX II support AES encryption as recommended by the US Government’s NIST and

FIPs standards?

The Dominion KX II utilizes the Advanced Encryption Standard (AES) encryption for added security.

AES is a US government approved cryptographic algorithm that is recommended by the National Institute of Standards and Technology (NIST) in the FIPS Standard 197.

Does Dominion KX II allow encryption of video data? Or does it only encrypt keyboard and mouse data?

Unlike competing solutions, which only encrypt keyboard and mouse data, Dominion KX II does not compromise security - it allows encryption of keyboard, mouse and video data.

How does Dominion KX II integrate with external authentication servers such as Active Directory®, RADIUS, or LDAP?

Through a very simple configuration, Dominion KX II can be set to forward all authentication requests to an external server such as LDAP, Active Directory or RADIUS. For each authenticated user, Dominion KX II receives from the authentication server the user group to which that user belongs. Dominion KX II then determines the user’s access permissions depending on what user group to which he or she belongs.

How are usernames and passwords stored?

Should Dominion KX II’s internal authentication capabilities be used, all sensitive information such as usernames and passwords are stored in an encrypted format. Literally no one, including Raritan technical support or Product Engineering departments, can retrieve those usernames and passwords.

Dominion KX II Frequently asked questions Page 9/10

Questions

Answers

Does Dominion KX II support

strong password?

Yes. The Dominion KX II has administrator-configurable, strong password checking to ensure that user created passwords meet corporate and/or government standards and are resistant to brute force hacking.

Manageability

Can Dominion KX II be remotely managed and configured via Web browser?

Yes. Dominion KX II can be completely configured remotely via Web browser. Note that this does require that the workstation have an appropriate Java Runtime Environment J.R.E version installed. Besides the initial setting of Dominion KX II’s IP address, everything about the solution can be completely set up over the network. (In fact, using a crossover Ethernet cable and Dominion KX II’s default IP address, you can even configure the initial settings via Web browser).

Can I backup and restore Dominion KX II’s configuration?

Yes. Dominion KX II’s device and user configurations can be completely backed up for later restoration in the event of a catastrophe.

Dominion KX II’s backup and restore functionality can be used remotely over the network, or through a Web browser.

What auditing or logging does

Dominion KX II offer?

For complete accountability, Dominion KX II logs all major user events with a date and time stamp. For instance, reported events include (but are not limited to): user login, user logout, user access of a particular server, unsuccessful login, configuration changes, etc.

Can Dominion KX II integrate

with syslog?

Yes. In addition to Dominion KX II’s own internal logging capabilities, Dominion KX II can send all logged events to a centralized syslog server.

Can Dominion KX II integrate

with SNMP?

Yes. In addition to Dominion KX II’s own internal logging capabilities, Dominion KX II can send SNMP tracks to SNMP management systems like HP Openview and Raritan’s CC-NOC.

Can Dominion KX II’s internal clock be synchronized with a timeserver?

Yes. Dominion KX II supports the industry-standard NTP protocol for synchronization with either a corporate timeserver, or with any public time server [assuming that outbound NTP requests are allowed through the corporate firewall].

Miscellaneous

What is Dominion KX II’s default IP address?

192.168.0.192

What is Dominion KX II’s default username and password?

The KX II’s default username and password are admin/raritan [all lower case]. However, for the highest level of security, the KX II forces the administrator to change the Dominion KX II default administrative username and password when the unit is first booted up.

I changed and subsequently forgot Dominion KX II’s administrative password; can you retrieve it for me?

KX II contains a hardware reset button that can be used to factory reset the device, which will reset the administrative password on the device.

Dominion KX II Frequently asked questions Page 10/10

Manufacturing Record Book

Guidance (GU-IADC-SC-004)

Rev. 1

Copyrighted 2017, IADC

Unlimited license is hereby granted for reproduction of this

document in its entirety, or in part with appropriate

attribution.

This document contains recommendations from the IADC Supply Chain Committee, developed with participation of equipment Manufacturers and Classification Societies, and should be used as a standard guide while creating Manufacturing Record Books (MRBs).

This document does not intend to modify or contradict any regulatory industry standards such as API or any other. This document should be used as a reference while creating MRBs in compliance with minimum industry requirements.

IADC publications may be used by anyone desiring to do so. Every effort has been made by IADC to assure the accuracy and reliability of the information contained in them; however, IADC makes no representation, warranty, or guarantee in connection with this publication and hereby expressly disclaims any liability or responsibility for loss, damage or penalty resulting from its use or for the violation of any federal, state, or municipal regulation with which this publication may conflict.

IADC is not attempting to fulfill any duties or obligations of employers, manufactures or agencies to warn, train, or equip their employees or others who may be affected by their activities, concerning any health, safety, or environmental risks or precautions.

Suggested revisions to the guidelines are invited and will be considered along with future changes to its content. Suggestions should be submitted to the Director-Offshore Technical and Regulatory Affairs, International Association of Drilling Contractors, 10370 Richmond Avenue, Suite 760, Houston, TX 77042. (713-292-1945)

Controlled Material

The entire contents of this document are subject to change.

Please verify that you have a current copy with the most

recent page version(s) available from the IADC website.

2

Rev. 1.0 Date 30 Oct 2017

Copyright © 2017, International Association of Drilling Contractors. All rights reserved.

Document Change History Sheet

Date

Version

Reason for Change

18-Oct-2016

Original

Baseline

30-Oct-2017

Revision 1.0

Expanded/Revised :

Chapter 2 – Abbreviations

Chapter 4 – MRB Section Details

Section 3.1 Top Level Part Description

Added:

Appendix B – Example of ITP