The Graduate School Thesis and Dissertation Manual
January 2002
PREFACE
The purpose of this manual is to serve as a guide to both students and faculty members in the final production of a thesis or dissertation that meets the criteria appropriate to a scholarly work in each discipline. While the excellence of the content of the thesis or dissertation is the responsibility of the respective departments, the Graduate School controls the actual format of the thesis or dissertation. This is done in an effort to establish a university standard of presentation and to satisfy other specifications placed upon the university in terms of microfilming and publishing the abstract.
In addition, there may be cases in which the style of writing within a particular department is dictated by the demands of the refereed journals of the discipline. This manual indicates where these specifications may be in conflict with the requirements of the Graduate School and suggests to the student the best course to follow.
Candidates preparing theses or dissertations are strongly advised to read this manual carefully. The purpose behind these specifications is to achieve a uniform and professional appearance within the Howard University Library system, and within the academic community.
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TABLE OF CONTENTS
Preface 1
1. Definitions of Theses and Dissertations 4
2. Responsibilities of Students and Advisors 4
3. Legal Issues 4
?Federal Regulations Regarding Research Activities 4
?Copyright Law and Fair Use 5
?Copyright Registration 5
?Microfilming the Dissertation 6
?Microfilming the Thesis 6
4. Style and Documentation 6
?Selecting the Style Manual 6
?Forms of Documentation 6
?The Proposal 7
? Dedications and Acknowledgments 7
?The Abstract 8
?Table of Contents 8
?Bibliographies and Reference Lists 9
?The Appendix 9
5. Formatting the Final Copy 10
?Order of Pages 10
?Pagination 10
?Margins 10
?Spacing 11
?Word Processing Regulations 11
?Paper Quality 12
6. Preparing Illustrations 12
?Tables and Figures 12
?Photographs 13
7. Filing Procedure 14
?Required Number of Copies 14
?Required Certification 14
?Binding Fee 14
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Appendix 15
Example # 1 – Title Page 15
Example # 2 – Committee Approval Page 16
Example # 3 – Table of Contents and Chapter Page (Decimal System Headings) 17
Example # 4 – Table of Contents and Chapter Page (Multi-level Headings) 18
Example # 5 – Table Headings 19
Example # 6 – Figure Captions 20
Example # 7 – Half-title Page 21
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1. Definitions of Theses and Dissertations
A thesis/dissertation is an original, formal, scholarly piece of work which is written as part of the requirements for a master's degree and which presents the writer's position on a proposed topic of his or her own choosing or the findings from a research project.
A dissertation is an original, formal, scholarly study presented in partial fulfillment of the requirements for the Doctor of Philosophy degree. Traditionally, the expectation is that the dissertation will present arguments of greater complexity and material more substantial than those presented in the master's thesis; both documents, however, demand effort, excellence, and time.
Although in some instances the words "dissertation" and "thesis" are used interchangeably, at Howard University the term "dissertation" refers to the formal written presentation required for the doctor of philosophy degree, while "thesis" refers to the written presentation that may be required for the Master's degree.
A thesis or dissertation, a copy of which is archived in Founders Library, represents a candidate's special contribution to the world of knowledge. In essence, the thesis and dissertation are sources which other scholars and researchers may consult.
The method of research--whether primary, secondary, or a combination of both--on which a thesis or dissertation is based is usually controlled by the demands of the subject matter and decided upon by the respective departments.
2. Responsibilities of Students and Advisors
There are two sets of requirements which the candidate must fulfill for a graduate degree; the departmental requirements and the Graduate School's requirements.
It is the responsibility of the graduate advisor and the department chairman to apprise the candidate of these requirements as well as the procedure for completing a graduate degree. It follows, then, that the advisor of the candidate should be thoroughly knowledgeable of the requirements so that he or she may guide the candidate along the least painful and most efficient path to his or her degree.
The degree candidate must develop an understanding of the functions of scholarly writing through obtaining detailed guidelines that will serve as resources of credible information.
3. Legal Issues
?Federal Regulations Regarding Research Activities
The U.S. Government has issued regulations which require that all non-exempt research activities involving human subjects, animals, and biohazardous materials be reviewed and approved by the Institutional Review Board. Candidates conducting such studies must obtain the guidelines for this procedure from their respective departments. Further information and forms may be found on the World Wide Web site: http://www.huirb.howard.edu.
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?Copyright Law and Fair Use
The subject of Copyright Law involves protection of your work from unauthorized use, and protection for the material created by others that you use in your thesis or dissertation.
Copyright Law
For writers of theses/dissertations, the law establishes important rights of ownership and control over your new work. When the Graduate School deposits the archival copy of your work in Founders Library, the thesis/dissertation becomes "published." The U.S. Copyright Law gives authors exclusive rights to reproduce, distribute, and make most other uses of their original works. Copyrighted works are not limited to those that bear a copyright notice. As a result of changes in copyright law, works published since March 1, 1989 need not bear a copyright notice to be protected under the statute.
If you choose to include the copyright notice in the final copies of your work, it must contain three elements: (1) the symbol "? " or the word "Copyright"; (2) the year of first publication; and (3) the name of the owner of copyright. For example:
? 1999 John Brown
All Rights Reserved
The copyright page is inserted following the title page of the work. The notice is centered on the page, with the first line resting on a line four inches from the top of the page. This page is not counted in the numbering sequence and, therefore, carries no page number.
Fair Use
Your thesis/dissertation will likely include quotations, pictures, charts, standard tests, or other materials. If a large portion of another author's work is used, you must obtain written permission. Using someone's material without permission is considered infringement of copyright and can be the basis of legal action against you. Copyright law provides a right of "fair use" that allows limited copying without consent. Excerpts of up to 150 words are generally considered "fair use." Before using another author's work, writers are advised to review the copyright law as it relates to the fair use of a copyrighted work.
?Copyright Registration
While copyright registration is optional, it is required before you can file an infringement lawsuit. Degree candidates can pay a $20.00 fee and obtain copyright registration through the Library of Congress Copyright Office. If you are a doctoral candidate, Bell & Howell (formerly University Microfilms, Inc.) can process the application for you, for a fee.
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?Microfilming the Dissertation
Dissertations are sent to Bell & Howell for microfilming. The doctoral candidate must sign the part of the agreement form that grants Bell & Howell the right to reproduce and distribute the work in and from microfilm or electronic format. This agreement does not interfere with the candidate's rights as author of the work. After the microfilming, Bell & Howell publishes the doctoral abstract in its monthly publication Dissertation Abstracts International.
?Microfilming the Thesis
Master's theses are not sent to Bell & Howell, but are distributed to Founders Library, and the academic department. The master's candidate can publish the thesis through Bell & Howell by contacting:
Bell & Howell Information & Learning 1-800-521-0600
Manuscripts Department
300 North Zeeb Road
Ann Arbor, MI 48106-1346
http://www.bellhowell.infolearning.com
4. Style and Documentation
?Selecting the Style Manual
Each department will decide upon a style manual that will be used as the departmental standard for writing the thesis/dissertation and the documentation style used to include references. It is incumbent on each advisor to inform the candidate of the style manual appropriate for his or her field of study. Since this manual will guide the writing style of the thesis or dissertation, the advisor should assume the responsibility that this style is adhered to before the candidate presents final copies for defense.
Candidates should also use a dictionary and a punctuation, grammar, and usage reference manual as they research and write.
For final formatting regulations, the candidate and the advisor must consult this manual.
?Forms of Documentation
Each discipline documents references differently. The advisor will guide the candidate in selecting an established reference style appropriate to the field of study. MLA and APA reference styles, the documentation style suggested by The Chicago Manual of Style (14th edition), and the citation systems of leading journals in your field are acceptable styles.
The following five styles of documentation are widely used in scholarly writing.
Endnotes, with numbered citations in the text keyed to documentation notes placed at the end of chapters and bibliographic listings at the end of the text.
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Footnotes, with number citations in the text keyed to documentation notes placed at the bottom of the page where they occur and bibliographic listings at the back of the text.
Author-date citations, author's name, publication date, and page numbers placed in the text, with full documentation/bibliographic data in a list at the end of the text.
Parenthetical citations, author's name and page number placed in parentheses in the text, with full documentation/bibliographic data in a list at the end of the text.
Internet and electronic source citations, the style manual (APA, MLA, The Chicago Manual of Style, etc.) used in your discipline will list the preferred method of citing information from an electronic source. It is important to cite the author, date (if known), title, source, medium, and how the information is available, with full documentation/bibliographic data in a list at the end of the text.
?The Proposal
The proposal is a formalized plan of work for a particular task, in this instance, the thesis or the dissertation. The contents of a proposal vary with its purpose and discipline.
There are certain basic elements which all academic proposals are expected to contain:
(a) a brief introduction;
(b) a statement of the problem or purpose;
(c) a brief review of the literature;
(d) a theoretical or conceptual framework for the study;
(e) a thesis/dissertation question, research question, or hypothesis;
(f) a statement of the methodology to be used.
Several other elements which may appear in a proposal, but which are optional and will depend on need, style, and scope of the study, are statements concerning the "Limitations of the Study, " "Definition of Terms," "Background and/or Historical Information."
The length of the six areas listed above and the manner in which they are ordered will depend on the topic chosen and the manual that is being used.
? Dedications and Acknowledgments
Dedication Page
The Dedication page is an optional page, but if used, you are giving special recognition to persons, organizations, or others who provided extraordinary encouragement during your academic career. Unlike persons mentioned in the acknowledgment, those in the dedication may not have made any contribution to the work. A dedication may be made to a cause, a group, or an ideal, as opposed to a single person. This page is formatted with the heading resting on a line one inch from the top of the page, and text beginning three spaces below. Margins, line spacing, and paragraph indentations are the same as for general text.
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Acknowledgment Page
The Acknowledgment Page is also an optional page. If used, the purpose of this page is to recognize persons to whom you are grateful for any special assistance, and any grant fund support you may have received for your work. This page is formatted with the heading resting on a line one inch from the top of the page, and text beginning three spaces below. Margins, line spacing, and paragraph indentations are the same as for general text.
?The Abstract
An abstract, which is a summary of a longer work, is defined in terms of the purpose that it serves. In the process of acquiring their degrees, candidates may write many abstracts; however, two abstracts are required by the Graduate School, depending on the degree being pursued:
* At the master's level, an abstract must be submitted with the appropriate forms as part of the request for a final oral examination.
* At the Ph.D. level, an abstract--a synopsis--must be submitted with the appropriate forms as part of the request for a final oral examination.
* At both the master's and doctoral levels, an abstract must be submitted when the final copies of the thesis or dissertation are submitted to the Graduate School. The abstract is to be included as a part of each final copy.
Although requirements and space dictate the length of an abstract, each academic abstract should contain the following:
(a) the problem being studied and its resulting thesis/dissertation, research question, or hypothesis
(b) the methodology and statistics, where appropriate
(c) the results or findings
(d) the conclusions, discussion, implications, and recommendations, if any.
Consistent with microfilm specifications, the number of words in an abstract should be as follows:
(a) a maximum of 150 words for a thesis;
(b) a maximum of 350 words for a dissertation.
?Table of Contents
The Table of Contents is the only index of your thesis/dissertation. It reveals the nature and course of your research and the method you have chosen to present the results of your work. For thesis/dissertations submitted to the Graduate School, the chapter is the basic unit of division, with subdivisions where appropriate. Use either the heading scheme or the decimal system to organize the chapter sections. (See Examples #3 and #4.) The organization scheme of your work must match the scheme displayed in the text. The system
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of indenting you use in the Table of Contents to indicate subdivisions within chapters must match the subdivision system in the chapters. The title of each entry must correspond exactly to the title listed in the text.
Use dot leaders ( . . .) to connect the last word of each entry to the page numbers. All preliminary pages are listed in the Table of Contents. (If you have included the copyright page in your thesis/dissertation, it is not listed.)
The use of dot leaders (the dots on each line of the Table of Contents connecting the headings of the page numbers) is required. The dots in the leader must line up appropriately at the end of each line of the Table of Contents. Most word processing software includes a feature for creating a Table of Contents that include dot leaders.
Most word processing packages can create a Table of Contents with dot leaders, from the headings in a document. For Microsoft Word, you use styles to create the different headings. For example, set heading 1 (for Chapter Titles), heading 2 (for level two headings), heading 3 (for level 3 headings) and heading 4 for (level 4 headings). When you type the heading, select the appropriate heading style based on the level of heading. When you generate the Table of Contents, not only will the headings be exact, the page numbers also will be exact. If you revise the document, regenerate the Table of Contents and the headings and page numbers will be exact. However, this feature works differently depending on which software package you use.
All entries and page numbers must match the text exactly. Please double-check these details for accuracy.
?Bibliographies and Reference Lists
All sources cited in the text must be carefully listed in your reference section. This reference section will be titled "References" or "Bibliography" and will be placed at the end of the text. Carefully select an established reference style appropriate for your field of study. This list allows anyone reading your work to view the scope of your research.
A mistake many students make is that the citations in the text do not match the reference list or bibliography. Even when they include all the citations, sometimes the names are spelled differently, the dates are different, or they do not include all the required bibliographical information. The easiest way to avoid this is to proof the document with the thesis/dissertation on the left and the reference/bibliography on the right. As you read the document, check the citations against the reference section or the bibliography.
?The Appendix
The Appendix will contain additional illustrative material such as forms, questionnaires, documents, long and complex tables, figures, and computer printouts. This material is not essential to the text but helpful to a reader seeking further clarification. The Appendix is not a repository for data that should appear in the text.
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When more than one Appendix is used, each must be assigned a letter (Appendix A, Appendix B, Appendix C, etc.) as well as a title. Each appendix with its title must be listed separately in the Table of Contents as a subdivision under the heading APPENDICES.
5. Formatting the Final Copy
?Order of Pages
? Title Page
?Copyright Page (optional)
?Committee Approval Form
?Dedication (optional)
?Acknowledgments (optional)
?Abstract
?Table of Contents
?List of Tables
?List of Figures
?List of Abbreviations
?List of Symbols
?Main Body
-Chapter 1 (which includes an introduction)
-Chapters 2, 3, etc.
?Appendices
?Bibliography/References
?Pagination
All pages in the thesis/dissertation must be counted and numbered. (If you have included the copyright page, it is not counted or numbered.) The title page is counted but not numbered. The preliminary pages (Committee Approval Form, Dedication, Acknowledgments, etc.) are numbered with small Roman numerals, (ii, iii, iv, etc.).
The remaining parts of the thesis/dissertation, including text, illustrations, appendix, and bibliography should be numbered with the appropriate Arabic numerals.
All pages of the thesis/dissertation are numbered at the bottom, with the page number centered one-half inch above the bottom edge of the page.
Please number pages carefully. Inserted pages using both numerical and alphabetical numbering, for example, 43a, are not acceptable.
?Margins
?The left margin for all pages must be 1.5 inches.
?The top, right, and bottom margins must be 1 inch each.
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?Spacing
?Use standard double-spacing for the text pages such as dedication, acknowledgments, the abstract, and the body of the thesis/dissertation.
?Single-space items in lists, notes, and lists of tables and figures, but double-space between each entry. (This also applies to the Bibliography section and the Reference section.)
?Single-space all table headings, all figure captions, and block quotations that are four lines or longer. Indent block quotations one-half inch from both the left and right margins.
?Double-space between paragraphs.
?Indent paragraphs consistently.
?The spacing above and below headings throughout your paper must be consistent.
?Word Processing Regulations
?Use a laser printer.
?Use 12-point type for all text, including footnotes and endnotes, numbers of tables and figures and captions of tables and figures.
?A smaller font size may be used within the tables and figures. The font size for the table headings and the figure captions must remain at 12-point.
?Different fonts and font size may be used within the appendices.
?Limit your font selection to Courier, Times New Roman, Times, Arial or Helvetica. Italic print may be used for foreign words, for emphasis or titles of publications. Please consult your selected style manual for correct usage of italics or underlining.)
?Type on one side of the page only.
?Center and type in uppercase letters all major section titles on the heading pages, for example, ACKNOWLEDGMENTS, ABSTRACT, Chapter TITLE, BIBLIOGRAPHY. ?Place footnotes at the bottom of the appropriate page, or place endnotes in numerical order at the end of each chapter.
?Do not split references, bibliographic entries, table headings, or figure captions across two pages. (However, footnotes at the bottom of the page may continue to the following page.)
?Use left-only justification. Fully justified margins are not recommended because there could be instances where there are gaps in a line or the letters are compressed to achieve the justification. If you do use full justification, be sure your computer does not produce large gaps or inappropriate spaces between words.
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?Do not hyphenate the last word in a paragraph or split a word across two pages. No more than two consecutive lines should end with divided words. Divide words as they are in the dictionary.
?Do not leave a heading as the last line on a page. Do not submit a page with only one line of text.
?A heading near the bottom of a page must have at least two lines of text beneath it. When the first line of a paragraph appears as the last line on a page, it is referred to as an “orphan” line. When the last line of a paragraph appears as the first line on a page, it is referred to as a “widow” line. To avoid orphan or widow lines, use the “orphan and widow” features of the word processing package. If the word processing package does not have this feature, use a page break to keep at least two lines together, which will result in a wider bottom margin on the previous page.
?Do not use correction tape or correction fluid on the pages of the thesis or the dissertation.
?Paper Quality
Each candidate must submit one original and two photocopies of the thesis/dissertation.
?The original copy must be printed on white 81/2 x 11-inch 20-pound bond finish paper, with a 25 percent (minimum) cotton fiber. Do not use erasable paper.
?The photocopies must be reproduced onto a 20-pound photocopy paper.
6. Preparing Illustrations
?Tables and Figures
Tables and figures are types of illustrations which supplement rather than duplicate the material in a text. You must acknowledge the source of any table or figure you reproduce or modify from another author or work.
Tables and figures in the text should appear as soon as possible after they are first mentioned. In cases where numerous tables or figures would disrupt the flow of the text, you may group them at the end of the chapter, in the order they were mentioned in the text.
If a table or figure is less than half a page, you may integrate it on the page of text. Set it off from the text with at least three spaces above and below. You may also group several small tables or figures on a single page.
Follow these guidelines when preparing tables or figure.
?A table is a columnar arrangement of information organized to save space and convey relationships at a glance. While most tables present quantitative data, some tables consist mainly of words that present quantitative comparisons or descriptive information. The format of the table (e.g., title, numbering, and borders) should be determined by the style manual being used. However, in all instances, the table number and title must be above the table.
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?A figure is a graphic illustration, such as a chart, graph, diagram, map, photograph, or plate.
?Give numbers and headings or captions to all tables and figures that appear in the text. Number the tables and figures consecutively throughout the paper, or use a decimal system to number them by chapter.
?Position table numbers and headings flush left or centered two lines ABOVE the table. ?Position figure numbers and captions centered two lines BELOW the figure.
?The number and heading or caption should follow the same horizontal or vertical direction as the table or figure.
?Use the same font type and size for all table numbers and headings and all figure numbers and captions. This font should match that used for the text. You may use different font sized within the figure or table.
?The number, heading or caption, and page number of each table or figure must be identical to the number, heading or caption, and page number used in the List of Tables and List of Figures.
?You may continue with the consecutive numbering system for tables and figures in the appendix, or you may use an appendix numbering system. (The first table in the appendix would be Table A.1, the first figure would be Figure A.1, and so on.)
?All appendix tables and figures must be listed in the List of Tables or the List of Figures.
?All tables and figures must fit into the same margin requirements as the text. If you continue a table or a figure onto succeeding pages, both pages are labeled with the word "continued." Do not repeat the heading or the caption.
?Oversized tables or figures can be printed sideways (landscape orientation) on the page. However, do not landscape the page number. Print the page number in its usual (portrait) orientation. (Such tables are printed without a page number and then fed back through the printer later to put the page number on.) Tables or figures landscaped on a page should have their top edge near the left binding side of the paper.
?Photographs
?Photographs must be securely fastened to the page. You may use dry mount tissue, dry mounting adhesive sheets, or a spray adhesive. Do not use tape or rubber cement.
?List and caption all photographs as figures. A note attached to the caption should indicate the original source.
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7. Filing Procedure
All degree candidates enrolled in the thesis/dissertation option must submit the final copies of their theses or dissertations to the Graduate School no later than ten working days after the oral defense.
?Required Number of Copies
Each candidate must submit one original and two photocopies of the thesis or dissertation to the Dean of the Graduate School.
?Required Certification
The final copies cannot be submitted without departmental certification. The forms are (1) CERTIFICATION OF SUCCESSFUL COMPLETION OF THE FINAL ORAL EXAMINATION (Form GS-EA-5) and CERTIFICATION OF COMPLETION OF GRADUATION REQUIREMENTS (Form GS-EA-6). These forms are submitted in duplicate. One set must bear original signatures.
?Binding Fee
Upon submission of the final copies, the candidate will receive a statement indicating the amount owed for binding. Payment for binding is to be made to the Cashier's Office located in Room 115 in the Administration Building. The candidate will be issued duplicate receipts and he/she must return one copy to the Graduate School.
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HOWARD UNIVERSITY
[Title of Dissertation or Thesis]
[Title Line 2]
[Title Line 3]
A Dissertation
Submitted to the Faculty of the
Graduate School
of
HOWARD UNIVERSITY
in partial fulfillment of
the requirements for the
degree of
DOCTOR OF PHILOSOPHY
or
Master of
Department of
by
[Name of Candidate as it Appears on Student Records]
Washington, D.C.
[Month 20__]
Example No. 1 – Title Page
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HOWARD UNIVERSITY
GRADUATE SCHOOL
DEPARTMENT OF
THESIS (or) DISSERTATION COMMITTEE
Name of Thesis/Dissertation Chair, Ph.D. Chairperson
Faculty Member 2, Ph.D.
Faculty Member 3, Ph.D.
Faculty Member 4, Ph.D.
External Examiner, Ph.D.
Title of External Examiner
Name of Institution Where Employed
Faculty Member, Ph.D.
Dissertation Advisor
Candidate: ___ Name of Candidate
Date of Defense: , 20__
Example No. 2 – Committee Approval Form
TABLE OF CONTENTS
[Decimal System Headings and Subheadings]
1. TITLE OF FIRST CHAPTER 1
1.1. Second Level 2
1.2. Second Level 3
1.2.1 Third Level 4
1.2.2 Third Level 5
2. TITLE OF SECOND CHAPTER 7
2.1. Second Level 8
2.2. Second Level 9
2.2.1. Third Level 10
2.2.2. Third Level 11
HEADINGS AND SUBHEADINGS IN TEXT
CHAPTER 1. TITLE OF FIRST CHAPTER
1.1 Second Level Heading Title
1.2 Second Level Heading Title
1.2.1. Third Level Heading Title
Example No. 3 – Decimal System Headings and Subheadings
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TABLE OF CONTENTS
[Multi-level Headings and Subheadings]
1. TITLE OF FIRST CHAPTER 1
Second Level 2
Second Level 3
Third Level 4
Fourth level 5
Fourth level 6
Third Level 7
Fourth level 8
Fourth level 9
2. TITLE OF SECOND CHAPTER 10
Second Level 11
Second Level 12
Third Level 13
Third Level 14
Fourth level 15
Fourth level 16
HEADINGS AND SUBHEADINGS IN TEXT
CHAPTER 1. TITLE OF FIRST CHAPTER
Second Level Heading Title
Third Level Heading Title
Fourth Level Heading Title
Example No. 4 – Multi-Level Headings and Subheadings
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TABLE HEADINGS
Table 3.1 Title of Table
Decimal System
Note
The first table in chapter 3 would be numbered Table 3.1 in the decimal system
Gender
Age 20-25
Age 25-50
Missing Data
Total
Women
Men
5
10
10
2
2
5
17
17
Total
15
12
7
34
Table 6
Title of Table
Consecutive System
Note
The first table in chapter 3 may be numbered Table 6 since tables are numbered consecutively throughout in the Consecutive System.
Gender
Age 20-25
Age 25-50
Missing Data Total
Women
Men
5
10
10
2
2 17
5 17
Total
15
12
7 34
Example No. 5 – Table Headings
FIGURE CAPTIONS
Figure 3.1. Participants in the study.
Consecutive System
Figure 6. Participants in the study.
Example No. 6 – Figure Headings
Sometimes in the Anatomical Sciences (depending on the journal style being used) the figure legends are placed on the page facing the figure, which occupies the entire page. This page is called a “half-title page.” In the example below, page 20 is the half-title page, which explains the figure on page 21. The half-title page should be typed on the back of the sheet and faces the figure that it explains.
20
Figure 3:
Example No. 7 – Half-title page
PART 410
Delegation Option Procedures for Certification of Small Airplanes,
Gliders, Engines, and Propellers
(Revised effective Nov. 2, 1956)
Part 410 of the regulations of the Administrator is revised in its entirety to extend delegation option procedures to airplanes and gliders having less than 12,500 pounds maximum weight and small aircraft engines and propellers up to 1,000 cubic inches displacement. Provisions have been made for CAA participation in preliminary and final review of projects prior to certification.
Part 410 appeared as a notice of proposed rule making in 21 F.R. 5508-5510 on July 21, 1956. All interested persons have been afforded an opportunity to submit written views, data, or argument and consideration has been given all relevant data presented.
Part 410 is adopted to read as follows:
SUBPART A—GENERAL
Sec.
410.1 Definition or terms.
410.2 Basis and purpose.
SUBPART B—DELEGATION OPTION AUTHORIZATION
410.11 Application.
410.12 Authorization.
410.13 Eligibility.
410.14 Designated manufacturer’s certification representative (DMCR).
410.15 Duration.
410.16 Maintenance of eligibility.
410.17 Transfer.
410.18 Inspections.
SUBPART C—DELEGATION OPTION PROCEDURES
410.31 Limits of applicability.
410.32 Type certificates.
410.33 Production certificates.
410.34 Airworthiness certificates.
410.35 Certificates of airworthiness for export.
410.36 Service difficulties and noncompliance.
410.37 Maintenance, repair, and alteration of
products.
410.38 Data and records.
AUTHORITY: §§ 410.1 to 410.38 issued under sec. 205, 52 Stat. 984, as amended; 49 U. S. C. 425.
Interpret or apply sec. 603, 52 Stat. 1009, as amended, sec. 310, 64 Stat. 1080; 49 U.S.C. 553, 460.
SUBPART A—GENERAL
§ 410.1 Definition of terms. As used in this part:
(a) “Administrator” shall mean Administrator of Civil Aeronautics.
(b) “CAA” shall mean Civil Aeronautics Administration.
(c) “DMCR” shall mean Designated Manufacturer’s Certification Representative.
(d) “Product” shall mean an airplane, a glider, an aircraft engine, or propeller.
(e) “Secretary” shall mean Secretary of Commerce.
§ 410.2 Basis and purpose. (a) Section 603 of the Civil Aeronautics Act of 1938 (52 Stat. 1009; 49 U.S.C. 553) authorized the Civil Aeronautics Authority to conduct inspections and tests necessary to the issuance of type, production, and airworthiness certificates, and to issue such certificates. Section 7 of Reorganization Plan III of 1940 (54 Stat. 1233) transferred the functions to the Administrator. Section 2 of Reorganization Plan 5 of 1950 (15 F.R. 3174) transferred the functions to the Secretary. Section 3 of Department of Commerce Order 115 (15 F.R. 3195) retransferred the functions to the Administrator. Section 310 of the Civil Aeronautics Act of 1938 (60 Stat. 1070, 49 U.S.C. 460) authorized the Secretary to delegate the functions to properly qualified private persons. Amendment 7 to Department of Commerce Order 86 (16 F.R. 554)
authorized the Administrator to exercise the powers vested in the Secretary by section 310(a) of the Civil Aeronautics Act of 1938.
(b) Under delegation option procedures, type, production, and airworthiness certification of airplane and gliders having maximum weight of less than 12,500 lbs., and type and production certification of piston engines of less than 1,000 cubic inches displacement and propellers for use on such engines, may be accomplished by manufactures utilizing a DMCR. Standard procedures will be used by manufacturers who are not eligible to use, or do not elect to use, the delegation option procedures.
SUBPART B—DELEGATION OPTION
AUTHORIZATION
§ 410.11 Application. Application for an authorization from the Administrator to use the delegation option procedures shall contain the information specified in appendix A1 to this part, and shall be submitted to the CAA regional office for the region in which the manufacturer is located.
§ 410.12 Authorization.
Upon receiving an application and finding that the applicant meets the eligibility requirements, the Administrator will issue an authorization to the applicant to use the delegation option procedures in accordance with the provisions of this part. A sample authorization is shown in appendix B1 to this part.
§ 410.13 Eligibility. To be eligible for an authorization to use the delegation option procedure, the applicant shall:
(a) Hold a current type certificate under the same part of the Civil Air Regulations and a production certificate, issued to the applicant under the standard procedure.
(b) Employ a competent staff of engineering, flight test, production, and inspection personnel adequate to maintain compliance with the applicable certification requirements of Parts 1, 3, 4a, 5, 8, 13, and 14 of this title, and
(c) Have requested the appointment of an individual by the Administrator as a Designated Manufacturer’s Certification Representative in accordance with § 410.14.
§ 410.14 Designated manufacturer’s certification representative (DMCR). (a) A Designated Manufacturer’s Certification Representative is an individual who:
1Not filed with the Federal Register Division.
(1)
Holds a responsible position in a manufacturer’s organization with respect to the design and manufacture of the pertinent product,
(2) Upon request by the manufacturer, has been issued a certificate by the Administrator, and has been listed on the delegation option authorization issued to the manufacturer.
(b) The Designated Manufacturer’s Certification Representative may be replaced by another individual upon request by the holder of the delegation option procedure authorization and the listing of such replacing individual by the Administrator on the authorization.
(c) A DMCR will be furnished CAA forms, and instructions on the use thereof, under the delegation option procedures.
§ 410.15 Duration. An authorization to use the delegation option procedure shall remain in effect for 1 year unless suspended, canceled, or revoked by the Administrator. An authorization may be renewed upon application if the Administrator finds the record of the applicant to be satisfactory. (See § 410.16.) The holder of such authorization shall request the CAA to cancel it if he no longer desires to use the delegation option procedure.
§ 410.16 Maintenance of eligibility. The holder of an authorization to use the delegation option procedure shall continue to comply with the initial requirements for issuance. To be eligible for renewal the holder must have a record over the previous year which shows he is competent, willing, and able to carry out the responsibilities delegated.
§ 410.17 Transfers. An authorization to use the delegation option procedure is not transferable.
§ 410.18 Inspections. At any time, upon request, the applicant for a delegation option procedure authorization or the holder of such authorization shall permit authorized employees of the Administrator to inspect his organization, facilities, product, and records.
SUBPART C—DELEGATION OPTION
PROCEDURES
§ 410.31 Limits of applicability. (a) The delegation option procedures shall be applied only to products which are manufactured by the holder of a delegation option authorization, and which:
(1) Are eligible for certification under the type, production, and airworthiness requirements of Parts 1, 3, 4a, 5, 8, 13, or 14 or this title, and
(2) Are airplanes or gliders having a maximum weight of less than 12,500 pounds, or
(3) Are piston engines having a displacement of less than 1,000 cubic inches, or
(4) Are propellers designed for use on engines having a displacement of less than 1,000 cubic inches.
(b) Within the limitations prescribed in paragraph (a) of this section, the delegation option procedure may be applied to:
(1) Type certification,
(2) Changes in the type design of products for which the manufacturer holds or obtains a type certificate,
(3) The amendment of the production certificate held by the manufacturer, to include additional models or additional types for which he holds or obtains type certificates,
(4) The issuance of airworthiness certificates for airplanes and gliders of any type for which the manufacturer holds a type certificate and holds or is in the process of obtaining a production certificate. For this privilege to be continued, the production certificate shall be obtained within 6 months from the date of issuance of the type certificate.
(c) The delegation option procedures may be applied to one or more types as selected by the manufacturer, who shall notify the CAA of each model, and the first serial number of each model manufactured by him under the delegation option procedures. Other types or models may remain under the standard procedures.
§ 410.32 Type certificates. (a) When a manufacturer desires to obtain a type certificate for a new type under the delegation option procedures:
(1) The DMCR for such manufacturer shall submit to the CAA an Application for Type Certificate (Form ACA-312) together with a statement listing particular airworthiness requirements of this title by part and date, which the DMCR considers applicable, plus a three-view drawing, a description of the salient characteristics of the design, an outline of the method to be used to substantiate compliance, and an estimated time schedule involved. After reviewing the application, the CAA will notify the DMCR in an acceptance letter that the Administrator finds such requirements, or other specified requirements, applicable.
(2) The CAA will verify compliance with standards, rules, and regulations for unconventional designs and/or design features having a substantially significant effect on safety, and will determine that there are no apparent unairworthy features. An initial review will be made by the CAA of new type designs
including discussions with the manufacturer concerning any unconventional design features, interpretations of the regulations, or means of determining compliance. Following this review the CAA will notify the manufacturer concerning the extent to which the CAA will verify compliance, and the extent to which the CAA will participate in test programs. Also, the CAA will counsel and advise manufacturers upon request or indicated need.
(3) After determining that the applicable airworthiness requirements are met, the DMCR shall request the Administrator to issue a type certificate. The request shall include a Statement of Compliance and the information prescribed in appendix C1 to this part. The proposed specification and, if required by the applicable airworthiness requirements, a copy of the Airplane Flight Manual as approved by the DMCR, shall be transmitted with the request. If the results of his own participation in the process of determining compliance with the regulations have revealed no failure of compliance. The Administrator will issue the type certificate and publish the specification.
(b) Under these delegation option procedures, the manufacturer may change the type design for which he holds a type certificate, when the DMCR finds that the changes comply with the applicable airworthiness requirements. If such changes would alter the information in the specification or Airplane Flight Manual, the manufacturer shall promptly submit proposed specification revisions of Airplane Flight Manual revisions to the CAA.
(1) The DMCR shall furnish a statement to the CAA, briefly describing major changes to the type design and listing the particular airworthiness requirements of this title which the DMCR considers applicable. Upon receiving such a statement, the CAA will notify the DMCR that the Administrator finds such requirements, or other specified requirements applicable. The CAA will verify compliance as considered necessary and will counsel and advise manufacturers upon request or indicated need.
(c) As a part of determining compliance with the applicable airworthiness requirements, the DMCR shall conduct a type inspection and complete a Type Inspection Report (Form ACA-283), or applicable portions thereof, which he shall sign and include in the manufacturer’s technical data file.
(d) The manufacturer or the DMCR may request the advice of the CAA concerning interpretation of the certification requirements in
1Not filed with the Federal Register Division.
Parts 1, 3, 4a, 5, 8, 13, and 14 of this title. The DMCR shall request the advice of the CAA on any interpretation which requires application of the equivalent safety provisions contained in the certification requirements. CAA rulings will be confirmed in writing.
(e) The manufacturer shall prepare and maintain a technical data file for each product type under the delegation option procedure. In accordance with § 410.38 (a)(1). Authorized employees of the CAA shall have access to the file at any time. In the event the manufacturer goes out of business or no longer operates under the delegation option procedures the file becomes the property of the CAA.
§ 410.33 Production certificates. (a) When a manufacturer desires to list a new model or a new type certificate on his production certificate, the DMCR for such manufacturer shall, after finding that the manufacturer meets the production certificate requirements of Part 1 of this title with respect to the new model or type, submit a request therefor to the Administrator. (See § 410.31 (b) (4).) This register shall be accompanied by:
(1) A Statement of Compliance containing the information prescribed in appendix D1 of this part, and,
(2) A properly executed application for an amendment to the manufacturer’s production certificate (Form ACA-332).
Upon receipt of these documents the Administrator will add the new model designation and/or type certificate number to the production certificate and forward to the manufacturer an amended production limitation record.
(b) In determining that the manufacturer meets the applicable production certificate requirements, the DMCR shall, for each new model or type added to the production certificate under the delegation option procedure, conduct an inspection of the manufacturer’s organization, facilities, methods, and procedures for manufacturing and controlling the quality and conformity of the product. The CAA shall be notified in advance of such inspections and will participate as considered necessary. The DMCR shall complete and sign a Manufacturing Inspection Report (Form ACA-314) for inclusion in the manufacturer’s records.
(c) At least once each year while the manufacturer holds a delegation option procedure authorization, the DMCR shall conduct an inspection of the manufacturer’s facilities, methods, and procedures. The CAA will participate as considered necessary.
1Not filed with the Federal Register Division.
(d) The manufacturer shall prepare and maintain a production certification file and make reports covering changes in organization and procedures and special processes, as required by the production certificate requirements of Part 1 of this title. He shall include such reports and inspection records for each model produced under the delegation option procedure in his records as specified in § 410.38 (a) (2).
§ 410.34 Airworthiness certificates. (a) A DMCR shall issue an airworthiness certificate for an airplane or glider manufactured under the delegation option procedure when he finds, on the basis of the inspection and production flight check, that the aircraft conforms to a type design for which the manufacturer holds a type certificate and is in a condition for safe operation.
(b) The DMCR may authorize other employees of the manufacturer to sign such airworthiness certificates for him, over his name and designee number: Provided, That:
(1) Such employees perform or are in direct charge of the inspections specified in paragraph (a) of this section, and
(2) Such employees have been listed on the manufacturer’s application to use the delegation option procedures (see appendix A1 to this part), or on amendments thereto.
(c) A DMCR shall issue and attach an approval tag, Form ACA-186, to each new engine or propeller manufactured under the delegation option procedure when he finds, on the basis of the inspection and operational tests, that the engine or propeller conforms to a type design for which the manufacturer holds a type certificate and is in condition for safe operation.
After the new model has been included on the Production Limitation Record, the production certification number shall be stamped on the engine or propeller identification data plate in lieu of the issuance of the approval tag, Form ACA-186.
§ 410.35 Certification of airworthiness for export. A certificate of airworthiness for export may be issued on the same basis as an airworthiness certificate, as specified in § 410.34.
§ 410.36 Service difficulties and
noncompliance. Service difficulties and questions of compliance on articles produced under the delegation option procedure will be handled as follows:
(a) Routine reports. The CAA will collect information on service difficulties in accordance with standard procedures. Where service difficulties are deemed of sufficient importance, the CAA will forward copies of the reports to the manufacturer for his information and any action he deems appropriate. The CAA will not request replies or action on such reports, except as indicated in paragraph (b) of this section.
(b) Serious defects. If accidents or service difficulty reports indicate unsafe features or characteristics caused by defect in design or manufacture, the CAA will transmit such reports to the manufacturer with a request that it be informed of the results of this investigation and of the action, if any, taken or proposed by him (e.g., service bulletins, design changes, etc.). If the nature of the defect is of such importance that mandatory corrective action by the user of the product is necessary for safety, the CAA will require the manufacturer to submit the information necessary for the issuance of an airworthiness directive in accordance with the standard procedures.
(c) Investigations of product or manufacturing facilities. The manufacturer shall, at any time upon request, permit the CAA to inspect and test his product, and investigate his technical data files and manufacturing facilities when reports indicate that a serious defect exists, and when the CAA finds that:
(1) The manufacturer’s investigation and action are deemed inadequate to correct the unsafe condition, or
(2) There is substantial evidence that products of the type may not, in fact, comply with the applicable airworthiness requirements. Prior to conducting such an investigation, the CAA will communicate with the manufacturer, citing the evidence in the case, and, time permitting, will request the manufacturer to submit comments and any additional pertinent information.
(d) Maintenance of files. The manufacturer shall maintain a file of information on service difficulties received from all sources, which will be available to the CAA at all times.
(e) Noncompliance. When investigation is made by the CAA, and the findings indicate that a serious safety hazard exists because of the manufacturer’s failure to comply with Parts 1, 3, 4a, 5, 8, 13, or 14 of this title, the CAA will take such action as is deemed necessary to require correction of the defect in existing models and to assure compliance in articles subsequently produced.
(f)
Revocation of delegation option authorization. If the number or importance of established cases of noncompliance warrants, or if the manufacturer is found not to comply with the requirements of this part, the CAA may request the manufacturer to show cause why his privileges under the delegation option procedures should not be withdrawn. These privileges may be withdrawn until the manufacturer re-establishes his eligibility to the satisfaction of the Administrator.
(g) Suspension and revocation of certificates. Any action against type or production certificates held by the manufacturer will be processed in accordance with the standard procedures. (See § 408.26 of this chapter.)
§ 410.37 Maintenance, repair, and alteration of products. Aircraft, engines, and propellers manufactured under the delegation option procedures shall be maintained, repaired, and altered in accordance with Part 18 of this title and the following provisions:
(a) Approval of major repairs and alterations performed by the manufacturer. For types included under the manufacturer’s delegation option authorization:
(1) The DMCR may, after finding that the major repair or alteration complies with the applicable requirements, approve such repair of alteration under the provisions of §18.11 of this title.
(2) A completed Repair and Alteration Form (Form ACA-337) shall be furnished to the owner and a copy forwarded to the CAA in accordance with established procedures. Technical data covering the design change shall be included in the manufacturer’s records. The Form ACA-337 shall contain a description of the repair or alteration and a statement that it was accomplished under the delegation option procedures.
(3) The DMCR may authorize other employees of the manufacturer to execute and sign Forms ACA-337 and make required logbook entries over his name and designee number: Provided, That:
(i) Such employees perform or are in direct charge of inspecting the repair or alteration, and
(ii) They have been listed on the manufacturer’s application for the delegation option (see appendix A1 to this part), or on amendments thereto.
(b) Approval of major repairs and alterations performed by agencies other than the manufacturer. Anyone performing a major repair or alteration to a product certificated under the delegation option procedure must either:
1Not filed with the Federal Register Division.
(1) Obtain the necessary technical data or advice from the manufacturer, or
(2) Conduct the technical investigations and tests necessary to demonstrate compliance with the applicable airworthiness requirements.
§ 410.38 Data and records. (a) A manufacturer shall maintain at his factory, for all models certificated under the delegation option procedures, current records containing the following:
(1) A technical data file for each type. This data shall include the type design drawings, specifications, and reports on tests prescribed by Parts 1, 3, 4a, 5, 8, 13, or 14 of this title, the original type inspection report (Form ACA-283), and amendments thereto. This file shall be retained for the duration of the manufacturer’s operation under the delegation option procedure.
(2) A complete inspection record for each model produced according to serial number and data covering the processes and tests to which materials and parts are subjected. These records shall be retained for 2 years.
(3) The report required to be submitted with the original application for the production certificate and amendments thereto. This report shall be retained for the duration of the manufacturer’s operation under the delegation option procedure.
(4) The factory inspection reports specified in § 410.33 (b) and (c). These factory inspection reports shall be retained for 2 years.
(5) A record of all major repairs and alterations performed under the delegation option procedure. This record shall be retained for the duration of the manufacturer’s operation under the delegation option procedure.
(6) A record of all reported service difficulties. These records shall be retained for 2 years.
(b) The records and data specified in paragraph (a) of this section shall be:
(1) Made available, upon request, for examination at any time by authorized employees of the Administrator,
(2) Identified and transferred to the CAA in the event the manufacturer goes out of business or no longer operates under the delegation option procedure.
APPENDIX A
INFORMATION REQUIRED IN APPLICATION FOR DELEGATION OPTION AUTHORIZATION
hereby makes application for authorization to use the delegation option (name of manufacturer)
procedure for type, production, and airworthiness certification under the provisions of Part 410 of the Regulations of the Administrator of Civil Aeronautics, and requests that the following individual, who holds a responsible position
with this company in respect to the design and manufacture of to be produced under the delegation option procedure, be appointed as a CAA Designated Manufacturer’s Certification Representative:
(name) (title)
If authorization to use the delegation option procedure is granted, the following individuals will be authorized to sign airworthiness certificates, repair and alteration forms, and inspection forms for the Designated Manufacturer’s Certification Representative:
(name) (title)
This company holds the following currently effective type and production certificates obtained under the standard certification procedures:
Model Type Production
Certificate Certificate
No. No.
Signed
Date Title
APPENDIX B
SAMPLE AUTHORIZATION TO USE THE DELEGATION OPTION PROCEDURE
(date)
(Address to manufacturer)
In consideration of an application made on ,
(date)
has been found eligible and is hereby authorized to use the delegation
(name of manufacturer)
option procedure for the type, production, and airworthiness certification of in accordance with the provisions of Part 410 of the Regulations of the Administrtor of Civil Aeronautics.
is hereby appointed a Designated Manufactuer’s Certification
Representative and is issued a Certificate of Authority, Number .
APPENDIX C
INFORMATION REQUIRED IN STATEMENT OF COMPLIANCE
AND
REQUEST FOR ISSUANCE OF A TYPE CERTIFICATE
The undersigned hereby certifies that , designed and
(model designation)
manufactured by , complies with the applicable airworthiness
requirements listed below and all mandatory CAA rules published thereunder, and requests the issuance of a type
certificate for this model under the delegation option authorization issued to the manufacutrer on .
(date)
APPLICABLE REQUIREMENTS: CAR , in effect on ,
CAR amendments , effective .
The required technical data and type inspection report dated have been completed and included
in the technical data file for this model.
The following documents are transmitted herewith:
Proposed Specification
Airplane Flight Manual (if applicable)
Signed
DMCR No.
Date
APPENDIX D
INFORMATION REQUIRED IN STATEMENT OF COMPLIANCE
AND
REQUEST FOR ISSUANCE OF AN AMENDED PRODUCTION CERTIFICATE
The undersigned hereby certifies that , meets the applicable
(name of manufacturer)
production certificate requirements with respect to , manufactured under the Type
(model designation)
Certificate No. and requests the addition of this model and Type Certificate No. to production
Certification No. , under the delegation option (Production certificate held by the mfr.)
authorization issued to the manufacturer on .
(date)
The required data on procedures, methods, and processes, and the factory inspection report, dated
, for this model have been completed and included in the manufacturer’s records.
An application for Production Certificate is transmitted herewith.
Signed
DMCR No.
Date
Procurement Administration Manual
Responsible Procurement POLICY
Responsible Manufacturers
Responsible Manufacturers - Clothing
Date: January 2, 2013
Replaces Date: April 1, 2010
Policy
* Manitoba will make best efforts to purchase clothing manufactured in a responsible manner.
o A responsible manner is defined as minimum fair labour practices including:
* in accordance with all laws applicable in the jurisdiction of their production; and
* in accordance with minimum labour rights set out in this policy
o This means that contractors and their subcontractors will be obliged to comply with local labour laws that are applicable in the jurisdictions where the work is done, and ensure that their labour practices embody the minimum labour rights listed in this policy.
Rationale
* to promote awareness, better understanding and support for the promotion of humane working conditions
* to recognize the public interest in purchasing goods manufactured under humane working conditions, by manufacturers and sub-contractors who abide by local labour laws and other labour standards
* to support the principles of Manitoba's Sustainable Development Act (1998), which includes under Schedule A, Sec. 7, Global Responsibility, the statement: "Manitobans should think globally when acting locally, recognizing that there is economic, ecological and social interdependence among provinces and nations ”
* to support Manitoba's Provincial Sustainable Development Code of Practice (2001), which requires that Government's decisions and activities strive toward: "ensuring that our local decision-making is consistent with our global environmental, economic and social responsibilities"
Application
* This policy applies to the following organizations of the Manitoba Government:
o Departments
o Special Operating Agencies (SOAs)
o Agencies, Boards, Commissions and Committees that report to the executive branch of government
* This policy applies to the purchase of clothing estimated to be • $5,000 including applicable taxes, incidental charges and expenses. Clothing is considered to be garments in general, personal attire, uniforms and outerwear.
Procurement Administration Manual Page 1 of 6
Procurement Administration Manual
Responsible Procurement POLICY
Responsible Manufacturers
Responsible Manufacturers - Clothing
o At the discretion of the purchasing organization, responsible Manufacturing may be a requirement on purchases < $5,000.
* Standard exceptions to the policy:
o the responsible manufacturer component of a clothing purchase is estimated to be < $5,000 including applicable taxes, incidental charges and expenses
o the clothing purchase is necessary to respond to an emergency which endangers public health and safety and time does not permit a standard competition
o after reasonable assessment, it appears that the clothing purchase is only available from a single vendor or must be purchased from a sole source vendor who is unable to meet the requirements of the policy
o a tender that has been reissued as a result of the previous tender being cancelled because the bids were:
* non-compliant
* uncompetitive
* competition is deemed insufficient (less than 3 bidders)
o goods for temporary use where unforeseen circumstances cause an approved clothing item to be discontinued or unavailable for an extended period of time
* In these circumstances, the use of a temporary substitute will not result in future exemption from responsible manufacturing requirements.
Policy Guidelines
Implementation
* Tender Administrators will incorporate terms and conditions into a procurement opportunity that requires Bidders to provide Responsible Manufacturers Information, which includes the name, and address of all factories and production facilities used in the manufacture and assembly of the product.
* Bidders must be informed that by submitting an offer with Responsible Manufacturers Information, they agree to the Responsible Manufacturers Certification; that, to the best of its knowledge, the manufacturer and any subcontractors for the item(s) offered, complies with Local Labour Laws and Minimum Labour Rights, outlined in this policy. And, that manufacturers and any subcontractors will remain in compliance for the duration of the contract.
Responsible Manufacturers Information
* Bidders are required to provide Responsible Manufacturers Information for each item, including the Factory name, Factory address, City and Country.
Procurement Administration Manual Page 2 of 6
Procurement Administration Manual
Responsible Procurement POLICY
Responsible Manufacturers
Responsible Manufacturers - Clothing
* The Responsible Manufacturer Information is a mandatory requirement and failure to provide the required information will result in rejection of the bid.
o However, Tender Administrators, at their discretion, may allow for “partial” disclosure, which permits Bidders to report only the country of manufacture or assembly at the time of bid submission, but must provide full disclosure prior to the award of a contract.
o Partial disclosure maybe used when the Tender Administrator is of the opinion that delays may occur in obtaining information for full disclosure or when it is known in advance that additional time may be required to allow Bidders to verify compliance to Local Labour Laws or Minimum Labour Rights.
Responsible Manufacturers Certification
* By submitting an offer with Responsible Manufacturers Information, the Bidder will certify, that to the best of its knowledge, the manufacturer and any subcontractors for the item(s) offered, complies with Local Labour Laws and Minimum Labour Rights noted in the tender; and will continue to do so throughout the duration of any contract resulting from this tender.
Local Labour Laws
* Local Labour Laws are defined as local, regional or national labour laws, by-laws, regulations or employment standards (ex: wages, overtime, benefits and hours of work) that apply in the location of manufacture and assembly. These laws may be different from the minimum labour rights.
Minimum Labour Rights
1. No Forced Labour: Employers shall not subject a worker to forced labour practices, whether in the form of involuntary prison labour, indentured labour, bonded labour or otherwise except for types of compulsory work generally considered acceptable, such as compulsory military service, certain civic obligations, prison labour not for private purposes and work exacted in cases of emergency. Forced Labour is defined as all work or service which is exacted from any person under the menace of any penalty and for which the person has not offered themselves voluntarily (International Labour Organization Conventions #29 and #105).
2. No Child Labour: Employers shall not employ children in work that is hazardous, unsafe or unhealthy or would jeopardize the full physical, mental or moral development of the child (including schooling). A child is defined as a person under the age of 16 years.
3. Freedom of Association: Workers shall have the right to join or form trade unions of their own choosing and to bargain collectively. In situations where rights to freedom of association and collective bargaining are restricted under law, the employer shall facilitate parallel means of independent and free association and bargaining for all workers.
4. Occupational Health and Safety: Workers shall be provided with a safe and hygienic working environment, including access to clean toilet facilities and potable water.
Procurement Administration Manual Page 3 of 6
Procurement Administration Manual
Responsible Procurement POLICY
Responsible Manufacturers
Responsible Manufacturers - Clothing
5. No Employment Discrimination: There shall be no discrimination in hiring, compensation, access to training, promotion, termination or retirement based on race, caste, national origin, religion, age, disability, gender, marital status, sexual orientation, union membership or political affiliation subject to certain reasonable exceptions, such as, where applicable, bona fide occupational requirements or qualifications and established practices or rules governing retirement ages, and special measures of protection or assistance for particular groups designed to take into account the effects of discrimination.
Compliance
* Manitoba will rely on Bidder disclosures and certification, and public disclosure of information about factories and production facilities to ensure compliance with this policy.
* Upon award of contract, the name and addresses of the Contractor and their subcontractors shall be made public.
* Require that Bidders ensure their subcontractors comply with the policy.
* Require the Contractor to provide notification of any changes to Manitoba.
* Communicate that non-compliance with this policy may be a factor affecting future awards.
* Coordinate a response to credible complaints; by a Review Team led by PSB (see below).
* Apply standard procurement practices, such as:
o Signature of a signed bid/proposal acknowledges certification of all requirements.
o Manitoba reserves the right to ask for proof of compliance.
o Manitoba reserves the right to cancel and reissue a tender.
Complaint Assessment Process
* Manitoba will oversee a case-by-case assessment in the event of a credible complaint, with sufficient factual evidence to support the allegations in the complaint. General responsibilities include:
A. Procurement Services Branch will assist the procuring organization to:
* respond to a credible complaint
* create and coordinate, if necessary, a Review Team with the expertise to review the complaint; such as Manitoba Family Services & Labour (employment and health and safety issues), the Human Rights Commission (discrimination issues), Civil Legal Services, and the client department
Procurement Administration Manual Page 4 of 6
Procurement Administration Manual
Responsible Procurement POLICY
Responsible Manufacturers
Responsible Manufacturers - Clothing
* refer complaint to appropriate department (such as Manitoba Family Services & Labour) for investigation as necessary
* provide procurement advice to assist the Review Team in developing a recommendation
* recommend action to be taken with consideration given to any direction from departmental Executives and/or Ministers of Manitoba Infrastructure and Transportation or Manitoba Family Services & Labour, as appropriate
B. Review Team will:
* assess and determine the complaint credibility and supporting information
* inform the Contractor of the complaint and the supporting information
* request written response from the Contractor
* assess the Contractor response
* assess and accept any instances where it is reasonably determined that Contractor practices may differ from the policy so long as the purpose and spirit of the policy is upheld
* make a recommendation, in consultation with the Director of PSB, concerning the allegation to be submitted for decision to departmental Executives and the Minister of Manitoba Infrastructure and Transportation and/or Manitoba Family Services & Labour, as appropriate
C. Contractor will be required to:
* assess and respond to the complaint
* provide a response in writing to the Review Team and/or PSB and/or the responsible Manitoba department within a designated timeframe
* indicate actions to rectify situation, in the event the complaint is deemed to be valid and provide information to substantiate actions
* be responsible for their costs associated with verifying compliance including their costs incurred during an investigation
Reporting
* PSB is responsible for coordinating corporate reporting to government.
* Purchasers, to whom this policy applies, will report their purchasing activities under this policy to PSB.
Procurement Administration Manual Page 5 of 6
Procurement Administration Manual
Responsible Procurement POLICY
Responsible Manufacturers
Responsible Manufacturers - Clothing
Public Disclosure
* PSB will coordinate Manitoba’s public reporting under this policy.
Issued by
* Procurement Services Branch, Manitoba Infrastructure and Transportation, in consultation with Manitoba Labour and Immigration.
References
* Manitoba Sustainable Development Procurement Guidelines, Dec. 6, 2000
* The Sustainable Development Act, S270, 1998 and schedules A, B
* The Government Purchases Amendment Act (Responsible Manufacturing)
* Government Purchases Regulation
Inquires
Procurement Procurement Services Branch
270 Osborne St. N.
Winnipeg, MB R3C 1V7
Labour Rights Research, Legislation and Policy Branch
614-401 York Avenue
Winnipeg, Manitoba R3C 0P8
Ph: 204-945-6361
Fax 204-945-1455
ProcServ@gov.mb.ca
Ph: 204-945-2948
Fax 204-948-2085
peter.ogrodnik@gov.mb.ca
Back to Top
Procurement Administration Manual Page 6 of 6
Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
A Practical Guide to the Use of Correspondence Analysis in Marketing Research
Mike Bendixen
This paper illustrates the application of correspondence analysis in marketing research. Keywords: Correspondence Analysis
Introduction
The emphasis is on the interpretation of results rather than the technical and mathematical details of the procedure.
Contingency Tables in Research
The cross-tabulation of categorical data is perhaps the most commonly encountered and simple form of analysis in research (Hoffman & Franke1986). Consider, for example, the following contingency table showing the frequency of usage of four common brands of toothpaste in three geographic regions among a random sample of 120 users:
Table 1. Brand by Region Contingency Table
Region 1
Region 2
Region 3
Total
Brand A
5
5
30
40
Brand B
5
25
5
35
Brand C
15
5
5
25
Brand D
15
5
0
20
Total
40
40
40
120
Interpreting this contingency table is a relative easy task in this simple example. Visual inspection indicates that Brand A is dominant in Region 3, Brand B is dominant in Region 2. Region 1 prefers Brands C and D and Brand D has no support in Region 3 -perhaps it has no distribution network in that region.
Larger contingency tables, i.e. those with more rows and/or columns, can become very complex to interpret and several aids are brought to bear to assist in this process. Examination of row and column profiles allows the researcher to examine the relative position of the columns and rows to each other and thus establish distinguishing characteristics. The row and column profiles of the contingency table in the example are presented in Tables 2 and 3 respectively. A brief examination of these tables confirms that the brand usage pattern established by visual inspection is correct.
Page 1 of 15 http://marketing-bulletin.massey.ac.nz
Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
Another analytical procedure that can be applied to a contingency table is the Chi-square test of independence. This statistical test is used to determine whether the rows and columns are independent of one another, or phrased differently, whether there is a statistically significant dependence between the rows and columns. In the present example, this would be tantamount to establishing whether brand usage is influenced by region.
It is important to note that this test should only be applied when the expected frequency of any cell is at least 5. Also, while this test may be used to establish dependence, little information is provided as to the nature of the dependence.
Table 2. Row Profile
Table 3. Column Profile
Region
Region
Region
Total
Region
Region
Region
Total
1 (%)
2 (%)
3 (%)
(%)
1 (%)
2 (%)
3 (%)
(%)
Brand A
12.5
12.5
75.0
100.0
12.5
12.5
75.0
33.3
Brand B
14.3
71.4
14.3
100.0
12.5
62.5
12.5
29.2
Brand C
60.0
20.0
20.0
100.0
37.5
12.5
12.5
20.8
Brand D
75.0
25.0
0.0
100.0
37.5
12.5
0.0
16.7
Total
33.3
33.3
33.3
100.0
100.0
100.0
100.0
100.0
The Chi-square statistic is calculated as follows:
r c (fo ij ~ fe ij )
???
feij
where there are r rows and c columns in the contingency table and the observed and expected frequencies of the cell in row i and column j are denoted by foij and feij respectively. This calculated statistic is compared to the critical value (obtained from statistical tables) with (r-1)(c-1) degrees of freedom.
Applying this formula to the contingency table in the example yields a Chi-square value of 79.07. At 5% significance level with 6 degrees of freedom, the critical Chi-square value is 12.592. The calculated statistic is greater than this value and thus we must conclude that region and brand usage are not independent of each other. The contribution of each cell to the total Chi-square score is presented in Table 4.
Table 4. Calculation of Chi-square Statistic
Region 1
Region 2
Region 3
Total
Brand A
5.208
5.208
20.833
31.250
Brand B
3.810
15.238
3.810
22.857
Brand C
5.333
1.333
1.333
8.000
Brand D
10.417
0.417
6.667
17.500
Total
24.768
22.196
32.643
79.607
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
The relative contributions of each cell to the total Chi-square statistic give some indication of the nature of the dependency between region and brand usage. From Table 3, it can be seen that the cells representing Brand A in Region 3, Brand B in Region 2 and Brand D in Region 1 contribute about 58% to the total Chi-square score and thus account for most of the difference between expected and observed values. This confirms the earlier visual interpretation of the data. As stated earlier, visual interpretation may not be clear in larger contingency tables and the contribution of one cell to the total Chi-square score becomes a useful way of establishing the nature of dependency.
Graphical Representation of a Contingency Table
An alternative means of extracting the nature of the dependency between the rows and columns of the contingency table is to represent the row or column profiles graphically. To illustrate, the row profiles presented in Table 2 may be plotted in three-dimensional space with each of the dimensions representing a different region. Each brand is positioned in this space according to its profile. This is illustrated, together with the plot of the average brand profile in Figure 1.
(N. B. All points lie on the plane of triangle PQR)
Figure 1. 3-Dimensional Representation of Row Profiles
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
O
Region
AO
Average
3
Region 2
B O
O
O
O C
D
O
O
Region 1
-75 -50 -25 0 25 50 75
Figure 2. 2-Dimensional Representation of Row Profiles
The complexity of interpreting the position of the brands in three dimensions is immediately apparent. However, as the sum of each row profile is 100%, all of the points plotted lie on a plane in the three-dimensional space. (This plane is bounded by the triangle PQR illustrated in Figure 1.) Hence it is possible, and considerably more convenient, to represent this plot in only two-dimensional space. This simpler illustration, with the average brand profile arbitrarily taken as the zero point on each axis, is presented in Figure 2.
From Figure 2, the proximity of Brand A to the apex representing Region 3 indicates that Brand A is strongly "associated" with Region 3 which is clearly the case from the profile presented in Table 2, i.e. 75% of Brand A users reside in Region 3. Likewise, the proximity of Brand B to the apex representing Region 2 and Brands C and D to the apex representing Region 1 indicates the higher frequency of usage of those brands in those regions. Also, the fact that Brands C and D are positioned relatively closely, indicates a similarity in their regional usage profiles. The fact that Brand A is positioned relatively far away from Brands C and D indicates that Brand A has very different regional usage profile from Brands C and D.
As a matter of terminology, when row profiles are plotted simultaneously with apexes representing the columns, the plot is termed asymmetric.
The Idea of Correspondence Analysis
In the previous section, it was demonstrated that the rows of contingency table can be represented graphically in column space. In the example used, there were 3 columns and perfect representation could be achieved in two dimensions. In can be shown in general that if there are n columns (or rows), then perfect representation can be achieved in n-1 dimensions. It can be seen that perfect graphical representation becomes problematic when there are more than three or four columns (or rows) involved. For instance, if in the previous example we wished to represent columns in row space, we would have to use three dimensions for perfect representation. While this can be done, it is far more difficult to interpret (and even visualise) three-dimensional plots compared to two-dimensional plots. Thus, the graphical procedure demonstrated is only useful for contingency tables that have a maximum of 3 rows or columns.
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
There is considerable appeal in representing contingency tables graphically in low-dimensional space for easy interpretation of any dependency between rows and columns. This is the idea behind correspondence analysis which analysis allows the optimal representation of a contingency table in low-dimensional space. For instance, it would be necessary to resort to 15-dimensional space for perfect graphical representation of a 16x16 contingency table, perhaps 75% of the subtlety of the table could be retained in just two dimensions. This represents an enormous gain in simplicity (2 versus 15 dimensions) for an acceptable trade-off in accuracy of representation (75% versus 100%).
The mathematical procedures involved in correspondence analysis are complex - unless you are very familiar with matrix algebra. Interested students are referred to Greenacre (1984) or Hoffman and Franke (1986) for technical details. What is of concern in this paper is the practical application and interpretation of correspondence analysis rather than the mathematical and statistical details.
The asymmetric plot that is produced using correspondence analysis for the previous example is illustrated in Figure 3. Note that besides the change in orientation, this plot is essentially the same as that illustrated in Figure 2.
-1500 -1000 -500 0 500 1000
61.8%
Figure 3. Asymmetric Plot of Row Profiles and Column Vertices
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
Detailed Worked Example
In order to illustrate the interpretation of output from correspondence analysis, the following example is worked through in detail.
A sample of 100 housewives were asked which of the 14 statements listed below they associated with any of 8 breakfast foods. Note that multiple responses were allowed.
The key to the statements and foods is presented in Table 5 and the frequency of responses is presented in Table 6.
Table 5. Key to Statements and Foods
Statement Breakfast Foods
A Healthy Cereals CER
B Nutritious Muesli MUE
C Good in summer Porridge POR
D Good in winter Bacon and eggs B&E
E Expensive Toast and tea T&T
F Quick and easy Fresh fruit FRF
G Tasty Stewed fruit STF
H Economical Yoghurt YOG
I For a treat
J For weekdays
K For weekends
L Tasteless
M Takes too long to prepare
N Family’s favourite
Table 6. Frequency of Response
CER
MUE
POR
B&E
T&T
FRF
STF
YOG
TOTAL
A
14
38
25
18
8
31
28
34
196
B
14
28
25
25
7
32
26
31
188
C
42
22
11
13
7
37
16
35
183
D
10
10
32
26
6
11
19
8
122
E
6
33
5
27
3
9
18
10
111
F
54
33
8
2
15
26
8
20
166
G
24
21
16
34
11
33
26
26
191
H
24
3
20
3
16
7
3
7
83
I
5
3
3
31
4
4
16
17
83
J
47
24
15
9
13
11
6
10
135
K
12
5
8
56
16
10
23
18
148
L
8
6
2
2
0
0
2
1
21
M
0
0
9
35
1
0
10
0
55
N
14
4
10
31
5
7
2
5
78
TOTAL
274
230
189
312
112
218
203
222
1760
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
The output of a 2-axis correspondence analysis solution to the above problem is presented in Appendix 1. A step-by-step interpretation of the problem follows.
Significance of Dependencies
The first step in the interpretation of correspondence analysis is to establish whether there is a significant dependency between the rows and columns. There are two approaches to establish significance. Firstly, the trace is examined. This appears in the eigenvalue report. The square root of the trace may be interpreted as a correlation co-efficient between the rows and columns.
As a rule of thumb, any value of this correlation co-efficient in excess of 0,2 indicates significant dependency.
In this example,
Trace = 0.3678 = 0.6065
thus indicating a strong dependency between the statements and the breakfast foods.
This is a rough and ready approximation and a more thorough approach is to calculate the chi-square statistic from the following formula:
In this example,
?2 = 0.3678 * 1760 = 647.3
There are (8-1)*(14-1) = 91 degrees of freedom in this problem. At a confidence level of 5%, the critical chi-square value is 70,0 thus indicating a significant dependency between rows and columns.
(Question: Why is the application of the chi-square test of independence not strictly applicable in this example?)
Dimensionality of the Solution
The second step in interpretation is to determine the appropriate number of dimensions to use in the solution. This is achieved by examining the eigenvalue report in more detail. The sum of the eigenvalues is equal to the trace. The ratio of the eigenvalue of any axis to the trace represents the proportion of the total "inertia" (or chi-square value) explained by that axis.
In this example, there are 8 columns, thus, if the data were purely random with no significant dependencies, the average axis should account for 100/(8-1) = 14.3% of the inertia. Likewise, the average axis should account for 100/(14-1) = 7.7% in terms of the 14 rows. Thus, any axis contributing more than the maximum of these two percentages should be regarded as significant and included in the solution. Thus, as the third axis in this example accounts for only 11.92% of the inertia, only a 2-dimensional solution should be used. Note that a higher number of dimensions may be used but the additional dimensions are unlikely to contribute significantly to the interpretation of nature of the dependency between the rows and columns.
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
The first and second axes account for 52.50% and 21.13% of the inertia respectively, i.e. a cumulative total of 73.64%. This latter figure is often referred to as the retention of the solution. Obviously, the higher the retention, the more subtlety in the original data is retained in the low-dimensional solution.
Interpreting the Axes
It is common practice to simply plot the co-ordinates presented in the correspondence analysis output. This is termed the French plot or symmetric plot. While this plot may be useful, it may also lead to misinterpretation if examined in isolation or only visually. The reason for this is that principal co-ordinates are presented for both rows and columns. These co-ordinates represent the row and column profiles and not the apexes for which the standard co-ordinates are required. This means that while the distances between any row items and the distance between column items is meaningful and may be interpreted, the distance between any row and column items is not! In order to interpret any inter-point distances, the columns (profiles) must be presented in row space (vertices) or vice-versa. The French plot represents the row and column profiles simultaneously in a common space.
This problem may be overcome in one of two ways. The simplest way is to present only asymmetric plots. The apices of either the rows (or the columns) are plotted from the standard co-ordinates and the profiles of the columns (or the rows) are plotted from the principle coordinates. The standard and principle co-ordinates for any axis are related as follows:
Pij = ?j Sij
where Pij and Sij are the principal and standard co-ordinates of row (or column) i on axis j and
Xj in the eigenvalue of axis j.
The asymmetric plot representing breakfast food profiles and statement apexes is presented in Figure 4. (Note that the plot in Figure 3 for the previous example was handled in this way).
A more complex, but very much more satisfying way of overcoming this problem in terms of richness in meaning, is to interpret the axes in terms of the rows (or the columns) and plot only the column points (or row points) in the space of the labeled axes.
The first step in this procedure is to decide whether to interpret the axes in terms of rows or columns. In this example, this requires a decision as to whether to interpret breakfast foods in statement space or statements in breakfast food space. After a little consideration, it seems likely that the former choice would be most appropriate.
The axes are interpreted by way of the contribution that each element (in this case each statement) makes towards the total inertia accounted for by the axis. In this example there are 14 statements, thus, any contribution greater than 100/14 = 7,1% would represent significance greater than what would be expected in the case of a purely random distribution of statements over the axes. (Please note that the figures quoted in Appendix 1 are multiplied by 1000).
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
-3000 -2500 -2000 -1500 -1000 -500 0 500 1000 1500
52.5%
Figure 4. Asymmetric Plot of Breakfast Food Data with Statements in Standard Co-ordinates
Examining the detailed report for the rows in Appendix 1, statements M, F, K, J and I meet this criterion and "determine" the first axis. However, while statements F and J have positive coordinates, statements M, K and I have negative co-ordinates. The opposite poles of this axis are interpreted differently and as follows:
-ve +ve
M Takes too long to prepare Quick and easy F
K For weekends For weekdays J
I For a treat
It is reasonably clear from the loading of the statements that the first axis represents "convenience". While the positive side represents breakfasts that are everyday and easy to prepare, the negative side represents breakfasts that are special and take a long time to prepare.
The second axis is interpreted in the same fashion:
-ve +ve
H Economical Healthy A
J For weekdays Expensive E
N Family's favourite Nutritious B
Notice that, unlike the interpretation of the first axis, the opposite poles of this axis are not entirely logical opposites. While economical is opposite to expensive, healthy and nutritious
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
have no polar opposites. It is also interesting to note that healthy and nutritious product are associated with being expensive.
The principle co-ordinates can now be plotted with the axes labeled as above. This plot is illustrated in Figure 5.
The relative positioning of the various breakfast foods is now not only correct but the statements determining their positioning is also clear.
The Quality of Representation
So far it is apparent that correspondence analysis has been successful in representing the contingency table in low dimensional space. An overall retention of 76,34% has been achieved in two dimensions. However, not all of the statements or products are equally well represented. Determining the quality of representation of a particular row or column provides additional richness to the interpretation of the relationships in the contingency table.
O
STF
Heathy Expensive Nutritious
MUE
YOG O
O O
FRF
Long to prepare For weekends For a treat
Quick & easy For weekdays
B&E
O
POR
O
CER
O
T&T
O
Economical
For weekdays
Family's favourite
-1000 -750 -500 -250 0 250 500 750
52.5%
Figure 5. Plot of Breakfast foods in Statement Labeled Space
Some software packages provide details of the quality automatically. However, should this information not be available, the quality of representation is easily calculated from the correlations or squared correlations given in the output. Consider the detailed report presented for the columns presented in Appendix 1. The squared correlation presented for any column measures the degree of association between that column and a particular axis. So, for instance, the squared correlation between cereals (CER) and the first and second axes is 0.647 and 0.262 respectively. This implies that cereals are strongly associated with the first axis but only weakly associated with the second axis. This may be further interpreted by taking the sign of the co-ordinates of cereals on the two axis into account (i.e. examining the position of cereals on the plot presented in Figure 5): cereals are strongly associated with being quick &
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
easy to prepare and for weekdays (first axis); cereals are weakly associated with being economical, for weekdays and the family's favourite (second axis).
The quality of representation of a row or column in n dimensions is simply the sum of the squared correlations of that row or column over the n dimensions. In this example, the quality of representation of the breakfast foods in two dimensions is calculated as follows:
CER
0.647
+ 0.262
=
0.909
MUE
0.289
+ 0.299
=
0.588
POR
0.008
+ 0.128
=
0.136
B&E
0.917
+ 0.033
=
0.950
T&T
0.081
+ 0.529
=
0.610
FRF
0.308
+ 0.305
=
0.613
STF
0.520
+ 0.308
=
0.828
YOG
0.047
+ 0.439
=
0.486
Note that all products except porridge (POR) are well represented in the two dimensions. This implies that some caution is needed when interpreting porridge in this space and a higher dimensional solution is probably necessary to understand the relationship between porridge and the statements.
Supplementary Points
One of the most flexible aspects of correspondence analysis is the possibility of representing supplementary data points in the same low-dimensional space. All that is required is that the supplementary data must have either the rows or the columns in common with the original data. For this worked example. suppose that the following frequency of usage data was collected simultaneously with the attribute associations:
Table 7. Frequency of Product Usage
CER
MUE
POR
B&E
T&T
FRF
STF
YOG
I
24
3
4
8
18
2
9
11
II
58
15
8
13
16
10
10
29
III
6
10
12
46
8
14
15
8
IV
2
4
28
9
4
47
4
2
V
10
68
48
24
54
27
62
50
I = Daily, II = Several times per week, III = Several times per month, IV = Every few months, V = Never.
This data has the breakfast food products in common with the original data and can therefore be represented as supplementary rows on the correspondence analysis plot. Note that supplementary points are merely represented in this space and have no influence in determining either its nature or orientation. The detail report for the supplementary rows is presented in Table 8. Notice that in this report both the contributions and weights are zero confirming the fact that these supplementary points had no influence in determining the axes.
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
Table 8. Detail Report - Supplementary Rows
Label
Weight
Coordinate
Contribution
Sq. Correl.
F1
F2
CTR1
CTR2
COR1 COR2
I
0
280
-551
0
0
101 393
II
0
448
-321
0
0
425 218
III
0
-562
-82
0
0
866 19
IV
0
114
161
0
0
8 16
V
0
42
157
0
0
4 61
These supplementary rows are plotted in the correspondence analysis as illustrated in Figure 6 enriching the interpretation of the data even further.
-1500 -1000 -500 0 500 1000 1500
52.5%
(N.B. Supplementary rows plotted in standard co-ordinates)
Figure 6. Plot of Breakfast Foods with Supplementary Rows
Outliers
From time to time the data contained in a contingency table may contain one or more "outliers" in the rows and/or columns. The effect of such outliers is to dominate the interpretation of one or more of the axes. In doing so. the remaining row and/or column points tend to be tightly clustered in the resulting plots and thus difficult to interpret.
Potential outliers may be detected by seeking rows or columns that have both high absolute co-ordinate values and high contributions. The co-ordinates reported in correspondence analysis output represent the number of standard deviations the row (or column) is away from
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
the barycentre. Outliers are typified by being at least one standard deviation away from the barycentre as well as contributing significantly to the interpretation to one pole of an axis.
In the worked example. statement M is potentially an outlier as it is 1.278 standard deviations below the barycentre on the first axis and has the highest contribution (26.4%) in determining this axis. There are no other apparent outliers in this data.
Outliers may be treated as supplementary points and the correspondence analysis re-run without these points being allowed to determine the nature or orientation of the principle axes. In the case of the worked example. besides the exclusion of statement M. the interpretation of the axes remains virtually identical and the relative positioning of the rows and columns in the two-dimensional space remains unchanged - including the outlier viz. statement M which is now positioned as a supplementary point. This is unusual and probably indicates that statement M was not an outlier in the first place. The fact that the plotted points are not strongly clustered save for statement M is additional evidence for this conclusion.
Note that when an outlier is detected. the resulting interpretation of the axes must be seen in the light of the suppression of the outlier. The resulting interpretation must be qualified in that it is only relevant after the dominating influence of the outlier has been suppressed. Also, when an outlier is identified in a row, there are usually associated columns that are also outliers and vice-versa.
Conclusion
The above discussion represents a basic introduction to the use of correspondence analysis for the analysis of contingency tables in marketing research, specifically the construction of perceptual maps. A more advanced treatment of such data, including the segmentation of markets into perceptual groups, is discussed by Bendixen (1995).
The use of itemised rating scales is common in research, e.g. a 5-point Likert scale. As a matter of convenience, such data is usually assumed to behave in an interval fashion whereas it is strictly only ordinal. Correspondence analysis may be used to rescale such data. Dual or optimal scaling involves considering the co-ordinates only on the first principal axis (Greenacre, 1984). More recently, Bendixen and Sandler (1995) have proposed that the first two axes be used for this purpose so as to accommodate non-linear effects.
Hoffman and Franke (1986. p225-226). conclude that in the context of marketing research:
"Correspondence analysis is very flexible. Not only is it flexible in terms of data requirements. but also allows for incorporation of marketing knowledge.
"Categorical data are common products of marketing research. However. the analysis of such data often is hindered by the requirements and limitations of many familiar research tools. Correspondence analysis is a versatile and easily implemented analytical method that can do much to assist researchers in detecting and explaining relationships among complex marketing phenomena."
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
References
Bendixen, MT (1995). Compositional perceptual mapping using chi-squared trees analysis and correspondence analysis. Journal of Marketing Management, 11 (6), 571-581.
Bendixen MT & Sandler M(1995). Converting verbal scales to interval scales using correspondence analysis. Management Dynamics: Contemporary Research, 4 (1), 31-49.
Greenacre M J (1984). Theory and Applications of Correspondence Analysis, Academic Press. London.
Hoffman DL & Franke GR (1986). Correspondence analysis: Graphical representation of categorical data in marketing research. Journal of MarketingResearch, XXIII, (August), 213-227.
Lebart L; Morineau A & Warwick KM (1982). Descriptive Statistical Analysis: Correspondence Analysis and Related Techniques for Large Matrices, John Wiley & Sons. Inc.. New York.
Mike Bendixon is in the Graduate School of Business Administration, University of Witwatersrand, South Africa.
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Marketing Bulletin, 2003, 14, Technical Note 2 Reprinted from Research On-Line, 1996, 1, 16-38
Appendix 1
Eigenvalue Report
Axis
Eigenvalue
Percent
Individual
Cumulative
1
0.19309454
52.50
52.50
2
0.07773081
21.13
73.64
3
0.04385414
11.92
85.56
4
0.03280421
8.92
94.48
5
0.01225680
3.33
97.81
6
0.00568740
1.55
99.36
7
0.00236309
0.64
100.00
Trace
0.36779100
Detail Report – Rows
Label
Wght
Coordinate
Contribution
Sq. Correl.
F1
F2
CTR1
CTR2
COR1
COR2
A
111
87
346
4
171
46
734
B
107
-9
269
0
99
1
676
C
104
349
133
66
24
552
80
D
69
-277
-127
28
14
227
48
E
63
-201
361
13
106
100
322
F
94
644
-85
202
9
889
15
G
109
-40
113
1
18
41
328
H
47
417
-657
42
262
216
537
I
47
-619
65
94
3
707
8
J
77
507
-338
102
113
611
272
K
84
-560
-171
137
32
724
68
L
12
451
-158
13
4
258
32
M
31
-1278
-334
264
45
894
61
N
44
-388
-422
35
101
343
405
Note: All numbers were multiplied by 1000.
Detail Report – Columns
Coordinate
Contribution
Sq. Correl.
Label
Wght
G2
G2
CTR1
CTR2
COR1
COR2
CER
156
563
-358
255
257
647
262
MUE
131
313
319
66
171
289
299
POR
107
-54
-213
2
63
8
128
B&E
177
-783
-148
563
50
917
33
T&T
64
175
-447
10
164
81
529
FRF
124
246
245
39
96
308
305
STF
115
-315
243
59
87
520
308
YOG
126
86
264
5
113
47
439
Note: All numbers were multiplied by 1000.
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OSCommerce Administration Manual
By Michael Sasek
OSCdox
This guide details the osCommerce administration script. Each section and its functions are detailed here.
* Configuration :: This section details the main configuration settings of osCommerce
* Catalog :: This section covers how to administer the catalog, set up categories, products and attributes
* Modules :: This section covers any addon modules, and particularly the standard payment and shipping modules bundled with osCommerce
Admin Configuration
osCommerce Admin :: Configuration section
* My Store :: This section is where you enter in custom store information that osCommerce uses. These options need to be set to your custom information in order for the store to display your correct information, send emails to the correct destinations, and to set how you want osCommerce to function.
* Store Name :: Enter the name of your store here
* Store Owner :: Enter the name of the store owner here
* E-Mail Address :: Enter the e-mail address of the store owner here
* E-Mail From :: Enter the address you want to appear in the 'From' field of emails sent by osCommerce
* Country :: Enter the country that your store is based in
* Zone :: Enter the zone your store is in. This is needed for proper tax setup
* Expected sort order :: Set this to descending or ascending. This sets whether products are sorted from higher to lower or lower to higher
* Expected Sort Field :: The field to sort expected products by
* Switch To Default Language Currency :: This sets oscommerce to switch currencies to match the selected language, if you have set mutliple currencies.
* Send Extra Order Emails To :: Enter any emails that you would like an extra copy of the order to be sent to. Use the format User Name <email@somewhere.com>
* Use Search-Engine Safe Urls :: This option changes the URL format used by oscommerce to be search engine friendly. Not quite working correctly.
* Display Cart After Adding Product :: When set to true, the customer is taken to the shopping cart page after each item is placed in the shopping cart. When set to false, the customer remains on the product page after the item is added.
* Allow Guest To Tell A Friend :: When enabled, this will allow any user to send email to their friends about any of your products using the 'Tell a friend' box. When disabled, only logged in members can 'Tell a friend' This option Does NOT disable the option, nor does it disable or remove the box. In order to do that, you must edit column_right.php
* Default Search Operator :: Allows you to change the default search operator, AND or OR. Experiment with this to see which operator gives you more accurate search results.
* Store Address and Phone :: The information here will be seen by the customer if you allow the Check/Money order option during checkout. This info will also be used in the invoices and packing slips in the admin section.
* Show Category Counts :: This option turns category counts on/off in the category box in the catalog. It actually shows the quantity of products in a category when enabled. If you have a large database with many products or a very busy site, this should be turned OFF as it will slow your site down considerably.
* Tax Decimal Places :: How many decimal places you want to have in your tax percentage.
* Display Prices with Tax :: When on, this will automatically display all items prices with the tax included. When off, tax will only be shown during checkout.
* Minimum Values :: This section sets some key values needed to properly configure your store. These options all set the field size or value used by oscommerce in different areas. These options are mainly for customer information and validation on signup. These values come pre-set, but you can change them to customize the function of your store.
* First Name :: Minimum length of first name field
* Last Name :: Minimum length of last name field
* Date of Birth :: Minimum length of date of birth field
* E-Mail Address :: Minimum length of e-mail address field
* Street Address :: Minimum length of street address field
* Company:: Minimum length of company name field
* Post Code :: Minimum length of post code field
* City :: Minimum length of city field
* State :: Minimum length of state field
* Telephone Number :: Minimum length of telephone number field
* Password :: Minimum length of password field
* Credit Card Owner Name :: Minimum length of credit card owners name
* Credit Card Number :: Minimum length of credit card numbers
* Review Text :: Minimum character count for review text. Reviews must be longer than this amount.
* Best Sellers :: Minimum number of bestsellers to display.
* Also Purchased :: Minimum number of products to display in the 'This Customer Also Purchased' box
* Maximum Values :: This section sets many default maximums used by oscommerce. Each is described in the admin section, but we have also listed the descriptions here.
* Address Book Entries :: Maximum address book entries a customer is allowed to have
* Search Results :: Amount of products to list per page in search results, and when a product category is clicked.
* Page Links :: Number of 'number' links use for page-sets if your product listings span multiple pages. If set to 5, there will be five links numbered 1 to 5 and a link that says Next>>
* Special Products :: Maximum number of products on special to display
* New Products Module :: Maximum number of new products to display in a category.
* Products Expected :: Maximum number of products expected to display
* Manufacturers List :: When the number of manufacturers exceeds this number, a drop-down list will be displayed instead of the default list in the manufacturers box.
* Manufacturers Select Size :: When this value is '1' the classic drop-down list will be used for the manufacturers box. Otherwise, a list-box with the specified number of rows will be displayed.
* Length of Manufacturers Name :: Maximum length of manufacturers name to display in the manufacturers box.
* New Reviews :: Maximum number of new reviews to display
* Selection of Random Reviews :: How many records to select from to choose one random product review.
* Selection of Random New Products :: How many records to select from to choose one random new product to display.
* Selection of Products on Special :: How many records to select from to choose one random product special to display.
* Categories To List Per Row :: How many categories to list per row.
* New Products Listing :: Maximum number of new products to display in new products page.
* Best Sellers :: Maximum number of best sellers to display.
* Also Purchased :: Maximum number of products to display in the 'This Customer Also Purchased' box.
* Customer Order History Box :: Maximum number of products to display in the customer order history box.
* Order History :: Maximum number of orders to display in the order history page.
* Images :: This section is important for setting your image sizes. This is an area that seems to cause many headaches for people. Some things to note about images: If you set only one of the dimensions, either width or height, the other will fall proportionally if you also have calculate image size set to On. These settings do not Resample the images, so no matter what size they are set to, they will consume the full sized image bandwidth.
* Small Image Width :: The pixel width of small images that are displayed in product listings.
* Small Image Height :: The pixel height of small images that are displayed in product listings.
* Heading Image Width :: The pixel width of heading images displayed in the heading of the center of each page.
* Heading Image Height :: The pixel height of heading images displayed in the heading of the center of each page.
* Subcategory Image Width :: The pixel width of subcategory images displayed on main category pages.
* Subcategory Image Height :: The pixel height of subcategory images displayed on main category pages.
* Calculate Image Size :: This setting tells osCommerce to calculate image sizes if enabled. This is needed if you want oscommerce to automatically keep your thumbnails proportional. If this is on, it is recommended that you only set one of the values for your image sizes, either width or height, but not both. Leave one of the values blank (Note, blank does not mean 0. If you set a value to 0, it will not display).
* Image Required :: Enable this to display broken images. Good for development. If you do not want broken images to display, set this to false.
* Customer Details :: This section allows you to enable or disable fields used in the new customer signup page. You can control only the fields below from the admin.
* Gender ::
* Date of Birth::
* Company ::
* Suburb ::
* State ::
* Shipping/Packaging :: This is where you set the base shipping information needed by most of the shipping modules. If your shipping modules are not working correctly or giving strange results, make sure the values below are set correctly.
* Country Code :: Enter the "ISO 3166" Country Code of the Store to be used in shipping quotes. To find your country code, visit the ISO 3166 Maintenance Agency. If you need to find your country code, the official list of country codes is Here
* Postal Code :: Enter the Postal Code (ZIP) of the Store to be used in shipping quotes.
* Enter the Maximum Package Weight you will ship :: Carriers have a max weight limit for a single package. This is a common one for all.
* Package Tare Weight :: What is the weight of typical packaging of small to medium packages?
* Larger packages - percentage increase :: What is the extra amount you will charge for larger package. For 10% enter 10
* Product Listing :: All the settings here control how the product listings display, and what information is displayed. You control the order they are displayed by adding numbers in sequence. The option with '1' will display first, '2' second, '3' third, and so on. To disable any option from displaying, set it to '0'
* Display Product Image :: Enable to display the product image.
* Display Product Manufacturer Name :: Enable to display the Product Manufacturer Name.
* Stock :: This section contols the level of inventory tracking and how inventory affects checkout.
* Logging :: This section allows you to set several logging options in oscommerce that are handy for debugging and tracking.
* Store Page Parse Time :: Store the time it takes to parse a page.
* Log Destination :: Directory and filename of the page parse time log.
* Log Date Format :: The date format in the log.
* Display The Page Parse Time :: Display the page parse time (store page parse time must be enabled).
* Store Database Queries :: Store the database queries in the page parse time log (PHP4 only).
* Cache :: osCommerce has built it page cacheing that can be used to significantly lower server load and increase the speed of the cart when used. If you make changes to your site, you will have to delete the cache in order to see the changes.
* Display Product Model :: Enable to display the Product Model Number.
* Display Product Name :: Enable to display the Product Name.
* Display Product Price :: Enable to display the Product Price.
* Display Product Quantity :: Enable to display the Product Quantity.
* Display Product Weight :: Enable to display the Product Weight.
* Display Buy Now column :: Enable to display the 'Buy Now' button.
* Display Category/Manufacturer Filter (0=disable; 1=enable) :: Enable to display the category/manufacturer filter. This allows to filter the display by category or manufacturer.
* Location of Prev/Next Navigation Bar (1-top, 2-bottom, 3-both) :: This option controls where the navigation links appear on the page.
* Check Stock Level :: Enable to check to see if sufficent stock is available.
* Subtract Stock :: Enable to subtract product in stock by quantity in product orders.
* Allow Checkout:: Enable to allow a customer to checkout even if there is insufficient stock.
* Mark product out of stock :: Set this to display something on screen so customer can see which product has insufficient stock.
* Stock Re-order level :: Define when stock needs to be re-ordered.
* Use Cache :: Set this to 'True' to enable cacheing.
* Cache Directory :: Set the path to the cache directory. The directory you set must be writable.
* E-Mail Options :: This section is where you set how osCommerce handles email. If your email is not working correctly, make sure these settings are correctly configured.
* Download :: This section controls the 'Product Download' options of osCommerce. If you sell downloadable products, this is where you configure how osCommerce handles the process.
* Enable download :: Enable the products download functions.
* Download by redirect :: Use browser redirection for download. Disable on non-Unix systems.
* Expiry delay (days) :: Set number of days before the download link expires. 0 means no limit.
* Maximum number of downloads :: Set the maximum number of downloads. 0 means no download authorized.
* GZip Compression : If the server you are on supports GZip compression, you can enable this option to significantly reduce your bandwidth requirements. GZip compression compresses php output server side, prior to sending to the visitor.
* E-Mail Transport Method :: Defines if your server uses a local connection to sendmail or uses an SMTP connection via TCP/IP. Servers running on Windows and MacOS should change this setting to SMTP.
* E-Mail Linefeeds :: The character sequence used to separate mail headers, either LF or CRLF.
* Use MIME HTML When Sending Emails :: Setting this to 'True' enables HTML formatted email.
* Verify E-Mail Addresses Through DNS :: Setting this to 'True' verfies customers e-mail address through a DNS server.
* Send E-Mails :: Enables or Disables the entire email system in osCommerce.
* Enable GZip Compression :: This turns GZip compression on or off.
* Compression Level :: This sets the level of compression that is used. The higher the number, more compression and slower output. The range is from 0 to 9.
Admin Catalog
The Catalog section of the administration is where you control your categories, products and product attributes. This section is very powerful and gives you a great deal of flexibility when creating and managing your inventory.
Categories/Products
This is where you add your categories and products to the catalog. There are several things you can do, but first, you need to create a category. In the middle window of the page, you will see a folder listing. Each folder is a category. These folders are clickable, so that you can navigate into the categories, to see products in those categories and possible subcategories.
Each category has 3 main options, Edit, Delete, and Move. Each option is fairly straightforward. Below, the edit options are explained in the Adding a New Category section.
Adding a New Category
In the main categories/products window, to add a new category, click the New Category button. When you click the New Category button, the New Category right column will appear. The following fields need to be filled out:
* Category Name :: Enter the name of your new category. If you have multiple languages enabled, you will see a field corresponding to each language.
* Category Image :: Enter the local path to your image or hit the browse button to locate the image on your computer. A common mistake is to pre-upload the images to the server. Do not do this, or the image will not be added.
* Sort Order :: This is how you control the display order of your categories. Enter a number here.
After you have entered in the appropriate information click the Save button. Your new category has been added. To add a subcategory, click on a main category, and then click the New Category button.
Adding a New Product
To add a new product, click the New Product button. Add the required info and you are on your way to populating your catalog. The following fields will need to be filled out:
* Product Status :: Mark whether this is in or out of stock.
* Date available :: Select the date this product will be available.
* Products Manufacturer :: Select the products manufacturer from the dropdown list if you are using manufacturers.
* Products Name :: Enter the product name. There will be a field for each language you have enabled in your store.
* Products Description :: Enter the description of your product. You can use HTML in this field which allows you to be very flexible in how you create your product pages. You can add images to the description, tables, hyperlinks, just about all HTML (I have not fully tested all tags, so experiment with this).
* Products Quantity :: If you are using inventory/stock tracking, enter how many are in stock.
* Products Model :: Enter the model or catalog number of your product.
* Products Image :: Enter the path to the image on your local computer, or click the browse button to look for it. This image will be uploaded to the server when you complete this process.
* Products URL :: If you have a link to the products manufacturers website, or other link with more product info, you can add that link here.
* Products Price :: Set the products price here.
* Tax Class :: Set whether the item is taxable or not.
* Products Weight :: Set the weight of the product. Do not leave this blank unless it is a download. If you leave it blank, your shipping modules will not work correctly on checkout.
* Preview :: Click this button to preview your product. On the next page, you click the Insert button to enter the new product into the database.
To quickly navigate through your categories, there is a search box and a Go To box located in this section, on the far right, just below the page header. Use these to make your editing easier.
Products Attributes
This area of the catalog configuration is where you customize the attributes of your products. If you need to have different sizes, options, colors, and have different prices for each option, you have the ability to set this here.
When you first look at the Products Attributes section, it can look a bit complicated. The base osCommerce installation includes sample data, including pre set attributes. You should study how these attributes are constructed. Then, it is suggested that you create a sample product, and your own attributes to see how the different options function.
On the main attributes page, you will see 3 sections, Product Options, Option Values, and Products Attributes. Below, each section is described to help you begin setting up your products attributes.
* Product Options :: This section is where you create the options that you will need available for your products. This can be whatever you need, size, color, model, version, or whatever else you need. Creating options is very easy, just type the name of the option in the text box and click the 'insert' button. This creates a master options list, but does not assign values to those options. That is done in the next step.
* Option Values :: This section is the place to actually assign values to your options. This is a simple process as well. You will see a dropdown box with the options you created. Select the option you want from the dropdown, then type the value you want to assign in the text box next to it, and click 'insert.' That creates a value that is assigned to that particular option. Repeat this for all values that you will need.
* Products Attributes :: This section is where you actually assign the options that you have created, to your products. You will see a series of dropdown boxes. The first box contains all your products in your store. Select the product that you would like to set attributes for. The next box contains all the options that you have set, so select the option you want to add to the product. Then, in the next dropdown, select the value that you want to assign to the option. The next box is not a dropdown, but a text box. Enter the monetary value of the option, and in the
final box, place a + or a - sign. This value determines whether osCommerce will add or subtract the value of the attribute from the base product cost. Finally, click the insert button, and the attribute will be assigned to the product.
Manufacturers
This section is the place to set up manufacturers details for your products. If you do not want to use manufacturers information in your store, just remove all the definitions from this area. All the options in this area are described below.
* Insert :: To add a new manufacturer to your store, click this button and you will see all the options available in the right column, 'New Manufacturer' box.
o Manufacturers Name :: Add the name of the new manufacturer here.
o Manufacturers Image :: Enter the path to the image you want to use for the manufacturer, or click the browse button to locate the image. Make sure the path points to the image on your home computer. osCommerce will find it and upload it to your server to the correct location.
o Manufacturers URL :: The link to the manufacturers web site, this will add a link to your catalog on the manufacturers page.
o Save :: Click this button to add the manufacturer to your catalog.
To change an existing manufacturer, click the one you want to change, then in the right column, click the edit button. All the above options will appear for you to edit. Click 'Save" when you are done.
To delete an existing manufacturer, click the one you want to delete, and click the 'Delete' button. The 'Delete Manufacturer' option box will open in the right column. Follow the instructions there.
Reviews
This is where you edit or delete reviews. The interface is the same as the rest of the admin. Select the review you want to edit or delete, then click the 'Edit' or 'Delete' buttons in the right column.
Specials
This section is where you add items on 'Special' and set the properties for those items. The 'Specials' interface is the standard admin interface with the added option of an 'On/Off' button. If you click the green icon, the special is active. If you click the red icon , the special is inactive. This is nice so you can re-use specials and turn them on or off when you need to. The options for specials are below:
* New Product :: This is the button you use to add a new item on special. It will take you to the 'Add New Special' page. This page is easy to use, just follow the instructions.
If you click on a special, you will get the option to edit or delete it in the right column.
Products Expected
This section will list any products with a future date of availability. You have the option on this page to edit any product that is listed here. If you do not have any products that have a future date of availability, this section will be empty.
Admin Modules
Modules
osCommerce comes standard with several payment and shipping modules. This section of the administration tool allows you to enable, disable, and configure your modules. This is where you select what payment methods you will have at your store, and what shipping options are available.
If you would like an option that is not available, there are dozens of other options available in the contributions section at osCommerce.com .
Payment
This is the main payment module section. On this page, you will see a list of all currently installed payment modules in your store. Next to the module name, you will see a green icon and a red icon. To activate a module, click the green icon next to it. To deactivate a module, click the red icon next to it.
Once a payment module is active, you may have to configure that module with certain required information. If this is needed, click the payment module, then click the 'edit' button in the right column. Now, you will see all the available options for that module. we have taken the time to detail the options for each payment module below.
Standard Payment Modules
* Authorize.net :: This module allows you to use Authorize.Net as your payment gateway for real-time credit card processing in osCommerce. The following options must be filled out properly in order for this module to work.
o Do you want to accept Authorize.net payments? :: Set this option to 'True'
o Login Username :: Your Authorize.net username
o Transaction Key :: The transaction key you set in Authorize.net admin.
o Transaction Mode :: Set this to 'Test' or 'Production' depending on whether you are processing live transactions or still testing.
o Transaction Method :: Set this to eCheck or Credit Card depending on the method you use.
o Customer Notifications :: When enabled Authorize.Net will e-mail a receipt to the customer in addition to osCommerce.
o Payment Zone :: Allows you to limit the use of Authorize.net to a single zone.
o Set Order Status :: You can set the default order status to the store
default, or set it to one of these: Delivered, Pending, Processing
o Sort order of display :: This is where you set the order of the payment modules display on the checkout_payment.php page. Set this to a NON ZERO amount.
* Credit Card :: This is the basic offline credit card processor included in osCommerce. This is good for TESTING ONLY. It is not secure, and stores
parts of credit card numbers in plain text in the database. It sends other parts of credit card numbers in plain text via non-encrypted email. Please do not use this for any other than testing options. If you are using the Authorize.Net module, disable this module. There are several other options for offline credit card processing that use GPG or PGP encryption that can be found HERE. Those should be used instead. To configure this module, see below:
o Enable Credit Card Module :: Set to 'True' to enable.
o Split Credit Card E-Mail Address :: Enter an email address here to enable the minimal security on this module. It will split the CC#, and send part to the listed email, and store the other part in the database. DO NOT MISTAKE THIS FOR SECURITY- IT IS NOT SECURE.
o Payment Zone :: Allows you to limit the use of this module to a single zone.
o Set Order Status :: You can set the default order status to the store
default, or set it to one of these: Delivered, Pending, Processing
o Sort order of display :: This is where you set the order of the payment modules display on the checkout_payment.php page. Set this to a NON ZERO number.
* Cash on Delivery :: This is the basic COD payment module if you want to use this type of payment option. This is also good for testing your store. Configuration options are below:
o Enable Cash On Delivery Module :: Set to 'True' to enable.
o Payment Zone :: Allows you to limit the use of this module to a single zone.
o Set Order Status :: You can set the default order status to the store
default, or set it to one of these: Delivered, Pending, Processing
o Sort order of display :: This is where you set the order of the payment modules display on the checkout_payment.php page. Set this to a NON ZERO number.
* iPayment :: This module allows osCommerce to connect to iPayment to process orders. See the configuration info below:
o Enable iPayment Module :: Set this option to 'True'
o Account Number :: Your iPayment account number
o User ID :: Your iPayment user ID
o User Password :: Your iPayment password.
o Transaction Currency :: Set this to the currency you will be using. There are 4 options and you must pick one:
* Always EUR
* Always USD
* Either EUR or USD, else EUR
* Either EUR or USD, else USD
o Payment Zone :: Allows you to limit the use of Authorize.net to a single zone.
o Set Order Status :: You can set the default order status to the store default, or set it to one of these: Delivered, Pending, Processing
o Sort order of display :: This is where you set the order of the payment modules display on the checkout_payment.php page. Set this to a NON ZERO amount.
* NOCHEX :: Enable this module to accept payment through NOCHEX. This module requires the GBP currency. Learn more about this at the NOCHEX website. Below are the configuration options for this module:
o Enable NOCHEX module :: Set to 'True' to enable.
o E-Mail Address :: The e-mail address to use for the NOCHEX service
o Payment Zone :: Allows you to limit the use of this module to a single zone.
o Set Order Status :: You can set the default order status to the store default, or set it to one of these: Delivered, Pending, Processing
o Sort order of display :: This is where you set the order of the payment modules display on the checkout_payment.php page. Set this to a NON ZERO number.
* Check/Money Order :: If you would like to accept checks and money orders via snail mail, enable this module. This module gets the address information from the adress configured under 'My Store' in the Configuration section of the admin. The configuration options for this module are below:
o Enable Check/Money Order Module :: Set to 'True' to enable.
o Payment Zone :: Allows you to limit the use of this module to a single zone.
o Set Order Status :: You can set the default order status to the store default, or set it to one of these: Delivered, Pending, Processing
o Sort order of display :: This is where you set the order of the payment modules display on the checkout_payment.php page. Set this to a NON ZERO number.
o Make Payable To :: Enter the name that checks should be made out to
* PayPal :: Enable this module to accept payments using PayPal. Learn more about this at the PayPal website. Below are the configuration options for this module:
o Enable PayPal module :: Set to 'True' to enable.
o E-Mail Address :: The e-mail address to use for the PayPal service.
o Transaction Currency :: The currency to use for credit card transactions. The following curencies are supported:
* Selected Currency :: The current selected currency in the catalog
* Only USD
* Only CAD
* Only EUR
* Only GBP
* Only JPY
* 2CheckOut :: Enable this module to accept payments using 2CheckOut. Learn more about this payment method at the 2CheckOut web site. Below are the configuration options for this module:
o Enable 2CheckOut Module :: Set to 'True' to enable.
o Login/Store Number :: Login/Store Number used for the 2CheckOut service
o Transaction Mode :: Transaction mode used for the 2Checkout service. This can be set to Test or Production.
o Merchant Notifications :: Should 2CheckOut e-mail a receipt to the store owner? This can be set to True or False.
o Payment Zone :: Allows you to limit the use of this module to a single zone.
o Set Order Status :: You can set the default order status to the store default, or set it to one of these: Delivered, Pending, Processing
o Sort order of display :: This is where you set the order of the payment modules display on the checkout_payment.php page. Set this to a NON ZERO number.
o Payment Zone :: Allows you to limit the use of this module to a single zone.
o Set Order Status :: You can set the default order status to the store default, or set it to one of these: Delivered, Pending, Processing
o Sort order of display :: This is where you set the order of the payment modules display on the checkout_payment.php page. Set this to a NON ZERO number.
* PSiGate :: Enable this module to accept payments using PSiGate merchant account. Learn more about this method of accepting payments at the PSiGate web site. Below are the configuration options for this module:
o Enable PSiGate Module :: Set to 'True' to enable.
o Merchant ID :: Merchant ID used for the PSiGate service
o Transaction Mode :: Transaction mode to use for the PSiGate service. You have the following options when setting this:
* Production :: Use this setting when your site is live and accepting orders.
* Always Good :: This is a test mode
* Always Duplicate :: This is a test mode
* Always Decline :: This is a test mode
o Transaction Type :: Transaction type to use for the PSiGate service. You have three options, Sale, PreAuth, PostAuth. See the PSiGate docs for explanation of these options.
o Credit Card Collection :: Set whether the credit card details should be collected locally or remotely at PSiGate. This can be set to local or remote.
o Transaction Currency :: The currency to use for credit card transactions. This can be set to CAD or USD.
o Payment Zone :: Allows you to limit the use of this module to a single zone.
o Set Order Status :: You can set the default order status to the store
default, or set it to one of these: Delivered, Pending, Processing
o Sort order of display :: This is where you set the order of the payment modules display on the checkout_payment.php page. Set this to a NON ZERO number.
* SECPay :: Enable this module to accept payments using SECPay. To learn more about this payment option, go to the SECPay Website. Below are the configuration options for this module:
o Enable SECPay Module :: Set to 'True' to enable.
o Merchant ID :: Merchant ID to use for the SECPay service.
o Transaction Currency :: The currency to use for credit card transactions. You can set this to Any Currency or Default Currency.
o Transaction Mode :: Transaction mode to use for the SECPay service. This can be set to Always Successful, Always Fail, or Production.
o Payment Zone :: Allows you to limit the use of this module to a single zone.
o Set Order Status :: You can set the default order status to the store
default, or set it to one of these: Delivered, Pending, Processing
o Sort order of display :: This is where you set the order of the payment modules display on the checkout_payment.php page. Set this to a NON ZERO number.
Shipping
This is the main shipping module section. On this page, you will see a list of all currently installed shipping modules in your store. Next to the module name, you will see a green icon and a red icon. To activate a module, click the green icon next to it. To deactivate a module, click the red icon next to it.
Once a shipping module is active, you may have to configure that module with certain required information. If this is needed, click the shipping module, then click the 'edit' button in the right column. Now, you will see all the available options for that module. we have taken the time to detail the options for each shipping module below.
* Flat Rate :: Use this module if you want to use a flat rate shippng rate per order. The following configuration options must be set:
o Enable Flat Shipping :: Set this to true to enable this module.
o Shipping Cost :: Set the rate you want to charge per order.
o Tax Class :: Set this to the tax class you want to use for this shipping method, or leave it set to none if you do not want to tax the shipping charge.
o Shipping Zone :: If you set this to a zone, this method will only be available to orders shipping to that zone.
o Sort Order :: This sets the sort order of your shipping methods during checkout. If you have more than one shipping method, set this to a non zero quantity. Lower numbers defined here will appear higher/first on the checkout shipping page.
o Update :: Always click this button to commit your changes to osCommerce.
* Per Item :: Use this module to set a 'Per Item' shipping charge. Set a base shipping rate, and that rate will be mutiplied by the number of items that the customer has in their shopping cart. The following options must be set:
o Enable Item Shipping :: Set this to true to enable this module.
o Shipping Cost :: Set the rate you want to charge per item purchased.
o Handling Fee :: Set the amount you want to charge for handling. This can be set to zero to deactivate the handling fee.
o Tax Class :: Set this to the tax class you want to use for this shipping method, or leave it set to none if you do not want to tax the shipping charge.
o Shipping Zone :: If you set this to a zone, this method will only be available to orders shipping to that zone.
o Sort Order :: This sets the sort order of your shipping methods during checkout. If you have more than one shipping method, set this to a non zero quantity. Lower numbers defined here will appear higher/first on the checkout shipping page.
o Update :: Always click this button to commit your changes to osCommerce.
* Table Rate :: This shipping method allows you to set so called table rate shipping. This module allows you to set whether shipping will be charged based on weight or quantity. Further, you define shipping price breaks based on weight or quantity amounts. The following options need to be set for this module:
o Enable Table Method :: Set this to true to enable this module.
o Shipping Table :: Set this option by following the example provided below.
o Table Method :: Set this to weight or price.
o Handling Fee :: Set the amount you want to charge for handling. This can be set to zero to deactivate the handling fee.
o Tax Class :: Set this to the tax class you want to use for this shipping method, or leave it set to none if you do not want to tax the shipping charge.
o Shipping Zone :: If you set this to a zone, this method will only be available to orders shipping to that zone.
o Sort Order :: This sets the sort order of your shipping methods during checkout. If you have more than one shipping method, set this to a non zero quantity. Lower numbers defined here will appear higher/first on the checkout shipping page.
o Update :: Always click this button to commit your changes to osCommerce.
EXAMPLE for Table Rate ShippingA store owner wants to charge $10 for orders weighing up to 20 lbs. Any orders over 20 lbs, but under 40 lbs are charged $18. To set this up using the table rate shipping method, the following must be entered into the 'Shipping Table' field of this module: 25:10.00,40:18.00
* United Parcel Service :: If you want to ship using UPS, enable this module. It is also important to note that in order for shipping calculations to be done correctly, you must set the zip/postal code of your store corectly in the configuration section of osCommerce. The following options must be set:
o Enable UPS Shipping :: Set this to true to enable this module.
o UPS Pickup Method :: This should be set to however your UPS packages are picked up. Your options are : CC - Customer Counter, RDP - Daily Pickup, OTP - One Time Pickup, LC - Letter Center, OCA - On Call Air
o UPS Packaging :: Set this to the UPS Packaging method that you use. The following options are available : CP - Your Packaging, ULE - UPS Letter, UT - UPS Tube, UBE - UPS Express Box
o Residential Delivery :: Set this to either RES or COM to have the module quote a residential or commercial shipping rate.
o Handling Fee :: Set the amount you want to charge for handling. This can be set to zero to deactivate the handling fee.
o Tax Class :: Set this to the tax class you want to use for this shipping method, or leave it set to none if you do not want to tax the shipping charge.
o Shipping Zone :: If you set this to a zone, this method will only be available to orders shipping to that zone.
o Sort Order :: This sets the sort order of your shipping methods during checkout. If you have more than one shipping method, set this to a non zero quantity. Lower numbers defined here will appear higher/first on the checkout shipping page.
o Update :: Always click this button to commit your changes to osCommerce.
* United States Postal Service :: To use USPS module, you first need an account with the USPS. If you do not have an account, you cannot use this module. The following options must be configured:
o Enable USPS Shipping :: Set this to true to enable this module.
o Enter the USPS User ID :: This should be set to your USPS user ID
o Enter the USPS Password :: This should be set to your USPS password
o Which server to use :: Set this to either 'test' or 'production'
o Handling Fee :: Set the amount you want to charge for handling. This can be set to zero to deactivate the handling fee.
o Tax Class :: Set this to the tax class you want to use for this shipping method, or leave it set to none if you do not want to tax the shipping charge.
o Shipping Zone :: If you set this to a zone, this method will only be available to orders shipping to that zone.
o Sort Order :: This sets the sort order of your shipping methods during checkout. If you have more than one shipping method, set this to a non zero quantity. Lower numbers defined here will appear higher/first on the checkout shipping page.
o Update :: Always click this button to commit your changes to osCommerce.
* Zone Rates ::
Order Total
* Low Order Fee ::
* Shipping ::
* Sub-Total ::
* Tax ::
* Total ::
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