Monetra®
PHP API Developer Reference
Monetra PHP Reference v5.2
Updated November 2005
Copyright 1999-2005 Main Street Softworks, Inc.
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Main Street Softworks, Inc. shall not be liable for any direct, special, incidental, or consequential damages resulting from the use of any information contained herein, whether resulting from breach of contract, breach of warranty, negligence, or otherwise, even if Main Street has been advised of the possibility of such damages. Main Street reserves the right to make changes to the information contained herein at anytime without notice. No part of this document may be reproduced or transmitted in any form or by any means, electronic or mechanical, for any purpose, without the express written permission of Main Street Softworks, Inc.
v5.2 Monetra PHP Reference 2
Table of Contents
1 Revision History 5
2 Overview 7
2.1 Related Documentation 7
2.2 Introduction to the Monetra PHP API 7
2.3 Obtaining and Installing Libmonetra and the PHP API 8
3 Using This Guide 9
4 Constants and Data Types 10
4.1 Constants for M_ReturnStatus 10
4.1.1 M_ERROR. 10
4.1.2 M_FAIL 10
4.1.3 M_SUCCESS 10
4.2 Constants for M_CheckStatus 10
4.2.1 M_DONE 10
4.2.2 M_ERROR. 10
4.2.3 M_PENDING 10
5 PHP Functions 11
5.1 Initialization/Destruction of Library 11
5.1.1 M_DestroyEngine 11
5.1.2 M_InitEngine 11
5.2 Initialization of Connections and Management 12
5.2.1 M_Connect 12
5.2.2 M_ConnectionError 12
5.2.3 M_DestroyConn 12
5.2.4 M_InitConn 12
5.2.5 M_MaxConnTimeout 13
5.2.6 M_SetBlocking 13
5.2.7 M_SetDropFile 13
5.2.8 M_SetIP 13
5.2.9 M_SetSSL 14
5.2.10 M_SetSSL_CAfile 14
5.2.11 M_SetSSL_Files 14
5.2.12 M_SetTimeout 14
5.2.13 M_ValidateIdentifier 15
5.2.14 M_VerifyConnection 15
5.2.15 M_VerifySSLCert 15
5.3 Sending Transactions to Monetra 16
5.3.1 M_CheckStatus 16
5.3.2 M_CompleteAuthorizations 16
5.3.3 M_DeleteTrans 16
5.3.4 M_Monitor 16
5.3.5 M_TransInQueue 17
5.3.6 M_TransKeyVal 17
5.3.7 M_TransNew 17
5.3.8 M_TransactionsSent 17
5.3.9 M_TransSend 18
5.4 Dealing with Responses from Monetra 19
5.4.1 M_GetCell 19
5.4.2 M_GetCellByNum 19
5.4.3 M_GetCommaDelimited 19
5.4.4 M_GetHeader 20
5.4.5 M_IsCommaDelimited 20
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5.4.6 M_NumColumns 20
5.4.7 M_NumRows 20
5.4.8 M_ParseCommaDelimited 21
5.4.9 M_ResponseKeys 21
5.4.10 M_ResponseParam 21
5.4.11 M_ReturnStatus 22
5.5 Miscellaneous Functions 23
5.5.1 M_SSLCert_gen_hash 23
5.5.2 M_uwait 23
6 Examples 24
6.1 Full Transaction Examples 24
6.1.1 Basic Sale Transaction Code 24
6.1.2 Requesting and Interpreting Reports 27
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1 Revision History
Date
Rev.
Notes
11/07/05
v5.2
Initial re-layout.
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This page intentionally left blank.
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2 Overview
2.1 Related Documentation
You will be required to review the Monetra Client Interface Protocol Specification (http://www.monetra.com/documentation.html) to cross-reference each transaction type, which will have multiple corresponding key/value pairs (ie. username, password, action, etc).
2.2 Introduction to the Monetra PHP API
The Monetra (MCVE) PHP API, which depends on libmonetra (C API), is designed to take advantage of all three of our "supported” communication methods, which include Drop-File, Unencrypted IP and Encrypted IP (SSL v3/TLS v1.0). Each method has its advantages and will be explained briefly below. Libmonetra is also the basis of the Perl, PHP and JAVA JNI modules, so the usage of those API's is nearly identical to Libmonetra itself, minus language semantics. In addition, this API was designed to be fully thread-safe and allows interleaving of transactions (streaming of transactions with out-of-order responses).
The Drop-File communication method is the most simplistic form of communication with Monetra. A transaction directory is specified where .trn (transaction) files are written, "picked up" and .rtn (response) files are written in reply. Advantages are the debug-ability and the fact that it does not require an IP stack to be present on the local machine. Although this method is not designed for networking, it is possible to share the transaction directory via NFS or SAMBA (for windows), to integrate with legacy applications. Because of security concerns, this should not be utilized for new integrations.
The unencrypted IP method is the fastest method of communication with Monetra. It requires the least amount of overhead and bypasses disk access. This method is perfect for locally "trusted" switched LANs or WANs, but should never be used on untrusted networks such as the Internet.
The encrypted IP (SSL) method is the most secure, requiring certificate verification and encryption to pass all data between the client and host. Most of the time, this is overkill for a local LAN or trusted WAN. SSL is most suitable for communication over the Internet or any untrusted network where the potential for eavesdropping is high. Newer monetra releases also support client certificate validation which is available in this API.
For any feature/anomaly, requests or support questions regarding libmonetra, feel free to contact our support staff via e-mail at support@mainstreetsoftworks.com .
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2.3 Obtaining and Installing Libmonetra and the PHP API
Libmonetra may be obtained in source form from http://www.monetra.com/downloads.html or via ftp at ftp://ftp.monetra.com/pub/libmonetra. For 32bit Windows, it may also be obtained in binary form via a self-installing package from the same locations.
Please note: The PHP API for Monetra (MCVE) depends on Libmonetra 5.x and it must be installed before attempting to compile/install the PHP module. There are multiple ways to obtain the Monetra (MCVE) PHP API. For each method available, you must have the PHP development headers installed (for binary-based distributions, this is usually separated into a package typically named php-dev).
The easiest way to install the Monetra (MCVE) PHP API is to run these commands:
pear upgrade pear # May only be necessary on older
# PHP versions, v1.4.0RC2 or higher
# is required. If you get errors, please
# upgrade any dependencies as well.
pecl install mcve # Please note this _does_ depend on
# libmonetra to have already been
# installed.
Those commands should compile and install the Monetra (MCVE) PHP API for you.
If you're using a release of PHP prior to 5.1, and you compile PHP by hand, you can alternatively, just add --with-mcve to your ./configure arguments to add Monetra (MCVE) support.
Finally, you can always just download the latest release of the Monetra (MCVE) PHP API from the same location you downloaded Libmonetra. There should be a bundled ./configure script you can run. Then just install it as you would any other application in a Unix environment.
If you installed Monetra (MCVE) support as a loadable module, please modify your php.ini file to
include this line:
extension=mcve.so
Alternatively, you may call dl("mcve.so") from the script you wish to give Monetra (MCVE)
support to, but it is often inconvenient to do so.
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3 Using This Guide
LibMonetra only performs simple connection and transaction management facilities to the Monetra engine. Its API was created to be as minimalistic as possible, while being simple to use. It will pass the transaction set (a set of key/value pairs) to the Monetra engine and return to you a response. It provides additional parsing facilities for dealing with comma delimited responses as well. Please reference the Monetra Client Interface Protocol Specification located at http://www.monetra.com/documentation.html for the expected key/value pairs for each transaction and responses to those requests.
The basics for performing transactions for this guide include initializing the library, establishing a connection, structuring and sending one or more transactions, reading results and closing the connection/de-initializing the library.
You will note in this API that all parameters to functions are prefixed with an [in], [out], or [in/out] tag which indicates if you are receiving data into that parameter.
[in/out] means that the parameter's memory address may be updated upon return, but it must also have been initialized before being passed.
[out] means that the parameter's memory address will be updated upon return. You need to make sure this variable is passed by reference.
[in] means this is an input parameter used to tell the function what it needs to perform. This parameter should be passed normally (e.g. not by reference).
Please reference the examples in this document for basic API usage.
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4 Constants and Data Types
4.1 Constants for M_ReturnStatus
4.1.1 M_ERROR
Value: -1
Description: Critical error. Status unknown
4.1.2 M_FAIL
Value: 0
Description: Transaction or Audit Failed
4.1.3 M_SUCCESS
Value: 1
Description: Transaction or Audit succeeded
4.2 Constants for M_CheckStatus
4.2.1 M_DONE
Value: 2
Description: Transaction is complete
4.2.2 M_ERROR
Value: -1
Description: An error has occurred. Status unknown.
4.2.3 M_PENDING
Value: 1
Description: Still waiting on transaction response from Monetra
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5 PHP Functions
5.1 Initialization/Destruction of Library
5.1.1 M_DestroyEngine
Prototype: void m_destroyengine(void)
Description: frees any memory associated with the M_InitEngine call. Should be called just
before a program terminates.
Return Value: none
5.1.2 M_InitEngine
Prototype: int m_initengine(string location)
Description: must be called before any other API calls. It is mainly used to initialize SSL calls,
but on Windows, it also calls WSAStartup() to initialize BSD sockets.
[location] parameter should always be NULL. You should use M_SetSSL_CAfile
to set the location on a per-connection basis.
Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in] location: SSL CA (Certificate Authority) file for verification remote SSL server (DEPRECATED, pass NULL, see notes above).
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5.2 Initialization of Connections and Management
5.2.1 M_Connect
Prototype: int m_connect(resource conn)
Description: once all connection parameters have been set, this function establishes the
connection to the Monetra daemon
Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
5.2.2 M_ConnectionError
Prototype: string m_connectionerror(resource conn)
Description: if M_Connect returns a failure, this function may provide some text as an insight
into what went wrong (such as timeout, or connection refused)
Return Value: textual error message associated with connection
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
5.2.3 M_DestroyConn
Prototype: void m_destroyconn(resource conn)
Description: disconnects from Monetra and deallocates any memory associated with the
connection resource. This is not necessary in PHP, because it will
automatically be destroyed upon script termination.
Return Value: none
Parameters Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
5.2.4 M_InitConn
Prototype: resource M_InitConn() (void)
Description: allocates memory for the Connection Data Block and sets default values
Return Value: Resource for holding connection parameters
Parameter Descriptions:
N/A
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5.2.5 M_MaxConnTimeout
Prototype: bool m_maxconntimeout(resource conn, int secs)
Description: sets how long libmonetra should try to connect to the Monetra server. This only
has an effect when there are network problems and sets the socket into non
blocking mode. Only relevant for IP or SSL connections.
Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] maxtime: maximum amount of time in seconds to wait to establish IP/SSL connection
5.2.6 M_SetBlocking
Prototype: int m_setblocking(resource conn, int tf)
Description: specifies whether to wait for a transaction to finish before returning from a
M_TransSend or (legacy) M_Sale etc. (blocking), or to return immediately and
make client check status (non-blocking)
Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] tf: 1 if blocking is desired, 0 if blocking is not desired
5.2.7 M_SetDropFile
Prototype: int m_setdropfile(resource conn, string directory) Description: sets the M_CONN parameter to use the Drop-File method of communication Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] df_location: directory to write transaction files
5.2.8 M_SetIP
Prototype: int m_setip(resource conn, string host, int port) Description: sets the M_CONN parameter to use the IP method of communication Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] host: hostname or ip address to establish IP connection
[in] port: port associated with ip/hostname
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5.2.9 M_SetSSL
Prototype: int m_setssl(resource conn, string host, int port) Description: sets the M_CONN parameter to use the SSL method of communication Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] host: hostname or ip address to establish SSL connection
[in] port: port associated with ip/hostname
5.2.10 M_SetSSL_CAfile
Prototype: int m_setssl_cafile(resource conn, string cafile) Description: sets the CA file location before establishing a connection to a running Monetra engine. Used to verify the remote host's SSL certificate.
Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] path: CA (Certificate Authority) file path
5.2.11 M_SetSSL_Files
Prototype: int m_setssl_files(resource conn, string sslkeyfile,
string sslcertfile)
Description: sets the client certificate and key used for verification if the remote Monetra
engine has client SSL certificate verification enabled
Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] sslkeyfile: path of key file for client certificate
[in] sslcertfile: path of certificate file for client certificate
5.2.12 M_SetTimeout
Prototype: int m_settimeout(resource conn, int seconds)
Description: sets the maximum amount of time a transaction can take before timing out.
This values gets sent to the Monetra engine, the engine sends the TIMEOUT
response to libmonetra, libmonetra never times out (and SHOULD NOT) Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] timeout: maximum duration in seconds to wait for completion of transaction
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5.2.13 M_ValidateIdentifier
Prototype: int m_validateidentifier(resource conn, int tf)
Description: tells the API whether or not the identifiers used for transactions should be validated from within the connection structure before assuming they are correct. Since the transaction identifier is actually a pointer address, passing an incorrect address can cause segmentation faults without verification. This is usually not necessary for C programs, but is helpful for writing modules for other languages.
Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] tf: 1 if verification of transaction identifiers is desired, 0 if not desired [default 0]
5.2.14 M_VerifyConnection
Prototype: bool m_verifyconnection(resource conn, int tf)
Description: tells Monetra whether or not to send a PING request to the Monetra server once
a connection has been established. Default is TRUE. This will probably only be
used if trying to connect to a Monetra version < 2.1.
Return Value: none
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] tf: 1 if SSL server certification verification is desired, 0 if not [default 0]
5.2.15 M_VerifySSLCert
Prototype: bool m_verifysslcert(resource conn, int tf)
Description: tells Monetra whether or not to verify that the SSL certificate provided by
Monetra has been signed by a proper CA. Obviously, this is only applicable if
using SSL connectivity.
Return Value: none
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] tf: 1 if SSL server certification verification is desired, 0 if not [default 0]
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5.3 Sending Transactions to Monetra
5.3.1 M_CheckStatus
Prototype: int m_checkstatus(resource conn, int identifier) Description: returns the state of the transaction, whether or not processing has been complete or is still pending
Return Value: M_PENDING (1) if still being processed, M_DONE (2) if complete, <= 0 on critical failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
5.3.2 M_CompleteAuthorizations
Prototype: int m_completeauthorizations(resource conn, int &array) Description: gets how many transactions have been completed and loads the list of identifiers into listings
Return Value: number of transactions in the current connection queue which are complete (fully processed)
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[out] listings: returns an identifier for each listing which is complete. Should free () the array returned here. Must not be NULL.
5.3.3 M_DeleteTrans
Prototype: bool m_deletetrans(resource conn, int identifier) Description: removes a transaction from the queue that was initialized with M_TransNew Return Value: none
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
5.3.4 M_Monitor
Prototype: int m_monitor(resource conn)
Description: Performs all communication with the Monetra server. If this function never gets
called, no transactions will be processed. Function is non-blocking, meaning it
will return immediately if there is nothing to be done.
Return Value: 1 on success (connection alive), 0 on disconnect, -1 on critical error
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
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5.3.5 M_TransInQueue
Prototype: int m_transinqueue(resource conn)
Description: returns the total number of transactions in the queue, no matter what state they
are in or if they have been sent or not.
Return Value: number of transactions in the current connection queue
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
5.3.6 M_TransKeyVal
Prototype: int m_transkeyval(resource conn, long identifier, string key, string value)
Description: adds a key/value pair for a transaction to be sent to Monetra Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
[in] key: key as referenced in the Monetra Client Interface Specification
[in] value: value as referenced for key in Monetra Client Interface Specification
5.3.7 M_TransNew
Prototype: int m_transnew(resource conn)
Description: starts a new transaction. This must be called to obtain an identifier before any
Transaction Parameters may be added.
Return Value: reference for transaction
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
5.3.8 M_TransactionsSent
Prototype: int m_transactionssent(resource conn)
Description: checks to make sure the SEND queue for IP and SSL connections is empty.
Useful for determining connection problems to Monetra.
Return Value: number of transactions sent to Monetra from this connection (that have not
already been deleted).
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
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5.3.9 M_TransSend
Prototype: int m_transsend(resource conn, long identifier) Description: finalizes a transaction and sends it to the Monetra server Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
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5.4 Dealing with Responses from Monetra
5.4.1 M_GetCell
Prototype: string m_getcell(resource conn, int identifier,
string column, int row)
Description: gets a single cell from comma-delimited data (position independent
M_ParseCommaDelimited must be called first.
Return Value: data for particular cell
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
[in] column: text key (header) name for cell
[in] row: row number
5.4.2 M_GetCellByNum
Prototype: string m_getcellbynum(resource conn, int identifier,
int column, int row)
Description: gets a single cell from comma-delimited data (position dependent
M_ParseCommaDelimited must be called first.
Return Value: data for particular cell
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
[in] column: integer value for column number
[in] row: row number
5.4.3 M_GetCommaDelimited
Prototype: string m_getcommadelimited(resource conn, int identifier)
Description: gets the raw comma-delimited data
Return Value: raw transaction data returned by Monetra
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
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5.4.4 M_GetHeader
Prototype: string m_getheader(resource conn, int identifier,
int column_num)
Description: retrieval of a header by column number from comma-delimited data.
M_ParseCommaDelimited must be called first.
Return Value: text name for column header
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
[in] column_num: column number to retrieve header name
5.4.5 M_IsCommaDelimited
Prototype: int m_iscommadelimited(resource conn, int identifier) Description: a quick check to see if the response that has been returned is comma-delimited or a standard response
Return Value: 1 if response is comma-delimited, 0 if not
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
5.4.6 M_NumColumns
Prototype: int m_numcolumns(resource conn, int identifier) Description: the number of columns in a comma-delimited responseM_ParseCommaDelimited must be called first.
Return Value: number of columns for comma-delimited data
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
5.4.7 M_NumRows
Prototype: int m_numrows(resource conn, int identifier)
Description: the number of rows in a comma-delimited response. M_ParseCommaDelimited
must be called first.
Return Value: number of rows for comma delimited data
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
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5.4.8 M_ParseCommaDelimited
Prototype: int m_parsecommadelimited(resource conn, int identifier) Description: tells libmonetra to use its internal parsing commands to parse the comma
delimited response. This MUST be called before calls to M_GetCell,
M_GetCellByNum, M_GetHeader, M_NumRows, and M_NumColumns.
Note: If you call M_ParseCommaDelimited, you can no longer call
MonetraGetCommaDelimited because ParseCommaDelimited destroys the data.
Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
5.4.9 M_ResponseKeys
Prototype: array m_responsekeys(resource conn, long identifier) Description: retrieves the response keys (parameters) returned from the Monetra engine for
the particular transaction. Useful so you can pull the value using
M_ResponseParam() for each key.
Return Value: array of strings which are the available keys in the response
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
5.4.10 M_ResponseParam
Prototype: string m_responseparam(resource conn, long identifier, string key)
Description: This function is used to retrieve the response key/value pairs from the Monetra Engine, as specified in the Monetra Client Interface Protocol Specification. Return Value: value associated with the key requested. NULL if not found.
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
[in] key: Response Parameter key as defined in the Monetra Client Interface Specification
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5.4.11 M_ReturnStatus
Prototype: int m_returnstatus(resource conn, int identifier) Description: returns a success/fail response for every transaction. If a detailed code is needed, please see M_ReturnCode
Return Value: 1 if transaction successful (authorization), 0 if transaction failed (denial)
Parameter Descriptions:
[in/out] myconn: Connection resource returned from M_InitConn()
[in] identifier: reference for transaction as returned by M_TransNew()
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5.5 Miscellaneous Functions
5.5.1 M_SSLCert_gen_hash
Prototype: string M_SSLCert_gen_hash(string filename)
Description: generates hash content of client certificate for adding restrictions to user
connections
Return Value: certificate hash, or NULL on error
Parameter Descriptions:
[in] filename: path to client certificate file
5.5.2 M_uwait
Prototype: int m_uwait(long microsecs)
Description: a microsecond sleep timer that uses select() with a NULL set to obtain a more
efficient, cross-platform, thread-safe usleep();
Return Value: 1 on success, 0 on failure
Parameter Descriptions:
[in] length: time in micro seconds to delay (1/1000000)
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6 Examples
6.1 Full Transaction Examples
6.1.1 Basic Sale Transaction Code
<?php
$MYHOST= "localhost";
$MYPORT= 8444;
$MYUSER= "test-user";
$MYPASS= "test-pass";
$MYMETHOD= "SSL";
$MYCAFILE= "/usr/local/monetra/CAfile.pem";
$MYVERIFYSSL= 1;
/* Initialize Engine */
if (!M_InitEngine(NULL)) {
echo "Failed to initialize libmonetra\r\n";
return;
}
/* Initialize Connection Resource */
$conn = M_InitConn();
if ($conn === FALSE) {
echo "Failed to initialize connection resource\r\n";
return;
}
if (strcasecmp($MYMETHOD, "SSL") == 0) {
/* Set up SSL Connection Location */
if (!M_SetSSL($conn, $MYHOST, $MYPORT)) {
echo "Could not set method to SSL";
/* Free memory associated with conn */
M_DestroyConn($conn);
return;
}
/* Set up information required to verify certificates
if ($MYVERIFYSSL) {
if (!M_SetSSL_CAfile($conn, $MYCAFILE)) {
echo "Could not set SSL CAFile. " .
"Does the file exist?\r\n";
M_DestroyConn($conn);
return;
}
M_VerifySSLCert($conn, 1);
}
*/
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} else if (strcasecmp($MYMETHOD, "IP") == 0) {
/* Set up IP Connection Location */
if (!M_SetIP($conn, $MYHOST, $MYPORT)) {
echo "Could not set method to IP\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn);
return;
}
} else {
echo "Invalid method '" . $MYMETHOD . "' specified!\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn);
return;
}
/* Set to non-blocking mode, means we must do
* a M_Monitor() loop waiting on responses
* Please see next example for blocking-mode */
if (!M_SetBlocking($conn, 0)) {
echo "Could not set non-blocking mode\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn);
return;
}
/* Set a timeout to be appended to each transaction
* sent to Monetra */
if (!M_SetTimeout($conn, 30)) {
echo "Could not set timeout\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn);
return;
}
/* Connect to Monetra */
if (!M_Connect($conn)) {
echo "Connection failed: " . M_ConnectionError($conn) .
"\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn); // free memory
return;
}
/* Allocate new transaction */
$identifier=M_TransNew($conn);
/* User credentials */
M_TransKeyVal($conn, $identifier, "username", $MYUSER);
M_TransKeyVal($conn, $identifier, "password", $MYPASS);
/* Transaction Type */
M_TransKeyVal($conn, $identifier, "action", "sale");
/* Transaction Data */
M_TransKeyVal($conn, $identifier, "account", "4012888888881");
v5.2 Monetra PHP Reference 25
M_TransKeyVal($conn, $identifier, "expdate", "0512");
M_TransKeyVal($conn, $identifier, "amount", "12.00");
M_TransKeyVal($conn, $identifier, "ptrannum", "99999");
/* Add transaction to outgoing buffer */
if (!M_TransSend($conn, $identifier)) {
echo "Transaction improperly structured, possibly" .
"not enough info\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn); /* free memory associated wit*/ return;
}
/* Communication loop with Monetra. Loop until transaction * is complete */
while (M_CheckStatus($conn, $identifier) == M_PENDING) {
if (M_Monitor($conn) != 1) {
/* Disconnect has occurred, or other critical
* error */
echo "Unexpected disconnect: " .
M_ConnectionError($conn) . "\r\n";
}
M_uwait(20000); /* Microsecond sleep timer */
}
/* Check success or Fail */
if (M_ReturnStatus($conn, $identifier) == M_SUCCESS) {
echo "Transaction successful!\r\n";
} else if (M_ReturnStatus($conn, $identifier) == M_FAIL) {
echo "Transaction failed!\r\n";
}
/* Get results */
$response_keys = M_ResponseKeys($conn, $identifier);
echo "Response Keys: Values\r\n";
for ($i=0; $i<count($response_keys); $i++) {
echo $response_keys[$i] . " : " .
M_ResponseParam($conn, $identifier,
$response_keys[$i]) . "\r\n";
}
/* Optionally clean up transaction memory, this is
* automatically free()'d when the connection is destroyed */
M_DeleteTrans($conn, $identifier);
/* Clean up connection, and library instance */
M_DestroyConn($conn);
M_DestroyEngine();
?>
v5.2 Monetra PHP Reference 26
6.1.2 Requesting and Interpreting Reports
<?php
$MYHOST= "localhost";
$MYPORT= 8444;
$MYUSER= "test-user";
$MYPASS= "test-pass";
$MYMETHOD= "SSL";
$MYCAFILE= "/usr/local/monetra/CAfile.pem";
$MYVERIFYSSL= 1;
/* Initialize Engine */
if (!M_InitEngine(NULL)) {
echo "Failed to initialize libmonetra\r\n";
return;
}
/* Initialize Connection */
$conn = M_InitConn();
if ($conn === FALSE) {
echo "Failed to initialize connection resource\r\n";
return;
}
if (strcasecmp($MYMETHOD, "SSL") == 0) {
/* Set up SSL Connection Location */
if (!M_SetSSL($conn, $MYHOST, $MYPORT)) {
echo "Could not set method to SSL\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn);
return;
}
/* Set up information required to verify certificates
if ($MYVERIFYSSL) {
if (!M_SetSSL_CAfile($conn, $MYCAFILE)) {
echo "Could not set SSL CAFile. " .
"Does the file exist?\r\n";
*/
M_DestroyConn($conn);
return;
}
M_VerifySSLCert($conn, 1);
}
} else if (strcasecmp($MYMETHOD, "IP") == 0) {
/* Set up IP Connection Location */
if (!M_SetIP($conn, $MYHOST, $MYPORT)) {
echo "Could not set method to IP\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn);
return;
}
v5.2 Monetra PHP Reference 27
} else {
echo "Invalid method '" . $MYMETHOD . "' specified!\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn);
return;
}
/* Set to blocking mode, means we do not have to
* do a M_Monitor() loop, M_TransSend() will do this for us */
if (!M_SetBlocking($conn, 1)) {
echo "Could not set non-blocking mode\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn);
return;
}
/* Set a timeout to be appended to each transaction
* sent to Monetra */
if (!M_SetTimeout($conn, 30)) {
echo "Could not set timeout\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn);
return;
}
/* Connect to Monetra */
if (!M_Connect($conn)) {
echo "Connection failed: " .
M_ConnectionError($conn) . "\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn); // free memory
return;
}
/* Allocate new transaction */
$identifier=M_TransNew($conn);
/* User credentials */
M_TransKeyVal($conn, $identifier, "username", $MYUSER);
M_TransKeyVal($conn, $identifier, "password", $MYPASS);
/* Transaction Type */
M_TransKeyVal($conn, $identifier, "action", "admin");
M_TransKeyVal($conn, $identifier, "admin", "GUT");
/* Additional Auditing parameters may be specified
* Please consult the Monetra Client Interface Protocol */
if (!M_TransSend($conn, $identifier)) {
echo "Communication Error: " .
M_ConnectionError($conn) . "\r\n";
/* Free memory associated with conn */
M_DestroyConn($conn);
return;
}
v5.2 Monetra PHP Reference 28
/* We do not have to perform the M_Monitor() loop
* because we are in blocking mode */
if (M_ReturnStatus($conn, $identifier) != M_SUCCESS) {
echo "Audit failed\r\n";
M_DestroyConn($conn);
return;
}
if (!M_IsCommaDelimited($conn, $identifier)) {
echo "Not a comma delimited response!\r\n";
M_DestroyConn($conn);
return;
}
/* Print the raw, unparsed data */
echo "Raw Data:\r\n" . M_GetCommaDelimited($conn, $identifier) .
"\r\n";
/* Tell the API to parse the Data */
if (!M_ParseCommaDelimited($conn, $identifier)) {
echo "Parsing comma delimited data failed";
M_DestroyConn($conn);
return;
}
/* Retrieve each number of rows/columns */
$rows=M_NumRows($conn, $identifier);
$columns=M_NumColumns($conn, $identifier);
/* Print all the headers separated by |'s */
for ($i=0; $i<$columns; $i++) {
if ($i != 0) echo "|";
echo M_GetHeader($conn, $identifier, $i);
}
echo "\r\n";
/* Print one row per line, each cell separated by |'s */
for ($j=0; $j<$rows; $j++) {
for ($i=0; $i<$columns; $i++) {
if ($i != 0) echo "|";
echo M_GetCellByNum($conn, $identifier, $i, $j);
}
echo "\r\n";
}
/* Use M_GetCell instead of M_GetCellByNum if you need a
* specific column, as the results will allow for position
* independent searching of the results. The ordering of
* returned headers may be different between Monetra versions,
* so that is _highly_ recommended */
/* Optionally free transaction, though M_DestroyConn() will
v5.2 Monetra PHP Reference 29
* do this for us */
M_DeleteTrans($conn, $identifier);
/* Clean up and close */
M_DestroyConn($conn);
M_DestroyEngine();
?>
v5.2 Monetra PHP Reference 30
Academic Job Search Guide
By Jenny Smith and Mary Johnson Revised by Jeffrey Mankoff
Introduction
This resource guide is meant as a general introduction to the academic job search for students in various disciplines and fields. It provides basic information about the job search process, suggests additional job search resources in print and online, and identifies Yale personnel who can offer advice and assistance. We hope this guide will help you find your bearings in one of the most stressful periods of your graduate school career. It will not, however, provide the discipline-specific strategies you will need to make your job search a success. The guide should serve as a supplement to rather than a substitute for the help and information you gather from your department and the members of your dissertation committee. By all means, look to colleagues in your department for as much advice and guidance as they can provide.
Contents
? Graduate Career Services
* Job Search Timeline
* Application Materials
* Researching Institutions
* Recommended Reading
* Sources for Position Listings
Job-Search Assistance from Graduate Career Services
Graduate Career Services (GCS), at the McDougal Center, offers a number of programs focused on the academic job search. Each fall, faculty members from departments spread across the humanities, social sciences and sciences are invited to share personal search experiences and insights gleaned from serving on search committees. In addition, the director of GCS offers workshops on preparing a curriculum vitae and on preparing a cover letter. GCS and the Graduate Teaching Center also offer a joint workshop on preparing for academic interviews. In the spring, panels of graduate students who have been successful in the current job cycle discuss their experiences and offer advice to students who will be going on the market the following year. GCS also works with individual departments to offer programs specifically designed for students in those departments.
The director of GCS, Mary Johnson, can help you individually by offering advice about writing your c.v. and cover letter, interviewing, evaluating an offer, negotiating a contract and working through career-related personal issues such as dual-career partnerships or making a decision to pursue nonacademic options. The director is available for hour-long appointments and for weekly walk-in hours – Tuesday 11 to noon and Friday 2 to 3 in HGS 124. To schedule an appointment, call 432-BLUE.
The dossier coordinator, Yvette Barnard, can help you set up a dossier file and can answer your questions about the dossier service. Stop by and visit her in HGS 126.
Graduate Career Services, Yale Graduate School of Arts and Sciences, www..yale.edu/mcdougal/careers, 203.432.2583
Timeline
The timing of an academic job search will differ somewhat for different fields. The timeline that follows is intended as a rough guide; fellow students and recent graduates from your department will be able to help you tailor your search to the normal rhythm in your department.
The spring before you plan to go on the market
* Inform your advisor and other faculty mentors that you plan to begin a job search. Solicit honest feedback from them about your readiness to be on the market.
* Evaluate the progress of your dissertation research and writing, and make firm plans to finish in time to accept a May degree (at least). Most departments will expect new faculty to enter teaching positions with Ph.D. in hand. Keep in mind that you will be forced to sacrifice a considerable amount of writing time to job search activities in the coming year.
July and August
* Begin compiling your dossier: ask professors for letters of recommendation. Be sure you approach faculty early enough to leave them ample time to write thoughtful recommendations.
* Prepare drafts of your c.v., cover letter, and other application materials you expect to need (statement of teaching philosophy, description of future research, dissertation abstract, etc.). Share these drafts with your recommenders, both to assist them in writing letters of recommendation and to assist you in making revisions.
* Begin to develop one or two syllabi for courses you would like to teach (perhaps one introductory and one advanced course). Even though you may never have the chance to teach the courses you propose, these syllabi should be carefully crafted and reflect the breadth and depth of your teaching competencies.
September
* Check that your dossier file is complete.
* Begin your search for job openings in your field (see “Sources for Position Listings,” below). You may want to research the universities to which you send applications, in order to tailor your cover letter and c.v. to suit individual departments’ hiring needs. (You will want to do more research later, both on the institution and on specific faculty members, for departments that offer you a conference interview or on-campus visit.)
* Set up a system for organizing your job search process. Keep records of the materials each search committee has requested and what you have sent (and when you sent it). If you have prepared different versions of your c.v. or cover letter for different applications, be sure to note which version has been sent to which departments. You will need to know later how you have presented yourself.
* Consider what you might present in an on-campus job talk. Also, select the piece of written work you will use as a writing sample. Choose a writing sample different from the material you intend to present at your job talk.
October-December
* Keep your advisor and other faculty members informed of your progress. Tell them your top choice schools, and tell them where you have been offered interviews or given some show of interest.
* Submit additional documentation (transcript, writing sample, sample syllabi, teaching evaluations, statement of teaching philosophy) as search committees request it. Continue to record which committees have seen which materials.
* Finalize syllabi for proposed courses. Select and prepare material for job talk.
* If conference interviews are the norm in your field, consider making arrangements to attend your professional organization’s annual meeting. Although you may not hear about interviews until shortly before the conference, it may reduce the aggravation and expense to arrange travel in advance.
2. Graduate Career Services, Yale Graduate School of Arts and Sciences, www..yale.edu/mcdougal/careers, 203.432.2583
Application Materials
The essential items in an academic job application are your curriculum vitae, cover letter, and dossier (letters of recommendation). Depending on your field of study and the type of position for which you are applying, search committees may ask for additional materials during the job search. These items could include:
* Graduate and undergraduate transcripts (On your request, Yale’s dossier service will include your Yale graduate transcript in your dossier.)
* Writing sample
* Teaching portfolio
* Statement of teaching philosophy
* Research agenda or statement of future research plans
* Sample syllabi
* Teaching evaluations
Your departmental placement coordinator, DGS, or junior faculty in your department should be able to advise you about standard application materials in your field.
The Curriculum Vitae
A curriculum vitae, or c.v., details your academic history and educational background in reverse chronological order and in the third person. Unlike a resume for a nonacademic job search, a c.v. can be longer than one page; at the start of your career, it will most likely be two to three pages in length. A c.v. is headed by the applicant’s name and contact information. The information that follows is grouped into categories, each with a simple heading. Traditional categories for a c.v. are:
* Education
* Dissertation
* Honors/Fellowships/Awards
* Publications
* Conference Presentations
* Experience (Teaching and/or Research)
* Languages
* Professional Memberships
* References
Depending on your background and the positions for which you are applying, you may also use categories such as the following: research interests, teaching interests, university service, professional service, archival experience, or related professional experience. The order in which categories are listed on your c.v. suggests an order of priority, and you may wish to tailor the order and perhaps content of your c.v. to suit different audiences. For example, you might emphasize teaching experience and interests and de-emphasize conference presentations in applying for a position at a liberal arts college.
Sample c.v.’s from various disciplines are available in the McDougal Center Resource Library in HGS 120. For additional tips and samples, refer to the published guides to the academic job search in the Resource Library.
The Cover Letter
In the cover letter that accompanies your curriculum vitae, you introduce yourself to the search committee and discuss your dissertation, ongoing research interests, and teaching. You want to convey that you are an active scholar and teacher at the start of a productive career. Although the cover letter is formulaic, in the sense that there are a number of topics that need to be covered in a standard order, it is nonetheless a good deal more personal than the c.v. It is your voice, not just an outline of your academic activities. Revise your cover letter many times, soliciting advice from your advisor and others in your department as you do so. As with the c.v., you may tailor your cover letter to accompany different sorts of applications. The typical length of a cover letter is one and a half pages.
3. Graduate Career Services, Yale Graduate School of Arts and Sciences, www..yale.edu/mcdougal/careers, 203.432.2583
Tips on cover letter content:
* Address your letter to the chair of the search committee.
* State who you are, how you heard of the job, and when you will receive your degree.
* Describe your dissertation. This is the most important part of your letter, particularly in applications to research institutions. Highlight the significance of your project.
* Describe your other ongoing or anticipated research project(s), explaining perhaps how they build on your dissertation research.
* Discuss your teaching experience and philosophy. This is especially important if you are applying for a teaching position.
* Note any special connection you have to the school – this could be done either in closing or in the introductory paragraph.
* Indicate your willingness to send more materials (writing sample, teaching evaluations, etc.). If conference interviews are the norm in your field, you may also indicate that you will be attending the upcoming annual meeting and would be happy to meet with the search committee at that time.
Sample cover letters are available in the McDougal Center Resource Library in HGS 120. For additional tips and samples, refer to the published guides to the academic job search in the Resource Library.
Compiling a Dossier
The Yale University Graduate School’s dossier service maintains confidential files for students and alumni/ae of the graduate school. Your dossier file consists of letters of recommendation and an official Yale University Graduate School transcript. When a transcript is not specifically requested, your dossier consists only of letters of recommendation. In order to establish a dossier, you will need to complete a Personal Reference Form (for the dossier service) and a Recommendation Form (for the faculty who write these letters). All dossier service forms are available in the dossier service office in the McDougal Center. It is your responsibility to check that your rec-ommenders have written and delivered their letters. Once all letters are received, your dossier is complete, and you can fill out request forms authorizing your dossier (with or without transcript) to be copied and forwarded to prospective employers. The fee for each request is $5.
In some departments, it is customary for professors to send letters of recommendation directly to the schools where a student is applying. It does make a strong impression for a letter to be tailored to a particular school and position by the recommender and to come directly from the recommender. Since this is not practical on a large scale, you may want to request it only for your one or two top-choice schools. For the rest of your applications, take advantage of the convenience of the dossier service. Once established, your file can be revised and updated during the course of your professional career. For more information and to pick up forms, stop by the office in HGS 120 or visit http://www.yale.edu/graduateschool/mcdougal/dossier.html.
Researching Institutions
At different points in the job search process, you will want to do research on institutions to which you have applied or are considering applying. Preliminary research will help you identify universities at which you would enjoy working (size, selectiveness, location, diversity, presence or absence of a graduate program) and departments that might be a good fit for your talents and interests. Once you have received interview offers, further research will give you valuable background information on each department’s course offerings, faculty profiles, new undertakings, etc.
A great deal of information about colleges and universities is available online, and institutional and departmental web sites may be the quickest way to find information of interest to you. Published sources of background information on colleges and universities include U.S. News & World Report, American Universities and Colleges (available in several Yale libraries), and Barron’s Profiles of American Colleges. For information on graduate programs, you might consult The Gourman Report: A Rating of Graduate and Professional Programs in American and International Universities, which is available in the library.
4. Graduate Career Services, Yale Graduate School of Arts and Sciences, www..yale.edu/mcdougal/careers, 203.432.2583
Recommended Reading
The McDougal Center Resource Library houses a collection of books dealing with the academic job search and with more general concerns of young academics. Here we provide a list and capsule descriptions of works that may be of interest to new Ph.D.s on the job market. These books may be used in the Resource Library or checked out to the McDougal Common Room for a short time. The Resource Library, located in HGS 120, is open Monday through Friday from 9 a.m. – 5 p.m.
On the academic job search:
Boufis and Olsen, 1997. On the Market: Surviving the Academic Job Search. A compilation of short pieces by young academics, many in the humanities, reflecting on their experiences in “the catastrophic academic job market of the 1990s.” Recommended by the Chronicle of Higher Education.
Forno and Reed, 1999. Job Search in Academe: Strategic Rhetorics for Faculty Job Candidates. A look at the job search process from the perspective of two assistant professors; includes narratives, advice, and samples.
Heiberger and Vick, 2001. The Academic Job Search Handbook, 3rd ed. A step-by-step guide to all stages of the job search process: planning a search, preparing written materials, interviewing, negotiating an offer, and starting a new job. Includes sample application materials. Also recommended by the Chronicle.
Kronenfeld and Whicker, 1997. Geting an Academic Job: Strategies for Suces. This step-by-step handbook covers searching, interviewing, and negotiating for an academic position.
Newhouse,1997. Cracking the Academia Nut: A Guide to Preparing for Your Academic Carer. A job search handbook from the Office of Career Services at Harvard; includes sample documentation prepared by Harvard students (and tells you where they found work).
Reis, 1997. Tomorow’s Profesor: Preparing for Academic Careers in Science and Enginering. A guide for would-be science professors. Covers professional preparation while in graduate school, the academic job search, and surviving your first years on the job.
Showalter et al, 1996. The MLA Guide to the Job Search: A Handbook for Departments and for PhDs and PhD Candidates in English and Foreign Languages. The title says it all.
On academic life:
Aguirre, Jr., 2000. Women and Minority Faculty in the Academic Workplace: Recruitment, Retention, and Academic Culture. Argues that the recruitment of women and members of racial/ethnic minorities into faculty positions has proceeded without an understanding of how white-male-dominated academic culture affects their professional socialization and workplace satisfaction.
Blaxter, Hughes, and Tight, 1998. The Academic Carer Handbook. A guide to career strategies for those pursuing a profession in academia, with a focus on Great Britain.
Caplan, 1994. Lifting a Ton of Feathers: A Woman’s Guide to Surviving in the Academic World. A book of “strategic information and survival skills” for women in academia, prepared by a Canadian professor. Includes a chapter of suggestions for specific situations (graduate school, the job search, the tenure process) and an extensive bibliography.
Dews and Law,1995. This Fine Place So Far From Home: Voices of Academics from the Working Clas. A book of essays by and for academics from working-class backgrounds.
Feibelman, 1993. A Ph.D. Is Not Enough! A Guide to Survival in Science. Advice from a research physicist on establishing a successful post-doctoral career in the sciences. Both academic & nonacademic career paths.
Ferber and Loeb, 1997. Academic Couples: Problems and Promises. An edited volume of essays on topics affecting dual-career couples in academia. Includes chapters on unmarried partners (whether of the same or opposite sex) and African American couples.
Frost and Taylor,1996. Rhythms of Academic Life: Personal Acounts of Carers in Academia. First-person accounts of different aspects of academic life, by professors of management and organizational behavior.
Goldsmith, Komlos and Gold, 2001. The Chicago Guide To Your Academic Career: A Portable Mentor for Scholars from Graduate School Through Tenure. Inside information on finding a mentor, getting a job, obtaining tenure and more.
Gregory,1995. Black Women in the Academy: The Secrets to Suces and Achievement. A study of the reasons black women choose “to remain in, return to, or voluntarily leave the academy,” and of the factors promoting their success and achievement.
5. Graduate Career Services, Yale Graduate School of Arts and Sciences, www..yale.edu/mcdougal/careers, 203.432.2583
Jones, 2000. Brothers of the Academy: Up and Coming Black Scholars Earning our Way in Higher Education. A collection of historical, social scientific, and autobiographical accounts of black mens’ experiences in higher education and the academic workplace.
Menges and associates, 1999. Faculty in New Jobs: A Guide to Setling In, Becoming Established, and Building Institutional Suport. A guide to the first few years. Includes data from the “New Faculty Project” study of young academics.
Toth, 1997. Ms. Mentor’s Impecable Advice for Women in Academia. Ms. Mentor, the creation of English professor Emily Toth, offers her sage and sometimes hilarious advice to young woman scholars, from graduate school through tenure. (More recent columns from Ms. Mentor are available in the Career Talk section of the Chronicle website.)
Wenninger and Conroy, 2001. Gender Equity or Bust! On the Road to Campus Leadership with Women in Higher Education. The best of the monthly newsletter Women in Higher Education. Includes advice and first-person accounts relating to all areas of academic life – especially women’s experiences as leaders.
Sources for Position Listings
This section indexes sources of position listings in a wide variety of disciplines. (A number of these sources, especially in science disciplines, list postdoctoral research positions in addition to faculty openings.) The emphasis is on online sources, not because these are the only alternative but because they tend to be easily accessible and frequently updated. Of course, this list is far from exhaustive. There are many sources of employment listings that could not be included here; fellow students, faculty members (especially new junior faculty), reference books, and strategic Internet searching will help you gather information on other sources of job postings in your field.
Multidisciplinary
The Chronicle of Higher Education (www.chronicle.com) publishes job listings in many disciplines. These listings are also available on the Chronicle’s Web site (immediately for subscribers; following publication of the next issue for non-subscribers). Although the Chronicle’s online articles can only be read by subscribers, the advice columns and other materials in the “Career Network” section are available to the general public. Academic360.com (formerly Jobs in Higher Education) provides access to job listings for a wide variety of disciplines (http://www.academic360.com). Users can identify sources of position listings either by discipline or by accessing specific universities’ help-wanted pages. Academic360 lists administrative and staff positions in addition to faculty openings.
H-Net (Humanities and Social Sciences Online) has an online Job Guide at oldwww.matrix.msu.edu/jobs. Position listings are grouped in three main categories (History and the Humanities, Social Science, Rhetoric and Communications), each of which is further sorted by discipline. Some of H-Net’s e-mail listservs also provide periodic job postings; consider signing up for list(s) related to your specialty.
Science magazine’s Next Wave (http://nextwave.sciencemag.org) offers career advice and job listings for young scientists. To access position listings from Science and other sources, choose the “JobsNet” link on the Next Wave homepage. Many of the sites indexed on JobsNet – including Science Careers and The Scientist – also list postdoctoral openings. Computers in the Yale network can access Next Wave for free.
African American Studies
See American Studies, English Language and Literature, Political Science, and other related fields.
American Studies
The American Studies Association offers online job listings for positions in American Studies and related fields (from the ASA home page, http://www.georgetown.edu/crossroads/asainfo.html, click on “ASA Resources” and scroll down to “Employment” in the menu headed “Opportunities and Resources Online”). Positions are also advertised in the quarterly ASA Newsletter, sent to all ASA members.
Anthropology
The Web site of the American Anthropological Association has a page “Careers in Anthropology”
6. Graduate Career Services, Yale Graduate School of Arts and Sciences, www..yale.edu/mcdougal/careers, 203.432.2583
(http://www.aaanet.org/careers.htm) with online job listings. The AAA also operates a placement service that provides the publication Placement Service Notes (10 issues/year) and other information to job seekers. The placement service can be reached at placement@aaanet.org. Job opportunities are also advertised in the AAA’s Anthropology Newsletter (monthly, Sept–May).
A joint Archaeological Institute of America/American Philological Association placement service provides a monthly listing of job openings (Positions for Classicists and Archaeologists) and compiles applicants’ vitae into an annual Placement Book (submission deadline for the 2001-02 academic year is October 5, 2001). For more information and to download application forms, see http://www.archaeological.org/webinfo.php?page=10094. Job listings from Positions for Classicists and Anthropologists are also available on the APA’s web site, www.apaclassics.org.
Applied Mathematics
The Society for Industrial and Applied Mathematics maintains an online directory of employment opportunities (http://www.siam.org/profops/profops.htm) and publishes job listings in its newsletter SIAM News (ten times annually). Positions in both academe and industry are included.
Astronomy
The American Astronomical Society publishes a monthly, online Job Register listing positions at universities and observatories (use the “Job Register” link on the AAS home page, www.aas.org/zareer/index.htm). The AAS will notify interested members via e-mail when a new Job Register is available; contact address@aas.org to subscribe to this service. The AAS also organizes a Job Center at its biannual conventions.
Biological and Biomedical Sciences
The Federation of American Societies for Experimental Biology maintains a Career Resources Web site (https://career.faseb.org/careerweb) featuring an online index of employment opportunities (faculty positions, postdoctoral fellowships, and non-academic jobs) as well as other services for job-seekers. Listings are updated every Wednesday. The FASEB Web site also has an online index of its member societies (http://www.faseb.org/societies.html), several of which provide their own job listing services.
Chemistry
The American Chemical Society Web site offers a variety of online career resources; from the ACS home page (http://www.acs.org/), Job listings are published in the weekly Chemical & Engineering News classifieds, available via the online service ChemJobs (http://cen-chemjobs.org). Access to postings is restricted to ACS members for the first two weeks; older listings (including faculty, postdoctoral, and industry positions) are available to the public. At ChemJobs, job seekers can also post their resumes in a free database.
Classics
The American Philological Association (www.apaclassics.org) maintains a placement service jointly with the
Archaeological Institute of America. See under “Anthropology.”
Comparative Literature
The American Comparative Literature Association (http://www.acla.org) provides online job listings on its
Web site; from the ACLA home page, click on “ Recent Announcements.”
See also English Language and Literature.
Computer Science
The Association for Computing Machinery maintains a Career Opportunities Web site at http://campus.acm.org/crc. Job listings are also published in the monthly newsletter Communications of the ACM. Another possible source is the American Society for Information Science and Technology site at http://www.asis.org/Jobline/.
English Language and Literature
The Modern Language Association’s (http://www.mla.org) Job Information List is available in both online and
print form. The print version is published four times a year; the online version is updated weekly (beginning
7. Graduate Career Services, Yale Graduate School of Arts and Sciences, www..yale.edu/mcdougal/careers, 203.432.2583
September 20 for the 2001-02 academic year). Subscribers can choose either the English edition (for positions in English or American language and literature) or the foreign language edition (for positions in other languages and literatures) of the JIL. A subscription form is available online; from the MLA home page, choose the “Job Information List” link.
The Associated Writing Programs (http://awpwriter.org) publishes the AWP Job List, listing academic and nonacademic positions open to writers, seven times each year. AWP members may also subscribe to Job List Online to receive access to online job postings and periodic e-mail updates. AWP also offers a Career Placement Service to members; see http://awpwriter.org/careers/placement.htm for more information.
French
See English Language and Literature.
Geology and Geophysics
The Geological Society of America publishes job listings in its monthly newsletter GSA Today and on its Web site (http://www.geosociety.org/classiads/classads.htm; also check out the link for the GSA Employment Matching Service). A list of other online resources for job-seeking geologists is on the GSA site at http://www.geosociety.org/science/.
The American Geophysical Union provides job listings online (http://www.agu.org); only AGU members can view this material. Employment opportunities are also published in Eos, the AGU’s weekly newsletter.
Germanic Languages and Literatures
See English Language and Literature.
History
The American Historical Association publishes job listings in its membership newsletter Perspectives (monthly
during the academic year). AHA members can also view current job ads online; listings are updated weekly.
History of Art
The College Art Association of America (www.collegeart.org) publishes the bimonthly newsletter Careers, with job listings for art historians and other fine arts professionals. CAA also provides placement services at its annual meeting in February. For more information on placement services, contact Lehadima Land, the CAA Placement Coordinator, at lland@collegeart.org. There is also a career development website at http://www.collegeart.org/caa/career/index.html
The Association for Art History (http://www.indiana.edu/~aah) provides job and fellowship listings online (click “Job Listings” at the bottom of the AAH home page).
History of Medicine and Science
The History of Science Society maintains an online list of employment opportunities at , Job listings are also
published in the Society’s quarterly Newsletter.
The Society for the History of Technology publishes job listings in its quarterly Newsletter and on its Web site (see http://shot.jhu.edu/news/employ.htm).
Italian Language and Literature
See English Language and Literature.
Linguistics
The Linguistic Society of America’s Web site has an index of job opportunities. From the homepage , click “Jobs.” Job listings are also published in the quarterly LSA Bulletin. Although all listings from the Bulletin are also posted online, some Web site listings may not appear in the Bulletin.
8. Graduate Career Services, Yale Graduate School of Arts and Sciences, www..yale.edu/mcdougal/careers, 203.432.2583
Mathematics
The American Mathematical Society provides searchable online employment listings, covering both academic and non-academic positions, at https://www.ams.org/eims/. The same information in newsletter form (Employment Information in the Mathematical Sciences) is published five times a year. AMS members can register to receive e-mail notification of the newest postings. The AMS Web site also provides access to the AMS Coversheet Service – a paper coversheet to go with each job application is available for downloading, and information for an electronic coversheet can be submitted online.
Medieval Studies
The American Medieval Academy (http://www.medievalacademy.org) publishes job listings in its thrice-yearly bulletin Medieval Academy News. Job listings are also available online (from the AMA home page, click “Announcements”).
Music
The College Music Society publishes Music Vacancy List, a directory of current employment opportunities in music and higher education. Members of CMS can receive the MVL in a paper edition (mailed monthly), as weekly e-mail updates, or as a searchable online database. For subscription information, select the “Music Vacancy List” link from the CMS home page, http://www.music.org.
Philosophy
The American Philosophical Association (http://www.udel.edu/apa/) publishes academic and non-academic job openings in a quarterly newsletter, Jobs for Philosophers (free to APA members; must be requested with dues payment). Members can also access Jobs for Philosophers online. In addition, the APA has an online JobSeeker Database (JobS, http://www.apa.udel.edu/JobS) where individuals on the job market can post information about themselves and their specialties. Departments that advertise in Jobs for Philosophers can then search the database for applicants who may be especially suitable for the position they are seeking to fill.
Physics
The American Institute of Physics posts job listings on its Career Services Web site, http://www.aip.org/careersvc. These include faculty, postdoctoral, and nonacademic positions and can be browsed or searched by keyword. Job listings are also published in the AIP’s monthly newsletter Physics Today. (To search the listings via the Physics Today web site, go to http://aip.jobcenter.com/search.cfm).
The American Physical Society Web site also has a careers page (http://www.aps.org/jobs) with a list of online sources of employment information for physicists (click on “Additional Listings”).
Political Science
The American Political Science Association maintains an employment Web page at
http://www.apsanet.org/jobplc/index.cfm. The APSA publishes a monthly Personnel Service Newsletter listing jobs in political science. Subscribers can choose between an online-only version, PSN Online, or a print version (print subscribers are also allowed online access). The APSA also provides an online job-search service, eJobs, and organizes a Professional Placement Service at its annual meetings.
Psychology
The American Psychological Association operates a free, online Career Resource Center ( http://www.psycca-reers.com/index.cfm) where job-seekers can search online job postings and enter their resumes into a database available to employers.
Religious Studies
The American Academy of Religion ( http://www.aarweb.org/profession/default.asp) publishes Openings: Employment Opportunities for Scholars of Religion six times annually. Members of AAR can also view Openings online. In addition, the AAR’s Employment Information Services program coordinates an Interview Center at the society’s Annual Meeting in November.
9. Graduate Career Services, Yale Graduate School of Arts and Sciences, www..yale.edu/mcdougal/careers, 203.432.2583
Slavic Languages and Literatures
The American Association for the Advancement of Slavic Studies (http://www.fas.harvard.edu/~aaass) prints
job listings in its bimonthly publication NewsNet.
The American Association of Teachers of Slavic and East European Languages provides online job listings and a list of other Web sources for employment opportunities relating to Russia and Eastern Europe at http://aat-seel.org/jobs/job-index.html. Job information is also available in the AATSEEL Newsletter, published quarterly. See also English Language and Literature.
Sociology
The American Sociological Association’s monthly Employment Bulletin can be accessed online at http://www.asanet.org/pubs/eb. Both academic and nonacademic positions are listed. To order a hard-copy subscription to the Employment Bulletin, fill out the form at http://www.asanet.org/forms/subs.html and return to the address provided.
Spanish and Portuguese
The Latin American Studies Association maintains an Electronic Employment Bulletin Board at http://lasa.international.pitt.edu/employment.htm. Job listings are also published in the quarterly LASA Forum. See also English Language and Literature.
Statistics
The American Statistical Association maintains online job listings at http://www.amstat.org/careers. The listings – which include both academic and nonacademic positions – can be searched by keyword and geographic location. The ASA’s monthly publication, Amstat News, also prints job openings.
September 2003
10. Graduate Career Services, Yale Graduate School of Arts and Sciences, www..yale.edu/mcdougal/careers, 203.432.2583
WATER REUSE – THE NEED FOR PREDICTIVE ANALYTICS
J. Nicole Conner, MWH Global, 10000 N. Central EXPY, Ste. 1140, Dallas, TX, 75231
nicole.conner@mwhglobal.com, Ph: 214-346-3330
Ronald Cass, P.E.,PMP, MWH Global, Dallas, TX
Abstract
Growing concerns over water supply scarcity have prompted an increased global interest in conservation, reuse, and alternative water sources. Globally, water utilities are looking for more efficient ways to manage their resources. The use of analytics is not new to many in the businesses field, but is an unfamiliar topic to many on the operations side of water utilities. This paper presents a brief history and the basic types of analytics useful to water utilities. “Big Data” is a common catchphrase in the water industry and one that can be useful to municipalities if properly harnessed and utilized. One such ‘smart water utility’, making use of analytics is highlighted. Perhaps the largest potential value in analytics lies in its applications to potable reuse. Improved technological processes may be coupled with analytical instruments that provide real-time monitoring in order to advise operators of water potential water risks so production can be stopped and/or supply diverted. The continued improvement of online analytical instrumentation will be a key contributor to a safer, more reliable finished quality water quality. Combining stable and reliable online instrumentation with operational analytics provide real-time predictive performance. Predictive analytics provide operations new tools by which to proactively protect public health. This paper provides insights into methodologies for improved process monitoring and control and increased system reliability using predicative analytics.
Introduction
Growing concerns over water supply scarcity have prompted an increased global interest in conservation, reuse, and alternative water sources. The limited availability of new water supply sources has made the costs of advanced water treatment necessary for potable reuse practical. While advanced water treatment processes are employed for potable reuse, there are yet challenges associated with public perception. Changing public perception requires a utility to communicate about not only the level of treatment employed, but also the reliability of treatment processes. Communicating the reliability of potable reuse treatment trains will undoubtedly have a positive effect on public perception because consumers must be able to trust that the performance of the treatment system is protective of public health.1
Monitoring is key to assessing process performance so that alarms and actions can be triggered when process performance is potentially comprised; this is reflected by a change in normal operating conditions, from either a pathogen or chemical constituent perspective. Online real-time, as well as offline monitoring, of potable reuse through the complete treatment process is essential to protecting public health. And, utilizing the extensive data arising from these
1T. Asano, F.L. Burton, H.L. Leverenz, R. Tsuchihashi, & G. Tchobanoglous. 2007 WaterReuse: Issues, Technologies, and Applications. McGraw-Hill, New York.
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monitoring programs is essential to ensuring and communicating that the treatment process is performing reliably.
In the last two decades, there have been significant advances in the monitoring tools that are available for process control; many of these tools now combine online analyzers, real-time data, historic data logging and process algorithms to enhance treatment process control. What is often lacking from this scheme is the use of this information in a machine learning environment, to provide a predictive capability to aid operators in proactively verifying issues, and implementing prompt failure response mechanisms. More importantly, information that is processed in this way could allow early implementation of process changes, or preemptive actions such as preventative equipment maintenance to preclude issues from occurring.
The continued improvement of online analytical instrumentation will be a key contributor to a safer, more reliable finished quality water quality. Combining stable and reliable online instrumentation with data analytics will be critical in providing a real-time action plan to assure process and equipment performance. Predictive analytics can provide operations staff a new tool to proactively protect public health by improving process monitoring, control and implementation of preventative actions. Predictive analytics applied to the enormous data sets that are generated in potable reuse applications will enable a level of treatment process performance that assures treatment reliability, and could effectively shorten required storage volumes for flange-to-flange DPR, shortening response times to essentially zero.
Predictive Analytics
The term “predictive analytics” may conjure images of massive computers, complicated formulas and a slew of analysts pouring over mountains of data. More recently, however, data analytics is no longer in the exclusive realm of mathematicians and statisticians. In the simplest terms, predictive analytics is the process by which historical and current data sets are used to forecast future probabilities of the occurrence of some event.
The historic use of predictive analytics dates back centuries, and were quite possibly first utilized in the underwriting of shipping voyages. The term underwriting was coined by Lloyd’s of London and the principals of analytics are key to underwriting and general insurance practices.2
Contemporary use of predictive analytics had its start in the 1940’s, when WWII necessitated governments to utilize computational procedures to perform multiple tasks simultaneously. Computational models of the era decoded enemy messages, automated antiaircraft targeting technology, and were used in the Manhattan project to predict the results of nuclear chain reactions. The growth of computational capabilities has facilitated rapid expansion of analytics since that time. Advances in air travel efficiencies, weather forecasting models, and insurance and credit risk assessments beginning in the 1960’s illustrate the commercial use of predictive analytics by businesses and research establishments. From the 1970s through the 1990s, corporations and organizations began using analytics more extensively as burgeoning technology
2 Tadd Wood. “History of Predictive Analytics: Since 1689.” Contemporary Analysis August 12, 2013. canworksmart.com/history-of-predictive-analytics/.
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start-ups paved the way for prescriptive and real-time analytics. However, even as the potential applications of predictive analytics grew, they were mainly used with static data and reports generated by a few corporate analysts. 3
Businesses first explored data discovery, enabling them to understand the general condition of their business, through use of explorable data and interactive reports. This helped companies begin to understand the “why” of their business and as businesses became increasingly familiar with their data, they sought opportunities to further improve their market performance through the use of advanced analytics.4 Amazon is perhaps the ultimate poster child for predictive analytics; its use of data to power its recommendation algorithms have proved enormously successful. The online retail giant also uses predicative analytics to power its patented “anticipatory package shipping.” The accuracy of Amazon’s predictive models has proven extremely accurate, and in addition to delighting customers, assists in minimizing inventory and distribution hiccups.5
The usefulness of data analytics does not end with predictive analytics, nor is Amazon the only company to effectively integrate fact-based data into their business practices. Many successful corporations, including Wal-Mart, Google, Netflix, and eBay have used analytics to enhance customer tailored marketing and overall market competitiveness. Certain retailers even use historical purchasing analytics to alter their supply ordering based on short-term and seasonal weather forecasts.6
News headlines are saturated with stories about Big Data and, the principles of advanced analytics are a hot topic across a broad swath of business sectors looking for efficiency gains. Understanding how predictive analytics will apply to water utilities will be critical to identifying what branch of analytics will be needed in this market space. To start, a fallacy persists that the use of analytics requires complex and specialized diagnostic tools and skills. This is in part due to the advanced capabilities of computers; however, in the context of business, statistical analytics is, in fact, familiar to water utilities. Generalized linear modeling, reliability modeling, and other statistical techniques are increasingly utilized in the United Kingdom (UK) as part of the Capital Maintenance Planning Common Framework (CMPCF). The Office of Water (OfWat), is the regulatory office that oversees the management of private water and wastewater providers in the UK, established the CMPCF to standardize maintenance and capital planning in the region. The tool uses statistical analytical tools, including predictive tools to manage system status and optimize upcoming maintenance and capital projects.7
On the business side of water utilities, advanced analytics can be used to examine the economic efficacy of upcoming maintenance projects. However, these types of advanced analytics are not
3 Daniel Gutierrez. “insideBIGDATA Guide to Predictive Analytics.” Inside BIGDATA September 4, 2014. http://insidebigdata.com/2014/09/04/insidebigdata-guide-predictive-analytics/.
4 Gutierrez, 2014.
5“Big Data, Innovations - Predictive analytics: How to forecast the future.” Entrepreneurial
Insights December 23, 2014. http://www.entrepreneurial-insights.com/predictive-analytics-forecast-future/
6 Mark Smith and Ian Dawes. “Technically Speaking: Data Analytics and Water.” Water and Wastewater Treatment November 3, 2015. wwtonline.co.uk/features/technically-speaking-data-analytics#.VkvoDXarRD8
7 Smith, 2015
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as common or familiar in the operations of water utilities.8 What if the models used to develop the business plan were compatible and fully integrated with real-time asset performance, enabling not only post-project appraisal but to better illustrate the need and economic effectiveness of timely infrastructure improvements. To understand how these tools can support utility operations, a brief description of the basic building blocks of analytics is helpful. There are several basic types of analytics that can be performed, depending on the data source and particular application. The advantages analytics can offer water utilities are embedded in the four primary types, which are foundational to construction of an analytical program to fit a specific need.9
* Descriptive – backward looking analysis to tell us what happened
* Diagnostic – backward looking analysis to explain what and why an event occurred
* Predictive – forward looking analysis of what might happen in the future
* Prescriptive – forward looking analysis, recommendation on what should be done
Big data, in its basic state, is unwieldy and it is difficult to retrieve any real value from data in this condition. Descriptive analytics tells us “what” happened and condenses large volumes of information into smaller chunks of potentially useful information. Diagnostic analytics allow manipulation of data to explain “why” something happened. Both descriptive and diagnostic analytics employ a backward looking focus and intent. The combined functions of descriptive and diagnostic analytics are essentially a form of root cause analysis, common in manufacturing, that evaluates the what, how, and why of an event. 10 However, this is where many analytical evaluations stop, when there is so much more to be gained from analytical tools. Predictive analytics is the next step of evaluation and is concerned with relationships in the data. Utilizing recent and historical data, statistics, and modeling, along with “smart” and “learning” techniques to make predictions about what might happen in the future. Then, taken one step further, prescriptive analytics provides recommendations of what should be done, given a particular end goal.
8 Smith, 2015
9 Mike Butler. “Getting Started with Analytics: Types of Analytics.” Linkedin April 5, 2015 https://www.linkedin.com/pulse/getting-started-analytics-types-mike-butler
10 James J. Rooney, and Lee N. Vanden Heuvel. “Root Cause Analysis For Beginners.” Quality
Progress (July 2004) p45-53.
https://servicelink.pinnacol.com/pinnacol_docs/lp/cdrom_web/safety/management/accident_investigation/Root_Cau se.pdf
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Figure 1 Four Basic Types of Analytics11
Examination of data to determine what happened or what might happen is not necessarily a new idea. The advanced concept of predictive analytics relates to the statistical methods used, as well as the ability to integrate these techniques with datasets to make decisions that make a difference in the operations of the business. The water industry has invested heavily in Information Technology (IT) systems, resulting in creation of large datasets consisting of information on customers, work orders, telemetry, infrastructure assets, and more. While the quality of this data may not be ideal, valuable insights can still be gained. Continued utilization of these datasets further highlights the value of this information and the need for data of improving quality. 12
Smart Water Utilities
Utilities, vendors, engineers and decision-makers are all trying to figure out how and where new technologies will make it easier to solve problems. There is an underlying assumption that if the answer is to be found in the data, then more data will provide better answers. The response is often to provide more data, for less money, at any time or location. The development of better, and less expensive sensors, more-efficient networking and the ability to store large datasets will be key for most smart water infrastructure. However, this is just part of a complete solution for solving real operational and management problems. Big data solutions must address the challenges of design and operational data, such as customer billing, GIS, hydraulic modeling databases, SCADA, and computerized maintenance management software (CMMS), which is
11 Butler, 2015.
12 Smith, 2015.
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often stored in disassociated platforms. If leveraging existing data for specific management and operational goals is difficult, then adding more data may prove especially challenging. 13
Utilities understand the need for more data, and better data to solve problems; however, until utilities can process existing data efficiently and prove value from existing information, investments in expanded or improved instrumentation will be a difficult sell. It is common in the water industry to find data on a USB drive, a comma-separated-value (CSV) file in a spreadsheet has served weak substitute for true data. A specific illustration of this is a data flow example using hydraulic modeling. Crucial operational data are in stored in the SCADA historian, but always require filtering, transformations, and/or tag editing to correlate asset identifications. Data is exported to a CSV file then imported into a spreadsheet to be organized and, ultimately, converted into something of significance to the infrastructure management, such as a water usage patterns, before finally being imported into modeling software. This process is repeated, as a series of solitary exercises, often by outside consultants, resulting in hydraulic models being updated infrequently. Indeed, hydraulic models are commonly five or more years out of date. 14
Utilities can no longer afford such inefficient and wasteful data management practices and can do much better. Data integration and management tasks need to be, and can be simple, intuitive, and meaningful. Using a flexible data platform that does not require utilities to rework existing data will allow for efficient use of the substantial data sources utilities have today; this will help clear the path for implementation of high-value, smart water infrastructure technologies as illustrated by the North South Interconnection Project implemented by the South Australia Water Cooperation.
Case Study, North South Interconnection Project
Increasing supply limitations in water parched locations throughout the world place a greater emphasis on management and overall efficiency of existing municipal sources. Recently, as part of a $400 million dollar municipal investment, the South Australia Water Cooperation (SA Water) made significant improvements to the vast and complex water distribution system of the Adelaide metropolitan area. Water supply sources in the region are sparse and costly making optimization and management of all available supplies a principal goal of the project, officially known as the North South Interconnection Project (NSISP). The project is among the first of its kind to utilize predictive analytics in addition to a number of hard infrastructure improvements to increase operational flexibility, supply reliability, increased capacity, and drought security.
Physical infrastructure improvements included new pumps stations and required pressure reducing valves and also connected the cities various water supply sources through new transfer pipelines. To fully realize and manage the capabilities of the available infrastructure, SA Water needed a number of support tools to not only monitor the system but also to allow operators to better manage their network and make timely changes to operational procedures.
13 Sam Hatchett and Jim Uber. “Real-Time Predictive Analytics For Smarter Smart Water
Infrastructure.” Water Online May 26, 2015. www.wateronline.com/doc/real-time-predictive-analytics-for-smarter-water-infrastructure-0001
14 Hatchett, 2015
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A suite of four predictive and operational analytic tools was developed to manage the constant challenges of this expansive network. Each tool in the suite serves a different function and operates using different analytical techniques to process the system data, yet the interconnection of the tools is critical to the required maximization of the network. An overview of the four tools and their interconnected function is shown in Figure 2.
Figure 2 North South Interconnection Project Analytical Tool Interconnection 15
The Demand Forecasting Tool (DFT) creates a detailed seven-day demand profile for each customer in a specific zone allowing the treatment plant to adjust production volumes accordingly. The DFT aligns historic weather information, recorded customer demand, and the recorded production volume from the treatment plant to develop a regression relationship for the period. This data is combined with the official seven-day weather forecast and expected diurnal patterns among the customers to obtain a detailed seven-day water demand forecast. This information is additionally valuable when treatment plant production restrictions are anticipated.
The Distribution Optimization Tool (DOT) employs a big picture “Source to Tap” approach to manage the areas’ water supply for short and long term reliability. The tool utilizes predicted demand, reservoir storage levels, and source replenishment forecasting to manage and optimize the system. Using optimization analytics, the DOT also employs a cost factor to account for the respective costs of treatment, pumping, and transfer pumping costs to minimize cost.
The systems primary hydraulic model is the Network Operations Model (NOM). The NOM is a “live” model, running a 7-day simulation once and hour and managing over 100,000 various
15 Derek Vogelsang, Alana Duncker, and Steve McMichael. “Predictive and Operational Analytics, What is it Really All About?” OZWATER ’14, April 29-May 1, 2014. www.awa.asn.au/htmemails/Ozwater14/pdf/natozw14Final00299.pdf
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pipes, nodes, pumps, tanks, and valves. This information enables operators and system managers to not only review system status in near real-time, but also enables situational failure or event scenarios to better respond to system changes associated with planned or unplanned maintenance needs. As a “live” operational model, the NOM goes far beyond the static simulations associated with traditional hydraulic model, used primarily for pressure and flow calculations, and allows for vastly enhanced system management and operational efficiencies.
Given the complexity and interconnectedness of these various tools a “dashboard” was developed to simplify access to these models. The Network Status Display (NSD) is a web-based application that organizes the various tools in the system and allows easy and centralized access to a range of operational and business system information, including: GIS, SCADA, water quality information, historic usage data, customer billing data, and predicted water usage. The NSD can also be used to compare model-predicted values to actual performance data. In contrast to currently available operations dashboard systems, the NSD was designed to be both informational and illustrative. Additional visualization tools have made the system more accessible and useful to a wide range of users, both operations and business users. This simplification of data presentation is a key function for many users that are new to analytics, allowing the most efficient use of system tools, while allowing more complex analytical tools to function in the background.
The combined effect of these tools is unique in the water industry. SA Water is able to operate the Adelaide system using both real-time operational, or descriptive, analytics but also has access to predictive analytical information on what may happen in the future. This combination of analytical techniques provides unique opportunities for added operational and cost efficiencies, a reduction in the number of customers impacted by events, and improved response and operational reaction options for emergency management. 16
Predictive Analytics to Advance Direct Potable Reuse
Planned potable reuse has been practiced since the early 1960s, however, most of these projects are indirect potable reuse (IPR) schemes in which advanced treated water is returned to an environmental buffer before it is withdrawn into a drinking water plant to provide additional treatment before distribution to customers. 17 To date, direct potable reuse (DPR), that is a scheme that eliminates the environmental buffer, has been implemented in communities with severe drought conditions, including Big Spring, Texas (2013), Wichita Falls, Texas (operated for 11 months beginning in July, 2014) and in Windhoek Namibia (1969). In these locations, DPR was determined to be the most cost effective solution to water resource challenges (EPA, in review). Successful operational performance of these DPR systems will depend on the defined water quality, the set operational parameters and the timely feedback of high priority alerts. Early detection of variations in operations is essential to providing a safe and reliable supply of drinking water in these facilities.
16 Vogelsang, 2014.
17 US Environmental Protection Agency (EPA) (2012). Guidelines for Water Reuse, EPA/600/R-12/618, U.S.Environmental Protection Agency, Office of Wastewater Management Office of Water, Washington, D.C., National Risk Management Research Laboratory Office of Research and Development, Cincinnati, Ohio and U.S. Agency for International Development Washington, D.C.
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Thus, the key distinguishing factor between IPR and DPR is the lack of an environmental buffer (including aquifers, wetlands, rivers, streams, lakes or reservoirs) which serves as an intermediate discharge and holding point with in a potable reuse scheme. In IPR applications, the environmental buffer may be used as an additional unit process in the overall treatment train as well as for storage. In DPR applications, the absence of the environmental buffer may mean shortened failure-response times and potentially more stringent effluent water quality or process monitoring goals. Many ongoing research projects are investigating DPR treatment trains that provide the same or higher level of public safety as existing drinking water treatment plants or as IPR treatment trains (which include the environmental buffer). DPR treatment trains strive to replace the value of the environmental buffer with a robust sequence of unit processes, improved process monitoring and/or engineered storage buffers. 18 It is not likely that any single new monitoring tool will change the current paradigm of sizing and managing environmental and engineered storage buffers. Instead, it will likely be the meaningful use of the extensive body of data that is already collected through existing monitoring programs that could impact the implementation of DPR.
The feasibility of DPR, then, rests largely on the ability to reduce the need for product storage between treatment and usage. DPR in particular breaks established public health philosophies that for decades have philosophically separated drinking water and wastewater, even though de facto reuse has long been practiced. 1920 Advanced water treatment techniques, such as membrane filtration, reverse osmosis, ozone-biofiltration and advanced oxidation processes have been critical to producing safe high quality water and are an important link to ultimate public acceptance. Public perception and support of DPR will require an even greater adherence to, and evidence of exhaustive safety measures, protection protocols, and monitoring to ensure product water quality.
It is possible to increase process reliability to a point that the environmental buffer is not needed. Analysis of historical operating data and or pilot data could be facilitated through use of predictive analytics, including the use of artificial neural networks. These kinds of predictive analytical tools have been used in developing predictions in financial and economic market sectors for decades. With the increasing availability of computing power, predictive analytics could easily be applied in DPR to provide integrated process evaluation, control and proactive identification of preventive actions to demonstrate that the facility and processes are meeting the treatment objectives on a continuous basis. Using analytics and data correlation over millions of records is technically and commercially viable. Thus, this area of research may be one of the most important factors in implementation of DPR.
Real-Time Predictive Analytics
18 National Research Council (NRC). 2012. “Water Reuse: Potential for Expanding the Nation's Water Supply Through Reuse of Municipal Wastewater.” The National Academies Press: Washington, D.C.
19 J. Rice and P. Westerhoff. 2015. Spatial and Temporal Variation in De Facto Wastewater Reuse in Drinking Water Systems across the U.S.A., Environ. Sci. Technol. 49, 982-989.
20 J. Rice, A. Wutich, and P. Westerhoff. 2013. Assessment of De Facto Wastewater Reuse across the U.S.: Trends between 1980 and 2008. Environmental Science and Technology, 47(19):11099-105.
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The black box statistical models used by finance industries and other businesses employing “Big Data” are not applicable to water utilities, particularly DPR, in their currently available forms. To make optimal use of the available data, real-time predictive analytics must merge process information with operational data streams to yield valuable predictive data of system operations and performance. By combining scientific laws and methods with treatment system operational data results are reported in real-time providing predictions on chemical levels and dosing, pressure readings, and water quality at a variety of key locations throughout the DPR system. These predictions can also be compared to actual systems observations in SCADA quickly identifying any out of bound conditions that may warrant operator action. As the body of knowledge on DPR system operations continues to grow and be vetted, prescriptive analytics may also prove highly useful to DPR systems. Prescriptive analytics, through historical tracking and event analysis, may be able to detect minor system disruptions or conditions and alert operations to suggested solutions before they become significant treatment system issues.
Real-time predictive analytics is quickly moving into the mainstream of water utilities as data integration becomes standard practice for smart water infrastructure. Flexible data access platforms will largely eliminate the static, one-off, and unintegrated software of the past. Market ready products will reduce or eliminate the need for customized software development and will be easily implementable providing easy access to data with filtering capabilities and enhanced integration with infrastructure. Real-time predictive analytics can be produced automatically, using on site or cloud-based processors. The results could be available through and web-based platform whether local interactive dashboards, such as a control room, or on a tablet or other mobile device. In addition to predictive and real-time monitoring, these enhanced analytical tools can also optimize operator training and be vital in actual event scenarios for leaks, failures, and water and energy management. Similar to a pilot or astronaut, the real-time control feedback offered by a predictive analytics system provides the operator continually updated information on system statuses to make important decisions quickly. Automated dashboards and reports can also be reviewed by managers to track progress, illustrate goals, and adjust planning and future management goals as needed. Transparency aspects could also be integrated into a real-time system, giving regulatory authorities and even the public and education institutions access dashboards that demonstrate consistent treatment performance and water quality. 21
Future Work and Pragmatism
Forward looking utilities have been early adopters of real-time predictive analytics and are already insisting on a flexible data integration platform that leverages their past investments in data and modeling technologies. Their experiences advanced analytics will set the new standard for smart water infrastructure centered on physics-based, real-time predictive analytics, paving the way for the water industry to realize additional efficiencies. And, because real-time predictive analytics makes process operations more reliable, there is added value in how this technology applies to DPR, particularly with respect to communicating with regulatory authorities who make decisions about permitting and monitoring requirements. An intelligent platform can also make the treatment process smarter and ostensibly safer in the eyes of the
21 Hatchett, 2015.
10
public; additionally, providing a dashboard for the public could provide more transparency which could build additional trust with the public.
As real-time data analytics applications are being evaluated for more advanced technical applications, such as DPR, it will be important to vet data correlations because there can be spurious correlations when such “big data” sets are evaluated. Thus, a rigorous technical review of the information that is developed in the machine learning environment is critical to ensure that the relationships are genuine with an understanding of the fundamental correlations. Further, it is important to be mindful of correlations that arise as an artifact of the data collection process; this has been observed in relationships between customer contacts and network interventions where the design of the incident forms required the user to assign one customer contact to each network intervention. Ultimately, the analysis revealed that every intervention was associated with one customer contact but the true relationship could have been have been stronger or weaker. Thus, when any relationship is modelled the appropriateness of the statistical technique, the data collection process and the underlying engineering knowledge should all be reviewed to sense check the results and ensure that the results describe genuine processes. The development and application of analytical models is an evolving process. The analytical methods, underlying data quality and interpretation of the output must be understood and reviewed continually by an expert team so that continual improvements can be made.
References
Asano, T., F.L. Burton, H.L. Leverenz, R. Tsuchihashi, & G. Tchobanoglous. 2007 Water Reuse: Issues, Technologies, and Applications. McGraw-Hill, New York.
“Big Data, Innovations - Predictive analytics: How to forecast the future.” Entrepreneurial
Insights December 23, 2014. http://www.entrepreneurial-insights.com/predictive-analytics-forecast-future/ accessed November 19, 2015.
Butler, Mike. “Getting Started with Analytics: Types of Analytics.” Linkedin April 5, 2015 https://www.linkedin.com/pulse/getting-started-analytics-types-mike-butler accessed on November 4, 2015.
Gutierrez, Daniel. “insideBIGDATA Guide to Predictive Analytics.” Inside BIGDATA September 4, 2014. http://insidebigdata.com/2014/09/04/insidebigdata-guide-predictive-analytics/ accessed November 17, 2015.
Hatchett, Sam, and Jim Uber. “Real-Time Predictive Analytics For Smarter Smart Water
Infrastructure.” Water Online May 26, 2015. www.wateronline.com/doc/real-time-predictive-analytics-for-smarter-water-infrastructure-0001 accessed November 17, 2015.
National Research Council (NRC). 2012. “Water Reuse: Potential for Expanding the Nation's Water Supply Through Reuse of Municipal Wastewater.” The National Academies Press: Washington, D.C.
Rice, J. and P. Westerhoff. 2015. Spatial and Temporal Variation in De Facto Wastewater Reuse in Drinking Water Systems across the U.S.A., Environ. Sci. Technol. 49, 982-989.
Rice, J., A. Wutich, and P. Westerhoff. 2013. Assessment of De Facto Wastewater Reuse across the U.S.: Trends between 1980 and 2008. Environmental Science and Technology, 47(19):11099-105.
11
Rooney, James J., and Lee N. Vanden Heuvel. “Root Cause Analysis For Beginners.” Quality Progress (July 2004) p45-53. https://servicelink.pinnacol.com/pinnacol_docs/lp/cdrom_web/safety/management/accide nt_investigation/Root_Cause.pdf accessed November 17, 2015.
Smith, Mark, and Ian Dawes. “Technically Speaking: Data Analytics and Water.” Water and
Wastewater Treatment November 3, 2015. wwtonline.co.uk/features/technically-speaking-data-analytics#.VkvoDXarRD8 accessed November 17, 2015.
US Environmental Protection Agency (EPA) (2012). Guidelines for Water Reuse, EPA/600/R-12/618, U.S. Environmental Protection Agency, Office of Wastewater Management Office of Water, Washington, D.C., National Risk Management Research Laboratory Office of Research and Development, Cincinnati, Ohio and U.S. Agency for International Development Washington, D.C.
Vogelsang, Derek, Alana Duncker, and Steve McMichael. “Predictive and Operational Analytics, What is it Really All About?” OZWATER ’14, April 29-May 1, 2014. www.awa.asn.au/htmemails/Ozwater14/pdf/natozw14Final00299.pdf accessed November 17, 2015.
Wood, Tadd. “History of Predictive Analytics: Since 1689.” Contemporary Analysis August 12, 2013. canworksmart.com/history-of-predictive-analytics/ accessed November 17, 2015.
12
JUDICIAL BOARD
MANUAL
The Fraternity of Phi Gamma Delta
1201 Red Mile Road
Lexington, KY 40504
www.phigam.org
Judicial Board Manual
What is a Judicial Board?
The Judicial Board should be a body of trustworthy undergraduate brothers who act as an accountability mechanism designed to implement and enforce the values of the Fraternity. This Board must be willing to hold the members of the chapter accountable for their individual actions. Reasons for having this type of Board include: self-governance, accountability, education and brotherhood development.
It is not...
The board is not a body with the purpose of punishing brothers. Instead it is a board of peer advisors that should strive to create positive changes in behavior.
It should not be considered a chapter police force, but rather a means of using brotherhood to deal with internal conflict. This will promote the development of a strong, close-knit chapter.
Purpose
The Judicial Board’s main goal should be maintaining the chapter’s high standards and
brotherhood. Thus, it should set and uphold standards for its chapter pertaining to individual behavior, conduct and chapter discipline. It should accomplish better brotherhood by acting as the judicial branch of the undergraduate chapter and hearing cases brought before it. The Board should also educate the chapter on the rules of the Fraternity and university.
What are the benefits?
If the chapter cannot handle problems internally, external authorities (University, IHQ, local graduate brothers) may have to intervene, which would create an uncomfortable situation for all parties involved. However, if the chapter effectively handles its problems internally, exercising the right to self-governance, the external influences may not have to intervene.
Holding brothers and pledges accountable for their actions according to the values of the Fraternity will help the chapter operate more smoothly. Not holding members accountable for living up to these values diminishes the overall value of being a Phi Gam.
The Judicial Board will take pressure off of the individual cabinet members. However, the cabinet must maintain leadership over the Judicial Board and have the right to approve/deny their decisions.
1
Procedures
* The complaint is filed to the Cabinet. This means that the proper paperwork is filled out including the date, time, place, description of the occurrence and the people involved. Note: A sample complaint form is attached to this manual.
* The Cabinet notifies the Board to meet to discuss the complaint and ensure that it is legitimate and that the parties involved have committed an infraction.
* The Recording Secretary writes a formal notification informing the parties involved of their required attendance at the next Board meeting and delivers it to them. There should be at least 48 hours between the notification and the meeting. If one of the parties involved cannot make the meeting an alternate hearing date and time should be arranged.
* At the next Board meeting the testimony of the two parties are heard, and the Board will decide if any further action is appropriate.
* After the hearing, the Board will formulate a sanction according to the severity of the infraction and recommend a course of action to the Cabinet. The Cabinet will then agree or suggest that a new sanction is needed. If the Cabinet asks for a new sanction recommendation the Board will reconvene and formulate a new sanction and course of action.
* Appeals: If the accused parties feel that the sanctions are unfair, they can appeal them to the Chapter at the next chapter meeting. The Chapter will then vote and if there is a 3/4 majority to overturn the sanctions, the committee will reconvene and formulate a new sanction and course of action.
* If the accused brother does not cooperate with the given sanctions in the prescribed time, the Board will meet and additional sanctions may be added. If this process happens repeatedly, the Board may propose to the chapter that the brother be suspended or removed from the chapter.
3
Examples of Offenses
Violations against Friendship
* Disrespectful or poor treatment of brothers and guests
* Destruction of personal property
* Disloyal actions against the chapter or individual members
* Sharing the door code and other sensitive information
* Hazing and harassment*
* Violent actions*
Violations against Knowledge
* Failure to achieve the minimum GPA set by the chapter (2.5)
* Failure to attend study tables
* Disturbing others during quiet hours
* Interfering with other members' study habits
* Plagiarism
* Cheating
* Continued neglect of classwork and poor attendance
* Failure to achieve a 1.8 GPA*
Violations Against Service
* Missing community service events
* Failure to participate in philanthropic events
* Failure to fulfill community service hours
* Failure to contribute to continuous house improvement
Violations Against Morality
* Excessive displays of arrogance and lack of humility
* Failure to comply by common courtesy standards (be a gentleman)
* Arriving late to scheduled events
* Obscene or lewd behavior and language
* Theft and vandalism*
* Inappropriate posts/pictures on digital mediums (ie Facebook, Twitter etc)
* Display of explicit, obscene, or inappropriate images/language within the house
* Racial, sexual, religious slurs and offensive material*
* Sexual assault *
Violations Against Excellence
* Failure to take responsibilities for guests
* Failure to attend weekly chapter meetings
* Failure to attend mandatory chapter events
* Failure to contribute positively to the chapter
* Excessive use of alcohol
* Attending chapter events, community events, greek functions, and university functions under the influence
* Violations of state, local, and federal law*
* Financial delinquency; Past due $300.00 or more for 60 days or more.*
* Use of drugs/illegal substances*
* Revelation of ritual and formal meetings*
* - Indicate severe infractions, refer to sanctions section for detailed sanctions
4
Possible Sanctions
* Suspended voting privileges at chapter meetings
* Loss of room pick privileges
* Formal letter of apology to affected party
* Attending an appropriate workshop or educational seminar
* Facilitate an appropriate workshop or educational seminar for the Chapter or university
* Paying for damages
* Loss of social privileges
* Loss of intramural participation
* Removal from office or position
* Loss of privilege to live in the chapter house
* Loss of privilege to be a Big Brother
* Loss of privilege to run for a position in upcoming chapter elections
* Required to seek professional help (due to behavior while under the influence)
* Required to speak to the pledge class about the faults of the action
Note: The most severe penalty that can be given by the Judicial Board is a denial of chapter privileges (Fourth Degree Penalty; Section 25.33 International Bylaws). Anything more severe requires a trial by the Chapter (Outlined in Section 26 of the International Bylaws).
5
Formal Complaint Form
Date:
I, would like to file a formal complaint against the following individual(s):
Name(s):
__
Accusations:
Date of incident:
Time of incident:
Witnesses:
Is this a violation of the bylaws or rules?
If so, which ones?
If not, is this a violation of common sense and common courtesy to the other brothers? _____
If it is a common sense or courtesy violation, have you tried to resolve the problem with
the brother on a personal level?
7
Formal Meeting Notice
Dear Brother :
A complaint has been filed against you. The allegations against you are:
You are hereby required to appear before the Standards Board of the Chapter of Phi
Gamma Delta on Monday, November 19th at 6:00 pm in the chapter library. The Board has been
informed that your actions at the on November 15th were in direct violation of
Bylaw , stating .
At this meeting you will have the opportunity to defend yourself. You may present any evidence or testimony that you feel is appropriate to your defense. If you have any questions regarding the infraction or the proceedings of the hearing, please consult the Chapter Bylaws or a member of the Judicial Board.
If you are unable to appear at this meeting because of prior engagements please inform a member of the Judicial Board within 48 hours of the meeting. Failure to appear at the meeting could result in an automatic admission of guilt, in which case the Judicial Board will render a decision based on available evidence and testimony.
Please report to the library at said time and date. If you have any questions contact a member of your Judicial Board.
The Judicial Board
List charges here:
Formal Verdict Form
Name of the Accused:
Name of the Complainant:
Charges:
____
Decision:
Sanctions:
____
To be completed by:
Judicial Chairman:
Judicial Secretary: _
Cabinet member:
9
Judicial Board meeting minutes sample
DATE:
Brothers Present:
Brothers Called to the Standards Board (If Applicable):
Reasons the meeting was called (possible violations involved):
Discussion:
Sanctions (If Applicable):
What:
To be paid/completed by:
10
prlgcc Version 4.0 Configuration of Cross Platform GNU Compiler Personalities
prlgcc Version 4.0
Configuration of Cross Platform GNU Compiler
Personalities
Author: Jason Masters
Version: 1.0
Created Date: 18 February 2010
Last Modified: 23 February 2012
Number of Pages: 10
Page 1 of 10
prlgcc Version 4.0 Configuration of Cross Platform GNU Compiler Personalities
Contents
1 THE PROBLEM 3
1.1 SYSTEM INCLUDE PATHS AND IMPLICIT SYSTEM DEFINES 3
1.2 SUBSTITUTE HEADER FILES 3
2 UNPACKING YOUR INSTALLATION. 3
2.1 DIRECTORY STRUCTURE 3
3 USING THE CONFIGURATION SCRIPT PRLGCC. 5
3.1 PRLGCC.PL OR PRLGCC.EXE ON WINDOWS? 5
3.2 USAGE 6
3.3 PARAMETERS 6
3.4 SCRIPT OPERATION 8
4 USING YOUR COMPILER PERSONALITY. 9
4.1 LIMITATIONS 9
4.2 MOVING THE PERSONALITY 9
5 CHANGE HISTORY 9
5.1 VERSION 3.0 9
5.2 VERSION 4.0 9
Page 2 of 10
prlgcc Version 4.0 Configuration of Cross Platform GNU Compiler Personalities
1 The Problem
The compiler personality files for QAC and QAC++ can define implicit types, parsing extensions, extension keywords which allow the parser to analyse source code or include files which are compliant with the compiler.
The compiler personality is also the place to specify search paths for system include files, implicitly defined macros and substitute header files which may be necessary if the header files supplied with a compiler are too non-compliant to allow parsing.
This last group of attributes prevents Programming Research from providing a GNU C / C++ compiler personality out of the box. The system include paths and implicitly defined macros are system dependent and it may be necessary to provide a set of substitute headers to allow for nonstandard compiler constructs. Further still it may be necessary to supply a file which is always included to define implicit types or macros which are too complex for a simple personality file.
1.1 System Include Paths and Implicit System Defines
GNU C/C++ (gcc and g++ from now on) can provide some of the information we need while compiling a source file. The configuration script will temporarily create a dummy source file in it's installation directory and extract this information.
1.2 Substitute Header Files
PRL may need to supply substitute header files, which are used for analysis. The configuration script allows you to specify where these may go although a directory structure within the specified destination directory may have to be enforced.
2 Unpacking Your Installation.
After receiving your configuration package you should have a file named prlgcc_3.0.zip. This file can be unpackaged as follows on UNIX (or in a UNIX like environment on Windows):
$ unzip prlgcc_3.0.zip
This will create a prlgcc directory containing the script, User Guide and template directories.
On Windows you can use a number of commercial unzipping programs or extract the files using Windows Explorer.
2.1 Directory Structure
The directory structure looks like this:
Page 3 of 10
Configuration of Cross Platform GNU Compiler Personalities
This configtwaton script gen rates compiler personantes from template files and copies header files to specified locaton
Q C v rsion used INA be <=
version specuqed
i.e. version 5 CI INA use 45 Configunthon
294
30
cgcc version>
arson
{
gcc.p_c.tpl
Configtwaton template files
g++.p_c.tpl
—headers
Iforcei nclude
-prlgcc.h Definatons necessary for gnu header files. If [has file emsts, a
-prIg++.h forceinclude for it will be placed in the appropriate compiler personSy.
sub-directory 1
sub-directory 2
sub-directory 2-1 Sub-directories contain edited
' versions o GNU headers.
g++-headers
QA C-FF version used will be <=
version specuqed
e version15 INA use 19 configunthon
<QA &HE version>
2 94
30
_cg++ version>
Page 4 of 10
prlgcc Version 4.0 Configuration of Cross Platform GNU Compiler Personalities
The top-level gcc directory contains the configuration script prlgcc.pl. The Windows packages also contains a compiled version of this called prlgcc.exe in the same location. The subdirectories gcc-headers and g++-headers contain a series of directories that correspond to the version numbers of supported Programming Research products. These in turn contain directories which correspond to the version numbers of supported GNU compilers.
For example to find a matching configuration for QA C 4.5.2 only the “major.minor” part of the version number in this case 4.5. In this case we have a match. However if they had specified 5.0 we would match find the highest numbered configuration that was less than 5.0. If version 4.4.2 were specified then the lowest numbered configuration would be used as the closest match.
Each of the version directories follows the same structure. A person directory will contain the templates for gcc and/or g++ compiler personalities. These templates follow a fixed naming convention. If the corresponding template does not exist it is assumed that the compiler is not yet supported.
The header directory contains optional QAC and QAC++ forceinclude header files. Any other files / directories are assumed to be substitute headers. The directory structures are copied to the location specified by the user when prlgcc.pl is run.
3 Using The Configuration Script prlgcc. 3.1 prlgcc.pl or prlgcc.exe on Windows?
The Windows package contains two versions of the configuration script: a PERL version (prlgcc.pl) and a compiled executable version (prlgcc.exe). The choice of which one to use depends on the environment in which your GCC compiler runs in. If your compiler is a native Windows version (that it is it was compiled for Windows and runs using only the standard Windows dlls – for example MINGW GCC) then you must use prlgcc.exe. If your compiler is a Cygwin compiler then you must use prlgcc.pl.
Both versions take the same parameters; in the following sections prlgcc.pl can be substituted with prlgcc.exe as required.
3.1.1 Usage on Cygwin
The PERL script detects if it is being run on Cygwin and will substitute Cygwin mount points for include paths in the compiler personality where necessary. It will also detect the Cygwin root directory and replace paths such as
/usr/include
with
c:\cygwin\usr\include
Assuming that your c:\cygwin is the Cygwin root directory.
Page 5 of 10
prlgcc Version 4.0 Configuration of Cross Platform GNU Compiler Personalities
Note: Some directories available within Cygwin may not be visible directly from DOS / Windows – and hence QAC/QAC++ will not be able to see them. Prlgcc will convert these paths to full paths accessible from Windows.
3.2 Usage
The prlgcc.pl script has the following usage:
prlgcc.pl <qac|qacpp|qac++> -personalities <personality_file_dir> [-version <product version no>] [-compiler compiler_exe] [-headers <substitute_header_dir>] [-pcpaths] [-manual] [-display]
The options can be specified with the minimum letters that make the option unique, for example:
prlgcc.pl <qac|qacpp|qac++> -v <product version no> -h <substitute_header_dir> - pe <personality_file_dir> [-c compiler_exe] [-pc]
Typical usage for gcc on UNIX would be:
./prlgcc.pl QAC -pe /opt/PRQA/QAC-8.0-R/personalities
For Cygwin typical usage would be:
./prlgcc.pl QAC -pe /cygdrive/C/Program\ Files/PRQA/QAC-8.0-R/personalities
3.3 Parameters
This section describes the parameters in more detail.
3.3.1 Product Option
The first option to prlgcc.pl must be the product. It can be qac, qacpp or qac++ (or upper case equivalent). This tells the script to generate a personality with attributes for QA C or QA C++ and integrate the appropriate GNU C or GNU C++ compiler.
This parameter is mandatory.
3.3.2 –personalities, -pe
This parameter is the location to store the generated personality file. The directory specified must be an absolute path: relative paths are not accepted.
This can be (but doesn’t have to be) the same directory as the -headers parameter. This parameter is mandatory.
3.3.3 –version, -v
Page 6 of 10
prlgcc Version 4.0 Configuration of Cross Platform GNU Compiler Personalities
The QA C++ version number e.g. 1.4, 2.0 etc
This parameter is not required when the Product options is ‘qac’.
This parameter is required only when the Product Option is ‘qacpp’ or ‘qac++’ and the version is 1.4 or previous. The default is to generate a personality compatible with QAC++ 2.0 onwards.
3.3.4 -compiler, -c
Without this parameter prlgcc.pl will run either gcc or g++ depending on the product parameter. However, most cross compiler variants of gcc/g++ have the target name encoded into the compiler executable. Additionally there may be several different gcc/g++ compilers installed for various targets (including the native one). This parameter is used to give the name of the compiler that the personality should be generated for. It can either be just the compiler name if it is on the path or the full path to the compiler executable.
This parameter is optional.
3.3.5 –headers, -h
This parameter specifies the directory in which substitute header files are to be stored. The directory specified must be an absolute path: relative paths are not accepted.
When running the script it is important not to specify a directory above that in which the script was unpacked. For example the directory one level above the directory containing the script. After the substitute headers are copied this directory is searched recursively to build the list of substitute header files. This will result in a long list containing substitute headers for every supported version of the compiler.
The best solution is to create a directory for the substitute headers and then to specify that to the configuration script – see the –personalities parameter section.
If this parameter is not specified, the headers will be placed in the directory specified by the – personalities option.
3.3.6 -pcpaths (optional)
This parameter is implied when the script is run under Cygwin.
For developers using Cygwin or other Unix like environment on the PC. A compiler running in Cygwin will report include directories of the form:
/usr/include
QAC and QAC++ are Windows programs so will not be able to find these directories. The pcpaths option will make the script convert these paths to Windows paths such as:
C:\cygwin\usr\include
The script will also detect if any paths reported from the compiler are symbolic links (which QAC and QAC++ cannot follow) and convert these to the full Windows paths.
This parameter is optional.
3.3.7 -manual
By default prlgcc runs in a non-interactive way, choosing sensible default options where there is a choice. The –manual option causes prlgcc to stop and request information from the user where a decision is required.
Page 7 of 10
prlgcc Version 4.0 Configuration of Cross Platform GNU Compiler Personalities
3.3.8 -display
This option makes prlgcc prints out the full path to the created personality in double square brackets after it is generated. This option is useful when running prlgcc from a script.
3.4 Script Operation
If the –compiler option is not specified the script will use the first gcc or g++ it finds on the path. If you have more than one version installed ensure that the version you want to use is first in your search path or use the –compiler option.
The script when run will extract the information it requires from gcc/g++. It is possible that we do not have a configuration that has been tested with your version of the compiler. If this is the case and the manual option has been specified, prlgcc will tell you which version it found and give you the opportunity to select a configuration which most closely matches your own (if the manual option was not specified, prlgcc will choose the nearest version below the one found). It should look something like this.
Version 3.2 of your compiler was detected.
An exact match for a configuration template was not found
Configurations found for g++ versions:
1. 2.96
2. 3.0
3. 3.1
Q. Quit configuration.
Please select the version which is the closest match for your system
Enter a number[1..3] or Q to quit: 3
At this point you can enter Q to quit without generating a personality or choose the number to the left of the configuration version, in which case a personality will be generated for that configuration.
A complete session could look something like this.
Version 3.2 of your compiler was detected.
An exact match for a configuration template was not found
Configurations found for g++ versions:
1. 2.96
2. 3.0
3. 3.1
Q. Quit configuration.
Please select the version which is the closest match for your system
Enter a number[1..3] or Q to quit: 3
Creating configuration for g++(3.2) using g++(3.1) template.
Creating substitute headers.
Substitute headers completed.
Configuring compiler personality.
Compiler personality configuration complete.
Upon completion your gcc/g++ compiler personality will be generated in the personality directory specified. The substitute headers would have been copied to their new location and this would be noted in the personality file. If you need to change the location of these files in the future, you will need to edit the personality either directly or through the appropriate user interface.
Page 8 of 10
prlgcc Version 4.0 Configuration of Cross Platform GNU Compiler Personalities
Depending on the configuration a “forceinclude” file may have been necessary. This is a file that is silently included before any other source files are parsed by QAC/QAC++. If this was necessary it will be located at the prlforceinclude directory within the header file subdirectory.
Additional substitute headers may also be created, possibly in a directory structure. These headers are included instead of the compiler header files.
4 Using Your Compiler Personality.
The generated personality can be used like any other compiler personality. This can be in the GUI, on the command line or in an integration. Consult the QAC/QAC++ documentation for more information on how to do this.
4.1 Limitations
Although the script attempts to gather all the settings from the compiler output, in some cases this may be incomplete or inaccurate (especially on cross compilers). The generated personality can be edited either directly in text editor or by opening it in the QAC/QAC++ GUI.
4.2 Moving The Personality
The generated personality will contain absolute paths to compiler include directories, force include files and substitute header directories. If you decide to relocate the personality then it is strongly advised that you move the force include and substitute header directories with the personality and modify the entries in the personality to reflect the new location.
5 Change History
5.1 Version 3.0
5.1.1 Change Requests
CR 12298 prlgcc does not resolve symbolicly linked directories or mount points on Windows. All Cygwin paths are now converted to full Windows paths.
5.2 Version 4.0
This release is used by and packaged into the Quick Start Utility.
Page 9 of 10
prlgcc Version 4.0 Configuration of Cross Platform GNU Compiler Personalities
5.2.1 Change Requests
CR-14328: prlgcc generated personalities do not work with MINGW32 GCC
The force include files have been modified to be compatible with the MINGW compiler.
CR-14134 prlgcc should not fail when the prlforceinclude directory already exists
The script now creates the directory if it does not exist.
CR-14093 Make prlgcc run in non-interactive way
The script now runs without prompting the user – though this behaviour can be reverted using the –manual option.
CR-13954 Everybody uses the wrong setting for -headers in prlgcc
Many users set the –headers setting to the gcc-headers directory rather than the output location for any substitute headers. This is now optional and defaults to the same location as the –personalities setting.
CR-13953 prlgcc does not run well on Windows
A compiled Windows version of the script is now shipped in the package for native Windows compilers.
Page 10 of 10
Preface
MATLAB®1 is an interactive system for numerical computation. Numerical analyst Cleve Moler wrote the initial Fortran version of MATLAB in the late 1970s as a teaching aid. It became popular for both teaching and research and evolved into a commercial software package written in C. For many years now, MATLAB has been widely used in universities and industry.
MATLAB has several advantages over more traditional means of numerical computing (e.g., writing Fortran or C programs and calling numerical libraries).
* It allows quick and easy coding in a very high-level language.
* Data structures require minimal attention; in particular, arrays need not be declared before first use.
* An interactive interface allows rapid experimentation and easy debugging.
* High-quality graphics and visualization facilities are available.
* MATLAB programs are completely portable across a wide range of platforms.
* Toolboxes can be added to extend the system, giving, for example, specialized signal processing facilities and a symbolic manipulation capability.
* A wide range of user-contributed MATLAB programs is freely available on the Internet.
Furthermore, MATLAB is a modern programming language and problem-solving environment: it has sophisticated data structures, contains built-in editing and debugging tools, and supports object-oriented programming. These factors make MATLAB an excellent language for teaching and a powerful tool for research and practical problem-solving. Being interpreted, MATLAB inevitably suffers some loss of efficiency compared with compiled languages, but built-in performance acceleration techniques (including some runtime compilation) reduce the inefficiencies and users have the possibility of calling code and libraries written in other languages.
This book has two purposes. First, it aims to give a lively introduction to the most popular features of MATLAB, covering all that most users will ever need to know. We assume no prior knowledge of MATLAB, but the reader is expected to be familiar with the basics of programming and with the use of the operating system under which MATLAB is being run. We describe how and why to use MATLAB functions but do not explain the mathematical theory and algorithms underlying them; instead, references are given to the appropriate literature.
The second purpose of the book is to provide a compact reference to MATLAB. The scope of MATLAB has grown dramatically as the package has been developed
1MATLAB is a registered trademark of The MathWorks, Inc.
xxi
xxii ???????
(see Table 0.1), and even experienced MATLAB users may be unaware of some of the functionality of the latest versions. Indeed, the PDF documentation for MATLAB runs to well over ten thousand pages. Hence we believe that there is a need for a manual that is wide-ranging yet concise. We hope that our approach of focusing on the most important features of MATLAB, combined with the book’s logical organization and detailed index, will make MATLAB Guide a useful reference.
The book is intended to be used by students, researchers, and practitioners alike. Our philosophy is to teach by giving informative examples rather than to treat every function comprehensively. Full documentation is available in the MATLAB help system, which can be accessed from the Home tab of the MATLAB Toolstrip, by typing doc in the Command Window, or on the website of The Mathworks. The contents of the help system are also available as PDF files, accessible via “PDF Documentation” links in the help system. When we refer to “the help system” we mean any one of these sources.
Our treatment includes many “hidden” or easily overlooked features of MATLAB and we provide a wealth of useful tips, covering such topics as customizing graphics, coding style, code optimization, and debugging. However, we discuss only officially documented MATLAB features (undocumented features can change without warning and cannot be relied on).
The main subjects omitted are Graphical User Interface (GUI) tools, which can be useful as front-ends to MATLAB computations, and MEX files.
We have not included exercises; MATLAB is often taught in conjunction with particular subjects, and exercises are best tailored to the context.
We have been careful to show complete, undoctored MATLAB output and to test every piece of MATLAB code listed. The only editing we have done has been to omit some lines of output (to save space) and replace them by a line consisting of “...”.
MATLAB runs on several operating systems and we concentrate on features common to all. We do not describe how to install or run MATLAB, or how to customize it—the documentation should be consulted for this system-specific information.
A web page for the book can be found at http://www.siam.org/books/ot150. It includes links to all the codes used as examples in the book, errata, and links to various MATLAB-related web resources. It also includes the bibliography of the book as a B??TEX bib file and in PDF form with embedded links.
What This Book Describes
This book describes MATLAB 9.1 (Release 2016b). If you are not sure which version of MATLAB you are using, type ver or version at the MATLAB prompt.
How This Book Is Organized
The book begins with a tutorial that provides a quick tour of MATLAB. The rest of the book is independent of the tutorial, so the tutorial can be skipped—for example, by readers already familiar with MATLAB.
The chapters are ordered so as to introduce topics in a logical fashion, with the minimum of forward references. A principal aim was to cover MATLAB programs and graphics as early as possible, subject to being able to provide meaningful examples. Later chapters contain material that is more advanced or less likely to be needed by the beginner.
??????? xxiii
Table 0.1. Selected highlights of MATLAB releases.
Year Version Notable features
1978 Classic Original Fortran version.
1984 1 Rewritten in C.
1985 2 30% more commands and functions, typeset docu
mentation.
1987 3 Faster interpreter, color graphics, high-resolution
graphics printing.
1992 4 Sparse matrices, animation, visualization, user in
terface controls, debugger, Handle Graphics®,* Microsoft Windows support.
1997 5 Profiler, object-oriented programming, multidimen
sional arrays, cell arrays, structures, more sparse linear algebra, new ordinary differential equation solvers, browser-based help.
2000 6, R12 MATLAB desktop including Help browser, ma
trix computations based on LAPACK with optimized BLAS, function handles, eigs interface to ARPACK, boundary-value problem and partial differential equation solvers, graphics object transparency, Java support.
2002 6.5, R13 Performance acceleration, more control in warning
and error handling.
2004 7.0, R14 Mathematics on nondouble operands (single preci
sion, integer), anonymous functions, nested functions, publishing an M-file to HTML, LATEX, etc., enhanced plot annotation.
2008 7.6, R2008a Enhanced object-oriented programming capabilities.
2008 7.7, R2008b Upgraded random number generators.
2012 8.0, R2012b Redesigned desktop with Toolstrip, new help system.
2013 8.2, R2013b table data type and categorical arrays.
2014 8.4, R2014b Source control, updated graphics system, datetime
arrays, datastore.
2015 8.6, R2015b New execution engine, graph and digraph classes 2016 9.0, R2016a Live Editor, performance testing framework
2016 9.1, R2016b Local functions in scripts, string arrays, tall arrays, implicit expansion of arrays with dimensions of length 1.
* Handle Graphics is a registered trademark of The MathWorks, Inc.
xxiv ???????
Using the Book
Readers new to MATLAB should begin by working through the tutorial in Chapter 1. The tutorial gives a fast-paced overview of the capabilities of MATLAB, with all its topics being covered in greater detail in subsequent chapters. Although it is designed to be read sequentially, with most chapters building on material from earlier ones, the book can be read in a nonsequential fashion by following cross-references and making use of the index. It is difficult to do serious MATLAB computation without a knowledge of arithmetic, matrices, colon notation, operators, flow control, and program files, so Chapters 4–7 contain information essential for all users.
Appendix A lists our choice of the top 111 MATLAB functions—those that we think every MATLAB user should know about. The beginner may like to tick off these functions as they are learned, while intermediate users can pick out for study those functions with which they are not already familiar.
From time to time we make reference to the extensive MATLAB documentation. Reference information for a particular function, fun, can be obtained by typing help fun or doc fun, but sometimes we need to refer to a page in HTML documentation that is not directly accessible with a doc command. In this case we point to the precise page in question by specifying a command such as
web([docroot '/matlab/numeric-types.html'])
Here, docroot refers to the location of the documentation on the system in question, so this command should work on any MATLAB installation. Note that the quote symbol, ', which displays in this way in MATLAB and is typeset this way in all the MATLAB code in this book, is typed as the right or closing quote, ’, on the keyboard.
What’s New in the Third Edition
This third edition of the book is 25 percent longer than the second edition (2005) and differs from it in several respects.
1. Many changes and new features introduced in MATLAB are incorporated.
2. All figures are now in color (they were monochrome in the second edition).
3. New “Asides”, highlighted in gray boxes, contain discussions on MATLAB
related topics, such as anonymous functions, reproducibility, and color maps.
4. Our continuing experience in using MATLAB for teaching and research has led to numerous improvements and additions—in particular, more examples.
5. The “Advanced Graphics” chapter (Chapter 17) (previously title “Handle Graphics”) has been rewritten to reflect the major update to the graphics system introduced in MATLAB 2014b.
6. A new chapter “Object-Oriented Programming” (Chapter 19) presents an introduction to object-oriented programming in MATLAB through two examples of classes.
7. The chapter “The Symbolic Math Toolbox” (Chapter 20) has been revised to reflect the use of MuPAD as the underlying symbolic engine (previously the engine was Maple), and the chapter has been extended.
??????? xxv
8. A new chapter “Graphs” (Chapter 21) describes the new MATLAB classes graph and digraph, for representing and manipulating undirected graphs and directed graphs.
9. A new chapter “Large Data Sets” (Chapter 22) describes MATLAB features for handling data sets so large that they do not fit into the memory of the computer.
10. A new chapter “The Parallel Computing Toolbox” (Chapter 25) describes this toolbox, which exploits multicore processors, clusters, and graphics processing units (GPUs).
11. New sections have been added, including “Empty Matrices” (Section 5.4), “Matrix Properties” (Section 9.1), “Argument Checking and Parsing” (Section 10.6), “Fine Tuning the Display of Arrays” (Section 13.4), “Live Editor” (Section 16.7), “Unit Tests” (Section 16.10), “String Arrays” (Section 18.2), “Categorical Arrays” (Section 18.4), “Tables and Timetables” (Section 18.6), and “Timing Code” (Section 23.1), and many existing sections contain new or reorganized material.
12. Changes in MATLAB terminology have been incorporated. For example, the terms “program files” and “local functions” replace what were previously called “M-files” and “subfunctions”.
Future Versions of MATLAB
MATLAB will continue to evolve. New versions are released twice a year, denoted “R20xya” and “R20xyb”. It is a good habit to inspect the release notes of each new version in order to see what has changed. They can be found by typing doc then selecting MATLAB or one of its installed toolboxes and following the link. The release notes also give advanced notice of changes planned for the future, listed under “Functionality being removed or changed”, enabling you to avoid using functions or syntax that will become obsolete.
Acknowledgments
We are grateful to a number of people who offered helpful advice and comments during the preparation of the book.
For the third edition: Penny Anderson, Bobby Cheng, Mike Croucher, Massim-iliano Fasi, Heather Gorr, Stefan G¨uttel, Nick Hale, Richard Lang, Jasmina Lazic, Steve Lord, Jos Martin, Umberto Noe, Sarah Palfreyman, Sam Relton, Ben Tordoff.
For the second edition: Penny Anderson, Paolo Bientinesi, David Carlisle, Jacek Kierzenka, Cleve Moler, Jorge Mor´e, Jim Nagy, Larry Shampine.
For the first edition: Penny Anderson, Christian Beardah, Tom Bryan, Brian Duffy, Cleve Moler, Damian Packer, Harikrishna Patel, Larry Shampine, Fran¸coise Tisseur, Nick Trefethen, Jack Williams.
It has been a pleasure working with Elizabeth Greenspan, Gina Rinelli Harris, David Riegelhaupt, and Lois Sellers (SIAM), and Sam Clark (T&T Productions Ltd, London), for the third edition; Beth Gallagher, Sara Murphy, Linda Thiel, and Kelly Thomas for the second edition; and Beth Gallagher, Vickie Kearn, Michelle Montgomery, Deborah Poulson, Lois Sellers, Kelly Thomas, and Marianne Will for the first edition.
Component 11:
Configuring Electronic
Health Records
Instructor Manual
Version 3.0/Spring 2012
Notes to Instructors
This Instructor Manual is a resource for instructors using this component. Each component is broken down into units, which include the following elements:
* Learning objectives
* Suggested student readings, texts, reference links to supplement the narrated PowerPoint slides
* Lectures (voiceover PowerPoint in Flash format); PowerPoint slides (Microsoft PowerPoint format), lecture transcripts (Microsoft Word format); and audio files (MP3 format) for each lecture
* Self-assessment questions reflecting Unit Objectives with answer keys and/or expected outcomes
* Application Activities (e.g., discussion questions, assignments, projects) with instructor guidelines, answer keys and/or expected outcomes
Health IT Workforce Curriculum Configuring Electronic 2
Health Records
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This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Contents
Disclaimer 7
Component 11/Unit 1 8
Component 11/Unit 2 11
Component 11/Unit 3 13
Component 11/Unit 4 16
Component 11/Unit 5 18
Component 11/Unit 6 20
Component 11/Unit 7 22
Component 11/Unit 8 26
Component Glossary 28
Creative Commons Attribution-NonCommercial-ShareAlike 3.0 Unported 30
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Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Component Overview
This component provides a practical experience with a laboratory component (utilizing the VistA for Education program) that will address approaches to assessing, selecting, and configuring EHRs to meet the specific needs of customers and end-users.
Component Objectives
At the completion of this component, the student will be able to:
1. Describe the process of migration to an electronic health record (EHR) from the perspectives of organizational strategy, planning, analysis of EHR options, decision-making techniques, training, and implementation strategies.
2. Discuss the migration path from a paper to an electronic health record with an emphasis on organizational strategy to implementation, including meaningful use criteria.
3. Discuss the importance and use of clinical decision support systems for clinical and administrative use.
4. Given an EHR system, configure the system to achieve features required for meaningful use. The course includes VistA simulation EHR environment lab exercises for:
a. Patient care clinical workflow
b. Implementing clinical decision support
c. Building order sets
d. Utilizing data entry templates
e. Health summary and clinical reminder reports
5. Understand clinical workflows from multiple clinician perspectives, and in different clinical settings.
6. Understand concepts of privacy and security as applied to the EHR, including regulatory frameworks, risk management, authentication and authorization, user passwords, and physical security of systems.
7. Describe security issues with mobile and medical devices, and elements of disaster preparedness and disaster recovery.
8. Discuss the migration path from a paper to an electronic health record with an emphasis on organizational strategy to implementation, including meaningful use criteria.
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This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Component Authors
Assigned Institution
Oregon Health & Science University
Portland, OR
Team Lead
Vishnu Mohan, MD
Oregon Health & Science University
Primary Contributing Authors
Justin Fletcher, PhD
Oregon Health & Science University
Bill Hersh, MD
Oregon Health & Science University
Vishnu Mohan, MD
Oregon Health & Science University
Larry Scott, MA
Lane Community College
Lecture Narration
Voiceover Talent
Connie Bowman
http://www.conniebowman.com
Sound Engineer
Mike Collins, Glenwood Sound Baltimore, MD / Washington, DC http://www.glenwoodsound.com
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Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Team Members
Shelby Acteson, MEd
Instructional Specialist
Oregon Health & Science University
Corkey Devlin, BFA, PMP
Project Manager
Oregon Health & Science University
William Hersh, MD
Principal Investigator
Professor and Chair of the Department of Medical Informatics
Oregon Health & Science University
Nathan Skidmore, BA
Instructional Design Assistant
Oregon Health & Science University
Chris Weldon, BS
Web Specialist
Oregon Health & Science University
Health IT Workforce Curriculum Configuring Electronic 6
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Disclaimer
These materials were prepared under the sponsorship of an agency of the United States Government. Neither the United States Government nor any agency thereof, nor any of their employees, makes any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed, or represents that its use would not infringe privately owned rights. Reference herein to any specific commercial product, process, or service by trade name, trademark, manufacturer, or otherwise does not necessarily constitute or imply its endorsement, recommendation, or favoring by the United States Government or any agency thereof. The views and opinions of authors expressed herein do not necessarily state or reflect those of the United States Government or any agency thereof.
Likewise, the above also applies to the Curriculum Development Centers (including Columbia University, Duke University, Johns Hopkins University, Oregon Health & Science University, University of Alabama at Birmingham, and their affiliated entities).
The information contained in the Health IT Workforce Curriculum materials is intended to be accessible to all. To help make this possible, the materials are provided in a variety of file formats. Some people may not find the Flash video and.SWF files accessible and should instead utilize the PowerPoint slides together with the .mp3 audio file and/or Word transcript to access the lectures. For more information, please visit the website of the National Training and Dissemination Center at http://www.onc-ntdc.org or http://www.onc-ntdc.info to set up a profile and view the full accessibility statement.
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Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Component 11/Unit 1
Unit Title
Migration to an Electronic Health Record System
Unit Description
This Unit focuses upon the process of migrating to an Electronic Health Record System,
and the Electronic Health Record life cycle.
Unit Objectives
By the end of this unit the student will be able to:
1. Describe the process of initial planning, including identification of stakeholders, champions, management and implementation teams, and determining appropriate members for a steering committee (Lecture a)
2. Develop a timeline for choosing and implementing an electronic health record, including defining the scope of implementation, budget estimates, and additional critical steps to build a basic strategic plan for implementation (Lecture a, b)
3. Develop functional requirements, including a workflow analysis and a gap analysis, and recognizing when to bring in expertise (Lecture a)
4. Develop and applying criteria for selecting an appropriate vendor for the electronic health record including (Lecture b):
5. Generate an RFI/RFP
6. Select an appropriate system, including utilizing an appropriate ranking model
7. Generate interface requirements
8. Compare and contrast EHR solutions (e.g. locally hosted versus cloud solutions)
9. Negotiate a contract (Lecture b)
10. Develop a training plan (Lecture b)
Unit Topics / Lectures
1. Initial planning and project development
2. Developing functional requirements
3. Developing and applying criteria for selecting an appropriate vendor for the electronic health record
Unit References
Lecture 1a
1. Adler, Kenneth. How to successfully navigate your EHR implementation. Family Practice Management, 2007 Feb; 14 (2): 33-39.
2. American College of Cardiology – EHR Optimal Functional Requirements,
Health IT Workforce Curriculum Configuring Electronic 8
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
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authored by ACCs Health IT Committee. Accessed at http://www.cardiosource.org/Advocacy/Issues/Health-Information-Technology/ACC-Policies-and-Activities/EHR-Optimal-Functional-Requirements.aspx .
3. Drazen EL. How To Use Consultants Effectively. Chapter in Carter JH. Electronic Health Records, American College of Physicians; 2nd edition (2008).
4. Dykes P, McGibbon M, Judge D, Poon E. Workflow Analysis in Primary Care: Implications for EHR Adoption. AMIA Annu Symp Proc. 2005; 2005: 944.
5. Example of a workflow assessment checklist from the Arkansas Foundation for Medical Care at http://jeny.ipro.org/attachment.php?s=b0aa327b810e776f0e42cfc3cf7ff797&attac hmentid=1336&d=1146666624 accessed on 12/10/2011.
6. HRSA- Developing EHRs: How can stakeholder involvement be encouraged, and what can motivate pediatricians to adopt and use EHRs? Accessed at http://www.hrsa.gov/healthit/toolbox/Childrenstoolbox/DevelopingPediatricEHRs/ whatcanmotivitatepedittoadoptehrs.html on 12/10/2011.
7. McClendon, Kelly. “Purchasing Strategies for EHR Systems.” Journal of AHIMA 77, no. 5 (May 2006): 64A–D
8. McGowan J, Cusack CM, Poon EG. Formative Evaluation: A Critical Component in EHR Implementation. J Am Med Inform Assoc2008;15:297-301.
Lecture 1b
1. Abdelhak, A, Grostick, S, Hanken, M, Jacobs, E. Health Information: Management of a Strategic Resource, 4th Edition: Saunders.
2. Adler KG. How to select an electronic health record system. Fam Pract Manag. 2005 Feb;12(2):55-62.
3. Amatayakul, Margret K. Electronic Health Records: A Practical Guide for Professionals and Organizations. 4th Edition. AHIMA.
4. Johns, M. PhD, RHIA. Health Information Management Technology: An Applied Approach 2nd edition AHIMA Press 2007.
5. Lorenzi, N, Kouroubali, A, Detmer, D, Bloomrosen, M. How to successfully select and implement electronic health records (EHR) in small ambulatory settings. BMC Medical Informatics and Decision Making, published on line 2009, v 9, 15.
6. Lowes R. EMR Success: Training is the Key. Med Econ 2004 May 7Z;81(9):TCP11-4.
7. The RFP Process for EHR Systems. Journal of AHIMA 78, no. 6 (June 2007): 73-76. Updated version at http://library.ahima.org/xpedio/groups/public/documents/ahima/bok1047961.hcs p?dDocName=bok1047961 accessed on 12/11/2011.
Student Application Activities
comp11_unit1_activity.doc
comp11_unit1_activity_key.doc
comp11_unit1_self_assess.doc
Health IT Workforce Curriculum Configuring Electronic 9
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
comp11_unit1_self_assess_key.doc
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Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
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Component 11/Unit 2
Unit Title
Patient Care Clinical Workflow; Multiple Perspectives of Patient Care (VistA
Demo)
Unit Description
This unit introduces the student to patient care clinical workflows from multiple perspectives. A brief lecture introduces the concept of workflows and their relevance to EHR implementation. The lab exercises in this unit focus on the patient and demonstrate the use of EHRs through the workflows of clinicians and ancillary care providers in the outpatient, inpatient, and emergency department settings. The lecture in this unit compares workflows from a paper and EHR perspective. The focus in this unit is on change management.
Unit Objectives
By the end of this unit the student will be able to:
1. Register a patient in a VistA simulation EHR environment. (Lab Exercise 1)
2. Enter vitals and chief complaint as a Medical Assistant in a VistA simulation EHR environment. (Lab Exercise 1)
3. Enter a progress note as a Physician in a VistA simulation EHR environment. (Lab Exercise 3)
4. Enter nursing notes and implement physician orders as a Registered
Nurse in a VistA simulation EHR environment. (Lab Exercise 2)
5. Understand the importance of clinical workflows in the functioning of EHRs. (Lecture, Lab Exercise 1,2, 3)
Unit Topics/Lectures
1. Define clinical workflows and discuss how implementing EHR affects workflows with examples
2. Demonstrate EHR use from multiple clinician perspectives, with an emphasis on clinical workflows
Unit References
Lecture
1. Aarts J, Ash J, Berg M. Extending the understanding of computerized physician order entry: implications for professional collaboration, workflow and quality of care. Int J Med Inform. 2007 Jun;76 Suppl 1:S4-13. Epub 2006 Jun 23.
2. Damiani G, Pinnarelli L, Colosimo SC, Almiento R, Sicuro L, Galasso R,
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Sommella L, Ricciardi W. The effectiveness of computerized clinical guidelines in
the process of care: a systematic review. BMC Health Serv Res. 2010 Jan 4;10:2. Review.
3. Gooch P, Roudasri A. Computerization of workflows, guidelines, and care pathways: a review of implementation challenges for process-oriented health information systems J Am Med Inform Assoc 2011;18:738-748
4. Niazkhani Z, Pirnejad H, Berg M, Aarts J. Review Paper: The Impact of Computerized Provider Order Entry Systems on Inpatient Clinical Workflow: A Literature Review. J Am Med Inform Assoc 2009;16:539-549
5. Wetterneck TB, Lapin JA, Krueger DJ, Holman GT Beasley JW, Karsh B-T. Development of a primary care physician task list to evaluate clinic visit workflow BMJQS 2012;21:47-53
6. Zheng K, Haftel HL, Hirschl RB, O’Reilly M, Hanauer DA. Quantifying the impact of health IT implementations on clinical workflow: a new methodological perspective J Am Med Inform Assoc 2010;17:454-461
Tables, Charts and Figures
3.1 Figure: Cheng CH, Goldstein MK, Geller E, Levitt RE. The Effects of CPOE on ICU
workflow: an observational study. AMIA Annu Symp Proc. 2003:150-4.
Student Application Activities
comp11_unit2_lab_exercise1.doc
comp11_unit2_lab_exercise2.doc
comp11_unit2_lab_exercise3.doc
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Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Component 11/Unit 3
Unit Title
Implementing Clinical Decision Support (VistA Demo)
Unit Description:
This unit discusses implementing clinical decision support, which broadly refers to providing clinicians or patients with computer-generated clinical knowledge and patient related information, intelligently filtered and presented at appropriate times, to enhance patient care. A short lecture is followed by a series of hands-on lab exercises through which students will learn how to configure and use three tools for decision support implemented in the EHR: Alerts or Notifications, Order Checks and Clinical Reminders.
Unit Objectives
By the end of this unit the student will be able to:
1. Define and discuss clinical decision support (Lecture)
2. Describe, view and create Alerts/Notifications in a VistA simulation EHR environment (Lecture, Lab Exercise 1)
3. Describe, view and create Order Checks in a VistA simulation EHR environment (Lecture, Lab Exercise 2)
4. Describe, view and resolve Reminders in a VistA simulation EHR environment (Lecture, Lab Exercise 3)
5. Discuss the value of these EHR functions as clinical decision support tools (Lecture)
Unit Topics/Lectures
1. Alerts/Notifications
2. Order Checks
3. Clinical Reminders
4. Use of these elements as Reminders as clinical decision support tools
Unit References
Lecture
1. Amatayakul MK. Electronic health records: A practical guide for professionals and organizations. 4th ed. Chicago IL: AHIMA; 2009.
2. Barnett G., Winickoff R, Dorsey J, Morgan M, Lurie R. (1978). Quality assurance through automated monitoring and concurrent feedback using a computer-based medical information system. Med Care. 1978:16:962-970.
3. Bates D, Evans R, Murfe H, Stetson P, Pizziferri L, Hripcsak G. Detecting adverse events using information technology. J Am Med Inform Assoc. 2003:10:115-128.
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4. Berner E. (2009). Clinical decision support systems: State of the art [internet]. Rockville, MD: Agency for Healthcare Research and Quality; 2009 [cited 2011]. Available from: http://healthit.ahrq.gov/portal/server.pt/gateway/PTARGS0124887402400 18/09-0069-EF.pdf
5. Berwick D. Errors today and errors tomorrow. N Engl J Med. 2003:348:25702572.
6. Bobb A, Payne T, Gross P. Viewpoint: controversies surrounding use of order sets for clinical decision support in computerized provider order entry. J Am Med Inform Assoc. 2007:14:41-47.
7. Cao H, Stetson P, Hripcsak G. Assessing explicit error reporting in the narrative electronic medical record using keyword searching. J Biomed Inform. 2003:36: 99-105.
8. Carter JH. Electronic health records: A guide for clinicians and administrators. 2nd ed. Philadelphia: ACP Press: 2008.
9. Chantler S. The role and education of doctors in the delivery of health care. Lancet. 1999:353:1178-118.
10. Eichenwald Maki S, Petterson B. Using the electronic health record. Canada: Delmar Cengage Learning; 2008.
11. Garg A, Adhikari N, McDonald H, Rosas-Arellano M, Devereaux P., Beyene J, et al. (2005). Effects of computerized clinical decision support systems on practitioner performance and patient outcomes: a systematic review. J Am Med Assoc. 2005:293:1223-1238.
12. Graber M. Diagnostic errors in medicine: what do doctors and umpires have in common? [internet]. AHRQ WebM&M; 2007 [cited 2011]. Available from: http://webmm.silverchair.com/perspective.aspx?perspectiveID=36
13. Greenes R. editor. Clinical decision support - The road ahead. Amsterdam, Holland: Elsevier: 2007.
14. Hebda T, Czar P. Handbook of informatics for nurses & healthcare professionals. 4th ed. New Jersey: Pearson: 2009.
15. Kohn L, Corrigan J, Donaldson M. editors. To Err Is human: Building a safer health system. Washington, DC: National Academies Press; 2000.
16. Lehman HP, Abbot PA, Roderer NK, Rothschild A, Mandell SF, Ferrer JA, et al, editors. Aspects of electronic health record systems. U.SA: Springer; 2006
17. Liang L. Connected for Health - Using electronic health records to transform care delivery. San Francisco, CA: Jossey-Bass; 2010.
18. McGlynn E, Asch S, Adams J, Keesey J, Hicks J, DeCristofaro A, Kerr E. The quality of health care delivered to adults in the United States. N Engl J Med. 2003:348: 2635-2645.
19. Melton G, Hripcsak G. Automated detection of adverse events using natural language processing of discharge summaries. J Am Med Inform Assoc. 2005:12:448-457.
20. Miller R, Masarie F. The demise of the "Greek Oracle" model for medical diagnostic systems. Meth Inform Med. 1990:29:1-2.
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21. Mullins J. (2005, April 23, 2005). Whatever happened to machines that think? New Scientist [internet]. 2005 Apr: 2496 [cited 2011]. Available from: http://www.newscientist.com/channel/info-tech/mg18624961.700.
22. National Committee for Quality Assurance. The state of health care quality: 2010. Washington, DC. Available from: http://www.ncqa.org/tabid/836/Default.aspx
23.Osheroff J. editor. Improving medication use and outcomes with clinical decision support. Chicago, IL: Healthcare Information Management Systems Society; 2005.
24.Osheroff J, Teich J, Middleton B, Steen E, Wright A, Detmer D. A roadmap for national action on clinical decision support. [internet] Bethesda, MD: American Medical Informatics Association; 2006. [cited 2011]. Available from: http://www.amia.org/inside/initiatives/cds/cdsroadmap.pdf
25.Osheroff J, Teich J, Middleton B, Steen, E, Wright A, Detmer D. (2007). A roadmap for national action on clinical decision support. J Am Med Inform Assoc. 2007:14:141-145.
26. Payne T, Hoey P, Nichol P, Lovis C. (2003). Preparation and use of pre-constructed orders, order sets, and order menus in a computerized provider order entry system. J Am Med Inform Assoc. 2003:10:322-329.
27. Schoen C, Osborn R, How S, Doty M, Peugh J. (2009). In chronic condition: experiences of patients with complex health care needs, in eight countries. 2008. Health Affairs [internet]. 2008 [cited 2009]; 28:w1-w16. Available from: http://content.healthaffairs.org/cgi/content/full/28/1/w1
28. Sittig DF, Wright A, Osheroff JA, Middleton B, Teich JM, Ash JS, et al. Grand challenges in clinical decision support. J Biomed Inform. 2008; 41: 387–392. Available from: http://www.ptsafetyresearch.org/journal%20articles/Original%20273.pdf.
Student Application Activities
comp11_unit3_lab_exercise1.doc
comp11_unit3_lab_exercise2.doc
comp11_unit3_lab_exercise3.doc
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Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Component 11/Unit 4
Unit Title
Building Order Sets (VistA Demo)
Unit Description
This unit identifies the value of order sets as a quality control/quality improvement mechanism and an efficiency tool in clinical settings. Typically, order sets are created by clinicians with expertise in treatment plans. Through a series of lab exercises, students will learn how to take those treatment plans and implement them into specific order sets within the VistA simulation EHR system.
Unit Objectives
By the end of this unit the student will be able to:
1. Define and describe an order set (Lecture)
2. Describe the benefits and costs associated with order sets (Lecture)
3. Demonstrate the ability to build a variety of order sets in the VistA simulation EHR environment (Lab Exercises 1-3)
Unit Topics/Lectures
1. Building order sets
2. Creating and customizing order (menu) screens
3. Creating laboratory quick orders
4. Creating medication quick orders
5. Combining quick orders in an order set
Unit References
Lecture
1. Amatayakul MK. Electronic health records: A practical guide for professionals and organizations. 4th ed. Chicago IL: AHIMA; 2009.
2. Ash, Joan S., Stavri, P Zoë, Kuperman, Gilad J. The Practice of Informatics: Synthesis of Research Paper: A Consensus Statement on Considerations for a Successful CPOE Implementation. J Am Med Inform Assoc 2003; 10:229-234 doi:10.1197/jamia.M1204
3. Bobb, Anne M., Payne, Thomas H., Gross, Peter A . Focus on Computerized Provider Order Entry (CPOE): Viewpoint Paper: Viewpoint: Controversies Surrounding Use of Order Sets for Clinical Decision Support in Computerized Provider Order Entry. J Am Med Inform Assoc 2007;14:41-47 doi:10.1197/jamia.M2184.
4. Carter JH. Electronic health records: A guide for clinicians and administrators. 2nd ed. Philadelphia: ACP Press; 2008.
5. Eichenwald Maki S, Petterson B. Using the electronic health record. Canada:
Health IT Workforce Curriculum Configuring Electronic 16
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Delmar Cengage Learning; 2008.
6. Hebda T, Czar P. Handbook of informatics for nurses & healthcare professionals. 4th ed. New Jersey: Pearson; 2009.
7. Lehman HP, Abbot PA, Roderer NK, Rothschild A, Mandell SF, Ferrer JA, et al, editors. Aspects of electronic health record systems. U.SA: Springer; 2006.
8. McClay JC, Campbell JR, Parker C, Hrabak K, Tu SW, Abarbanel R./AMIA. Structuring order sets for interoperable distribution [article on the internet]. C2006 [cited July 21, 2010]. Available from: http://www.ncbi.nlm.nih.gov/pmc/articles/PMC1839584/.
9. Sheff R./ HCPro. Medical informatics: order sets are a medical staff leader’s best friend [Homepage on the internet] [updated 2009 July 22; cited 2010 July 21] Available from: http://www.hcpro.com/MSL-236318-871/Medical-Informatics-Order-sets-are-a- medical-staff-leaders-best-friend.html.
Student Application Activities comp11_unit4_lab_exercise1.doc comp11_unit4_lab_exercise2.doc comp11_unit4_lab_exercise3.doc comp11_unit4_lab_exercise4.doc
Health IT Workforce Curriculum Configuring Electronic 17
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Component 11/Unit 5
Unit Title
Creating Data Entry Templates (VistA Demo)
Unit Description
Templates are important tools in the collection of data manually entered into Electronic Health Record systems. When implemented appropriately, they can help to standardize the data entered into the system, provide controls that ensure the quality of the data captured, and provide data capture efficiencies through effective design and use. This unit provides a brief lecture followed by lab exercises that will provide the student with practical experience creating and using data entry templates
Unit Objectives
By the end of this unit the student will be able to:
1. Access and use the template editor (Lab Exercise 1)
2. Effectively use the different field controls to promote data quality and efficiency of data entry (Lecture, Lab Exercise 1)
3. Design, create and view Personal and Shared Templates for data entry (Lab Exercise 2 & 3)
4. Describe how the effective use of data entry templates supports quality care, patient safety and efficiency (Lecture)
Unit Topics/Lectures
1. Appropriate use and benefits of data entry templates
2. Document templates
3. Shared templates
4. Personal templates
Unit References
Lecture
1. AHIMA. Quality data and documentation for EHRs in physician practice. J Am Health Inform Assoc. 2008 Aug; 79 (8): 43-48. Available at: http://library.ahima.org/xpedio/groups/public/documents/ahima/bok1039546.hcs p?dDocName=bok1039546
2. Amatayakul MK. Electronic health records: A practical guide for professionals and organizations 4th ed. Chicago IL: AHIMA; 2009.
3. Carter JH. Electronic health records: A guide for clinicians and administrators. 2nd ed. Philadelphia: ACP Press; 2008.
4. Eichenwald Maki S, Petterson B. Using the electronic health record. Canada: Delmar Cengage Learning; 2008.
5. Hebda T, Czar P. Handbook of informatics for nurses & healthcare
Health IT Workforce Curriculum Configuring Electronic 18
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
professionals. 4th ed. New Jersey: Pearson; 2009.
6. Lehman HP, Abbot PA, Roderer NK, Rothschild A, Mandell SF, Ferrer JA, et al,
editors. Aspects of electronic health record systems. U.S.A: Springer; 2006
Student Application Activities
comp11_unit5_lab_exercise1.doc
comp11_unit5_lab_exercise2.doc
comp11_unit5_lab_exercise3.doc
Health IT Workforce Curriculum Configuring Electronic 19
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Component 11/Unit 6
Unit Title
Health Summary and Clinical Reminder Reports (VistA Demo)
Description
The ability to quickly retrieve information from the EHR is a key function. Two reporting tools commonly implemented in EHR systems to support information retrieval are [1] the ability to generate standard reports that provide widely used information and [2] the ability to quickly create ad hoc reports to access information to meet more specific needs. In this unit, the student will learn the attributes of quality information and engage in lab exercises creating Health Summary and Clinical Reminder reports - two basic types reports found in the EHR.
Objectives
By the end of this unit the student will be able to:
1. Design, view and create Health Summary reports in the VistA simulation EHR environment. (Lecture & Lab Exercise 1)
2. Design, view and create Clinical Reminder reports in the VistA simulation EHR environment. (Lecture & Lab Exercise 2)
3. Design, view and create ad hoc reports. (Lecture & Lab Exercise 1)
4. Describe how quality reporting functions in an EHR supports quality care, patient safety and efficiency. (Lecture)
5. Define the attributes of quality information. (Lecture)
Topics/Lectures
1. Ad hoc health summary reports
2. User-customized health summary reports
3. Clinical reminder reports
4. Attributes of quality information
5. Benefits of quality reporting from an EHR
Unit References
Lecture
1. Amatayakul MK. Electronic health records: A practical guide for professionals and organizations. 4th ed. Chicago IL: AHIMA; 2009.
2. Calabrisi RR, Czarnecki T, Blank C. The impact of clinical reminders and alerts on health screenings: the VA Pittsburgh Healthcare System achieves notable results by enhancing an automated clinical reminder system within its CPR and has the data to prove it - Clinical Information Systems. Health ManagTech. 2002 Dec; [cited 2010 Aug 1]. Available from: http://findarticles.com/p/articles/mim0DUD/is1223/ai95913343/.
Health IT Workforce Curriculum Configuring Electronic 20
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
3. Carter JH. Electronic health records: A guide for clinicians and administrators. 2nd ed. Philadelphia: ACP Press; 2008.
4. Eichenwald Maki S, Petterson B. Using the electronic health record. Canada: Delmar Cengage Learning; 2008.
5. Hebda T, Czar P. Handbook of informatics for nurses & healthcare professionals. 4th ed. New Jersey: Pearson; 2009.
6. Lehman HP, Abbot PA, Roderer NK, Rothschild A, Mandell SF, Ferrer JA, et al, editors. Aspects of electronic health record systems. U.SA: Springer; 2006.
7. Pipino LL, Lee YW, Wang RY. Data quality assessment. Communications of the ACM [internet]. 2002 Apr [cited 2011 Nov 11]; Vol. 45, No. 4ve: pp 211-214. Available from: http://web.mit.edu/tdqm/www/tdqmpub/PipinoLeeWangCACMApr02.pdf.
Student Application Activities
comp11_unit6_lab_exercise1.doc
comp11_unit6_lab_exercise2.doc
Health IT Workforce Curriculum Configuring Electronic 21
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Component 11/Unit 7
Unit Title
Privacy and Security in the US
Unit Description
This unit introduces the basic concepts of privacy and security and the surrounding regulatory requirements for health information. In addition, the concepts of risk management, authentication methods and malware will be introduced, as well as issues of physical and secondary device security.
Unit Objectives
By the end of this unit the student will be able to:
1. Compare and contrast the concepts of privacy and security (Lecture a)
2. List the regulatory frameworks for an EHR (Lecture b, c)
3. Describe the concepts and requirements for risk management (Lecture d)
4. Describe authentication, authorization and accounting (Lecture d)
5. Describe passwords and multi-factor authentication and their associated issues (Lecture d)
6. Describe issues with portable devices (Lecture d)
7. Describe elements of disaster preparedness and disaster recovery (Lecture e)
8. Describe issues of physical security (Lecture e)
9. Describe malware concepts (Lecture f)
Unit Topics/Lectures
1. Privacy and security concepts
2. Regulatory requirements for health information
3. Risk management
4. Authentication, authorization and accounting
5. Portable devices
6. Physical security
7. Malware
Unit References
Lecture 7a
1. Dimick, C. (2010, August 9, 2010). Californian Sentenced to Prison for HIPAA Violation. Retrieved Jan 2012 from http://journal.ahima.org/2010/04/29/californian-sentenced-to-prison-for-hipaa-violation .
Lecture 7b
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Health Records
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This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
1. American Recovery and Reinvestment Act of 2009, Public Law 111-5, 123 Stat. 115 (2009).
2. Health Information Technology for Economic and Clinical Health Act, Title XIII of Public Law 111-5, 123 Stat. 115 (2009).
3. Health Insurance Portability and Accountability Act of 1996, Public Law 104–191, 110 Stat. 1936 (1996).
4. US Department of Health & Human Services. (2008). The Privacy Rule, from http://www.hhs.gov/ocr/privacy/hipaa/administrative/privacyrule/index.html
5. US Department of Health & Human Services. (2009). The Security Rule, from http://www.hhs.gov/ocr/privacy/hipaa/administrative/securityrule/index.html
6. US Government Printing Office (2011-2015). Strategic Plan; Mission. Retrieved Jan 2012 from http://www.gpo.gov/about/strategicplan.htm
Lecture 7c
1. Health Information Technology for Economic and Clinical Health Act, Title XIII of Public Law 111-5, 123 Stat. 115 (2009).
2. Health Insurance Portability and Accountability Act of 1996, Public Law 104–191, 110 Stat. 1936 (1996).
3. The Office of the National Coordinator for Health Information Technology. (2010). Summary of Selected Federal Laws and Regulations Addressing Confidentiality, Privacy and Security. Retrieved from http://healthit.hhs.gov/portal/server.pt/gateway/PTARGS01111391105900 18/Federal%20Privacy%20Laws%20Table%202%2026%2010%20Final.pdf
4. U.S. Department of Health & Human Services. (2011). Breaches Affecting 500 or More Individuals, from http://www.hhs.gov/ocr/privacy/hipaa/administrative/breachnotificationrule/breach tool.html
5. White, J., Daniel, J., & Posnack, S. (2009). Privacy and Security Solutions for Interoperable Health Information Exchange: Report on State Law Requirements for Patient Permission to Disclose Health Information, from http://healthit.hhs.gov/portal/server.pt?open=18&objID=910326&parentname=Co mmunityPage&parentid=6&mode=2&inhiuserid=11113&cached=true
Lecture 7c Charts, Tables, Figures
4.1 Table: Sample breaches
4.2 Table: Examples of laws and regulations
Lecture 7d
1. Dropbox Inc. (2011). Dropbox. San Francisco, CA.
2. Fernando, J. (2010). Jabberwocky: The Nonsense of Clinician eHealth Security. International Journal of Digital Society, 1(3).
3. Kroll Fraud Solutions. (2008). 2008 HIMSS Analytics Report: Security of Patient Data.
4. Office of the Federal Register. (2010). Federal Register, from
Health IT Workforce Curriculum Configuring Electronic 23
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
http://www.gpo.gov/fdsys/pkg/FR-2010-07-14/pdf/FR-2010-07-14.pdf
5. Shay, R., Komanduri, S., Kelley, P. G., Leon, P. G., Mazurek, M. L., Bauer, L., et al. (2010). Encountering Stronger Password Requirements: User Attitudes and Behaviors. Paper presented at the Symposium on Usable Privacy and Security (SOUPS), Redmond, WA.
6. Stoneburner, G., Goguen, A., & Feringa, A. (2010). Risk Management Guide for Information Technology Systems. Retrieved Jan 2012 from http://csrc.nist.gov/publications/nistpubs/800-30/sp800-30.pdf
7. U.S. Government Printing Office. Code of Federal Regulations. Retrieved Jan 2012 from http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR.
Lecture 7d Images
4.3 Chart: Stoneburner, G., Goguen, A., & Feringa, A. (2010). Risk Assessment Methodology Flowchart from Risk Management Guide for Information Technology Systems (pp. 9). Gaithersburg, MD: National Institute of Standards and Technology. Retrieved Jan 2012 from http://upload.wikimedia.org/wikipedia/commons/5/5a/NISTSP800-30Figure3-1.png (PD-US).
4.4 Chart: Stoneburner, G., Goguen, A., & Feringa, A. (2010). Risk Assessment Methodology Flowchart from Risk Management Guide for Information Technology Systems (pp. 9). Gaithersburg, MD: National Institute of Standards and Technology. Retrieved Jan 2012 from http://upload.wikimedia.org/wikipedia/commons/5/5a/NISTSP800-30Figure3-1.png (PD-US).
Lecture 7e
1. Cupertino Office of Emergency Services. (2009). Santa Clara County Communications Outage, from http://www.cupertinoares.org/arc/activations/ATT-Comm-Outage-UER.pdf
2. Department of Homeland Security. (2011). FEMA's Progress in Implementing the Remedial Action Management Program, from http://www.oig.dhs.gov/assets%5CMgmt%5COIG11-32Jan11.pdf
3. Desman, M. B. (2003). The Ten Commandments of Information Security Awareness Training. Information Systems Security, 11(6), 39-44.
4. Hoover, J. N. (2011). FEMA Loses Lessons Learned Data, from http://www.informationweek.com/news/government/enterprise-apps/229209496#
5. National Institute of Standards and Technology. (1995). An Introduction to Computer Security: The NIST Handbook, from http://csrc.nist.gov/publications/nistpubs/800-12/handbook.pdf
6. Scarfone, K., Grance, T., & Masone, K. (2008). Computer Security Incident Handling Guide, from http://csrc.nist.gov/publications/nistpubs/800-61-rev1/SP800-61rev1.pdf
7. Stoneburner, G., Goguen, A., & Feringa, A. (2010b). Risk Management Guide for
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Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Information Technology Systems, from
http://csrc.nist.gov/publications/nistpubs/800-30/sp800-30.pdf
8. U.S. Government Printing Office. Code of Federal Regulations, from http://www.gpo.gov/fdsys/browse/collectionCfr.action?collectionCode=CFR Lecture 7f
1. Christey, S. (2011). 2011 CWE/SANS Top 25 Most Dangerous Software Errors, from http://cwe.mitre.org/top25
2. U.S. Computer Emergency Readiness Team. (2005). Malware Threats and Mitigation Strategies, from http://www.us-cert.gov/readingroom/malware-threats-mitigation.pdf
Student Application Activities
comp11_unit7_discuss.doc
comp11_unit7_discuss_key.doc
comp11_unit7_self-assess.doc
comp11_unit7_self-assess_key.doc
Health IT Workforce Curriculum Configuring Electronic 25
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Component 11/Unit 8
Unit Title
Meaningful Use and Implementation
Description
This unit describes the meaningful use program of the Health Information Technology for Economic and Clinical Health (HITECH) Act of the American Recovery and Reinvestment Act (ARRA) from the vantage point of the VistA simulation electronic health record (EHR). It discusses eligibility for meaningful use incentive payments and the criteria for achieving those payments in Stage 1 of the program. It shows examples of some of the criteria from within screens of the VistA simulation EHR environment.
Objectives
By the end of this unit the student will be able to:
1. Describe meaningful use (MU) of health information technology in the context of the Health Information Technology for Economic and Clinical Health (HITECH) Act (Lecture a)
2. Define the criteria for Stage 1 of meaningful use for eligible professionals and eligible hospitals (Lecture a)
3. Demonstrate examples of meaningful use using the VistA Electronic Health Record (EHR) (Lecture b)
Topics/Lectures
1. Requirements for meaningful use
2. Implementation of meaningful use
3. Core and menu criteria for Stage 1 of meaningful use for eligible professionals and eligible hospitals
4. Examples of meaningful use using the VistA simulation EHR environment
Unit References
Lecture 8a
1. Anonymous. (2010). Medicare and Medicaid Programs; Electronic Health Record Incentive Program; Final Rule. Washington, DC: Federal Register Retrieved from http://edocket.access.gpo.gov/2010/pdf/2010-17207.pdf.
2. Anonymous. (2010). Health Information Technology: Initial Set of Standards, Implementation Specifications, and Certification Criteria for Electronic Health Record Technology; Final Rule. (E9-31216). Washington, DC: Federal Register Retrieved from http://edocket.access.gpo.gov/2010/pdf/2010-17210.pdf.
3. Blumenthal, D. (2010). Launching HITECH. New England Journal of Medicine, 362, 382-385.
4. Blumenthal, D., & Tavenner, M. (2010). The “meaningful use” regulation for
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Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
electronic health records. New England Journal of Medicine, 363, 501-504.
5. Drazen, E. (2011). Update on Stage 2: Current Direction and Timing of Meaningful Use Requirements. Waltham, MA: Computer Sciences Corp. Retrieved from http://www.csc.com/healthservices/insights/67921-updateonstage2currentdirectionandtimingofmeaningfuluserequirem ents
6. Trotter, F., & Uhlman, D. (2011). Getting to Meaningful Use and Beyond. Sebastopol, CA: O'Reilly Media.
Lecture 8a Charts, Tables, Figures
2.1 Figure: Overview: What is Meaningful Use?, Missouri Health Information Technology Assistance Center. Stage 1 rules set in 2010 (Blumenthal, 2010); Stage 2 rules likely to be announced in 2012 (Drazen, 2011). Retrieved from http://assistancecenter.missouri.edu/node/17. Accessed Jan 2012.
Lecture 8b Images
Slide 4: Screenshot showing the cover sheet view in Vista. (Hersh, 2011).
Slide 5: Screenshot showing the CPRS view in Vista. (Hersh, 2011).
Slide 6: Screenshot showing the events that occur when a particular selection is made
in the screen that was described previously in the clinical reminders list CPRS view
screenshot. (Hersh, 2011).
Slide 7: Screenshot of the Vista electronic record showing the view that a clinical
coordinator would see on CPRS, the Windows interface for the electronic health record.
(Hersh, 2011).
Slide 8: Screenshot showing the CPRS view of the template editor. (Hersh, 2011).
Slide 9: Screenshot of the CPRS window that pops up when a data entry template field
editor selection is made. (Hersh, 2011).
Slide 10: This screenshot shows the process of document creation from the back – end
review of our patient. (Hersh, 2011).
Slide 11: Screenshot of an order checks selection in CPRS view. (Hersh, 2011).
Slide 12: Screenshot describing the sequence of events when a specific order set is
selected when a reminder is fired by the system. (Hersh, 2011).
Slide 13: Screenshot of the Vista electronic record shows the view that a provider would
see on CPRS, the Windows interface for the electronic health record. (Hersh, 2011).
Student Application Activities
comp11_unit8_activity.doc
comp11_unit8_activity_key.doc
comp11_unit8_discuss.doc
comp11_unit8_discuss_key.doc
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Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
Component Glossary
ADEs - Adverse Drug Event
AI - Artificial Intelligence
AMIA - American Medical Informatics Association
AQA - Ambulatory Care Quality Alliance
ARRA - American Reinvestment and Recovery Act
ASTM - American Society for Testing and Materials
BATNA – Best Alternative to a Negotiated Agreement
BMI - Body Mass Index
CAC - Clinical Application Coordinator
CAH - Critical Access Hospital
CCD -Continuity of Care Document
CCHIT - Certification Commission for Health Information Technology
CCR - Continuity of Care Record
CDS - Clinical Decision Support
CEO -Chief Executive Officer
CIO - Chief Information Officer
CMIO - Chief Medical Information Officer
CMS - Centers for Medicare and Medicaid
CPOE - Computerized Provider order Entry
CPRS - Computerized Patient Record System
CR - Clinical Reminder
DSS - Decision Support System
DVD - Deep Vein Thrombosis
DXPlain - DXplain, a decision support system developed at the Laboratory of Computer
Science at the Massachusetts General Hospital
EH - Eligible Hospital
EHR - Electronic Health Record
EMR - Electronic Medical Record
EP - Eligible Providers
ES - Expert System
GUI - Graphical User Interface
HHS - Health and Human Services
HIE - Health Information Exchange
HIT - Health Information Technology
HITECH - Health Information Technology for Economic and Clinical Health (Act)
HQA - Hospital Quality Alliance
ICDCM - International Classification of Diseases Clinical Modifications
IEEE - Institute of Electrical and Electronics Engineers
IFR - Interim Final Rule
InfoGard Laboratories - independent, accredited IT security laboratory
IOM - Institute of Medicine
Health IT Workforce Curriculum Configuring Electronic 28
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
ISCA Labs - security industry's central anti-virus product testing and certification facility
LOINC - Logical Observation Identifiers Names and Codes
mEq/dl - milliequivalent deciliter
mg/dl - milligrams per decilitre
MIPPA - Medicare Improvement for Patients and Providers Act
MLMs - Medical Logic Modules
MYCIN - a decision support system developed by Stanford University in the early- to
mid-seventies, built to assist physicians in the diagnosis of infectious diseases
NCPDP - National Council for Prescription Drug Programs
NCQA - National Committee for Quality Assurance
NEJM - New England journal of Medicine
NEPSI - National ePrescribing Patient Safety Initiative
NHIN - National Health Information Network
NPRM - Notice of Proposed Rulemaking
NQF - National Quality Forum
OD - Organization Development
ONC – ATCB - Office of the National Coordinator Authorized Testing and Certification
Body
ONC - Office of the National Coordinator
ORCM - Online Remote Construction Management
PHR - Personal Health Record
PQRI - Physician Quality Reporting Initiative
QIO - Quality Improvement Organization
QMR - Quick Medical Reference
RFI - Request for Information
RFP - Request for Proposal
RHIO - Regional Health Information Organization
RHQDAPU - Reporting Hospital Quality Data for Annual Payment Update
RxNorm - RxNorm provides normalized names for clinical drugs and links its names to
many of the drug vocabularies commonly used in pharmacy management and drug
interaction software
SANDS (from Wright’s dissertation) no known spell out
SLI Global Solutions – an Electronic Health Records Testing and Certification company
that is an ONC-ATCB
SNOMED-CT - Systematized Nomenclature of Medicine--Clinical Terms
Surescripts – an e-prescription network
UNII - Unique Ingredient Identifiers
VA - Veterans Administration
XML - Extensible Markup Language
WIZorder - a computerized clinician order entry system continuously developed by
DBMI faculty working with Informatics Center Staff and trainees at Vanderbilt since
1994
Health IT Workforce Curriculum Configuring Electronic 29
Health Records
Version 3.0/Spring 2012
This material was developed by Oregon Health & Science University, funded by the Department of Health and Human Services,
Office of the National Coordinator for Health Information Technology under Award Number IU24OC000015.
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FAMILY GUIDE TO
EFFECTIVE FAMILY
COUNCILS
Prepared for:
The Legal Assistance Foundation
of Metropolitan Chicago
and the
Evanston Commission on Aging
By:
Robyn Grant, M.S.W., Consultant
Reprinted with permission by the
National Long-Term Care Ombudsman Resource Center
National Citizens' Coalition for Nursing Home Reform
www.ltcombudsman.org
202-332-2275
We greatly appreciate the willingness of the Legal Assistance Foundation of
Metropolitan Chicago to make this document available to the ombudsman network.
Additional copies may be ordered for $5 from LAFMC. (Kathy Swanson, c/o LAFMC,
111 W. Jackson Boulevard, 3rd floor, Chicago, IL 60604)
TABLE OF CONTENTS
Page
Introduction 4
Chapter 1: An Overview of Family Councils 5
Chapter 2: Starting a New Family Council
Phase 1: From the Decision to Start a
Council Through the First Council Meeting 8
Chapter 3: Starting a New Family Council .. 22
From the First Council Meeting to the
First Election
Chapter 4: Council Work 30
Chapter 5: Keys to Success: 43 Running Effective Meetings
Chapter 6: Keys to Success: 46
Techniques for Prioritizing, Gathering
Input, and Brainstorming at Meetings
Chapter 7: Keys to Success: 48 Promoting Participation in the Council
Chapter 8: Bumps in the Road 50
Chapter 9: Maintaining the Council 55
Chapter 10: Strengthening the Council 57
Chapter 11: Family Council Successes . 60
List of Appendices:
Appendix 1: Family Notice about Organizing a Council
Appendix 2: Family Notice about First Council Meeting
Appendix 3: Model for Shared Council Leadership
Appendix 4: Sample Mission Statements and By-Laws
2
Appendix 5: Facility Action Form
Appendix 6: Negotiation Techniques. Appendix 7: Sample Consent Form
Appendix 8: Sample Council Meeting Agenda Appendix 9: Sample Council Meeting Minutes Appendix 10: Sample Council Meeting Notice Appendix 11: Sample Council Welcome Letter Appendix 12: Council Evaluation Quiz Appendix 13: Resource List
FAMILY GUIDE TO EFFECTIVE FAMILY COUNCILS
3
NEVER DOUBT THAT A SMALL GROUP OF THOUGHTFUL COMMITTED CITIZENS CAN CHANGE THE WORLD; INDEED IT’S THE ONLY THING THAT EVER DOES.
Margaret Mead
INTRODUCTION
Far too often people think that there is nothing they can do to improve a situation or make a change. They say, “What can I do? I’m just one person.” Well, as the quote cited above illustrates, that one person can join with another, and then another. What one person may not be able to accomplish, a group can.
When people come together and speak with a united voice, positive change can happen. Not only can they achieve concrete results, they can experience the benefits of developing closer relationships with each other and a stronger sense of community.
A nursing home family council that is run by family members can be a powerful force for improvement in a nursing home. Many councils across the country have been able to increase the quality of life and well-being of their loved ones through their work.
This guide is designed to help families develop and maintain a strong, effective, family-run family council. It provides step-by-step guidance, as well as sample forms that can be used. But, councils - like people - are unique, and so the suggestions presented in this book should be adapted to fit the needs of your council.
4
CHAPTER ONE
AN OVERVIEW OF FAMILY COUNCILS
I. WHAT IS A FAMILY COUNCIL?
A family council is a self-led, self-determining group of consumers - families and friends of nursing home residents - that:
* Works to improve the quality of care and quality of life of the facility’s residents; and
* Provides families with a voice in decision-making that affects them and their loved ones.
Many voices are stronger than one. The power of a lot of people working together is enough to make changes, whereas one person can often do very little.
Family councils can:
* Act on concerns and complaints affecting nursing home residents;
* Support families;
* Communicate with the nursing home administrator and staff;
* Serve as a sounding board and advisory body on new ideas and improvements;
* Advocate for positive change within the facility and the long term care system;
* Educate and inform families about issues relating to residents, the nursing home and the long term care system; and
* Sponsor activities that benefit all residents.
A family council is not:
* A support group
* A family night
* A volunteer group
While these other groups perform a very important function, their role is different from that of a council.
II. PHILOSOPHY OF A FAMILY COUNCIL.
Family councils strive to work in partnership with the nursing home administration and staff to solve problems and ensure that residents receive the best possible care. While this may not always be possible, it should certainly be the goal. Councils and facilities that work together can accomplish much more than those that are at loggerheads.
5
III. IMPORTANCE OF A FAMILY-RUN FAMILY COUNCIL.
Experience has shown that councils that are run by families, and not staff, are more effective for several reasons:
* Members are more likely to feel responsible for the success or failure of their council. There is a sense of direct ownership in the work of the council.
* Family member interest is stronger because families determine the issues and activities that the council takes on.
* Staff members have many other responsibilities and simply cannot devote the necessary time to do all that needs to be done to run an effective council.
IV. BENEFITS OF A FAMILY COUNCIL.
A. For Nursing Home Staff.
* Provides the administration and staff with information about concerns that families have about resident care so that problems can be responded to in an appropriate manner.
* Gives the facility the opportunity to find out about and fix problems in the facility rather than having families turn to outside agencies such as the survey agency or the ombudsman program for help.
* Can provide creative solutions to problems.
* Gives honest feedback to use for ongoing quality improvement efforts.
* Provides an avenue for requests for changes within the facility to be made to boards and management companies. Family councils can advocate with these entities for changes that staff may want, but for which they are unable to obtain approval.
* Keeps facility staff from being overwhelmed by a barrage of individual complaints all at once.
* Provides recommendations for programming or policies that would benefit residents.
* Increases the likelihood that new facility policies will be implemented smoothly and successfully and positively impact residents because families will have had an opportunity to comment on and shape these policies.
* Can identify outside resources to enhance the lives of residents and facility functioning.
* Increases family willingness to contribute time and energy towards making the facility a good place for people to live.
* Results in better care for residents!!
B. For Family Members.
* Provides support, encouragement.
* Provides information.
* Gives families a place to constructively channel their concerns.
* Reduces sense of isolation, helplessness, frustration.
6
* Gives families an opportunity to shape facility policies and procedures affecting their loved ones.
* Improves the care of their loved ones.
C. For Both Families and Facilities.
* Promotes open lines of communication
* Builds a trusting relationship
* Provides the opportunity to make improvements for all residents
D. For Residents (Most Important of All!).
* Improves their quality of life and quality of care!!!!
V. RIGHTS OF FAMILY COUNCILS.
Federal law and regulations provide families with powerful rights relating to family councils. These regulations apply to all nursing homes in Illinois that receive Medicare and/or Medicaid funds (“certified” facilities). The regulations state that:
* A resident’s family has the right to meet in the facility with the families of other residents in the facility.
* The facility must provide a family group, if one exists, with private space.
* Staff or visitors may attend meetings at the group’s invitation.
* The facility must provide a designated staff person responsible for providing assistance and responding to written requests that result from group meetings.
* When a family group exists, the facility must listen to the views and act upon the grievances and recommendations of residents and families concerning proposed policy and operational decisions affecting resident care and life in the facility.
7
CHAPTER 2
STARTING A NEW COUNCIL
PHASE 1:
FROM THE DECISION TO START A COUNCIL
TO THE FIRST COUNCIL MEETING
I. TAKING THE FIRST STEP.
So what do you do if you are interested in forming a family council? Where do you begin?
A. Connect With Other Families.
1. A single family member is enough to start the process!! Begin by talking with other family members you know in the nursing home whom you think may also be interested. See if you can find at least 2 other family members to join with you. (We will call this group the steering committee.) While one person can serve as a catalyst, it takes more than one to move forward!
2. Share this manual with the families who have become part of the steering committee so they will know what a council does and how one can be formed.
B. Contact The Local Long Term Care Ombudsman.
The ombudsman is an advocate for nursing home residents and their families. The ombudsman can provide you with direct assistance, training, guidance and support to help you in developing a council.
C. Connect With Family Councils In Other Facilities.
Talk with other family councils to learn how they started. The ombudsman can give you information about facilities that have active councils.
D. Meet With The President Of The Resident Council.
Discuss the formation of a family council with the leadership of the resident council (if there is one). Explain the purpose of the council and its goal of improving quality of life for residents. Point out that you want to supplement, not supplant, the resident council.
8
E. Meet With The Nursing Home Administrator.
1. The steering committee should plan the approach it will use to talk with the nursing
home administrator about forming a family council.
The committee can ask the ombudsman to assist in the planning process.
Think through:
a. How to present the idea in a positive and enthusiastic way. Point out the benefits to the facility, the residents and the families. See Chapter 1, Section IV.
b. Anticipate some of the concerns the administrator might have and how you would address those concerns.
Some of the issues administrators may raise and possible responses to those points are presented in the following table.
CONCERN/OBJECTION
POSSIBLE RESPONSE
Administrators may argue the need to have
?
Many family members are already
a staff member present to facilitate group
skilled at group facilitation and those
interaction and to limit the amount or type of complaints raised by family members.
who are not will receive training.
?
Hearing complaints is helpful to the administrator because it lets him or her know what families think so that problems can be responded to in an appropriate manner.
?
Federal regulations give families the right to meet privately.
Administrators may encourage family
?
The purpose and role of a support
members to join established support groups
group is different from that of a family
that focus on adjustment issues and that are
council. A support group is staff-led
staff-led.
and helps members discuss feelings, needs and concerns. A family council is family-led and works to find positive solutions to problems and concerns relating to resident care.
Administrators may state the need for staff
?
In order for the facility to benefit from
to be present as a condition of the group meeting at the facility.
what a family council has to offer, families need to have time to themselves.
?
Federal law allows staff to be present only if invited.
Administrators may state that there is no
?
Family councils can improve care for
9
need for a council because families already feel free to voice their concerns and have access to staff at any time.
all residents, even those who don’t have any family.
* Family councils do more than just allow families to voice concerns. They can:
- Advocate with boards and management companies to request changes that staff (and even the administrator) want, but are unable to obtain approval for;
- Provide recommendations for
programming or policies that would benefit residents; and
-Identify outside resources to enhance the lives of residents and facility functioning.
Administrators may argue that their staff
?
The role of facility staff is not to run
are too busy to concentrate on a family
the council, but to give families the
council.
tools they need to do so.
?
The ombudsman will be available to support and assist the council and to provide training. This will ease the burden on staff.
Administrators may cite opposition to
?
Hearing complaints is helpful to the
family councils due to previous
administrator because it lets him or her
experiences in which families raised issues
know what families think so that
that were confrontational or embarrassing
problems can be responded to in an
to staff.
appropriate manner.
?
It’s better to know what families are concerned about (even if it is confrontational or embarrassing ) so that the problem can be addressed. You can’t solve problems that have not been voiced.
c. Develop an agenda for the meeting. A sample agenda is found on the next page.
10
* Greetings/introductions.
* Discussion of reasons for forming a family council/benefits of a family council.
* Discussion of type of council to be formed: an independent self-run council.
Note: It is important to be clear from the beginning that you are talking about a council
that is not run by the facility.
* The type of assistance and support the council would need from the facility in order to be successful:
* Commitment to listen to family concerns
* Commitment to act on concerns
* Private space
* Staff liaison
* Assistance in publicity and outreach
* Request for the administrator to join with you in developing the council. (If the administrator is hesitant, take time to explore his/her concerns. Clear up any misunderstandings that he or she may have about a council.)
* Request for the administrator to designate a staff person to serve as staff liaison. One role of the liaison would be to work with the steering committee to launch the council.
d. Set up a meeting time with the administrator. Administrators are very busy, so be respectful of their time by scheduling a meeting in advance rather than dropping by his or her office.
e. Ask the ombudsman to attend the meeting with you if you feel his/her support and influence would be important. This may be a good idea if you sense that you might encounter resistance from the administrator.
E. Facility Resistance To A Family Council.
If the administrator is resistant to the formation of a council, you can try a number of different approaches:
1. Ask the administrator to help you better understand his or her position so you can know exactly what the concerns are. Find out what ideas he or she has about a family council. In some cases, you may discover that there is a misunderstanding about what a council does, and you can provide additional information to clarify the council’s role. For example, the administrator may fear that the council’s purpose is to take problems directly to the media. You can stress that the purpose of a council is to work with the home for improvements and to promote open communications within the facility.
11
If you are not getting anywhere at this initial meeting, keep the door open and ask to meet again to continue the discussion. Try to maintain a dialog to chip away at resistance over time. Keep at it.
2. State that what you are hearing the administrator say is that he or she will not support the development of a family council. Ask if you have heard him/her correctly because you want to be sure that you understand and that there are no misunderstandings. If the administrator equivocates and won’t be clear, let him/her know that you can only conclude that the facility is not permitting a council to form. Then send a letter to the administrator after this discussion summarizing his/her position. You could also send a copy to the administrator’s own supervisor or the facility’s board of directors and/or the Department of Health. This might cause the administrator to change his/her position.
3. If you met with the administrator without the ombudsman, seek ombudsman assistance. The ombudsman can go with you to meet a second time with the administrator.
4. File a complaint with the Department of Health about the facility’s violation of the
family’s right to form a family council. Include a copy of the letter discussed in point #2 and the names and contact information of family members for the complaint investigators to interview.
5. Circulate a petition calling for the creation of a family-run council and get as many family members to sign as possible. Send it to the administrator and the board of directors or facility owners.
6. Seek community support.
a. See if key players in the community such as referral sources, social service agencies or city officials will meet with the administrator or at least send a letter. If the facility is religiously affiliated, enlist the help of a minister, pastor, rabbi, etc. Keep the pressure on.
b. Have community members sign a petition calling for the formation of a council.
7. Write a letter to the editor of your local newspaper or talk with a reporter.
8. Protest in front of the nursing home.
9. Seek the support of your elected officials.
10. Back off for the time being and try again later.
11. Form the council anyway, but hold meetings outside the nursing home.
12
II. HOLDING AN INTRODUCTORY MEETING
The most important method of starting a council is to hold a meeting to which all families of residents are invited. This introductory meeting can have a major impact on the success or failure of council organization.
The purpose of the introductory meeting is to:
* Determine family interest in a council;
* Obtain family commitment to forming a council; and
* Lay groundwork for the first council meeting.
The steering committee, along with any other interested family members and the ombudsman (if families wish) should meet to plan this meeting.
A. Planning The Meeting.
Planning should address the following points:
1. Meeting place. The location needs to be one where families can feel relaxed and free to express themselves, and where there is privacy without interruption from others. The facility is required under federal law to provide a private space if the group wishes to meet at the home. However, if the facility is resistant, and you can not ensure privacy or family members express discomfort at meeting in the facility, plan to meet outside the home. Possible locations include: libraries, churches, community centers, and senior centers. Try to find a room that is conducive to speaking openly and that puts families at ease.
2. Date and time. Select a time when you think most families would be able to attend the meeting. This will most likely be in the evening or on the weekend.
3. Outreach/publicity. It is very important that all families of residents be invited to the introductory meeting!
Ideas for publicizing the upcoming meeting are presented below:
a. Draft a flier inviting families to the meeting and send it to all family members. See Appendix 1 for a sample flier.
Ways to send out the letter/flier:
* Ask the facility for a list of family members and send the flier yourselves. Ask the facility to cover the cost of copying and mailing.
* Provide the flier to the nursing home and ask that the nursing home send it out. It would be best if the facility did a separate mailing for this flier, but if this is not possible, ask that the flier be included in a billing notice or other facility correspondence.
13
b. Seek out other family members and personally invite them to the meeting. Give them the flier. Ask them to invite at least 3 other people. Make a point of reaching out to family members you have not talked with before.
Note: Doing this on a weekend when a lot of families visit can be particularly productive!
c. Call any family members you know.
d. Post the flier around the facility and on the doors leading into the home (ask the facility for permission to do so before posting).
e. Request that an announcement be placed in the facility newsletter.
f. Ask the staff liaison to talk with as many family members as possible.
g. Ask the nursing home to encourage all staff to invite families to the meeting.
Obviously, if the facility is not supportive, several of the ideas identified above will not be possible. However, steering committee members can still personally invite family members they meet in the nursing home and distribute fliers. In addition, you can try:
* Placing fliers under window wipers on visitor cars in the facility parking lot.
* Talking with families in the parking lot.
* Running an announcement in a local newspaper.
4. Refreshments. Food always helps to attract people! However, it does not have to be anything expense or complicated. Something as simple as coffee and cookies is fine!
5. Develop the agenda and plan in advance who will be responsible for covering each point. A sample agenda follows, along with some additional suggestions.
Note: the ombudsman is listed in several places on the agenda. However, steering committee members may be able and wish to cover these agenda items themselves.
14
INTRODUCTORY MEETING
SAMPLE AGENDA
* Welcome/introductory remarks Member of Steering Committee Reminder to sign in
* Welcome and statement of support Administrator and/or
from nursing home Department Heads
Comment: The steering committee should decide in advance whether to ask the administrator and staff to leave after their welcome.
* An Overview of Family Councils Ombudsman
* What is a family council
* Benefits
* Rights to form a family council
* Success stories
* Discussion/questions
* Discussion/vote on whether to proceed Member of Steering Committee with formation of a council
* Selection of leadership committee Ombudsman
Comment: The group should select who will lead the council until it is ready for its first elections. The members of the steering committee may be the perfect ones to take this on, since they have already showed a willingness to get involved. However, there may be others willing to step up to the plate!
* Discussion of type of temporary Ombudsman leadership structure
Comment: The group should determine how it wants to be lead until its first election. It is helpful to have at least 3 people in leadership positions. These could be:
* President ( could also be called chair or coordinator);
* Vice-president (could also be called vice chair or
assistant coordinator); and
* Secretary.
A treasurer may not be necessary at this point, but will be if the group wishes to do fundraising or have an account that is independent from the facility.
Comment: It may be intimidating to people to be “president.” If this is the case, two people could serve as “co-presidents” or a team approach can be used. For more information about council leadership and structure, see Chapter 3, I. A.
15
The more people who volunteer, the less each person will have to do!
* Plans for the first meeting of the council Member of Steering Committee or Ombudsman
* Meeting date and time.
Comment: Try to establish a day of the month and time that will work for the most number of people from month to month. Knowing that the council
meeting is every 3rd Wednesday at 7:00 p.m. promotes participation.
* Location.
Comment: This should be a place where there is privacy. If the nursing home is resistant or does not have an appropriate room, find a room in the community.
* Topic.
Comment: Determine what the council should address at the next meeting. It is a good idea to focus as soon as possible on:
* identification of areas of interest or concern and action steps;
* identification of mission/purpose of council; and
* organization and structure of meetings and council work.
Find out what members are most interested in and begin with those items. It can help to start with the purposes and goals and bylaws, but the group should decide.
Ask for volunteers to help plan the first council meeting and to assist with publicity and refreshments.
* Discuss staff attendance and Member of Steering Committee ombudsman attendance
Comment:
Staff: The group will need to decide if it wants the staff liaison present during the meeting, or only for part of the meeting. Some families are inhibited when a staff member attends and will not speak out as freely. Others don’t care. A compromise position is to have the staff liaison present for a particular part of the meeting only.
Remember: It is the families’ decision, not the facility’s decision, when, or even if, staff will attend the meeting.
Ombudsman: The group should decide if it wants the ombudsman at the
16
meeting and what role the ombudsman should play.
* Discuss family issues/concerns Member of Steering Committee or Ombudsman
Comment: If nursing home staff are present when this agenda item comes up, the steering committee needs to decide whether they want staff to leave. It is probably a good idea to have this part of the meeting be for family members only because:
* Many family members will not speak up if staff are present.
* Families may need to vent their frustration and anger before turning to problem-solving, and it is not productive for nursing home staff to hear this.
* It may take a period of time before the problems can be carefully defined and discussed with staff.
Comment: Focus on concerns that are facility-wide and resident-centered. As a group, prioritize the concerns and select one to address first. Ask families to come to the next meeting with ideas about possible solutions.
Comment: See Chapter 6 for ideas about prioritizing, etc.
* Refreshments and Socialization
6. Divide the tasks up among steering committee members.
7. A few days prior to the meeting, members of the leadership committee, the staff liaison, administration and staff should remind family members of the upcoming meeting. Call family members if phone numbers are known, or ask the staff liaison to do so.
A. Conducting The Introductory Meeting.
It is very important that, if at all possible, members of the steering committee run this meeting. However, if members are hesitant or want assistance, they can ask the ombudsman to assist them in running this meeting or to actually conduct this initial meeting.
Tips for the meeting:
1. Provide a sign-in sheet for names, telephone numbers, e mail addresses, and addresses of family members who attend in order to make future contact and share reminders of the meetings.
17
2. Distribute the written agenda.
3. Have a member of the steering committee take notes.
4. Follow the agenda distributed in point 2 above. See Chapter 5 for how to run effective meetings.
You may not be able to cover all the items you have listed on the agenda. However, at a minimum, you want to:
a. Determine if there is commitment to forming a council;
b. Establish the next meeting time and date;
c. Determine who will lead the group through the next meeting and its initial foundational work; and
d. Begin discussion about concerns in the facility and prioritizing what to focus on first
(cover this if families are particularly concerned about problems in the facility).
5. Create a sense of excitement and enthusiasm.
6. Start and end the meeting on time!!! Families have busy schedules and will appreciate having the meeting time clearly defined and followed.
7. Hand out a copy of this manual to meeting participants.
8. Ask family members to get involved from the very beginning. If a task is mentioned, see if someone will pitch in and help. Don’t have the leadership committee take on everything. Create a team approach.
9. Tell families to bring at least 3 other family members to the first council meeting.
III. HOLDING THE FIRST COUNCIL MEETING.
A. Preparing For The First Council Meeting.
It is important to carefully plan the first council meeting so that it gets off to a good start.
1. Organize a planning meeting of the leadership committee and any other family members who have volunteered to help. Members can ask the ombudsman to provide assistance both in planning the first council meeting and conducting it. The group should also decide what assistance it would like from the staff liaison.
2. At the planning meeting, the group should:
18
a. Develop the agenda for the council meeting. Outline the agenda items, who will be
responsible for each item and the approximate time for each item. Keep the meeting to no more than 1 hour or 1 1/2 hours.
* The agenda should include a very brief overview of family councils. This is for families who did not attend the introductory meeting and don’t know about councils.
* The agenda must respond to where the group is. It must recognize and meet the needs that were expressed at the introductory meeting (if one was held). For example, if the group identified a problem it wished to address at the introductory meeting, the agenda should include continued processing of that concern.
A sample agenda for this first meeting is outlined below.
Introductions of everyone, including leadership Member of leadership committee
committee or Ombudsman
Welcome from the nursing home administrator Nursing home administrator,
and/or department heads facility staff
Review of what a council is, Ombudsman
what it does, benefits of a council,
rights of family members
Review of proposed temporary leadership Member of leadership
structure/proposed job descriptions committee
for temporary leaders
Discussion of council mission statement Member of leadership committee
and/or Ombudsman
Discussion of general problem solving Member of leadership committee
approach and how concerns will be and/or Ombudsman
communicated to nursing home
(See Chapters 3 and 4 for information
on problem solving and
communication of
concerns to nursing home)
Continuation of issue or concern identified Member of leadership committee
at introductory meeting and/or Ombudsman
Establishment of council meeting Membership of leadership committee
dates, times, location and/or Ombudsman
Refreshments and socialization
b. Develop proposed job descriptions for each of the temporary leadership positions agreed to at the introductory meeting. These job descriptions do not have to be complicated. Their purpose is simply to provide a clear understanding of the duties included in various leadership positions. See Chapter 3, Section I, A. for description of different duties for leadership positions.
The job descriptions will be discussed and voted on during the first council meeting. The ombudsman can assist you in developing these descriptions.
c. Determine how group input will be obtained, priorities set, open discussion facilitated. See Chapter 6.
d. Identify if there is any training that the leadership committee might find helpful. This could include how to run an effective meeting, leadership and structure issues and effective council advocacy. Talk to the ombudsman or staff liaison about obtaining any necessary training.
e. Plan an outreach and publicity campaign.
* Send out an announcement of the first council meeting to all families of residents in the facility and to every one who attended the introductory meeting. Refer to Chapter 2, Section II. A.c. for how to do this. See Appendix 2 for a sample announcement.
* Refer to other ideas in Chapter 2, Section II. A.c.
* Refer to Chapter 7 for additional ways to promote council participation.
B. Conducting The First Council Meeting.
1. At the meeting.
a. Have a sign-in sheet to obtain the names, addresses, phone numbers, and e-mail addresses of families who attend.
b. Follow the agenda.
c. Remember to be FLEXIBLE!!
Often families come together as a council because there is a major problem in the nursing home that they are concerned about. When this is the case, the group will most likely want to begin by addressing that concern. This can be an excellent way to begin a group. In this instance, you should decide how you are going to approach problem solving as a council, brainstorm about possible solutions, create a plan of action and act. The council can then cycle back later to work on leadership structure, job descriptions, and mission statement. The critical element is to start where the group is.
20
d. Be positive, welcoming and upbeat!
e. Follow the points in Chapter 5 on Running Effective Meetings.
2. After the meeting.
The leadership committee and any families who helped organize the first council meeting should meet shortly after the first meeting. Ombudsman attendance at the follow-up meeting can provide additional feedback and input that could be helpful.
Discuss:
a. Thoughts about how the meeting went:
* Overall success;
* What went well; and
* What could be done better the next time.
b. Determine what training/information would enhance leaders’ skills. Ask the ombudsman, the staff liaison or someone outside of the facility to provide you with that training.
c. Plan the agenda for the next meeting.
Your council is off and running!!!!
21
CHAPTER 3
STARTING A NEW COUNCIL
PHASE 2:
FROM THE FIRST COUNCIL MEETING
TO THE FIRST ELECTION
I. BUILDING THE INFRASTRUCTURE.
In order to be effective the council must develop its “infrastructure.” It is a good idea to do this as early on as possible – ideally over the first few council meetings. However, if family members have more urgent items they wish to address, such as a problem identified by families, then they should start where the group is. This might mean starting with the development and implementation of their problem solving approach and then establishing the other components of council organization later.
Although figuring out the nuts and bolts of how the council will be organized and how meetings will be run may not be exciting or appealing, it is one of the most important things a beginning council can do to ensure success. Without some type of structure and accepted way of doing business, chaos can quickly result and families can become frustrated and leave the council. Certain core elements must be put in place to create a solid foundation for successful council work.
That being said, a council does not need complicated “policies and procedures.” It does, however, need to figure out how it is going to work and how it is going to make decisions. To this end, a beginning council should put the following “building blocks” into place.
A. Leadership and Structure.
The fact of the matter is that the best, most effective councils are run by family members, not staff members. This allows the council to be independent and to truly represent the interests of families. Although it may be difficult at first, do whatever you can to ensure that families are the ones leading the council right from the very start.
There is no right or wrong model of leadership; the council should develop a structure that works for its members.
At this point the council has developed some temporary leadership structure to see it through to its first election. The council may wish to make this structure permanent. There is nothing wrong with that if the structure is working.
Listed below is a description of a few models that family councils across the country have found to be effective and successful. 1
1 Family Councils in Action. Advocacy Center for LongTerm Care.
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1. Different Models.
a. Traditional leadership model.
In this model, you find:
A chairperson/president who:
* Runs the meetings;
* Coordinates council activities and programs; and
* Maintains communications with administration and staff.
A vice-chairperson/vice president who:
* Fills in for the chairperson in his/her absence; and
* Performs other duties as determined by the council.
A secretary who:
* Takes notes at the meeting;
* Prepares and disseminates the minutes;
* Maintains a file of all council minutes; and
* Handles council correspondence.
A treasurer who:
* Receives and disburses any council funds;
* Maintains accurate financial records; and
* Reports to the council.
b. Co-chair model.
This model involves sharing offices between 2 members. This can be a helpful model when one person does not want to fill a position alone, but will do so along with another council member. In this way, members can split the duties between them or perform the duties of the office in whatever way works best for them. This model provides moral support and encouragement to those who want to play an active role, but are somewhat hesitant.
c. Leadership committee model
This model involves leadership by a small group of family members who divide up duties among themselves. This model distributes the work among more people and can lighten the load for any one individual. In a small council, everyone could serve on the leadership committee in some capacity. See Appendix 3 for more information about this model.
d. Rotational model
In this model a leadership committee is formed, but leaders rotate the duties among
themselves on a regular basis.
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2. Important points about leadership and structure.
a. You can mix and match the above models to form a hybrid that works for your council, or you can create a totally different model. The important thing is to have some system for leadership that is recognized and followed by the council. This promotes more effective organization and lets the nursing home know whom to talk to when it wishes to communicate with the council.
b. An important key to council success is to distribute tasks and leadership roles as widely as possible among members. This is critical for several reasons:
* It lightens the load on the leaders.
* It develops abilities and skills in those who could become future leaders.
* It is what the spirit of the council is all about – everyone pulling together in the same direction.
Organized strength comes from working together, not from one person doing it all!!
c. The role of the leadership committee is to work with the council to determine the type
of leadership structure the council would like and to oversee the council until elections have been held and new leaders are in place.
d. As a council changes in size over time, it may need to change its structure.
B. Mission Statement/Purpose.
The mission statement describes exactly what the purpose of the council is and what it is trying to achieve. This mission statement will drive the work of the council. Sample mission statements can be found in Appendix 4.
The council can develop its mission statement in a number of different ways. One approach is to have leaders draft a mission statement, distribute it to members prior to the meeting and then discuss and revise it at the meeting. Another way is to identify and discuss the key components of the mission statement through a group process at a council meeting and then have a subcommittee draft the statement for review by the full council.
C. By-Laws.
The term “by-laws” seems intimidating, but it is really just a fancy name for setting forth how the council will be organized and run. By-laws are also important because they help assure continuity of the council when membership changes. By-laws should address the following issues:
1. Name of the group.
2. Purpose. This is the mission statement developed in section B.
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3. Membership. This addresses who can be a member. For instance, can a friend of a resident be part of the council? What about family members whose loved one has died?
Suggestion: A way to maintain continuity in a council is to allow family members of deceased residents to continue their membership for a certain period of time.
4. Officers and committees.
This sets forth:
* The council’s officers or leadership positions (i.e. President? Chair? Meeting Coordinator?);
* Who leads the meeting;
* What happens when the leader is absent;
* How committees will be formed (if committees are used); and
* Term limits, if desired.
5. Elections. This establishes the frequency of elections.
6. Meetings. This section states when meetings will be held.
Suggestion: Meeting regularly is very important to the success of a council. It is recommended that the council meet at least monthly. It is also a VERY good idea to meet on the same day of the month, at the same time of day (ex. the third Wednesday of each month at 6:30 p.m.).
7. Rules of order. These rules establish how the meeting will be conducted. Points to cover include:
* Who prepares the agenda for the meeting;
* If the meeting will follow the agenda;
* How the group decides how people who wish to speak are allowed to do so (ex. by raising your hand);
* How decisions are made (for instance – majority vote);
* How disputes will be handled; and
* Whether a quorum must be present to handle the business of the council.
Suggestion: Using parliamentary procedures, or even adapting some of these procedures can help meetings run more smoothly and efficiently. Some councils use Robert’s Rules of Order.
Sample by-laws are found in Appendix 4.
8. Instructions for making future amendments to by-laws.
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D. Policy For Expressing Concerns Or Suggestions To The Facility.
The council should develop a system that involves placing its concerns or suggestions in writing. This helps to promote accurate communication and permits better tracking and follow up. In cases where the nursing home might not be responsive to council concerns, it also establishes a “paper trail.”
In developing this policy, start by asking the administrator what approach he or she would prefer the council use.
Two possible approaches include the use of a Family Council Action Form2:
Approach #1: Concerns written up on this form are submitted to the appropriate department head for response and action. A copy of the form goes to the administrator. The department head replies in writing to the council. If there is no response or the problem is not resolved, the written form along with the department head response, is submitted to the administrator. The administrator then responds back to the council in writing.
Approach #2: Concerns are written up on this form and submitted directly to the administrator. The administrator routes the form to the appropriate department for response and action. The department head or the administrator replies in writing to the council.
Samples of the “Family Council Action Form are included in Appendix 5.
E. Policy For Ongoing Communication With Administrator and Facility Staff.
The council must have a method for communicating with nursing home administration and staff. Again, a good place to start is to talk with the administrator about what system he or she thinks might work well.
One of the best ways to communicate with the administrator and staff is for the council to meet regularly with the administrator. This meeting could also include department heads. If possible, the meeting should be monthly.
This type of meeting allows both the council and the administrator to keep each other informed about new developments or changes, what they are each working on, what they are concerned about, and how they can work together.
Communication needs to be two-way. Families should inform the administrator of council efforts, needs, concerns, and questions. In turn, the administrator should relay news of the home and/or the long term care system as a whole, and get council input
2 This form is from the manual, Family Councils in Action and was developed by the Advocacy Center for Long Term Care.
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about any proposed changes in policy, procedures or facility operation that affect families or residents.
Regular meetings help develop a positive working relationship between the council and the nursing home.
If these meetings don’t include department heads, the council should consider meeting separately with each department head. One such approach might include meeting with a different department head each quarter.
In addition to face-to-face meetings, other methods of communication with administration and staff include:
* Sending council minutes to the administrator and the department heads; and
* Inviting the administrator and department heads to address the council, share what is going on from their perspective, and answer any questions.
F. Policy For Communication Between Council Members.
The council needs to ensure that members have a way of contacting each other. A system needs to be developed to:
* Inform families of council meetings;
* Communicate with members outside of meetings; and
* Allow families with concerns that arise between meetings to communicate with other council members.
Possible methods of doing this include:
* Creating a private family council mailbox;
* Creating a family council suggestion box;
* Posting the names and telephone numbers of council members who are willing to take calls from other families;
* Making a family council bulletin board with a space on it for families to leave notes to the council leadership or to other members;
* Including the name and phone number of a family council contact person in the admissions packet;
* Developing a phone tree for meeting reminders, and special notices; and
* Developing an e-mail listserve where members can “chat” back and forth with each other.
G. Policy For Communication With Residents.
Since the primary goal of the family council is to benefit residents, communicating with a home’s residents is essential. In order to develop such a procedure, resident input should be obtained. This could be done by having one or more representatives of the family council discuss the issue with the resident council leadership. If a resident council doesn’t exist, family council members can talk with residents who appear to be particularly active in the home.
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Possible methods for communicating with residents are:
* Regular meetings of family council and resident council representatives;
* Appointing someone to serve as the family council liaison to the resident council. The liaison, at resident council invitation, could attend resident council meetings, hear their concerns and report on family council activities; and
* Inviting a representative of the resident council to serve as resident council liaison to the family council.
H. Plan For Handling Individual Family Concerns.
Individual concerns are those which are unique to one person and which are not experienced by other council members. These concerns cannot and should not be ignored, but the key to making progress on issues is to focus on common concerns, not individual issues.
The council therefore needs to develop a policy for addressing the concerns of an individual family member.
Two possible approaches are:
1. Setting aside a limited period of time at each meeting for individual concerns.
2. Creating a small committee to whom an individual family member can take concerns. This committee can provide suggestions for working with facility staff and/or turning to outside assistance if necessary. It can also connect the individual to another family member who may have successfully addressed this issue.
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The amount of time it takes to develop the infrastructure will vary from council to council. There is no right or wrong amount of time.
Once these policies and procedures have been developed and approved by the council, it is a good idea to put together a “Family Council Handbook.” This can be distributed to all current members and to all new members as they come on board.
II. PROCESSING PROBLEMS AND COUNCIL ACTIVITIES.
As the council does its organizational work, it will most likely also start addressing family concerns and/or undertaking a project. Information about these two topics is found in Chapter 4.
III. PROMOTING PARTICIPATION IN THE COUNCIL.
This starts from day one and continues forever. See Chapter 7.
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IV. HOLDING ELECTIONS.
There are many different ways to hold elections. The following is one way in which elections can be conducted.
A. Before The Elections.
The preparation process for elections should start at least a month in advance of the election date.
1. Develop a system for coming up with a slate of candidates. This can be done by creating a nominating committee or by setting aside time at a council meeting. Whatever approach is taken, it is important to be clear about how council members, or preferably any family member, can present nominations. Give families advance notice about the nomination process and deadlines.
2. Ask the selected nominees to write a paragraph about themselves. Distribute the list of nominees along with the candidates’ description to council members, and if possible, to all family members prior to the election. Make sure the date of the election is clearly publicized.
B. On Election Day.
1. Conduct the voting by secret ballot at a council meeting.
2. Have a neutral third party, such as the ombudsman, count the votes and announce the new officers.
C. After The Election.
1. Ask the outgoing officers to orient the new officers to their duties.
2. Ask the ombudsman to meet with the new officers to see if they need or want training.
3. Acknowledge the work of the outgoing officers at a meeting and thank them. Give them some token of appreciation, such as a plaque, to recognize their contributions.
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CHAPTER 4
COUNCIL WORK
I. PROCESSING PROBLEMS AND CONCERNS (ALSO KNOWN AS PROBLEM SOLVING OR ADVOCACY).
Councils can play a critical role in directly improving resident care in a nursing home.
By joining together, families can be a “united voice in a united effort.” As noted earlier, it can be easy to ignore one person; it is much harder to ignore a group of people.
Another name for this type of problem solving work is advocacy. While advocacy may seem scary and intimidating, it is merely a fancy term for identifying a concern, developing a plan of action to address that concern and then implementing that plan.
Below is one approach to processing problems that can be used to bring about success.
A. Bringing Up Concerns.
Each council meeting should have time devoted to concerns. When a member raises a concern during this part of the meeting, first allow him or her to fully explain his or her concerns. Then ask if other members are experiencing the same problem.
A key to council effectiveness is identifying common concerns to work on.
If the concern that has been voiced is not a common concern, follow the council’s policy for handling individual family concerns.
If the concern is shared by others, see if the group wants to address this concern. In making this decision, council members should ask themselves if working on this problem will improve resident care in some way. If it will, determine if there is enough time to discuss the concern at the meeting, or if members want to put it on the agenda for the next time.
B. Problem Solving Process For The Identified Concern. Working through the following steps can help make problem solving more effective.
1. Carefully identify the problem.
Answer the following questions:
* What exactly is the concern about?
* Who are the persons involved? Which staff members are responsible?
* When does the problem occur? How often?
* Where does the problem occur? What floor, what wing?
* Why do you think it is happening? What appears to be the cause?
* How long has the problem been going on?
* What has already been done, if anything, to address the problem?
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* What do residents say about the problem?
* What do staff say about the problem?
This step also involves collecting as much information as possible about the problem and all the facts that indicate there is a problem. The questions listed above help to gather that information, but there may be other questions to ask as well.
Note: Sometimes the council may find that it does not yet have all the information it needs to proceed with problem solving. It is essential to have “your ducks in a row” and to have the necessary facts to support your statement of the problem. If the council does not yet have specific facts after one meeting, ask members to keep a journal in which they write down details and precise data that support the concern.
2. Develop a concrete and factual statement of the problems.
Use the answers to the above questions and the facts you have collected to put your
problem statement in writing.
3. Identify the result the council is seeking.
Determine the council’s goal or objective - what it wants to accomplish.
4. Identify possible solutions.
Explore suggestions for resolving the concern. Part of the responsibility of voicing concerns is helping to solve them. Offering creative suggestions, rather than just criticism, will increase the likelihood that your concerns will be heard and treated with respect. It also shows the nursing home that you are a partner in the problem solving process and want to work WITH staff to resolve the issue.
Think about the following questions:
* What might resolve the problem?
* What will it take to fix the problem and to keep it from recurring?
* How many different solutions can be identified?
* What are the pros and cons of each solution?
5. Identify possible obstacles and ways around them.
Consider the obstacles or arguments you might encounter if this solution were to be
suggested or tried. Think about how those obstacles could be overcome.
6. Choose the approach the council will try.
7. Develop an action plan.
The council needs to decide HOW it is going to implement the approach it has selected.
Determine:
* What steps will be taken?
* Who will be responsible for those action steps?
* By when will those steps be taken?
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Record this information in the minutes so that everyone knows what has been decided and who has agreed to carry out certain tasks.
Depending on the nature of the problem, the action plan may simply be to complete the Family Council Action Form. In other cases, particularly if the problem is significant and complex, a more involved approach may be necessary. Such an approach should be handled by 3-4 council members, not just one individual.
Put the issue on the agenda for the next meeting so that council members have to report back to the group about what they have done. This creates a sense of accountability and responsibility that promotes follow-through.
8. Carry out the action plan.
Present your concerns or ideas to facility staff and administration in a reasonable, non
threatening way.
As noted in the previous point, presenting council concerns may be done through the Family Council Action Form. This form is ideal for relatively minor and simple issues. For more complicated problems, the council should consider meeting directly with the administrator or department heads after having provided them with a detailed written description of the problem (that includes the “who,” “what,” “where,” “when.” and “why” information). The council can simply attach this description to the Family Council Action Form.
When meeting with the administrator, consider the following suggestions:
a. Prior to the meeting.
* Set up a time to meet with the administrator (or other personnel). Facility staff and administrators are busy people; you will get more time and attention if the visit is planned in advance.
* Prepare in advance for the conference.
* Review the written description of the problem and the supporting facts;
* Write down:
* the results you are seeking;
* relevant laws/regulations; and
* possible solutions to propose!
Suggestion: It is a good idea to have a number of options that you can propose and that would be acceptable to you. This promotes a sense of “give and take” and willingness to compromise that can be helpful. The ombudsman can be an excellent resource in coming up with ideas about possible solutions.
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* Ask the ombudsman to help you in writing up the description of the problem with supporting facts or ask him or her to review what you have written. This can be particularly helpful the first time the council addresses a concern.
* Ask the ombudsman to help you prepare for the meeting and/or to attend this first meeting with you. Again, this can be especially helpful the first time.
* Take your notes with you into the meeting, as well as copies of any documents relating to the complaint.
b. At the meeting.
* State the concern and provide specific examples.
* Be firm, but friendly. Present concerns in a straightforward manner without an accusatory, confrontational style.
* Start off by assuming that the facility will want to do the “right thing.” For instance, you could say, “We know that quality care is important to you and that you would want to do something about this issue.”
* Try to create a sense of team: “WE want to work with you to resolve this issue.”
* Agree on a course of action.
* Establish who is going to take what steps.
* Establish time frames for addressing the problem.
Note: allow sufficient time for the facility to take action. Be reasonable, but don’t let concerns be ignored. Depending on the nature of the problem, it might be helpful to ask the facility how much time it needs to correct the problem and then go with that time frame (if that is acceptable). In this way the facility has set its own deadlines.
* Take notes.
* Summarize exactly what was agreed to at the end of the meeting and make sure everyone agrees to the summary. This ensures that everyone has heard the same thing.
* Write a follow-up memo to the administrator (or other personnel) outlining the agreed upon plan of action with time frames. Thank them for their concern and interest in addressing the problem.
Tips on negotiation techniques are included in Appendix 6.
9. Monitor Progress.
a. If the facility resolves the problem within the established time frames:
* Report this positive result to the council.
* Make sure the council recognizes and celebrates its success.
* Make a big point of thanking the facility and acknowledging what staff and the administrator have done. Stress the success you all had in working together. Everyone will feel more cooperative when efforts are appreciated.
b. If the problem is not resolved within the established time frames:
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* Meet again with the administrator and/or staff.
* Determine where the obstacles are and what can be done about them.
* Try to be reasonable and understanding about delays. Sometimes there are issues beyond the facility's control that impact the time frames. (However, if there is always some kind of delay or “reason” why the problem is not being addressed, this does not indicate good faith on the part of the facility. See the next section for what to do if the nursing home is not responsive to council concerns.
* Develop a revised plan of action with facility staff; include frequent status reports to keep momentum going for problem resolution.
* Take notes and write a follow-up memo to summarize what was agreed to.
* Give a progress report to the council.
* Recognize steps that have been taken; don’t just focus on what hasn’t been done.
10. Evaluate the results.
a. Has the problem been addressed?
b. If it has, celebrate your success and recognize the work of the facility!
c. Evaluate your action plan and determine what worked best and what didn’t. Talk about how you might do something more effectively next time round and what strategies were most successful.
Note: Don’t expect immediate results. Problems that did not develop overnight usually can’t be fixed overnight either.
C. When A Nursing Home Is Not Responsive To Council Concerns.
Much of the time concerns can be resolved within the home itself. However, there may be times when this is not the case. At that point, it is time to escalate the pressure on the nursing home.
1. Go further up the chain of command.
Take the council concern to the person above the administrator. This could be the facility
owner, the board of directors or a corporate regional director. The council could:
* Ask to meet with this person or group.
* Write a letter to this person or group and send a copy to the administrator. A letter to a “higher-up” sometimes gets the attention of the administrator when other avenues have failed.
* Circulate a petition among family members and send it to this person or group.
If you still don’t get satisfaction, try these steps directly with the CEO.
2. Turn to the ombudsman.
Assistance from the ombudsman can take different forms. One approach is for the council to provide the ombudsman with copies of the council complaints/recommendations made to the facility. If the facility is not being responsive,
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the ombudsman can contact the administrator and urge him or her to respond to communication from the council.
Council members can also ask the ombudsman for direct help. The ombudsman can make suggestions that the council can then try or go with council representatives to meet with the facility administrator about the problem. Frequently the presence of someone from outside the facility who is knowledgeable about the rules, regulations and facility responsibilities can spur the home into action.
3. File a complaint with the Illinois Department of Public Health.
Each family member can file a complaint, or the council can file a complaint as a group. One attention-getting approach is to organize your members to all file a complaint about the issue on the same day. Include specific details and examples. See Family Caregivers Guide published by the Legal Assistance Foundation of Metropolitan and the Evanston Commission on Aging for information about filing a complaint.
However, in addition to filing a complaint about the specific problems, file a complaint about the facility not responding to and addressing council concerns. Remember that federal regulations require that:
When a family group exists, the facility must listen to the views and act upon the grievances and recommendations of residents and families concerning proposed policy and operational decisions affecting resident care and life in the facility.
In a recent study of family councils in Maryland,3 family members reported that they achieved the most success in problem solving when they:
* Call the ombudsman who elicits a facility response.
* Use meetings and letters.
* Have a constant presence at the facility.
* Communicate continually and constantly remind the facility of the issues.
* Forward written correspondence to the survey agency.
* Have face-to-face meetings with facility personnel.
* Present specific concerns in writing to the administrator.
One family member commented, “They (the nursing home) made changes when given hard facts and demands for our rights. They responded to recommendations when they saw we were sincere and not being pesky and were willing to cooperate.”
3 The Maryland Family Council Project. National Citizens’ Coalition for Nursing Home Reform. Report of Survey Results.
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4. File a complaint with the Center for Medicare and Medicaid Services.
This is the part of the federal government that oversees nursing homes receiving federal
funding (Medicaid, Medicare).
5. Contact the Office of the Governor.
When contacting the Governor, make sure you indicate the steps the council has already taken and your dissatisfaction with the results so that you don’t get sent back to “square one” in the Governor’s response.
6. Contact state/federal legislators.
Let your elected officials know about the problems with the care in a particular nursing home and that the system is not working for your loved one. Explain to them the steps you have already taken to correct the problem.
7. Involve the community.
Community members want to know that when they or their family need care, their local nursing homes will provide them with the best care possible. Consequently, those who live in your community can be a source of help to you.
There are several different ways that you can work with your community.
a. Identify an influential individual or group in the community and ask that person or a representative of that group to join you in meeting with the facility administrator. This person could be from a local social service agency, a hospital, or an advocacy group. You might also think about where the nursing home gets its referrals and see if you could work with a representative from one of those entities.
b. Involve your church/place of worship.
Churches/places of worship can be a voice for change in a community nursing home, particularly when its members are residents or it is affiliated in some way with the nursing home. Ask the pastor, minister, priest, rabbi or other religious leader to meet with you and the facility administrator.
c. Take the issue to the city or county government.
Take the concern to the mayor or a representative of the city or county council and ask for
his or her help.
8. Contact the Media.
Contacting the media - local newspapers, radio and television stations - can be very effective in bringing about change. Nursing homes are usually very sensitive about their reputation in the community and with the public. Negative media attention about problems and the facility’s unresponsiveness to family concerns can create a powerful incentive to fix a problem as quickly as possible.
When working with the media:
a. Make sure you have done your “homework” and that your facts are accurate. If not, you
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will lose your credibility and weaken your case.
b. Remember that you can never guarantee how a story will turn out. Your agenda and the
media’s agenda may not be the same.
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Clearly a number of these measures are high profile and should be considered very carefully before being undertaken. A council should weigh the pros and cons of whatever step it takes. Points to consider when doing a “risk/benefit analysis” are:4
* Will the benefits of escalating pressure to resolve the problem outweigh the risks of alienating staff and maybe even other family members?
* Do we have the commitment of members behind our plan?
* Will this action help us build the council?
* Will we empower our members and help them to feel that they can make a change?
* Will the work that we do together as a group help our members to feel more connected to each other and to the council?
II. OTHER COUNCIL ACTIVITIES.
Whether or not a council chooses to take on activities other than processing complaints is entirely up to the council. However, since complaint resolution may take time and can sometimes be frustrating, working on other projects can create a sense of excitement and change that can maintain and fuel council enthusiasm. Doing other activities can also lead to improvements in the facility and create a positive feeling toward the council that can assist in complaint resolution.
Below is a list of different activities that a council can organize.5 All of these benefit residents, staff and families in some way.
A. Education.
Providing education about a wide range of topics that affect nursing home residents helps families be better advocates for their loved ones.
You will want to select a topic that appeals to the majority of people. When thinking about a topic, consider what families ask about at council meetings or what problems families are experiencing. You can also generate a list of possible topics and have people indicate their preferences.
Possible topics include:
* Asking the administrator and department heads to describe their positions and responsibilities;
4 Family and Friends Councils Start-Up Packet. Friends and Relatives of the Institutionalized Aged, Inc.
5 Family Councils in Action. Advocacy Center for Long Term Care.
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* Asking the pharmacist, physical/occupational therapist, psychologist or other consultant to describe their role and function;
* Asking the administrator to explain the budgetary process;
* Residents’ Rights;
* Care planning;
* Long term care regulations and laws;
* How to impact the legislative process;
* Medicaid/Medicare;
* The Illinois Department of Health survey process; and
* Alzheimer’s disease.
Once you have chosen the subject, ask family members what they would like to know about the topic, and even to write down specific questions they have.
There are usually a number of speakers who are available free of charge in the community. You can ask the staff liaison and/or the ombudsman to recommend someone to you.
Provide the speaker with the information families want to hear about in advance to help them in preparing their presentation. You will also want to make sure that the speaker knows in advance how long to speak and how long you would like him or her to stay at the meeting.
B. Support.
A facility placement creates feelings of loss, grief, anger, and guilt. Family members often feel overwhelmed and isolated. Joining with others who are experiencing similar feelings can help family members to cope and learn from each other. It is comforting to know that you are not alone and that there are others who understand what you are going through.
In many ways, simply coming together provides support. However, a council can promote this support function by:
1. Setting aside a certain amount of time at each meeting.
During this block of time, members can talk about their personal feelings and problems.
Note: It would be best to do this toward the end of a meeting.
2. Creating a formal support group that meets separately from the council.
Support groups and family councils are two different types of entities that should not be combined into one because their functions are not identical. However, starting a support group for interested family members might be a project that the council could undertake. It could do this by looking for a trained facilitator or by training one or more of its own members to lead the support group. You might be able to obtain training in support group facilitation by contacting organizations such as the Alzheimer’s Association.
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C. Orientation For New Members.
Since most of us have never spent much time in a nursing home, placing a loved one in a facility for the first time can be very confusing and bewildering. Connecting with people who have been through the experience before can help families and their loved ones get off to as smooth a start as possible.
However, in order to provide orientation to new members, the council must know who the new members are. The best way to find this out is to ask the facility to provide the council with the names and phone numbers of new family members. If the facility is concerned about confidentiality, the facility can ask new families if they would like to have their name, phone number, and address released to the council. If so, the family can simply sign a consent form. A sample form can be found in Appendix 7. Other ways to connect with new families include:
* Asking all council members during their nursing home visits to make a point of greeting any families they have not seen before;
* Posting a sign welcoming new families and urging them to contact the family council president (whose name and phone number are listed on the sign);
* Having a family council bulletin board;
* Developing a council brochure and having the facility place it in the admissions packet; and
* Placing family council information in the lobby.
Ideas for orientation projects include:
* Holding an orientation meeting for new family members. The frequency of the orientation will depend on how often new residents are admitted to the home.
* Creating a welcoming committee whose members contact new families through a letter and then a follow up phone call.
* Developing a family council mailbox for notification of new residents’ names and room numbers and family member information.
* Writing a pamphlet or booklet introducing new families to the nursing home and the council. This information could be provided in the admissions packet or be available in the facility.
D. Monitoring Nursing Home Conditions.
In addition to monitoring your loved one, family members can keep an eye out for the general well-being of other residents as well. This does NOT mean that council members should violate residents’ rights to privacy, or that they should do anything that is invasive. It simply means keeping your eyes open to what is going on around you.
The council can educate itself about what good care in a nursing home looks like. Information is available in the Family Caregivers Guide published by the Legal
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Assistance Foundation of Metropolitan Chicago and the Evanston Commission on Aging
and from the local ombudsman.
Note: This information will help individual family members be more effective advocates for their own loved one too.
Monitoring might include:
* Checking on other families’ loved ones when you are visiting and letting them know if you see anything of concern; and
* Noting the condition of other residents you might see on the unit and letting staff know if you observe anything of concern.
In essence, you can form a sort of “neighborhood watch.”
E. Projects
Listed below are just a few of the projects that councils have successfully undertaken:
1. Project ideas to meet resident needs.
* Organize a visitation program for residents with few or no visitors;
* Establish and operate a gift shop or shopping cart to sell small items room to room;
* Provide transportation to activities, both inside and outside facility;
* Establish a fund for residents with special personal or activity needs;
* Set up a buddy system for family members and residents. Visit your buddy’s family member when your buddy is on vacation or sick; and
* Engrave all dentures and eyeglasses.
2. Projects to strengthen relationships between administration, staff, residents and the council.
* Organize staff recognition and appreciation events. Examples include having time clock breaks with homemade cookies or holding a pizza party;
* Cooperate on joint projects with the resident council; and
* Sponsor activities and events enjoyable to both residents and families.
Suggestion: Organizing a staff recognition and appreciation event can be a very good project for building a positive relationship with nursing home staff. If the facility has been “leery” about the formation of a family council, it might smooth the waters to begin council work with this type of event.
3. Projects benefiting families.
* Complete a family guide about the nursing home;
* Create a lending library of books and pamphlets relative to aging, specific health problems, etc.;
* Sponsor a family support group; and
* Develop a speakers program.
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3. Projects involving fundraising or donations.
Raise money for:
* A microwave for warming meals or snacks;
* A vegetable or flower garden; or
* A wheelchair accessible van.
F. Department of Public Health Surveys.
All nursing homes are inspected approximately annually by the Illinois Department of Public Health. When the inspectors (called surveyors), conduct their inspection they want to know how families feel about the care and services provided by the nursing home. Members of the family council can ask to talk with the surveyors when they are in the building (a sign on the facility door will let you know when the surveyors are on-site). While surveyors are not required to meet with family councils, many do. If a meeting with the entire council is not possible, the family council president or other family representative can talk with surveyors about council concerns.
It is a good idea to learn about the survey process and how the council can best convey its concerns to the surveyors. The ombudsman can provide you with this information and can help you prepare for a meeting with the surveyors.
Since you will not know in advance exactly when the surveyors will be in the facility, it is helpful to set up some type of “phone tree.” When anyone in the council learns that an inspection is taking place, he or she can immediately contact another member, who contacts another, and so on.
Prior to meeting with the surveyors, write out any problems or concerns the council has. Remember to provide as much specific information as possible (i.e. “who,” “what,” “where,” “when,” and “why”). When you meet with the surveyors, give them a copy of your concerns, as well as council minutes or any other documentation that supports those concerns.
Once the facility survey report is available, the council can review the results, which must be available in the nursing home. You may want to consult the Family Caregivers Guide published by the Legal Assistance Foundation of Metropolitan and the Evanston Commission on Aging to learn how to read an Illinois Department of Public Health survey and/or ask the local ombudsman to talk with you about how to interpret the results. The council can then monitor the facility’s correction of identified problems. If the problems appear to continue, the council should talk with the administration, the ombudsman, and the Department of Health.
G. Public Policy Advocacy.
There are times when a council will find that a problem it is trying to resolve is so widespread or endemic, that a more global approach must be taken. The council may find that putting “band aids” on a problem doesn’t work very well, and that a more lasting solution must be found. For instance, while the council may try to raise money to
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cover personal items for residents on Medicaid who can’t afford them, and while this is a wonderful council activity, the council is never going to be able to sufficiently help every one who needs assistance. The problem needs a systemic solution; for example, the amount of money that all residents on Medicaid are allowed to keep should be raised from the current amount. This involves changing existing laws and/or regulations.
Council members are in a good position to be able to speak to the need for changes in legislation, regulation or policy. There is no more powerful testimony than a consumer who has direct experience with a particular problem.
To change laws on the national level, council members can contact their U.S. senators or representatives.
However, the majority of councils that become involved in public policy advocacy do so at the state level. If your council is interested in legislative action, it may be a good idea to form a legislative committee.
Start by educating yourself about the legislative process in Illinois. Invite someone from an active consumer advocacy group to your meeting to provide you with an overview. (In fact, you may want to begin your legislative work by partnering with another group that has more experience.)
Below are a few suggestions for pursuing legislative change:
Clearly define the change you are seeking and put it in writing. Find as many examples as you can to support your case for a change.
* Contact legislators for support long before the legislative session begins.
* Seek support from other groups and individuals.
* Get residents and other families to tell their stories.
* Meet with key legislators.
* Conduct a letter writing campaign.
* Get media coverage.
* Contact the Governor’s office.
* Keep up-to-date on what is happening with the bill. Develop a way to get an “alert” out quickly if you need supporters to contact legislators.
* Show appreciation for all those who worked on the bill – even if it doesn’t pass!
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CHAPTER 5
KEYS TO SUCCESS:
RUNNING EFFECTIVE MEETINGS
Effective, well-run meetings are essential to a council’s well-being. There is no faster way to destroy a council’s energy and focus than to have chaotic, disorganized and frustrating meetings!
Successful meetings result from hard work before, during and after a meeting. Tips for holding effective meetings are outlined below.
I. ESTABLISH GROUND RULES.
Establish some “ground rules.”6 These can help to promote good communication without hurt feelings. Examples of some ground rules are:
* Discussions are confidential and should not be shared with others outside the council meeting.
* Set a time limit for meetings and keep to it.
* Discuss IDEAS at meetings, not individuals.
* Protect resident privacy by not discussing specific medical problems and by not mentioning residents’ names if possible.
* If disagreeing, do so with respect.
* If disagreed with, do not take it personally.
* Only one person should speak at a time – others should be listening.
* Everyone’s input has value and should be acknowledged.
* Discuss one topic at a time.
* Use facts, not assumptions.
II. USE COMMITTEES.
Use committees if the council meetings become too long. Committees allow the council to move forward on projects and issues, without having to spend hours on the details. Council time is spent hearing the committee report and acting on committee recommendations. If the idea of committees is not appealing to family members, you can simply ask for someone to take the lead in coming up with some ideas in an area and ask if there are others who would help that person . Families may feel less intimidated by this approach.
6 Centralina Area Agency on Aging/Ombudsman Program: Family Council Guidebook. 1999.
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III. PREPARE FOR THE MEETING.
The groundwork for effective meetings starts with the development of an agenda for the meeting. The organization, “Friends and Relatives of the Institutionalized Aging” (FRIA) recommends that whoever is responsible for preparing the agenda:
* Review the minutes from the previous meeting to remind them what items were postponed, what was to have been done between meetings, and what needs to be reported on.
* Organize the agenda in terms of new/old business.
* Indicate the responsible person and time frame for each item.
* Make each agenda specific to the meeting.
* Put the most important information in the middle of the agenda since that’s when most people will be there.
* Include time for concerns to be raised/discussed.
* End on a positive note.
See Appendix 8 for sample council meeting agendas.
Distribute the agenda at least one week prior to the meeting:
* Post it at the nursing home.
* Send it to members.
* E-mail it to members.
* Have copies available to pick up at the facility.
IV. TIPS FOR CONDUCTING THE MEETING.
The meeting leader is primarily responsible for seeing that meetings go well. The leader should:
* Have a sign-in sheet to collect names, addresses, phone numbers and e-mail addresses of participants.
* Start on time.
* Post ground rules during meetings.
* Introduce meeting participants, especially those attending for the very first time.
* Ask people to raise their hand when they wish to speak.
* Ask people to speak in the order in which they raised their hand.
* Be firm about sticking to the agenda. When members raise issues that are not on the agenda and there is no time for discussion, ask them if they would like the issue to be taken up at the next meeting.
* Be firm about time frames without cutting off good discussion. If an item takes longer than planned for, members can vote to continue the discussion and postpone other agenda items.
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* Ask for the opinion of silent or less active members. Those who are shy may be overwhelmed by those who dominate the group. The leader can do this by saying, “We’d like to hear from everyone. Would anyone who hasn’t spoken like to comment?”
* Periodically summarize what has been said and ask for additional input. For instance, the leader can say, “We have 3 ideas for involving new families. Does anyone have a fourth idea?”
* If members debate among themselves and the debate is not pertinent to the discussion, ask them to continue their discussion after the meeting.
* When there has been sufficient discussion on a point, move the group toward action:
* Determine the steps needed for action; and
* Determine who is responsible for each step and time frames for those actions
* When tasks are identified that need to be done, ask members who will take on that task. If no one volunteers, ask two people if they would see that it gets done. Try to match skills of individuals to needs of the council.
V. KEEPING THE MEETING ON TRACK.
The following are suggestions for how to structure time for family input at council meetings so that members can share their experiences and issues, but not take up the entire meeting on any one item.
Note: The leader should suggest the proposed structure before beginning the discussion so that everyone understands and agrees to the approach being used.
A. Timekeeper.
Establish the amount of time that each person will be allowed, then appoint a timekeeper with a good sense of humor who can watch the clock and let people know when their time is up
B. Use parliamentary procedures or some established guidelines for guiding discussion.
C. Notecards.
Give people notecards to submit their feedback or most important issues. You can then sort the cards and form committees by issue.
D. Sentence limit.
Have the group agree upon a limited structure for expressing issues. For example, “in five sentences or less, describe the most important issue you think the council should work on.”
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VI. AFTER THE MEETING.
* Prepare minutes and distribute prior to the next meeting. See Appendix 9 for sample minutes.
* Periodically evaluate the effectiveness of the meetings. Do this formally through a written survey and informally by asking members after meetings. Implementing their suggestions will make members more likely to feel comfortable voicing any suggestions for improvements they might have.
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CHAPTER 6
KEYS TO SUCCESS:
TECHNIQUES FOR PRIORITIZING ISSUES, GATHERING
INPUT, AND BRAINSTORMING AT MEETINGS
Group process and group decision-making are critical to successful council work. This
chapter provides you with some suggestions for how to use a democratic approach to
guide the council’s work.
I. PRIORITIZING ISSUES.
One possible approach is outlined below.
* Ask members to each write down 3 things they would like to have changed about the home. (You can obviously use this for other issues besides changes people would like to see in the home.)
* Collect the papers and write all the ideas on a flip chart. Do not duplicate similar ideas. Do not indicate which ideas were listed by more than one member.
* Ask each member to choose the three items they feel are most important for the council to address. Have everyone rank their three issues, marking “10” for their highest priority, “7” for their second priority, and “3” for their third priority.
* Collect the rankings and calculate a cumulative score for each item on the flip chart.
* Create a family council priority list ranging from the highest scored to the lowest scored item.
II. GATHERING INPUT AND MAKING DECISIONS.
You can try the following method:
* Ask everyone to come up with a list of their own ideas on a particular topic or question.
* Go around the room and ask each member to name something from their list. Write that item on a group list.
* Once the group list is developed, vote to select the topic or issue.
This approach gives everyone a chance to participate and the combined list will represent the best thinking of everyone.
III. BRAINSTORMING.
Brainstorming is when a group throws out as many ideas as possible, without discussing the merits of any one idea.
Steps include:
* Writing down each idea on a flip chart as it is presented.
* Discussing each idea.
* Rejecting ones that the group does not think are appropriate.
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* Narrowing the list down to the best choices.
* Voting on the idea to be selected.
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CHAPTER 7
KEYS TO SUCCESS:
PROMOTING PARTICIPATION
IN THE COUNCIL
To develop, grow and maintain a council, you must promote it enthusiastically and continually from the very beginning.
Ideas for promoting a family council include:
* Designing a brochure about the council and asking the facility to include it in the admission packet. Be sure to include a contact person’s name and number.
* Setting up a welcome table on a weekend day in the lobby to introduce visiting families to the family council and to hand out materials.
* Taking turns being responsible for calling members to remind them of an upcoming meeting.
* Posting flyers about the family council and its next meeting in the facility.
* Developing a family council poster and hanging it in the facility.
* Creating buttons for members to wear that say something like, “Ask Me About Our Family Council!” or “Ask Me How You Can Make A Difference in Residents’ Lives!”
* Establishing a buddy system with new families by asking the facility to get permission from new families at admission to release their phone number to the family council. A current council member then “adopts” the new family member.
* Using “wing representatives” to recruit new members and advertise meetings. Families who visit frequently and for long periods of time may be ideal for this role.
* Developing a family council newsletter and asking the facility to send it to all family members (or ask for donations from families and have the council send it or ask that the newsletter be included in other facility mailings, etc.).
* Using a sign-in sheet at meetings to gather names, addresses, e-mail addresses, and phone numbers. Use this information to remind members of upcoming meetings either by phone or by e-mail.
* Putting notices in the nursing home’s newsletter.
* Publicizing information about the council in local newspapers, periodicals, television or radio.
* Posting notices on cars outside of the home.
* Asking the long term care ombudsman to recommend the council to family members who contact him or her.
* Personally inviting any new family member you meet in the facility.
* Mailing an announcement about the next council meeting to all members, and preferably, to all families. Ask the nursing home do this mailing for you. (If the facility can’t or won’t do a separate mailing, the council can do this or request that the facility include notification about family council meetings with monthly billing statements sent to families.) See Appendix 10 for a sample council meeting notice.
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* Making arrangements with the social worker or the administrator to get regular updates of new families’ names.
* Sending a welcome letter to each new family and following this with a call. See Appendix 11 for a sample welcome letter.
* Placing the name and phone number of a family council contact person at each nurse’s station and in the lobby.
* Requesting a special family council bulletin board in a central location.
* Asking the facility social worker or other staff person who meets with families upon admission to tell families about the council and urge them to attend.
* Sending out regular updates to family members.
* Walking the halls at different times with a handout or brochure about the council.
* Sponsoring an activity such as a tea or a cookout.
* Holding a membership drive.
* Publicly thanking members who have taken an active role and congratulating those who have done good work.
* Celebrate and publicize council successes.
Keep in mind that the number one reason people volunteer their time in any type of organization is because they were asked!!!
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CHAPTER 8
BUMPS IN THE ROAD
I. DEALING WITH OBSTACLES TO COUNCIL DEVELOPMENT.
In February 2000, the National Citizens’ Coalition for Nursing Home Reform conducted a survey of family members, ombudsmen, and nursing home facility personnel in Maryland to gather information about their particular experience working with family councils. The survey identified many obstacles to family council development, as well as many successes and positive contributions made by family councils (see Chapter 11 for “Family Council Successes”).
The table below outlines the obstacles identified in the project, along with some possible solutions.
OBSTACLE
POSSIBLE SOLUTIONS
Family members lack time
•
Begin and end meetings on time. If family members see that meetings are efficient and purposeful, they will be more likely to come to future meetings.
•
Share leadership responsibilities and delegate small tasks to members so that the time commitment for individual members is not too substantial.
•
Make use of agendas to keep meetings on track.
•
Schedule meetings at times that are convenient for family members.
Family members lack interest
•
Introduce yourself to other family members on your loved one’s unit. Ask them about how they’ve felt about the care provided to their loved one and any ideas they have about needed improvements. Family members will respond to a personal invitation more readily than a letter or flier.
•
Explain the rights of family councils to other family members and the potential that family councils have to promote improvements at the home.
•
Introduce the concept of a family council in a positive way.
Family councils can be useful for advocacy as well as information sharing and support. All nursing homes have room for improvement and new ideas.
Family members fear retaliation
•
If family members are reluctant to be seen at family council meetings, discuss the possibility of meeting off-site so that family
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members will feel more comfortable coming to meetings.
* Explain that family council members give each other support and strength. Also point out that issues or concerns will be presented to the facility administration as a group, not an individual, concern.
Present the family council positively to both family members and nursing home personnel.
Council members get
discouraged easily
* Pick both short and long-term “achievable” goals so that the council can see concrete progress. Make sure that council goals are firmly rooted in the common concerns and interests of the members.
* Meet at least once a month to assure continuity and ability to identify goals and work toward them.
Family members lack information and education
* Contact NCCNHR with questions or need for guidance.
* Use the ombudsman program as a resource.
* Ask the facility to arrange for speakers of interest.
The family council experiences resistance from the nursing home
* Have a few leaders meet with nursing home management separately to introduce the council and its purpose in a positive manner.
* Communicate constantly and try to respond positively to concerns the facility may have.
* Know the rights guaranteed to family councils by federal regulations.
* Seek the assistance of outside agencies if necessary.
* Discuss and come to clear agreements with facility personnel about what can be accomplished and expect that personnel will follow through on those commitments. Follow up on verbal communication with communication in writing to prevent misunderstandings.
Difficulty getting names of other family members
* See above for suggestions on how to work with the facility.
* Start a “buddy system” where council members greet new families and invite them to council meetings.
Keep a sign in sheet for each meeting and gather contact information.
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For more information, contact:
Gail MacInnes or Elma Holder, National Citizens’ Coalition for Nursing Home Reform, 1424 16th Street, NW, Suite 202, Washington, DC, 20036, tel. 202-332-2275, fax. 202332-2949, e-mail: gmacinnes@nccnhr.org or eholder@nccnhr.org, website: http://www.nccnhr.org.
II. DEALING WITH COMMON PROBLEMS THAT ARISE DURING COUNCIL MEETINGS. 7
Councils can also encounter problems once they have formed. Here are some strategies for dealing with some typical family council problems.
Problem 1
Somebody states that meetings are a waste of time and that nothing ever gets
accomplished. The council and the council leadership are criticized.
Approach:
* Don’t get defensive.
* Acknowledge that person’s opinion and agree to disagree.
* Invite the person to be more active – give them a concrete task that fits their area of concern. For example, the group leader can say, “You seem like someone who has many good ideas about how to improve nursing care and a lot of energy. We need people like you to make the council stronger. Why don’t you join our nursing committee?”
* Invite the person to submit specific suggestions for improving the meeting.
* Don’t get drawn into a debate. Move on and offer to speak after the meeting.
Problem 2
Person spends the entire meeting on their individual issue and takes up lots of time with
his or her situation.
Approach:
* Follow the council’s policy on handling individual concerns.
* Refer the person to appropriate nursing home staff.
* Refer the person to the long term care ombudsman.
* If the individual issue is a common concern or recurring group concern, put it on the agenda for the next meeting. Give the individual sources for help in the meantime.
* Kindly, but firmly, explain that the meeting needs to cover the items on the agenda and that the leadership could meet for a short time after the meeting to brainstorm with the person about possible suggestions.
7 Family & Friends Councils Start-Up Packet. Friends and Relatives of the Institutionalized Aged, Inc.
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Problem 3
Family member feels discouraged and hopeless about making any changes. Comments
during the meeting in a negative way that serves to discourage others.
Approach:
* Validate the person’s feelings. For instance, you might say, “I know sometimes we all feel very discouraged. It’s difficult to see your loved one suffer and to feel like there’s nothing you can do to help.”
* Offer family council work as an effective way of making change together with others who understand their feelings of discouragement. Many times people have gotten nowhere with individual advocacy, but have not tried advocating within a group.
* Highlight any past successes the council has had.
* Talk about success as a result of being organized and having committed members who are willing to do work.
Problem 4
One family member dominates the meeting and others have a hard time getting a chance
to express their opinions and ideas.
Approach:
* Use the meeting procedures laid out in the by-laws.
* Ask silent members for their thoughts.
* Set time limits for individual comments on any one topic.
* Speak privately with the person if necessary.
Problem 5
Person is off topic and is not following the group discussion or agenda.
Approach:
* Gently say, “What you’re saying is important, but I’m not sure how it relates to the topic of discussion which is .... Could you please make the connection clear?”
* Redirect speaker to more appropriate section of agenda. “It seems like your concern or comment is more applicable to point number 3 on our agenda. Could you hold your comment until then?”
Problem 6:
Person interrupts others and speaks out of turn.
Approach:
* Use the method of participation established in the by-laws (for example, members shall raise hand and be recognized by chair”). Refer to these mutually agreed upon procedures when members get out of line.
* Don’t allow people to interrupt one another. Step in quickly and respectfully.
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A FINAL NOTE ABOUT STARTING
A FAMILY COUNCIL
Remember that it takes TIME!!!
One member of a new family council recounts their approach:
“Our attitude is that any business takes a start-up period. We’re a little business and we have to run like a little business, and we have to have people who persevere rather than get discouraged. We’re making inroads: We have a forum; we have strong representation; our materials are out there and seen. We have a good core membership, direct communication with the administrators and managers, and there is some improvement in response to individual concerns. But there are a lot of problems that we have not successfully approached. But we persevere. We pay attention to detail. We do not treat the council like a club. We’re totally self-determining and self-organized. We instruct our members to be more proactive. We really have to keep chipping away.”
From: Family Education and Outreach: Final Report. A Project of the National Citizens’ Coalition For Nursing Home Reform.
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CHAPTER 9
MAINTAINING THE COUNCIL
It takes constant work to maintain an ongoing active council. Some important ways to do this include:
* Recruit! Recruit! Recruit!
* Promote council participation all the time! See Chapter 7 for detailed ideas on how to do this. If you’ve tried one approach and it hasn’t worked, try something different.
* Arrange for the immediate welcoming of new families. See Chapter 4, section II. C. for ideas on how to do this.
* Communicate effectively with staff.
* Periodically review your system for communicating with staff to see if it is working for families and staff.
* Make it a point to meet new department heads. Invite them to a council meeting.
* Host staff appreciation events.
* Ask to participate in new employee orientation to present the family perspective.
* Periodically review the mission statement to make sure it still reflects council goals.
* Replace departing officers quickly.
* Constantly work to develop new leaders.
* Consider “succession planning,” i.e. having the vice president automatically be in line to run for president so that he or she will already be familiar with the
organization and a leadership role.
* Don’t overburden any one member of the council with council work.
* Track attendance at council meetings. Call family members who have not attended a meeting to tell them their presence was missed. Report what happened at the meeting and tell them that you hope to see them at the next meeting.
* Periodically review, and if appropriate, change council priorities.
* Encourage family members to communicate directly with council leadership. Get a private family council mail box or a private suggestion box in the facility.
* Build council spirit:
* Appoint a “Coordinator of the Health and Welfare of the Council.” Assign one or more people to keep an eye on council morale and to arrange “pick me-ups.”
* Establish traditions. These help to create a sense of unity and solidarity.
* Create a logo or motto for the council to foster a sense of team.
* Hold a social event such as a potluck dinner.
* Celebrate council successes:
* Publish an “annual report” that states your accomplishments for the past year.
* Keep everyone up to date on where you are with council projects – this helps keep momentum going and provides impetus to continue moving forward.
* Be on the look out for new ideas and new projects.
* Ask the ombudsman to come in and speak to the council about what other councils in the area and nationally are doing.
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* Choose a sister council to share ideas with.
* Gather input for project ideas from staff and residents.
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CHAPTER 10
STRENGTHENING THE COUNCIL
The first step in strengthening your council is to try to determine where the council’s weaknesses lie. Once the problem areas have been identified you can focus on the appropriate “remedy.”
I. EVALUATE YOUR COUNCIL.
Start by having the entire council complete the Council Evaluation Quiz at a council meeting. The quiz is found in Appendix 12.
II. ANALYZE THE QUIZ RESULTS.
A. Do An Initial Analysis.
Ask each person to count up the total number of points based on the following point system: each “yes” answer is 2 points; the bonus question is worth 16 points.
Determine the average score for the council by totaling all the scores and dividing by the number of tests included in the count. A score of 50 or less may indicate council weakness.
B. Do Further Analysis If There Is Possible Weakness.
Ask for a volunteer to do a more in-depth review of the results by figuring out the average number of “yes” and “no” answers per category. Rank the “yes” and “no” categories in descending order – from the most number of “no’s” and the most number of “yes’; to the fewest. This can be done between meetings and the information distributed to members prior to the next meeting. Ask members to come prepared with ideas about what issues to address and possible solutions.
C. Applaud Council Successes.
At the next meeting, the council should discuss the more in-depth analysis. Begin by looking at the “yes” answers and congratulating yourselves on the good work you have done! Celebrate and applaud that accomplishment; it is very important to acknowledge where the council has been successful.
D. Decide Where To Focus Council Improvement Efforts.
Next, look at the categories with the greatest number of “no” answers. These indicate areas where the council could be strengthened. Decide which category you wish to address first. This could be the largest category or one of the “top three.”
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E. Develop And Implement An Action Plan To Address The Area.
There are different ways in which members can work to strengthen an area of weakness. One approach is to use the following problem solving process:
Note: Consider having the ombudsman or an outside facilitator help you with this process.
1. Identify exactly what it is in that category that is problematic.
2. Conduct an inclusive brainstorming process to come up with ideas for addressing those specific problems.
3. When considering how to strengthen an area, start by going back to the basics in that particular category. For instance if the category with the greatest number of “no’s” is that of “Council Infrastructure/Organization,” revisit that section in this manual. If most of the problems lie in the category of “Council Meetings,” look at that part of the manual. Are there ideas in this section that the council has not yet tried or not fully implemented?
4. Ask the ombudsman for suggestions based on his or her knowledge of the council’s efforts to-date and successful models he or she has seen in other councils.
5. Ask the ombudsman to connect you with family council members in other facilities so that you can learn how they have addressed this issue.
6. Call individuals identified on the Resource List in Appendix 13 and ask them for suggestions.
7. Once you have decided on what is to be done, determine who will be responsible for those steps and the time frames.
8. Write up the “plan of action” and distribute it to all council members so that everyone is very clear about what was agreed upon.
The plan of action should include:
* General area to strengthen;
* Specific problems to address;
* Goals; and
* Specific action steps (what is to be done, who is responsible, due date).
E. Evaluate The Success Of The Action Plan.
1. Evaluate the success of the plan of action at the end of the established time frame. If
the council has been successful, it should move on to address another issue.
59
2. If the council has not accomplished its goal, it should reevaluate and revise its plan of
action. Again, the ombudsman may be able to provide suggestions or may be able to connect your council to other family councils that may have successfully dealt with this problem.
Note: It may be possible to address more than one area at a time, but be careful not to take on too much at one time.
60
CHAPTER 11
FAMILY COUNCIL SUCCESSES8
There will be ups and downs in the development and maintenance of a strong council. Keep in mind that the hard work is well worth it for the improvement you can make in the lives of residents, staff and families!
Family councils can make a difference and are doing so all the time!! Here are just some of the success stories from around the country:
* A family council’s expressed concern about mouth care resulted in a staff in-service training on mouth care for staff.
* A meeting with facility management improved staffing assignments and stopped staff rotation.
* A family council did its own survey about family member concerns, issued a report, met with management and regional corporate representatives about concerns. As a result of the meeting, some improvements have been made.
* Family council advocacy resulted in better services to residents such as food (more of their preferences) and daily care (more individualized to residents such as bathing, activities at specific times of the day).
* A family council persuaded the administrator to require staff to put date/time on resident disposable briefs when changed.
* The facility agreed to provide towelettes and to direct staff to wipe residents’ hands at meals.
* One council got grievance/commendation forms at each nurses’ station and drinks at each bedside.
* Family councils sponsored staff appreciation and educational programs.
* One council worked out billing/delivery issues with the facility pharmacy representative for the nursing home.
* A family council got a family council notice board, and notice of the family council in admission packets.
* One council kept a notebook list of concerns, date addressed, plans by the facility to rectify/resolve the issue, and date of completion - the council reviews the list monthly for continuation.
* A family council conducted a staff appreciation event.
* Family council meetings opened communication lines with family and staff and offered some support to the families.
* Family council meetings provided an opportunity to meet in an open forum and discuss issues honestly.
* Family council efforts improved education and communication between families and facility.
8 Maryland Family Council Project. National Citizens’ Coalition for Nursing Home Reform. Final Report.
61
* A family council developed a program to provide support to families during a resident’s dying process.
* Educational programming is routinely scheduled to meet the caregiving needs and personal interests of the council members.
* A family council sponsored an annual Christmas party for staff’s children.
* A family council initiated an Employee of the Month recognition project.
62
Would you like to meet others sharing similar
experiences to you?
Are you interested in working with other families and the nursing home to enhance the quality of care and life for residents?
Would you like to voice your opinion on nursing
home issues?
Please join us in organizing a Family Council!
INTRODUCTORY MEETING
DATE:
TIME:
LOCATION:
For more information, contact:
63
Dear Family Member:
We cordially invite you to attend the first meeting of the Family Council here at name of facility.
The purpose of a council is to bring interested relatives and friends of residents together to discuss common concerns and work with the nursing home to take action for positive change aimed at enhancing the environment and quality of life of the residents.
By joining the council you can meet others who share your experience and desire to make name of facility an even better place for our loved ones to live and for staff to work.
FIRST COUNCIL MEETING
DATE:
TIME:
LOCATION:
If you have any questions, feel free to contact member of leadership committee or other family member.
We hope to see you on date!!
Sincerely,
64
NEGOTIATION TECHNIQUES
Negotiation involves bargaining with another party to arrive at a binding agreement.
In negotiations, it is critical for you to know:
1. whom you are representing
2. what problem you want to solve, and
3. what may be acceptable solutions.
Negotiation should not be entered into without knowing what can and cannot be done by all parties to achieve the desired results.
When you plan to negotiate in a formal session:
1. Prepare an agenda so that you do not get sidetracked from the items you want to discuss.
2. If the facility spokesperson promises that certain things will be done, you should ask for a timetable by which they will be carried out.
3. If the solution to a problem involves a change in facility policy or is dependent on promises made by the facility, ask for a written agreement.
4. It is always a good idea to follow any formal session with a letter summarizing the results.
5. Any actions agreed to should be monitored to determine if, in fact, the changes are made.
An excellent resource on negotiation is the book titled, Getting to Yes. This book discusses the strategy of principled negotiation. Following are the key elements of principled negotiation:
* Negotiate on the merits.
* Recognize that the participants are problem-solvers.
* Concentrate on achieving a wise outcome, reached efficiently and amicably. To do this, you must:
* Focus on solving the problem.
* Refrain from trying to score debate points or outsmart the other party.
* Separate the people from the problem.
* Be soft on the people, hard on the problem.
* Proceed independent of trust.
* Be aware that the other person probably perceives the situation differently than you do.
* Do not react to emotional outbursts. Let the other side let off steam.
* Phrase your proposals in terms of what you think will solve a problem, not in terms of what they should do.
* Focus on interests, not positions.
* Explore interests.
65
* Realize that each side has multiple interests. Try to find compatible ones that can form the basis of a solution.
* Avoid having a bottom line.
* Invent options for mutual gain.
* Develop multiple options to choose from; decide later.
* Look for solutions that allow both sides to gain something, in contrast to compromises where both sides lose something.
* Try to develop a win-win solution based on shared interest.
* Insist on using objective criteria.
* Try to reach a result based on standards independent of will such as laws, written rules, outside experts.
* Reason and be open to reason; yield to principle, not pressure.
Much of the success of your negotiation will depend on your preparation. It is necessary to have a very clearly defined negotiating position. One of the easiest ways to come up with a negotiation position is to decide what it is that the council is actually prepared to accept as a settlement for the issue. This decision needs to be made by the whole council or as many people as possible. It is also important that all of the members of the council have a sense of what can really be accepted as a settlement so that they don’t feel the negotiating members have “sold out” when they compromise on the initial demand.
66
Sample Consent To Release Name Form
I hereby authorize and request to release
my name, address and phone number to a representative of the family council for purposes of contacting me.
Date Signature
67
FAMILY COUNCIL SELF-EVALUATION QUIZ
Put a “yes” or “no” next to each question based on your honest opinion of the council.
I. COUNCIL INFRASTRUCTURE/ ORGANIZATION
1. Does your council meet regularly?
2. Does your council meet at least monthly?
3. Is your council led by family members?
4. Does your council have leaders elected by family council members?
5. Does your council have a written mission/purpose and bylaws?
6. Are minutes kept of meetings and retained?
7. Are announcements of meetings and council minutes posted or readily available?
8. Is there an established system for communicating concerns to the nursing home administration and staff?
9. Do council representatives meet on a regular basis with nursing home administration?
II. COUNCIL MEETINGS
1. Are meetings held in an environment that is conducive to discussion?
2. Do meetings have a planned agenda and do all participants know what is on the agenda?
3. Are meetings on track and focused?
4. Are members’ opinions respected?
5. Are meetings a good length of time?
6. Do staff and administration attend only at council invitation?
III. FAMILY PARTICIPATION IN COUNCIL
1. Do you feel that most families and friends are aware of the council and its purpose?
2. Is there a core group of families and friends that attends most meetings and offers help?
3. Is information about your council readily available to families who are new to the home?
4. Do you think most council members feel they can speak honestly at meetings?
5. Are council projects and tasks spread among members so no one person is overwhelmed?
IV. PROCESSING COUNCIL CONCERNS
1. Does the council focus on problems experienced by many families, rather than the problems of one individual?
2. Does the council have a system in place for processing family concerns?
3. Is this system effective?
V. COUNCIL ACTIVITIES
1. Are projects and programs varied enough to reflect the interest of different members?
68
2. Do all members feel they have had input into the selection of council projects?
3. Is the council involved in welcoming or orienting the families of new residents?
4. Is your council knowledgeable about the duties, functions, responsibilities of the various departments with the facility?
5. Has the council sponsored a special event or activity for families, residents or staff?
VI. NURSING HOME STAFF PARTICIPATION IN COUNCIL
1. Do you think most of the staff are aware of the council’s existence and purpose?
2. Is information about the council included in staff orientation, trainings or meetings?
3. Has a staff liaison been chosen to work with the council?
4. Could the council continue to function at its current level if the staff liaison left?
VII. ADMINISTRATION PARTICIPATION IN THE COUNCIL
1. Do you feel the administration is supportive of the council?
2. Is there a system for informing the administration of council meetings and activities?
3. Does the administration keep the council informed of news and changes in policies and regulations?
4. Does the administration seek the council’s opinion on policies, procedures and other issues regarding the nursing home?
5. Is the administration responsive to council concerns and recommendations?
VIII. SPECIAL 16 POINT BONUS QUESTION
Do you feel that the council has had a positive effect on families, residents and the home?
69
RESOURCES
Books
Advocacy Center for Long-Term Care, 2626 E. 82nd Street, Suite 220, Bloomington, MN 55425-1381, Tel. 612-854-7304
* Attracting Short-Term Residents and Their Families to Resident and Family Councils. (1997).
* Discussion Topics To Stimulate Participation in Family Council Meetings.
* The Effective Council Advisor: A manual for advisors of resident and family councils in nursing and boarding care homes. (1997).
* Family Council Purpose. (1997).
* Failsafe Your Family Council (1997)
* Family Councils in Action: A manual for organizing and developing family councils in nursing and boarding care homes. (1994).
* Framing a Bill of Rights and Responsibilities for Residents’ Families. (1997).
* Increasing Council Participation (1997)
* Making the Most of Cultural Diversity. (1997).
* Minnesota’s Nursing Home Residents’ Bill of Rights. (1997, Jan.)
* Promoting Your Family Council (1997)
* Recruiting Members for Your Family Council
* Team Building in Resident and Family Councils. (1997).
* What Do Family Councils Do?
* From the Family’s Perspective: A training video to help staff understand the family’s perspective and expectations while a loved one lives in a nursing home. (1998).
Friends and Relatives of Institutionalized Aged (FRIA), 11 John St., Suite 601, New York, N.Y. 10038, Tel. 212-732-4455
* Family and Friends Councils: Start-Up Packet.
* FRIA Bulletins: Family Councils.
California Advocates for Nursing Home Reform (CANHR) 1610 Bush St., San Francisco, CA 94109, tel. 415-474-5171
* Organizing Family Councils in Long Term Care Facilities.
People
Patrice Carpenter
Regional LTC Ombudsman
Ark-Tex Area Agency on Aging
P.O. Box 5307
Texarkana, TX 75505
(903) 832-8636/(800) 372-4464
aaa@atcog.org
70
Virginia Cross
Advocates for Nursing Home Residents
9901 Satterfield Drive
Little Rock, AR 72205
(501) 225-4082
vacross@juno.com
Geoff Lieberman
Executive Director
Coalition of Institutionalized Aged
& Disabled (CIAD)
Brookdale Center on Aging
425 E. 25th Street, Room 818
New York, NY 10010
(212) 481-4348
Catherine Macomber
Regional LTC Ombudsman
Citizens for Better Care
6722 East Curtis #2
Bridgeport, MI 48722
(800) 284-0046
Gail MacInnes
Family Liaison
National Citizens’ Coalition for Nursing Home Reform
1424 16th Street, NW, Suite 202
Washington, D.C. 20036-2211
(202) 332-2275
Patricia McGinnis
Executive Director
Calif. Advocates for Nursing Home Reform
(CANHR)
1610 Bush Street
San Francisco, CA 94109
(415) 474-5171
71
PHCM9148
Research Project
Guidelines
FOR STUDENTS,
SUPERVISORS AND EXAMINERS
UNSW School of Public Health and Community Medicine
CRICOS Provider Code: 00098G
Acknowledgements
The original (March 2010) version of the Major Project Guidelines was prepared by:
Dr John Frith
Dr Roslyn Poulos
Mr Alan Hodgkinson
Ms Karin Banna
This document was revised for small projects and updated in 2014–2015 by:
Professor Juliet Richters
Associate Professor Andrew Hayen
Associate Professor Joanne Travaglia
Dr Patrick Rawstorne
Mr Michael Bowen
Mr Phillip Raponi
Ms Vanessa Green
School of Public Health and Community Medicine
Faculty of Medicine
University of New South Wales
Sydney NSW 2052
An electronic copy of this publication is available at:
https://sphcm.med.unsw.edu.au/current-students/postgraduate-coursework/research-project
© 2015. The School of Public Health and Community Medicine, University of New South Wales. CRICOS Provider No: 00098G. Previously published material in this book is copied on behalf of the University of New South Wales pursuant to Part VB of the Copyright Act as amended.
Contents
Section 1: The project 1
How does a project fit into a coursework degree? 2
Aims and objectives of a project 3
Benefits of doing a research project 3
Section 2: For students (and supervisors) 5
What is a project? 5
Choosing and working with a project supervisor 8
Finalising your project proposal 10
Structuring your project report 12
Resources for writing project reports 14
Academic honesty and plagiarism 16
Presentation of your project report 18
Submitting your project report 18
Examination of your report 19
Section 3: For examiners 21
Introduction 21
Important general considerations for examiners 22
Assessment criteria for the report 23
Appendix: Examples of previous projects 27
UNSW School of Public Health and Community Medicine i
Project guidelines
Section 1
The project
Students who are enrolled in one of the following programs:
* Master of Public Health (9045)
* Master of Health Management (8901)
* Master of International Public Health (9048)
* Master of Public Health/Master of Health Management (9047)
* Master of Public Health/Master of International Public Health (9043)
* Master of International Public Health/Master of Health Management (9044)
may choose to replace one of their coursework electives with a 6 unit of credit (UoC) research project. (Students in programs or specialisations with specified electives should check that Research Project is specified as one of the permitted electives.)
A project is an in-depth study of an issue or topic in public health, health management or international health. It may be in the form of a small-scale research study, a case study, a program evaluation or a report on a field placement.
Although candidates are advised to start planning a project early in their program, it is normally undertaken after completion of core courses. Students wishing to enrol in a project must obtain permission from the director of their degree program or the convenor of their specialisation.
When planning a project, you should also consider your coursework choices. If possible, you should complete PHCM9498 Epidemiology & Statistics for Public Health in your first semester, as it provides basic skills for analysing and interpreting quantitative research. Other courses which provide specific skills for research include:
UNSW School of Public Health and Community Medicine 1
PHCM9148 Research Project Guidelines
PHCM9120 Qualitative Research Methods
PHCM9132 Applied Research Methods for Public Health
PHCM9517 Advanced Biostatistics and Statistical Computing
PHCM9518 Advanced Epidemiology
PHCM9520 Advanced Social and Behavioural Epidemiology
See SPHCM website http://sphcm.med.unsw.edu.au/current-students/postgraduate-coursework/course-offerings and click through to read the outlines of the courses.
These guidelines provide information on the scope of projects and what students should aim to achieve, how to plan the project, important considerations, and what examiners will be looking for.
How does a project fit into a coursework
degree?
An option to undertake a project is available in each of the following MPH plans (specialisations):
* MPH in Health Economic Evaluation
* MPH in Health Promotion
* MPH in Aboriginal Health and Wellbeing
* MPH in Infectious Disease Epidemiology and Control
* MPH in International Health
* MPH in Primary Health Care
* MPH in Quantitative Research Methods
* MPH in Social Research
The project provides an opportunity for a range of different types of research. For example, you could study the prevalence of a public health problem using a range of different data sources, design an intervention and evaluate it, complete a small epidemiological survey, or study client use of a health service.
For the Master of International Public Health, the project provides an opportunity to undertake an in-depth study of an issue in international or global health. The research may focus on data collected in or outside Australia provided it has relevance to international or global public health.
For the Master of Health Management, the project provides the opportunity to undertake an in-depth study of an issue in health services management. This could be (for example) a small behavioural research project on health care workers, or a study of an institutional response to an infectious disease, or a critical review of an operational, organisational or management issue.
2 UNSW School of Public Health and Community Medicine
Section 1: The project
Aims and objectives of a project
While projects vary in their aims, scope and design, they should be designed so as to allow you to demonstrate your ability to apply the principles of research at a postgraduate level. In reporting on the project, you should show that you can:
* Identify and define a significant issue relevant to the discipline of the degree
* Systematically collect relevant up-to-date information about the issue, either directly or from published studies or publicly available data
* Analyse, interpret and discuss the information in accordance with standard academic and health research practice
* Draw conclusions and make recommendations relevant to the issue that will contribute to current knowledge and practice in health
* Write and present a report in accordance with academic standards at a postgraduate level.
Benefits of doing a research project
Completing a project as part of your coursework degree is an opportunity to:
* learn to read and interpret other people’s research critically by doing your own. This gives you an insight into the effects of practical difficulties and theoretical debates on published research
* develop and apply the advice you have received in methodology courses such as Epidemiology & Statistics for Public Health, Advanced Biostatistics, Advanced Social & Behavioural Epidemiology, Qualitative Research Methods, Applied Research Methods for Public Health, and Program Design & Evaluation
* submit a paper for peer-reviewed publication. (If successful, this will give a boost to your c.v.)
If you wish to go on to enrol in a research degree such as a Masters by Research or a PhD, a research project as part of your coursework will assist the committee evaluating your application in assessing whether you are ready to do independent research.
UNSW School of Public Health and Community Medicine 3
Project guidelines
Section 2
For students (and
supervisors)
This section is addressed to the student or prospective student, but will also be useful for the supervisor(s).
What is a project?
A project is an in-depth research study of an issue relevant to the field in which you are studying. Research differs from coursework in that you are expected to contribute something new to academic or practical knowledge in your research area—something original that is more than the accepted knowledge that can be learnt from reading textbooks and published literature in the area.
There are many possible options for your project. These are just a few suggestions:
* Analysis of an existing data set in order to test a hypothesis or answer a research question
* A critical systematic review of a question such as the effectiveness of a policy or intervention
* An evaluation of the implementation of a program in your field, e.g. health services delivery, best practice clinical guidelines, or professional education program development
* A small research study of your own in which you collect and analyse original data. However, for a 6 UoC project it may not be feasible to collect original data because of the very limited time available to conduct and report on the project.
UNSW School of Public Health and Community Medicine 5
PHCM9148 Research Project Guidelines
The project may be part of a larger funded research project.
See Appendix for a list of recent research projects done as PHCM9148.
How large is a project?
The project should involve about the same amount of work as required for a 6 UoC course, i.e. 9 hours per week for one semester, or 150 hours in total over the period of the semester (teaching weeks plus exam period). However, as research is unpredictable, it is possible that the project will take more time than a pre-planned coursework unit.
The output from the project should be one of the following:
* a report of 5000–10,000 words similar to a technical report for an organisation (government, health service, non-government or community-based organisation etc.)
* an article of about 3000–7000 words suitable for submission to a peer-reviewed journal in the relevant field.
In your report you are expected to demonstrate your ability to:
* identify and define a significant issue relevant to either public health or health services management
* systematically collect relevant, up-to-date information about the issue
* analyse, interpret and discuss the information
* draw conclusions and make recommendations
* write a report in accordance with academic standards as required at master’s degree level.
In other words, you need to demonstrate that you are familiar with research methods and able to think critically.
Some tips on choosing a project
Set yourself realistic goals
Do not attempt work that would be appropriate for a research master’s thesis or a PhD! Your project may need to be much smaller and more focused than your area of interest. Narrowing down to a researchable question is a key research skill. Our academic staff and program directors are experienced and active researchers who can help you to ascertain the feasibility of a project you may propose.
Start thinking about your project early
The earlier you begin preparing for the project, the easier it is to complete it within the allotted time. If you are a full-time student, you should have identified your topic area and begun
6 UNSW School of Public Health and Community Medicine
Section 2: For students (and supervisors)
discussion with relevant members of academic staff by halfway through your first semester. If you choose a topic early in your degree, perhaps even before you start coursework, you may be able to select useful methodological courses and complementary topic electives. You may also be able to carry out some of the preparation for your project through your coursework assignments.
Your project may require ethics committee clearance (see p. 10). This may take weeks or months before you can start collecting data.
Resources
For further information for planning your project see:
Aveyard, H. (2007). Doing a literature review in health and social care: A practical guide. Maidenhead, Berks: Open University Press.
Bell. J. (2005). Doing your research project. 4th edition. Maidenhead, Berks: Open University Press.
Berglund, C. A. (Ed.). (2001). Health research. Melbourne: Oxford University Press.
Blaxter, L., Hughes, C., & Tight, M. (2006). How to research (3rd ed.). Maidenhead, Berks: Open University Press.
Polgar, S., & Thomas, S. A. (2013). Introduction to research in the health sciences (6th ed.). London: Churchill Livingstone.
Wadsworth, Y. (2011). Do it yourself social research (3rd ed.). Sydney: Allen & Unwin.
MyUNSW – Student Portal
https://my.unsw.edu.au/
UNSW A to Z Guide:
https://student.unsw.edu.au/guide
UNSW Online Handbook: http://www.handbook.unsw.edu.au/
The Learning Centre – On-line Study Resources:
http://www.lc.unsw.edu.au
SPHCM Student Prospectus. School of Public Health and Community Medicine, Faculty of Medicine, University of New South Wales (updated annually): https://sphcm.med.unsw.edu.au/sites/default/files/sphcm/AboutSPHCM/SPHCMPros pectus.pdf
UNSW School of Public Health and Community Medicine 7
PHCM9148 Research Project Guidelines
Choosing and working with a project
supervisor
There are two main approaches to finding a supervisor: you can choose your own topic and see who is willing to supervise it, or you can choose a supervisor who you would like to work with, and ask them to suggest a topic.
Using the first approach, when you have selected a topic of interest, draft a brief proposal or ‘concept sheet’ outlining the problem to be addressed, project aims and suggested methodology, and send it to the program director to assist in suggesting a supervisor with expertise in your area of research. Then confirm with the nominated supervisor that they are available, if you have not already made contact.
Alternatively, you can choose a project by first selecting a supervisor who you wish to work with and asking them for topic suggestions, or inquiring whether they are interested in supervising you in one of your areas of interest.
Either way, try to find a supervisor whose work you have read or who you know is interested in the kind of approach you find congenial. For example, if you wish to do a qualitative project to understand ‘hearts and minds’, it is better to have a supervisor who has qualitative research expertise rather than (say) a clinical researcher who thinks in terms of physiological measures. This is true even if you both work in the same topic area, such as diabetes.
The supervisor must have an academic (or conjoint academic) appointment with the School of Public Health and Community Medicine. If your main supervisor is a conjoint academic or a staff member at a UNSW centre (such as the Kirby Institute), you must also have a co-supervisor who is a member of the SPHCM teaching staff.
You will not be allowed to enrol in the project without a proposal that has been approved by your supervisor(s) and the program director. An application form, which must be signed by your supervisor and the program director, must accompany your proposal.
The role of your supervisor
Your supervisor is expected to:
* help you formulate an appropriate project proposal and outline of the project report
* meet regularly with you to support your research/project work. Your supervisor would normally expect to meet with you for an average of one hour per week.
* inform you and the program director if you are not making satisfactory progress and/or require additional support
* provide ongoing assessment of your work throughout the period of supervision including advice on matters of presentation and style
* supply written comments on your submitted work when requested
8 UNSW School of Public Health and Community Medicine
Section 2: For students (and supervisors)
* review a final draft of the project report and advise you whether it is in a suitable form for examination
* act as one of the examiners on submission of your project.
The role of a co-supervisor
* A co-supervisor may be required in cases where there is a need for special expertise in the subject matter. In such cases the co-supervisors do not need to have an academic appointment within UNSW, but they must be approved by your supervisor and the program director as having expertise in the field of your study.
* A co-supervisor may be required if your supervisor will be absent for some of the semester. This co-supervisor must be a member of SPHCM staff.
* You must not engage a co-supervisor without the approval of your main supervisor.
* The co-supervisor should maintain a sufficient level of communication with you and the supervisor to participate in the supervision or act as substitute for the supervisor whenever necessary.
Your responsibilities
You are expected to:
* schedule regular meetings (average one hour per week) with your supervisor or arrange regular contact (by phone, email or Skype) if you are away from the university.
* submit a review of the relevant literature at an early stage; this will usually form part of your final project report. If your project is itself a systematic literature review, you should establish in writing your search methods and terms, criteria for inclusion and exclusion, and analytical approach at an early stage.
* submit the final project report by the agreed deadline. It is generally a good idea to submit sections of your report as you are proceeding with your project, so that your supervisor can check your progress and that writing is progressing satisfactorily. As for a coursework elective, if for some valid reason (such as illness) you are unable to proceed with the project after the census date, you will need to apply for special consideration to withdraw without penalty, or make special arrangements with your supervisor and course director to complete the project and submit the report at a later date to be agreed upon.
* familiarise yourself with all relevant sources of information including the prospectus, Postgraduate programs public health and health management 2015 [https://sphcm.med.unsw.edu.au/sites/default/files/sphcm/AboutSPHCM/SPHCM Prospectus.pdf], and the UNSW Student Portal myUNSW (https://my.unsw.edu.au), which incorporate university rules and procedures and information for postgraduate students.
* be aware of the UNSW policy regarding student conduct and academic misconduct, set out on the myUNSW portal at https://student.unsw.edu.au/conduct.
UNSW School of Public Health and Community Medicine 9
PHCM9148 Research Project Guidelines
Finalising your project proposal
Ethics committee clearance
If your project involves contact with respondents (e.g. interviewing volunteers or patients), access to data about identifiable people (e.g. hospital or medical records, survey data or transcripts of focus group discussions), or safety issues, you will need to apply for ethics committee permission from UNSW and possibly also from your institution, employer or health service. Such issues might include privacy, confidentiality, informed consent, and possible adverse health or psychological risks for you or your respondents. See https://research.unsw.edu.au/recs and click through for guidelines on privacy and other issues.
Don’t forget to allow time for formal committee approval processes. Check the dates for submission of applications. You may need to commence the ethics committee approval process well before the semester in which you will be enrolled in your project.
The UNSW Human Research Ethics Committee (HREC) meets monthly and ethics applications need to be submitted 2–3 weeks before each meeting. Applications may need to include participant information sheets, recruitment advertisements and permission from other bodies (e.g. an organisation or clinic where you propose to approach potential respondents) as well as a detailed description of the study protocol.
UNSW also has a number of Human Research Ethics Advisory (HREA) Panels, which are able to assess low-risk projects. We strongly encourage students to consider projects that can be assessed by the HREA panels, for which ethical approval is usually faster, rather than projects that require approval at the HREC.
Your supervisor may already have ethics committee approval for the project you plan to undertake. If not, your supervisor will need to guide you through the process for obtaining approval. In any case, you need to begin discussions with your supervisor at least 2 months in advance, to ensure that you have ethics committee approval.
If you are unsure whether your project is low risk or high risk, see
https://research.unsw.edu.au/do-i-submit-hrec-or-hrea-panel. Your project is unlikely to be regarded as ‘no risk’ and not require ethics committee approval unless it is purely a desk research project using publicly available data.
Funding
In general, you should not consider a project that requires funding to undertake. In no circumstances will the School of Public Health and Community Medicine provide students with funding to undertake a project.
If a research student does work that involves travel within Australia which is paid for either by the student or from a research grant, the supervisor must ensure that all the appropriate travel and safety policies are consulted and followed; such policies are not itemised in these guidelines.
10 UNSW School of Public Health and Community Medicine
Section 2: For students (and supervisors)
Overseas projects
Because of time constraints and considerations re student safety, adequate supervision and research protocol quality control, it is usually not possible to do an overseas study for a 6 UoC research project. However, it may be possible to analyse data collected overseas if you have already gained access to the data and permission to use it.
Supervisors should note that if any overseas data is used for a research project, it should be completely clear that the fieldwork that produced the data is independent of UNSW. If the student travels or collects data overseas during the research project, all the appropriate travel and safety policies should be followed; such policies are not itemised in these guidelines.
Time frame
In planning your project, ensure that you have taken into account the time needed for any preparations such as community consultations and ethics committee applications.
Undertaking a research project requires a good deal of self-discipline. Many students find time just slips away from them when they have no weekly classes and no coursework deadlines to meet. Formulating a project timetable with the assistance of your supervisor, perhaps in the form of a Gantt chart, can be a real help.
Students are expected to complete their project over one semester.
The key components of a project proposal
Title The title of your project
Proposer Names of the investigators and institution
Problem A description of the problem being addressed
Hypothesis A statement of the hypothesis you are testing, or the research question you are endeavouring to answer
Background A summary of the key relevant literature, references, or needs analysis that justifies the project
Aims A statement of the expected outcomes of your project, and how they will help to address the problem
Objectives An outline of the specific strategies or steps by which you intend to achieve your research aims
Methodology A more detailed outline (sometimes called ‘project protocol’) of the actual research, data collection and analysis methods you will use
Ethics An appreciation of any ethical issues raised and how they will be addressed
Time frame A timetable or plan of the key activities or stages of your project
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PHCM9148 Research Project Guidelines
Structuring your project report
Your report may be in the form of:
* a report of 5000–10,000 words similar to a technical report for an organisation (government, health service, non-government or community-based organisation etc.)
* an article of about 3000–7000 words suitable for submission to a peer-reviewed journal in the relevant field. If you choose this option you should include an appendix giving detailed analyses and/or methodological discussion which would not be necessary for a published paper but which an examiner will need to assess your work.
When you are ready to write up your project, you may find it helpful to think about structuring your report in the following way.
Title page
Acknowledgements
Abstract
Main text
* Introduction
* Literature review
* Methods
* Results
* Discussion
* Conclusion
* Recommendations
References
Appendices
If your report is in the form of a manuscript for submission to a journal, the manuscript will replace the main text section and will be presented in the form required by the journal to which the manuscript may be submitted.
Acknowledgments
You should acknowledge the assistance given to you by your supervisors, and any other person or organisation that has helped you in the planning, conduct, analysis or reporting of your project.
Abstract
This is a synopsis of your study question, aims and objectives, background literature, methods, results, key conclusions and recommendations. This should be 250–300 words long and should be very clear and easy to follow.
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Section 2: For students (and supervisors)
Introduction
In this section of your report you introduce the subject, provide the background to the topic or problem (i.e. what is already known), outline the study question (or problem or study hypothesis), and outline the aims and objectives of your study.
Literature review
This is a review of the literature on the topic or problem you are studying. It should include a review of any other studies or projects similar or relevant to yours, and perhaps a review of the literature on the method you have chosen if your project tests a new method of research or analysis.
Methods
This section includes the methodology of your research. It will cover such issues as:
* the study design
* the study population, sampling frame and numbers, sampling method
* survey design
* survey or data collection instruments
* protocol for obtaining data
* ethical issues and how they are addressed
* information letters, consent forms
* data management and analysis methods
* statistical analysis and tests.
Results
In this section you present the results of your research. This section includes such information as descriptive data dealing with your study population, response rates etc. and results of statistical analysis. Tables, figures and graphs are an excellent means of presenting this sort of information. All tables, figures and graphs, should be numbered consecutively throughout the whole report, and labelled with a clear and concise descriptive title.
Discussion
In this section you interpret your results and discuss their implications, with reference to other published research. Any limitations in your research methodology should also be referred to here. Examiners expect you to acknowledge these limitations as an integral part of your evaluation of your project.
Conclusion
This section summarises the key results and the conclusions that you can draw from these results. It also needs to reflect what your initial project aims and objectives were.
Recommendations
It is good research practice to make recommendations or to suggest directions for further research or actions as a result of your project findings.
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PHCM9148 Research Project Guidelines
References
This is a list of all the references and sources you used in your literature review, methodology and discussion. This includes books (monographs), journal articles, letters, abstracts, conference and symposium papers, media articles, and any form of published literature or comment. This also includes citations for computer analysis packages, online literature and sources, and any audiovisual resources you may have researched or cited. It is important that every claim of scientific fact you make is supported by a valid, relevant, accessible reference, and that every idea or argument, and every verbatim quotation or paraphrase of someone else’s work, is correctly attributed to its source.
Appendices
This section may contain copies of any questionnaires or evaluation instruments used, covering letters, participant information and ethics approvals, statistical formulas or additional explanations.
Resources for writing project reports
For further reading on how to structure and present your report, refer to:
American Psychological Association. (2009). Publication manual of the American Psychological Association (6th ed.). Washington, DC: APA.
Available from the publisher (www.apa.org/books). Worth buying, as you will use it
repeatedly when preparing papers for publication. Good for MPH assignments too.
Anderson, J., & Poole, M. (1994). Thesis and assignment writing (2nd ed.). Brisbane: John Wiley & Sons.
Commonwealth of Australia (2002). Style manual for authors, editors and printers. (6th ed.). Brisbane: John Wiley & Sons Australia.
Day, R. A., & Gastel, B. (2006). How to write and publish a scientific paper (6th ed.). Cambridge: Cambridge University Press.
Earlier editions by Day alone are fine; this one has additional information about presenting science to the public.
Peters, P. (2007). The Cambridge guide to Australian English usage (2nd ed.). Melbourne: Cambridge University Press.
Pam Peters was until recently Professor of Linguistics at Macquarie University and ran their graduate course for editors. She has written other useful books including one on essay-writing.
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Section 2: For students (and supervisors)
Strunk, W., White, E. B., & Kalman, M. (2005). The elements of style. (3rd ed.). New York: Penguin.
Originally by William Strunk and published in 1959, and generally referred to in its subsequent versions as ‘Strunk and White’, this very small book has been used by generations of writers and journalists. Any original or updated version is fine.
www.apastyle.org
The American Psychological Association publishes the Publication manual cited above.
www.bmj.com
The British Medical Journal, which now calls itself just BMJ, is a large well-edited general medical journal that (mostly!) follows its own advice on how to write simply and clearly. Read it often to keep up to date on health news and learn good style painlessly while you’re doing so. For the journal’s advice to authors, see http://www.bmj.com/about-bmj/resources-authors/house-style.
www.equator-network.org
The EQUATOR Network provides freely available resources to improve the quality of scientific papers. Many journals already make use of these resources and link to the EQUATOR website in their instructions to authors.
www.equator-network.org/library
The internet-based Library of Health Research Reporting, which is regularly updated,
includes the following resources:
Reporting guidelines
Guidance on scientific writing
Guidance developed by editorial groups
Research ethics, publication ethics and good practice guidelines
Examples of editorials introducing reporting guidelines
Examples of good research reporting
Examples of guidelines for peer reviewers
Useful and interesting presentations
www.icmje.org
The International Committee of Medical Journal Editors publish the Recommendations for the Conduct, Reporting, Editing, and Publication of Scholarly work in Medical Journals, which include a guide to the referencing style commonly known as Vancouver style (because the first conference at which the style was established was held in Vancouver).
https://student.unsw.edu.au/academic-skills
Academic Skills Support and Resources
http://lib.unsw.adfa.edu.au/elise11/home/about.html
ELISE | UNSW Study Skills Tutorial
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PHCM9148 Research Project Guidelines
Academic honesty and plagiarism
UNSW has an ongoing commitment to fostering a culture of learning informed by academic integrity. All UNSW staff and students have a responsibility to adhere to this principle of academic integrity. Plagiarism undermines academic integrity and is not tolerated at UNSW.
At UNSW plagiarism is a form of academic misconduct and is viewed very seriously. The following notes describe what plagiarism is and where you can obtain additional information about it. It is part of your responsibility as a student of UNSW to ensure that you understand what plagiarism is, so that you avoid it in any of your assignments and other academic work.
What is plagiarism?
Plagiarism is defined as using the words or ideas of others and passing them off as your own. Plagiarism is a type of intellectual theft. It can take many forms, from deliberate cheating to accidentally copying from a source without proper acknowledgement. UNSW groups plagiarism into the following categories:
* Copying: Using the same or very similar words to the original text or idea without acknowledging the source or using quotation marks. This includes copying materials, ideas or concepts from a book, article, report or other written document, presentation, composition, artwork, design, drawing, circuitry, computer program or software, website, internet, other electronic resource, or another person's assignment, without appropriate acknowledgement.
* Inappropriate paraphrasing: Changing a few words and phrases while mostly retaining the original structure and/or progression of ideas of the original, and information without acknowledgement. This also applies in presentations where someone paraphrases another’s ideas or words without credit and to piecing together quotes and paraphrases into a new whole, without appropriate referencing.
* Collusion: Presenting work as independent work when it has been produced in whole or part in collusion with other people. Collusion includes students providing their work to another student before the due date, or for the purpose of them plagiarising at any time, paying another person to perform an academic task and passing it off as your own, stealing or acquiring another person’s academic work and copying it, offering to
complete another person’s work or seeking payment for completing academic work. In addition, it is important that students understand that it is not permissible to buy essay/writing services from third parties. Nor is it permissible to sell copies of lecture or tutorial notes as students do not own the rights to this intellectual property.
* Inappropriate citation: Citing sources which have not been read, without acknowledging the 'secondary' source from which knowledge of them has been obtained.
* Self-plagiarism: ‘Self-plagiarism’ occurs where an author republishes their own previously written work and presents it as new findings without referencing the earlier work, either in its entirety or partially. Self-plagiarism is also referred to as 'recycling', 'duplication', or 'multiple submissions of research findings' without disclosure. In the student context, self-plagiarism includes re-using parts of, or all of, a body of work that has already been submitted for assessment without proper citation.
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Section 2: For students (and supervisors)
Where can I find more information?
In many cases, plagiarism can be the result of inexperience or poor academic skills, rather than the deliberate intention to deceive. The University has adopted an educative approach to plagiarism and developed a range of resources to support students, which are outlined below.
1. UNSW’s Plagiarism & Academic Integrity Website
This site aims to address three issues that often result in plagiarism: unfamiliarity with the concept of plagiarism; knowing how it occurs, and developing the necessary academic skills to avoid plagiarism. As a student, you will be able to use this collection of resources (worked examples, activities and links) to improve your all-round academic literacy and, consequently, reduce the possibilities for plagiarism. More information is available at: https://student.unsw.edu.au/academic-skills. UNSW has also produced a booklet to assist you with essential information for avoiding plagiarism: my.unsw.edu.au/student/academiclife/Plagiarism.pdf
2. The Learning Centre
The Learning Centre (www.lc.unsw.edu.au) provides a range of programs and resources for students including website materials, workshops, individual tuition and online tutorials to aid students in:
* correct referencing practices and citation practices;
* paraphrasing, summarising, essay writing, and time management;
* appropriate use of, and attribution for, a range of materials including text, images, formulae and concepts.
3. The Elise Study Skills tutorial
ELISE (Enabling Library & Information Skills for Everyone) is an online tutorial to help you understand how to find and use information for your assignments or research. It will also help you understand plagiarism and how to avoid it. The Elise Study Skills tutorial is highly recommended to postgraduate students in their first semester of study. See http://lib.unsw.adfa.edu.au/elise11/home/about.html
Addressing plagiarism and academic misconduct
As a postgraduate student you need to be aware that any allegation of plagiarism needs to be investigated by the School and that if the allegation is proven, the student is placed on the UNSW Student Plagiarism and Misconduct Register.
Plagiarism varies in its extent and seriousness and procedures are in place that deal with plagiarism through education and referral to the Learning Centre to more formal reprimands and penalties depending on the seriousness of the plagiarism and previous history of the student. Penalties for students found guilty of repeated plagiarism can include a reduction in marks, failing a course, or for more serious matters, suspension or exclusion from the University see: www.gs.unsw.edu.au/policy/documents/studentmisconductprocedures.pdf and https://www.gs.unsw.edu.au/policy/documents/plagiarismprocedure.pdf
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PHCM9148 Research Project Guidelines
UNSW student code
The UNSW Student Code provides a framework for the standard of conduct expected of UNSW students with respect to their academic integrity and behaviour. It outlines the primary obligations of students, and directs staff and students to the Code and related procedures https://www.gs.unsw.edu.au/policy/documents/studentcodepolicy.pdf.
Presentation of your project report
Document presentation
Main text
Your report should be in a legible font of at least 12 point, with 1.5 or double spacing, and margins at least 2.5 cm on all sides. Leave time before the due date to check it carefully for spelling and grammar.
Diagrams, charts, photographs and other visual items
Tables and diagrams should be included either each one where it is referred to within the text, or all together at the end of main text section with their positions indicated in the text (‘Table 3 about here’). Follow the journal’s style guidelines if your report is in the form of a manuscript for submission to a journal.
Submitting your project report
Submit your project report via Moodle by the due date and after your supervisor has confirmed that your report is ready for examination. Note that as for any other assignment submitted electronically, your report will be checked for plagiarism using Turnitin.
1. All project reports must be submitted via the Turnitin assignment drop-boxes, available in the Moodle course site, by the due date. Turnitin is a similarity detection software package that enables assignments to be checked for plagiarism including improper citation or misappropriated content. Each report submitted to Turnitin is checked against the submitted reports of other students as well as the internet and key resources selected by the course convenor. If you are unfamiliar with the Turnitin software, a demonstration can be found at: https://student.unsw.edu.au/turnitin-support
2. You can view the originality report of your submission and resubmit as often as you wish until the report due date. This will help you in self-reviewing and revising your submission until the due date. Please note that draft reports submitted in this way will be regarded as the final version at the due date if you have not uploaded a subsequent, finalised version (each file uploaded overwrites the previous version). No resubmissions will be allowed after the due date and time of the assignment without permission.
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Section 2: For students (and supervisors)
IMPORTANT: The first submission generates an originality report almost immediately. For the second or subsequent submissions there is a 24-hour delay between time of submission and the originality report being available. You will need to allow for 24 hours before your assignment due date and time, if you want to see an originality report before submitting the final version.
3. Only use your student ID to identify yourself in your report (DO NOT INCLUDE YOUR NAME). All projects submitted to the Turnitin database will be used to determine whether other students in your course, and in the future, have plagiarised or inappropriately included work that is not their own. Therefore, personal details (such as your name and/or contact details which can be used to identify you) should be removed from your report to protect your privacy.
4. Please note, the closing time for reports is shown in Australian Eastern Standard Time. Please factor this in when submitting projects from outside NSW.
5. You will need to include your student ID, course code, date and assignment title in the header or footer on every page, and in the file name.
6. You are not required to submit a cover sheet with your report. Instead, there is a checkbox within the Turnitin drop-box that you will need to tick in order to submit your report. By ticking the checkbox you are confirming that the work you are submitting is entirely original.
7. After you submit your file, Turnitin will display a digital receipt in your browser window. If you can't see a receipt it means that you have not successfully submitted your file. A copy of the receipt is also sent to your e-mail address. Save the receipt and the paper ID it contains, as this is proof of a completed submission.
8. You need to arrange to send your final Turnitin report and originality report to your Supervisor for marking. To do this, you need to open your assignment in the Originality report view, then go to the bottom left hand corner of the ‘document viewer’, there is a little printer icon. Hover over the printer icon and you will be given the option ‘Download PDF of current view for printing’, click on this then send the PDF to your Supervisor.
Examination of your report
Your report will be examined by your supervisor and by one external examiner nominated by your supervisor and approved by the program director.
When examination is complete, you will have access to your examiners’ comments and your result via Moodle.
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Project Guidelines
Section 3
For examiners
This section is addressed to examiners and provides information on general considerations and assessment criteria for the project. It also provides guidance to students about what examiners will be looking for in examining projects.
Introduction
Two examiners assess the project, one of whom is usually the supervisor. In some circumstances an alternative examiner may be appointed. The student being assessed is entitled to read the examiners' comments.
Examiners are asked to assess the quality of work as evidenced by the project report, and also to comment upon adherence to the report title, literature review, critical analysis and skills in scientific writing.
While projects may vary in scope, the examiner may wish to consider the following points:
* are the project aims well formulated (e.g. scope, boundaries, purpose, desired outcomes)?
* are the background conditions described in sufficient detail to provide a rationale for the project?
* are relevant concepts and empirical findings critically reviewed to draw light on the subject matter of the project?
* are the activities to deal with the stated problems and aims of the study appropriate (consistent and reflecting an adequate amount of effort)?
* are the findings and experiences well summarised?
* are the lessons derived from the study adequately discussed, and are the
implications related to the candidate's own situation and conditions?
* is there evidence of a self-critical approach to the preparation of the report by the student?
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PHCM9148 Research Project Guidelines
Important general considerations for
examiners
* The project is only part of a postgraduate program, equivalent in workload to a 6 UoC course. It is not equivalent to a Major Project (18 UoC) or to a Master’s degree by research and the report is not equivalent to a Master’s research thesis.
* The aims, objectives, scope and design of the project and report will vary according to the issue being researched, and the constraints of the methods and sample chosen.
* Students will vary in their style of writing, presentation, and grammatical expression, but a minimum standard that is consistent with academic research at a postgraduate level should apply.
* A minimum standard in terms of the academic conduct of the project should also apply, and the report should be assessed against the educational aims and objectives of the research project as outlined above.
* It is not necessary that students will have collected original data, and it is acceptable for a student to:
o examine data that has already been collected for a research project that has already been approved by an appropriate organisation or ethics committee (with the permission of the organisation or individuals that own the data).
o examine data that is already in the public domain (with permission or acknowledgment of the source of the data as appropriate).
o conduct a quality assurance audit or evaluation (with appropriate ethics committee approval if required).
o conduct or evaluate an intervention or evaluate an existing program (with appropriate ethics committee approval if required).
* The examiners should have expertise in the area of interest and the methodology used. However, it may be necessary to seek advice from other academic staff on issues such as statistical analysis, qualitative methodology or clinical implications, if both the assessors are unfamiliar with some aspects of the project.
* Not all projects require formal ethics committee approval. However, the assessors should assess whether all appropriate research ethics considerations and processes have been followed in the planning and conduct of the project.
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Section 3: For examiners
Assessment criteria for the report
The assessment criteria for the report will vary according to the issue being studied and the methodology chosen by the student. The following are assessment criteria that generally apply to project and research reports at a postgraduate level:
Title
Does it clearly describe the nature of the project?
Abstract
Does it accurately summarise the main aims, research question, methods (including when and where the study was done, nature of sample, and analytical methods), results, conclusions and recommendations?
Introduction
Is there a clear statement of the problem, issue, or research question, and is the rationale or the background of the project based on published literature or a published need for research on the issue?
Aims and objectives
Are the aims and objectives clearly stated and do the objectives logically follow from the overall aim?
Do the aims and objectives clearly reflect the stated problem or issue, and background or rationale to the issue?
Is the report clear on the intended outcomes of the project?
Literature review
Has the student carried out a literature search of adequate depth and scope?
Does it include a review of both historical and current references?
Is there a variety of sources other than journal literature?
Does the depth of search reflect adequate time spent?
Is the review relevant to the issue being studied and the aims and objectives of the project set by the student?
Are all ideas, words and other materials such as tables or diagrams from other people correctly acknowledged? Are all sources correctly and appropriately cited?
Is the citation and referencing style accurate and consistent?
Has the student avoided plagiarism and excess quoting?
Methods
Is there a clear description of the:
* conduct of the study
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PHCM9148 Research Project Guidelines
* study and sample populations
* sampling method and number
* sample inclusion and exclusion criteria
* survey instrument or intervention
* source and features of the dataset that was analysed
* method of the analysis
* statistical tests?
Does the survey instrument, questionnaire or intervention (if developed by the student) show original thinking?
Is the survey instrument or intervention (if not developed by the student) a published or validated one?
Is the data analysis appropriate to the method?
Has the conduct of the project addressed ethical considerations and followed sound research ethics processes?
Are there appropriate subject information statements and consent forms if relevant?
Results
Is the response rate of the survey or data collection stated?
Are the results and findings presented in a clear, unambiguous and consistent format?
Are all figures, tables and graphs numbers and labelled, and explained in the text?
Are the statistical tests correct and appropriate for the method?
Have the findings and the results of any statistical tests been correctly and accurately interpreted?
Do the results logically reflect the method used and the stated aims and objectives of the study?
Discussion
Does the student give an accurate interpretation of the findings and implications of the results?
Are the results discussed in relation to the literature the student has searched and reviewed as well as any comparable studies?
Are the results discussed in relation to the stated problem, research question, aims and objectives of the study?
Does the student reflect on and discuss any limitations or constraints of the study?
Conclusions
Are the key results, interpretations and implications accurately summarised?
Do the conclusions reflect accurately the results and interpretation?
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Section 3: For examiners
Recommendations
Does the student make any recommendations in relation to future research or actions as a result of their study?
Are they feasible and relevant to the issue that was studied?
Reference list
Does it follow an accurate and consistent format in an appropriate referencing style?
Are all references, figures and tables used in the text cited in the bibliography?
Appendices
Are all relevant questionnaires, letters, ethics approvals included in an appendix?
Assessment of presentation style, grammar and spelling
The style of presentation, writing, grammar and spelling should meet the standard expected of a postgraduate student. This may not be as polished as published work or a research thesis, but should be good enough for the report to be submitted to a journal for review or circulated as an organisation report.
Assessment of a literature review as a project
A literature review should meet the following criteria:
* The review is comprehensive in its scope and depth, in that the review should encompass :
o historical and current sources
o local, national and international sources
o a variety of types of sources such as journal articles, monographs, symposium and conference reports, government reports, and peer-reviewed or scientifically valid online sources
* The review addresses a current and important issue, and asks a specific research question that is clearly defined, is related to public health or health management, and will add to current scientific knowledge about the issue.
* The review also includes a discussion, conclusion and recommendations in
relation to the purpose or the research question posed by the review.
* The student uses a comprehensive method in their literature search such as current relevant databases, and organisations such as the Cochrane Foundation.
* The minimum length should be the same as a normal research project.
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PHCM9148 Research Project Guidelines
The assessment grades
When examining the final report the examiners will apply these grading criteria.
Fail (< 50%)
This grade is used when the student has not submitted completed work for assessment, failed to comply with a prescribed remedial process, misunderstood the point of the project or failed to address key issues. The literature review may rely on retelling other sources with inadequate analysis or development of an argument. Important research may be poorly performed and the results presented in a superficial manner that shows little attention to detail and inadequate analysis. Overall the written report displays little coherence, with the conclusions being poorly substantiated by the research conducted or the literature cited.
Pass (50–65%)
The report is satisfactory. The student has demonstrated a relatively superficial or limited understanding of the core aspects of the topic. The project report may contain reasonable components, but be minimally integrated or fail to synthesise the report into a convincing coherent statement or argument. Written work displays little evidence that the student is capable of transforming the literature into personal understanding or that the student is able to communicate that understanding. Elements of the project are treated superficially.
Credit (65–74%)
The project report comes together to make a broadly coherent whole. The report addresses the topic selected, makes a sound argument, draws on appropriate evidence, and shows some selectivity and judgment in deciding what is important and what is not. The project report demonstrates an understanding of the literature relevant to this topic. Communication is clear and effective.
Distinction (75–84%)
This level of performance involves all of the characteristics of a credit performance but also a level of originality, creativity or depth of thought and understanding. The work might involve a high level of abstract thinking, or the ability to take an idea or an application into a new context, understand the demands of that context and make modifications. The report is well constructed and demonstrates understanding of the relevant literature with a clear synthesis of ideas .
High Distinction (85–100%)
This level of performance involves all of the characteristics of a distinction performance where all aspects of the report are well done and the scope of the work described is both substantial and represents an original contribution to the field of research. The project report is of sufficient standard to have a high probability of being published in a peer-reviewed journal.
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Project guidelines
Appendix
Examples of previous projects
Effectiveness of surgical antimicrobial prophylaxis in reducing surgical site infections and prevalence of antibiotic resistance: a project to assess the compliance of surgeons with evidence-based guidelines for surgical antibiotic prophylaxis
Supervised by infectious disease epidemiologist SPHCM staff member and co-supervised by head of infectious diseases department of a hospital. Review of <500 patient records. Records included medical, anaesthetics, nursing records and medication charts in sequential order. No direct contact with patients or treating clinicians.
Travel health advice, vaccination and malaria prophylaxis in a sample of Australian travellers departing Melbourne Airport
Supervised by SPHCM staff member, infectious disease epidemiologist with travel research experience. Analysis of previously collected data from Australian residents aged ?18 years departing to highly endemic countries or regions of infectious diseases.
The community cost and burden of hepatitis A in Victoria, Australia
Supervised by SPHCM staff member, infectious disease epidemiologist. Analysis of previously collected data on hepatitis A resource use in 89 notified cases.
The use of medroxyprogesterone acetate (MPA) for the purpose of controlling ‘problematic’ sexual behaviours and preventing sex offender recidivism
Supervised by SPHCM staff member, social scientist with experience in sexuality research. A critical review of the (very limited) literature on the effectiveness of the use of medroxyprogesterone acetate (Depo-Provera) as anti-libidinal intervention in prisons and mental health care.
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PHCM9148 Research Project Guidelines
Factors associated with influenza vaccine uptake in a sample of Australian adults and assessment of the validity of self-reported vaccine uptake
Supervised by SPHCM staff member, infectious disease epidemiologist. A substudy from a previously conducted case–control study. Cases were in-patients with acute ischaemic heart disease and controls were outpatients without acute ischaemic heart disease. Objectives were to understand demographic factors associated with uptake of influenza vaccine and to assess the validity of self-reported receipt of the annual vaccine.
A study on the acceptability of contraceptive implants in Tonga
Supervised by SPHCM staff members, both social scientists with international research experience. Analysis by a student employed in Tonga of data already being collected at a family planning clinic, with the addition of questions to the interview schedule and two focus group discussions.
The known and the unknown: Effects of conflict and post-conflict environments on maternal health in Sub-Saharan Africa
Supervised by two SPHCM staff members, both social scientists with international research experience. Analysis of published data on conflict in several countries and on health outcomes such as maternal and neonatal mortality.
Examining differences in knowledge, attitudes and practice among men who have sex with men (MSM) and transgender people in Suva and Lautoka, Fiji
Supervised by SPHCM staff member, social scientist with survey research experience in the Pacific. Analysis of data collected in an existing study, to see whether attendance at and engagement with services for specific groups led to better knowledge about HIV transmission, condom use and attitudes towards people with HIV.
Mobility and HIV risk amongst men who cross the PNG/Indonesia border between Skou and Wutung
Supervised by SPHCM staff members, HIV social scientists with experience in Papua New Guinea. Analysis of existing data from an ARC Linkage project, to see whether men in Papua New Guinea had higher HIV risks (paying for sex, tattooing, penile inserts etc.) when crossing the border into West Papua.
Trends in mortality in Bangladesh
Supervised by SPHCM staff member, epidemiologist and demographer with international experience. Based on published data, some of it already collected. Critical examination of official published data showing improvements in infant and maternal mortality and life expectancy in comparison with original raw data, where available.
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Appendix: Examples of previous projects
What Cambodia can learn from the NSW Disease Surveillance system
Supervised by SPHCM staff member with expertise in infectious disease epidemiology and health care management. Examination of how disease incidence data are collected for the NSW Ministry of Health, to allow comparison (in a future study) with Cambodia’s system.
A proxy measure of hand hygiene compliance
Supervised by SPHCM staff member with expertise in infectious disease epidemiology and health care management. An investigation of published annual accounts and hospital purchase orders to detect changes in product use that might indicate changes in compliance with hand hygiene guidelines.
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GUIDELINES
FOR THE PREPARATION OF B.Tech. / M.Tech. / MBA / Ph.D. Thesis
ABV-Indian Institute of Information Technology and Management
Gwalior-474010
August 2009
Introduction
This document covers the general rules of format and appearance. It is the student’s responsibility to read and follow the requirements presented here and to submit documents of the highest quality. The final copies will not be accepted with corrections, insufficient margins, or if they are of such poor quality that reproduced and/or microfilmed copies cannot be made.
The final version of the thesis must be free from typographical, grammatical and other errors when submitted as Examination Copy and Library Copy. While this is the responsibility of the student, the supervisor should not sign off on theses that are not, to the best of their knowledge error free.
Research Scholar must include the Copyright at back side of inner cover page as ©ABV-IIITM, Gwalior, with year of submission.
THESIS
The arrangement of parts of B.Tech. / M.Tech. / MBA / Ph.D. Thesis
The sequence in which the thesis material should be arranged and bound should be as follows:
1. Cover page
2. Inside cover page
3. Candidate/s declaration
4. Dedication page (Optional)
5. Abstract
6. Acknowledgements
7. Table of Contents
8. List of Tables
9. List of Figures
10. List of Symbols, Abbreviations or Nomenclature (Optional)
11. Chapters
For B.Tech. Maximum Number of Chapters are restricted 4 (Chapter 1 is Introduction and Literature Survey, Chapter 2 Design Details, Implementation and Testing, Chapter 3 is Results and Discussion, Chapter 4 is Conclusion).
For MBA. Maximum Number of Chapters are restricted 6 (Chapter 1 is Introduction, Chapter 2 is Literature Survey, Chapter 3 and 4 are Contribution, Chapter 5 is Results and Discussion, Chapter 6 Conclusion and Future work), , List of Publications (optional if any).
For M.Tech. Maximum Number of Chapters are restricted 6 (Chapter 1 is Introduction and Literature Survey, Chapter 2 is Objective, Methodology, Chapter 3 is Design Details and Implementation, 4 Testing, Verification and Validation of results, Chapter 5 is Results and Discussion, Chapter 6 Conclusion and Future work), , List of Publications (optional if any).
For Ph.D. Maximum Number of Chapters are restricted 8 (Chapter 1 is Introduction, Chapter 2 is Literature Survey, Chapter 3 to 6 are Contribution, Chapter 7 is Results and Discussion, Chapter 8 is Conclusion and Future work),
12. Appendices
13. References
For B.Tech Minimum References must be 20.
For M.Tech/MBA Minimum References must be 25.
For Ph.D. Minimum References must be 100.
14. List of Publications
For B.Tech (optional if any).
For M.Tech/MBA (optional if any).
For Ph.D. based on the contribution.
15. Color Codes for Report/Thesis
Sky Blue for B.Tech.
Cream for M.Tech.
Parrot Green for MBA.
Maroon for Ph.D. with Golden Letters for the Cover Page.
The formats in various headings are given below
Title Page See Annexure 1 (Inside cover page same as cover page)
Dedication page (if any) should not exceed one page
Candidate declaration see Annexure 2
Abstract see Annexure 3 (Abstract should not exceed two pages (about 600 words ) )
Acknowledgements should not exceed two pages
Table of Contents see Annexure 4
List of Tables see Annexure 5
List of Figures see Annexure 6
Abbreviations see Annexure 7
Notations see Annexure 8
References see Annexure 9
Sample copy of separate abstract see Annexure 10 [After the completion of the Viva-Voce]
GUIDELINES FOR PREPARATION OF THESIS
THESIS FORMAT
The thesis manuscript has three basic parts: the preliminary pages, the text and the reference
materials.
Preliminaries
The preliminary materials consist of the Title Page, Thesis Certificate, Abstract, Dedication (optional), Acknowledgements, Table of contents, List of tables, List of figures and other lists. Preliminary pages are paginated separately from the rest of the text. The title page is counted, but it is not numbered. Beginning with the page immediately following the title page, place page numbers in lowercase Roman numerals centered at the bottom of the preliminary pages. The Roman numerals are continued up to the first page of the text. Proper Order of Preliminary Pages:
1. Title Page
The title of the thesis should be as concise as possible. It must occur consistently in every respect, including punctuation, capitalization, and hyphenation, on the abstract and approval forms. On the title page, the identical title must appear in all capital letters with each line centered on the page. The month in which the thesis is submitted, e.g., May, August, or January is to be printed at the bottom of the page. The title page is not numbered, but it is counted. Size of the institute logo should be 3cm x 4 cm.
2. Abstract
The abstract should provide a succinct, descriptive account of the thesis including a statement of problem procedure and method, results and conclusion. It must not include diagrams and should not include mathematical formulas unless essential. The abstract should be in the range of 400 to 600 words with 1.5 line spaced. It should adhere to the same style manual as the thesis manuscript. A lower-case Roman numeral is used on the abstract page and number of keywords not more than six.
3. Dedication (optional)
The dedication is brief, single-spaced, and centered on the page. No heading is used. The word "To" customarily begins the dedication.
4. Acknowledgements
This section begins with the title ACKNOWLEDGEMENTS centered in all capital letters. This page is used to thank those persons who have been instrumental to the student in completing the degree requirements. Acknowledgement of grants and special funding received to support the research also may be made on this page.
5. Table of Contents
The Table of Contents must include all Chapter headings, Section headings, Subsection headings, Appendices (optional if any) and References. Entries are 1.5 lines spaced. The headings of major sections (i.e., Chapters, Appendices and References ) are written in all capital letters. Table of contents headings must be identical to those in the text. Page numbers must be bottom centered and each entry must have leader dots, which connect it to
its corresponding page number. The words TABLE OF CONTENTS must be centered on the page two inches from the top of the first page only.
6. List of Tables (if tables appear in document)
The heading, LIST OF TABLES, appears centered on the page two inches from the top of the first page only. All table numbers and captions are listed exactly as they appear in the text.
7. List of Figures (if figures appear in document)
The heading, LIST OF FIGURES, appears centered on the page two inches from the top of the first page only. All figure numbers and captions are listed exactly as they appear in the text.
8. Other Lists (nomenclature, definitions, glossary of terms, etc.)
The appropriate title in all capital letters is centered two inches from the top of the first page only.
PAGE DIMENSIONS AND MARGIN
The thesis should be prepared on good quality white paper preferably not lower than 80 gsm.
Standard A4 size (210 mm X 297 mm) paper should be used for preparing the copies. The final
thesis should have the following page margins and the same margins should be used throughout
a thesis.
Top edge : 1 inch (25 mm)
Left side : 1 1/2 inch (38 mm)
Bottom edge : 1 inch (25 mm)
Right side : 1 1/2 inch (38 mm)
TYPE-SETTING, TEXT PROCESSING AND PRINTING
The text shall be printed employing Laserjet and the text having been processed using a standard text processor. The standard font shall be Times New Roman of 12 pts with 1.5 line spacing. The text must be 1.5 lines spaced and printed on only one side of each page.
Text
The text must be divided into a logical scheme that is followed consistently throughout the document. The larger divisions and more important minor divisions are indicated by suitable, consistent headings. All headings and subheadings should be presented in the same way in each chapter, in terms of capitalization, placement on the page and kind of type used. No headers, giving the titles of chapters or other sections, are allowed at the top of the pages. Chapter organization as practiced by the discipline should be followed. The Student /Research Scholar and the academic department are responsible for the quality and content of the text. Specific requirements for text presentation is given below.
Note: Program code is placed in Appendix
1. Section and Subsection
The student may use Section headings and Sub-Section headings to subdivide the chapter/s, but a consistent sequence of section headings as identified in the style guide selected must be followed. The Student/Research Scholar do not change the sequence and style of headings from chapter to chapter. Once the sequence is chosen, it must be followed consistently throughout the thesis. Footnotes should be in 10 point character with single spaced lines.
2. Pagination
Lower-case Roman numerals are used to number all pages preceding the text. Although the preliminary paging begins with the title page, no number appears on the title page. However, it is counted as i, The page immediately following the title page is numbered with a lower- case Roman numeral ii. Beginning with the first page of the text, all pages are to be numbered with Arabic numerals consecutively throughout the thesis document, including the appendix and the bibliography or list of references. The page numbers must be positioned at the bottom centered of the page. Page headers or running heads may not be used in the thesis. All page numbers must be in the same font and size.
3. Tables and Figures
The term "table" refers to a columnar arrangement of information, often data sets, organized to save space and convey relationships at a glance. The term "figure" refers to graphs, drawings,
diagrams, charts, maps, or photographs. All such details should be inserted in the text near where they are first mentioned. A table or figure may appear on the same page as the text that refers to it or on a immediate next page. Each figure or table must be numbered and have a caption. Captions are placed below figures and pictures and above tables. Captions may be single spaced.
4. Illustrations
Each illustration must be referred to in the text and it must be placed after, and as near as possible to, the first reference to it in the text. All illustrative materials in the thesis must be prepared on paper that is the same weight (or stronger) and use the same font type as elsewhere in the manuscript. If illustrations are mounted, dry mounting must be used. Illustrations may not be mounted with rubber cement, staples, mucilage, or photo-mounting corners. Illustrative material must be drawn or computer-generated in black. Material may be laser-printed. Color should be used only if it is essential to the thesis.
5. Photographs
It is recommended that the student use a high quality, high contrast copying machine to reproduce photographic material for submission in lieu of photographs. If original photographs are used, they should be printed on single-weight, fiber-based paper with a matte finish. All prints must be processed for nationally established standards for chemical permanence. Black-and-white prints are preferable. Photograph page number placement follows the standard pagination requirements.
6. Appendix
The appendix (or a series of appendices) immediately follows the main text. The appendix includes material that may be helpful to the reader of the thesis but may be too long for inclusion in the text or footnotes. The title, APPENDIX, appears only on the first page of the section, in capital letters centered two inches from the top. Examples of such material include questionnaires, letters, original data, sample forms, and derivations. Reference should be made in the text to the inclusion of these materials in the appendix. Each appendix is a separate subdivision of the text and must begin on a separate page. Each appendix must be listed in the Table of Contents.
ORGANISATION OF THE THESIS
The thesis shall be presented in a number of chapters, starting with introduction and ending with Conclusions and Future Work. Each of the other chapters will have precise title reflecting the contents of the chapter. A chapter can be subdivided into sections, sub- sections and sub-subsection so as to present the content discretely and with due emphasis. Each chapter shall begin on a fresh page
1. Chapter and Section format
The title of Chapter 1 shall be Introduction. It shall justify and highlight the problem poser and define the topic, aim and scope of the work presented in the thesis. It may also highlight the significant contributions from the investigation.
Use only Arabic Numerals. Chapter Numbering should be centered on the top of the page with bold.
Example:
CHAPTER 1
Sections
A chapter can be divided into Sections, Sub-sections and Sub-sub-sections so as to present different concepts separately. Sections and Sub-sections can be numbered using decimal points, e.g., 2.2 for the second Section in Chapter 2 and 2.3.4 for the fourth Subsection in third Section of Chapter 2. Use only Arabic Numerals with decimals. Section numbering should be left justified using large bold print.
Example:
1.1 GENERAL
1.2 ENCRYPTIONS TECHNIQUES
Sub Sections
Use only Arabic Numerals with two decimals. Sub section numbering should be left justified
with bold .
Example:
1.1.1 Block Ciphers
1.1.2 Data Encryption Standards
2. Review of Literature
This shall normally the Chapter 2 and shall present a critical appraisal of the previous work published in the literature pertaining to the topic of the investigation. The extent and emphasis of the chapter shall depend on the nature of the investigation.
For Example, Several researchers attempted to develop mathematical models [1] to simulate the Computer Network Queuing Theory [2, 23]. Some of these models simulate the Bernoulli Arrival Process [25-29] which were included in [31-35, 39].
3. Results and Discussions
This shall form the penultimate chapter of the thesis and shall include a thorough evaluation of the investigation carried out and bring out the contributions from the study. The discussion shall logically lead to inferences and conclusions as well as scope for possible feature work.
Table / Figure Format
As far as possible tables and figures should be presented in portrait style. Small size table and figures (less than half of writing area of a page) should be incorporated within the text, while larger ones may be presented in separate pages. Table and figures shall be numbered chapter – wise. For example, the fourth figure in Chapter 5 will bear the number figure 5.4 or Fig.5.4. Table number and title will be placed above the table while the figure number and caption will be located below the figure. Reference for Table and Figures reproduced from elsewhere shall be cited in the last and separate line in the table and figure caption, e.g. [12].
Table 4.6 Cell values and key sequence
Sl. No.
Electronic Code Book
Cipher Block Chaining
Output Feedback
1
2
3
Figure 4.25 Linear feedback shift register
Equations
All the equations should be typed in equation editor/LaTeX and should be properly numbered.
For Example,
X+Y=Z (2.1)
4. Conclusion and Future Work
This will be the final chapter of the thesis. A brief report of the work carried out shall form the first part of the Chapter. Conclusions derived from the logical analysis presented in the Results and Discussions Chapter shall be presented and clearly enumerated, each point stated separately. Scope of future work should be stated in the last part of the Chapter.
Binding
The thesis shall be hard cover bound in leather (only for Ph.D ) and paper hard bound with proper color as per the guidelines.
Front Covers
The front cover shall contain the following details:
* Full title of thesis in 20 point’s size font properly centered and positioned at the top.
* Full name of the candidate in 14 point’s size font properly centered at the middle of the page.
* A 1.25 inch X 1.25 inch size of the Institute emblem followed by the name of the Department, name of the Institute and the year of submission, each in a separate line and properly centered and located at the bottom of the page.
TITLE OF THE THESIS
A project report submitted in partial fulfillment of the requirements for B.Tech. Project
2008
TITLE OF THE THESIS
A thesis submitted in partial fulfillment of the requirements for the award of the degree of
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