Jasa Konsultasi Disertasi Keuangan (1) dan Perbankan S3, hubungi WA 0821 2230 7021

System administration

After your company has registered on ENDORSIA and the access has been carried out, the company administrator receives an ADMIN-ID and a password to access the administration section of the system. The admin creates users, assigns rights for them and additionally payment methods, shipping addresses and shipping types are maintained.

The admin is provided with three sections:

The admin has access to the different catalogs, can create shopping lists and assign them to the users (see Product Search).

The admin can access all orders of the company (see Order Status).

The basic administration of the system is carried out within this section. After the log-in by the admin, this area will be shown first. On the left hand side of the screen the single sections that are to be administered will be listed. The complete processing of this section and the storage of all data are requirements for a working system.

Fields which are marked with this star are mandatory fields and have to be filled in.

WEBSITE INFO:

A detailed manual of ENDORSIA with all the explanations is directly available in the system. (see link: buyeradminguide.pdf - 2005-02-28 )

Company:

All the current corporate data are shown. Modifications can be initiated directly via ENDORSIA!

Admin-Guide Endorsia - 1 - Schaeffler Gruppe Industrie

You can enter one or more contact persons of your company who will then in each case receive information on e.g. system modifications of ENDORSIA. The entry of persons with vital tasks, such as the system administration, a supervisor or the purchasing department are recommendable.

Groups:

Via those groups different authorisations can be set and can later be assigned to the users. The definition of the groups takes place here, whereas the assignment to the users is carried out within the Users area.

User Groups:

Groups are created which are allowed to order up to only a fixed limit. If a certain order value exceeds this limit, it will first of all be put on hold and a supervisor will receive a message to check this order. The supervisor can then either enable or refuse the order.

Example:

Catalog Groups:

The groups which show assigned users who have no access to certain catalogs are defined here. Example:

Catalogs can be assigned to these groups. If a user is later assigned to this group, he/she will not have access to those catalogs.

Permission Groups:

Via these groups, the tasks which a user is not allowed to perform are set. The assigned user is only allowed to perform the marked tasks. In this case the user is allowed to edit shipping addresses but is not permitted to perform any of the other tasks.

The fields for which the user is not authorized are empty within the system or can not be enabled.

Admin-Guide Endorsia - 2 - Schaeffler Gruppe Industrie

Important: The following fields have to be edited and defined prior to the initial creation of users:

1. SUPPLIERS

2. SHIPPING ADDRESSES

3. PAYMENT METHODS

As soon as this has been finished, the user area can be opened. The users that had already

been created are listed here. Via their features can be edited and via a user can be

deleted.

New users can be created via .

Admin-Guide Endorsia - 3 - Schaeffler Gruppe Industrie

First of all a user name and a password and afterwards the personal data of the user have to be entered. In case that a user should not have full authorisation, he can be assigned to a defined group (see Groups). Any other user can be assigned as supervisor. If no supervisor is assigned, the task will automatically be conferred on the admin.

After the entry of all the data click on . Subsequently the assignments listed in the

column on the left hand side have to be carried out.

Assign account numbers:

Account numbers are assigned to a user by firstly choosing the name of the supplier. Following, the needed account number has to be marked. By clicking on the arrow pointing to the right, the account number is transferred to the right and is activated then.

Assign payment methods:

The procedure is the same. First choose the supplier, afterwards the payment method and finally activate the marked field by clicking on the arrow pointing to the right.

Important: The payment method has to be entered under Payment Method beforehand. Assign shipping addresses:

Shipping addresses are assigned to users for which they can order later on. The activation is carried out as described above.

Important: The Shipping addresses have to be entered under Shipping Adresses beforehand.

Admin-Guide Endorsia - 4 - Schaeffler Gruppe Industrie

Assign shipping methods:

Shipping methods are activated for the respective user according to the procedure described earlier.

Assign shopping lists:

The admin can create shopping lists in the section which he can later assign to the

chosen users. These lists are then at the user’s disposal in the area

Setting of defaults:

In the framed fields default values can be set for the assigned rights. This setting is always present as default setting. If no specification is carried out, the last used setting will be active. If necessary, the user can conduct modifications on his own within the scope of his rights.

Admin-Guide Endorsia - 5 - Schaeffler Gruppe Industrie

Via shipping addresses will be added.

The address data are entered here. Additionally, the Ship To Code has to be added, as the shipping address is identified via this code. For different suppliers the respective Ship To Code has to be entered.

If the particular codes are unknown they can be asked for by contacting the responsible INA/FAG employees.

SHIPPING METHODS:

The shipping method is marked on the left hand side under and

is activated by clicking on the arrow pointing to the right.

Admin-Guide Endorsia - 7 - Schaeffler Gruppe Industrie

PAYMENT METHODS:

Payment methods are entered via ‘add’.

Depending on the supplier, e.g. ‘FAG PO’ or ‘INA Purchase Order’ can be entered under

for identification. Please choose . Pay attention

that a sufficient expiration date is entered.

INBOX:

Orders which exceed the purchase limit of a user are listed here. Under

respectively, the particular activities can be looked at and

edited.

Simultaneously the admin is pointed out to a message via email. The decision for or against an order is carried out here and can be commented on.

Admin-Guide Endorsia - 8 - Schaeffler Gruppe Industrie

EMS: Efficiency Measurement System

User’s Manual

Holger Scheel

Version 1.3

2000-08-15

Contents

1 Introduction 2

2 Preparing the input output data 2

2.1 Using MS Excel files 3

2.2 Using textfiles 3

2.3 Non-discretionary inputs and outputs 4

3 Preparing weights restrictions 4

3.1 Using MS Excel files 5

3.2 Using textfiles 5

4 Starting EMS and loading data 6

5 Running a DEA model 6

5.1 Preparing the results format 6

5.2 Choosing a technology structure 7

5.3 Choosing an efficiency measure 7

5.4 Advanced modeling options 10

6 Results 11

7 Acknowledgements 12

8 Disclaimer 12

1 Introduction

Efficiency Measurement System (EMS) is a software for Windows 9x/NT which computes Data Envelopment Analysis (DEA) efficiency measures. This manual is intended to be an introduction to the usage of the software. It is not an introduction to DEA which you can found e. g. in the following books:

* H. O. FRIED, C. A. K. LOVELL, and S. SCHMIDT (1993), The measurement of productive efficiency: Techniques and applications, Oxford University Press, New York

* R. F¨ARE, S. GROSSKOPF, and C. A. K. LOVELL (1994), Production Frontiers, Cambridge University Press, Cambridge

* A. CHARNES, W. W. COOPER, A. Y. LEWIN, and L. M. SEIFORD (1994), Data Envelopment Analysis: Theory, Methodology, and Application, Kluwer Academic Publishers, Dordrecht

* W. W. COOPER, L. M. SEIFORD, and K. TONE (2000), Data Envelopment Analysis: A Comprehensive Text with Models, Applications, References and DEA-Solver Software, Kluwer Academic Publishers, Norwell, Massachusetts

The latest news about EMS, downloads and bugfixes you’ll find on the EMS home-page:

http://www.wiso.uni-dortmund.de/lsfg/or/scheel/ems/

EMS uses the LP Solver DLL BPMPD 2.11 by Csaba M´esz´aros for the computation of the scores (Sources: http://www.netlib.org). It is an interior point solver.

If you have questions which are not answered in the following paragraphs or if you have suggestions for further developments send an email to

H.Scheel@wiso.uni-dortmund.de

2 Preparing the input output data

The first and probably most difficult step in an efficiency evaluation is to decide which input and output data should be included. EMS accepts data in MS Excel or in text format. Additionally to “standard” inputs and outputs EMS can also handle “non-discretionary” inputs and outputs (i. e., data which are not controlled by the DMUs). The next sections describe how the data files should be prepared for EMS. The size of your analysis is limited by the memory of your PC. I. e., there is theoretically no limitation of the number of DMUs, inputs and outputs in EMS. Although the code is not optimized for large scale data, we successfully solved problems with over 5000 DMUs and about 40 inputs and outputs. (Please let me know your experience with larger datasets.)

2 Preparing the input output data

2.1 Using MS Excel files

EMS accepts Excel 97 (and older) files (*.xls). The input output data should be collected in one worksheet. Don’t use formulas in this sheet, it should only contain the pure data and nothing else. EMS needs the following data format:

Data {I}

{O}

* The name of the worksheet must be “Data”.

* The first line contains the input/output names. First inputs, then outputs.

* Input names contain the string “{I}”.

* Output names contain the string “{O}”.

* The first column contains the DMU names.

Cf. the example file EXAMPLE.XLS

2.2 Using textfiles

For those who prefer another spreadsheet software than MS Excel, EMS accepts also plain textfiles (*.txt). For reading textfiles correctly EMS needs the file schema.ini which contains some formatting information. The following is necessary for using textfiles with EMS:

schema.ini

* Put schema.ini in the same directory where your textfiles are.

* Modify schema.ini by replacing “[Yourfile.txt]” by the name of your file. The textfile which contains the input output data should then satisfy the following:

* Columns are separated by Tabs. Make sure that exactly one Tab appears between two columns and that you don’t have Tabs at other places in the file (e. g. at the end). You can check this in a texteditor by making the Tabs “visible”.

* Input names contain the string “{I}”.

3 Preparing weights restrictions

* Output names contain the string “{O}”.

* The first column contains the DMU names.

Cf. the example file EXAMPLE.TXT.

2.3 Non-discretionary inputs and outputs

EMS accepts non-discretionary data if in the data file the corresponding input name contains “{IN}” instead of “{I}”, or the corresponding output name contains “{ON}” instead of “{O}”.

{IN} {ON}

When EMS computes an efficiency score (which is a distance to the efficient frontier) it doesn’t alter the values of non-discretionary data. I. e., the distance will only be computed in the directions of the “normal” (descretionary) inputs and outputs while the non-discretionary are fixed.

Literature: EMS uses the idea of R. D. BANKER and R. C. MOREY (1986), Efficiency Analysis for Exogenously Fixed Inputs and Outputs, Operations Research, 34, 513–521. See also for an overview: M. STAAT (1999), Treating non-discretionary variables one way or the other: Implications for efficiency scores and their interpretation, In G. Westermann (ed.), Data Envelopment Analysis in the Service Sector, pp. 23–50, Gabler, Wiesbaden.

3 Preparing weights restrictions

You can specify weights restrictions of the form W (p, q) > 0, where p is the vector of input weights and q is the vector of output weights (or shadow prices). Hence, you can incorporate both “Cone Ratio” constraints and “Assurance Region” constraints.

Example. Suppose you have 3 inputs and 2 outputs and you want to have the restriction p? > p? then corresponding row in the weights restriction matrix W is (1; ?1; 0; 0; 0). If you have in addition bounds on the marginal rates of substitutions

like 0.3 ? q1 ? 3, then you transform them into two constraints q? ? 0.3q? > 0 and

?q? + 3q? > 0, yielding the rows (0; 0; 0;1; ?0.3) and (0; 0; 0; ?1; 3) in the matrix

W. Thus in this example one has

?0.3

?0 0

3 Preparing weights restrictions

Like the input output data EMS accepts weights restriction data W in MS Excel and textfiles.

3.1 Using MS Excel files

EMS accepts Excel 97 (and older) files (*.xls). The weights restriction data should be collected in one worksheet. Don’t use formulas in this sheet, it should only contain the pure data and nothing else. EMS needs the following data format:

Weights

* The name of the worksheet must be “Weights”. (It can be contained in the same file as the “Data” sheet, but you may also choose another file.)

* The first row (the input/output names) should be identical to the corresponding Data sheet.

* The first column contains a name for each restriction. Cf. the example file EXAMPLE.XLS

3.2 Using textfiles

If you have W in a textfile, you’ll have to do the same like for the input output data: First put the file schema.ini in the directory of your textfiles and modify it, i. e., replace “[Yourweightfile.txt]” by the name of your file.

The textfile which contains W should then satisfy the following:

* Columns are separated by Tabs.

* The first row (the input/output names) should be identical to the corresponding input output data file.

* The first column contains a name for each restriction. Cf. the example file WEIGHTS.TXT.

Literature: See for an overview: R. ALLEN, A. ATHANASSOPOULOS, R. DYSON, and E. THANASSOULIS (1997), Weights restrictions and value judgements in Data Envelopment Analysis: Evolution, development and future directions, Annals of Operations Research, 73, 13–34.

4 Starting EMS and loading data

When you’ve prepared the data in Excel and/or textfiles as described above you can start EMS by clicking on it in the program folder.

Menu File

Load data (Ctrl +O)

Now you should connect EMS to the data: Your input output data can be loaded by pressing Ctrl +O (Menu File -* Load data). If you select an appropriate filename then EMS tries to connect to this file. For large scale DEA evaluations with thousands of DMUs this connection may need a few seconds. The connection was successful

* if the filename appears in the statusbar (at the bottom of the EMS window) and

* the sand clock vanishes.

EMS does not display your data! If you want to edit your data, you should open the datafile in Excel or in your texteditor and edit it there. You should save the changes (it’s not necessary to close the file) and then Load data (Ctrl +O) in EMS again. EMS always loads the file version from the harddisk.

Menu File

Load Weight Restr (Ctrl +W)

The file which contains the matrix W can be loaded by pressing Ctrl +W (Menu File -* Load Weight Restr). When the file is successfully loaded its name is displayed in the statusbar (like the input output data file).

5 Running a DEA model

bpmpd.par

Before running a DEA model, make sure that the file bpmpd.par is in the same folder as your data file!

5.1 Preparing the results format

Menu DEA Format (Ctrl +F)

Ctrl +F (Menu DEA -* Format) will display the Format dialog. Here, you may specify the number of decimals to display in the results table wich will be produced by EMS.

5 Running a DEA model

Moreover, you can decide whether

* the pure input and ouput weights (shadow prices) pi and qj should be displayed (Option pure weights) or

* the “virtual inputs and outputs”, i.e. the weights multiplied by the input and output values pi · xi?, qj · yj ? (Option virtual inputs/outputs)

should be displayed in the results table.

5.2 Choosing a technology structure

???? +M (Menu DEA ? Run model) will display a dialog where you can specify the model you want to compute. Under Models you may choose between various technology structures:

Menu DEA

Run model (???? +M)

Structure

Returns to Scale

* convex and nonconvex envelopment,

* constant, variable, nonincreasing or nondecreasing returns to scale.

5.3 Choosing an efficiency measure

An efficiency measure quantifies in one way or another a “distance” to the efficient frontier of the technology. EMS allows computation of various distances in input-, output-and non-oriented versions.

Orientation

An input oriented measure quantifies the input reduction which is necessary to become efficient holding the outputs constant. Symmetrically, an output oriented measure quantifies the necessary output expansion holding the inputs constant. A non-oriented measure quantifies necessary improvements when both inputs and outputs can be improved simultaneously.

It seems that in applications the choose of a certain measure mostly depends on three criteria:

* The “primal” interpretation, i. e. the meaning of the efficiency score with respect to input and output quantities,

5 Running a DEA model

* the “dual” interpretation, i. e. the meaning of the efficiency score with respect to input and output prices,

* the axiomatic properties of the efficiency measure (e. g. monotonicity, units invariance, indication of efficiency, continuity).

Most of the measures are similar with respect to these criteria, whence in this manual only essential differences are mentioned roughly? when the measures are defined below. T denotes the technology and (Xk, Yk) denotes the input output data of the DMU under evaluation.

Distance

Radial: This measure (a.k.a. Debreu-Farrell-measure, or “radial part” of the CCR/BCC measure) indicates the necessary improvements when all relevant factors are improved by the same factor equiproportionally. Its oriented versions have nice price interpretations (cost reduction/revenue increase), but it doesn’t indicate Ko op-mans efficiency.

non-oriented: max{? | ((1 ? ?)Xk, (1 + ?)Y k) ? T }

input: min{? | (?Xk, Y k) ? T }

output: max{? | (Xk, ?Y k) ? T }

See M. J. FARRELL (1957), The measurement of productive efficiency, Journal of the Royal Statistical Society, Series A, 120(3), 253–290.

Additive: This measure quantifies the maximal sum of absolute improvements (input reduction/output increase measured in “slacks”). It has a price interpretation (as difference between actual and maximal profit) and indicates Koopmans efficiency but it isn’t invariant with respect to units of measurement.

~E }

non-oriented: max i si + Ej tj | (Xk ? s, Y k + t) ? T , (s, t) >_ 0

input: max {Ei si | (Xk ? s, Yk) ? T, s >_ 01}

~E }

output: max j tj | (Xk, Y k + t) ? T , t >_ 0

See A. CHARNES, W. W. COOPER, B. GOLANY, L. SEIFORD, and J. STUTZ (1985), Foundations of Data Envelopment Analysis for Pareto-Koopmans efficient empirical production functions, Journal of Econometrics, 30, 91–107.

1A more detailed overview is given (in German) in H. SCHEEL (2000), Effizienzmaße der Data Envelopment Analysis, Gabler, Wiesbaden.

5 Running a DEA model

If you want to compute a weighted objective function ?i wi · si you can do this by preprocessing the data; e. g. you may multiply each input/output i by the corresponding wi.

maxAverage: This measure (a.k.a. F¨are-Lovell or Russell or SBM measure) quantifies the maximal average of relative improvements (input reduction/output increase measured in percentages of the current level). It has no straightforward price interpretation but it is both an indicator for Koopmans efficiency (for positive data) and units invariant. The symbol O denotes the componentwise product of two vectors, i. e.

((1??)OXk, (1+?)OYk) := ((1+??)X?k, ... , (1+?m)Xk m; (1+??)Y?k, ... , (1+?n)Ynk ).

non-or.: max

j >? 1 Xk, (1 + ?) O Y k) E T

i:Xik>0?i

input: min E i >0 ? | (? O Xk, Y k) E T , ? <- ~1

i:Xk

Ej:Yjk>0 ?j

output: max Ej:Yjk>0?

See R. F¨aRE and C. A. K. LOVELL (1978), Measuring the technical efficiency of production, Journal of Economic Theory, 19, 150–162.

minAverage: This measure quantifies the minimal average of relative improvements which is necessary to become weakly efficient. (Weak efficiency means there does not exist a point in the technology set which is better in every input and output. We denote the weakly efficient subset of T by ?T .) Notice that for a weakly efficient point an arbitrary small improvement suffices to become Koopmans efficient whence the minAverage measure also quantifies the infimum average of improvements which is necessary to become Koopmans efficient.

It has neither a straightforward price interpretation nor is it an indicator for Ko op-mans efficiency but it is units invariant.

Ej:Yjk>0 ?j

output: min P j >0 ? |

j:Y k

5 Running a DEA model

This measure is based on ideas in A. CHARNES, J. J. ROUSSEAU, and J. H. SEM-PLE (1996), Sensitivity and Stability of Efficiency Classifications in Data Envelopment Analysis, The Journal of Productivity Analysis, 7, 5–18. See also W. BRiEC (1999), H¨older distance function and measurement of technical efficiency, Journal of Productivity Analysis, 11, 111–132.

Superefficiency

If you choose a radial distance then EMS allows you to compute so called “sup eref-ficiency” scores by checking the box. For inefficient DMUs the superefficiency score coincides with the standard score defined above. For efficient DMUs a score is computed which indicates the maximal radial change which is feasible such that the DMU remains efficient. Formally, it is defined like the standard score but the DMU under evaluation is excluded from the constraints (i. e. the definition of the technology set). See P. ANDERSEN and N. C. PETERSEN (1993), A Procedure for Ranking Efficient Units in Data Envelopment Analysis, Management Science, 39, 1261–1264.

big

If you have chosen the superefficiency model, then in the results table a score = big may appear. This means that the DMU remains efficient under arbitrary large increased inputs (input oriented) or decreased outputs (output oriented), respectively.

Restrict weights

If you have loaded weights restrictions data, you can check this box to incorporate the weights restrictions in the model. (If the box is not checked, then the weights restrictions will be ignored.)

5.4 Advanced modeling options

When you have opened the Run model dialog (???? +M or Menu DEA ? Run model) then you may specify some advanced models in Options which are described in the following paragraphs.

Evaluation Technology

You may specify selections of DMUs which should be computed (Evaluation) and which should be used for building the envelopment (Technology). This allows you to compute program efficiency. I. e., for each DMU selected in Evaluation a score is computed

6 Results

constrained by the DMUs selected in Technology. The lists allow selections of multiple entries via Ctrl+click and Shift+click.

Window Analysis Malmquist

If you have panel data sorted by periods T = 0, ..., t i.e. the first column of the data file looks like

DMU 1 T0

DMU 2 T0

...

DMU n T0

DMU 1 T1

...

DMU n T1

...

DMU 1 Tt

...

DMU n Tt

then EMS supports computation of Window Analysis and Malmquist indices.

For Window Analysis you have to specify the number of periods and the window width.

For Malmquist indices you have to specify the number of periods. EMS computes then scores E(t)-T(t+1), i.e. the DMUs of period t are evaluated with respect to the technology built by the DMUs in period t+1. The scores E(t)-T(t) can be computed by running a Window Analysis with window width = 1. Dividing these scores is left to your spreadsheet. See the Malmquist sheet in example.xls for details.

6 Results

If computations are finished, EMS will display the results in a table. The window caption tells which model was computed, e.g. example.xls CRS RAD IN WR-example contains the results of a DEA model based on the input output data file example.xls with constant returns to scale, radial distance, input orientation, weights restrictions with restriction matrix stored in example.xls.

The result table contains: (recall that the number of decimals to display can be modified in Menu DEA ? Format)

DMU name. An additional {X} indicates that this DMU was excluded from building the technology as specified in Technology. A DMU name without score indicates that this DMU built the technology but was not evaluated as specified in Evaluation.

7 Acknowledgements

The efficiency score as defined above.

the weights (shadow prices) {W} or virtual inputs/outputs {V} as selected in Menu DEA -* Format,

benchmarks:

* for inefficient DMU: the reference DMUs with corresponding intensities (the “lambdas”) in brackets

* for efficient DMU: the number of inefficient DMUs which have chosen the DMU as Benchmark,

slacks {S} or factors {F}. Depending of the chosen distance, for radial and additive measures the slacks are displayed. For the minAverage and maxAverage measures the factors (i. e. the ?i, ?j as defined above) are displayed. In addition, for the minAverage measure slacks are displayed for those inputs and outputs with factors = 1 (or 0 for non-oriented measure).

For Nonconvex (FDH) models, instead of the weights for each DMU the number of dominated and dominating DMUs and lists of these DMUs are displayed.

Copy Save

The result table can be copied to your spreadsheet via the Windows clipboard: Use Menu Edit -* Copy (???? +C) for copying your current selection or Copy All (???? +A) for the whole results table.

The result table can be saved as an ASCII file (Menu File -* Save or Save As).

7 Acknowledgements

Thanks to BPMPD’s author Csaba M´esz´aros for the kind support during the development of EMS. Thanks to Laurens Cherchye for valuable discussions.

8 Disclaimer

The author of the program described here accepts no responsibility for damages resulting from the use of this software and makes no warranty, either express or implied, including, but not limited to, any implied warranty of fitness for a particular purpose. The software is provided as it is, and you, its user, assume all risks when using it.

PHILIPPINE PHYSICS SOCIETY

PHYSICS OLYMPICS MANUAL

2019 EDITION

PHILIPPINE PHYSICS SOCIETY PHYSICS OLYMPICS MANUAL (2019 Edition)

TABLE OF CONTENTS

Introduction 3

General Rules 4

Regular Physics Olympics 4

Egg Drop

Paper Tower

Bridge Building

Large Barge

Paper Airplane

Egg Transport

Supermagnet

Water Rocket

Master Robot

Beach Physics Olympics

Tallest Sand Tower

Suggested articles in a shared project

Suggested articles relate to specific projects, so all members within a shared project will see the same recommendations and can interact with them. Their interaction affects all members of the project. If another member does not agree, however, this member can add in previously dismissed articles or remove articles. All this information is stored in the Activity section of the project.

The F1000 browser extension

Benefits of the browser extension

The F1000Workspace browser extension is a powerful add-on available for all popular internet browsers. It allows you to save articles as you browse with a single click. You can add notes (highlights and comments) to web pages, and add articles/web pages directly to F1000. Members of a shared project can share their annotations making the process of collecting relevant references much more efficient.

Installing the browser extension

Go to the main Workspace site, click the link to the extension in the header and follow the instructions to install the browser extension (which will vary depending on the

Page 15

browser you are using). If you use more than one browser, you’ll have to install the extension for each separately.

One-click reference saving

Browse to a web page (for example PubMed search results):

* Click on the ‘F’ browser extension icon

* Select the detected references you wish to save

* Choose a project to save them in

* Click Add item

Annotating a webpage

The browser extension allows you to save references, and highlight sections of a reference that are interesting with the option of adding a note. To do this:

* Click on the ‘F’ browser extension icon

* Check that the Highlighter is switched on

* Select the text that you wish to highlight

* Add a comment (Optional)

* Click Save

Every time you add a note (highlighting text and adding comments) to a web page we

automatically save the page to your list of references.

Importing references cited in an article

Simply click Show cited articles and we will show you all the articles we have detected on the web page you are viewing. Select the citations you wish to import and click Add items. The browser extension can only detect articles that have a unique identifier (DOI or PMID). So you might note a difference in the total number of citations you can import as compared to the total included in the article you are viewing.

Viewing your annotations

There are a few ways you can view segments of articles you have highlighted and related notes:

* Within projects: Click on the Notes tab to see all notes made on references within that project. If the reference is part of two different projects, the note will be visible in both projects

* When viewing a particular reference: Click the Notes section to see all notes made on that reference

* On the web: If you browse to an article you have previously highlighted/commented on, you will see your annotation appear. Your annotations are only visible to you or invited members of a shared project. You can disable this feature by turning the Highlighter to off mode from within the browser extension window.

Page 16

Finding articles you have saved via the browser extension

You should usually be able to quickly find a reference you have saved/annotated via the browser extension by going to the relevant project folder on f1000.com/work (you must be logged in). If not you can use the search function from within All references.

Understanding the different states of the ‘F’ browser extension icon

An article has been detected on the page which you can save to F1000 as a reference.

Several articles have been detected on the page. By clicking the icon you can choose which references you wish to add to F1000.

No article detected on the page. The extension intelligently detects scientific related web pages, but you can use it to add any page to a project by clicking the ‘F’ icon and selecting Add item.

You are logged out of F1000, or the F1000 browser extension is not supported on this page.

Supported types of web pages

There are two types of references you can save:

* Article. The F1000 browser extension automatically detects articles in web pages and builds the reference for you

* Website. When no article is detected, the F1000 browser extension will save it as a website reference

Please note that some web pages have a structure that does not support the F1000 browser extension. Other pages like Facebook or Gmail are constantly changing the content displayed, meaning your notes would quickly be lost.

Annotating PDFs

You can only annotate PDFs that have been saved in F1000. Depending on your browser importing PDFs can be relatively easy. Please see the following instructions:

Chrome, Opera & Safari

* Open the PDF in a browser window or tab

* Click the ‘F’ browser extension icon

* Select an appropriate project to save to

* Click Add PDF

* The PDF will be saved in F1000 and then automatically opened in your browser via the F1000 PDF viewer, here you can annotate the PDF as you would a normal web page.

Page 17

Firefox & Internet Explorer 11

* Download the PDF to your computer

* Follow these instructions:

Click Import references then select the appropriate option. You can import PDFs or RIS, BIB and EndNote XML files, add references using a DOI or PMID (PubMed ID) or select the Manual entry option. Alternatively you can import from another software tool (e.g. Mendeley) by entering your login details.

The Word plugin

Benefits of the Word plugin

The F1000Workspace Word plugin significantly enhances productivity by linking any paper you are writing to your F1000Workspace projects, references and notes. It allows you to easily insert citations, format your paper and search PubMed and F1000 recommendations, all without leaving Word.

Installing the Word plugin

The F1000Workspace Word plugin is available for Microsoft Word for Windows and Mac OS X. To install it click here and follow the instructions. The Word plugin will be installed together with the F1000 desktop app.

Sign-in to access your projects and references

Your F1000 projects and references are stored in the cloud; this means you can easily access all your projects, references and notes from Word by installing the plugin and signing in with your account details.

Inserting citations

To insert a citation in your document just place the cursor and click Insert citation. From the popup, you can choose which citations you want to insert. You can also insert citations from Search in PubMed.

Citation marks

You can add citation marks in Word by placing keywords between { }, e.g. {Beddington 1994} or {zebrafish Fgf}. To convert the marks in citations, just click in Find citation marks and we will suggest references for each { }. This feature is particularly useful when you are offline and can’t access your references in Workspace as it acts as a placeholder. When you are online and click Find citation marks, any text inserted between { } will be used to search all your references for possible matches. If you don’t find the reference that you want you can also search PubMed or articles recommended in F1000.

Page 18

Using ‘Smart citation suggestions’

To help you find relevant citations we built the ‘find me a citation’ feature that uses our smart search algorithm to automatically suggest relevant citations. To use this feature, place your mouse cursor where you want to insert the citation within your paper then click Smart citation suggestions.

Editing existing citations

Just place your mouse cursor on an existing citation, click Edit citation (if on Mac, click

Insert citation again) and you can quickly add or delete citations.

When editing existing citations you have two options:

* Click Insert Citation to quickly add or remove references to the current citation

* Click Edit Citation to add prefixes/suffixes, suppress authors or show the citation only in the bibliography. You can also click View in F1000 to edit the article metadata

Create bibliography

When you insert a citation using Insert citation the bibliography list will be created/ updated automatically. You can disable this functionality by deselecting the check box labelled ‘create bibliography in the end of the document’ when you insert the citation. You can always insert a bibliography later by clicking Create bibliography.

Changing the bibliographic style

Select Style within the Bibliography section, and choose your preferred style to format your citations and bibliography. If you can’t find the style that you want, select More styles from the bottom of the list.

Adding more bibliographic styles

Open the style manager by clicking More styles from the Style dropdown menu. You can then add a new style to your list by selecting a style from the right menu. You can also remove a style from your list by clicking the (-) icon next to it in the left menu. You also have the option of searching for a specific style. Click Find CSL citation styles in the dropdown. This link will take you to a separate page where you can follow the instructions to search citations by either name or by example.

Searching references

Click Search my references to search your F1000 references. You can filter by tag or project and then review a reference before citing it. This is all available directly from within Microsoft Word.

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Searching PubMed

Click Search in PubMed and you can perform a simple keyword search or a more advanced search by selecting a specific field.

Searching F1000 recommendations

Click Search F1000 Recommendations to search specific articles that have been recommended by our faculty of more than 10,000 experts in their fields.

Exporting to plain text

Some publishers will ask you to send them your manuscript with the references and bibliography in plain text. To do this, just click Export to plain text and save the file with a different name to the original Word document.

Submit to F1000Research

To submit to F1000Research from Word, just click the button ‘Submit to F1000Research’ (Wellcome users will see a ‘Submit to Wellcome’ button). You will be redirected to the F1000Research submission form. If you have linked the manuscript with a shared project, then the members’ names will be added as co-authors. You are able to edit them in the submission form.

Create a reference list in Word without inserting citations in the text

The easiest solution is to generate the bibliography from inside F1000Workspace:

* Select references

* Click the ‘export’ button and select ‘generate bibliography’

* You can now select from 6 different citation styles (AMA, APA, Chicago, Harvard, MLA, Vancouver)

Do I need to refresh my document after inserting or deleting a citation?

You only need to refresh the document when you remove a citation and you want to update the other references immediately. When inserting a citation the document is automatically refreshed.

I can’t click ‘View my notes’ or ‘View in F1000’, why is this?

Select a project from the dropdown menu to activate the ‘View Notes’ and ‘View in F1000’ features.

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Can I have different bibliographies for each section of my manuscript?

If you need to have separate bibliographies for each section of your manuscript, we advise you to:

* Write the chapters in different documents and create a bibliography for each one

* Export them as plain text and copy and paste each section into a single document

I am having problems searching PubMed from within Word (Windows)

This can be because of other plugins installed in Word, such as the EndNote X6 plugin. To be able to use the F1000 tools without problems, you should disable the EndNote X6 plugin by following these steps:

For Windows 2007

* Click on

* Click Word Options

* Select Add-Ins

* From the Manage box, select COM Add-Ins and click on Go

* Uncheck EndNote and click Ok

For Windows 2010 and 2013

* Click File in the top menu

* Click Options in the left navigation

* Select Add-Ins

* From the Manage box, select COM Add-Ins and click on Go

* Uncheck EndNote and click Ok

To switch it back on just follow the same steps, checking EndNote instead of

unchecking.

The Word plugin does not appear when I open Word

If the Word plugin is installed and Microsoft Word crashes it may get deactivated when you restart Word, in which case it will not appear in the top bar. You can reactivate it by following these steps:

MS Word 2010/2013

1. Click File in the top menu

2. Click Options in the left navigation

3. Select Add-ins. Here you will see if the F1000 Word plugin is installed. If it is not in the list at all, please install it

4. If it is present, select COM Add-ins in the dropdown at the bottom of the window and click Go

5. Make sure that F1000 AddIn is checked and click Ok

6. Click Ok again to close the options

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MS Word 2007

1. Click on

2. Click Word Options

3. Select Add-ins. Here you will see if the F1000 Word plugin is installed. If it is not in the list at all, please install it

4. If it is present, select COM Add-ins in the dropdown at the bottom of the window and click Go

5. Make sure that F1000 AddIn is checked and click Ok

6. Click Ok again to close the options

The Word plugin for Mac does not appear when I open Word

If you do not see the F1000 toolbar when you open Word then it may not be enabled. Please perform the following steps to activate it:

* Click View in the menu bar

* Select Toolbars

* You should now see a list of available Toolbars. Ensure that F1000 Toolbar has a tick next to it (if it doesn’t, simply click it to activate)

* Restart Word

The F1000 Toolbar should now appear. If you do not see it then please either check the toolbar template has installed correctly, or contact us.

The Word plugin for Mac crashes when closing a document

This can be caused by other plugins installed in Word, such as the EndNote plugin. To be able to use the F1000 tools without problems, you should disable the EndNote X6 plugin by following these easy steps:

* Click on File

* Click on Toolbars

* Uncheck EndNote

‘Notebook Layout’ view when using the Word plugin for Mac

The F1000 toolbar will not be visible in the ‘Notebook Layout’ view in Word for Mac, please choose another view to be able to use the F1000 Word plugin.

The F1000 Word plugin does not work properly when both Word 2011 and Word 2016 are installed (Mac)

When both Word 2011 and Word 2016 are installed on the same Mac computer the F1000 Word plugin works erratically. Currently the only way to avoid this is to uninstall one of the versions of Word.

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The Google Docs add-on

Benefits of the Google Docs add-on

With the F1000 Google Docs add-on you can easily cite any references saved in F1000Workspace. You’ll get smart citation suggestions and be able to search PubMed and over 170,000 expert recommended articles in F1000Prime - all without leaving Google Docs.

How can I get the F1000 add-on in Google Docs?

In Google Docs click Add-ons, select Get Add-ons and search for F1000. Just follow the

instructions to install it.

The F1000 add-on will now be visible in the Add-ons tab.

How can I insert citations?

Open the F1000 add-on and select Insert citations from the menu. Within the F1000 panel you can cite references from F1000Workspace, search PubMed and look for recommended articles in F1000Prime.

How can I insert a bibliography?

From the navigation menu select Citations and bibliography, select your chosen style and click Apply. All citations will be formatted according to the selected style and a bibliography will be inserted at the end of the document.

If the style that you want is not listed, you can add more by searching our database of over 7000 styles, using the search box. When you find it, just click Add and the style will appear in the list.

Please note that new citations inserted in the document will have the default style (author, year) and it will not appear in the bibliography. You just need to go back to the Citations and bibliography panel and click Format, to apply your chosen style to your document and update the bibliography.

Why new citations are not formatted in the style that I previously chose?

This is a technical constraint of how Google Docs deals with inserting citations; new citations are always inserted with the default format (author, year). Simply go back to the Citations and bibliography panel and click Format to apply the chosen style to your document and update the bibliography.

Page 23

The desktop app

Activating the watch folder

In order to activate the Watch Folder, locate the F1000 logo in your task bar and click on it. You will be able to designate a folder on your machine as a ‘Watch Folder’.

Importing PDFs via the watch folder

As long as they are smaller than 25MB, all PDFs added to the watch folder should automatically be imported to your reference list. We do not currently support the file sizes over 25MB.

Troubleshooting

Problems importing references in Windows 8 app-mode when in Chrome

When you are running your PC in app mode, the popup usually shown when you click import references will appear behind the active browser window.

To exit app mode, perform the following steps:

* Click the Chrome menu

* Select Relaunch Chrome on the desktop

You can now import your references, and then either continue to use the site as is or restart app mode, you will be able to access all other features of the site using either mode.

Problems opening/activating the desktop app or browser extension

It’s possible your antivirus is blocking communication between the F1000 desktop app/ extension and our server. Please contact your IT department.

Page 24

I do not accept third-party cookies and the browser extension does not let me sign in (Firefox)

The browser extension requires that you accept cookies from F1000. To use the browser extension while still preventing other third-party cookies, please follow these steps:

* Click Options in the main Firefox menu

* Select the Privacy tab in the popup

* In the History section of the popup (see below) select Use custom settings for history from the dropdown menu

* Ensure the Accept cookies from sites option is unchecked, or the Accept third-party cookies option is set to Never (depending on your preference)

* Click the Exceptions button to see the following popup

* Type http://f1000.com into the Address text field

* Click Allow

You should now be able to use the F1000 browser extension. If you are still having

issues, please contact info@f1000.com.

The Firefox browser extension is installed, but it does not appear in the toolbar

First it is best to ensure that no files were corrupted, please follow the instructions at Mozilla support, restart Firefox and return to this page.

Then follow these steps in Firefox:

* Click Menu

* Click Customise

* Drag the ‘F’ browser extension icon up to your toolbar at the top of the browser

* window

* Click Exit customize

Page 25

The Word Plugin for Mac is enabled but I don’t see the toolbar

It’s possible the F1000 template did not install correctly. Please perform the following steps.

While in Word:

* Click Word in the Mac menu bar

* Click Preferences

* Select File locations on the left side of the popup

* Select Startup in the main pane of the popup

* Click Modify

* Choose a folder (this folder will contain add-ons which should be opened when Word is started) and confirm your choice

In the Mac Finder:

* Go to Applications

* Right click F1000

* Click Show Package Contents

* Select Contents > Resources

* Copy F1000.dot into the folder you selected as your Startup folder in Word (see above)

* Restart Word

* You should now see the F1000 toolbar. if you do not then please contact us.

‘Can’t load Visual Basic for Applications’ Word error (Word 2011 for Mac)

This issue arises when Visual Basic for Applications is not installed in Microsoft Word. To install Visual Basic for Applications, start the Microsoft Office installation and when you arrive in the Installation Type section, click Microsoft Office 2011 on the right. Make sure that the Visual basic for Applications component is installed.

Page 26

If you have any problems or have any further questions please contact us at feedback@ f1000.com. If you are signed in on f1000.com/work, you can also use the Message us link in the header to send us an instant message.

Page 27

Brakes

Many states require a separate braking system on trailers with a loaded weight of more than 1,500 pounds. For your safety, Ford Motor Company recommends that a separate functional brake system be used on any towed vehicle, including those dolly-towed or towbar-towed. There are several basic types of brake systems designed to activate trailer brakes:

1. Electronically Controlled Brakes usually provide automatic and manual control of trailer brakes. They require that the tow vehicle be equipped with a controlling device and additional wiring for electrical power. These brakes typically have a control box installed within reach of the driver and can be applied manually or automatically.

2. Electric-Over-Hydraulic (EOH) Trailer Brakes are operated by an electrically powered pump that pressurizes a hydraulic fluid reservoir built into the trailer’s brake system. Many of the available EOH trailer brake models are compatible with the Ford factory installed, dash-integrated Trailer Brake Controller (TBC).

3. Surge Brakes are independent hydraulic brakes activated by a master cylinder at the junction of the hitch and trailer tongue. They are not controlled by the hydraulic fluid in the tow vehicle’s brake system, and the tow vehicle’s hydraulic system should never be connected directly to the trailer’s hydraulic system.

Be sure your trailer brakes conform to all applicable state regulations. See Towing Safely for All Vehicles on the next page for additional braking information.

Trailer Lamps

Make sure the trailer is equipped with lights that conform to all applicable government regulations. The trailer lighting system should not be connected directly to the lighting system of the vehicle. See a local recreational vehicle dealer or rental trailer agency for correct wiring and relays for the trailer and heavy-duty flashers.

Safety Chains

– Always use safety chains when towing. Safety chains are used to retain connection between the towing and towed vehicle in the event of separation of the trailer coupling or ball

– Cross chains under the trailer tongue to prevent the tongue from contacting the ground if a separation occurs. Allow only enough slack to permit full turning – be sure they do not drag on the pavement

– When using a frame-mounted trailer hitch, attach the safety chains to the frame-mounted hitch using the recommendations supplied by the hitch manufacturer

– See your vehicle’s Owner’s Manual for safety chain attachment information

– For rental trailers, follow rental agency instructions for hookup of safety chains

Trailer Wiring Harness

– Some vehicles equipped with a factory-installed Trailer Tow

Package include a trailer wiring harness and a wiring kit

– This kit includes one or more jumper harnesses (to connect to your

trailer wiring connector) and installation instructions

TOWING SAFELY

FOR ALL VEHICLES.

Towing a trailer is demanding on your vehicle, your trailer and your personal driving skills. Follow some basic rules that will help you tow safely and have a lot more fun.

Weight Distribution

* For optimum handling and braking, the load must be properly distributed

* Keep center of gravity low for best handling

* Approximately 60% of the allowable cargo weight should be in the front half of the trailer and 40% in the rear (within limits of tongue load or king pin weight)

* Load should be balanced from side-to-side to optimize handling and tire wear

* Load must be firmly secured to prevent shifting during cornering or braking, which could result in a sudden loss of control

Before Starting

* Before setting out on a trip, practice turning, stopping and backing up your trailer in an area away from heavy traffic

* Know clearance required for trailer roof

* Check equipment (make a checklist)

Backing Up

* Back up slowly, with someone spotting near the rear of the trailer to guide you

* Place one hand at bottom of steering wheel and move it in the direction you want the trailer to go

* Make small steering inputs – slight movement of steering wheel results in much greater movement in rear of trailer

Turning

When turning, be sure to swing wide enough to

allow trailer to avoid curbs and other obstructions.

Braking

* Allow considerably more distance for stopping with trailer attached

* Remember, the braking system of the tow vehicle is rated for operation at the GVWR, not GCWR

* If your tow vehicle is a F-150, F-Series Super Duty®, Transit or Expedition and your trailer has electric brakes, the optional Integrated Trailer Brake Controller (TBC) assists in smooth and effective trailer braking by powering the trailer’s electric or electric-over-hydraulic brakes with proportional output based on the towing vehicle’s brake pressure

* If your trailer starts to sway, apply brake pedal gradually. The sliding lever on the TBC should be used only for manual activation of trailer brakes when adjusting the gain. Misuse, such as application during trailer sway, could cause instability of trailer and/or tow vehicle

Towing On Hills

* Downshift the transmission to assist braking on steep downgrades and to increase power (reduce lugging) when climbing hills

* With TorqShift® transmission, select tow/haul mode to automatically eliminate unwanted gear search when going uphill and help control vehicle speed when going downhill

Parking With A Trailer

Whenever possible, vehicles with trailers should not be parked on a grade. However, if it is necessary, place wheel chocks under the trailer’s wheels, following the instructions below.

* Apply the foot service brakes and hold

* Have another person place the wheel chocks under the trailer wheels on the downgrade side

* Once the chocks are in place, release brake pedal, making sure the chocks will hold the vehicle and trailer

* Apply the parking brake

* Shift automatic transmission into park, or manual transmission into reverse

* With 4-wheel drive, make sure the transfer case is not in neutral (if applicable)

Starting Out Parked On A Grade

* Apply the foot service brake and hold

* Start the engine with transmission in park (automatic) or neutral (manual)

* Shift the transmission into gear and release the parking brake

* Release the brake pedal and move the vehicle uphill to free the chocks

* Apply the brake pedal while another person retrieves the chocks

Acceleration And Passing

The added weight of the trailer can dramatically decrease the acceleration of the towing vehicle – exercise caution.

* When passing a slower vehicle, be sure to allow extra distance. Remember, the added length of the trailer must clear the other vehicle before you can pull back in

* Signal and make your pass on level terrain with plenty of clearance

* If necessary, downshift for improved acceleration

Driving With An Automatic Overdrive Transmission

With certain automatic overdrive transmissions, towing – especially in hilly areas – may cause excessive shifting between overdrive and the next lower gear.

* To eliminate this condition and achieve steadier performance, overdrive can be locked out (see vehicle Owner’s Manual)

* If excessive shifting does not occur, use overdrive to optimize fuel economy

* Overdrive may also be locked out to obtain engine braking on downgrades

* When available, select tow/haul mode to automatically eliminate unwanted gear search and help control vehicle speed when going downhill

Driving With Cruise Control

Turn off the cruise control with heavy loads or

in hilly terrain. The cruise control may turn off

automatically when you are towing on long, steep

grades.

Tire Pressure

* Underinflated tires get hot and may fail, leading to possible loss of vehicle control

* Overinflated tires may wear unevenly

* Tires should be checked often for conformance to recommended cold inflation pressures

Spare Tire Use

A conventional, identical full-size spare tire is required for trailer towing (mini, compact and dissimilar full-size spare tires should not be used; always replace the spare tire with the road tire as soon as possible).

On The Road

After about 50 miles, stop in a protected location

and double-check:

* Trailer hitch attachment

* Lights and electrical connections

* Trailer wheel lug nuts for tightness

* Engine oil – check regularly throughout trip

High Altitude Operation

Gasoline engines lose power by 3-4% per 1,000 ft. elevation. To maintain performance, reduce GVWs and GCWs by 2% per 1,000 ft. elevation starting at the 1,000 ft. elevation point.

Powertrain/Frontal Area

Considerations

The charts in this Guide show the minimum engine

size needed to move the GCW of tow vehicle

and trailer.

* Under certain conditions, however, (e.g., when the trailer has a large frontal area that adds substantial air drag or when trailering in hilly or mountainous terrain) it is wise to choose a larger engine

* Selecting a trailer with a low-drag, rounded front design will help optimize performance and fuel economy

Note: For additional trailering information pertaining to your vehicle, refer to the vehicle Owner’s Manual.

For the latest RV/Towing information, check out www.fleet.ford.com/ towing-guides or for Ford Dealers go to esourcebook.dealerconnection.com.

SWEET HOME SCHOOL DISTRICT NO. 55

Sweet Home, Oregon

CRISIS MANAGEMENT PLAN

STEPS FOR SCHOOLS TO TAKE IN A CRISIS

Introduction

Evacuation Codes

Assault/Fighting

Bomb Threat

Child Abuse

Disturbances

Earthquake

Electrical Storms

Emergency Release of Students

Explosion

Extortion/Coercion

Fire

Hazardous Materials Spill

Inclement Weather

Power Failure

Serious Illness/Injury

Shooting

Suicide

Trespassing

Tsunamis

Unauthorized Visitor

Volcanic Activity

Weapons

Resource Information

Introduction

A well-organized plan is essential in responding to a crisis. As part of that plan, this handbook provides building level staff a framework to use from the moment a crisis hits.

The handbook is designed so that building administrators can tailor response plans to meet specific needs. Space is provided to include emergency phone numbers and building staff names and phone numbers.

Note: This Crisis Management Plan is published as a guide. If legal advice or other expert assistance is required, the school district should seek services from a practitioner in specific fields such as law, health and social services and law enforcement.

The framework is only the beginning.

Each school staff must select a

capable crisis response team

trained to respond in an emergency.

In developing a plan, be sure to ask for help from local fire, police, hospital and other groups likely to

Train the building's staff on the

completed plan. Thorough training

will mean staff response will be

A building administrator should be

be involved in a school emergency.

quick and effective. Emergency

in charge of the team which is com-

Also, develop student and staff

situations cannot always be

posed of teachers and support staff.

evacuation routes and assembly

avoided but a well-developed plan

All team members need to have

points. Include an evacuation plan

and thoroughly trained staff can

been thoroughly trained to carry

in the event that the campus is

lessen the emotional trauma to staff

out the building's emergency plan.

unsafe for students and staff.

and students.

Crisis Management Team

School Date

Crisis Team Members

School Extension #

Evacuation Codes

The level of evacuation recommended is listed in each of the following sections. This page describes each code and how it should be applied.

Possible

Lockdown

Classroom

Evacuation

Possible

Early Closure

Campus

Evacuation

* Weapon

* Fire

•

Inclement Weather • Toxic Spill

* Shooting

* Bomb

•

Electrical Storm • Tsunami

* Unauthorized Visitor

* Earthquake

•

Power Failure

* Trespassing

* Explosion

•

Volcanic Activity

* Disturbances

Lockdown Procedures ? Determination of imminent danger

* Announce "signal words"* declaring lockdown

* Detain all students in class

* Secure classroom by locking doors, closing windows/shades and turning off lights

* Ask students to lie on the floor away from windows and doors

* No one allowed to leave the room

* Remain in lockdown until released by someone in authority

Evacuation Procedures All students and staff transported a safe distance from campus to a prearranged "safe" area by bus if possible, if not, by foot.

* Signal words are designated words/word used to initiate lockdown

procedure by staff without alarming students.

Evacuation Codes

Assault/Fighting

Assault: Violence or threat of physical harm to staff, students or other persons not involving a dangerous weapon, deadly weapon or firearm.

Evacuation Code: Not Applicable

Task Person Responding Done?

Approach in a calm, controlled manner addressing the combatants by name, if possible.

Control the scene. Demand that the combatants stop. Obtain witnesses.

Escort the combatants to the office area keeping them isolated from each other and other students.

Notify administration.

ÔÔÔÔÔ

Task Person Responsible Done?

Obtain written statements from combatants and witnesses.

Pursue appropriate disciplinary steps.

Notify parents.

Notify law enforcement, if

applicable.

Related district policies: EBBA - First Aid; EBBB - Accident/Incident Reports; EBC/EBCA - Emergency

Procedures and Disaster Plans; JFCF - Hazing/Harassment/Menacing; JFCJ - Weapons in the Schools; JFG - Student Searches; JFI - Student Demonstrations and Petitions; JG - Student Discipline; JGD - Suspension; JGDA/JGEA-AR - Special Education-Discipline; JGE - Expulsion, JHHA - Crisis Prevention and Response; JOD - Media Access to Students.

ÔÔÔÔÔ

Assault/Fighting

Bomb Threat

Bomb Threat: Receipt of a verbal or written threat of a bomb or discovery of a suspicious device.

Evacuation Code: Classroom Evacuation

Task

Person Responding

Done?

Record exactly what the caller says. Attempt to obtain exact wording. Activate caller ID when applicable.

Ask the caller: 1. What time is the bomb set to detonate?

2. Where is it located?

3. Is it visible? Hidden?

4. What kind of bomb is it?

5. What does it look like?

6. Why was it placed in the school?

7. How did it get in the school?

Note the caller as to accent, age, sex, background noise, mental state, etc.

Notify administration.*

* If a suspicious device is observed by a student or staff member, contact administration immediately. Do not attempt to move the device.

ÔÔÔÔÔ

Task Person Responsible Done?

1 Initiate alarm.

2 Notify superintendent who will contact appropriate agencies.

3 Search evacuation site for possible second device.

Related district policies: EBC/EBCA - Emergency Procedures and Disaster Plans; JFCJ - Weapons in the

Schools; JFG - Student Searches; JFG-AR - Student Searches; JG - Student Discipline; JGD - Suspension; JGE - Expulsion; JHHA - Crisis Prevention and Response; JOD - Media Access to Students

ÔÔÔÔÔ

503-934-0243

Bomb Squad

Bomb Threat

Child Abuse

Child Abuse: School employees having reasonable cause to believe that any child with whom the employee comes in contact has suffered abuse, or that any person with whom the employee comes in contact has abused a child, shall orally report or cause an oral report to be immediately made by telephone or otherwise to the local office of Services to Children and Families or to a law enforcement agency within the county where the person making the report is at the time of his/her contact.

Evacuation Code: Not Applicable

"Child" is defined as any unmarried person under the age of 18. "Child Abuse" categories include: (a) physical; (b) neglect; (c) mental injury; (d) threat of harm; or (e) sexual abuse and sexual exploitation.

Task Person Responding Done?

Inform Services to Children and Families or law enforcement.

Contact supervisor, building principal or

superintendent.

Do not notify parents!

ÔÔÔÔÔ

Task Person Responsible Done?

Administrative

follow-up

1 Confirm notification of required

agencies.

Be certain proper procedures are

2 followed (i.e., confidentiality and student interview by outside agencies.

Related district policies: EBC/EBCA - Emergency Procedures and Disaster Plans; JHFE - Reporting of

Suspected Child Abuse; JHFE-AR - Reporting of Suspected Child Abuse.

ÔÔÔÔÔ

541-967-2026

9-911

541-367-7126

DHS Police Administration

Child Abuse

Disturbances

Disturbances and Demonstrations: An event that has the potential to disrupt school

activities or cause damage.

Evacuation Code: Possible Lockdown

Task Person Responding Done?

1 Notify administration.

Task Person Responsible Done?

3 Notify law enforcement if

appropriate.

4 Do not attempt to negotiate any demands made by the demonstrators.

5 Prepare news media release with superintendent if appropriate.

6 Initiate lockdown, if appropriate.

Related district policies: EBC/EBCA - Emergency Procedures and Disaster Plans; JFCEA – Secret

Societies – Gangs; JFG – Student Searches; JFI – Student Demonstrations and Petitions; KGB – Public Conduct on District Property, KJA – Materials Distribution.

ÔÔÔÔÔ

Disturbances

Earthquake

Earthquake: Will strike without warning; appropriate emergency procedures must be initiated immediately.

Evacuation Code: Classroom Evacuation

Task Person Responding Done?

IF INDOORS

Instruct students in proper earthquake procedures, duck, cover and hold (i.e. drop to crouched position, head down, hands clasped behind head with back toward windows, under tables and away from bookshelves and cabinets.

Wait until tremors cease.

Evaluate situation and implement evacuation procedures if necessary. If required, evacuate to preassigned assembly area at least 100 feet from the building. Take grade book and check class roster immediately, reporting any missing students to the administration.

Supervise students until they can safely return or other administrative direction is given.

IF OUTDOORS

Move away from any buildings to open space avoiding trees, poles and any overhead wires.

Wait for tremors to cease.

Evaluate situation and either await reentry signal or evacuate to preassigned assembly area.

Supervise students until they can safely return or other administrative direction is given.

ÔÔÔÔÔ

Task Person Responsible Done?

Administrative

follow-up

1 Assess possible injuries and damage to building. Maintain communications with

2 superintendent as to possible early

closure.

Related district policies: EBBA - First Aid; EBBA-AR - Infection Control; EBBB - Accident/Incident

Reports; EBC/EBCA - Emergency Procedures and Disaster Plans; EBCD - Emergency Closures; JHHA - Crisis Prevention and Response; KBCA - News Releases.

ÔÔÔÔÔ

Earthquake

Electrical Storms

Electrical storms: Although not typical of most regions in Oregon, electrical storms are potentially lethal and can pose a very real threat to students and staff.

Evacuation Code: Possible Early Closure

Task Person Responding Done?

Remain indoors as storm develops, if outdoors, seek indoor shelter.

Avoid contact with electrical switches, drinking fountains, water pipes or any electrical equipment.

Turn off and unplug computers, turn off any natural gas in anticipation of possible power outage.

Related district policies: EBC/EBCA - Emergency Procedures and Disaster Plans; EBCD - Emergency Closures; JHHA - Crisis Prevention and Response; KBCA - News Releases.

ÔÔÔÔÔ

Electrical Storms

Emergency Release of Students

Emergency Release of Students: Request for any individual student to leave classroom without prior office approval.

Evacuation Code: Not Applicable

Task

Person Responding

Done?

Refer all requests for release of individual students to the office.

If an unauthorized or unknown person, note appearance or any other identifying information.

Notify administration.

Task Person Responsible Done?

3 Require a written release and driver license number.

4 Confer with superintendent if necessary.

5 Note vehicle's license number/ appearance, etc.

6 Call 911 if deemed appropriate.

Related district policies: EBC/EBCA - Emergency Procedures and Disaster Plans; GBH/JECAC - Staff/

Student/Parent Relations; JEDB - Student Dismissal Precautions; JHFA - Supervision of Students; JHHA - Crisis Prevention and Response.

ÔÔÔÔÔ

Emergency Release of Students

Explosion

Explosion: The release of mechanical, chemical or nuclear energy in a sudden and violent manner.

Evacuation Code: Classroom Evacuation

Task Person Responding Done?

Assess immediate injuries. Use serious illness/injury section of this booklet, if appropriate.

Follow evacuation procedures and/or activate alarm system. Leave classroom door unlocked and open. Take grade book and check class roster immediately, reporting any missing students to the administration when first arriving in the evacuation area.

Notify administration.

ÔÔÔÔÔ

Administrative follow-up

Related district policies: EBBA - First Aid; EBBA-AR - First Aid-Infection Control; EBBB - Accident/

Incident Reports; EBC/EBCA - Emergency Procedures and Disaster Plans; EBCC - Hazardous Threats; EBCD - Emergency Closures; JHHA - Crisis Prevention and Response; KBCA - News Releases

ÔÔÔÔÔ

9-911

541-367-7126

9-911

Police Administration Ambulance

9-911

Bomb Squad Fire

Explosion

Extortion/Coercion

Extortion/Coercion: Obtaining money or property by violence or threat of violence, or forcing someone to do something against his/her will by force or threat of force.

Evacuation Code: Not Applicable

Task Person Responding Done?

Escort witnesses and victim to office.

Notify administration of incident.

ÔÔÔÔÔ

Task Person Responsible Done?

3 Pursue appropriate disciplinary action.

4 Notify parents.

5 Notify law enforcement, if

appropriate.

Related district policies: JFC - Student Conduct; JFCF - Hazing/Harassment/Menacing; JFG - Student

Searches; JG - Student Discipline; JGD - Suspension; JGDA/JGEA - Discipline of Disabled Students; JGDA/JGEA-AR - Special Education - Discipline; JGE -

Expulsion; JHHA - Crisis Prevention and Response

ÔÔÔÔÔ

Extortion/Coercion

Fire

Fire: Arson is the intentional setting of fires but schools are also subject to accidental fires caused by faulty wiring, improper chemical storage or mishandling of combustible materials.

Evacuation Code: Classroom Evacuation

Task Person Responding Done?

Follow Evacuation procedures and/or activate alarm system. Close classroom windows and leave classroom door unlocked. Take grade book and check class roster immediately reporting any missing students to the administration when first arriving in the evacuation area. Evacuation area is to be no less than 100 feet from the building.

Call 911 and notify administration.

Supervise students in evacuation area.

Wait for administrative decision as to re-entry or early closure.

ÔÔÔÔÔ

Task Person Responsible Done?

1 Initiate building check utilizing building fire response team.

2 Attempt to determine both location and cause of fire.

3 Determine if there are any injuries.

4 Notify superintendent.

5 Meet with fire officials upon arrival.

6 Report all fires regardless of size and

prior to all custodial cleanup.

Related district policies: EBBA - First Aid; EBBA-AR - First Aid-Infection Control; EBBB - Accident/

Incident Reports; EBC/EBCA - Emergency Procedures and Disaster Plans; EBCD - Emergency Closures; JHHA - Crisis Prevention and Response; KBCA - News Releases.

ÔÔÔÔÔ

541-367-7126

Administration

Fire

Hazardous Materials Spill

Hazardous Materials Spill: Hazardous materials include poisons, fertilizers, biological contaminates, explosives and other corrosive materials which have the potential of becoming a hazard in the immediate vicinity of the school.

Evacuation Code: Campus Evacuation

Task

Person Responding

Done?

Notify administration and provide medical assistance, as appropriate.

Follow administrative directive.

ÔÔÔÔÔ

Task Person Responsible Done?

Seek treatment for any student or

1 staff exposed either through: (1) Inhalation; (2) skin exposure; (3) swallowing; or (4) eye exposure.

Determine location, quantity and

2 concentration of exposure; evacuate students as necessary.

If evacuated, instruct staff to take grade book; check class roster immediately reporting missing students to the administration.

Call 911.

Notify superintendent.

Related district policies: EBC/EBCA - Emergency Procedures and Disaster Plans; EBCC - Hazardous

Threats; EBCD - Emergency Closures; JHHA - Crisis Prevention and Response; KBCA - News Releases.

ÔÔÔÔÔ

503-229-5696

Fire Police Hazardous

Waste Management

Hazardous Materials Spill

Inclement Weather

Inclement Weather: Periodically, inclement weather develops which may necessitate the initiation of emergency procedures and/or early school closure.

Evacuation Code: Possible Early Closure

Task Person Responding Done?

WINDSTORMS

Turn off and unplug computers; turn off any natural gas in anticipation of possible power outage.

No open flame, candles, matches or lighters should be used for temporary lighting if outage occurs.

Keep students indoors in rooms opposite the windward side of the building. Use lower floors, interior halls and basements for students whenever possible.

Await decision of possible early dismissal by administrator or designee.

SNOW/ICE STORM

Turn off and unplug computers; turn off any natural gas in anticipation of possible power outage.

No open flame, candles, matches or lighters should be used for temporary lighting if outage occurs.

Keep students indoors.

Await decision of possible early dismissal by administrator or designee.

ÔÔÔÔÔ

Administrative follow-up

Related district policies: EBC/EBCA - Emergency Procedures and Disaster Plans; EBCD - Emergency Closures

ÔÔÔÔÔ

541-367-5115

541-367-7126

Radio Station Administration

Inclement Weather

Power Failure

Power Failure: Often more of an inconvenience, a power outage can pose serious safety considerations if not addressed appropriately.

Evacuation Code: Possible Early Closure

Task Person Responding Done?

Students are to remain seated and stationary in classroom until power is restored or until released by an administrator.

No open flame, candles, matches, candles or cigarette lighters should be used.

Notify main office of outage.

ÔÔÔÔÔ

Task Person Responsible Done?

1 Survey building to confirm that proper procedures are being followed.

2 Notify superintendent who will alert transportation department of possible early closure.

Related district policies: EBC/EBCA - Emergency Procedures and Disaster Plans; EBCD - Emergency Closures; JHHA - Crisis Prevention and Response; KBCA - News Releases

ÔÔÔÔÔ

541-367-7126

Administration

Power Failure

Serious Illness/Injury

Serious Illness/Injury: Injury or illness can happen at any time without prior warning or symptoms and must be dealt with swiftly and appropriately.

Evacuation Code: Not Applicable

Task Person Responding Done?

Contact first aid provider immediately, if possible.

Notify parents.

Notify superintendent.

Inform staff and students, if appropriate.

Prepare news media release with superintendent, if appropriate.

Complete accident form.

Task Person Responsible Done?

1 Assess safety status of accident

scene.

2 Notify parents.

3 Notify superintendent.

4 Inform staff and students, if appropriate.

5 Prepare news media release with superintendent, if appropriate.

6 Complete accident form.

Related district policies: EBBA - First Aid; EBBA-AR - First Aid-Infection Control; EBBB - Accident/

Incident Reports; EBBC - Resuscitation; EBC/EBCA - Emergency Procedures and Disaster Plans; JHHA - Crisis Prevention and Response; KBCA - News Releases

ÔÔÔÔÔ

Serious Illness/Injury

Shooting

Shooting: The discharge of any firearm in or in the direction of a school building or district property.

Evacuation Code: Possible Lockdown

Task Person Responding Done?

Call 911 and care for the injured as safely as possible.

Assist students/staff in evacuation from immediate danger to safe area.

Notify administration.

At all times attend to personal safety.

ÔÔÔÔÔ

Task Person Responsible Done?

Administrative follow-up

1 Assess situation as to:

a. shooter's location

b. injuries

c. potential for additional shooting

2 Initiate lockdown, if appropriate.

3 Secure medical attention for injured.

4 Ensure staff, students are safely evacuated and isolated from shooter.

5 Notify superintendent.

6 Meet with law enforcement upon arrival.

7 Designate spokesperson to deal with news media at scene.

8 Meet with superintendent to prepare news/information release.

9 Prepare parent letter.

10 Hold information meeting for staff.

11 Initiate grief counseling plan.

* Defer all management decisions to law enforcement upon arrival.

Related district policies: EBBA - First Aid; EBBA-AR - First Aid-Infection Control; EBBB - Accident/ Incident

Reports; EBC/EBCA - Emergency Procedures and Disaster Plans; JFCJ - Weapons in the Schools; JFG - Student Searches; JGD - Suspensions; JGE - Expulsions; JHHA - Crisis Prevention and Response; JOD - Media Access to Students; KBCA - News Release; KN - Relations with Law Enforcement Agencies; KN-AR - Relations with Law Enforcement Agencies

ÔÔÔÔÔ

Shooting

Suicide

Suicide: Threat or attempt to take one's life.

Evacuation Code: Not Applicable

Task Person Responding Done?

Intervene as appropriate prior to attempted suicide.

Prevent students, if possible, from witnessing a traumatic event.

Notify administration.

Remain calm and reassure students.

Task Person Responsible Done?

Call 911.

Notify superintendent.

Call school nurse and school

counselor.

Notify parents, staff.

Refer news media to superintendent.

Initiate grief counseling plan.

Related district policies: EBBB - Accident/Incident Reports; EBC/EBCA - Emergency Procedures and

Disaster Plans; JFG - Student Searches; JHH - Student Welfare-Suicide; JHHA - Crisis Prevention and Response; KBCA - News Releases

ÔÔÔÔÔ

800-560-5535

Suicide Hot Line

Suicide

Trespassing

Trespassing: Entering or unlawfully remaining in a school building or a restricted portion of the school grounds.

Evacuation Code: Possible Lockdown

Task Person Responding Done?

Ask unauthorized visitor to identify himself/herself.

Escort any unauthorized visitor to the office.

Notify administration if the unauthorized visitor refuses to comply.

ÔÔÔÔÔ

Administrative follow-up

1 Ask the unauthorized visitor his/her

purpose and if not on lawful business, ask him/her to leave.

If the unauthorized visitor refuses or is a repeat offender, call 911 and provide police with necessary information; issue a letter of no trespass to be followed by a certified letter of no trespass.

If possible, monitor the unauthorized individual leaving campus.

Inform staff, the district office and other district buildings, if appropriate.

Related district policies: EBC/EBCA - Emergency Procedures and Disaster Plans; GBH/JECAC - Staff/

Student/Parent Relations; JEFA - Closed Campus/Open Campus; JHHA - Crisis Prevention and Response; KGB - Public Conduct on District Property; KK - Visitors to District Facilities

ÔÔÔÔÔ

Trespassing

Tsunami

Tsunami (Tidal Wave): Based on Oregon's coastal exposure and the possibility of offshore earthquakes, Oregon's coastal schools are vulnerable.

Evacuation Code: Campus Evacuation

Task Person Responding Done?

Upon notification or warning of a tsunami, evacuate all staff and students to designated "higher ground".

In the event of an earthquake, duck, cover and hold. (i.e., drop to crouched position, head down, hands clasped behind head, with back toward windows, under tables and away from bookshelves and cabinets).

When tremors cease, evacuate immediately to designated

"higher ground". Staff are to take grade books and check

class roster immediately reporting any missing students to the administration.

Await administrative direction.

ÔÔÔÔÔ

Task Person Responsible Done?

1 Initiate appropriate emergency alarm.

2 Monitor evacuation.

3 Gather attendance information.

Designate administration to deal with news media at scene, depending on

6 severity of damage.

Related district policies: EBBA - First Aid; EBBA-AR - First Aid-Infection Control; EBB - Accident/Incident

Reports; EBC/EBCA - Emergency Procedures and Disaster Plans; EBCD - Emergency closures; JHHA - Crisis Prevention and Response; KBCA - News Releases

ÔÔÔÔÔ

503-378-2911

800-621-3362

Oregon Emergency Federal Emergency

Management Office Management Agency

Tsunami

Unauthorized Visitor

Unauthorized Visitor: Any unauthorized visitor or unknown person on district grounds.

Evacuation Code: Possible Lockdown

Task Person Responding Done?

Keep students in room or return to room if not already there.

Notify office of suspected unauthorized visitor and give description.

Follow administrative directive.

ÔÔÔÔÔ

Task Person Responsible Done?

1 Attempt to obtain identity and purpose of unauthorized visitor.

2 Call 911.

3 Notify superintendent.

4 Initiate lockdown process, if appropriate.

5 Provide police with necessary information.

Meet with superintendent to prepare

6 news/information release to staff, students, parents, community and news media, if appropriate.

Related district policies: EBC/EBCA - Emergency Procedures and Disaster Plans; GBH/JECAC - Staff/

Student/Parent Relations; JFCJ - Weapons in the Schools; JHHA - Crisis Prevention and Response; KBCA - News Releases; KGB - Public Conduct on

District Property; KK - Visitors to District Facilities

ÔÔÔÔÔ

Unauthorized Visitor

Volcanic Activity

Volcanic Activity: Because Oregon is in the Pacific Rim region, sudden unforeseen volcanic activity remains a very real risk to staff and students.

Evacuation Code: Possible Early Closure

Task Person Responding Done?

Stay indoors keeping all windows and doors closed.

If outdoors, seek shelter indoors.

Cover mouth with a damp cloth if it becomes necessary to venture out.

Emergency closure decisions will be made by an administrator.

ÔÔÔÔÔ

Task Person Responsible Done?

Administrative follow-up

1 Survey building to confirm proper

procedures are being followed if

survey can be done safely.

2 Maintain communications with

superintendent for updates and

possible early closure.

Related district policies: EBC/EBCA - Emergency Procedures and Disaster Plans; EBCD - Emergency Closures; JHHA - Crisis Prevention and Response Plan

ÔÔÔÔÔ

Volcanic Activity

Weapons

Weapons: A dangerous weapon, deadly weapon or firearm as defined by state and federal law includes, but is not limited to, firearms, knives, metal knuckles, straight razors, noxious irritating or poisonous gases, poisons, other items fashioned with the intent to sell, use, harm, threaten or harass students, staff, parents or patrons.

Evacuation Code: Possible Lockdown

Task Person Responding Done?

Evacuate staff, students in immediate danger.

Call 911.

Notify administration.

ÔÔÔÔÔ

Task Person Responsible Done?

1 Confirm 911 has been called.

2 Initiate lockdown, if appropriate.

3 Share information with law enforcement upon arrival.

4 Prepare news media statement with superintendent.

5 Inform students, staff, district office and other district buildings, as appropriate.

6 Prepare parent letter.

Related district policies: EBC/EBCA - Emergency Procedures and Disaster Plans; JFC - Student Conduct;

JFCEA - Secret Societies-Gangs; JFCJ - Weapons in the Schools; JFG - Student Searches; JGD - Suspension; JGDA/JGEA - Discipline of Disabled Students; JGDA/JGEA-AR - Special Education-Discipline; JGE - Expulsion; JOD - Media Access to Students; KBCA - News Releases; KGB - Public Conduct on District Property; KN - Relations with Law Enforcement Agencies; KN-AR - Relations with Law Enforcement Agencies

ÔÔÔÔÔ

Weapons

Resource Information

Qualified first aid providers for the building:

Qualified FIRST AID providers for the building:

Qualified BEE STING providers for the building:

Resource Numbers

Fire Sweet Home Police Linn Co. Sheriff OR State Police

Emergency

911

541-367-5882

Non-Emergency

911

541-367-5181

911

541-367-3911

911

541-967-2026

OSP Bomb Squad

911

503-934-0243

800-452-7888

Poison Control

800-222-1222

Suicide Hotline

800-560-5535

800-273-8255

800-784-2433

Linn Co. Mental Hlth.

800-560-5535

541-967-3866

800-304-7468

Pacific Power

877-548-3768

800-221-7070

NW Natural Gas

800-882-3377

800-422-4012

Hospital – Lebanon

541-258-2101

Hospital – Corvallis

541-768-5111

Hospital - Albany

541-812-4000

Hazardous Waste

503-229-5696

American Red Cross

800-468-6755

Animal Control

541-967-3925

Dept. Human Services - DHS

541-259-5860

541-967-2026

Fed Emergency Mgmt.

800-621-3362

800-745-0243

OR Emergency Mgmt.

503-378-2911

541-367-5320

Highway Dept.

541-367-5320

(Radio) KFIR

541-367-5115

Resource Information

Position Management

User Guide

PRODUCTION SITES

http://employment.ucdavis.edu/hr (Internal Site)

http://employment.ucdavis.edu (Applicant Site)

TRAINING SITES

http://training030.peopleadmin.com/hr (Internal Site)

http://training030.peopleadmin.com (Applicant Site)

PeopleAdmin Helpdesk

Phone: 752-6688

Email: pahelp@ucdavis.edu

PEOPLEADMIN POSITION MANAGEMENT GUIDE

Revised Feb 2012

Table of Contents

SECTION 1: INTRODUCTION 3

1.1 Key Features 3

1.2 Purpose of a Position Description 4

1.3 Federal and State Laws that Impact a Position Description 5

SECTION 2: ADMINISTRATION 6

2.1 Department User Roles 6

2.2 Add, Update, or Delete Department Users 6

SECTION 3: PEOPLEADMIN NAVIGATION 7

3.1 Navigation 7

3.2 Position Management Menu 7

3.3 Tracking Numbers 8

SECTION 4: STEP-BY-STEP USER GUIDES 9

4.1 Modify Existing Position and Sumit an Action 9

4.2 Create a New Position and Submit an Action 16

4.3 Save an Incomplete Action and Return to Modify/Submit 17

4.4 Send a Copy of a Position for External Review 17

4.5 View Actions Awaiting your Review/Approval 18

4.6 View Department Position Actions in Progress 18

4.7 View a Department Historical Actions 19

4.8 View/Print a Department Position Description and/or Expectations 19

4.9 View/Print a Campus Position Description and/or Expectations 19

4.10 Update Employee and Supervisor Information 20

4.11 Vacate a Position in the Library 20

SECTION 5: APPENDICES 21

5.1 Physical Demands: Americans with Disabilities (ADA) Language 21

5.2 Work Environment: Statements 21

PEOPLEADMIN POSITION MANAGEMENT GUIDE

Revised Feb 2012

SECTION 1: INTRODUCTION

PeopleAdmin serves four main purposes for departmental users:

1. Position Management: Each budgeted provision will have a unique permanent position number, that it will retain over time, whether vacant or filled, when reclassified, and through various other changes. A new action number is assigned for each action taken (e.g., stipend, reclassification, etc.), but the position number will not change.

2. Position Description Library: Once approved, a position description is retained in the Library, with its unique position number. It can be accessed there for use to initiate various personnel actions.

3. Compensation Actions: PSS and MSP position actions including classification review, stipend, equity and position description updates and approvals are handled through PeopleAdmin.

4. Recruitment and Hiring Actions: Using an approved position description from the Library, the department can accomplish various tasks related to hiring such as initiating recruitment or confirming a hiring decision. For details on the Recruitment process refer to the Requisition/Recruitment and User Guide.

PeopleAdmin has two primary modules:

1. Position Management, in which actions such as creating or editing position descriptions, vacating or inactivating positions, or managing compensation actions are accomplished.

2. Recruitment, in which the department can initiate and process all types of recruitments, by using a position description approved to the Library in the Position Management mode. For details on the Recruitment process refer to the Requisition/Recruitment and User Guide.

1.1 Key Features

* PeopleAdmin separates Position Management and Recruitment into two distinct processes; first, a position description needs to be created and submitted to the Campus Library in Position Management; second, a request to post a vacant position needs to be created under the Requisition/Recruitment menu.

* All classification reviews and compensation requests must be initiated and submitted through PeopleAdmin.

* Numbering Scheme

o Each action request is assigned an Action Number, beginning with 01.

o Each budgeted provision is assigned a unique Position Number, beginning with 02. This assigned position number never changes through the life of that provision even if over time the duties/payroll title, incumbent, supervisor, etc. changes.

* Copying Positions is streamlined and easy. Users have access to a library of position descriptions to use as templates or guides.

* Essential Responsibilities are collected in a single data field with a character limit of 3900. Headings and percentages are required. Enter responsibilities in order of importance in either paragraph or list format.

* Physical Demands of the position (i.e., agility, endurance, strength) are described in accordance with ADA compliance.

* Work Environment is the environmental factors that influence the work; including conditions of employment and licenses required by law to perform specific duties.

* Qualifications are separated into two categories:

o Minimum Qualifications - minimum experience, knowledge, skills, or credentials required on day one of the job.

o Preferred Qualifications - the additional experience, knowledge, skills or abilities which are desired, but not absolutely necessary to begin work, or which can be acquired after the incumbent starts on the job.

* Job Expectations are how supervisors expect the work to be performed. If used, do not list or repeat skills, knowledge, abilities, or experience. When used, describe performance and/or behavior-related expectations.

* Decision Details - Compensation will provide details on the compensation or classification decision. The details of

the request and decision are stored in Historical for future reference after Compensation concludes the review.

* Search Actions provides users with a real-time view of all actions in process and their status.

* One position library with two views:

o Department Library - view position descriptions and details of actions for a particular department.

o Campus Library – view position descriptions for ALL departments.

PEOPLEADMIN POSITION MANAGEMENT GUIDE

Revised Feb 2012

* Signed copies of position descriptions are to be stored in the department. The official document of record is stored in PeopleAdmin.

* Update Employee and Supervisor Information - Manage changes for supervisor name, department name, and employee last name, or correct an employee ID number, without HR review.

* Vacate Position to keep department records up-to-date. When an incumbent issues their intent to resign, retire, etc., department users can set the status of a provision to “Open Position” in order to remove the incumbent’s name and prepare the position for refill. When an incumbent’s STE or Contract ends, department users can set the status of a provision to “Provision Eliminated” to indicate the position as inactive.

1.2 Purpose of a Position Description

Basis of your search for a new hire

By clearly defining the job up front in writing, and using that document to make sure candidates know what the job

entails, you will have already established and communicated the requirements for success.

Interview tool

Once you have the job outlined, you can build your set of interview questions around the job’s actual requirements— which will not only help you find a great hire, but also help you steer clear of topics that could lead to legal trouble, such as an applicant’s disabilities or private life. And when it’s time to choose from your pool of applicants, you will already know exactly what qualities and skills the successful candidate should have.

Provides immediate understanding of what you and the organization expect

By explaining what the job requires up front, before an applicant accepts the offer, you can eliminate much of the fear,

uncertainty, and doubt that often accompany the decision to accept a new job.

Basis for solid performance management

Once your employee is on board, you can use the very same job description you used in the hiring process to explain what constitutes success in the job. You can measure how an employee is doing against those expectations and help an employee get back on track, if necessary, simply by referring back to the job description. Keeping the position description up to date as the position changes will help you coach your employees and give you standards by which to measure performance fairly and accurately as positions and responsibilities change.

Determine pay levels

By accurately describing what a job entails, and the skills, credentials, and other qualifications necessary, a position description gives your human resources department a solid way to measure the value of a job and set the pay accordingly. The position description gives HR a way to compare this job to other positions in the organization when setting pay rates.

Limit legal exposure

If you clearly understand what you are looking for in a position and focus solely on those criteria when filling the job, you

will be much less likely to base your hiring decisions on factors that aren’t job related.

Your interview questions will be relevant only to the job, and your hiring choices (and performance management decisions) will be based on the person’s qualifications and ability to do the job—not on his or her personal characteristics or beliefs, and not on your personal likes or dislikes. This is critical in maintaining a bias-free workplace where employees are treated fairly and consistently.

Summary

A position description is a:

* Hiring document

* Tool for measuring and managing performance

* Basis for both disciplinary action and celebration of accomplishments

* Organizational system to make sure that employees and managers are on the same page with regard to expectations

* Important part of a university’s legal defense if a former employee files a discrimination or wrongful termination claim

PEOPLEADMIN POSITION MANAGEMENT GUIDE

Revised Feb 2012

1.3 Federal and State Laws that Impact a Position Description

Federal law prohibits discrimination on the basis of

race

color

national origin

religion

sex (including pregnancy)

citizenship status

age (for employees who are at least 40)

disability

Applicable Federal laws:

Title VII of the Civil Rights Act

Age Discrimination in Employment Act (ADEA)

Equal Pay Act

Immigration Reform and Control Act

Americans with Disabilities Act

Fair Labor Standards Act (FLSA)

California State law prohibits discrimination on the basis of:

Age (40 and older)

Ancestry or national origin

Physical or mental Disability

AIDS/HIV

Gender

Marital status

Pregnancy, childbirth and related medical conditions

Race or color

Sexual Orientation

Genetic Information

Medical conditions

Political Activities or affiliations

Applicable Government Codes are: 12920, 12940, 12941, 12945, and 12926.1

California Labor Code 1101

PEOPLEADMIN POSITION MANAGEMENT GUIDE Revised Feb 2012

SECTION 2: ADMINISTRATION

2.1 Department User Roles

Department Initiator

Initiate a position review, stipend or equity, and submit for departmental approval.

Initiate a position for any staff recruitment (PSS, MSP, career, short-term, waiver, contract, etc.), and submit for

departmental approval.

Manage a department recruitment (including activate guest users, screen applicants, create a hiring decision, and close

the recruitment), per inclusion via Department Initiators with access.

View all pending and historical recruitments, per inclusion via Department Initiators with access.

View the campus position library and department library.

Position Management Approver 1

Initiate and submit to Approver 2 for approval, a position review, stipend or equity.

Update an employee last name, supervisor, and department or user access on a department position (no HR approval

necessary).

Vacate current employee (incumbent) on a department position (no HR approval necessary).

View all pending and historical position actions.

View the campus and department position library.

Recruitment Approver 1

Initiate and submit to Employment, a requisition for a staff position.

Manage a department recruitment (including activate guest users, screen applicants, create a hiring decision, and close

the recruitment).

View all pending and historical recruitments.

View the campus position library.

Department Approver 2

Initiate and submit to Compensation, a position review, stipend or equity.

Update an employee last name, supervisor, and department or user access on a department position (no HR approval

necessary.)

Vacate current employee (incumbent) on a department position (no HR approval necessary).

Initiate and submit to Employment, a requisition for a staff position.

Manage a department recruitment (including activate guest users, screen applicants, create a hiring decision, and close

the recruitment).

View all pending and historical position actions and recruitments.

View the campus and department position library.

Guest User

View an open recruitment and applicant pool once they have been given a Guest Username and password.

2.2 Add, Update, or Inactivate Department Users

Add a Department User

Go to the PeopleAdmin log-in page www.employment.ucdavis.edu/hr

Select “CREATE/AUTHORIZE” and complete all information fields. Click [CONTINUE] and [CONFIRM]. The request will route and be approved by the PeopleAdmin Administrator.

Update or Inactivate a Department User

Email pahelp@ucdavis.edu; include your name, phone number, department and your change request.

PEOPLEADMIN POSITION MANAGEMENT GUIDE

Revised Feb 2012

SECTION 3: PEOPLEADMIN NAVIGATION 3.1 Navigation

PeopleAdmin Site Addresses

Production Site

http://employment.ucdavis.edu/hr (Internal site)

http://employment.ucdavis.edu (Applicant site)

Training Site

http://training030.peopleadmin.com/hr (Internal site)

http://training030.peopleadmin.com (Applicant site)

Navigating the Site

Do not use the Browser Back Arrow when working in the edit mode; you will lose your edits. When in edit

mode, use PeopleAdmin navigation tools provided within the application.

Navigate using Mouse or Touch Pad - to navigate from a menu box, use your tab key or your mouse. To click the

next data field or select tabs at top of page use your mouse.

Do not use the Scroll Feature on the Mouse – doing so while in a menu field will change your menu selection.

Toggle from Edit view to Summary View – click “Edit” to go to the tab view in an action. Select [Preview Action] to

go to View Summary, to submit an action or to print an action.

Required Fields “*” - required fields are marked with a red asterisk “*” which indicates the data field must be

completed to save, move to the next page, or to submit the action.

Sort Tables Using Up/Down Arrows (i.e., Pending Action, Search Actions, Historical, and Department and Campus

Library) – click the arrow in any column to sort the records by alpha/numeric or reverse alpha/numeric.

3.2 Position Management Menu

The following describes the position management menu located on the left side of your screen:

Begin New Action Use this link to start a new action; select an action from the listed menu. Below are actions that can be initiated:

New Position – Use this action to submit a new position description for a review and append it to the library.

Modify Existing Position – Use this action to initiate an action for a current employee such as a classification review, stipend or equity.

Update Employee and Supervisor Information – Use this action to update employee last name, supervisor information, and users with access and then return the position to the library.

Vacate Position – Use this action to remove a previous incumbent’s name from a position and mark the provision in the library as open or eliminated.

Search Actions (Stores Actions that are in Progress) Use this to conduct a search and view all actions currently in process.

Pending Approval (Stores Your Work) Use this to edit or view actions that require your attention. After an action has been created and saved this is where the action will be stored. When an action is created, saved, and submitted to an Approver 1 or 2, this is where they will find the action.

Note: Only a Department Approver 2 can submit a position action directly to Compensation.

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Historical (Stores Completed Actions) After HR concludes review of an action, saves and submits to the library, the action is stored here. Use this to retrieve a summary of an action, copy and paste PPS information to forward to a processor, or review comments provided on the review outcome.

Department Library (Stores All Positions in Your Department) Use this to search to view positions in your department. When an action is submitted to the library, the system deposits only the Position Description elements from the action into the Department Library. The system adds the action to the position’s history.

Campus Library (Stores Classified Position Descriptions) Use this to search and view all positions on campus that have gone through some review by HR. Note: The Campus Library does not contain incumbent name or any position history.

3.3 Tracking Numbers

Action Number (01...) – a action number is generated each time an action is initiated and saved against a position. A position will have many action numbers over its life cycle.

Position Number (02...) – a unique position number was generated for each incumbent, in an active career staff appointment on 10/27/08, in your department for production rollout. A position number will be assigned for each new position created and saved to the library by Compensation. A position will only have one position number over its life cycle even if over time the duties/payroll title, incumbent, supervisor, etc. change.

Requisition Number (03...) – a requisition number is generated for each requisition posted for an open recruitment or direct hire. A position may have many requisition numbers over its life cycle.

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SECTION 4: STEP-BY-STEP USER GUIDES 4.1 Modify Existing Position and Submit an Action

Note:

* All employees active in PPS prior to 10/27/08 were preloaded into the department library and assigned a position number. The information populated from PPS includes: Employee First and Last Name, Employee ID, Title Code, and Department Name. Since PPS does not store essential functions or department organizational information, the department will have to enter this information.

* It is very important that users pay full attention to the details at this point of the process because after a position description is approved and submitted to the Library, the contents that pull forward into a requisition cannot be altered when in requisition mode. If edits are required when in requisition mode, start this process again.

Steps to start an action for employees with a PeopleAdmin record in your Department Library. This is where most of the work performed in a Department will begin.

STEPS

1. From menu located on the left side of your screen, under POSITION MANAGEMENT, click “Begin New Action”. Click “Start Action” under Modify Existing Position.

2. Use the search criteria to locate the position or choose [Search] to view all positions available to you.

3. Select “Start Action” below the Payroll Title. Then follow the screens shown below. Select [continue to next] or select the appropriate tab towards the top of the screen.

Justification (tab)

Action Number

Assigned by the system for each position request. Action Numbers begin with 01. The action number is created upon save or submission to an approver. The user does not need to do anything in this field.

Action Type:

Select one of the following:

Review– Recruitment-Use when a position becomes vacant (replacement vacancy) whether requesting the same or a different classification or when authorized to create a new position to fill.

Review– Reclass-Use for a Classification Study Request of a position with an existing employee.

Review– Update-Use for an Update Review of a position with an existing employee; no significant changes in duties or populating position in Library for the first time.

Equity - Permanent salary adjustment. Select this to request a review for a salary adjustment outside of the normal salary programs. For Equity Guidelines refer to: http://www.hr.ucdavis.edu/Comp/EquityAdjustments

Stipend -A temporary salary adjustment. Select this to request approval for a temporary salary increase for an employee assigned temporary responsibilities of a higher classification than their own or for assuming other significant duties. For the specific guidelines for policy or collective bargaining agreement language please refer to the “Out-of-Classification” articles in the collective bargaining agreements or PPSM 30 Salary for policy covered positions refer to: http://www.hr.ucdavis.edu/Elr/Policy

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Justification for Request:

Provide sufficient information to explain the request. Compensation needs to understand what they are being asked to do and to prioritize work received. Provide a full explanation as described here.

Include in your explanation for the request, if applicable:

% of Appointment

New Vacancy

Replacement Vacancy – Who?

Short Term Employment – Who? Duration?

Waiver of Recruitment – Who? Why?

PSS or MSP Contract – Who? Duration?

Reclassification – Why? When? Briefly describe the changes.

Update – Briefly describe what changes are being made, if any.

Stipend – Monthly amount, begin and end dates.

Equity – Rationale for the request, approved by whom?

ADDITIONAL REFERENCES

Reclassification Considerations:

Position has undergone significant changes in level of responsibility since last reviewed.

Position has changed in the nature, variety, and difficulty of work.

Position has changed in the supervision exercised.

Employees typically retain 30% of their prior duties.

Contact

Include the contact person(s) name, phone number and e-mail address.

Information

Requested

Enter begin date. By policy the effective date for Equity is the first of the month following the

Effective Date(s):

review or in the case of a retention offer the date on which the offer is made.

4. Copy From Library (Optional; skip this step if starting from scratch): use this tab to search and copy a position that is already competed in the Campus Library that is exactly like yours. When you use this function, all fields from the selected position will be copied from the Position Information tab to your action except for Dept. Name, Working Title, MSP Salary Grade, Immediate Supervisor, and Dept. Initiator with Access. Fill in this data as appropriate.

Copy from Library (tab)

To Copy a Position from the Library:

* Select specific criteria to locate the position or select [Search] to search all.

* Sort the table by any column header to aid in locating the position.

* Click “Select and Continue” under the payroll title code to select the position to copy. The details of the position copied will be auto populate to your position.

5. Request Title Code – (Optional) – Use this feature to select the payroll title that best captures the job. If not sure, leave blank.

Requested Title Code (tab)

To Select a Title Code:

* Select a Payroll Title from the drop down menu or enter a four digit number in Payroll Title Code field and select [Search].

* Select by Clicking “Select and Continue” under the appropriate Payroll Title.

* Select [Continue to Next Page]. The Title Code selected will populate the Requested Payroll Title field in the Position Information Tab and the Title Code details are populated to the Decision Details Tab.

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6. Position Information – this section collects the position description details and the expectations of the job.

Position Information

(tab)

Dept:

(Displays on Requisition) Select your PPS Home Department from the pull down menu.

Position

Number:

Assigned when added by the system upon being submitted to the library. Position number is a unique control number (beginning with 02) and remains with the position throughout its life cycle.

Employee First Name:

The system will auto populate this info at the completion of a “Hire Decision” when an employee is hired into a position. This data field is editable by the Compensation Analyst in “Correct a Position” action. Contact Compensation by email to request a correction to a First Name.

Employee Last Name:

The system will auto populate this info at the completion of a “Hire Decision” when an employee is hired into a position. This data field is editable by the department and department users are expected to make changes to this field on their own.

Employee ID:

Position: (Working Title)

(Displays on Requisition) Enter the Position Title that will be advertised on the posted Requisition.

Use UPPERCASE lettering. Select a working title that is descriptive but not restrictive and that is meaningful to external applicants. Do not simply repeat the Payroll Title, unless the payroll title itself is descriptive.

Examples:

* COMMUNICATIONS AND MARKETING OFFICER

* SENIOR PURCHASING ASSISTANT

* ACCOUNTING ASSISTANT

* CONFERENCE COORDINATOR

* COOK

If the request is for a short-term hire, begin with STE.

Example: STE – ELECTRICIAN

If the request is for a PSS or MSP Contract begin with CONTRACT.

Example: CONTRACT - ELECTRICIAN

If the request is for a Waiver begin with WAIVER.

Example: WAIVER – ELECTRICIAN

Requested

Payroll Title:

Auto populated based on the payroll title selected in the Requested Title Code tab.

Requested MSP Salary Grade:

If an MSP title (begins with a “0”) is requested, select the requested salary grade from the pull down menu (MSP I, II, III, IV, V, VI, VII, VIII, IX, X).

If this position is not an MSP title, select “Not Applicable”.

Immediate Supervisor

Supervisor

Name:

Enter the Position’s Supervisor (First and Last Name).

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Supervisor

Payroll Title:

Enter the Supervisor’s Payroll Title.

Supervisor Phone Number:

Enter the Supervisor’s Phone Number.

Department Initiator with Access:

To retain or grant access on an action to an individual whose role is defined in PA as a Dept. Initiator, select the user name(s) from the list.

Leave blank for Approver 1 or 2 generating the action.

Position Details

Job Summary:

(Displays on Requisition) Provide a brief encapsulation of the overall job. Aim for no more than 10-15 lines of text, intended to be a succinct condensation of the overall job. What is provided here is the only description applicants see when a position is advertised as vacant.

Begin with the type of Supervision Received.

Examples:

* Under the direction of the Lab Manager...

* Under the direct supervision of the Principal Investigator...

* Under the general supervision of the Office Manager...

Campus Job

Scope:

(HR only)

Leave blank; this field is reserved for Career Compass implementation and content is yet to be determined.

Department Specific Job Scope:

Optional field, if unsure leave blank. Enter specific information that describes the context that may impact the position’s classification (e.g., quantify, qualify staffing, budget), if applicable.

Positions Supervised: (List payroll title and # of FTE)

A Supervisor is an individual who has the direct responsibility for or effectively recommends on the hiring and evaluation of staff including responsibility involving grievances; determines, distributes, and supervises the work performed and approves leaves and overtime. Has the authority to transfer, suspend, lay off/recall, promote, and reward staff.

List the positions which this position directly and/or indirectly supervises. Direct Supervision refers to employees who report directly to this position. Indirect Supervision refers to employees who report to a subordinate supervisor who reports to the position. Then, total number of employees who are both directly and indirectly supervised by this position.

Example:

Direct Supervision:

Administrative Specialist II-Supervisor. – 1.0 FTE

Sr. Building Maintenance Worker – 2.5 FTE

Laborer - .50 FTE

Indirect Supervision:

___Assistant II – 3.0 FTE

TOTAL: 7.0 FTE

Do not list employees who report to another manager in another unit or department (e.g., TES employees).

If the position functions as a “lead”, enter N/A.

If the position is responsible for directing the work of postdocs or graduate students, enter N/A.

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Essential

Provide a function heading in ALL CAPS and describe the essential responsibilities in order of

Responsibilities:

importance; include the % of time for each function heading.

(Functions)

Start the description with an action word (i.e., Design, Calculate, Write, Create, Evaluate, Conduct, or Perform). Avoid vague and misleading verbs, such as; Handle, Assist, Help, and Coordinate.

Unrelated responsibilities should have separate functions headings. For multiple responsibilities of less than 10% each, however, you may use a "Miscellaneous" or “Other” heading and group these responsibilities together.

Example:

55% CONSTRUCTION, RENOVATION AND MAINTENANCE

Fabricate, install and repair campus low voltage systems. Communicate to clients’ job status, requirements and problems related to repair and installation.

20% MATERIALS AND PLANNING

Procure materials and restock supplies. Pull plans and blueprints.

15% RECORD KEEPING

Retain time and accounting of materials and expenses for assigned projects.

10% MISC.

Keep shop and work area organized and clean. Update shop technical manuals. Participate in safety drills and meetings.

If the position supervises a significant number of casual-restricted students, it should be listed as an essential responsibility. Identify the number and total FTE and the duties associated in this field.

The total % of all functions should always equal 100%.

Do not use words/phrases that describe the speed or quality with which the work is done, as those statements belong in the Job Expectations field.

Example: Pull new wire accurately.

“Accurately” is the expectation of how the work should be done. The function is Pull new wire.

Physical

(Displays on Requisition) Enter the physical demands of the position (i.e., agility, endurance,

Demands:

strength). Be specific as to what items are lifted, used or maneuvered. Leave blank if there are none. See Appendix 5.1 Americans with Disabilities (ADA) Language for Physical Demands.

What are the physical demands that you cannot accommodate? Make sure you are not limiting how the work can be done. Qualify what it is that they need to do.

Examples:

-Move and maneuver computer equipment weighing up to 30 pounds.

-Lift and stack 40 lb. milk crates.

-Climb ladders.

-Crawl, bend, stoop and work in tight, confined areas.

Note: In a situation where an employee is only asked to occasionally pickup materials or supplies off the floor or out of the back of a truck once a year leave blank. Ask yourself: Are there other staff that could assist with the moving or lifting of something heavy? If so, then it is not an essential

Physical Demand and should not be included.

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Work

Environment:

(Displays on Requisition) Enter environmental factors that influence the work; including conditions of employment (i.e., extreme temperatures, noise, hazards [environmental or chemical], overtime, long hours, travel, background checks, etc.). Do not list “non-smoking environment.” See Appendix 5.2 for a complete list of standard statements used in Work Environment/Conditions of Employment.

Examples:

-Work flexible schedule.

-Work overtime including evenings, weekends and/or holidays to meet business needs. -Restricted vacation (i.e., during fiscal closing [or any other peak work period]. -Position may, at times, require employee to work with or be in areas where hazardous materials and/or infectious diseases are present.

-Background Check [insert full statement] = This position is a critical position and subject to a background check. Employment is contingent upon successful completion of background investigation including criminal history and identity check.

-Medical Surveillance [insert full statement] = Employee shall participate in required preventative medical and medical monitoring programs which may include blood tests, immunizations, TB screening, Blood borne and Airborne Pathogen training, etc., and are provided to meet Federal, State and University requirements.

-Drug and Alcohol Testing Program [insert full statement] = Position will participate in the Department of Motor Vehicles (DMV) Pull Notice System. Employment contingent upon successful completion of the Department of Transportation (DOT) Drug and Alcohol Testing program; employee will be placed on the random testing pool list for drug and alcohol testing.

*Background Check Required:

This position is a critical position and subject to a background check. Employment is contingent upon successful completion of background investigation including criminal history and identity checks.

Yes No

Qualifications

*Minimum Qualifications:

(Displays on Requisition) Minimum qualifications describe the minimum skills, knowledge, experience, or credentials (if validated for the position) required by all applicants to be considered in the applicant pool. Include licenses required by law to perform specific duties, e.g., Licensed Surveyor, Registered Professional Engineer, or valid Class B California driver's license to operate heavy commercial trucks.

Describe the minimum experience, knowledge, skills, abilities or credentials required on day one of the job. List in order of importance. Do not include adjectives or modifiers, such as: Demonstrated, Excellent, Strong, Superior, Accurately, Rapidly, etc.

Examples:

-Experience fabricating, maintaining, servicing, repairing, replacing, installing and/or altering

electrical work.

-Knowledge of material handling equipment, techniques and safety practices.

-Accounting skills to reconcile ledgers, produce budgets, and review financial reports.

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-Knowledge of the principles and practices of watershed management and wildlife fisheries

biology.

-Master's degree in Veterinary Medicine.

-Registered Veterinary Technician certificate.

-Pesticide Applicators License.

DEFINITIONS of KNOWLEDGE, SKILL, ABILITY

(used both for Minimum Qualifications, and Preferred Qualifications):

Knowledge – A body of information (conceptual, factual, or procedural) that can be applied directly to the performance of tasks.

Skill – An acquired proficiency, or observable competence for working with or applying knowledge to perform a particular task or a closely related set of tasks.

Ability - An underlying, enduring trait of the person that is useful for performing a range of different tasks; natural talents or innate capabilities.

Knowledge, skills and abilities can be expressed in terms of practices/methods/procedures, relating to how something is done, rather than why it works. E.g. “Skill in mixing standard laboratory reagents”, and “knowledge of instrument calibration techniques” are procedural.

Or, they can also be described in terms of principles or theories, representing a more advanced body of knowledge, typically acquired through college or graduate level education, or very extensive experience. Principles relate to an understanding of the accepted tenets of a field, involving a higher level of knowledge or cognitive processing than procedures. E.g. “Knowledge of the principles of inorganic chemistry”.

Preferred

(Displays on Requisition)

Qualifications:

Preferred qualifications are the secondary selection criteria used during recruitment to determine the most qualified applicant(s).

List here the additional experience, knowledge, skills or abilities which are not absolutely necessary to begin work on day one, or which can be acquired after the employee starts on the job. Leave out qualifications which can be learned in a brief on-the-job orientation period.

Examples:

-DaFIS, PPS, PPS DS, Banner experience.

-Ability to learn Excel and PowerPoint.

-Knowledge of current building codes for the installation of plumbing systems.

All PD's must contain: "Read and follow the UCD Principles of Community."

Job

Expectations:

Except for the above, completion of this section is optional. If used, do not list or repeat skills, knowledge, abilities, or experience.

The language contained in this section should be expectations that define the performance measurements by which the employee will be evaluated. If you need assistance with this section, please contact your E&LR Consultant for advice and counsel.

This section prints separately from the position description. The printable report contains a signature block and may be used for new employee orientation.

7. Decision Details (No action required) - This section will be completed by Compensation following their review.

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8. Attach Documents – This feature allows the department to attach an organization chart and other documentation such as a copy of an old position description, etc. Please include an organization chart with reclassification requests.

Attach Documents (tab)

To Attach Documents:

* Select the “Attach” link under Attach/Remove.

* Under “Upload a New Document”, select [Browse] to locate the file on your desktop or network.

* Select [Open] to attach the file. The document will fill the “File” box.

* Select [Attach] to attach the document.

* Select [Confirm] to finish attaching the document. This may take a few minutes as the system converts the file to PDF and attaches it to your action. The attached document will show as a link under View Document.

Note: This functionality does not work on the training site.

9. Notes (Optional) – The notes tab allows departments to provide additional information to departmental approver or Compensation Analyst (i.e., information not provided anywhere else on the form.

Notes: (tab)

Enter notes for inter-departmental communication or to communication additional information to HR.

10. History (No action required) – This function will track each and every user that has handled an action at every point in the review process; taking a snap shot of the position as it moves from user to user. This will occur automatically by the system

* Click the “View Summary” link to view the position form as completed by a previous user.

11. To Submit to an Approver or HR

* Click [Preview Action] at the bottom of the screen.

* Select the appropriate “Action Status” for the next Approver or Submit to Comp, click [Continue], then click [Confirm].

The system will indicate the position was submitted to the Status selected.

Note:

* After Compensation Reviews the position action, a decision will be made and communicated and then the position will be updated in the library and the position action will be added to the Position History.

* Email notifications will be triggered throughout the process to notify you of the status of the action.

4.2 Create a new Position and Submit an Action

Note:

* All employees with an active career appointment in PPS prior to 10/27/08 were preloaded into the department library and assigned a position number. Employees hired between 10/27/08 – 12/15/08 will not have a PeopleAdmin record or position number assigned. Follow these steps to create a record for individuals that fall into this category.

* It is very important that users pay full attention to the details at this point of the process because after a position description is approved and submitted to the Library, the contents that pull forward into requisition cannot be altered when in requisition mode. If edits are required when in requisition mode, follow the steps outlined in Section 4.1.

Steps to create a new position or to create a position for employees that do not have a PeopleAdmin record in your Department.

STEPS

1. From the menu located on the left side of your screen, under POSITION MANAGEMENT, click “Begin New Action”. Click

“Start Action” under New Position.

Follow Steps 3 - 11 from Section 4.1

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4.3 Save an Incomplete Action and Return to Modify/Submit

Note: To save a position action in progress make sure an Action Type in the Justification tab and a Dept. in the Position Information tab are selected. These two fields are required fields: users will not be permitted to move to the next page or tab if they are not selected.

STEPS TO SAVE AN ACTION IN PROGRESS

1. In the Justification tab, select an Action Type.

2. In the Position Information tab, select a “Dept”. If your dept. has multiple users initiating and submitting actions, make a note in the “Essential Responsibilities” or “Minimum Qualifications” that the action is not complete by typing “Incomplete” to alert others and as a reminder to finish these data fields when you return.

3. Click [Preview Action] at the bottom of the screen. Select the “Save Action Without Submitting”, click [Continue], and then click [Confirm]. The system will flag the action with the Status of Action Saved Not Submitted.

STEPS TO RETRIEVE AN ACTION

1. Select “Pending Approval” from the Position Management Menu.

2. Click “View” under the Action Type of the position to review.

3. Click “Edit” above Action Status.

4. Click the Tabs at the top or [Continue to Next Page] to navigate the position action.

5. After reviewing/editing the action, select [View Action Summary] at the bottom of the screen to submit the action to the next approver, return to a previous user or submit to compensation for review. Click [Confirm] and click [Continue].

6. A notification that the action was moved to the status selected will appear.

4.4 Send a Copy of a Position for External Review

Note: A user may send an electronic copy of a position action or position description for external review. This can be achieved by copying and pasting the action/position description into MS Word or other application.

STEPS TO COPY A POSITION ACTION FOR EXTERNAL REVIEW:

Not Saved or Submitted

1. After completing the position action, click [View Action Summary].

2. Click “Printer Friendly Version” to the right of the screen. A printer friendly Position Summary opens in a second window.

3. To Copy the Position Summary, position the cursor before Justification at the top of the summary then left click and hold while dragging down the screen until you reach the end of the document.

4. Select “Edit” on the Position Summary menu bar and select “Copy”. Click the “X” to close the window.

5. Open MS Word, select “Edit” on the MS Word menu bar, and select “Paste”.

6. Save the document and send it via email.

Saved

1. Select “Pending Approval” in the Position Management Menu.

2. Click “View” under the Action Type of the position.

3. Follow steps 2 - 6 in Not Saved or Submitted above.

Submitted

1. Select “Search Actions” in the Position Management Menu.

2. Use the search criteria to locate the position or choose [Search] to view all position actions.

3. Use the arrows located to the left of the column headers to sort the table alpha or reverse alpha.

4. Click “View” under the Action Type of the position.

5. Follow steps 2 - 6 in Not Saved or Submitted above.

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STEPS TO COPY A POSITION DESCRIPTION FOR EXTERNAL REVIEW:

From the Department Library

1. Select “Department Library” in the Position Management Menu.

2. Use the search criteria to locate the position or choose [Search] to view all positions.

3. Use the arrows located to the left of the column headers to sort the table alpha or reverse alpha.

4. Click “View Summary”, to view the position description with the current employee.

5. To Copy the Position Summary, position the cursor before “Employee Details” at the top of the summary then left click and hold while dragging down the screen until you reach the end of the document.

6. Select “Edit” on the Position Summary menu bar and select “Copy”. Click the “X” to close the window.

7. Open MS Word, select “Edit” on the MS Word menu bar, and select “Paste”.

8. Save the document and send it via email.

Note: Use the same instructions to send Expectations to an External User. At step 4, select “Get Reports List”, click [Generate Report], and select “Expectations”. Then follow steps 5 – 8.

From the Campus Library

1. Select “Campus Library” in the Position Management Menu.

2. Use the search criteria to locate the position or choose [Search] to view all positions.

3. Use the arrows located to the right of the column headers to sort the table alpha or reverse alpha.

4. Click “Get Reports”, click [Generate Report], and select “Position Description”.

5. To Copy the Position Description, position the cursor before “Position Description” at the top of the summary then left click and hold while dragging down the screen until you reach the end of the document.

6. Select “Edit” on the Position Summary menu bar and select “Copy”. Click the “X” to close the window.

7. Open MS Word, select “Edit” on the MS Word menu bar, and select “Paste”.

8. Save the document and send it via email.

Note: Use the same instructions to send Expectations to an External User. At step 4, select Get “Reports List”, click [Generate Report], and select “Expectations”. Then follow steps 5 – 8

4.5 View Actions Awaiting your Review/Approval

Approver 1 and 2 will receive an email notification, alerting them that a position is awaiting their review/approval.

STEPS TO REVIEW, EDIT AND/OR APPROVE A POSITION ACTION

1. Log-in to PeopleAdmin and select “Pending Approval” from the Position Management Menu.

2. Click “View” under the Action Type of the position to review.

3. Click “Edit” above Action Status.

4. Click the Tabs at the top or [Continue to Next Page] to navigate the position action.

6. A notification that the action was moved to the status selected will appear.

7. To view this action after you have submitted it, select Search Actions to view all active actions in progress.

4.6 View Department Position Actions in Progress

Approver 1 and 2 can view all position actions in progress. Department Initiator can only view only position action by designation.

STEPS TO VIEW DEPARTMENT ACTIONS

1. Select “Search Actions” in the Position Management Menu.

2. Use the search criteria to locate the position or choose [Search] to view all positions in the Department library.

3. This screen will display all actions in progress and indicate where the action is in the process (i.e. Submitted to Dept Approver 2). Use the arrows located to the right of the column headers to sort the table alpha or reverse alpha.

4. Click “View” under the Action Type of the position.

5. Scroll down the page to view the action.

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6. Click [Cancel] to return to the table of position actions.

4.7 View a Department Historical Actions

Approver 1 and 2 can view all historical actions. Department Initiator can view only historical actions in which they were originally designated access.

STEPS to VIEW DEPARTMENTAL HISTORICAL ACTIONS

1. Select “Historical” in the Position Management Menu.

2. Use the search criteria to locate the position or choose [Search] to view all positions in the Department library.

3. This screen will display all historical actions and indicate a final status such as: Submitted to Library – Review, Submitted to Library – Stipend, Submitted to Library – Corrected, etc. Note: Over time, there will be many historical actions for a single position number. Date approved and the action number identifies more recent actions for a position.

4. Arrows located to the left of the column headers sort the table alpha or reverse alpha.

5. Click “View” under the Action Type of the position to view the action.

6. Scroll down the page to view the action.

7. Click [Cancel] to return to the table of position actions.

4.8 View/Print a Department Position Description and/or Expectations

All users can view/print positions descriptions in the Department Library which include Position History, Position Description with Employee, Position Description only, and Position Expectations.

STEPS TO VIEW/PRINT A DEPARTMENT POSITION DESCRIPTION AND/OR JOB EXPECTATIONS

1. Select “Department Library” in the Position Management Menu.

2. Use the search criteria to locate the position or choose [Search] to view all positions in the Department library or enter a last name or other criteria. By selecting [Search], all position descriptions in the department(s) for which you have access will be displayed. Use the arrows located to the left of the column headers to sort the table alpha or reverse alpha.

3. Click “View Summary” under the Payroll Title to access the Position Description with the Employee Name. To print, select “Print” on the menu bar to print the Position Description. Click the “X” in the upper right corner of the window to close the Summary.

4. Click “Get Reports List”, click the radio button Position Description for just the position description, and click [Generate]. To print, select “Print” on the menu bar to print the Position Description. Click the “X” in the upper right corner of the window to close the Report.

5. Remain in “Get Reports List”, click the radio button Expectations Report, and click [Generate]. To print, select “Print” on the menu bar to print the Position Description. Click the “X” in the upper right corner of the window to close the Report.

6. Click “Return to Previous” to return to the Department Library.

4.9 View/Print a Campus Position Description and/or Expectations

All users can view/print positions from the Campus Library; these reports do not include names of individuals in the job or on the Expectations.

STEPS TO VIEW/PRINT A CAMPUS LIBRARY DESCRIPTION AND/OR EXPECTATIONS REPORT

1. Select “Campus Library” in the Position Management Menu.

2. Use the search criteria to locate the position or choose [Search] to view all positions in the Department library. By selecting [Search], all position descriptions in the department(s) for which you have access will be displayed. Use the arrows located to the left of the column headers to sort the table alpha or reverse alpha.

3. Click “Get Reports List”, click the radio button Position Description for just the position description, and click [Generate]. To print, select “Print” on the menu bar to print the Position Description. Click the “X” in the upper right corner of the window to close the Report.

4. Remain in “Get Reports List”, click the radio button Expectations Report, and click [Generate]. To print the Position Description, select “Print” on the menu bar. Click the “X” in the upper right corner of the window to close the Report.

PEOPLEADMIN POSITION MANAGEMENT GUIDE

Revised Feb 2012

5. Click “Return to Previous” to return to the Campus Library.

4.10 Update Employee and Supervisor Information

(Use this only if a position has been completed, reviewed, and submitted to the Campus Library by Compensation.)

STEPS TO UPDATE EMPLOYEE LAST NAME, DEPARTMENT OR SUPERVISOR

1. From menu located on the left side of your screen, under POSITION MANAGEMENT, click “Begin New Action”.

2. Click “Start Action” under Update Employee and Supervisor Information

3. Use the search criteria to locate the position or choose [Search] to view all positions in the Department library.

4. Select “Start Action” below the Payroll Title.

5. Update the necessary fields and select [Continue to Next Page] or [Preview Action] at the bottom of the screen.

6. Select the appropriate Action Status based on your Department protocol (i.e. Update Information, Submit to Approver, etc). Click [Continue] and click [Confirm] to submit the action to the library and submit it forward for approval. Note: the status “Updated Information” will update the position in the library and the position history. The system will add this action to Historical position actions.

STEPS TO CORRECT A SPELLING ERROR, EMPLOYEE FIRST NAME OR ID NUMBER ON A POSITION

To correct a spelling error or a first name on a position, email pahelp@ucdavis.edu. Include the following information:

* Position or Action number

* Data field and Correction

* Your First and Last Name, Phone Number and Department

You will be notified by the help desk when the change is completed.

4.11 Vacate a Position in the Library

When an employee tenders their resignation or when a Short Term Employment or PSS Contract appointment ends, this action will remove the incumbent’s name from the record and flag the position as vacant.

STEPS TO VACATE A POSITION IN THE LIBRARY

1. From menu located on the left side of your screen, under POSITION MANAGEMENT, click “Begin New Action”.

2. Under Vacate Position, Click “Start Action”

3. Enter search criteria to locate the position or choose [Search] to view all positions in the Department library.

4. Select “Start Action” below the Payroll Title.

5. Skip the Position tab and click “Vacate Employee”.

6. Click “Open Position” if you intend to refill or click “Provision Eliminated” if you do not intend to refill in the near future.

7. Click the “Notes” tab or [Continue to Next Page] to add notes. The notes tab is optional. Click [Preview Action] at the bottom of the screen, select the status “Update Library – Position Vacated”, click [Continue], and click [Confirm]. The position will be updated in the library and the position history. The system will add this action to Historical position actions.

PEOPLEADMIN POSITION MANAGEMENT GUIDE Revised Feb 2012

SECTION 5: APPENDICES

5.1 Physical Demands: Americans with Disabilities (ADA) Language

The following are ADA compliant verbs to be used to describe the physical demands of a position:

1. Strength Moves/transports

Puts

Installs/takes out

Removes/replaces

Positions/places/transfers

2. Climbing or balancing Ascends/descends

Works atop

Traverses

3. Walking/running/stooping

Kneeling, crouching and/or crawling

Moves (about or to)

Traverses

Positions self (to)

4. Reaching/handling/fingering and/or feeling

Detects

Installs/places

Removes/replaces

Operates

Adjusts

Attaches

Handles/tends

Activates, feeds or controls

Applies

Uses

Modifies

Inputs

Drafts/writes

5.2 Work Environment: Statements

The following statements must be used to describe conditions of employment and/or the work environment, if applicable. If applicable, enter these statements (in their entirety) in the Work Environment text Box of the Position Information tab.

Background Check: https://jobs.hr.ucdavis.edu/jm/help/backCheck.html This position is a critical position and subject to a background check. Employment is contingent upon successful completion of background investigation including criminal history and identity check.

BioSafety Level (BSL) 1, 2, or 3 Facilities: Must be willing to perform assigned duties in BioSafety Level (BSL) 1, 2, or 3 facilities where nonhuman primates may be either naturally or experimentally infected with potentially hazardous diseases such as HIV, SIV, or Herpes B virus.

Conflict of Interest-Designated Official: http://manuals.ucdavis.edu/spp/spp82.htm . Under the provisions of the Political Reform Act of 1974, the successful candidate will be required to file a Statement of Economic Interests. PEOPLEADMIN POSITION MANAGEMENT GUIDE

Revised Feb 2012

DMV Record Required: A copy of DMV record will be required as a final condition of employment.

DMV Pull Notice System: Position will participate in the Department of Motor Vehicles (DMV) Pull Notice System. Employment contingent upon successful completion of the Department of Transportation (DOT) Drug and Alcohol Testing program; employee will be placed on the random testing pool list for drug and alcohol testing.

DOT Drug and Alcohol Testing Program: http://manuals.ucdavis.edu/ppm/380/380-22.htm Employment contingent upon successful completion of the Department of Transportation (DOT) Drug and Alcohol Testing Program; employee will be placed on the random testing pool list for drug and alcohol testing.

Elder Abuse Reporting Statement: Position requires signing a statement of understanding of Dependent Adult/Elder Abuse Reporting Requirement Confidentiality Statement.

Employee Responsible for Health and Safety: Employee is personally responsible for following health and safety guidelines/instructions.

Hazardous Materials/Infectious diseases present: Position may, at times, require employee to work with or be in areas where hazardous materials and/or infectious diseases are present.

Measles Vaccination/Proof of illness: Measles vaccination or proof of illness required.

Medical Surveillance: This position is subject to Medical Surveillance procedures and review in accordance with Federal and State Laws and Regulations and University Policy.

Overnight Travel: Overnight Travel required.

Police Officers Medical and Psychological Exam: Candidate must pass comprehensive medical and psychological examinations as established by the University and by State law for Police Officers.

Pre-Placement Medical Exam: This position is subject to completion of a Pre-Placement Medical Exam provided by Employee Health Services.

Preventative Medical and Medical Monitoring: Employee shall participate in required preventative medical and medical monitoring programs which may include blood tests, immunizations, TB screening, Blood borne and Airborne Pathogen training, etc., and are provided to meet Federal, State and University requirements.

Protective Clothing and Respirator: Required to wear protective clothing and respirator in circumstances that require personal protection from infectious disease.

Restricted Vacation During Peak Periods: Restricted vacation during peak periods.

Sick Animals, Hazmat, Diseases, Distraught Animal: May require working with or around areas with sick animals, hazardous materials, and/or infectious diseases, and distraught clients.

Valid CA Driver’s License Required: Valid CA driver’s license required OR Valid Class A driver’s license required.

Work Schedule:

Be available to work On-Call.

Schedule is subject to change with only 12-24 hours notification.

Vacation is restricted during peak workload periods.

Work irregular shifts, including weekends, holidays, and evenings.

Work flexible schedule.

Work occasional evenings and/or nights.

Work occasional varied lunch hours.

Work overtime, occasional weekends on short notice.

PEOPLEADMIN POSITION MANAGEMENT GUIDE

Revised Feb 2012

Instructions for Form SS-4

(Rev. December 2017)

Department of the Treasury Internal Revenue Service

Application for Employer Identification Number (EIN)

Section references are to the Internal Revenue Code unless otherwise noted.

General Instructions

Use these instructions to complete Form SS-4, Application for Employer Identification Number (EIN). Also see Do I Need an EIN? on page 2 of Form SS-4.

Future Developments

For the latest information related to Form SS-4 and its instructions, such as legislation enacted after they were published, go to IRS.gov/ FormSS4.

Purpose of Form

Use Form SS-4 to apply for an EIN. An EIN is a nine-digit number (for example, 12-3456789) assigned to sole proprietors, corporations, partnerships, estates, trusts, and other entities for tax filing and reporting purposes. The information you provide on this form will establish your business tax account.

See Form SS-4PR (for Puerto Rico) for the

Spanish-language version of Form SS-4.

An EIN is for use in connection with your business activities only. Don't use your EIN in place of your social security number (SSN) or individual taxpayer identification number (ITIN).

Reminders

Apply for an EIN online. For applicants in the U.S. or U.S. possessions, you can apply for and receive an EIN free of charge on IRS.gov. See How To Apply for an EIN, later.

File only one Form SS-4. Generally, a sole proprietor should file only one Form SS-4 and needs only one EIN, regardless of the number of businesses operated as a sole proprietorship or trade names under which a business operates. However, if a sole proprietorship incorporates or enters into a partnership, a new EIN is required. Also, each corporation in an affiliated group must have its own EIN.

EIN applied for, but not received. If you don’t have an EIN by the time a return is due, write “Applied For” and the date you applied in the space shown for the number. Don’t show your SSN as an EIN on returns. If you don’t have an EIN by the time a tax deposit is due, send your payment to the Internal Revenue Service Center for your filing area as shown in the instructions for the form that you are filing. Make your check or money order payable to the “United States Treasury” and show your name (as shown on Form SS-4), address, type of tax, period covered, and date you applied for an EIN.

For information about EINs and federal tax deposits, see Pub. 15, Pub. 51, and Pub. 80.

To ensure fair and equitable treatment for all taxpayers, EIN issuances are limited to one per responsible party, per day. For trusts, the limitation is applied to the grantor, owner, or trustor. For estates, the limitation is applied to the decedent (decedent estate) or the debtor (bankruptcy estate). This limitation is applicable to all requests for EINs whether online, telephone, fax, or mail.

How To Apply for an EIN

You can apply for an EIN online (only for applicants in the U.S. or U.S. possessions), by telephone (only for applicants outside of the U.S. or U.S. possessions), by fax, or by mail, depending on how soon you need to use the EIN. Use only one method for each entity so you don’t receive more than one EIN for an entity.

Apply for an EIN online. If you have a legal residence, principal place of business, or principal office or agency in the U.S. or U.S. possessions, you can receive an EIN online and use it immediately to file a return or make a payment. Go to the IRS website at IRS.gov/ Businesses and click on Employer ID Numbers.

The principal officer, general partner, grantor, owner, trustor, etc., must have a valid Taxpayer Identification Number (SSN, EIN, or ITIN) in order to use the online application. Taxpayers who apply online have an option to view, print, and save their EIN assignment notice at the end of the session. (Authorized third party designees see Line 18 instructions.)

If you have NO legal residence, principal place of business, or principal office or agency in the U.S. or U.S. possessions, you can't use the online application to obtain an EIN. Please use one of the other methods to apply.

Apply by telephone—option available to international applicants only. If you have NO legal residence, principal place of business, or principal office or agency in the U.S. or U.S. possessions, you may call 267-941-1099 (not a toll-free number), 6:00 a.m. to 11:00 p.m. (Eastern time), Monday through Friday, to obtain an EIN.

The person making the call must be authorized to receive the EIN and answer questions concerning Form SS-4. Complete the Third Party Designee section only if you want to authorize the named individual to receive the entity’s EIN and answer questions about the completion of Form SS-4. The designee’s authority terminates at the time the EIN is assigned and released to the designee. You must complete the signature area for the authorization to be valid.

Note. It will be helpful to complete Form SS-4 before contacting the IRS. An IRS representative will use the information from Form SS-4 to establish your account and assign you an EIN. Write the number you're given on the upper right corner of the form and sign and date it. Keep this copy for your records.

If requested by an IRS representative, mail or fax the signed Form SS-4 (including any third party designee authorization) within 24 hours to the IRS address provided by the IRS representative.

The IRS no longer issues EINs by telephone for domestic taxpayers. Only international applicants can receive an EIN by telephone.

Apply by fax. Under the Fax-TIN program, you can receive your EIN by fax generally within 4 business days. Complete and fax Form SS-4 to the IRS using the appropriate fax number listed in Where To File or Fax, later. A long-distance charge to callers outside of the local calling area will apply. Fax-TIN numbers can only be used to apply for an EIN. The numbers may change without notice. Fax-TIN is available 24 hours a day, 7 days a week.

Be sure to provide your fax number so the IRS can fax the EIN back to you.

Apply by mail. Complete Form SS-4 at least 4 to 5 weeks before you will need an EIN. Sign and date the application and mail it to the appropriate address listed in Where To File or Fax, later. You will

Dec 11, 2017 Cat. No. 62736F

receive your EIN in the mail in approximately 4 weeks. Also see Third Party Designee, later.

Call 1-800-829-4933 to verify a number or to ask about the status of an application by mail.

Form SS-4 downloaded from IRS.gov is a fillable form and, when completed, is suitable for faxing or mailing to the IRS.

Where To File or Fax

If you have a principal place of business, office or agency, or legal residence in the case of an individual, located in:

File or fax to:

One of the 50 states or the District of Columbia

Internal Revenue Service

Attn: EIN Operation

Cincinnati, OH 45999

Fax: (855) 641-6935

If you have no legal residence, principal office or principal agency in any state or the District of Columbia (international/U.S. possessions)

Internal Revenue Service

Attn: EIN International Operation

Cincinnati, OH 45999

Fax: (855) 215-1627 (within the U.S.) Fax: (304) 707-9471 (outside the U.S.)

How To Get Tax Help, Forms, and Publications

Tax help for your business is available at IRS.gov/ Businesses.

You can download or print all of the forms and publications you may need on IRS.gov/FormsPubs. Otherwise, you can go to IRS.gov/OrderForms to place an order and have forms mailed to you. You should receive your order within 10 business days.

Related Forms and Publications

The following forms and instructions may be useful to filers of Form

SS-4.

Form 11-C, Occupational Tax and Registration Return for

Wagering.

Form 637, Application for Registration (For Certain Excise Tax

Activities).

Form 720, Quarterly Federal Excise Tax Return.

Form 730, Monthly Tax Return for Wagers.

Form 941, Employer's QUARTERLY Federal Tax Return.

Form 944, Employer's ANNUAL Federal Tax Return.

Form 990-T, Exempt Organization Business Income Tax Return.

Instructions for Form 990-T.

Form 1023, Application for Recognition of Exemption Under

Section 501(c)(3) of the Internal Revenue Code.

Form 1024, Application for Recognition of Exemption Under

Section 501(a).

Schedule C (Form 1040), Profit or Loss From Business (Sole

Proprietorship).

Schedule F (Form 1040), Profit or Loss From Farming.

Instructions for Form 1041 and Schedules A, B, G, J, and K-1,

U.S. Income Tax Return for Estates and Trusts.

Form 1042, Annual Withholding Tax Return for U.S. Source

Income of Foreign Persons.

Form 1042-S, Foreign Person's U.S. Source Income Subject to

Withholding.

Instructions for Form 1065, U.S. Return of Partnership Income.

Instructions for Form 1066, U.S. Real Estate Mortgage

Investment Conduit (REMIC) Income Tax Return.

Instructions for Form 1120, U.S. Corporation Income Tax Return.

Form 1120S, U.S. Income Tax Return for an S Corporation.

Form 2290, Heavy Highway Vehicle Use Tax Return.

Form 2553, Election by a Small Business Corporation.

Form 2848, Power of Attorney and Declaration of Representative.

Form 8821, Tax Information Authorization.

Form 8822-B, Change of Address or Responsible Party —

Business.

Form 8832, Entity Classification Election.

Form 8849, Claim for Refund of Excise Taxes.

For more information about filing Form SS-4 and related issues,

see:

Pub. 15, Employer's Tax Guide.

Pub. 51, Agricultural Employer's Tax Guide.

Pub. 80, Federal Tax Guide for Employers in the U.S. Virgin

Islands, Guam, American Samoa, and the Commonwealth of the

Northern Mariana Islands.

Pub. 538, Accounting Periods and Methods.

Pub. 542, Corporations.

Pub. 557, Tax-Exempt Status for Your Organization.

Pub. 583, Starting a Business and Keeping Records.

Pub. 966, Electronic Choices to Pay All Your Federal Taxes.

Pub. 1635, Understanding Your EIN.

Specific Instructions

Follow the instructions for each line to expedite processing and to avoid unnecessary IRS requests for additional information. Enter “N/A” on the lines that don't apply.

Line 1. Legal name of entity (or individual) for whom the EIN is being requested. Enter the legal name of the entity (or individual) applying for the EIN exactly as it appears on the social security card, charter, or other applicable legal document. An entry is required.

Individuals. Enter your first name, middle initial, and last name. If you're a sole proprietor, enter your individual name, not your business name. Enter your business name on line 2. Don't use abbreviations or nicknames on line 1.

Trusts. Enter the name of the trust as it appears on the trust instrument.

Estate of a decedent. Enter the name of the estate. For an estate that has no legal name, enter the name of the decedent followed by “Estate.”

Partnerships. Enter the legal name of the partnership as it appears in the partnership agreement.

Corporations. Enter the corporate name as it appears in the corporate charter or other legal document creating it.

Plan administrators. Enter the name of the plan administrator. A plan administrator who already has an EIN should use that number.

Line 2. Trade name of business. Enter the trade name of the business if different from the legal name. The trade name is the “doing business as” (DBA) name.

Use the full legal name shown on line 1 on all tax returns filed for the entity. (However, if you enter a trade name on line 2 and choose to use the trade name instead of the legal name, enter the trade name on all returns you file.) To prevent processing delays and errors, use only the legal name (or the trade name) on all tax returns.

Line 3. Executor, administrator, trustee, “care of” name. For trusts, enter the name of the trustee. For estates, enter the name of the executor, administrator, or other fiduciary. If the entity applying has a designated person to receive tax information, enter that person's name as the “care of” person. Enter the individual's first name, middle initial, and last name.

Lines 4a–b. Mailing address. Enter the mailing address for the entity's correspondence. If the entity's address is outside the United States or its possessions, you must enter the city, province or state, postal code, and the name of the country. Don't abbreviate the country name. If line 3 is completed, enter the address for the executor, trustee, or “care of” person. Generally, this address will be used on all tax returns.

If the entity is filing the Form SS-4 only to obtain an EIN for the Form 8832, use the same address where you would like to have the acceptance or nonacceptance letter sent.

-2- Instr. for Form SS-4 (Rev. 12-2017)

File Form 8822-B to report any subsequent changes to the entity's mailing address.

Lines 5a–b. Street address. Provide the entity's physical address only if different from its mailing address shown in lines 4a–b. Don't enter a P.O. box number here. If the entity's address is outside the United States or its possessions, you must enter the city, province or state, postal code, and the name of the country. Don't abbreviate the country name.

Line 6. County and state where principal business is located. Enter the entity's primary physical location.

Lines 7a–b. Name of responsible party. Enter the full name (first name, middle initial, last name, if applicable) and SSN, ITIN, or EIN of the entity's responsible party.

Responsible party defined. The “responsible party” is the person who ultimately owns or controls the entity or who exercises ultimate effective control over the entity. The person identified as the responsible party should have a level of control over, or entitlement to, the funds or assets in the entity that, as a practical matter, enables the person, directly or indirectly, to control, manage, or direct the entity and the disposition of its funds and assets. Unless the applicant is a government entity, the responsible party must be an individual (i.e., a natural person), not an entity.

For entities with shares or interests traded on a public exchange, or which are registered with the Securities and Exchange Commission, “responsible party” is (a) the principal officer, if the entity is a corporation; or (b) a general partner, if a partnership. The general requirement that the responsible party be an individual applies to these entities. For example, if a corporation is the general partner of a publicly traded partnership for which Form SS-4 is filed, then the responsible party of the partnership is the principal officer of the corporation.

For tax-exempt organizations, the responsible party is generally the same as the “principal officer” as defined in the Form 990 instructions.

For government entities, the responsible party is generally the agency or agency representative in a position to legally bind the particular government entity.

For trusts, the responsible party is a grantor, owner, or trustor.

File Form 8822-B to report any subsequent changes to responsible party information.

If you’re applying for an EIN for a government entity, you may enter an EIN for the responsible party on line 7b. Otherwise, you must enter an SSN or ITIN on line 7b. But leave line 7b blank if the responsible party does not have and is ineligible to obtain an SSN or ITIN.

Lines 8a–c. Limited liability company (LLC) information. An LLC is an entity organized under the laws of a state or foreign country as a limited liability company. For federal tax purposes, an LLC may be treated as a partnership or corporation or be disregarded as an entity separate from its owner.

By default, a domestic LLC with only one member is disregarded as an entity separate from its owner and must include all of its income and expenses on the owner's tax return (for example, Schedule C (Form 1040)). For more information on single-member LLCs, see Disregarded entities, later.

Also by default, a domestic LLC with two or more members is treated as a partnership. A domestic LLC may file Form 8832 to avoid either default classification and elect to be classified as an association taxable as a corporation. For more information on entity classifications (including the rules for foreign entities), see Form 8832 and its instructions.

If the answer to line 8a is “Yes,” enter the number of LLC members. If the LLC is owned solely by an individual and his or her spouse in a community property state and they choose to treat the entity as a disregarded entity, enter “1” on line 8b.

Don't file Form 8832 if the LLC accepts the default classifications above. If the LLC timely files Form 2553, it will be treated as a corporation as of the effective date of the S corporation election as long as it meets all other requirements to qualify as an S corporation. The LLC doesn't need to file Form 8832 in addition to Form 2553. See the Instructions for Form 2553.

Line 9a. Type of entity. Check the box that best describes the type of entity applying for the EIN. If you're an alien individual with an ITIN previously assigned to you, enter the ITIN in place of a requested SSN.

This isn't an election for a tax classification of an entity. See Disregarded entities, later.

Sole proprietor. Check this box if you file Schedule C, or Schedule F (Form 1040) and have a qualified plan, or are required to file excise, employment, alcohol, tobacco, or firearms returns, or are a payer of gambling winnings. Enter your SSN or ITIN in the space provided. If you're a nonresident alien with no effectively connected income from sources within the United States, you don't need to enter an SSN or ITIN.

Corporation. This box is for any corporation other than a personal service corporation. If you check this box, enter the income tax form number to be filed by the entity in the space provided.

If you entered “1120S” after the Corporation checkbox, the corporation must file Form 2553 no later than the 15th day of the 3rd month of the tax year the election is to take effect. Until Form 2553 has been received and approved, you will be considered a Form 1120 filer. See the Instructions for Form 2553.

Personal service corporation. Check this box if the entity is a personal service corporation. An entity is a personal service corporation for a tax year only if:

The principal activity of the entity during the testing period (generally the prior tax year) for the tax year is the performance of personal services substantially by employee-owners, and The employee-owners own at least 10% of the fair market value of the outstanding stock in the entity on the last day of the testing period.

Personal services include performance of services in such fields as accounting, actuarial science, architecture, consulting, engineering, health (including veterinary services), law, and the performing arts. For more information about personal service corporations, see the Instructions for Form 1120 and Pub. 542.

If the corporation is recently formed, the testing period begins on the first day of its tax year and ends on the earlier of the last day of its tax year, or the last day of the calendar year in which its tax year begins.

Other nonprofit organization. Check the Other nonprofit organization box if the nonprofit organization is other than a church or church-controlled organization and specify the type of nonprofit organization (for example, an educational organization).

If the organization also seeks tax-exempt status, you must file either Form 1023 (or Form 1023-EZ) or Form 1024. See Pub. 557 for more information.

If the organization is covered by a group exemption letter, enter the four-digit group exemption number (GEN) in the last entry. (Don't confuse the GEN with the nine-digit EIN.) If you don't know the GEN, contact the parent organization. See Pub. 557 for more information about group exemption letters.

If the organization is a section 527 political organization, check the box for Other nonprofit organization and specify “Section 527 organization” in the space to the right. To be recognized as exempt from tax, a section 527 political organization must electronically file Form 8871, Political Organization Notice of Section 527 Status, within 24 hours of the date on which the organization was established. The organization may also have to file Form 8872, Political Organization Report of Contributions and Expenditures. Go to IRS.gov/PolOrgs for more information.

Instr. for Form SS-4 (Rev. 12-2017) -3

Plan administrator. If the plan administrator is an individual, enter the plan administrator's taxpayer identification number (TIN) in the space provided.

REMIC. Check this box if the entity has elected to be treated as a real estate mortgage investment conduit (REMIC). See the Instructions for Form 1066 for more information.

State/local government. State and local governments generally have the characteristics of a government, such as powers of taxation, law enforcement, and civil authority. If you're unsure whether or not your organization is a government, search “Is My Entity a Government Entity?” at IRS.gov for clarification.

Federal government. The federal government is made up of the Executive, Legislative, and Judicial branches, as well as independent federal agencies. Unions, VFW organizations, and political organizations aren't federal agencies.

Other. If not specifically listed, check the box for Other, and enter the type of entity and the type of return, if any, that will be filed (for example, “Common trust fund, Form 1065” or “Created a pension plan”). Don't enter “N/A.” If you're an alien individual applying for an EIN, see the instructions for Lines 7a–b.

Household employer. If you're an individual that will employ someone to provide services in your household, check the box Other and enter “Household employer” and your SSN. If you're a trust that qualifies as a household employer, you don't need a separate EIN for reporting tax information relating to household employees; use the EIN of the trust.

Household employer agent. If you're an agent of a household employer that is a disabled individual or other welfare recipient receiving home care services through a state or local program, check the box Other and enter “Household employer agent.” For more information, see Rev. Proc. 84-33 and Rev. Proc. 2013-39. If you're a state or local government, also check the box for state/local government.

QSub. For a qualified subchapter S subsidiary (QSub) check the box Other and specify “QSub.” See Rev. Rul. 2008-18, 2008-13 I.R.B. 674, if the QSub election is made pursuant to a reorganization under section 368(a)(1)(F), and Disregarded entities below. Withholding agent. If you're a withholding agent required to file Form 1042, check the box Other and enter “Withholding agent.”

Disregarded entities. A disregarded entity is an eligible entity that is disregarded as separate from its owner for federal income tax purposes. Disregarded entities include single-member limited liability companies (LLCs), and certain qualified foreign entities. See the instructions for Forms 8832 and 8869, and Regulations section 301.7701-3 for more information on domestic and foreign disregarded entities.

The disregarded entity is required to use its name and EIN for reporting and payment of employment taxes: to register for excise tax activities on Form 637; to pay and report excise taxes reported on Forms 720, 730, 2290, and 11-C; to claim any refunds, credits, and payments on Form 8849; and where a U.S. disregarded entity is wholly owned by a foreign person, to file information returns on Form 5472. See the instructions for the employment and excise tax returns, and Form 5472 for more information.

Complete Form SS-4 for disregarded entities as follows. If a disregarded entity is filing Form SS-4 to obtain an EIN because it is required to report and pay employment and excise taxes, or for non-federal purposes such as a state requirement, check the box Other for line 9a and write “Disregarded entity” (or “Disregarded entity-sole proprietorship” if the owner of the disregarded entity is an individual).

If the disregarded entity is requesting an EIN for purposes of filing Form 5472, as required under section 6038A for a U.S. disregarded entity that is wholly owned by a foreign person, check the box Other for line 9a and write “Foreign-owned U.S. disregarded entity-Form 5472.”

If the disregarded entity is requesting an EIN for purposes of filing Form 8832 to elect classification as an association taxable as a corporation, or Form 2553 to elect S corporation status, check the box Corporation for line 9a and write “Single-member” and the form number of the return that will be filed (Form 1120 or 1120S).

If the disregarded entity is requesting an EIN because it has acquired one or more additional owners and its classification has changed to partnership under the default rules of Regulations section 301.7701-3(f), check the box Partnership for line 9a. If a foreign eligible entity is requesting an EIN for purposes of filing Form 8832 to elect classification as a disregarded entity, check the box Other for line 9a and write "foreign disregarded entity."

Line 10. Reason for applying. Check only one box. Don't enter “N/A.” A selection is required.

Started new business. Check this box if you're starting a new business that requires an EIN. If you check this box, enter the type of business being started. Don't apply if you already have an EIN and are only adding another place of business.

Hired employees. Check this box if the existing business is requesting an EIN because it has hired or is hiring employees and is therefore required to file employment tax returns. Don't apply if you already have an EIN and are only hiring employees. For information on employment taxes (for example, for family members), see Pub. 15, Pub. 51, or Pub. 80.

You must make electronic deposits of all depository taxes (such as employment tax, excise tax, and corporate income tax) using EFTPS. See Pub. 15, Pub. 51, Pub. 80, and Pub.

Banking purpose. Check this box if you're requesting an EIN for banking purposes only, and enter the banking purpose (for example, a bowling league for depositing dues or an investment club for dividend and interest reporting).

Changed type of organization. Check this box if the business is changing its type of organization. For example, the business was a sole proprietorship and has been incorporated or has become a partnership. If you check this box, specify in the space provided (including available space immediately below) the type of change made. For example, “From sole proprietorship to partnership.”

Purchased going business. Check this box if you purchased an existing business. Don't use the former owner's EIN unless you became the “owner” of a corporation by acquiring its stock.

Created a trust. Check this box if you created a trust, and enter the type of trust created. For example, indicate if the trust is a nonexempt charitable trust or a split-interest trust.

Exception. Don't file this form for certain grantor-type trusts. The trustee doesn't need an EIN for the trust if the trustee furnishes the name and TIN of the grantor/owner and the address of the trust to all payers. However, grantor trusts that don't file using Optional Method 1 and IRA trusts that are required to file Form 990-T must have an EIN. For more information on grantor trusts, see the Instructions for Form 1041.

Don't check this box if you're applying for a trust EIN when a new pension plan is established. Check the Created a pension plan box.

Created a pension plan. Check this box if you have created a pension plan and need an EIN for reporting purposes. Also, enter the type of plan in the space provided. For more information about pension plans, visit IRS.gov and enter “Types of retirement plans” in the search box.

Check this box if you're applying for a trust EIN when a new pension plan is established. In addition, check the Other box on line 9a and write “Created a pension plan” in the space provided.

Other. Check this box if you're requesting an EIN for any other reason, and enter the reason. For example, a newly-formed state government entity should enter “Newly-formed state government entity” in the space provided. A foreign-owned U.S. disregarded entity required to file Form 5472 should enter “Foreign-owned U.S. disregarded entity filing Form 5472” in the space provided.

Line 11. Date business started or acquired. If you're starting a new business, enter the starting date of the business. If the business you acquired is already operating, enter the date you acquired the business. For foreign applicants, this is the date you began or

-4- Instr. for Form SS-4 (Rev. 12-2017)

acquired a business in the United States. If you're changing the form of ownership of your business, enter the date the new ownership entity began. Trusts should enter the date the trust was funded or the date that the trust was required to obtain an EIN under Regulations section 301.6109-1(a)(2). Estates should enter the date of death of the decedent whose name appears on line 1 or the date when the estate was legally funded.

Line 12. Closing month of accounting year. Enter the last month of your accounting year or tax year. An accounting or tax year is usually 12 consecutive months, either a calendar year or a fiscal year (including a period of 52 or 53 weeks). A calendar year is 12 consecutive months ending on December 31. A fiscal year is either 12 consecutive months ending on the last day of any month other than December or a 52-53 week year. For more information on accounting periods, see Pub. 538.

Individuals. Your tax year generally will be a calendar year. Partnerships. Partnerships must adopt one of the following tax years.

The tax year of the majority of its partners.

The tax year common to all of its principal partners.

The tax year that results in the least aggregate deferral of income. In certain cases, some other tax year.

See the Instructions for Form 1065 for more information.

REMICs. REMICs must have a calendar year as their tax year.

Personal service corporations. A personal service corporation generally must adopt a calendar year unless it meets one of the following requirements.

It can establish a business purpose for having a different tax year. It elects under section 444 to have a tax year other than a calendar year.

Trusts. Generally, a trust must adopt a calendar year except for the following trusts.

Tax-exempt trusts.

Charitable trusts.

Grantor-owned trusts.

Line 13. Highest number of employees expected in the next 12 months. Complete each box by entering the number (including zero (-0-)) of Agricultural, Household, or Other employees expected by the applicant in the next 12 months.

If no employees are expected, skip line 14.

Line 14. Do you want to file Form 944? If you expect your employment tax liability to be $1,000 or less in a full calendar year, you're eligible to file Form 944 annually (once each year) instead of filing Form 941 quarterly (every 3 months). Your employment tax liability generally will be $1,000 or less if you expect to pay $4,000 or less in total wages subject to social security and Medicare taxes and federal income tax withholding. If you qualify and want to file Form 944 instead of Forms 941, check the box on line 14. If you don't check the box, then you must file Form 941 for every quarter.

Once you check the box you must continue to file Form 944, regardless of the amount of tax shown on your return, until the IRS instructs you to file Form 941.

For employers in the U.S. possessions, generally, if you pay $6,536 or less in wages subject to social security and Medicare taxes, you're likely to pay $1,000 or less in employment taxes.

For more information on employment taxes, see Pub. 15, Pub. 51, or Pub. 80.

Line 15. First date wages or annuities were paid. If the business has employees, enter the date on which the business began to pay wages or annuities. For foreign applicants, this is the date you began to pay wages in the United States. If the business doesn't plan to have employees, enter “N/A.”

Withholding agent. Enter the date you began or will begin to pay income (including annuities) to a nonresident alien. This also applies to individuals who are required to file Form 1042 to report alimony paid to a nonresident alien. For foreign applicants, this is the

date you began or will begin to pay income (including annuities) to a nonresident alien in the United States.

Line 16. Check the one box on line 16 that best describes the principal activity of the applicant's business. Check the box Other (and specify the applicant's principal activity) if none of the listed boxes applies. You must check a box.

Construction. Check this box if the applicant is engaged in erecting buildings or engineering projects (for example, streets, highways, bridges, and tunnels). The term “construction” also includes special trade contractors (for example, plumbing, HVAC, electrical, carpentry, concrete, excavation, etc., contractors).

Real estate. Check this box if the applicant is engaged in renting or leasing real estate to others; managing, selling, buying, or renting real estate for others; or providing related real estate services (for example, appraisal services). Also check this box for mortgage real estate investment trusts (REITs). Mortgage REITs are engaged in issuing shares of funds consisting primarily of portfolios of real estate mortgage assets with gross income of the trust solely derived from interest earned.

Rental & leasing. Check this box if the applicant is engaged in providing tangible goods such as autos, computers, consumer goods, or industrial machinery and equipment to customers in return for a periodic rental or lease payment. Also check this box for equity real estate investment trusts (REITs). Equity REITs are engaged in issuing shares of funds consisting primarily of portfolios of real estate assets with gross income of the trust derived from renting real property.

Manufacturing. Check this box if the applicant is engaged in the mechanical, physical, or chemical transformation of materials, substances, or components into new products. The assembling of component parts of manufactured products is also considered to be manufacturing.

Transportation & warehousing. Check this box if the applicant provides transportation of passengers or cargo; warehousing or storage of goods; scenic or sight-seeing transportation; or support activities related to transportation.

Finance & insurance. Check this box if the applicant is engaged in transactions involving the creation, liquidation, or change of ownership of financial assets and/or facilitating such financial transactions; underwriting annuities/insurance policies; facilitating such underwriting by selling insurance policies; or by providing other insurance or employee-benefit related services.

Health care & social assistance. Check this box if the applicant is engaged in providing physical, medical, or psychiatric care; or providing social assistance activities such as youth centers, adoption agencies, individual/family services, temporary shelters, daycare, etc.

Accommodation & food services. Check this box if the applicant is engaged in providing customers with lodging, meal preparation, snacks, or beverages for immediate consumption.

Wholesale-agent/broker. Check this box if the applicant is engaged in arranging for the purchase or sale of goods owned by others or purchasing goods on a commission basis for goods traded in the wholesale market, usually between businesses.

Wholesale-other. Check this box if the applicant is engaged in selling goods in the wholesale market generally to other businesses for resale on their own account, goods used in production, or capital or durable nonconsumer goods.

Retail. Check this box if the applicant is engaged in selling merchandise to the general public from a fixed store; by direct, mail-order, or electronic sales; or by using vending machines.

Other. Check this box if the applicant is engaged in an activity not described above. Describe the applicant's principal business activity in the space provided.

Line 17. Use line 17 to describe the applicant's principal line of business in more detail. For example, if you checked the Construction box on line 16, enter additional detail such as “General contractor for residential buildings” on line 17. An entry is required. For mortgage REITs, indicate mortgage REIT; and for equity REITs, indicate what type of real property is the principal type (residential REIT, nonresidential REIT, miniwarehouse REIT, etc.).

Instr. for Form SS-4 (Rev. 12-2017) -5

Line 18. Check the applicable box to indicate whether or not the applicant entity applying for an EIN was issued one previously.

Third Party Designee. Complete this section only if you want to authorize the named individual to answer questions about the completion of Form SS-4 and receive the entity’s newly assigned EIN. You must complete the signature area for the authorization to be valid. The designee’s authority terminates at the time the EIN is assigned and released to the designee. EINs are released to authorized third party designees by the method they used to obtain the EIN (online, telephone, or fax); however, the EIN notice will be mailed to the taxpayer.

If the third party designee’s address or telephone number matches the address or telephone number of the taxpayer, the application must be mailed or faxed.

Signature. When required, the application must be signed by (a) the individual, if the applicant is an individual; (b) the president, vice president, or other principal officer, if the applicant is a corporation; (c) a responsible and duly authorized member or officer having knowledge of its affairs, if the applicant is a partnership, government entity, or other unincorporated organization; or (d) the fiduciary, if the applicant is a trust or an estate. Foreign applicants may have any duly-authorized person (for example, division manager) sign Form SS-4.

Privacy Act and Paperwork Reduction Act Notice. We ask for the information on this form to carry out the Internal Revenue laws of the United States. We need it to comply with section 6109 and the regulations thereunder, which generally require the inclusion of an employer identification number (EIN) on certain returns, statements, or other documents filed with the Internal Revenue Service. If your entity is required to obtain an EIN, you're required to provide all of the information requested on this form. Information on this form may be used to determine which federal tax returns you're required to file and to provide you with related forms and publications.

We disclose this form to the Social Security Administration (SSA) for their use in determining compliance with applicable laws. We may give this information to the Department of Justice for use in civil

and/or criminal litigation, and to cities, states, the District of Columbia, and U.S. commonwealths and possessions for use in administering their tax laws. We may also disclose this information to other countries under a tax treaty, to federal and state agencies to enforce federal nontax criminal laws, and to federal law enforcement and intelligence agencies to combat terrorism.

We will be unable to issue an EIN to you unless you provide all of the requested information that applies to your entity. Providing false information could subject you to penalties.

You're not required to provide the information requested on a form that is subject to the Paperwork Reduction Act unless the form displays a valid OMB control number. Books or records relating to a form or its instructions must be retained as long as their contents may become material in the administration of any Internal Revenue law. Generally, tax returns and return information are confidential, as required by section 6103.

The time needed to complete and file this form will vary

depending on individual circumstances. The estimated average time is:

Recordkeeping 8 hr., 36 min.

Learning about the law or the form 42 min.

Preparing, copying, assembling, and sending the

form to the IRS 52 min.

If you have comments concerning the accuracy of these time estimates or suggestions for making this form simpler, we would be happy to hear from you. You can send your comments from IRS.gov/ FormsPubs. Click on More Information and then click on Give us feedback. Or you can write to the Internal Revenue Service, Tax Forms and Publications Division, 1111 Constitution Ave. NW, IR-6526, Washington, DC 20224. Don't send Form SS-4 to this address. Instead, see Where To File or Fax, earlier.

-6- Instr. for Form SS-4 (Rev. 12-2017)

Location of Warnings: On Product or in the Manual?

By Kenneth Ross?

An important issue to be considered in trying to meet the duty to warn and instruct is for the manufacturer to decide where to place the warning – on the product, in the manual, or on the product and in the manual. Generally speaking, all labels on the product should be shown in the manual. But the converse is not true. Not all warnings in the manual have to be placed on the product.

Since our first goal is to get the warning to the user, we need to figure out where best to place it to maximize the possibility of that happening. In the event of an accident, the plaintiff will always claim that they didn’t see the warning and therefore, the manufacturer may need to testify as to why they placed it where they did.

This article will discuss the basic duty to warn and instruct and then examine the law and standards as they pertain to this issue. Then it will discuss recommendations about how to make this decision.

Basic Legal Duty to Warn and Instruct

Product sellers must provide “reasonable warnings and instructions” about their product’s risks. The law differentiates between warnings and instructions as follows: “Warnings alert users and consumers to the existence and nature of product risks so that they can prevent harm either by appropriate conduct during use or consumption or by choosing not to use or consume.” Instructions “inform persons how to use and consume products safely.” Products Liability Restatement, §2 (c), cmt. i.

Therefore, when the law talks about the “duty to warn,” it includes warnings on products in the form of warning labels; safety information in instructions; instructions that affirmatively describe how to use a product safely; and safety information in other means of communication such as videos, CDs, advertising, catalogs and websites.

The law says that a manufacturer has a duty to warn where (1) the product is dangerous; (2) the danger is or should be known by the manufacturer; (3) the

? Kenneth Ross, Of Counsel to Bowman and Brooke LLP in Minneapolis, has provided legal advice to manufacturers on warning labels and instruction manuals since 1976. He can be reached at kenrossesq@comcast.net. This article will appear in the Summer 2008 newsletter for DRI’s Product Liability Committee.

danger is present when the product is used in the usual and expected manner; and (4) the danger is not obvious or well known to the user. See Billiar v. Minnesota Mining and Manufacturing Co., 623 F.2d 240, 243 (2d Cir. 1980).

Once the decision has been made to warn, the manufacturer needs to determine whether the content of the warning is adequate. Generally, the adequacy of a warning in a particular situation is a question of fact to be decided by the jury. However, various courts and commentators have described a list of requirements and goals of an adequate warning. An adequate warning will:

* alert the consumer or user to the severity of the hazard (severity being

defined as the magnitude of the hazard and the likelihood of it

being encountered)

* clearly state the nature of the hazard

* clearly state the consequences of the hazard

* provide instructions on how to avoid the hazard.

And the Products Liability Restatement says that a court must focus on a warning’s “content and comprehensibility, intensity of expression and the characteristics of expected user groups” to determine its adequacy.

Case law does treat the duty to warn and instruct separately. So, including adequate warnings in the manual may not be enough to meet the duty to instruct. And, adequate instructions in the manual may not fulfill the duty to warn.

There are very few cases talking about the adequacy of instruction manuals as instructions and not warnings. And the case law is not particularly illuminating. The cases only say that manuals should be “adequate, accurate, and effective,” Antcliff v. State Employees Credit Union, 414 Mich 624 (1982), and “clear, complete, and adequately communicated,” Broussard v. Houdaille Industries, Inc., 183 Ill. App. 3d 739 (1st Dist. 1989).

Standards on Warnings

On the issue of location, which is certainly related to adequacy, let’s first look at what the standards in the U.S. and elsewhere say. With the exception of some product specific standards, general warning label standards deal with the format of a warning label when attached to a product but do not deal at all with warnings to be included in instructions. As a result, they do not talk about when the warning should also be placed in the manual and, more importantly, when you can just warn in the manual and not on the product.

In researching this article, I reviewed the following general warning label standards: ANSI Z535.4, ISO 3864, ISO 11684, ISO 6750, and ISO 9244. I found no requirements or guidance on when you can just warn in the manual.

Many product specific standards promulgated by ANSI, ASTM, UL, CSA, etc. do generally talk about what warnings have to be attached to the product and what information, including warnings, has to go in the manual. However, not all product specific standards deal with the content of instructions and some don’t deal with warnings or instructions at all. And, of course, compliance with these standards is not a defense; therefore, manufacturers cannot completely rely on them to answer this question.

Standards on Instructions

There is one general standard that talks about instructions. ANSI Z535.6, the new standard dealing with instructions, was published in late 2006. The purpose of the new standard is, in part, to “establish a uniform and consistent visual layout for safety information in collateral materials for a wide variety of products and establish a national uniform system for the recognition of potential personal injury hazards for those persons using products.”

The standard applies to all “collateral material” that accompanies a product but does not deal with safety information placed in advertising and promotional material, or stated in audio/visual material such as safety videos and websites.

This standard says nothing about when a warning in the manual is sufficient without it also being attached to the product. In addition, this standard only deals with safety instructions usually in a hardcopy format.

Today, more interesting, compelling and understandable safety information can be transmitted by video, CDs and web casts in combination with written literature. The challenge for manufacturers in the future will be to provide information that is more likely to be read or viewed.

Government Guidelines on Instructions

In addition, I reviewed a number of governmental guidelines or guidances and found no discussion of this subject. These include the CPSC Guide to Instruction Manuals, FDA’s Write it Right, DTI’s Writing Safety Instructions for Consumer Products (UK), and FDA’s Guidelines for Medical Device Labeling.

Common Law on Warning Location

On the issue of location of the warning on the product, case law requires the warning to be in a position so it can be seen before the user encounters the hazard. This is also required in ANSI Z535.4.

There are also a number of cases where a warning was deemed inadequate because it was in the wrong location on the product and a few cases where the warning was only in the manual and not on the product.

On the issue of how to analyze whether to place a warning just in the manual, Professor David Owen, in his products liability hornbook, said:

Whether adequacy requires in any given case that warnings be placed directly on the product involves a balance of the significance of the hazard, the user’s need for the information, the availability of a feasible means to place the warnings on the product, and other factors in the calculus of risk. If feasible, reason normally suggests that important warnings be placed on the product itself rather than in a pamphlet, booklet, or information sheet that can be damaged, lost, or destroyed. *** Depending on the circumstances, however, a warning may still be adequate even if it is provided off the product in a manual or other writing. Product Liability Law, page 580

(Thomson West 2004).

Professor Owen cited just a few cases for the above proposition. One of the cases, Broussard v. Continental Oil Co., 433 So. 2d 354 (La. App), cert. denied, 440 So. 2d 726 (La. 1983), illustrates one basis of putting warnings in the manual and not on the product – a lack of space on the product.

Black & Decker sold a hand drill with one warning on the product, “CAUTION: For Safe Operation See Owner’s Manual.” In the manual, there was a section devoted to safety. And item #18 dealt with the safety precaution that was not followed and resulted in injury to the plaintiff.

The court dealt specifically with the question of whether Black & Decker met its duty to warn by warning in the manual and not on the product. Plaintiff’s counsel submitted a proposed warning label for the hand drill that included 10 of the 18 warning messages in the manual. The court felt that the proposed language concerning the hazard involved in this accident was inadequate. In addition, the proposed warning showed how difficult it is to adequately warn of multiple hazards in a small space.

The court felt that putting even 10 warning messages on the drill decreased the effectiveness of all of the warnings and that a consumer might not read any of them given the clutter.

The court held that Black & Decker met its duty to warn by including a warning referring to the manual on the product and including the specific warning, which was deemed adequate in content, in the manual.

Another case from Louisiana held that a warning in the manual was sufficient because a warning on the product would not have been readable given the

corrosion and wear to which the product and label would be subjected. Williams v. Super Trucks, Inc. 842 So. 2d 1210 (La. Ct. App. 2003).

What to Do

This issue illustrates the importance of creating or revising instruction manuals and warning labels at the same time. They are inextricably intertwined. They form all or part of a safety communications system and will be viewed as such by the plaintiff and a jury.

With this in mind, I suggest that the manual first be developed with the warning labels to follow. Here are a few suggestions to consider for incorporating safety information into the manual. Some but not all of these suggestions are in ANSI Z535.6.

* The cover of the manual should have a boxed warning saying something like “Read this manual before using this product. Failure to follow the instructions and safety precautions in this manual can result in serious injury or death.” It should also say, “Keep this manual in a safe location for future reference.”

* A Safety Section should be placed at the beginning of the manual, before or after the table of contents, that describes the risks involved in the use of the product and how to minimize or avoid them. This section should include definitions of the signal words—such as “danger,” “warning,” and “caution”—that are used on labels and in the manual, as well as reproductions of the labels showing where they are attached to the product. If the product has symbol-only labels, the manual should describe the meaning of all symbols.

* The Safety Section should be separated into subsections to make the precautions easy to read and find. The subsections can be devoted to the type of activity (Assembly, Installation,

Operation, Maintenance) or type of hazard (fire, electrocution, crush) or even type of avoidance procedure (avoid open flames, wear protective gear, stay away from power lines, keep hands out of moving parts).

* Not all safety messages in the Safety Section need to be repeated in the text, especially if they are general and apply to many activities. In addition, not all safety messages in the

instructional sections need to be repeated in the Safety Section. For example, lower level messages, such as those using

“Caution” and “Notice” as signal words, may not need to be in the Safety Section.

* General safety messages should be included at the beginning of a chapter (i.e. maintenance or installation or operation) or within a chapter. They should include general references to the Safety Section and other safety messages such as “Do not operate equipment without first reading this chapter and the Safety Section at the beginning of this manual” and “Failure to follow safety precautions in this chapter could result in serious injury or death.”

* Embedded safety messages should be contained within a specific procedure. For example, “To prevent burns, wear protective gloves when performing this procedure.” As stated above, not all of these messages need to be in the Safety Section.

As described above, the cover of the manual should tell the user to read the manual before using the product and then to keep the manual nearby for future reference. In addition to that, the manufacturer should include a label on the product saying the same things and telling the user how to get another manual if the original manual is missing or illegible.

With the message on the cover of the manual and this label on the product, the manufacturer can argue that all of the warnings in the manual that are not on the product should have been read before using the product and that they can assume that this will be done. That basically is what won the case for Black & Decker in the Broussard case.

However, of course, you don’t stop there. Now you need to figure out what safety messages should also go on the product. Based on what Professor Owen said above, it sounds somewhat like factors in a negligence test: the level of hazard (considering probability and severity), the “user’s need for the information” on the product and not just in the manual (considering obviousness and the user’s need to see this precaution each time they use the product), and “the availability of a feasible means to place the warnings on the product” (considering available space and the environment in which the label would be placed).

So, the higher the risk, the more the label should be accessible during each use, and the easier it is to place a warning on the product, the more likely you should place a label on the product. Having helped manufacturers with this analysis for 30 years, I can tell you that this is basically the analysis that I utilize.

Lower level hazards, hazards that only exist during unlikely uses, and maintenance hazards where maintenance personnel are professionals, are some of the kinds of hazards where a label may not be necessary.

With that being said, when in doubt, and where there is room, add the label. While there is a possibility that over warning will be used to argue that the warnings are inadequate, I think the risk of liability for under warning is far more likely.

If making a final decision is problematic or if the manufacturer truly doesn’t know, it is possible for the manufacturer to do a focus group study to try to determine what information would be best to place on the product versus the manual. In other words, they can find out from actual product users what information in the manual these users feel should be visible to them each time they use the product.

Conclusion

No matter what a manufacturer does in the area of warnings and instructions, a plaintiff will argue that they should have done something different, and that this would have prevented the accident. Given the wide variety of options and analyses that can be done, and the lack of clear guidance on this issue concerning most products, the manufacturer should use the factors described above and develop a rationale as to why certain messages are on the product and why some are just in the manual.

This should lessen the chances of a plaintiff using location against the

manufacturer and hopefully will provide some defense if such an argument is raised.

SURVEY TYPES &

SAMPLING TECHNIQUES

USED IN MARKET RESEARCH

Martin van Staveren BM RB International

* How should potential respondents for a survey

be selected?

* What methods and sources are available, and

when should they be used?

* Aim for a broad understanding, rather than

details of sampling theory

* Qualitative & Quantitative

* Universe and Coverage

* Sampling Methods

* Sample Size

* Error and Bias

“FOCUS GROUPS”

* To test and develop ideas

* For in-depth understanding

* To develop quantitative questionnaire

* Use a guide rather than a structured

questionnaire

* To measure behaviour or opinions

* To compare data from different groups, or

across time

* For segmentation - define different groups

within a population

* Use a structured questionnaire, with limited

open-ended content

* To avoid bias

* To sample in a cost-effective manner;

minimum error for a given cost

* Need a clear statement of who should be

interviewed

* Alternatives:

– Representative sample - for description and

measurement

– Restrict to key groups only - for diagnostic

understanding

– Booster samples where extra clarity needed

–Tracking and continuous surveys

* Random (Probability)

* Stratification

* Clustered Samples

* Quota

* Random Location

* Random Route

* Statistically ‘pure’, but may not be

representative, and not cost-efficient for face

to face

* Need a universe listing, from which individuals can be selected with equal probability

* Sample controlled because specific individuals

are selected

Improvements to

Random Sampling?

* Almost never use a pure random sample

* Stratification - to ensure a representative

sample

* Clustering - to ensure face-to-face

interviewing can be carried out efficiently

Stratification - sorting the universe list first,

on one or more key variables, to ensure a

representative sample

A 1

A 2

A 3

B 1

B 2

* For face-to-face, often stratify sampling

points by region and geodemographics

* If sampling from a database, can stratify by

3 or 4 key characteristics to ensure they

are represented correctly

* First sample geographic areas from a stratified

list, then select several individuals within each

area

* More cost-efficient for face-to-face, especially

with callbacks

* Select a representative set of (large) areas

* Interviewer can select any eligible respondent

* Controlled by quotas - simple, multiple,

interlocking

* Select Census Enumeration Districts from a

list stratified by Region and

geodemographics

* Interviewer can select any eligible resident

within ED

* Controlled by selection of representative

areas (and quotas)

* Select a representative set of areas

* Identify a starting address in each area

* Devise instructions for route and selection

process

* Controlled by selection of specific

individuals, and quotas

Sampling Methods -

The choice

* Random samples, with stratification and/or clustering

are closer to theory, and allow errors to be

calculated

* Quota samples are generally much cheaper, and give

flexibility for minority samples

* Random Location largely avoids interviewer selection

and allows close control of design

Depends on:

* Accuracy required

* Degree of variation within population

* Budget available

* Level of subgroup analysis

* Sampling theory shows that with a large

number of samples, the sample estimates for

a single figure will have a normal distribution

For this distribution:

* Mean = True Population Figure

* + 2 Standard Deviations contain 95% of all

samples

Sampling Frequency

Distribution

Mean Score

Due to:

* Incomplete coverage - due to sampling frame,

or by choice

* Non-response (to survey or item)

* Non-availability

* Boosted subgroups - need to re-weight

* Define target population accurately

* Consider appropriate survey design

* Investigate sample sources

* Which sampling method is most suitable?

* Sample size v. Cost & accuracy

* Will sample source or fieldwork problems

cause bias?

The Leeds Teaching Hospitals NHS Trust Regional Cytogenetics Unit

MLPA User manual

1. MLPA microdeletion studies.

Requirements: 1-2 mls (minimum) of peripheral blood in a lithium heparin tube (green or orange top) AND 1-2 mls of peripheral blood in a EDTA tube (purple top) & referral card completed with Name, NHS no., d.o.b. address and comprehensive list of clinical details.

2. MLPA sub-telomere studies.

Referrals for this test must be arranged through the Clinical Genetics Department, Chapel Allerton Hospital, Leeds.

Please note this test will only detect unbalanced rearrangements.

Please note that FISH testing might be performed if the sample received is sub-optimal (sent without an EDTA sample or too small (<1.0mls)) or where it is considered by the lab to be the most cost effective approach.

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Summary of Microdeletion syndromes tested for by the P245 MLPA microdeletion kit

Loci Tested

Associated Microdeletion/duplication Syndrome

1p36.33

1p36 Deletion syndrome

2p16.1

2p16 Deletion syndrome

3q29

3q29 Deletion syndrome

4p16.3

Wolf-Hirschhorn syndrome

5p15.33

Cri-du-Chat syndrome

5q35.3

SOTOS syndrome

7q11.2

Williams syndrome/7q11.23 duplication

8p23.1

8p23 Deletion syndrome

8q24

Langer-Gideon syndrome

9q22.33

9q22 Deletion syndrome

10p14

DiGeorge syndrome region 2

11p13

WAGR syndrome

15q11.2

Prader-Willi/Angelmans syndrome

15q24.1

15q24 Deletion syndrome

16p13.3

Rubinstein-Taybi syndrome

17p11.2

Smith-Magenis syndrome/17p11.2 duplication

17p13.3

Miller-Dieker syndrome

17q11.2

NF1 Deletion

17q21.31

17q21 Deletion syndrome

22q11.2

DiGeorge syndrome/22q11.2 duplication

22q13.3

Phelan-McDermid syndrome

Xq28

MECP2 duplication syndrome

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Technical details of P245 kit (Base positions based on Human GRCh37 Assembly

hg19)

General Reference: https://decipher.sanger.ac.uk

DiGeorge (22q11.2)

3 probes for 22q11.2: CLDN5 at 19.51Mb 1.5Mb deletion GP1BB at 19.71Mb 3 Mb deletion SNAP29 at 21.24Mb

Sensitivity: ~96% patients carry either the 1.5Mb or 3Mb deletion and will be detected using this assay. Mutations of TBX1 have also been described.

Reference: Lancet. 362:1366-1373, 2003.

Digeorge Region 2 (10p14)

2 probes for 10p14: GATA3 at 8.10Mb

DKFZp566L0824 at 10.548966Mb

Sensitivity: 2 Critical region s :–

1. DGCR2 with cardiac defect and T cell deficiency is defined as between D10S547 (10.550410Mb) and D10S585 (11.25Mb).

2. HDR1 with hypoparathyroidism, deafness and renal dysplasia is defined as between D10S189 (6.72Mb) and D10S226 (8.92Mb).

Whilst the DKFZp566L0824 probe lies outside the defined critical region it will detect the majority of cases as only one published case has a deletion not covered by this probe.

The GATA3 probe lies within the HDR1 critical region and therefore will detect all deletions associated with HDR.

References: European Journal of Human Genetics. 6, 213–225, 1998.

J Med Genet. 37:33-37, 2000.

J Mol Med. 80:431–442, 2002.

1p36 Deletion Syndrome (1p36.33)

3 probes: TNFRSF4 at 1.15Mb

GNB1 at 1.76Mb

GABRD at 1.96Mb

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Sensitivity: Will detect up to 98% of 1p36 deletions

Reference: Am. J. Hum. Genet. 72:1200–1212, 2003

2p16.1 Deletion Syndrome (2p16.1)

2 probes: FANCL at 58.45Mb

REL at 61.15Mb.

Common region spans RP11-426N8 (57.68Mb) and RP11-470L12 (61.58Mb).

Sensitivity: Will detect all occurrences of 2p16.1 deletion described in the literature.

Reference: J. Med. Genet. 45:122-124, 2008

3q29 Deletion Syndrome (3q29)

2 probes: DGL1 at 196.79Mb

DGL1 at 197.02Mb

Common deletion and duplication spans 195.92Mb to 197.30Mb. Other cases of duplication described are bigger and cover this region.

Sensitivity: Will detect all reported occurrences of 3q29 deletion/duplication.

Reference: Am. J. Hum. Genet. 77:154–160, 2005

Cytogenet Genome Res. 123:65–78, 2008

WHS 4p16.3

2 probes: LETM1 at 1.84Mb

WHSC1 at 1.93Mb.

Sensitivity: The majority of Wolf-Hirschhorn deletions are terminal and will be detected by this assay. A small number of interstitial deletions may not be detected by these probes.

References: Am. J. Hum. Genet. 72:590 –597, 2003

J Med Genet. 45:71-80, 2008.

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Cri du Chat Syndrome (5p15.3)

2 probes: TERT at 1.28Mb

CRR9p at 1.34Mb

Sensitivity: ~91.25% deletions are terminal and will be detected using these probes. ~8.75% patients have been described with an interstitial deletion, which will not be picked up by this assay.

References: J Med Genet. 38:151–158, 2001

Am. J. Hum. Genet. 76:312–326, 2005

Sotos Syndrome (5q35.3)

2 probes: NSD1 Exon17 at 176.68Mb

NSD1 Exon 22 at 176.72Mb

Sensitivity: 10-15% of NSD1 abnormalities in Europe and US are microdeletions (>50% in Japan), which will be detected with this assay. Intragenic mutations ac count for the remainder of patients.

References: Am. J. Hum. Genet. 77:193–204, 2005

European Journal of Human Genetics. 15, 264–271, 2007

Williams Syndrome (7q11.23)

3 probes: ELN at 73.44Mb

ELN at 73.47Mb

LIMK1 at 73.51Mb

Sensitivity: Up to 94% caused by deletion of ELN, which will be detected by this assay. Balanced rearrangements with breakpoints within ELN may account for other patients, which would be detected by G-banding.

References: Human Molecular Genetics. Vol. 12, Review Issue 2, 2003. Am. J. Hum. Genet. 59: 781-792, 1996.

Langer-Giedion Syndrome (8q24)

2 probes: TRPS1 at 116.68Mb

EIF3S3 at 117.66Mb

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Sensitivity: Phenotype in all cases is due to deletion of both TRPS1 and EXT1 genes, which will be detected by this assay. There is one report of a deletion that does not encompass TRPS1 but does cover EIF3S3.

Reference: Am J Med Genet A 146A:1587–1592, 2008

9q22.3 Deletion Syndrome (9q22.3)

2 probes: TGFBR1 at 101.908Mb

TGFBR1 at 101.910Mb

Sensitivity: All deletions described encompass the TGFBR1 gene. Therefore all cases described in literature will be detected by this assay.

References: European Journal of Human Genetics. 14, 759– 767, 2006

WAGR Syndrome (11p13)

1 probe: PAX6 at 31.82Mb.

Sensitivity: ~66.6% patients with WAGR carry a deletion of PAX6 which will be detected with this probe. Due to the lack of a probe for WT1, FISH analysis is also recommended.

Reference: Am. J. Hum. Genet. 71:1138–1149, 2002

Prader-Willi/Angelman Syndrome (15q11.2)

4 probes: NDN at 23.93Mb

SNRPN at 25.10Mb

SNRPN at 25.21Mb

UBE3A at 25.62Mb.

Sensitivity: 70-75% Prader-Willi patients carry a deletion, which will be detected by this assay. The remaining cases are caused by maternal UPD15 or an imprinting defect.

~70% Angelman patients carry a deletion, which will be detected by this assay. The remaining cases are caused by paternal UPD15 or an imprinting effect.

In all suspected cases of Prader-Willi/Angelman syndrome molecular genetic testing is recommended.

15q24.1 Deletion Syndrome (15q24.1)

2 probes: SEMA7A at 74.71Mb

CYP1A1 at 75.01Mb.

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Sensitivity: The minimal deleted region for this syndrome spans ~74.50-76.00Mb therefore these probes will detect all described occurrences of this deletion.

Reference: Human Molecular Genetics . 16(5):567–572, 2007.

Rubinstein-Taybi Syndrome (16p13.3)

1 probe: CREBBP at 3.93Mb (Exon 1)

Sensitivity: Deletions of CREBBP account for ~10% RSTS cases. Partial deletions of CREBBP are common and this probe will only detect ~50% deletions. Intragenic mutations of CREBBP and mutations of EP300 accounting for the vast majority of cases. This assay cannot exclude a diagnosis of RSTS.

Reference: J. Med. Genet. 37:168-176, 2000 .

Miller-Dieker Syndrome (17p13.3)

2 probes: PAFAH1B1 (LIS1) at 2.568Mb

PAFAH1B1 (LIS1) at 2.570Mb

Sensitivity: All cases of Miller-Dieker show deletions which encompass PAFAH1B1 along with other genes. These MLPA probes will therefore detect all cases of Miller-Dieker syndrome. All known duplications of this regions also encompass PAFAH1B1 and will be detected with this assay.

References: Am. J. Hum. Genet. 72:918–930, 2003

J Med Genet. 46:703-710, 2009.

Smith-Magenis Syndrome (17p11.2)

3 probes: RAI1 at 17.58Mb

LRRC48 at 17.89Mb

LLGL1 at 18.14Mb

Sensitivity: ~90.5% patients carry a deletion which encompasses RAI1. Duplication sizes are reciprocal. This assay will detect all deletions and duplications of this region. ~9.5% patients carry an intragenic mutation of RAI1, which will not be detected.

Reference: Clin Genet. 71: 540–550, 2007.

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NF1 (17q11.2)

2 probes: NF1 at 29.53Mb

NF1 at 29.55Mb

Sensitivity: 5-20% NF1 patients carry a micro-deletion, which encompasses NF1, these will be detected with this assay. The remainder of patients carry a point mutation of NF1.

Reference: Am. J. Hum. Genet. 75:410–423, 2004

17q21.31 Deletion Syndrome (17q21.31)

3 probes: CRHR1 at 43.91Mb

MAPT at 44.09Mb

MAPT at 44.10Mb

Sensitivity: Critical deletion region encompasses MAPT gene. This assay will detect all described occurrences of this deletion.

Reference: J Med Genet. 45(11):710-20, 2008.

Phelan-McDermid Syndrome (22q13)

2 probes: SHANK3 at 51.14Mb

SHANK3 at 51.16Mb

Sensitivity: Critical deletion region encompasses 3’ end of SHANK3 gene. This assay will detect all known cases of this deletion. Some intragenic mutations of SHANK3 have been described associated with autistic spectrum disorder.

References: Hum Genet. 110 :439–443, 2002.

Nat Genet. 39(1): 25–27, 2007.

MECP2 Duplication Syndrome (Xq28)

3 probes: MECP2 at 153.290Mb

MECP2 at 153.296Mb

MECP2 at 153.364Mb

Sensitivity: Minimum duplicated region encompasses entire MECP2 gene and will therefore be detected by this assay.

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Reference: Am. J. Hum. Genet. 77:442–453, 2005.

8p23.1

2 probes: TNKS at 9.44Mb

GATA4 at 11.57Mb

Sensitivity: Commonly deleted region spans ~8.92-11.48Mb, therefore these probes will detect the common deletion. Mutations of GATA4 have also been implicated with heart defects.

Reference: Am. J. Hum. Genet. 64:1119–1126, 1999.

Distal 22q11.2

2 probes: PPIL2 at 22.05Mb

SMARCB1 at 24.14Mb

Sensitivity: Abnormalities in this region have not been well characterised. Studies with MLPA have shown the majority of abnormalities in this region to encompass PPIL2 and sometimes SMARCB1.

Reference: HUMAN MUTATION. 29(3):433-440, 2008.

Explanation of riders on reports.

1. The P245 microdeletion kit from MRCHolland (www.mpla.com) contains probes to detect deletions and duplications of the following regions or syndromes:

1p36; 2p16; 3q29; Wolf-Hirschhorn; Cri-du-chat; Sotos; Williams; Langer-Gideon; 9q22; 10p14; WAGR; Prader-Willi/Angelman Syndrome; 15q24; Rubinstein-Taybi; Smith-Magenis; Miller-Dieker; NF1; 17q21; DiGeorge; 22qter; Xq28 (MECP2).

The kit contains more than 40 separate probes and is designed to aid in the diagnosis of 24 recognised micro-deletion syndromes. Hence, the kit contains several probes for each locus.

2. Modifications of the kit enable the detection of deletions and duplications of distal 22q11.2 and 8p23.1.

At the request of our clinicians and in conjunction with MRC Holland, we have modified the P245 kit to include probes for 22q11.2 and 8p23.1.

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3. This test is unlikely to detect small intragenic mutations, which account for a proportion of some of the above mentioned syndromes.

The kit is designed to assist in the diagnosis of micro-deletion syndromes, however, a normal result does not mean the patient does not have the queried syndrome e.g. 70% of Prader-Willi syndrome have a deletion detectable by the P245 kit – the remaining 30% of patients would not be detected by this kit. This point should be reflected in the text of the report.

4. MLPA is unable to detect mosaicism at levels below 50%.

The presence of mosaicism might go undetected by the test as the presence of normal cells can mask the presence of abnormal cells.

3. MLPA is unable to detect balanced rearrangements.

The technique relies on comparing quantities of DNA from a patient against a control. A patient with a balanced rearrangement has a change in the order of their DNA but not a change in quantity therefore patients with balanced rearrangements are not detected by the test.

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LEAN PRODUCTION DEVELOPMENT IN SMEs:

A CASE STUDY

Jukka Majava1, Tiina Ojanper¨a2

1 University of Oulu, Industrial Engineering and Management Research Unit, Finland

2 Sokeva Ltd., Finland

Corresponding author:

Jukka Majava

Industrial Engineering and Management Research Unit

University of Oulu

P.O. Box 4610, FI-90014, Finland

phone: (+358) 40-754-01-31

e-mail: jukka.majava@oulu.fi

Received: 2 February 2017 ABSTRACT

Accepted: 17 March 2017 The competitiveness of small and medium sized enterprises (SMEs) is vital for the European economy. Also, manufacturing is often the core competence of SMEs. Adopting lean philosophy is a viable and popular approach for developing production and enabling continuous improvement. Despite the increased interest in empirical lean research, the body of knowledge about lean manufacturing development in SMEs is currently insufficient. This paper describes a study of a lean development project in a Finnish-based manufacturing SME. A current state analysis and development proposals are presented. The project applies a framework that other SMEs can utilize in identifying their problem areas and creating development proposals for their production activities. The results of the study contribute to the existing body of knowledge in lean manufacturing. In addition, managers in SMEs can utilize the study results as a reference when designing production development projects.

KEYWORDS

lean manufacturing; operations management; production; small and medium sized enterprise

(SME).

Introduction

Small and medium sized enterprises (SMEs) are vitally important for the European economy [1]. Manufacturing is often a key function and competence in these enterprises [2, 3]. SMEs can also be more flexible in their operations compared to large companies. However, the globalization of markets has increased cost-consciousness among customers. In addition, large companies often benefit from the economies of scale [4]. Thus, SMEs have to continuously develop their operations to sustain comp etive-ness.

A viable and popular approach for developing production and enabling continuous improvement is to adopt the lean philosophy. Lean includes several methods and ways of thinking that aim at developing production. These are, for example, improved

production flow, continuous improvement, and manufacturing products just-in-time [5–8].

Lean has been a very popular topic in the academic research in recent years [9]. Many aspects of lean have been discussed in the literature. For example, the lean supply chain literature was reviewed in [10]. However, as stated in [11], a gap between research and practice still exists in lean manufacturing. Thus, more empirical research is required. Empirical lean research has been especially popular in US-and UK-based companies and in automotive, information, communication technology, and electronics (ICTE) industries. Yet, empirical research focusing on lean manufacturing in European SMEs is currently inadequate, which is a key motivation for this study. These SMEs could also gain benefits through lean implementation, which necessitates the analysis of practical projects.

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This study focuses on the manufacturing industry. The purpose of this paper is to describe the analysis of the case company’s development project, which aimed to improve production by using lean philosophy. The research questions were set as follows:

1. What is the current state of the case company and its development needs for production?

2. How can production be improved by using lean manufacturing principles?

The research questions are addressed through literature findings and empirical analysis. The empirical part of the paper presents an analysis of the case company, which includes a current state analysis and its development needs and proposals for production. The empirical data was collected from multiple sources and included observation, company reports, and interviews with employees. The paper is structured as follows: for the background of the empirical study, the literature on lean manufacturing and lean manufacturing development is reviewed. Then, the research method is explained. The case description and analyses are presented in the results section. Finally, the results are discussed from theoretical and managerial perspectives and the study conclusions are presented.

Literature review

Lean manufacturing (LM)

Many of the pioneers in the development of modern production have come from the automobile industry [12]. These pioneers include, for example, Henry Ford (mass production), as well as Eiji Toy-oda and Taiichi Ohno (Toyota Production System, TPS). TPS emphasizes addressing changing customer requirements, employee competencies, standardization, and the concept of teamwork. The term “lean production system” was introduced in 1988 based on a review of the TPS [13]. The terms “lean manufacturing” and “lean production” were introduced in the book The Machine That Changed the World [13].

Lean manufacturing is closely related to just-in-time (JIT) production [14] and TPS. The relationship between lean, JIT, and TPS can be depicted as follows. Lean is a management philosophy that focuses on adding value, eliminating waste in processes, and meeting customer needs. JIT aims to improve (logistical) activities and eliminate problems in production. TPS is a business philosophy that emphasizes continuous improvement, employee learning and empowerment, and standardized work methods [15].

In spite of their manufacturing origin, lean principles have also been applied in many other sectors, including, for example, construction, software, and healthcare [11, 16, 17]. Over the years, the body of knowledge on lean manufacturing and related areas has expanded. According to the review in [11], the majority of the studies have been conceptual. A conceptual review of lean production was presented in [18]. The review covered definitions, the key elements, and criticism of lean manufacturing. Reference [9] presented a combined review of the conceptual and practical issues of lean production. Finally, a review of empirical research on lean manufacturing was conducted in [14].

LM development

Lean development should be considered as a longterm philosophy rather than a short-term project. Lean philosophy aims to improve the value stream in a holistic way and to minimize non-value adding activities [6, 7]. Reference [12] stated that lean implementation should obey the following principles: defining the value produced for the customer, identifying value streams and eliminating waste, creating a flowing process, implementing customer-driven pull control, and aiming for perfection. The identification of value adding activities is also emphasized in [19].

TPS is based on lean principles that entail focusing on the customer, continuous improvement, waste reduction, and the tight integration of processes. TPS follows lean principles by using a PPT model: People, processes, and tools and technologies are the key cornerstones that should be in balance [20]. Continuous improvement (a.k.a. Kaizen), standardization, pull control by using Kan-ban cards, and JIT production are typical elements that are involved in the implementation of lean manufacturing [6–8]. The 5S method – also developed in Japan – supports lean implementation. 5S includes the following items: sort/segregate, simplify/straighten, shine/sweep, standardize, and sustain/self-discipline. Two additional items, safety and support/maintenance, are also sometimes included [15].

Identifying waste (muda) is important in lean manufacturing, since waste increases costs but does not add value for the customer. The waste classes include overproduction, waiting, transport, inventory, overprocessing, motion, and defects [7]. Unused employee creativity is also considered to be waste by some authors [21].

Reference [7] proposed a systemic, data-based approach for applying the principles of value, waste,

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and flow to the supply chain. The process involves five steps: collecting data, analyzing data, designing the change, making the change, and measuring the benefits. According to [8], an analysis of the com-pany’s current state should be the first step in lean-based development. This includes analyzing the orga-nization’s strategy, business and production processes, and value streams. The next step is to define the objective state and goals. Analysis is the basis for identifying the waste and bottlenecks in the processes. Finally, the objective state and goals should be taken into account when development needs are identified and development proposals are generated.

Research method

The research reported in this paper is based on a case study method [22]. The study began with a literature review on applying the lean philosophy to manufacturing and production development. After that, a current state analysis of the case company’s production process was conducted. The data was collected through observation, accessing the company’s data systems, and conducting semi-structured interviews with the employees. The questions in the interviews focused on the employees’ daily and weekly tasks, challenges and development ideas, and issues in the company’s production process. The last part of the study included analyzing the data, creating development plans, validating the results with the case company, and making conclusions.

Results

Case description

The case company was originally established in the 1950s and is located in Southern Finland. The company’s revenue is approximately seven million euros and it employs roughly twenty people. The company focuses on importing and manufacturing paint and surface finish products. Approximately 20% of the products are manufactured in-house by using make-to-stock principles. Customers are retailers that are mainly located in Finland, and they require very short delivery times. The demand is seasonal; roughly 50% of sales occur between May and September.

The company’s key business processes include customer service, marketing and sales, manufacturing, inventory management, and purchasing. Support processes include business planning, competence development, product development, and re-

source management. The goal of the 6-month development project analyzed in this study was to create a plan to achieve more productive and efficient production. The main sub-goals included retaining the competitiveness of local manufacturing, creating a profitable product portfolio, achieving continuous flow in production, and improving the workforce’s competencies.

The reasons for starting the development project were the production’s inflexibility and high costs that reduced the company’s competitiveness. In addition, the competitors were continuously improving their competiveness, which posed a huge threat for the company’s survival. In-house expertise for the development work did not exist, so the company decided to utilize external expertise and conduct a research-based development project. The aforementioned was considered important in order to ensure that the development proposals would be objective. A key goal for the project was to achieve a state where systematic improvements could be made instead of just coping with short-term issues and survival.

Current state analysis

The current state analysis was started in May 2016 by studying and observing the case company’s production. In addition to observation, the data collection included interviews and accessing data in the company’s data systems. This included, for example, different reports related to raw materials, production, and sales. The production layout and processes of two production lines were analyzed and a value stream description was created. It was essential to identify the key areas that should be improved by using lean principles, tools, and methods. While quick results were aimed to be achieved, it was also understood that potential resistance from the employees should be addressed by spending time in motivating and training them. Educating the employees about lean and its benefits was considered very important, because they lacked previous lean experience. Based on the current state analysis, the key issues were identified (Table 1).

Based on the current state analysis, several forms of waste were identified. The main challenges were identified to be a large amount of work-in-process (WIP) production, a large product portfolio, and the production layout. The first issue, the large number of WIP items, resulted in extra intermediate inventory, which caused disorder in the facilities. In addition, quality issues were not identified due to these inventories.

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Table 1

The key production issues based on the current state analysis.

Issue

Waste category

Implication(s)

Large WIP

Waiting and inventory

Several intermediate piles of stock and long lead times

Stock piling up at the workstations

Inventory

Disorder and difficult access in production facilities

Disorder in the facilities

Motion

Extra time spent in finding items, safety risks

The equipment placement does not support the production flow

Transport

WIP items must be transferred around the fa-cilities

Difficult to find the raw materials in the stock

Motion

Stressful for employees, less time for productive work

Large product portfolio

Overproduction

Man-hours spent in setups, low profit

Large amount of different raw materials

Inventory

High ordering and holding costs, lack of space

Employees’ competencies not used

Unused employee creativity

Low motivation, lack of development suggestions

Lack of up-to-date information

Defects

Extra time spent in finding the correct information, inefficiency, reworking

The current state analysis also demonstrated that the company’s portfolio included over one hundred different products. The large amount of product variants was partly causing large WIP production. In addition, the employees specialized in certain tasks and their absences increased WIP production. The sales volumes for many products were low, but in order to meet the customers’ delivery time requirements, the low-volume products had to be manufactured by using the make-to-stock approach. Over 90% of the product volume was produced with only 20% of the production equipment; thus, several machines had very low utilization rates. Decisions on the production lot sizes and sequences were affected by the previous year’s demand, but the forecasts were not accurate, which caused under-production for some items and over-production of others.

The production flow was not smooth enough. Items were transferred several times between workstations during the production process. Production setup times were also quite long. This was partly due to disorder in the facilities; a lot of time was spent searching for production tools and in some cases the tools had to be repaired before use. In addition, the utilization rates for some of the machines were very low. The setup times for these machines were long, which led the management to increase the lot sizes. Product lot sizes varied between 3,000 and 10,000 units.

Raw materials were ordered in large amounts to cover demand for several months. This increased the inventory holding costs and the risk of having obsolete items, and caused disorder in the facilities. The disorder, in turn, caused the employees to spend time searching for items, resulting in production stoppage and creating frustration. A standard way to store items in the facilities did not exist. Finally, employ

ees’ competencies were not fully utilized and several issues existed with the information flow and using old and invalid information.

Development needs and proposals

After the current state analysis, the objective state and goals were set for the company’s production. The aim was to remove all non-value adding activities from the production process. Value stream mapping and related tools were utilized to standardize activities and improve the production flow, layout, and cycle and setup times. The 5S method and continuous improvement were also identified as important to achieve the objectives that were set. Figure 1 illustrates the case company’s objective state and goals.

Fig. 1. The case company’s objective state and goals.

The removal of non-value adding activities was identified as a key element in the development of production. For example, two assembly lines in the main production line had lower throughput than packaging; thus, a need to elevate bottlenecks was recognized. The decision was made to remove unnecessary and time-consuming activities by implementing a new layout and adopting the 5S method. Table 2 presents a summary of the development needs and proposals.

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Table 2

Development needs and proposals for the case company.

Development need

Waste category

Proposal

Large WIP

Waiting and inventory

Finalizing the product being produced before moving on to a different one

Layout

Transport

Renewed layout with smooth production flow

Product portfolio

Overproduction

Smaller portfolio with profitable products Removal of unnecessary equipment

Human resources

Waiting and unused employee creativity

Re-allocation, training, and task rotation

Disorder in production facilities

Motion

5S implementation

Packaging materials

Overprocessing

Change in packaging materials

Decreasing WIP production was considered to be an effective way to tackle some of the problems presented above. Finalizing a production lot before starting the next one results in shorter lead times and smaller intermediate inventories. This, in turn, makes it easier to find items in the production facilities. A renewed layout reduces unnecessary movement and ensures smooth production flow. The discontinuation of nonprofitable products – approximately 50% of the portfolio – improves profitability and enables getting rid of unnecessary machine resources in production (i.e., 40% of the current equipment).

Human resources was also identified as a key area needing development. One of the key issues identified in the current state analysis was the high specialization of the production employees, which made the production process vulnerable, since the absence of one employee could prevent producing certain products. This issue was planned to be tackled with resource re-allocation, training, and task rotation. Disorder in the production facilities would be addressed with 5S implementation. Required tools and their storage locations were defined at each workstation. Finally, a proposal was made to change the packaging materials for the final products from cardboard boxes to plastic bags in cases where the old material was not considered to add any value compared to plastic. This change results in material cost savings and enables automatization.

The development proposals were planned to be implemented in the following order. First, the product portfolio renewal is carried out, which enables getting rid of unnecessary production equipment and improves the utilization of human resources. Second, the production layout is improved; this aims for continuous flow in production, the minimization of waste related to motion and transport, and the removal of unnecessary interim production phases. Third, the 5S implementation targets to getting rid of unnecessary tools and items and disorder. Fourth, the employees are trained for the new working methods and

tasks. Fifth, continuous improvement is carried out; every employee seeks for ways to improve productivity and well-being at work.

Challenges during the project

The development project included various challenges. At the beginning of the project, a lot of time was spent in analyzing the case company’s production processes, supply chain, and product portfolio. The project planning was challenging, since the exact scope could not be defined before the current state analysis was complete and the key problem areas were identified.

One typical challenge in lean development is to identify and select the most appropriate tools and methods that suit the company’s needs. Although processes and working methods should be changed and harmonized, actual implementation is recommended to be carried out in small steps, since implementing large and rapid changes in an organization can result in failure. The aforementioned issue affected the creation of the development proposals for the case company; for example, it was decided that changes in the production lot sizes toward customer-driven, pull control based production would be examined after other development needs had been addressed and the new operating procedures had become a daily practice.

Discussion

This study presented and analyzed the results of the case company’s development project, which aimed to improve production by using the lean philosophy. A current state analysis was conducted, development needs were identified, and development proposals were created. A literature review on lean manufacturing and lean manufacturing development provided the background for the empirical study. The purpose of this section is to discuss the study findings from theoretical and managerial perspectives.

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The results of the study indicated several waste classes in the case company’s production (Table 1). These waste classes included waiting, inventory, motion, transport, overproduction, unused employee creativity, and defects. The findings corresponded to the common waste classes discussed in the lean literature [7, 21], except for overprocessing, which was not identified during the current state analysis phase. Inventory, mainly due to large WIP production, was identified to be the most common waste class in the case company.

The development project followed the principles described in the literature review section; the objective state and goals were defined after the current state analysis (Fig. 1). The objective state and goals were taken into account in the development needs and proposals (Table 2). Removing non-value adding activities, creating a new layout, and adopting the 5S method were identified as the key elements in the development work.

Theoretical implications

In spite of a large body of knowledge about the field of lean manufacturing (e.g., [18]), a need exists for further empirical research [14]. Most of the previous empirical studies have focused on US- and UK-based companies and on firms in automotive and ICTE industries. SMEs are typically considered to be lean in nature during the start-up phase. However, many types of SMEs exist and not all of them are created based on the lean principles; furthermore, their ways of operating change and their processes may become less lean during later development stages [23–25]. In a manufacturing SME, the investment made in the production equipment and the production process may reduce the flexibility of the operations. This necessitates applying new approaches to develop the company. The case analyzed in this study indicated that lean development is also beneficial for manufacturing SMEs, since applying the lean philosophy provides a systematic way to develop production activities. Several forms of waste were identified in the case company, and these findings correspond well with the common waste classes discussed in the lean literature [7, 21].

The development project followed the principles described in [8]. Although the implementation of the development proposals was not included in this study, the study results indicate that the principles can be applicable to manufacturing SMEs.

In contrast to [26], the management in the case company embraced lean thinking. The management was also keen to provide information for research purposes. However, the results of this study appear to

be in line with the findings by [26], who stressed the importance of leadership and management, finance, skills and expertise, and organization culture for the successful implementation of lean manufacturing in SMEs.

In this study, lean manufacturing implementation was proposed to be carried out in small steps. Earlier research (e.g. [27]) highlights the importance of comprehensive adoption of lean practices rather than a piecemeal approach. Reference [27] presents numerous lean manufacturing elements that require a small investment, are feasible to implement, and can be recommended for SMEs. These include set up time reduction, visual control, cell layout, standardized operation, Kanban, continuous flow, uniform workload, small lot size, TQM/TQC, continuous improvement, 5S, quality circle, multifunctional employee, training, teamwork, supplier management, and preventive maintenance. In this case study, the visual control, small lot size, TQM/TQC, quality circles, supplier management, and preventive maintenance were not among the elements in the first phase of the lean implementation. In [27] it is further argued that lean practices that require least financial investment include 5S, visual control & display, standardization of operation, Statistical Process Control (SPC), and quality circle. Thus, SMEs are recommended to apply those practices first, followed then by other practices, such as Kanban and small lot sizes. The aforementioned can be seen to be somewhat in line with the findings of this case study. Yet, for example the SPC requires sufficient and accurate data about the production process, which can be a challenge for the SME.

The results of this study support the previous observation by [28] who recommended the utilization of outside expertise to fill the knowledge gap in lean implementation. Furthermore, [28] stated that country-dependent cultural issues can cause challenges. For example, Indian managers tend not to use systematic management tools. However, this could also be a common problem for SMEs, which does not depend on the location.

Managerial implications

Lean philosophy can provide many benefits for manufacturing SMEs. However, the results of this study indicate that lean-based development necessitates sufficient knowledge and understanding of lean manufacturing. It should also be noted that the knowledge of lean itself is not sufficient; production development necessitates broad knowledge of operations and supply chain management and related topics, such as process management, product portfolio

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management, setup times, cycle times and throughput, layout design, pull control, and JIT. Meeting these knowledge and competency requirements can be a challenge for SMEs, which typically have a lack of resources. External consultation, training, and recruitment may therefore be preconditions for the development work. The availability of proper data should also be ensured (e.g., [29]).

The study results also indicate that enough time should be reserved for the current state analysis; this includes several aspects, such as an analysis of the company’s production processes, supply chain, and product portfolio. The problem areas can only be identified after a careful current state analysis. It should also be stressed that the same tools and methods may not be appropriate for all SMEs. Finally, although the implementation of the development proposals was not included in this study, some words of advice should be given. As pointed out in previous studies, for example, in [7], lean implementation should be carried out in small steps. In addition, the company’s management has a key role in the lean implementation. For further discussion of the man-agement’s role, see, for example, [5].

Reference [30] argues that some special requirements should be considered when designing a framework for business process improvements in SMEs. The findings of this study resonate with this statement. Especially, the following recommendations by [30] can be considered important for the success of the case company’s lean development project: the ability to demonstrate quick initial results, simplicity and practical orientation, utilization of the compa-ny’s strengths, and taking resource implications into account.

Conclusions

The competitiveness of manufacturing SMEs is vital for the European economy. Lean philosophy has proven to be a viable and popular approach for developing production processes and enabling continuous improvement in these companies. Despite a great interest among academics and practitioners, more empirical research on lean manufacturing development in European SMEs is needed.

This paper described a study of a lean development project in a Finland-based manufacturing SME. A current state analysis and development proposals were presented. The main challenges in the case company were a large amount of WIP production, a large product portfolio, and an unproductive production layout. These challenges were addressed with development proposals based on lean manufac-

turing principles. The development project followed a literature-based framework. The framework proved applicable to the case company; the results indicate that SMEs can benefit from the framework when creating lean-based development proposals. The study results can assist managers in SMEs in the proper planning of lean-based production development projects.

The limitations of this study include the typical limitations of a single case study, including validity and reliability concerns. These concerns were addressed by using multiple data collection methods and careful analysis, and by validating the findings in the case company. However, the generalization of the findings based on a single case would be difficult. Furthermore, the implementation of the development proposals was not included in the study. This calls for further research on the performance implications related to, for example, the new layout. Recommended future studies, besides addressing the aforementioned limitations, could include how well the findings of this study apply to various types of SMEs operating in other sectors and different parts of the value chain. Especially the service industry should be addressed in the future due to its growing economic importance.

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