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A Research Review on Professional Master's Education and Its Education Mode Jingyun Li College of Education and Science, Nanjing Normal University, Nanjing China, 210097 Abstract: At present, the high-quality development of professional master's education is a hot topic in the field of higher education. This paper mainly arranges the relevant literature around the theme of Professional Master's education and its education mode, and then combs and discusses it, to provide a consistent basis for the research of Professional Master's education and its education mode. Keywords: Research review; Professional master's education; Education mode 1. Research Significance 1.1. Grip the current hot spot of education, stand at the academic cutting edge in the new age The development of postgraduate education with high quality is a hot topic in the education sector of China. In 2020, the Academic Degree Commission of the State Council and the Ministry of Education jointly printed and released the "Development Projects for the Education of Professional Master's Degree (2020-2025)" of which it is suggested that the specific target for the development of Professional Master Education is composed of six parts which are category settings, enrollment amount, education mode, mechanism and circumstance, quality level and system construction etc. 1.2. Improve the education level of Professional Master's Degree, assist for the development of postgraduate education with high quality Based on the reference retrieved by the advanced search in the CNKI database, it is discovered that there are researches related to the education mode of Professional Master's Degree no matter if it is in China or other countries. However, there are relatively few researches on the education mode of high quality for Professional Master's Degree. This paper is written to review the research achievements for the improvement of education level for Professional Master's Degree so that the postgraduate education can be better developed with high quality. 1.3. Focus on the cultivation of Professional Master's Degree of education to reserve applied talent of high level in the field of education Education is a field of close attention for China in recent years. Accordingly, the purpose of cultivation for the Professional Master's Degree of education is to output large number of applied talents of high level in the field of education. Therefore, the quality of cultivation for the Professional Master's Degree of education plays a key role to the quality of talent output based on which this research focuses on the education of Professional Master's Degree and its education mode in hope of laying a consolidated theoretical basis for the cultivation and reservation of applied talent of high level in the field of education. 2. Related Research Review 2.1. Research on the education mode of China for postgraduate The beginning of research on education mode traces back to the end of 90s of the last century when the first conference of China Higher Education was held. Many researchers have being trying to define "Education Mode" in the research after the conference. The "Education Mode" as a certain standard construction and operation way or rather a kind of style formed in the process of continuous practice ISSN 2522-6398 Vol. 5, Issue 1: 74-77, DOI: 10.25236/FER.2022.050114 with the corresponding cultivation target as the standard[1]. With the development of time, more and more scholars started to focus on the education mode of Professional Master's Degree for their research perspective, including Shao G. H. who considered the orientation and the grasp of professional training as the key and the difficulty for the cultivation of Professional Masters which is to focus on the cultivation of students' practice teaching ability[2]. 2.2. Research on the education of China for Professional Master's Degree The current research on the education of Professional Master's Degree in China can be divided into different topics and types. Firstly, it is the research on the cultivation actuality and development problems for Professional Master's Degree. The research involves multiple professions for the objects and fields including Master of Physical Education, Master of Engineering and Master of Education etc. The purpose of these researches generally is to learn the current cultivation status, mode, scale, and quality of Professional Masters and the matching degree with the corresponding cultivation objective. The research on education mode has always been a field of importance and hot spot. Secondly, it is the research on the courses and teaching of Professional Master's Degree which includes the three aspects of degree course setting, curriculum reform, and degree teaching mode innovation. The Professional Master's Degree is considered as a whole in some researches for the exploration into the three-dimensional target, value core and structure of the courses. And the course settings of specific professions or disciplines have been the key for the analysis in some researches[3]. In addition, many scholars have also been focusing on the construction of an evaluation index system for Professional Master's Degree to restructure the quality assessment system for the cultivation of Professional Master's Degree with the guidance of "Connotative Development" for Professional Masters and the integration of teacher's perspective, employment perspective, total quality management perspective etc. The suggestion of increasing the proportion of applied talent for the education of Professional Master's Degree in the "Comments on the Cultivation of Full-time Professional Master's Degree" increases the enrollment of Professional Master's Degree. Scholars provided basis for the construction of quality assessment of Professional Master's Degree from the macroscopic aspects[4]. Lastly, there is an important theoretical and practical value for the research on the learning relationships of Professional Master's Degree. Scholars held the opinion that there are problems of indifference, profit-oriented, and simplification for the current relationship between tutors and students of Professional Master's Degree[5]. 2.3. Research on the education mode of China for Full-time Professional Masters The education mode of Full-time Professional Masters in China has been explored with the current research which can be summarized into the following types: First, the education mode of "IndustryUniversity-Research". This mode has been widely applied in engineering programs, including the cooperation between joint enterprises of universities, research institutes, and different universities, the joint cultivation of universities and postgraduate service station. In brief, it is a joint education mode with the cooperation of universities and enterprises. Furthermore, an innovative education mode with the interdisciplinary orientation has become another important field for the research of scholars under the mode of "Industry-University-Research". It focuses on the cultivation for the capability of compound knowledge and the quality of discipline integration for professional masters[6]. Second, the education mode of "Course-Teaching-Research-Training". It is the education mode that focuses on the cultivation of applied talent in the field of education for kindergartens, primary and secondary schools, education management talent of high level and high quality based on the four aspects of course design, teaching method, research training, and practitioners' teaching skills[7]. Besides, some scholars borrowed the above stated mode for the practice-oriented mode and position competency improvement mode. Third, "Laddering" education mode. The purpose of this mode is to conduct the cyclic cultivation in accordance with students' actual situation from the stage of theoretical learning to the stage of practice and the final stage of academic dissertation with the cultivation of innovative practice ability of professional masters as the core. Fourth, "Double Tutor" education mode. This mode can be considered as a mode of collaborative cultivation for the joint cultivation of Professional Masters by tutors in and outside of the university. It can be compared with the education modes of distinguished engineers' plan and combination. Fifth, "Game" mode. This mode is applied in the cultivation for masters of education. "Game" mode introduces the teaching competition which is a new mechanism into the normality of cultivation. Academic competition provides a platform for the masters of education to promote their study through the competitions and improves the education quality for masters of education through the dual-cycle of "Theory-Practice-Theory Again-Practice Again" and ISSN 2522-6398 Vol. 5, Issue 1: 74-77, DOI: 10.25236/FER.2022.050114 "University-Primary and Middle Schools"[8]. Sixth, "Trinity" education mode. This mode has been widely applied in the field of teachers' education. "Trinity" refers to "Occupational Skills", "Professional Quality" and "Innovation Ability". The mode itself combines the educational spirit of "Double Tutorial System", "Collaboration Mode" and "Course-Teaching-Research-Training Mode" for which it is positioned as the prominent route for the cultivation of applied talent of high level for elementary education in China[9]. 2.4. Research on the postgraduate education of other countries other than China We conducted the retrieval and grooming of references with the postgraduate education in developed countries as the main thread. We started from the teaching methods of postgraduates. Firstly, postgraduate education in the US is mainly developed with the characteristics of dialogue[10]. Secondly, postgraduate education in GER is mainly developed with research, that is the professional education mode of "Research Institute"[11-12]. Thirdly, postgraduate education in the UK is dominated by interdisciplinary education[13]. Lastly, postgraduate education in Japan is developed based on information technology[14]. As a whole, postgraduate education in the UK appears with the trend of diversification[15]. Postgraduate education in the US has a vertical structure of cultivation with schools and departments which focus on the basic theory courses and emphasize the mutual infiltration of art and science in the orientation of quality [16]. 2.5. Research on the Professional Master's Degree of other countries other than China The Professional Master's Degree is commonly known as Postgraduate Taught in English speaking countries. Two scholars said that the Professional Master's Degree in Japan is developed based on the experiences of establishing special laws, adjusting the disciplines and classes of Professional Masters and giving consideration to the development of both preponderant and vulnerable disciplines[17-18]. In addition, the Professional Master's Degree in Japan has the characteristics of specialization, high quality, practice, and flexibility[19]. In the US, the emphasis on the mastery of applied knowledge is the ultimate characteristics of Professional Master's Degree[20]. The UK demonstrates its featured development of Professional Master's Degree with the wide coverage of admission requirements, collaborative learning in groups, flexible education mode, diversified assessments and professional course setting[21-22]. 2.6. Research on the education mode of other countries other than China for postgraduates (Professional Degree Postgraduate) The detailed characteristics of education mode for Professional Degrees in the US include: First, the integration of "Industry-University-Research"; Second, the orientation of occupation and profession; Third, professional evaluation mechanism on campus; Fourth, non-governmental professional evaluation unit; Fifth, highly efficient quality guarantee; Sixth, flexible and varied ways of admission etc[23]. There are mainly four characteristics of education mode for postgraduates taught in the UK which are short length of schooling, low cost, wide coverage of admission requirements, application-based education purpose, and robust quality assurance mechanism[24]. The education mode for postgraduates in GER is in the type of "Apprenticeship". The education mode for postgraduates in Japan is in the "Teaching Type" [25]. References [1]Gong,Y.(1998).On university education mode[J].Journal of Higher Education(01),86-87. https://doi.org/CNKI:SUN:HIGH.0.1998-01-032. https://doi.org/10.13445/j.cnki.t.e.r.2012.02.015. [2]Shao,G.(2012).A study on the teaching practice mode of full-time master-degree students in education[J]. Teacher Education Research (02), 87-91+47. [3]Li,J.(2010).A study on curriculum setting of full-time master-degree students in mathematics education [J]. Education and Vocation(30),118-120. [4] Ma,C.,Wang,Y.,Wang,J.,&Li,Y.(2017).Quality evaluation system of full-time professional degree postgraduate education[J]. Education and Teaching Forum(35),62-65. https://doi.org/10.13615/j.cnki.1004-3985.2010.30.051. https://kns.cnki.net/kcms/detail/detail.aspx?FileName=JYJU201735027&DbName=CJFQ2017. ISSN 2522-6398 Vol. 5, Issue 1: 74-77, DOI: 10.25236/FER.2022.050114 [5]He,Z.,Li,L.,&Zhou,Z.(2007).On the dissimilation and rebuild of students and teacher relationship in postgraduate education[J]. Studies in Foreign Education(06),40-43. [6]Yan,M.,Zhang,M.,Li,Y.,Yi,X.,&Ou,X.(2020).A study on the education mode of cross-disciplinary postgraduate aiming at "Double First-Class" [J]. Education Modernization(17),7-8+13. https://doi.org/10.16541/j.cnki.2095-8420.2020.17.003. https://doi.org/CNKI:SUN:WGJY.0.2007-06-010. [7]Xin,J.(2021).Exploration and practice of the education mode of "Course-Teaching-Research-Training" for full-time master-degree students in preschool education--Taking Qiannan Normal University for Nationalities as an example[J]. Journal of Higher Education(04),73-76. [8]Xie,B.,Chen,B.,&Xie,Z.(2017)."Competition System" and the teaching practice mode of full-time master-degree students in education [J]. Academic Degrees & Graduate Education(10),10-15. https://doi.org/10.16750/j.adge.2017.10.003. https://kns.cnki.net/kcms/detail/detail.aspx?FileName=GJXK202104019&DbName=CJFQ2021. [9]Hao,Q.,&Zhang,L.(2014). A study on the "Trinity" talent-cultivating mode of full-time master-degree students in education[J]. Heilongjiang Researches on Higher Education(09),135-136. https://doi.org/10.3969/j.issn.1003-2614.2014.09.040. https://doi.org/10.3969/j.issn.1003-2614.2019.07.025. [10][11][13][14]Sun,G.,&Yang,C.(2019).The representative approaches to postgraduate education and teaching improvement in developed countries and their enlightenment--Take the United States, Germany, Britain and Japan as examples[J]. Heilongjiang Researches on Higher Education(07),126-132. [12]Zhang,J.,&Dong,Z.(2009).Exploration and analyses of development of postgraduate education in Germany[J].Jiangsu Higher Education(03),59-61. [15]Shi,W.,&Hou,X.(2005).The diversification of Britain graduate education and Its inspiration[J]. Studies in Foreign Education(08),34-37. https://doi.org/CNKI:SUN:WGJY.0.2005-08-008. https://doi.org/10.13236/j.cnki.jshe.2009.03.027. [16]Xu,M.(2003).Analysis on the characteristics of postgraduate education model in America[J]. https://doi.org/10.3969/j.issn.1008-3855.2003.01.021. Research in Educational Development(01),78-81. [17]Li,W.,&Chen,Y.(2018).Development and experience of master's degree postgraduate education in Japan [J]. Journal of Graduate Education(04),91-95. [18]Li,W.,&Chen,Y.(2020).Enlightenment from the Japanese professional master-degree graduate education [J]. Academic Degrees & Graduate Education(03),66-70. https://doi.org/10.16750/j.adge.2020.03.011. https://doi.org/CNKI:SUN:JIAO.0.2018-04-017. [19]Li,X.(2013).Professionalization, high quality and emphasize on practice--Ten years of professional master degree graduate education in Japan[J]. Academic Degrees & Graduate Education(03),70-73. https://doi.org/10.3969/j.issn.1001-960X.2013.03.017. professional degree of America[J].Modern Education Management (06),112-116. [20]Guo,C.,Wang,F.,&Ou,T.(2012).The enlightenment and reference of post-graduated education of https://doi.org/10.16697/j.cnki.xdjygl.2012.06.021. https://doi.org/10.3969/j.issn.2095-1663.2012.04.019. [21]Jiang,C.(2012).An analysis of master degree programs in the UK[J].Journal of Graduate Education(04),91-95. [22]Luan,J.,Liang,H.,&Li,Z.(2013).On the characteristics and revelations of postgraduate professional degree education in the UK [J]. Vocational and Technical Education(14),83-86. [23]Shi,L.(2015).A comparative study of the education model of professional-degree graduate students in China and America[J]. Journal of National Academy of Education Administration(09),89-94. https://doi.org/10.3969/j.issn.1008-3219.2013.14.023. https://doi.org/CNKI:SUN:GJXZ.0.2015-09-017. British[J].Education and Vocation(04),94-96. [24]Xie,J.(2010).Looking for a possibility: Taught postgraduate education mode in https://doi.org/10.13615/j.cnki.1004-3985.2010.04.025. [J].People's Tribune(17),248-250. [25]Yang,Y.,&Wang,F.(2014).The inspiration of foreign postgraduate cultivating mode to China https://doi.org/10.16619/j.cnki.rmlt.2014.17.081.	<urn:uuid:f233103f-496e-4372-bcc3-6ca441fac00f>	CC-MAIN-2022-40	https://francis-press.com/uploads/papers/rUele12pCuGpWji3gip7wGphEMfKlnl2TM9aocjw.pdf	2022-10-02T12:41:18+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-40/subset=warc/part-00067-26160df0-1827-4787-a515-95ecaa2c9688.c000.gz.parquet	305,582,680	3,851	eng_Latn	eng_Latn	0.867718	eng_Latn	0.977756	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3319, 8835, 13222, 17392 ]	A Research Review on Professional Master's Education and Its Education Mode Jingyun Li College of Education and Science, Nanjing Normal University, Nanjing China, 210097 Abstract: At present, the high-quality development of professional master's education is a hot topic in the field of higher education. This paper mainly arranges the relevant literature around the theme of Professional Master's education and its education mode, and then combs and discusses it, to provide a consistent basis for the research of Professional Master's education and its education mode. Keywords: Research review; Professional master's education; Education mode 1. Research Significance 1.1. Grip the current hot spot of education, stand at the academic cutting edge in the new age The development of postgraduate education with high quality is a hot topic in the education sector of China. In 2020, the Academic Degree Commission of the State Council and the Ministry of Education jointly printed and released the "Development Projects for the Education of Professional Master's Degree (2020-2025)" of which it is suggested that the specific target for the development of Professional Master Education is composed of six parts which are category settings, enrollment amount, education mode, mechanism and circumstance, quality level and system construction etc. 1.2. Improve the education level of Professional Master's Degree, assist for the development of postgraduate education with high quality Based on the reference retrieved by the advanced search in the CNKI database, it is discovered that there are researches related to the education mode of Professional Master's Degree no matter if it is in China or other countries. However, there are relatively few researches on the education mode of high quality for Professional Master's Degree. This paper is written to review the research achievements for the improvement of education level for Professional Master's Degree so that the postgraduate education can be better developed with high quality. 1.3. Focus on the cultivation of Professional Master's Degree of education to reserve applied talent of high level in the field of education Education is a field of close attention for China in recent years. Accordingly, the purpose of cultivation for the Professional Master's Degree of education is to output large number of applied talents of high level in the field of education. Therefore, the quality of cultivation for the Professional Master's Degree of education plays a key role to the quality of talent output based on which this research focuses on the education of Professional Master's Degree and its education mode in hope of laying a consolidated theoretical basis for the cultivation and reservation of applied talent of high level in the field of education. 2. Related Research Review 2.1. Research on the education mode of China for postgraduate The beginning of research on education mode traces back to the end of 90s of the last century when the first conference of China Higher Education was held. Many researchers have being trying to define "Education Mode" in the research after the conference. The "Education Mode" as a certain standard construction and operation way or rather a kind of style formed in the process of continuous practice ISSN 2522-6398 Vol. 5, Issue 1: 74-77, DOI: 10.25236/FER.2022.050114 with the corresponding cultivation target as the standard[1]. With the development of time, more and more scholars started to focus on the education mode of Professional Master's Degree for their research perspective, including Shao G. H. who considered the orientation and the grasp of professional training as the key and the difficulty for the cultivation of Professional Masters which is to focus on the cultivation of students' practice teaching ability[2]. 2.2. Research on the education of China for Professional Master's Degree The current research on the education of Professional Master's Degree in China can be divided into different topics and types. Firstly, it is the research on the cultivation actuality and development problems for Professional Master's Degree. The research involves multiple professions for the objects and fields including Master of Physical Education, Master of Engineering and Master of Education etc. The purpose of these researches generally is to learn the current cultivation status, mode, scale, and quality of Professional Masters and the matching degree with the corresponding cultivation objective. The research on education mode has always been a field of importance and hot spot. Secondly, it is the research on the courses and teaching of Professional Master's Degree which includes the three aspects of degree course setting, curriculum reform, and degree teaching mode innovation. The Professional Master's Degree is considered as a whole in some researches for the exploration into the three-dimensional target, value core and structure of the courses. A	nd the course settings of specific professions or disciplines have been the key for the analysis in some researches[3].		4,999	inside_word	And	remove_all	<url> https://francis-press.com/uploads/papers/rUele12pCuGpWji3gip7wGphEMfKlnl2TM9aocjw.pdf </url> <text> A Research Review on Professional Master's Education and Its Education Mode Jingyun Li College of Education and Science, Nanjing Normal University, Nanjing China, 210097 Abstract: At present, the high-quality development of professional master's education is a hot topic in the field of higher education. This paper mainly arranges the relevant literature around the theme of Professional Master's education and its education mode, and then combs and discusses it, to provide a consistent basis for the research of Professional Master's education and its education mode. Keywords: Research review; Professional master's education; Education mode 1. Research Significance 1.1. Grip the current hot spot of education, stand at the academic cutting edge in the new age The development of postgraduate education with high quality is a hot topic in the education sector of China. In 2020, the Academic Degree Commission of the State Council and the Ministry of Education jointly printed and released the "Development Projects for the Education of Professional Master's Degree (2020-2025)" of which it is suggested that the specific target for the development of Professional Master Education is composed of six parts which are category settings, enrollment amount, education mode, mechanism and circumstance, quality level and system construction etc. 1.2. Improve the education level of Professional Master's Degree, assist for the development of postgraduate education with high quality Based on the reference retrieved by the advanced search in the CNKI database, it is discovered that there are researches related to the education mode of Professional Master's Degree no matter if it is in China or other countries. However, there are relatively few researches on the education mode of high quality for Professional Master's Degree. This paper is written to review the research achievements for the improvement of education level for Professional Master's Degree so that the postgraduate education can be better developed with high quality. 1.3. Focus on the cultivation of Professional Master's Degree of education to reserve applied talent of high level in the field of education Education is a field of close attention for China in recent years. Accordingly, the purpose of cultivation for the Professional Master's Degree of education is to output large number of applied talents of high level in the field of education. Therefore, the quality of cultivation for the Professional Master's Degree of education plays a key role to the quality of talent output based on which this research focuses on the education of Professional Master's Degree and its education mode in hope of laying a consolidated theoretical basis for the cultivation and reservation of applied talent of high level in the field of education. 2. Related Research Review 2.1. Research on the education mode of China for postgraduate The beginning of research on education mode traces back to the end of 90s of the last century when the first conference of China Higher Education was held. Many researchers have being trying to define "Education Mode" in the research after the conference. The "Education Mode" as a certain standard construction and operation way or rather a kind of style formed in the process of continuous practice ISSN 2522-6398 Vol. 5, Issue 1: 74-77, DOI: 10.25236/FER.2022.050114 with the corresponding cultivation target as the standard[1]. With the development of time, more and more scholars started to focus on the education mode of Professional Master's Degree for their research perspective, including Shao G. H. who considered the orientation and the grasp of professional training as the key and the difficulty for the cultivation of Professional Masters which is to focus on the cultivation of students' practice teaching ability[2]. 2.2. Research on the education of China for Professional Master's Degree The current research on the education of Professional Master's Degree in China can be divided into different topics and types. Firstly, it is the research on the cultivation actuality and development problems for Professional Master's Degree. The research involves multiple professions for the objects and fields including Master of Physical Education, Master of Engineering and Master of Education etc. The purpose of these researches generally is to learn the current cultivation status, mode, scale, and quality of Professional Masters and the matching degree with the corresponding cultivation objective. The research on education mode has always been a field of importance and hot spot. Secondly, it is the research on the courses and teaching of Professional Master's Degree which includes the three aspects of degree course setting, curriculum reform, and degree teaching mode innovation. The Professional Master's Degree is considered as a whole in some researches for the exploration into the three-dimensional target, value core and structure of the courses. A<cursor_is_here> </text>	[ { "content": "<url>\nhttps://francis-press.com/uploads/papers/rUele12pCuGpWji3gip7wGphEMfKlnl2TM9aocjw.pdf\n</url>\n<text>\nA Research Review on Professional Master's Education and Its Education Mode\n\nJingyun Li\n\nCollege of Education and Science, Nanjing Normal University, Nanjing China, 210097\n\nAbstract: At present, the high-quality development of professional master's education is a hot topic in the field of higher education. This paper mainly arranges the relevant literature around the theme of Professional Master's education and its education mode, and then combs and discusses it, to provide a consistent basis for the research of Professional Master's education and its education mode.\n\nKeywords: Research review; Professional master's education; Education mode\n\n1. Research Significance\n\n1.1. Grip the current hot spot of education, stand at the academic cutting edge in the new age\n\nThe development of postgraduate education with high quality is a hot topic in the education sector of China. In 2020, the Academic Degree Commission of the State Council and the Ministry of Education jointly printed and released the \"Development Projects for the Education of Professional Master's Degree (2020-2025)\" of which it is suggested that the specific target for the development of Professional Master Education is composed of six parts which are category settings, enrollment amount, education mode, mechanism and circumstance, quality level and system construction etc.\n\n1.2. Improve the education level of Professional Master's Degree, assist for the development of postgraduate education with high quality\n\nBased on the reference retrieved by the advanced search in the CNKI database, it is discovered that there are researches related to the education mode of Professional Master's Degree no matter if it is in China or other countries. However, there are relatively few researches on the education mode of high quality for Professional Master's Degree. This paper is written to review the research achievements for the improvement of education level for Professional Master's Degree so that the postgraduate education can be better developed with high quality.\n\n1.3. Focus on the cultivation of Professional Master's Degree of education to reserve applied talent of high level in the field of education\n\nEducation is a field of close attention for China in recent years. Accordingly, the purpose of cultivation for the Professional Master's Degree of education is to output large number of applied talents of high level in the field of education. Therefore, the quality of cultivation for the Professional Master's Degree of education plays a key role to the quality of talent output based on which this research focuses on the education of Professional Master's Degree and its education mode in hope of laying a consolidated theoretical basis for the cultivation and reservation of applied talent of high level in the field of education.\n\n2. Related Research Review\n\n2.1. Research on the education mode of China for postgraduate\n\nThe beginning of research on education mode traces back to the end of 90s of the last century when the first conference of China Higher Education was held. Many researchers have being trying to define \"Education Mode\" in the research after the conference. The \"Education Mode\" as a certain standard construction and operation way or rather a kind of style formed in the process of continuous practice\n\nISSN 2522-6398 Vol. 5, Issue 1: 74-77, DOI: 10.25236/FER.2022.050114\n\nwith the corresponding cultivation target as the standard[1]. With the development of time, more and more scholars started to focus on the education mode of Professional Master's Degree for their research perspective, including Shao G. H. who considered the orientation and the grasp of professional training as the key and the difficulty for the cultivation of Professional Masters which is to focus on the cultivation of students' practice teaching ability[2].\n\n2.2. Research on the education of China for Professional Master's Degree\n\nThe current research on the education of Professional Master's Degree in China can be divided into different topics and types. Firstly, it is the research on the cultivation actuality and development problems for Professional Master's Degree. The research involves multiple professions for the objects and fields including Master of Physical Education, Master of Engineering and Master of Education etc. The purpose of these researches generally is to learn the current cultivation status, mode, scale, and quality of Professional Masters and the matching degree with the corresponding cultivation objective. The research on education mode has always been a field of importance and hot spot. Secondly, it is the research on the courses and teaching of Professional Master's Degree which includes the three aspects of degree course setting, curriculum reform, and degree teaching mode innovation. The Professional Master's Degree is considered as a whole in some researches for the exploration into the three-dimensional target, value core and structure of the courses. A<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "nd the course settings of specific professions or disciplines have been the key for the analysis in some researches[3].", "role": "assistant" } ]
S:\57695\EB-2012-0246 - Embedded Generation\Intent to Participate and Cost Sub\Lt Walli OEB Jan 25-13 NOACC Comments to MEGC.doc DIRECT LINE: John A. Cyr (807) 625-8880 EMAIL: [email protected] G. BernardWeilerQ.C., LSM, K.C.S.G. (1910-1996) Frederick J.W. Bickford Certified Specialist (Real EstateLaw) RossB. Judge(Counsel) B. PaulJasiura JohnA. Cyr (Corporate and Commercial Law) Certified Specialist BrianA. Babcock GarthA. O’Neill Certified Specialist (Labour Law) DeborahA. Humphreys NickMelchiorre Fhara A. Pottinger BradleyA. Smith Certified Specialist (Labour Law) JenniferM. Lohuis AnnMarie Stilla SarahB. Manilla EMAIL: [email protected] January 25, 2013 File #57695 Ontario Energy Board 2300 Yonge Street Suite 2700 Toronto ON M4P 1E4 Attention: Ms. Kirsten Walli, Board Secretary Dear Ms. Walli: Re: Policy Review of Micro-Embedded Generation Connection Issues (EB-2012-0246) We are solicitors representing the Coalition of The Corporation of the City of Thunder Bay (the “City”), the Northwestern Ontario Municipal Association (“NOMA”) and the Northwestern Ontario Associated Chamber of Commerce (“NOACC”), (hereinafter for purposes of these comments, the “NOACC Coalition” or the “Coalition”). The members of the Coalition have applied to submit comments in the above noted consultation. Having discussed the matter with small green energy suppliers both of equipment and of consulting advice related to micro-embedded generation in the Northwest Region, this letter presents comments for submission on behalf of the NOACC Coalition. The comments below are organized to reflect the structure in the Staff Discussion Paper issued in EB 2012 0246. Matter 1 – Offer to Connect Process The Issue: what would improve the connection to application ratio by Phone: (807) 623-1111 Fax: (807) 623-4947 Toll-free: 1-866-WEILERS Internet: www.weilers.ca * allowing distributors to focus resources on only those applications where the customer is serious about the generation project which, in turn, would facilitate processing and issuing offers to connect in a more expeditious manner; and * avoid imposing inappropriate or excessive costs on applicants for micro-embedded generation facilities. Questions 1.1. Of the options listed above, which one, if any, represents the best way for distributors to manage the offer to connect process? Are there other options? Please explain your answer. Chicken and Egg Process NOACC has discussed the issue with installers of supplies and equipment in the Northwest Region. There are several problems is with the microFIT approval process. - It is the uncertainty as to whether or not the applicant will be awarded a contract by the OPA that prompts multiple requests for an offer to connect. - Applicants do not know whether they will be successful in any one application to the OPA for a microFit contract. This may lead some applicants to file several applications; therefore, having a better chance of being approved for one. - It appears also that some organizations lease roof tops from various eligible sites (it is less expensive to own 10 microFIT projects than 1 small FIT project). The result has been that applicants are making multiple applications for offers to connect to get around the uncertainty of OPA approvals. This in turn increases the number of applications for the offer to connect being processed by distributors. The result can be an unwarrantedly large portion of the distributor's capacity being tied up in relation to projects that will never mature; hence the call for an application fee. If there were to be a fee associated with applying, small businesses and natural persons may not apply if there is no guarantee they will be awarded a contract. NOACC Proposal A deposit, not a fee: Would it be feasible to change the DSC to allow the distributor to make an allocation of available connectivity, by way of one offer to connect to an eligible participant as distinct from a specific project site? The offer to connect would be generic in the hands of the holder of the offer and applicable by the holder to any microFIT project that receives a conditional offer of contract issued to them by the OPA. From the distributor's perspective the deposit would be eligible participant-specific within the available connectivity rather than project site-specific. The DSC could be amended to clarify that, while there can be no charge for preparation of an offer to connect, the distributor is free to exact a deposit from an applicant in order to reserve a stated amount of the distributor's available capacity. The generic offer to connect could be: - time limited to expire on a fixed date, to discourage allocation of connection capacity going unutilized indefinitely, - non-assignable, in order to dissuade an under the counter market, and - refundable with interest in the event of the distributor being unable to provide the connection pursuant to the offer to connect. The amount of the deposit could be: - proportional to the amount of connection capacity being reserved; - fully refundable: o for a project development period of time; that would be time sufficient to allow the applicant to assess the likelihood of a microFIT conditional offer of contract being issued to the applicant by the OPA; or o upon the applicant's (at that point, eligible participant's) proposed generation project being ready for connection. - forfeited on its expiration date if the offer to connect is held by the applicant beyond the project development period of time. Matter 3 – Standard for Connection Agreement in DSC (Appendix E) Revising the Connection Agreement The Issue: The DSC does not make any allowances for modifications or amendments to the standard form connection agreement for micro-embedded generation facilities. In the past, some distributors have argued that the connection agreement in Appendix E of the DSC should be revisited, especially in relation to insurance and liability. Questions 3.1 What modifications, if any, need to be made to the standard form micro-embedded generation facility connection agreement in Appendix E of the DSC? Please describe the modifications and provide the rationale and supporting documentation for why these modifications are necessary. 3.2 Given that the connection agreement in Appendix E of the DSC for small and mid-sized embedded generation facilities include requirements for insurance, should insurance provisions be included in the micro-embedded generation facility connection agreement? Please explain. Risk Management NOACC proposes that the liability and insurance issues in relation to micro-embedded generation be addressed from a risk management perspective. In respect of the proponent seeking approvals of a microFIT project the relatively small scale of the projects requires care that there not be more solution than there is problem. Rather than burden the microFIT proponent with insurance coverage requirements set out in the existing form of connection agreemnt shown in section "E", reliance should instead be on a combination of: - pre-qualification by the distributor of the suppliers and installers of equipment - GSA certification for the equipment itself; - a distributor approved connection protocol as set out in the existing formconnection agreement. - a certificate issued by the pre-qualified supplier and if different, the pre-qualified installer of the project equipment that project-appropriate equipment has been provided and distributor-required installation requirements have been met; and - distributor inspections (with cost of such inspections charged against the proponent's revenue for supply to the grid). With such a process in place the distributor will be in a position to negotiate an endorsement on the distributor's own policy of liability insurance for the least cost (or if self-insured the risk will have been prudently managed). The insurance endorsement to be sought by the distributor would be that the each eligible participant be added as an additional insured with respect to the risks arising out of the connections. Both the distributor and each micro-embedded proponent would be covered by the distributor's policy of insurance. The potential for misadventure in any given, connected, microembedded project giving rise to damages or injuries would be reduced by the indicated process being under control of the distributor. A distributor should be permitted, under revisions to the DSC, to pass on to a proponent any additional premium cost related to adding the proponent as an additional insured under the distributor's policy. The additional premium cost should be added to the distributor's service charge as an offset against the proponent's revenue from the connection. The proponent should not be required to indemnify the LDC or insure the risk in relation to the indemnity but should be cautioned in the connection agreement document itself to advise his or her property and liability insurers of the project and the connection agreement. The connection agreement should continue to be a fixed form, approved by the Board under the DSC. The form could be revised both to accommodate the suggestions noted above, if they are considered appropriate, and to address regional differences approved by the Board. The risk in allowing individual distributors to revise their own form of connection agreement at will would be the introduction of unnecessary variables in access to opportunities for micro-embedded generation. Matter 6 – Cost Responsibility in Relation to Upstream Infrastructure Upgrades to a Transmitter or Host Distributor The Issue: Questions proposed by Board Staff: 6.1 - Should cost responsibility in relation to upstream infrastructure upgrades to a transmitter or host distributor be codified? 6.2 - Under the current microFIT rules, have there been any cases of a specific microembedded generation facility (or aggregation of micro-embedded generation facilities) triggering the need for an upstream upgrade? If so, how were they resolved? 6.3 - Should micro-embedded generation facilities be treated differently than larger generation facilities connected to the distribution system with respect to upstream upgrades? 6.4 How should the upstream cost impact of micro-embedded generation facilities be addressed (i.e., "trigger" pays, "beneficiary" pays, a fixed cost to every micro-embedded generation facility, rates, or socialize costs)? 6.5 How should the review of upstream cost responsibility for micro-embedded generation facilities be best addressed (i.e., wait until the RRFE process is concluded, a separate initiative for all embedded generation, or done as part of this consultation)? Problems Failing to Address Local Regional Issues NOACC has discussed the issue with installers of supplies and equipment in the Northwest Region. There are several problems with the upstream infrastructure being inadequate to accommodate the embedded micro-embedded generation. There are not as many problems connecting an eligible participant to the grid when dealing with Thunder Bay Hydro. Attempting to negotiate an offer to connect in geographical areas where Hydro One is the distributor gives rise to problems. Initially, when the MicroFIT program began there were no problems connecting to the grid, now there seem to be "constraint areas" which limit the ability of the OPA to connect some eligible participants. The OPA has stated that connecting too many people in an area could blow a transformer, or that upgrades are. When asked about "constraint areas one supplier that eligible participants were unable to connect to the grid despite having already invested considerable amounts of money. Sometimes at the last minute Hydro One indicates they cannot connect. One supplier actually volunteered to pay for some upstream upgrades so that his clients could be connected to the grid; however, the Hydro One has not responded, nor have they provided further information in relation as to what upgrades, if any, are required. Sometimes, however, "magically" as time goes by, the Hydro One is able to connect those eligible participants to the grid. Another supplier noted that Hydro One limits some feeders to only 10% of peak usage, so that only 10% of their peak consumption can be from externally generated power. For example, this means that if 5 eligible participants are feeding energy into the grid, and those 5 eligible participants produce 10% of Hydro One's peak energy, a new applicant will be unable to connect a micro-embedded generation project. The industry standard is 15% compared to 10%, however this may be a policy issue for Hydro One. Also, Hydro One requires applicants purchase a 25 KVA transformer before they are connected to the grid. The suppliers notes that usually a 25 KVA transformer could be used for 4-5 households supplying energy to the grid; however Hydro One requires each microFit applicant to pay for one of these transformers. The Discussion Paper states that it may be highly unlikely that a single micro embedded generation facility will require an upstream upgrade. That might well be the case in southern Ontario; however, suppliers in the Northwest Region indicate that it is entirely possible in northern Ontario, specifically in the more remote regions where upstream upgrades may be required. One Size Does Not Fit All NOACC cites these as problems typical of program and infrastructure design that can be prudent and well thought out in the southern region of the province, with its dense highly sophisticate grid being unsuitable for the conditions that prevail in the Northwest Region. The issues cited above demonstrate that the micro-embedded generation projects can be absorbed if a relatively dense power system infrastructure is already in place. Thunder Bay Hydro has been able to accommodate the requested offers to connect because the City of Thunder Bay has a relatively dense existing grid. The point is that outside the City of Thunder Bay there are tens of thousands of square kilometres of sparse infrastructure served only by radial circuits several hundred kilometres long that simply do not have the robustness to start adding micro-embedded generation at will. Regional Planning The instances cited above are a microcosm of the reasons why the power system in the Northwest Region must be designed and developed based on the needs and capacities in the Region. Issuing an offer to connect to an eligible participant, as cited in the comments under "Matter 1" above, or something similar would have prevented some of the immediate hardship cited but obviously the real need is for an integrated power system plan designed in the Northwest Region for the Northwest Region and attentive to the needs of the Northwest Region is what is actually required. As to what changes might be introduced into the DSC the Code should address the needed transparency. The distributor must be better able to control the allocation of connective capacity that actually exists, not the capacity that someone developing a onesize-fits-all plan thinks should be there. Please contact the undersigned or Mr. Melchiorre should further information or clarification be required. Respectfully submitted, Yours very truly, WEILER, MALONEY, NELSON Per: John A. Cyr, Counsel in this instance for the City of Thunder Bay JAC/dl Phone: (807) 623-1111 Fax: (807) 623-4947 Toll-free: 1-866-WEILERS Internet: www.weilers.ca	<urn:uuid:ab837dfd-7c3e-46da-97b3-99ac8b22df94>	CC-MAIN-2024-30	https://www.rds.oeb.ca/CMWebDrawer/Record/381025/File/document	2024-07-17T09:49:05+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-30/subset=warc/part-00057-65338ae2-db7f-48fa-a620-71777c40d854.c000.gz.parquet	854,883,211	3,086	eng_Latn	eng_Latn	0.968463	eng_Latn	0.994188	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1888, 4374, 6585, 9091, 11851, 14523, 15564 ]	S:\57695\EB-2012-0246 - Embedded Generation\Intent to Participate and Cost Sub\Lt Walli OEB Jan 25-13 NOACC Comments to MEGC.doc DIRECT LINE: John A. Cyr (807) 625-8880 EMAIL: [email protected] G. BernardWeilerQ.C., LSM, K.C.S.G. (1910-1996) Frederick J.W. Bickford Certified Specialist (Real EstateLaw) RossB. Judge(Counsel) B. PaulJasiura JohnA. Cyr (Corporate and Commercial Law) Certified Specialist BrianA. Babcock GarthA. O’Neill Certified Specialist (Labour Law) DeborahA. Humphreys NickMelchiorre Fhara A. Pottinger BradleyA. Smith Certified Specialist (Labour Law) JenniferM. Lohuis AnnMarie Stilla SarahB. Manilla EMAIL: [email protected] January 25, 2013 File #57695 Ontario Energy Board 2300 Yonge Street Suite 2700 Toronto ON M4P 1E4 Attention: Ms. Kirsten Walli, Board Secretary Dear Ms. Walli: Re: Policy Review of Micro-Embedded Generation Connection Issues (EB-2012-0246) We are solicitors representing the Coalition of The Corporation of the City of Thunder Bay (the “City”), the Northwestern Ontario Municipal Association (“NOMA”) and the Northwestern Ontario Associated Chamber of Commerce (“NOACC”), (hereinafter for purposes of these comments, the “NOACC Coalition” or the “Coalition”). The members of the Coalition have applied to submit comments in the above noted consultation. Having discussed the matter with small green energy suppliers both of equipment and of consulting advice related to micro-embedded generation in the Northwest Region, this letter presents comments for submission on behalf of the NOACC Coalition. The comments below are organized to reflect the structure in the Staff Discussion Paper issued in EB 2012 0246. Matter 1 – Offer to Connect Process The Issue: what would improve the connection to application ratio by Phone: (807) 623-1111 Fax: (807) 623-4947 Toll-free: 1-866-WEILERS Internet: www.weilers.ca * allowing distributors to focus resources on only those applications where the customer is serious about the generation project which, in turn, would facilitate processing and issuing offers to connect in a more expeditious manner; and * avoid imposing inappropriate or excessive costs on applicants for micro-embedded generation facilities. Questions 1.1. Of the options listed above, which one, if any, represents the best way for distributors to manage the offer to connect process? Are there other options? Please explain your answer. Chicken and Egg Process NOACC has discussed the issue with installers of supplies and equipment in the Northwest Region. There are several problems is with the microFIT approval process. - It is the uncertainty as to whether or not the applicant will be awarded a contract by the OPA that prompts multiple requests for an offer to connect. - Applicants do not know whether they will be successful in any one application to the OPA for a microFit contract. This may lead some applicants to file several applications; therefore, having a better chance of being approved for one. - It appears also that some organizations lease roof tops from various eligible sites (it is less expensive to own 10 microFIT projects than 1 small FIT project). The result has been that applicants are making multiple applications for offers to connect to get around the uncertainty of OPA approvals. This in turn increases the number of applications for the offer to connect being processed by distributors. The result can be an unwarrantedly large portion of the distributor's capacity being tied up in relation to projects that will never mature; hence the call for an application fee. If there were to be a fee associated with applying, small businesses and natural persons may not apply if there is no guarantee they will be awarded a contract. NOACC Proposal A deposit, not a fee: Would it be feasible to change the DSC to allow the distributor to make an allocation of available connectivity, by way of one offer to connect to an eligible participant as distinct from a specific project site? The offer to connect would be generic in the hands of the holder of the offer and applicable by the holder to any microFIT project that receives a conditional offer of contract issued to them by the OPA. From the distributor's perspective the deposit would be eligible participant-specific within the available connectivity rather than project site-specific. The DSC could be amended to clarify that, while there can be no charge for preparation of an offer to connect, the distributor is free to exact a deposit from an applicant in order to reserve a stated amount of the distributor's available capacity. The generic offer to connect could be: - time limited to expire on a fixed date, to discourage allocation of connection capacity going unutilized indefinitely, - non-assignable, in order to dissuade an under the counter market, and - refundable with interest in the event of the distributor being unable to provide the connection pursuant to the offer to connect. The amount of the deposit could be: - proportional to the amount of connection capacity being reserved; - fully refundable: o for a project development period of time; that would be time sufficient to allow the applicant to assess the likelihood of a microFIT conditional offer of contract being issued to the applicant by the OPA; or o upon the applicant's (at that point, eligible participant's) proposed generation project being ready for connection. - forfeited on its expiration date if the offer to connect is held by the applicant beyond the project development period of time. Matter 3 – Standard for Connection Agreement in DSC (Appendix E) Revising the Connection Agreement The Issue: The DSC does not make any allowances for modifications or amendments to the standard form connection agreement for micro-embedded generation facilities. In the past, some distributors have argued that the connection agreement in Appendix E of the DSC should be revisited, especially in relation to insurance and liability. Questions 3.1 What modifications, if any, need to be made to the standard form micro-embedded generation facility connection agreement in Appendix E of the DSC? Please describe the modifications and provide the rationale and supporting documentation for why these modifications are necessary. 3.2 Given that the connection agreement in Appendix E of the DSC for small and mid-sized embedded generation facilities include requirements for insurance, should insurance provisions be included in the micro-embedded generation facility connection agreement? Please explain. Risk Management NOACC proposes that the liability and insurance issues in relation to micro-embedded generation be addressed from a risk management perspective. In respect of the proponent seeking approvals of a microFIT project the relatively small scale of the projects requires care that there not be more solution than there is problem. Rather than burden the microFIT proponent with insurance coverage requirements set out in the existing form of connection agreemnt shown in section "E", reliance should instead be on a combination of: - pre-qualification by the distributor of the suppliers and installers of equipment - GSA certification for the equipment itself; - a distributor approved connection protocol as set out in the existing formconnection agreement. - a certificate issued by the pre-qualified supplier and if different, the pre-qualified installer of the project equipment that project-appropriate equipment has been provided and distributor-required installation requirements have been met; and - distributor inspections (with cost of such inspections charged against the proponent's revenue for supply to the grid). With such a process in place the distributor will be in a position to negotiate an endorsement on the distributor's own policy of liability insurance for the least cost (or if self-insured the risk will have been prudently managed). The insurance endorsement to be sought by the distributor would be that the each eligible participant be added as an additional insured with respect to the risks arising out of the connections. Both the distributor and each micro-embedded proponent would be covered by the distributor's policy of insurance. The potential for misadventure in any given, connected, microembedded project giving rise to damages or injuries would be reduced by the indicated process being under control of the distributor. A distributor should be permitted, under revisions to the DSC, to pass on to a proponent any additional premium cost related to adding the proponent as an additional insured under the distributor's policy. The additional premium cost should be added to the distributor's service charge as an offset against the proponent's revenue from the connection. The proponent should not be required to indemnify the LDC or insure the risk in relation to the indemnity but should be cautioned in the connection agreement document itself to advise his or her property and liability insurers of the project and the connection agreement. The connection agreement should continue to be a fixed form, approved by the Board under the DSC. The form could be revised both to accommodate the suggestions noted above, if they are considered appropriate, and to address regional differences approved by the Board. The risk in allowing individual distributors to revise their own form of connection agreement at will would be the introduction of unnecessary variables in access to opportunities for micro-embedded generation. Matter 6 – Cost Responsibility in Relation to Upstream Infrastructure Upgrades to a Transmitter or Host Distributor The Issue: Questions proposed by Board Staff: 6.1 - Should cost responsibility in relation to upstream infrastructure upgrades to a transmitter or host distributor be codified? 6.2 - Under the current microFIT rules, have there been any cases of a specific microembedded generation facility (or aggregation of micro-embedded generation facilities) triggering the need for an upstream upgrade? If so, how were they resolved? 6.3 - Should micro-embedded generation facilities be treated differently than larger generation facilities connected to the distribution system with respect to upstream upgrades? 6.4 How should the upstream cost impact of micro-embedded generation facilities be addressed (i.e., "trigger" pays, "beneficiary" pays, a fixed cost to every micro-embedded generation facility, rates, or socialize costs)? 6.5 How should the review of upstream cost responsibility for micro-embedded generation facilities be best addressed (i.e., wait until the RRFE process is concluded, a separate initiative for all embe	dded generation, or done as part of this consultation)?	Problems Failing to Address Local Regional Issues NOACC has discussed the issue with installers of supplies and equipment in the Northwest Region. There are several problems with the upstream infrastructure being inadequate to accommodate the embedded micro-embedded generation. There are not as many problems connecting an eligible participant to the grid when dealing with Thunder Bay Hydro. Attempting to negotiate an offer to connect in geographical areas where Hydro One is the distributor gives rise to problems. Initially, when the MicroFIT program began there were no problems connecting to the grid, now there seem to be "constraint areas" which limit the ability of the OPA to connect some eligible participants. The OPA has stated that connecting too many people in an area could blow a transformer, or that upgrades are. When asked about "constraint areas one supplier that eligible participants were unable to connect to the grid despite having already invested considerable amounts of money. Sometimes at the last minute Hydro One indicates they cannot connect. One supplier actually volunteered to pay for some upstream upgrades so that his clients could be connected to the grid; however, the Hydro One has not responded, nor have they provided further information in relation as to what upgrades, if any, are required. Sometimes, however, "magically" as time goes by, the Hydro One is able to connect those eligible participants to the grid. Another supplier noted that Hydro One limits some feeders to only 10% of peak usage, so that only 10% of their peak consumption can be from externally generated power. For example, this means that if 5 eligible participants are feeding energy into the grid, and those 5 eligible participants produce 10% of Hydro One's peak energy, a new applicant will be unable to connect a micro-embedded generation project. The industry standard is 15% compared to 10%, however this may be a policy issue for Hydro One. Also, Hydro One requires applicants purchase a 25 KVA transformer before they are connected to the grid. The suppliers notes that usually a 25 KVA transformer could be used for 4-5 households supplying energy to the grid; however Hydro One requires each microFit applicant to pay for one of these transformers. The Discussion Paper states that it may be highly unlikely that a single micro embedded generation facility will require an upstream upgrade. That might well be the case in southern Ontario; however, suppliers in the Northwest Region indicate that it is entirely possible in northern Ontario, specifically in the more remote regions where upstream upgrades may be required. One Size Does Not Fit All NOACC cites these as problems typical of program and infrastructure design that can be prudent and well thought out in the southern region of the province, with its dense highly sophisticate grid being unsuitable for the conditions that prevail in the Northwest Region. The issues cited above demonstrate that the micro-embedded generation projects can be absorbed if a relatively dense power system infrastructure is already in place. Thunder Bay Hydro has been able to accommodate the requested offers to connect because the City of Thunder Bay has a relatively dense existing grid. The point is that outside the City of Thunder Bay there are tens of thousands of square kilometres of sparse infrastructure served only by radial circuits several hundred kilometres long that simply do not have the robustness to start adding micro-embedded generation at will. Regional Planning The instances cited above are a microcosm of the reasons why the power system in the Northwest Region must be designed and developed based on the needs and capacities in the Region. Issuing an offer to connect to an eligible participant, as cited in the comments under "Matter 1" above, or something similar would have prevented some of the immediate hardship cited but obviously the real need is for an integrated power system plan designed in the Northwest Region for the Northwest Region and attentive to the needs of the Northwest Region is what is actually required. As to what changes might be introduced into the DSC the Code should address the needed transparency. The distributor must be better able to control the allocation of connective capacity that actually exists, not the capacity that someone developing a onesize-fits-all plan thinks should be there. Please contact the undersigned or Mr. Melchiorre should further information or clarification be required. Respectfully submitted, Yours very truly, WEILER, MALONEY, NELSON Per: John A. Cyr, Counsel in this instance for the City of Thunder Bay JAC/dl Phone: (807) 623-1111 Fax: (807) 623-4947 Toll-free: 1-866-WEILERS Internet: www.weilers.ca	10,733	inside_word	embedded	remove_one_sentence	<url> https://www.rds.oeb.ca/CMWebDrawer/Record/381025/File/document </url> <text> S:\57695\EB-2012-0246 - Embedded Generation\Intent to Participate and Cost Sub\Lt Walli OEB Jan 25-13 NOACC Comments to MEGC.doc DIRECT LINE: John A. Cyr (807) 625-8880 EMAIL: [email protected] G. BernardWeilerQ.C., LSM, K.C.S.G. (1910-1996) Frederick J.W. Bickford Certified Specialist (Real EstateLaw) RossB. Judge(Counsel) B. PaulJasiura JohnA. Cyr (Corporate and Commercial Law) Certified Specialist BrianA. Babcock GarthA. O’Neill Certified Specialist (Labour Law) DeborahA. Humphreys NickMelchiorre Fhara A. Pottinger BradleyA. Smith Certified Specialist (Labour Law) JenniferM. Lohuis AnnMarie Stilla SarahB. Manilla EMAIL: [email protected] January 25, 2013 File #57695 Ontario Energy Board 2300 Yonge Street Suite 2700 Toronto ON M4P 1E4 Attention: Ms. Kirsten Walli, Board Secretary Dear Ms. Walli: Re: Policy Review of Micro-Embedded Generation Connection Issues (EB-2012-0246) We are solicitors representing the Coalition of The Corporation of the City of Thunder Bay (the “City”), the Northwestern Ontario Municipal Association (“NOMA”) and the Northwestern Ontario Associated Chamber of Commerce (“NOACC”), (hereinafter for purposes of these comments, the “NOACC Coalition” or the “Coalition”). The members of the Coalition have applied to submit comments in the above noted consultation. Having discussed the matter with small green energy suppliers both of equipment and of consulting advice related to micro-embedded generation in the Northwest Region, this letter presents comments for submission on behalf of the NOACC Coalition. The comments below are organized to reflect the structure in the Staff Discussion Paper issued in EB 2012 0246. Matter 1 – Offer to Connect Process The Issue: what would improve the connection to application ratio by Phone: (807) 623-1111 Fax: (807) 623-4947 Toll-free: 1-866-WEILERS Internet: www.weilers.ca * allowing distributors to focus resources on only those applications where the customer is serious about the generation project which, in turn, would facilitate processing and issuing offers to connect in a more expeditious manner; and * avoid imposing inappropriate or excessive costs on applicants for micro-embedded generation facilities. Questions 1.1. Of the options listed above, which one, if any, represents the best way for distributors to manage the offer to connect process? Are there other options? Please explain your answer. Chicken and Egg Process NOACC has discussed the issue with installers of supplies and equipment in the Northwest Region. There are several problems is with the microFIT approval process. - It is the uncertainty as to whether or not the applicant will be awarded a contract by the OPA that prompts multiple requests for an offer to connect. - Applicants do not know whether they will be successful in any one application to the OPA for a microFit contract. This may lead some applicants to file several applications; therefore, having a better chance of being approved for one. - It appears also that some organizations lease roof tops from various eligible sites (it is less expensive to own 10 microFIT projects than 1 small FIT project). The result has been that applicants are making multiple applications for offers to connect to get around the uncertainty of OPA approvals. This in turn increases the number of applications for the offer to connect being processed by distributors. The result can be an unwarrantedly large portion of the distributor's capacity being tied up in relation to projects that will never mature; hence the call for an application fee. If there were to be a fee associated with applying, small businesses and natural persons may not apply if there is no guarantee they will be awarded a contract. NOACC Proposal A deposit, not a fee: Would it be feasible to change the DSC to allow the distributor to make an allocation of available connectivity, by way of one offer to connect to an eligible participant as distinct from a specific project site? The offer to connect would be generic in the hands of the holder of the offer and applicable by the holder to any microFIT project that receives a conditional offer of contract issued to them by the OPA. From the distributor's perspective the deposit would be eligible participant-specific within the available connectivity rather than project site-specific. The DSC could be amended to clarify that, while there can be no charge for preparation of an offer to connect, the distributor is free to exact a deposit from an applicant in order to reserve a stated amount of the distributor's available capacity. The generic offer to connect could be: - time limited to expire on a fixed date, to discourage allocation of connection capacity going unutilized indefinitely, - non-assignable, in order to dissuade an under the counter market, and - refundable with interest in the event of the distributor being unable to provide the connection pursuant to the offer to connect. The amount of the deposit could be: - proportional to the amount of connection capacity being reserved; - fully refundable: o for a project development period of time; that would be time sufficient to allow the applicant to assess the likelihood of a microFIT conditional offer of contract being issued to the applicant by the OPA; or o upon the applicant's (at that point, eligible participant's) proposed generation project being ready for connection. - forfeited on its expiration date if the offer to connect is held by the applicant beyond the project development period of time. Matter 3 – Standard for Connection Agreement in DSC (Appendix E) Revising the Connection Agreement The Issue: The DSC does not make any allowances for modifications or amendments to the standard form connection agreement for micro-embedded generation facilities. In the past, some distributors have argued that the connection agreement in Appendix E of the DSC should be revisited, especially in relation to insurance and liability. Questions 3.1 What modifications, if any, need to be made to the standard form micro-embedded generation facility connection agreement in Appendix E of the DSC? Please describe the modifications and provide the rationale and supporting documentation for why these modifications are necessary. 3.2 Given that the connection agreement in Appendix E of the DSC for small and mid-sized embedded generation facilities include requirements for insurance, should insurance provisions be included in the micro-embedded generation facility connection agreement? Please explain. Risk Management NOACC proposes that the liability and insurance issues in relation to micro-embedded generation be addressed from a risk management perspective. In respect of the proponent seeking approvals of a microFIT project the relatively small scale of the projects requires care that there not be more solution than there is problem. Rather than burden the microFIT proponent with insurance coverage requirements set out in the existing form of connection agreemnt shown in section "E", reliance should instead be on a combination of: - pre-qualification by the distributor of the suppliers and installers of equipment - GSA certification for the equipment itself; - a distributor approved connection protocol as set out in the existing formconnection agreement. - a certificate issued by the pre-qualified supplier and if different, the pre-qualified installer of the project equipment that project-appropriate equipment has been provided and distributor-required installation requirements have been met; and - distributor inspections (with cost of such inspections charged against the proponent's revenue for supply to the grid). With such a process in place the distributor will be in a position to negotiate an endorsement on the distributor's own policy of liability insurance for the least cost (or if self-insured the risk will have been prudently managed). The insurance endorsement to be sought by the distributor would be that the each eligible participant be added as an additional insured with respect to the risks arising out of the connections. Both the distributor and each micro-embedded proponent would be covered by the distributor's policy of insurance. The potential for misadventure in any given, connected, microembedded project giving rise to damages or injuries would be reduced by the indicated process being under control of the distributor. A distributor should be permitted, under revisions to the DSC, to pass on to a proponent any additional premium cost related to adding the proponent as an additional insured under the distributor's policy. The additional premium cost should be added to the distributor's service charge as an offset against the proponent's revenue from the connection. The proponent should not be required to indemnify the LDC or insure the risk in relation to the indemnity but should be cautioned in the connection agreement document itself to advise his or her property and liability insurers of the project and the connection agreement. The connection agreement should continue to be a fixed form, approved by the Board under the DSC. The form could be revised both to accommodate the suggestions noted above, if they are considered appropriate, and to address regional differences approved by the Board. The risk in allowing individual distributors to revise their own form of connection agreement at will would be the introduction of unnecessary variables in access to opportunities for micro-embedded generation. Matter 6 – Cost Responsibility in Relation to Upstream Infrastructure Upgrades to a Transmitter or Host Distributor The Issue: Questions proposed by Board Staff: 6.1 - Should cost responsibility in relation to upstream infrastructure upgrades to a transmitter or host distributor be codified? 6.2 - Under the current microFIT rules, have there been any cases of a specific microembedded generation facility (or aggregation of micro-embedded generation facilities) triggering the need for an upstream upgrade? If so, how were they resolved? 6.3 - Should micro-embedded generation facilities be treated differently than larger generation facilities connected to the distribution system with respect to upstream upgrades? 6.4 How should the upstream cost impact of micro-embedded generation facilities be addressed (i.e., "trigger" pays, "beneficiary" pays, a fixed cost to every micro-embedded generation facility, rates, or socialize costs)? 6.5 How should the review of upstream cost responsibility for micro-embedded generation facilities be best addressed (i.e., wait until the RRFE process is concluded, a separate initiative for all embe<cursor_is_here> Problems Failing to Address Local Regional Issues NOACC has discussed the issue with installers of supplies and equipment in the Northwest Region. There are several problems with the upstream infrastructure being inadequate to accommodate the embedded micro-embedded generation. There are not as many problems connecting an eligible participant to the grid when dealing with Thunder Bay Hydro. Attempting to negotiate an offer to connect in geographical areas where Hydro One is the distributor gives rise to problems. Initially, when the MicroFIT program began there were no problems connecting to the grid, now there seem to be "constraint areas" which limit the ability of the OPA to connect some eligible participants. The OPA has stated that connecting too many people in an area could blow a transformer, or that upgrades are. When asked about "constraint areas one supplier that eligible participants were unable to connect to the grid despite having already invested considerable amounts of money. Sometimes at the last minute Hydro One indicates they cannot connect. One supplier actually volunteered to pay for some upstream upgrades so that his clients could be connected to the grid; however, the Hydro One has not responded, nor have they provided further information in relation as to what upgrades, if any, are required. Sometimes, however, "magically" as time goes by, the Hydro One is able to connect those eligible participants to the grid. Another supplier noted that Hydro One limits some feeders to only 10% of peak usage, so that only 10% of their peak consumption can be from externally generated power. For example, this means that if 5 eligible participants are feeding energy into the grid, and those 5 eligible participants produce 10% of Hydro One's peak energy, a new applicant will be unable to connect a micro-embedded generation project. The industry standard is 15% compared to 10%, however this may be a policy issue for Hydro One. Also, Hydro One requires applicants purchase a 25 KVA transformer before they are connected to the grid. The suppliers notes that usually a 25 KVA transformer could be used for 4-5 households supplying energy to the grid; however Hydro One requires each microFit applicant to pay for one of these transformers. The Discussion Paper states that it may be highly unlikely that a single micro embedded generation facility will require an upstream upgrade. That might well be the case in southern Ontario; however, suppliers in the Northwest Region indicate that it is entirely possible in northern Ontario, specifically in the more remote regions where upstream upgrades may be required. One Size Does Not Fit All NOACC cites these as problems typical of program and infrastructure design that can be prudent and well thought out in the southern region of the province, with its dense highly sophisticate grid being unsuitable for the conditions that prevail in the Northwest Region. The issues cited above demonstrate that the micro-embedded generation projects can be absorbed if a relatively dense power system infrastructure is already in place. Thunder Bay Hydro has been able to accommodate the requested offers to connect because the City of Thunder Bay has a relatively dense existing grid. The point is that outside the City of Thunder Bay there are tens of thousands of square kilometres of sparse infrastructure served only by radial circuits several hundred kilometres long that simply do not have the robustness to start adding micro-embedded generation at will. Regional Planning The instances cited above are a microcosm of the reasons why the power system in the Northwest Region must be designed and developed based on the needs and capacities in the Region. Issuing an offer to connect to an eligible participant, as cited in the comments under "Matter 1" above, or something similar would have prevented some of the immediate hardship cited but obviously the real need is for an integrated power system plan designed in the Northwest Region for the Northwest Region and attentive to the needs of the Northwest Region is what is actually required. As to what changes might be introduced into the DSC the Code should address the needed transparency. The distributor must be better able to control the allocation of connective capacity that actually exists, not the capacity that someone developing a onesize-fits-all plan thinks should be there. Please contact the undersigned or Mr. Melchiorre should further information or clarification be required. Respectfully submitted, Yours very truly, WEILER, MALONEY, NELSON Per: John A. Cyr, Counsel in this instance for the City of Thunder Bay JAC/dl Phone: (807) 623-1111 Fax: (807) 623-4947 Toll-free: 1-866-WEILERS Internet: www.weilers.ca </text>	[ { "content": "<url>\nhttps://www.rds.oeb.ca/CMWebDrawer/Record/381025/File/document\n</url>\n<text>\nS:\\57695\\EB-2012-0246 - Embedded Generation\\Intent to Participate and Cost Sub\\Lt\n\nWalli OEB Jan 25-13 NOACC Comments to MEGC.doc\n\nDIRECT LINE: John A. Cyr (807) 625-8880\n\nEMAIL:\n\[email protected]\n\nG. BernardWeilerQ.C., LSM, K.C.S.G. (1910-1996)\n\nFrederick J.W. Bickford\n\nCertified Specialist (Real EstateLaw) RossB. Judge(Counsel)\n\nB. PaulJasiura\n\nJohnA. Cyr (Corporate and Commercial Law) Certified Specialist\n\nBrianA. Babcock\n\nGarthA. O’Neill Certified Specialist (Labour Law)\n\nDeborahA. Humphreys\n\nNickMelchiorre\n\nFhara A. Pottinger\n\nBradleyA. Smith\n\nCertified Specialist (Labour Law)\n\nJenniferM. Lohuis\n\nAnnMarie Stilla\n\nSarahB. Manilla\n\nEMAIL:\n\[email protected]\n\nJanuary 25, 2013\n\nFile #57695\n\nOntario Energy Board 2300 Yonge Street Suite 2700 Toronto ON M4P 1E4\n\nAttention: Ms. Kirsten Walli, Board Secretary\n\nDear Ms. Walli:\n\nRe: Policy Review of Micro-Embedded Generation Connection Issues (EB-2012-0246)\n\nWe are solicitors representing the Coalition of The Corporation of the City of Thunder Bay (the “City”), the Northwestern Ontario Municipal Association (“NOMA”) and the Northwestern Ontario Associated Chamber of Commerce (“NOACC”), (hereinafter for purposes of these comments, the “NOACC Coalition” or the “Coalition”). The members of the Coalition have applied to submit comments in the above noted consultation.\n\nHaving discussed the matter with small green energy suppliers both of equipment and of consulting advice related to micro-embedded generation in the Northwest Region, this letter presents comments for submission on behalf of the NOACC Coalition. The comments below are organized to reflect the structure in the Staff Discussion Paper issued in EB 2012 0246.\n\nMatter 1 – Offer to Connect Process\n\nThe Issue: what would improve the connection to application ratio by\n\nPhone: (807) 623-1111\n\nFax: (807) 623-4947\n\nToll-free: 1-866-WEILERS\n\nInternet: www.weilers.ca\n\n* allowing distributors to focus resources on only those applications where the customer is serious about the generation project which, in turn, would facilitate processing and issuing offers to connect in a more expeditious manner; and\n* avoid imposing inappropriate or excessive costs on applicants for micro-embedded generation facilities.\n\nQuestions\n\n1.1. Of the options listed above, which one, if any, represents the best way for distributors to manage the offer to connect process? Are there other options? Please explain your answer.\n\nChicken and Egg Process\n\nNOACC has discussed the issue with installers of supplies and equipment in the Northwest Region. There are several problems is with the microFIT approval process.\n\n- It is the uncertainty as to whether or not the applicant will be awarded a contract by the OPA that prompts multiple requests for an offer to connect.\n- Applicants do not know whether they will be successful in any one application to the OPA for a microFit contract. This may lead some applicants to file several applications; therefore, having a better chance of being approved for one.\n- It appears also that some organizations lease roof tops from various eligible sites (it is less expensive to own 10 microFIT projects than 1 small FIT project).\n\nThe result has been that applicants are making multiple applications for offers to connect to get around the uncertainty of OPA approvals. This in turn increases the number of applications for the offer to connect being processed by distributors. The result can be an unwarrantedly large portion of the distributor's capacity being tied up in relation to projects that will never mature; hence the call for an application fee. If there were to be a fee associated with applying, small businesses and natural persons may not apply if there is no guarantee they will be awarded a contract.\n\nNOACC Proposal\n\nA deposit, not a fee: Would it be feasible to change the DSC to allow the distributor to make an allocation of available connectivity, by way of one offer to connect to an eligible participant as distinct from a specific project site? The offer to connect would be generic in the hands of the holder of the offer and applicable by the holder to any microFIT project that receives a conditional offer of contract issued to them by the OPA. From the distributor's perspective the deposit would be eligible participant-specific within the available connectivity rather than project site-specific.\n\nThe DSC could be amended to clarify that, while there can be no charge for preparation of an offer to connect, the distributor is free to exact a deposit from an applicant in order to reserve a stated amount of the distributor's available capacity.\n\nThe generic offer to connect could be:\n\n- time limited to expire on a fixed date, to discourage allocation of connection capacity going unutilized indefinitely,\n- non-assignable, in order to dissuade an under the counter market, and\n- refundable with interest in the event of the distributor being unable to provide the connection pursuant to the offer to connect.\n\nThe amount of the deposit could be:\n\n- proportional to the amount of connection capacity being reserved;\n- fully refundable:\no for a project development period of time; that would be time sufficient to allow the applicant to assess the likelihood of a microFIT conditional offer of contract being issued to the applicant by the OPA; or\no upon the applicant's (at that point, eligible participant's) proposed generation project being ready for connection.\n- forfeited on its expiration date if the offer to connect is held by the applicant beyond the project development period of time.\n\nMatter 3 – Standard for Connection Agreement in DSC (Appendix E)\n\nRevising the Connection Agreement\n\nThe Issue: The DSC does not make any allowances for modifications or amendments to the standard form connection agreement for micro-embedded generation facilities.\n\nIn the past, some distributors have argued that the connection agreement in Appendix E of the DSC should be revisited, especially in relation to insurance and liability.\n\nQuestions\n\n3.1 What modifications, if any, need to be made to the standard form micro-embedded generation facility connection agreement in Appendix E of the DSC? Please describe the modifications and provide the rationale and supporting documentation for why these modifications are necessary.\n3.2 Given that the connection agreement in Appendix E of the DSC for small and mid-sized embedded generation facilities include requirements for insurance, should insurance provisions be included in the micro-embedded generation facility connection agreement? Please explain.\n\nRisk Management\n\nNOACC proposes that the liability and insurance issues in relation to micro-embedded generation be addressed from a risk management perspective. In respect of the proponent seeking approvals of a microFIT project the relatively small scale of the projects requires care that there not be more solution than there is problem.\n\nRather than burden the microFIT proponent with insurance coverage requirements set out in the existing form of connection agreemnt shown in section \"E\", reliance should instead be on a combination of:\n\n- pre-qualification by the distributor of the suppliers and installers of equipment\n- GSA certification for the equipment itself;\n- a distributor approved connection protocol as set out in the existing formconnection agreement.\n- a certificate issued by the pre-qualified supplier and if different, the pre-qualified installer of the project equipment that project-appropriate equipment has been provided and distributor-required installation requirements have been met; and\n- distributor inspections (with cost of such inspections charged against the proponent's revenue for supply to the grid).\n\nWith such a process in place the distributor will be in a position to negotiate an endorsement on the distributor's own policy of liability insurance for the least cost (or if self-insured the risk will have been prudently managed). The insurance endorsement to be sought by the distributor would be that the each eligible participant be added as an additional insured with respect to the risks arising out of the connections. Both the distributor and each micro-embedded proponent would be covered by the distributor's policy of insurance. The potential for misadventure in any given, connected, microembedded project giving rise to damages or injuries would be reduced by the indicated process being under control of the distributor.\n\nA distributor should be permitted, under revisions to the DSC, to pass on to a proponent any additional premium cost related to adding the proponent as an additional insured under the distributor's policy. The additional premium cost should be added to the distributor's service charge as an offset against the proponent's revenue from the connection.\n\nThe proponent should not be required to indemnify the LDC or insure the risk in relation to the indemnity but should be cautioned in the connection agreement document itself to advise his or her property and liability insurers of the project and the connection agreement.\n\nThe connection agreement should continue to be a fixed form, approved by the Board under the DSC. The form could be revised both to accommodate the suggestions noted above, if they are considered appropriate, and to address regional differences approved by the Board. The risk in allowing individual distributors to revise their own form of connection agreement at will would be the introduction of unnecessary variables in access to opportunities for micro-embedded generation.\n\nMatter 6 – Cost Responsibility in Relation to Upstream Infrastructure Upgrades to a Transmitter or Host Distributor\n\nThe Issue: Questions proposed by Board Staff:\n\n6.1 - Should cost responsibility in relation to upstream infrastructure upgrades to a transmitter or host distributor be codified?\n6.2 - Under the current microFIT rules, have there been any cases of a specific microembedded generation facility (or aggregation of micro-embedded generation facilities) triggering the need for an upstream upgrade? If so, how were they resolved?\n6.3 - Should micro-embedded generation facilities be treated differently than larger generation facilities connected to the distribution system with respect to upstream upgrades? 6.4 How should the upstream cost impact of micro-embedded generation facilities be addressed (i.e., \"trigger\" pays, \"beneficiary\" pays, a fixed cost to every micro-embedded generation facility, rates, or socialize costs)?\n6.5 How should the review of upstream cost responsibility for micro-embedded generation facilities be best addressed (i.e., wait until the RRFE process is concluded, a separate initiative for all embe<cursor_is_here>\n\nProblems Failing to Address Local Regional Issues\n\nNOACC has discussed the issue with installers of supplies and equipment in the Northwest Region. There are several problems with the upstream infrastructure being inadequate to accommodate the embedded micro-embedded generation.\n\nThere are not as many problems connecting an eligible participant to the grid when dealing with Thunder Bay Hydro.\n\nAttempting to negotiate an offer to connect in geographical areas where Hydro One is the distributor gives rise to problems. Initially, when the MicroFIT program began there were no problems connecting to the grid, now there seem to be \"constraint areas\" which limit the ability of the OPA to connect some eligible participants. The OPA has stated that connecting too many people in an area could blow a transformer, or that upgrades are. When asked about \"constraint areas one supplier that eligible participants were unable to connect to the grid despite having already invested considerable amounts of money. Sometimes at the last minute Hydro One indicates they cannot connect.\n\nOne supplier actually volunteered to pay for some upstream upgrades so that his clients could be connected to the grid; however, the Hydro One has not responded, nor have they provided further information in relation as to what upgrades, if any, are required. Sometimes, however, \"magically\" as time goes by, the Hydro One is able to connect those eligible participants to the grid.\n\nAnother supplier noted that Hydro One limits some feeders to only 10% of peak usage, so that only 10% of their peak consumption can be from externally generated power. For example, this means that if 5 eligible participants are feeding energy into the grid, and those 5 eligible participants produce 10% of Hydro One's peak energy, a new applicant will be unable to connect a micro-embedded generation project. The industry standard is 15% compared to 10%, however this may be a policy issue for Hydro One.\n\nAlso, Hydro One requires applicants purchase a 25 KVA transformer before they are connected to the grid. The suppliers notes that usually a 25 KVA transformer could be used for 4-5 households supplying energy to the grid; however Hydro One requires each microFit applicant to pay for one of these transformers.\n\nThe Discussion Paper states that it may be highly unlikely that a single micro embedded generation facility will require an upstream upgrade. That might well be the case in southern Ontario; however, suppliers in the Northwest Region indicate that it is entirely possible in northern Ontario, specifically in the more remote regions where upstream upgrades may be required.\n\nOne Size Does Not Fit All\n\nNOACC cites these as problems typical of program and infrastructure design that can be prudent and well thought out in the southern region of the province, with its dense highly sophisticate grid being unsuitable for the conditions that prevail in the Northwest Region.\n\nThe issues cited above demonstrate that the micro-embedded generation projects can be absorbed if a relatively dense power system infrastructure is already in place. Thunder Bay Hydro has been able to accommodate the requested offers to connect because the City of Thunder Bay has a relatively dense existing grid. The point is that outside the City of Thunder Bay there are tens of thousands of square kilometres of sparse infrastructure served only by radial circuits several hundred kilometres long that simply do not have the robustness to start adding micro-embedded generation at will.\n\nRegional Planning\n\nThe instances cited above are a microcosm of the reasons why the power system in the Northwest Region must be designed and developed based on the needs and capacities in the Region.\n\nIssuing an offer to connect to an eligible participant, as cited in the comments under \"Matter 1\" above, or something similar would have prevented some of the immediate hardship cited but obviously the real need is for an integrated power system plan designed in the Northwest Region for the Northwest Region and attentive to the needs of the Northwest Region is what is actually required.\n\nAs to what changes might be introduced into the DSC the Code should address the needed transparency. The distributor must be better able to control the allocation of connective capacity that actually exists, not the capacity that someone developing a onesize-fits-all plan thinks should be there.\n\nPlease contact the undersigned or Mr. Melchiorre should further information or clarification be required.\n\nRespectfully submitted,\n\nYours very truly,\n\nWEILER, MALONEY, NELSON\n\nPer:\n\nJohn A. Cyr, Counsel in this instance for the City of Thunder Bay\n\nJAC/dl\n\nPhone: (807) 623-1111\n\nFax: (807) 623-4947 Toll-free: 1-866-WEILERS\n\nInternet: www.weilers.ca\n</text>\n", "role": "user" }, { "content": "dded generation, or done as part of this consultation)?", "role": "assistant" } ]
David Menendez Email: [email protected] Website: dmenendez.com Pronouns: He/ Him/ Él EDUCATION HONORS AND AWARDS RESEARCH FOCUS I study children's and adults' learning of STEM concepts in both formal and informal learning environments. I do so by adopting a mixed methodology, which allows me to examine how children are able to learn through different lenses; for example, by conversing with knowledgeable others, consuming cultural products, and participating in cultural rituals. Additionally, I am interested in how adults and children make appropriate generalizations after learning STEM concepts, and how these generalizations can be scaffolded by the language or visuals in a lesson. PUBLICATIONS * Authors contributed equally to the work underline Undergraduate student co-author Menendez, D., Mathiaparanam, O. N., Seitz, V., Liu, D., Donovan, A. M., Kalish, C. W., Rosengren, K. S., & Alibali, M. W. (in press). Like mother, like daughter: Adults' judgments about genetic inheritance. Journal of Experimental Psychology: Applied. Preprint Menendez, D., Rosengren, K. S., & Alibali, M. W. (2022). Detailed bugs or bugging details? Influence of perceptual richness on biological reasoning across elementary school. Journal of Experimental Child Psychology, 213, 105269. doi: https://doi.org/10.1016/j.jecp.2021.105269 Menendez, D., Klapper, R. E., * Mandel, A. R., * Nicholas, K. A., * Schapfel, M. H., * Silsby, O. O., * Sowers, K. A., * Sumanthiran, D., * Welch, V. E., & Rosengren, K. S. (2021). "When will it be over?" U.S. children's questions and parents' responses about the COVID-19 pandemic. PlosOne, 16(8), e0256692. Pre-print Bridgewater, E., Menendez, D., & Rosengren, K. S. (2021). Capturing death in animated films: Can films stimulate parent-child conversations about death? Cognitive Development, 59, 101063. doi: https://doi.org/10.1016/j.cogdev.2021.101063 Pre-print Menendez, D., Mathiaparanam, O. N., Liu, D., Seitz, V. C., Alibali, M. W., & Rosengren, K. S. (2020). Representing variability: The case of life cycle diagrams. CBE-Life Science Education, 19, ar49. doi: https://doi.org/10.1187/cbe.19-11-0251 Peters, D., Menendez, D. & Rosengren, K. S. (2020). Reframing mental illness: The role of essentialism on stigmatization and perceived treatment efficacy. Memory & Cognition, 48(8), 1317-1333. doi: https://doi.org/10.3758/s13421-020-01061-1 Menendez, D., Rosengren, K. S., & Alibali, M. W. (2020). Do details bug you? Effects of perceptual richness in biological reasoning. Applied Cognitive Psychology, 34, 1101– 1117. doi: https://doi.org/10.1002/acp.3698 Menendez, D., Jiang, M. J., Edwards, K. M., Rosengren, K. S., & Alibali, M. W. (2020). Evaluating and communicating about the healthiness of foods: Predictors of parents' judgments and parent-child conversations. Cognitive Development, 55, 100913. doi: https://doi.org/10.1016/j.cogdev.2020.100913 Menendez, D., Hernandez, I. G., & Rosengren, K. S. (2020). Children's emerging understanding of death. Child Development Perspectives, 14, 55-60. doi: https://doi.org/10.1111/cdep.12357 Gutiérrez, I. T., Menendez, D., Jiang, M. J., Hernandez, I. G., Miller, P., & Rosengren, K. S. (2020). Embracing death: Mexican parent and child perspectives on death. Child Development, 91, e491-e511. doi: https://doi.org/10.1111/cdev.13263 Martinčeková, L., Jiang, M. J., Adams, J., Menendez, D., Hernandez, I. G, Barber, G., & Rosengren, K. S. (2020). Do you remember being told what happened to grandma? The role of early socialization on coping and bereavement. Death Studies, 44, 78-88. doi: https://doi.org/10.1080/07481187.2018.1522386 Brown, S. A., Menendez, D., & Alibali, M. W. (2019). Strategy adoption depends on characteristics of the instruction, learner, and strategy. Cognitive Research: Principles and Implications, 4, 1-18. doi: https://doi.org/10.1186/s41235-019-0158-3 Alibali, M. W., Brown, S. A., & Menendez, D. (2019). Understanding strategy change: Contextual, individual, and metacognitive factors. Advances in Child Development and Behavior, 56, 227-256. doi: https://doi.org/10.1016/bs.acdb.2018.11.004 French, J. A., Menendez, D., Herrmann, P. A., Evans, E. M., & Rosengren, K. S. (2018). Cognitive constraints on understanding lifespan changes. Journal of Experimental Child Psychology, 173, 205-221. doi: https://doi.org/10.1016/j.jecp.2018.03.018 Rosengren, K. S., Jiang, M. J., Kalish, C. W., Menendez, D., & Hernandez, I. G. (2018). Commentary: What heals and why? Children's understanding of medical treatments. Monographs of the Society for Research in Child Development, 83, 175-183. doi: https://doi.org/10.1111/mono.12370 Benjet, C., Menendez, D., Albor, Y., Borges, G., Orozco, R., & Medina-Mora, M. E. (2018). Adolescent predictors of incidence and persistence of suicide related outcomes in young adulthood: A longitudinal study of Mexican youth. Suicide and Life-Threatening Behavior, 48, 755-766. doi: https://doi.org/10.1111/sltb.12397 Borges, G., Benjet, C., Orozco, R., Medina-Mora, M. E., & Menendez, D. (2017). Alcohol, cannabis and other drugs and subsequent suicide ideation and attempt among young Mexicans. Journal of Psychiatric Research, 91, 74-82. doi: https://doi.org/10.1016/j.jpsychires.2017.02.025 CONFERENCE PROCEEDINGS Menendez, D., Alibali, M. W., & Rosengren, K. S. (2018). Effects of priming variability on adults learning about metamorphosis. In C. Kalish, M. Rau, T. Rogers, and J. Zhu (Eds.), Proceedings of the 40 th Annual Conference of the Cognitive Science Society (pp.21022107). Austin, TX: Cognitive Science Society. Brown, S. A., Menendez, D., & Alibali, M. W. (2018). How do people evaluate problem-solving strategies? Efficiency and intuitiveness matter. In C. Kalish, M. Rau, T. Rogers, and J. Zhu (Eds.), Proceedings of the 40 th Annual Conference of the Cognitive Science Society (pp. 1414-1419). Austin, TX: Cognitive Science Society. MANUSCRIPTS UNDER REVIEW Menendez, D., Sabbagh, N. F., Alibali, M. W., & Rosengren, K. S. (under review). Timelines or time cycles: Exposure to different spatial representations of time shapes sketching and diagram preferences. Menendez, D., Brown, S. A., & Alibali, M. W. (under review). Some correct strategies are better than others: Individual differences in strategy evaluations influence strategy adoption. Pre-print Brown, S. A., Menendez, D., Rajan, N. D., & Alibali, M. W. (under review). Says who? Learners are more likely to adopt a new strategy when it is demonstrated by an expert. Hernandez, I. G., Menendez, D., Seitz, V., Pinto-Pro, I., Zeitler, M. H., & Rosengren, K. S. (under review). Parent-child conversations of germ and cold weather theories of the common cold in two cultures. Pre-print Li, Z., Menendez, D., Klapper, R. E., Sturge-Apple, M. L., & Rosengren, K. S. (under review). COVID-19 and child adjustment: The role of coparenting conflict and child temperament. Menendez, D., Donovan, A. M., Mathiaparanam, O. N., Seitz, V., Sabbagh, N., Klapper, R. E., Kalish, C. W., Rosengren, K. S., & Alibali, M. W. (under review). Deterministic or probabilistic: Children's beliefs about genetic inheritance. MANUSCRIPTS IN PREPARATION Drafts of these manuscripts will be made available upon request. Menendez, D., Alibali, M. W., & Rosengren, K. S. (in preparation). Effects of priming variability on children's biological reasoning. Menendez, D., Halama, S. R., Hernandez, I. G., Hassett, R., Johnson, T. M., Koshevatskiy, N. J., Haugstad, N., & Rosengren, K. S. (in preparation). Cognition in action: The relation between physical and mental paper folding in young children. PRESENTATIONS AND INVITED TALKS Invited talks 2022 Learning with and about visualizations of science concepts Interdisciplinary Training Program, Wisconsin Center for Education Research 2022 Learning with and about visualizations of science concepts University of California-Santa Cruz 2021 Learning with and about visualizations of science concepts University of Utah 2021 Learning with and about visualizations of science concepts University of Chicago 2021 Learning with and about visualizations of science concepts Vanderbilt University 2021 Showing the forest or the trees: The role of visualizations in learning and generalization Developmental Psychology Brownbag, Stanford University 2021 Children's and adults' beliefs about genetic inheritance Developmental Psychology Brownbag, University of Chicago 2021 Children's beliefs about genetic inheritance Child Cognition Laboratory, Boston University 2020 Let's talk about death: Socio-cultural influences on children's understanding of death Department of Psychology, Northeastern Illinois University 2020 Translating educational research into assessments Interdisciplinary Training Program, Wisconsin Center for Education Research 2019 Developmental changes in learning with visual representations Department of Psychology, University of Rochester Organized symposia Menendez, D. (March, 2021). The role of experience and beliefs in children's biological reasoning. Symposium presented at the biennial meeting of the Society for the Research in Child Development, Virtual Meeting. Conference talks Menendez, D. (June, 2022). Discussant in G. Panagiotaki (Chair) "Children's understanding of death: Parental, media and cultural influences." Presented at the 26 th Biennial Meeting of the International Society for the Study of Behavioral Development, Rhodes, Greece. Menendez, D., Bridgewater, E., & Rosengren, K. S. (June, 2022). Death in Films: Parents' attitudes and children's questions. In G. Panagiotaki (Chair) "Children's understanding of death: Parental, media and cultural influences." Talk presented at the 26 th Biennial Meeting of the International Society for the Study of Behavioral Development, Rhodes, Greece. Menendez, D., Mathiaparanam, O. N., Donovan, A. M., Seitz, V., Liu, D., Rosengren, K. S., Alibali, M. W., & Kalish, C. W. (March, 2021). Not Exactly like your Mother: Children's Understanding of Genetic Inheritance for Familiar and Unfamiliar Animals. In D. Menendez (Chair) "The role of experience and beliefs in children's biological reasoning." Talk presented at the biennial meeting of the Society for the Research in Child Development, Virtual Meeting. Menendez, D., Bridgewater, E., & Rosengren, K. S. (June, 2020). Death in Films: Parents' attitudes and children's questions. In G. Panagiotaki (Chair) "Children's understanding of death: Parental, media and cultural influences." Talk presented at the 26 th Biennial Meeting of the International Society for the Study of Behavioral Development, Rhodes, Greece. [Cancelled due to COVID-19] Menendez, D., & Rosengren, K. S. (April, 2019). Visual Representations in Children and Adults' Understanding of Metamorphosis. In A. N. Bartel (Chair) "Probing Students' Understanding with Differing External Representations." Talk presented at the Annual Meeting of the American Education Research Association, Toronto, Canada. Menendez, D., Rosengren, K. S., & Alibali, M. W. (April, 2019). Effects of Priming Variability on Children's Endorsement of Metamorphosis and Evolution. In S. Ronfard (Chair) "The Essence of Biological Categories: Factors Influencing Children's Sensitivity to Variability and Change." Talk presented at the Biennial meeting of the Society for Research in Child Development, Baltimore, MD. Rosengren, K. S., Menendez, D., & Alibali, M. W. (May, 2018). Effects of variability primes on learning about biological change. In C. W. Kalish (Chair) "Learning with Variability." Talk presented at the Annual meeting of the Jean Piaget Society in Amsterdam, Netherlands. Rosengren, K. S., & Menendez, D. (January, 2017). Looking for Essences: The Influence of Essentialist Beliefs on Real World Reasoning. Invited symposium discussion at the 12 th Biennial conference of Society for Applied Research in Memory and Cognition, Sydney, Australia. Poster presentations Alcaraz-Carrión, D., Menendez, D., Valenzuela, J., & Alibali, M.W, (July, 2022). When cycles are lines: Time gesture in naturalistic and laboratory settings. Poster presented at the 9 th Conference of the International Society for Gesture Studies, Chicago, IL. Mathiaparanam, O. N., Donovan A.M., Menendez, D., Jones, C., Yoo, S. H., Alibali, M.W, Kalish, C. W., & Rosengren, K. S. (July, 2022). Perceptual features in visual representations: A content analysis of inheritance diagrams. Poster presented at the 43 rd Annual Conference of the Cognitive Science Society, Toronto, Canada. Menendez, D., Rosengren, K. S., & Alibali, M. W. (April, 2022). Bland images, rich talk: The role of perceptual richness in informal science learning. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Madison, WI. Trujillo-Hernández, G., Ünlütabak, B., Velioglu, I., Menendez, D., & Rosengren, K. S. (April, 2022). What is Coronavirus? Content analysis of children's books about COVID-19 in Turkey and the US. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Madison, WI. Menendez, D., Johnson, T. M., Hassett, R., Haut, A., Mathiaparanam, O. N., Alibali, M. W., & Rosengren, K. S. (July, 2020). Characteristics of visualizations and texts in elementary school biology books. Poster presented to the 42 nd Annual Conference of the Cognitive Science Society, Virtual Meeting. Menendez, D., Meredith, L., & Alibali, M. W. (June, 2020). Needing some space: Perceptual support influences encoding of the equal sign. Presentation presented to the annual meeting of the Mathematical Cognition and Learning Society in Dublin, Ireland. [Cancelled due to COVID-19] Menendez, D., Ou, L., Yudelson, M. V., & Simmering, V. R. (October, 2019). Inter-relatedness of pre-algebraic knowledge among middle school children. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Louisville, KY. Menendez, D., Ou, L., Yudelson, M. V., & Simmering, V. R. (October, 2019). Inter-relatedness of pre-algebraic knowledge among middle school children. Poster presented at ETCPS in Iowa City, IA. Bartel, A.N., Donovan A.M., Menendez, D., Brown, S.B., Hogseth, T., & Alibali, M.W. (June, 2019). Investigating the Influence of Textual and Graphical Framing on Problem Solving Accuracy and Strategy Use. Poster presented at the Mathematical Cognition and Learning Society, Ottawa, Canada. Menendez, D., Alibali, M. W., & Rosengren, K. S. (July, 2018). Effects of priming variability on adults learning about metamorphosis. Poster presented at the 40 th Annual Conference of the Cognitive Science Society, Madison, WI. Menendez, D., Brown, S. A., & Alibali, M. W. (May, 2018). Effects of exposure, feedback and need for cognition on strategy change. Poster presented at the Annual meeting of the Jean Piaget Society in Amsterdam, Netherlands. Menendez, D., Alibali, M. W., & Rosengren, K. S. (October, 2017). Effects of priming variability on biological reasoning. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Portland, OR. Menendez, D., Brown, S. A., & Alibali, M. W. (July, 2017). I'll do what she is doing: Promoting the adoption of new problem-solving strategies in undergraduates. Poster presented at the 5th Annual Midwest Meeting on Mathematical Thinking, Minneapolis, MN. Menendez, D., Benjet, C., Borges, G., Albor, Y., Orozco, R., Medina-Mora, M. E. (May, 2017). Adolescent Predictors of the Incidence of Suicide Related Outcomes in Young Adulthood. Poster presented at the 28th APS Annual Convention, Boston, MA. Menendez, D., Rosengren, K. S., & Alibali, M. W. (April, 2017). Do details bug you? Effects of Perceptual Richness in Biological Reasoning. Poster presented at the Biennial meeting of the Society for Research in Child Development, Austin, TX. Menendez, D., Gutierrez, I. T., Jiang, M. J., & Rosengren, K. S. (May, 2016). Embracing Death: Mexican Parent and Child Perspectives on Death. Poster presented at the 28 th APS Annual Convention, Chicago, IL. PROFESSIONAL EXPERIENCE AND SERVICE Professional experience: 2018- The role of visual representations in children's learning about biological variability Present National Science Foundation grant, Role: Graduate student researcher * Design and conduct experiments with children and adults in museum, laboratory, and online settings * Write up pilot data for grant proposal * Collect diagrams and images from biology educational materials 2021 * Analyze quantitative and qualitative data to assess learning * Supervise and mentor undergraduate and post-baccalaureate researchers * Prepare manuscripts for publication 2019- Cultivating knowledge of mathematical equivalence 2020 * Recruit Latinx and Spanish-speaking families to participate in a longitudinal study on mathematics learning National Science Foundation grant, Role: Graduate student researcher * Create and translate recruitment and study materials in Spanish * Translate between the parent and experimenter details about the study 2019 ACTNext ACT Inc., Role: Summer intern * Review and synthesize literature on motivation and science learning * Compare international standards of science education * Prepare proposals for new assessments of scientific knowledge Ad hoc journal reviewer: CBE-Life Science Education Child Development Perspectives Cognitive Science Death Studies Developmental Psychology Early Years Eurasia Journal of Mathematics, Science and Technology Education Frontiers in Psychology Human Behavior and Emergent Technologies Journal of Cognition and Development Journal of Experimental Child Psychology Journal of Experimental Psychology: Human Perception and Performance Journal of Genetic Psychology Monographs for the Society of Research in Child Development PlosOne Departmental service: Psychology Colloquium Series Committee: Member 2016- 2021 Treasurer 2017-2018 Chair 2018-2019 Departmental Climate and Diversity Committee: Member 2017-2019 Graduate Student Representative for Faculty Meetings: Representative 2020-2021 Service-related events: 2022 Let's talk grad school (group of students historically excluded from the academy), hosted by Margaret Echelbarger Let's talk grad school (group of students historically excluded from the academy), hosted by Margaret Echelbarger 2021 Diverse graduate student panel, University of Wisconsin-Madison 2020 2020 Career pathways in educational research for policy, practice and advocacy University of Texas- San Antonio Psi Chi student hour, Northeastern Illinois University 2020 Let's talk grad school (group of students historically excluded from the academy), hosted by Margaret Echelbarger 2017 "Why should I do undergraduate research" panel, University of Wisconsin-Madison TEACHING EXPERIENCE Teaching assistant Fall 2019: Graduate Course in Statistical Analysis of Psychological Experiments Spring 2020: Graduate Course in Design and Analysis of Psychological Experiments Spring 2021: Introduction to Psychology Fall 2021: Introduction to Psychology Guest lectures Spring 2020: Introduction to Bayesian Statistics (Psych 710, graduate-level course) Spring 2020: Conceptual Development (Psych 502) Spring 2021: Introduction to Bayesian Statistics (Psych 710, graduate-level course) Spring 2022: Conceptual Development (Psych 502) Spring 2022: Introduction to Bayesian Statistics (Psych 710, graduate-level course) MENTORSHIP Students mentored in a research lab Katryn Hartfield Taylor Johnson Ashley Haut Erin Condon Ryan Hassett Nicholas Haugstad Madeline Glawe Nicole Koshevatskiy Kaitlin Edwards Michael Sullivan Sonja Vaintrub Olympia Mathiaparanam Gill Schomaker Vienne Seitz Jaclyn Psenka Kylie Robinson Xinyi Liu Jessa Snower Ava Mandel Katrina Nicholas Maria Schapfel Olivia Silsby Kailee Sowers Dillanie Sumanthiran Victoria Welch Nour Sabbagh Aaron Cecil-Xavier Zoe Young Aleena Banuelos Greta Hansen Students mentored who complete senior projects or honors theses Danielle Peters Samuel Halama Students mentored as part of Psychology Research Experience Program Summer research program for underrepresented students in academia Gregory Barber Summer 2016 (co-mentored with Matthew Jiang) , Enrica Bridgewater Summer 2017 Pamela Santiago Summer 2018 (co-mentored with Iseli Hernandez) Danté Jackson Summer 2020 (as alumni mentor) Students mentored as part of the McNair Scholars program Jamal Adams Students mentored as part of the PASOS program Mentoring program for Latinx students at UW-Madison Jonathan Godinez Jacqueline Conception Cruz MEDIA COVERAGE Child and family blog (March, 2020). https://www.childandfamilyblog.com/childdevelopment/how-do-young-children-make-sense-of-death/ Learning & the brain (October, 2020). https://www.learningandthebrain.com/blog/rich-or-blandwhich-diagrams-helps-students-learn-deeply/ PROFESSIONAL AFFILIATIONS Society for Research in Child Development American Education Research Association Cognitive Science Society Cognitive Development Society Spark Society	<urn:uuid:b4fff574-9ef4-49e2-8b4a-0515f3111da6>	CC-MAIN-2022-49	https://dmenendez.com/files/cv.pdf	2022-12-07T23:56:31+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-49/subset=warc/part-00240-a0906200-461b-4808-9b94-6c53daf73f61.c000.gz.parquet	244,520,026	5,483	eng_Latn	eng_Latn	0.70334	eng_Latn	0.811974	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 98, 4827, 5247, 7609, 11913, 15982, 16423, 18370, 20242, 21068 ]	David Menendez Email: [email protected] Website: dmenendez.com Pronouns: He/ Him/ Él EDUCATION HONORS AND AWARDS RESEARCH FOCUS I study children's and adults' learning of STEM concepts in both formal and informal learning environments. I do so by adopting a mixed methodology, which allows me to examine how children are able to learn through different lenses; for example, by conversing with knowledgeable others, consuming cultural products, and participating in cultural rituals. Additionally, I am interested in how adults and children make appropriate generalizations after learning STEM concepts, and how these generalizations can be scaffolded by the language or visuals in a lesson. PUBLICATIONS * Authors contributed equally to the work underline Undergraduate student co-author Menendez, D., Mathiaparanam, O. N., Seitz, V., Liu, D., Donovan, A. M., Kalish, C. W., Rosengren, K. S., & Alibali, M. W. (in press). Like mother, like daughter: Adults' judgments about genetic inheritance. Journal of Experimental Psychology: Applied. Preprint Menendez, D., Rosengren, K. S., & Alibali, M. W. (2022). Detailed bugs or bugging details? Influence of perceptual richness on biological reasoning across elementary school. Journal of Experimental Child Psychology, 213, 105269. doi: https://doi.org/10.1016/j.jecp.2021.105269 Menendez, D., Klapper, R. E., * Mandel, A. R., * Nicholas, K. A., * Schapfel, M. H., * Silsby, O. O., * Sowers, K. A., * Sumanthiran, D., * Welch, V. E., & Rosengren, K. S. (2021). "When will it be over?" U.S. children's questions and parents' responses about the COVID-19 pandemic. PlosOne, 16(8), e0256692. Pre-print Bridgewater, E., Menendez, D., & Rosengren, K. S. (2021). Capturing death in animated films: Can films stimulate parent-child conversations about death? Cognitive Development, 59, 101063. doi: https://doi.org/10.1016/j.cogdev.2021.101063 Pre-print Menendez, D., Mathiaparanam, O. N., Liu, D., Seitz, V. C., Alibali, M. W., & Rosengren, K. S. (2020). Representing variability: The case of life cycle diagrams. CBE-Life Science Education, 19, ar49. doi: https://doi.org/10.1187/cbe.19-11-0251 Peters, D., Menendez, D. & Rosengren, K. S. (2020). Reframing mental illness: The role of essentialism on stigmatization and perceived treatment efficacy. Memory & Cognition, 48(8), 1317-1333. doi: https://doi.org/10.3758/s13421-020-01061-1 Menendez, D., Rosengren, K. S., & Alibali, M. W. (2020). Do details bug you? Effects of perceptual richness in biological reasoning. Applied Cognitive Psychology, 34, 1101– 1117. doi: https://doi.org/10.1002/acp.3698 Menendez, D., Jiang, M. J., Edwards, K. M., Rosengren, K. S., & Alibali, M. W. (2020). Evaluating and communicating about the healthiness of foods: Predictors of parents' judgments and parent-child conversations. Cognitive Development, 55, 100913. doi: https://doi.org/10.1016/j.cogdev.2020.100913 Menendez, D., Hernandez, I. G., & Rosengren, K. S. (2020). Children's emerging understanding of death. Child Development Perspectives, 14, 55-60. doi: https://doi.org/10.1111/cdep.12357 Gutiérrez, I. T., Menendez, D., Jiang, M. J., Hernandez, I. G., Miller, P., & Rosengren, K. S. (2020). Embracing death: Mexican parent and child perspectives on death. Child Development, 91, e491-e511. doi: https://doi.org/10.1111/cdev.13263 Martinčeková, L., Jiang, M. J., Adams, J., Menendez, D., Hernandez, I. G, Barber, G., & Rosengren, K. S. (2020). Do you remember being told what happened to grandma? The role of early socialization on coping and bereavement. Death Studies, 44, 78-88. doi: https://doi.org/10.1080/07481187.2018.1522386 Brown, S. A., Menendez, D., & Alibali, M. W. (2019). Strategy adoption depends on characteristics of the instruction, learner, and strategy. Cognitive Research: Principles and Implications, 4, 1-18. doi: https://doi.org/10.1186/s41235-019-0158-3 Alibali, M. W., Brown, S. A., & Menendez, D. (2019). Understanding strategy change: Contextual, individual, and metacognitive factors. Advances in Child Development and Behavior, 56, 227-256. doi: https://doi.org/10.1016/bs.acdb.2018.11.004 French, J. A., Menendez, D., Herrmann, P. A., Evans, E. M., & Rosengren, K. S. (2018). Cognitive constraints on understanding lifespan changes. Journal of Experimental Child Psychology, 173, 205-221. doi: https://doi.org/10.1016/j.jecp.2018.03.018 Rosengren, K. S., Jiang, M. J., Kalish, C. W., Menendez, D., & Hernandez, I. G. (2018). Commentary: What heals and why? Children's understanding of medical treatments. Monographs of the Society for Research in Child Development, 83, 175-183. doi: https://doi.org/10.1111/mono.12370 Benjet, C., Menendez, D., Albor, Y., Borges, G., Orozco, R., & Medina-Mora, M. E. (2018). Adolescent predictors of incidence and persistence of suicide related outcomes in young adulthood: A longitudinal study of Mexican youth. Suicide and Life-Threatening Behavior, 48, 755-766. doi: https://doi.org/10.1111/sltb.12397 Borges, G., Benjet, C., Orozco, R., Medina-Mora, M. E., & Menendez, D. (2017). Alcohol, cannabis and other drugs and subsequent suicide ideation and attempt among young Mexicans. Journal of Psychiatric Research, 91, 74-82. doi: https://doi.org/10.1016/j.jpsychires.2017.02.025 CONFERENCE PROCEEDINGS Menendez, D., Alibali, M. W., & Rosengren, K. S. (2018). Effects of priming variability on adults learning about metamorphosis. In C. Kalish, M. Rau, T. Rogers, and J. Zhu (Eds.), Proceedings of the 40 th Annual Conference of the Cognitive Science Society (pp.21022107). Austin, TX: Cognitive Science Society. Brown, S. A., Menendez, D., & Alibali, M. W. (2018). How do people evaluate problem-solving strategies? Efficiency and intuitiveness matter. In C. Kalish, M. Rau, T. Rogers, and J. Zhu (Eds.), Proceedings of the 40 th Annual Conference of the Cognitive Science Society (pp. 1414-1419). Austin, TX: Cognitive Science Society. MANUSCRIPTS UNDER REVIEW Menendez, D., Sabbagh, N. F., Alibali, M. W., & Rosengren, K. S. (under review). Timelines or time cycles: Exposure to different spatial representations of time shapes sketching and diagram preferences. Menendez, D., Brown, S. A., & Alibali, M. W. (under review). Some correct strategies are better than others: Individual differences in strategy evaluations influence strategy adoption. Pre-print Brown, S. A., Menendez, D., Rajan, N. D., & Alibali, M. W. (under review). Says who? Learners are more likely to adopt a new strategy when it is demonstrated by an expert. Hernandez, I. G., Menendez, D., Seitz, V., Pinto-Pro, I., Zeitler, M. H., & Rosengren, K. S. (under review). Parent-child conversations of germ and cold weather theories of the common cold in two cultures. Pre-print Li, Z., Menendez, D., Klapper, R. E., Sturge-Apple, M. L., & Rosengren, K. S. (under review). COVID-19 and child adjustment: The role of coparenting conflict and child temperament. Menendez, D., Donovan, A. M., Mathiaparanam, O. N., Seitz, V., Sabbagh, N., Klapper, R. E., Kalish, C. W., Rosengren, K. S., & Alibali, M. W. (under review). Deterministic or probabilistic: Children's beliefs about genetic inheritance. MANUSCRIPTS IN PREPARATION Drafts of these manuscripts will be made available upon request. Menendez, D., Alibali, M. W., & Rosengren, K. S. (in preparation). Effects of priming variability on children's biological reasoning. Menendez, D., Halama, S. R., Hernandez, I. G., Hassett, R., Johnson, T. M., Koshevatskiy, N. J., Haugstad, N., & Rosengren, K. S. (in preparation). Cognition in action: The relation between physical and mental paper folding in young children. PRESENTATIONS AND INVITED TALKS Invited talks 2022 Learning with and about visualizations of science concepts Interdisciplinary Training Program, Wisconsin Center for Education Research 2022 Learning with and about visualizations of science concepts University of California-Santa Cruz 2021 Learning with and about visualizations of science concepts University of Utah 2021 Learning with and about visualizations of science concepts University of Chicago 2021 Learning with and about visualizations of science concepts Vanderbilt University 2021 Showing the forest or the trees: The role of visualizations in learning and generalization Developmental Psychology Brownbag, Stanford University 2021 Children's and adults' beliefs about genetic inheritance Developmental Psychology Brownbag, University of Chicago 2021 Children's beliefs about genetic inheritance Child Cognition Laboratory, Boston University 2020 Let's talk about death: Socio-cultural influences on children's understanding of death Department of Psychology, Northeastern Illinois University 2020 Translating educational research into assessments Interdisciplinary Training Program, Wisconsin Center for Education Research 2019 Developmental changes in learning with visual representations Department of Psychology, University of Rochester Organized symposia Menendez, D. (March, 2021). The role of experience and beliefs in children's biological reasoning. Symposium presented at the biennial meeting of the Society for the Research in Child Development, Virtual Meeting. Conference talks Menendez, D. (June, 2022). Discussant in G. Panagiotaki (Chair) "Children's understanding of death: Parental, media and cultural influences." Presented at the 26 th Biennial Meeting of the International Society for the Study of Behavioral Development, Rhodes, Greece. Menendez, D., Bridgewater, E., & Rosengren, K. S. (June, 2022). Death in Films: Parents' attitudes and children's questions. In G. Panagiotaki (Chair) "Children's understanding of death: Parental, media and cultural influences." Talk presented at the 26 th Biennial Meeting of the International Society for the Study of Behavioral Development, Rhodes, Greece. Menendez, D., Mathiaparanam, O. N., Donovan, A. M., Seitz, V., Liu, D., Rosengren, K. S., Alibali, M. W., & Kalish, C. W. (March, 2021). Not Exactly like your Mother: Children's Understanding of Genetic Inheritance for Familiar and Unfamiliar Animals. In D. Menendez (Chair) "The role of experience and beliefs in children's biological reasoning." Talk presented at the biennial meeting of the Society for the Research in Child Development, Virtual Meeting. Menendez, D., Bridgewater, E., & Rosengren, K. S. (June, 2020). Death in Films: Parents' attitudes and children's questions. In G. Panagiotaki (Chair) "Children's understanding of death: Parental, media and cultural influences." Talk presented at the 26 th Biennial Meeting of the International Society for the Study of Behavioral Development, Rhodes, Greece. [Cancelled due to COVID-19] Menendez, D., & Rosengren, K. S. (April, 2019). Visual Representations in Children and Adults' Understanding of Metamorphosis. In A. N. Bartel (Chair) "Probing Students' Understanding with Differing External Representations." Talk presented at the Annual Meeting of the American Education Research Association, Toronto, Canada. Menendez, D., Rosengren, K. S., & Alibali, M. W. (April, 2019). Effects of Priming Variability on Children's Endorsement of Metamorphosis and Evolution. In S. Ronfard (Chair) "The Essence of Biological Categories: Factors Influencing Children's Sensitivity to Variability and Change." Talk presented at the Biennial meeting of the Society for Research in Child Development, Baltimore, MD. Rosengren, K. S., Menendez, D., & Alibali, M. W. (May, 2018). Effects of variability primes on learning about biological change. In C. W. Kalish (Chair) "Learning with Variability." Talk presented at the Annual meeting of the Jean Piaget Society in Amsterdam, Netherlands. Rosengren, K. S., & Menendez, D. (January, 2017). Looking for Essences: The Influence of Essentialist Beliefs on Real World Reasoning. Invited symposium discussion at the 12 th Biennial conference of Society for Applied Research in Memory and Cognition, Sydney, Australia. Poster presentations Alcaraz-Carrión, D., Menendez, D., Valenzuela, J., & Alibali, M.W, (July, 2022). When cycles are lines: Time gesture in naturalistic and laboratory settings. Poster presented at the 9 th Conference of the International Society for Gesture Studies, Chicago, IL. Mathiaparanam, O. N., Donovan A.M., Menendez, D., Jones, C., Yoo, S. H., Alibali, M.W, Kalish, C. W., & Rosengren, K. S. (July, 2022). Perceptual features in visual representations: A content analysis of inheritance diagrams. Poster presented at the 43 rd Annual Conference of the Cognitive Science Society, Toronto, Canada. Menendez, D., Rosengren, K. S., & Alibali, M. W. (April, 2022). Bland images, rich talk: The role of perceptual richness in informal science learning. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Madison, WI. Trujillo-Hernández, G., Ünlütabak, B., Velioglu, I., Menendez, D., & Rosengren, K. S. (April, 2022). What is Coronavirus? Content analysis of children's books about COVID-19 in Turkey and the US. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Madison, WI. Menendez, D., Johnson, T. M., Hassett, R., Haut, A., Mathiaparanam, O. N., Alibali, M. W., & Rosengren, K. S. (July, 2020). Characteristics of visualizations and texts in elementary school biology books. Poster presented to the 42 nd Annual Conference of the Cognitive Science Society, Virtual Meeting. Menendez, D., Meredith, L., & Alibali, M. W. (June, 2020). Needing some space: Perceptual support influences encoding of the equal sign. Presentation presented to the annual meeting of the Mathematical Cognition and Learning Society in Dublin, Ireland. [Cancelled due to COVID-19] Menendez, D., Ou, L., Yudelson, M. V., & Simmering, V. R. (October, 2019). Inter-relatedness of pre-algebraic knowledge among middle school children. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Louisville, KY. Menendez, D., Ou, L., Yudelson, M. V., & Simmering, V. R. (October, 2019). Inter-relatedness of pre-algebraic knowledge among middle school children. Poster presented at ETCPS in Iowa City, IA. Bartel, A.N., Donovan A.M., Menendez, D., Brown, S.B., Hogseth, T., & Alibali, M.W. (June, 2019). Investigating the Influence of Textual and Graphical Framing on Problem Solving Accuracy and Strategy Use. Poster presented at the Mathematical Cognition and Learning Society, Ottawa, Canada. Menendez, D., Alibali, M. W., & Rosengren, K. S. (July, 2018). Effects of priming variability on adults learning about metamorphosis. Poster presented at the 40 th Annual Conference of the Cognitive Science Society, Madison, WI. Menendez, D., Brown, S. A., & Alibali, M. W. (May, 2018). Effects of exposure, feedback and need for cognition on strategy change. Poster presented at the Annual meeting of the Jean Piaget Society in Amsterdam, Netherlands. Menendez, D., Alibali, M. W., & Rosengren, K. S. (October, 2017). Effects of priming variability on biological reasoning. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Portland, OR. Menendez, D., Brown, S. A., & Alibali, M. W. (July, 2017). I'll do what she is doing: Promoting the adoption of new problem-solving strategies in undergraduates. Poster presented at the 5th Annual Midwest Meeting on Mathematical Thinking, Minneapolis, MN. Menendez, D., Benjet, C., Borges, G., Albor, Y., Orozco, R., Medina-Mora, M. E. (May, 2017). Adolescent Predictors of the Incidence of Suicide Related Outcomes in Young Adulthood. Poster presented at the 28th APS Annual Convention, Boston, MA. Menendez, D., Rosengren, K. S., & Alibali, M. W. (April, 2017). Do details bug you? Effects of Perceptual Richness in Biological Reasoning. Poster presented at the Biennial meeting of the Society for Research in Child Development, Austin, TX. Menendez, D., Gutierrez, I. T., Jiang, M. J., & Rosengren, K. S. (May, 2016). Embracing Death: Mexican Parent and Child Perspectives on Death. Poster presented at the 28 th APS Annual Convention, Chicago, IL. PROFESSIONAL EXPERIENCE AND SERVICE Professional experience: 2018- The role of visual representations in children's learning about biological variability Present National Science Foundation grant, Role: Graduate student researcher * Design and conduct experiments with children and adults in museum, laboratory, and online settings * Write up pilot data for grant proposal * Collect diagrams and images from biology educational materials 2021 * Analyze quantitative and qualitative data to assess learning * Supervise and mento	r undergraduate and post-baccalaureate researchers * Prepare manuscripts for publication 2019- Cultivating knowledge of mathematical equivalence 2020 * Recruit Latinx and Spanish-speaking families to participate in a longitudinal study on mathematics learning National Science Foundation grant, Role: Graduate student researcher * Create and translate recruitment and study materials in Spanish * Translate between the parent and experimenter details about the study 2019 ACTNext ACT Inc.	, Role: Summer intern * Review and synthesize literature on motivation and science learning * Compare international standards of science education * Prepare proposals for new assessments of scientific knowledge Ad hoc journal reviewer: CBE-Life Science Education Child Development Perspectives Cognitive Science Death Studies Developmental Psychology Early Years Eurasia Journal of Mathematics, Science and Technology Education Frontiers in Psychology Human Behavior and Emergent Technologies Journal of Cognition and Development Journal of Experimental Child Psychology Journal of Experimental Psychology: Human Perception and Performance Journal of Genetic Psychology Monographs for the Society of Research in Child Development PlosOne Departmental service: Psychology Colloquium Series Committee: Member 2016- 2021 Treasurer 2017-2018 Chair 2018-2019 Departmental Climate and Diversity Committee: Member 2017-2019 Graduate Student Representative for Faculty Meetings: Representative 2020-2021 Service-related events: 2022 Let's talk grad school (group of students historically excluded from the academy), hosted by Margaret Echelbarger Let's talk grad school (group of students historically excluded from the academy), hosted by Margaret Echelbarger 2021 Diverse graduate student panel, University of Wisconsin-Madison 2020 2020 Career pathways in educational research for policy, practice and advocacy University of Texas- San Antonio Psi Chi student hour, Northeastern Illinois University 2020 Let's talk grad school (group of students historically excluded from the academy), hosted by Margaret Echelbarger 2017 "Why should I do undergraduate research" panel, University of Wisconsin-Madison TEACHING EXPERIENCE Teaching assistant Fall 2019: Graduate Course in Statistical Analysis of Psychological Experiments Spring 2020: Graduate Course in Design and Analysis of Psychological Experiments Spring 2021: Introduction to Psychology Fall 2021: Introduction to Psychology Guest lectures Spring 2020: Introduction to Bayesian Statistics (Psych 710, graduate-level course) Spring 2020: Conceptual Development (Psych 502) Spring 2021: Introduction to Bayesian Statistics (Psych 710, graduate-level course) Spring 2022: Conceptual Development (Psych 502) Spring 2022: Introduction to Bayesian Statistics (Psych 710, graduate-level course) MENTORSHIP Students mentored in a research lab Katryn Hartfield Taylor Johnson Ashley Haut Erin Condon Ryan Hassett Nicholas Haugstad Madeline Glawe Nicole Koshevatskiy Kaitlin Edwards Michael Sullivan Sonja Vaintrub Olympia Mathiaparanam Gill Schomaker Vienne Seitz Jaclyn Psenka Kylie Robinson Xinyi Liu Jessa Snower Ava Mandel Katrina Nicholas Maria Schapfel Olivia Silsby Kailee Sowers Dillanie Sumanthiran Victoria Welch Nour Sabbagh Aaron Cecil-Xavier Zoe Young Aleena Banuelos Greta Hansen Students mentored who complete senior projects or honors theses Danielle Peters Samuel Halama Students mentored as part of Psychology Research Experience Program Summer research program for underrepresented students in academia Gregory Barber Summer 2016 (co-mentored with Matthew Jiang) , Enrica Bridgewater Summer 2017 Pamela Santiago Summer 2018 (co-mentored with Iseli Hernandez) Danté Jackson Summer 2020 (as alumni mentor) Students mentored as part of the McNair Scholars program Jamal Adams Students mentored as part of the PASOS program Mentoring program for Latinx students at UW-Madison Jonathan Godinez Jacqueline Conception Cruz MEDIA COVERAGE Child and family blog (March, 2020). https://www.childandfamilyblog.com/childdevelopment/how-do-young-children-make-sense-of-death/ Learning & the brain (October, 2020). https://www.learningandthebrain.com/blog/rich-or-blandwhich-diagrams-helps-students-learn-deeply/ PROFESSIONAL AFFILIATIONS Society for Research in Child Development American Education Research Association Cognitive Science Society Cognitive Development Society Spark Society	16,529	inside_word	mentor	remove_one_sentence	<url> https://dmenendez.com/files/cv.pdf </url> <text> David Menendez Email: [email protected] Website: dmenendez.com Pronouns: He/ Him/ Él EDUCATION HONORS AND AWARDS RESEARCH FOCUS I study children's and adults' learning of STEM concepts in both formal and informal learning environments. I do so by adopting a mixed methodology, which allows me to examine how children are able to learn through different lenses; for example, by conversing with knowledgeable others, consuming cultural products, and participating in cultural rituals. Additionally, I am interested in how adults and children make appropriate generalizations after learning STEM concepts, and how these generalizations can be scaffolded by the language or visuals in a lesson. PUBLICATIONS * Authors contributed equally to the work underline Undergraduate student co-author Menendez, D., Mathiaparanam, O. N., Seitz, V., Liu, D., Donovan, A. M., Kalish, C. W., Rosengren, K. S., & Alibali, M. W. (in press). Like mother, like daughter: Adults' judgments about genetic inheritance. Journal of Experimental Psychology: Applied. Preprint Menendez, D., Rosengren, K. S., & Alibali, M. W. (2022). Detailed bugs or bugging details? Influence of perceptual richness on biological reasoning across elementary school. Journal of Experimental Child Psychology, 213, 105269. doi: https://doi.org/10.1016/j.jecp.2021.105269 Menendez, D., Klapper, R. E., * Mandel, A. R., * Nicholas, K. A., * Schapfel, M. H., * Silsby, O. O., * Sowers, K. A., * Sumanthiran, D., * Welch, V. E., & Rosengren, K. S. (2021). "When will it be over?" U.S. children's questions and parents' responses about the COVID-19 pandemic. PlosOne, 16(8), e0256692. Pre-print Bridgewater, E., Menendez, D., & Rosengren, K. S. (2021). Capturing death in animated films: Can films stimulate parent-child conversations about death? Cognitive Development, 59, 101063. doi: https://doi.org/10.1016/j.cogdev.2021.101063 Pre-print Menendez, D., Mathiaparanam, O. N., Liu, D., Seitz, V. C., Alibali, M. W., & Rosengren, K. S. (2020). Representing variability: The case of life cycle diagrams. CBE-Life Science Education, 19, ar49. doi: https://doi.org/10.1187/cbe.19-11-0251 Peters, D., Menendez, D. & Rosengren, K. S. (2020). Reframing mental illness: The role of essentialism on stigmatization and perceived treatment efficacy. Memory & Cognition, 48(8), 1317-1333. doi: https://doi.org/10.3758/s13421-020-01061-1 Menendez, D., Rosengren, K. S., & Alibali, M. W. (2020). Do details bug you? Effects of perceptual richness in biological reasoning. Applied Cognitive Psychology, 34, 1101– 1117. doi: https://doi.org/10.1002/acp.3698 Menendez, D., Jiang, M. J., Edwards, K. M., Rosengren, K. S., & Alibali, M. W. (2020). Evaluating and communicating about the healthiness of foods: Predictors of parents' judgments and parent-child conversations. Cognitive Development, 55, 100913. doi: https://doi.org/10.1016/j.cogdev.2020.100913 Menendez, D., Hernandez, I. G., & Rosengren, K. S. (2020). Children's emerging understanding of death. Child Development Perspectives, 14, 55-60. doi: https://doi.org/10.1111/cdep.12357 Gutiérrez, I. T., Menendez, D., Jiang, M. J., Hernandez, I. G., Miller, P., & Rosengren, K. S. (2020). Embracing death: Mexican parent and child perspectives on death. Child Development, 91, e491-e511. doi: https://doi.org/10.1111/cdev.13263 Martinčeková, L., Jiang, M. J., Adams, J., Menendez, D., Hernandez, I. G, Barber, G., & Rosengren, K. S. (2020). Do you remember being told what happened to grandma? The role of early socialization on coping and bereavement. Death Studies, 44, 78-88. doi: https://doi.org/10.1080/07481187.2018.1522386 Brown, S. A., Menendez, D., & Alibali, M. W. (2019). Strategy adoption depends on characteristics of the instruction, learner, and strategy. Cognitive Research: Principles and Implications, 4, 1-18. doi: https://doi.org/10.1186/s41235-019-0158-3 Alibali, M. W., Brown, S. A., & Menendez, D. (2019). Understanding strategy change: Contextual, individual, and metacognitive factors. Advances in Child Development and Behavior, 56, 227-256. doi: https://doi.org/10.1016/bs.acdb.2018.11.004 French, J. A., Menendez, D., Herrmann, P. A., Evans, E. M., & Rosengren, K. S. (2018). Cognitive constraints on understanding lifespan changes. Journal of Experimental Child Psychology, 173, 205-221. doi: https://doi.org/10.1016/j.jecp.2018.03.018 Rosengren, K. S., Jiang, M. J., Kalish, C. W., Menendez, D., & Hernandez, I. G. (2018). Commentary: What heals and why? Children's understanding of medical treatments. Monographs of the Society for Research in Child Development, 83, 175-183. doi: https://doi.org/10.1111/mono.12370 Benjet, C., Menendez, D., Albor, Y., Borges, G., Orozco, R., & Medina-Mora, M. E. (2018). Adolescent predictors of incidence and persistence of suicide related outcomes in young adulthood: A longitudinal study of Mexican youth. Suicide and Life-Threatening Behavior, 48, 755-766. doi: https://doi.org/10.1111/sltb.12397 Borges, G., Benjet, C., Orozco, R., Medina-Mora, M. E., & Menendez, D. (2017). Alcohol, cannabis and other drugs and subsequent suicide ideation and attempt among young Mexicans. Journal of Psychiatric Research, 91, 74-82. doi: https://doi.org/10.1016/j.jpsychires.2017.02.025 CONFERENCE PROCEEDINGS Menendez, D., Alibali, M. W., & Rosengren, K. S. (2018). Effects of priming variability on adults learning about metamorphosis. In C. Kalish, M. Rau, T. Rogers, and J. Zhu (Eds.), Proceedings of the 40 th Annual Conference of the Cognitive Science Society (pp.21022107). Austin, TX: Cognitive Science Society. Brown, S. A., Menendez, D., & Alibali, M. W. (2018). How do people evaluate problem-solving strategies? Efficiency and intuitiveness matter. In C. Kalish, M. Rau, T. Rogers, and J. Zhu (Eds.), Proceedings of the 40 th Annual Conference of the Cognitive Science Society (pp. 1414-1419). Austin, TX: Cognitive Science Society. MANUSCRIPTS UNDER REVIEW Menendez, D., Sabbagh, N. F., Alibali, M. W., & Rosengren, K. S. (under review). Timelines or time cycles: Exposure to different spatial representations of time shapes sketching and diagram preferences. Menendez, D., Brown, S. A., & Alibali, M. W. (under review). Some correct strategies are better than others: Individual differences in strategy evaluations influence strategy adoption. Pre-print Brown, S. A., Menendez, D., Rajan, N. D., & Alibali, M. W. (under review). Says who? Learners are more likely to adopt a new strategy when it is demonstrated by an expert. Hernandez, I. G., Menendez, D., Seitz, V., Pinto-Pro, I., Zeitler, M. H., & Rosengren, K. S. (under review). Parent-child conversations of germ and cold weather theories of the common cold in two cultures. Pre-print Li, Z., Menendez, D., Klapper, R. E., Sturge-Apple, M. L., & Rosengren, K. S. (under review). COVID-19 and child adjustment: The role of coparenting conflict and child temperament. Menendez, D., Donovan, A. M., Mathiaparanam, O. N., Seitz, V., Sabbagh, N., Klapper, R. E., Kalish, C. W., Rosengren, K. S., & Alibali, M. W. (under review). Deterministic or probabilistic: Children's beliefs about genetic inheritance. MANUSCRIPTS IN PREPARATION Drafts of these manuscripts will be made available upon request. Menendez, D., Alibali, M. W., & Rosengren, K. S. (in preparation). Effects of priming variability on children's biological reasoning. Menendez, D., Halama, S. R., Hernandez, I. G., Hassett, R., Johnson, T. M., Koshevatskiy, N. J., Haugstad, N., & Rosengren, K. S. (in preparation). Cognition in action: The relation between physical and mental paper folding in young children. PRESENTATIONS AND INVITED TALKS Invited talks 2022 Learning with and about visualizations of science concepts Interdisciplinary Training Program, Wisconsin Center for Education Research 2022 Learning with and about visualizations of science concepts University of California-Santa Cruz 2021 Learning with and about visualizations of science concepts University of Utah 2021 Learning with and about visualizations of science concepts University of Chicago 2021 Learning with and about visualizations of science concepts Vanderbilt University 2021 Showing the forest or the trees: The role of visualizations in learning and generalization Developmental Psychology Brownbag, Stanford University 2021 Children's and adults' beliefs about genetic inheritance Developmental Psychology Brownbag, University of Chicago 2021 Children's beliefs about genetic inheritance Child Cognition Laboratory, Boston University 2020 Let's talk about death: Socio-cultural influences on children's understanding of death Department of Psychology, Northeastern Illinois University 2020 Translating educational research into assessments Interdisciplinary Training Program, Wisconsin Center for Education Research 2019 Developmental changes in learning with visual representations Department of Psychology, University of Rochester Organized symposia Menendez, D. (March, 2021). The role of experience and beliefs in children's biological reasoning. Symposium presented at the biennial meeting of the Society for the Research in Child Development, Virtual Meeting. Conference talks Menendez, D. (June, 2022). Discussant in G. Panagiotaki (Chair) "Children's understanding of death: Parental, media and cultural influences." Presented at the 26 th Biennial Meeting of the International Society for the Study of Behavioral Development, Rhodes, Greece. Menendez, D., Bridgewater, E., & Rosengren, K. S. (June, 2022). Death in Films: Parents' attitudes and children's questions. In G. Panagiotaki (Chair) "Children's understanding of death: Parental, media and cultural influences." Talk presented at the 26 th Biennial Meeting of the International Society for the Study of Behavioral Development, Rhodes, Greece. Menendez, D., Mathiaparanam, O. N., Donovan, A. M., Seitz, V., Liu, D., Rosengren, K. S., Alibali, M. W., & Kalish, C. W. (March, 2021). Not Exactly like your Mother: Children's Understanding of Genetic Inheritance for Familiar and Unfamiliar Animals. In D. Menendez (Chair) "The role of experience and beliefs in children's biological reasoning." Talk presented at the biennial meeting of the Society for the Research in Child Development, Virtual Meeting. Menendez, D., Bridgewater, E., & Rosengren, K. S. (June, 2020). Death in Films: Parents' attitudes and children's questions. In G. Panagiotaki (Chair) "Children's understanding of death: Parental, media and cultural influences." Talk presented at the 26 th Biennial Meeting of the International Society for the Study of Behavioral Development, Rhodes, Greece. [Cancelled due to COVID-19] Menendez, D., & Rosengren, K. S. (April, 2019). Visual Representations in Children and Adults' Understanding of Metamorphosis. In A. N. Bartel (Chair) "Probing Students' Understanding with Differing External Representations." Talk presented at the Annual Meeting of the American Education Research Association, Toronto, Canada. Menendez, D., Rosengren, K. S., & Alibali, M. W. (April, 2019). Effects of Priming Variability on Children's Endorsement of Metamorphosis and Evolution. In S. Ronfard (Chair) "The Essence of Biological Categories: Factors Influencing Children's Sensitivity to Variability and Change." Talk presented at the Biennial meeting of the Society for Research in Child Development, Baltimore, MD. Rosengren, K. S., Menendez, D., & Alibali, M. W. (May, 2018). Effects of variability primes on learning about biological change. In C. W. Kalish (Chair) "Learning with Variability." Talk presented at the Annual meeting of the Jean Piaget Society in Amsterdam, Netherlands. Rosengren, K. S., & Menendez, D. (January, 2017). Looking for Essences: The Influence of Essentialist Beliefs on Real World Reasoning. Invited symposium discussion at the 12 th Biennial conference of Society for Applied Research in Memory and Cognition, Sydney, Australia. Poster presentations Alcaraz-Carrión, D., Menendez, D., Valenzuela, J., & Alibali, M.W, (July, 2022). When cycles are lines: Time gesture in naturalistic and laboratory settings. Poster presented at the 9 th Conference of the International Society for Gesture Studies, Chicago, IL. Mathiaparanam, O. N., Donovan A.M., Menendez, D., Jones, C., Yoo, S. H., Alibali, M.W, Kalish, C. W., & Rosengren, K. S. (July, 2022). Perceptual features in visual representations: A content analysis of inheritance diagrams. Poster presented at the 43 rd Annual Conference of the Cognitive Science Society, Toronto, Canada. Menendez, D., Rosengren, K. S., & Alibali, M. W. (April, 2022). Bland images, rich talk: The role of perceptual richness in informal science learning. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Madison, WI. Trujillo-Hernández, G., Ünlütabak, B., Velioglu, I., Menendez, D., & Rosengren, K. S. (April, 2022). What is Coronavirus? Content analysis of children's books about COVID-19 in Turkey and the US. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Madison, WI. Menendez, D., Johnson, T. M., Hassett, R., Haut, A., Mathiaparanam, O. N., Alibali, M. W., & Rosengren, K. S. (July, 2020). Characteristics of visualizations and texts in elementary school biology books. Poster presented to the 42 nd Annual Conference of the Cognitive Science Society, Virtual Meeting. Menendez, D., Meredith, L., & Alibali, M. W. (June, 2020). Needing some space: Perceptual support influences encoding of the equal sign. Presentation presented to the annual meeting of the Mathematical Cognition and Learning Society in Dublin, Ireland. [Cancelled due to COVID-19] Menendez, D., Ou, L., Yudelson, M. V., & Simmering, V. R. (October, 2019). Inter-relatedness of pre-algebraic knowledge among middle school children. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Louisville, KY. Menendez, D., Ou, L., Yudelson, M. V., & Simmering, V. R. (October, 2019). Inter-relatedness of pre-algebraic knowledge among middle school children. Poster presented at ETCPS in Iowa City, IA. Bartel, A.N., Donovan A.M., Menendez, D., Brown, S.B., Hogseth, T., & Alibali, M.W. (June, 2019). Investigating the Influence of Textual and Graphical Framing on Problem Solving Accuracy and Strategy Use. Poster presented at the Mathematical Cognition and Learning Society, Ottawa, Canada. Menendez, D., Alibali, M. W., & Rosengren, K. S. (July, 2018). Effects of priming variability on adults learning about metamorphosis. Poster presented at the 40 th Annual Conference of the Cognitive Science Society, Madison, WI. Menendez, D., Brown, S. A., & Alibali, M. W. (May, 2018). Effects of exposure, feedback and need for cognition on strategy change. Poster presented at the Annual meeting of the Jean Piaget Society in Amsterdam, Netherlands. Menendez, D., Alibali, M. W., & Rosengren, K. S. (October, 2017). Effects of priming variability on biological reasoning. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Portland, OR. Menendez, D., Brown, S. A., & Alibali, M. W. (July, 2017). I'll do what she is doing: Promoting the adoption of new problem-solving strategies in undergraduates. Poster presented at the 5th Annual Midwest Meeting on Mathematical Thinking, Minneapolis, MN. Menendez, D., Benjet, C., Borges, G., Albor, Y., Orozco, R., Medina-Mora, M. E. (May, 2017). Adolescent Predictors of the Incidence of Suicide Related Outcomes in Young Adulthood. Poster presented at the 28th APS Annual Convention, Boston, MA. Menendez, D., Rosengren, K. S., & Alibali, M. W. (April, 2017). Do details bug you? Effects of Perceptual Richness in Biological Reasoning. Poster presented at the Biennial meeting of the Society for Research in Child Development, Austin, TX. Menendez, D., Gutierrez, I. T., Jiang, M. J., & Rosengren, K. S. (May, 2016). Embracing Death: Mexican Parent and Child Perspectives on Death. Poster presented at the 28 th APS Annual Convention, Chicago, IL. PROFESSIONAL EXPERIENCE AND SERVICE Professional experience: 2018- The role of visual representations in children's learning about biological variability Present National Science Foundation grant, Role: Graduate student researcher * Design and conduct experiments with children and adults in museum, laboratory, and online settings * Write up pilot data for grant proposal * Collect diagrams and images from biology educational materials 2021 * Analyze quantitative and qualitative data to assess learning * Supervise and mento<cursor_is_here>, Role: Summer intern * Review and synthesize literature on motivation and science learning * Compare international standards of science education * Prepare proposals for new assessments of scientific knowledge Ad hoc journal reviewer: CBE-Life Science Education Child Development Perspectives Cognitive Science Death Studies Developmental Psychology Early Years Eurasia Journal of Mathematics, Science and Technology Education Frontiers in Psychology Human Behavior and Emergent Technologies Journal of Cognition and Development Journal of Experimental Child Psychology Journal of Experimental Psychology: Human Perception and Performance Journal of Genetic Psychology Monographs for the Society of Research in Child Development PlosOne Departmental service: Psychology Colloquium Series Committee: Member 2016- 2021 Treasurer 2017-2018 Chair 2018-2019 Departmental Climate and Diversity Committee: Member 2017-2019 Graduate Student Representative for Faculty Meetings: Representative 2020-2021 Service-related events: 2022 Let's talk grad school (group of students historically excluded from the academy), hosted by Margaret Echelbarger Let's talk grad school (group of students historically excluded from the academy), hosted by Margaret Echelbarger 2021 Diverse graduate student panel, University of Wisconsin-Madison 2020 2020 Career pathways in educational research for policy, practice and advocacy University of Texas- San Antonio Psi Chi student hour, Northeastern Illinois University 2020 Let's talk grad school (group of students historically excluded from the academy), hosted by Margaret Echelbarger 2017 "Why should I do undergraduate research" panel, University of Wisconsin-Madison TEACHING EXPERIENCE Teaching assistant Fall 2019: Graduate Course in Statistical Analysis of Psychological Experiments Spring 2020: Graduate Course in Design and Analysis of Psychological Experiments Spring 2021: Introduction to Psychology Fall 2021: Introduction to Psychology Guest lectures Spring 2020: Introduction to Bayesian Statistics (Psych 710, graduate-level course) Spring 2020: Conceptual Development (Psych 502) Spring 2021: Introduction to Bayesian Statistics (Psych 710, graduate-level course) Spring 2022: Conceptual Development (Psych 502) Spring 2022: Introduction to Bayesian Statistics (Psych 710, graduate-level course) MENTORSHIP Students mentored in a research lab Katryn Hartfield Taylor Johnson Ashley Haut Erin Condon Ryan Hassett Nicholas Haugstad Madeline Glawe Nicole Koshevatskiy Kaitlin Edwards Michael Sullivan Sonja Vaintrub Olympia Mathiaparanam Gill Schomaker Vienne Seitz Jaclyn Psenka Kylie Robinson Xinyi Liu Jessa Snower Ava Mandel Katrina Nicholas Maria Schapfel Olivia Silsby Kailee Sowers Dillanie Sumanthiran Victoria Welch Nour Sabbagh Aaron Cecil-Xavier Zoe Young Aleena Banuelos Greta Hansen Students mentored who complete senior projects or honors theses Danielle Peters Samuel Halama Students mentored as part of Psychology Research Experience Program Summer research program for underrepresented students in academia Gregory Barber Summer 2016 (co-mentored with Matthew Jiang) , Enrica Bridgewater Summer 2017 Pamela Santiago Summer 2018 (co-mentored with Iseli Hernandez) Danté Jackson Summer 2020 (as alumni mentor) Students mentored as part of the McNair Scholars program Jamal Adams Students mentored as part of the PASOS program Mentoring program for Latinx students at UW-Madison Jonathan Godinez Jacqueline Conception Cruz MEDIA COVERAGE Child and family blog (March, 2020). https://www.childandfamilyblog.com/childdevelopment/how-do-young-children-make-sense-of-death/ Learning & the brain (October, 2020). https://www.learningandthebrain.com/blog/rich-or-blandwhich-diagrams-helps-students-learn-deeply/ PROFESSIONAL AFFILIATIONS Society for Research in Child Development American Education Research Association Cognitive Science Society Cognitive Development Society Spark Society </text>	[ { "content": "<url>\nhttps://dmenendez.com/files/cv.pdf\n</url>\n<text>\nDavid Menendez\n\nEmail:\n\[email protected]\n\nWebsite: dmenendez.com\n\nPronouns: He/ Him/ Él\n\nEDUCATION\n\nHONORS AND AWARDS\n\nRESEARCH FOCUS\n\nI study children's and adults' learning of STEM concepts in both formal and informal learning environments. I do so by adopting a mixed methodology, which allows me to examine how children are able to learn through different lenses; for example, by conversing with knowledgeable others, consuming cultural products, and participating in cultural rituals. Additionally, I am interested in how adults and children make appropriate generalizations after learning STEM concepts, and how these generalizations can be scaffolded by the language or visuals in a lesson.\n\nPUBLICATIONS\n\n* Authors contributed equally to the work underline Undergraduate student co-author\nMenendez, D., Mathiaparanam, O. N., Seitz, V., Liu, D., Donovan, A. M., Kalish, C. W., Rosengren, K. S., & Alibali, M. W. (in press). Like mother, like daughter: Adults' judgments about genetic inheritance. Journal of Experimental Psychology: Applied. Preprint\nMenendez, D., Rosengren, K. S., & Alibali, M. W. (2022). Detailed bugs or bugging details? Influence of perceptual richness on biological reasoning across elementary school. Journal of Experimental Child Psychology, 213, 105269. doi: https://doi.org/10.1016/j.jecp.2021.105269\nMenendez, D., Klapper, R. E., * Mandel, A. R., * Nicholas, K. A., * Schapfel, M. H., * Silsby, O. O., * Sowers, K. A., * Sumanthiran, D., * Welch, V. E., & Rosengren, K. S. (2021). \"When will it be over?\" U.S. children's questions and parents' responses about the COVID-19 pandemic. PlosOne, 16(8), e0256692. Pre-print\nBridgewater, E., Menendez, D., & Rosengren, K. S. (2021). Capturing death in animated films: Can films stimulate parent-child conversations about death? Cognitive Development, 59, 101063. doi: https://doi.org/10.1016/j.cogdev.2021.101063 Pre-print\nMenendez, D., Mathiaparanam, O. N., Liu, D., Seitz, V. C., Alibali, M. W., & Rosengren, K. S. (2020). Representing variability: The case of life cycle diagrams. CBE-Life Science Education, 19, ar49. doi: https://doi.org/10.1187/cbe.19-11-0251\nPeters, D., Menendez, D. & Rosengren, K. S. (2020). Reframing mental illness: The role of essentialism on stigmatization and perceived treatment efficacy. Memory & Cognition, 48(8), 1317-1333. doi: https://doi.org/10.3758/s13421-020-01061-1\nMenendez, D., Rosengren, K. S., & Alibali, M. W. (2020). Do details bug you? Effects of perceptual richness in biological reasoning. Applied Cognitive Psychology, 34, 1101– 1117. doi: https://doi.org/10.1002/acp.3698\nMenendez, D., Jiang, M. J., Edwards, K. M., Rosengren, K. S., & Alibali, M. W. (2020). Evaluating and communicating about the healthiness of foods: Predictors of parents' judgments and parent-child conversations. Cognitive Development, 55, 100913. doi: https://doi.org/10.1016/j.cogdev.2020.100913\nMenendez, D., Hernandez, I. G., & Rosengren, K. S. (2020). Children's emerging understanding of death. Child Development Perspectives, 14, 55-60. doi: https://doi.org/10.1111/cdep.12357\nGutiérrez, I. T., Menendez, D., Jiang, M. J., Hernandez, I. G., Miller, P., & Rosengren, K. S. (2020). Embracing death: Mexican parent and child perspectives on death. Child Development, 91, e491-e511. doi: https://doi.org/10.1111/cdev.13263\nMartinčeková, L., Jiang, M. J., Adams, J., Menendez, D., Hernandez, I. G, Barber, G., & Rosengren, K. S. (2020). Do you remember being told what happened to grandma? The role of early socialization on coping and bereavement. Death Studies, 44, 78-88. doi: https://doi.org/10.1080/07481187.2018.1522386\nBrown, S. A., Menendez, D., & Alibali, M. W. (2019). Strategy adoption depends on characteristics of the instruction, learner, and strategy. Cognitive Research: Principles and Implications, 4, 1-18. doi: https://doi.org/10.1186/s41235-019-0158-3\nAlibali, M. W., Brown, S. A., & Menendez, D. (2019). Understanding strategy change: Contextual, individual, and metacognitive factors. Advances in Child Development and Behavior, 56, 227-256. doi: https://doi.org/10.1016/bs.acdb.2018.11.004\nFrench, J. A., Menendez, D., Herrmann, P. A., Evans, E. M., & Rosengren, K. S. (2018). Cognitive constraints on understanding lifespan changes. Journal of Experimental Child Psychology, 173, 205-221. doi: https://doi.org/10.1016/j.jecp.2018.03.018\nRosengren, K. S., Jiang, M. J., Kalish, C. W., Menendez, D., & Hernandez, I. G. (2018). Commentary: What heals and why? Children's understanding of medical treatments. Monographs of the Society for Research in Child Development, 83, 175-183. doi: https://doi.org/10.1111/mono.12370\nBenjet, C., Menendez, D., Albor, Y., Borges, G., Orozco, R., & Medina-Mora, M. E. (2018). Adolescent predictors of incidence and persistence of suicide related outcomes in young\n\nadulthood: A longitudinal study of Mexican youth. Suicide and Life-Threatening Behavior, 48, 755-766. doi: https://doi.org/10.1111/sltb.12397\nBorges, G., Benjet, C., Orozco, R., Medina-Mora, M. E., & Menendez, D. (2017). Alcohol, cannabis and other drugs and subsequent suicide ideation and attempt among young Mexicans. Journal of Psychiatric Research, 91, 74-82. doi: https://doi.org/10.1016/j.jpsychires.2017.02.025\n\nCONFERENCE PROCEEDINGS\n\nMenendez, D., Alibali, M. W., & Rosengren, K. S. (2018). Effects of priming variability on adults learning about metamorphosis. In C. Kalish, M. Rau, T. Rogers, and J. Zhu (Eds.), Proceedings of the 40 th Annual Conference of the Cognitive Science Society (pp.21022107). Austin, TX: Cognitive Science Society.\nBrown, S. A., Menendez, D., & Alibali, M. W. (2018). How do people evaluate problem-solving strategies? Efficiency and intuitiveness matter. In C. Kalish, M. Rau, T. Rogers, and J. Zhu (Eds.), Proceedings of the 40 th Annual Conference of the Cognitive Science Society (pp. 1414-1419). Austin, TX: Cognitive Science Society.\n\nMANUSCRIPTS UNDER REVIEW\n\nMenendez, D., Sabbagh, N. F., Alibali, M. W., & Rosengren, K. S. (under review). Timelines or time cycles: Exposure to different spatial representations of time shapes sketching and diagram preferences.\nMenendez, D., Brown, S. A., & Alibali, M. W. (under review). Some correct strategies are better than others: Individual differences in strategy evaluations influence strategy adoption. Pre-print\nBrown, S. A., Menendez, D., Rajan, N. D., & Alibali, M. W. (under review). Says who? Learners are more likely to adopt a new strategy when it is demonstrated by an expert.\nHernandez, I. G., Menendez, D., Seitz, V., Pinto-Pro, I., Zeitler, M. H., & Rosengren, K. S. (under review). Parent-child conversations of germ and cold weather theories of the common cold in two cultures. Pre-print\nLi, Z., Menendez, D., Klapper, R. E., Sturge-Apple, M. L., & Rosengren, K. S. (under review). COVID-19 and child adjustment: The role of coparenting conflict and child temperament.\nMenendez, D., Donovan, A. M., Mathiaparanam, O. N., Seitz, V., Sabbagh, N., Klapper, R. E., Kalish, C. W., Rosengren, K. S., & Alibali, M. W. (under review). Deterministic or probabilistic: Children's beliefs about genetic inheritance.\n\nMANUSCRIPTS IN PREPARATION\n\nDrafts of these manuscripts will be made available upon request.\n\nMenendez, D., Alibali, M. W., & Rosengren, K. S. (in preparation). Effects of priming variability on children's biological reasoning.\nMenendez, D., Halama, S. R., Hernandez, I. G., Hassett, R., Johnson, T. M., Koshevatskiy, N. J., Haugstad, N., & Rosengren, K. S. (in preparation). Cognition in action: The relation between physical and mental paper folding in young children.\n\nPRESENTATIONS AND INVITED TALKS\n\nInvited talks\n\n2022 Learning with and about visualizations of science concepts\nInterdisciplinary Training Program, Wisconsin Center for Education Research\n\n2022\n\nLearning with and about visualizations of science concepts\n\nUniversity of California-Santa Cruz\n\n2021 Learning with and about visualizations of science concepts University of Utah\n2021 Learning with and about visualizations of science concepts University of Chicago\n2021 Learning with and about visualizations of science concepts Vanderbilt University\n2021 Showing the forest or the trees: The role of visualizations in learning and generalization Developmental Psychology Brownbag, Stanford University\n2021 Children's and adults' beliefs about genetic inheritance Developmental Psychology Brownbag, University of Chicago\n2021 Children's beliefs about genetic inheritance\nChild Cognition Laboratory, Boston University\n2020 Let's talk about death: Socio-cultural influences on children's understanding of death Department of Psychology, Northeastern Illinois University\n2020 Translating educational research into assessments Interdisciplinary Training Program, Wisconsin Center for Education Research\n2019 Developmental changes in learning with visual representations Department of Psychology, University of Rochester\n\nOrganized symposia\n\nMenendez, D. (March, 2021). The role of experience and beliefs in children's biological reasoning. Symposium presented at the biennial meeting of the Society for the Research in Child Development, Virtual Meeting.\n\nConference talks\n\nMenendez, D. (June, 2022). Discussant in G. Panagiotaki (Chair) \"Children's understanding of death: Parental, media and cultural influences.\" Presented at the 26 th Biennial Meeting of the International Society for the Study of Behavioral Development, Rhodes, Greece.\nMenendez, D., Bridgewater, E., & Rosengren, K. S. (June, 2022). Death in Films: Parents' attitudes and children's questions. In G. Panagiotaki (Chair) \"Children's understanding of death: Parental, media and cultural influences.\" Talk presented at the 26 th Biennial Meeting of the International Society for the Study of Behavioral Development, Rhodes, Greece.\nMenendez, D., Mathiaparanam, O. N., Donovan, A. M., Seitz, V., Liu, D., Rosengren, K. S., Alibali, M. W., & Kalish, C. W. (March, 2021). Not Exactly like your Mother: Children's\nUnderstanding of Genetic Inheritance for Familiar and Unfamiliar Animals. In D. Menendez (Chair) \"The role of experience and beliefs in children's biological reasoning.\" Talk presented at the biennial meeting of the Society for the Research in Child Development, Virtual Meeting.\nMenendez, D., Bridgewater, E., & Rosengren, K. S. (June, 2020). Death in Films: Parents' attitudes and children's questions. In G. Panagiotaki (Chair) \"Children's understanding of death: Parental, media and cultural influences.\" Talk presented at the 26 th Biennial Meeting of the International Society for the Study of Behavioral Development, Rhodes, Greece. [Cancelled due to COVID-19]\nMenendez, D., & Rosengren, K. S. (April, 2019). Visual Representations in Children and Adults' Understanding of Metamorphosis. In A. N. Bartel (Chair) \"Probing Students' Understanding with Differing External Representations.\" Talk presented at the Annual Meeting of the American Education Research Association, Toronto, Canada.\nMenendez, D., Rosengren, K. S., & Alibali, M. W. (April, 2019). Effects of Priming Variability on Children's Endorsement of Metamorphosis and Evolution. In S. Ronfard (Chair) \"The Essence of Biological Categories: Factors Influencing Children's Sensitivity to Variability and Change.\" Talk presented at the Biennial meeting of the Society for Research in Child Development, Baltimore, MD.\nRosengren, K. S., Menendez, D., & Alibali, M. W. (May, 2018). Effects of variability primes on learning about biological change. In C. W. Kalish (Chair) \"Learning with Variability.\" Talk presented at the Annual meeting of the Jean Piaget Society in Amsterdam, Netherlands.\nRosengren, K. S., & Menendez, D. (January, 2017). Looking for Essences: The Influence of Essentialist Beliefs on Real World Reasoning. Invited symposium discussion at the 12 th Biennial conference of Society for Applied Research in Memory and Cognition, Sydney, Australia.\n\nPoster presentations\n\nAlcaraz-Carrión, D., Menendez, D., Valenzuela, J., & Alibali, M.W, (July, 2022). When cycles are lines: Time gesture in naturalistic and laboratory settings. Poster presented at the 9 th Conference of the International Society for Gesture Studies, Chicago, IL.\nMathiaparanam, O. N., Donovan A.M., Menendez, D., Jones, C., Yoo, S. H., Alibali, M.W, Kalish, C. W., & Rosengren, K. S. (July, 2022). Perceptual features in visual representations: A content analysis of inheritance diagrams. Poster presented at the 43 rd Annual Conference of the Cognitive Science Society, Toronto, Canada.\nMenendez, D., Rosengren, K. S., & Alibali, M. W. (April, 2022). Bland images, rich talk: The role of perceptual richness in informal science learning. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Madison, WI.\nTrujillo-Hernández, G., Ünlütabak, B., Velioglu, I., Menendez, D., & Rosengren, K. S. (April, 2022). What is Coronavirus? Content analysis of children's books about COVID-19 in Turkey and the US. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Madison, WI.\nMenendez, D., Johnson, T. M., Hassett, R., Haut, A., Mathiaparanam, O. N., Alibali, M. W., & Rosengren, K. S. (July, 2020). Characteristics of visualizations and texts in elementary school biology books. Poster presented to the 42 nd Annual Conference of the Cognitive Science Society, Virtual Meeting.\nMenendez, D., Meredith, L., & Alibali, M. W. (June, 2020). Needing some space: Perceptual support influences encoding of the equal sign. Presentation presented to the annual meeting of the Mathematical Cognition and Learning Society in Dublin, Ireland. [Cancelled due to COVID-19]\nMenendez, D., Ou, L., Yudelson, M. V., & Simmering, V. R. (October, 2019). Inter-relatedness of pre-algebraic knowledge among middle school children. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Louisville, KY.\nMenendez, D., Ou, L., Yudelson, M. V., & Simmering, V. R. (October, 2019). Inter-relatedness of pre-algebraic knowledge among middle school children. Poster presented at ETCPS in Iowa City, IA.\nBartel, A.N., Donovan A.M., Menendez, D., Brown, S.B., Hogseth, T., & Alibali, M.W. (June, 2019). Investigating the Influence of Textual and Graphical Framing on Problem Solving Accuracy and Strategy Use. Poster presented at the Mathematical Cognition and Learning Society, Ottawa, Canada.\nMenendez, D., Alibali, M. W., & Rosengren, K. S. (July, 2018). Effects of priming variability on adults learning about metamorphosis. Poster presented at the 40 th Annual Conference of the Cognitive Science Society, Madison, WI.\nMenendez, D., Brown, S. A., & Alibali, M. W. (May, 2018). Effects of exposure, feedback and need for cognition on strategy change. Poster presented at the Annual meeting of the Jean Piaget Society in Amsterdam, Netherlands.\nMenendez, D., Alibali, M. W., & Rosengren, K. S. (October, 2017). Effects of priming variability on biological reasoning. Poster presented at the Cognitive Development Society Bi-Ennial Conference in Portland, OR.\nMenendez, D., Brown, S. A., & Alibali, M. W. (July, 2017). I'll do what she is doing: Promoting the adoption of new problem-solving strategies in undergraduates. Poster presented at the 5th Annual Midwest Meeting on Mathematical Thinking, Minneapolis, MN.\nMenendez, D., Benjet, C., Borges, G., Albor, Y., Orozco, R., Medina-Mora, M. E. (May, 2017). Adolescent Predictors of the Incidence of Suicide Related Outcomes in Young Adulthood. Poster presented at the 28th APS Annual Convention, Boston, MA.\nMenendez, D., Rosengren, K. S., & Alibali, M. W. (April, 2017). Do details bug you? Effects of Perceptual Richness in Biological Reasoning. Poster presented at the Biennial meeting of the Society for Research in Child Development, Austin, TX.\nMenendez, D., Gutierrez, I. T., Jiang, M. J., & Rosengren, K. S. (May, 2016). Embracing Death: Mexican Parent and Child Perspectives on Death. Poster presented at the 28 th APS Annual Convention, Chicago, IL.\n\nPROFESSIONAL EXPERIENCE AND SERVICE\n\nProfessional experience:\n\n2018- The role of visual representations in children's learning about biological variability Present National Science Foundation grant, Role: Graduate student researcher\n* Design and conduct experiments with children and adults in museum, laboratory, and online settings\n* Write up pilot data for grant proposal\n* Collect diagrams and images from biology educational materials\n\n2021\n\n* Analyze quantitative and qualitative data to assess learning\n* Supervise and mento<cursor_is_here>, Role: Summer intern\n\n* Review and synthesize literature on motivation and science learning\n* Compare international standards of science education\n* Prepare proposals for new assessments of scientific knowledge\n\nAd hoc journal reviewer:\n\nCBE-Life Science Education\n\nChild Development Perspectives\n\nCognitive Science\n\nDeath Studies\n\nDevelopmental Psychology\n\nEarly Years\n\nEurasia Journal of Mathematics,\n\nScience and Technology Education\n\nFrontiers in Psychology\n\nHuman Behavior and Emergent\n\nTechnologies\n\nJournal of Cognition and\n\nDevelopment\n\nJournal of Experimental Child\n\nPsychology\n\nJournal of Experimental Psychology:\n\nHuman Perception and Performance\n\nJournal of Genetic Psychology\n\nMonographs for the Society of\n\nResearch in Child Development PlosOne\n\nDepartmental service:\n\nPsychology Colloquium Series Committee:\n\nMember 2016- 2021\n\nTreasurer 2017-2018\n\nChair 2018-2019\n\nDepartmental Climate and Diversity Committee:\n\nMember 2017-2019\n\nGraduate Student Representative for Faculty Meetings:\n\nRepresentative 2020-2021\n\nService-related events:\n\n2022\n\nLet's talk grad school\n\n(group of students historically excluded from the academy), hosted by Margaret Echelbarger\n\nLet's talk grad school\n\n(group of students historically excluded from the academy), hosted by Margaret Echelbarger\n\n2021 Diverse graduate student panel,\n\nUniversity of Wisconsin-Madison\n\n2020\n\n2020\n\nCareer pathways in educational research for policy, practice and advocacy\n\nUniversity of Texas- San Antonio\n\nPsi Chi student hour,\n\nNortheastern Illinois University\n\n2020 Let's talk grad school (group of students historically excluded from the academy), hosted by Margaret Echelbarger\n\n2017\n\n\"Why should I do undergraduate research\" panel,\n\nUniversity of Wisconsin-Madison\n\nTEACHING EXPERIENCE\n\nTeaching assistant\n\nFall 2019: Graduate Course in Statistical Analysis of Psychological Experiments\n\nSpring 2020: Graduate Course in Design and Analysis of Psychological Experiments\n\nSpring 2021: Introduction to Psychology\n\nFall 2021: Introduction to Psychology\n\nGuest lectures\n\nSpring 2020: Introduction to Bayesian Statistics (Psych 710, graduate-level course)\n\nSpring 2020: Conceptual Development (Psych 502)\n\nSpring 2021: Introduction to Bayesian Statistics (Psych 710, graduate-level course)\n\nSpring 2022: Conceptual Development (Psych 502)\n\nSpring 2022: Introduction to Bayesian Statistics (Psych 710, graduate-level course)\n\nMENTORSHIP\n\nStudents mentored in a research lab\n\nKatryn Hartfield\n\nTaylor Johnson\n\nAshley Haut\n\nErin Condon\n\nRyan Hassett\n\nNicholas Haugstad\n\nMadeline Glawe\n\nNicole Koshevatskiy\n\nKaitlin Edwards\n\nMichael Sullivan\n\nSonja Vaintrub\n\nOlympia Mathiaparanam\n\nGill Schomaker\n\nVienne Seitz\n\nJaclyn Psenka\n\nKylie Robinson\n\nXinyi Liu\n\nJessa Snower\n\nAva Mandel\n\nKatrina Nicholas\n\nMaria Schapfel\n\nOlivia Silsby\n\nKailee Sowers\n\nDillanie Sumanthiran\n\nVictoria Welch\n\nNour Sabbagh\n\nAaron Cecil-Xavier\n\nZoe Young\n\nAleena Banuelos\n\nGreta Hansen\n\nStudents mentored who complete senior projects or honors theses\n\nDanielle Peters\n\nSamuel Halama\n\nStudents mentored as part of Psychology Research Experience Program\n\nSummer research program for underrepresented students in academia\n\nGregory Barber\n\nSummer 2016 (co-mentored with Matthew Jiang)\n\n,\n\nEnrica Bridgewater Summer 2017\n\nPamela Santiago Summer 2018 (co-mentored with Iseli Hernandez)\n\nDanté Jackson\n\nSummer 2020 (as alumni mentor)\n\nStudents mentored as part of the McNair Scholars program\n\nJamal Adams\n\nStudents mentored as part of the PASOS program\n\nMentoring program for Latinx students at UW-Madison Jonathan Godinez Jacqueline Conception Cruz\n\nMEDIA COVERAGE\n\nChild and family blog (March, 2020). https://www.childandfamilyblog.com/childdevelopment/how-do-young-children-make-sense-of-death/\n\nLearning & the brain (October, 2020). https://www.learningandthebrain.com/blog/rich-or-blandwhich-diagrams-helps-students-learn-deeply/\n\nPROFESSIONAL AFFILIATIONS\n\nSociety for Research in Child Development American Education Research Association Cognitive Science Society Cognitive Development Society Spark Society\n</text>\n", "role": "user" }, { "content": "r undergraduate and post-baccalaureate researchers\n* Prepare manuscripts for publication\n\n2019- Cultivating knowledge of mathematical equivalence\n\n2020\n\n* Recruit Latinx and Spanish-speaking families to participate in a longitudinal study on mathematics learning\n\nNational Science Foundation grant, Role: Graduate student researcher\n\n* Create and translate recruitment and study materials in Spanish\n* Translate between the parent and experimenter details about the study\n\n2019 ACTNext\n\nACT Inc.", "role": "assistant" } ]
______________________________________________________________ SUBJECT: Financial Assistance Policy EFFECTIVE 6/21/19 POLICY NUM: SXKPPKZ72WEZ-3-924 CONTACT: Kari Weik, Director Patient Access Board Approval Date: 06/21/19 I. Applies to Marshfield Clinic Health System, Inc. (referred to as "MCHS" for purposes of this policy), MCHS Hospitals, Inc., and the affiliated entities owned and controlled by, including, but not limited to: - All Marshfield Clinic locations and services Hospital Facilities: - Marshfield Medical Center, Marshfield, Wisconsin - Marshfield Medical Center-Rice Lake, Rice Lake, Wisconsin - Marshfield Medical Center-Eau Claire, Eau Claire, Wisconsin - Marshfield Medical Center-Ladysmith, Ladysmith, Wisconsin - Marshfield Medical Center-Neillsville, Neillsville, Wisconsin - This policy does not apply to services provided by Family Health Center of Marshfield, Inc. ("FHC"). Financial assistance is available for FHC services through FHC's financial assistance policy. - See Exhibit 3 below for a list of providers (physicians) to which this policy applies or does not apply. II. Purpose MCHS' mission is to enrich lives through providing accessible, affordable, compassionate health care. It is our vision to continue to innovate and define the future of health care for generations and be the consumer's first choice for health care. To foster its mission, the MCHS Board of Directors and the Boards of Directors of Lakeview Medical Center, Inc. of Rice Lake, and MCHS Hospitals, Inc., each establish this policy to ensure that the financial capacity of people who need health care services does not prevent them from seeking or receiving care. Patients eligible for financial assistance under this policy will receive a discount toward their individual portion of the bill. Patients are expected to adhere to this policy's procedures in order to demonstrate financial need and to contribute toward the cost of their care based on their ability to pay. MCHS will not discriminate on the basis of age, sex, race, religious affiliation, disability, national origin, sexual orientation, or immigration status when making financial assistance decisions. III. Definitions Amount Generally Billed: The amount generally billed for emergency or other medically necessary care to individuals who have insurance coverage. AGB refers to the total amount due after applicable insured discounts are applied. See Section XII for calculation of AGB. Emergency Medical Condition: A medical condition (including labor and delivery) that shows acute symptoms of sufficient severity (including severe pain) such that the lack of immediate medical care could result in one or more of the following: (a) serious jeopardy to the patient's health; (b) serious impairment to bodily functions; (c) serious dysfunction of a bodily organ or part. Evidence-Based Care: The conscientious, explicit and judicious use of current best evidence in making decisions about the care of individual patients or in helping individual patients make decisions about their care in the light of their personal values and beliefs. Extraordinary Collection Action (ECA): Actions taken against an individual to obtain payment of a bill for care that requires a legal or judicial process, involves selling an individual's debt to another party or involves reporting adverse information about an individual to consumer credit reporting agencies or credit bureaus. FPL: Federal Poverty Level Guarantor: Person(s) financially responsible for payment of medical services. The Guarantor may be the patient, a parent, legal guardian or other persons financially obligated by law. Any reference to "patient" in this policy shall mean the patient and/or the Guarantor. Homeless: A homeless person is an individual without permanent housing who may live on the streets; stay in a shelter, mission, single room occupancy facilities, abandoned building or vehicle; or in any other unstable or non-permanent situation. Household: For purposes of determining household size and household income under federal poverty guidelines, Household includes the applicant, the applicant's spouse (regardless of whether the spouse lives in the home), the applicant's unmarried partner if they are living together with a child in common, any minor children or dependents residing in the home and claimed on the patient's federal income tax return. If the applicant is claimed as a dependent on another's federal tax return, Household will include all claimed members. Household will also include a third party or sponsor who has agreed to be financially responsible for the patient. Copies of legal or immigration documents may be requested to determine sponsorship. Medically Necessary: Services or items reasonable and necessary for the purpose of evaluating, diagnosing, and/or treating an injury or illness under Evidence-Based standards of care. Qualified Accounts: Tax-advantaged accounts designated for personal health care expenses, including Health Savings Accounts, Health Reimbursement Arrangements or Flexible Spending Accounts. Service Area: Consists of MCHS' primary and secondary service areas; meaning the State of Wisconsin and the Upper Peninsula of Michigan. - See Exhibit 5 below for map of Marshfield Clinic Service Areas. Primary Residence: The IRS defines principal residence as a person's "main home." If a person owns or lives in more than one home, the test for determining which one is the main home is a "facts and circumstances" test. Facts that are relevant include where the person is a registered voter, the address on the borrower's driver's license and where the person pays local or state income tax. Uninsured: An individual who has no health insurance coverage. Patients who have insurance coverage but have balances due to portions not paid by their health insurance (including but not limited to deductibles, coinsurance, copayments, benefit maximums or non-covered services) are not considered uninsured. IV. Emergency Medical Services MCHS will not engage in any actions that discourage individuals from seeking emergency medical care, such as by demanding that emergency department patients pay before receiving treatment or by permitting debt collection activities in the emergency department or other areas where such activities could interfere with the provision of emergency care on a non-discriminatory basis. V. Eligible Services Services eligible for financial assistance under this policy include: a. Emergency services, provided to treat an Emergency Medical Condition, including labor and delivery. b. Urgent services, provided to avoid the likely onset of an Emergency Medical Condition. c. Medically Necessary services. d. Preventive and screening services recommended under Evidence-Based standards of care. e. Prescription medications are eligible for financial assistance if the prescription resulted from a financial assistance eligible encounter, is medically necessary, follows the Wisconsin Medicaid formulary and is obtained from a MCHS pharmacy. f. Eyeglasses must follow Wisconsin Medicaid guidelines, limited to one pair per calendar year, and be obtained from a MCHS optical department. Frames and other enhancements outside Wisconsin's Medicaid guidelines are patient responsibility. Services Not eligible for financial assistance under this policy are: a. Cosmetic, aesthetic, or performance-enhancement services. b. Services offered at a discounted package or cash price. c. Experimental/investigational and research-related services, outside the Evidence-Based standard of care. d. Services requested or required by a third-party, including but not limited to: preemployment services, occupational medicine services, court ordered services, school and sports physicals, cross-bow evaluations, travel exams. e. reproductive services including: sterilization, sterilization-reversal and fertility services. f. Over the counter supplies and items. g. Contact lenses. h. Services related to worker's compensation, accident or liability are not eligible for financial assistance while a claim is in progress. The injured patient is required to seek any available third-party reimbursement by making a report of injury and pursuing a claim with the appropriate party before seeking financial assistance. i. Any other not Medically Necessary service. VI. Applicant Eligibility Financial assistance is generally secondary to all other financial resources available to the patient including insurance, government programs, third party liability, any public or other charitable resources, Qualified Accounts and Excess Assets (as defined in "Asset Review" below). The determination of eligibility for financial assistance is based on an application, written and oral communication, and other documentation used to conduct an individualized assessment and to validate the patient or guarantor's circumstances, including these criteria: Insurance review: Individuals with the financial capacity to purchase health insurance shall be encouraged to do so, as a means of assuring access to health care services, for their overall personal health, and for the protection of their individual assets. Insured patients are expected to follow their insurance carrier's prior authorization and provider network rules. Balances resulting from failure to follow an insurance carrier's requirements may be excluded from financial assistance. Insured patients receive multiple benefits from their insurance carrier, including free preventive and wellness services and contract discounts. MCHS financial assistance discounts are available to insured patients (excluding Medicaid) when the patient responsible balance exceeds two thousand, five hundred dollars ($2,500). Third-party resources: Stewardship of MCHS financial assistance resources includes review of any public or other charitable resources available for payment of a patient's eligible services. A MCHS counselor will refer patients or their guarantor(s) to available third-party resources if it is determined the applicant may qualify, such as Medicaid, pharmaceutical programs, tribal benefits, veteran's programs, disability benefit. The financial assistance application may be denied if the patient does not follow through with the third-party screening within 30 days of referral or provide evidence of a denial from the third party dated within six (6) months of applying for MCHS financial assistance. Qualified Account review: Patients with tax-advantaged personal health accounts will be expected to utilize available funds upon being granted financial assistance. Service Area Review: Financial assistance is available for services required for an Emergency Medical Condition regardless of whether a patient resides within Marshfield Clinic Health System's service area. For non-emergent medically necessary services, financial assistance eligibility is based on the patient's primary residence in relation to the MCHS service area and the nature of the care required (see Exhibit 5 below for map of MCHS service areas). However, consideration is given for services unique to MCHS versus the potential of providers local to the patient's residence or within the patient's insurance network. The patient's primary care provider may be asked to verify availability of local health care services and financial assistance. Income review: Applicants will be asked to provide reliable documentation of annual income for all adult Household members. Documentation requested may include: the most recently filed tax return(s) (including schedules and forms such as W-2, 1099, and self-employment) or 4506T Verification of Non-filing; paycheck stubs, or copies of checks; employer wage verification forms; checking, savings and investment account statements; affidavits or letters of support; and contracts or court documents related to income sources (such as divorce decree, pre-marital agreements, annuities, land contracts, or rental income). [x] Income includes earnings, unemployment compensation, workers' compensation, Social Security, Supplemental Security Income, veterans' payments, survivor benefits, pension or retirement income, interest, dividends, rents, royalties, income from estates, trusts, alimony, child support, assistance from outside the household, and other miscellaneous sources; [x] Noncash benefits (such as food stamps and housing subsidies) are not included; [x] Determined on a before-tax basis, i.e. gross income; [x] Excludes capital gains or losses. Asset review: Assets considered in determining eligibility for financial assistance include real estate, automobiles, recreational vehicles, cash accounts and any other identifiable asset. The individualized assessment of assets may consider documentation publicly available or requested of the applicant, including: cash or investment account statements; property titles or vehicle registrations; property tax statements; insurance documents; and contracts, statements, or court documents related to assets (such as mortgages, installment loans, land contracts, estates and divorce decrees). Wisconsin Medicaid guidelines are followed to determine the status and value of any recently divested assets. An asset's equity value is its fair market value (FMV) minus the remaining balance of any secured loan. MCHS recognizes that certain asset and equity values are difficult to convert to cash. For this reason, allowances and exemptions for certain assets are provided as follows: [x] The first $100,000 of home equity is excluded; [x] Up to $14,000 equity for a primary vehicle is excluded; [x] Up to $7,000 equity for a secondary vehicle is excluded for households with more than one driver; [x] Retirement accounts are excluded. Fifty percent (50%) of any asset or equity amount in excess of the allowances described above is added to income when calculating eligibility for financial assistance ("Excess Assets"). Pre-existing payment plans: Patients who established long-term payment plans (including "medical lines of credit") but are later unable to make payments due to a significant change in financial circumstances may apply for financial assistance for outstanding balances owed. In such cases, financial assistance may be granted with respect to balances currently outstanding without regard to amounts previously paid for the healthcare services either at the time of service or pursuant to the payment plan. Approval period: A financial assistance approval for free care or discounted care will continue for six months from the approval date. Eligible future services received during the six-month approval period will be discounted on the same basis as the initial approval. If a patient's financial circumstances materially change during the six-month approval period, the patient may be asked to update their financial assistance application. VII. Financial Assistance Discounts Patients who are eligible for financial assistance under this policy will not be charged more than the amount generally billed (AGB) to patients with insurance for emergency or medically necessary care (calculation as described in Part XII below). Patients may receive the following assistance, based on an assessment of income, assets and health care obligations: Free Care: The gross (undiscounted) charge amount for eligible services will be waived for applicants whose total Income plus Excess Asset amount is at or below 200% of the current federal poverty level, shown on Exhibit 1. Discounted Care: Applicants whose total Income plus Excess Asset amount is greater than 200% but less than or equal to 400% of the current federal poverty level will be provided a sliding scale discount for eligible services, shown on Exhibit 1. Uninsured patients will receive discounts applied against the gross charges for care and services. Insured patients qualify for financial assistance when the patient responsible balance exceeds $2,500, in which case, discounts are applied to the patient's balance remaining after insurance. Catastrophic Cap: A patient who incurs catastrophic medical expenses is eligible for assistance where payment of the balance would require liquidation of assets critical to living or would cause undue financial hardship. Patients are eligible for a catastrophic discount when their calculated FPL is at or below 600% and their patient responsibility portion of MCHS medical bills exceeds 20% of income (calculated without regard for Excess Assets). Balances exceeding 20% of income will be waived as catastrophic financial assistance. Payment Expectations: Financial Assistance eligible patients are expected to comply with MCHS Billing and Collection Policy and payment terms on any balances remaining after financial assistance discounts are applied. Refunds: A patient who is determined to be eligible for financial assistance will be refunded amounts they had paid for eligible care in excess of the calculated personal responsibility amount due under the financial assistance policy. Refunds are processed for excess payments of five dollars ($5) or more. VIII. Presumptive Eligibility There are instances when a patient may be determined to be eligible for financial assistance even though a financial assistance application or supporting documentation is not provided by the patient. Information accessed through other sources may provide sufficient evidence for MCHS management to make a financial assistance eligibility determination ("Presumptive Eligibility"). Presumptive Eligibility decisions are based on socio-economic factors that indicate a low financial capacity, such as: eligibility for specific means-tested state and local assistance programs, homelessness, residency in low-income housing, inability to locate any estate for a deceased patient and other available demographic and analytic tools. Presumptive Eligibility discounts are granted for free care (100% discount) only and are applied only to outstanding balances. If an account is qualified for Presumptive Eligibility, reasonable measures will be taken to reverse Extraordinary Collection Actions, if any, as described in the MCHS Billing and Collection Policy. IX. Application Process MCHS desires to identify a patient's need for financial assistance as quickly as possible. It is requested that patients identify a financial need upon registration at an appointment, admission or discharge, or as soon afterward as possible. MCHS will accept a financial assistance application for at least 240 days following the patient's first post-discharge billing statement. If an account older than 240 days from the first post-discharge billing statement has proceeded into a legal or judicial process, a financial assistance application will be accepted up until the date of final judgment or settlement upon patient request. If a patient indicates an inability to pay, or a need for financial assistance, a counselor from the Patient Assistance Center will interview the patient and provide referrals to third-party resources if the patient may qualify. The patient will be offered a financial assistance application with instructions and a list of all documentation that may be required. The application and documentation will be used to make an individual determination of financial need based on income, household size and asset values. Counselors are available via phone and in person to assist with completing a financial assistance application. Call 1-800-782-8581, ext. 94475 to schedule an appointment with a counselor. In person assistance is available at locations shown on Exhibit 4. Applications are to be completed and returned within 15 days from the date the application was given or mailed to the patient. If additional time is needed to complete the application or provide the required documentation, the patient must communicate with the Patient Assistance Center. If an extension is granted, the counselor will put a temporary hold on phone calls and written notices intended to collect the outstanding account balance for the designated timeframe. Mail or hand-deliver completed financial assistance applications and required documentation to: Marshfield Clinic Health System Patient Assistance Center, 3Q4 1000 North Oak Avenue Marshfield, WI 54449 1-800-782-8581, ext. 94475 Upon receipt of a complete financial assistance application and until notification of a decision is made to the patient, as described in this paragraph, ECAs will not be initiated and further action will not be taken on existing ECAs. Within 30 days after submission of a complete application, MCHS will determine whether the patient qualifies for financial assistance and will notify the patient in writing of an approval and the discount amount. MCHS will take reasonable measures to reverse any ECA already in place, if any, related to the amounts approved for financial assistance. Patients qualifying for discounted, but not free, care will be notified in writing regarding any remaining balance due, including how the amount was determined and how to obtain information regarding the AGB. The patient may be asked to discuss payment terms with a Patient Assistance Counselor. Any such remaining balances will be treated in accordance with the MCHS Billing and Collection Policy. Upon receipt of an incomplete financial assistance application, a written notice will be sent to the patient describing the additional information required. A reasonable time for completion will be provided. ECAs will not be initiated and further action will not be taken on existing ECAs during this time period. At the expiration of the time period, if a complete application has not been received, normal account and collection activity will resume, as described in the MCHS Billing and Collection Policy and the application and supporting documents will be confidentially destroyed. X. Appeals If the application is denied for financial assistance, the Patient Assistance Center will notify the patient in writing and include the reason for the denial. Patients may appeal the financial assistance decision within 30 days of the date on the written approval or denial notification by calling 1-800-782-8581, ext. 94475 or by writing to the address listed above. XI. Impact on Billing and Collection Process While the application is pending review and approval, a regular monthly statement of account activity will continue to be delivered. In the event that a patient qualifies for financial assistance but fails to timely pay the remaining balance due (including, if applicable, the agreed-upon payment plan), MCHS may take any of the actions set forth in the Billing and Collection Policy, a free copy of which is available at www.marshfieldclinic.org/financial-assistance. XII. Measures to Widely Publicize Financial Assistance Policy Information on the MCHS Financial Assistance Policy will be posted in hospital registration and admitting locations and in hospital emergency departments. Financial assistance information is printed on monthly billing statements and incorporated into other communications in order to widely publicize the availability of financial assistance, as described in the MCHS Billing and Collection Policy. The MCHS Financial Assistance Policy (including the Plain Language Summary), the Financial Assistance Application, and the Billing and Collection Policy are available in English, Spanish, Hmong, and any other language that is the primary language spoken by the lesser of 1,000 individuals or 5% of the population of the Service Area. - See Exhibit 5 below for map of Marshfield Clinic Service Areas. The MCHS Financial Assistance Policy (including the Plain Language Summary), the Financial Assistance Application, and the Billing and Collection Policy may be obtained free of charge: [x] On the website, at www.marshfieldclinic.org/financial-assistance; [x] In person, from financial counselors at locations shown in Exhibit 4; [x] By phone, at 715-389-4475 or 800-782-8581, ext. 94475; [x] By mail, by writing to the address shown in Section IX Application Process. XIII. Amounts Billed to Patients Eligible for Financial Assistance Patients who are eligible for financial assistance under this policy will not be charged more than the amount generally billed (AGB) to patients with insurance for emergency or medically necessary care. MCHS determines AGB for the clinics and each hospital facility with more than 12 months of claim history utilizing the Look Back Method. AGB is based on amounts allowed under Medicare Fee-For-Service and all private health insurers paying claims to the applicable hospital facility or the clinics, over a 12-month period, divided by the gross charges for those claims. The AGB will be calculated at least annually. The updated AGB will be applied by the 120th day after the end of the 12-month measurement period. Patients may obtain the current AGB percentage and accompanying description of the calculation in writing and without charge by calling 715-389-4475 or 800-782-8581, ext. 94475. MCHS determines AGB for any hospital facility with less than 12 months of claim history using the Prospective Medicare method. Under the prospective method, MCHS will not charge patients who are eligible for financial assistance more than the Medicare allowable. XIV. Confidentiality: MCHS recognizes that the need for financial assistance may be a sensitive and deeply personal issue for patients. Confidentiality of information and preservation of individual dignity will be maintained for all who seek financial assistance under this Policy. No information obtained in the patient's financial assistance application will be released except where authorized by the patient or otherwise required by law. Incomplete applications and supporting documents will be confidentially destroyed. XV. Other Related Policies: A. MCHS Billing and Collection Policy B. Family Health Center of Marshfield, Inc. Financial Assistance Policy Attachments: Exhibit 1 Financial Assistance Discounts Exhibit 2 Sample Financial Assistance Application Exhibit 3 Physicians and Providers Covered by Financial Assistance Policy Exhibit 4 Plain-Language Summary of Financial Assistance Policy Exhibit 5 Marshfield Clinic Health System Primary Service Area EXHIBIT 1 Financial Assistance Discounts Income Guideline: The 2019 federal poverty guidelines based on household size: 2019 Federal Poverty Guidelines \| Household \| 100% FPL \| 200% FPL \| 250% FPL \| 300% FPL \| 350% FPL \| \|---\|---\|---\|---\|---\|---\| \| Size \| \| \| \| \| \| \| 1 \| $12,490 \| $24,980 \| $31,225 \| $37,470 \| $43,715 \| \| 2 \| 16,910 \| 33,820 \| 42,275 \| 50,730 \| 59,185 \| \| 3 \| 21,330 \| 42,660 \| 53,325 \| 63,990 \| 74,655 \| \| 4 \| 25,750 \| 51,500 \| 64,375 \| 77,250 \| 90,125 \| \| 5 \| 30,170 \| 60,340 \| 75,425 \| 90,510 \| 105,595 \| \| 6 \| 34,590 \| 69,180 \| 86,475 \| 103,770 \| 121,065 \| \| 7 \| 39,010 \| 78,020 \| 97,525 \| 117,030 \| 136,535 \| \| 8 \| 43,430 \| 86,860 \| 108,575 \| 130,290 \| 152,005 \| Free or Discounted Care: Applicants whose total household income plus excess asset amount (as defined in the Financial Assistance Policy) is less than or equal to 400% of the current federal poverty level will be provided a discount for services. Insured patients may qualify for financial assistance when the patient responsible balance exceeds $2,500 and if approved, the discounts below will apply to the entire patient responsible balance. \| \| Federal Poverty Level \| \| \|---\|---\|---\| \| Discounts applicable to each \| a) Less than or equal to 200% \| b) Above 200% and less than or equal to 300% \| \| location \| \| \| \| Clinics \| 100% \| 75% \| \| Marshfield Medical Center- Rice Lake \| 100% \| 75% \| \| Marshfield Medical Center \| 100% \| 75% \| \| Marshfield Medical Center - Ladysmith \| 100% \| 75% \| \| Marshfield Medical Center- Neillsville \| 100% \| 75% \| \| Marshfield Medical Center - Eau Claire \| 100% \| Medicare Allowable \| EXHIBIT 2 Financial Assistance Application EXHIBIT 3 Physicians and Other Providers Covered by Policy Emergency and medically necessary services offered by Marshfield Clinic Health System providers, with the exception of services through Family Health Center of Marshfield, Inc., are eligible for coverage under this policy. Other provider groups may offer emergency or medically necessary services at MCHS facilities. Below is a list of those provider groups and whether they are covered under this MCHS financial assistance policy. \| \| Covered under \| \| \| \|---\|---\|---\|---\| \| Provider Group \| MCHS Financial \| \| \| \| \| Assistance Policy \| \| \| \| Marshfield Clinic Health System, Inc \| Yes \| \| \| \| Family Health Center of Marshfield, Inc. \| No \| \| \| \| Branham Healy Orthopedic Clinic S.C. \| No* \| \| \| \| Chippewa Valley Eye Clinic \| No* \| \| \| \| Any other providers offering emergency or medically necessary services at any MCHS hospital \| No* \| \| Ahmed, Aisha MD \| \| \| \| Akhtar, Muhammad MD \| \| \| \| \| \| Alfred Chiang, DO \| \| \| \| Kyle Dettbarn, MD \| \| \| \| \| \| Eichten, Jeffrey MD \| \| \| \| Katie Fassbinder, MD \| \| \| \| \| \| Foerster, Susan MD \| \| \| \| Godar, Dennis DMD \| \| \| \| \| \| Graham, Peter MD \| \| \| \| Gray, Roger JR MD \| \| \| \| \| \| Gudibanda, Swetha MD \| \| \| \| Michael Hirsh, MD \| \| \| \| \| \| Horton, William DDS \| \| \| \| Martha Karlstad, MD \| \| \| \| \| \| Khan, Muhammad MD \| \| Joel Kowski, DPM \| \| \|---\|---\| \| \| Martin, Garry DPM \| \| Mckee, David MD \| \| \| \| Mitchell, Michael MD \| \| Mueller, Rick DMD \| \| \| \| Nathan, Katherine PA \| \| Norelle, Alexis MD \| \| \| \| Polomis, David MD \| \| Redfield, Robert MD \| \| \| \| Reding, Douglas MD \| \| \| Courtney Whitney, DO \| *For non-Marshfield Clinic provider groups, contact the provider group directly to inquire if they have a financial assistance policy. EXHIBIT 4 Plain-Language Summary of Financial Assistance Policy	<urn:uuid:73b7c74a-8e8f-42a2-8939-e25f59c58cca>	CC-MAIN-2019-39	https://www.marshfieldclinic.org/mPatientResources/Documents/MCHSFinancial%20Assistance%20Policy(062119).pdf	2019-09-20T20:12:32Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-39/segments/1568514574077.39/warc/CC-MAIN-20190920200607-20190920222607-00046.warc.gz	926,821,477	6,102	eng_Latn	eng_Latn	0.945739	eng_Latn	0.994509	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1816, 4519, 7343, 10152, 13253, 16669, 19460, 22378, 25458, 26437, 28061, 28106, 29496, 29928, 29993 ]	______________________________________________________________ SUBJECT: Financial Assistance Policy EFFECTIVE 6/21/19 POLICY NUM: SXKPPKZ72WEZ-3-924 CONTACT: Kari Weik, Director Patient Access Board Approval Date: 06/21/19 I. Applies to Marshfield Clinic Health System, Inc. (referred to as "MCHS" for purposes of this policy), MCHS Hospitals, Inc., and the affiliated entities owned and controlled by, including, but not limited to: - All Marshfield Clinic locations and services Hospital Facilities: - Marshfield Medical Center, Marshfield, Wisconsin - Marshfield Medical Center-Rice Lake, Rice Lake, Wisconsin - Marshfield Medical Center-Eau Claire, Eau Claire, Wisconsin - Marshfield Medical Center-Ladysmith, Ladysmith, Wisconsin - Marshfield Medical Center-Neillsville, Neillsville, Wisconsin - This policy does not apply to services provided by Family Health Center of Marshfield, Inc. ("FHC"). Financial assistance is available for FHC services through FHC's financial assistance policy. - See Exhibit 3 below for a list of providers (physicians) to which this policy applies or does not apply. II. Purpose MCHS' mission is to enrich lives through providing accessible, affordable, compassionate health care. It is our vision to continue to innovate and define the future of health care for generations and be the consumer's first choice for health care. To foster its mission, the MCHS Board of Directors and the Boards of Directors of Lakeview Medical Center, Inc. of Rice Lake, and MCHS Hospitals, Inc., each establish this policy to ensure that the financial capacity of people who need health care services does not prevent them from seeking or receiving care. Patients eligible for financial assistance under this policy will receive a discount toward their individual portion of the bill. Patients are expected to adhere to this policy's procedures in order to demonstrate financial need and to contribute toward the cost of their care based on their ability to pay. MCHS will not discriminate on the basis of age, sex, race, religious affiliation, disability, national origin, sexual orientation, or immigration status when making financial assistance decisions. III. Definitions Amount Generally Billed: The amount generally billed for emergency or other medically necessary care to individuals who have insurance coverage. AGB refers to the total amount due after applicable insured discounts are applied. See Section XII for calculation of AGB. Emergency Medical Condition: A medical condition (including labor and delivery) that shows acute symptoms of sufficient severity (including severe pain) such that the lack of immediate medical care could result in one or more of the following: (a) serious jeopardy to the patient's health; (b) serious impairment to bodily functions; (c) serious dysfunction of a bodily organ or part. Evidence-Based Care: The conscientious, explicit and judicious use of current best evidence in making decisions about the care of individual patients or in helping individual patients make decisions about their care in the light of their personal values and beliefs. Extraordinary Collection Action (ECA): Actions taken against an individual to obtain payment of a bill for care that requires a legal or judicial process, involves selling an individual's debt to another party or involves reporting adverse information about an individual to consumer credit reporting agencies or credit bureaus. FPL: Federal Poverty Level Guarantor: Person(s) financially responsible for payment of medical services. The Guarantor may be the patient, a parent, legal guardian or other persons financially obligated by law. Any reference to "patient" in this policy shall mean the patient and/or the Guarantor. Homeless: A homeless person is an individual without permanent housing who may live on the streets; stay in a shelter, mission, single room occupancy facilities, abandoned building or vehicle; or in any other unstable or non-permanent situation. Household: For purposes of determining household size and household income under federal poverty guidelines, Household includes the applicant, the applicant's spouse (regardless of whether the spouse lives in the home), the applicant's unmarried partner if they are living together with a child in common, any minor children or dependents residing in the home and claimed on the patient's federal income tax return. If the applicant is claimed as a dependent on another's federal tax return, Household will include all claimed members. Household will also include a third party or sponsor who has agreed to be financially responsible for the patient. Copies of legal or immigration documents may be requested to determine sponsorship. Medically Necessary: Services or items reasonable and necessary for the purpose of evaluating, diagnosing, and/or treating an injury or illness under Evidence-Based standards of care. Qualified Accounts: Tax-advantaged accounts designated for personal health care expenses, including Health Savings Accounts, Health Reimbursement Arrangements or Flexible Spending Accounts. Service Area: Consists of MCHS' primary and secondary service areas; meaning the State of Wisconsin and the Upper Peninsula of Michigan. - See Exhibit 5 below for map of Marshfield Clinic Service Areas. Primary Residence: The IRS defines principal residence as a person's "main home." If a person owns or lives in more than one home, the test for determining which one is the main home is a "facts and circumstances" test. Facts that are relevant include where the person is a registered voter, the address on the borrower's driver's license and where the person pays local or state income tax. Uninsured: An individual who has no health insurance coverage. Patients who have insurance coverage but have balances due to portions not paid by their health insurance (including but not limited to deductibles, coinsurance, copayments, benefit maximums or non-covered services) are not considered uninsured. IV. Emergency Medical Services MCHS will not engage in any actions that discourage individuals from seeking emergency medical care, such as by demanding that emergency department patients pay before receiving treatment or by permitting debt collection activities in the emergency department or other areas where such activities could interfere with the provision of emergency care on a non-discriminatory basis. V. Eligible Services Services eligible for financial assistance under this policy include: a. Emergency services, provided to treat an Emergency Medical Condition, including labor and delivery. b. Urgent services, provided to avoid the likely onset of an Emergency Medical Condition. c. Medically Necessary services. d. Preventive and screening services recommended under Evidence-Based standards of care. e. Prescription medications are eligible for financial assistance if the prescription resulted from a financial assistance eligible encounter, is medically necessary, follows the Wisconsin Medicaid formulary and is obtained from a MCHS pharmacy. f. Eyeglasses must follow Wisconsin Medicaid guidelines, limited to one pair per calendar year, and be obtained from a MCHS optical department. Frames and other enhancements outside Wisconsin's Medicaid guidelines are patient responsibility. Services Not eligible for financial assistance under this policy are: a. Cosmetic, aesthetic, or performance-enhancement services. b. Services offered at a discounted package or cash price. c. Experimental/investigational and research-related services, outside the Evidence-Based standard of care. d. Services requested or required by a third-party, including but not limited to: preemployment services, occupational medicine services, court ordered services, school and sports physicals, cross-bow evaluations, travel exams. e. reproductive services including: sterilization, sterilization-reversal and fertility services. f. Over the counter supplies and items. g. Contact lenses. h. Services related to worker's compensation, accident or liability are not eligible for financial assistance while a claim is in progress. The injured patient is required to seek any available third-party reimbursement by making a report of injury and pursuing a claim with the appropriate party before seeking financial assistance. i. Any other not Medically Necessary service. VI. Applicant Eligibility Financial assistance is generally secondary to all other financial resources available to the patient including insurance, government programs, third party liability, any public or other charitable resources, Qualified Accounts and Excess Assets (as defined in "Asset Review" below). The determination of eligibility for financial assistance is based on an application, written and oral communication, and other documentation used to conduct an individualized assessment and to validate the patient or guarantor's circumstances, including these criteria: Insurance review: Individuals with the financial capacity to purchase health insurance shall be encouraged to do so, as a means of assuring access to health care services, for their overall personal health, and for the protection of their individual assets. Insured patients are expected to follow their insurance carrier's prior authorization and provider network rules. Balances resulting from failure to follow an insurance carrier's requirements may be excluded from financial assistance. Insured patients receive multiple benefits from their insurance carrier, including free preventive and wellness services and contract discounts. MCHS financial assistance discounts are available to insured patients (excluding Medicaid) when the patient responsible balance exceeds two thousand, five hundred dollars ($2,500). Third-party resources: Stewardship of MCHS financial assistance resources includes review of any public or other charitable resources available for payment of a patient's eligible services. A MCHS counselor will refer patients or their guarantor(s) to available third-party resources if it is determined the applicant may qualify, such as Medicaid, pharmaceutical programs, tribal benefits, veteran's programs, disability benefit. The financial assistance application may be denied if the patient does not follow through with the third-party screening within 30 days of referral or provide evidence of a denial from the third party dated within six (6) months of applying for MCHS financial assistance. Qualified Account review: Patients with tax-advantaged personal health accounts will be expected to utilize available funds upon being granted financial assistance. Service Area Review: Financial assistance is available for services required for an Emergency Medical Condition regardless of whether a patient resides within Marshfield Clinic Health System's service area. For non-emergent medically necessary services, financial assistance eligibility is based on the patient's primary residence in relation to the MCHS service area and the nature of the care required (see Exhibit 5 below for map of MCHS service areas). However, consideration is given for services unique to MCHS versus the potential of providers local to the patient's residence or within the patient's insurance network. The patient's primary care provider may be asked to verify availability of local health care services and financial assistance. Income review: Applicants will be asked to provide reliable documentation of annual income for all adult Household members. Documentation requested may include: the most recently filed tax return(s) (including schedules and forms such as W-2, 1099, and self-employment) or 4506T Verification of Non-filing; paycheck stubs, or copies of checks; employer wage verification forms; checking, savings and investment account statements; affidavits or letters of support; and contracts or court documents related to income sources (such as divorce decree, pre-marital agreements, annuities, land contracts, or rental income). [x] Income includes earnings, unemployment compensation, workers' compensation, Social Security, Supplemental Security Income, veterans' payments, survivor benefits, pension or retirement income, interest, dividends, rents, royalties, income from estates, trusts, alimony, child support, assistance from outside the household, and other miscellaneous sources; [x] Noncash benefits (such as food stamps and housing subsidies) are not included; [x] Determined on a before-tax basis, i.e. gross income; [x] Excludes capital gains or losses. Asset review: Assets considered in determining eligibility for financial assistance include real estate, automobiles, recreational vehicles, cash accounts and any other identifiable asset. The individualized assessment of assets may consider documentation publicly available or requested of the applicant, including: cash or investment account statements; property titles or vehicle registrations; property tax statements; insurance documents; and contracts, statements, or court documents related to assets (such as mortgages, installment loans, land contracts, estates and divorce decrees). Wisconsin Medicaid guidelines are followed to determine the status and value of any recently divested assets. An asset's equity value is its fair market value (FMV) minus the remaining balance of any secured loan. MCHS recognizes that certain asset and equity values are difficult to convert to cash. For this reason, allowances and exemptions for certain assets are provided as follows: [x] The first $100,000 of home equity is excluded; [x] Up to $14,000 equity for a primary vehicle is excluded; [x] Up to $7,000 equity for a secondary vehicle is excluded for households with more than one driver; [x] Retirement accounts are excluded. Fifty percent (50%) of any asset or equity amount in excess of the allowances described above is added to income when calculating eligibility for financial assistance ("Excess Assets"). Pre-existing payment plans: Patients who established long-term payment plans (including "medical lines of credit") but are later unable to make payments due to a significant change in financial circumstances may apply for financial assistance for outstanding balances owed. In such cases, financial assistance may be granted with respect to balances currently outstanding without regard to amounts previously paid for the healthcare services either at the time of service or pursuant to the payment plan. Approval period: A financial assistance approval for free care or discounted care will continue for six months from the approval date. Eligible future services received during the six-month approval period will be discounted on the same basis as the initial approval. If a patient's financial circumstances materially change during the six-month approval period, the patient may be asked to update their financial assistance application. VII. Financial Assistance Discounts Patients who are eligible for financial assistance under this policy will not be charged more than the amount generally billed (AGB) to patients with insurance for emergency or medically necessary care (calculation as described in Part XII below). Patients may receive the following assistance, based on an assessment of income, assets and health care obligations: Free Care: The gross (undiscounted) charge amount for eligible services will be waived for applicants whose total Income plus Excess Asset amount is at or below 200% of the current federal poverty level, shown on Exhibit 1. Discounted Care: Applicants whose total Income plus Excess Asset amount is greater than 200% but less than or equal to 400% of the current federal poverty level will be provided a sliding scale discount for eligible services, shown on Exhibit 1. Uninsured patients will receive discounts applied against the gross charges for care and services. Insured patients qualify for financial assistance when the patient responsible balance exceeds $2,500, in which case, discounts are applied to the patient's balance remaining after insurance. Catastrophic Cap: A patient who incurs catastrophic medical expenses is eligible for assistance where payment of the balance would require liquidation of assets critical to living or would cause undue financial hardship. Patients are eligible for a catastrophic discount when their calculated FPL is at or below 600% and their patient responsibility portion of MCHS medical bills exceeds 20% of income (calculated without regard for Excess Assets). Balances exceeding 20% of income will be waived as catastrophic financial assistance. Payment Expectations: Financial Assistance eligible patients are expected to comply with MCHS Billing and Collection Policy and payment terms on any balances remaining after financial assistance discounts are applied. Refunds: A patient who is determined to be eligible for financial assistance will be refunded amounts they had paid for eligible care in excess of the calculated personal responsibility amount due under the financial assistance policy. Refunds are processed for excess payments of five dollars ($5) or more. VIII. Presumptive Eligibility There are instances when a patient may be determined to be eligible for financial assistance even though a financial assistance application or supporting documentation is not provided by the patient. Information accessed through other sources may provide sufficient evidence for MCHS management to make a financial assistance eligibility determination ("Presumptive Eligibility"). Presumptive Eligibility decisions are based on socio-economic factors that indicate a low financial capacity, such as: eligibility for specific means-tested state and local assistance programs, homelessness, residency in low-income housing, inability to locate any estate for a deceased patient and other available demographic and analytic tools. Presumptive Eligibility discounts are granted for free care (100% discount) only and are applied only to outstanding balances. If an account is qualified for Presumptive Eligibility, reasonable measures will be taken to reverse Extraordinary Collection Actions, if any, as described in the MCHS Billing and Collection Policy. IX. Application Process MCHS desires to identify a patient's need for financial assistance as quickly as possible. It is requested that patients identify a financial need upon registration at an appointment, admission or discharge, or as soon afterward as possible. MCHS will accept a financial assistance application for at least 240 days following the patient's first post-discharge billing statement. If an account older than 240 days from the first post-discharge billing statement has proceeded into a legal or judicial process, a financial assistance application will be accepted up until the date of final judgment or settlement upon patient request. If a patient indicates an inability to pay, or a need for financial assistance, a counselor from the Patient Assistance Center will interview the patient and provide referrals to third-party resources if the patient may qualify. The patient will be offered a financial assistance application with instructions and a list of all documentation that may be required. The application and documentation will be used to make an individual determination of financial need based on income, household size and asset values. Counselors are available via phone and in person to assist with completing a financial assistance application. Call 1-800-782-8581, ext. 94475 to schedule an appointment with a counselor. In person assistance is available at locations shown on Exhibit 4. Applications are to be completed and returned within 15 days from the date the application was given or mailed to the patient. If additional time is needed to complete the application or provide the required documentation, the patient must communicate with the Patient Assistance Center. If an extension is granted, the counselor will put a temporary hold on phone calls and written notices intended to collect the outstanding account balance for the designated timeframe. Mail or hand-deliver completed financial assistance applications and required documentation to: Marshfield Clinic Health System Patient Assistance Center, 3Q4 1000 North Oak Avenue Marshfield, WI 54449 1-800-782-8581, ext. 94475 Upon receipt of a complete financial assistance application and until notification of a decision is made to the patient, as described in this paragraph, ECAs will not be initiated and further action will not be taken on existing ECAs. Within 30 days after submission of a complete application, MCHS will determine whether the patient qualifies for financial assistance and will notify the patient in writing of an approval and the discount amount. MCHS will take reasonable measures to reverse any ECA already in place, if any, related to the amounts approved for financial assistance. Patients qualifying for discounted, but not free, care will be notified in writing regarding any remaining balance due, including how the amount was determined and how to obtain information regarding the AGB. The patient may be asked to discuss payment terms with a Patient Assistance Counselor. Any such remaining balances will be treated in accordance with the MCHS Billing and Collection Policy. Upon receipt of an incomplete financial assistance application, a written notice will be sent to the patient describing the additional information required. A reasonable time for completion will be provided. ECAs will not be initiated and further action will not be taken on existing ECAs during this time period. At the expiration of the time period, if a complete application has not been received, normal account and collection activity will resume, as described in the MCHS Billing and Collection Policy and the application and supporting documents will be confidentially destroyed. X. Appeals If the application is denied for financial assistance, the Patient Assistance Center will notify the patient in writing and include the reason for the denial. Patients may appeal the financial assistance decision within 30 days of the date on the written approval or denial notification by calling 1-800-782-8581, ext. 94475 or by writing to the address listed above. XI. Impact on Billing and Collection Process While the application is pending review and approval, a regular monthly statement of account activity will continue to be delivered. In the event that a patient qualifies for financial assistance but fails to timely pay the remaining balance due (including, if applicable, the agreed-upon payment plan), MCHS may take any of the actions set forth in the Billing and Collection Policy, a free copy of which is available at www.marshfieldclinic.org/financial-assistance. XII. Measures to Widely Publicize Financial Assistance Policy Information on the MCHS Financial Assistance Policy will be posted in hospital registration and admitting locations and in hospital emergency departments. Financial assistance information is printed on monthly billing statements and incorporated into other communications in order to widely publicize the availability of financial assistance, as described in the MCHS Billing and Collection Policy. The MCHS Financial Assistance Policy (including the Plain Language Summary), the Financial Assistance Application, and the Billing and Collection Policy are available in English, Spanish, Hmong, and any other language that is the primary language spoken by the lesser of 1,000 individuals or 5% of the population of the Service Area. - See Exhibit 5 below for map of Marshfield Clinic Service Areas. The MCHS Financial Assistance Policy (including the Plain Language Summary), the Financial Assistance Application, and the Billing and Collection Policy may be obtained free of charge: [x] On the website, at www.marshfieldclinic.org/financial-assistance; [x] In person, from financial counselors at locations shown in Exhibit 4; [x] By phone, at 715-389-4475 or 800-782-8581, ext. 94475; [x] By mail, by writing to the address shown in Section IX Application Process. XIII. Amounts Billed to Patients Eligible for Financial Assistance Patients who are eligible for financial assistance under this policy will not be charged more than the amount generally billed (AGB) to patients with insurance for emergency or medically necessary care. MCHS determines AGB for the clinics and each hospital facility with more than 12 months of claim history utilizing the Look Back Method. AGB is based on amounts allowed under Medicare Fee-For-Service and all private health insurers paying claims to the applicable hospital facility or the clinics, over a 12-month period, divided by the gross charges for those claims. The AGB will be calculated at least annually. The updated AGB will be applied by the 120th day after the end of the 12-month measurement period. Patients may obtain the current AGB percentage and accompanying description of the calculation in writing and without charge by calling 715-389-4475 or 800-782-8581, ext. 94475. MCHS determines AGB for any hospital facility with less than 12 months of claim history using the Prospective Medicare method. Under the prospective method, MCHS will not charge patients who are eligible for financial assistance more than the Medicare allowable. XIV. Confidentiality: MCHS recognizes that the need for financial assistance may be a sensitive and deeply personal issue for patients. Confidentiality of information and preservation of individual dignity will be maintained for all who seek financial assistance under this Policy. No information obtained in the patient's financial assistance application will be released except where authorized by the patient or otherwise required by law. Incomplete applications and supporting documents will be confidentially destroyed. XV. Other Related Policies: A. MCHS Billing and Collection Policy B. Family Health Center of Marshfield, Inc. Financial Assistance Policy Attachments: Exhibit 1 Financial Assistance Discounts Exhibit 2 Sample Financial Assistance Application Exhibit 3 Physicians and Providers Covered by Financial Assistance Policy Exhibit 4 Plain-Language Summary of Financial Assistance Policy Exhibit 5 Marshfield Clinic Health System Primary Service Area EXHIBIT 1 Financial Assistance Discounts Income Guideline: The 2019 federal poverty guidelines based on household size: 2019 Federal Poverty Guidelines \| Household \| 100% FPL \| 200% FPL \| 250% FPL \| 300% FPL \| 350% FPL \| \|---\|---\|---\|---\|---\|---\| \| Size \| \| \| \| \| \| \| 1 \| $12,490 \| $24,980 \| $31,225 \| $37,470 \| $43,715 \| \| 2 \| 16,910 \| 33,820 \| 42,275 \| 50,730 \| 59,185 \| \| 3 \| 21,330 \| 42,660 \| 53,325 \| 63,990 \| 74,655 \| \| 4 \| 25,750 \| 51,500 \| 64,375 \| 77,250 \| 90,125 \| \| 5 \| 30,170 \| 60,340 \| 75,425 \| 90,510 \| 105,595 \| \| 6 \| 34,590 \| 69,180 \| 86,475 \| 103,770 \| 121,065 \| \| 7 \| 39,010 \| 78,020 \| 97,525 \| 117,030 \| 136,535 \| \| 8 \| 43,430 \| 86,860 \| 108,575 \| 130,290 \| 152,005 \| Free or Discounted Care: Applicants whose total household income plus excess asset amount (as defined in the Financial Assistance Policy) is less than or equal to 400% of the current federal poverty level will be provided a discount for services. Insured patients may qualify for financial assistance when the patient responsible balance exceeds $2,500 and if approved, the discounts below will apply to the entire patient responsible balance. \| \| Federal Poverty Level \| \| \|---\|---\|---\| \| Discounts applicable to each \| a) Less than or equal to 200% \| b) Above 200% and less than or equal to 300% \| \| location \| \| \| \| Clinics \| 100% \| 75% \| \| Marshfield Medical Center- Rice Lake \| 100% \| 75% \| \| Marshfield Medical Center \| 100% \| 75% \| \| Marshfield Medical Center - Ladysmith \| 100% \| 75% \| \| Marshfield Medical Center- Neillsville \| 100% \| 75% \| \| Marshfield Medical Center - Eau Claire \| 100% \| Medicare Allowable \| EXHIBIT 2 Financial Assistance Application EXHIBIT 3 Physicians and Other Providers Covered by Policy Emergency and medically necessary services offered by Marshfield Clinic Health System providers, with the exception of services through Family Health Center of Marshfield, Inc., are eligible for coverage under this policy. Other provider groups may offer emergency or medically necessary services at MCHS facilities. Below is a list of those provider groups and whether they are covered under this MCHS financial assistance policy. \| \| Covered under \| \| \| \|---\|---\|---\|---\| \| Provider Group \| MCHS Financial \| \| \| \| \| Assistance Policy \| \| \| \| Marshfield Clinic Health System, Inc \| Yes \| \| \| \| Family Health Center of Marshfield, Inc. \| No \| \| \| \| Branham Healy Orthopedic Clinic S.C. \| No* \| \| \| \| Chippewa Valley Eye Clinic \| No* \| \| \| \| Any other providers offering emergency or medically necessary services at any MCHS hospital \| No* \| \| Ahmed, Aisha MD \| \| \| \| Akhtar, Muhammad MD \| \| \| \| \| \| Alfred Chiang, DO \| \| \| \| Kyle Dettbarn, MD \| \| \| \| \| \| Eichten, Jeffrey MD \| \| \| \| Katie Fassbinder, MD \| \| \| \| \| \| Foerster, Susan MD \| \| \| \| Godar, Dennis DMD \| \| \| \| \| \| Graham, Peter MD \| \| \| \| Gray, Roger JR MD \| \| \| \| \| \| Gudibanda, Swetha MD \| \| \| \| Michael Hirsh, MD \| \| \| \| \| \| Horton, William DDS \| \| \| \| Martha Karlstad, MD \| \| \| \| \| \| Khan, Muhammad MD \| \| Joel Kowski, DPM \| \| \|---\|---\| \| \| Martin, Garry DPM \| \| Mckee, David MD \| \| \| \| Mitchell, Michael MD \| \| Mueller, Rick DMD \| \| \| \| Nathan, Katherine PA \| \| Norelle, Alexis MD \| \| \| \| Polomis, David MD \| \| Redfield, Robert MD \| \| \| \| Reding, Douglas MD \| \| \| Courtney Whitney, DO \| *For non-Marshfield Clinic provider groups, contact the pr	ovider group directly to inquire if they have a financial assistance policy. EXHIBIT 4 Plain-Language Summary of Financial Assistance Policy		29,852	inside_word	provider	remove_one_sentence	<url> https://www.marshfieldclinic.org/mPatientResources/Documents/MCHSFinancial%20Assistance%20Policy(062119).pdf </url> <text> ______________________________________________________________ SUBJECT: Financial Assistance Policy EFFECTIVE 6/21/19 POLICY NUM: SXKPPKZ72WEZ-3-924 CONTACT: Kari Weik, Director Patient Access Board Approval Date: 06/21/19 I. Applies to Marshfield Clinic Health System, Inc. (referred to as "MCHS" for purposes of this policy), MCHS Hospitals, Inc., and the affiliated entities owned and controlled by, including, but not limited to: - All Marshfield Clinic locations and services Hospital Facilities: - Marshfield Medical Center, Marshfield, Wisconsin - Marshfield Medical Center-Rice Lake, Rice Lake, Wisconsin - Marshfield Medical Center-Eau Claire, Eau Claire, Wisconsin - Marshfield Medical Center-Ladysmith, Ladysmith, Wisconsin - Marshfield Medical Center-Neillsville, Neillsville, Wisconsin - This policy does not apply to services provided by Family Health Center of Marshfield, Inc. ("FHC"). Financial assistance is available for FHC services through FHC's financial assistance policy. - See Exhibit 3 below for a list of providers (physicians) to which this policy applies or does not apply. II. Purpose MCHS' mission is to enrich lives through providing accessible, affordable, compassionate health care. It is our vision to continue to innovate and define the future of health care for generations and be the consumer's first choice for health care. To foster its mission, the MCHS Board of Directors and the Boards of Directors of Lakeview Medical Center, Inc. of Rice Lake, and MCHS Hospitals, Inc., each establish this policy to ensure that the financial capacity of people who need health care services does not prevent them from seeking or receiving care. Patients eligible for financial assistance under this policy will receive a discount toward their individual portion of the bill. Patients are expected to adhere to this policy's procedures in order to demonstrate financial need and to contribute toward the cost of their care based on their ability to pay. MCHS will not discriminate on the basis of age, sex, race, religious affiliation, disability, national origin, sexual orientation, or immigration status when making financial assistance decisions. III. Definitions Amount Generally Billed: The amount generally billed for emergency or other medically necessary care to individuals who have insurance coverage. AGB refers to the total amount due after applicable insured discounts are applied. See Section XII for calculation of AGB. Emergency Medical Condition: A medical condition (including labor and delivery) that shows acute symptoms of sufficient severity (including severe pain) such that the lack of immediate medical care could result in one or more of the following: (a) serious jeopardy to the patient's health; (b) serious impairment to bodily functions; (c) serious dysfunction of a bodily organ or part. Evidence-Based Care: The conscientious, explicit and judicious use of current best evidence in making decisions about the care of individual patients or in helping individual patients make decisions about their care in the light of their personal values and beliefs. Extraordinary Collection Action (ECA): Actions taken against an individual to obtain payment of a bill for care that requires a legal or judicial process, involves selling an individual's debt to another party or involves reporting adverse information about an individual to consumer credit reporting agencies or credit bureaus. FPL: Federal Poverty Level Guarantor: Person(s) financially responsible for payment of medical services. The Guarantor may be the patient, a parent, legal guardian or other persons financially obligated by law. Any reference to "patient" in this policy shall mean the patient and/or the Guarantor. Homeless: A homeless person is an individual without permanent housing who may live on the streets; stay in a shelter, mission, single room occupancy facilities, abandoned building or vehicle; or in any other unstable or non-permanent situation. Household: For purposes of determining household size and household income under federal poverty guidelines, Household includes the applicant, the applicant's spouse (regardless of whether the spouse lives in the home), the applicant's unmarried partner if they are living together with a child in common, any minor children or dependents residing in the home and claimed on the patient's federal income tax return. If the applicant is claimed as a dependent on another's federal tax return, Household will include all claimed members. Household will also include a third party or sponsor who has agreed to be financially responsible for the patient. Copies of legal or immigration documents may be requested to determine sponsorship. Medically Necessary: Services or items reasonable and necessary for the purpose of evaluating, diagnosing, and/or treating an injury or illness under Evidence-Based standards of care. Qualified Accounts: Tax-advantaged accounts designated for personal health care expenses, including Health Savings Accounts, Health Reimbursement Arrangements or Flexible Spending Accounts. Service Area: Consists of MCHS' primary and secondary service areas; meaning the State of Wisconsin and the Upper Peninsula of Michigan. - See Exhibit 5 below for map of Marshfield Clinic Service Areas. Primary Residence: The IRS defines principal residence as a person's "main home." If a person owns or lives in more than one home, the test for determining which one is the main home is a "facts and circumstances" test. Facts that are relevant include where the person is a registered voter, the address on the borrower's driver's license and where the person pays local or state income tax. Uninsured: An individual who has no health insurance coverage. Patients who have insurance coverage but have balances due to portions not paid by their health insurance (including but not limited to deductibles, coinsurance, copayments, benefit maximums or non-covered services) are not considered uninsured. IV. Emergency Medical Services MCHS will not engage in any actions that discourage individuals from seeking emergency medical care, such as by demanding that emergency department patients pay before receiving treatment or by permitting debt collection activities in the emergency department or other areas where such activities could interfere with the provision of emergency care on a non-discriminatory basis. V. Eligible Services Services eligible for financial assistance under this policy include: a. Emergency services, provided to treat an Emergency Medical Condition, including labor and delivery. b. Urgent services, provided to avoid the likely onset of an Emergency Medical Condition. c. Medically Necessary services. d. Preventive and screening services recommended under Evidence-Based standards of care. e. Prescription medications are eligible for financial assistance if the prescription resulted from a financial assistance eligible encounter, is medically necessary, follows the Wisconsin Medicaid formulary and is obtained from a MCHS pharmacy. f. Eyeglasses must follow Wisconsin Medicaid guidelines, limited to one pair per calendar year, and be obtained from a MCHS optical department. Frames and other enhancements outside Wisconsin's Medicaid guidelines are patient responsibility. Services Not eligible for financial assistance under this policy are: a. Cosmetic, aesthetic, or performance-enhancement services. b. Services offered at a discounted package or cash price. c. Experimental/investigational and research-related services, outside the Evidence-Based standard of care. d. Services requested or required by a third-party, including but not limited to: preemployment services, occupational medicine services, court ordered services, school and sports physicals, cross-bow evaluations, travel exams. e. reproductive services including: sterilization, sterilization-reversal and fertility services. f. Over the counter supplies and items. g. Contact lenses. h. Services related to worker's compensation, accident or liability are not eligible for financial assistance while a claim is in progress. The injured patient is required to seek any available third-party reimbursement by making a report of injury and pursuing a claim with the appropriate party before seeking financial assistance. i. Any other not Medically Necessary service. VI. Applicant Eligibility Financial assistance is generally secondary to all other financial resources available to the patient including insurance, government programs, third party liability, any public or other charitable resources, Qualified Accounts and Excess Assets (as defined in "Asset Review" below). The determination of eligibility for financial assistance is based on an application, written and oral communication, and other documentation used to conduct an individualized assessment and to validate the patient or guarantor's circumstances, including these criteria: Insurance review: Individuals with the financial capacity to purchase health insurance shall be encouraged to do so, as a means of assuring access to health care services, for their overall personal health, and for the protection of their individual assets. Insured patients are expected to follow their insurance carrier's prior authorization and provider network rules. Balances resulting from failure to follow an insurance carrier's requirements may be excluded from financial assistance. Insured patients receive multiple benefits from their insurance carrier, including free preventive and wellness services and contract discounts. MCHS financial assistance discounts are available to insured patients (excluding Medicaid) when the patient responsible balance exceeds two thousand, five hundred dollars ($2,500). Third-party resources: Stewardship of MCHS financial assistance resources includes review of any public or other charitable resources available for payment of a patient's eligible services. A MCHS counselor will refer patients or their guarantor(s) to available third-party resources if it is determined the applicant may qualify, such as Medicaid, pharmaceutical programs, tribal benefits, veteran's programs, disability benefit. The financial assistance application may be denied if the patient does not follow through with the third-party screening within 30 days of referral or provide evidence of a denial from the third party dated within six (6) months of applying for MCHS financial assistance. Qualified Account review: Patients with tax-advantaged personal health accounts will be expected to utilize available funds upon being granted financial assistance. Service Area Review: Financial assistance is available for services required for an Emergency Medical Condition regardless of whether a patient resides within Marshfield Clinic Health System's service area. For non-emergent medically necessary services, financial assistance eligibility is based on the patient's primary residence in relation to the MCHS service area and the nature of the care required (see Exhibit 5 below for map of MCHS service areas). However, consideration is given for services unique to MCHS versus the potential of providers local to the patient's residence or within the patient's insurance network. The patient's primary care provider may be asked to verify availability of local health care services and financial assistance. Income review: Applicants will be asked to provide reliable documentation of annual income for all adult Household members. Documentation requested may include: the most recently filed tax return(s) (including schedules and forms such as W-2, 1099, and self-employment) or 4506T Verification of Non-filing; paycheck stubs, or copies of checks; employer wage verification forms; checking, savings and investment account statements; affidavits or letters of support; and contracts or court documents related to income sources (such as divorce decree, pre-marital agreements, annuities, land contracts, or rental income). [x] Income includes earnings, unemployment compensation, workers' compensation, Social Security, Supplemental Security Income, veterans' payments, survivor benefits, pension or retirement income, interest, dividends, rents, royalties, income from estates, trusts, alimony, child support, assistance from outside the household, and other miscellaneous sources; [x] Noncash benefits (such as food stamps and housing subsidies) are not included; [x] Determined on a before-tax basis, i.e. gross income; [x] Excludes capital gains or losses. Asset review: Assets considered in determining eligibility for financial assistance include real estate, automobiles, recreational vehicles, cash accounts and any other identifiable asset. The individualized assessment of assets may consider documentation publicly available or requested of the applicant, including: cash or investment account statements; property titles or vehicle registrations; property tax statements; insurance documents; and contracts, statements, or court documents related to assets (such as mortgages, installment loans, land contracts, estates and divorce decrees). Wisconsin Medicaid guidelines are followed to determine the status and value of any recently divested assets. An asset's equity value is its fair market value (FMV) minus the remaining balance of any secured loan. MCHS recognizes that certain asset and equity values are difficult to convert to cash. For this reason, allowances and exemptions for certain assets are provided as follows: [x] The first $100,000 of home equity is excluded; [x] Up to $14,000 equity for a primary vehicle is excluded; [x] Up to $7,000 equity for a secondary vehicle is excluded for households with more than one driver; [x] Retirement accounts are excluded. Fifty percent (50%) of any asset or equity amount in excess of the allowances described above is added to income when calculating eligibility for financial assistance ("Excess Assets"). Pre-existing payment plans: Patients who established long-term payment plans (including "medical lines of credit") but are later unable to make payments due to a significant change in financial circumstances may apply for financial assistance for outstanding balances owed. In such cases, financial assistance may be granted with respect to balances currently outstanding without regard to amounts previously paid for the healthcare services either at the time of service or pursuant to the payment plan. Approval period: A financial assistance approval for free care or discounted care will continue for six months from the approval date. Eligible future services received during the six-month approval period will be discounted on the same basis as the initial approval. If a patient's financial circumstances materially change during the six-month approval period, the patient may be asked to update their financial assistance application. VII. Financial Assistance Discounts Patients who are eligible for financial assistance under this policy will not be charged more than the amount generally billed (AGB) to patients with insurance for emergency or medically necessary care (calculation as described in Part XII below). Patients may receive the following assistance, based on an assessment of income, assets and health care obligations: Free Care: The gross (undiscounted) charge amount for eligible services will be waived for applicants whose total Income plus Excess Asset amount is at or below 200% of the current federal poverty level, shown on Exhibit 1. Discounted Care: Applicants whose total Income plus Excess Asset amount is greater than 200% but less than or equal to 400% of the current federal poverty level will be provided a sliding scale discount for eligible services, shown on Exhibit 1. Uninsured patients will receive discounts applied against the gross charges for care and services. Insured patients qualify for financial assistance when the patient responsible balance exceeds $2,500, in which case, discounts are applied to the patient's balance remaining after insurance. Catastrophic Cap: A patient who incurs catastrophic medical expenses is eligible for assistance where payment of the balance would require liquidation of assets critical to living or would cause undue financial hardship. Patients are eligible for a catastrophic discount when their calculated FPL is at or below 600% and their patient responsibility portion of MCHS medical bills exceeds 20% of income (calculated without regard for Excess Assets). Balances exceeding 20% of income will be waived as catastrophic financial assistance. Payment Expectations: Financial Assistance eligible patients are expected to comply with MCHS Billing and Collection Policy and payment terms on any balances remaining after financial assistance discounts are applied. Refunds: A patient who is determined to be eligible for financial assistance will be refunded amounts they had paid for eligible care in excess of the calculated personal responsibility amount due under the financial assistance policy. Refunds are processed for excess payments of five dollars ($5) or more. VIII. Presumptive Eligibility There are instances when a patient may be determined to be eligible for financial assistance even though a financial assistance application or supporting documentation is not provided by the patient. Information accessed through other sources may provide sufficient evidence for MCHS management to make a financial assistance eligibility determination ("Presumptive Eligibility"). Presumptive Eligibility decisions are based on socio-economic factors that indicate a low financial capacity, such as: eligibility for specific means-tested state and local assistance programs, homelessness, residency in low-income housing, inability to locate any estate for a deceased patient and other available demographic and analytic tools. Presumptive Eligibility discounts are granted for free care (100% discount) only and are applied only to outstanding balances. If an account is qualified for Presumptive Eligibility, reasonable measures will be taken to reverse Extraordinary Collection Actions, if any, as described in the MCHS Billing and Collection Policy. IX. Application Process MCHS desires to identify a patient's need for financial assistance as quickly as possible. It is requested that patients identify a financial need upon registration at an appointment, admission or discharge, or as soon afterward as possible. MCHS will accept a financial assistance application for at least 240 days following the patient's first post-discharge billing statement. If an account older than 240 days from the first post-discharge billing statement has proceeded into a legal or judicial process, a financial assistance application will be accepted up until the date of final judgment or settlement upon patient request. If a patient indicates an inability to pay, or a need for financial assistance, a counselor from the Patient Assistance Center will interview the patient and provide referrals to third-party resources if the patient may qualify. The patient will be offered a financial assistance application with instructions and a list of all documentation that may be required. The application and documentation will be used to make an individual determination of financial need based on income, household size and asset values. Counselors are available via phone and in person to assist with completing a financial assistance application. Call 1-800-782-8581, ext. 94475 to schedule an appointment with a counselor. In person assistance is available at locations shown on Exhibit 4. Applications are to be completed and returned within 15 days from the date the application was given or mailed to the patient. If additional time is needed to complete the application or provide the required documentation, the patient must communicate with the Patient Assistance Center. If an extension is granted, the counselor will put a temporary hold on phone calls and written notices intended to collect the outstanding account balance for the designated timeframe. Mail or hand-deliver completed financial assistance applications and required documentation to: Marshfield Clinic Health System Patient Assistance Center, 3Q4 1000 North Oak Avenue Marshfield, WI 54449 1-800-782-8581, ext. 94475 Upon receipt of a complete financial assistance application and until notification of a decision is made to the patient, as described in this paragraph, ECAs will not be initiated and further action will not be taken on existing ECAs. Within 30 days after submission of a complete application, MCHS will determine whether the patient qualifies for financial assistance and will notify the patient in writing of an approval and the discount amount. MCHS will take reasonable measures to reverse any ECA already in place, if any, related to the amounts approved for financial assistance. Patients qualifying for discounted, but not free, care will be notified in writing regarding any remaining balance due, including how the amount was determined and how to obtain information regarding the AGB. The patient may be asked to discuss payment terms with a Patient Assistance Counselor. Any such remaining balances will be treated in accordance with the MCHS Billing and Collection Policy. Upon receipt of an incomplete financial assistance application, a written notice will be sent to the patient describing the additional information required. A reasonable time for completion will be provided. ECAs will not be initiated and further action will not be taken on existing ECAs during this time period. At the expiration of the time period, if a complete application has not been received, normal account and collection activity will resume, as described in the MCHS Billing and Collection Policy and the application and supporting documents will be confidentially destroyed. X. Appeals If the application is denied for financial assistance, the Patient Assistance Center will notify the patient in writing and include the reason for the denial. Patients may appeal the financial assistance decision within 30 days of the date on the written approval or denial notification by calling 1-800-782-8581, ext. 94475 or by writing to the address listed above. XI. Impact on Billing and Collection Process While the application is pending review and approval, a regular monthly statement of account activity will continue to be delivered. In the event that a patient qualifies for financial assistance but fails to timely pay the remaining balance due (including, if applicable, the agreed-upon payment plan), MCHS may take any of the actions set forth in the Billing and Collection Policy, a free copy of which is available at www.marshfieldclinic.org/financial-assistance. XII. Measures to Widely Publicize Financial Assistance Policy Information on the MCHS Financial Assistance Policy will be posted in hospital registration and admitting locations and in hospital emergency departments. Financial assistance information is printed on monthly billing statements and incorporated into other communications in order to widely publicize the availability of financial assistance, as described in the MCHS Billing and Collection Policy. The MCHS Financial Assistance Policy (including the Plain Language Summary), the Financial Assistance Application, and the Billing and Collection Policy are available in English, Spanish, Hmong, and any other language that is the primary language spoken by the lesser of 1,000 individuals or 5% of the population of the Service Area. - See Exhibit 5 below for map of Marshfield Clinic Service Areas. The MCHS Financial Assistance Policy (including the Plain Language Summary), the Financial Assistance Application, and the Billing and Collection Policy may be obtained free of charge: [x] On the website, at www.marshfieldclinic.org/financial-assistance; [x] In person, from financial counselors at locations shown in Exhibit 4; [x] By phone, at 715-389-4475 or 800-782-8581, ext. 94475; [x] By mail, by writing to the address shown in Section IX Application Process. XIII. Amounts Billed to Patients Eligible for Financial Assistance Patients who are eligible for financial assistance under this policy will not be charged more than the amount generally billed (AGB) to patients with insurance for emergency or medically necessary care. MCHS determines AGB for the clinics and each hospital facility with more than 12 months of claim history utilizing the Look Back Method. AGB is based on amounts allowed under Medicare Fee-For-Service and all private health insurers paying claims to the applicable hospital facility or the clinics, over a 12-month period, divided by the gross charges for those claims. The AGB will be calculated at least annually. The updated AGB will be applied by the 120th day after the end of the 12-month measurement period. Patients may obtain the current AGB percentage and accompanying description of the calculation in writing and without charge by calling 715-389-4475 or 800-782-8581, ext. 94475. MCHS determines AGB for any hospital facility with less than 12 months of claim history using the Prospective Medicare method. Under the prospective method, MCHS will not charge patients who are eligible for financial assistance more than the Medicare allowable. XIV. Confidentiality: MCHS recognizes that the need for financial assistance may be a sensitive and deeply personal issue for patients. Confidentiality of information and preservation of individual dignity will be maintained for all who seek financial assistance under this Policy. No information obtained in the patient's financial assistance application will be released except where authorized by the patient or otherwise required by law. Incomplete applications and supporting documents will be confidentially destroyed. XV. Other Related Policies: A. MCHS Billing and Collection Policy B. Family Health Center of Marshfield, Inc. Financial Assistance Policy Attachments: Exhibit 1 Financial Assistance Discounts Exhibit 2 Sample Financial Assistance Application Exhibit 3 Physicians and Providers Covered by Financial Assistance Policy Exhibit 4 Plain-Language Summary of Financial Assistance Policy Exhibit 5 Marshfield Clinic Health System Primary Service Area EXHIBIT 1 Financial Assistance Discounts Income Guideline: The 2019 federal poverty guidelines based on household size: 2019 Federal Poverty Guidelines \| Household \| 100% FPL \| 200% FPL \| 250% FPL \| 300% FPL \| 350% FPL \| \|---\|---\|---\|---\|---\|---\| \| Size \| \| \| \| \| \| \| 1 \| $12,490 \| $24,980 \| $31,225 \| $37,470 \| $43,715 \| \| 2 \| 16,910 \| 33,820 \| 42,275 \| 50,730 \| 59,185 \| \| 3 \| 21,330 \| 42,660 \| 53,325 \| 63,990 \| 74,655 \| \| 4 \| 25,750 \| 51,500 \| 64,375 \| 77,250 \| 90,125 \| \| 5 \| 30,170 \| 60,340 \| 75,425 \| 90,510 \| 105,595 \| \| 6 \| 34,590 \| 69,180 \| 86,475 \| 103,770 \| 121,065 \| \| 7 \| 39,010 \| 78,020 \| 97,525 \| 117,030 \| 136,535 \| \| 8 \| 43,430 \| 86,860 \| 108,575 \| 130,290 \| 152,005 \| Free or Discounted Care: Applicants whose total household income plus excess asset amount (as defined in the Financial Assistance Policy) is less than or equal to 400% of the current federal poverty level will be provided a discount for services. Insured patients may qualify for financial assistance when the patient responsible balance exceeds $2,500 and if approved, the discounts below will apply to the entire patient responsible balance. \| \| Federal Poverty Level \| \| \|---\|---\|---\| \| Discounts applicable to each \| a) Less than or equal to 200% \| b) Above 200% and less than or equal to 300% \| \| location \| \| \| \| Clinics \| 100% \| 75% \| \| Marshfield Medical Center- Rice Lake \| 100% \| 75% \| \| Marshfield Medical Center \| 100% \| 75% \| \| Marshfield Medical Center - Ladysmith \| 100% \| 75% \| \| Marshfield Medical Center- Neillsville \| 100% \| 75% \| \| Marshfield Medical Center - Eau Claire \| 100% \| Medicare Allowable \| EXHIBIT 2 Financial Assistance Application EXHIBIT 3 Physicians and Other Providers Covered by Policy Emergency and medically necessary services offered by Marshfield Clinic Health System providers, with the exception of services through Family Health Center of Marshfield, Inc., are eligible for coverage under this policy. Other provider groups may offer emergency or medically necessary services at MCHS facilities. Below is a list of those provider groups and whether they are covered under this MCHS financial assistance policy. \| \| Covered under \| \| \| \|---\|---\|---\|---\| \| Provider Group \| MCHS Financial \| \| \| \| \| Assistance Policy \| \| \| \| Marshfield Clinic Health System, Inc \| Yes \| \| \| \| Family Health Center of Marshfield, Inc. \| No \| \| \| \| Branham Healy Orthopedic Clinic S.C. \| No* \| \| \| \| Chippewa Valley Eye Clinic \| No* \| \| \| \| Any other providers offering emergency or medically necessary services at any MCHS hospital \| No* \| \| Ahmed, Aisha MD \| \| \| \| Akhtar, Muhammad MD \| \| \| \| \| \| Alfred Chiang, DO \| \| \| \| Kyle Dettbarn, MD \| \| \| \| \| \| Eichten, Jeffrey MD \| \| \| \| Katie Fassbinder, MD \| \| \| \| \| \| Foerster, Susan MD \| \| \| \| Godar, Dennis DMD \| \| \| \| \| \| Graham, Peter MD \| \| \| \| Gray, Roger JR MD \| \| \| \| \| \| Gudibanda, Swetha MD \| \| \| \| Michael Hirsh, MD \| \| \| \| \| \| Horton, William DDS \| \| \| \| Martha Karlstad, MD \| \| \| \| \| \| Khan, Muhammad MD \| \| Joel Kowski, DPM \| \| \|---\|---\| \| \| Martin, Garry DPM \| \| Mckee, David MD \| \| \| \| Mitchell, Michael MD \| \| Mueller, Rick DMD \| \| \| \| Nathan, Katherine PA \| \| Norelle, Alexis MD \| \| \| \| Polomis, David MD \| \| Redfield, Robert MD \| \| \| \| Reding, Douglas MD \| \| \| Courtney Whitney, DO \| *For non-Marshfield Clinic provider groups, contact the pr<cursor_is_here> </text>	[ { "content": "<url>\nhttps://www.marshfieldclinic.org/mPatientResources/Documents/MCHSFinancial%20Assistance%20Policy(062119).pdf\n</url>\n<text>\n______________________________________________________________\n\nSUBJECT: Financial Assistance Policy\n\nEFFECTIVE 6/21/19\n\nPOLICY NUM: SXKPPKZ72WEZ-3-924\n\nCONTACT: Kari Weik, Director Patient Access\n\nBoard Approval Date: 06/21/19\n\nI. Applies to\n\nMarshfield Clinic Health System, Inc. (referred to as \"MCHS\" for purposes of this policy), MCHS Hospitals, Inc., and the affiliated entities owned and controlled by, including, but not limited to:\n\n- All Marshfield Clinic locations and services\n\nHospital Facilities:\n\n- Marshfield Medical Center, Marshfield, Wisconsin\n- Marshfield Medical Center-Rice Lake, Rice Lake, Wisconsin\n- Marshfield Medical Center-Eau Claire, Eau Claire, Wisconsin\n- Marshfield Medical Center-Ladysmith, Ladysmith, Wisconsin\n- Marshfield Medical Center-Neillsville, Neillsville, Wisconsin\n- This policy does not apply to services provided by Family Health Center of Marshfield, Inc. (\"FHC\"). Financial assistance is available for FHC services through FHC's financial assistance policy.\n- See Exhibit 3 below for a list of providers (physicians) to which this policy applies or does not apply.\n\nII. Purpose\n\nMCHS' mission is to enrich lives through providing accessible, affordable, compassionate health care. It is our vision to continue to innovate and define the future of health care for generations and be the consumer's first choice for health care.\n\nTo foster its mission, the MCHS Board of Directors and the Boards of Directors of Lakeview Medical Center, Inc. of Rice Lake, and MCHS Hospitals, Inc., each establish this policy to ensure that the financial capacity of people who need health care services does not prevent them from seeking or receiving care. Patients eligible for financial assistance under this policy will receive a discount toward their individual portion of the bill.\n\nPatients are expected to adhere to this policy's procedures in order to demonstrate financial need and to contribute toward the cost of their care based on their ability to pay. MCHS will not discriminate on the basis of age, sex, race, religious affiliation, disability, national origin, sexual orientation, or immigration status when making financial assistance decisions.\n\nIII. Definitions\n\nAmount Generally Billed: The amount generally billed for emergency or other medically necessary care to individuals who have insurance coverage. AGB refers to the total amount due after applicable insured discounts are applied. See Section XII for calculation of AGB.\n\nEmergency Medical Condition: A medical condition (including labor and delivery) that shows acute symptoms of sufficient severity (including severe pain) such that the lack of immediate medical care could result in one or more of the following: (a) serious jeopardy to the patient's health; (b) serious impairment to bodily functions; (c) serious dysfunction of a bodily organ or part.\n\nEvidence-Based Care: The conscientious, explicit and judicious use of current best evidence in making decisions about the care of individual patients or in helping individual patients make decisions about their care in the light of their personal values and beliefs.\n\nExtraordinary Collection Action (ECA): Actions taken against an individual to obtain payment of a bill for care that requires a legal or judicial process, involves selling an individual's debt to another party or involves reporting adverse information about an individual to consumer credit reporting agencies or credit bureaus.\n\nFPL: Federal Poverty Level\n\nGuarantor: Person(s) financially responsible for payment of medical services. The Guarantor may be the patient, a parent, legal guardian or other persons financially obligated by law. Any reference to \"patient\" in this policy shall mean the patient and/or the Guarantor.\n\nHomeless: A homeless person is an individual without permanent housing who may live on the streets; stay in a shelter, mission, single room occupancy facilities, abandoned building or vehicle; or in any other unstable or non-permanent situation.\n\nHousehold: For purposes of determining household size and household income under federal poverty guidelines, Household includes the applicant, the applicant's spouse (regardless of whether the spouse lives in the home), the applicant's unmarried partner if they are living together with a child in common, any minor children or dependents residing in the home and claimed on the patient's federal income tax return. If the applicant is claimed as a dependent on another's federal tax return, Household will\n\ninclude all claimed members. Household will also include a third party or sponsor who has agreed to be financially responsible for the patient. Copies of legal or immigration documents may be requested to determine sponsorship.\n\nMedically Necessary: Services or items reasonable and necessary for the purpose of evaluating, diagnosing, and/or treating an injury or illness under Evidence-Based standards of care.\n\nQualified Accounts: Tax-advantaged accounts designated for personal health care expenses, including Health Savings Accounts, Health Reimbursement Arrangements or Flexible Spending Accounts.\n\nService Area: Consists of MCHS' primary and secondary service areas; meaning the State of Wisconsin and the Upper Peninsula of Michigan.\n\n- See Exhibit 5 below for map of Marshfield Clinic Service Areas.\n\nPrimary Residence: The IRS defines principal residence as a person's \"main home.\" If a person owns or lives in more than one home, the test for determining which one is the main home is a \"facts and circumstances\" test. Facts that are relevant include where the person is a registered voter, the address on the borrower's driver's license and where the person pays local or state income tax.\n\nUninsured: An individual who has no health insurance coverage. Patients who have insurance coverage but have balances due to portions not paid by their health insurance (including but not limited to deductibles, coinsurance, copayments, benefit maximums or non-covered services) are not considered uninsured.\n\nIV. Emergency Medical Services\n\nMCHS will not engage in any actions that discourage individuals from seeking emergency medical care, such as by demanding that emergency department patients pay before receiving treatment or by permitting debt collection activities in the emergency department or other areas where such activities could interfere with the provision of emergency care on a non-discriminatory basis.\n\nV. Eligible Services\n\nServices eligible for financial assistance under this policy include:\n\na. Emergency services, provided to treat an Emergency Medical Condition, including labor and delivery.\nb. Urgent services, provided to avoid the likely onset of an Emergency Medical Condition.\nc. Medically Necessary services.\nd. Preventive and screening services recommended under Evidence-Based standards of care.\ne. Prescription medications are eligible for financial assistance if the prescription resulted from a financial assistance eligible encounter, is medically necessary, follows the Wisconsin Medicaid formulary and is obtained from a MCHS pharmacy.\nf. Eyeglasses must follow Wisconsin Medicaid guidelines, limited to one pair per calendar year, and be obtained from a MCHS optical department. Frames and other enhancements outside Wisconsin's Medicaid guidelines are patient responsibility.\n\nServices Not eligible for financial assistance under this policy are:\n\na. Cosmetic, aesthetic, or performance-enhancement services.\nb. Services offered at a discounted package or cash price.\nc. Experimental/investigational and research-related services, outside the Evidence-Based standard of care.\nd. Services requested or required by a third-party, including but not limited to: preemployment services, occupational medicine services, court ordered services, school and sports physicals, cross-bow evaluations, travel exams.\ne. reproductive services including: sterilization, sterilization-reversal and fertility services.\nf. Over the counter supplies and items.\ng. Contact lenses.\nh. Services related to worker's compensation, accident or liability are not eligible for financial assistance while a claim is in progress. The injured patient is required to seek any available third-party reimbursement by making a report of injury and pursuing a claim with the appropriate party before seeking financial assistance.\ni. Any other not Medically Necessary service.\n\nVI. Applicant Eligibility\n\nFinancial assistance is generally secondary to all other financial resources available to the patient including insurance, government programs, third party liability, any public or other charitable resources, Qualified Accounts and Excess Assets (as defined in \"Asset Review\" below). The determination of eligibility for financial assistance is based on an application, written and oral communication, and other documentation used to conduct an individualized assessment and to validate the patient or guarantor's circumstances, including these criteria:\n\nInsurance review: Individuals with the financial capacity to purchase health insurance shall be encouraged to do so, as a means of assuring access to health care services, for their overall personal health, and for the protection of their individual assets. Insured patients are expected to follow their insurance carrier's prior authorization and provider network rules. Balances resulting from failure to follow an insurance carrier's requirements may be excluded from financial assistance.\n\nInsured patients receive multiple benefits from their insurance carrier, including free preventive and wellness services and contract discounts. MCHS financial assistance discounts are available to insured patients (excluding Medicaid) when the patient responsible balance exceeds two thousand, five hundred dollars ($2,500).\n\nThird-party resources: Stewardship of MCHS financial assistance resources includes review of any public or other charitable resources available for payment of a patient's eligible services. A MCHS counselor will refer patients or their guarantor(s) to available third-party resources if it is determined the applicant may qualify, such as\n\nMedicaid, pharmaceutical programs, tribal benefits, veteran's programs, disability benefit.\n\nThe financial assistance application may be denied if the patient does not follow through with the third-party screening within 30 days of referral or provide evidence of a denial from the third party dated within six (6) months of applying for MCHS financial assistance.\n\nQualified Account review: Patients with tax-advantaged personal health accounts will be expected to utilize available funds upon being granted financial assistance.\n\nService Area Review: Financial assistance is available for services required for an Emergency Medical Condition regardless of whether a patient resides within Marshfield Clinic Health System's service area. For non-emergent medically necessary services, financial assistance eligibility is based on the patient's primary residence in relation to the MCHS service area and the nature of the care required (see Exhibit 5 below for map of MCHS service areas). However, consideration is given for services unique to MCHS versus the potential of providers local to the patient's residence or within the patient's insurance network. The patient's primary care provider may be asked to verify availability of local health care services and financial assistance.\n\nIncome review: Applicants will be asked to provide reliable documentation of annual income for all adult Household members. Documentation requested may include: the most recently filed tax return(s) (including schedules and forms such as W-2, 1099, and self-employment) or 4506T Verification of Non-filing; paycheck stubs, or copies of checks; employer wage verification forms; checking, savings and investment account statements; affidavits or letters of support; and contracts or court documents related to income sources (such as divorce decree, pre-marital agreements, annuities, land contracts, or rental income).\n\n[x] Income includes earnings, unemployment compensation, workers' compensation, Social Security, Supplemental Security Income, veterans' payments, survivor benefits, pension or retirement income, interest, dividends, rents, royalties, income from estates, trusts, alimony, child support, assistance from outside the household, and other miscellaneous sources;\n[x] Noncash benefits (such as food stamps and housing subsidies) are not included;\n[x] Determined on a before-tax basis, i.e. gross income;\n[x] Excludes capital gains or losses.\n\nAsset review: Assets considered in determining eligibility for financial assistance include real estate, automobiles, recreational vehicles, cash accounts and any other identifiable asset. The individualized assessment of assets may consider documentation publicly available or requested of the applicant, including: cash or investment account statements; property titles or vehicle registrations; property tax statements; insurance documents; and contracts, statements, or court documents related to assets (such as mortgages, installment loans, land contracts, estates and divorce decrees). Wisconsin Medicaid guidelines are followed to determine the\n\nstatus and value of any recently divested assets.\n\nAn asset's equity value is its fair market value (FMV) minus the remaining balance of any secured loan. MCHS recognizes that certain asset and equity values are difficult to convert to cash. For this reason, allowances and exemptions for certain assets are provided as follows:\n\n[x] The first $100,000 of home equity is excluded;\n[x] Up to $14,000 equity for a primary vehicle is excluded;\n[x] Up to $7,000 equity for a secondary vehicle is excluded for households with more than one driver;\n[x] Retirement accounts are excluded.\n\nFifty percent (50%) of any asset or equity amount in excess of the allowances described above is added to income when calculating eligibility for financial assistance (\"Excess Assets\").\n\nPre-existing payment plans: Patients who established long-term payment plans (including \"medical lines of credit\") but are later unable to make payments due to a significant change in financial circumstances may apply for financial assistance for outstanding balances owed. In such cases, financial assistance may be granted with respect to balances currently outstanding without regard to amounts previously paid for the healthcare services either at the time of service or pursuant to the payment plan.\n\nApproval period: A financial assistance approval for free care or discounted care will continue for six months from the approval date. Eligible future services received during the six-month approval period will be discounted on the same basis as the initial approval. If a patient's financial circumstances materially change during the six-month approval period, the patient may be asked to update their financial assistance application.\n\nVII. Financial Assistance Discounts\n\nPatients who are eligible for financial assistance under this policy will not be charged more than the amount generally billed (AGB) to patients with insurance for emergency or medically necessary care (calculation as described in Part XII below). Patients may receive the following assistance, based on an assessment of income, assets and health care obligations:\n\nFree Care: The gross (undiscounted) charge amount for eligible services will be waived for applicants whose total Income plus Excess Asset amount is at or below 200% of the current federal poverty level, shown on Exhibit 1.\n\nDiscounted Care: Applicants whose total Income plus Excess Asset amount is greater than 200% but less than or equal to 400% of the current federal poverty level will be provided a sliding scale discount for eligible services, shown on Exhibit 1. Uninsured patients will receive discounts applied against the gross charges for care and services. Insured patients qualify for financial assistance when the patient responsible balance exceeds $2,500, in which case, discounts are applied to the patient's balance remaining after insurance.\n\nCatastrophic Cap: A patient who incurs catastrophic medical expenses is eligible for assistance where payment of the balance would require liquidation of assets critical to living or would cause undue financial hardship. Patients are eligible for a catastrophic discount when their calculated FPL is at or below 600% and their patient responsibility portion of MCHS medical bills exceeds 20% of income (calculated without regard for Excess Assets). Balances exceeding 20% of income will be waived as catastrophic financial assistance.\n\nPayment Expectations: Financial Assistance eligible patients are expected to comply with MCHS Billing and Collection Policy and payment terms on any balances remaining after financial assistance discounts are applied.\n\nRefunds: A patient who is determined to be eligible for financial assistance will be refunded amounts they had paid for eligible care in excess of the calculated personal responsibility amount due under the financial assistance policy. Refunds are processed for excess payments of five dollars ($5) or more.\n\nVIII. Presumptive Eligibility\n\nThere are instances when a patient may be determined to be eligible for financial assistance even though a financial assistance application or supporting documentation is not provided by the patient. Information accessed through other sources may provide sufficient evidence for MCHS management to make a financial assistance eligibility determination (\"Presumptive Eligibility\"). Presumptive Eligibility decisions are based on socio-economic factors that indicate a low financial capacity, such as: eligibility for specific means-tested state and local assistance programs, homelessness, residency in low-income housing, inability to locate any estate for a deceased patient and other available demographic and analytic tools.\n\nPresumptive Eligibility discounts are granted for free care (100% discount) only and are applied only to outstanding balances. If an account is qualified for Presumptive Eligibility, reasonable measures will be taken to reverse Extraordinary Collection Actions, if any, as described in the MCHS Billing and Collection Policy.\n\nIX. Application Process\n\nMCHS desires to identify a patient's need for financial assistance as quickly as possible. It is requested that patients identify a financial need upon registration at an appointment, admission or discharge, or as soon afterward as possible. MCHS will accept a financial assistance application for at least 240 days following the patient's first post-discharge billing statement. If an account older than 240 days from the first post-discharge billing statement has proceeded into a legal or judicial process, a financial assistance application will be accepted up until the date of final judgment or settlement upon patient request.\n\nIf a patient indicates an inability to pay, or a need for financial assistance, a counselor from the Patient Assistance Center will interview the patient and provide referrals to third-party resources if the patient may qualify. The patient will be offered a financial assistance application with instructions and a list of all documentation that may be required. The application and documentation will be used to make an individual determination of financial need based on income, household size and asset values.\n\nCounselors are available via phone and in person to assist with completing a financial assistance application. Call 1-800-782-8581, ext. 94475 to schedule an appointment with a counselor. In person assistance is available at locations shown on Exhibit 4.\n\nApplications are to be completed and returned within 15 days from the date the application was given or mailed to the patient. If additional time is needed to complete the application or provide the required documentation, the patient must communicate with the Patient Assistance Center. If an extension is granted, the counselor will put a temporary hold on phone calls and written notices intended to collect the outstanding account balance for the designated timeframe.\n\nMail or hand-deliver completed financial assistance applications and required documentation to:\n\nMarshfield Clinic Health System\n\nPatient Assistance Center, 3Q4 1000 North Oak Avenue Marshfield, WI 54449 1-800-782-8581, ext. 94475\n\nUpon receipt of a complete financial assistance application and until notification of a decision is made to the patient, as described in this paragraph, ECAs will not be initiated and further action will not be taken on existing ECAs. Within 30 days after submission of a complete application, MCHS will determine whether the patient qualifies for financial assistance and will notify the patient in writing of an approval and the discount amount. MCHS will take reasonable measures to reverse any ECA already in place, if any, related to the amounts approved for financial assistance.\n\nPatients qualifying for discounted, but not free, care will be notified in writing regarding any remaining balance due, including how the amount was determined and how to obtain information regarding the AGB. The patient may be asked to discuss payment terms with a Patient Assistance Counselor. Any such remaining balances will be treated in accordance with the MCHS Billing and Collection Policy.\n\nUpon receipt of an incomplete financial assistance application, a written notice will be sent to the patient describing the additional information required. A reasonable time for completion will be provided. ECAs will not be initiated and further action will not be taken on existing ECAs during this time period. At the expiration of the time period, if a complete application has not been received, normal account and collection activity will resume, as described in the MCHS Billing and Collection Policy and the application and supporting documents will be confidentially destroyed.\n\nX. Appeals\n\nIf the application is denied for financial assistance, the Patient Assistance Center will notify the patient in writing and include the reason for the denial. Patients may appeal the financial assistance decision within 30 days of the date on the written approval or denial notification by calling 1-800-782-8581, ext. 94475 or by writing to the address listed above.\n\nXI. Impact on Billing and Collection Process\n\nWhile the application is pending review and approval, a regular monthly statement of account activity will continue to be delivered.\n\nIn the event that a patient qualifies for financial assistance but fails to timely pay the remaining balance due (including, if applicable, the agreed-upon payment plan), MCHS may take any of the actions set forth in the Billing and Collection Policy, a free copy of which is available at www.marshfieldclinic.org/financial-assistance.\n\nXII. Measures to Widely Publicize Financial Assistance Policy\n\nInformation on the MCHS Financial Assistance Policy will be posted in hospital registration and admitting locations and in hospital emergency departments. Financial assistance information is printed on monthly billing statements and incorporated into other communications in order to widely publicize the availability of financial assistance, as described in the MCHS Billing and Collection Policy. The MCHS Financial Assistance Policy (including the Plain Language Summary), the Financial Assistance Application, and the Billing and Collection Policy are available in English, Spanish, Hmong, and any other language that is the primary language spoken by the lesser of 1,000 individuals or 5% of the population of the Service Area.\n\n- See Exhibit 5 below for map of Marshfield Clinic Service Areas.\n\nThe MCHS Financial Assistance Policy (including the Plain Language Summary), the Financial Assistance Application, and the Billing and Collection Policy may be obtained free of charge:\n\n[x] On the website, at www.marshfieldclinic.org/financial-assistance;\n[x] In person, from financial counselors at locations shown in Exhibit 4;\n[x] By phone, at 715-389-4475 or 800-782-8581, ext. 94475;\n[x] By mail, by writing to the address shown in Section IX Application Process.\n\nXIII. Amounts Billed to Patients Eligible for Financial Assistance\n\nPatients who are eligible for financial assistance under this policy will not be charged more than the amount generally billed (AGB) to patients with insurance for emergency or medically necessary care.\n\nMCHS determines AGB for the clinics and each hospital facility with more than 12 months of claim history utilizing the Look Back Method. AGB is based on amounts allowed under Medicare Fee-For-Service and all private health insurers paying claims to the applicable hospital facility or the clinics, over a 12-month period, divided by the gross charges for those claims. The AGB will be calculated at least annually. The updated AGB will be applied by the 120th day after the end of the 12-month measurement period. Patients may obtain the current AGB percentage and accompanying description of the calculation in writing and without charge by calling 715-389-4475 or 800-782-8581, ext. 94475.\n\nMCHS determines AGB for any hospital facility with less than 12 months of claim history using the Prospective Medicare method. Under the prospective method, MCHS will not charge patients who are eligible for financial assistance more than the Medicare allowable.\n\nXIV. Confidentiality:\n\nMCHS recognizes that the need for financial assistance may be a sensitive and deeply personal issue for patients. Confidentiality of information and preservation of individual dignity will be maintained for all who seek financial assistance under this Policy. No information obtained in the patient's financial assistance application will be released except where authorized by the patient or otherwise required by law. Incomplete applications and supporting documents will be confidentially destroyed.\n\nXV. Other Related Policies:\n\nA. MCHS Billing and Collection Policy\nB. Family Health Center of Marshfield, Inc. Financial Assistance Policy\n\nAttachments:\n\nExhibit 1 Financial Assistance Discounts\n\nExhibit 2 Sample Financial Assistance Application\n\nExhibit 3 Physicians and Providers Covered by Financial Assistance Policy\n\nExhibit 4\n\nPlain-Language Summary of Financial Assistance Policy\n\nExhibit 5 Marshfield Clinic Health System Primary Service Area\n\nEXHIBIT 1\n\nFinancial Assistance Discounts\n\nIncome Guideline: The 2019 federal poverty guidelines based on household size:\n\n2019 Federal Poverty Guidelines\n\n\| Household \| 100% FPL \| 200% FPL \| 250% FPL \| 300% FPL \| 350% FPL \|\n\|---\|---\|---\|---\|---\|---\|\n\| Size \| \| \| \| \| \|\n\| 1 \| $12,490 \| $24,980 \| $31,225 \| $37,470 \| $43,715 \|\n\| 2 \| 16,910 \| 33,820 \| 42,275 \| 50,730 \| 59,185 \|\n\| 3 \| 21,330 \| 42,660 \| 53,325 \| 63,990 \| 74,655 \|\n\| 4 \| 25,750 \| 51,500 \| 64,375 \| 77,250 \| 90,125 \|\n\| 5 \| 30,170 \| 60,340 \| 75,425 \| 90,510 \| 105,595 \|\n\| 6 \| 34,590 \| 69,180 \| 86,475 \| 103,770 \| 121,065 \|\n\| 7 \| 39,010 \| 78,020 \| 97,525 \| 117,030 \| 136,535 \|\n\| 8 \| 43,430 \| 86,860 \| 108,575 \| 130,290 \| 152,005 \|\n\nFree or Discounted Care: Applicants whose total household income plus excess asset amount (as defined in the Financial Assistance Policy) is less than or equal to 400% of the current federal poverty level will be provided a discount for services. Insured patients may qualify for financial assistance when the patient responsible balance exceeds $2,500 and if approved, the discounts below will apply to the entire patient responsible balance.\n\n\| \| Federal Poverty Level \| \|\n\|---\|---\|---\|\n\| Discounts applicable to each \| a) Less than or equal to 200% \| b) Above 200% and less than or equal to 300% \|\n\| location \| \| \|\n\| Clinics \| 100% \| 75% \|\n\| Marshfield Medical Center- Rice Lake \| 100% \| 75% \|\n\| Marshfield Medical Center \| 100% \| 75% \|\n\| Marshfield Medical Center - Ladysmith \| 100% \| 75% \|\n\| Marshfield Medical Center- Neillsville \| 100% \| 75% \|\n\| Marshfield Medical Center - Eau Claire \| 100% \| Medicare Allowable \|\n\nEXHIBIT 2\n\nFinancial Assistance Application\n\nEXHIBIT 3\n\nPhysicians and Other Providers Covered by Policy\n\nEmergency and medically necessary services offered by Marshfield Clinic Health System providers, with the exception of services through Family Health Center of Marshfield, Inc., are eligible for coverage under this policy.\n\nOther provider groups may offer emergency or medically necessary services at MCHS facilities. Below is a list of those provider groups and whether they are covered under this MCHS financial assistance policy.\n\n\| \| Covered under \| \| \|\n\|---\|---\|---\|---\|\n\| Provider Group \| MCHS Financial \| \| \|\n\| \| Assistance Policy \| \| \|\n\| Marshfield Clinic Health System, Inc \| Yes \| \| \|\n\| Family Health Center of Marshfield, Inc. \| No \| \| \|\n\| Branham Healy Orthopedic Clinic S.C. \| No* \| \| \|\n\| Chippewa Valley Eye Clinic \| No* \| \| \|\n\| Any other providers offering emergency or medically necessary services at any MCHS hospital \| No* \| \| Ahmed, Aisha MD \|\n\| \| \| Akhtar, Muhammad MD \| \|\n\| \| \| \| Alfred Chiang, DO \|\n\| \| \| Kyle Dettbarn, MD \| \|\n\| \| \| \| Eichten, Jeffrey MD \|\n\| \| \| Katie Fassbinder, MD \| \|\n\| \| \| \| Foerster, Susan MD \|\n\| \| \| Godar, Dennis DMD \| \|\n\| \| \| \| Graham, Peter MD \|\n\| \| \| Gray, Roger JR MD \| \|\n\| \| \| \| Gudibanda, Swetha MD \|\n\| \| \| Michael Hirsh, MD \| \|\n\| \| \| \| Horton, William DDS \|\n\| \| \| Martha Karlstad, MD \| \|\n\| \| \| \| Khan, Muhammad MD \|\n\n\| Joel Kowski, DPM \| \|\n\|---\|---\|\n\| \| Martin, Garry DPM \|\n\| Mckee, David MD \| \|\n\| \| Mitchell, Michael MD \|\n\| Mueller, Rick DMD \| \|\n\| \| Nathan, Katherine PA \|\n\| Norelle, Alexis MD \| \|\n\| \| Polomis, David MD \|\n\| Redfield, Robert MD \| \|\n\| \| Reding, Douglas MD \|\n\| \| Courtney Whitney, DO \|\n\n*For non-Marshfield Clinic provider groups, contact the pr<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "ovider group directly to inquire if they have a financial assistance policy.\n\nEXHIBIT 4 Plain-Language Summary of Financial Assistance Policy", "role": "assistant" } ]
MEDIEVAL TYMES June 2009 Volume 3 Issue 6 Barony of the Citadel of the Southern Pass Kingdom of the Outlands THEIR EXCELLENCIES OF THE CITADEL Lord Nikolaus von Stahlburg Baron THL Aine inghean Cormac Baroness Baronial Retinue Court Heralds Lord Laurent de Lourdes Lady Keterlyn von Eltz Ladies in Waiting: Lilje Widoeghe Kiera Guardsmen: Lord Wolf von der Muhle-Eckart Lord Edward Champion: Protector of the Sands: Sir Roger de Gilbert THL Dietrich Karl von Andernach Defender of the Pass: Protector of the Flaming Heart: Don Giovanni da Lucca Senor Carlos Nieto de Andrade Legal Stuff Medieval Tymes is available from the office of the Chronicler, if you wish to receive an electronic copy every month please send a email to [email protected]. It is not a corporate publication of the Society for Creative Anachronism, Incorporated, and does not delineate SCA policy. Medieval Tymes is available from: Carlos Andrade 303 San Saba El Paso, TX 79912 Corrections and Submissions If you would like to submit an article or artwork to the Medieval Tymes, please contact the office of the Chronicler via [email protected]. Deadline is the 20th of the month for the next issue. Please update your personal information as needed. The Chronicler reserves the right to make minor modifications to submitted work. In the case of major problems, you will be notified so that a solution can be found. Copyright © 2009 Society for Creative Anachronism, Inc. For information on reprinting articles and artwork from this publication, please contact the editor who will assist you in contacting the original creator of the piece. Please respect the legal rights of our contributors. OFFICERS OF THE CITADEL Seneschal Exchequer Vicomte Berold de Gilbert (Barry Boetto) (915)585-3155 [email protected] Knight Marshal Lord Wolf von der Muhle-Eckart (Sean Bartholome) [email protected] Arts & Sciences Lord Edmundus Peregrinator (Victor Singleton) (915)231-6990 [email protected] Rook Pursuivant Sir Conrade du Montgomerie (Roy Conrad) (915)592-5498 [email protected] Historian Vicomte Berold de Gilbert (Barry Boetto) Webminister Senor Carlos Nieto de Andrade (Carlos Andrade) [email protected] Hospitaler Baroness Muireann Ghlass inghean Faolan (Kristen Gant) [email protected] WEBSITE www.scaelpaso.org Geillis inghean Poil ui Siridein (Vicki Collins) [email protected] Chronicler Senor Carlos Nieto de Andrade (Carlos Andrade) [email protected] Chirurgeon Lady Rois inghean Domhnaill (Dannette Hobbs ) (915)821-4005 [email protected] Rapier Marshal Don Giovanni da Lucca (Jason Timbrook) [email protected] Scribe Lord Edmundus Peregrinator (Victor Singleton) Minister of the List Lilje Widoeghe (Heather Fan) [email protected] Chamberlain Vicomte Berold de Gilbert 3 3 FROM THEIR EXCELLENCIES Grüßen Sie den Tag. The sands of the Citadel have been cooled by the advent of rain and cooling breezes. The populace has appeared at events near and far, and for that we are most grateful. We wish to congratulate Their Royal Majesties Maelgwn and Sabine on their elevation to the Crown of the Outlands. The ceremony was a vision, and Their Majesties were a picture of grace and elegance with a heart for their people. We would like to thank the many people of the Citadel who helped with the event, and with largess for the upcoming reign. We also wish to extend our appreciation to His Grace Alrik, and Her Excellency Salomea for their efforts and accomplishments during the previous reign. Grand Outlandish went well and displayed many familiar faces. Citadel tournaments were the traditional Speedlist and were very well attended. We would like to congratulate everybody who participated and assisted with the execution of the tournaments. Winners of the Rapier tournament were Don Tristan for the 6 th time in a row, with the prize for Most Chivalrous going to Antirus. The victor of the armoured combat tournament was His Excellency Walrick, with the prize for Most Chivalrous being awarded to THL Talan. All in all the fighting was a joy to observe. We would also like to congratulate His Excellency Hrorik and Her Excellency Slaine for being chosen by Their Majesties to become the next Baron and Baroness of al-Barran. We invite everybody to attend the following upcoming events with us. A Beastly Tournament in the Incipient Shire of Ben Droigheann on the first weekend of June, our own A&S event on the third weekend of June, and Valkyries Presents: Tell Me a Tale and Baronial Investiture in the Bar- ony of al-Barran on the fourth weekend of June. Join us in extending our gratitude to Sir Gregor, and Lady Monika for their hard work over the past few years, and to welcome the new Coronet. We will be holding a grand Meeting of the Populace on Saturday, July 18 th , 2009. We would also like to include a Baronial Review at that time. Come tell us what you think of how things are going, and where you would like to see things go in the future. In addition, there will be the ability to leave comment cards for those unable to, or not wishing to verbalize their thoughts. And just to spice things up, we will be holding a Pot Luck picnic and WATER WARS!!!! ™. Come dressed in garb that you don't mind getting…… damp. We'll provide the boffers and balloons. We will also conduct Meetings of the Orders at that time. So it should be a busy day for everybody. Vielen Dank Citadel! Nikolaus and Aine Baron and Baroness of the Citadel of the Southern Pass FROM THE SENESCHAL Greet the day Citadellians. June approaches and with it comes the Beastly Tournament in Ben Droigheann on the first weekend of the month, our own Arts & Sciences event on the 20th and Tell Me a Tale (and Baronial Investiture) in al-Barran on the last weekend of the month. The Beastly Tournament - The Incipient Shire of Ben Droigheann (Silver City / Deming) is holding this event with the sponsorship of the Citadel. If possible, please attend and make it a fine event! Also, please be ready to assist the fine populace of Ben Droigheann should they have any need of assistance in running this event. The City of Rocks is a great place to have any type of fighting event and not a bad spot to enjoy the wonders of Nature in the rock formations which truely make it a one of a kind site! Our A & S Event - The Barony will host the annual A & S event and I highly encourage everyone to attend if at all possible. Our A & S events are very casual and a great place to begin the process of entering competitions for the arts and sciences. Tell Me a Tale - The Barony of al-Barran is hosting this event in conjunction with an epic event which one can never foresee the dates of - the Investiture of the new Coronet of al-Barran. You may have seen a Citadellian Investiture... now see the different flavor of an investiture from another Barony's point of view. Also, it is time to start thinking about who may wish to helm our great Barony in the future. No, Their Excellencies are not thinking of stepping down just yet, but October is looming ever near and with it comes the end of my tenure as Seneschal. If you are interested in learning what the office entails or just are curious as to what a Seneschal does, I would be happy to enlighten you. Every group needs one and it is the greatest way to get to know how the Society works! As always, concerning Car Pooling... the way to get there, really get there and have fun doing it is to "car pool". Just do it and save some money too! Be well and be safe Citadellians Berold, Seneschal BUSINESS/OFFICERS MEETING Business Meetings are on the FIRST Thursday of the month, 6:30 pm. This months meeting will be at Sam's Chinese Restaurant; 1501 E Yandell Dr (specifically the yellow house on the corner of Yandell and Langtry). This meeting is mandatory for officers (in the event of an emergency, or inability to attend, please contact Vicomte Berold to arrange for your report). Business meetings are open to all members of the SCA interested in finding out more about how the Citadel and the SCA function behind the scenes, and anyone is welcome! 5 5 Citadel Arts and Sciences Barony of the Citadel of the Southern Pass June 20, 2009 3 PM to 11 PM Grandview Park 3200 Jefferson Street El Paso, Texas 79930 Site Fee: $5. There is a $3 non-member surcharge. Site is Dry. Autocrat: Lilje Widoeghe (Heather Fan) (865) 385-0248 [email protected] Their Excellencies Lord Nikolaus von Stahlburg and The Honorable Lady Aine inghean Cormac invite you to Their Barony's annual gathering to celebrate the arts and sciences and those who practice them. Turn your hands and thoughts to gentler pursuits and enjoy a long warm afternoon in the company of artisans and friends. Our afternoon will include classes and hands-on workshops, competitions for Baronial Arts and Sciences Champion and Guest Champion, a cooking competition, and dancing. We will have classes in several Areas of the Arts, including: Scribal Arts Clothing and Textile Arts Arts of Eating and Drinking Metal Arts Dancing Arts Share your skills with your Barony!If you would like to teach a class in one of these areas, or in a subject we have not covered, please contact Lilje. The Barony will have a silk-screening station available to the Populace so that they may decorate their linens and fabric belongings with the Barony's Populace Badge. Display your Citadel Pride or create a memento of your Visit to the Southern Pass. Feast will be potluck; please bring a dish to share. The cooking competition will be general: most Delicious Period Dish, to be decided by the Vote of the Populace. The site will have a refrigerator to keep things cold and a stove to keep things hot, but Kitchen Arena it is not; elaborate preparations on-site are not recommended. Schedule 3:30 PM Site opens to populace 4:00 PM Classes begin 7:00 PM Dinner and Judging of Cooking Competition After Dinner: Court at Their Excellencies' Leisure Dancing to Follow Court 10:30 PM Clean up. (Off site by 11:00 PM.) DIRECTIONS: Take I-10 to Hwy US-54 N/Patriot Freeway. Take exit 23 toward Ft Bliss/Cassidy Rd. Turn left onto Cassidy Rd. Turn slight left onto Van Buren Avenue. Turn left onto Justus St. Turn right onto Jefferson Ave. A Beastly Tournament Hosted by the Incipient Shire of Ben Droigheann Sponsored by the Barony of the Citadel of the Southern Pass June 5 - 7, 2009 Site opens June 5 at 12:00 pm closes June 7 at 3:00 pm The City of Rocks Highway 61 Milepost #3 Faywood, NM 88034 Autocrats: Lord Nikolai Schad & Lady Aerune Skellhornsdottir (Michael & Monique Smigiel) 575-956-9990 e-mail [email protected] Site is discreetly wet Site Fee: $5.00 for ages 13 & up Ages 12 & under are FREE The park will have a fee of $5.00/day/vehicle More info can be found at www.silver.outlands.org Got Rocks? The Incipient Shire of Ben Droigheann does and we are inviting you to come join us for A Beastly Tournament. The Beast of Ben Droigheann has taken up residence in The City of Rocks (Yes! That City of Rocks) and the People of Ben Droigheann are calling all Warriors of the Outlands to come help rid us of the Beast at our First Event! Join us for a weekend of fantastic scenery and incredible fighting at one of the most unique places you can imagine (there are only 5 others like it in the world). The weekend happenings are still in the works but we are looking to offer, besides the Tournament, multiple fighting scenarios among the rocks both Heavy (including Combat Archery) and Light, A&S display opportunities, lots of activities for the children, viewing and instruction of the night sky (you have got to see it to believe it). Directions: Take the I-10 to Deming, NM. Take exit 82 (Hwy 180/Silver City) north to Hwy 61. Turn right onto Hwy 61 (City of Rocks). Park en trance is approximately 3 miles. 7 7 So you guys going to make it to Clann Wars this year? Er, yeah about that… I think we are not allowed to go back ever again Why so? Yeah… We had a "bear incident" Do we want to know? We really did not mean to leave a pizza in the Royal tent, it was an accident! It was a vegetarian pizza to, so why would the bear care? FROM THE KNIGHT MARSHAL Mid-Week practice will be Wednesday's at 6pm at Ponder Park between Hawkins and Airways, across from Burgess High School. Thanks again, Wolf Knight Marshal AREA CALENDAR Fighter & Archery Practices http://groups.yahoo.com/group/Citadel-Southern-Pass Please contact Lord Wolf [email protected] Nahrun Kabirun http://groups.yahoo.com/group/Nahrun_Populace Wednesday's , 6:00 PM NMSU Corbett Center Outdoor Stage East Side of Corbett Center on NMSU http://nahrun.outlands.org/ for more information Sundays Archery Practice are at 9am—12 pm at San Andres School (Mesilla) [Alternate site: Zia Middle School]. Loaner gear available! For up-to-date archery info, join the Citadel Archers yahoo group http://groups.yahoo.com/group/Citadel_Archers Citadel of the Southern Pass Fighter practice is held every Wednesday from 6 PM to dark at Ponder Park and Sunday from 11:00 AM to 2:00 PM Mountain Time at Memorial Park. (To Ponder Park) Take I-10 and exit Airway, go north on Airway and turn right on Viscount Blvd. The park is two blocks on your left side. (To Memorial Park) Take I-10 and exit at Piedras Street (Exit 21B). Follow Piedras north and turn right on Grant. Follow Grant with the park on your left, and practice is at the circular parking lot. Outlands Events for June: 5-7 Ben Droigheann A Beastly Tournament 20 Citadel A&S 26-28 al-Barran Valkyries Presents: Tell Me a Tale Dance Practices TIME: TBA, please see the Yahoo! Group List for updates. 9 9 Publication Permission Form I,__________________________________________, being known within the Society for Creative Anachronism, Inc. as ___________________________________________, do hereby grant permission for the Circle appropriate item (s): article/poem/picture/song/other______________ Entitled _____________________________________ to be used as follows (check all that apply, complete blanks where necessary): Ownership by the publication titled Medieval Tymes:Newsletter Of the Barony of the Cita- del of the Southern Pass and all copyright granted to that publication, which shall determine all future use of the item named above. (Check no other item.) Or One time publication in an issue of: Medieval Tymes: Newsletter Of the Barony of the Cita- del of the Southern Pass Publication in Medieval Tymes:Newsletter Of the Barony of the Citadel of the Southern Pass no more than _____ times (separate issues). And Posting on the Web page (s) for: The Barony of the Citadel of the Southern Pass, Kingdom of the Outlands. I recognize that persons unknown to me may link to this site or may use my work without my permission. I shall hold the web page owner harmless from such activity if proper notice appears on the web page, and I am immediately notified when the link or use is discovered. If I have checked one of the last three options, I retain all copyright in my work and may grant permission to any other publication or entity to use my work, or may withdraw permission as I choose. I further certify that I am the sole creator of this work, and have not substantially based it upon the work of any other person. If others have contributed to this work, or if I have based this upon the work of any person, their names and address (or other contact information) and the name of the original work are: _________________________________________________________________ _________________________________________________________________ _________________________________________________________________ _________ Date: ______________ Mundane Signature: __________________________________________ 10 FROM THE EDITOR There must be something in the air or water; just like Sir Berold is looking to find a replacement for Seneschal; I am nearing the end of my tenure as Chronicler. If you are interested in learning about the position please feel free to contact me and if you would like to apply for the position please submit a letter of intent and a small SCA biography to their Excellencies Nikos and Aine and also to Sir Berold. Servus humillimus, Senor Carlos Nieto de Andrade Chronicler, Citadel of the Southern Pass [email protected] or 915-577-9498 Art Credits: All art work from Wikimedia Commons http://commons.wikimedia.org/wiki/Category:Medieval_art or http://commons.wikimedia.org/wiki/Category:Woodcuts Cover art is the illustration from page one of "les Chroniques de Hainaut" by Rogier van der Weyden; 1447 http://commons.wikimedia.org/wiki/File:Van_der_weyden_miniature.jpg This issue of the Medieval Tymes brought to you by pleasant May rains, not going to Outlandish again and the end of the trail got one semester longer. Editors: Senor Carlos Nieto de Andrade and Lilje Widoeghe 11 11	<urn:uuid:3a682ef8-b392-4c2d-b3c7-d7e7ff18c461>	CC-MAIN-2017-34	http://www.scaelpaso.org/newsletter/MT06-09.pdf	2017-08-24T06:49:52Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-34/segments/1502886133042.90/warc/CC-MAIN-20170824062820-20170824082820-00659.warc.gz	664,335,537	4,162	eng_Latn	eng_Latn	0.858104	eng_Latn	0.996125	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 111, 1717, 2892, 5592, 8236, 10038, 11992, 12502, 13840, 15977, 17103 ]	MEDIEVAL TYMES June 2009 Volume 3 Issue 6 Barony of the Citadel of the Southern Pass Kingdom of the Outlands THEIR EXCELLENCIES OF THE CITADEL Lord Nikolaus von Stahlburg Baron THL Aine inghean Cormac Baroness Baronial Retinue Court Heralds Lord Laurent de Lourdes Lady Keterlyn von Eltz Ladies in Waiting: Lilje Widoeghe Kiera Guardsmen: Lord Wolf von der Muhle-Eckart Lord Edward Champion: Protector of the Sands: Sir Roger de Gilbert THL Dietrich Karl von Andernach Defender of the Pass: Protector of the Flaming Heart: Don Giovanni da Lucca Senor Carlos Nieto de Andrade Legal Stuff Medieval Tymes is available from the office of the Chronicler, if you wish to receive an electronic copy every month please send a email to [email protected]. It is not a corporate publication of the Society for Creative Anachronism, Incorporated, and does not delineate SCA policy. Medieval Tymes is available from: Carlos Andrade 303 San Saba El Paso, TX 79912 Corrections and Submissions If you would like to submit an article or artwork to the Medieval Tymes, please contact the office of the Chronicler via [email protected]. Deadline is the 20th of the month for the next issue. Please update your personal information as needed. The Chronicler reserves the right to make minor modifications to submitted work. In the case of major problems, you will be notified so that a solution can be found. Copyright © 2009 Society for Creative Anachronism, Inc. For information on reprinting articles and artwork from this publication, please contact the editor who will assist you in contacting the original creator of the piece. Please respect the legal rights of our contributors. OFFICERS OF THE CITADEL Seneschal Exchequer Vicomte Berold de Gilbert (Barry Boetto) (915)585-3155 [email protected] Knight Marshal Lord Wolf von der Muhle-Eckart (Sean Bartholome) [email protected] Arts & Sciences Lord Edmundus Peregrinator (Victor Singleton) (915)231-6990 [email protected] Rook Pursuivant Sir Conrade du Montgomerie (Roy Conrad) (915)592-5498 [email protected] Historian Vicomte Berold de Gilbert (Barry Boetto) Webminister Senor Carlos Nieto de Andrade (Carlos Andrade) [email protected] Hospitaler Baroness Muireann Ghlass inghean Faolan (Kristen Gant) [email protected] WEBSITE www.scaelpaso.org Geillis inghean Poil ui Siridein (Vicki Collins) [email protected] Chronicler Senor Carlos Nieto de Andrade (Carlos Andrade) [email protected] Chirurgeon Lady Rois inghean Domhnaill (Dannette Hobbs ) (915)821-4005 [email protected] Rapier Marshal Don Giovanni da Lucca (Jason Timbrook) [email protected] Scribe Lord Edmundus Peregrinator (Victor Singleton) Minister of the List Lilje Widoeghe (Heather Fan) [email protected] Chamberlain Vicomte Berold de Gilbert 3 3 FROM THEIR EXCELLENCIES Grüßen Sie den Tag. The sands of the Citadel have been cooled by the advent of rain and cooling breezes. The populace has appeared at events near and far, and for that we are most grateful. We wish to congratulate Their Royal Majesties Maelgwn and Sabine on their elevation to the Crown of the Outlands. The ceremony was a vision, and Their Majesties were a picture of grace and elegance with a heart for their people. We would like to thank the many people of the Citadel who helped with the event, and with largess for the upcoming reign. We also wish to extend our appreciation to His Grace Alrik, and Her Excellency Salomea for their efforts and accomplishments during the previous reign. Grand Outlandish went well and displayed many familiar faces. Citadel tournaments were the traditional Speedlist and were very well attended. We would like to congratulate everybody who participated and assisted with the execution of the tournaments. Winners of the Rapier tournament were Don Tristan for the 6 th time in a row, with the prize for Most Chivalrous going to Antirus. The victor of the armoured combat tournament was His Excellency Walrick, with the prize for Most Chivalrous being awarded to THL Talan. All in all the fighting was a joy to observe. We would also like to congratulate His Excellency Hrorik and Her Excellency Slaine for being chosen by Their Majesties to become the next Baron and Baroness of al-Barran. We invite everybody to attend the following upcoming events with us. A Beastly Tournament in the Incipient Shire of Ben Droigheann on the first weekend of June, our own A&S event on the third weekend of June, and Valkyries Presents: Tell Me a Tale and Baronial Investiture in the Bar- ony of al-Barran on the fourth weekend of June. Join us in extending our gratitude to Sir Gregor, and Lady Monika for their hard work over the past few years, and to welcome the new Coronet. We will be holding a grand Meeting of the Populace on Saturday, July 18 th , 2009. We would also like to include a Baronial Review at that time. Come tell us what you think of how things are going, and where you would like to see things go in the future. In addition, there will be the ability to leave comment cards for those unable to, or not wishing to verbalize their thoughts. And just to spice things up, we will be holding a Pot Luck picnic and WATER WARS!!!! ™. Come dressed in garb that you don't mind getting…… damp. We'll provide the boffers and balloons. We will also conduct Meetings of the Orders at that time. So it should be a busy day for everybody. Vielen Dank Citadel! Nikolaus and Aine Baron and Baroness of the Citadel of the Southern Pass FROM THE SENESCHAL Greet the day Citadellians. June approaches and with it comes the Beastly Tournament in Ben Droigheann on the first weekend of the month, our own Arts & Sciences event on the 20th and Tell Me a Tale (and Baronial Investiture) in al-Barran on the last weekend of the month. The Beastly Tournament - The Incipient Shire of Ben Droigheann (Silver City / Deming) is holding this event with the sponsorship of the Citadel. If possible, please attend and make it a fine event! Also, please be ready to assist the fine populace of Ben Droigheann should they have any need of assistance in running this event. The City of Rocks is a great place to have any type of fighting event and not a bad spot to enjoy the wonders of Nature in the rock formations which truely make it a one of a kind site! Our A & S Event - The Barony will host the annual A & S event and I highly encourage everyone to attend if at all possible. Our A & S events are very casual and a great place to begin the process of entering competitions for the arts and sciences. Tell Me a Tale - The Barony of al-Barran is hosting this event in conjunction with an epic event which one can never foresee the dates of - the Investiture of the new Coronet of al-Barran. You may have seen a Citadellian Investiture... now see the different flavor of an investiture from another Barony's point of view. Also, it is time to start thinking about who may wish to helm our great Barony in the future. No, Their Excellencies are not thinking of stepping down just yet, but October is looming ever near and with it comes the end of my tenure as Seneschal. If you are interested in learning what the office entails or just are curious as to what a Seneschal does, I would be happy to enlighten you. Every group needs one and it is the greatest way to get to know how the Society works! As always, concerning Car Pooling... the way to get there, really get there and have fun doing it is to "car pool". Just do it and save some money too! Be well and be safe Citadellians Berold, Seneschal BUSINESS/OFFICERS MEETING Business Meetings are on the FIRST Thursday of the month, 6:30 pm. This months meeting will be at Sam's Chinese Restaurant; 1501 E Yandell Dr (specifically the yellow house on the corner of Yandell and Langtry). This meeting is mandatory for officers (in the event of an emergency, or inability to attend, please contact Vicomte Berold to arrange for your report). Business meetings are open to all members of the SCA interested in finding out more about how the Citadel and the SCA function behind the scenes, and anyone is welcome! 5 5 Citadel Arts and Sciences Barony of the Citadel of the Southern Pass June 20, 2009 3 PM to 11 PM Grandview Park 3200 Jefferson Street El Paso, Texas 79930 Site Fee: $5. There is a $3 non-member surcharge. Site is Dry. Autocrat: Lilje Widoeghe (Heather Fan) (865) 385-0248 [email protected] Their Excellencies Lord Nikolaus von Stahlburg and The Honorable Lady Aine inghean Cormac invite you to Their Barony's annual gathering to celebrate the arts and sciences and those who practice them. Turn your hands and thoughts to gentler pursuits and enjoy a long warm afternoon in the company of artisans and friends. Our afternoon will include classes and hands-on workshops, competitions for Baronial Arts and Sciences Champion and Guest Champion, a cooking competition, and dancing. We will have classes in several Areas of the Arts, including: Scribal Arts Clothing and Textile Arts Arts of Eating and Drinking Metal Arts Dancing Arts Share your skills with your Barony!If you would like to teach a class in one of these areas, or in a subject we have not covered, please contact Lilje. The Barony will have a silk-screening station available to the Populace so that they may decorate their linens and fabric belongings with the Barony's Populace Badge. Display your Citadel Pride or create a memento of your Visit to the Southern Pass. Feast will be potluck; please bring a dish to share. The cooking competition will be general: most Delicious Period Dish, to be decided by the Vote of the Populace. The site will have a refrigerator to keep things cold and a stove to keep things hot, but Kitchen Arena it is not; elaborate preparations on-site are not recommended. Schedule 3:30 PM Site opens to populace 4:00 PM Classes begin 7:00 PM Dinner and Judging of Cooking Competition After Dinner: Court at Their Excellencies' Leisure Dancing to Follow Court 10:30 PM Clean up. (Off site by 11:00 PM.) DIRECTIONS: Take I-10 to Hwy US-54 N/Patriot Freeway. Take exit 23 toward Ft Bliss/Cassidy Rd. Turn left onto Cassidy Rd. Turn slight left onto Van Buren Avenue. Turn left onto Justus St. Turn right onto Jefferson Ave. A Beastly Tournament Hosted by the Incipient Shire of Ben Droigheann Sponsored by the Barony of the Citadel of the Southern Pass June 5 - 7, 2009 Site opens June 5 at 12:00 pm closes June 7 at 3:00 pm The City of Rocks Highway 61 Milepost #3 Faywood, NM 88034 Autocrats: Lord Nikolai Schad & Lady Aerune Skellhornsdottir (Michael & Monique Smigiel) 575-956-9990 e-mail [email protected] Site is discreetly wet Site Fee: $5.00 for ages 13 & up Ages 12 & under are FREE The park will have a fee of $5.00/day/vehicle More info can be found at www.silver.outlands.org Got Rocks? The Incipient Shire of Ben Droigheann does and we are inviting you to come join us for A Beastly Tournament. The Beast of Ben Droigheann has taken up residence in The City of Rocks (Yes! That City of Rocks) and the People of Ben Droigheann are calling all Warriors of the Outlands to come help rid us of the Beast at our First Event! Join us for a weekend of fantastic scenery and incredible fighting at one of the most unique places you can imagine (there are only 5 others like it in the world). The weekend happenings are still in the works but we are looking to offer, besides the Tournament, multiple fighting scenarios among the rocks both Heavy (including Combat Archery) and Light, A&S display opportunities, lots of activities for the children, viewing and instruction of the night sky (you have got to see it to believe it). Directions: Take the I-10 to Deming, NM. Take exit 82 (Hwy 180/Silver City) north to Hwy 61. Turn right onto Hwy 61 (City of Rocks). Park en trance is approximately 3 miles. 7 7 So you guys going to make it to Clann Wars this year? Er, yeah about that… I think we are not allowed to go back ever again Why so? Yeah… We had a "bear incident" Do we want to know? We really did not mean to leave a pizza in the Royal tent, it was an accident! It was a vegetarian pizza to, so why would the bear care? FROM THE KNIGHT MARSHAL Mid-Week practice will be Wednesday's at 6pm at Ponder Park between Hawkins and Airways, across from Burgess High School. Thanks again, Wolf Knight Marshal AREA CALENDAR Fighter & Archery Practices http://groups.yahoo.com/group/Citadel-Southern-Pass Please contact Lord Wolf [email protected] Nahrun Kabirun http://groups.yahoo.com/group/Nahrun_Populace Wednesday's , 6:00 PM NMSU Corbett Center Outdoor Stage East Side of Corbett Center on NMSU http://nahrun.outlands.org/ for more information Sundays Archery Practice are at 9am—12 pm at San Andres School (Mesilla) [Alternate site: Zia Middle School]. Loaner gear available! For up-to-date archery info, join the Citadel Archers yahoo group http://groups.yahoo.com/group/Citadel_Archers Citadel of the Southern Pass Fighter practice is held every Wednesday from 6 PM to dark at Ponder Park and Sunday from 11:00 AM to 2:00 PM Mountain Time at Memorial Park. (To Ponder Park) Take I-10 and exit Airway, go north on Airway and turn right on Viscount Blvd. The park is two blocks on your left side. (To Memorial Park) Take I-10 and exit at Piedras Street (Exit 21B). Follow Piedras north and turn right on Grant. Follow Grant with the park on your left, and practice is at the circular parking lot. Outlands Events for June: 5-7 Ben Droigheann A Beastly Tournament 20 Citadel A&S 26-28 al-Barran Valkyries Presents: Te	ll Me a Tale Dance Practices TIME: TBA, please see the Yahoo!		13,768	inside_word	Tell	remove_all	<url> http://www.scaelpaso.org/newsletter/MT06-09.pdf </url> <text> MEDIEVAL TYMES June 2009 Volume 3 Issue 6 Barony of the Citadel of the Southern Pass Kingdom of the Outlands THEIR EXCELLENCIES OF THE CITADEL Lord Nikolaus von Stahlburg Baron THL Aine inghean Cormac Baroness Baronial Retinue Court Heralds Lord Laurent de Lourdes Lady Keterlyn von Eltz Ladies in Waiting: Lilje Widoeghe Kiera Guardsmen: Lord Wolf von der Muhle-Eckart Lord Edward Champion: Protector of the Sands: Sir Roger de Gilbert THL Dietrich Karl von Andernach Defender of the Pass: Protector of the Flaming Heart: Don Giovanni da Lucca Senor Carlos Nieto de Andrade Legal Stuff Medieval Tymes is available from the office of the Chronicler, if you wish to receive an electronic copy every month please send a email to [email protected]. It is not a corporate publication of the Society for Creative Anachronism, Incorporated, and does not delineate SCA policy. Medieval Tymes is available from: Carlos Andrade 303 San Saba El Paso, TX 79912 Corrections and Submissions If you would like to submit an article or artwork to the Medieval Tymes, please contact the office of the Chronicler via [email protected]. Deadline is the 20th of the month for the next issue. Please update your personal information as needed. The Chronicler reserves the right to make minor modifications to submitted work. In the case of major problems, you will be notified so that a solution can be found. Copyright © 2009 Society for Creative Anachronism, Inc. For information on reprinting articles and artwork from this publication, please contact the editor who will assist you in contacting the original creator of the piece. Please respect the legal rights of our contributors. OFFICERS OF THE CITADEL Seneschal Exchequer Vicomte Berold de Gilbert (Barry Boetto) (915)585-3155 [email protected] Knight Marshal Lord Wolf von der Muhle-Eckart (Sean Bartholome) [email protected] Arts & Sciences Lord Edmundus Peregrinator (Victor Singleton) (915)231-6990 [email protected] Rook Pursuivant Sir Conrade du Montgomerie (Roy Conrad) (915)592-5498 [email protected] Historian Vicomte Berold de Gilbert (Barry Boetto) Webminister Senor Carlos Nieto de Andrade (Carlos Andrade) [email protected] Hospitaler Baroness Muireann Ghlass inghean Faolan (Kristen Gant) [email protected] WEBSITE www.scaelpaso.org Geillis inghean Poil ui Siridein (Vicki Collins) [email protected] Chronicler Senor Carlos Nieto de Andrade (Carlos Andrade) [email protected] Chirurgeon Lady Rois inghean Domhnaill (Dannette Hobbs ) (915)821-4005 [email protected] Rapier Marshal Don Giovanni da Lucca (Jason Timbrook) [email protected] Scribe Lord Edmundus Peregrinator (Victor Singleton) Minister of the List Lilje Widoeghe (Heather Fan) [email protected] Chamberlain Vicomte Berold de Gilbert 3 3 FROM THEIR EXCELLENCIES Grüßen Sie den Tag. The sands of the Citadel have been cooled by the advent of rain and cooling breezes. The populace has appeared at events near and far, and for that we are most grateful. We wish to congratulate Their Royal Majesties Maelgwn and Sabine on their elevation to the Crown of the Outlands. The ceremony was a vision, and Their Majesties were a picture of grace and elegance with a heart for their people. We would like to thank the many people of the Citadel who helped with the event, and with largess for the upcoming reign. We also wish to extend our appreciation to His Grace Alrik, and Her Excellency Salomea for their efforts and accomplishments during the previous reign. Grand Outlandish went well and displayed many familiar faces. Citadel tournaments were the traditional Speedlist and were very well attended. We would like to congratulate everybody who participated and assisted with the execution of the tournaments. Winners of the Rapier tournament were Don Tristan for the 6 th time in a row, with the prize for Most Chivalrous going to Antirus. The victor of the armoured combat tournament was His Excellency Walrick, with the prize for Most Chivalrous being awarded to THL Talan. All in all the fighting was a joy to observe. We would also like to congratulate His Excellency Hrorik and Her Excellency Slaine for being chosen by Their Majesties to become the next Baron and Baroness of al-Barran. We invite everybody to attend the following upcoming events with us. A Beastly Tournament in the Incipient Shire of Ben Droigheann on the first weekend of June, our own A&S event on the third weekend of June, and Valkyries Presents: Tell Me a Tale and Baronial Investiture in the Bar- ony of al-Barran on the fourth weekend of June. Join us in extending our gratitude to Sir Gregor, and Lady Monika for their hard work over the past few years, and to welcome the new Coronet. We will be holding a grand Meeting of the Populace on Saturday, July 18 th , 2009. We would also like to include a Baronial Review at that time. Come tell us what you think of how things are going, and where you would like to see things go in the future. In addition, there will be the ability to leave comment cards for those unable to, or not wishing to verbalize their thoughts. And just to spice things up, we will be holding a Pot Luck picnic and WATER WARS!!!! ™. Come dressed in garb that you don't mind getting…… damp. We'll provide the boffers and balloons. We will also conduct Meetings of the Orders at that time. So it should be a busy day for everybody. Vielen Dank Citadel! Nikolaus and Aine Baron and Baroness of the Citadel of the Southern Pass FROM THE SENESCHAL Greet the day Citadellians. June approaches and with it comes the Beastly Tournament in Ben Droigheann on the first weekend of the month, our own Arts & Sciences event on the 20th and Tell Me a Tale (and Baronial Investiture) in al-Barran on the last weekend of the month. The Beastly Tournament - The Incipient Shire of Ben Droigheann (Silver City / Deming) is holding this event with the sponsorship of the Citadel. If possible, please attend and make it a fine event! Also, please be ready to assist the fine populace of Ben Droigheann should they have any need of assistance in running this event. The City of Rocks is a great place to have any type of fighting event and not a bad spot to enjoy the wonders of Nature in the rock formations which truely make it a one of a kind site! Our A & S Event - The Barony will host the annual A & S event and I highly encourage everyone to attend if at all possible. Our A & S events are very casual and a great place to begin the process of entering competitions for the arts and sciences. Tell Me a Tale - The Barony of al-Barran is hosting this event in conjunction with an epic event which one can never foresee the dates of - the Investiture of the new Coronet of al-Barran. You may have seen a Citadellian Investiture... now see the different flavor of an investiture from another Barony's point of view. Also, it is time to start thinking about who may wish to helm our great Barony in the future. No, Their Excellencies are not thinking of stepping down just yet, but October is looming ever near and with it comes the end of my tenure as Seneschal. If you are interested in learning what the office entails or just are curious as to what a Seneschal does, I would be happy to enlighten you. Every group needs one and it is the greatest way to get to know how the Society works! As always, concerning Car Pooling... the way to get there, really get there and have fun doing it is to "car pool". Just do it and save some money too! Be well and be safe Citadellians Berold, Seneschal BUSINESS/OFFICERS MEETING Business Meetings are on the FIRST Thursday of the month, 6:30 pm. This months meeting will be at Sam's Chinese Restaurant; 1501 E Yandell Dr (specifically the yellow house on the corner of Yandell and Langtry). This meeting is mandatory for officers (in the event of an emergency, or inability to attend, please contact Vicomte Berold to arrange for your report). Business meetings are open to all members of the SCA interested in finding out more about how the Citadel and the SCA function behind the scenes, and anyone is welcome! 5 5 Citadel Arts and Sciences Barony of the Citadel of the Southern Pass June 20, 2009 3 PM to 11 PM Grandview Park 3200 Jefferson Street El Paso, Texas 79930 Site Fee: $5. There is a $3 non-member surcharge. Site is Dry. Autocrat: Lilje Widoeghe (Heather Fan) (865) 385-0248 [email protected] Their Excellencies Lord Nikolaus von Stahlburg and The Honorable Lady Aine inghean Cormac invite you to Their Barony's annual gathering to celebrate the arts and sciences and those who practice them. Turn your hands and thoughts to gentler pursuits and enjoy a long warm afternoon in the company of artisans and friends. Our afternoon will include classes and hands-on workshops, competitions for Baronial Arts and Sciences Champion and Guest Champion, a cooking competition, and dancing. We will have classes in several Areas of the Arts, including: Scribal Arts Clothing and Textile Arts Arts of Eating and Drinking Metal Arts Dancing Arts Share your skills with your Barony!If you would like to teach a class in one of these areas, or in a subject we have not covered, please contact Lilje. The Barony will have a silk-screening station available to the Populace so that they may decorate their linens and fabric belongings with the Barony's Populace Badge. Display your Citadel Pride or create a memento of your Visit to the Southern Pass. Feast will be potluck; please bring a dish to share. The cooking competition will be general: most Delicious Period Dish, to be decided by the Vote of the Populace. The site will have a refrigerator to keep things cold and a stove to keep things hot, but Kitchen Arena it is not; elaborate preparations on-site are not recommended. Schedule 3:30 PM Site opens to populace 4:00 PM Classes begin 7:00 PM Dinner and Judging of Cooking Competition After Dinner: Court at Their Excellencies' Leisure Dancing to Follow Court 10:30 PM Clean up. (Off site by 11:00 PM.) DIRECTIONS: Take I-10 to Hwy US-54 N/Patriot Freeway. Take exit 23 toward Ft Bliss/Cassidy Rd. Turn left onto Cassidy Rd. Turn slight left onto Van Buren Avenue. Turn left onto Justus St. Turn right onto Jefferson Ave. A Beastly Tournament Hosted by the Incipient Shire of Ben Droigheann Sponsored by the Barony of the Citadel of the Southern Pass June 5 - 7, 2009 Site opens June 5 at 12:00 pm closes June 7 at 3:00 pm The City of Rocks Highway 61 Milepost #3 Faywood, NM 88034 Autocrats: Lord Nikolai Schad & Lady Aerune Skellhornsdottir (Michael & Monique Smigiel) 575-956-9990 e-mail [email protected] Site is discreetly wet Site Fee: $5.00 for ages 13 & up Ages 12 & under are FREE The park will have a fee of $5.00/day/vehicle More info can be found at www.silver.outlands.org Got Rocks? The Incipient Shire of Ben Droigheann does and we are inviting you to come join us for A Beastly Tournament. The Beast of Ben Droigheann has taken up residence in The City of Rocks (Yes! That City of Rocks) and the People of Ben Droigheann are calling all Warriors of the Outlands to come help rid us of the Beast at our First Event! Join us for a weekend of fantastic scenery and incredible fighting at one of the most unique places you can imagine (there are only 5 others like it in the world). The weekend happenings are still in the works but we are looking to offer, besides the Tournament, multiple fighting scenarios among the rocks both Heavy (including Combat Archery) and Light, A&S display opportunities, lots of activities for the children, viewing and instruction of the night sky (you have got to see it to believe it). Directions: Take the I-10 to Deming, NM. Take exit 82 (Hwy 180/Silver City) north to Hwy 61. Turn right onto Hwy 61 (City of Rocks). Park en trance is approximately 3 miles. 7 7 So you guys going to make it to Clann Wars this year? Er, yeah about that… I think we are not allowed to go back ever again Why so? Yeah… We had a "bear incident" Do we want to know? We really did not mean to leave a pizza in the Royal tent, it was an accident! It was a vegetarian pizza to, so why would the bear care? FROM THE KNIGHT MARSHAL Mid-Week practice will be Wednesday's at 6pm at Ponder Park between Hawkins and Airways, across from Burgess High School. Thanks again, Wolf Knight Marshal AREA CALENDAR Fighter & Archery Practices http://groups.yahoo.com/group/Citadel-Southern-Pass Please contact Lord Wolf [email protected] Nahrun Kabirun http://groups.yahoo.com/group/Nahrun_Populace Wednesday's , 6:00 PM NMSU Corbett Center Outdoor Stage East Side of Corbett Center on NMSU http://nahrun.outlands.org/ for more information Sundays Archery Practice are at 9am—12 pm at San Andres School (Mesilla) [Alternate site: Zia Middle School]. Loaner gear available! For up-to-date archery info, join the Citadel Archers yahoo group http://groups.yahoo.com/group/Citadel_Archers Citadel of the Southern Pass Fighter practice is held every Wednesday from 6 PM to dark at Ponder Park and Sunday from 11:00 AM to 2:00 PM Mountain Time at Memorial Park. (To Ponder Park) Take I-10 and exit Airway, go north on Airway and turn right on Viscount Blvd. The park is two blocks on your left side. (To Memorial Park) Take I-10 and exit at Piedras Street (Exit 21B). Follow Piedras north and turn right on Grant. Follow Grant with the park on your left, and practice is at the circular parking lot. Outlands Events for June: 5-7 Ben Droigheann A Beastly Tournament 20 Citadel A&S 26-28 al-Barran Valkyries Presents: Te<cursor_is_here> </text>	[ { "content": "<url>\nhttp://www.scaelpaso.org/newsletter/MT06-09.pdf\n</url>\n<text>\nMEDIEVAL TYMES\n\nJune 2009 Volume 3 Issue 6\n\nBarony of the Citadel of the Southern Pass Kingdom of the Outlands\n\nTHEIR EXCELLENCIES OF THE CITADEL\n\nLord Nikolaus von Stahlburg Baron\n\nTHL Aine inghean Cormac Baroness\n\nBaronial Retinue\n\nCourt Heralds\n\nLord Laurent de Lourdes\n\nLady Keterlyn von Eltz\n\nLadies in Waiting:\n\nLilje Widoeghe\n\nKiera\n\nGuardsmen:\n\nLord Wolf von der Muhle-Eckart Lord Edward\n\nChampion:\n\nProtector of the Sands:\n\nSir Roger de Gilbert\n\nTHL Dietrich Karl von Andernach\n\nDefender of the Pass:\n\nProtector of the Flaming Heart:\n\nDon Giovanni da Lucca\n\nSenor Carlos Nieto de Andrade\n\nLegal Stuff\n\nMedieval Tymes is available from the office of the Chronicler, if you wish to receive an electronic copy every month please send a email to [email protected]. It is not a corporate publication of the Society for Creative Anachronism, Incorporated, and does not delineate SCA policy. Medieval Tymes is available from:\n\nCarlos Andrade 303 San Saba\n\nEl Paso, TX 79912\n\nCorrections and Submissions\n\nIf you would like to submit an article or artwork to the Medieval Tymes, please contact the office of the Chronicler via [email protected]. Deadline is the 20th of the month for the next issue. Please update your personal information as needed. The Chronicler reserves the right to make minor modifications to submitted work. In the case of major problems, you will be notified so that a solution can be found.\n\nCopyright © 2009 Society for Creative Anachronism, Inc. For information on reprinting articles and artwork from this publication, please contact the editor who will assist you in contacting the original creator of the piece. Please respect the legal rights of our contributors.\n\nOFFICERS OF THE CITADEL\n\nSeneschal\n\nExchequer\n\nVicomte Berold de Gilbert (Barry Boetto) (915)585-3155 [email protected]\n\nKnight Marshal\n\nLord Wolf von der Muhle-Eckart (Sean Bartholome) [email protected]\n\nArts & Sciences\n\nLord Edmundus Peregrinator (Victor Singleton) (915)231-6990 [email protected]\n\nRook Pursuivant\n\nSir Conrade du Montgomerie (Roy Conrad) (915)592-5498 [email protected]\n\nHistorian\n\nVicomte Berold de Gilbert (Barry Boetto)\n\nWebminister\n\nSenor Carlos Nieto de Andrade (Carlos Andrade) [email protected]\n\nHospitaler\n\nBaroness Muireann Ghlass inghean Faolan (Kristen Gant) [email protected]\n\nWEBSITE www.scaelpaso.org\n\nGeillis inghean Poil ui Siridein (Vicki Collins) [email protected]\n\nChronicler\n\nSenor Carlos Nieto de Andrade (Carlos Andrade) [email protected]\n\nChirurgeon\n\nLady Rois inghean Domhnaill (Dannette Hobbs ) (915)821-4005 [email protected]\n\nRapier Marshal\n\nDon Giovanni da Lucca (Jason Timbrook) [email protected]\n\nScribe\n\nLord Edmundus Peregrinator (Victor Singleton)\n\nMinister of the List\n\nLilje Widoeghe (Heather Fan) [email protected]\n\nChamberlain\n\nVicomte Berold de Gilbert\n\n3 3\n\nFROM THEIR EXCELLENCIES\n\nGrüßen Sie den Tag.\n\nThe sands of the Citadel have been cooled by the advent of rain and cooling breezes. The populace has appeared at events near and far, and for that we are most grateful.\n\nWe wish to congratulate Their Royal Majesties Maelgwn and Sabine on their elevation to the Crown of the Outlands. The ceremony was a vision, and Their Majesties were a picture of grace and elegance with a heart for their people. We would like to thank the many people of the Citadel who helped with the event, and with largess for the upcoming reign. We also wish to extend our appreciation to His Grace Alrik, and Her Excellency Salomea for their efforts and accomplishments during the previous reign.\n\nGrand Outlandish went well and displayed many familiar faces. Citadel tournaments were the traditional Speedlist and were very well attended. We would like to congratulate everybody who participated and assisted with the execution of the tournaments. Winners of the Rapier tournament were Don Tristan for the 6 th time in a row, with the prize for Most Chivalrous going to Antirus. The victor of the armoured combat tournament was His Excellency Walrick, with the prize for Most Chivalrous being awarded to THL Talan. All in all the fighting was a joy to observe. We would also like to congratulate His Excellency Hrorik and Her Excellency Slaine for being chosen by Their Majesties to become the next Baron and Baroness of al-Barran.\n\nWe invite everybody to attend the following upcoming events with us. A Beastly Tournament in the Incipient Shire of Ben Droigheann on the first weekend of June, our own A&S event on the third weekend of June, and Valkyries Presents: Tell Me a Tale and Baronial Investiture in the Bar- ony of al-Barran on the fourth weekend of June. Join us in extending our gratitude to Sir Gregor, and Lady Monika for their hard work over the past few years, and to welcome the new Coronet.\n\nWe will be holding a grand Meeting of the Populace on Saturday, July 18 th , 2009. We would also like to include a Baronial Review at that time. Come tell us what you think of how things are going, and where you would like to see things go in the future. In addition, there will be the ability to leave comment cards for those unable to, or not wishing to verbalize their thoughts. And just to spice things up, we will be holding a Pot Luck picnic and WATER WARS!!!! ™. Come dressed in garb that you don't mind getting…… damp. We'll provide the boffers and balloons. We will also conduct Meetings of the Orders at that time. So it should be a busy day for everybody.\n\nVielen Dank Citadel!\n\nNikolaus and Aine\n\nBaron and Baroness of the Citadel of the Southern Pass\n\nFROM THE SENESCHAL\n\nGreet the day Citadellians.\n\nJune approaches and with it comes the Beastly Tournament in Ben Droigheann on the first weekend of the month, our own Arts & Sciences event on the 20th and Tell Me a Tale (and Baronial Investiture) in al-Barran on the last weekend of the month.\n\nThe Beastly Tournament - The Incipient Shire of Ben Droigheann (Silver City / Deming) is holding this event with the sponsorship of the Citadel. If possible, please attend and make it a fine event! Also, please be ready to assist the fine populace of Ben Droigheann should they have any need of assistance in running this event. The City of Rocks is a great place to have any type of fighting event and not a bad spot to enjoy the wonders of Nature in the rock formations which truely make it a one of a kind site!\n\nOur A & S Event - The Barony will host the annual A & S event and I highly encourage everyone to attend if at all possible. Our A & S events are very casual and a great place to begin the process of entering competitions for the arts and sciences.\n\nTell Me a Tale - The Barony of al-Barran is hosting this event in conjunction with an epic event which one can never foresee the dates of - the Investiture of the new Coronet of al-Barran. You may have seen a Citadellian Investiture... now see the different flavor of an investiture from another Barony's point of view.\n\nAlso, it is time to start thinking about who may wish to helm our great Barony in the future. No, Their Excellencies are not thinking of stepping down just yet, but October is looming ever near and with it comes the end of my tenure as Seneschal. If you are interested in learning what the office entails or just are curious as to what a Seneschal does, I would be happy to enlighten you. Every group needs one and it is the greatest way to get to know how the Society works!\n\nAs always, concerning Car Pooling... the way to get there, really get there and have fun doing it is to \"car pool\". Just do it and save some money too!\n\nBe well and be safe Citadellians Berold, Seneschal\n\nBUSINESS/OFFICERS MEETING\n\nBusiness Meetings are on the FIRST Thursday of the month, 6:30 pm. This months meeting will be at Sam's Chinese Restaurant; 1501 E Yandell Dr (specifically the yellow house on the corner of Yandell and Langtry). This meeting is mandatory for officers (in the event of an emergency, or inability to attend, please contact Vicomte Berold to arrange for your report).\n\nBusiness meetings are open to all members of the SCA interested in finding out more about how the Citadel and the SCA function behind the scenes, and anyone is welcome!\n\n5 5\n\nCitadel Arts and Sciences\n\nBarony of the Citadel of the Southern Pass June 20, 2009 3 PM to 11 PM\n\nGrandview Park 3200 Jefferson Street El Paso, Texas 79930\n\nSite Fee: $5. There is a $3 non-member surcharge. Site is Dry.\n\nAutocrat: Lilje Widoeghe (Heather Fan) (865) 385-0248 [email protected]\n\nTheir Excellencies Lord Nikolaus von Stahlburg and The Honorable Lady Aine inghean Cormac invite you to Their Barony's annual gathering to celebrate the arts and sciences and those who practice them. Turn your hands and thoughts to gentler pursuits and enjoy a long warm afternoon in the company of artisans and friends. Our afternoon will include classes and hands-on workshops, competitions for Baronial Arts and Sciences Champion and Guest Champion, a cooking competition, and dancing.\n\nWe will have classes in several Areas of the Arts, including:\n\nScribal Arts\n\nClothing and Textile Arts Arts of Eating and Drinking\n\nMetal Arts\n\nDancing Arts\n\nShare your skills with your Barony!If you would like to teach a class in one of these areas, or in a subject we have not covered, please contact Lilje.\n\nThe Barony will have a silk-screening station available to the Populace so that they may decorate their linens and fabric belongings with the Barony's Populace Badge. Display your Citadel Pride or create a memento of your Visit to the Southern Pass.\n\nFeast will be potluck; please bring a dish to share. The cooking competition will be general: most Delicious Period Dish, to be decided by the Vote of the Populace. The site will have a refrigerator to keep things cold and a stove to keep things hot, but Kitchen Arena it is not; elaborate preparations on-site are not recommended.\n\nSchedule\n\n3:30 PM Site opens to populace\n\n4:00 PM Classes begin\n\n7:00 PM Dinner and Judging of Cooking Competition\n\nAfter Dinner: Court at Their Excellencies' Leisure Dancing to Follow Court\n\n10:30 PM Clean up. (Off site by 11:00 PM.)\n\nDIRECTIONS: Take I-10 to Hwy US-54 N/Patriot Freeway. Take exit 23 toward Ft Bliss/Cassidy Rd. Turn left onto Cassidy Rd. Turn slight left onto Van Buren Avenue. Turn left onto Justus St. Turn right onto Jefferson Ave.\n\nA Beastly Tournament\n\nHosted by the Incipient Shire of Ben Droigheann\n\nSponsored by the Barony of the Citadel of the Southern Pass\n\nJune 5 - 7, 2009\n\nSite opens June 5 at 12:00 pm closes June 7 at 3:00 pm\n\nThe City of Rocks Highway 61 Milepost #3 Faywood, NM 88034\n\nAutocrats: Lord Nikolai Schad & Lady Aerune Skellhornsdottir\n\n(Michael & Monique Smigiel) 575-956-9990 e-mail [email protected]\n\nSite is discreetly wet\n\nSite Fee: $5.00 for ages 13 & up\n\nAges 12 & under are FREE\n\nThe park will have a fee of $5.00/day/vehicle\n\nMore info can be found at www.silver.outlands.org\n\nGot Rocks?\n\nThe Incipient Shire of Ben Droigheann does and we are inviting you to come join us for A Beastly Tournament.\n\nThe Beast of Ben Droigheann has taken up residence in The City of Rocks (Yes! That City of Rocks) and the People of Ben Droigheann are calling all Warriors of the Outlands to come help rid us of the Beast at our First Event! Join us for a weekend of fantastic scenery and incredible fighting at one of the most unique places you can imagine (there are only 5 others like it in the world).\n\nThe weekend happenings are still in the works but we are looking to offer, besides the Tournament, multiple fighting scenarios among the rocks both Heavy (including Combat Archery) and Light, A&S display opportunities, lots of activities for the children, viewing and instruction of the night sky (you have got to see it to believe it).\n\nDirections: Take the I-10 to Deming, NM. Take exit 82 (Hwy 180/Silver City) north to Hwy 61. Turn right onto Hwy 61 (City of Rocks). Park en trance is approximately 3 miles.\n\n7 7\n\nSo you guys going to make it to Clann Wars this year?\n\nEr, yeah about that… I think we are not allowed to go back ever again\n\nWhy so?\n\nYeah… We had a \"bear incident\"\n\nDo we want to know?\n\nWe really did not mean to leave a pizza in the Royal tent, it was an accident! It was a vegetarian pizza to, so why would the bear care?\n\nFROM THE KNIGHT MARSHAL\n\nMid-Week practice will be Wednesday's at 6pm at Ponder Park between Hawkins and Airways, across from Burgess High School.\n\nThanks again,\n\nWolf Knight Marshal\n\nAREA CALENDAR\n\nFighter & Archery Practices\n\nhttp://groups.yahoo.com/group/Citadel-Southern-Pass\n\nPlease contact Lord Wolf [email protected]\n\nNahrun Kabirun\n\nhttp://groups.yahoo.com/group/Nahrun_Populace\n\nWednesday's , 6:00 PM NMSU Corbett Center Outdoor Stage\n\nEast Side of Corbett Center on NMSU\n\nhttp://nahrun.outlands.org/ for more information\n\nSundays Archery Practice are at 9am—12 pm at San Andres School (Mesilla)\n\n[Alternate site: Zia Middle School]. Loaner gear available!\n\nFor up-to-date archery info, join the Citadel Archers yahoo group http://groups.yahoo.com/group/Citadel_Archers\n\nCitadel of the Southern Pass\n\nFighter practice is held every Wednesday from 6 PM to dark at Ponder Park and Sunday from 11:00 AM to 2:00 PM Mountain Time at Memorial Park.\n\n(To Ponder Park) Take I-10 and exit Airway, go north on Airway and turn right on Viscount Blvd. The park is two blocks on your left side.\n\n(To Memorial Park) Take I-10 and exit at Piedras Street (Exit 21B). Follow Piedras north and turn right on Grant. Follow Grant with the park on your left, and practice is at the circular parking lot.\n\nOutlands Events for June:\n\n5-7 Ben Droigheann A Beastly Tournament\n\n20\n\nCitadel\n\nA&S\n\n26-28 al-Barran\n\nValkyries Presents: Te<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "ll Me a Tale\n\nDance Practices\n\nTIME: TBA, please see the Yahoo!", "role": "assistant" } ]
Section 1 Area of Application These purchasing conditions for orders of Freudenberg IT GmbH & Co. KG (FIT) shall apply, unless expressly specified otherwise in writing, for all orders, purchasing contracts and contracts issued to the supplier by FIT, its affiliated company FIT Service GmbH and its legal successors, where applicable. They shall also apply to the future business relationship with the supplier, even if they have not been expressly agreed again. Deviating General Terms and Conditions and other conditions of the supplier are hereby expressly opposed or are only binding for FIT insofar as they correspond to its own General Terms and Conditions or FIT consented to them in writing. Acceptance of deliveries or services or the making of payments shall not be interpreted as such consent. Section 2 Offer, Order The supplier shall submit its offer in accordance with the request from FIT. Deviations must be explicitly indicated. The offer shall be free of charge and non-binding for FIT. Only written, legally signed orders, which may also be sent by fax, shall be legally effective. Verbal agreements, amendments and additions shall only be binding for FIT if and to the extent that they are expressly agreed in writing by FIT. Agreements with representatives shall only become legally valid if they are confirmed by FIT in writing. Section 3 Written Form Orders must be made in writing. Verbal collateral agreements to the order shall only be binding if they have been confirmed in writing. The written form is also required for subsequent modifications and additions. The requirement for the written form outlined in this section shall be satisfied by transmission using fax or electronic means. Section 4 Nature, Scope and Change in Performance 1. The scope of services shall be determined by the order and these purchasing conditions. Unless otherwise agreed, the following applies to orders placed by FIT in this order: The order and within the order: [x] the service description that it contains [x] general technical conditions in the order • These purchasing conditions of FIT. 2. If instructions for use, operation or other documentation are required, they are to be included in German or English with every service to be rendered, unless otherwise agreed. 3. FIT may demand subsequent changes to the nature of the agreed services. 4. In the event of a change request by FIT in accordance with Section 4, Number 3, the supplier shall notify FIT in writing within ten working days whether the change is possible and how it impacts the order, in particular taking into account additional or reduced expenditures, new prices and possible deadline changes. FIT shall notify the supplier within a period of ten working days whether a new agreement under the conditions based on the change request will be concluded or whether the existing order will continue to be executed. 5. During or before the review of the change request by the supplier, FIT shall notify the supplier whether the service is to be continued according to the existing order or suspended pending a final decision on the suggestion. 6. The supplier shall immediately submit a detailed written suggestion regarding necessary deviations from the performance of the service prescribed in the order, in particular, technical changes. They are only permitted if FIT consented to the deviation in writing. This also applies if the planned deviation does not result in a change in price. Section 5 Place of Performance, Delivery, Shipping, Passing of Risk 1. The place of performance shall be the delivery address of FIT provided in the order. The most cost-efficient transportation means for FIT are to be selected, unless specific transport regulations were explicitly agreed. The deliveries shall be packaged in such a way as to avoid transport damage. 2. In addition to the shipping address, the order information (order number, order items, order date, place of delivery, first name and surname of the recipient, where applicable, and FIT material number) must be specified in the transport papers. 3. The supplier shall observe the current state of the art and the applicable legal and regulatory provisions and FIT's company rules and regulations. Where applicable, the supplier shall keep a quality assurance system, for example, in accordance with DIN EN ISO 9001-9003. FIT shall be entitled to check the system after consultation with the supplier. 4. Costs associated with the misrouting of deliveries shall be borne by the supplier insofar as the misrouting is attributable to the supplier. 5. The supplier may supply partial deliveries/services only with written consent from FIT. The requirement for the written form outlined in this section shall be satisfied by transmission using fax or electronic means. 6. Partial deliveries of servers and other complete systems (desktops, laptops, etc.) shall be fundamentally excluded. 7. The risk shall pass to FIT upon delivery. The legal provisions for the passing of performance risk shall also apply, unless otherwise agreed. Section 6 Costs, Invoices, Payment 1. The transport and standard packaging costs shall be borne by the supplier, unless otherwise agreed. 2. If the price was offered ex works or ex the supplier's distribution warehouse, the most cost-efficient mode of transport is to be selected, provided FIT has not specified a mode of transport. Any additional costs due to noncompliance with transport provisions shall be borne by the supplier. FIT shall be entitled to determine the mode of transport, insofar as the price was specified as carriage paid to the destination. Any additional costs that arise as a result of accelerating transport to comply with a specific delivery deadline shall be borne by the supplier. 3. Invoices must contain the order number and the numbers of all individual items. A duty of payment shall only exist when this information is complete. Copies of invoices and partial invoices shall be marked as such. 4. The following payment conditions shall apply, unless otherwise agreed: Payment shall be made net within 30 days. 5. The respective payment periods shall be calculated from the date the deliveries or services have been provided in full and a correctly issued invoice has been received. The above discounts also apply if FIT sets off payments against claims or withholds an appropriate part to the payment due to detected defects. The discount periods shall be calculated from the date of the remedying of said defect. 6. Settlement of a payment shall not be considered implicit acceptance of the respective delivery or service. Section 7 Delivery Time and Performance Period 1. The delivery deadlines stated in the order or service are fixed deadlines, unless expressly agreed otherwise. The supplier is obliged to immediately inform FIT in writing if circumstances arise or become apparent that indicate that the stipulated delivery time cannot be met. 2. The supplier shall inform FIT of foreseeable delays or potential violations of the deadlines in writing, stating the reasons, insofar as these are known to him. 3. In the event of any cause, for which the supplier is not responsible, that impairs the fulfillment of the contract, the supplier may reschedule the deadlines affected, provided the cause originates with FIT. 4. In addition, Section 13 shall apply. Section 8 Subcontractors 1. The use of subcontractors and freelance employees (representatives) requires the prior written consent of FIT. This shall also apply if the company responsible for the performance of the service belongs to the same group as the supplier or if the supplier is involved in the company. The supplier shall impose on the representative all its obligations that it has agreed to under the agreement with FIT regarding the assumed tasks and ensure their compliance. 2. The supplier may not prevent its representatives from concluding agreements for other deliveries/services with FIT. Section 9 Inspection and Notification Obligation FIT shall examine the goods upon delivery for obvious defects only (type, amount of any transport damage, other outwardly visible damage). In addition, FIT shall be freed from the inspection and notification obligation pursuant to Section 377 of the German Commercial Code (HGB). Insofar as an inspection and notification obligation pursuant to Section 377 of the German Commercial Code applies, the term for notification of a discovered defect shall be a minimum of ten working days from discovery of the defect. Section 10 Acceptance 1. Confirmation of receipt of products by FIT at the time of delivery shall not constitute acceptance of the goods. 2. The products must conform to the descriptions, characteristics and specifications outlined in the order or agreement as well as all of the relevant health and safety regulations and satisfy all other legal or other provisions. 3. The supplier shall conduct random checks in order to ensure that the products conform to the relevant industry standards and satisfy the quality requirements of FIT or correspond to other standards agreed between the parties. 4. Partial acceptances may be agreed, depending on the nature of the service. FIT reserves the right to full acceptance. Section 11 Material Defects and Defects of Title 1. The supplier shall warrant that the service complies with the agreed performance specifications or, where no such performance specifications have been agreed upon, that they will be suited for the contractually foreseen or commonly assumed use and that they are of a quality usual for deliveries and services of this kind and that the purchaser may expect, and that the rights of third parties shall not obstruct the transfer of the agreed competence to the client (Section 17). 2. FIT shall be entitled to the full statutory warranty claims. The period of limitation for statutory warranty claims shall expire within 24 months following transfer/acceptance of the service, unless the law prescribes longer time limits. The warranty period shall be extended by a period equal to the period during which the service cannot be used as intended due to the defect. 3. If the delivery item is resupplied, fully or partially repaired or replaced, the warranty period for the new, replaced or fully or partially repaired item begins again. Section 12 Liability 1. The liability of the supplier shall be in accordance with statutory provisions. The supplier shall indemnify FIT against all claims by third parties that arise for FIT due to the services of the supplier or insufficient performance by the supplier, as well as the associated costs and expenditure. FIT shall inform the supplier in good time of the assertion of claims by third parties and not make any payments or recognize claims without prior consultation. 2. The supplier shall ensure that the supplier itself, all legally contracted subcontractors (hereinafter 'subcontractor chain') and any workers employed by these authorized distributors are paid the applicable minimum wage according to the German Minimum Wage Law. In addition, the supplier shall confirm that its company and the companies it engages in the subcontractor chain are not excluded from being awarded public contracts pursuant to Section 19 of the German Minimum Wage Law. FIT shall be entitled, while reviewing the supplier's offer, to demand without a specific reason the submission of current pay slips for the employees engaged by the supplier and subcontractor chain in an anonymized form (salary and wage lists). The supplier may submit proof of compliance with the German Minimum Wage Law to FIT itself and along the subcontractor chain upon request by immediately presenting current confirmation from a suitably objective expert (such as an auditor). If a liability claim is asserted against FIT by an employee of the supplier of the subcontractor chain due to an actually existing entitlement to compensation pursuant to the German Minimum Wage Law, the supplier shall be obliged to pay a contractual penalty in the amount of €250 on first demand for each claim. The contractual penalty to be paid will be charged against any claim for compensation by FIT and shall be limited to a maximum of ten percent of the respective value of the contract and a maximum of €25,000 per calendar year. The obligation to pay the contractual penalty shall not apply if the supplier is not at fault, where the burden of proof rests with the supplier. If a liability claim is asserted against FIT by an employee of the supplier of the subcontractor chain due to an actually existing entitlement to compensation pursuant to the German Minimum Wage Law, FIT shall be entitled to terminate the order for exceptional reasons and thereby without notice pursuant to Section 1. The supplier is obliged to release FIT from any claims made by third parties against FIT in the context of violations of the German Minimum Wage Law on first demand. However, this shall not apply if FIT and/or employees or vicarious agents of FIT in this particular case demonstrably violated the provisions of the German Minimum Wage Law by willful or gross negligence. Section 13 Default If the supplier is in default with a delivery or service for reasons within its responsibility, FIT may demand a lump-sum compensation payment for delay per full week of the delay of 0.5 per cent, maximum 5 per cent, for the remuneration to be paid for this delivery or service after the expiry of a one-week extension period, provided FIT credibly establishes that it suffered loss as a result. Further claims for damages resulting from default shall not be excluded. If the supplier is in default with a delivery or service for more than four weeks, FIT shall be entitled to withdraw from the contract and reclaim all payments made until that time to the exclusion of further claims. This right of withdrawal shall not affect the claim of FIT for a lumpsum compensation payment for delay or a higher claim for damages pursuant to Sentence 1 of this section. The supplier retains the right to prove that no damage has occurred or that the damage is substantially less than the lumpsum amount. Section 14 Insurance 1. The supplier shall take out appropriate insurance with adequate asset funding and minimum cover of €1.5 million per damaging event for the duration of the contractual relationship. The supplier shall demonstrate evidence of a respective insurance policy to FIT upon request. Levels of cover lower than the minimum cover must be agreed with FIT in the individual case. 2. The supplier shall also insure all shipments directly delivered to FIT (such as deliveries due to purchasing contracts, contracts for work and materials, maintenance orders or custom products). The supplier shall bear the premiums for such indemnity insurance or other internal insurance. Section 15 Data Protection 1. The supplier agrees that FIT stores and processes personal data of the supplier and transmits it to companies in the Freudenberg Group, provided that this is required to fulfill and complete the order. FIT observes the German Data Protection Act or the relevant data protection laws/provisions. 2. Insofar as the supplier has to process personal data for its work on the subject matter of the contract, the supplier shall observe data protection laws, agree on data backup measures with FIT and enable FIT to remain informed regarding compliance with this agreement. The supplier shall impose an obligation in accordance with Sections 18.1, 18.2 and 15.1 on employees of its company who are involved in the performance of the contract and third parties involved in the performance of the contract. Section 16 Assignment Prohibition Assignments by the supplier outside the scope of application of Section 354 a of the German Commercial Code shall be excluded; exceptions shall require the written consent of FIT to be effective. FIT shall only deny consent to an assignment for financing purposes with just cause. Section 17 Rights 1. The supplier renders the service under its own responsibility in accordance with the order. The supplier guarantees that the delivery or use of the items supplied and/or manufactured work does not infringe upon any patents or third-party proprietary rights. 2. In the event that specifications stipulated by FIT in the service description, associated drawings, technical specifications or other documents to define the service could lead to the infringement of commercial proprietary rights, the supplier shall be obliged to immediately inform FIT and otherwise indemnify FIT against all claims by third parties brought against FIT due to the infringement of these rights. 3. FIT shall hold the exclusive and comprehensive property rights and copyrights to all figures, drawings, calculations and other information provided to the supplier for the manufacture of the delivery/performance object by FIT or third parties commissioned by FIT or those produced or developed by the supplier in the course of the formation and execution of the order. Section 18 Confidentiality 1. All information that has been designated as confidential by a contractual partner in writing or orally, in particular, documents, drawings, knowledge or other trade and business secrets, must be treated as confidential by the other contractual partner and only used for the purpose of fulfilling the order. This confidentiality obligation shall not apply to information that has entered in the public domain without the fault of the receiving party; that was demonstrably known to the receiving party when it was disclosed; received by the receiving party from a third party; where disclosure was required by an authority; based on knowledge gained independently from information of the other contractual partner. 2. In the event that the supplier was provided with documents, software and/or programming codes, information or other resources, these objects shall remain the property of FIT and may only be used to execute the corresponding order. The supplier shall not be entitled to reproduce, disclose to third parties or provide the content to unauthorized parties without prior consent from FIT. The documents, software and/or programming codes, information or other resources provided by FIT must be returned to FIT voluntarily after the work has been completed or after expiration of a subsequent maintenance agreement including all copies made and software copies provided by FIT to the supplier to complete work must be destroyed. FIT may demand a corresponding letter of representation. 3. The confidentiality obligation shall apply after the end of order for a period of three (3) years after termination. 4. The supplier shall not derive any rights, in particular, rights of prior use, from knowledge gained from the information, documents etc., particularly in respect of applications for property rights, inventions or other protected knowledge from FIT, regardless of the deadlines provided in patent laws. Section 19 Publication/Advertising Any assessment or announcement by the supplier of the existing business relationship with FIT in publications or for advertising purposes shall only be permitted with FIT's explicit prior written consent. Section 20 Ending of the Agreement, Termination 1. In the event that an order is terminated prematurely, the supplier shall only receive the agreed remuneration for the individual services rendered and accepted by FIT until receipt of the notice of termination/withdrawal. In the event of termination by FIT with just cause attributable to the supplier, only the individual services rendered until receipt of the termination and utilized by FIT will be remunerated to the supplier. Further supplier claims shall be excluded. Rights of FIT from the premature termination of the order attributable to the supplier, in particular claims for compensation and additional expenditure shall remain unaffected. FIT shall acquire all rights to the remunerated partial services in accordance with Section 17. 2. FIT may withdraw from the agreement or terminate the agreement with immediate effect if the supplier violates the obligations in Sections 4, 15, 17 and 18 of these purchasing conditions; if insolvency proceedings are instigated on the assets of the supplier or the petition was denied due to a lack of assets corresponding to the costs of the proceedings or if the supplier discontinues its payments or services not only temporarily. FIT shall be entitled withdraw from the contract in a court of law upon receipt of an application for the instigation of insolvency or similar proceedings. 3. Commissioning with work (Section 631 of the German Civil Code) or work delivery services (Section 651 of the German Civil Code) may be terminated by FIT at any time until completion of the work or work delivery pursuant to Section 649 of the German Civil Code. The provisions outlined in the preceding sections shall apply by way of derogation from the consequences of termination regulated by law. 4. FIT may withdraw from ordering deliveries at any time with just cause until the delivery is transferred. In such event, the above clauses shall apply accordingly. Section 21 Final Provisions 1. The contract language is German. German law shall apply. Commercial clauses shall be interpreted in accordance with current Incoterms. 2. Insofar as the supplier is a business entity in the sense of the German Commercial Code, a legal entity governed by public law or a special fund under public law, the place of jurisdiction for all disputes arising from the contractual relationship shall be Weinheim, Germany. FIT shall be further entitled to bring action before the court that has jurisdiction over the supplier's place of business. 3. If the supplier is based abroad, German law shall apply without giving effect to the principles of conflict of laws and with the exception of the United Nations Convention on Contracts for the Sale of Goods (CISG). Commercial clauses shall be interpreted in accordance with current Incoterms. 4. FIT has the right to assign all rights and obligations from the contractual relationship with the supplier to an affiliated company in accordance with Section 15 of the German Companies Act. 5. Amendments to contractual agreements must be made in writing. No additional verbal agreements have been met. Freudenberg IT GmbH & Co. KG Weinheim, Germany Last updated: July 2015	<urn:uuid:256269d1-9558-4563-b4d1-d51ad1d790ab>	CC-MAIN-2017-04	https://www.freudenberg-it.com/wp-content/uploads/2016/07/FIT_General_purchasing-Conditions_July_2015.pdf	2017-01-18T20:08:53Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-04/segments/1484560280319.10/warc/CC-MAIN-20170116095120-00465-ip-10-171-10-70.ec2.internal.warc.gz	925,894,781	4,207	eng_Latn	eng_Latn	0.993449	eng_Latn	0.993668	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 5566, 11342, 17157, 22543 ]	Section 1 Area of Application These purchasing conditions for orders of Freudenberg IT GmbH & Co. KG (FIT) shall apply, unless expressly specified otherwise in writing, for all orders, purchasing contracts and contracts issued to the supplier by FIT, its affiliated company FIT Service GmbH and its legal successors, where applicable. They shall also apply to the future business relationship with the supplier, even if they have not been expressly agreed again. Deviating General Terms and Conditions and other conditions of the supplier are hereby expressly opposed or are only binding for FIT insofar as they correspond to its own General Terms and Conditions or FIT consented to them in writing. Acceptance of deliveries or services or the making of payments shall not be interpreted as such consent. Section 2 Offer, Order The supplier shall submit its offer in accordance with the request from FIT. Deviations must be explicitly indicated. The offer shall be free of charge and non-binding for FIT. Only written, legally signed orders, which may also be sent by fax, shall be legally effective. Verbal agreements, amendments and additions shall only be binding for FIT if and to the extent that they are expressly agreed in writing by FIT. Agreements with representatives shall only become legally valid if they are confirmed by FIT in writing. Section 3 Written Form Orders must be made in writing. Verbal collateral agreements to the order shall only be binding if they have been confirmed in writing. The written form is also required for subsequent modifications and additions. The requirement for the written form outlined in this section shall be satisfied by transmission using fax or electronic means. Section 4 Nature, Scope and Change in Performance 1. The scope of services shall be determined by the order and these purchasing conditions. Unless otherwise agreed, the following applies to orders placed by FIT in this order: The order and within the order: [x] the service description that it contains [x] general technical conditions in the order • These purchasing conditions of FIT. 2. If instructions for use, operation or other documentation are required, they are to be included in German or English with every service to be rendered, unless otherwise agreed. 3. FIT may demand subsequent changes to the nature of the agreed services. 4. In the event of a change request by FIT in accordance with Section 4, Number 3, the supplier shall notify FIT in writing within ten working days whether the change is possible and how it impacts the order, in particular taking into account additional or reduced expenditures, new prices and possible deadline changes. FIT shall notify the supplier within a period of ten working days whether a new agreement under the conditions based on the change request will be concluded or whether the existing order will continue to be executed. 5. During or before the review of the change request by the supplier, FIT shall notify the supplier whether the service is to be continued according to the existing order or suspended pending a final decision on the suggestion. 6. The supplier shall immediately submit a detailed written suggestion regarding necessary deviations from the performance of the service prescribed in the order, in particular, technical changes. They are only permitted if FIT consented to the deviation in writing. This also applies if the planned deviation does not result in a change in price. Section 5 Place of Performance, Delivery, Shipping, Passing of Risk 1. The place of performance shall be the delivery address of FIT provided in the order. The most cost-efficient transportation means for FIT are to be selected, unless specific transport regulations were explicitly agreed. The deliveries shall be packaged in such a way as to avoid transport damage. 2. In addition to the shipping address, the order information (order number, order items, order date, place of delivery, first name and surname of the recipient, where applicable, and FIT material number) must be specified in the transport papers. 3. The supplier shall observe the current state of the art and the applicable legal and regulatory provisions and FIT's company rules and regulations. Where applicable, the supplier shall keep a quality assurance system, for example, in accordance with DIN EN ISO 9001-9003. FIT shall be entitled to check the system after consultation with the supplier. 4. Costs associated with the misrouting of deliveries shall be borne by the supplier insofar as the misrouting is attributable to the supplier. 5. The supplier may supply partial deliveries/services only with written consent from FIT. The requirement for the written form outlined in this section shall be satisfied by transmission using fax or electronic means. 6. Partial deliveries of servers and other complete systems (desktops, laptops, etc.) shall be fundamentally excluded. 7. The risk shall pass to FIT upon delivery. The legal provisions for the passing of performance risk shall also apply, unless otherwise agreed. Section 6 Costs, Invoices, Payment 1. The transport and standard packaging costs shall be borne by the supplier, unless otherwise agreed. 2. If the price was offered ex works or ex the supplier's distribution warehouse, the most cost-efficient mode of transport is to be selected, provided FIT has not specified a mode of transport. Any additional costs due to noncompliance with transport provisions shall be borne by the supplier. FIT shall be entitled to determine the mode of transport, insofar as the price was specified as carriage paid to the destination. Any additional costs that arise as a result of accelerating transport to comply with a specific delivery deadline shall be borne by the supplier. 3. Invoices must contain the order number and the numbers of all individual items. A duty of payment shall only exist when this information is complete. Copies of invoices and partial invoices shall be marked as such. 4. The following payment conditions shall apply, unless otherwise agreed: Payment shall be made net within 30 days. 5. The respective payment periods shall be calculated from the date the deliveries or services have been provided in full and a correctly issued invoice has been received. The above discounts also apply if FIT sets off payments against claims or withholds an appropriate part to the payment due to detected defects. The discount periods shall be calculated from the date of the remedying of said defect. 6. Settlement of a payment shall not be considered implicit acceptance of the respective delivery or service. Section 7 Delivery Time and Performance Period 1. The delivery deadlines stated in the order or service are fixed deadlines, unless expressly agreed otherwise. The supplier is obliged to immediately inform FIT in writing if circumstances arise or become apparent that indicate that the stipulated delivery time cannot be met. 2. The supplier shall inform FIT of foreseeable delays or potential violations of the deadlines in writing, stating the reasons, insofar as these are known to him. 3. In the event of any cause, for which the supplier is not responsible, that impairs the fulfillment of the contract, the supplier may reschedule the deadlines affected, provided the cause originates with FIT. 4. In addition, Section 13 shall apply. Section 8 Subcontractors 1. The use of subcontractors and freelance employees (representatives) requires the prior written consent of FIT. This shall also apply if the company responsible for the performance of the service belongs to the same group as the supplier or if the supplier is involved in the company. The supplier shall impose on the representative all its obligations that it has agreed to under the agreement with FIT regarding the assumed tasks and ensure their compliance. 2. The supplier may not prevent its representatives from concluding agreements for other deliveries/services with FIT. Section 9 Inspection and Notification Obligation FIT shall examine the goods upon delivery for obvious defects only (type, amount of any transport damage, other outwardly visible damage). In addition, FIT shall be freed from the inspection and notification obligation pursuant to Section 377 of the German Commercial Code (HGB). Insofar as an inspection and notification obligation pursuant to Section 377 of the German Commercial Code applies, the term for notification of a discovered defect shall be a minimum of ten working days from discovery of the defect. Section 10 Acceptance 1. Confirmation of receipt of products by FIT at the time of delivery shall not constitute acceptance of the goods. 2. The products must conform to the descriptions, characteristics and specifications outlined in the order or agreement as well as all of the relevant health and safety regulations and satisfy all other legal or other provisions. 3. The supplier shall conduct random checks in order to ensure that the products conform to the relevant industry standards and satisfy the quality requirements of FIT or correspond to other standards agreed between the parties. 4. Partial acceptances may be agreed, depending on the nature of the service. FIT reserves the right to full acceptance. Section 11 Material Defects and Defects of Title 1. The supplier shall warrant that the service complies with the agreed performance specifications or, where no such performance specifications have been agreed upon, that they will be suited for the contractually foreseen or commonly assumed use and that they are of a quality usual for deliveries and services of this kind and that the purchaser may expect, and that the rights of third parties shall not obstruct the transfer of the agreed competence to the client (Section 17). 2. FIT shall be entitled to the full statutory warranty claims. The period of limitation for statutory warranty claims shall expire within 24 months following transfer/acceptance of the service, unless the law prescribes longer time limits. The warranty period shall be extended by a period equal to the period during which the service cannot be used as intended due to the defect. 3. If the delivery item is resupplied, fully or partially repaired or replaced, the warranty period for the new, replaced or fully or partially repaired item begins again. Section 12 Liability 1. The liability of the supplier shall be in accordance with statutory provisions. The supplier shall indemnify FIT against all claims by third parties that arise for FIT due to the services of the supplier or insufficient performance by the supplier, as well as the associated costs and expenditure. FIT shall inform the supplier in good time of the assertion of claims by third parties and not make any payments or recognize claims without prior consultation. 2. The supplier shall ensure that the supplier itself, all legally contracted subcontractors (hereinafter 'subcontractor chain') and any workers employed by these authorized distributors are paid the applicable minimum wage according to the German Minimum Wage Law. In addition, the supplier shall confirm that its company and the companies it engages in the subcontractor chain are not excluded from being awarded public contracts pursuant to Section 19 of the German Minimum Wage Law. FIT shall be entitled, while reviewing the supplier's offer, to demand without a specific reason the submission of current pay slips for the employees engaged by the supplier and subcontractor chain in an anonymized form (salary and wage lists). The supplier may submit proof of compliance with the German Minimum Wage Law to FIT itself and along the subcontractor chain upon request by immediately presenting current confirmation from a suitably objective expert (such as an auditor). If a liability claim is asserted against FIT by an employee of the supplier of the subcontractor chain due to an actually existing entitlement to compensation pursuant to the German Minimum Wage Law, the supplier shall be obliged to pay a contractual penalty in the amount of €250 on first demand for each claim. The contractual penalty to be paid will be charged against any claim for compensation by FIT and shall be limited to a maximum of ten percent of the respective value of the contract and a maximum of €25,000 per calendar year. The obligation to pay the contractual penalty shall not apply if the supplier is not at fault, where the burden of proof rests with the supplier. If a liability claim is asserted against FIT by an employee of the supplier of the subcontractor chain due to an actually existing entitlement to compensation pursuant to the German Minimum Wage Law, FIT shall be entitled to terminate the order for exceptional reasons and thereby without notice pursuant to Section 1. The supplier is obliged to release FIT from any claims made by third parties against FIT in the context of violations of the German Minimum Wage Law on first demand. However, this shall not apply if FIT and/or employees or vicarious agents of FIT in this particular case demonstrably violated the provisions of the German Minimum Wage Law by willful or gross negligence. Section 13 Default If the supplier is in default with a delivery or service for reasons within its responsibility, FIT may demand a lump-sum compensation payment for delay per full week of the delay of 0.5 per cent, maximum 5 per cent, for the remuneration to be paid for this delivery or service after the expiry of a one-week extension period, provided FIT credibly establishes that it suffered loss as a result. Further claims for damages resulting from default shall not be excluded. If the supplier is in default with a delivery or service for more than four weeks, FIT shall be entitled to withdraw from the contract and reclaim all payments made until that time to the exclusion of further claims. This right of withdrawal shall not affect the claim of FIT for a lumpsum compensation payment for delay or a higher claim for damages pursuant to Sentence 1 of this section. The supplier retains the right to prove that no damage has occurred or that the damage is substantially less than the lumpsum amount. Section 14 Insurance 1. The supplier shall take out appropriate insurance with adequate asset funding and minimum cover of €1.5 million per damaging event for the duration of the contractual relationship. The supplier shall demonstrate evidence of a respective insurance policy to FIT upon request. Levels of cover lower than the minimum cover must be agreed with FIT in the individual case. 2. The supplier shall also insure all shipments directly delivered to FIT (such as deliveries due to purchasing contracts, contracts for work and materials, maintenance orders or custom products). The supplier shall bear the premiums for such indemnity insurance or other internal insurance. Section 15 Data Protection 1. The supplier agrees that FIT stores and processes personal data of the supplier and transmits it to companies in the Freudenberg Group, provided that this is required to fulfill and complete the order. FIT observes the German Data Protection Act or the relevant data protection laws/provisions. 2. Insofar as the supplier has to process personal data for its work on the subject matter of the contract, the supplier shall observe data protection laws, agree on data backup measures with FIT and enable FIT to remain informed regarding compliance with this agreement. The supplier shall impose an obligation in accordance with Sections 18.1, 18.2 and 15.1 on employees of its company who are involved in the performance of the contract and third parties involved in the performance of the contract. Section 16 Assignment Prohibition Assignments by the supplier outside the scope of application of Section 354 a of the German Commercial Code shall be excluded; exceptions shall require the written consent of FIT to be effective. FIT shall only deny consent to an assignment for financing purposes with just cause. Section 17 Rights 1. The supplier renders the service under its own responsibility in accordance with the order. The supplier guarantees that the delivery or use of the items supplied and/or manufactured work does not infringe upon any patents or third-party proprietary rights. 2. In the event that specifications stipulated by FIT in the service description, associated drawings, technical specifications or other documents to define the service could lead to the infringement of commercial proprietary rights, the supplier shall be obliged to immediately inform FIT and otherwise indemnify FIT against all claims by third parties brought against FIT due to the infringement of these rights. 3. FIT shall hold the exclusive and comprehensive property rights and copyrights to all figures, drawings, calculations and other information provided to the supplier for the manufacture of the delivery/performance object by FIT or third parties commissioned by FIT or those produced or developed by the supplier in the course of the formation and execution of the order. Section 18 Confidentiality 1. All information that has been designated as confidential by a contractual partner in writing or orally, in particular, documents, drawings, knowledge or other trade and business secrets, must be treated as confidential by the other contractual partner and only used for the purpose of fulfilling the order. This confidentiality obligation shall not apply to information that has entered in the public domain without the fault of the receiving party; that was demonstrably known to the receiving party when it was disclosed; received by the receiving party from a third party; where disclosure was required by an authority; based on knowledge gained independently from information of the other contractual partner. 2. In the event that the supplier was provided with documents, software and/or programming codes, information or other resources, these objects shall remain the property of FIT and may only be used to execute the corresponding order. The supplier shall not be entitled to reproduce, disclose to third parties or provide the content to unauthorized parties without prior consent from FIT. The documents, software and/or programming codes, information or other resources provided by FIT must be returned to FIT voluntarily after the work has been completed or after expiration of a subsequent maintenance agreement including all copies made and software copies provided by FIT to the supplier to complete work must be destroyed. FIT may demand a corresponding letter of representation. 3. The confidentiality obligation shall apply after the end of order for a period of three (3) years after termination. 4. The supplier shall not derive any rights, in particular, rights of prior use, from knowledge gained from the information, documents etc., particularly in respect of applications for property rights, inventions or other protected knowledge from FIT, regardless of the deadlines provided in patent laws. Section 19 Publication/Advertising Any assessment or announcement by the supplier of the existing business relationship with FIT in publications or for advertising purposes shall only be permitted with FIT's explicit prior written consent. Section 20 Ending of the Agreement, Termination 1. In the event that an order is terminated prematurely, the supplier shall only receive the agreed remuneration for the individual services rendered and accepted by FIT until receipt of the notice of termination/withdrawal. In the event of termination by FIT with just cause attributable to the supplier, only the individual services rendered until receipt of the termination and utilized by FIT will be remunerated to the supplier. Further supplier claims shall be excluded. Rights of FIT from the premature termination of the order attributable to the supplier, in particular claims for compensation and additional expenditure shall remain unaffected. FIT shall acquire all rights to the remunerated partial services in accordance with Section 17. 2. FIT may withdraw from the agreement or terminate the agreement with immediate effect if the supplier violates the obligations in Sections 4, 15, 17 and 18 of these purchasing conditions; if insolvency proceedings are instigated on the assets of the supplier or the petition was denied due to a lack of assets corresponding to the costs of the proceedings or if the supplier discontinues its payments or services not only temporarily. FIT shall be entitled withdraw from the contract in a court of law upon receipt of an application for the instigation of insolvency or similar proceedings. 3. Commissioning with work (Section 631 of the German Civil Code) or work delivery services (Section 651 of the German Civil Code) may be terminated by FIT at any time until completion of the work or work de	livery pursuant to Section 649 of the German Civil Code.		20,937	inside_word	delivery	remove_all	<url> https://www.freudenberg-it.com/wp-content/uploads/2016/07/FIT_General_purchasing-Conditions_July_2015.pdf </url> <text> Section 1 Area of Application These purchasing conditions for orders of Freudenberg IT GmbH & Co. KG (FIT) shall apply, unless expressly specified otherwise in writing, for all orders, purchasing contracts and contracts issued to the supplier by FIT, its affiliated company FIT Service GmbH and its legal successors, where applicable. They shall also apply to the future business relationship with the supplier, even if they have not been expressly agreed again. Deviating General Terms and Conditions and other conditions of the supplier are hereby expressly opposed or are only binding for FIT insofar as they correspond to its own General Terms and Conditions or FIT consented to them in writing. Acceptance of deliveries or services or the making of payments shall not be interpreted as such consent. Section 2 Offer, Order The supplier shall submit its offer in accordance with the request from FIT. Deviations must be explicitly indicated. The offer shall be free of charge and non-binding for FIT. Only written, legally signed orders, which may also be sent by fax, shall be legally effective. Verbal agreements, amendments and additions shall only be binding for FIT if and to the extent that they are expressly agreed in writing by FIT. Agreements with representatives shall only become legally valid if they are confirmed by FIT in writing. Section 3 Written Form Orders must be made in writing. Verbal collateral agreements to the order shall only be binding if they have been confirmed in writing. The written form is also required for subsequent modifications and additions. The requirement for the written form outlined in this section shall be satisfied by transmission using fax or electronic means. Section 4 Nature, Scope and Change in Performance 1. The scope of services shall be determined by the order and these purchasing conditions. Unless otherwise agreed, the following applies to orders placed by FIT in this order: The order and within the order: [x] the service description that it contains [x] general technical conditions in the order • These purchasing conditions of FIT. 2. If instructions for use, operation or other documentation are required, they are to be included in German or English with every service to be rendered, unless otherwise agreed. 3. FIT may demand subsequent changes to the nature of the agreed services. 4. In the event of a change request by FIT in accordance with Section 4, Number 3, the supplier shall notify FIT in writing within ten working days whether the change is possible and how it impacts the order, in particular taking into account additional or reduced expenditures, new prices and possible deadline changes. FIT shall notify the supplier within a period of ten working days whether a new agreement under the conditions based on the change request will be concluded or whether the existing order will continue to be executed. 5. During or before the review of the change request by the supplier, FIT shall notify the supplier whether the service is to be continued according to the existing order or suspended pending a final decision on the suggestion. 6. The supplier shall immediately submit a detailed written suggestion regarding necessary deviations from the performance of the service prescribed in the order, in particular, technical changes. They are only permitted if FIT consented to the deviation in writing. This also applies if the planned deviation does not result in a change in price. Section 5 Place of Performance, Delivery, Shipping, Passing of Risk 1. The place of performance shall be the delivery address of FIT provided in the order. The most cost-efficient transportation means for FIT are to be selected, unless specific transport regulations were explicitly agreed. The deliveries shall be packaged in such a way as to avoid transport damage. 2. In addition to the shipping address, the order information (order number, order items, order date, place of delivery, first name and surname of the recipient, where applicable, and FIT material number) must be specified in the transport papers. 3. The supplier shall observe the current state of the art and the applicable legal and regulatory provisions and FIT's company rules and regulations. Where applicable, the supplier shall keep a quality assurance system, for example, in accordance with DIN EN ISO 9001-9003. FIT shall be entitled to check the system after consultation with the supplier. 4. Costs associated with the misrouting of deliveries shall be borne by the supplier insofar as the misrouting is attributable to the supplier. 5. The supplier may supply partial deliveries/services only with written consent from FIT. The requirement for the written form outlined in this section shall be satisfied by transmission using fax or electronic means. 6. Partial deliveries of servers and other complete systems (desktops, laptops, etc.) shall be fundamentally excluded. 7. The risk shall pass to FIT upon delivery. The legal provisions for the passing of performance risk shall also apply, unless otherwise agreed. Section 6 Costs, Invoices, Payment 1. The transport and standard packaging costs shall be borne by the supplier, unless otherwise agreed. 2. If the price was offered ex works or ex the supplier's distribution warehouse, the most cost-efficient mode of transport is to be selected, provided FIT has not specified a mode of transport. Any additional costs due to noncompliance with transport provisions shall be borne by the supplier. FIT shall be entitled to determine the mode of transport, insofar as the price was specified as carriage paid to the destination. Any additional costs that arise as a result of accelerating transport to comply with a specific delivery deadline shall be borne by the supplier. 3. Invoices must contain the order number and the numbers of all individual items. A duty of payment shall only exist when this information is complete. Copies of invoices and partial invoices shall be marked as such. 4. The following payment conditions shall apply, unless otherwise agreed: Payment shall be made net within 30 days. 5. The respective payment periods shall be calculated from the date the deliveries or services have been provided in full and a correctly issued invoice has been received. The above discounts also apply if FIT sets off payments against claims or withholds an appropriate part to the payment due to detected defects. The discount periods shall be calculated from the date of the remedying of said defect. 6. Settlement of a payment shall not be considered implicit acceptance of the respective delivery or service. Section 7 Delivery Time and Performance Period 1. The delivery deadlines stated in the order or service are fixed deadlines, unless expressly agreed otherwise. The supplier is obliged to immediately inform FIT in writing if circumstances arise or become apparent that indicate that the stipulated delivery time cannot be met. 2. The supplier shall inform FIT of foreseeable delays or potential violations of the deadlines in writing, stating the reasons, insofar as these are known to him. 3. In the event of any cause, for which the supplier is not responsible, that impairs the fulfillment of the contract, the supplier may reschedule the deadlines affected, provided the cause originates with FIT. 4. In addition, Section 13 shall apply. Section 8 Subcontractors 1. The use of subcontractors and freelance employees (representatives) requires the prior written consent of FIT. This shall also apply if the company responsible for the performance of the service belongs to the same group as the supplier or if the supplier is involved in the company. The supplier shall impose on the representative all its obligations that it has agreed to under the agreement with FIT regarding the assumed tasks and ensure their compliance. 2. The supplier may not prevent its representatives from concluding agreements for other deliveries/services with FIT. Section 9 Inspection and Notification Obligation FIT shall examine the goods upon delivery for obvious defects only (type, amount of any transport damage, other outwardly visible damage). In addition, FIT shall be freed from the inspection and notification obligation pursuant to Section 377 of the German Commercial Code (HGB). Insofar as an inspection and notification obligation pursuant to Section 377 of the German Commercial Code applies, the term for notification of a discovered defect shall be a minimum of ten working days from discovery of the defect. Section 10 Acceptance 1. Confirmation of receipt of products by FIT at the time of delivery shall not constitute acceptance of the goods. 2. The products must conform to the descriptions, characteristics and specifications outlined in the order or agreement as well as all of the relevant health and safety regulations and satisfy all other legal or other provisions. 3. The supplier shall conduct random checks in order to ensure that the products conform to the relevant industry standards and satisfy the quality requirements of FIT or correspond to other standards agreed between the parties. 4. Partial acceptances may be agreed, depending on the nature of the service. FIT reserves the right to full acceptance. Section 11 Material Defects and Defects of Title 1. The supplier shall warrant that the service complies with the agreed performance specifications or, where no such performance specifications have been agreed upon, that they will be suited for the contractually foreseen or commonly assumed use and that they are of a quality usual for deliveries and services of this kind and that the purchaser may expect, and that the rights of third parties shall not obstruct the transfer of the agreed competence to the client (Section 17). 2. FIT shall be entitled to the full statutory warranty claims. The period of limitation for statutory warranty claims shall expire within 24 months following transfer/acceptance of the service, unless the law prescribes longer time limits. The warranty period shall be extended by a period equal to the period during which the service cannot be used as intended due to the defect. 3. If the delivery item is resupplied, fully or partially repaired or replaced, the warranty period for the new, replaced or fully or partially repaired item begins again. Section 12 Liability 1. The liability of the supplier shall be in accordance with statutory provisions. The supplier shall indemnify FIT against all claims by third parties that arise for FIT due to the services of the supplier or insufficient performance by the supplier, as well as the associated costs and expenditure. FIT shall inform the supplier in good time of the assertion of claims by third parties and not make any payments or recognize claims without prior consultation. 2. The supplier shall ensure that the supplier itself, all legally contracted subcontractors (hereinafter 'subcontractor chain') and any workers employed by these authorized distributors are paid the applicable minimum wage according to the German Minimum Wage Law. In addition, the supplier shall confirm that its company and the companies it engages in the subcontractor chain are not excluded from being awarded public contracts pursuant to Section 19 of the German Minimum Wage Law. FIT shall be entitled, while reviewing the supplier's offer, to demand without a specific reason the submission of current pay slips for the employees engaged by the supplier and subcontractor chain in an anonymized form (salary and wage lists). The supplier may submit proof of compliance with the German Minimum Wage Law to FIT itself and along the subcontractor chain upon request by immediately presenting current confirmation from a suitably objective expert (such as an auditor). If a liability claim is asserted against FIT by an employee of the supplier of the subcontractor chain due to an actually existing entitlement to compensation pursuant to the German Minimum Wage Law, the supplier shall be obliged to pay a contractual penalty in the amount of €250 on first demand for each claim. The contractual penalty to be paid will be charged against any claim for compensation by FIT and shall be limited to a maximum of ten percent of the respective value of the contract and a maximum of €25,000 per calendar year. The obligation to pay the contractual penalty shall not apply if the supplier is not at fault, where the burden of proof rests with the supplier. If a liability claim is asserted against FIT by an employee of the supplier of the subcontractor chain due to an actually existing entitlement to compensation pursuant to the German Minimum Wage Law, FIT shall be entitled to terminate the order for exceptional reasons and thereby without notice pursuant to Section 1. The supplier is obliged to release FIT from any claims made by third parties against FIT in the context of violations of the German Minimum Wage Law on first demand. However, this shall not apply if FIT and/or employees or vicarious agents of FIT in this particular case demonstrably violated the provisions of the German Minimum Wage Law by willful or gross negligence. Section 13 Default If the supplier is in default with a delivery or service for reasons within its responsibility, FIT may demand a lump-sum compensation payment for delay per full week of the delay of 0.5 per cent, maximum 5 per cent, for the remuneration to be paid for this delivery or service after the expiry of a one-week extension period, provided FIT credibly establishes that it suffered loss as a result. Further claims for damages resulting from default shall not be excluded. If the supplier is in default with a delivery or service for more than four weeks, FIT shall be entitled to withdraw from the contract and reclaim all payments made until that time to the exclusion of further claims. This right of withdrawal shall not affect the claim of FIT for a lumpsum compensation payment for delay or a higher claim for damages pursuant to Sentence 1 of this section. The supplier retains the right to prove that no damage has occurred or that the damage is substantially less than the lumpsum amount. Section 14 Insurance 1. The supplier shall take out appropriate insurance with adequate asset funding and minimum cover of €1.5 million per damaging event for the duration of the contractual relationship. The supplier shall demonstrate evidence of a respective insurance policy to FIT upon request. Levels of cover lower than the minimum cover must be agreed with FIT in the individual case. 2. The supplier shall also insure all shipments directly delivered to FIT (such as deliveries due to purchasing contracts, contracts for work and materials, maintenance orders or custom products). The supplier shall bear the premiums for such indemnity insurance or other internal insurance. Section 15 Data Protection 1. The supplier agrees that FIT stores and processes personal data of the supplier and transmits it to companies in the Freudenberg Group, provided that this is required to fulfill and complete the order. FIT observes the German Data Protection Act or the relevant data protection laws/provisions. 2. Insofar as the supplier has to process personal data for its work on the subject matter of the contract, the supplier shall observe data protection laws, agree on data backup measures with FIT and enable FIT to remain informed regarding compliance with this agreement. The supplier shall impose an obligation in accordance with Sections 18.1, 18.2 and 15.1 on employees of its company who are involved in the performance of the contract and third parties involved in the performance of the contract. Section 16 Assignment Prohibition Assignments by the supplier outside the scope of application of Section 354 a of the German Commercial Code shall be excluded; exceptions shall require the written consent of FIT to be effective. FIT shall only deny consent to an assignment for financing purposes with just cause. Section 17 Rights 1. The supplier renders the service under its own responsibility in accordance with the order. The supplier guarantees that the delivery or use of the items supplied and/or manufactured work does not infringe upon any patents or third-party proprietary rights. 2. In the event that specifications stipulated by FIT in the service description, associated drawings, technical specifications or other documents to define the service could lead to the infringement of commercial proprietary rights, the supplier shall be obliged to immediately inform FIT and otherwise indemnify FIT against all claims by third parties brought against FIT due to the infringement of these rights. 3. FIT shall hold the exclusive and comprehensive property rights and copyrights to all figures, drawings, calculations and other information provided to the supplier for the manufacture of the delivery/performance object by FIT or third parties commissioned by FIT or those produced or developed by the supplier in the course of the formation and execution of the order. Section 18 Confidentiality 1. All information that has been designated as confidential by a contractual partner in writing or orally, in particular, documents, drawings, knowledge or other trade and business secrets, must be treated as confidential by the other contractual partner and only used for the purpose of fulfilling the order. This confidentiality obligation shall not apply to information that has entered in the public domain without the fault of the receiving party; that was demonstrably known to the receiving party when it was disclosed; received by the receiving party from a third party; where disclosure was required by an authority; based on knowledge gained independently from information of the other contractual partner. 2. In the event that the supplier was provided with documents, software and/or programming codes, information or other resources, these objects shall remain the property of FIT and may only be used to execute the corresponding order. The supplier shall not be entitled to reproduce, disclose to third parties or provide the content to unauthorized parties without prior consent from FIT. The documents, software and/or programming codes, information or other resources provided by FIT must be returned to FIT voluntarily after the work has been completed or after expiration of a subsequent maintenance agreement including all copies made and software copies provided by FIT to the supplier to complete work must be destroyed. FIT may demand a corresponding letter of representation. 3. The confidentiality obligation shall apply after the end of order for a period of three (3) years after termination. 4. The supplier shall not derive any rights, in particular, rights of prior use, from knowledge gained from the information, documents etc., particularly in respect of applications for property rights, inventions or other protected knowledge from FIT, regardless of the deadlines provided in patent laws. Section 19 Publication/Advertising Any assessment or announcement by the supplier of the existing business relationship with FIT in publications or for advertising purposes shall only be permitted with FIT's explicit prior written consent. Section 20 Ending of the Agreement, Termination 1. In the event that an order is terminated prematurely, the supplier shall only receive the agreed remuneration for the individual services rendered and accepted by FIT until receipt of the notice of termination/withdrawal. In the event of termination by FIT with just cause attributable to the supplier, only the individual services rendered until receipt of the termination and utilized by FIT will be remunerated to the supplier. Further supplier claims shall be excluded. Rights of FIT from the premature termination of the order attributable to the supplier, in particular claims for compensation and additional expenditure shall remain unaffected. FIT shall acquire all rights to the remunerated partial services in accordance with Section 17. 2. FIT may withdraw from the agreement or terminate the agreement with immediate effect if the supplier violates the obligations in Sections 4, 15, 17 and 18 of these purchasing conditions; if insolvency proceedings are instigated on the assets of the supplier or the petition was denied due to a lack of assets corresponding to the costs of the proceedings or if the supplier discontinues its payments or services not only temporarily. FIT shall be entitled withdraw from the contract in a court of law upon receipt of an application for the instigation of insolvency or similar proceedings. 3. Commissioning with work (Section 631 of the German Civil Code) or work delivery services (Section 651 of the German Civil Code) may be terminated by FIT at any time until completion of the work or work de<cursor_is_here> </text>	[ { "content": "<url>\nhttps://www.freudenberg-it.com/wp-content/uploads/2016/07/FIT_General_purchasing-Conditions_July_2015.pdf\n</url>\n<text>\nSection 1 Area of Application\n\nThese purchasing conditions for orders of Freudenberg IT GmbH & Co. KG (FIT) shall apply, unless expressly specified otherwise in writing, for all orders, purchasing contracts and contracts issued to the supplier by FIT, its affiliated company FIT Service GmbH and its legal successors, where applicable. They shall also apply to the future business relationship with the supplier, even if they have not been expressly agreed again.\n\nDeviating General Terms and Conditions and other conditions of the supplier are hereby expressly opposed or are only binding for FIT insofar as they correspond to its own General Terms and Conditions or FIT consented to them in writing. Acceptance of deliveries or services or the making of payments shall not be interpreted as such consent.\n\nSection 2 Offer, Order\n\nThe supplier shall submit its offer in accordance with the request from FIT. Deviations must be explicitly indicated. The offer shall be free of charge and non-binding for FIT.\n\nOnly written, legally signed orders, which may also be sent by fax, shall be legally effective. Verbal agreements, amendments and additions shall only be binding for FIT if and to the extent that they are expressly agreed in writing by FIT. Agreements with representatives shall only become legally valid if they are confirmed by FIT in writing.\n\nSection 3 Written Form\n\nOrders must be made in writing. Verbal collateral agreements to the order shall only be binding if they have been confirmed in writing.\n\nThe written form is also required for subsequent modifications and additions. The requirement for the written form outlined in this section shall be satisfied by transmission using fax or electronic means.\n\nSection 4 Nature, Scope and Change in Performance\n\n1. The scope of services shall be determined by the order and these purchasing conditions. Unless otherwise agreed, the following applies to orders placed by FIT in this order:\n The order and within the order:\n[x] the service description that it contains\n[x] general technical conditions in the order\n • These purchasing conditions of FIT.\n2. If instructions for use, operation or other documentation are required, they are to be included in German or English with every service to be rendered, unless otherwise agreed.\n3. FIT may demand subsequent changes to the nature of the agreed services.\n4. In the event of a change request by FIT in accordance with Section 4, Number 3, the supplier shall notify FIT in writing within ten working days whether the change is possible and how it impacts the order, in particular taking into account additional or reduced expenditures, new prices and possible deadline changes. FIT shall notify the supplier within a period of ten working days whether a new agreement under the\nconditions based on the change request will be concluded or whether the existing order will continue to be executed.\n5. During or before the review of the change request by the supplier, FIT shall notify the supplier whether the service is to be continued according to the existing order or suspended pending a final decision on the suggestion.\n6. The supplier shall immediately submit a detailed written suggestion regarding necessary deviations from the performance of the service prescribed in the order, in particular, technical changes. They are only permitted if FIT consented to the deviation in writing. This also applies if the planned deviation does not result in a change in price.\n\nSection 5 Place of Performance, Delivery, Shipping, Passing of Risk\n\n1. The place of performance shall be the delivery address of FIT provided in the order. The most cost-efficient transportation means for FIT are to be selected, unless specific transport regulations were explicitly agreed. The deliveries shall be packaged in such a way as to avoid transport damage.\n2. In addition to the shipping address, the order information (order number, order items, order date, place of delivery, first name and surname of the recipient, where applicable, and FIT material number) must be specified in the transport papers.\n3. The supplier shall observe the current state of the art and the applicable legal and regulatory provisions and FIT's company rules and regulations. Where applicable, the supplier shall keep a quality assurance system, for example, in accordance with DIN EN ISO 9001-9003. FIT shall be entitled to check the system after consultation with the supplier.\n4. Costs associated with the misrouting of deliveries shall be borne by the supplier insofar as the misrouting is attributable to the supplier.\n5. The supplier may supply partial deliveries/services only with written consent from FIT. The requirement for the written form outlined in this section shall be satisfied by transmission using fax or electronic means.\n6. Partial deliveries of servers and other complete systems (desktops, laptops, etc.) shall be fundamentally excluded.\n7. The risk shall pass to FIT upon delivery. The legal provisions for the passing of performance risk shall also apply, unless otherwise agreed.\n\nSection 6 Costs, Invoices, Payment\n\n1. The transport and standard packaging costs shall be borne by the supplier, unless otherwise agreed.\n2. If the price was offered ex works or ex the supplier's distribution warehouse, the most cost-efficient mode of transport is to be selected, provided FIT has not specified a mode of transport. Any additional costs due to noncompliance with transport provisions shall be borne by the supplier. FIT shall be entitled to determine the mode of\n\ntransport, insofar as the price was specified as carriage paid to the destination. Any additional costs that arise as a result of accelerating transport to comply with a specific delivery deadline shall be borne by the supplier.\n\n3. Invoices must contain the order number and the numbers of all individual items. A duty of payment shall only exist when this information is complete. Copies of invoices and partial invoices shall be marked as such.\n4. The following payment conditions shall apply, unless otherwise agreed:\nPayment shall be made net within 30 days.\n5. The respective payment periods shall be calculated from the date the deliveries or services have been provided in full and a correctly issued invoice has been received. The above discounts also apply if FIT sets off payments against claims or withholds an appropriate part to the payment due to detected defects. The discount periods shall be calculated from the date of the remedying of said defect.\n6. Settlement of a payment shall not be considered implicit acceptance of the respective delivery or service.\n\nSection 7 Delivery Time and Performance Period\n\n1. The delivery deadlines stated in the order or service are fixed deadlines, unless expressly agreed otherwise. The supplier is obliged to immediately inform FIT in writing if circumstances arise or become apparent that indicate that the stipulated delivery time cannot be met.\n2. The supplier shall inform FIT of foreseeable delays or potential violations of the deadlines in writing, stating the reasons, insofar as these are known to him.\n3. In the event of any cause, for which the supplier is not responsible, that impairs the fulfillment of the contract, the supplier may reschedule the deadlines affected, provided the cause originates with FIT.\n4. In addition, Section 13 shall apply.\n\nSection 8 Subcontractors\n\n1. The use of subcontractors and freelance employees (representatives) requires the prior written consent of FIT. This shall also apply if the company responsible for the performance of the service belongs to the same group as the supplier or if the supplier is involved in the company. The supplier shall impose on the representative all its obligations that it has agreed to under the agreement with FIT regarding the assumed tasks and ensure their compliance.\n2. The supplier may not prevent its representatives from concluding agreements for other deliveries/services with FIT.\n\nSection 9 Inspection and Notification Obligation\n\nFIT shall examine the goods upon delivery for obvious defects only (type, amount of any transport damage, other outwardly visible damage). In addition, FIT shall be freed from the inspection and notification obligation pursuant to Section 377 of the German Commercial Code (HGB). Insofar as an inspection and notification obligation pursuant to Section 377 of the German\n\nCommercial Code applies, the term for notification of a discovered defect shall be a minimum of ten working days from discovery of the defect.\n\nSection 10 Acceptance\n\n1. Confirmation of receipt of products by FIT at the time of delivery shall not constitute acceptance of the goods.\n2. The products must conform to the descriptions, characteristics and specifications outlined in the order or agreement as well as all of the relevant health and safety regulations and satisfy all other legal or other provisions.\n3. The supplier shall conduct random checks in order to ensure that the products conform to the relevant industry standards and satisfy the quality requirements of FIT or correspond to other standards agreed between the parties.\n4. Partial acceptances may be agreed, depending on the nature of the service. FIT reserves the right to full acceptance.\n\nSection 11 Material Defects and Defects of Title\n\n1. The supplier shall warrant that the service complies with the agreed performance specifications or, where no such performance specifications have been agreed upon, that they will be suited for the contractually foreseen or commonly assumed use and that they are of a quality usual for deliveries and services of this kind and that the purchaser may expect, and that the rights of third parties shall not obstruct the transfer of the agreed competence to the client (Section 17).\n2. FIT shall be entitled to the full statutory warranty claims. The period of limitation for statutory warranty claims shall expire within 24 months following transfer/acceptance of the service, unless the law prescribes longer time limits. The warranty period shall be extended by a period equal to the period during which the service cannot be used as intended due to the defect.\n3. If the delivery item is resupplied, fully or partially repaired or replaced, the warranty period for the new, replaced or fully or partially repaired item begins again.\n\nSection 12 Liability\n\n1. The liability of the supplier shall be in accordance with statutory provisions. The supplier shall indemnify FIT against all claims by third parties that arise for FIT due to the services of the supplier or insufficient performance by the supplier, as well as the associated costs and expenditure. FIT shall inform the supplier in good time of the assertion of claims by third parties and not make any payments or recognize claims without prior consultation.\n2. The supplier shall ensure that the supplier itself, all legally contracted subcontractors (hereinafter 'subcontractor chain') and any workers employed by these authorized distributors are paid the applicable minimum wage according to the German Minimum Wage Law. In addition, the supplier shall confirm that its company and the companies it engages in the subcontractor chain are not excluded from being awarded public contracts pursuant to Section 19 of the German Minimum Wage Law.\n\nFIT shall be entitled, while reviewing the supplier's offer, to demand without a specific reason the submission of current pay slips for the employees engaged by the supplier and subcontractor chain in an anonymized form (salary and wage lists). The supplier may submit proof of compliance with the German Minimum Wage Law to FIT itself and along the subcontractor chain upon request by immediately presenting current confirmation from a suitably objective expert (such as an auditor).\n\nIf a liability claim is asserted against FIT by an employee of the supplier of the subcontractor chain due to an actually existing entitlement to compensation pursuant to the German Minimum Wage Law, the supplier shall be obliged to pay a contractual penalty in the amount of €250 on first demand for each claim. The contractual penalty to be paid will be charged against any claim for compensation by FIT and shall be limited to a maximum of ten percent of the respective value of the contract and a maximum of €25,000 per calendar year. The obligation to pay the contractual penalty shall not apply if the supplier is not at fault, where the burden of proof rests with the supplier.\n\nIf a liability claim is asserted against FIT by an employee of the supplier of the subcontractor chain due to an actually existing entitlement to compensation pursuant to the German Minimum Wage Law, FIT shall be entitled to terminate the order for exceptional reasons and thereby without notice pursuant to Section 1.\n\nThe supplier is obliged to release FIT from any claims made by third parties against FIT in the context of violations of the German Minimum Wage Law on first demand. However, this shall not apply if FIT and/or employees or vicarious agents of FIT in this particular case demonstrably violated the provisions of the German Minimum Wage Law by willful or gross negligence.\n\nSection 13 Default\n\nIf the supplier is in default with a delivery or service for reasons within its responsibility, FIT may demand a lump-sum compensation payment for delay per full week of the delay of 0.5 per cent, maximum 5 per cent, for the remuneration to be paid for this delivery or service after the expiry of a one-week extension period, provided FIT credibly establishes that it suffered loss as a result. Further claims for damages resulting from default shall not be excluded.\n\nIf the supplier is in default with a delivery or service for more than four weeks, FIT shall be entitled to withdraw from the contract and reclaim all payments made until that time to the exclusion of further claims.\n\nThis right of withdrawal shall not affect the claim of FIT for a lumpsum compensation payment for delay or a higher claim for damages pursuant to Sentence 1 of this section.\n\nThe supplier retains the right to prove that no damage has occurred or that the damage is substantially less than the lumpsum amount.\n\nSection 14 Insurance\n\n1. The supplier shall take out appropriate insurance with adequate asset funding and minimum cover of €1.5 million\n\nper damaging event for the duration of the contractual relationship. The supplier shall demonstrate evidence of a respective insurance policy to FIT upon request. Levels of cover lower than the minimum cover must be agreed with FIT in the individual case.\n\n2. The supplier shall also insure all shipments directly delivered to FIT (such as deliveries due to purchasing contracts, contracts for work and materials, maintenance orders or custom products). The supplier shall bear the premiums for such indemnity insurance or other internal insurance.\n\nSection 15 Data Protection\n\n1. The supplier agrees that FIT stores and processes personal data of the supplier and transmits it to companies in the Freudenberg Group, provided that this is required to fulfill and complete the order. FIT observes the German Data Protection Act or the relevant data protection laws/provisions.\n2. Insofar as the supplier has to process personal data for its work on the subject matter of the contract, the supplier shall observe data protection laws, agree on data backup measures with FIT and enable FIT to remain informed regarding compliance with this agreement.\n\nThe supplier shall impose an obligation in accordance with Sections 18.1, 18.2 and 15.1 on employees of its company who are involved in the performance of the contract and third parties involved in the performance of the contract.\n\nSection 16 Assignment Prohibition\n\nAssignments by the supplier outside the scope of application of Section 354 a of the German Commercial Code shall be excluded; exceptions shall require the written consent of FIT to be effective. FIT shall only deny consent to an assignment for financing purposes with just cause.\n\nSection 17 Rights\n\n1. The supplier renders the service under its own responsibility in accordance with the order. The supplier guarantees that the delivery or use of the items supplied and/or manufactured work does not infringe upon any patents or third-party proprietary rights.\n2. In the event that specifications stipulated by FIT in the service description, associated drawings, technical specifications or other documents to define the service could lead to the infringement of commercial proprietary rights, the supplier shall be obliged to immediately inform FIT and otherwise indemnify FIT against all claims by third parties brought against FIT due to the infringement of these rights.\n3. FIT shall hold the exclusive and comprehensive property rights and copyrights to all figures, drawings, calculations and other information provided to the supplier for the manufacture of the delivery/performance object by FIT or third parties commissioned by FIT or those produced or developed by the supplier in the course of the formation and execution of the order.\n\nSection 18 Confidentiality\n\n1. All information that has been designated as confidential by a contractual partner in writing or orally, in particular, documents, drawings, knowledge or other trade and business secrets, must be treated as confidential by the other contractual partner and only used for the purpose of fulfilling the order. This confidentiality obligation shall not apply to information\n that has entered in the public domain without the fault of the receiving party;\n that was demonstrably known to the receiving party when it was disclosed;\n received by the receiving party from a third party;\n where disclosure was required by an authority;\n based on knowledge gained independently from information of the other contractual partner.\n2. In the event that the supplier was provided with documents, software and/or programming codes, information or other resources, these objects shall remain the property of FIT and may only be used to execute the corresponding order.\n\nThe supplier shall not be entitled to reproduce, disclose to third parties or provide the content to unauthorized parties without prior consent from FIT. The documents, software and/or programming codes, information or other resources provided by FIT must be returned to FIT voluntarily after the work has been completed or after expiration of a subsequent maintenance agreement including all copies made and software copies provided by FIT to the supplier to complete work must be destroyed. FIT may demand a corresponding letter of representation.\n\n3. The confidentiality obligation shall apply after the end of order for a period of three (3) years after termination.\n4. 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ADVANCES IN DRUG DEVELOPMENT Current Developments in Oncology Drug Research Section Editor: Mark J. Ratain, MD Predictive and Prognostic Markers in Cancer Daniel Hayes, MD Clinical Director, Breast Oncology Program Stuart B. Padnos Professor in Breast Cancer Research University of Michigan Comprehensive Cancer Center Ann Arbor, Michigan H&O Can you discuss the difference between a predictive marker and a prognostic marker? DH A prognostic marker identifies outcome in patients, regardless of treatment, but is not necessarily only for untreated patients. Usually, these markers are thought to provide insight into risk of recurrence after surgery, but basically, prognostic factors are used to determine the "residual" risk after the preceding (or presumed applied) therapy, no matter what that therapy was. One of the problems with biomarkers is that, at times, an interesting biomarker is identified and then tested in studies of convenience, using specimens that happen to be available without clearly considering study design. Investigators should ask a question, then design their study with proper specimen selection, taking into account treatments and other factors, and then seeing if the biomarker answers that question, instead of running a study on available assays and samples, getting an answer, and then formulating the question. A predictive marker is one that predicts whether or not the "next" therapy will work. Predictive and prognostic markers often get confused because many markers can be both predictive and prognostic. A marker can be an unfavorable prognostic factor but could predict favorably for response to therapy, or vice versa. Furthermore, it is possible that markers can be prognostically unfavorable, but predict favorably for one therapy and predict unfavorably for another therapy. H&O What is the ideal application of predictive and prognostic biomarkers? DH The ideal application depends on the disease and the context in which the marker can be applied. One of the most useful new prognostic factors that has been developed in breast cancer in the last decade has been the 21 gene recurrence score (RS; Oncotype DX). Genomic Health, manufacturers of Oncotype DX, asked clinicians about the most important questions that arise in breast cancer treatment. The clinicians told them that approximately one-third of newly diagnosed breast cancer patients are node negative, estrogen receptor (ER)-positive without metastasis, and it is not clear if these patients should receive chemotherapy. The calculated absolute chance of benefit from chemotherapy, using online programs like AdjuvantOnline, in this patient population was only 2–3%. The 21 gene RS works with paraffin-embedded tissues and makes it possible to distinguish patients who are so unlikely to benefit from chemotherapy that the risks do not outweigh the benefits, from patients whose prognosis would warrant chemotherapy. The assay found that if a patient has a low recurrence score (node-negative, ERpositive) and receives only tamoxifen, she has a less than 10% chance of recurring over 10 years. Thus, treatment with only hormone therapy is recommended, because the benefits of chemotherapy do not outweigh the risks. The 21 gene RS allows us to identify 50% of nodenegative, ER-positive patients who fall into the low recurrence score group and 25% of patients who fall into the high recurrence score group, which then allows us to determine appropriate therapy. In the latter group, chemotherapy has proven to be worthwhile. However, this still leaves 25% of patients in the intermediate recurrence group, in which the response to chemotherapy is not high enough to suggest benefit but not low enough to eliminate it as a treatment option. The North American Breast Cancer Group (NABCG; formerly the Breast Cancer Intergroup) recently completed accrual to the TailoRx trial, led by the Eastern Cooperative Oncology Group (ECOG). TailoRx is a large, prospective, randomized trial of nodenegative ER-positive patients identified by 21 gene RS testing to be in the intermediate recurrence group. All of these patients received anti-estrogen therapy and were randomly assigned to chemotherapy or no chemotherapy. The hope with this trial is to determine the cut-off for chemotherapy benefit, and thus eliminate the intermediate category. In addition to being prognostic, the 21 gene RS may also be predictive of benefit from chemotherapy. Twenty years ago, the Southwest Oncology Group (SWOG) conducted a trial within the Breast Cancer Intergroup in which postmenopausal women with ER-positive, nodepositive breast cancer all received tamoxifen, and were randomly assigned to receive adjuvant cyclophosphamide, doxorubicin, and fluorouracil chemotherapy or not. Dr. Kathy Albain recently reported in the Lancet that, overall, chemotherapy modestly, but statistically significantly, improved disease-free and overall survival in this patient group. We applied the 21-gene RS test to tissues from these patients and found that, as expected, the patients with low RS who only received tamoxifen had a better prognosis than those with high RS, although as a group they still had a higher risk of recurrence than nodenegative patients. Thus, the assay was prognostic. However, if chemotherapy works in this group, we would still use it (in contrast to node-negative patients with low RS), since enough patients are likely to benefit to outweigh the risks. More importantly, though, it appears that the assay is also predictive. In addition to having a better prognosis, patients with low RS did not seem to respond to chemotherapy; in other words, their prognosis was poor enough to justify chemotherapy, but it did not seem to work. In contrast, as RS got higher, not only did prognosis worsen, but the relative benefits of chemotherapy got larger. H&O Can you explain validation for prognostic and predictive biomarkers? DH The transition from an assay of interest to one that has clinical utility is based on 3 components. One component is analytic validity: the assay is stable, accurate for what is being measured, reproducible, and reliable, and works in the kinds of specimens that need to be tested. For example, the urokinase plasminogen activator/plasminogen activator inhibitor (uPA/PAI-1) assay, which is currently being used in Europe, does not work in paraffin-embedded tissue, which is the standard specimen used in the United States. This assay is highly analytically validated in frozen tissue, but it is not used in the United States because it is not analytically valid in the kind of tissue (formalin-fixed, paraffin-embedded) that we commonly have available. The second component is clinical validity, which is whether the test identifies or predicts a patient's clinical status, meaning does it separate 2 populations with different clinical outcomes. The third, and key, component is clinical utility, which is the likelihood that the assay will significantly improve patient outcomes. If a marker has clinical utility, that means there are sufficient data to show it can be used to change practice. The best examples are ER status to predict if a patient will benefit from hormone therapy and HER2 status to predict whether a patient will benefit from anti-HER2 therapy. Outside of breast cancer, it is difficult to find a predictive or prognostic marker that is very well validated and has clinical utility; KRAS mutations for anti-EGFR antibody therapy comes the closest. Dr. Richard Simon, Dr. Soonmyung Paik, and I published a paper in the Journal of the National Cancer Institute in 2009 addressing the topic of validation. In it we discussed hierarchies of study designs using archived specimens to evaluate the utility of prognostic/predictive biomarkers. H&O How are biomarkers used in clinical trials, and are there any challenges to incorporating them into studies? DH Biomarkers can be used in clinical trials to select people who may or may not be eligible for a study. There have been 5 major trials of adjuvant trastuzumab (Herceptin, Genentech) that included only patients who were HER2 positive; in this case, HER2 was used to select patients who were most likely to respond to trastuzumab treatment. Biomarkers can also be utilized to monitor patients in a clinical study or can even be used as a study endpoint. The most definitive endpoint in oncology is survival. The problem with using survival as an endpoint is the length of time needed to measure it. Another issue with this endpoint is that patients who are dying of other causes as they age dilute survival. For these reasons, it is a difficult endpoint to measure and reach, at least in the adjuvant setting. The next most important endpoint is disease-free or progression-free survival. The third endpoint that is used in clinical trials is response. This is a much faster endpoint to achieve, and although it is less reliable, it is expedient. Similar to response, a biomarker can be used as an endpoint. If, in a study, an elevated level of a certain marker in the blood drops after treatment is given—and it is known that the reduction in the marker correlates strongly with response or prolonged progression-free, Drug Development disease-free, or overall survival—then it may be feasible to use that marker as a surrogate endpoint. For example, circulating tumor cells (CTCs) appear to be an indication of drug response. There are many patients with metastatic breast cancer who do not have measurable disease, so it is not possible to measure drug response. However, if they enter a study with elevated CTCs, then a reduction in this marker might be interpreted similarly to a response in a measurable tumor. This has not been done yet, but I think we have enough evidence to suggest that we can use CTCs in this way. Certainly there are caveats to this approach, but nonetheless, these markers may provide an indication of whether or not the treatment is working. H&O What are some recent studies of interest? DH There are several interesting tumor marker–driven breast cancer trials currently ongoing in North America. Ki67, a marker of proliferation, provides another example of using a tumor marker as a surrogate endpoint. At the 2010 San Antonio Breast Cancer Symposium, Dr. Matthew Ellis presented an exciting follow-up study. In 2008, Dr. Ellis and colleagues looked at patients with S receptor–positive breast cancer who were given 4 months of endocrine therapy before surgery. They then used Ki 67, along with other characteristics of the residual tumor (such as tumor size, lymph node status, and ER status) to calculate a postoperative endocrine prognostic index (PEPI) score. This PEPI score predicted relapse-free survival in this study. Dr. Ellis and his colleagues in the American College of Surgeons Oncology Group are following up this observation in ongoing studies to further determine how best to use the PEPI score in ER-positive patients who undergo neoadjuvant endocrine therapy. In another NABCG study led by SWOG, we are prospectively testing the clinical utility of using the 21 gene RS assay in node-positive patients. We are opening a new trial in women who are node-positive and ER-positive, with a low RS. These women will be given SWOG is currently conducting an ongoing trial evaluating CTCs (S0500, led by Dr. Jeffrey Smerage). In this study, metastatic breast cancer patients are being given 1 cycle of first-line chemotherapy, and if their CTC levels drop below 5 CTC/7.5 mL whole blood, it is assumed that treatment is working and it is therefore continued. If the CTC levels have not dropped, this suggests that the therapy is wrong for that patient. These patients are randomly assigned to switching therapy immediately or staying on the therapy they were originally assigned until there is classic evidence of progression. At present, we have 80 patients and are still accruing. anti-estrogen therapy and will be randomly assigned to chemotherapy or no chemotherapy to determine if our preliminary results, discussed above, can be validated. The standard of care for node-positive patients is chemotherapy, because they have a worse prognosis, but as discussed earlier, chemotherapy may not work in patients who are node-positive and ER-positive and have a low RS. This study will examine whether this group of patients is being overtreated just because they have a worse prognosis. The field of pharmacogenetics is less well established, but has lately gained great interest. Pharmacogenetics is the study of whether inherited, germline single nucleotide polymorphisms in genes responsible for drug metabolism, distribution, or activity influence patient outcomes. For example, individuals born with inactivating mutations of both alleles of CYP2D6 are unable to convert codeine to its active metabolite, morphine. Thus, these patients should receive an alternative analgesic. At present, there are no pharmacogenetic markers that have validated clinical utility for agents used to treat adult malignancies, but several studies are ongoing to address this important area. In addition to the circulating and tissue-based markers that have been discussed, there has been an increasing interest in inherited, germline genetic markers that may affect, and perhaps predict, susceptibility to a disease and, as more recently studied, effects from therapy. For example, it is now well established that women who harbor inherited abnormalities in BRCA1 and BRCA2 have a very high risk of developing new breast and ovarian cancers. These genes have clinical utility, since several studies have demonstrated that prophylactic surgery reduces the odds of developing, and dying from, new cancers. Suggested Readings Albain KS, Barlow WE, Shak S, et al. Prognostic and predictive value of the 21-gene recurrence score assay in postmenopausal women with node-positive, oestrogen-receptor-positive breast cancer on chemotherapy: a retrospective analysis of a randomised trial. Lancet Oncol. 2010;11:55-65. Ellis MJ, Buzdar A, Unzeitig GW, et al. ACOSOG Z1031: a randomized phase II trial comparing exemestane, letrozole, and anastrozole in postmenopausal women with clinical stage II/III estrogen receptor-positive breast cancer. J Clin Oncol (ASCO Annual Meeting Abstracts). 2010;28(18 suppl). Abstract LBA513. Ellis MJ, Tao Y, Luo J, et al. Outcome prediction for estrogen receptor–positive breast cancer based on postneoadjuvant endocrine therapy tumor characteristics. J Natler Inst. 2008;100:1380-1388. Simon RM, Paik S, Hayes DF. Use of archived specimens in evaluation of prognostic and predictive biomarkers. J Natl Cancer Inst. 2009:101:1446-1452. Henry NL, Hayes DF. Uses and abuses of tumor markers in the diagnosis, monitoring, and treatment of primary and metastatic breast cancer. Oncologist. 2006;11:541-552. Hayes DF, Smerage J. Is there a role for circulating tumor cells in the management of breast cancer? Clin Cancer Res. 2008;14:3646-3650. Paik S, Shak S, Tang G, et al. A multigene assay to predict recurrence of tamoxifentreated, node-negative breast cancer. N Engl J Med. 2004;351:2817-2826.	<urn:uuid:6582ec52-e40b-4ba3-a696-bfe24f632687>	CC-MAIN-2024-30	https://www.hematologyandoncology.net/files/2013/07/ho0211_dd1.pdf	2024-07-15T20:25:20+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-30/subset=warc/part-00076-65338ae2-db7f-48fa-a620-71777c40d854.c000.gz.parquet	701,337,972	3,209	eng_Latn	eng_Latn	0.99725	eng_Latn	0.997522	[ "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3761, 9258, 15188 ]	ADVANCES IN DRUG DEVELOPMENT Current Developments in Oncology Drug Research Section Editor: Mark J. Ratain, MD Predictive and Prognostic Markers in Cancer Daniel Hayes, MD Clinical Director, Breast Oncology Program Stuart B. Padnos Professor in Breast Cancer Research University of Michigan Comprehensive Cancer Center Ann Arbor, Michigan H&O Can you discuss the difference between a predictive marker and a prognostic marker? DH A prognostic marker identifies outcome in patients, regardless of treatment, but is not necessarily only for untreated patients. Usually, these markers are thought to provide insight into risk of recurrence after surgery, but basically, prognostic factors are used to determine the "residual" risk after the preceding (or presumed applied) therapy, no matter what that therapy was. One of the problems with biomarkers is that, at times, an interesting biomarker is identified and then tested in studies of convenience, using specimens that happen to be available without clearly considering study design. Investigators should ask a question, then design their study with proper specimen selection, taking into account treatments and other factors, and then seeing if the biomarker answers that question, instead of running a study on available assays and samples, getting an answer, and then formulating the question. A predictive marker is one that predicts whether or not the "next" therapy will work. Predictive and prognostic markers often get confused because many markers can be both predictive and prognostic. A marker can be an unfavorable prognostic factor but could predict favorably for response to therapy, or vice versa. Furthermore, it is possible that markers can be prognostically unfavorable, but predict favorably for one therapy and predict unfavorably for another therapy. H&O What is the ideal application of predictive and prognostic biomarkers? DH The ideal application depends on the disease and the context in which the marker can be applied. One of the most useful new prognostic factors that has been developed in breast cancer in the last decade has been the 21 gene recurrence score (RS; Oncotype DX). Genomic Health, manufacturers of Oncotype DX, asked clinicians about the most important questions that arise in breast cancer treatment. The clinicians told them that approximately one-third of newly diagnosed breast cancer patients are node negative, estrogen receptor (ER)-positive without metastasis, and it is not clear if these patients should receive chemotherapy. The calculated absolute chance of benefit from chemotherapy, using online programs like AdjuvantOnline, in this patient population was only 2–3%. The 21 gene RS works with paraffin-embedded tissues and makes it possible to distinguish patients who are so unlikely to benefit from chemotherapy that the risks do not outweigh the benefits, from patients whose prognosis would warrant chemotherapy. The assay found that if a patient has a low recurrence score (node-negative, ERpositive) and receives only tamoxifen, she has a less than 10% chance of recurring over 10 years. Thus, treatment with only hormone therapy is recommended, because the benefits of chemotherapy do not outweigh the risks. The 21 gene RS allows us to identify 50% of nodenegative, ER-positive patients who fall into the low recurrence score group and 25% of patients who fall into the high recurrence score group, which then allows us to determine appropriate therapy. In the latter group, chemotherapy has proven to be worthwhile. However, this still leaves 25% of patients in the intermediate recurrence group, in which the response to chemotherapy is not high enough to suggest benefit but not low enough to eliminate it as a treatment option. The North American Breast Cancer Group (NABCG; formerly the Breast Cancer Intergroup) recently completed accrual to the TailoRx trial, led by the Eastern Cooperative Oncology Group (ECOG). TailoRx is a large, prospective, randomized trial of nodenegative ER-positive patients identified by 21 gene RS testing to be in the intermediate recurrence group. All of these patients received anti-estrogen therapy and were randomly assigned to chemotherapy or no chemotherapy. The hope with this trial is to determine the cut-off for chemotherapy benefit, and thus eliminate the intermediate category. In addition to being prognostic, the 21 gene RS may also be predictive of benefit from chemotherapy. Twenty years ago, the Southwest Oncology Group (SWOG) conducted a trial within the Breast Cancer Intergroup in which postmenopausal women with ER-positive, nodepositive breast cancer all received tamoxifen, and were randomly assigned to receive adjuvant cyclophosphamide, doxorubicin, and fluorouracil chemotherapy or not. Dr. Kathy Albain recently reported in the Lancet that, overall, chemotherapy modestly, but statistically significantly, improved disease-free and overall survival in this patient group. We applied the 21-gene RS test to tissues from these patients and found that, as expected, the patients with low RS who only received tamoxifen had a better prognosis than those with high RS, although as a group they still had a higher risk of recurrence than nodenegative patients. Thus, the assay was prognostic. However, if chemotherapy works in this group, we would still use it (in contrast to node-negative patients with low RS), since enough patients are likely to benefit to outweigh the risks. More importantly, though, it appears that the assay is also predictive. In addition to having a better prognosis, patients with low RS did not seem to respond to chemotherapy; in other words, their prognosis was poor enough to justify chemotherapy, but it did not seem to work. In contrast, as RS got higher, not only did prognosis worsen, but the relative benefits of chemotherapy got larger. H&O Can you explain validation for prognostic and predictive biomarkers? DH The transition from an assay of interest to one that has clinical utility is based on 3 components. One component is analytic validity: the assay is stable, accurate for what is being measured, reproducible, and reliable, and works in the kinds of specimens that need to be tested. For example, the urokinase plasminogen activator/plasminogen activator inhibitor (uPA/PAI-1) assay, which is currently being used in Europe, does not work in paraffin-embedded tissue, which is the standard specimen used in the United States. This assay is highly analytically validated in frozen tissue, but it is not used in the United States because it is not analytically valid in the kind of tissue (formalin-fixed, paraffin-embedded) that we commonly have available. The second component is clinical validity, which is whether the test identifies or predicts a patient's clinical status, meaning does it separate 2 populations with different clinical outcomes. The third, and key, component is clinical utility, which is the likelihood that the assay will significantly improve patient outcomes. If a marker has clinical utility, that means there are sufficient data to show it can be used to change practice. The best examples are ER status to predict if a patient will benefit from hormone therapy and HER2 status to predict whether a patient will benefit from anti-HER2 therapy. Outside of breast cancer, it is difficult to find a predictive or prognostic marker that is very well validated and has clinical utility; KRAS mutations for anti-EGFR antibody therapy comes the closest. Dr. Richard Simon, Dr. Soonmyung Paik, and I published a paper in the Journal of the National Cancer Institute in 2009 addressing the topic of validation. In it we discussed hierarchies of study designs using archived specimens to evaluate the utility of prognostic/predictive biomarkers. H&O How are biomarkers used in clinical trials, and are there any challenges to incorporating them into studies? DH Biomarkers can be used in clinical trials to select people who may or may not be eligible for a study. There have been 5 major trials of adjuvant trastuzumab (Herceptin, Genentech) that included only patients who were HER2 posi	tive; in this case, HER2 was used to select patients who were most likely to respond to trastuzumab treatment.	Biomarkers can also be utilized to monitor patients in a clinical study or can even be used as a study endpoint. The most definitive endpoint in oncology is survival. The problem with using survival as an endpoint is the length of time needed to measure it. Another issue with this endpoint is that patients who are dying of other causes as they age dilute survival. For these reasons, it is a difficult endpoint to measure and reach, at least in the adjuvant setting. The next most important endpoint is disease-free or progression-free survival. The third endpoint that is used in clinical trials is response. This is a much faster endpoint to achieve, and although it is less reliable, it is expedient. Similar to response, a biomarker can be used as an endpoint. If, in a study, an elevated level of a certain marker in the blood drops after treatment is given—and it is known that the reduction in the marker correlates strongly with response or prolonged progression-free, Drug Development disease-free, or overall survival—then it may be feasible to use that marker as a surrogate endpoint. For example, circulating tumor cells (CTCs) appear to be an indication of drug response. There are many patients with metastatic breast cancer who do not have measurable disease, so it is not possible to measure drug response. However, if they enter a study with elevated CTCs, then a reduction in this marker might be interpreted similarly to a response in a measurable tumor. This has not been done yet, but I think we have enough evidence to suggest that we can use CTCs in this way. Certainly there are caveats to this approach, but nonetheless, these markers may provide an indication of whether or not the treatment is working. H&O What are some recent studies of interest? DH There are several interesting tumor marker–driven breast cancer trials currently ongoing in North America. Ki67, a marker of proliferation, provides another example of using a tumor marker as a surrogate endpoint. At the 2010 San Antonio Breast Cancer Symposium, Dr. Matthew Ellis presented an exciting follow-up study. In 2008, Dr. Ellis and colleagues looked at patients with S receptor–positive breast cancer who were given 4 months of endocrine therapy before surgery. They then used Ki 67, along with other characteristics of the residual tumor (such as tumor size, lymph node status, and ER status) to calculate a postoperative endocrine prognostic index (PEPI) score. This PEPI score predicted relapse-free survival in this study. Dr. Ellis and his colleagues in the American College of Surgeons Oncology Group are following up this observation in ongoing studies to further determine how best to use the PEPI score in ER-positive patients who undergo neoadjuvant endocrine therapy. In another NABCG study led by SWOG, we are prospectively testing the clinical utility of using the 21 gene RS assay in node-positive patients. We are opening a new trial in women who are node-positive and ER-positive, with a low RS. These women will be given SWOG is currently conducting an ongoing trial evaluating CTCs (S0500, led by Dr. Jeffrey Smerage). In this study, metastatic breast cancer patients are being given 1 cycle of first-line chemotherapy, and if their CTC levels drop below 5 CTC/7.5 mL whole blood, it is assumed that treatment is working and it is therefore continued. If the CTC levels have not dropped, this suggests that the therapy is wrong for that patient. These patients are randomly assigned to switching therapy immediately or staying on the therapy they were originally assigned until there is classic evidence of progression. At present, we have 80 patients and are still accruing. anti-estrogen therapy and will be randomly assigned to chemotherapy or no chemotherapy to determine if our preliminary results, discussed above, can be validated. The standard of care for node-positive patients is chemotherapy, because they have a worse prognosis, but as discussed earlier, chemotherapy may not work in patients who are node-positive and ER-positive and have a low RS. This study will examine whether this group of patients is being overtreated just because they have a worse prognosis. The field of pharmacogenetics is less well established, but has lately gained great interest. Pharmacogenetics is the study of whether inherited, germline single nucleotide polymorphisms in genes responsible for drug metabolism, distribution, or activity influence patient outcomes. For example, individuals born with inactivating mutations of both alleles of CYP2D6 are unable to convert codeine to its active metabolite, morphine. Thus, these patients should receive an alternative analgesic. At present, there are no pharmacogenetic markers that have validated clinical utility for agents used to treat adult malignancies, but several studies are ongoing to address this important area. In addition to the circulating and tissue-based markers that have been discussed, there has been an increasing interest in inherited, germline genetic markers that may affect, and perhaps predict, susceptibility to a disease and, as more recently studied, effects from therapy. For example, it is now well established that women who harbor inherited abnormalities in BRCA1 and BRCA2 have a very high risk of developing new breast and ovarian cancers. These genes have clinical utility, since several studies have demonstrated that prophylactic surgery reduces the odds of developing, and dying from, new cancers. Suggested Readings Albain KS, Barlow WE, Shak S, et al. Prognostic and predictive value of the 21-gene recurrence score assay in postmenopausal women with node-positive, oestrogen-receptor-positive breast cancer on chemotherapy: a retrospective analysis of a randomised trial. Lancet Oncol. 2010;11:55-65. Ellis MJ, Buzdar A, Unzeitig GW, et al. ACOSOG Z1031: a randomized phase II trial comparing exemestane, letrozole, and anastrozole in postmenopausal women with clinical stage II/III estrogen receptor-positive breast cancer. J Clin Oncol (ASCO Annual Meeting Abstracts). 2010;28(18 suppl). Abstract LBA513. Ellis MJ, Tao Y, Luo J, et al. Outcome prediction for estrogen receptor–positive breast cancer based on postneoadjuvant endocrine therapy tumor characteristics. J Natler Inst. 2008;100:1380-1388. Simon RM, Paik S, Hayes DF. Use of archived specimens in evaluation of prognostic and predictive biomarkers. J Natl Cancer Inst. 2009:101:1446-1452. Henry NL, Hayes DF. Uses and abuses of tumor markers in the diagnosis, monitoring, and treatment of primary and metastatic breast cancer. Oncologist. 2006;11:541-552. Hayes DF, Smerage J. Is there a role for circulating tumor cells in the management of breast cancer? Clin Cancer Res. 2008;14:3646-3650. Paik S, Shak S, Tang G, et al. A multigene assay to predict recurrence of tamoxifentreated, node-negative breast cancer. N Engl J Med. 2004;351:2817-2826.	8,150	inside_word	positive;	remove_one_sentence	<url> https://www.hematologyandoncology.net/files/2013/07/ho0211_dd1.pdf </url> <text> ADVANCES IN DRUG DEVELOPMENT Current Developments in Oncology Drug Research Section Editor: Mark J. Ratain, MD Predictive and Prognostic Markers in Cancer Daniel Hayes, MD Clinical Director, Breast Oncology Program Stuart B. Padnos Professor in Breast Cancer Research University of Michigan Comprehensive Cancer Center Ann Arbor, Michigan H&O Can you discuss the difference between a predictive marker and a prognostic marker? DH A prognostic marker identifies outcome in patients, regardless of treatment, but is not necessarily only for untreated patients. Usually, these markers are thought to provide insight into risk of recurrence after surgery, but basically, prognostic factors are used to determine the "residual" risk after the preceding (or presumed applied) therapy, no matter what that therapy was. One of the problems with biomarkers is that, at times, an interesting biomarker is identified and then tested in studies of convenience, using specimens that happen to be available without clearly considering study design. Investigators should ask a question, then design their study with proper specimen selection, taking into account treatments and other factors, and then seeing if the biomarker answers that question, instead of running a study on available assays and samples, getting an answer, and then formulating the question. A predictive marker is one that predicts whether or not the "next" therapy will work. Predictive and prognostic markers often get confused because many markers can be both predictive and prognostic. A marker can be an unfavorable prognostic factor but could predict favorably for response to therapy, or vice versa. Furthermore, it is possible that markers can be prognostically unfavorable, but predict favorably for one therapy and predict unfavorably for another therapy. H&O What is the ideal application of predictive and prognostic biomarkers? DH The ideal application depends on the disease and the context in which the marker can be applied. One of the most useful new prognostic factors that has been developed in breast cancer in the last decade has been the 21 gene recurrence score (RS; Oncotype DX). Genomic Health, manufacturers of Oncotype DX, asked clinicians about the most important questions that arise in breast cancer treatment. The clinicians told them that approximately one-third of newly diagnosed breast cancer patients are node negative, estrogen receptor (ER)-positive without metastasis, and it is not clear if these patients should receive chemotherapy. The calculated absolute chance of benefit from chemotherapy, using online programs like AdjuvantOnline, in this patient population was only 2–3%. The 21 gene RS works with paraffin-embedded tissues and makes it possible to distinguish patients who are so unlikely to benefit from chemotherapy that the risks do not outweigh the benefits, from patients whose prognosis would warrant chemotherapy. The assay found that if a patient has a low recurrence score (node-negative, ERpositive) and receives only tamoxifen, she has a less than 10% chance of recurring over 10 years. Thus, treatment with only hormone therapy is recommended, because the benefits of chemotherapy do not outweigh the risks. The 21 gene RS allows us to identify 50% of nodenegative, ER-positive patients who fall into the low recurrence score group and 25% of patients who fall into the high recurrence score group, which then allows us to determine appropriate therapy. In the latter group, chemotherapy has proven to be worthwhile. However, this still leaves 25% of patients in the intermediate recurrence group, in which the response to chemotherapy is not high enough to suggest benefit but not low enough to eliminate it as a treatment option. The North American Breast Cancer Group (NABCG; formerly the Breast Cancer Intergroup) recently completed accrual to the TailoRx trial, led by the Eastern Cooperative Oncology Group (ECOG). TailoRx is a large, prospective, randomized trial of nodenegative ER-positive patients identified by 21 gene RS testing to be in the intermediate recurrence group. All of these patients received anti-estrogen therapy and were randomly assigned to chemotherapy or no chemotherapy. The hope with this trial is to determine the cut-off for chemotherapy benefit, and thus eliminate the intermediate category. In addition to being prognostic, the 21 gene RS may also be predictive of benefit from chemotherapy. Twenty years ago, the Southwest Oncology Group (SWOG) conducted a trial within the Breast Cancer Intergroup in which postmenopausal women with ER-positive, nodepositive breast cancer all received tamoxifen, and were randomly assigned to receive adjuvant cyclophosphamide, doxorubicin, and fluorouracil chemotherapy or not. Dr. Kathy Albain recently reported in the Lancet that, overall, chemotherapy modestly, but statistically significantly, improved disease-free and overall survival in this patient group. We applied the 21-gene RS test to tissues from these patients and found that, as expected, the patients with low RS who only received tamoxifen had a better prognosis than those with high RS, although as a group they still had a higher risk of recurrence than nodenegative patients. Thus, the assay was prognostic. However, if chemotherapy works in this group, we would still use it (in contrast to node-negative patients with low RS), since enough patients are likely to benefit to outweigh the risks. More importantly, though, it appears that the assay is also predictive. In addition to having a better prognosis, patients with low RS did not seem to respond to chemotherapy; in other words, their prognosis was poor enough to justify chemotherapy, but it did not seem to work. In contrast, as RS got higher, not only did prognosis worsen, but the relative benefits of chemotherapy got larger. H&O Can you explain validation for prognostic and predictive biomarkers? DH The transition from an assay of interest to one that has clinical utility is based on 3 components. One component is analytic validity: the assay is stable, accurate for what is being measured, reproducible, and reliable, and works in the kinds of specimens that need to be tested. For example, the urokinase plasminogen activator/plasminogen activator inhibitor (uPA/PAI-1) assay, which is currently being used in Europe, does not work in paraffin-embedded tissue, which is the standard specimen used in the United States. This assay is highly analytically validated in frozen tissue, but it is not used in the United States because it is not analytically valid in the kind of tissue (formalin-fixed, paraffin-embedded) that we commonly have available. The second component is clinical validity, which is whether the test identifies or predicts a patient's clinical status, meaning does it separate 2 populations with different clinical outcomes. The third, and key, component is clinical utility, which is the likelihood that the assay will significantly improve patient outcomes. If a marker has clinical utility, that means there are sufficient data to show it can be used to change practice. The best examples are ER status to predict if a patient will benefit from hormone therapy and HER2 status to predict whether a patient will benefit from anti-HER2 therapy. Outside of breast cancer, it is difficult to find a predictive or prognostic marker that is very well validated and has clinical utility; KRAS mutations for anti-EGFR antibody therapy comes the closest. Dr. Richard Simon, Dr. Soonmyung Paik, and I published a paper in the Journal of the National Cancer Institute in 2009 addressing the topic of validation. In it we discussed hierarchies of study designs using archived specimens to evaluate the utility of prognostic/predictive biomarkers. H&O How are biomarkers used in clinical trials, and are there any challenges to incorporating them into studies? DH Biomarkers can be used in clinical trials to select people who may or may not be eligible for a study. There have been 5 major trials of adjuvant trastuzumab (Herceptin, Genentech) that included only patients who were HER2 posi<cursor_is_here> Biomarkers can also be utilized to monitor patients in a clinical study or can even be used as a study endpoint. The most definitive endpoint in oncology is survival. The problem with using survival as an endpoint is the length of time needed to measure it. Another issue with this endpoint is that patients who are dying of other causes as they age dilute survival. For these reasons, it is a difficult endpoint to measure and reach, at least in the adjuvant setting. The next most important endpoint is disease-free or progression-free survival. The third endpoint that is used in clinical trials is response. This is a much faster endpoint to achieve, and although it is less reliable, it is expedient. Similar to response, a biomarker can be used as an endpoint. If, in a study, an elevated level of a certain marker in the blood drops after treatment is given—and it is known that the reduction in the marker correlates strongly with response or prolonged progression-free, Drug Development disease-free, or overall survival—then it may be feasible to use that marker as a surrogate endpoint. For example, circulating tumor cells (CTCs) appear to be an indication of drug response. There are many patients with metastatic breast cancer who do not have measurable disease, so it is not possible to measure drug response. However, if they enter a study with elevated CTCs, then a reduction in this marker might be interpreted similarly to a response in a measurable tumor. This has not been done yet, but I think we have enough evidence to suggest that we can use CTCs in this way. Certainly there are caveats to this approach, but nonetheless, these markers may provide an indication of whether or not the treatment is working. H&O What are some recent studies of interest? DH There are several interesting tumor marker–driven breast cancer trials currently ongoing in North America. Ki67, a marker of proliferation, provides another example of using a tumor marker as a surrogate endpoint. At the 2010 San Antonio Breast Cancer Symposium, Dr. Matthew Ellis presented an exciting follow-up study. In 2008, Dr. Ellis and colleagues looked at patients with S receptor–positive breast cancer who were given 4 months of endocrine therapy before surgery. They then used Ki 67, along with other characteristics of the residual tumor (such as tumor size, lymph node status, and ER status) to calculate a postoperative endocrine prognostic index (PEPI) score. This PEPI score predicted relapse-free survival in this study. Dr. Ellis and his colleagues in the American College of Surgeons Oncology Group are following up this observation in ongoing studies to further determine how best to use the PEPI score in ER-positive patients who undergo neoadjuvant endocrine therapy. In another NABCG study led by SWOG, we are prospectively testing the clinical utility of using the 21 gene RS assay in node-positive patients. We are opening a new trial in women who are node-positive and ER-positive, with a low RS. These women will be given SWOG is currently conducting an ongoing trial evaluating CTCs (S0500, led by Dr. Jeffrey Smerage). In this study, metastatic breast cancer patients are being given 1 cycle of first-line chemotherapy, and if their CTC levels drop below 5 CTC/7.5 mL whole blood, it is assumed that treatment is working and it is therefore continued. If the CTC levels have not dropped, this suggests that the therapy is wrong for that patient. These patients are randomly assigned to switching therapy immediately or staying on the therapy they were originally assigned until there is classic evidence of progression. At present, we have 80 patients and are still accruing. anti-estrogen therapy and will be randomly assigned to chemotherapy or no chemotherapy to determine if our preliminary results, discussed above, can be validated. The standard of care for node-positive patients is chemotherapy, because they have a worse prognosis, but as discussed earlier, chemotherapy may not work in patients who are node-positive and ER-positive and have a low RS. This study will examine whether this group of patients is being overtreated just because they have a worse prognosis. The field of pharmacogenetics is less well established, but has lately gained great interest. Pharmacogenetics is the study of whether inherited, germline single nucleotide polymorphisms in genes responsible for drug metabolism, distribution, or activity influence patient outcomes. For example, individuals born with inactivating mutations of both alleles of CYP2D6 are unable to convert codeine to its active metabolite, morphine. Thus, these patients should receive an alternative analgesic. At present, there are no pharmacogenetic markers that have validated clinical utility for agents used to treat adult malignancies, but several studies are ongoing to address this important area. In addition to the circulating and tissue-based markers that have been discussed, there has been an increasing interest in inherited, germline genetic markers that may affect, and perhaps predict, susceptibility to a disease and, as more recently studied, effects from therapy. For example, it is now well established that women who harbor inherited abnormalities in BRCA1 and BRCA2 have a very high risk of developing new breast and ovarian cancers. These genes have clinical utility, since several studies have demonstrated that prophylactic surgery reduces the odds of developing, and dying from, new cancers. Suggested Readings Albain KS, Barlow WE, Shak S, et al. Prognostic and predictive value of the 21-gene recurrence score assay in postmenopausal women with node-positive, oestrogen-receptor-positive breast cancer on chemotherapy: a retrospective analysis of a randomised trial. Lancet Oncol. 2010;11:55-65. Ellis MJ, Buzdar A, Unzeitig GW, et al. ACOSOG Z1031: a randomized phase II trial comparing exemestane, letrozole, and anastrozole in postmenopausal women with clinical stage II/III estrogen receptor-positive breast cancer. J Clin Oncol (ASCO Annual Meeting Abstracts). 2010;28(18 suppl). Abstract LBA513. Ellis MJ, Tao Y, Luo J, et al. Outcome prediction for estrogen receptor–positive breast cancer based on postneoadjuvant endocrine therapy tumor characteristics. J Natler Inst. 2008;100:1380-1388. Simon RM, Paik S, Hayes DF. Use of archived specimens in evaluation of prognostic and predictive biomarkers. J Natl Cancer Inst. 2009:101:1446-1452. Henry NL, Hayes DF. Uses and abuses of tumor markers in the diagnosis, monitoring, and treatment of primary and metastatic breast cancer. Oncologist. 2006;11:541-552. Hayes DF, Smerage J. Is there a role for circulating tumor cells in the management of breast cancer? Clin Cancer Res. 2008;14:3646-3650. Paik S, Shak S, Tang G, et al. A multigene assay to predict recurrence of tamoxifentreated, node-negative breast cancer. N Engl J Med. 2004;351:2817-2826. </text>	[ { "content": "<url>\nhttps://www.hematologyandoncology.net/files/2013/07/ho0211_dd1.pdf\n</url>\n<text>\nADVANCES IN DRUG DEVELOPMENT\n\nCurrent Developments in Oncology Drug Research\n\nSection Editor: Mark J. Ratain, MD\n\nPredictive and Prognostic Markers in Cancer\n\nDaniel Hayes, MD Clinical Director, Breast Oncology Program Stuart B. Padnos Professor in Breast Cancer Research University of Michigan Comprehensive Cancer Center Ann Arbor, Michigan\n\nH&O Can you discuss the difference between a predictive marker and a prognostic marker?\n\nDH A prognostic marker identifies outcome in patients, regardless of treatment, but is not necessarily only for untreated patients. Usually, these markers are thought to provide insight into risk of recurrence after surgery, but basically, prognostic factors are used to determine the \"residual\" risk after the preceding (or presumed applied) therapy, no matter what that therapy was.\n\nOne of the problems with biomarkers is that, at times, an interesting biomarker is identified and then tested in studies of convenience, using specimens that happen to be available without clearly considering study design. Investigators should ask a question, then design their study with proper specimen selection, taking into account treatments and other factors, and then seeing if the biomarker answers that question, instead of running a study on available assays and samples, getting an answer, and then formulating the question.\n\nA predictive marker is one that predicts whether or not the \"next\" therapy will work. Predictive and prognostic markers often get confused because many markers can be both predictive and prognostic. A marker can be an unfavorable prognostic factor but could predict favorably for response to therapy, or vice versa. Furthermore, it is possible that markers can be prognostically unfavorable, but predict favorably for one therapy and predict unfavorably for another therapy.\n\nH&O What is the ideal application of predictive and prognostic biomarkers?\n\nDH The ideal application depends on the disease and the context in which the marker can be applied. One of the most useful new prognostic factors that has been developed in breast cancer in the last decade has been the 21 gene recurrence score (RS; Oncotype DX). Genomic Health, manufacturers of Oncotype DX, asked clinicians about the most important questions that arise in breast cancer treatment. The clinicians told them that approximately one-third of newly diagnosed breast cancer patients are node negative, estrogen receptor (ER)-positive without metastasis, and it is not clear if these patients should receive chemotherapy. The calculated absolute chance of benefit from chemotherapy, using online programs like AdjuvantOnline, in this patient population was only 2–3%. The 21 gene RS works with paraffin-embedded tissues and makes it possible to distinguish patients who are so unlikely to benefit from chemotherapy that the risks do not outweigh the benefits, from patients whose prognosis would warrant chemotherapy. The assay found that if a patient has a low recurrence score (node-negative, ERpositive) and receives only tamoxifen, she has a less than 10% chance of recurring over 10 years. Thus, treatment with only hormone therapy is recommended, because the benefits of chemotherapy do not outweigh the risks.\n\nThe 21 gene RS allows us to identify 50% of nodenegative, ER-positive patients who fall into the low recurrence score group and 25% of patients who fall into the high recurrence score group, which then allows us to determine appropriate therapy. In the latter group, chemotherapy has proven to be worthwhile. However, this still leaves 25% of patients in the intermediate recurrence group, in which the response to chemotherapy is not high enough to suggest benefit but not low enough to eliminate it as a treatment option.\n\nThe North American Breast Cancer Group (NABCG; formerly the Breast Cancer Intergroup) recently completed accrual to the TailoRx trial, led by the Eastern Cooperative Oncology Group (ECOG). TailoRx is a large, prospective, randomized trial of nodenegative ER-positive patients identified by 21 gene RS testing to be in the intermediate recurrence group. All of these patients received anti-estrogen therapy and were randomly assigned to chemotherapy or no chemotherapy. The hope with this trial is to determine the cut-off for chemotherapy benefit, and thus eliminate the intermediate category.\n\nIn addition to being prognostic, the 21 gene RS may also be predictive of benefit from chemotherapy. Twenty years ago, the Southwest Oncology Group (SWOG) conducted a trial within the Breast Cancer Intergroup in which postmenopausal women with ER-positive, nodepositive breast cancer all received tamoxifen, and were randomly assigned to receive adjuvant cyclophosphamide, doxorubicin, and fluorouracil chemotherapy or not. Dr. Kathy Albain recently reported in the Lancet that, overall, chemotherapy modestly, but statistically significantly, improved disease-free and overall survival in this patient group. We applied the 21-gene RS test to tissues from these patients and found that, as expected, the patients with low RS who only received tamoxifen had a better prognosis than those with high RS, although as a group they still had a higher risk of recurrence than nodenegative patients. Thus, the assay was prognostic. However, if chemotherapy works in this group, we would still use it (in contrast to node-negative patients with low RS), since enough patients are likely to benefit to outweigh the risks. More importantly, though, it appears that the assay is also predictive. In addition to having a better prognosis, patients with low RS did not seem to respond to chemotherapy; in other words, their prognosis was poor enough to justify chemotherapy, but it did not seem to work. In contrast, as RS got higher, not only did prognosis worsen, but the relative benefits of chemotherapy got larger.\n\nH&O Can you explain validation for prognostic and predictive biomarkers?\n\nDH The transition from an assay of interest to one that has clinical utility is based on 3 components. One component is analytic validity: the assay is stable, accurate for what is being measured, reproducible, and reliable, and works in the kinds of specimens that need to be tested. For example, the urokinase plasminogen activator/plasminogen activator inhibitor (uPA/PAI-1) assay, which is currently being used in Europe, does not work in paraffin-embedded tissue, which is the standard specimen used in the United States. This assay is highly analytically validated in frozen tissue, but it is not used in the United States because it is not analytically valid in the kind of tissue (formalin-fixed, paraffin-embedded) that we commonly have available. The second component is clinical validity, which is whether the test identifies or predicts a patient's clinical status, meaning does it separate 2 populations with different clinical outcomes. The third, and key, component is clinical utility, which is the likelihood that the assay will significantly improve patient outcomes. If a marker has clinical utility, that means there are sufficient data to show it can be used to change practice. The best examples are ER status to predict if a patient will benefit from hormone therapy and HER2 status to predict whether a patient will benefit from anti-HER2 therapy. Outside of breast cancer, it is difficult to find a predictive or prognostic marker that is very well validated and has clinical utility; KRAS mutations for anti-EGFR antibody therapy comes the closest.\n\nDr. Richard Simon, Dr. Soonmyung Paik, and I published a paper in the Journal of the National Cancer Institute in 2009 addressing the topic of validation. In it we discussed hierarchies of study designs using archived specimens to evaluate the utility of prognostic/predictive biomarkers.\n\nH&O How are biomarkers used in clinical trials, and are there any challenges to incorporating them into studies?\n\nDH Biomarkers can be used in clinical trials to select people who may or may not be eligible for a study. There have been 5 major trials of adjuvant trastuzumab (Herceptin, Genentech) that included only patients who were HER2 posi<cursor_is_here>\n\nBiomarkers can also be utilized to monitor patients in a clinical study or can even be used as a study endpoint. The most definitive endpoint in oncology is survival. The problem with using survival as an endpoint is the length of time needed to measure it. Another issue with this endpoint is that patients who are dying of other causes as they age dilute survival. For these reasons, it is a difficult endpoint to measure and reach, at least in the adjuvant setting. The next most important endpoint is disease-free or progression-free survival. The third endpoint that is used in clinical trials is response. This is a much faster endpoint to achieve, and although it is less reliable, it is expedient. Similar to response, a biomarker can be used as an endpoint. If, in a study, an elevated level of a certain marker in the blood drops after treatment is given—and it is known that the reduction in the marker correlates strongly with response or prolonged progression-free,\n\nDrug Development\n\ndisease-free, or overall survival—then it may be feasible to use that marker as a surrogate endpoint.\n\nFor example, circulating tumor cells (CTCs) appear to be an indication of drug response. There are many patients with metastatic breast cancer who do not have measurable disease, so it is not possible to measure drug response. However, if they enter a study with elevated CTCs, then a reduction in this marker might be interpreted similarly to a response in a measurable tumor. This has not been done yet, but I think we have enough evidence to suggest that we can use CTCs in this way. Certainly there are caveats to this approach, but nonetheless, these markers may provide an indication of whether or not the treatment is working.\n\nH&O What are some recent studies of interest?\n\nDH There are several interesting tumor marker–driven breast cancer trials currently ongoing in North America. Ki67, a marker of proliferation, provides another example of using a tumor marker as a surrogate endpoint. At the 2010 San Antonio Breast Cancer Symposium, Dr. Matthew Ellis presented an exciting follow-up study. In 2008, Dr. Ellis and colleagues looked at patients with S receptor–positive breast cancer who were given 4 months of endocrine therapy before surgery. They then used Ki 67, along with other characteristics of the residual tumor (such as tumor size, lymph node status, and ER status) to calculate a postoperative endocrine prognostic index (PEPI) score. This PEPI score predicted relapse-free survival in this study. Dr. Ellis and his colleagues in the American College of Surgeons Oncology Group are following up this observation in ongoing studies to further determine how best to use the PEPI score in ER-positive patients who undergo neoadjuvant endocrine therapy.\n\nIn another NABCG study led by SWOG, we are prospectively testing the clinical utility of using the 21 gene RS assay in node-positive patients. We are opening a new trial in women who are node-positive and ER-positive, with a low RS. These women will be given\n\nSWOG is currently conducting an ongoing trial evaluating CTCs (S0500, led by Dr. Jeffrey Smerage). In this study, metastatic breast cancer patients are being given 1 cycle of first-line chemotherapy, and if their CTC levels drop below 5 CTC/7.5 mL whole blood, it is assumed that treatment is working and it is therefore continued. If the CTC levels have not dropped, this suggests that the therapy is wrong for that patient. These patients are randomly assigned to switching therapy immediately or staying on the therapy they were originally assigned until there is classic evidence of progression. At present, we have 80 patients and are still accruing.\n\nanti-estrogen therapy and will be randomly assigned to chemotherapy or no chemotherapy to determine if our preliminary results, discussed above, can be validated. The standard of care for node-positive patients is chemotherapy, because they have a worse prognosis, but as discussed earlier, chemotherapy may not work in patients who are node-positive and ER-positive and have a low RS. This study will examine whether this group of patients is being overtreated just because they have a worse prognosis.\n\nThe field of pharmacogenetics is less well established, but has lately gained great interest. Pharmacogenetics is the study of whether inherited, germline single nucleotide polymorphisms in genes responsible for drug metabolism, distribution, or activity influence patient outcomes. For example, individuals born with inactivating mutations of both alleles of CYP2D6 are unable to convert codeine to its active metabolite, morphine. Thus, these patients should receive an alternative analgesic. At present, there are no pharmacogenetic markers that have validated clinical utility for agents used to treat adult malignancies, but several studies are ongoing to address this important area.\n\nIn addition to the circulating and tissue-based markers that have been discussed, there has been an increasing interest in inherited, germline genetic markers that may affect, and perhaps predict, susceptibility to a disease and, as more recently studied, effects from therapy. For example, it is now well established that women who harbor inherited abnormalities in BRCA1 and BRCA2 have a very high risk of developing new breast and ovarian cancers. These genes have clinical utility, since several studies have demonstrated that prophylactic surgery reduces the odds of developing, and dying from, new cancers.\n\nSuggested Readings\n\nAlbain KS, Barlow WE, Shak S, et al. Prognostic and predictive value of the 21-gene recurrence score assay in postmenopausal women with node-positive, oestrogen-receptor-positive breast cancer on chemotherapy: a retrospective analysis of a randomised trial. Lancet Oncol. 2010;11:55-65.\n\nEllis MJ, Buzdar A, Unzeitig GW, et al. ACOSOG Z1031: a randomized phase II trial comparing exemestane, letrozole, and anastrozole in postmenopausal women with clinical stage II/III estrogen receptor-positive breast cancer. J Clin Oncol (ASCO Annual Meeting Abstracts). 2010;28(18 suppl). Abstract LBA513.\n\nEllis MJ, Tao Y, Luo J, et al. Outcome prediction for estrogen receptor–positive breast cancer based on postneoadjuvant endocrine therapy tumor characteristics. J Natler Inst. 2008;100:1380-1388.\n\nSimon RM, Paik S, Hayes DF. Use of archived specimens in evaluation of prognostic and predictive biomarkers. J Natl Cancer Inst. 2009:101:1446-1452.\n\nHenry NL, Hayes DF. Uses and abuses of tumor markers in the diagnosis, monitoring, and treatment of primary and metastatic breast cancer. Oncologist. 2006;11:541-552.\n\nHayes DF, Smerage J. Is there a role for circulating tumor cells in the management of breast cancer? Clin Cancer Res. 2008;14:3646-3650.\n\nPaik S, Shak S, Tang G, et al. A multigene assay to predict recurrence of tamoxifentreated, node-negative breast cancer. N Engl J Med. 2004;351:2817-2826.\n</text>\n", "role": "user" }, { "content": "tive; in this case, HER2 was used to select patients who were most likely to respond to trastuzumab treatment.", "role": "assistant" } ]
Deerfield Insurance Company Evanston Insurance Company Essex Insurance Company Markel American Insurance Company Markel Insurance Company Associated International Insurance Company DataBreach SM APPLICATION FOR DATA BREACH AND PRIVACY LIABILITY, DATA BREACH LOSS TO INSURED AND ELECTRONIC MEDIA LIABILITY INSURANCE Notice: The liability coverage(s) for which application is made: (1) applies only to "Claims" first made during the "Policy Period" and reported to the Company during the "Policy Period" or within sixty days after the expiration of the "Policy Period", unless the Extended Reporting Period is exercised; and (2) the limits of liability shall be reduced by "Claim Expenses" and "Claim Expenses" shall be applied against the deductible. Please read the policy carefully. If space is insufficient to answer any question fully, attach a separate sheet. If response is none, state NONE. % % I. GENERAL INFORMATION 1. (a) Full Name of Applicant: (b) Principal business premise address: (Street) (County) (City) (State) (Zip) (c) Phone Number: (d) Date formed/organized (MM/DD/YYYY): (e) Business is a: [ ] corporation [ ] partnership [ ] individual [ ] other (f) Website(s): 2. Describe in detail the Applicant's business operations: 3. Does the Applicant use internal staff or an outside service provider to manage its IT systems? ............................................................................................................................................... [ ] Internal [ ] Outside (a) If outside service provider, provide name of organization: 4. How many individual offices/locations does the Applicant have? II. OPERATIONS AND BUSINESS FUNCTIONS 1. Applicant's annual gross revenues: Total (including E- Commerce) E-Commerce Only (a) Estimated annual gross revenues for the coming year: $ $ (b) For the past twelve (12) months: $ $ 2. Applicant's annual transactions: Credit/Debit Card Total E-Commerce (a) Estimated annual transactions for the coming year: % (b) For the past twelve (12) months: % 3. Number of employees including principals and independent contractors: Full-time Part-time Seasonal/Temporary Independent Contractors 4. Number of individual devices the Applicant has deployed: Servers Desktops Laptops Mobile Phones/Devices 5. Does the Applicant handle sensitive data for any of the following: Transmit/Receive Store (a) Credit Cards/Debit Cards? [ ] Yes [ ] No ....................[ ] Yes [ ] No (b) Financial/Banking Information? [ ] Yes [ ] No ....................[ ] Yes [ ] No (c) Medical Information (PHI)? [ ] Yes [ ] No ....................[ ] Yes [ ] No (d) Social Security Numbers or National Identification Numbers? [ ] Yes [ ] No ....................[ ] Yes [ ] No (e) Other (specify) [ ] Yes [ ] No ....................[ ] Yes [ ] No 6. Indicate the number of sensitive data records the Applicant stores currently: [ ] None [ ] 1 to 50,000 [ ] 50,001 to 100,000........................................ [ ] 100,001 to 150,000 [ ] 150,001 or more; estimate number of records: 7. Does the Applicant use an outside vendor or service provider to process or store sensitive information? ................................................................................................................................. [ ] Yes [ ] No (a) If Yes, provide name of organization and details: III. SECURITY INCIDENT AND LOSS HISTORY 1. Has the Applicant at any time during the past three (3) years had any incidents, claims or suits including embezzlement, fraud, theft of proprietary information, theft or loss of laptops, denial of involving unauthorized access, intrusion, breach, compromise or misuse of the Applicant's network, service, electronic vandalism or sabotage, computer virus or other incident?.........................................[ ] Yes [ ] No If Yes, attach full details including a description of each incident, claim or suit and the cause, internal costs, cost to third parties, recovery time and steps taken to mitigate future exposure. 2. Is the Applicant or any of its principals, partners, officers, directors, trustees, managers, managing members, or employees, its predecessors, subsidiaries, affiliates or any other persons or organizations proposed for this insurance aware of any fact, circumstance, situation or incident related to the Applicant's network which might give rise to a loss or a claim? .............................................................[ ] Yes [ ] No (a) If Yes, provide full details: 3. Has any application for similar insurance made on behalf of the Applicant, its predecessors, subsidiaries, affiliates, and/or for any other person(s) or organization(s) proposed for this insurance ever been declined, cancelled or nonrenewed?....................................................................................................................[ ] Yes [ ] No (a) If Yes, provide full details: 4. Has the Applicant at any time during the past three (3) years had any incidents, claims or suits involving the following and/or is the Applicant aware of any fact, circumstance, situation or incident related to the following which might give rise to a claim: (a) Infringement of copyright, trademark, trade dress, rights of privacy or rights of publicity? .............[ ] Yes [ ] No (b) Libel, slander or other form of disparagement, arising out the Applicant's web site or other electronic media? ........................................................................................................................[ ] Yes [ ] No If Yes, to either of the above provide full details: IV. IT SYSTEM SECURITY By attachment provide explanation of any No response. If an outside service provider is used to manage the Applicant's IT System, please consult with such outside service provider when completing these questions. A. Risk Management & Security Policy 1. Does the Applicant have: (a) an Executive Risk Committee that provides information security and data oversight?...................[ ] Yes [ ] No (b) written information security policies and procedures that are reviewed annually?.........................[ ] Yes [ ] No MADB 5001 02 11 Page 2 of 6 Total 2. Does the Applicant perform risk assessments prior to conducting business with external software companies or service providers?...........................................................................................................[ ] Yes [ ] No 3. How often does the Applicant conduct risk assessments? ........ [ ] None [ ] Quarterly [ ] Bi-annually [ ] Annually B. Information Security Organization and Asset Management 1. Does the Applicant have a dedicated senior manager responsible for Information Security and Privacy? ................................................................................................................................ [ ] Yes [ ] No (a) If Yes, provide Name and Title: (b) If No, (i) Who is responsible? (ii) Is the person responsible an: [ ] Internal Resource [ ] External Resource 2. Does the Applicant have a written program to manage the lifecycle of its IT assets and sensitive data? ............................................................................................................................................................[ ] Yes [ ] No C. Human Resources and Physical Security 1. Does the Applicant perform background checks on all employees and contractors with access to portions of its network that contain sensitive data?................................................................................[ ] Yes [ ] No 2. How often does the Applicant conduct information security awareness training? [ ] Never [ ] Monthly [ ] Quarterly [ ] Bi-Annually [ ] Annually 3. Does the Applicant have a process to delete systems access after employee termination? ............................................................................................................[ ] Yes < 48 hours [ ] Yes > 48 hours [ ] No 4. Is access to equipment, such as servers, workstations and storage media including paper records, containing sensitive information physically protected? .........................................................................[ ] Yes [ ] No (a) If Yes, how is it physically controlled? [ ] Areas open to employees only [ ] Role based access controls D. Communications and Operations Management 1. Does the Applicant have a written security patch management process implemented?..........................[ ] Yes [ ] No (a) If Yes, how are security patch notifications from its major systems vendors handled? [ ] No automatic notice [ ] Automatic notice (where available) and implemented in more than 30 days [ ] Automatic notice (where available) implemented in 30 days or less 2. Does the Applicant have anti-virus, anti-spyware and anti-malware software installed?[ ] Yes [ ] No (a) If Yes, check all that apply: [ ] On all desktop and laptop computers with automatic updates [ ] On all server computers with automatic updates [ ] Scanning of all incoming email [ ] Scanning of all web browsing 3. Does the Applicant implement firewalls and other security appliances between the Internet and sensitive data?....................................................................................................................................[ ] Yes [ ] No 4. Does the Applicant have standards in place to ensure that all devices on its network are securely configured? ............................................................................................................. [ ] Yes [ ] No (a) If Yes, which of the following applies: [ ] Change default administrative passwords [ ] Implement appropriate security settings and standards [ ] Remove unneeded services 5. Are security alerts from an intrusion detection or intrusion prevention system (IDS/IPS) continuously monitored and are the latest IDS/IPS signatures installed regularly?....................................................[ ] Yes [ ] No 6. Does the Applicant store sensitive information on any of the following media? If Yes, is it encrypted? Sensitive Data Encrypted (a) Laptop hard drives?........................................................ [ ] Yes [ ] No....................................[ ] Yes [ ] No (b) PDA's / other mobile devices?........................................ [ ] Yes [ ] No....................................[ ] Yes [ ] No (c) Flash drives or other portable storage devices?.............. [ ] Yes [ ] No....................................[ ] Yes [ ] No (d) Back-up tapes? .............................................................. [ ] Yes [ ] No....................................[ ] Yes [ ] No (e) Internet connected web servers?.................................... [ ] Yes [ ] No....................................[ ] Yes [ ] No (f) Databases, audit logs, files on servers?.......................... [ ] Yes [ ] No....................................[ ] Yes [ ] No [ ] N/A (g) Email?............................................................................ [ ] Yes [ ] No....................................[ ] Yes [ ] No 7. Does the Applicant ensure sensitive data is permanently removed (e.g., degaussing, overwriting with 1's and 0's, physical destruction but not merely deleting) from hard drives and other storage media before equipment is discarded or sold and from paper records prior to disposal? ..................................[ ] Yes [ ] No (a) If Yes, how is data permanently removed? [ ] Paper records with sensitive data shredded [ ] Data permanently removed before equipment sold or discarded E. Access Control 1. How does the Applicant limit access to its IT Systems: [ ] No controls or use shared log on ID's [ ] Unique user ID's [ ] Unique user ID's and role based access to sensitive data 2. Does the Applicant secure remote access to its IT systems? ................................. [ ] Yes [ ] No (a) If Yes, how does the Applicant secure remote access? [ ] ID/password only [ ] VPN or equivalent [ ] VPN or equivalent with two factor authentication 3. Does the Applicant require minimum security standards (anti-virus, firewall, etc.) for all computers used to access its network remotely? ..................................................................................................[ ] Yes [ ] No 4. Does the Applicant have written security policies and procedures for mobile devices, including personal devices, if they are connected to the Applicant's network?.....................................................[ ] Yes [ ] No 5. Does the Applicant have wireless networks deployed? ........................................................................[ ] Yes [ ] No If Yes, (a) Are all wireless access points to the Applicant's network encrypted with WPA/WPA2 or more recent standard (e.g., not unencrypted or using WEP standard)?.................................................[ ] Yes [ ] No (b) Is there a firewall between all wireless access points and the parts of the Applicant's network on which sensitive information is stored?..........................................................................................[ ] Yes [ ] No F. Information Systems Management and Development 1. Does the Applicant have a Systems Development Lifecycle (SDLC) in place for specifying, building/acquiring, testing, implementing and maintaining its IT systems with information security built into the process?....................... ............................................................................... [ ] Yes [ ] No 2. Is a vulnerability scan or penetration test performed on all Internet-facing applications and systems before they go into production and at least quarterly thereafter?.............................. [ ] Yes [ ] No 3. Are all sessions where sensitive data is entered encrypted with a Secure Socket Layer (SSL)?[ ] Yes [ 4. Does the Applicant implement secure coding standards based on best practices to defend against known security issues (Cross Site Scripting, SQL Injection, etc.) for all applications that the Applicant develops in-house? .................................................................................... [ ] N/A [ ] Yes [ ] No G. Incident Management and Compliance 1. Does the Applicant have a written incident management response plan?................ [ ] Yes [ ] No 2. Is the Applicant certified as complying with the following security requirements: (a) Payment Card Industry (PCI/DSS)? (i) If Yes, provide the name of the individual or outside organization which certified the Applicant and the date of the last PCI audit. (b) HIPAA/HITECH?................................ [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date: (c) GLBA? ............................................... [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date: (d) Red Flags Rules?............................... [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date: (e) Sarbanes-Oxley?................................ [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date: 3. Are annual or more frequent internal/external audit reviews performed on the Applicant's network? ......[ ] Yes [ ] No (a) If Yes, attach a copy of the last examination/audit of the Applicant's network operations, security and internal control procedures. H. Data Breach Loss to Insured Coverage Check if coverage not requested. [ ] 1. Are alternative facilities available in the event of a shutdown/failure of the Applicant's network? ............[ ] Yes [ ] No 2. Does the Applicant have written procedures for routine backups and maintain proof of backups?..........[ ] Yes [ ] No 3. Are key data and software code stored: (a) on redundant storage device? .....................................................................................................[ ] Yes [ ] No (b) at secured offsite storage? ..........................................................................................................[ ] Yes [ ] No I. Electronic Media Liability Coverage Check if coverage not requested. [ ] 1. Does the Applicant conduct prior review of any content, including (if applicable), blogs, for copyright infringement, trademark infringement, libel or slander, violation of rights of privacy or publicity?...........[ ] Yes [ ] No (a) If Yes, who is responsible for reviews (internal counsel, outside counsel, etc.)? 2. Does the Applicant have take down procedure to comply with DMCA safe harbor provisions if hosting content posted by third parties on their servers or web site? ................................................... [ ] NA [ ] Yes [ ] No 3. Does the Applicant obtain clear rights to intellectual property (IP) supplied by third parties if such IP is displayed on their web site? ................................................................................................................[ ] Yes [ ] No 4. Does the Applicant use the names or likeness of any celebrities or other public figures on their web site?.............................................................................................................................................[ ] Yes [ ] No V. PRIOR AND OTHER INSURANCE 1. List current and prior Cyber Liability or Cyber Security Insurance for each of the last three (3) years: If None, check here [ ] InceptionExpiration Dates (MM/DD/YYYY) Insurance Company Limits of Liability Retroactive/ Prior Acts Date Deductible Premium 2. Provide the following insurance information: Expiration Date Insurer Limit Deductible A. General Liability: B. Professional Liability: NOTICE TO THE APPLICANT - PLEASE READ CAREFULLY No fact, circumstance, situation or incident indicating the probability of a claim, loss or action for which coverage may be afforded by the proposed insurance is now known by any person(s) or entity(ies) proposed for this insurance other than that which is disclosed in this application. It is agreed by all concerned that if there be knowledge of any such fact, circumstance, situation or incident any claim subsequently emanating therefrom shall be excluded from coverage under the proposed insurance. This application, information submitted with this application and all previous applications and material changes thereto of which the underwriting manager, Company and/or affiliates thereof receives notice is on file with the underwriting manager, Company and/or affiliates thereof and is considered physically attached to and part of the policy if issued. The underwriting manager, Company and/or affiliates thereof will have relied upon this application and all such attachments in issuing the policy. For the purpose of this application, the undersigned authorized agent of the person(s) and entity(ies) proposed for this insurance declares that to the best of his/her knowledge and belief, after reasonable inquiry, the statements in this application and in any attachments, are true and complete. The underwriting manager, Company and/or affiliates thereof are authorized to make any inquiry in connection with this application. Signing this application does not bind the Company to provide or the Applicant to purchase the insurance. If the information in this application or any attachment materially changes between the date this application is signed and the effective date of the policy, the Applicant will promptly notify the underwriting manager, Company and/or affiliates thereof, who may modify or withdraw any outstanding quotation or agreement to bind coverage. The undersigned declares that the person(s) and entity(ies) proposed for this insurance understand that the liability coverage(s) for which this application is made apply(ies): (i) Only to "Claims" first made during the "Policy Period" and reported to the Company during the "Policy Period" or within sixty days after the expiration date of the "Policy Period," unless the extended reporting period is exercised. If the extended reporting period is exercised, the policy shall also apply to "Claims" first made during the extended reporting period and reported to the Company during the extended reporting period or within sixty days after the expiration of the extended reporting period; (ii) The limits of liability contained in the policy shall be reduced, and may be completely exhausted by "Claim Expenses" and, in such event, the Company will not be liable for "Claim Expenses" or the amount of any judgment or settlement to the extent that such costs exceed the limits of liability in the policy; and (iii) "Claim Expenses" shall be applied against the "Deductible". WARRANTY I/We warrant to the Company, that I/We understand and accept the notice stated above and that the information contained herein is true and that it shall be the basis of the policy and deemed incorporated therein, should the Company evidence its acceptance of this application by issuance of a policy. I/We authorize the release of claim information from any prior insurer to the underwriting manager, Company and/or affiliates thereof. Note: This application is signed by the undersigned authorized agent of the Applicant(s) on behalf of the Applicant(s) and its, owners, partners, directors, officers and employees. Must be signed by director, executive officer, partner or equivalent within 60 days of the proposed effective date. Name of Applicant Title Signature of Applicant Date Notice to Applicants: Any person who knowingly and with intent to defraud any insurance company or other person files an application for insurance or statement of claim containing any materially false information or conceals for the purpose of misleading, information concerning any fact material thereto, commits a fraudulent insurance act, which is a crime and subjects the person to criminal and civil penalties.	<urn:uuid:cd0e33c6-e216-4cd3-bb1a-5f547fa48db2>	CC-MAIN-2023-40	https://www.neitclem.com/_files/ugd/0a555f_b50985b9137042ce8fdb354c22848d6f.pdf	2023-09-28T03:58:13+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-40/subset=warc/part-00096-7aa0a1e5-33a6-434b-89a2-950f294b40c1.c000.gz.parquet	1,000,557,518	4,430	eng_Latn	eng_Latn	0.936855	eng_Latn	0.959648	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2095, 6391, 10780, 15282, 19562, 22494 ]	Deerfield Insurance Company Evanston Insurance Company Essex Insurance Company Markel American Insurance Company Markel Insurance Company Associated International Insurance Company DataBreach SM APPLICATION FOR DATA BREACH AND PRIVACY LIABILITY, DATA BREACH LOSS TO INSURED AND ELECTRONIC MEDIA LIABILITY INSURANCE Notice: The liability coverage(s) for which application is made: (1) applies only to "Claims" first made during the "Policy Period" and reported to the Company during the "Policy Period" or within sixty days after the expiration of the "Policy Period", unless the Extended Reporting Period is exercised; and (2) the limits of liability shall be reduced by "Claim Expenses" and "Claim Expenses" shall be applied against the deductible. Please read the policy carefully. If space is insufficient to answer any question fully, attach a separate sheet. If response is none, state NONE. % % I. GENERAL INFORMATION 1. (a) Full Name of Applicant: (b) Principal business premise address: (Street) (County) (City) (State) (Zip) (c) Phone Number: (d) Date formed/organized (MM/DD/YYYY): (e) Business is a: [ ] corporation [ ] partnership [ ] individual [ ] other (f) Website(s): 2. Describe in detail the Applicant's business operations: 3. Does the Applicant use internal staff or an outside service provider to manage its IT systems? ............................................................................................................................................... [ ] Internal [ ] Outside (a) If outside service provider, provide name of organization: 4. How many individual offices/locations does the Applicant have? II. OPERATIONS AND BUSINESS FUNCTIONS 1. Applicant's annual gross revenues: Total (including E- Commerce) E-Commerce Only (a) Estimated annual gross revenues for the coming year: $ $ (b) For the past twelve (12) months: $ $ 2. Applicant's annual transactions: Credit/Debit Card Total E-Commerce (a) Estimated annual transactions for the coming year: % (b) For the past twelve (12) months: % 3. Number of employees including principals and independent contractors: Full-time Part-time Seasonal/Temporary Independent Contractors 4. Number of individual devices the Applicant has deployed: Servers Desktops Laptops Mobile Phones/Devices 5. Does the Applicant handle sensitive data for any of the following: Transmit/Receive Store (a) Credit Cards/Debit Cards? [ ] Yes [ ] No ....................[ ] Yes [ ] No (b) Financial/Banking Information? [ ] Yes [ ] No ....................[ ] Yes [ ] No (c) Medical Information (PHI)? [ ] Yes [ ] No ....................[ ] Yes [ ] No (d) Social Security Numbers or National Identification Numbers? [ ] Yes [ ] No ....................[ ] Yes [ ] No (e) Other (specify) [ ] Yes [ ] No ....................[ ] Yes [ ] No 6. Indicate the number of sensitive data records the Applicant stores currently: [ ] None [ ] 1 to 50,000 [ ] 50,001 to 100,000........................................ [ ] 100,001 to 150,000 [ ] 150,001 or more; estimate number of records: 7. Does the Applicant use an outside vendor or service provider to process or store sensitive information? ................................................................................................................................. [ ] Yes [ ] No (a) If Yes, provide name of organization and details: III. SECURITY INCIDENT AND LOSS HISTORY 1. Has the Applicant at any time during the past three (3) years had any incidents, claims or suits including embezzlement, fraud, theft of proprietary information, theft or loss of laptops, denial of involving unauthorized access, intrusion, breach, compromise or misuse of the Applicant's network, service, electronic vandalism or sabotage, computer virus or other incident?.........................................[ ] Yes [ ] No If Yes, attach full details including a description of each incident, claim or suit and the cause, internal costs, cost to third parties, recovery time and steps taken to mitigate future exposure. 2. Is the Applicant or any of its principals, partners, officers, directors, trustees, managers, managing members, or employees, its predecessors, subsidiaries, affiliates or any other persons or organizations proposed for this insurance aware of any fact, circumstance, situation or incident related to the Applicant's network which might give rise to a loss or a claim? .............................................................[ ] Yes [ ] No (a) If Yes, provide full details: 3. Has any application for similar insurance made on behalf of the Applicant, its predecessors, subsidiaries, affiliates, and/or for any other person(s) or organization(s) proposed for this insurance ever been declined, cancelled or nonrenewed?....................................................................................................................[ ] Yes [ ] No (a) If Yes, provide full details: 4. Has the Applicant at any time during the past three (3) years had any incidents, claims or suits involving the following and/or is the Applicant aware of any fact, circumstance, situation or incident related to the following which might give rise to a claim: (a) Infringement of copyright, trademark, trade dress, rights of privacy or rights of publicity? .............[ ] Yes [ ] No (b) Libel, slander or other form of disparagement, arising out the Applicant's web site or other electronic media? ........................................................................................................................[ ] Yes [ ] No If Yes, to either of the above provide full details: IV. IT SYSTEM SECURITY By attachment provide explanation of any No response. If an outside service provider is used to manage the Applicant's IT System, please consult with such outside service provider when completing these questions. A. Risk Management & Security Policy 1. Does the Applicant have: (a) an Executive Risk Committee that provides information security and data oversight?...................[ ] Yes [ ] No (b) written information security policies and procedures that are reviewed annually?.........................[ ] Yes [ ] No MADB 5001 02 11 Page 2 of 6 Total 2. Does the Applicant perform risk assessments prior to conducting business with external software companies or service providers?...........................................................................................................[ ] Yes [ ] No 3. How often does the Applicant conduct risk assessments? ........ [ ] None [ ] Quarterly [ ] Bi-annually [ ] Annually B. Information Security Organization and Asset Management 1. Does the Applicant have a dedicated senior manager responsible for Information Security and Privacy? ................................................................................................................................ [ ] Yes [ ] No (a) If Yes, provide Name and Title: (b) If No, (i) Who is responsible? (ii) Is the person responsible an: [ ] Internal Resource [ ] External Resource 2. Does the Applicant have a written program to manage the lifecycle of its IT assets and sensitive data? ............................................................................................................................................................[ ] Yes [ ] No C. Human Resources and Physical Security 1. Does the Applicant perform background checks on all employees and contractors with access to portions of its network that contain sensitive data?................................................................................[ ] Yes [ ] No 2. How often does the Applicant conduct information security awareness training? [ ] Never [ ] Monthly [ ] Quarterly [ ] Bi-Annually [ ] Annually 3. Does the Applicant have a process to delete systems access after employee termination? ............................................................................................................[ ] Yes < 48 hours [ ] Yes > 48 hours [ ] No 4. Is access to equipment, such as servers, workstations and storage media including paper records, containing sensitive information physically protected? .........................................................................[ ] Yes [ ] No (a) If Yes, how is it physically controlled? [ ] Areas open to employees only [ ] Role based access controls D. Communications and Operations Management 1. Does the Applicant have a written security patch management process implemented?..........................[ ] Yes [ ] No (a) If Yes, how are security patch notifications from its major systems vendors handled? [ ] No automatic notice [ ] Automatic notice (where available) and implemented in more than 30 days [ ] Automatic notice (where available) implemented in 30 days or less 2. Does the Applicant have anti-virus, anti-spyware and anti-malware software installed?[ ] Yes [ ] No (a) If Yes, check all that apply: [ ] On all desktop and laptop computers with automatic updates [ ] On all server computers with automatic updates [ ] Scanning of all incoming email [ ] Scanning of all web browsing 3. Does the Applicant implement firewalls and other security appliances between the Internet and sensitive data?....................................................................................................................................[ ] Yes [ ] No 4. Does the Applicant have standards in place to ensure that all devices on its network are securely configured? ............................................................................................................. [ ] Yes [ ] No (a) If Yes, which of the following applies: [ ] Change default administrative passwords [ ] Implement appropriate security settings and standards [ ] Remove unneeded services 5. Are security alerts from an intrusion detection or intrusion prevention system (IDS/IPS) continuously monitored and are the latest IDS/IPS signatures installed regularly?....................................................[ ] Yes [ ] No 6. Does the Applicant store sensitive information on any of the following media? If Yes, is it encrypted? Sensitive Data Encrypted (a) Laptop hard drives?........................................................ [ ] Yes [ ] No....................................[ ] Yes [ ] No (b) PDA's / other mobile devices?........................................ [ ] Yes [ ] No....................................[ ] Yes [ ] No (c) Flash drives or other portable storage devices?.............. [ ] Yes [ ] No....................................[ ] Yes [ ] No (d) Back-up tapes? .............................................................. [ ] Yes [ ] No....................................[ ] Yes [ ] No (e) Internet connected web servers?.................................... [ ] Yes [ ] No....................................[ ] Yes [ ] No (f) Databases, audit logs, files on servers?.......................... [ ] Yes [ ] No....................................[ ] Yes [ ] No [ ] N/A (g) Email?............................................................................ [ ] Yes [ ] No....................................[ ] Yes [ ] No 7. Does the Applicant ensure sensitive data is permanently removed (e.g., degaussing, overwriting with 1's and 0's, physical destruction but not merely deleting) from hard drives and other storage media before equipment is discarded or sold and from paper records prior to disposal? ..................................[ ] Yes [ ] No (a) If Yes, how is data permanently removed? [ ] Paper records with sensitive data shredded [ ] Data permanently removed before equipment sold or discarded E. Access Control 1. How does the Applicant limit access to its IT Systems: [ ] No controls or use shared log on ID's [ ] Unique user ID's [ ] Unique user ID's and role based access to sensitive data 2. Does the Applicant secure remote access to its IT systems? ................................. [ ] Yes [ ] No (a) If Yes, how does the Applicant secure remote access? [ ] ID/password only [ ] VPN or equivalent [ ] VPN or equivalent with two factor authentication 3. Does the Applicant require minimum security standards (anti-virus, firewall, etc.) for all computers used to access its network remotely? ..................................................................................................[ ] Yes [ ] No 4. Does the Applicant have written security policies and procedures for mobile devices, including personal devices, if they are connected to the Applicant's network?.....................................................[ ] Yes [ ] No 5. Does the Applicant have wireless networks deployed? ........................................................................[ ] Yes [ ] No If Yes, (a) Are all wireless access points to the Applicant's network encrypted with WPA/WPA2 or more recent standard (e.g., not unencrypted or using WEP standard)?.................................................[ ] Yes [ ] No (b) Is there a firewall between all wireless access points and the parts of the Applicant's network on which sensitive information is stored?..........................................................................................[ ] Yes [ ] No F. Information Systems Management and Development 1. Does the Applicant have a Systems Development Lifecycle (SDLC) in place for specifying, building/acquiring, testing, implementing and maintaining its IT systems with information security built into the process?....................... ............................................................................... [ ] Yes [ ] No 2. Is a vulnerability scan or penetration test performed on all Internet-facing applications and systems before they go into production and at least quarterly thereafter?.............................. [ ] Yes [ ] No 3. Are all sessions where sensitive data is entered encrypted with a Secure Socket Layer (SSL)?[ ] Yes [ 4. Does the Applicant implement secure coding standards based on best practices to defend against known security issues (Cross Site Scripting, SQL Injection, etc.) for all applications that the Applicant develops in-house? .................................................................................... [ ] N/A [ ] Yes [ ] No G. Incident Management and Compliance 1. Does the Applicant have a written incident management response plan?................ [ ] Yes [ ] No 2. Is the Applicant certified as complying with the following security requirements: (a) Payment Card Industry (PCI/DSS)? (i) If Yes, provide the name of the individual or outside organization which certified the Applicant and the date of the last PCI audit. (b) HIPAA/HITECH?................................ [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date: (c) GLBA? ............................................... [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date: (d) Red Flags Rules?............................... [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date: (e) Sarbanes-Oxley?................................ [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date: 3. Are annual or more frequent internal/external audit reviews performed on the Applicant's network? ......[ ] Yes [ ] No (a) If Yes, attach a copy of the last examination/audit of the Applicant's network operations, security and internal control procedures. H. Data Breach Loss to Insured Coverage Check if coverage not requested. [ ] 1. Are alternative facilities available in the event of a shutdown/failure of the Applicant's network? ............[ ] Yes [ ] No 2. Does the Applicant have written procedures for routine backups and maintain proof of backups?..........[ ] Yes [ ] No 3. Are key data and software code stored: (a) on redundant storage device? .....................................................................................................[ ] Yes [ ] No (b) at secured offsite storage? ..........................................................................................................[ ] Yes [ ] No I. Electronic Media Liability Coverage Check if coverage not requested. [ ] 1. Does the Applicant conduct prior review of any content, including (if applicable), blogs, for copyright infringement, trademark infringement, libel or slander, violation of rights of privacy or publicity?...........[ ] Yes [ ] No (a) If Yes, who is responsible for reviews (internal counsel, outside counsel, etc.)? 2. Does the Applicant have take down procedure to comply with DMCA safe harbor provisions if hosting content posted by third parties on their servers or web site? ................................................... [ ] NA [ ] Yes [ ] No 3. Does the Applicant obtain clear rights to intellectual property (IP) supplied by third parties if such IP is displayed on their web site? ................................................................................................................[ ] Yes [ ] No 4. Does the Applicant use the names or likeness of any celebrities or other public figures on their web site?.............................................................................................................................................[ ] Yes [ ] No V. PRIOR AND OTHER INSURANCE 1. List current and prior Cyber Liability or Cyber Security Insurance for each of the last three (3) years: If None, check here [ ] InceptionExpiration Dates (MM/DD/YYYY) Insurance Company Limits of Liability Retroactive/ Prior Acts Date Deductible Premium 2. Provide the following insurance information: Expiration Date Insurer Limit Deductible A. General Liability: B. Professional Liability: NOTICE TO THE APPLICANT - PLEASE READ CAREFULLY No fact, circumstance, situation or incident indicating the probability of a claim, loss or action for which coverage may be afforded by the proposed insurance is now known by any person(s) or entity(ies) proposed for this insurance other than that which is disclosed in this application. It is agreed by all concerned that if there be knowledge of any such fact, circumstance, situation or incident any claim subsequently emanating therefrom shall be excluded from coverage under the proposed insurance. This application, information submitted with this application and all previous applications and material changes thereto of which the underwriting manager, Company and/or affiliates thereof receives notice is on file with the underwriting manager, Company and/or affiliates thereof and is considered physically attached to and part of the policy if issued. The underwriting manager, Company and/or affiliates thereof will have relied upon this application and all such attachments in issuing the policy. For the purpose of this application, the undersigned authorized agent of the person(s) and entity(ies) proposed for this insurance declares that to the best of his/her knowledge and belief, after reasonable inquiry, the statements in this application and in any attachments, are true and complete. The underwriting manager, Company and/or affiliates thereof are authorized to make any inquiry in connection with this application. Signing this application does not bind the Company to provide or the Applicant to purchase the insurance. If the information in this application or any attachment materially changes between the date this application is signed and the effective date of the policy, the Applicant will promptly notify the underwriting manager, Company and/or affiliates thereof, who may modify or withdraw any outstanding quotation or agreement to bind coverage. The undersigned declares that the person(s) and entity(ies) proposed for this insurance understand that the liability coverage(s) for which this application is made apply(ies): (i) Only to "Claims" first made during the "Policy Period" and reported to the Company during the "Policy Period" or within sixty days after the expiration date of the "Policy Period," unless the extended reporting period is exercised. If the extended reporting period is exercised, the policy shall also apply to "Claims" first made during the extended reporting period and reported to the Company during the extended reporting period or within sixty days after the expiration of the extended reporting period; (ii) The limits of liability contained in the policy shall be reduced, and may be completely exhausted by "Claim Expenses" and, in such event, the Company will not be liable for "Claim Expenses" or the amount of any	judgment or settlement to the extent that such costs exceed the limits of liability in the policy; and (iii) "Claim Expenses" shall be applied against the "Deductible".		21,107	beginning_of_word	judgment	remove_all	<url> https://www.neitclem.com/_files/ugd/0a555f_b50985b9137042ce8fdb354c22848d6f.pdf </url> <text> Deerfield Insurance Company Evanston Insurance Company Essex Insurance Company Markel American Insurance Company Markel Insurance Company Associated International Insurance Company DataBreach SM APPLICATION FOR DATA BREACH AND PRIVACY LIABILITY, DATA BREACH LOSS TO INSURED AND ELECTRONIC MEDIA LIABILITY INSURANCE Notice: The liability coverage(s) for which application is made: (1) applies only to "Claims" first made during the "Policy Period" and reported to the Company during the "Policy Period" or within sixty days after the expiration of the "Policy Period", unless the Extended Reporting Period is exercised; and (2) the limits of liability shall be reduced by "Claim Expenses" and "Claim Expenses" shall be applied against the deductible. Please read the policy carefully. If space is insufficient to answer any question fully, attach a separate sheet. If response is none, state NONE. % % I. GENERAL INFORMATION 1. (a) Full Name of Applicant: (b) Principal business premise address: (Street) (County) (City) (State) (Zip) (c) Phone Number: (d) Date formed/organized (MM/DD/YYYY): (e) Business is a: [ ] corporation [ ] partnership [ ] individual [ ] other (f) Website(s): 2. Describe in detail the Applicant's business operations: 3. Does the Applicant use internal staff or an outside service provider to manage its IT systems? ............................................................................................................................................... [ ] Internal [ ] Outside (a) If outside service provider, provide name of organization: 4. How many individual offices/locations does the Applicant have? II. OPERATIONS AND BUSINESS FUNCTIONS 1. Applicant's annual gross revenues: Total (including E- Commerce) E-Commerce Only (a) Estimated annual gross revenues for the coming year: $ $ (b) For the past twelve (12) months: $ $ 2. Applicant's annual transactions: Credit/Debit Card Total E-Commerce (a) Estimated annual transactions for the coming year: % (b) For the past twelve (12) months: % 3. Number of employees including principals and independent contractors: Full-time Part-time Seasonal/Temporary Independent Contractors 4. Number of individual devices the Applicant has deployed: Servers Desktops Laptops Mobile Phones/Devices 5. Does the Applicant handle sensitive data for any of the following: Transmit/Receive Store (a) Credit Cards/Debit Cards? [ ] Yes [ ] No ....................[ ] Yes [ ] No (b) Financial/Banking Information? [ ] Yes [ ] No ....................[ ] Yes [ ] No (c) Medical Information (PHI)? [ ] Yes [ ] No ....................[ ] Yes [ ] No (d) Social Security Numbers or National Identification Numbers? [ ] Yes [ ] No ....................[ ] Yes [ ] No (e) Other (specify) [ ] Yes [ ] No ....................[ ] Yes [ ] No 6. Indicate the number of sensitive data records the Applicant stores currently: [ ] None [ ] 1 to 50,000 [ ] 50,001 to 100,000........................................ [ ] 100,001 to 150,000 [ ] 150,001 or more; estimate number of records: 7. Does the Applicant use an outside vendor or service provider to process or store sensitive information? ................................................................................................................................. [ ] Yes [ ] No (a) If Yes, provide name of organization and details: III. SECURITY INCIDENT AND LOSS HISTORY 1. Has the Applicant at any time during the past three (3) years had any incidents, claims or suits including embezzlement, fraud, theft of proprietary information, theft or loss of laptops, denial of involving unauthorized access, intrusion, breach, compromise or misuse of the Applicant's network, service, electronic vandalism or sabotage, computer virus or other incident?.........................................[ ] Yes [ ] No If Yes, attach full details including a description of each incident, claim or suit and the cause, internal costs, cost to third parties, recovery time and steps taken to mitigate future exposure. 2. Is the Applicant or any of its principals, partners, officers, directors, trustees, managers, managing members, or employees, its predecessors, subsidiaries, affiliates or any other persons or organizations proposed for this insurance aware of any fact, circumstance, situation or incident related to the Applicant's network which might give rise to a loss or a claim? .............................................................[ ] Yes [ ] No (a) If Yes, provide full details: 3. Has any application for similar insurance made on behalf of the Applicant, its predecessors, subsidiaries, affiliates, and/or for any other person(s) or organization(s) proposed for this insurance ever been declined, cancelled or nonrenewed?....................................................................................................................[ ] Yes [ ] No (a) If Yes, provide full details: 4. Has the Applicant at any time during the past three (3) years had any incidents, claims or suits involving the following and/or is the Applicant aware of any fact, circumstance, situation or incident related to the following which might give rise to a claim: (a) Infringement of copyright, trademark, trade dress, rights of privacy or rights of publicity? .............[ ] Yes [ ] No (b) Libel, slander or other form of disparagement, arising out the Applicant's web site or other electronic media? ........................................................................................................................[ ] Yes [ ] No If Yes, to either of the above provide full details: IV. IT SYSTEM SECURITY By attachment provide explanation of any No response. If an outside service provider is used to manage the Applicant's IT System, please consult with such outside service provider when completing these questions. A. Risk Management & Security Policy 1. Does the Applicant have: (a) an Executive Risk Committee that provides information security and data oversight?...................[ ] Yes [ ] No (b) written information security policies and procedures that are reviewed annually?.........................[ ] Yes [ ] No MADB 5001 02 11 Page 2 of 6 Total 2. Does the Applicant perform risk assessments prior to conducting business with external software companies or service providers?...........................................................................................................[ ] Yes [ ] No 3. How often does the Applicant conduct risk assessments? ........ [ ] None [ ] Quarterly [ ] Bi-annually [ ] Annually B. Information Security Organization and Asset Management 1. Does the Applicant have a dedicated senior manager responsible for Information Security and Privacy? ................................................................................................................................ [ ] Yes [ ] No (a) If Yes, provide Name and Title: (b) If No, (i) Who is responsible? (ii) Is the person responsible an: [ ] Internal Resource [ ] External Resource 2. Does the Applicant have a written program to manage the lifecycle of its IT assets and sensitive data? ............................................................................................................................................................[ ] Yes [ ] No C. Human Resources and Physical Security 1. Does the Applicant perform background checks on all employees and contractors with access to portions of its network that contain sensitive data?................................................................................[ ] Yes [ ] No 2. How often does the Applicant conduct information security awareness training? [ ] Never [ ] Monthly [ ] Quarterly [ ] Bi-Annually [ ] Annually 3. Does the Applicant have a process to delete systems access after employee termination? ............................................................................................................[ ] Yes < 48 hours [ ] Yes > 48 hours [ ] No 4. Is access to equipment, such as servers, workstations and storage media including paper records, containing sensitive information physically protected? .........................................................................[ ] Yes [ ] No (a) If Yes, how is it physically controlled? [ ] Areas open to employees only [ ] Role based access controls D. Communications and Operations Management 1. Does the Applicant have a written security patch management process implemented?..........................[ ] Yes [ ] No (a) If Yes, how are security patch notifications from its major systems vendors handled? [ ] No automatic notice [ ] Automatic notice (where available) and implemented in more than 30 days [ ] Automatic notice (where available) implemented in 30 days or less 2. Does the Applicant have anti-virus, anti-spyware and anti-malware software installed?[ ] Yes [ ] No (a) If Yes, check all that apply: [ ] On all desktop and laptop computers with automatic updates [ ] On all server computers with automatic updates [ ] Scanning of all incoming email [ ] Scanning of all web browsing 3. Does the Applicant implement firewalls and other security appliances between the Internet and sensitive data?....................................................................................................................................[ ] Yes [ ] No 4. Does the Applicant have standards in place to ensure that all devices on its network are securely configured? ............................................................................................................. [ ] Yes [ ] No (a) If Yes, which of the following applies: [ ] Change default administrative passwords [ ] Implement appropriate security settings and standards [ ] Remove unneeded services 5. Are security alerts from an intrusion detection or intrusion prevention system (IDS/IPS) continuously monitored and are the latest IDS/IPS signatures installed regularly?....................................................[ ] Yes [ ] No 6. Does the Applicant store sensitive information on any of the following media? If Yes, is it encrypted? Sensitive Data Encrypted (a) Laptop hard drives?........................................................ [ ] Yes [ ] No....................................[ ] Yes [ ] No (b) PDA's / other mobile devices?........................................ [ ] Yes [ ] No....................................[ ] Yes [ ] No (c) Flash drives or other portable storage devices?.............. [ ] Yes [ ] No....................................[ ] Yes [ ] No (d) Back-up tapes? .............................................................. [ ] Yes [ ] No....................................[ ] Yes [ ] No (e) Internet connected web servers?.................................... [ ] Yes [ ] No....................................[ ] Yes [ ] No (f) Databases, audit logs, files on servers?.......................... [ ] Yes [ ] No....................................[ ] Yes [ ] No [ ] N/A (g) Email?............................................................................ [ ] Yes [ ] No....................................[ ] Yes [ ] No 7. Does the Applicant ensure sensitive data is permanently removed (e.g., degaussing, overwriting with 1's and 0's, physical destruction but not merely deleting) from hard drives and other storage media before equipment is discarded or sold and from paper records prior to disposal? ..................................[ ] Yes [ ] No (a) If Yes, how is data permanently removed? [ ] Paper records with sensitive data shredded [ ] Data permanently removed before equipment sold or discarded E. Access Control 1. How does the Applicant limit access to its IT Systems: [ ] No controls or use shared log on ID's [ ] Unique user ID's [ ] Unique user ID's and role based access to sensitive data 2. Does the Applicant secure remote access to its IT systems? ................................. [ ] Yes [ ] No (a) If Yes, how does the Applicant secure remote access? [ ] ID/password only [ ] VPN or equivalent [ ] VPN or equivalent with two factor authentication 3. Does the Applicant require minimum security standards (anti-virus, firewall, etc.) for all computers used to access its network remotely? ..................................................................................................[ ] Yes [ ] No 4. Does the Applicant have written security policies and procedures for mobile devices, including personal devices, if they are connected to the Applicant's network?.....................................................[ ] Yes [ ] No 5. Does the Applicant have wireless networks deployed? ........................................................................[ ] Yes [ ] No If Yes, (a) Are all wireless access points to the Applicant's network encrypted with WPA/WPA2 or more recent standard (e.g., not unencrypted or using WEP standard)?.................................................[ ] Yes [ ] No (b) Is there a firewall between all wireless access points and the parts of the Applicant's network on which sensitive information is stored?..........................................................................................[ ] Yes [ ] No F. Information Systems Management and Development 1. Does the Applicant have a Systems Development Lifecycle (SDLC) in place for specifying, building/acquiring, testing, implementing and maintaining its IT systems with information security built into the process?....................... ............................................................................... [ ] Yes [ ] No 2. Is a vulnerability scan or penetration test performed on all Internet-facing applications and systems before they go into production and at least quarterly thereafter?.............................. [ ] Yes [ ] No 3. Are all sessions where sensitive data is entered encrypted with a Secure Socket Layer (SSL)?[ ] Yes [ 4. Does the Applicant implement secure coding standards based on best practices to defend against known security issues (Cross Site Scripting, SQL Injection, etc.) for all applications that the Applicant develops in-house? .................................................................................... [ ] N/A [ ] Yes [ ] No G. Incident Management and Compliance 1. Does the Applicant have a written incident management response plan?................ [ ] Yes [ ] No 2. Is the Applicant certified as complying with the following security requirements: (a) Payment Card Industry (PCI/DSS)? (i) If Yes, provide the name of the individual or outside organization which certified the Applicant and the date of the last PCI audit. (b) HIPAA/HITECH?................................ [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date: (c) GLBA? ............................................... [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date: (d) Red Flags Rules?............................... [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date: (e) Sarbanes-Oxley?................................ [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date: 3. Are annual or more frequent internal/external audit reviews performed on the Applicant's network? ......[ ] Yes [ ] No (a) If Yes, attach a copy of the last examination/audit of the Applicant's network operations, security and internal control procedures. H. Data Breach Loss to Insured Coverage Check if coverage not requested. [ ] 1. Are alternative facilities available in the event of a shutdown/failure of the Applicant's network? ............[ ] Yes [ ] No 2. Does the Applicant have written procedures for routine backups and maintain proof of backups?..........[ ] Yes [ ] No 3. Are key data and software code stored: (a) on redundant storage device? .....................................................................................................[ ] Yes [ ] No (b) at secured offsite storage? ..........................................................................................................[ ] Yes [ ] No I. Electronic Media Liability Coverage Check if coverage not requested. [ ] 1. Does the Applicant conduct prior review of any content, including (if applicable), blogs, for copyright infringement, trademark infringement, libel or slander, violation of rights of privacy or publicity?...........[ ] Yes [ ] No (a) If Yes, who is responsible for reviews (internal counsel, outside counsel, etc.)? 2. Does the Applicant have take down procedure to comply with DMCA safe harbor provisions if hosting content posted by third parties on their servers or web site? ................................................... [ ] NA [ ] Yes [ ] No 3. Does the Applicant obtain clear rights to intellectual property (IP) supplied by third parties if such IP is displayed on their web site? ................................................................................................................[ ] Yes [ ] No 4. Does the Applicant use the names or likeness of any celebrities or other public figures on their web site?.............................................................................................................................................[ ] Yes [ ] No V. PRIOR AND OTHER INSURANCE 1. List current and prior Cyber Liability or Cyber Security Insurance for each of the last three (3) years: If None, check here [ ] InceptionExpiration Dates (MM/DD/YYYY) Insurance Company Limits of Liability Retroactive/ Prior Acts Date Deductible Premium 2. Provide the following insurance information: Expiration Date Insurer Limit Deductible A. General Liability: B. Professional Liability: NOTICE TO THE APPLICANT - PLEASE READ CAREFULLY No fact, circumstance, situation or incident indicating the probability of a claim, loss or action for which coverage may be afforded by the proposed insurance is now known by any person(s) or entity(ies) proposed for this insurance other than that which is disclosed in this application. It is agreed by all concerned that if there be knowledge of any such fact, circumstance, situation or incident any claim subsequently emanating therefrom shall be excluded from coverage under the proposed insurance. This application, information submitted with this application and all previous applications and material changes thereto of which the underwriting manager, Company and/or affiliates thereof receives notice is on file with the underwriting manager, Company and/or affiliates thereof and is considered physically attached to and part of the policy if issued. The underwriting manager, Company and/or affiliates thereof will have relied upon this application and all such attachments in issuing the policy. For the purpose of this application, the undersigned authorized agent of the person(s) and entity(ies) proposed for this insurance declares that to the best of his/her knowledge and belief, after reasonable inquiry, the statements in this application and in any attachments, are true and complete. The underwriting manager, Company and/or affiliates thereof are authorized to make any inquiry in connection with this application. Signing this application does not bind the Company to provide or the Applicant to purchase the insurance. If the information in this application or any attachment materially changes between the date this application is signed and the effective date of the policy, the Applicant will promptly notify the underwriting manager, Company and/or affiliates thereof, who may modify or withdraw any outstanding quotation or agreement to bind coverage. The undersigned declares that the person(s) and entity(ies) proposed for this insurance understand that the liability coverage(s) for which this application is made apply(ies): (i) Only to "Claims" first made during the "Policy Period" and reported to the Company during the "Policy Period" or within sixty days after the expiration date of the "Policy Period," unless the extended reporting period is exercised. If the extended reporting period is exercised, the policy shall also apply to "Claims" first made during the extended reporting period and reported to the Company during the extended reporting period or within sixty days after the expiration of the extended reporting period; (ii) The limits of liability contained in the policy shall be reduced, and may be completely exhausted by "Claim Expenses" and, in such event, the Company will not be liable for "Claim Expenses" or the amount of any <cursor_is_here> </text>	[ { "content": "<url>\nhttps://www.neitclem.com/_files/ugd/0a555f_b50985b9137042ce8fdb354c22848d6f.pdf\n</url>\n<text>\nDeerfield Insurance Company\n\nEvanston Insurance Company\n\nEssex Insurance Company\n\nMarkel American Insurance Company\n\nMarkel Insurance Company\n\nAssociated International Insurance Company\n\nDataBreach SM\n\nAPPLICATION FOR DATA BREACH AND PRIVACY LIABILITY, DATA BREACH LOSS TO INSURED AND ELECTRONIC MEDIA LIABILITY INSURANCE\n\nNotice: The liability coverage(s) for which application is made: (1) applies only to \"Claims\" first made during the \"Policy Period\" and reported to the Company during the \"Policy Period\" or within sixty days after the expiration of the \"Policy Period\", unless the Extended Reporting Period is exercised; and (2) the limits of liability shall be reduced by \"Claim Expenses\" and \"Claim Expenses\" shall be applied against the deductible.\n\nPlease read the policy carefully.\n\nIf space is insufficient to answer any question fully, attach a separate sheet.\n\nIf response is none, state NONE.\n\n%\n\n%\n\nI. GENERAL INFORMATION\n\n1. (a) Full Name of Applicant:\n\n(b) Principal business premise address:\n\n(Street)\n\n(County)\n\n(City)\n\n(State) (Zip)\n\n(c) Phone Number:\n\n(d) Date formed/organized (MM/DD/YYYY):\n\n(e)\n\nBusiness is a: [ ] corporation [ ] partnership [ ] individual [ ] other\n\n(f) Website(s):\n\n2. Describe in detail the Applicant's business operations:\n\n3. Does the Applicant use internal staff or an outside service provider to manage its IT systems?\n\n............................................................................................................................................... [ ] Internal [ ] Outside\n\n(a) If outside service provider, provide name of organization:\n\n4. How many individual offices/locations does the Applicant have?\n\nII. OPERATIONS AND BUSINESS FUNCTIONS\n\n1. Applicant's annual gross revenues:\n\nTotal (including\n\nE- Commerce)\n\nE-Commerce Only\n\n(a) Estimated annual gross revenues for the coming year:\n\n$\n\n$\n\n(b) For the past twelve (12) months:\n\n$\n\n$\n\n2. Applicant's annual transactions:\n\nCredit/Debit Card\n\nTotal\n\nE-Commerce\n\n(a) Estimated annual transactions for the coming year:\n\n%\n\n(b) For the past twelve (12) months:\n\n%\n\n3. Number of employees including principals and independent contractors:\n\nFull-time\n\nPart-time\n\nSeasonal/Temporary\n\nIndependent Contractors\n\n4. Number of individual devices the Applicant has deployed:\n\nServers\n\nDesktops\n\nLaptops\n\nMobile Phones/Devices\n\n5. Does the Applicant handle sensitive data for any of the following:\n\nTransmit/Receive\n\nStore\n\n(a) Credit Cards/Debit Cards?\n\n[ ] Yes [ ] No ....................[ ] Yes [ ] No\n\n(b) Financial/Banking Information?\n\n[ ] Yes [ ] No ....................[ ] Yes [ ] No\n\n(c) Medical Information (PHI)?\n\n[ ] Yes [ ] No ....................[ ] Yes [ ] No\n\n(d) Social Security Numbers or National Identification Numbers?\n\n[ ] Yes [ ] No ....................[ ] Yes [ ] No\n\n(e) Other (specify)\n\n[ ] Yes [ ] No ....................[ ] Yes [ ] No\n\n6. Indicate the number of sensitive data records the Applicant stores currently:\n\n[ ] None [ ] 1 to 50,000 [ ] 50,001 to 100,000........................................ [ ] 100,001 to 150,000\n\n[ ] 150,001 or more; estimate number of records:\n\n7. Does the Applicant use an outside vendor or service provider to process or store sensitive information?\n\n................................................................................................................................. [ ] Yes [ ] No\n\n(a) If Yes, provide name of organization and details:\n\nIII. SECURITY INCIDENT AND LOSS HISTORY\n\n1. Has the Applicant at any time during the past three (3) years had any incidents, claims or suits including embezzlement, fraud, theft of proprietary information, theft or loss of laptops, denial of\n\ninvolving unauthorized access, intrusion, breach, compromise or misuse of the Applicant's network, service, electronic vandalism or sabotage, computer virus or other incident?.........................................[ ] Yes [ ] No\n\nIf Yes, attach full details including a description of each incident, claim or suit and the cause, internal costs, cost to third parties, recovery time and steps taken to mitigate future exposure.\n\n2. Is the Applicant or any of its principals, partners, officers, directors, trustees, managers, managing members, or employees, its predecessors, subsidiaries, affiliates or any other persons or organizations\n\nproposed for this insurance aware of any fact, circumstance, situation or incident related to the\n\nApplicant's network which might give rise to a loss or a claim? .............................................................[ ] Yes [ ] No\n\n(a) If Yes, provide full details:\n\n3. Has any application for similar insurance made on behalf of the Applicant, its predecessors, subsidiaries, affiliates, and/or for any other person(s) or organization(s) proposed for this insurance ever been declined,\n\ncancelled or nonrenewed?....................................................................................................................[ ] Yes [ ] No\n\n(a) If Yes, provide full details:\n\n4. Has the Applicant at any time during the past three (3) years had any incidents, claims or suits involving the following and/or is the Applicant aware of any fact, circumstance, situation or incident related to the following which might give rise to a claim:\n\n(a) Infringement of copyright, trademark, trade dress, rights of privacy or rights of publicity? .............[ ] Yes [ ] No\n\n(b) Libel, slander or other form of disparagement, arising out the Applicant's web site or other\n\nelectronic media? ........................................................................................................................[ ] Yes [ ] No\n\nIf Yes, to either of the above provide full details:\n\nIV. IT SYSTEM SECURITY\n\nBy attachment provide explanation of any No response.\n\nIf an outside service provider is used to manage the Applicant's IT System, please consult with such outside service provider when completing these questions.\n\nA. Risk Management & Security Policy\n\n1. Does the Applicant have:\n\n(a) an Executive Risk Committee that provides information security and data oversight?...................[ ] Yes [ ] No\n\n(b) written information security policies and procedures that are reviewed annually?.........................[ ] Yes [ ] No\n\nMADB 5001 02 11\n\nPage 2 of 6\n\nTotal\n\n2. Does the Applicant perform risk assessments prior to conducting business with external software companies or service providers?...........................................................................................................[ ] Yes [ ] No\n3. How often does the Applicant conduct risk assessments? ........ [ ] None [ ] Quarterly [ ] Bi-annually [ ] Annually\n\nB. Information Security Organization and Asset Management\n\n1. Does the Applicant have a dedicated senior manager responsible for Information Security and\n\nPrivacy?\n\n................................................................................................................................ [ ] Yes [ ] No\n\n(a) If Yes, provide Name and Title:\n\n(b) If No,\n\n(i) Who is responsible?\n\n(ii) Is the person responsible an: [ ] Internal Resource [ ] External Resource\n\n2. Does the Applicant have a written program to manage the lifecycle of its IT assets and sensitive data?\n\n............................................................................................................................................................[ ] Yes [ ] No\n\nC. Human Resources and Physical Security\n\n1. Does the Applicant perform background checks on all employees and contractors with access to portions of its network that contain sensitive data?................................................................................[ ] Yes [ ] No\n\n2. How often does the Applicant conduct information security awareness training?\n\n[ ] Never [ ] Monthly [ ] Quarterly [ ] Bi-Annually [ ] Annually\n\n3. Does the Applicant have a process to delete systems access after employee termination?\n\n............................................................................................................[ ] Yes < 48 hours [ ] Yes > 48 hours [ ] No\n\n4. Is access to equipment, such as servers, workstations and storage media including paper records, containing sensitive information physically protected? .........................................................................[ ] Yes [ ] No\n\n(a) If Yes, how is it physically controlled? [ ] Areas open to employees only [ ] Role based access controls\n\nD. Communications and Operations Management\n\n1. Does the Applicant have a written security patch management process implemented?..........................[ ] Yes [ ] No\n\n(a) If Yes, how are security patch notifications from its major systems vendors handled?\n\n[ ] No automatic notice\n\n[ ] Automatic notice (where available) and implemented in more than 30 days\n\n[ ] Automatic notice (where available) implemented in 30 days or less\n\n2. Does the Applicant have anti-virus, anti-spyware and anti-malware software installed?[ ] Yes [ ] No\n\n(a) If Yes, check all that apply:\n\n[ ] On all desktop and laptop computers with automatic updates\n\n[ ] On all server computers with automatic updates\n\n[ ] Scanning of all incoming email\n\n[ ] Scanning of all web browsing\n\n3. Does the Applicant implement firewalls and other security appliances between the Internet and\n\nsensitive data?....................................................................................................................................[ ] Yes [ ] No\n\n4. Does the Applicant have standards in place to ensure that all devices on its network are securely\n\nconfigured? ............................................................................................................. [ ] Yes [ ] No\n\n(a) If Yes, which of the following applies:\n\n[ ] Change default administrative passwords\n\n[ ] Implement appropriate security settings and standards\n\n[ ] Remove unneeded services\n\n5. Are security alerts from an intrusion detection or intrusion prevention system (IDS/IPS) continuously\n\nmonitored and are the latest IDS/IPS signatures installed regularly?....................................................[ ] Yes [ ] No\n\n6. Does the Applicant store sensitive information on any of the following media? If Yes, is it encrypted?\n\nSensitive Data\n\nEncrypted\n\n(a)\n\nLaptop hard drives?........................................................ [ ] Yes [ ] No....................................[ ] Yes [ ] No\n\n(b)\n\nPDA's / other mobile devices?........................................ [ ] Yes [ ] No....................................[ ] Yes [ ] No\n\n(c) Flash drives or other portable storage devices?.............. [ ] Yes [ ] No....................................[ ] Yes [ ] No\n\n(d)\n\nBack-up tapes? .............................................................. [ ] Yes [ ] No....................................[ ] Yes [ ] No\n\n(e)\n\nInternet connected web servers?.................................... [ ] Yes [ ] No....................................[ ] Yes [ ] No\n\n(f) Databases, audit logs, files on servers?.......................... [ ] Yes [ ] No....................................[ ] Yes [ ] No\n\n[ ] N/A\n\n(g)\n\nEmail?............................................................................ [ ] Yes [ ] No....................................[ ] Yes [ ] No\n\n7. Does the Applicant ensure sensitive data is permanently removed (e.g., degaussing, overwriting with 1's and 0's, physical destruction but not merely deleting) from hard drives and other storage media before equipment is discarded or sold and from paper records prior to disposal? ..................................[ ] Yes [ ] No\n\n(a) If Yes, how is data permanently removed?\n\n[ ] Paper records with sensitive data shredded\n\n[ ] Data permanently removed before equipment sold or discarded\n\nE. Access Control\n\n1. How does the Applicant limit access to its IT Systems:\n\n[ ] No controls or use shared log on ID's\n\n[ ] Unique user ID's\n\n[ ] Unique user ID's and role based access to sensitive data\n\n2. Does the Applicant secure remote access to its IT systems? ................................. [ ] Yes [ ] No\n\n(a) If Yes, how does the Applicant secure remote access?\n\n[ ] ID/password only [ ] VPN or equivalent [ ] VPN or equivalent with two factor\n\nauthentication\n\n3. Does the Applicant require minimum security standards (anti-virus, firewall, etc.) for all computers\n\nused to access its network remotely? ..................................................................................................[ ] Yes [ ] No\n\n4. Does the Applicant have written security policies and procedures for mobile devices, including\n\npersonal devices, if they are connected to the Applicant's network?.....................................................[ ] Yes [ ] No\n\n5. Does the Applicant have wireless networks deployed? ........................................................................[ ] Yes [ ] No\n\nIf Yes,\n\n(a) Are all wireless access points to the Applicant's network encrypted with WPA/WPA2 or more\n\nrecent standard (e.g., not unencrypted or using WEP standard)?.................................................[ ] Yes [ ] No\n\n(b) Is there a firewall between all wireless access points and the parts of the Applicant's network on which sensitive information is stored?..........................................................................................[ ] Yes [ ] No\n\nF. Information Systems Management and Development\n\n1. Does the Applicant have a Systems Development Lifecycle (SDLC) in place for specifying,\n\nbuilding/acquiring, testing, implementing and maintaining its IT systems with information security\n\nbuilt\n\ninto the process?....................... ............................................................................... [ ] Yes [ ] No\n\n2. Is a vulnerability scan or penetration test performed on all Internet-facing applications and\n\nsystems\n\nbefore they go into production and at least quarterly thereafter?.............................. [ ] Yes [ ] No\n\n3. Are all sessions where sensitive data is entered encrypted with a Secure Socket Layer (SSL)?[ ] Yes [\n\n4. Does the Applicant implement secure coding standards based on best practices to defend against known security issues (Cross Site Scripting, SQL Injection, etc.) for all applications that the\n\nApplicant\n\ndevelops in-house? .................................................................................... [ ] N/A [ ] Yes [ ] No\n\nG. Incident Management and Compliance\n\n1. Does the Applicant have a written incident management response plan?................ [ ] Yes [ ] No\n\n2. Is the Applicant certified as complying with the following security requirements:\n\n(a) Payment Card Industry (PCI/DSS)?\n\n(i) If Yes, provide the name of the individual or outside organization which certified the Applicant and the date of the last PCI audit.\n\n(b)\n\nHIPAA/HITECH?................................ [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date:\n\n(c)\n\nGLBA? ............................................... [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date:\n\n(d)\n\nRed Flags Rules?............................... [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date:\n\n(e)\n\nSarbanes-Oxley?................................ [ ] N/A [ ] Yes [ ] No [ ] In Progress - Scheduled Date:\n\n3. Are annual or more frequent internal/external audit reviews performed on the Applicant's network? ......[ ] Yes [ ] No\n\n(a) If Yes, attach a copy of the last examination/audit of the Applicant's network operations, security and internal control procedures.\n\nH. Data Breach Loss to Insured Coverage\n\nCheck if coverage not requested. [ ]\n\n1. Are alternative facilities available in the event of a shutdown/failure of the Applicant's network? ............[ ] Yes [ ] No\n\n2. Does the Applicant have written procedures for routine backups and maintain proof of backups?..........[ ] Yes [ ] No\n\n3. Are key data and software code stored:\n\n(a) on redundant storage device? .....................................................................................................[ ] Yes [ ] No\n\n(b) at secured offsite storage? ..........................................................................................................[ ] Yes [ ] No\n\nI. Electronic Media Liability Coverage\n\nCheck if coverage not requested. [ ]\n\n1. Does the Applicant conduct prior review of any content, including (if applicable), blogs, for copyright infringement, trademark infringement, libel or slander, violation of rights of privacy or publicity?...........[ ] Yes [ ] No\n\n(a) If Yes, who is responsible for reviews (internal counsel, outside counsel, etc.)?\n\n2. Does the Applicant have take down procedure to comply with DMCA safe harbor provisions if hosting\n\ncontent posted by third parties on their servers or web site? ................................................... [ ] NA [ ] Yes [ ] No\n\n3. Does the Applicant obtain clear rights to intellectual property (IP) supplied by third parties if such IP is\n\ndisplayed on their web site? ................................................................................................................[ ] Yes [ ] No\n\n4. Does the Applicant use the names or likeness of any celebrities or other public figures on their web site?.............................................................................................................................................[ ] Yes [ ] No\n\nV. PRIOR AND OTHER INSURANCE\n\n1. List current and prior Cyber Liability or Cyber Security Insurance for each of the last three (3) years:\n\nIf None, check here [ ]\n\nInceptionExpiration Dates (MM/DD/YYYY)\n\nInsurance Company\n\nLimits of Liability\n\nRetroactive/ Prior Acts Date\n\nDeductible\n\nPremium\n\n2. Provide the following insurance information:\n\nExpiration Date\n\nInsurer\n\nLimit\n\nDeductible\n\nA. General Liability:\n\nB. Professional Liability:\n\nNOTICE TO THE APPLICANT - PLEASE READ CAREFULLY\n\nNo fact, circumstance, situation or incident indicating the probability of a claim, loss or action for which coverage may be afforded by the proposed insurance is now known by any person(s) or entity(ies) proposed for this insurance other than that which is disclosed in this application. It is agreed by all concerned that if there be knowledge of any such fact, circumstance, situation or incident any claim subsequently emanating therefrom shall be excluded from coverage under the proposed insurance.\n\nThis application, information submitted with this application and all previous applications and material changes thereto of which the underwriting manager, Company and/or affiliates thereof receives notice is on file with the underwriting manager, Company and/or affiliates thereof and is considered physically attached to and part of the policy if issued. The underwriting manager, Company and/or affiliates thereof will have relied upon this application and all such attachments in issuing the policy.\n\nFor the purpose of this application, the undersigned authorized agent of the person(s) and entity(ies) proposed for this insurance declares that to the best of his/her knowledge and belief, after reasonable inquiry, the statements in this\n\napplication and in any attachments, are true and complete. The underwriting manager, Company and/or affiliates thereof are authorized to make any inquiry in connection with this application. Signing this application does not bind the Company to provide or the Applicant to purchase the insurance.\n\nIf the information in this application or any attachment materially changes between the date this application is signed and the effective date of the policy, the Applicant will promptly notify the underwriting manager, Company and/or affiliates thereof, who may modify or withdraw any outstanding quotation or agreement to bind coverage.\n\nThe undersigned declares that the person(s) and entity(ies) proposed for this insurance understand that the liability coverage(s) for which this application is made apply(ies):\n\n(i) Only to \"Claims\" first made during the \"Policy Period\" and reported to the Company during the \"Policy Period\" or within sixty days after the expiration date of the \"Policy Period,\" unless the extended reporting period is exercised. If the extended reporting period is exercised, the policy shall also apply to \"Claims\" first made during the extended reporting period and reported to the Company during the extended reporting period or within sixty days after the expiration of the extended reporting period;\n(ii) The limits of liability contained in the policy shall be reduced, and may be completely exhausted by \"Claim Expenses\" and, in such event, the Company will not be liable for \"Claim Expenses\" or the amount of any <cursor_is_here>\n</text>\n", "role": "user" }, { "content": "judgment or settlement to the extent that such costs exceed the limits of liability in the policy; and\n(iii) \"Claim Expenses\" shall be applied against the \"Deductible\".", "role": "assistant" } ]
BOARD OF DIRECTORS March 22, 2018 Minutes Attendees: Mr. Eric Smith, Board Chair, Dr. Greg Howes, Board Vice Chair, Ms. Barb Loftus, Treasurer, Ms. Ruth Long and Ms. Catherine Wright. Attendees by Phone: Ms. Kathleen Rich-New Members Absent: Mr. Mark Peterson, Ms. Andrea Betting, Mr. Stockton Whitten Others in Attendance: James Carlson, Interim CEO, Valerie Holmes, BFP Executive Director, Ms. Laurie Anna Blackburn, Board Liaison, Ms. Debbie Davidson-Cook, Mr. Kevin Maloney, Ms. Phebe Powell, C.A.R.E.S. Mr. Bill Bucher, Family Allies, Amy Hammett, DCF, Anna Baznik, IMPOWER, Mr. Adam Bouchard, Bouchard Insurance, Ms. Sandra Daniels, Guest, Ms. Kristen Perozzi, Brevard C.A.R.E.S. Mr. Smith opened the meeting, welcomed and thanked everyone for attending the March 22, 2018 BFP Board of Directors meeting and asked all to state their names for the record. Motion: Ms. Wright moved to approve the March 22, 2018 Draft Agenda. This was seconded by Ms. Long and the motion passed unanimously. Mr. Smith then reminded members that if anyone had a real or perceived conflict of interest to please complete the Conflict of Interest form (available at the meeting). No conflicts were presented. Mr. Smith asked Ms. Powell for guest introductions. Ms. Powell indicated that her guest is running late. Mr. Smith moved to the next order of business. Motion: Ms. Loftus moved to approve the February 22, 2018 Board Meeting Minutes. This was seconded by Ms. Wright and the motion passed unanimously. Consent Agenda Mr. Maloney amended the February data report as follows: - Measure 5: 54.1 - Measure 7: 86. - Measure 8: 3.35 - Measure 12: 59.8 Motion: Dr. Howes moved to approve the Board Data Report with the aforementioned amendments. This was seconded by Ms. Wright and the motion passed unanimously. BFP ED Board Report Ms. Holmes shared March is National Professional Social Work Month and the agency has been featuring staff members across the family of agencies in social media news feeds; highlighting their commitment, dedication and the work they do in the field in support of Brevard's children. They will also be recognized in the March News Letter. She then noted April is Child Abuse Prevention Month and a calendar of activities and events has been provided to board members. Ms. Holmes then reported in partnership with Family Allies, BFP has re-initiated the Casey Permanency Roundtables (PRT) with a training scheduled on March 26 th with 85 attendees from across the community of practice to include Children's Legal Services, DCF, Guardian Ad Litem, as well as BFP and Family Allies staff. The purpose of the Values convening is to inspire thinking and learning ways to expedite permanency and the actual PRT's are scheduled in April with a focus on children who have been in care in access of 18 months. Ms. Holmes shared The Annual Youth Summit is scheduled for June 22 at the Holiday Inn in Viera and Mr. Jared Vermillon has been secured as the keynote speaker for the event. She added Mr. Vermillon attended the most recent National Wraparound Training Institute, resides in Davie, California; He is a former consumer, a parent advocate and Wraparound Champion. She noted the youth attending the Brevard Youth Leadership Academy will be graduating in April and will be recognized at the Summit for their accomplishments. Ms. Holmes spoke about the Newco inaugural board meeting and stated the Board came to a consensus on the company name: Systems of Care Technology Solutions. The BFP Staff Attorney is in the process of preparing the Articles of Incorporation as a registered agent/business and will provide a draft at the next Board Meeting. She then indicated the Board discussed potential new business opportunities for the C.A.R.E.S. Data Platform which was named the Wraparound Children's Management System (CMS). Ms. Holmes reported that the Erie County New York Contract has been executed; She, Dr. Nellius and Mr. Tracy Little will be traveling to New York the first week of June to provide Consultation, Technical Assistance, and help practioners move into a high fidelity practice model. Ms. Holmes stated during the 3 rd Quarter of every Fiscal Year, a gap analysis survey is initiated through the Contracts and Compliance Department and sent to community stakeholders to obtain feedback on gaps within the current service delivery systems; the feedback is then analyzed to plan, implement and project needs for the new fiscal year. Ms. Holmes reminded members on April 22 nd , (in lieu of the Board Meeting); a Strategic Planning Workshop will be held at the Crowne Plaza from 8:30-12:00. The agenda will include a legislative update from Dixie Sansom, a summary of the progress and current status of the Family of Agencies Organizational Assessment and an overview of the FY 17/18 Strategic Plan through the end of Quarter 3. Ms. Holmes confirmed there will be no board meeting following the Strategic Planning Session. Interim CEO Board Report Mr. Carlson informed members that the Florida Legislatures concluded their 2018 session on March 9, 2018. He then shared on March 6 th The NCFIE's $150,000 appropriation to fund for the Volusia/Flagler expansion was removed from consideration along with over 60 appropriation requests in order to fund for heightened school security. He and Dr. Nellius met with Mr. Mark Jones, CEO for Community Partnership for Children - Volusia/Flagler pilot to discuss additional revenue streams to support the C.A.R.E.S. implementation. Mr. Carlson then reviewed the state budget for FY 18-19 which includes the following appropriations that support child welfare: $4.5 million for FSFN enhancements that improve eligibility determinations for IV-E $1.59 million to support transition from FSFN to CCWIS $15 million for risk pool in FY 18-19 $5.7 million to maximize eligibility and claiming of IV-E $2.25 million in adoption incentive funding $10.4 million converting 2017 non-recurring funding to recurring $7.6 million for IL services, and extend MAS payments to 21 for children adopted at age 16 and 17 $8.1 million for Safety Management Services $20.1 million "Back of the bill" funding to make CBC agencies whole over the past 2 fiscal years Mr. Carlson stated that the initial IV-E case review indicated that BFP is currently at a 65% penetration rate and the BFP revenue maximization staff will be meeting with CLS attorneys to ensure the orders are corrected in FSFN and going forward ensure eligibility is captured for children meeting the criteria. Mr. Carlson informed members that the BFP family of agencies Leadership Team has scheduled a community fair on August 4 th at the Melbourne Square Mall and members will be apprised as developments progress. Mr. Carlson then directed members to the GALA Save the Date Flyers located in the front of their binders and asked that they be shared at community events where they are present. He noted Foster Parents will be invited to attend the event to share their experiences and Sheriff Ivey just completed a video on the importance of foster parenting. Mr. Carlson concluded his report sharing Brevard Business News will run a feature article recognizing Family Allies for their one year anniversary. Ms. Loftus asked for clarification on how the aforementioned appropriations will affect BFP. Mr. Carlson stated based on the $10.4 million non-recurring converted to recurring funds, dollar for dollar would be a wash to the agency. Based on projections, the Agency will stand to gain $250K from the $8.1 million Safety Management Services appropriations. Ms. Rich-New asked Mr. Carlson to expand on the conversation he had with Mr. Mark Jones with regard to securing revenue sources to support the Volusia/Flagler C.A.R.E.S. Implementation piloted. Mr. Carlson confirmed that Mr. Jones is committed to working with BFP to obtain funding; He has been in contact with local sources as well as the CBC's DCF Regional Manager. C.A.R.E.S. ED Report Ms. Powell shared Brevard C.A.R.E.S. hosted a half day Open Table Conference on February 24 th , with representatives from 5 congregations and 9 community organizations in attendance. She added the group was very engaged and excited about the opportunity to bring Open Table to the community. Ms. Powell shared in Partnership with Brevard Family Partnership; Brevard County hosted a community meeting to discuss a potential grant opportunity regarding the Expansion and Sustainability of the Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances. Ms. Powell then explained the grant funding process and indicated that the meeting was the first step in the application process and it will used to determine the structure of community partnerships, roles, responsibilities, and funding needs. Ms. Powell confirmed she has not experienced any challenges and the community has been very supportive. Ms. Powell reported April is Child Abuse Prevention Month; she then recapped the calendar of events provided to board members and extended an invitation. Family Allies ED Report Mr. Bucher shared one Case Management separation occurred in March, two in February, and two more separations are expected in April. He reported that Fiscal YTD turnover rate is 43.7% through February exceeding the projected annual target of 35%. The following proposed Career Progress and Compensation Structure have been developed to address future turnover: Care Manager Trainee – New hire salary offered during onboarding / pre-service training. The projected amount is a decrease from the current starting salary, which aligns with other CBC approaches. Care Manager Level 1 – Level attained by a Care Manager once they pass the written pre-service test and obtains Provisional Certification. There is a salary increase provided upon successful completion of the test, which is the same level that is currently provided. Care Manager Level 2 –Level attained by a Care Manager once they receive Full Certification (generally 1 year after becoming provisionally certified). There is a salary increase provided upon successful receipt of certification, which is the same level that is currently provided. Care Manager Level 3 –New career progression path for Care Managers who want to continue with professional development in their position as a Care Manager and do not have an interest in mentoring or supervision. Staff will receive professional development training and a salary increase. Care Manager Level 4 – New career progression path for Care Managers who serve as mentors/peer support to trainees, provisionally certified staff, and interns. Staff will receive mentor training and coaching and a salary increase. Care Manager Level 5 – New career progression path for Care Managers who have an interest in development as a Supervisor and will have a protected caseload in order to attend trainings and serve in acting Supervisor capacity. Staff will receive supervision training and coaching and a salary increase. Care Manager Supervisor– Proposed new minimum salary increase to align Supervisor compensation with other CBC/DCF CPI. Mr. Bucher shared the projected deficit related to personnel (salaries, benefits, overtime) and travel (mileage) is slightly lower than originally reported last month due to a reduction in overtime. He thanked Mr. Carlson for his assistance in contacting outside providers to assist with transporting children, which has been a great relief to case management staff. Mr. Bucher then spoke about Out of Home Care (OHC) reviews and stated in March reviews are being conducted for all children in OHC 12 to 18 months or longer and will be candidates for the Permanency Round Tables (PRT) scheduled in April. He noted, in advance of the PRT's, the Casey Family Programs will be conducting Permanency Values training with the Brevard System of Care on March 26 th . Mr. Bucher shared He and Ms. Katie Guemple delivered a presentation to the Guardian Ad Litem on Family Allies progress and discussed the challenges and opportunities to improve communication with the Guardian ad litem staff and volunteers. Mr. Bucher was pleased to report of the number children in out of home care last fiscal year; 50% have achieved permanency and expects an increase over the next three months remaining in the current fiscal year. Mr. Bucher concluded his report stating service center clean-up has begun and during the initial clean-up it was discovered it will take longer than a single day as originally anticipated. Ms. Rich-New commended Mr. Bucher on his Career Progress and Compensation Structure and asked how long before implementation and notification to staff. Mr. Bucher anticipates rolling out the structure by July 1 FY'2018. Mr. Smith then asked Ms. Powell to introduce the guests. Ms. Powell introduced Ms. Sandra Daniels, a client referred by DCF, and staff member Ms. Kristen Perozzi, Post Adoption Support Coordinator; assigned to assist Ms. Daniels. Ms. Perozzi then shared it has been an absolute pleasure working with Ms. Daniels and commended her for her hard work, dedication and commitment in handling her care plan. Ms. Daniels then shared her experience with DCF and her referral to Brevard C.A.R.E.S. prevention program. She commended Ms. Perozzi for making her feel comfortable and working closely with her to achieve her care plan requirements during transition. Mr. Smith thanked Ms. Perozzi and Ms. Daniels for sharing their experience. Consultant Board Report Dr. Nellius could not be present and Mr. Carlson provided the following overview of the Consultant Board Report: - Dr. Nellius received a 30% survey response rate. - The CEO Search committee has convened 2 subcommittee meetings to date. By direction of the committee Mr. Dan Rogers and Ms. Stephanie Strodtman have accepted invitations to serve on the committee. - Mr. Carlson shared Mr. Tracy Little is currently on site at the Volusia/Flagler CBC training the new staff members. - The next Wraparound Certification Training is scheduled for May 15th. Ms. Holmes and Mr. Little are working with Dr. Nellius to revise the curriculum. - The application to become a CEU provider has been submitted to CE Broker and approved. - Dr. Nellius continues to review the Family First Prevention Services Act (FFPSA) looking for opportunities for the System of Care and how to best position the agency. - Mr. Carlson and Dr. Nellius met to review the Budget for the next fiscal year. Mr. Carlson shared that the NCFIE Board of Directors moved to approve Mr. Johnathan Cloud for a seat on its Board. Mr. Smith then welcomed Mr. Adam Bouchard of Bouchard Insurance. Mr. Bouchard distributed the BFP and Family Allies Insurance Summaries and provided an overview of the insurance coverages with respect to Property, Electronic Data Processing, and Commercial/Management Liability to include any Auto, and Cyber for BFP, Brevard C.A.R.E.S. and for NCFIE. He then indicated Family Allies has a separate policy and he provided an overview with respect to Property, Electronic Data Processing, and Commercial/Management Liability to include any Auto, and Cyber. Mr. Bouchard confirmed that staff members across the family of agencies using rental vehicles are covered under the policy. Dr. Howes asked about insurance coverage for the new company: Systems of Care Technology Solutions (SOCTS). Ms. Holmes indicated SOCTS is not yet operational; however insurance was discussed at the last board meeting and information is forth coming. Mr. Smith then asked Dr. Howes to address the C.A.R.E.S. Board Chair approval. Dr. Howes indicated the BFP Board of Directors appointed him as Chair of the Brevard C.A.R.E.S. Board and he has served in the role for a year and resigned pending a replacement. Dr. Howes reported he will remain on the board as a community member and the C.A.R.E.S. Board voted Mr. Dan Rogers to serve as Board Chair. Mr. Rogers has a long history in child welfare and has served on the C.A.R.E.S. board for a year. Ms. Powell added Mr. Rogers was the former Chief Probation Officer for circuit 18; Brevard County working very closely with BFP and C.A.R.E.S. and attending the Rally in Tally and Children's week advocating for the legislative priorities. Motion: Dr. Howes moved to appoint Mr. Dan Rogers to Board Chair of the Brevard C.A.R.E.S. Board of Directors. This was seconded by Ms. Wright and the motion passed unanimously. Ms. Powell then shared the C.A.R.E.S. board has approved two perspective board members and is seeking a motion to approve: Ms. Rosanna Malbran is a medical professional working in administration/research and she is looking forward to advocating and working to support families in the community. Ms. Christa Bailey formerly served as a community board member on the BFP Board and served as the Board Chair for Brevard C.A.R.E.S. Due to life circumstances and raising her two adoptive children; she needed to step down from both positions for a period of time; she is now able serve on the Board of Directors. Motion: Dr. Howes moved to approve Ms. Rosanna Malbran and Ms. Christa Bailey to serve on the Brevard C.A.R.E.S. Board of Directors. This was seconded by Ms. Loftus and the motion passed unanimously. Mr. Smith reminded members that the policy GOV018 Crises and Media Communication was posted to the board portal for review in advance of the meeting. He is now seeking a motion. Motion: Dr. Howes moved to approve the GOV018 Crises and Media Communication Policy. This was seconded by Ms. Loftus and the motion passed unanimously. Mr. Carlson then directed members to the Berkshire Associates letter confirming an independent audit was performed and although not a violation per the regulations, the agency did not meet the utilization goal for Individuals with Disabilities or the hiring benchmark for Protected Veterans. In addition, for the previous plan year, July 1, 2016 - June 30, 2017, there were no statistically significant placement goals or statistically significant adverse impact for employee selection, promotions, or terminations. Financials Mr. Carlson directed members to the Statement of Revenues & Expenditures and reviewed the areas significantly over budget: - Salaries & Benefits is over and attributed to a o% vacancy rate; meaning every position is filled. - Insurance is over as premiums are front loaded and it is expected to level out by the 4 th quarter. - Professional & Consulting fees are over due to the consulting contract with Dr. Nellius approved by the BFP Board and implemented in November 2017. - Adoption through February is over budget and DCF has submitted a contract amendment to fully fund the deficit. - The budget deficit to date lands at $235k. Mr. Carlson noted that an assessment will be made in the 3 rd quarter and any projected deficit through the end of the FY will be submitted to DCF with a request for back of the bill funding. Risk Management Subcommittee Ms. Loftus reported at the last convening Ms. Grier provided the committee with a 2 nd Quarter overview of the internal risk review activities and there were no material issues to speak of. Ms. Loftus then shared the team then reviewed the mitigation plan developed to closely monitor the IV-E Waiver issues and has since determined that the name should be the IV-E Waiver management plan as it better depicts the ongoing review of the plan. She then reminded members that the committee had discussions the prior month concerning the potential opioid class action suit and how to quantify the impact on the agency, how many resources and the effort it would take to collect the data, and how the agency would participate. She stated the team performed an exercise and collected data that shows a high level ability to track substance abuse and the committee is still monitoring for potential participation in the law suit. Ms. Loftus then shared Mr. Bucher presented the committee with preliminary data for options to mitigate the risks pertaining to Family Allies' transportation costs. Marketing Subcommittee Mr. Carlson shared the committee met with the Artemis team this week on the website design refresh. He indicated that the new website will be launched in April for selected focus groups to access and provide their feedback on the layout. Donor Relations Mr. Carlson reminded members that he has provided Save the Dates Post Flyers for the Gala and he will also have Ms. Blackburn send electronically sponsor packets to share with the board. He noted that he will be meeting with community business leaders to line up sponsorships for the Gala. Mr. Carlson shared the Heinz Grant has been approved for the second year in the row. Mr. Carlson reported a grant application was submitted to the Baulda Corporation last month to fund a portion of the Fast Track GED Program and the decision is pending. Ms. Loftus reminded board members that a private donation pledge form has been provided to members to complete and return to Ms. Blackburn by the end of the board meeting. Mr. Smith then reported the Executed Search Committee has recruited two new members and the March 23 rd meeting has been cancelled and will be rescheduled to a date to be determined. He shared the committee continues to review the strengths and scope of the CEO job description and the executive search process. Mr. Smith then noted that the board subcommittee roster is located in the back of the board binder and will be removed from the agenda. Dr. Howes asked if Mr. Carlson should be added to the Board Executive Subcommittee seeing he was in attendance. Mr. Smith indicated that Ms. Holmes should remain as the ex officio and Mr. Carlson is welcome to sit in. Mr. Smith asked for Mr. Maloney to report out on Strategic Plan Goal 2a status update: - Protect children while strengthening families. - Customize services to meet the unique needs of each child and family 2a. Implement Pathways to Permanency & Well-being initiative including: - Trauma sensitive approaches - Promoting family stability - Fostering linkages to community resources and supports Reinvigorate Family Finders strategy to ensure children have connections while in care Focus attention on development of additional natural and informal support systems Expand mentoring programs for families using parent peers or past successful consumer Mr. Maloney indicated that the champions for the goal are Mr. Tracy Little for Pathways to Permanency and Well-being and Mr. Bucher for the family finder with case management and that he has not received updates for the goal as Mr. Little has been away training. He asked to defer this to next board meeting. Mr. Smith agreed. Mr. Bucher indicated a case management support unit was developed and the two employees are transitioning into their positions; he will be in a better position to provide an update at the next board meeting. Public Comments None were expressed Motion: Ms. Loftus moved to Adjourn. This was seconded by Ms. Long and the motion passed unanimously. Respectfully Submitted, Laurie Anna Blackburn Board Liaison Approved at the May 24, 2018 Brevard Family Partnership Board of Directors Meeting.	<urn:uuid:6e09199d-c09b-449a-b158-b0fd7a923180>	CC-MAIN-2018-26	http://brevardfp.org/wordpress/wp-content/uploads/2018/05/3.22.2018-Meeting-Minutes.-Approved-May-24-2018.pdf	2018-06-21T04:32:17Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-26/segments/1529267864022.18/warc/CC-MAIN-20180621040124-20180621060124-00522.warc.gz	49,066,485	4,890	eng_Latn	eng_Latn	0.996906	eng_Latn	0.998182	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1817, 4987, 7632, 10782, 13761, 16666, 19523, 22054, 23330 ]	BOARD OF DIRECTORS March 22, 2018 Minutes Attendees: Mr. Eric Smith, Board Chair, Dr. Greg Howes, Board Vice Chair, Ms. Barb Loftus, Treasurer, Ms. Ruth Long and Ms. Catherine Wright. Attendees by Phone: Ms. Kathleen Rich-New Members Absent: Mr. Mark Peterson, Ms. Andrea Betting, Mr. Stockton Whitten Others in Attendance: James Carlson, Interim CEO, Valerie Holmes, BFP Executive Director, Ms. Laurie Anna Blackburn, Board Liaison, Ms. Debbie Davidson-Cook, Mr. Kevin Maloney, Ms. Phebe Powell, C.A.R.E.S. Mr. Bill Bucher, Family Allies, Amy Hammett, DCF, Anna Baznik, IMPOWER, Mr. Adam Bouchard, Bouchard Insurance, Ms. Sandra Daniels, Guest, Ms. Kristen Perozzi, Brevard C.A.R.E.S. Mr. Smith opened the meeting, welcomed and thanked everyone for attending the March 22, 2018 BFP Board of Directors meeting and asked all to state their names for the record. Motion: Ms. Wright moved to approve the March 22, 2018 Draft Agenda. This was seconded by Ms. Long and the motion passed unanimously. Mr. Smith then reminded members that if anyone had a real or perceived conflict of interest to please complete the Conflict of Interest form (available at the meeting). No conflicts were presented. Mr. Smith asked Ms. Powell for guest introductions. Ms. Powell indicated that her guest is running late. Mr. Smith moved to the next order of business. Motion: Ms. Loftus moved to approve the February 22, 2018 Board Meeting Minutes. This was seconded by Ms. Wright and the motion passed unanimously. Consent Agenda Mr. Maloney amended the February data report as follows: - Measure 5: 54.1 - Measure 7: 86. - Measure 8: 3.35 - Measure 12: 59.8 Motion: Dr. Howes moved to approve the Board Data Report with the aforementioned amendments. This was seconded by Ms. Wright and the motion passed unanimously. BFP ED Board Report Ms. Holmes shared March is National Professional Social Work Month and the agency has been featuring staff members across the family of agencies in social media news feeds; highlighting their commitment, dedication and the work they do in the field in support of Brevard's children. They will also be recognized in the March News Letter. She then noted April is Child Abuse Prevention Month and a calendar of activities and events has been provided to board members. Ms. Holmes then reported in partnership with Family Allies, BFP has re-initiated the Casey Permanency Roundtables (PRT) with a training scheduled on March 26 th with 85 attendees from across the community of practice to include Children's Legal Services, DCF, Guardian Ad Litem, as well as BFP and Family Allies staff. The purpose of the Values convening is to inspire thinking and learning ways to expedite permanency and the actual PRT's are scheduled in April with a focus on children who have been in care in access of 18 months. Ms. Holmes shared The Annual Youth Summit is scheduled for June 22 at the Holiday Inn in Viera and Mr. Jared Vermillon has been secured as the keynote speaker for the event. She added Mr. Vermillon attended the most recent National Wraparound Training Institute, resides in Davie, California; He is a former consumer, a parent advocate and Wraparound Champion. She noted the youth attending the Brevard Youth Leadership Academy will be graduating in April and will be recognized at the Summit for their accomplishments. Ms. Holmes spoke about the Newco inaugural board meeting and stated the Board came to a consensus on the company name: Systems of Care Technology Solutions. The BFP Staff Attorney is in the process of preparing the Articles of Incorporation as a registered agent/business and will provide a draft at the next Board Meeting. She then indicated the Board discussed potential new business opportunities for the C.A.R.E.S. Data Platform which was named the Wraparound Children's Management System (CMS). Ms. Holmes reported that the Erie County New York Contract has been executed; She, Dr. Nellius and Mr. Tracy Little will be traveling to New York the first week of June to provide Consultation, Technical Assistance, and help practioners move into a high fidelity practice model. Ms. Holmes stated during the 3 rd Quarter of every Fiscal Year, a gap analysis survey is initiated through the Contracts and Compliance Department and sent to community stakeholders to obtain feedback on gaps within the current service delivery systems; the feedback is then analyzed to plan, implement and project needs for the new fiscal year. Ms. Holmes reminded members on April 22 nd , (in lieu of the Board Meeting); a Strategic Planning Workshop will be held at the Crowne Plaza from 8:30-12:00. The agenda will include a legislative update from Dixie Sansom, a summary of the progress and current status of the Family of Agencies Organizational Assessment and an overview of the FY 17/18 Strategic Plan through the end of Quarter 3. Ms. Holmes confirmed there will be no board meeting following the Strategic Planning Session. Interim CEO Board Report Mr. Carlson informed members that the Florida Legislatures concluded their 2018 session on March 9, 2018. He then shared on March 6 th The NCFIE's $150,000 appropriation to fund for the Volusia/Flagler expansion was removed from consideration along with over 60 appropriation requests in order to fund for heightened school security. He and Dr. Nellius met with Mr. Mark Jones, CEO for Community Partnership for Children - Volusia/Flagler pilot to discuss additional revenue streams to support the C.A.R.E.S. implementation. Mr. Carlson then reviewed the state budget for FY 18-19 which includes the following appropriations that support child welfare: $4.5 million for FSFN enhancements that improve eligibility determinations for IV-E $1.59 million to support transition from FSFN to CCWIS $15 million for risk pool in FY 18-19 $5.7 million to maximize eligibility and claiming of IV-E $2.25 million in adoption incentive funding $10.4 million converting 2017 non-recurring funding to recurring $7.6 million for IL services, and extend MAS payments to 21 for children adopted at age 16 and 17 $8.1 million for Safety Management Services $20.1 million "Back of the bill" funding to make CBC agencies whole over the past 2 fiscal years Mr. Carlson stated that the initial IV-E case review indicated that BFP is currently at a 65% penetration rate and the BFP revenue maximization staff will be meeting with CLS attorneys to ensure the orders are corrected in FSFN and going forward ensure eligibility is captured for children meeting the criteria. Mr. Carlson informed members that the BFP family of agencies Leadership Team has scheduled a community fair on August 4 th at the Melbourne Square Mall and members will be apprised as developments progress. Mr. Carlson then directed members to the GALA Save the Date Flyers located in the front of their binders and asked that they be shared at community events where they are present. He noted Foster Parents will be invited to attend the event to share their experiences and Sheriff Ivey just completed a video on the importance of foster parenting. Mr. Carlson concluded his report sharing Brevard Business News will run a feature article recognizing Family Allies for their one year anniversary. Ms. Loftus asked for clarification on how the aforementioned appropriations will affect BFP. Mr. Carlson stated based on the $10.4 million non-recurring converted to recurring funds, dollar for dollar would be a wash to the agency. Based on projections, the Agency will stand to gain $250K from the $8.1 million Safety Management Services appropriations. Ms. Rich-New asked Mr. Carlson to expand on the conversation he had with Mr. Mark Jones with regard to securing revenue sources to support the Volusia/Flagler C.A.R.E.S. Implementation piloted. Mr. Carlson confirmed that Mr. Jones is committed to working with BFP to obtain funding; He has been in contact with local sources as well as the CBC's DCF Regional Manager. C.A.R.E.S. ED Report Ms. Powell shared Brevard C.A.R.E.S. hosted a half day Open Table Conference on February 24 th , with representatives from 5 congregations and 9 community organizations in attendance. She added the group was very engaged and excited about the opportunity to bring Open Table to the community. Ms. Powell shared in Partnership with Brevard Family Partnership; Brevard County hosted a community meeting to discuss a potential grant opportunity regarding the Expansion and Sustainability of the Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances. Ms. Powell then explained the grant funding process and indicated that the meeting was the first step in the application process and it will used to determine the structure of community partnerships, roles, responsibilities, and funding needs. Ms. Powell confirmed she has not experienced any challenges and the community has been very supportive. Ms. Powell reported April is Child Abuse Prevention Month; she then recapped the calendar of events provided to board members and extended an invitation. Family Allies ED Report Mr. Bucher shared one Case Management separation occurred in March, two in February, and two more separations are expected in April. He reported that Fiscal YTD turnover rate is 43.7% through February exceeding the projected annual target of 35%. The following proposed Career Progress and Compensation Structure have been developed to address future turnover: Care Manager Trainee – New hire salary offered during onboarding / pre-service training. The projected amount is a decrease from the current starting salary, which aligns with other CBC approaches. Care Manager Level 1 – Level attained by a Care Manager once they pass the written pre-service test and obtains Provisional Certification. There is a salary increase provided upon successful completion of the test, which is the same level that is currently provided. Care Manager Level 2 –Level attained by a Care Manager once they receive Full Certification (generally 1 year after becoming provisionally certified). There is a salary increase provided upon successful receipt of certification, which is the same level that is currently provided. Care Manager Level 3 –New career progression path for Care Managers who want to continue with professional development in their position as a Care Manager and do not have an interest in mentoring or supervision. Staff will receive professional development training and a salary increase. Care Manager Level 4 – New career progression path for Care Managers who serve as mentors/peer support to trainees, provisionally certified staff, and interns. Staff will receive mentor training and coaching and a salary increase. Care Manager Level 5 – New career progression path for Care Managers who have an interest in development as a Supervisor and will have a protected caseload in order to attend trainings and serve in acting Supervisor capacity. Staff will receive supervision training and coaching and a salary increase. Care Manager Supervisor– Proposed new minimum salary increase to align Supervisor compensation with other CBC/DCF CPI. Mr. Bucher shared the projected deficit related to personnel (salaries, benefits, overtime) and travel (mileage) is slightly lower than originally reported last month due to a reduction in overtime. He thanked Mr. Carlson for his assistance in contacting outside providers to assist with transporting children, which has been a great relief to case management staff. Mr. Bucher then spoke about Out of Home Care (OHC) reviews and stated in March reviews are being conducted for all children in OHC 12 to 18 months or longer and will be candidates for the Permanency Round Tables (PRT) scheduled in April. He noted, in advance of the PRT's, the Casey Family Programs will be conducting Permanency Values training with the Brevard System of Care on March 26 th . Mr. Bucher shared He and Ms. Katie Guemple delivered a presentation to the Guardian Ad Litem on Family Allies progress and discussed the challenges and opportunities to improve communication with the Guardian ad litem staff and volunteers. Mr. Bucher was pleased to report of the number children in out of home care last fiscal year; 50% have achieved permanency and expects an increase over the next three months remaining in the current fiscal year. Mr. Bucher concluded his report stating service center clean-up has begun and during the initial clean-up it was discovered it will take longer than a single day as originally anticipated. Ms. Rich-New commended Mr. Bucher on his Career Progress and Compensation Structure and asked how long before implementation and notification to staff. Mr. Bucher anticipates rolling out the structure by July 1 FY'2018. Mr. Smith then asked Ms. Powell to introduce the guests. Ms. Powell introduced Ms. Sandra Daniels, a client referred by DCF, and staff member Ms. Kristen Perozzi, Post Adoption Support Coordinator; assigned to assist Ms. Daniels. Ms. Perozzi then shared it has been an absolute pleasure working with Ms. Daniels and commended her for her hard work, dedication and commitment in handling her care plan. Ms. Daniels then shared her experience with DCF and her referral to Brevard C.A.R.E.S. prevention program. She commended Ms. Perozzi for making her feel comfortable and working closely with her to achieve her care plan requirements during transition. Mr. Smith thanked Ms. Perozzi and Ms. Daniels for sharing their experience. Consultant Board Report Dr. Nellius could not be present and Mr. Carlson provided the following overview of the Consultant Board Report: - Dr. Nellius received a 30% survey response rate. - The CEO Search committee has convened 2 subcommittee meetings to date. By direction of the committee Mr. Dan Rogers and Ms. Stephanie Strodtman have accepted invitations to serve on the committee. - Mr. Carlson shared Mr. Tracy Little is currently on site at the Volusia/Flagler CBC training the new staff members. - The next Wraparound Certification Training is scheduled for May 15th. Ms. Holmes and Mr. Little are working with Dr. Nellius to revise the curriculum. - The application to become a CEU provider has been submitted to CE Broker and approved. - Dr. Nellius continues to review the Family First Prevention Services Act (FFPSA) looking for opportunities for the System of Care and how to best position the agency. - Mr. Carlson and Dr. Nellius met to review the Budget for the next fiscal year. Mr. Carlson shared that the NCFIE Board of Directors moved to approve Mr. Johnathan Cloud for a seat on its Board. Mr. Smith then welcomed Mr. Adam Bouchard of Bouchard Insurance. Mr. Bouchard distributed the BFP and Family Allies Insurance Summaries and provided an overview of the insurance coverages with respect to Property, Electronic Data Processing, and Commercial/Management Liability to include any Auto, and Cyber for BFP, Brevard C.A.R.E.S. and for NCFIE. He then indicated Family Allies has a separate policy and he provided an overview with respect to Property, Electronic Data Processing, and Commercial/Management Liability to include any Auto, and Cyber. Mr. Bouchard confirmed that staff members across the family of agencies using rental vehicles are covered under the policy. Dr. Howes asked about insurance coverage for the new company: Systems of Care Technology Solutions (SOCTS). Ms. Holmes indicated SOCTS is not yet operational; however insurance was discussed at the last board meeting and information is forth coming. Mr. Smith then asked Dr. Howes to address the C.A.R.E.S. Board Chair approval. Dr. Howes indicated the BFP Board of Directors appointed him as Chair of the Brevard C.A.R.E.S. Board and he has served in the role for a year and resigned pending a replacement. Dr. Howes reported he will remain on the board as a community member and the C.A.R.E.S. Board voted Mr. Dan Rogers to serve as Board Chair. Mr. Rogers has a long history in child welfare and has served on the C.A.R.E.S. board for a year. Ms. Powell added Mr. Rogers was the former Chief Probation Officer for circuit 18; Brevard County working very closely with BFP and C.A.R.E.S. and attending the Rally in Tally and Children's week advocating for the legislative priorities. Motion: Dr. Howes moved to appoint Mr. Dan Rogers to Board Chair of the Brevard C.A.R.E.S. Board of Directors. This was seconded by Ms. Wright and the motion passed unanimously. Ms. Powell then shared the C.A.R.E.S. board has approved two perspective board members and is seeking a motion to approve: Ms. Rosanna Malbran is a medical professional working in administration/research and she is looking forward to advocating and working to support families in the community. Ms. Christa Bailey formerly served as a community board member on the BFP Board and served as the Board Chair for Brevard C.A.R.E.S. Due to life circumstances and raising her two adoptive children; she needed to step down from both positions for a period of time; she is now able serve on the Board of Directors. Motion: Dr. Howes moved to approve Ms. Rosanna Malbran and Ms. Christa Bailey to serve on the Brevard C.A.R.E.S. Board of Directors. This was seconded by Ms. Loftus and the motion passed unanimously. Mr. Smith reminded members that the policy GOV018 Crises and Media Communication was posted to the board portal for review in advance of the meeting. He is now seeking a motion. Motion: Dr. Howes moved to approve the GOV018 Crises and Media Communication Policy. This was seconded by Ms. Loftus and the motion passed unanimously. Mr. Carlson then directed members to the Berkshire Associates letter confirming an independent audit was performed and although not a violation per the regulations, the agency did not meet the utilization goal for Individuals with Disabilities or the hiring benchmark for Protected Veterans. In addition, for the previous plan year, July 1, 2016 - June 30, 2017, there were no statistically significant placement goals or statistically significant adverse impact for employee selection, promotions, or terminations. Financials Mr. Carlson directed members to the Statement of Revenues & Expenditures and reviewed the areas significantly over budget: - Salaries & Benefits is over and attributed to a o% vacancy rate; meaning every position is filled. - Insurance is over as premiums are front loaded and it is expected to level out by the 4 th quarter. - Professional & Consulting fees are over due to the consulting contract with Dr. Nellius approved by the BFP Board and implemented in November 2017. - Adoption through February is over budget and DCF has submitted a contract amendment to fully fund the deficit. - The budget deficit to date lands at $235k. Mr. Carlson noted that an assessment will be made in the 3 rd quarter and any projected deficit through the end of the FY will be submitted to DCF with a request for back of the bill funding. Risk Management Subcommittee Ms. Loftus reported at the last convening Ms. Grier provided the committee with a 2 nd Quarter overview of the internal risk review activities and there were no material issues to speak of. Ms. Loftus then shared the team then reviewed the mitigation plan developed to closely monitor the IV-E Waiver issues and has since determined that the name should be the IV-E Waiver management plan as it better depicts the ongoing review of the plan. She then reminded members that the committee had discussions the prior month concerning the potential opioid class action suit and how to quantify the impact on the agency, how many resources and the effort it would take to collect the data, and how the agency would participate. She stated the team performed an exercise and collected data that shows a high level ability to track substance abuse and the committee is still monitoring for potential participation in the law suit. Ms. Loftus then shared Mr. Bucher presented the committee with preliminary data for options to mitigate the risks pertaining to Family Allies' transportation costs. Marketing Subcommittee Mr. Carlson shared the committee met with the Artemis team this week on the website design refresh. He indicated that the new website will be launched in April for selected focus groups to access and provide their feedback on the layout. Donor Relations Mr. Carlson reminded members that he has provided Save the Dates Post Flyers for the Gala and he will also have Ms. Blackburn send electronically sponsor packets	to share with the board.	He noted that he will be meeting with community business leaders to line up sponsorships for the Gala. Mr. Carlson shared the Heinz Grant has been approved for the second year in the row. Mr. Carlson reported a grant application was submitted to the Baulda Corporation last month to fund a portion of the Fast Track GED Program and the decision is pending. Ms. Loftus reminded board members that a private donation pledge form has been provided to members to complete and return to Ms. Blackburn by the end of the board meeting. Mr. Smith then reported the Executed Search Committee has recruited two new members and the March 23 rd meeting has been cancelled and will be rescheduled to a date to be determined. He shared the committee continues to review the strengths and scope of the CEO job description and the executive search process. Mr. Smith then noted that the board subcommittee roster is located in the back of the board binder and will be removed from the agenda. Dr. Howes asked if Mr. Carlson should be added to the Board Executive Subcommittee seeing he was in attendance. Mr. Smith indicated that Ms. Holmes should remain as the ex officio and Mr. Carlson is welcome to sit in. Mr. Smith asked for Mr. Maloney to report out on Strategic Plan Goal 2a status update: - Protect children while strengthening families. - Customize services to meet the unique needs of each child and family 2a. Implement Pathways to Permanency & Well-being initiative including: - Trauma sensitive approaches - Promoting family stability - Fostering linkages to community resources and supports Reinvigorate Family Finders strategy to ensure children have connections while in care Focus attention on development of additional natural and informal support systems Expand mentoring programs for families using parent peers or past successful consumer Mr. Maloney indicated that the champions for the goal are Mr. Tracy Little for Pathways to Permanency and Well-being and Mr. Bucher for the family finder with case management and that he has not received updates for the goal as Mr. Little has been away training. He asked to defer this to next board meeting. Mr. Smith agreed. Mr. Bucher indicated a case management support unit was developed and the two employees are transitioning into their positions; he will be in a better position to provide an update at the next board meeting. Public Comments None were expressed Motion: Ms. Loftus moved to Adjourn. This was seconded by Ms. Long and the motion passed unanimously. Respectfully Submitted, Laurie Anna Blackburn Board Liaison Approved at the May 24, 2018 Brevard Family Partnership Board of Directors Meeting.	20,616	inside_word	to	remove_one_sentence	<url> http://brevardfp.org/wordpress/wp-content/uploads/2018/05/3.22.2018-Meeting-Minutes.-Approved-May-24-2018.pdf </url> <text> BOARD OF DIRECTORS March 22, 2018 Minutes Attendees: Mr. Eric Smith, Board Chair, Dr. Greg Howes, Board Vice Chair, Ms. Barb Loftus, Treasurer, Ms. Ruth Long and Ms. Catherine Wright. Attendees by Phone: Ms. Kathleen Rich-New Members Absent: Mr. Mark Peterson, Ms. Andrea Betting, Mr. Stockton Whitten Others in Attendance: James Carlson, Interim CEO, Valerie Holmes, BFP Executive Director, Ms. Laurie Anna Blackburn, Board Liaison, Ms. Debbie Davidson-Cook, Mr. Kevin Maloney, Ms. Phebe Powell, C.A.R.E.S. Mr. Bill Bucher, Family Allies, Amy Hammett, DCF, Anna Baznik, IMPOWER, Mr. Adam Bouchard, Bouchard Insurance, Ms. Sandra Daniels, Guest, Ms. Kristen Perozzi, Brevard C.A.R.E.S. Mr. Smith opened the meeting, welcomed and thanked everyone for attending the March 22, 2018 BFP Board of Directors meeting and asked all to state their names for the record. Motion: Ms. Wright moved to approve the March 22, 2018 Draft Agenda. This was seconded by Ms. Long and the motion passed unanimously. Mr. Smith then reminded members that if anyone had a real or perceived conflict of interest to please complete the Conflict of Interest form (available at the meeting). No conflicts were presented. Mr. Smith asked Ms. Powell for guest introductions. Ms. Powell indicated that her guest is running late. Mr. Smith moved to the next order of business. Motion: Ms. Loftus moved to approve the February 22, 2018 Board Meeting Minutes. This was seconded by Ms. Wright and the motion passed unanimously. Consent Agenda Mr. Maloney amended the February data report as follows: - Measure 5: 54.1 - Measure 7: 86. - Measure 8: 3.35 - Measure 12: 59.8 Motion: Dr. Howes moved to approve the Board Data Report with the aforementioned amendments. This was seconded by Ms. Wright and the motion passed unanimously. BFP ED Board Report Ms. Holmes shared March is National Professional Social Work Month and the agency has been featuring staff members across the family of agencies in social media news feeds; highlighting their commitment, dedication and the work they do in the field in support of Brevard's children. They will also be recognized in the March News Letter. She then noted April is Child Abuse Prevention Month and a calendar of activities and events has been provided to board members. Ms. Holmes then reported in partnership with Family Allies, BFP has re-initiated the Casey Permanency Roundtables (PRT) with a training scheduled on March 26 th with 85 attendees from across the community of practice to include Children's Legal Services, DCF, Guardian Ad Litem, as well as BFP and Family Allies staff. The purpose of the Values convening is to inspire thinking and learning ways to expedite permanency and the actual PRT's are scheduled in April with a focus on children who have been in care in access of 18 months. Ms. Holmes shared The Annual Youth Summit is scheduled for June 22 at the Holiday Inn in Viera and Mr. Jared Vermillon has been secured as the keynote speaker for the event. She added Mr. Vermillon attended the most recent National Wraparound Training Institute, resides in Davie, California; He is a former consumer, a parent advocate and Wraparound Champion. She noted the youth attending the Brevard Youth Leadership Academy will be graduating in April and will be recognized at the Summit for their accomplishments. Ms. Holmes spoke about the Newco inaugural board meeting and stated the Board came to a consensus on the company name: Systems of Care Technology Solutions. The BFP Staff Attorney is in the process of preparing the Articles of Incorporation as a registered agent/business and will provide a draft at the next Board Meeting. She then indicated the Board discussed potential new business opportunities for the C.A.R.E.S. Data Platform which was named the Wraparound Children's Management System (CMS). Ms. Holmes reported that the Erie County New York Contract has been executed; She, Dr. Nellius and Mr. Tracy Little will be traveling to New York the first week of June to provide Consultation, Technical Assistance, and help practioners move into a high fidelity practice model. Ms. Holmes stated during the 3 rd Quarter of every Fiscal Year, a gap analysis survey is initiated through the Contracts and Compliance Department and sent to community stakeholders to obtain feedback on gaps within the current service delivery systems; the feedback is then analyzed to plan, implement and project needs for the new fiscal year. Ms. Holmes reminded members on April 22 nd , (in lieu of the Board Meeting); a Strategic Planning Workshop will be held at the Crowne Plaza from 8:30-12:00. The agenda will include a legislative update from Dixie Sansom, a summary of the progress and current status of the Family of Agencies Organizational Assessment and an overview of the FY 17/18 Strategic Plan through the end of Quarter 3. Ms. Holmes confirmed there will be no board meeting following the Strategic Planning Session. Interim CEO Board Report Mr. Carlson informed members that the Florida Legislatures concluded their 2018 session on March 9, 2018. He then shared on March 6 th The NCFIE's $150,000 appropriation to fund for the Volusia/Flagler expansion was removed from consideration along with over 60 appropriation requests in order to fund for heightened school security. He and Dr. Nellius met with Mr. Mark Jones, CEO for Community Partnership for Children - Volusia/Flagler pilot to discuss additional revenue streams to support the C.A.R.E.S. implementation. Mr. Carlson then reviewed the state budget for FY 18-19 which includes the following appropriations that support child welfare: $4.5 million for FSFN enhancements that improve eligibility determinations for IV-E $1.59 million to support transition from FSFN to CCWIS $15 million for risk pool in FY 18-19 $5.7 million to maximize eligibility and claiming of IV-E $2.25 million in adoption incentive funding $10.4 million converting 2017 non-recurring funding to recurring $7.6 million for IL services, and extend MAS payments to 21 for children adopted at age 16 and 17 $8.1 million for Safety Management Services $20.1 million "Back of the bill" funding to make CBC agencies whole over the past 2 fiscal years Mr. Carlson stated that the initial IV-E case review indicated that BFP is currently at a 65% penetration rate and the BFP revenue maximization staff will be meeting with CLS attorneys to ensure the orders are corrected in FSFN and going forward ensure eligibility is captured for children meeting the criteria. Mr. Carlson informed members that the BFP family of agencies Leadership Team has scheduled a community fair on August 4 th at the Melbourne Square Mall and members will be apprised as developments progress. Mr. Carlson then directed members to the GALA Save the Date Flyers located in the front of their binders and asked that they be shared at community events where they are present. He noted Foster Parents will be invited to attend the event to share their experiences and Sheriff Ivey just completed a video on the importance of foster parenting. Mr. Carlson concluded his report sharing Brevard Business News will run a feature article recognizing Family Allies for their one year anniversary. Ms. Loftus asked for clarification on how the aforementioned appropriations will affect BFP. Mr. Carlson stated based on the $10.4 million non-recurring converted to recurring funds, dollar for dollar would be a wash to the agency. Based on projections, the Agency will stand to gain $250K from the $8.1 million Safety Management Services appropriations. Ms. Rich-New asked Mr. Carlson to expand on the conversation he had with Mr. Mark Jones with regard to securing revenue sources to support the Volusia/Flagler C.A.R.E.S. Implementation piloted. Mr. Carlson confirmed that Mr. Jones is committed to working with BFP to obtain funding; He has been in contact with local sources as well as the CBC's DCF Regional Manager. C.A.R.E.S. ED Report Ms. Powell shared Brevard C.A.R.E.S. hosted a half day Open Table Conference on February 24 th , with representatives from 5 congregations and 9 community organizations in attendance. She added the group was very engaged and excited about the opportunity to bring Open Table to the community. Ms. Powell shared in Partnership with Brevard Family Partnership; Brevard County hosted a community meeting to discuss a potential grant opportunity regarding the Expansion and Sustainability of the Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances. Ms. Powell then explained the grant funding process and indicated that the meeting was the first step in the application process and it will used to determine the structure of community partnerships, roles, responsibilities, and funding needs. Ms. Powell confirmed she has not experienced any challenges and the community has been very supportive. Ms. Powell reported April is Child Abuse Prevention Month; she then recapped the calendar of events provided to board members and extended an invitation. Family Allies ED Report Mr. Bucher shared one Case Management separation occurred in March, two in February, and two more separations are expected in April. He reported that Fiscal YTD turnover rate is 43.7% through February exceeding the projected annual target of 35%. The following proposed Career Progress and Compensation Structure have been developed to address future turnover: Care Manager Trainee – New hire salary offered during onboarding / pre-service training. The projected amount is a decrease from the current starting salary, which aligns with other CBC approaches. Care Manager Level 1 – Level attained by a Care Manager once they pass the written pre-service test and obtains Provisional Certification. There is a salary increase provided upon successful completion of the test, which is the same level that is currently provided. Care Manager Level 2 –Level attained by a Care Manager once they receive Full Certification (generally 1 year after becoming provisionally certified). There is a salary increase provided upon successful receipt of certification, which is the same level that is currently provided. Care Manager Level 3 –New career progression path for Care Managers who want to continue with professional development in their position as a Care Manager and do not have an interest in mentoring or supervision. Staff will receive professional development training and a salary increase. Care Manager Level 4 – New career progression path for Care Managers who serve as mentors/peer support to trainees, provisionally certified staff, and interns. Staff will receive mentor training and coaching and a salary increase. Care Manager Level 5 – New career progression path for Care Managers who have an interest in development as a Supervisor and will have a protected caseload in order to attend trainings and serve in acting Supervisor capacity. Staff will receive supervision training and coaching and a salary increase. Care Manager Supervisor– Proposed new minimum salary increase to align Supervisor compensation with other CBC/DCF CPI. Mr. Bucher shared the projected deficit related to personnel (salaries, benefits, overtime) and travel (mileage) is slightly lower than originally reported last month due to a reduction in overtime. He thanked Mr. Carlson for his assistance in contacting outside providers to assist with transporting children, which has been a great relief to case management staff. Mr. Bucher then spoke about Out of Home Care (OHC) reviews and stated in March reviews are being conducted for all children in OHC 12 to 18 months or longer and will be candidates for the Permanency Round Tables (PRT) scheduled in April. He noted, in advance of the PRT's, the Casey Family Programs will be conducting Permanency Values training with the Brevard System of Care on March 26 th . Mr. Bucher shared He and Ms. Katie Guemple delivered a presentation to the Guardian Ad Litem on Family Allies progress and discussed the challenges and opportunities to improve communication with the Guardian ad litem staff and volunteers. Mr. Bucher was pleased to report of the number children in out of home care last fiscal year; 50% have achieved permanency and expects an increase over the next three months remaining in the current fiscal year. Mr. Bucher concluded his report stating service center clean-up has begun and during the initial clean-up it was discovered it will take longer than a single day as originally anticipated. Ms. Rich-New commended Mr. Bucher on his Career Progress and Compensation Structure and asked how long before implementation and notification to staff. Mr. Bucher anticipates rolling out the structure by July 1 FY'2018. Mr. Smith then asked Ms. Powell to introduce the guests. Ms. Powell introduced Ms. Sandra Daniels, a client referred by DCF, and staff member Ms. Kristen Perozzi, Post Adoption Support Coordinator; assigned to assist Ms. Daniels. Ms. Perozzi then shared it has been an absolute pleasure working with Ms. Daniels and commended her for her hard work, dedication and commitment in handling her care plan. Ms. Daniels then shared her experience with DCF and her referral to Brevard C.A.R.E.S. prevention program. She commended Ms. Perozzi for making her feel comfortable and working closely with her to achieve her care plan requirements during transition. Mr. Smith thanked Ms. Perozzi and Ms. Daniels for sharing their experience. Consultant Board Report Dr. Nellius could not be present and Mr. Carlson provided the following overview of the Consultant Board Report: - Dr. Nellius received a 30% survey response rate. - The CEO Search committee has convened 2 subcommittee meetings to date. By direction of the committee Mr. Dan Rogers and Ms. Stephanie Strodtman have accepted invitations to serve on the committee. - Mr. Carlson shared Mr. Tracy Little is currently on site at the Volusia/Flagler CBC training the new staff members. - The next Wraparound Certification Training is scheduled for May 15th. Ms. Holmes and Mr. Little are working with Dr. Nellius to revise the curriculum. - The application to become a CEU provider has been submitted to CE Broker and approved. - Dr. Nellius continues to review the Family First Prevention Services Act (FFPSA) looking for opportunities for the System of Care and how to best position the agency. - Mr. Carlson and Dr. Nellius met to review the Budget for the next fiscal year. Mr. Carlson shared that the NCFIE Board of Directors moved to approve Mr. Johnathan Cloud for a seat on its Board. Mr. Smith then welcomed Mr. Adam Bouchard of Bouchard Insurance. Mr. Bouchard distributed the BFP and Family Allies Insurance Summaries and provided an overview of the insurance coverages with respect to Property, Electronic Data Processing, and Commercial/Management Liability to include any Auto, and Cyber for BFP, Brevard C.A.R.E.S. and for NCFIE. He then indicated Family Allies has a separate policy and he provided an overview with respect to Property, Electronic Data Processing, and Commercial/Management Liability to include any Auto, and Cyber. Mr. Bouchard confirmed that staff members across the family of agencies using rental vehicles are covered under the policy. Dr. Howes asked about insurance coverage for the new company: Systems of Care Technology Solutions (SOCTS). Ms. Holmes indicated SOCTS is not yet operational; however insurance was discussed at the last board meeting and information is forth coming. Mr. Smith then asked Dr. Howes to address the C.A.R.E.S. Board Chair approval. Dr. Howes indicated the BFP Board of Directors appointed him as Chair of the Brevard C.A.R.E.S. Board and he has served in the role for a year and resigned pending a replacement. Dr. Howes reported he will remain on the board as a community member and the C.A.R.E.S. Board voted Mr. Dan Rogers to serve as Board Chair. Mr. Rogers has a long history in child welfare and has served on the C.A.R.E.S. board for a year. Ms. Powell added Mr. Rogers was the former Chief Probation Officer for circuit 18; Brevard County working very closely with BFP and C.A.R.E.S. and attending the Rally in Tally and Children's week advocating for the legislative priorities. Motion: Dr. Howes moved to appoint Mr. Dan Rogers to Board Chair of the Brevard C.A.R.E.S. Board of Directors. This was seconded by Ms. Wright and the motion passed unanimously. Ms. Powell then shared the C.A.R.E.S. board has approved two perspective board members and is seeking a motion to approve: Ms. Rosanna Malbran is a medical professional working in administration/research and she is looking forward to advocating and working to support families in the community. Ms. Christa Bailey formerly served as a community board member on the BFP Board and served as the Board Chair for Brevard C.A.R.E.S. Due to life circumstances and raising her two adoptive children; she needed to step down from both positions for a period of time; she is now able serve on the Board of Directors. Motion: Dr. Howes moved to approve Ms. Rosanna Malbran and Ms. Christa Bailey to serve on the Brevard C.A.R.E.S. Board of Directors. This was seconded by Ms. Loftus and the motion passed unanimously. Mr. Smith reminded members that the policy GOV018 Crises and Media Communication was posted to the board portal for review in advance of the meeting. He is now seeking a motion. Motion: Dr. Howes moved to approve the GOV018 Crises and Media Communication Policy. This was seconded by Ms. Loftus and the motion passed unanimously. Mr. Carlson then directed members to the Berkshire Associates letter confirming an independent audit was performed and although not a violation per the regulations, the agency did not meet the utilization goal for Individuals with Disabilities or the hiring benchmark for Protected Veterans. In addition, for the previous plan year, July 1, 2016 - June 30, 2017, there were no statistically significant placement goals or statistically significant adverse impact for employee selection, promotions, or terminations. Financials Mr. Carlson directed members to the Statement of Revenues & Expenditures and reviewed the areas significantly over budget: - Salaries & Benefits is over and attributed to a o% vacancy rate; meaning every position is filled. - Insurance is over as premiums are front loaded and it is expected to level out by the 4 th quarter. - Professional & Consulting fees are over due to the consulting contract with Dr. Nellius approved by the BFP Board and implemented in November 2017. - Adoption through February is over budget and DCF has submitted a contract amendment to fully fund the deficit. - The budget deficit to date lands at $235k. Mr. Carlson noted that an assessment will be made in the 3 rd quarter and any projected deficit through the end of the FY will be submitted to DCF with a request for back of the bill funding. Risk Management Subcommittee Ms. Loftus reported at the last convening Ms. Grier provided the committee with a 2 nd Quarter overview of the internal risk review activities and there were no material issues to speak of. Ms. Loftus then shared the team then reviewed the mitigation plan developed to closely monitor the IV-E Waiver issues and has since determined that the name should be the IV-E Waiver management plan as it better depicts the ongoing review of the plan. She then reminded members that the committee had discussions the prior month concerning the potential opioid class action suit and how to quantify the impact on the agency, how many resources and the effort it would take to collect the data, and how the agency would participate. She stated the team performed an exercise and collected data that shows a high level ability to track substance abuse and the committee is still monitoring for potential participation in the law suit. Ms. Loftus then shared Mr. Bucher presented the committee with preliminary data for options to mitigate the risks pertaining to Family Allies' transportation costs. Marketing Subcommittee Mr. Carlson shared the committee met with the Artemis team this week on the website design refresh. He indicated that the new website will be launched in April for selected focus groups to access and provide their feedback on the layout. Donor Relations Mr. Carlson reminded members that he has provided Save the Dates Post Flyers for the Gala and he will also have Ms. Blackburn send electronically sponsor packets <cursor_is_here> He noted that he will be meeting with community business leaders to line up sponsorships for the Gala. Mr. Carlson shared the Heinz Grant has been approved for the second year in the row. Mr. Carlson reported a grant application was submitted to the Baulda Corporation last month to fund a portion of the Fast Track GED Program and the decision is pending. Ms. Loftus reminded board members that a private donation pledge form has been provided to members to complete and return to Ms. Blackburn by the end of the board meeting. Mr. Smith then reported the Executed Search Committee has recruited two new members and the March 23 rd meeting has been cancelled and will be rescheduled to a date to be determined. He shared the committee continues to review the strengths and scope of the CEO job description and the executive search process. Mr. Smith then noted that the board subcommittee roster is located in the back of the board binder and will be removed from the agenda. Dr. Howes asked if Mr. Carlson should be added to the Board Executive Subcommittee seeing he was in attendance. Mr. Smith indicated that Ms. Holmes should remain as the ex officio and Mr. Carlson is welcome to sit in. Mr. Smith asked for Mr. Maloney to report out on Strategic Plan Goal 2a status update: - Protect children while strengthening families. - Customize services to meet the unique needs of each child and family 2a. Implement Pathways to Permanency & Well-being initiative including: - Trauma sensitive approaches - Promoting family stability - Fostering linkages to community resources and supports Reinvigorate Family Finders strategy to ensure children have connections while in care Focus attention on development of additional natural and informal support systems Expand mentoring programs for families using parent peers or past successful consumer Mr. Maloney indicated that the champions for the goal are Mr. Tracy Little for Pathways to Permanency and Well-being and Mr. Bucher for the family finder with case management and that he has not received updates for the goal as Mr. Little has been away training. He asked to defer this to next board meeting. Mr. Smith agreed. Mr. Bucher indicated a case management support unit was developed and the two employees are transitioning into their positions; he will be in a better position to provide an update at the next board meeting. Public Comments None were expressed Motion: Ms. Loftus moved to Adjourn. This was seconded by Ms. Long and the motion passed unanimously. Respectfully Submitted, Laurie Anna Blackburn Board Liaison Approved at the May 24, 2018 Brevard Family Partnership Board of Directors Meeting. </text>	[ { "content": "<url>\nhttp://brevardfp.org/wordpress/wp-content/uploads/2018/05/3.22.2018-Meeting-Minutes.-Approved-May-24-2018.pdf\n</url>\n<text>\nBOARD OF DIRECTORS March 22, 2018 Minutes\n\nAttendees: Mr. Eric Smith, Board Chair, Dr. Greg Howes, Board Vice Chair, Ms. Barb Loftus, Treasurer, Ms. Ruth Long and Ms. Catherine Wright.\n\nAttendees by Phone: Ms. Kathleen Rich-New\n\nMembers Absent: Mr. Mark Peterson, Ms. Andrea Betting, Mr. Stockton Whitten\n\nOthers in Attendance: James Carlson, Interim CEO, Valerie Holmes, BFP Executive Director, Ms. Laurie Anna Blackburn, Board Liaison, Ms. Debbie Davidson-Cook, Mr. Kevin Maloney, Ms. Phebe Powell, C.A.R.E.S. Mr. Bill Bucher, Family Allies, Amy Hammett, DCF, Anna Baznik, IMPOWER, Mr. Adam Bouchard, Bouchard Insurance, Ms. Sandra Daniels, Guest, Ms. Kristen Perozzi, Brevard C.A.R.E.S.\n\nMr. Smith opened the meeting, welcomed and thanked everyone for attending the March 22, 2018 BFP Board of Directors meeting and asked all to state their names for the record.\n\nMotion: Ms. Wright moved to approve the March 22, 2018 Draft Agenda. This was seconded by Ms. Long and the motion passed unanimously.\n\nMr. Smith then reminded members that if anyone had a real or perceived conflict of interest to please complete the Conflict of Interest form (available at the meeting). No conflicts were presented.\n\nMr. Smith asked Ms. Powell for guest introductions. Ms. Powell indicated that her guest is running late.\n\nMr. Smith moved to the next order of business.\n\nMotion: Ms. Loftus moved to approve the February 22, 2018 Board Meeting Minutes. This was seconded by Ms. Wright and the motion passed unanimously.\n\nConsent Agenda\n\nMr. Maloney amended the February data report as follows:\n\n- Measure 5: 54.1\n\n- Measure 7: 86.\n\n- Measure 8: 3.35\n\n- Measure 12: 59.8\n\nMotion: Dr. Howes moved to approve the Board Data Report with the aforementioned amendments. This was seconded by Ms. Wright and the motion passed unanimously.\n\nBFP ED Board Report\n\nMs. Holmes shared March is National Professional Social Work Month and the agency has been featuring staff members across the family of agencies in social media news feeds; highlighting their commitment, dedication and the work they do in the field in support of Brevard's children. They will also be recognized in the March News Letter. She then noted April is Child Abuse Prevention Month and a calendar of activities and events has been provided to board members.\n\nMs. Holmes then reported in partnership with Family Allies, BFP has re-initiated the Casey Permanency Roundtables (PRT) with a training scheduled on March 26 th with 85 attendees from across the community of practice to include Children's Legal Services, DCF, Guardian Ad Litem, as well as BFP and Family Allies staff. The purpose of the Values convening is to inspire thinking and learning ways to expedite permanency and the actual PRT's are scheduled in April with a focus on children who have been in care in access of 18 months.\n\nMs. Holmes shared The Annual Youth Summit is scheduled for June 22 at the Holiday Inn in Viera and Mr. Jared Vermillon has been secured as the keynote speaker for the event. She added Mr. Vermillon attended the most recent National Wraparound Training Institute, resides in Davie, California; He is a former consumer, a parent advocate and Wraparound Champion. She noted the youth attending the Brevard Youth Leadership Academy will be graduating in April and will be recognized at the Summit for their accomplishments.\n\nMs. Holmes spoke about the Newco inaugural board meeting and stated the Board came to a consensus on the company name: Systems of Care Technology Solutions. The BFP Staff Attorney is in the process of preparing the Articles of Incorporation as a registered agent/business and will provide a draft at the next Board Meeting. She then indicated the Board discussed potential new business opportunities for the C.A.R.E.S. Data Platform which was named the Wraparound Children's Management System (CMS).\n\nMs. Holmes reported that the Erie County New York Contract has been executed; She, Dr. Nellius and Mr. Tracy Little will be traveling to New York the first week of June to provide Consultation, Technical Assistance, and help practioners move into a high fidelity practice model.\n\nMs. Holmes stated during the 3 rd Quarter of every Fiscal Year, a gap analysis survey is initiated through the Contracts and Compliance Department and sent to community stakeholders to obtain feedback on gaps within the current service delivery systems; the feedback is then analyzed to plan, implement and project needs for the new fiscal year.\n\nMs. Holmes reminded members on April 22 nd , (in lieu of the Board Meeting); a Strategic Planning Workshop will be held at the Crowne Plaza from 8:30-12:00. The agenda will include a legislative update from Dixie Sansom, a summary of the progress and current status of the Family of Agencies Organizational Assessment and an overview of the FY 17/18 Strategic Plan through the end of Quarter 3. Ms. Holmes confirmed there will be no board meeting following the Strategic Planning Session.\n\nInterim CEO Board Report\n\nMr. Carlson informed members that the Florida Legislatures concluded their 2018 session on March 9, 2018. He then shared on March 6 th The NCFIE's $150,000 appropriation to fund for the Volusia/Flagler expansion was removed from consideration along with over 60 appropriation requests in order to fund for heightened school security. He and Dr. Nellius met with Mr. Mark Jones, CEO for Community Partnership for Children - Volusia/Flagler pilot to discuss additional revenue streams to support the C.A.R.E.S. implementation.\n\nMr. Carlson then reviewed the state budget for FY 18-19 which includes the following appropriations that support child welfare:\n\n$4.5 million for FSFN enhancements that improve eligibility determinations for IV-E\n$1.59 million to support transition from FSFN to CCWIS\n$15 million for risk pool in FY 18-19\n$5.7 million to maximize eligibility and claiming of IV-E\n$2.25 million in adoption incentive funding\n$10.4 million converting 2017 non-recurring funding to recurring\n\n$7.6 million for IL services, and extend MAS payments to 21 for children adopted at age 16\n\nand 17\n\n$8.1 million for Safety Management Services\n$20.1 million \"Back of the bill\" funding to make CBC agencies whole over the past 2 fiscal years\n\nMr. Carlson stated that the initial IV-E case review indicated that BFP is currently at a 65% penetration rate and the BFP revenue maximization staff will be meeting with CLS attorneys to ensure the orders are corrected in FSFN and going forward ensure eligibility is captured for children meeting the criteria.\n\nMr. Carlson informed members that the BFP family of agencies Leadership Team has scheduled a community fair on August 4 th at the Melbourne Square Mall and members will be apprised as developments progress.\n\nMr. Carlson then directed members to the GALA Save the Date Flyers located in the front of their binders and asked that they be shared at community events where they are present. He noted Foster Parents will be invited to attend the event to share their experiences and Sheriff Ivey just completed a video on the importance of foster parenting.\n\nMr. Carlson concluded his report sharing Brevard Business News will run a feature article recognizing Family Allies for their one year anniversary.\n\nMs. Loftus asked for clarification on how the aforementioned appropriations will affect BFP. Mr. Carlson stated based on the $10.4 million non-recurring converted to recurring funds, dollar for dollar would be a wash to the agency. Based on projections, the Agency will stand to gain $250K from the $8.1 million Safety Management Services appropriations.\n\nMs. Rich-New asked Mr. Carlson to expand on the conversation he had with Mr. Mark Jones with regard to securing revenue sources to support the Volusia/Flagler C.A.R.E.S. Implementation piloted. Mr. Carlson confirmed that Mr. Jones is committed to working with BFP to obtain funding; He has been in contact with local sources as well as the CBC's DCF Regional Manager.\n\nC.A.R.E.S. ED Report\n\nMs. Powell shared Brevard C.A.R.E.S. hosted a half day Open Table Conference on February 24 th , with representatives from 5 congregations and 9 community organizations in attendance. She added the group was very engaged and excited about the opportunity to bring Open Table to the community.\n\nMs. Powell shared in Partnership with Brevard Family Partnership; Brevard County hosted a community meeting to discuss a potential grant opportunity regarding the Expansion and Sustainability of the Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances. Ms. Powell then explained the grant funding process and indicated that the meeting was the first step in the application process and it will used to determine the structure of community partnerships, roles, responsibilities, and funding needs. Ms. Powell confirmed she has not experienced any challenges and the community has been very supportive.\n\nMs. Powell reported April is Child Abuse Prevention Month; she then recapped the calendar of events provided to board members and extended an invitation.\n\nFamily Allies ED Report\n\nMr. Bucher shared one Case Management separation occurred in March, two in February, and two more separations are expected in April. He reported that Fiscal YTD turnover rate is 43.7% through February exceeding the projected annual target of 35%. The following proposed Career Progress and Compensation Structure have been developed to address future turnover:\n\nCare Manager Trainee – New hire salary offered during onboarding / pre-service training. The projected amount is a decrease from the current starting salary, which aligns with other CBC approaches.\n\nCare Manager Level 1 – Level attained by a Care Manager once they pass the written pre-service test and obtains Provisional Certification. There is a salary increase provided upon successful completion of the test, which is the same level that is currently provided.\n\nCare Manager Level 2 –Level attained by a Care Manager once they receive Full Certification (generally 1 year after becoming provisionally certified). There is a salary increase provided upon successful receipt of certification, which is the same level that is currently provided.\n\nCare Manager Level 3 –New career progression path for Care Managers who want to continue with professional development in their position as a Care Manager and do not have an interest in mentoring or supervision. Staff will receive professional development training and a salary increase.\n\nCare Manager Level 4 – New career progression path for Care Managers who serve as mentors/peer support to trainees, provisionally certified staff, and interns. Staff will receive mentor training and coaching and a salary increase.\n\nCare Manager Level 5 – New career progression path for Care Managers who have an interest in development as a Supervisor and will have a protected caseload in order to attend trainings and serve in acting Supervisor capacity. Staff will receive supervision training and coaching and a salary increase. Care Manager Supervisor– Proposed new minimum salary increase to align Supervisor compensation with other CBC/DCF CPI.\n\nMr. Bucher shared the projected deficit related to personnel (salaries, benefits, overtime) and travel (mileage) is slightly lower than originally reported last month due to a reduction in overtime. He thanked Mr. Carlson for his assistance in contacting outside providers to assist with transporting children, which has been a great relief to case management staff.\n\nMr. Bucher then spoke about Out of Home Care (OHC) reviews and stated in March reviews are being conducted for all children in OHC 12 to 18 months or longer and will be candidates for the Permanency Round Tables (PRT) scheduled in April. He noted, in advance of the PRT's, the Casey Family Programs will be conducting Permanency Values training with the Brevard System of Care on March 26 th .\n\nMr. Bucher shared He and Ms. Katie Guemple delivered a presentation to the Guardian Ad Litem on Family Allies progress and discussed the challenges and opportunities to improve communication with the Guardian ad litem staff and volunteers.\n\nMr. Bucher was pleased to report of the number children in out of home care last fiscal year; 50% have achieved permanency and expects an increase over the next three months remaining in the current fiscal year.\n\nMr. Bucher concluded his report stating service center clean-up has begun and during the initial clean-up it was discovered it will take longer than a single day as originally anticipated.\n\nMs. Rich-New commended Mr. Bucher on his Career Progress and Compensation Structure and asked how long before implementation and notification to staff. Mr. Bucher anticipates rolling out the structure by July 1 FY'2018.\n\nMr. Smith then asked Ms. Powell to introduce the guests. Ms. Powell introduced Ms. Sandra Daniels, a client referred by DCF, and staff member Ms. Kristen Perozzi, Post Adoption Support Coordinator; assigned to assist Ms. Daniels. Ms. Perozzi then shared it has been an absolute pleasure working with Ms. Daniels and commended her for her hard work, dedication and commitment in handling her care plan. Ms. Daniels then shared her experience with DCF and her referral to Brevard C.A.R.E.S. prevention program. She commended Ms. Perozzi for making her feel comfortable and working closely with her to achieve her care plan requirements during transition. Mr. Smith thanked Ms. Perozzi and Ms. Daniels for sharing their experience.\n\nConsultant Board Report\n\nDr. Nellius could not be present and Mr. Carlson provided the following overview of the Consultant Board Report:\n\n- Dr. Nellius received a 30% survey response rate.\n\n- The CEO Search committee has convened 2 subcommittee meetings to date. By direction of the committee Mr. Dan Rogers and Ms. Stephanie Strodtman have accepted invitations to serve on the committee.\n- Mr. Carlson shared Mr. Tracy Little is currently on site at the Volusia/Flagler CBC training the new staff members.\n- The next Wraparound Certification Training is scheduled for May 15th. Ms. Holmes and Mr. Little are working with Dr. Nellius to revise the curriculum.\n- The application to become a CEU provider has been submitted to CE Broker and approved.\n- Dr. Nellius continues to review the Family First Prevention Services Act (FFPSA) looking for opportunities for the System of Care and how to best position the agency.\n- Mr. Carlson and Dr. Nellius met to review the Budget for the next fiscal year.\n\nMr. Carlson shared that the NCFIE Board of Directors moved to approve Mr. Johnathan Cloud for a seat on its Board.\n\nMr. Smith then welcomed Mr. Adam Bouchard of Bouchard Insurance.\n\nMr. Bouchard distributed the BFP and Family Allies Insurance Summaries and provided an overview of the insurance coverages with respect to Property, Electronic Data Processing, and Commercial/Management Liability to include any Auto, and Cyber for BFP, Brevard C.A.R.E.S. and for NCFIE. He then indicated Family Allies has a separate policy and he provided an overview with respect to Property, Electronic Data Processing, and Commercial/Management Liability to include any Auto, and Cyber. Mr. Bouchard confirmed that staff members across the family of agencies using rental vehicles are covered under the policy.\n\nDr. Howes asked about insurance coverage for the new company: Systems of Care Technology Solutions (SOCTS). Ms. Holmes indicated SOCTS is not yet operational; however insurance was discussed at the last board meeting and information is forth coming.\n\nMr. Smith then asked Dr. Howes to address the C.A.R.E.S. Board Chair approval.\n\nDr. Howes indicated the BFP Board of Directors appointed him as Chair of the Brevard C.A.R.E.S. Board and he has served in the role for a year and resigned pending a replacement. Dr. Howes reported he will remain on the board as a community member and the C.A.R.E.S. Board voted Mr. Dan Rogers to serve as Board Chair. Mr. Rogers has a long history in child welfare and has served on the C.A.R.E.S. board for a year. Ms. Powell added Mr. Rogers was the former Chief Probation Officer for circuit 18; Brevard County working very closely with BFP and C.A.R.E.S. and attending the Rally in Tally and Children's week advocating for the legislative priorities.\n\nMotion: Dr. Howes moved to appoint Mr. Dan Rogers to Board Chair of the Brevard C.A.R.E.S. Board of Directors. This was seconded by Ms. Wright and the motion passed unanimously.\n\nMs. Powell then shared the C.A.R.E.S. board has approved two perspective board members and is seeking a motion to approve:\n\nMs. Rosanna Malbran is a medical professional working in administration/research and she is looking forward to advocating and working to support families in the community.\n\nMs. Christa Bailey formerly served as a community board member on the BFP Board and served as the Board Chair for Brevard C.A.R.E.S. Due to life circumstances and raising her two adoptive children; she needed to step down from both positions for a period of time; she is now able serve on the Board of Directors.\n\nMotion: Dr. Howes moved to approve Ms. Rosanna Malbran and Ms. Christa Bailey to serve on the Brevard C.A.R.E.S. Board of Directors. This was seconded by Ms. Loftus and the motion passed unanimously.\n\nMr. Smith reminded members that the policy GOV018 Crises and Media Communication was posted to the board portal for review in advance of the meeting. He is now seeking a motion.\n\nMotion: Dr. Howes moved to approve the GOV018 Crises and Media Communication Policy. This was seconded by Ms. Loftus and the motion passed unanimously.\n\nMr. Carlson then directed members to the Berkshire Associates letter confirming an independent audit was performed and although not a violation per the regulations, the agency did not meet the utilization goal for Individuals with Disabilities or the hiring benchmark for Protected Veterans. In addition, for the previous plan year, July 1, 2016 - June 30, 2017, there were no statistically significant placement goals or statistically significant adverse impact for employee selection, promotions, or terminations.\n\nFinancials\n\nMr. Carlson directed members to the Statement of Revenues & Expenditures and reviewed the areas significantly over budget:\n\n- Salaries & Benefits is over and attributed to a o% vacancy rate; meaning every position is filled.\n- Insurance is over as premiums are front loaded and it is expected to level out by the 4 th quarter.\n- Professional & Consulting fees are over due to the consulting contract with Dr. Nellius approved by the BFP Board and implemented in November 2017.\n- Adoption through February is over budget and DCF has submitted a contract amendment to fully fund the deficit.\n- The budget deficit to date lands at $235k.\n\nMr. Carlson noted that an assessment will be made in the 3 rd quarter and any projected deficit through the end of the FY will be submitted to DCF with a request for back of the bill funding.\n\nRisk Management Subcommittee\n\nMs. Loftus reported at the last convening Ms. Grier provided the committee with a 2 nd Quarter overview of the internal risk review activities and there were no material issues to speak of. Ms. Loftus then shared the team then reviewed the mitigation plan developed to closely monitor the IV-E Waiver issues and has since determined that the name should be the IV-E Waiver management plan as it better depicts the ongoing review of the plan.\n\nShe then reminded members that the committee had discussions the prior month concerning the potential opioid class action suit and how to quantify the impact on the agency, how many resources and the effort it would take to collect the data, and how the agency would participate. She stated the team performed an exercise and collected data that shows a high level ability to track substance abuse and the committee is still monitoring for potential participation in the law suit.\n\nMs. Loftus then shared Mr. Bucher presented the committee with preliminary data for options to mitigate the risks pertaining to Family Allies' transportation costs.\n\nMarketing Subcommittee\n\nMr. Carlson shared the committee met with the Artemis team this week on the website design refresh. He indicated that the new website will be launched in April for selected focus groups to access and provide their feedback on the layout.\n\nDonor Relations\n\nMr. Carlson reminded members that he has provided Save the Dates Post Flyers for the Gala and he will also have Ms. Blackburn send electronically sponsor packets <cursor_is_here>\n\nHe noted that he will be meeting with community business leaders to line up sponsorships for the Gala.\n\nMr. Carlson shared the Heinz Grant has been approved for the second year in the row.\n\nMr. Carlson reported a grant application was submitted to the Baulda Corporation last month to fund a portion of the Fast Track GED Program and the decision is pending.\n\nMs. Loftus reminded board members that a private donation pledge form has been provided to members to complete and return to Ms. Blackburn by the end of the board meeting.\n\nMr. Smith then reported the Executed Search Committee has recruited two new members and the March 23 rd meeting has been cancelled and will be rescheduled to a date to be determined. He shared the committee continues to review the strengths and scope of the CEO job description and the executive search process.\n\nMr. Smith then noted that the board subcommittee roster is located in the back of the board binder and will be removed from the agenda. Dr. Howes asked if Mr. Carlson should be added to the Board Executive Subcommittee seeing he was in attendance. Mr. Smith indicated that Ms. Holmes should remain as the ex officio and Mr. Carlson is welcome to sit in.\n\nMr. Smith asked for Mr. Maloney to report out on Strategic Plan Goal 2a status update:\n\n- Protect children while strengthening families.\n- Customize services to meet the unique needs of each child and family\n\n2a. Implement Pathways to Permanency & Well-being initiative including:\n\n- Trauma sensitive approaches\n- Promoting family stability\n- Fostering linkages to community resources and supports\n\nReinvigorate Family Finders strategy to ensure children have connections while in care\n\nFocus attention on development of additional natural and informal support systems\n\nExpand mentoring programs for families using parent peers or past successful consumer\n\nMr. Maloney indicated that the champions for the goal are Mr. Tracy Little for Pathways to Permanency and Well-being and Mr. Bucher for the family finder with case management and that he has not received updates for the goal as Mr. Little has been away training. He asked to defer this to next board meeting. Mr. Smith agreed. Mr. Bucher indicated a case management support unit was developed and the two employees are transitioning into their positions; he will be in a better position to provide an update at the next board meeting.\n\nPublic Comments\n\nNone were expressed\n\nMotion: Ms. Loftus moved to Adjourn. This was seconded by Ms. Long and the motion passed unanimously.\n\nRespectfully Submitted,\n\nLaurie Anna Blackburn Board Liaison\n\nApproved at the May 24, 2018 Brevard Family Partnership Board of Directors Meeting.\n</text>\n", "role": "user" }, { "content": "to share with the board.", "role": "assistant" } ]
CONFIDENTIAL May 17, 2011 For: Hillary From: Sid Re: Hamas, Syria, Israel, etc. Everything is more complicated than even first-level cynical explanations. It seems likely that Syria's motive in encouraging Palestinian protestors to breach Israeli border barriers on "Nakba Day," resulting in Israeli overreaction, is not only to distract from its own internal crisis but also to undermine the Fatah-Hamas conciliation with Fayyad sustained as PM. David Lesch, professor of Middle East history at Trinity University in San Antonio, Texas, and author of one of the definitive books on modern Syria, "The New Lion of Damascus: Bashar al-Assad and Modern Syria," who is probably the single American with the most personal contact with Assad, told me on May 12, directly after his meeting with the Syrian ambassador, that the branch of Hamas headquartered at Damascus had departed that city. Either it had been expelled or left on its own accord to distance itself from Assad, his troubles and potential manipulation. This information has not been reported in the press. I have included below a private report from "Stratfor" that underscores that Syria is attacking the moderate wing of Hamas and the Palestinian accord. I have also included Lesch's most recent articles in the NYT and FT. He also privately briefed last week the Senate Foreign Relations Committee, before which he has publicly testified in the past. Tuesday, May 17, 2011 r OSTRATFOR.COM GDiary Archives Israel's Post-Nakba Crisis Though Syria initially gave the green light to Hamas to make amends with Fatah as a means of extracting Arab support in a time of internal stress, both Syria and Iran would share an interest in undermining the Hamas-Fatah reconciliation agreement and bolstering Hamas' hardliners in exile. This may explain why large numbers of Palestinian protesters were even permitted to mass in active military zones and breach border crossings with 1 UNCLASSIFIED U.S. Department of State Case No. F-2014-20439 Doc No. C05785571 Date: 09/30/2015 RELEASE IN FULL Israel in Syria and Lebanon while security authorities in these countries seemed to look the other way. Israel remains locked in internal turmoil following Sunday's deadly demonstrations on the cs Day of Nakba, or "Day of Catastrophe," a term Palestinians use to refer to the anniversary of the events that surrounded the birth of the modern state of Israel. Though the Israel Defense Forces (IDF) were bracing themselves for unrest within the Palestinian territories, they were caught unprepared when trouble began on the borders with Syria and Lebanon instead. Hundreds of Palestinian refugees on Israel's northern frontier trampled the fence and spilled across the armistice line on Sunday, prompting shooting by the IDF that killed 10 Palestinians and injured dozens of others. "With uncertainty rising on every Arab-Israeli frontier, Israel is coming face to face with the consequences of the Arab Spring." IDF Military Intelligence (MI) and Northern Command traded accusations in leaks to the Israeli, media Monday. The MI claimed a general warning had been issued to the Northern Command several days prior to Sunday, indicating that attempts would be made by Palestinians to escalate this year's protests and breach the border. However, the MI said, despite real-time intelligence on buses in Syria and Lebanon ferrying protesters to the border, the warning had been ignored by the Northern Command. The Northern Command countered that the warning by the MI was too general and the intelligence insufficient, resulting in failures by the IDF to provide back-up forces, crowd control equipment and clear lines of communication to disperse the demonstrations. Either way, much of the Nakba protest planning was done in public view on Facebook. Israel's political leadership, meanwhile, spoke in ominous tones of a bigger problem Israel will have on its hands as the revolutionary sentiment produced by the Arab Spring inevitably fuses itself with the Israeli-Palestinian conflict. As Israeli Intelligence Minister Dan Meridor said, "There is a change here and we haven't internalized it." Israeli Defense Minister Ehud Barak warned Sunday that this "may only be the beginning" of a new struggle between largely unarmed Palestinians and Israel, cautioning that "the danger is that more mass processions like these will appear, not necessarily near the border, but also other places," placing Israel under heavy pressure by allies and adversaries alike to negotiate a settlement with the Palestinians. With the Arab Spring sweeping across the region, STRATFOR early on pointed out Israel's conspicuous absence as a target of the unrest. Indeed, anti-Zionism and the exposure of covert relationships between unpopular Arab rulers and Israel made for a compelling rallying point by opposition movements seeking to overthrow their respective regimes. When two waves of Palestinian attacks hit Israel in late March and early April, it appeared that at least some Palestinian factions, including Hamas, were attempting to draw Israel into a military conflict in the Gaza Strip, one that would increase the already high level of stress on Egypt's new militaryled government. Yet, almost as quickly as the attacks subsided, Hamas, with approval from its backers in the Syrian regime, entered an Egyptian-mediated reconciliation process with Fatah in hopes of forming a unity government that would both break Hamas out of isolation and impose a Hamas-inclusive political reality on Israel. While those negotiations are still fraught with complications, they are occurring in the lead-up to the September U.N. General Assembly when the Palestinian government intends to ask U.N. members to recognize a unilateral declaration of Palestinian statehood on the 1967 borders with East Jerusalem as its capital. Israel thus has a very serious problem on its hands. As Barak said, the Nakba Day events could have been just the beginning. Palestinians in the Gaza Strip and West Bank, along with Palestinian refugees in neighboring Syria, Lebanon, Jordan and Egypt, could theoretically coalesce behind an all-too-familiar, but politically recharged campaign against Israel and bear down on Israel's frontiers. This time, taking cues from surrounding, largely nonviolent uprisings, Palestinians could wage a third intifada across state lines and place Israel in the position of using force against mostly unarmed protesters at a time when it is already facing mounting international pressure to negotiate with a Palestinian political entity that Israel does not regard as viable or legitimate. Israel does not only need to worry itself with Palestinian motives, either. Syria, where the exiled leaderships of Hamas and Palestinian Islamic Jihad are based, could use an Israeli-Palestinian conflict to distract from its intensifying crackdowns at home. Iran, facing obstacles in fueling unrest in its neighboring Arab states, could shift its efforts toward the Levant to threaten Israel. Though Syria initially gave the green light to llamas to make amends with Fatah as a means of extracting Arab support in a time of internal stress, both Syria and Iran would share an interest in undermining the Hamas-Fatah reconciliation agreement and bolstering llamas' hardliners in exile. This may explain why large numbers of Palestinian protesters were even permitted to mass in active military zones and breach border crossings with Israel in Syria and Lebanon while security authorities in these countries seemed to look the other way. The threat of a third Intifada carries significant repercussions for the surrounding Arab regimes as well. The Egyptian military-led government, in trying to forge reconciliation between Hamas and Fatah, is doing whatever it can to contain Hamas in Gaza, and thus contain Islamist opposition forces in its own country as it proceeds with a shaky political transition. The Hashemite kingdom in Jordan, while dealing with a far more manageable opposition than most of its counterparts, is intensely fearful of an uprising by its majority Palestinian population that could topple the regime. With uncertainty rising on every Arab-Israeli frontier, Israel is coming face to face with the consequences of the Arab Spring. As the Nakba Day protests demonstrated, Israel is also finding itself inadequately prepared. A confluence of interests still needs to converge to produce a third intifada, but the seeds of this conflict were also laid 'long ago. The New York Times March 29, 2011 The Syrian President I Know By DAVID W. LESCH San Antonio, Tex. WHERE has President Bashar al-Assad of Syria been this past week? Thousands of Syrians across the country have staged demonstrations against the government, and dozens of protesters have been reported killed by security forces. The cabinet was dismissed on Tuesday, although that's a meaningless gesture unless it's followed by real reform. Through it all Mr. Assad has remained so quiet that rumors were rampant that he had been overthrown. But while Syrians are desperate for leadership, it's not yet clear what sort of leader Mr. Assad is going to be. Will he be like his father, Hafez al-Assad, who during three decades in power gave the security forces virtually a free hand to maintain order and sanctioned the brutal repression of a violent Islamist uprising in the early 1980s? Or will he see this as an opportunity to take Syria in a new direction, fulfilling the promise ascribed to him when he assumed the presidency upon his father's death in 2000? Mr. Assad's background suggests he could go either way. He is a licensed ophthalmologist who studied in London and a computer nerd who likes the technological toys of the West; his wife, Asma, born in Britain to Syrian parents, was a banker at J. P. Morgan. On the other hand, he is a child of the Arab-Israeli conflict and the cold war. Contrary to American interests, he firmly believes Lebanon should be within Syria's sphere of influence, and he is a member of a minority Islamic sect, the Alawites, that has had a chokehold on power in Syria for decades. In 2004 and 2005, while writing a book on him, I had long interviews with Mr. Assad; after the book was published, I continued to meet with him as an unofficial liaison between Syria and the United States when relations between the two countries deteriorated. In that time I saw Mr. Assad evolve into a confident and battle-tested president. I also saw him being consumed by an inert Syrian system. Slowly, he replaced those of questionable loyalty with allies in the military, security services and in the government. But he does not have absolute power. He has had to bargain, negotiate and manipulate pockets of resistance inside the government and-the business community to bring about reforms, like allowing private banks and establishing a stock exchange, that would shift Syria's socialist-based system to a more market-oriented economy. But Mr. Assad also changed along the way. When I met with him during the Syrian presidential referendum in May 2007, he voiced an almost cathartic relief that the people really liked him Indeed, the outpouring of support for Mr. Assad would have been impressive if he had not been the only one running, and if half of it wasn't staged. As is typical for authoritarian leaders, he had begun to equate his well-being with that of his country, and the sycophants around him reinforced the notion. It was obvious that he was president for life. Still, I believed he had good intentions, if awkwardly expressed at times. Even with the escalating violence there, it's important to remember that Syria is not Libya and President Assad is not Col. Muammar el-Qaddafi. The crackdown on protesters doesn't necessarily indicate that he is tightening his grip on power; it may be that the secret police, long given too much leeway, have been taking matters into their own hands. What's more, anti-Assad elements should be careful what they wish for. Syria is ethnically and religiously diverse and, with the precipitous removal of central authority, it could very well implode like Iraq. That is why the Obama administration wants him to stay in power even as it admonishes him to choose the path of reform. Wednesday, President Assad is expected to announce that the country's almost 50-year emergency law, used to stifle opposition to the regime, is going to be lifted. But he needs to make other tough choices, including setting presidential term limits and dismantling the police state. He can change the course of Syria by giving up that with which he has become so comfortable. The unrest in Syria may have afforded President Assad one last chance at being something more than simply Hafez al-Assad's son. Addendum from the author: The world is strewn with unemployed dictators who blamed "a plot" and nameless "enemies" for their country's problems. Yet when President Bashar al-Assad did just that in his long-awaited speech to the nation today, he was exhibiting a typically Syrian conspiratorial mindset, one that will sway those of his citizens who were already primed to believe him. This, however, totally denies the genuine 5 socio-economic, political and personal frustration of ordinary Syrians that generated the protests to begin with. President Assad spoke of some reforms in a disappointingly ambiguous manner that is unlikely to quell the demonstrations. No one denies the difficulty of announcing, much less carrying out, serious reforms in a country like Syria. Certainly, Mr. Assad would have to bargain with a variety of the country's powerful established interests to get anything done. But he had the opportunity with this speech to build up a critical mass of public support for reform before a critical mass of opposition forms against him that would make anything he says too little, too late. Sadly, he did not do so. David W. Lesch, a professor of Middle East history at Trinity University, is the author of "The New Lion of Damascus: Bashar al-Asad and Modern Syria." Financial Times Why Assad will rise again — and then fall By David Lesch Published: May 10 2011 23:39 I Last updated: May 10 2011 23:39 Having met Bashar al-Assad, Syria's president, a number of times, I can say with confidence that he was startled when the tumult in the Arab world spread into his own country. Like so many autocrats over the years, he truly thought he was secure, and even popular. He liked to say that his country was "different". He certainly saw it as immune to the uprisings besetting other countries. His regime's mouthpieces of course echoed this, stressing that these states' elderly rulers were out-of-touch and corrupt American lackeys. The implication was that Mr Assad, at 45 young by the standards of fellow autocrats, understood the Arab youth, having faced down America and Israel and thus brandishing credentials that played well in the "Arab street". Only a month ago there was a debate in the west as to whether or not Mr Assad, who had long liked to present himself as different from his hardline father, would sanction a crackdown. Now, of course, that hope is over. He has relied on tanks and troops to repress protesters, killing nearly 600 people, according to human rights groups. Given the course of the past few years this should not be a surprise. One encounter I had with him is illuminating. It was in 2007 during the referendum to determine whether or not he would "win" another seven-year term in office. (His name was the only one on the ballot.) Then, amid parades reminiscent of the celebrations for Saddam Hussein, for the first time I felt he had succumbed to the aphrodisiac of power. The sycophants had convinced him Syria's well-being was synonymous with his and that he must hold on to power at all cost. So he appears now close to a reincarnation of his father, Hafiz al-Assad, who sanctioned the crackdown on Islamic militants in 1982. But now that he seems more confident of restoring control I suspect he believes he can again recover from the pariah status facing him. He did after all survive the fallout of the assassination of Rafiq Hariri in Lebanon in 2005 in which Syria was implicated. For now he has withdrawn into a sectarian fortress, apparently intent on maintaining his minority Alawite sect's hold on power. At critical times in his presidency, he has given in to the hardliners, particularly the Alawite generals who dominate the security apparatus. So how can he manoeuvre his way back to acceptability? As the crackdown continues, the international community has given him leeway fearing what might happen in Syria and the region should he fall. He seems to be using it to buy time to quell the uprising. Should the regime survive, I expect he will try to engage in some level of reform, as the generals return to their barracks. But I fear he will continue to focus on economic reform, only, throwing protesters some bones of political reform that will fall far short of their demands, and, possibly, draw closer to Iran. If this only gets him back to where he was before the uprisings intensified, he will probably be satisfied. A classic authoritarian state is, after all, the regime's default condition. Corruption, institutional inertia and a repressive apparatus ensure that its instinct is to recoil into survival mode. Mr Assad's hope will be that repression will stamp out the fervour that removed the regimes in Egypt and Tunisia. As in the past, he will think he has made significant concessions, but this is a different Middle East today. The momentum of change is harder to reverse in the long term. He may confront a more determined opposition sooner than he realises. He thought Syria was different but he was wrong. The true meaning of the Arab spring is that people are weary of autocrats. The west may for reasons of realpolitik have to pretend to accept his reforms but his people will not. For now he survives. But he is not leading and, eventually, he will join the list of former Arab dictators. The writer is professor of Middle East history at Trinity University in San Antonio, Texas. He is author of The New Lion of Damascus: Bashar al-Assad and Modern Syria Copyright The Financial Times Limited 2011. You may share using our article tools. Please don't cut articles from FT.com and redistribute by email or post to the web.	<urn:uuid:76825c28-dd71-4b18-a5b0-24f7e122c696>	CC-MAIN-2017-47	http://readhillarysemail.com/documents/September2015/C05785571.pdf	2017-11-18T13:35:51Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-47/segments/1510934804965.9/warc/CC-MAIN-20171118132741-20171118152741-00161.warc.gz	242,351,611	3,720	eng_Latn	eng_Latn	0.999069	eng_Latn	0.999276	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2057, 5026, 8364, 10502, 13243, 15624, 18455 ]	CONFIDENTIAL May 17, 2011 For: Hillary From: Sid Re: Hamas, Syria, Israel, etc. Everything is more complicated than even first-level cynical explanations. It seems likely that Syria's motive in encouraging Palestinian protestors to breach Israeli border barriers on "Nakba Day," resulting in Israeli overreaction, is not only to distract from its own internal crisis but also to undermine the Fatah-Hamas conciliation with Fayyad sustained as PM. David Lesch, professor of Middle East history at Trinity University in San Antonio, Texas, and author of one of the definitive books on modern Syria, "The New Lion of Damascus: Bashar al-Assad and Modern Syria," who is probably the single American with the most personal contact with Assad, told me on May 12, directly after his meeting with the Syrian ambassador, that the branch of Hamas headquartered at Damascus had departed that city. Either it had been expelled or left on its own accord to distance itself from Assad, his troubles and potential manipulation. This information has not been reported in the press. I have included below a private report from "Stratfor" that underscores that Syria is attacking the moderate wing of Hamas and the Palestinian accord. I have also included Lesch's most recent articles in the NYT and FT. He also privately briefed last week the Senate Foreign Relations Committee, before which he has publicly testified in the past. Tuesday, May 17, 2011 r OSTRATFOR.COM GDiary Archives Israel's Post-Nakba Crisis Though Syria initially gave the green light to Hamas to make amends with Fatah as a means of extracting Arab support in a time of internal stress, both Syria and Iran would share an interest in undermining the Hamas-Fatah reconciliation agreement and bolstering Hamas' hardliners in exile. This may explain why large numbers of Palestinian protesters were even permitted to mass in active military zones and breach border crossings with 1 UNCLASSIFIED U.S. Department of State Case No. F-2014-20439 Doc No. C05785571 Date: 09/30/2015 RELEASE IN FULL Israel in Syria and Lebanon while security authorities in these countries seemed to look the other way. Israel remains locked in internal turmoil following Sunday's deadly demonstrations on the cs Day of Nakba, or "Day of Catastrophe," a term Palestinians use to refer to the anniversary of the events that surrounded the birth of the modern state of Israel. Though the Israel Defense Forces (IDF) were bracing themselves for unrest within the Palestinian territories, they were caught unprepared when trouble began on the borders with Syria and Lebanon instead. Hundreds of Palestinian refugees on Israel's northern frontier trampled the fence and spilled across the armistice line on Sunday, prompting shooting by the IDF that killed 10 Palestinians and injured dozens of others.	"With uncertainty rising on every Arab-Israeli frontier, Israel is coming face to face with the consequences of the Arab Spring.	" IDF Military Intelligence (MI) and Northern Command traded accusations in leaks to the Israeli, media Monday. The MI claimed a general warning had been issued to the Northern Command several days prior to Sunday, indicating that attempts would be made by Palestinians to escalate this year's protests and breach the border. However, the MI said, despite real-time intelligence on buses in Syria and Lebanon ferrying protesters to the border, the warning had been ignored by the Northern Command. The Northern Command countered that the warning by the MI was too general and the intelligence insufficient, resulting in failures by the IDF to provide back-up forces, crowd control equipment and clear lines of communication to disperse the demonstrations. Either way, much of the Nakba protest planning was done in public view on Facebook. Israel's political leadership, meanwhile, spoke in ominous tones of a bigger problem Israel will have on its hands as the revolutionary sentiment produced by the Arab Spring inevitably fuses itself with the Israeli-Palestinian conflict. As Israeli Intelligence Minister Dan Meridor said, "There is a change here and we haven't internalized it." Israeli Defense Minister Ehud Barak warned Sunday that this "may only be the beginning" of a new struggle between largely unarmed Palestinians and Israel, cautioning that "the danger is that more mass processions like these will appear, not necessarily near the border, but also other places," placing Israel under heavy pressure by allies and adversaries alike to negotiate a settlement with the Palestinians. With the Arab Spring sweeping across the region, STRATFOR early on pointed out Israel's conspicuous absence as a target of the unrest. Indeed, anti-Zionism and the exposure of covert relationships between unpopular Arab rulers and Israel made for a compelling rallying point by opposition movements seeking to overthrow their respective regimes. When two waves of Palestinian attacks hit Israel in late March and early April, it appeared that at least some Palestinian factions, including Hamas, were attempting to draw Israel into a military conflict in the Gaza Strip, one that would increase the already high level of stress on Egypt's new militaryled government. Yet, almost as quickly as the attacks subsided, Hamas, with approval from its backers in the Syrian regime, entered an Egyptian-mediated reconciliation process with Fatah in hopes of forming a unity government that would both break Hamas out of isolation and impose a Hamas-inclusive political reality on Israel. While those negotiations are still fraught with complications, they are occurring in the lead-up to the September U.N. General Assembly when the Palestinian government intends to ask U.N. members to recognize a unilateral declaration of Palestinian statehood on the 1967 borders with East Jerusalem as its capital. Israel thus has a very serious problem on its hands. As Barak said, the Nakba Day events could have been just the beginning. Palestinians in the Gaza Strip and West Bank, along with Palestinian refugees in neighboring Syria, Lebanon, Jordan and Egypt, could theoretically coalesce behind an all-too-familiar, but politically recharged campaign against Israel and bear down on Israel's frontiers. This time, taking cues from surrounding, largely nonviolent uprisings, Palestinians could wage a third intifada across state lines and place Israel in the position of using force against mostly unarmed protesters at a time when it is already facing mounting international pressure to negotiate with a Palestinian political entity that Israel does not regard as viable or legitimate. Israel does not only need to worry itself with Palestinian motives, either. Syria, where the exiled leaderships of Hamas and Palestinian Islamic Jihad are based, could use an Israeli-Palestinian conflict to distract from its intensifying crackdowns at home. Iran, facing obstacles in fueling unrest in its neighboring Arab states, could shift its efforts toward the Levant to threaten Israel. Though Syria initially gave the green light to llamas to make amends with Fatah as a means of extracting Arab support in a time of internal stress, both Syria and Iran would share an interest in undermining the Hamas-Fatah reconciliation agreement and bolstering llamas' hardliners in exile. This may explain why large numbers of Palestinian protesters were even permitted to mass in active military zones and breach border crossings with Israel in Syria and Lebanon while security authorities in these countries seemed to look the other way. The threat of a third Intifada carries significant repercussions for the surrounding Arab regimes as well. The Egyptian military-led government, in trying to forge reconciliation between Hamas and Fatah, is doing whatever it can to contain Hamas in Gaza, and thus contain Islamist opposition forces in its own country as it proceeds with a shaky political transition. The Hashemite kingdom in Jordan, while dealing with a far more manageable opposition than most of its counterparts, is intensely fearful of an uprising by its majority Palestinian population that could topple the regime. With uncertainty rising on every Arab-Israeli frontier, Israel is coming face to face with the consequences of the Arab Spring. As the Nakba Day protests demonstrated, Israel is also finding itself inadequately prepared. A confluence of interests still needs to converge to produce a third intifada, but the seeds of this conflict were also laid 'long ago. The New York Times March 29, 2011 The Syrian President I Know By DAVID W. LESCH San Antonio, Tex. WHERE has President Bashar al-Assad of Syria been this past week? Thousands of Syrians across the country have staged demonstrations against the government, and dozens of protesters have been reported killed by security forces. The cabinet was dismissed on Tuesday, although that's a meaningless gesture unless it's followed by real reform. Through it all Mr. Assad has remained so quiet that rumors were rampant that he had been overthrown. But while Syrians are desperate for leadership, it's not yet clear what sort of leader Mr. Assad is going to be. Will he be like his father, Hafez al-Assad, who during three decades in power gave the security forces virtually a free hand to maintain order and sanctioned the brutal repression of a violent Islamist uprising in the early 1980s? Or will he see this as an opportunity to take Syria in a new direction, fulfilling the promise ascribed to him when he assumed the presidency upon his father's death in 2000? Mr. Assad's background suggests he could go either way. He is a licensed ophthalmologist who studied in London and a computer nerd who likes the technological toys of the West; his wife, Asma, born in Britain to Syrian parents, was a banker at J. P. Morgan. On the other hand, he is a child of the Arab-Israeli conflict and the cold war. Contrary to American interests, he firmly believes Lebanon should be within Syria's sphere of influence, and he is a member of a minority Islamic sect, the Alawites, that has had a chokehold on power in Syria for decades. In 2004 and 2005, while writing a book on him, I had long interviews with Mr. Assad; after the book was published, I continued to meet with him as an unofficial liaison between Syria and the United States when relations between the two countries deteriorated. In that time I saw Mr. Assad evolve into a confident and battle-tested president. I also saw him being consumed by an inert Syrian system. Slowly, he replaced those of questionable loyalty with allies in the military, security services and in the government. But he does not have absolute power. He has had to bargain, negotiate and manipulate pockets of resistance inside the government and-the business community to bring about reforms, like allowing private banks and establishing a stock exchange, that would shift Syria's socialist-based system to a more market-oriented economy. But Mr. Assad also changed along the way. When I met with him during the Syrian presidential referendum in May 2007, he voiced an almost cathartic relief that the people really liked him Indeed, the outpouring of support for Mr. Assad would have been impressive if he had not been the only one running, and if half of it wasn't staged. As is typical for authoritarian leaders, he had begun to equate his well-being with that of his country, and the sycophants around him reinforced the notion. It was obvious that he was president for life. Still, I believed he had good intentions, if awkwardly expressed at times. Even with the escalating violence there, it's important to remember that Syria is not Libya and President Assad is not Col. Muammar el-Qaddafi. The crackdown on protesters doesn't necessarily indicate that he is tightening his grip on power; it may be that the secret police, long given too much leeway, have been taking matters into their own hands. What's more, anti-Assad elements should be careful what they wish for. Syria is ethnically and religiously diverse and, with the precipitous removal of central authority, it could very well implode like Iraq. That is why the Obama administration wants him to stay in power even as it admonishes him to choose the path of reform. Wednesday, President Assad is expected to announce that the country's almost 50-year emergency law, used to stifle opposition to the regime, is going to be lifted. But he needs to make other tough choices, including setting presidential term limits and dismantling the police state. He can change the course of Syria by giving up that with which he has become so comfortable. The unrest in Syria may have afforded President Assad one last chance at being something more than simply Hafez al-Assad's son. Addendum from the author: The world is strewn with unemployed dictators who blamed "a plot" and nameless "enemies" for their country's problems. Yet when President Bashar al-Assad did just that in his long-awaited speech to the nation today, he was exhibiting a typically Syrian conspiratorial mindset, one that will sway those of his citizens who were already primed to believe him. This, however, totally denies the genuine 5 socio-economic, political and personal frustration of ordinary Syrians that generated the protests to begin with. President Assad spoke of some reforms in a disappointingly ambiguous manner that is unlikely to quell the demonstrations. No one denies the difficulty of announcing, much less carrying out, serious reforms in a country like Syria. Certainly, Mr. Assad would have to bargain with a variety of the country's powerful established interests to get anything done. But he had the opportunity with this speech to build up a critical mass of public support for reform before a critical mass of opposition forms against him that would make anything he says too little, too late. Sadly, he did not do so. David W. Lesch, a professor of Middle East history at Trinity University, is the author of "The New Lion of Damascus: Bashar al-Asad and Modern Syria." Financial Times Why Assad will rise again — and then fall By David Lesch Published: May 10 2011 23:39 I Last updated: May 10 2011 23:39 Having met Bashar al-Assad, Syria's president, a number of times, I can say with confidence that he was startled when the tumult in the Arab world spread into his own country. Like so many autocrats over the years, he truly thought he was secure, and even popular. He liked to say that his country was "different". He certainly saw it as immune to the uprisings besetting other countries. His regime's mouthpieces of course echoed this, stressing that these states' elderly rulers were out-of-touch and corrupt American lackeys. The implication was that Mr Assad, at 45 young by the standards of fellow autocrats, understood the Arab youth, having faced down America and Israel and thus brandishing credentials that played well in the "Arab street". Only a month ago there was a debate in the west as to whether or not Mr Assad, who had long liked to present himself as different from his hardline father, would sanction a crackdown. Now, of course, that hope is over. He has relied on tanks and troops to repress protesters, killing nearly 600 people, according to human rights groups. Given the course of the past few years this should not be a surprise. One encounter I had with him is illuminating. It was in 2007 during the referendum to determine whether or not he would "win" another seven-year term in office. (His name was the only one on the ballot.) Then, amid parades reminiscent of the celebrations for Saddam Hussein, for the first time I felt he had succumbed to the aphrodisiac of power. The sycophants had convinced him Syria's well-being was synonymous with his and that he must hold on to power at all cost. So he appears now close to a reincarnation of his father, Hafiz al-Assad, who sanctioned the crackdown on Islamic militants in 1982. But now that he seems more confident of restoring control I suspect he believes he can again recover from the pariah status facing him. He did after all survive the fallout of the assassination of Rafiq Hariri in Lebanon in 2005 in which Syria was implicated. For now he has withdrawn into a sectarian fortress, apparently intent on maintaining his minority Alawite sect's hold on power. At critical times in his presidency, he has given in to the hardliners, particularly the Alawite generals who dominate the security apparatus. So how can he manoeuvre his way back to acceptability? As the crackdown continues, the international community has given him leeway fearing what might happen in Syria and the region should he fall. He seems to be using it to buy time to quell the uprising. Should the regime survive, I expect he will try to engage in some level of reform, as the generals return to their barracks. But I fear he will continue to focus on economic reform, only, throwing protesters some bones of political reform that will fall far short of their demands, and, possibly, draw closer to Iran. If this only gets him back to where he was before the uprisings intensified, he will probably be satisfied. A classic authoritarian state is, after all, the regime's default condition. Corruption, institutional inertia and a repressive apparatus ensure that its instinct is to recoil into survival mode. Mr Assad's hope will be that repression will stamp out the fervour that removed the regimes in Egypt and Tunisia. As in the past, he will think he has made significant concessions, but this is a different Middle East today. The momentum of change is harder to reverse in the long term. He may confront a more determined opposition sooner than he realises. He thought Syria was different but he was wrong. The true meaning of the Arab spring is that people are weary of autocrats. The west may for reasons of realpolitik have to pretend to accept his reforms but his people will not. For now he survives. But he is not leading and, eventually, he will join the list of former Arab dictators. The writer is professor of Middle East history at Trinity University in San Antonio, Texas. He is author of The New Lion of Damascus: Bashar al-Assad and Modern Syria Copyright The Financial Times Limited 2011. You may share using our article tools. Please don't cut articles from FT.com and redistribute by email or post to the web.	2,842	end_of_word	others.	remove_one_sentence	<url> http://readhillarysemail.com/documents/September2015/C05785571.pdf </url> <text> CONFIDENTIAL May 17, 2011 For: Hillary From: Sid Re: Hamas, Syria, Israel, etc. Everything is more complicated than even first-level cynical explanations. It seems likely that Syria's motive in encouraging Palestinian protestors to breach Israeli border barriers on "Nakba Day," resulting in Israeli overreaction, is not only to distract from its own internal crisis but also to undermine the Fatah-Hamas conciliation with Fayyad sustained as PM. David Lesch, professor of Middle East history at Trinity University in San Antonio, Texas, and author of one of the definitive books on modern Syria, "The New Lion of Damascus: Bashar al-Assad and Modern Syria," who is probably the single American with the most personal contact with Assad, told me on May 12, directly after his meeting with the Syrian ambassador, that the branch of Hamas headquartered at Damascus had departed that city. Either it had been expelled or left on its own accord to distance itself from Assad, his troubles and potential manipulation. This information has not been reported in the press. I have included below a private report from "Stratfor" that underscores that Syria is attacking the moderate wing of Hamas and the Palestinian accord. I have also included Lesch's most recent articles in the NYT and FT. He also privately briefed last week the Senate Foreign Relations Committee, before which he has publicly testified in the past. Tuesday, May 17, 2011 r OSTRATFOR.COM GDiary Archives Israel's Post-Nakba Crisis Though Syria initially gave the green light to Hamas to make amends with Fatah as a means of extracting Arab support in a time of internal stress, both Syria and Iran would share an interest in undermining the Hamas-Fatah reconciliation agreement and bolstering Hamas' hardliners in exile. This may explain why large numbers of Palestinian protesters were even permitted to mass in active military zones and breach border crossings with 1 UNCLASSIFIED U.S. Department of State Case No. F-2014-20439 Doc No. C05785571 Date: 09/30/2015 RELEASE IN FULL Israel in Syria and Lebanon while security authorities in these countries seemed to look the other way. Israel remains locked in internal turmoil following Sunday's deadly demonstrations on the cs Day of Nakba, or "Day of Catastrophe," a term Palestinians use to refer to the anniversary of the events that surrounded the birth of the modern state of Israel. Though the Israel Defense Forces (IDF) were bracing themselves for unrest within the Palestinian territories, they were caught unprepared when trouble began on the borders with Syria and Lebanon instead. Hundreds of Palestinian refugees on Israel's northern frontier trampled the fence and spilled across the armistice line on Sunday, prompting shooting by the IDF that killed 10 Palestinians and injured dozens of others. <cursor_is_here>" IDF Military Intelligence (MI) and Northern Command traded accusations in leaks to the Israeli, media Monday. The MI claimed a general warning had been issued to the Northern Command several days prior to Sunday, indicating that attempts would be made by Palestinians to escalate this year's protests and breach the border. However, the MI said, despite real-time intelligence on buses in Syria and Lebanon ferrying protesters to the border, the warning had been ignored by the Northern Command. The Northern Command countered that the warning by the MI was too general and the intelligence insufficient, resulting in failures by the IDF to provide back-up forces, crowd control equipment and clear lines of communication to disperse the demonstrations. Either way, much of the Nakba protest planning was done in public view on Facebook. Israel's political leadership, meanwhile, spoke in ominous tones of a bigger problem Israel will have on its hands as the revolutionary sentiment produced by the Arab Spring inevitably fuses itself with the Israeli-Palestinian conflict. As Israeli Intelligence Minister Dan Meridor said, "There is a change here and we haven't internalized it." Israeli Defense Minister Ehud Barak warned Sunday that this "may only be the beginning" of a new struggle between largely unarmed Palestinians and Israel, cautioning that "the danger is that more mass processions like these will appear, not necessarily near the border, but also other places," placing Israel under heavy pressure by allies and adversaries alike to negotiate a settlement with the Palestinians. With the Arab Spring sweeping across the region, STRATFOR early on pointed out Israel's conspicuous absence as a target of the unrest. Indeed, anti-Zionism and the exposure of covert relationships between unpopular Arab rulers and Israel made for a compelling rallying point by opposition movements seeking to overthrow their respective regimes. When two waves of Palestinian attacks hit Israel in late March and early April, it appeared that at least some Palestinian factions, including Hamas, were attempting to draw Israel into a military conflict in the Gaza Strip, one that would increase the already high level of stress on Egypt's new militaryled government. Yet, almost as quickly as the attacks subsided, Hamas, with approval from its backers in the Syrian regime, entered an Egyptian-mediated reconciliation process with Fatah in hopes of forming a unity government that would both break Hamas out of isolation and impose a Hamas-inclusive political reality on Israel. While those negotiations are still fraught with complications, they are occurring in the lead-up to the September U.N. General Assembly when the Palestinian government intends to ask U.N. members to recognize a unilateral declaration of Palestinian statehood on the 1967 borders with East Jerusalem as its capital. Israel thus has a very serious problem on its hands. As Barak said, the Nakba Day events could have been just the beginning. Palestinians in the Gaza Strip and West Bank, along with Palestinian refugees in neighboring Syria, Lebanon, Jordan and Egypt, could theoretically coalesce behind an all-too-familiar, but politically recharged campaign against Israel and bear down on Israel's frontiers. This time, taking cues from surrounding, largely nonviolent uprisings, Palestinians could wage a third intifada across state lines and place Israel in the position of using force against mostly unarmed protesters at a time when it is already facing mounting international pressure to negotiate with a Palestinian political entity that Israel does not regard as viable or legitimate. Israel does not only need to worry itself with Palestinian motives, either. Syria, where the exiled leaderships of Hamas and Palestinian Islamic Jihad are based, could use an Israeli-Palestinian conflict to distract from its intensifying crackdowns at home. Iran, facing obstacles in fueling unrest in its neighboring Arab states, could shift its efforts toward the Levant to threaten Israel. Though Syria initially gave the green light to llamas to make amends with Fatah as a means of extracting Arab support in a time of internal stress, both Syria and Iran would share an interest in undermining the Hamas-Fatah reconciliation agreement and bolstering llamas' hardliners in exile. This may explain why large numbers of Palestinian protesters were even permitted to mass in active military zones and breach border crossings with Israel in Syria and Lebanon while security authorities in these countries seemed to look the other way. The threat of a third Intifada carries significant repercussions for the surrounding Arab regimes as well. The Egyptian military-led government, in trying to forge reconciliation between Hamas and Fatah, is doing whatever it can to contain Hamas in Gaza, and thus contain Islamist opposition forces in its own country as it proceeds with a shaky political transition. The Hashemite kingdom in Jordan, while dealing with a far more manageable opposition than most of its counterparts, is intensely fearful of an uprising by its majority Palestinian population that could topple the regime. With uncertainty rising on every Arab-Israeli frontier, Israel is coming face to face with the consequences of the Arab Spring. As the Nakba Day protests demonstrated, Israel is also finding itself inadequately prepared. A confluence of interests still needs to converge to produce a third intifada, but the seeds of this conflict were also laid 'long ago. The New York Times March 29, 2011 The Syrian President I Know By DAVID W. LESCH San Antonio, Tex. WHERE has President Bashar al-Assad of Syria been this past week? Thousands of Syrians across the country have staged demonstrations against the government, and dozens of protesters have been reported killed by security forces. The cabinet was dismissed on Tuesday, although that's a meaningless gesture unless it's followed by real reform. Through it all Mr. Assad has remained so quiet that rumors were rampant that he had been overthrown. But while Syrians are desperate for leadership, it's not yet clear what sort of leader Mr. Assad is going to be. Will he be like his father, Hafez al-Assad, who during three decades in power gave the security forces virtually a free hand to maintain order and sanctioned the brutal repression of a violent Islamist uprising in the early 1980s? Or will he see this as an opportunity to take Syria in a new direction, fulfilling the promise ascribed to him when he assumed the presidency upon his father's death in 2000? Mr. Assad's background suggests he could go either way. He is a licensed ophthalmologist who studied in London and a computer nerd who likes the technological toys of the West; his wife, Asma, born in Britain to Syrian parents, was a banker at J. P. Morgan. On the other hand, he is a child of the Arab-Israeli conflict and the cold war. Contrary to American interests, he firmly believes Lebanon should be within Syria's sphere of influence, and he is a member of a minority Islamic sect, the Alawites, that has had a chokehold on power in Syria for decades. In 2004 and 2005, while writing a book on him, I had long interviews with Mr. Assad; after the book was published, I continued to meet with him as an unofficial liaison between Syria and the United States when relations between the two countries deteriorated. In that time I saw Mr. Assad evolve into a confident and battle-tested president. I also saw him being consumed by an inert Syrian system. Slowly, he replaced those of questionable loyalty with allies in the military, security services and in the government. But he does not have absolute power. He has had to bargain, negotiate and manipulate pockets of resistance inside the government and-the business community to bring about reforms, like allowing private banks and establishing a stock exchange, that would shift Syria's socialist-based system to a more market-oriented economy. But Mr. Assad also changed along the way. When I met with him during the Syrian presidential referendum in May 2007, he voiced an almost cathartic relief that the people really liked him Indeed, the outpouring of support for Mr. Assad would have been impressive if he had not been the only one running, and if half of it wasn't staged. As is typical for authoritarian leaders, he had begun to equate his well-being with that of his country, and the sycophants around him reinforced the notion. It was obvious that he was president for life. Still, I believed he had good intentions, if awkwardly expressed at times. Even with the escalating violence there, it's important to remember that Syria is not Libya and President Assad is not Col. Muammar el-Qaddafi. The crackdown on protesters doesn't necessarily indicate that he is tightening his grip on power; it may be that the secret police, long given too much leeway, have been taking matters into their own hands. What's more, anti-Assad elements should be careful what they wish for. Syria is ethnically and religiously diverse and, with the precipitous removal of central authority, it could very well implode like Iraq. That is why the Obama administration wants him to stay in power even as it admonishes him to choose the path of reform. Wednesday, President Assad is expected to announce that the country's almost 50-year emergency law, used to stifle opposition to the regime, is going to be lifted. But he needs to make other tough choices, including setting presidential term limits and dismantling the police state. He can change the course of Syria by giving up that with which he has become so comfortable. The unrest in Syria may have afforded President Assad one last chance at being something more than simply Hafez al-Assad's son. Addendum from the author: The world is strewn with unemployed dictators who blamed "a plot" and nameless "enemies" for their country's problems. Yet when President Bashar al-Assad did just that in his long-awaited speech to the nation today, he was exhibiting a typically Syrian conspiratorial mindset, one that will sway those of his citizens who were already primed to believe him. This, however, totally denies the genuine 5 socio-economic, political and personal frustration of ordinary Syrians that generated the protests to begin with. President Assad spoke of some reforms in a disappointingly ambiguous manner that is unlikely to quell the demonstrations. No one denies the difficulty of announcing, much less carrying out, serious reforms in a country like Syria. Certainly, Mr. Assad would have to bargain with a variety of the country's powerful established interests to get anything done. But he had the opportunity with this speech to build up a critical mass of public support for reform before a critical mass of opposition forms against him that would make anything he says too little, too late. Sadly, he did not do so. David W. Lesch, a professor of Middle East history at Trinity University, is the author of "The New Lion of Damascus: Bashar al-Asad and Modern Syria." Financial Times Why Assad will rise again — and then fall By David Lesch Published: May 10 2011 23:39 I Last updated: May 10 2011 23:39 Having met Bashar al-Assad, Syria's president, a number of times, I can say with confidence that he was startled when the tumult in the Arab world spread into his own country. Like so many autocrats over the years, he truly thought he was secure, and even popular. He liked to say that his country was "different". He certainly saw it as immune to the uprisings besetting other countries. His regime's mouthpieces of course echoed this, stressing that these states' elderly rulers were out-of-touch and corrupt American lackeys. The implication was that Mr Assad, at 45 young by the standards of fellow autocrats, understood the Arab youth, having faced down America and Israel and thus brandishing credentials that played well in the "Arab street". Only a month ago there was a debate in the west as to whether or not Mr Assad, who had long liked to present himself as different from his hardline father, would sanction a crackdown. Now, of course, that hope is over. He has relied on tanks and troops to repress protesters, killing nearly 600 people, according to human rights groups. Given the course of the past few years this should not be a surprise. One encounter I had with him is illuminating. It was in 2007 during the referendum to determine whether or not he would "win" another seven-year term in office. (His name was the only one on the ballot.) Then, amid parades reminiscent of the celebrations for Saddam Hussein, for the first time I felt he had succumbed to the aphrodisiac of power. The sycophants had convinced him Syria's well-being was synonymous with his and that he must hold on to power at all cost. So he appears now close to a reincarnation of his father, Hafiz al-Assad, who sanctioned the crackdown on Islamic militants in 1982. But now that he seems more confident of restoring control I suspect he believes he can again recover from the pariah status facing him. He did after all survive the fallout of the assassination of Rafiq Hariri in Lebanon in 2005 in which Syria was implicated. For now he has withdrawn into a sectarian fortress, apparently intent on maintaining his minority Alawite sect's hold on power. At critical times in his presidency, he has given in to the hardliners, particularly the Alawite generals who dominate the security apparatus. So how can he manoeuvre his way back to acceptability? As the crackdown continues, the international community has given him leeway fearing what might happen in Syria and the region should he fall. He seems to be using it to buy time to quell the uprising. Should the regime survive, I expect he will try to engage in some level of reform, as the generals return to their barracks. But I fear he will continue to focus on economic reform, only, throwing protesters some bones of political reform that will fall far short of their demands, and, possibly, draw closer to Iran. If this only gets him back to where he was before the uprisings intensified, he will probably be satisfied. A classic authoritarian state is, after all, the regime's default condition. Corruption, institutional inertia and a repressive apparatus ensure that its instinct is to recoil into survival mode. Mr Assad's hope will be that repression will stamp out the fervour that removed the regimes in Egypt and Tunisia. As in the past, he will think he has made significant concessions, but this is a different Middle East today. The momentum of change is harder to reverse in the long term. He may confront a more determined opposition sooner than he realises. He thought Syria was different but he was wrong. The true meaning of the Arab spring is that people are weary of autocrats. The west may for reasons of realpolitik have to pretend to accept his reforms but his people will not. For now he survives. But he is not leading and, eventually, he will join the list of former Arab dictators. The writer is professor of Middle East history at Trinity University in San Antonio, Texas. He is author of The New Lion of Damascus: Bashar al-Assad and Modern Syria Copyright The Financial Times Limited 2011. You may share using our article tools. Please don't cut articles from FT.com and redistribute by email or post to the web. </text>	[ { "content": "<url>\nhttp://readhillarysemail.com/documents/September2015/C05785571.pdf\n</url>\n<text>\nCONFIDENTIAL\n\nMay 17, 2011\n\nFor: Hillary\n\nFrom: Sid\n\nRe: Hamas, Syria, Israel, etc.\n\nEverything is more complicated than even first-level cynical explanations. It seems likely that Syria's motive in encouraging Palestinian protestors to breach Israeli border barriers on \"Nakba Day,\" resulting in Israeli overreaction, is not only to distract from its own internal crisis but also to undermine the Fatah-Hamas conciliation with Fayyad sustained as PM. David Lesch, professor of Middle East history at Trinity University in San Antonio, Texas, and author of one of the definitive books on modern Syria, \"The New Lion of Damascus: Bashar al-Assad and Modern Syria,\" who is probably the single American with the most personal contact with Assad, told me on May 12, directly after his meeting with the Syrian ambassador, that the branch of Hamas headquartered at Damascus had departed that city. Either it had been expelled or left on its own accord to distance itself from Assad, his troubles and potential manipulation. This information has not been reported in the press.\n\nI have included below a private report from \"Stratfor\" that underscores that Syria is attacking the moderate wing of Hamas and the Palestinian accord. I have also included Lesch's most recent articles in the NYT and FT. He also privately briefed last week the Senate Foreign Relations Committee, before which he has publicly testified in the past.\n\nTuesday, May 17, 2011\n\nr OSTRATFOR.COM GDiary Archives\n\nIsrael's Post-Nakba Crisis\n\nThough Syria initially gave the green light to Hamas to make amends with Fatah as a means of extracting Arab support in a time of internal stress, both Syria and Iran would share an interest in undermining the Hamas-Fatah reconciliation agreement and bolstering Hamas' hardliners in exile. This may explain why large numbers of Palestinian protesters were even permitted to mass in active military zones and breach border crossings with\n\n1\n\nUNCLASSIFIED U.S. Department of State Case No. F-2014-20439 Doc No. C05785571 Date: 09/30/2015\n\nRELEASE IN FULL\n\nIsrael in Syria and Lebanon while security authorities in these countries seemed to look the other way.\n\nIsrael remains locked in internal turmoil following Sunday's deadly demonstrations on the cs Day of Nakba, or \"Day of Catastrophe,\" a term Palestinians use to refer to the anniversary of the events that surrounded the birth of the modern state of Israel. Though the Israel Defense Forces (IDF) were bracing themselves for unrest within the Palestinian territories, they were caught unprepared when trouble began on the borders with Syria and Lebanon instead. Hundreds of Palestinian refugees on Israel's northern frontier trampled the fence and spilled across the armistice line on Sunday, prompting shooting by the IDF that killed 10 Palestinians and injured dozens of others.\n<cursor_is_here>\"\n\nIDF Military Intelligence (MI) and Northern Command traded accusations in leaks to the Israeli, media Monday. The MI claimed a general warning had been issued to the Northern Command several days prior to Sunday, indicating that attempts would be made by Palestinians to escalate this year's protests and breach the border. However, the MI said, despite real-time intelligence on buses in Syria and Lebanon ferrying protesters to the border, the warning had been ignored by the Northern Command. The Northern Command countered that the warning by the MI was too general and the intelligence insufficient, resulting in failures by the IDF to provide back-up forces, crowd control equipment and clear lines of communication to disperse the demonstrations. Either way, much of the Nakba protest planning was done in public view on Facebook.\n\nIsrael's political leadership, meanwhile, spoke in ominous tones of a bigger problem Israel will have on its hands as the revolutionary sentiment produced by the Arab Spring inevitably fuses itself with the Israeli-Palestinian conflict. As Israeli Intelligence Minister Dan Meridor said, \"There is a change here and we haven't internalized it.\" Israeli Defense Minister Ehud Barak warned Sunday that this \"may only be the beginning\" of a new struggle between largely unarmed Palestinians and Israel, cautioning that \"the danger is that more mass processions like these will appear, not necessarily near the border, but also other places,\" placing Israel under heavy pressure by allies and adversaries alike to negotiate a settlement with the Palestinians.\n\nWith the Arab Spring sweeping across the region, STRATFOR early on pointed out Israel's conspicuous absence as a target of the unrest. Indeed, anti-Zionism and the exposure of covert relationships between unpopular Arab rulers and Israel made for a compelling rallying point by opposition movements seeking to overthrow their respective regimes. When two waves of Palestinian attacks hit Israel in late March and early April, it appeared that at least some\n\nPalestinian factions, including Hamas, were attempting to draw Israel into a military conflict in the Gaza Strip, one that would increase the already high level of stress on Egypt's new militaryled government. Yet, almost as quickly as the attacks subsided, Hamas, with approval from its backers in the Syrian regime, entered an Egyptian-mediated reconciliation process with Fatah in hopes of forming a unity government that would both break Hamas out of isolation and impose a Hamas-inclusive political reality on Israel. While those negotiations are still fraught with complications, they are occurring in the lead-up to the September U.N. General Assembly when the Palestinian government intends to ask U.N. members to recognize a unilateral declaration of Palestinian statehood on the 1967 borders with East Jerusalem as its capital.\n\nIsrael thus has a very serious problem on its hands. As Barak said, the Nakba Day events could have been just the beginning. Palestinians in the Gaza Strip and West Bank, along with Palestinian refugees in neighboring Syria, Lebanon, Jordan and Egypt, could theoretically coalesce behind an all-too-familiar, but politically recharged campaign against Israel and bear down on Israel's frontiers. This time, taking cues from surrounding, largely nonviolent uprisings, Palestinians could wage a third intifada across state lines and place Israel in the position of using force against mostly unarmed protesters at a time when it is already facing mounting international pressure to negotiate with a Palestinian political entity that Israel does not regard as viable or legitimate.\n\nIsrael does not only need to worry itself with Palestinian motives, either. Syria, where the exiled leaderships of Hamas and Palestinian Islamic Jihad are based, could use an Israeli-Palestinian conflict to distract from its intensifying crackdowns at home. Iran, facing obstacles in fueling unrest in its neighboring Arab states, could shift its efforts toward the Levant to threaten Israel. Though Syria initially gave the green light to llamas to make amends with Fatah as a means of extracting Arab support in a time of internal stress, both Syria and Iran would share an interest in undermining the Hamas-Fatah reconciliation agreement and bolstering llamas' hardliners in exile. This may explain why large numbers of Palestinian protesters were even permitted to mass in active military zones and breach border crossings with Israel in Syria and Lebanon while security authorities in these countries seemed to look the other way.\n\nThe threat of a third Intifada carries significant repercussions for the surrounding Arab regimes as well. The Egyptian military-led government, in trying to forge reconciliation between Hamas and Fatah, is doing whatever it can to contain Hamas in Gaza, and thus contain Islamist opposition forces in its own country as it proceeds with a shaky political transition. The Hashemite kingdom in Jordan, while dealing with a far more manageable opposition than most of its counterparts, is intensely fearful of an uprising by its majority Palestinian population that could topple the regime.\n\nWith uncertainty rising on every Arab-Israeli frontier, Israel is coming face to face with the consequences of the Arab Spring. As the Nakba Day protests demonstrated, Israel is also finding\n\nitself inadequately prepared. A confluence of interests still needs to converge to produce a third intifada, but the seeds of this conflict were also laid 'long ago.\n\nThe New York Times\n\nMarch 29, 2011\n\nThe Syrian President I Know\n\nBy DAVID W. LESCH\n\nSan Antonio, Tex.\n\nWHERE has President Bashar al-Assad of Syria been this past week?\n\nThousands of Syrians across the country have staged demonstrations against the government, and dozens of protesters have been reported killed by security forces. The cabinet was dismissed on Tuesday, although that's a meaningless gesture unless it's followed by real reform. Through it all Mr. Assad has remained so quiet that rumors were rampant that he had been overthrown. But while Syrians are desperate for leadership, it's not yet clear what sort of leader Mr. Assad is going to be.\n\nWill he be like his father, Hafez al-Assad, who during three decades in power gave the security forces virtually a free hand to maintain order and sanctioned the brutal repression of a violent Islamist uprising in the early 1980s? Or will he see this as an opportunity to take Syria in a new direction, fulfilling the promise ascribed to him when he assumed the presidency upon his father's death in 2000?\n\nMr. Assad's background suggests he could go either way. He is a licensed ophthalmologist who studied in London and a computer nerd who likes the technological toys of the West; his wife, Asma, born in Britain to Syrian parents, was a banker at J. P. Morgan. On the other hand, he is a child of the Arab-Israeli conflict and the cold war. Contrary to American interests, he firmly believes Lebanon should be within Syria's sphere of influence, and he is a member of a minority Islamic sect, the Alawites, that has had a chokehold on power in Syria for decades.\n\nIn 2004 and 2005, while writing a book on him, I had long interviews with Mr. Assad; after the book was published, I continued to meet with him as an unofficial liaison between Syria and the United States when relations between the two countries deteriorated. In that time I saw Mr. Assad evolve into a confident and battle-tested president.\n\nI also saw him being consumed by an inert Syrian system. Slowly, he replaced those of questionable loyalty with allies in the military, security services and in the government. But he does not have absolute power. He has had to bargain, negotiate and manipulate pockets of resistance inside the government and-the business community to bring about reforms, like allowing private banks and establishing a stock exchange, that would shift Syria's socialist-based system to a more market-oriented economy.\n\nBut Mr. Assad also changed along the way. When I met with him during the Syrian presidential referendum in May 2007, he voiced an almost cathartic relief that the people really liked him Indeed, the outpouring of support for Mr. Assad would have been impressive if he had not been the only one running, and if half of it wasn't staged. As is typical for authoritarian leaders, he had begun to equate his well-being with that of his country, and the sycophants around him reinforced the notion. It was obvious that he was president for life. Still, I believed he had good intentions, if awkwardly expressed at times.\n\nEven with the escalating violence there, it's important to remember that Syria is not Libya and President Assad is not Col. Muammar el-Qaddafi. The crackdown on protesters doesn't necessarily indicate that he is tightening his grip on power; it may be that the secret police, long given too much leeway, have been taking matters into their own hands.\n\nWhat's more, anti-Assad elements should be careful what they wish for. Syria is ethnically and religiously diverse and, with the precipitous removal of central authority, it could very well implode like Iraq. That is why the Obama administration wants him to stay in power even as it admonishes him to choose the path of reform.\n\nWednesday, President Assad is expected to announce that the country's almost 50-year emergency law, used to stifle opposition to the regime, is going to be lifted. But he needs to make other tough choices, including setting presidential term limits and dismantling the police state. He can change the course of Syria by giving up that with which he has become so comfortable.\n\nThe unrest in Syria may have afforded President Assad one last chance at being something more than simply Hafez al-Assad's son.\n\nAddendum from the author:\n\nThe world is strewn with unemployed dictators who blamed \"a plot\" and nameless \"enemies\" for their country's problems.\n\nYet when President Bashar al-Assad did just that in his long-awaited speech to the nation today, he was exhibiting a typically Syrian conspiratorial mindset, one that will sway those of his citizens who were already primed to believe him. This, however, totally denies the genuine\n\n5\n\nsocio-economic, political and personal frustration of ordinary Syrians that generated the protests to begin with.\n\nPresident Assad spoke of some reforms in a disappointingly ambiguous manner that is unlikely to quell the demonstrations. No one denies the difficulty of announcing, much less carrying out, serious reforms in a country like Syria. Certainly, Mr. Assad would have to bargain with a variety of the country's powerful established interests to get anything done. But he had the opportunity with this speech to build up a critical mass of public support for reform before a critical mass of opposition forms against him that would make anything he says too little, too late.\n\nSadly, he did not do so.\n\nDavid W. Lesch, a professor of Middle East history at Trinity University, is the author of \"The New Lion of Damascus: Bashar al-Asad and Modern Syria.\"\n\nFinancial Times\n\nWhy Assad will rise again — and then fall\n\nBy David Lesch\n\nPublished: May 10 2011 23:39 I Last updated: May 10 2011 23:39\n\nHaving met Bashar al-Assad, Syria's president, a number of times, I can say with confidence that he was startled when the tumult in the Arab world spread into his own country. Like so many autocrats over the years, he truly thought he was secure, and even popular.\n\nHe liked to say that his country was \"different\". He certainly saw it as immune to the uprisings besetting other countries. His regime's mouthpieces of course echoed this, stressing that these states' elderly rulers were out-of-touch and corrupt American lackeys. The implication was that Mr Assad, at 45 young by the standards of fellow autocrats, understood the Arab youth, having faced down America and Israel and thus brandishing credentials that played well in the \"Arab street\".\n\nOnly a month ago there was a debate in the west as to whether or not Mr Assad, who had long liked to present himself as different from his hardline father, would sanction a crackdown. Now, of course, that hope is over. He has relied on tanks and troops to repress protesters, killing nearly 600 people, according to human rights groups.\n\nGiven the course of the past few years this should not be a surprise. One encounter I had with him is illuminating. It was in 2007 during the referendum to determine whether or not he would \"win\" another seven-year term in office. (His name was the only one on the ballot.) Then, amid\n\nparades reminiscent of the celebrations for Saddam Hussein, for the first time I felt he had succumbed to the aphrodisiac of power. The sycophants had convinced him Syria's well-being was synonymous with his and that he must hold on to power at all cost.\n\nSo he appears now close to a reincarnation of his father, Hafiz al-Assad, who sanctioned the crackdown on Islamic militants in 1982. But now that he seems more confident of restoring control I suspect he believes he can again recover from the pariah status facing him. He did after all survive the fallout of the assassination of Rafiq Hariri in Lebanon in 2005 in which Syria was implicated.\n\nFor now he has withdrawn into a sectarian fortress, apparently intent on maintaining his minority Alawite sect's hold on power. At critical times in his presidency, he has given in to the hardliners, particularly the Alawite generals who dominate the security apparatus.\n\nSo how can he manoeuvre his way back to acceptability? As the crackdown continues, the international community has given him leeway fearing what might happen in Syria and the region should he fall. He seems to be using it to buy time to quell the uprising. Should the regime survive, I expect he will try to engage in some level of reform, as the generals return to their barracks. But I fear he will continue to focus on economic reform, only, throwing protesters some bones of political reform that will fall far short of their demands, and, possibly, draw closer to Iran.\n\nIf this only gets him back to where he was before the uprisings intensified, he will probably be satisfied. A classic authoritarian state is, after all, the regime's default condition. Corruption, institutional inertia and a repressive apparatus ensure that its instinct is to recoil into survival mode. Mr Assad's hope will be that repression will stamp out the fervour that removed the regimes in Egypt and Tunisia. As in the past, he will think he has made significant concessions, but this is a different Middle East today. The momentum of change is harder to reverse in the long term. He may confront a more determined opposition sooner than he realises.\n\nHe thought Syria was different but he was wrong. The true meaning of the Arab spring is that people are weary of autocrats. The west may for reasons of realpolitik have to pretend to accept his reforms but his people will not. For now he survives. But he is not leading and, eventually, he will join the list of former Arab dictators.\n\nThe writer is professor of Middle East history at Trinity University in San Antonio, Texas. He is author of The New Lion of Damascus: Bashar al-Assad and Modern Syria\n\nCopyright The Financial Times Limited 2011. You may share using our article tools. Please don't cut articles from FT.com and redistribute by email or post to the web.\n</text>\n", "role": "user" }, { "content": "\n\"With uncertainty rising on every Arab-Israeli frontier, Israel is coming face to face with the consequences of the Arab Spring.", "role": "assistant" } ]
17th INTERNATIONAL MUSIC COMPETITION PREMIO CITTA' DI PADOVA FOR SOLOISTS AND ORCHESTRA 2019 The Competition will take place in Padova - Italy in Teatro-Auditorium del Collegio Vescovile Barbarigo (address: Via Rogati 17) from June 10th to June 16th 2019. The Final Stage with the Symphony Orchestra will take place on 25th of January 2020 in Auditorium of Music Conservatory "Cesare Pollini" in Padova. The application deadline is April 25th 2019. This competition is open to pianists, string and wind instrumentalists. Two preliminary rounds will take place from June the 10th to June the 16th 2019 and the Final Stage with the Symphony Orchestra will take place on 25th of January 2020 (max. 3 competitors chosen from sections piano, strings, winds). There are 3 rounds: 1) first preliminary round: each competitor will perform a solo free choice program (music written for solo instruments, without the piano accompaniment for strings and winds), not more than 15 minutes lenght. Therefore, in the first round the piano accompaniment is not arranged for string and wind instruments. 2) second preliminary round: each competitor will perform one concerto movement chosen from the list (look at the art. 9 with detailed list). The performance will include the piano accompaniment of the orchestra score. The performing concerto movement (only one movement) will be chosen by the jury and communicated to competitors together with the results of preliminary round. For the second preliminary round the competitors can bring their own piano accompanist or require the Padova Competition staff piano accompanist for an added fee (look at the art.10). The extra charge fee has to be sent to the competition secretary together with the application fee with the same bank transfert. There is no extra fee refund for the contestant who does not get in the second round. 3) final stage with Orchestra: the competitors will perform the entire concerto with the Symphony Orchestra in a public concert which will take place on 25th of January 2020 in Auditorium of Music Conservatory "Ceare Pollini" in Padova. GENERAL RULES Art. 1 - The Competition is open to musicians of all nationalities and background. The competition purpose is to select musicians with high professional qualities to be introduced in national and international concert circuit. The winners will be included in XXVIII International Concert Season 2020-2021 (october-april) of Padova Music Association AGIMUS in Padova and/or Rome, Venice, Abano Terme and in other main italian cities for the most important concert institutions. Besides they will win a free accomodation in a sea view apartment in the renowned seaside resort in Lignano Sabbiadoro (Udine – Friuli Venezia Giulia). Art. 2 - The application form has to be sent Secretary by e-mail IN DOC or PDF FILE not later than April 25 th 2019 (deadline) to the Competition at the following e-mail address: [email protected] The application form must be completed with the following documents: - copy of the Identity Document; - biography; - music score copy (to be sent by e-mail) in case the competitor requires staff piano accompanist. In this case the competitors have to communicate the concerto to the Competition Secretary, which will demand music score copy if needed. Music scores copies has to be sent by deadline, April 25th 2019. 2 copies of music scores that has to be shown to the jury are not to be sent with the application, but only exhibited before the audition (see Art.4); - photocopy of application fee payment (including the piano accompanist fee that has to be added to the application fee and paid by only one bank transfert). The payment has to made by bank transfer. Beneficiary: Associazione Musicale AGIMUS di Padova Bank : UNICREDIT Agenzia Vigonza, Busa (Pd) IBAN CODE : IT 18 S 02008 62960 000100539159 BIC-SWIFT : UNCRITM1R11 Any bank fees on transfers will be paid by the participants. The application fee and piano accompanist fee will not be refunded in case of competitor's withdrawal. The application form will not be accepted without the attached receipt. Art. 3 - From May the 16th 2019 the complete audition timetable will be determined. It will be possible to consult it on the AGIMUS Association web site ( www.agimuspadova.com ) or by Secretary e-mail ( [email protected] ). In any case, the secretary office will send the audition timetable to each competitor by e-mail by 16 May 2019. In the application form it is obligatory to indicate an e-mail address and a mobile phone number clearly legible. Art 4 - All the competitors before the audition are supposed to show to the jury a valid document (identity card or passport) and 2 copies of music scores (music scores does not have to be sent by e- mail). Art. 5 - The audition music program is free choice. The competitors who decide to apply in several sections, against payment of respective application fees (for example International Music Competition Premio Città di Padova and Premio Virtuositè) are suppposed to perform a completely different music program in each competition. Art. 6 - The competitors may require the staff piano accompanist against payment of extra charge fee that has to be paid together with the application fee in only one bank transfer (see Art.10). The extra charge fee has to reach the competition secretary with all the application documentation and music score copy not later than April 25th 2019 (only for competitors who received the demand for music scores by the Competition Secretary). Art. 7 - SECTIONS , CATEGORIES, EXAMINATIONS SECTIONS 1 - Piano 2 - String instruments (violin, viola, cello) 3 - Wind instruments (flute, oboe, clarinet, horn, trumpet) SINGLE CATEGORY Ages 16 - 40 The competitors younger than 16 may take part in this competition if their qualification is adequate. PRELIMINARY SOLOIST STAGE (solo performance): max. 15 minutes lenght SECOND ROUND (mandatory play from memory): one concerto chosen from the list. The jury will communicate the performing concerto movement after getting through the preliminary round, the chosen concerto movement has to be played from memory with piano accompaniment of the orchestral part. LIST OF CONCERTOS WITH ORCHESTRA (only 1 concerto to be chosen from the list) PIANO Mozart: all the concertos Beethoven: all the concertos Schumann: concerto op.54 Chopin: concertos op.11 and op.21 Brahms: concertos n.1 and n.2 Liszt: concertos n.1 and n.2 Mendelssohn: concerti op.25 and op.40 Grieg: concerto op.16 Saint-Saens: concerto n.2 Ciaikovsky: concerto n.1 op.23 Rachmaninoff: concerto n. 1-2 VIOLIN Bach: all the concertos Haydn: all the concertos Mozart: all the concertos Beethoven: concerto op.61 Mendelssohn: concerto op.64 Paganini: all the concertos Viotti: concerto n.22 Saint-Saens: all the concertos Dvorak: concerto op.53 Vieuxtemps: all the concertos Wieniawsky: all the concertos M. Karlowicz: concerto op. 8 VIOLA Stamitz: all the concertos Hoffmeister: concerto in D major CELLO Boccherini: all the concertos Tartini: all the concertos Haydn: all the concertos Schumann: concerto op.129 Saint-Saens: concerto n.1 op.33 Dvorak: concerto op. 104 Lalo: concerto FLUTE Vivaldi: all the concertos Albinoni: all the concertos Telemann: all the concertos C.P.E. Bach: concerto H. 445 Haendel: all the concertos Tartini: all the concertos Laclair: all the concertos Quantz: all the concertos Galuppi: all the concertos Pergolesi: concerto in sol Gluck: concerto in sol and re major Haydn: concerto in re Boccherini: concerto in re Stamitz: concerto in sol Mozart: concerto K. 313, K. 314 Mercadante: concerto in mi min. Donizetti: concertino C. Nielsen: concerto FS 119 C. Reinecke: concerto op. 283 CLARINET Mozart: concerto K. 622 C. Stamitz: concerto n. 3 F. Kromer: concerto op. 36 L. Spohr: concerto n. 1 e n. 4 C.M. Weber: concerto op. 73, op. 74 OBOE Albinoni: concertos op.7 and op.9 Haendel: all the concertos Marcello: concerto Mozart: concerto K.314 Telemann: all the concertos Vivaldi: all the concertos HORN Mozart: all the concertos Haydn: all the concertos Weber: Concertino op. 54 F. Strauss: Concerto op. 8 J.W. Kalliwoda: Introduzione and Rondò op. 51 Saint-Saëns: Morceau de concert op. 94 TRUMPET L. Mozart: concerto in E Torelli: Concerto in E Tartini: Concerto in E Haydn: concerto in E flat J.B.G. Neruda: Concerto in E flat Telemann: Concerto in D Hummel: Concerto in E Bohme: Concerto in F Ponchielli: Concerto in F Art. 8 - APPLICATION FEES Single category € 120 Extra charge for staff piano accompanist (to be added to the appplication fee and sent with only one bank transfert): € 45: piano, strings and winds - section soloists and orchestra Art. 9 - RESULTS During the summer session the jury will proclaim the finalists (max. 3) who will perform in the final stage in winter session (25th of January 2020). At the end of the final stage the jury will award the first, second, third and fourth prize winners. Art. 10 - PRIZES 1st PRIZE - € 2000 - free accomodation of up to 4 nights for 2 person, in a sea view apartment in the renowned seaside resort in Lignano Sabbiadoro (Udine), the period has to be agreed - 3 concerts their certificate during the course of the competition, will no longer have any right to claim it. Also possible scores left by competitors in the competition site can not subsequently be claimed. Art. 14 - The organization is not responsible for any inconvenience during the competition. Art. 15 - Due to force majeure the Art Direction may require the Finalists to change the concerto to be performed in the Final Round. Art. 16 - In accordance with Law no. 675/96 on "Protection of Personal Data" AGIMUS declairs that the information given in the application form will be kept and used for the sole purpose of sending communications relating to the Competition or AGIMUS Concert Season. Art. 17 - No juryman must present his own students or keep artistic or acquaintance relations with the competitors in order to ensure maximum transparency in the evaluation of candidates. The international competition was in fact created by the need primary to select the best musical talents that will be presented to the citizens of Padova in the annual program of the prestigious International Concert Season of the Musical Association AGIMUS of Padova, which also involves the winners of other important and prestigious international competitions. Art. 18 - The Application entails the acceptance, and unconditional aware of these regulations and any amendments made by the Artistic Director. For matters not provided in these Regulations the board of Directors has all the competences. The Art Director reserves the right to make changes of various kinds for organizing reasons. The jury's decision is final. The communication of the results will be read by the commission at the end of every audition. Therefore, the competitors are personally invited to attend the reading of the results since the secretary will not provide explanations of the opinions expressed by the jury. No disputes are possible or the verbal or written of any kind. Otherwise, the art director will take legal action against anyone who does not respect the jury's decision. The art director recommend that candidates listen to the hearings of other competitors in their category, in order to accept more calmly and objectively the jury's verdict. Art. 19 - It is not allowed to publish on internet video recordings concerning the competition, without the authorization of the art direction. Art. 20 - The competition has a convention with HOTEL GRAND'ITALIA, (Corso del Popolo 81, phone 0039 049 8761111, [email protected], in front of Padova railway station. From the Hotel you can easily reach the competition site in a few minutes by city metrobus in front of the hotel.	<urn:uuid:b5ec3c6a-50f3-4b66-9af7-6cecf3d9423f>	CC-MAIN-2019-26	http://www.agimuspadova.com/wp-content/uploads/2019/02/Regulation-17th-Competition-for-Soloists-and-Orchestra.pdf	2019-06-27T08:24:43Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-26/segments/1560628001014.85/warc/CC-MAIN-20190627075525-20190627101525-00526.warc.gz	191,197,342	3,019	eng_Latn	eng_Latn	0.7748	eng_Latn	0.986093	[ "eng_Latn", "eng_Latn", "eng_Latn", "por_Latn", "por_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2612, 4843, 6405, 7314, 8198, 9285, 9366, 11737, 12032 ]	17th INTERNATIONAL MUSIC COMPETITION PREMIO CITTA' DI PADOVA FOR SOLOISTS AND ORCHESTRA 2019 The Competition will take place in Padova - Italy in Teatro-Auditorium del Collegio Vescovile Barbarigo (address: Via Rogati 17) from June 10th to June 16th 2019. The Final Stage with the Symphony Orchestra will take place on 25th of January 2020 in Auditorium of Music Conservatory "Cesare Pollini" in Padova. The application deadline is April 25th 2019. This competition is open to pianists, string and wind instrumentalists. Two preliminary rounds will take place from June the 10th to June the 16th 2019 and the Final Stage with the Symphony Orchestra will take place on 25th of January 2020 (max. 3 competitors chosen from sections piano, strings, winds). There are 3 rounds: 1) first preliminary round: each competitor will perform a solo free choice program (music written for solo instruments, without the piano accompaniment for strings and winds), not more than 15 minutes lenght. Therefore, in the first round the piano accompaniment is not arranged for string and wind instruments. 2) second preliminary round: each competitor will perform one concerto movement chosen from the list (look at the art. 9 with detailed list). The performance will include the piano accompaniment of the orchestra score. The performing concerto movement (only one movement) will be chosen by the jury and communicated to competitors together with the results of preliminary round. For the second preliminary round the competitors can bring their own piano accompanist or require the Padova Competition staff piano accompanist for an added fee (look at the art.10). The extra charge fee has to be sent to the competition secretary together with the application fee with the same bank transfert. There is no extra fee refund for the contestant who does not get in the second round. 3) final stage with Orchestra: the competitors will perform the entire concerto with the Symphony Orchestra in a public concert which will take place on 25th of January 2020 in Auditorium of Music Conservatory "Ceare Pollini" in Padova. GENERAL RULES Art. 1 - The Competition is open to musicians of all nationalities and background. The competition purpose is to select musicians with high professional qualities to be introduced in national and international concert circuit. The winners will be included in XXVIII International Concert Season 2020-2021 (october-april) of Padova Music Association AGIMUS in Padova and/or Rome, Venice, Abano Terme and in other main italian cities for the most important concert institutions. Besides they will win a free accomodation in a sea view apartment in the renowned seaside resort in Lignano Sabbiadoro (Udine – Friuli Venezia Giulia). Art. 2 - The application form has to be sent Secretary by e-mail IN DOC or PDF FILE not later than April 25 th 2019 (deadline) to the Competition at the following e-mail address: [email protected] The application form must be completed with the following documents: - copy of the Identity Document; - biography; - music score copy (to be sent by e-mail) in case the competitor requires staff piano accompanist. In this case the competitors have to communicate the concerto to the Competition Secretary, which will demand music score copy if needed. Music scores copies has to be sent by deadline, April 25th 2019. 2 copies of music scores that has to be shown to the jury are not to be sent with the application, but only exhibited before the audition (see Art.4); - photocopy of application fee payment (including the piano accompanist fee that has to be added to the application fee and paid by only one bank transfert). The payment has to made by bank transfer. Beneficiary: Associazione Musicale AGIMUS di Padova Bank : UNICREDIT Agenzia Vigonza, Busa (Pd) IBAN CODE : IT 18 S 02008 62960 000100539159 BIC-SWIFT : UNCRITM1R11 Any bank fees on transfers will be paid by the participants. The application fee and piano accompanist fee will not be refunded in case of competitor's withdrawal. The application form will not be accepted without the attached receipt. Art. 3 - From May the 16th 2019 the complete audition timetable will be determined. It will be possible to consult it on the AGIMUS Association web site ( www.agimuspadova.com ) or by Secretary e-mail ( [email protected] ). In any case, the secretary office will send the audition timetable to each competitor by e-mail by 16 May 2019. In the application form it is obligatory to indicate an e-mail address and a mobile phone number clearly legible. Art 4 - All the competitors before the audition are supposed to show to the jury a valid document (identity card or passport) and 2 copies of music scores (music scores does not have to be sent by e- mail). Art. 5 - The audition music program is free choice. The competitors who decide to apply in several sections, against payment of respective application fees (for example International Music Competition Premio Città di Padova and Premio Virtuositè) are suppposed to perform a completely different music program in each competition. Art. 6 - The competitors may require the staff piano accompanist against payment of extra charge fee that has to be paid together with the application fee in only one bank transfer (see Art.10). The extra charge fee has to reach the competition secretary with all the application documentation and music score copy not later than April 25th 2019 (only for competitors who received the demand for music scores by the Competition Secretary). Art. 7 - SECTIONS , CATEGORIES, EXAMINATIONS SECTIONS 1 - Piano 2 - String instruments (violin, viola, cello) 3 - Wind instruments (flute, oboe, clarinet, horn, trumpet) SINGLE CATEGORY Ages 16 - 40 The competitors younger than 16 may take part in this competition if their qualification is adequate. PRELIMINARY SOLOIST STAGE (solo performance): max. 15 minutes lenght SECOND ROUND (mandatory play from memory): one concerto chosen from the list. The jury will communicate the performing concerto movement after getting through the preliminary round, the chosen concerto movement has to be played from memory with piano accompaniment of the orchestral part. LIST OF CONCERTOS WITH ORCHESTRA (only 1 concerto to be chosen from the list) PIANO Mozart: all the concertos Beethoven: all the concertos Schumann: concerto op.54 Chopin: concertos op.11 and op.21 Brahms: concertos n.1 and n.2 Liszt: concertos n.1 and n.2 Me	ndelssohn: concerti op.	25 and op.40 Grieg: concerto op.16 Saint-Saens: concerto n.2 Ciaikovsky: concerto n.1 op.23 Rachmaninoff: concerto n. 1-2 VIOLIN Bach: all the concertos Haydn: all the concertos Mozart: all the concertos Beethoven: concerto op.61 Mendelssohn: concerto op.64 Paganini: all the concertos Viotti: concerto n.22 Saint-Saens: all the concertos Dvorak: concerto op.53 Vieuxtemps: all the concertos Wieniawsky: all the concertos M. Karlowicz: concerto op. 8 VIOLA Stamitz: all the concertos Hoffmeister: concerto in D major CELLO Boccherini: all the concertos Tartini: all the concertos Haydn: all the concertos Schumann: concerto op.129 Saint-Saens: concerto n.1 op.33 Dvorak: concerto op. 104 Lalo: concerto FLUTE Vivaldi: all the concertos Albinoni: all the concertos Telemann: all the concertos C.P.E. Bach: concerto H. 445 Haendel: all the concertos Tartini: all the concertos Laclair: all the concertos Quantz: all the concertos Galuppi: all the concertos Pergolesi: concerto in sol Gluck: concerto in sol and re major Haydn: concerto in re Boccherini: concerto in re Stamitz: concerto in sol Mozart: concerto K. 313, K. 314 Mercadante: concerto in mi min. Donizetti: concertino C. Nielsen: concerto FS 119 C. Reinecke: concerto op. 283 CLARINET Mozart: concerto K. 622 C. Stamitz: concerto n. 3 F. Kromer: concerto op. 36 L. Spohr: concerto n. 1 e n. 4 C.M. Weber: concerto op. 73, op. 74 OBOE Albinoni: concertos op.7 and op.9 Haendel: all the concertos Marcello: concerto Mozart: concerto K.314 Telemann: all the concertos Vivaldi: all the concertos HORN Mozart: all the concertos Haydn: all the concertos Weber: Concertino op. 54 F. Strauss: Concerto op. 8 J.W. Kalliwoda: Introduzione and Rondò op. 51 Saint-Saëns: Morceau de concert op. 94 TRUMPET L. Mozart: concerto in E Torelli: Concerto in E Tartini: Concerto in E Haydn: concerto in E flat J.B.G. Neruda: Concerto in E flat Telemann: Concerto in D Hummel: Concerto in E Bohme: Concerto in F Ponchielli: Concerto in F Art. 8 - APPLICATION FEES Single category € 120 Extra charge for staff piano accompanist (to be added to the appplication fee and sent with only one bank transfert): € 45: piano, strings and winds - section soloists and orchestra Art. 9 - RESULTS During the summer session the jury will proclaim the finalists (max. 3) who will perform in the final stage in winter session (25th of January 2020). At the end of the final stage the jury will award the first, second, third and fourth prize winners. Art. 10 - PRIZES 1st PRIZE - € 2000 - free accomodation of up to 4 nights for 2 person, in a sea view apartment in the renowned seaside resort in Lignano Sabbiadoro (Udine), the period has to be agreed - 3 concerts their certificate during the course of the competition, will no longer have any right to claim it. Also possible scores left by competitors in the competition site can not subsequently be claimed. Art. 14 - The organization is not responsible for any inconvenience during the competition. Art. 15 - Due to force majeure the Art Direction may require the Finalists to change the concerto to be performed in the Final Round. Art. 16 - In accordance with Law no. 675/96 on "Protection of Personal Data" AGIMUS declairs that the information given in the application form will be kept and used for the sole purpose of sending communications relating to the Competition or AGIMUS Concert Season. Art. 17 - No juryman must present his own students or keep artistic or acquaintance relations with the competitors in order to ensure maximum transparency in the evaluation of candidates. The international competition was in fact created by the need primary to select the best musical talents that will be presented to the citizens of Padova in the annual program of the prestigious International Concert Season of the Musical Association AGIMUS of Padova, which also involves the winners of other important and prestigious international competitions. Art. 18 - The Application entails the acceptance, and unconditional aware of these regulations and any amendments made by the Artistic Director. For matters not provided in these Regulations the board of Directors has all the competences. The Art Director reserves the right to make changes of various kinds for organizing reasons. The jury's decision is final. The communication of the results will be read by the commission at the end of every audition. Therefore, the competitors are personally invited to attend the reading of the results since the secretary will not provide explanations of the opinions expressed by the jury. No disputes are possible or the verbal or written of any kind. Otherwise, the art director will take legal action against anyone who does not respect the jury's decision. The art director recommend that candidates listen to the hearings of other competitors in their category, in order to accept more calmly and objectively the jury's verdict. Art. 19 - It is not allowed to publish on internet video recordings concerning the competition, without the authorization of the art direction. Art. 20 - The competition has a convention with HOTEL GRAND'ITALIA, (Corso del Popolo 81, phone 0039 049 8761111, [email protected], in front of Padova railway station. From the Hotel you can easily reach the competition site in a few minutes by city metrobus in front of the hotel.	6,554	inside_word	Mendelssohn:	remove_one_sentence	<url> http://www.agimuspadova.com/wp-content/uploads/2019/02/Regulation-17th-Competition-for-Soloists-and-Orchestra.pdf </url> <text> 17th INTERNATIONAL MUSIC COMPETITION PREMIO CITTA' DI PADOVA FOR SOLOISTS AND ORCHESTRA 2019 The Competition will take place in Padova - Italy in Teatro-Auditorium del Collegio Vescovile Barbarigo (address: Via Rogati 17) from June 10th to June 16th 2019. The Final Stage with the Symphony Orchestra will take place on 25th of January 2020 in Auditorium of Music Conservatory "Cesare Pollini" in Padova. The application deadline is April 25th 2019. This competition is open to pianists, string and wind instrumentalists. Two preliminary rounds will take place from June the 10th to June the 16th 2019 and the Final Stage with the Symphony Orchestra will take place on 25th of January 2020 (max. 3 competitors chosen from sections piano, strings, winds). There are 3 rounds: 1) first preliminary round: each competitor will perform a solo free choice program (music written for solo instruments, without the piano accompaniment for strings and winds), not more than 15 minutes lenght. Therefore, in the first round the piano accompaniment is not arranged for string and wind instruments. 2) second preliminary round: each competitor will perform one concerto movement chosen from the list (look at the art. 9 with detailed list). The performance will include the piano accompaniment of the orchestra score. The performing concerto movement (only one movement) will be chosen by the jury and communicated to competitors together with the results of preliminary round. For the second preliminary round the competitors can bring their own piano accompanist or require the Padova Competition staff piano accompanist for an added fee (look at the art.10). The extra charge fee has to be sent to the competition secretary together with the application fee with the same bank transfert. There is no extra fee refund for the contestant who does not get in the second round. 3) final stage with Orchestra: the competitors will perform the entire concerto with the Symphony Orchestra in a public concert which will take place on 25th of January 2020 in Auditorium of Music Conservatory "Ceare Pollini" in Padova. GENERAL RULES Art. 1 - The Competition is open to musicians of all nationalities and background. The competition purpose is to select musicians with high professional qualities to be introduced in national and international concert circuit. The winners will be included in XXVIII International Concert Season 2020-2021 (october-april) of Padova Music Association AGIMUS in Padova and/or Rome, Venice, Abano Terme and in other main italian cities for the most important concert institutions. Besides they will win a free accomodation in a sea view apartment in the renowned seaside resort in Lignano Sabbiadoro (Udine – Friuli Venezia Giulia). Art. 2 - The application form has to be sent Secretary by e-mail IN DOC or PDF FILE not later than April 25 th 2019 (deadline) to the Competition at the following e-mail address: [email protected] The application form must be completed with the following documents: - copy of the Identity Document; - biography; - music score copy (to be sent by e-mail) in case the competitor requires staff piano accompanist. In this case the competitors have to communicate the concerto to the Competition Secretary, which will demand music score copy if needed. Music scores copies has to be sent by deadline, April 25th 2019. 2 copies of music scores that has to be shown to the jury are not to be sent with the application, but only exhibited before the audition (see Art.4); - photocopy of application fee payment (including the piano accompanist fee that has to be added to the application fee and paid by only one bank transfert). The payment has to made by bank transfer. Beneficiary: Associazione Musicale AGIMUS di Padova Bank : UNICREDIT Agenzia Vigonza, Busa (Pd) IBAN CODE : IT 18 S 02008 62960 000100539159 BIC-SWIFT : UNCRITM1R11 Any bank fees on transfers will be paid by the participants. The application fee and piano accompanist fee will not be refunded in case of competitor's withdrawal. The application form will not be accepted without the attached receipt. Art. 3 - From May the 16th 2019 the complete audition timetable will be determined. It will be possible to consult it on the AGIMUS Association web site ( www.agimuspadova.com ) or by Secretary e-mail ( [email protected] ). In any case, the secretary office will send the audition timetable to each competitor by e-mail by 16 May 2019. In the application form it is obligatory to indicate an e-mail address and a mobile phone number clearly legible. Art 4 - All the competitors before the audition are supposed to show to the jury a valid document (identity card or passport) and 2 copies of music scores (music scores does not have to be sent by e- mail). Art. 5 - The audition music program is free choice. The competitors who decide to apply in several sections, against payment of respective application fees (for example International Music Competition Premio Città di Padova and Premio Virtuositè) are suppposed to perform a completely different music program in each competition. Art. 6 - The competitors may require the staff piano accompanist against payment of extra charge fee that has to be paid together with the application fee in only one bank transfer (see Art.10). The extra charge fee has to reach the competition secretary with all the application documentation and music score copy not later than April 25th 2019 (only for competitors who received the demand for music scores by the Competition Secretary). Art. 7 - SECTIONS , CATEGORIES, EXAMINATIONS SECTIONS 1 - Piano 2 - String instruments (violin, viola, cello) 3 - Wind instruments (flute, oboe, clarinet, horn, trumpet) SINGLE CATEGORY Ages 16 - 40 The competitors younger than 16 may take part in this competition if their qualification is adequate. PRELIMINARY SOLOIST STAGE (solo performance): max. 15 minutes lenght SECOND ROUND (mandatory play from memory): one concerto chosen from the list. The jury will communicate the performing concerto movement after getting through the preliminary round, the chosen concerto movement has to be played from memory with piano accompaniment of the orchestral part. LIST OF CONCERTOS WITH ORCHESTRA (only 1 concerto to be chosen from the list) PIANO Mozart: all the concertos Beethoven: all the concertos Schumann: concerto op.54 Chopin: concertos op.11 and op.21 Brahms: concertos n.1 and n.2 Liszt: concertos n.1 and n.2 Me<cursor_is_here>25 and op.40 Grieg: concerto op.16 Saint-Saens: concerto n.2 Ciaikovsky: concerto n.1 op.23 Rachmaninoff: concerto n. 1-2 VIOLIN Bach: all the concertos Haydn: all the concertos Mozart: all the concertos Beethoven: concerto op.61 Mendelssohn: concerto op.64 Paganini: all the concertos Viotti: concerto n.22 Saint-Saens: all the concertos Dvorak: concerto op.53 Vieuxtemps: all the concertos Wieniawsky: all the concertos M. Karlowicz: concerto op. 8 VIOLA Stamitz: all the concertos Hoffmeister: concerto in D major CELLO Boccherini: all the concertos Tartini: all the concertos Haydn: all the concertos Schumann: concerto op.129 Saint-Saens: concerto n.1 op.33 Dvorak: concerto op. 104 Lalo: concerto FLUTE Vivaldi: all the concertos Albinoni: all the concertos Telemann: all the concertos C.P.E. Bach: concerto H. 445 Haendel: all the concertos Tartini: all the concertos Laclair: all the concertos Quantz: all the concertos Galuppi: all the concertos Pergolesi: concerto in sol Gluck: concerto in sol and re major Haydn: concerto in re Boccherini: concerto in re Stamitz: concerto in sol Mozart: concerto K. 313, K. 314 Mercadante: concerto in mi min. Donizetti: concertino C. Nielsen: concerto FS 119 C. Reinecke: concerto op. 283 CLARINET Mozart: concerto K. 622 C. Stamitz: concerto n. 3 F. Kromer: concerto op. 36 L. Spohr: concerto n. 1 e n. 4 C.M. Weber: concerto op. 73, op. 74 OBOE Albinoni: concertos op.7 and op.9 Haendel: all the concertos Marcello: concerto Mozart: concerto K.314 Telemann: all the concertos Vivaldi: all the concertos HORN Mozart: all the concertos Haydn: all the concertos Weber: Concertino op. 54 F. Strauss: Concerto op. 8 J.W. Kalliwoda: Introduzione and Rondò op. 51 Saint-Saëns: Morceau de concert op. 94 TRUMPET L. Mozart: concerto in E Torelli: Concerto in E Tartini: Concerto in E Haydn: concerto in E flat J.B.G. Neruda: Concerto in E flat Telemann: Concerto in D Hummel: Concerto in E Bohme: Concerto in F Ponchielli: Concerto in F Art. 8 - APPLICATION FEES Single category € 120 Extra charge for staff piano accompanist (to be added to the appplication fee and sent with only one bank transfert): € 45: piano, strings and winds - section soloists and orchestra Art. 9 - RESULTS During the summer session the jury will proclaim the finalists (max. 3) who will perform in the final stage in winter session (25th of January 2020). At the end of the final stage the jury will award the first, second, third and fourth prize winners. Art. 10 - PRIZES 1st PRIZE - € 2000 - free accomodation of up to 4 nights for 2 person, in a sea view apartment in the renowned seaside resort in Lignano Sabbiadoro (Udine), the period has to be agreed - 3 concerts their certificate during the course of the competition, will no longer have any right to claim it. Also possible scores left by competitors in the competition site can not subsequently be claimed. Art. 14 - The organization is not responsible for any inconvenience during the competition. Art. 15 - Due to force majeure the Art Direction may require the Finalists to change the concerto to be performed in the Final Round. Art. 16 - In accordance with Law no. 675/96 on "Protection of Personal Data" AGIMUS declairs that the information given in the application form will be kept and used for the sole purpose of sending communications relating to the Competition or AGIMUS Concert Season. Art. 17 - No juryman must present his own students or keep artistic or acquaintance relations with the competitors in order to ensure maximum transparency in the evaluation of candidates. The international competition was in fact created by the need primary to select the best musical talents that will be presented to the citizens of Padova in the annual program of the prestigious International Concert Season of the Musical Association AGIMUS of Padova, which also involves the winners of other important and prestigious international competitions. Art. 18 - The Application entails the acceptance, and unconditional aware of these regulations and any amendments made by the Artistic Director. For matters not provided in these Regulations the board of Directors has all the competences. The Art Director reserves the right to make changes of various kinds for organizing reasons. The jury's decision is final. The communication of the results will be read by the commission at the end of every audition. Therefore, the competitors are personally invited to attend the reading of the results since the secretary will not provide explanations of the opinions expressed by the jury. No disputes are possible or the verbal or written of any kind. Otherwise, the art director will take legal action against anyone who does not respect the jury's decision. The art director recommend that candidates listen to the hearings of other competitors in their category, in order to accept more calmly and objectively the jury's verdict. Art. 19 - It is not allowed to publish on internet video recordings concerning the competition, without the authorization of the art direction. Art. 20 - The competition has a convention with HOTEL GRAND'ITALIA, (Corso del Popolo 81, phone 0039 049 8761111, [email protected], in front of Padova railway station. From the Hotel you can easily reach the competition site in a few minutes by city metrobus in front of the hotel. </text>	[ { "content": "<url>\nhttp://www.agimuspadova.com/wp-content/uploads/2019/02/Regulation-17th-Competition-for-Soloists-and-Orchestra.pdf\n</url>\n<text>\n17th INTERNATIONAL MUSIC COMPETITION PREMIO CITTA' DI PADOVA FOR SOLOISTS AND ORCHESTRA 2019\n\nThe Competition will take place in Padova - Italy in Teatro-Auditorium del Collegio Vescovile Barbarigo (address: Via Rogati 17) from June 10th to June 16th 2019. The Final Stage with the Symphony Orchestra will take place on 25th of January 2020 in Auditorium of Music Conservatory \"Cesare Pollini\" in Padova.\n\nThe application deadline is April 25th 2019.\n\nThis competition is open to pianists, string and wind instrumentalists. Two preliminary rounds will take place from June the 10th to June the 16th 2019 and the Final Stage with the Symphony Orchestra will take place on 25th of January 2020 (max. 3 competitors chosen from sections piano, strings, winds).\n\nThere are 3 rounds:\n\n1) first preliminary round: each competitor will perform a solo free choice program (music written for solo instruments, without the piano accompaniment for strings and winds), not more than 15 minutes lenght. Therefore, in the first round the piano accompaniment is not arranged for string and wind instruments.\n2) second preliminary round: each competitor will perform one concerto movement chosen from the list (look at the art. 9 with detailed list). The performance will include the piano accompaniment of the orchestra score. The performing concerto movement (only one movement) will be chosen by the jury and communicated to competitors together with the results of preliminary round. For the second preliminary round the competitors can bring their own piano accompanist or require the Padova Competition staff piano accompanist for an added fee (look at the art.10). The extra charge fee has to be sent to the competition secretary together with the application fee with the same bank transfert. There is no extra fee refund for the contestant who does not get in the second round.\n3) final stage with Orchestra: the competitors will perform the entire concerto with the Symphony Orchestra in a public concert which will take place on 25th of January 2020 in Auditorium of Music Conservatory \"Ceare Pollini\" in Padova.\n\nGENERAL RULES\n\nArt. 1 - The Competition is open to musicians of all nationalities and background. The competition purpose is to select musicians with high professional qualities to be introduced in national and international concert circuit. The winners will be included in XXVIII International Concert Season 2020-2021 (october-april) of Padova Music Association AGIMUS in Padova and/or Rome, Venice, Abano Terme and in other main italian cities for the most important concert institutions. Besides they\n\nwill win a free accomodation in a sea view apartment in the renowned seaside resort in Lignano\n\nSabbiadoro (Udine – Friuli Venezia Giulia).\n\nArt. 2\n\n- The application form has to be sent\n\nSecretary by e-mail\n\nIN DOC or PDF FILE\n\nnot later than April 25\n\nth\n\n2019 (deadline)\n\nto the Competition at the following e-mail address:\n\[email protected]\n\nThe application form must be completed with the following documents:\n\n- copy of the Identity Document;\n\n- biography;\n\n- music score copy (to be sent by e-mail) in case the competitor requires staff piano accompanist. In this case the competitors have to communicate the concerto to the Competition Secretary, which will demand\n\nmusic score copy if needed. Music scores copies has to be sent by deadline, April 25th 2019. 2 copies of music scores that has to be shown to the jury are not to be sent with the application, but only exhibited\n\nbefore the audition (see Art.4);\n\n- photocopy of application fee payment (including the piano accompanist fee that has to be added to the application fee and paid by only one bank transfert).\n\nThe payment has to made by bank transfer.\n\nBeneficiary:\n\nAssociazione Musicale AGIMUS di Padova\n\nBank\n\n: UNICREDIT Agenzia Vigonza, Busa (Pd)\n\nIBAN CODE\n\n: IT 18 S 02008 62960 000100539159\n\nBIC-SWIFT\n\n: UNCRITM1R11\n\nAny bank fees on transfers will be paid by the participants.\n\nThe application fee and piano accompanist fee will not be refunded in case of competitor's withdrawal.\n\nThe application form will not be accepted without the attached receipt.\n\nArt. 3\n\n-\n\nFrom May the 16th 2019\n\nthe complete audition timetable will be determined. It will be possible to consult it on the AGIMUS Association web site (\n\nwww.agimuspadova.com\n\n) or by Secretary e-mail\n\n(\n\[email protected]\n\n).\n\nIn any case, the secretary office will send the audition timetable to each competitor by e-mail by 16 May\n\n2019. In the application form it is obligatory to indicate an e-mail address and a mobile phone\n\nnumber clearly legible.\n\nArt 4\n\n- All the competitors before the audition are supposed to show to the jury a valid document\n\n(identity card or passport) and\n\n2 copies of music scores\n\n(music scores does not have to be sent by e- mail).\n\nArt. 5\n\n- The audition music program is free choice. The competitors who decide to apply in several sections, against payment of respective application fees (for example International Music Competition\n\nPremio Città di Padova and Premio Virtuositè) are suppposed to perform a completely different music\n\nprogram in each competition.\n\nArt. 6\n\n- The competitors may require the staff piano accompanist against payment of extra charge fee that has to be paid together with the application fee in only one bank transfer (see Art.10).\n\nThe extra charge fee has to reach the competition secretary with all the application documentation and music score\n\ncopy not later than April 25th 2019 (only for competitors who received the demand for music scores by the Competition Secretary).\n\nArt. 7 - SECTIONS , CATEGORIES, EXAMINATIONS\n\nSECTIONS\n\n1 - Piano\n\n2 - String instruments (violin, viola, cello)\n\n3 - Wind instruments (flute, oboe, clarinet, horn, trumpet)\n\nSINGLE CATEGORY\n\nAges 16 - 40\n\nThe competitors younger than 16 may take part in this competition if their qualification is adequate.\n\nPRELIMINARY SOLOIST STAGE (solo performance): max. 15 minutes lenght\n\nSECOND ROUND (mandatory play from memory): one concerto chosen from the list.\n\nThe jury will communicate the performing concerto movement after getting through the preliminary round, the chosen concerto movement has to be played from memory with piano accompaniment of the\n\norchestral part.\n\nLIST OF CONCERTOS WITH ORCHESTRA (only 1 concerto to be chosen from the list)\n\nPIANO\n\nMozart: all the concertos\n\nBeethoven: all the concertos\n\nSchumann: concerto op.54\n\nChopin: concertos op.11 and op.21\n\nBrahms: concertos n.1 and n.2\n\nLiszt: concertos n.1 and n.2\n\nMe<cursor_is_here>25 and op.40\n\nGrieg: concerto op.16\n\nSaint-Saens: concerto n.2\n\nCiaikovsky: concerto n.1 op.23\n\nRachmaninoff: concerto n. 1-2\n\nVIOLIN\n\nBach: all the concertos\n\nHaydn: all the concertos\n\nMozart: all the concertos\n\nBeethoven: concerto op.61\n\nMendelssohn: concerto op.64\n\nPaganini: all the concertos\n\nViotti: concerto n.22\n\nSaint-Saens: all the concertos\n\nDvorak: concerto op.53\n\nVieuxtemps: all the concertos\n\nWieniawsky: all the concertos\n\nM. Karlowicz: concerto op. 8\n\nVIOLA\n\nStamitz: all the concertos\n\nHoffmeister: concerto in D major\n\nCELLO\n\nBoccherini: all the concertos\n\nTartini: all the concertos\n\nHaydn: all the concertos\n\nSchumann: concerto op.129\n\nSaint-Saens: concerto n.1 op.33\n\nDvorak: concerto op. 104\n\nLalo: concerto\n\nFLUTE\n\nVivaldi: all the concertos\n\nAlbinoni: all the concertos\n\nTelemann: all the concertos\n\nC.P.E. Bach: concerto H. 445\n\nHaendel: all the concertos\n\nTartini: all the concertos\n\nLaclair: all the concertos\n\nQuantz: all the concertos\n\nGaluppi: all the concertos\n\nPergolesi: concerto in sol\n\nGluck: concerto in sol and re major\n\nHaydn: concerto in re\n\nBoccherini: concerto in re\n\nStamitz: concerto in sol\n\nMozart: concerto K. 313, K. 314\n\nMercadante: concerto in mi min.\n\nDonizetti: concertino\n\nC. Nielsen: concerto FS 119\n\nC. Reinecke: concerto op. 283\n\nCLARINET\n\nMozart: concerto K. 622\n\nC. Stamitz: concerto n. 3\n\nF. Kromer: concerto op. 36\n\nL. Spohr: concerto n. 1 e n. 4\n\nC.M. Weber: concerto op. 73, op. 74\n\nOBOE\n\nAlbinoni: concertos op.7 and op.9\n\nHaendel: all the concertos\n\nMarcello: concerto\n\nMozart: concerto K.314\n\nTelemann: all the concertos\n\nVivaldi: all the concertos\n\nHORN\n\nMozart: all the concertos\n\nHaydn: all the concertos\n\nWeber: Concertino op. 54\n\nF. Strauss: Concerto op. 8\n\nJ.W. Kalliwoda: Introduzione and Rondò op. 51\n\nSaint-Saëns: Morceau de concert op. 94\n\nTRUMPET\n\nL. Mozart: concerto in E\n\nTorelli: Concerto in E\n\nTartini: Concerto in E\n\nHaydn: concerto in E flat\n\nJ.B.G. Neruda: Concerto in E flat\n\nTelemann: Concerto in D\n\nHummel: Concerto in E\n\nBohme: Concerto in F\n\nPonchielli: Concerto in F\n\nArt. 8 - APPLICATION FEES\n\nSingle category € 120\n\nExtra charge for staff piano accompanist (to be added to the appplication fee and sent with only one bank transfert):\n\n€ 45: piano, strings and winds - section soloists and orchestra\n\nArt. 9 - RESULTS\n\nDuring the summer session the jury will proclaim the finalists (max. 3) who will perform in the final stage in winter session (25th of January 2020). At the end of the final stage the jury will award the first, second, third and fourth prize winners.\n\nArt. 10 - PRIZES\n\n1st PRIZE\n\n- € 2000\n- free accomodation of up to 4 nights for 2 person, in a sea view apartment in the renowned seaside\n\nresort in Lignano Sabbiadoro (Udine), the period has to be agreed\n\n- 3 concerts\n\ntheir certificate during the course of the competition, will no longer have any right to claim it. Also possible scores left by competitors in the competition site can not subsequently be claimed.\n\nArt. 14 - The organization is not responsible for any inconvenience during the competition.\n\nArt. 15 - Due to force majeure the Art Direction may require the Finalists to change the concerto to be performed in the Final Round.\n\nArt. 16 - In accordance with Law no. 675/96 on \"Protection of Personal Data\" AGIMUS declairs that the information given in the application form will be kept and used for the sole purpose of sending communications relating to the Competition or AGIMUS Concert Season.\n\nArt. 17 - No juryman must present his own students or keep artistic or acquaintance relations with the competitors in order to ensure maximum transparency in the evaluation of candidates. The international competition was in fact created by the need primary to select the best musical talents that will be presented to the citizens of Padova in the annual program of the prestigious International Concert Season of the Musical Association AGIMUS of Padova, which also involves the winners of other important and prestigious international competitions.\n\nArt. 18 - The Application entails the acceptance, and unconditional aware of these regulations and any amendments made by the Artistic Director. For matters not provided in these Regulations the board of Directors has all the competences. The Art Director reserves the right to make changes of various kinds for organizing reasons.\n\nThe jury's decision is final. The communication of the results will be read by the commission at the end of every audition. Therefore, the competitors are personally invited to attend the reading of the results since the secretary will not provide explanations of the opinions expressed by the jury. No disputes are possible or the verbal or written of any kind. Otherwise, the art director will take legal action against anyone who does not respect the jury's decision.\n\nThe art director recommend that candidates listen to the hearings of other competitors in their category, in order to accept more calmly and objectively the jury's verdict.\n\nArt. 19 - It is not allowed to publish on internet video recordings concerning the competition, without the authorization of the art direction.\n\nArt. 20 - The competition has a convention with HOTEL GRAND'ITALIA, (Corso del Popolo 81, phone 0039 049 8761111, [email protected], in front of Padova railway station. From the Hotel you can easily reach the competition site in a few minutes by city metrobus in front of the hotel.\n</text>\n", "role": "user" }, { "content": "ndelssohn: concerti op.", "role": "assistant" } ]
CONSIDERING WIDER MYOFASCIAL INVOLVEMENT AS POSSIBLE CONTRIBUTORS TO UPPER EXTREMITY DYSFUNCTION FOLLOWING TREATMENT FOR PRIMARY BREAST CANCER. Fourie W J Nat. Dip. PT Private practitioner, Johannesburg, RSA. Tel: + 27 (0) 11 763 6990 Email: [email protected] Corresponding author Willie Fourie, Private practitioner P.O Box 209, Florida Hills, 1716, Roodepoort, Republic of South Africa. Tel: + 27 (0) 11 763 6990 Fax no: + 27 (0) 866 180 179 Email: [email protected] 2 ABSTRACT BACKGROUND Breast cancer is the most common malignancy in w omen. Although scarring is recognized as contributing to limited shoulder movements, compromised tissue gliding in a wider range of fascial and connective tissue structures are under-recognized. AIM To report on soft tissue patterns in patients w ith upper limb dysfunction after modified radical mastectomy. METHODS Tissue gliding w as assessed in the neck, chest w all, abdomen, axilla and upper arm. Scarring, areas and directions of tightness w ere mapped on upper body charts. RESULTS 18 shoulders w ere evaluated. All patients had combinations of restrictive tissue gliding and shoulder movements. Four dominant restrictive areas were identified - surgical scarring, axillary tightness radiating into the upper arm, lateral chest w all and posterior tightness over the teres major muscle. DISCUSSION Breast cancer treatment results in tissues losing its shearing and gliding ability. Mapped restrictive tissue gliding clearly show w ider than reported restrictions. This pattern needs further research and investigation. BACKGROUND Breast cancer is the most common malignancy in w omen in the w estern world and of rising concern in developing countries. In the United States of America (US) breast cancer w ill be diagnosed in 1 in 8 w omen (Kingsbury 2007), w hile the lifetime risk for w omen in the United Kingdom (UK) is currently estimated at 1 in 9 (www.cancerresearchuk.org/ ). Medical treatments for breast cancer may include surgery, chemotherapy, hormone replacement therapy and radiation. Depending on the histology and the extent of the disease, combinations of surgery and adjuvant therapy may be used. The level of surgery varies greatly, from modified radical mastectomy (MRM) w ith removal of all the breast material as w ell as some supporting fascial structures, to minimal invasive breast saving operations (BSO) and sentinel lymph node biopsy (SLNB) from the axilla. Further surgery may include various breast reconstruction procedures. Although effective in treatment of cancer, the above interventions are often associated w ith side effects which may affect a patient's function and quality of life (Ghazinouri et al 2005). Advances in medicine and technology, combined w ith improved therapy and earlier detection, yields the largest group of cancer survivors in the US today (Lash & Silliman 2000). As a result, cancer survival rates defined as a relative combined 5-year statistic in this patient group, have increased steadily over the years. Survival rates are currently reported as above 50% (FialkaMoser et al 2003) in general, and up to 90% in certain population groups (Ghazinouri et al 2005). As a result of these factors, it is likely that progressively more patients w ith breast cancer may develop upper extremity dysfunction and be referred for evaluation and treatment by rehabilitation professionals (Ghazinouri et al 2005). Quality of life strongly depends on physical function. With more w omen now living w ith their disease, issues of survivorship, both physical and psychosocial, are of increasing importance. Breast cancer treatment is often follow ed by a decline in upper body function, even at some time distant from therapy (Karki et al 2005). Lash & Silliman (2000) conclude that 'upper body dysfunction may arise shortly after therapy and resolve, arise, and persist for at least 21 months, or arise at some time distant from therapy'. Post-treatment impairments consist, for example, of upper limb oedema, decreased shoulder mobility, neural tissue injuries causing sensory and motor dysfunction, and pain (Karki et al 2005). For decades, reduced shoulder range of movement (ROM) and functional impairment have been recognized as a problem after breast cancer surgery and treatment (Lash & Silliman 2000; Box et al 2002; Ghazinouri et al 2005; Karki et al 2005; Lauridsen et al 2005; Wyrick et al 2006). The presence of impaired shoulder ROM show s a lot of variability, ranging from a 1.5% incidence to as high as 50% (Rietman et al 2002; Box et al 2005; Karki et al 2005; Wyrick et al 2006). A significant relationship is reported betw een oedema and restricted range of motion, and impaired activities of daily living and influencing quality of life. Activities such as pulling a sw eater over the head, fastening a bra, carrying a heavy bag, sleeping on the operated side, reaching out, w orking w ith the ipsilateral arm, housew ork, leisure and sporting activities or handicraft are reported as compromised (Rietman et al 2002). Shoulder-arm morbidity is a complex syndrome w hich cannot be adequately described by single symptoms (Karki et al 2005), or rely on single-therapy treatment strategies for optimal results. Breast and axillary scarring is commonly recognized as contributing to limited shoulder movements and some of the impaired activities above (Lash & Silliman 2000; Karki et al 2005). In contrast to reporting on impairments in body functions and structures, little is know n about compromised tissue gliding and shearing ability betw een supporting fascial and connective tissue structures as a possible source of restrictive musculoskeletal syndromes in this patient group. Limited reporting on tissue glide could possibly be attributed to a lack of objective information on the psychometric properties of palpating restrictions in fascial glide by manual therapies. AIM: The primary aim of this study is to describe observed soft tissue mobility patterns in a group of breast cancer patients w ith upper body dysfunction, subsequent to modified radical mastectomy. We hope that this may add to understanding as to how restricted tissue gliding in one area, may contribute to dysfunction in another area. METHODS Patients: The clinical records and evaluation charts of 16 consecutively referred breast cancer patients were review ed retrospectively. All patients had undergone a modified radical mastectomy (MRM) as the primary surgical procedure for breast cancer, as well as varying combinations of other medical treatments and procedures prior to referral to physiotherapy. In all cases, the reason for referral w as for the management of upper body and shoulder impairments and functional deficits. Referrals included patients from both the early post-operative period (0 to 6 months) to patients w ith established chronic dysfunction many years post breast cancer treatment (table 1). Recorded data: patient records: Documented data included primary breast cancer treatment (surgery, chemotherapy, radiotherapy, number of lymph nodes removed and breast reconstruction procedures), time of first referral (0 to 6 months or 6 months +), shoulder range of motion (ROM), presence of lymphoedema, pain, neck ache, methods of early rehabilitation and soft tissue mobility. Recorded data w ere analysed for patterns of dysfunction, catagorised and grouped in table form (tables 1-3). Shoulder range of movement (ROM): ROM w as assessed both actively and passively using abduction in the plane of the scapula as the movement of choice for recording and measuring treatment progress. This w as recorded as degrees of elevation of the arm. A limitation in recorded ROM data is that some of our early referrals in this patient group w ere only measured subjectively by observation rather than w ith the use of measuring equipment. Recorded ROM data (table 2) should therefore be interpreted accordingly. During active shoulder movement, changes in scapulohumeral rhythm w ere noted and recorded. Observations on internal rotation, external rotation and adduction of the shoulder, as w ell as neck and thoracic spine movements w ere also recorded, but not included in this study as it w as incompletely recorded for all cases. Soft tissue mobility: Soft tissue gliding w as manually assessed by applying gentle shearing stretch to the skin over the neck, chest w all, abdomen, axilla and upper arm. Tissues in tested areas w ere taken to the limits of its available range of gliding. Where soft tissue gliding w as felt to come to a premature end, tissue mobility w ere considered as restricted. Areas where mobility w as restricted by scarring or tethering and w here reduced tissue flexibility could be palpated, w ere mapped on upper body charts (Figure 1). Mapping included all surgical scars, areas of tissue tightness as well as the directions of palpated tissue restriction. Tissue mobility w ould be graded either as normal or restricted. RESULTS Our patient sample consisted of 16 consecutively referred patients betw een the ages of 45 and 68 (mean age: 53) w ith upper body morbidity after treatment of primary breast cancer. Patients were from the same demographic area w ithin the Greater Johannesburg Metropolitan Council. The sample period w as between January and December 2006. Time of first referral varied betw een 4 w eeks post surgery to 10 years after the initial treatment (mean: 2.8 years). Only the three patients referred w ithin the first 6 w eeks after surgery did not have additional treatment procedures prior to referral. The remaining 13 patients had varying combinations of adjuvant medical treatments and surgical procedures prior to referral for physiotherapy (Table 1). Three factors were shared by all the patients, i.e. type of primary surgery (modified radical mastectomy), upper body dysfunction and tissue restriction. Additional surgery, before or after the breast cancer, were reported by 11 patients and 12 patients received adjuvant therapy after the MRM (Table 1). Eighteen shoulder girdles w ere evaluated in sixteen patients (tw o patients had bilateral mastectomies). Fifteen patients had restricted shoulder movements and all sixteen presented with changes in scapulohumeral rhythm w hen moving the arm. The average ROM, measuring abduction in the plane of the scapula, w as 130 degrees (range, 40 – 180 degrees). Underlying glenohumeral pathology w as evident in only one shoulder and confirmed and treated by her orthopaedic surgeon. Although restrictions in shoulder movements w ere evident in 95% of the study group, lymphoedema of the arm (8/16), neck ache (8/16) and pain in the chest, shoulder and arm (11/16) co-existed w ith the restricted shoulder movements (Table 2). Restrictions in normal gliding betw een the skin and subcutaneous tissue w ere evident in the entire sample group (Table 3). Evaluation of tissue gliding on the neck, chest w all, abdomen, axilla and upper arm identified tightness in a w ide range of tissues. The tw o most prominent areas of identified restriction w ere the surgical scarring on the anterior chest w all and donor sites for reconstructive surgery (14/18 = 77.7%) and axillary tightness radiating into the medial upper arm (15/18 = 83%). Additional combinations of tightness on the lateral chest w all radiating into the axilla (11/18 = 61%), from the drain sites (5/18 = 29%), the posterior axillary border over the teres major and infraspinatus muscles (10/18 = 55%), above the clavicle (6/18 = 33%) and around other surgical sites (7/18 = 39%) w ere also found (Figure 1). DISCUSSION All the patients in this study had undergone a modified radical mastectomy as the primary surgical procedure for breast cancer, while 12 patients received varying combinations of other medical treatments and procedures prior to referral to physiotherapy. In all cases, the reason for referral w as for the management of upper body and shoulder impairments and functional deficits. Although restrictions in shoulder movements w ere evident in 95% of the study group, this w as not alw ays the primary reason for referral. Co-existing problems such as lymphoedema of the arm, neck ache and pain in the chest, shoulder and arm often dominated as the more severe symptoms of upper body dysfunction. On evaluating of the upper body and shoulder impairments, all patients shared varying degrees of restricted soft tissue mobility contributing to dysfunction. Treatment for breast cancer leads to a number of w ell know n and documented sequelae of which restricted shoulder movements, pain and oedema are the most debilitating. Both Rietman et al (2002) and Karki et al (2005) report that dysfunction may persist for extended periods, w ith some patients experiencing a progressive decline in activities of daily living, w ork and leisure activities follow ing mastectomy. It is therefore suggested that appropriate interventions should be planned for at least 2 years after treatment for primary breast cancer (Lash & Silliman 2000; Karki et al 2005). Patients in this study group w ere still experiencing limitations in the above activities for as long as 10 years after primary treatment. This continued long term dysfunction and impairment cause feelings of frustration and anger (personal comments from patients). Some patients in the present study group even suggested that they have stopped complaining to their doctors about the experienced limitations, pain and dysfunction and that they are "just getting on w ith life, regardless of quality". Breast and axillary scar tightness remain one of the most common impairments after mastectomy even at 12-month follow up (Karki et al 2005). Patients after mastectomy also report higher levels of limited shoulder movements than patients after tissue preserving procedures (Rietman et al 2002). Although breast saving operations are increasingly advocated by surgeons, modified radical mastectomy is still performed more commonly in elderly patients (Karki et al 2005) and accepted as the standard surgical treatment for breast cancer (Pendergrast 1989). All the patients in our study group, except one, had varying degrees of restricted shoulder movement upon referral. The major tight areas w ere identified over the anterior chest w all radiating into the axilla (78%), and medial upper arm (83%). This is consistent w ith described tightness and scarring contributing to shoulder morbidity in literature (Box 2002; Karki et al 2005). The tightness found in the lateral chest w all radiating into the axilla in 11 (61%) of our patients could be added to the group w ith anterior chest w all scarring. Understanding the extent of tissue dissection during surgery may explain the large percentage of patients in our study w ith the above patterns of tissue restriction. During a modified radical mastectomy, not only the breast tissue and lymph nodes in the axilla are removed, but important supporting fascial structures as well. The surgical procedure involves the careful mobilisation, dissection and removal of breast tissue and the underlying fascia/epimysium from the pectoralis major muscle. Continuing around the lateral edge of pectoralis major, the fat pad and the lymph nodes betw een pectoralis major and pectoralis minor are removed by sharp dissection. Further surgical removal or sampling of lymph nodes involve careful dissection of varying numbers of nodes from the axilla, together w ith its supporting fat and areolar connective tissue (Dao & Patel 1984). The fascia extending from the lateral edge of pectoralis major is continuous w ith the deep fascia covering serratus anterior. Further posterior this fascial sheet splits to ensheathe latissimus dorsi as deep fascia/epimysium (Warw ick & Williams 1976). Dissection for removal of the axillary tail of the breast and the subscapular and lateral thoracic groups of lymph nodes continues over the subscapularis muscle until the edge of the latissimus dorsi muscle is reached (Dao & Patel 1984). Surgery can therefore be seen to contribute substantially to observed tissue tightness – even in areas not directly visible as surgical scarring on the body surface. A viable explanation as to w hy surgery creates such a w ide range of restrictions in tissue, even at sites distant from the direct surgical scarring, could possibly be found in the fascial arrangements betw een the pectoralis major muscle and the brachial fascia of the arm. The fascia covering pectoralis major is continuous w ith the brachial fascia in tw o distinct w ays (Stecco et al 2007): * The fascia overlying the clavicular part of pectoralis major continues into the anterior brachial fascia. * The fascia covering the costal part is continuous w ith the axillary fascia and then w ith the medial brachial fascia. Furthermore, abundant amounts of fat and loose areolar connective tissue protect and bind the numerous structures w ithin the axilla together. By virtue of its extensibility and elasticity, a considerable amount of tissue movement is simultaneously allow ed for arm elevation (Warw ick & Williams 1976). It could be reasoned that damage to the pectoralis major fascia and the protective axillary connective tissue may contribute to limited arm and shoulder movement. From our documented results, restrictions w ere however w ider than described above and reported in the literature. This refers specifically to the tightness found over the posterior axillary w all and over the teres major muscle and the long head of triceps (Figure 2). The relatively large number of shoulders w ith posterior axillary w all tightness (10 or 55%) w as unexpected. This tissue restriction is felt as an area of distinct fascial tethering (Figure 3), and not usually associated w ith surgical scarring. Only in tw o patients w ith breast reconstructions using a latissimus dorsi flap could tightness here be explained as part of direct surgical procedures. The identified area of tethering corresponds to the teres major and minor trigger spots according to Travell and Simons (1992) and the centre of coordination for humeral extension as described by L Stecco (2004). Posterior axilla and teres major muscle tightness may be associated w ith restricted shoulder elevation, changes in scapulohumeral rhythm and changes in glenohumeral biomechanics. Stecco et al. (2007) further describe a fibrous lamina betw een the fascia of latissimus dorsi and the triceps brachial fascia creating a thickening in the posterior axilla. This thickening is fanshaped, w ith the apex directed tow ards the axilla and the base tow ards the postero-medial side of the brachial fascia. With the extent of dissection described during axillary clearance extending to the edge of latissimus dorsi (Dao & Patel,1984), it seems feasible to assume that direct anterior and lateral fascial damage may w ell influence the fascial structures as far as the posterior axilla and teres major as w ell. CONCLUSIONS. Breast cancer treatment results in a range of supporting connective tissues losing its normal shearing and gliding ability. In this limited sample, mapped restrictive tissue gliding clearly show wider than reported restrictions. The w ider extent of limitation in tissue gliding w as somew hat unexpected. This pattern needs further research and investigation. Shoulder-arm morbidity is a complex syndrome w hich cannot be adequately described by single symptoms, or rely on single-therapy treatment strategies for optimal results. In our practice, adding mobilization of all tissue gliding restrictions resulted in improved upper limb function, reduced pain and increased exercise tolerance. We therefore propose that the entire upper quarter be assessed and treated for tissue gliding restrictions as part of the long term rehabilitation plan for patients after treatment for breast cancer. REFERENCES. Box RC, Reul-Hirche HM, Bullock-Saxton JE, Furnival CM 2002 Shoulder movement after breast cancer surgery: results of a randomized controlled study of postoperative physiotherapy. Breast Cancer Res Treat 75:35-50 Cancer Research UK (2006). www.cancerresearchuk.org/cancerstats/types/breast/incidence/ (accessed 25.9.06). Dao TL, Patel J 1984 Modified radical mastectomy. In: Nyhus LM, Baker RJ. (eds.) Mastery of Surgery: Volume I. Brow n and Company, Boston/Toronto Fialka-Moser V, Crevenna R, Korpan M, Quittan M 2003 Cancer rehabilitation. Particularly w ith aspects on physical impairments. J Rehabil Med 35: 153-162 Ghazinouri R, Levy C, Ben-Porat L, Stubblefield MD 2005 Shoulder impairments in patients with breast cancer: a retrospective review Rehabil Onc 23: 5-8 Kärki A, Simonen R, Mälkiä E, Selfe J 2005 Impairments, activity limitations and participation restrictions 6 and 12 months after breast cancer operation. J Rehabil Med 37: 180-188 Kingsbury K 2007 The changing face of breast cancer, Time 170:36-43 Lash TL, Silliman RA 2000 Patient characteristics and treatments associated w ith decline in upper-body function follow ing breast cancer therapy. J Clin Epidemiol, 53: 615-622 Lauridsen MC, Christiansen P, Hessov I 2005 The effect of physiotherapy on shoulder function in patients surgically treated for breast cancer: a randomized study. Acta Oncol 44:449-457 Pendergrast WJ 1989 Surgical management of breast cancer. In: Lew is JR (Ed) The Art of Aesthetic Plastic Surgery. Volume II. Little, Brow n and Company, Boston Rietman JS, Dijkstra PU, Hoekstra HJ, et al 2002 Late morbidity after treatment of breast cancer in relation to daily activities and quality of life: a systematic review . EJSO 29:229-238. Stecco C, Gagey O, Macchi V, et al 2007 Tendinous muscular insertions onto the deep fascia of the upper limb first part: anatomical study. Morphologie, doi:10.1016/j.morpho.2007.05.001 Stecco L 2004 Fascial Manipulation for Musculoskeletal Pain. Piccin Nuova Libraria S.p.A., Padova. Travell J G, Simons D G 1992. Volume 2. Myofascial pain and dysfunction. The Trigger Point Manual. The Low er Extremities.Williams and Wilkins, Baltimore. Warw ick R, Williams PL 1976 ed. Gray's Anatomy. 35th ed. Longman Wyrick SL, Waltke LJ, Ng AV 2006 Physical therapy may promote resolution of lymphatic cording in breast cancer survivors. Rehab Onc 24:29-34. TABLES. Table 1: Patient Details Table 2: Impairment and complaints (reason for referral) Table 3: Sites of tisssue restriction. FIGURES.	<urn:uuid:7f697bcc-a45b-4565-987b-10ebcf97f23c>	CC-MAIN-2018-34	http://wayforward.co.za/downloads/BreastCancer_WillieFourie.pdf	2018-08-14T14:06:32Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-34/segments/1534221209040.29/warc/CC-MAIN-20180814131141-20180814151141-00341.warc.gz	425,970,154	5,094	eng_Latn	eng_Latn	0.895755	eng_Latn	0.991557	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "unknown", "unknown", "unknown" ]	false	rolmOCR	[ 480, 1591, 3447, 5548, 6970, 8817, 10566, 12428, 14566, 16701, 19099, 20012, 21235, 22428, 22463, 22521, 22561, 22571 ]	CONSIDERING WIDER MYOFASCIAL INVOLVEMENT AS POSSIBLE CONTRIBUTORS TO UPPER EXTREMITY DYSFUNCTION FOLLOWING TREATMENT FOR PRIMARY BREAST CANCER. Fourie W J Nat. Dip. PT Private practitioner, Johannesburg, RSA. Tel: + 27 (0) 11 763 6990 Email: [email protected] Corresponding author Willie Fourie, Private practitioner P.O Box 209, Florida Hills, 1716, Roodepoort, Republic of South Africa. Tel: + 27 (0) 11 763 6990 Fax no: + 27 (0) 866 180 179 Email: [email protected] 2 ABSTRACT BACKGROUND Breast cancer is the most common malignancy in w omen. Although scarring is recognized as contributing to limited shoulder movements, compromised tissue gliding in a wider range of fascial and connective tissue structures are under-recognized. AIM To report on soft tissue patterns in patients w ith upper limb dysfunction after modified radical mastectomy. METHODS Tissue gliding w as assessed in the neck, chest w all, abdomen, axilla and upper arm. Scarring, areas and directions of tightness w ere mapped on upper body charts. RESULTS 18 shoulders w ere evaluated. All patients had combinations of restrictive tissue gliding and shoulder movements. Four dominant restrictive areas were identified - surgical scarring, axillary tightness radiating into the upper arm, lateral chest w all and posterior tightness over the teres major muscle. DISCUSSION Breast cancer treatment results in tissues losing its shearing and gliding ability. Mapped restrictive tissue gliding clearly show w ider than reported restrictions. This pattern needs further research and investigation. BACKGROUND Breast cancer is the most common malignancy in w omen in the w estern world and of rising concern in developing countries. In the United States of America (US) breast cancer w ill be diagnosed in 1 in 8 w omen (Kingsbury 2007), w hile the lifetime risk for w omen in the United Kingdom (UK) is currently estimated at 1 in 9 (www.cancerresearchuk.org/ ). Medical treatments for breast cancer may include surgery, chemotherapy, hormone replacement therapy and radiation. Depending on the histology and the extent of the disease, combinations of surgery and adjuvant therapy may be used. The level of surgery varies greatly, from modified radical mastectomy (MRM) w ith removal of all the breast material as w ell as some supporting fascial structures, to minimal invasive breast saving operations (BSO) and sentinel lymph node biopsy (SLNB) from the axilla. Further surgery may include various breast reconstruction procedures. Although effective in treatment of cancer, the above interventions are often associated w ith side effects which may affect a patient's function and quality of life (Ghazinouri et al 2005). Advances in medicine and technology, combined w ith improved therapy and earlier detection, yields the largest group of cancer survivors in the US today (Lash & Silliman 2000). As a result, cancer survival rates defined as a relative combined 5-year statistic in this patient group, have increased steadily over the years. Survival rates are currently reported as above 50% (FialkaMoser et al 2003) in general, and up to 90% in certain population groups (Ghazinouri et al 2005). As a result of these factors, it is likely that progressively more patients w ith breast cancer may develop upper extremity dysfunction and be referred for evaluation and treatment by rehabilitation professionals (Ghazinouri et al 2005). Quality of life strongly depends on physical function. With more w omen now living w ith their disease, issues of survivorship, both physical and psychosocial, are of increasing importance. Breast cancer treatment is often follow ed by a decline in upper body function, even at some time distant from therapy (Karki et al 2005). Lash & Silliman (2000) conclude that 'upper body dysfunction may arise shortly after therapy and resolve, arise, and persist for at least 21 months, or arise at some time distant from therapy'. Post-treatment impairments consist, for example, of upper limb oedema, decreased shoulder mobility, neural tissue injuries causing sensory and motor dysfunction, and pain (Karki et al 2005). For decades, reduced shoulder range of movement (ROM) and functional impairment have been recognized as a problem after breast cancer surgery and treatment (Lash & Silliman 2000; Box et al 2002; Ghazinouri et al 2005; Karki et al 2005; Lauridsen et al 2005; Wyrick et al 2006). The presence of impaired shoulder ROM show s a lot of variability, ranging from a 1.5% incidence to as high as 50% (Rietman et al 2002; Box et al 2005; Karki et al 2005; Wyrick et al 2006). A significant relationship is reported betw een oedema and restricted range of motion, and impaired activities of daily living and influencing quality of life. Activities such as pulling a sw eater over the head, fastening a bra, carrying a heavy bag, sleeping on the operated side, reaching out, w orking w ith the ipsilateral arm, housew ork, leisure and sporting activities or handicraft are reported as compromised (Rietman et al 2002). Shoulder-arm morbidity is a complex syndrome w hich cannot be adequately described by single symptoms (Karki et al 2005), or rely on single-therapy treatment strategies for optimal results. Breast and axillary scarring is commonly recognized as contributing to limited shoulder movements and some of the impaired activities above (Lash & Silliman 2000; Karki et al 2005). In contrast to reporting on impairments in body functions and structures, little is know n about compromised tissue gliding and shearing ability betw een supporting fascial and connective tissue structures as a possible source of restrictive musculoskeletal syndromes in this patient group. Limited reporting on tissue glide could possibly be attributed to a lack of objective information on the psychometric properties of palpating restrictions in fascial glide by manual therapies. AIM: The primary aim of this study is to describe observed soft tissue mobility patterns in a group of breast cancer patients w ith upper body dysfunction, subsequent to modified radical mastectomy. We hope that this may add to understanding as to how restricted tissue gliding in one area, may contribute to dysfunction in another area. METHODS Patients: The clinical records and evaluation charts of 16 consecutively referred breast cancer patients were review ed retrospectively. All patients had undergone a modified radical mastectomy (MRM) as the primary surgical procedure for breast cancer, as well as varying combinations of other medical treatments and procedures prior to referral to physiotherapy. In all cases, the reason for referral w as for the management of upper body and shoulder impairments and functional deficits. Referrals included patients from both the early post-operative period (0 to 6 months) to patients w ith established chronic dysfunction many years post breast cancer treatment (table 1). Recorded data: patient records: Documented data included primary breast cancer treatment (surgery, chemotherapy, radiotherapy, number of lymph nodes removed and breast reconstruction procedures), time of first referral (0 to 6 months or 6 months +), shoulder range of motion (ROM), presence of lymphoedema, pain, neck ache, methods of early rehabilitation and soft tissue mobility. Recorded data w ere analysed for patterns of dysfunction, catagorised and grouped in table form (tables 1-3). Shoulder range of movement (ROM): ROM w as assessed both actively and passively using abduction in the plane of the scapula as the movement of choice for recording and measuring treatment progress. This w as recorded as degrees of elevation of the arm. A limitation in recorded ROM data is that some of our early referrals in this patient group w ere only measured subjectively by observation rather than w ith the use of measuring equipment. Recorded ROM data (table 2) should therefore be interpreted accordingly. During active shoulder movement, changes in scapulohumeral rhythm w ere noted and recorded. Observations on internal rotation, external rotation and adduction of the shoulder, as w ell as neck and thoracic spine movements w ere also recorded, but not included in this study as it w as incompletely recorded for all cases. Soft tissue mobility: Soft tissue gliding w as manually assessed by applying gentle shearing stretch to the skin over the neck, chest w all, abdomen, axilla and upper arm. Tissues in tested areas w ere taken to the limits of its available range of gliding. Where soft tissue gliding w as felt to come to a premature end, tissue mobility w ere considered as restricted. Areas where mobility w as restricted by scarring or tethering and w here reduced tissue flexibility could be palpated, w ere mapped on upper body charts (Figure 1). Mapping included all surgical scars, areas of tissue tightness as well as the directions of palpated tissue restriction. Tissue mobility w ould be graded either as normal or restricted. RESULTS Our patient sample consisted of 16 consecutively referred patients betw een the ages of 45 and 68 (mean age: 53) w ith upper body morbidity after treatment of primary breast cancer. Patients were from the same demographic area w ithin the Greater Johannesburg Metropolitan Council. The sample period w as between January and December 2006. Time of first referral varied betw een 4 w eeks post surgery to 10 years after the initial treatment (mean: 2.8 years). Only the three patients referred w ithin the first 6 w eeks after surgery did not have additional treatment procedures prior to referral. The remaining 13 patients had varying combinations of adjuvant medical treatments and surgical procedures prior to referral for physiotherapy (Table 1). Three factors were shared by all the patients, i.e. type of primary surgery (modified radical mastectomy), upper body dysfunction and tissue restriction. Additional surgery, before or after the breast cancer, were reported by 11 patients and 12 patients received adjuvant therapy after the MRM (Table 1). Eighteen shoulder girdles w ere evaluated in sixteen patients (tw o patients had bilateral mastectomies). Fifteen patients had restricted shoulder movements and all sixteen presented with changes in scapulohumeral rhythm w hen moving the arm. The average ROM, measuring abduction in the plane of the scapula, w as 130 degrees (range, 40 – 180 degrees). Underlying glenohumeral pathology w as evident in only one shoulder and confirmed and treated by her orthopaedic surgeon. Although restrictions in shoulder movements w ere evident in 95% of the study group, lymphoedema of the arm (8/16), neck ache (8/16) and pain in the chest, shoulder and arm (11/16) co-existed w ith the restricted shoulder movements (Table 2). Restrictions in normal gliding betw een the skin and subcutaneous tissue w ere evident in the entire sample group (Table 3). Evaluation of tissue gliding on the neck, chest w all, abdomen, axilla and upper arm identified tightness in a w ide range of tissues. The tw o most prominent areas of identified restriction w ere the surgical scarring on the anterior chest w all and donor sites for reconstructive surgery (14/18 = 77.7%) and axillary tightness radiating into the medial upper arm (15/18 = 83%). Additional combinations of tightness on the lateral chest w all radiating into the axilla (11/18 = 61%), from the drain sites (5/18 = 29%), the posterior axillary border over the teres major and infraspinatus muscles (10/18 = 55%), above the clavicle (6/18 = 33%) and around other surgical sites (7/18 = 39%) w ere also found (Figure 1). DISCUSSION All the patients in this study had undergone a modified radical mastectomy as the primary surgical procedure for breast cancer, while 12 patients received varying combinations of other medical treatments and procedures prior to referral to physiotherapy. In all cases, the reason for referral w as for the management of upper body and shoulder impairments and functional deficits. Although restrictions in shoulder movements w ere evident in 95% of the study group, this w as not alw ays the primary reason for referral. Co-existing problems such as lymphoedema of the arm, neck ache and pain in the chest, shoulder and arm often dominated as the more severe symptoms of upper body dysfunction. On evaluating of the upper body and shoulder impairments, all patients shared varying degrees of restricted soft tissue mobility contributing to dysfunction. Treatment for breast cancer leads to a number of w ell know n and documented sequelae of which restricted shoulder movements, pain and oedema are the most debilitating. Both Rietman et al (2002) and Karki et al (2005) report that dysfunction may persist for extended periods, w ith some patients experiencing a progressive decline in activities of daily living, w ork and leisure activities follow ing mastectomy. It is therefore suggested that appropriate interventions should be planned for at least 2 years after treatment for primary breast cancer (Lash & Silliman 2000; Karki et al 2005). Patients in this study group w ere still experiencing limitations in the above activities for as long as 10 years after primary treatment. This continued long term dysfunction and impairment cause feelings of frustration and anger (personal comments from patients). Some patients in the present study group even suggested that they have stopped complaining to their doctors about the experienced limitations, pain and dysfunction and that they are "just getting on w ith life, regardless of quality". Breast and axillary scar tightness remain one of the most common impairments after mastectomy even at 12-month follow up (Karki et al 2005). Patients after mastectomy also report higher levels of limited shoulder movements than patients after tissue preserving procedures (Rietman et al 2002). Although breast saving operations are increasingly advocated by surgeons, modified radical mastectomy is still performed more commonly in elderly patients (Karki et al 2005) and accepted as the standard surgical treatment for breast cancer (Pendergrast 1989). All the patients in our study group, except one, had varying degrees of restricted shoulder movement upon referral. The major tight areas w ere identified over the anterior chest w all radiating into the axilla (78%), and medial upper arm (83%). This is consistent w ith described tightness and scarring contributing to shoulder morbidity in literature (Box 2002; Karki et al 2005). The tightness found in the lateral chest w all radiating into the axilla in 11 (61%) of our patients could be added to the group w ith anterior chest w all scarring. Understanding the extent of tissue dissection during surgery may explain the large percentage of patients in our study w ith the above patterns of tissue restriction. During a modified radical mastectomy, not only the breast tissue and lymph nodes in the axilla are removed, but important supporting fascial structures as well. The surgical procedure involves the careful mobilisation, dissection and removal of breast tissue and the underlying fascia/epimysium from the pectoralis major muscle. Continuing around the lateral edge of pectoralis major, the fat pad and the lymph nodes betw een pectoralis major and pectoralis minor are removed by sharp dissection. Further surgical removal or sampling of lymph nodes involve careful dissection of varying numbers of nodes from the axilla, together w ith its supporting fat and areolar connective tissue (Dao & Patel 1984). The fascia extending from the lateral edge of pectoralis major is continuous w ith the deep fascia covering serratus anterior. Further posterior this fascial sheet splits to ensheathe latissimus dorsi as deep fascia/epimysium (Warw ick & Williams 1976). Dissection for removal of the axillary tail of the breast and the subscapular and lateral thoracic groups of lymph nodes continues over the subscapularis muscle until the edge of the latissimus dorsi muscle is reached (Dao & Patel 1984). Surgery can therefore be seen to contribute substantially to observed tissue tightness – even in areas not directly visible as surgical scarring on the body surface. A viable explanation as to w hy surgery creates such a w ide range of restrictions in tissue, even at sites distant from the direct surgical scarring, could possibly be found in the fascial arrangements betw een the pectoralis major muscle and the brachial fascia of the arm. The fascia covering pectoralis major is continuous w ith the brachial fascia in tw o distinct w ays (Stecco et al 2007): * The fascia overlying the clavicular part of pectoralis major continues into the anterior brachial fascia. * The fascia covering the costal part is continuous w ith the axillary fascia and then w ith the medial brachial fascia. Furthermore, abundant amounts of fat and loose areolar connective tissue protect and bind the numerous structures w ithin the axilla together. By virtue of its extensibility and elasticity, a considerable amount of tissue movement is simultaneously allow ed for arm elevation (Warw ick & Williams 1976). It could be reasoned that damage to the pectoralis major fascia and the protective axillary connective tissue may contribute to limited arm and shoulder movement. From our documented results, restrictions w ere however w ider than described above and reported in the literature. This refers specifically to the tightness found over the posterior axillary w all and over the teres major muscle and the long head of triceps (Figure 2). The relatively large number of shoulders w ith posterior axillary w all tightness (10 or 55%) w as unexpected. This tissue restriction is felt as an area of distinct fascial tethering (Figure 3), and not usually associated w ith surgical scarring. Only in tw o patients w ith breast reconstructions using a latissimus dorsi flap could tightness here be explained as part of direct surgical procedures. The identified area of tethering corresponds to the teres major and minor trigger spots according to Travell and Simons (1992) and the centre of coordination for humeral extension as described by L Stecco (2004). Posterior axilla and teres major muscle tightness may be associated w ith restricted shoulder elevation, changes in scapulohumeral rhythm and changes in glenohumeral biomechanics. Stecco et al. (2007) further describe a fibrous lamina betw een the fascia of latissimus dorsi and the triceps brachial fascia creating a thickening in the posterior axilla. This thickening is fanshaped, w ith the apex directed tow ards the axilla and the base tow ards the postero-medial side of the brachial fascia. With the extent of dissection described during axillary clearance extending to the edge of latissimus dorsi (Dao & Patel,1984), it seems feasible to assume that direct anterior and lateral fascial damag	e may w ell influence the fascial structures as far as the posterior axilla and teres major as w ell.	CONCLUSIONS. Breast cancer treatment results in a range of supporting connective tissues losing its normal shearing and gliding ability. In this limited sample, mapped restrictive tissue gliding clearly show wider than reported restrictions. The w ider extent of limitation in tissue gliding w as somew hat unexpected. This pattern needs further research and investigation. Shoulder-arm morbidity is a complex syndrome w hich cannot be adequately described by single symptoms, or rely on single-therapy treatment strategies for optimal results. In our practice, adding mobilization of all tissue gliding restrictions resulted in improved upper limb function, reduced pain and increased exercise tolerance. We therefore propose that the entire upper quarter be assessed and treated for tissue gliding restrictions as part of the long term rehabilitation plan for patients after treatment for breast cancer. REFERENCES. Box RC, Reul-Hirche HM, Bullock-Saxton JE, Furnival CM 2002 Shoulder movement after breast cancer surgery: results of a randomized controlled study of postoperative physiotherapy. Breast Cancer Res Treat 75:35-50 Cancer Research UK (2006). www.cancerresearchuk.org/cancerstats/types/breast/incidence/ (accessed 25.9.06). Dao TL, Patel J 1984 Modified radical mastectomy. In: Nyhus LM, Baker RJ. (eds.) Mastery of Surgery: Volume I. Brow n and Company, Boston/Toronto Fialka-Moser V, Crevenna R, Korpan M, Quittan M 2003 Cancer rehabilitation. Particularly w ith aspects on physical impairments. J Rehabil Med 35: 153-162 Ghazinouri R, Levy C, Ben-Porat L, Stubblefield MD 2005 Shoulder impairments in patients with breast cancer: a retrospective review Rehabil Onc 23: 5-8 Kärki A, Simonen R, Mälkiä E, Selfe J 2005 Impairments, activity limitations and participation restrictions 6 and 12 months after breast cancer operation. J Rehabil Med 37: 180-188 Kingsbury K 2007 The changing face of breast cancer, Time 170:36-43 Lash TL, Silliman RA 2000 Patient characteristics and treatments associated w ith decline in upper-body function follow ing breast cancer therapy. J Clin Epidemiol, 53: 615-622 Lauridsen MC, Christiansen P, Hessov I 2005 The effect of physiotherapy on shoulder function in patients surgically treated for breast cancer: a randomized study. Acta Oncol 44:449-457 Pendergrast WJ 1989 Surgical management of breast cancer. In: Lew is JR (Ed) The Art of Aesthetic Plastic Surgery. Volume II. Little, Brow n and Company, Boston Rietman JS, Dijkstra PU, Hoekstra HJ, et al 2002 Late morbidity after treatment of breast cancer in relation to daily activities and quality of life: a systematic review . EJSO 29:229-238. Stecco C, Gagey O, Macchi V, et al 2007 Tendinous muscular insertions onto the deep fascia of the upper limb first part: anatomical study. Morphologie, doi:10.1016/j.morpho.2007.05.001 Stecco L 2004 Fascial Manipulation for Musculoskeletal Pain. Piccin Nuova Libraria S.p.A., Padova. Travell J G, Simons D G 1992. Volume 2. Myofascial pain and dysfunction. The Trigger Point Manual. The Low er Extremities.Williams and Wilkins, Baltimore. Warw ick R, Williams PL 1976 ed. Gray's Anatomy. 35th ed. Longman Wyrick SL, Waltke LJ, Ng AV 2006 Physical therapy may promote resolution of lymphatic cording in breast cancer survivors. Rehab Onc 24:29-34. TABLES. Table 1: Patient Details Table 2: Impairment and complaints (reason for referral) Table 3: Sites of tisssue restriction. FIGURES.	19,009	inside_word	damage	remove_one_sentence	<url> http://wayforward.co.za/downloads/BreastCancer_WillieFourie.pdf </url> <text> CONSIDERING WIDER MYOFASCIAL INVOLVEMENT AS POSSIBLE CONTRIBUTORS TO UPPER EXTREMITY DYSFUNCTION FOLLOWING TREATMENT FOR PRIMARY BREAST CANCER. Fourie W J Nat. Dip. PT Private practitioner, Johannesburg, RSA. Tel: + 27 (0) 11 763 6990 Email: [email protected] Corresponding author Willie Fourie, Private practitioner P.O Box 209, Florida Hills, 1716, Roodepoort, Republic of South Africa. Tel: + 27 (0) 11 763 6990 Fax no: + 27 (0) 866 180 179 Email: [email protected] 2 ABSTRACT BACKGROUND Breast cancer is the most common malignancy in w omen. Although scarring is recognized as contributing to limited shoulder movements, compromised tissue gliding in a wider range of fascial and connective tissue structures are under-recognized. AIM To report on soft tissue patterns in patients w ith upper limb dysfunction after modified radical mastectomy. METHODS Tissue gliding w as assessed in the neck, chest w all, abdomen, axilla and upper arm. Scarring, areas and directions of tightness w ere mapped on upper body charts. RESULTS 18 shoulders w ere evaluated. All patients had combinations of restrictive tissue gliding and shoulder movements. Four dominant restrictive areas were identified - surgical scarring, axillary tightness radiating into the upper arm, lateral chest w all and posterior tightness over the teres major muscle. DISCUSSION Breast cancer treatment results in tissues losing its shearing and gliding ability. Mapped restrictive tissue gliding clearly show w ider than reported restrictions. This pattern needs further research and investigation. BACKGROUND Breast cancer is the most common malignancy in w omen in the w estern world and of rising concern in developing countries. In the United States of America (US) breast cancer w ill be diagnosed in 1 in 8 w omen (Kingsbury 2007), w hile the lifetime risk for w omen in the United Kingdom (UK) is currently estimated at 1 in 9 (www.cancerresearchuk.org/ ). Medical treatments for breast cancer may include surgery, chemotherapy, hormone replacement therapy and radiation. Depending on the histology and the extent of the disease, combinations of surgery and adjuvant therapy may be used. The level of surgery varies greatly, from modified radical mastectomy (MRM) w ith removal of all the breast material as w ell as some supporting fascial structures, to minimal invasive breast saving operations (BSO) and sentinel lymph node biopsy (SLNB) from the axilla. Further surgery may include various breast reconstruction procedures. Although effective in treatment of cancer, the above interventions are often associated w ith side effects which may affect a patient's function and quality of life (Ghazinouri et al 2005). Advances in medicine and technology, combined w ith improved therapy and earlier detection, yields the largest group of cancer survivors in the US today (Lash & Silliman 2000). As a result, cancer survival rates defined as a relative combined 5-year statistic in this patient group, have increased steadily over the years. Survival rates are currently reported as above 50% (FialkaMoser et al 2003) in general, and up to 90% in certain population groups (Ghazinouri et al 2005). As a result of these factors, it is likely that progressively more patients w ith breast cancer may develop upper extremity dysfunction and be referred for evaluation and treatment by rehabilitation professionals (Ghazinouri et al 2005). Quality of life strongly depends on physical function. With more w omen now living w ith their disease, issues of survivorship, both physical and psychosocial, are of increasing importance. Breast cancer treatment is often follow ed by a decline in upper body function, even at some time distant from therapy (Karki et al 2005). Lash & Silliman (2000) conclude that 'upper body dysfunction may arise shortly after therapy and resolve, arise, and persist for at least 21 months, or arise at some time distant from therapy'. Post-treatment impairments consist, for example, of upper limb oedema, decreased shoulder mobility, neural tissue injuries causing sensory and motor dysfunction, and pain (Karki et al 2005). For decades, reduced shoulder range of movement (ROM) and functional impairment have been recognized as a problem after breast cancer surgery and treatment (Lash & Silliman 2000; Box et al 2002; Ghazinouri et al 2005; Karki et al 2005; Lauridsen et al 2005; Wyrick et al 2006). The presence of impaired shoulder ROM show s a lot of variability, ranging from a 1.5% incidence to as high as 50% (Rietman et al 2002; Box et al 2005; Karki et al 2005; Wyrick et al 2006). A significant relationship is reported betw een oedema and restricted range of motion, and impaired activities of daily living and influencing quality of life. Activities such as pulling a sw eater over the head, fastening a bra, carrying a heavy bag, sleeping on the operated side, reaching out, w orking w ith the ipsilateral arm, housew ork, leisure and sporting activities or handicraft are reported as compromised (Rietman et al 2002). Shoulder-arm morbidity is a complex syndrome w hich cannot be adequately described by single symptoms (Karki et al 2005), or rely on single-therapy treatment strategies for optimal results. Breast and axillary scarring is commonly recognized as contributing to limited shoulder movements and some of the impaired activities above (Lash & Silliman 2000; Karki et al 2005). In contrast to reporting on impairments in body functions and structures, little is know n about compromised tissue gliding and shearing ability betw een supporting fascial and connective tissue structures as a possible source of restrictive musculoskeletal syndromes in this patient group. Limited reporting on tissue glide could possibly be attributed to a lack of objective information on the psychometric properties of palpating restrictions in fascial glide by manual therapies. AIM: The primary aim of this study is to describe observed soft tissue mobility patterns in a group of breast cancer patients w ith upper body dysfunction, subsequent to modified radical mastectomy. We hope that this may add to understanding as to how restricted tissue gliding in one area, may contribute to dysfunction in another area. METHODS Patients: The clinical records and evaluation charts of 16 consecutively referred breast cancer patients were review ed retrospectively. All patients had undergone a modified radical mastectomy (MRM) as the primary surgical procedure for breast cancer, as well as varying combinations of other medical treatments and procedures prior to referral to physiotherapy. In all cases, the reason for referral w as for the management of upper body and shoulder impairments and functional deficits. Referrals included patients from both the early post-operative period (0 to 6 months) to patients w ith established chronic dysfunction many years post breast cancer treatment (table 1). Recorded data: patient records: Documented data included primary breast cancer treatment (surgery, chemotherapy, radiotherapy, number of lymph nodes removed and breast reconstruction procedures), time of first referral (0 to 6 months or 6 months +), shoulder range of motion (ROM), presence of lymphoedema, pain, neck ache, methods of early rehabilitation and soft tissue mobility. Recorded data w ere analysed for patterns of dysfunction, catagorised and grouped in table form (tables 1-3). Shoulder range of movement (ROM): ROM w as assessed both actively and passively using abduction in the plane of the scapula as the movement of choice for recording and measuring treatment progress. This w as recorded as degrees of elevation of the arm. A limitation in recorded ROM data is that some of our early referrals in this patient group w ere only measured subjectively by observation rather than w ith the use of measuring equipment. Recorded ROM data (table 2) should therefore be interpreted accordingly. During active shoulder movement, changes in scapulohumeral rhythm w ere noted and recorded. Observations on internal rotation, external rotation and adduction of the shoulder, as w ell as neck and thoracic spine movements w ere also recorded, but not included in this study as it w as incompletely recorded for all cases. Soft tissue mobility: Soft tissue gliding w as manually assessed by applying gentle shearing stretch to the skin over the neck, chest w all, abdomen, axilla and upper arm. Tissues in tested areas w ere taken to the limits of its available range of gliding. Where soft tissue gliding w as felt to come to a premature end, tissue mobility w ere considered as restricted. Areas where mobility w as restricted by scarring or tethering and w here reduced tissue flexibility could be palpated, w ere mapped on upper body charts (Figure 1). Mapping included all surgical scars, areas of tissue tightness as well as the directions of palpated tissue restriction. Tissue mobility w ould be graded either as normal or restricted. RESULTS Our patient sample consisted of 16 consecutively referred patients betw een the ages of 45 and 68 (mean age: 53) w ith upper body morbidity after treatment of primary breast cancer. Patients were from the same demographic area w ithin the Greater Johannesburg Metropolitan Council. The sample period w as between January and December 2006. Time of first referral varied betw een 4 w eeks post surgery to 10 years after the initial treatment (mean: 2.8 years). Only the three patients referred w ithin the first 6 w eeks after surgery did not have additional treatment procedures prior to referral. The remaining 13 patients had varying combinations of adjuvant medical treatments and surgical procedures prior to referral for physiotherapy (Table 1). Three factors were shared by all the patients, i.e. type of primary surgery (modified radical mastectomy), upper body dysfunction and tissue restriction. Additional surgery, before or after the breast cancer, were reported by 11 patients and 12 patients received adjuvant therapy after the MRM (Table 1). Eighteen shoulder girdles w ere evaluated in sixteen patients (tw o patients had bilateral mastectomies). Fifteen patients had restricted shoulder movements and all sixteen presented with changes in scapulohumeral rhythm w hen moving the arm. The average ROM, measuring abduction in the plane of the scapula, w as 130 degrees (range, 40 – 180 degrees). Underlying glenohumeral pathology w as evident in only one shoulder and confirmed and treated by her orthopaedic surgeon. Although restrictions in shoulder movements w ere evident in 95% of the study group, lymphoedema of the arm (8/16), neck ache (8/16) and pain in the chest, shoulder and arm (11/16) co-existed w ith the restricted shoulder movements (Table 2). Restrictions in normal gliding betw een the skin and subcutaneous tissue w ere evident in the entire sample group (Table 3). Evaluation of tissue gliding on the neck, chest w all, abdomen, axilla and upper arm identified tightness in a w ide range of tissues. The tw o most prominent areas of identified restriction w ere the surgical scarring on the anterior chest w all and donor sites for reconstructive surgery (14/18 = 77.7%) and axillary tightness radiating into the medial upper arm (15/18 = 83%). Additional combinations of tightness on the lateral chest w all radiating into the axilla (11/18 = 61%), from the drain sites (5/18 = 29%), the posterior axillary border over the teres major and infraspinatus muscles (10/18 = 55%), above the clavicle (6/18 = 33%) and around other surgical sites (7/18 = 39%) w ere also found (Figure 1). DISCUSSION All the patients in this study had undergone a modified radical mastectomy as the primary surgical procedure for breast cancer, while 12 patients received varying combinations of other medical treatments and procedures prior to referral to physiotherapy. In all cases, the reason for referral w as for the management of upper body and shoulder impairments and functional deficits. Although restrictions in shoulder movements w ere evident in 95% of the study group, this w as not alw ays the primary reason for referral. Co-existing problems such as lymphoedema of the arm, neck ache and pain in the chest, shoulder and arm often dominated as the more severe symptoms of upper body dysfunction. On evaluating of the upper body and shoulder impairments, all patients shared varying degrees of restricted soft tissue mobility contributing to dysfunction. Treatment for breast cancer leads to a number of w ell know n and documented sequelae of which restricted shoulder movements, pain and oedema are the most debilitating. Both Rietman et al (2002) and Karki et al (2005) report that dysfunction may persist for extended periods, w ith some patients experiencing a progressive decline in activities of daily living, w ork and leisure activities follow ing mastectomy. It is therefore suggested that appropriate interventions should be planned for at least 2 years after treatment for primary breast cancer (Lash & Silliman 2000; Karki et al 2005). Patients in this study group w ere still experiencing limitations in the above activities for as long as 10 years after primary treatment. This continued long term dysfunction and impairment cause feelings of frustration and anger (personal comments from patients). Some patients in the present study group even suggested that they have stopped complaining to their doctors about the experienced limitations, pain and dysfunction and that they are "just getting on w ith life, regardless of quality". Breast and axillary scar tightness remain one of the most common impairments after mastectomy even at 12-month follow up (Karki et al 2005). Patients after mastectomy also report higher levels of limited shoulder movements than patients after tissue preserving procedures (Rietman et al 2002). Although breast saving operations are increasingly advocated by surgeons, modified radical mastectomy is still performed more commonly in elderly patients (Karki et al 2005) and accepted as the standard surgical treatment for breast cancer (Pendergrast 1989). All the patients in our study group, except one, had varying degrees of restricted shoulder movement upon referral. The major tight areas w ere identified over the anterior chest w all radiating into the axilla (78%), and medial upper arm (83%). This is consistent w ith described tightness and scarring contributing to shoulder morbidity in literature (Box 2002; Karki et al 2005). The tightness found in the lateral chest w all radiating into the axilla in 11 (61%) of our patients could be added to the group w ith anterior chest w all scarring. Understanding the extent of tissue dissection during surgery may explain the large percentage of patients in our study w ith the above patterns of tissue restriction. During a modified radical mastectomy, not only the breast tissue and lymph nodes in the axilla are removed, but important supporting fascial structures as well. The surgical procedure involves the careful mobilisation, dissection and removal of breast tissue and the underlying fascia/epimysium from the pectoralis major muscle. Continuing around the lateral edge of pectoralis major, the fat pad and the lymph nodes betw een pectoralis major and pectoralis minor are removed by sharp dissection. Further surgical removal or sampling of lymph nodes involve careful dissection of varying numbers of nodes from the axilla, together w ith its supporting fat and areolar connective tissue (Dao & Patel 1984). The fascia extending from the lateral edge of pectoralis major is continuous w ith the deep fascia covering serratus anterior. Further posterior this fascial sheet splits to ensheathe latissimus dorsi as deep fascia/epimysium (Warw ick & Williams 1976). Dissection for removal of the axillary tail of the breast and the subscapular and lateral thoracic groups of lymph nodes continues over the subscapularis muscle until the edge of the latissimus dorsi muscle is reached (Dao & Patel 1984). Surgery can therefore be seen to contribute substantially to observed tissue tightness – even in areas not directly visible as surgical scarring on the body surface. A viable explanation as to w hy surgery creates such a w ide range of restrictions in tissue, even at sites distant from the direct surgical scarring, could possibly be found in the fascial arrangements betw een the pectoralis major muscle and the brachial fascia of the arm. The fascia covering pectoralis major is continuous w ith the brachial fascia in tw o distinct w ays (Stecco et al 2007): * The fascia overlying the clavicular part of pectoralis major continues into the anterior brachial fascia. * The fascia covering the costal part is continuous w ith the axillary fascia and then w ith the medial brachial fascia. Furthermore, abundant amounts of fat and loose areolar connective tissue protect and bind the numerous structures w ithin the axilla together. By virtue of its extensibility and elasticity, a considerable amount of tissue movement is simultaneously allow ed for arm elevation (Warw ick & Williams 1976). It could be reasoned that damage to the pectoralis major fascia and the protective axillary connective tissue may contribute to limited arm and shoulder movement. From our documented results, restrictions w ere however w ider than described above and reported in the literature. This refers specifically to the tightness found over the posterior axillary w all and over the teres major muscle and the long head of triceps (Figure 2). The relatively large number of shoulders w ith posterior axillary w all tightness (10 or 55%) w as unexpected. This tissue restriction is felt as an area of distinct fascial tethering (Figure 3), and not usually associated w ith surgical scarring. Only in tw o patients w ith breast reconstructions using a latissimus dorsi flap could tightness here be explained as part of direct surgical procedures. The identified area of tethering corresponds to the teres major and minor trigger spots according to Travell and Simons (1992) and the centre of coordination for humeral extension as described by L Stecco (2004). Posterior axilla and teres major muscle tightness may be associated w ith restricted shoulder elevation, changes in scapulohumeral rhythm and changes in glenohumeral biomechanics. Stecco et al. (2007) further describe a fibrous lamina betw een the fascia of latissimus dorsi and the triceps brachial fascia creating a thickening in the posterior axilla. This thickening is fanshaped, w ith the apex directed tow ards the axilla and the base tow ards the postero-medial side of the brachial fascia. With the extent of dissection described during axillary clearance extending to the edge of latissimus dorsi (Dao & Patel,1984), it seems feasible to assume that direct anterior and lateral fascial damag<cursor_is_here> CONCLUSIONS. Breast cancer treatment results in a range of supporting connective tissues losing its normal shearing and gliding ability. In this limited sample, mapped restrictive tissue gliding clearly show wider than reported restrictions. The w ider extent of limitation in tissue gliding w as somew hat unexpected. This pattern needs further research and investigation. Shoulder-arm morbidity is a complex syndrome w hich cannot be adequately described by single symptoms, or rely on single-therapy treatment strategies for optimal results. In our practice, adding mobilization of all tissue gliding restrictions resulted in improved upper limb function, reduced pain and increased exercise tolerance. We therefore propose that the entire upper quarter be assessed and treated for tissue gliding restrictions as part of the long term rehabilitation plan for patients after treatment for breast cancer. REFERENCES. Box RC, Reul-Hirche HM, Bullock-Saxton JE, Furnival CM 2002 Shoulder movement after breast cancer surgery: results of a randomized controlled study of postoperative physiotherapy. Breast Cancer Res Treat 75:35-50 Cancer Research UK (2006). www.cancerresearchuk.org/cancerstats/types/breast/incidence/ (accessed 25.9.06). Dao TL, Patel J 1984 Modified radical mastectomy. In: Nyhus LM, Baker RJ. (eds.) Mastery of Surgery: Volume I. Brow n and Company, Boston/Toronto Fialka-Moser V, Crevenna R, Korpan M, Quittan M 2003 Cancer rehabilitation. Particularly w ith aspects on physical impairments. J Rehabil Med 35: 153-162 Ghazinouri R, Levy C, Ben-Porat L, Stubblefield MD 2005 Shoulder impairments in patients with breast cancer: a retrospective review Rehabil Onc 23: 5-8 Kärki A, Simonen R, Mälkiä E, Selfe J 2005 Impairments, activity limitations and participation restrictions 6 and 12 months after breast cancer operation. J Rehabil Med 37: 180-188 Kingsbury K 2007 The changing face of breast cancer, Time 170:36-43 Lash TL, Silliman RA 2000 Patient characteristics and treatments associated w ith decline in upper-body function follow ing breast cancer therapy. J Clin Epidemiol, 53: 615-622 Lauridsen MC, Christiansen P, Hessov I 2005 The effect of physiotherapy on shoulder function in patients surgically treated for breast cancer: a randomized study. Acta Oncol 44:449-457 Pendergrast WJ 1989 Surgical management of breast cancer. In: Lew is JR (Ed) The Art of Aesthetic Plastic Surgery. Volume II. Little, Brow n and Company, Boston Rietman JS, Dijkstra PU, Hoekstra HJ, et al 2002 Late morbidity after treatment of breast cancer in relation to daily activities and quality of life: a systematic review . EJSO 29:229-238. Stecco C, Gagey O, Macchi V, et al 2007 Tendinous muscular insertions onto the deep fascia of the upper limb first part: anatomical study. Morphologie, doi:10.1016/j.morpho.2007.05.001 Stecco L 2004 Fascial Manipulation for Musculoskeletal Pain. Piccin Nuova Libraria S.p.A., Padova. Travell J G, Simons D G 1992. Volume 2. Myofascial pain and dysfunction. The Trigger Point Manual. The Low er Extremities.Williams and Wilkins, Baltimore. Warw ick R, Williams PL 1976 ed. Gray's Anatomy. 35th ed. Longman Wyrick SL, Waltke LJ, Ng AV 2006 Physical therapy may promote resolution of lymphatic cording in breast cancer survivors. Rehab Onc 24:29-34. TABLES. Table 1: Patient Details Table 2: Impairment and complaints (reason for referral) Table 3: Sites of tisssue restriction. FIGURES. </text>	[ { "content": "<url>\nhttp://wayforward.co.za/downloads/BreastCancer_WillieFourie.pdf\n</url>\n<text>\nCONSIDERING WIDER MYOFASCIAL INVOLVEMENT AS POSSIBLE CONTRIBUTORS TO UPPER EXTREMITY DYSFUNCTION FOLLOWING TREATMENT FOR PRIMARY BREAST CANCER.\n\nFourie W J Nat. Dip. PT\n\nPrivate practitioner, Johannesburg, RSA.\n\nTel: + 27 (0) 11 763 6990\n\nEmail: [email protected]\n\nCorresponding author\n\nWillie Fourie, Private practitioner\n\nP.O Box 209, Florida Hills, 1716, Roodepoort, Republic of South Africa.\n\nTel: + 27 (0) 11 763 6990\n\nFax no: + 27 (0) 866 180 179\n\nEmail: [email protected]\n\n2\n\nABSTRACT\n\nBACKGROUND Breast cancer is the most common malignancy in w omen. Although scarring is recognized as contributing to limited shoulder movements, compromised tissue gliding in a wider range of fascial and connective tissue structures are under-recognized.\n\nAIM To report on soft tissue patterns in patients w ith upper limb dysfunction after modified radical mastectomy.\n\nMETHODS Tissue gliding w as assessed in the neck, chest w all, abdomen, axilla and upper arm. Scarring, areas and directions of tightness w ere mapped on upper body charts.\n\nRESULTS 18 shoulders w ere evaluated. All patients had combinations of restrictive tissue gliding and shoulder movements. Four dominant restrictive areas were identified - surgical scarring, axillary tightness radiating into the upper arm, lateral chest w all and posterior tightness over the teres major muscle.\n\nDISCUSSION Breast cancer treatment results in tissues losing its shearing and gliding ability. Mapped restrictive tissue gliding clearly show w ider than reported restrictions. This pattern needs further research and investigation.\n\nBACKGROUND\n\nBreast cancer is the most common malignancy in w omen in the w estern world and of rising concern in developing countries. In the United States of America (US) breast cancer w ill be diagnosed in 1 in 8 w omen (Kingsbury 2007), w hile the lifetime risk for w omen in the United Kingdom (UK) is currently estimated at 1 in 9 (www.cancerresearchuk.org/ ).\n\nMedical treatments for breast cancer may include surgery, chemotherapy, hormone replacement therapy and radiation. Depending on the histology and the extent of the disease, combinations of surgery and adjuvant therapy may be used. The level of surgery varies greatly, from modified radical mastectomy (MRM) w ith removal of all the breast material as w ell as some supporting fascial structures, to minimal invasive breast saving operations (BSO) and sentinel lymph node biopsy (SLNB) from the axilla. Further surgery may include various breast reconstruction procedures. Although effective in treatment of cancer, the above interventions are often associated w ith side effects which may affect a patient's function and quality of life (Ghazinouri et al 2005).\n\nAdvances in medicine and technology, combined w ith improved therapy and earlier detection, yields the largest group of cancer survivors in the US today (Lash & Silliman 2000). As a result, cancer survival rates defined as a relative combined 5-year statistic in this patient group, have increased steadily over the years. Survival rates are currently reported as above 50% (FialkaMoser et al 2003) in general, and up to 90% in certain population groups (Ghazinouri et al 2005). As a result of these factors, it is likely that progressively more patients w ith breast cancer may develop upper extremity dysfunction and be referred for evaluation and treatment by rehabilitation professionals (Ghazinouri et al 2005).\n\nQuality of life strongly depends on physical function. With more w omen now living w ith their disease, issues of survivorship, both physical and psychosocial, are of increasing importance. Breast cancer treatment is often follow ed by a decline in upper body function, even at some time distant from therapy (Karki et al 2005). Lash & Silliman (2000) conclude that 'upper body dysfunction may arise shortly after therapy and resolve, arise, and persist for at least 21 months, or arise at some time distant from therapy'. Post-treatment impairments consist, for example, of upper limb oedema, decreased shoulder mobility, neural tissue injuries causing sensory and motor dysfunction, and pain (Karki et al 2005).\n\nFor decades, reduced shoulder range of movement (ROM) and functional impairment have been recognized as a problem after breast cancer surgery and treatment (Lash & Silliman 2000; Box et al 2002; Ghazinouri et al 2005; Karki et al 2005; Lauridsen et al 2005; Wyrick et al 2006). The presence of impaired shoulder ROM show s a lot of variability, ranging from a 1.5% incidence to as high as 50% (Rietman et al 2002; Box et al 2005; Karki et al 2005; Wyrick et al 2006). A significant relationship is reported betw een oedema and restricted range of motion, and impaired activities of daily living and influencing quality of life. Activities such as pulling a sw eater over the head, fastening a bra, carrying a heavy bag, sleeping on the operated side, reaching out, w orking w ith the ipsilateral arm, housew ork, leisure and sporting activities or handicraft are reported as compromised (Rietman et al 2002). Shoulder-arm morbidity is a complex syndrome w hich cannot be adequately described by single symptoms (Karki et al 2005), or rely on single-therapy treatment strategies for optimal results.\n\nBreast and axillary scarring is commonly recognized as contributing to limited shoulder movements and some of the impaired activities above (Lash & Silliman 2000; Karki et al 2005). In contrast to reporting on impairments in body functions and structures, little is know n about\n\ncompromised tissue gliding and shearing ability betw een supporting fascial and connective tissue structures as a possible source of restrictive musculoskeletal syndromes in this patient group. Limited reporting on tissue glide could possibly be attributed to a lack of objective information on the psychometric properties of palpating restrictions in fascial glide by manual therapies.\n\nAIM:\n\nThe primary aim of this study is to describe observed soft tissue mobility patterns in a group of breast cancer patients w ith upper body dysfunction, subsequent to modified radical mastectomy. We hope that this may add to understanding as to how restricted tissue gliding in one area, may contribute to dysfunction in another area.\n\nMETHODS\n\nPatients:\n\nThe clinical records and evaluation charts of 16 consecutively referred breast cancer patients were review ed retrospectively. All patients had undergone a modified radical mastectomy (MRM) as the primary surgical procedure for breast cancer, as well as varying combinations of other medical treatments and procedures prior to referral to physiotherapy. In all cases, the reason for referral w as for the management of upper body and shoulder impairments and functional deficits. Referrals included patients from both the early post-operative period (0 to 6 months) to patients w ith established chronic dysfunction many years post breast cancer treatment (table 1).\n\nRecorded data: patient records:\n\nDocumented data included primary breast cancer treatment (surgery, chemotherapy, radiotherapy, number of lymph nodes removed and breast reconstruction procedures), time of first referral (0 to 6 months or 6 months +), shoulder range of motion (ROM), presence of lymphoedema, pain, neck ache, methods of early rehabilitation and soft tissue mobility. Recorded data w ere analysed for patterns of dysfunction, catagorised and grouped in table form (tables 1-3).\n\nShoulder range of movement (ROM):\n\nROM w as assessed both actively and passively using abduction in the plane of the scapula as the movement of choice for recording and measuring treatment progress. This w as recorded as degrees of elevation of the arm. A limitation in recorded ROM data is that some of our early referrals in this patient group w ere only measured subjectively by observation rather than w ith the use of measuring equipment. Recorded ROM data (table 2) should therefore be interpreted accordingly. During active shoulder movement, changes in scapulohumeral rhythm w ere noted and recorded. Observations on internal rotation, external rotation and adduction of the shoulder, as w ell as neck and thoracic spine movements w ere also recorded, but not included in this study as it w as incompletely recorded for all cases.\n\nSoft tissue mobility:\n\nSoft tissue gliding w as manually assessed by applying gentle shearing stretch to the skin over the neck, chest w all, abdomen, axilla and upper arm. Tissues in tested areas w ere taken to the limits of its available range of gliding. Where soft tissue gliding w as felt to come to a premature end, tissue mobility w ere considered as restricted. Areas where mobility w as restricted by scarring or tethering and w here reduced tissue flexibility could be palpated, w ere mapped on\n\nupper body charts (Figure 1). Mapping included all surgical scars, areas of tissue tightness as well as the directions of palpated tissue restriction. Tissue mobility w ould be graded either as normal or restricted.\n\nRESULTS\n\nOur patient sample consisted of 16 consecutively referred patients betw een the ages of 45 and 68 (mean age: 53) w ith upper body morbidity after treatment of primary breast cancer. Patients were from the same demographic area w ithin the Greater Johannesburg Metropolitan Council. The sample period w as between January and December 2006. Time of first referral varied betw een 4 w eeks post surgery to 10 years after the initial treatment (mean: 2.8 years). Only the three patients referred w ithin the first 6 w eeks after surgery did not have additional treatment procedures prior to referral. The remaining 13 patients had varying combinations of adjuvant medical treatments and surgical procedures prior to referral for physiotherapy (Table 1).\n\nThree factors were shared by all the patients, i.e. type of primary surgery (modified radical mastectomy), upper body dysfunction and tissue restriction. Additional surgery, before or after the breast cancer, were reported by 11 patients and 12 patients received adjuvant therapy after the MRM (Table 1).\n\nEighteen shoulder girdles w ere evaluated in sixteen patients (tw o patients had bilateral mastectomies). Fifteen patients had restricted shoulder movements and all sixteen presented with changes in scapulohumeral rhythm w hen moving the arm. The average ROM, measuring abduction in the plane of the scapula, w as 130 degrees (range, 40 – 180 degrees). Underlying glenohumeral pathology w as evident in only one shoulder and confirmed and treated by her\n\northopaedic surgeon. Although restrictions in shoulder movements w ere evident in 95% of the study group, lymphoedema of the arm (8/16), neck ache (8/16) and pain in the chest, shoulder and arm (11/16) co-existed w ith the restricted shoulder movements (Table 2).\n\nRestrictions in normal gliding betw een the skin and subcutaneous tissue w ere evident in the entire sample group (Table 3). Evaluation of tissue gliding on the neck, chest w all, abdomen, axilla and upper arm identified tightness in a w ide range of tissues. The tw o most prominent areas of identified restriction w ere the surgical scarring on the anterior chest w all and donor sites for reconstructive surgery (14/18 = 77.7%) and axillary tightness radiating into the medial upper arm (15/18 = 83%). Additional combinations of tightness on the lateral chest w all radiating into the axilla (11/18 = 61%), from the drain sites (5/18 = 29%), the posterior axillary border over the teres major and infraspinatus muscles (10/18 = 55%), above the clavicle (6/18 = 33%) and around other surgical sites (7/18 = 39%) w ere also found (Figure 1).\n\nDISCUSSION\n\nAll the patients in this study had undergone a modified radical mastectomy as the primary surgical procedure for breast cancer, while 12 patients received varying combinations of other medical treatments and procedures prior to referral to physiotherapy. In all cases, the reason for referral w as for the management of upper body and shoulder impairments and functional deficits. Although restrictions in shoulder movements w ere evident in 95% of the study group, this w as not alw ays the primary reason for referral. Co-existing problems such as lymphoedema of the arm, neck ache and pain in the chest, shoulder and arm often dominated as the more severe symptoms of upper body dysfunction. On evaluating of the upper body and\n\nshoulder impairments, all patients shared varying degrees of restricted soft tissue mobility contributing to dysfunction.\n\nTreatment for breast cancer leads to a number of w ell know n and documented sequelae of which restricted shoulder movements, pain and oedema are the most debilitating. Both Rietman et al (2002) and Karki et al (2005) report that dysfunction may persist for extended periods, w ith some patients experiencing a progressive decline in activities of daily living, w ork and leisure activities follow ing mastectomy. It is therefore suggested that appropriate interventions should be planned for at least 2 years after treatment for primary breast cancer (Lash & Silliman 2000; Karki et al 2005). Patients in this study group w ere still experiencing limitations in the above activities for as long as 10 years after primary treatment. This continued long term dysfunction and impairment cause feelings of frustration and anger (personal comments from patients). Some patients in the present study group even suggested that they have stopped complaining to their doctors about the experienced limitations, pain and dysfunction and that they are \"just getting on w ith life, regardless of quality\".\n\nBreast and axillary scar tightness remain one of the most common impairments after mastectomy even at 12-month follow up (Karki et al 2005). Patients after mastectomy also report higher levels of limited shoulder movements than patients after tissue preserving procedures (Rietman et al 2002). Although breast saving operations are increasingly advocated by surgeons, modified radical mastectomy is still performed more commonly in elderly patients (Karki et al 2005) and accepted as the standard surgical treatment for breast cancer (Pendergrast 1989). All the patients in our study group, except one, had varying degrees of restricted shoulder movement upon referral. The major tight areas w ere identified over the anterior chest w all radiating into the axilla (78%), and medial upper arm (83%). This is consistent w ith described tightness and scarring contributing to shoulder morbidity in literature\n\n(Box 2002; Karki et al 2005). The tightness found in the lateral chest w all radiating into the axilla in 11 (61%) of our patients could be added to the group w ith anterior chest w all scarring.\n\nUnderstanding the extent of tissue dissection during surgery may explain the large percentage of patients in our study w ith the above patterns of tissue restriction. During a modified radical mastectomy, not only the breast tissue and lymph nodes in the axilla are removed, but important supporting fascial structures as well. The surgical procedure involves the careful mobilisation, dissection and removal of breast tissue and the underlying fascia/epimysium from the pectoralis major muscle. Continuing around the lateral edge of pectoralis major, the fat pad and the lymph nodes betw een pectoralis major and pectoralis minor are removed by sharp dissection. Further surgical removal or sampling of lymph nodes involve careful dissection of varying numbers of nodes from the axilla, together w ith its supporting fat and areolar connective tissue (Dao & Patel 1984). The fascia extending from the lateral edge of pectoralis major is continuous w ith the deep fascia covering serratus anterior. Further posterior this fascial sheet splits to ensheathe latissimus dorsi as deep fascia/epimysium (Warw ick & Williams 1976). Dissection for removal of the axillary tail of the breast and the subscapular and lateral thoracic groups of lymph nodes continues over the subscapularis muscle until the edge of the latissimus dorsi muscle is reached (Dao & Patel 1984). Surgery can therefore be seen to contribute substantially to observed tissue tightness – even in areas not directly visible as surgical scarring on the body surface.\n\nA viable explanation as to w hy surgery creates such a w ide range of restrictions in tissue, even at sites distant from the direct surgical scarring, could possibly be found in the fascial arrangements betw een the pectoralis major muscle and the brachial fascia of the arm. The fascia covering pectoralis major is continuous w ith the brachial fascia in tw o distinct w ays (Stecco et al 2007):\n\n* The fascia overlying the clavicular part of pectoralis major continues into the anterior brachial fascia.\n* The fascia covering the costal part is continuous w ith the axillary fascia and then w ith the medial brachial fascia.\n\nFurthermore, abundant amounts of fat and loose areolar connective tissue protect and bind the numerous structures w ithin the axilla together. By virtue of its extensibility and elasticity, a considerable amount of tissue movement is simultaneously allow ed for arm elevation (Warw ick & Williams 1976). It could be reasoned that damage to the pectoralis major fascia and the protective axillary connective tissue may contribute to limited arm and shoulder movement.\n\nFrom our documented results, restrictions w ere however w ider than described above and reported in the literature. This refers specifically to the tightness found over the posterior axillary w all and over the teres major muscle and the long head of triceps (Figure 2). The relatively large number of shoulders w ith posterior axillary w all tightness (10 or 55%) w as unexpected. This tissue restriction is felt as an area of distinct fascial tethering (Figure 3), and not usually associated w ith surgical scarring. Only in tw o patients w ith breast reconstructions using a latissimus dorsi flap could tightness here be explained as part of direct surgical procedures. The identified area of tethering corresponds to the teres major and minor trigger spots according to Travell and Simons (1992) and the centre of coordination for humeral extension as described by L Stecco (2004). Posterior axilla and teres major muscle tightness may be associated w ith restricted shoulder elevation, changes in scapulohumeral rhythm and changes in glenohumeral biomechanics.\n\nStecco et al. (2007) further describe a fibrous lamina betw een the fascia of latissimus dorsi and the triceps brachial fascia creating a thickening in the posterior axilla. This thickening is fanshaped, w ith the apex directed tow ards the axilla and the base tow ards the postero-medial side of the brachial fascia. With the extent of dissection described during axillary clearance extending to the edge of latissimus dorsi (Dao & Patel,1984), it seems feasible to assume that direct anterior and lateral fascial damag<cursor_is_here>\n\nCONCLUSIONS.\n\nBreast cancer treatment results in a range of supporting connective tissues losing its normal shearing and gliding ability. In this limited sample, mapped restrictive tissue gliding clearly show wider than reported restrictions. The w ider extent of limitation in tissue gliding w as somew hat unexpected. This pattern needs further research and investigation.\n\nShoulder-arm morbidity is a complex syndrome w hich cannot be adequately described by single symptoms, or rely on single-therapy treatment strategies for optimal results. In our practice, adding mobilization of all tissue gliding restrictions resulted in improved upper limb function, reduced pain and increased exercise tolerance. We therefore propose that the entire upper quarter be assessed and treated for tissue gliding restrictions as part of the long term rehabilitation plan for patients after treatment for breast cancer.\n\nREFERENCES.\n\nBox RC, Reul-Hirche HM, Bullock-Saxton JE, Furnival CM 2002 Shoulder movement after breast cancer surgery: results of a randomized controlled study of postoperative physiotherapy. Breast Cancer Res Treat 75:35-50\n\nCancer Research UK (2006). www.cancerresearchuk.org/cancerstats/types/breast/incidence/ (accessed 25.9.06).\n\nDao TL, Patel J 1984 Modified radical mastectomy. In: Nyhus LM, Baker RJ. (eds.) Mastery of Surgery: Volume I. Brow n and Company, Boston/Toronto\n\nFialka-Moser V, Crevenna R, Korpan M, Quittan M 2003 Cancer rehabilitation. Particularly w ith aspects on physical impairments. J Rehabil Med 35: 153-162\n\nGhazinouri R, Levy C, Ben-Porat L, Stubblefield MD 2005 Shoulder impairments in patients with breast cancer: a retrospective review Rehabil Onc 23: 5-8\n\nKärki A, Simonen R, Mälkiä E, Selfe J 2005 Impairments, activity limitations and participation restrictions 6 and 12 months after breast cancer operation. J Rehabil Med 37: 180-188\n\nKingsbury K 2007 The changing face of breast cancer, Time 170:36-43\n\nLash TL, Silliman RA 2000 Patient characteristics and treatments associated w ith decline in upper-body function follow ing breast cancer therapy. J Clin Epidemiol, 53: 615-622\n\nLauridsen MC, Christiansen P, Hessov I 2005 The effect of physiotherapy on shoulder function in patients surgically treated for breast cancer: a randomized study. Acta Oncol 44:449-457\n\nPendergrast WJ 1989 Surgical management of breast cancer. In: Lew is JR (Ed) The Art of Aesthetic Plastic Surgery. Volume II. Little, Brow n and Company, Boston\n\nRietman JS, Dijkstra PU, Hoekstra HJ, et al 2002 Late morbidity after treatment of breast cancer in relation to daily activities and quality of life: a systematic review . EJSO 29:229-238.\n\nStecco C, Gagey O, Macchi V, et al 2007 Tendinous muscular insertions onto the deep fascia of the upper limb first part: anatomical study. Morphologie, doi:10.1016/j.morpho.2007.05.001\n\nStecco L 2004 Fascial Manipulation for Musculoskeletal Pain. Piccin Nuova Libraria S.p.A., Padova.\n\nTravell J G, Simons D G 1992. Volume 2. Myofascial pain and dysfunction. The Trigger Point Manual. The Low er Extremities.Williams and Wilkins, Baltimore.\n\nWarw ick R, Williams PL 1976 ed. Gray's Anatomy. 35th ed. Longman\n\nWyrick SL, Waltke LJ, Ng AV 2006 Physical therapy may promote resolution of lymphatic cording in breast cancer survivors. Rehab Onc 24:29-34.\n\nTABLES.\n\nTable 1: Patient Details\n\nTable 2: Impairment and complaints (reason for referral)\n\nTable 3: Sites of tisssue restriction.\n\nFIGURES.\n</text>\n", "role": "user" }, { "content": "e may w ell influence the fascial structures as far as the posterior axilla and teres major as w ell.", "role": "assistant" } ]
## Annexure-I ### Format of holding of specified securities #### 1. Name of Listed Entity: MAITHAN ALLOYS LTD. (CIN: L27101WB1985PLC039503) #### 2. Scrip Code/Name of Scrip/Class of Security: \| CSE \| BSE \| NSE \| \|-----\|-----\|-----\| \| 10023915 \| 500078 \| MAITHANAL - EQ \| - Scrip Code: - Name of Scrip: Maithan Alloys Limited - Class of Security: Equity #### 3. Share Holding Pattern Filed under: Reg. 31(1)(a)/Reg. 31(1)(b)/Reg. 31(1)(c) - If under 31(1)(b) then indicate the report for Quarter ending: 30th September, 2017 - If under 31(1)(c) then indicate date of allotment/extinguishment N.A. #### 4. Declaration: The Listed entity is required to submit the following declaration to the extent of submission of information: \| Particulars \| Yes \| No \| \|-------------\|-----\|----\| \| 1. Whether the Listed Entity has issued any partly paid up shares? \| \| ✓ \| \| 2. Whether the Listed Entity has issued any Convertible Securities or Warrants? \| \| ✓ \| \| 3. Whether the Listed Entity has any shares against which depository receipts are issued? \| \| ✓ \| \| 4. Whether the Listed Entity has any shares in Locked-in? \| \| ✓ \| \| 5. Whether any shares held by promoters are pledge or otherwise encumbered? \| \| ✓ \| \| Category & Name of the Shareholders (i) \| PAN (ii) \| No. of fully paid up equity shares held (IV) \| No. of equity shares underwriting rights held (V) \| No. of Voting Rights held (VI) \| No. of Voting Rights held as per SCR,1957 (V+VI) \| As % of (A+B+C2) (VII) \| No. of Voting Rights Total as % of Equity (VIII) \| No. of Voting Rights Total as % of Total Outstanding Shares (IX) \| No. of Voting Rights Total as % of securities (including Warrants) (X) \| Number of Voting Rights held as a % of convertible securities (as a percentage of diluted share capital) (XI)=((VIII)+(X)) \| Number of Voting Rights held as a % of convertible securities on conversion of Warrants (XII)=(XI) \| Number of shares held in demat form (XIV) \| Number of shares held otherwise encumbered (XIII) \| \|----------------------------------------\|----------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\|-----------------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\|-----------------\|---------------------------------\| \| (1) Indian Individuals/Undivided Family \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Promoter: \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (a) Individuals/Hindu undivided family \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Persons Acting in Concert \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| SUBHAS CHANDRA AGARWALLA \| ACMPA63051 \| 21 \| 688465 \| 688465 \| 22.97 \| 688465 \| 22.97 \| - \| - \| - \| - \| - \| - \| \| SANKAR LAL AGARWALLA \| ACMPA6587A \| 1 \| 98250 \| 98250 \| 0.34 \| 98250 \| 0.34 \| - \| - \| - \| - \| - \| - \| \| PRAHLAD RAJ AGARWALLA \| ACMPA6587B \| 2 \| 98250 \| 98250 \| 0.34 \| 98250 \| 0.34 \| - \| - \| - \| - \| - \| - \| \| SHANTA DEVI AGARWALLA \| ACYDP0988A \| 2 \| 852300 \| 852300 \| 2.92 \| 852300 \| 2.92 \| - \| - \| - \| - \| - \| - \| \| RITA DEVI \| ACYDP0988B \| 2 \| 852300 \| 852300 \| 2.92 \| 852300 \| 2.92 \| - \| - \| - \| - \| - \| - \| \| SHEILA DEVI AGARWALLA \| ACMPA6305C \| 2 \| 752000 \| 752000 \| 2.58 \| 752000 \| 2.58 \| - \| - \| - \| - \| - \| - \| \| AVINASH AGARWALLA \| ACMPA6305D \| 1 \| 667250 \| 667250 \| 2.29 \| 667250 \| 2.29 \| - \| - \| - \| - \| - \| - \| \| SUDHANSHU AGARWALLA \| ACMPA6305E \| 1 \| 563350 \| 563350 \| 1.94 \| 563350 \| 1.94 \| - \| - \| - \| - \| - \| - \| \| MANDEVI \| ACYDP0885G \| 1 \| 564450 \| 564450 \| 1.94 \| 564450 \| 1.94 \| - \| - \| - \| - \| - \| - \| \| SUBODH AGARWALLA \| ACMPA6587C \| 1 \| 176174 \| 176174 \| 0.61 \| 176174 \| 0.61 \| - \| - \| - \| - \| - \| - \| \| PRAHLAD RAJ AGARWALLA (HUF) \| ACMPA6587K \| 1 \| 359250 \| 359250 \| 1.23 \| 359250 \| 1.23 \| - \| - \| - \| - \| - \| - \| \| SUDHARTA SHANKAR AGARWALLA \| ACMPA6587L \| 2 \| 352100 \| 352100 \| 1.14 \| 352100 \| 1.14 \| - \| - \| - \| - \| - \| - \| \| SONIYA AGARWALLA \| ASYFC0895F \| 1 \| 291165 \| 291165 \| 1.00 \| 291165 \| 1.00 \| - \| - \| - \| - \| - \| - \| \| SUBHAS CHANDRA AGARWALLA (HUF) \| AAAMHS972E \| 1 \| 110000 \| 110000 \| 0.38 \| 110000 \| 0.38 \| - \| - \| - \| - \| - \| - \| \| SMITI AGARWALLA \| AGPRA877A \| 1 \| 97500 \| 97500 \| 0.33 \| 97500 \| 0.33 \| - \| - \| - \| - \| - \| - \| \| (b) Central Government/State Government/Local Authority \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (c) Other Bodies Corporate \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (d) Foreign (Non-Resident) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Persons Acting in Concert \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| MAITHAN SMELTERS PRIVATE LIMITED \| AACMCM893QJ \| 1 \| 13853707 \| 13853707 \| 46.90 \| 13853707 \| 46.90 \| - \| - \| - \| - \| - \| - \| \| S. H. CONSULTANCY PRIVATE LIMITED \| AAACH6572P \| 1 \| 5397357 \| 5397357 \| 18.54 \| 5397357 \| 18.54 \| - \| - \| - \| - \| - \| - \| \| SUKHE TRADING PRIVATE LIMITED \| AADCS892U \| 2 \| 3259200 \| 3259200 \| 11.20 \| 3259200 \| 11.20 \| - \| - \| - \| - \| - \| - \| \| SHAKTI ENTERPRISES LIMITED \| AAACD892V \| 1 \| 1591700 \| 1591700 \| 4.78 \| 1591700 \| 4.78 \| - \| - \| - \| - \| - \| - \| \| SHAKTI AUTO TRUCKS PRIVATE LIMITED \| AAACD892W \| 1 \| 1234500 \| 1234500 \| 4.38 \| 1234500 \| 4.38 \| - \| - \| - \| - \| - \| - \| \| JIRAJ AUTO TRUCKS LIMITED \| AAACD892F \| 1 \| 1957500 \| 1957500 \| 6.77 \| 1957500 \| 6.77 \| - \| - \| - \| - \| - \| - \| \| UNIMAX TRUCK TRAILERS LIMITED \| AAACD892D \| 1 \| 980750 \| 980750 \| 3.41 \| 980750 \| 3.41 \| - \| - \| - \| - \| - \| - \| \| Sub Total (A1(i)) \| 29 \| 20340773 \| 20340773 \| 69.87 \| 20340773 \| 69.87 \| - \| - \| - \| - \| - \| - \| \| (2) Foreign \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (a) Non-Resident (Non-Individuals) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (b) Government \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (c) Institutions \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (d) Foreign Portfolio Investor \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Sub Total (A1(ii)) \| 29 \| 20340773 \| 20340773 \| 69.87 \| 20340773 \| 69.87 \| - \| - \| - \| - \| - \| - \| Notes: (a) S. H. Consul is the Promoter of the Company. Other shareholders shown as Persons Acting in Concert with the Promoter Avinash Agarwala, Prabhat Rai Agarwala, Rita Devi, Soniya Agarwala and H. Consultancy Private Limited (hereinafter called Promoter Group) are holding their equity shares in multiple Demat accounts and holdings of each such member has been consolidated on the basis of their PAN for the purpose of reporting this Shareholding pattern. (b) Details of shareholders which remain undisclosed may be given here along with details such as number of shareholders, outstanding shares held in demat/unclaimed suspense account, voting rights which are frozen etc. (c) None \| Category & Name of the Shareholders (I) \| PAN (II) \| Nos. of share holders (III) \| Nos. of fully paid-up equity shares held (IV) \| Nos. of underlying shares held \| Total Shareholding % calculated as per SCRR, 1957 (V)= (IV) + (VI) \| No. of Voting Rights calculated as per SCRR, 1957 (VII)= (V) + (VII) \| Total as a % of (A+B+C2) \| Underlying Voting rights as a % assuming full convertible conversion of convertible securities (including Warrants) (X) = (VII)+(X), As a % of (A+B+C2) \| Number of Locked in shares (XI) \| Number of shares held in demat form applied as per SCRR, 2014 (XV) \| Number of equity shares held in demat form (Not Applicable) \| \|----------------------------------------\|----------\|-----------------------------\|---------------------------------\|-------------------------------\|---------------------------------------------------------------\|---------------------------------------------------------------\|-----------------------------\|--------------------------------------------------------------------------------\|-----------------------------\|---------------------------------\|---------------------------------\| \| (1) Custodian / DRT Holder \| \| \| \| \| \| \| \| \| \| \| \| \| (2). Employee Benefit Trust (under SEBI (Share based Employee Benefits) Regulations, 2014) \| \| \| \| \| \| \| \| \| \| \| \| \| Total - Non Public Shareholding \| \| \| \| \| \| \| \| \| \| \| \| Note: The total number of shares held by the shareholders should be equal to the sum of the number of shares held by each shareholder.	<urn:uuid:b6289d2f-77aa-449a-ad26-0ae2b89f0a77>	CC-MAIN-2018-51	http://maithanalloys.com/wp-content/uploads/2017/07/Jul-Sep-Q02.pdf	2018-12-15T13:47:48Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-51/segments/1544376826856.91/warc/CC-MAIN-20181215131038-20181215153038-00327.warc.gz	174,022,882	3,244	eng_Latn	eng_Latn	0.810093	eng_Latn	0.910578	[ "eng_Latn", "eng_Latn", "eng_Latn" ]	false	docling	[ 1246, 19072, 21876 ]	## Annexure-I ### Format of holding of specified securities #### 1. Name of Listed Entity: MAITHAN ALLOYS LTD. (CIN: L27101WB1985PLC039503) #### 2. Scrip Code/Name of Scrip/Class of Security: \| CSE \| BSE \| NSE \| \|-----\|-----\|-----\| \| 10023915 \| 500078 \| MAITHANAL - EQ \| - Scrip Code: - Name of Scrip: Maithan Alloys Limited - Class of Security: Equity #### 3. Share Holding Pattern Filed under: Reg. 31(1)(a)/Reg. 31(1)(b)/Reg. 31(1)(c) - If under 31(1)(b) then indicate the report for Quarter ending: 30th September, 2017 - If under 31(1)(c) then indicate date of allotment/extinguishment N.A. #### 4. Declaration: The Listed entity is required to submit the following declaration to the extent of submission of information: \| Particulars \| Yes \| No \| \|-------------\|-----\|----\| \| 1. Whether the Listed Entity has issued any partly paid up shares? \| \| ✓ \| \| 2. Whether the Listed Entity has issued any Convertible Securities or Warrants? \| \| ✓ \| \| 3. Whether the Listed Entity has any shares against which depository receipts are issued? \| \| ✓ \| \| 4. Whether the Listed Entity has any shares in Locked-in? \| \| ✓ \| \| 5. Whether any shares held by promoters are pledge or otherwise encumbered? \| \| ✓ \| \| Category & Name of the Shareholders (i) \| PAN (ii) \| No. of fully paid up equity shares held (IV) \| No. of equity shares underwriting rights held (V) \| No. of Voting Rights held (VI) \| No. of Voting Rights held as per SCR,1957 (V+VI) \| As % of (A+B+C2) (VII) \| No. of Voting Rights Total as % of Equity (VIII) \| No. of Voting Rights Total as % of Total Outstanding Shares (IX) \| No. of Voting Rights Total as % of securities (including Warrants) (X) \| Number of Voting Rights held as a % of convertible securities (as a percentage of diluted share capital) (XI)=((VIII)+(X)) \| Number of Voting Rights held as a % of convertible securities on conversion of Warrants (XII)=(XI) \| Number of shares held in demat form (XIV) \| Number of shares held otherwise encumbered (XIII) \| \|----------------------------------------\|----------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\|-----------------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\|-----------------\|---------------------------------\| \| (1) Indian Individuals/Undivided Family \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Promoter: \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (a) Individuals/Hindu undivided family \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Persons Acting in Concert \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| SUBHAS CHANDRA AGARWALLA \| ACMPA63051 \| 21 \| 688465 \| 688465 \| 22.97 \| 688465 \| 22.97 \| - \| - \| - \| - \| - \| - \| \| SANKAR LAL AGARWALLA \| ACMPA6587A \| 1 \| 98250 \| 98250 \| 0.34 \| 98250 \| 0.34 \| - \| - \| - \| - \| - \| - \| \| PRAHLAD RAJ AGARWALLA \| ACMPA6587B \| 2 \| 98250 \| 98250 \| 0.34 \| 98250 \| 0.34 \| - \| - \| - \| - \| - \| - \| \| SHANTA DEVI AGARWALLA \| ACYDP0988A \| 2 \| 852300 \| 852300 \| 2.92 \| 852300 \| 2.92 \| - \| - \| - \| - \| - \| - \| \| RITA DEVI \| ACYDP0988B \| 2 \| 852300 \| 852300 \| 2.92 \| 852300 \| 2.92 \| - \| - \| - \| - \| - \| - \| \| SHEILA DEVI AGARWALLA \| ACMPA6305C \| 2 \| 752000 \| 752000 \| 2.58 \| 752000 \| 2.58 \| - \| - \| - \| - \| - \| - \| \| AVINASH AGARWALLA \| ACMPA6305D \| 1 \| 667250 \| 667250 \| 2.29 \| 667250 \| 2.29 \| - \| - \| - \| - \| - \| - \| \| SUDHANSHU AGARWALLA \| ACMPA6305E \| 1 \| 563350 \| 563350 \| 1.94 \| 563350 \| 1.94 \| - \| - \| - \| - \| - \| - \| \| MANDEVI \| ACYDP0885G \| 1 \| 564450 \| 564450 \| 1.94 \| 564450 \| 1.94 \| - \| - \| - \| - \| - \| - \| \| SUBODH AGARWALLA \| ACMPA6587C \| 1 \| 176174 \| 176174 \| 0.61 \| 176174 \| 0.61 \| - \| - \| - \| - \| - \| - \| \| PRAHLAD RAJ AGARWALLA (HUF) \| ACMPA6587K \| 1 \| 359250 \| 359250 \| 1.23 \| 359250 \| 1.23 \| - \| - \| - \| - \| - \| - \| \| SUDHARTA SHANKAR AGARWALLA \| ACMPA6587L \| 2 \| 352100 \| 352100 \| 1.14 \| 352100 \| 1.14 \| - \| - \| - \| - \| - \| - \| \| SONIYA AGARWALLA \| ASYFC0895F \| 1 \| 291165 \| 291165 \| 1.00 \| 291165 \| 1.00 \| - \| - \| - \| - \| - \| - \| \| SUBHAS CHANDRA AGARWALLA (HUF) \| AAAMHS972E \| 1 \| 110000 \| 110000 \| 0.38 \| 110000 \| 0.38 \| - \| - \| - \| - \| - \| - \| \| SMITI AGARWALLA \| AGPRA877A \| 1 \| 97500 \| 97500 \| 0.33 \| 97500 \| 0.33 \| - \| - \| - \| - \| - \| - \| \| (b) Central Government/State Government/Local Authority \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (c) Other Bodies Corporate \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (d) Foreign (Non-Resident) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Persons Acting in Concert \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| MAITHAN SMELTERS PRIVATE LIMITED \| AACMCM893QJ \| 1 \| 13853707 \| 13853707 \| 46.90 \| 13853707 \| 46.90 \| - \| - \| - \| - \| - \| - \| \| S. H. CONSULTANCY PRIVATE LIMITED \| AAACH6572P \| 1 \| 5397357 \| 5397357 \| 18.54 \| 5397357 \| 18.54 \| - \| - \| - \| - \| - \| - \| \| SUKHE TRADING PRIVATE LIMITED \| AADCS892U \| 2 \| 3259200 \| 3259200 \| 11.20 \| 3259200 \| 11.20 \| - \| - \| - \| - \| - \| - \| \| SHAKTI ENTERPRISES LIMITED \| AAACD892V \| 1 \| 1591700 \| 1591700 \| 4.78 \| 1591700 \| 4.78 \| - \| - \| - \| - \| - \| - \| \| SHAKTI AUTO TRUCKS PRIVATE LIMITED \| AAACD892W \| 1 \| 1234500 \| 1234500 \| 4.38 \| 1234500 \| 4.38 \| - \| - \| - \| - \| - \| - \| \| JIRAJ AUTO TRUCKS LIMITED \| AAACD892F \| 1 \| 1957500 \| 1957500 \| 6.77 \| 1957500 \| 6.77 \| - \| - \| - \| - \| - \| - \| \| UNIMAX TRUCK TRAILERS LIMITED \| AAACD892D \| 1 \| 980750 \| 980750 \| 3.41 \| 980750 \| 3.41 \| - \| - \| - \| - \| - \| - \| \| Sub Total (A1(i)) \| 29 \| 20340773 \| 20340773 \| 69.87 \| 20340773 \| 69.87 \| - \| - \| - \| - \| - \| - \| \| (2) Foreign \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (a) Non-Resident (Non-Individuals) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (b) Government \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (c) Institutions \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (d) Foreign Portfolio Investor \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Sub Total (A1(ii)) \| 29 \| 20340773 \| 20340773 \| 69.87 \| 20340773 \| 69.87 \| - \| - \| - \| - \| - \| - \| Notes: (a) S. H. Consul is the Promoter of the Company. Other shareholders shown as Persons Acting in Concert with the Promoter Avinash Agarwala, Prabhat Rai Agarwala,	Rita Devi, Soniya Agarwala and H.		18,548	end_of_word	Agarwala,	remove_all	<url> http://maithanalloys.com/wp-content/uploads/2017/07/Jul-Sep-Q02.pdf </url> <text> ## Annexure-I ### Format of holding of specified securities #### 1. Name of Listed Entity: MAITHAN ALLOYS LTD. (CIN: L27101WB1985PLC039503) #### 2. Scrip Code/Name of Scrip/Class of Security: \| CSE \| BSE \| NSE \| \|-----\|-----\|-----\| \| 10023915 \| 500078 \| MAITHANAL - EQ \| - Scrip Code: - Name of Scrip: Maithan Alloys Limited - Class of Security: Equity #### 3. Share Holding Pattern Filed under: Reg. 31(1)(a)/Reg. 31(1)(b)/Reg. 31(1)(c) - If under 31(1)(b) then indicate the report for Quarter ending: 30th September, 2017 - If under 31(1)(c) then indicate date of allotment/extinguishment N.A. #### 4. Declaration: The Listed entity is required to submit the following declaration to the extent of submission of information: \| Particulars \| Yes \| No \| \|-------------\|-----\|----\| \| 1. Whether the Listed Entity has issued any partly paid up shares? \| \| ✓ \| \| 2. Whether the Listed Entity has issued any Convertible Securities or Warrants? \| \| ✓ \| \| 3. Whether the Listed Entity has any shares against which depository receipts are issued? \| \| ✓ \| \| 4. Whether the Listed Entity has any shares in Locked-in? \| \| ✓ \| \| 5. Whether any shares held by promoters are pledge or otherwise encumbered? \| \| ✓ \| \| Category & Name of the Shareholders (i) \| PAN (ii) \| No. of fully paid up equity shares held (IV) \| No. of equity shares underwriting rights held (V) \| No. of Voting Rights held (VI) \| No. of Voting Rights held as per SCR,1957 (V+VI) \| As % of (A+B+C2) (VII) \| No. of Voting Rights Total as % of Equity (VIII) \| No. of Voting Rights Total as % of Total Outstanding Shares (IX) \| No. of Voting Rights Total as % of securities (including Warrants) (X) \| Number of Voting Rights held as a % of convertible securities (as a percentage of diluted share capital) (XI)=((VIII)+(X)) \| Number of Voting Rights held as a % of convertible securities on conversion of Warrants (XII)=(XI) \| Number of shares held in demat form (XIV) \| Number of shares held otherwise encumbered (XIII) \| \|----------------------------------------\|----------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\|-----------------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\|-----------------\|---------------------------------\| \| (1) Indian Individuals/Undivided Family \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Promoter: \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (a) Individuals/Hindu undivided family \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Persons Acting in Concert \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| SUBHAS CHANDRA AGARWALLA \| ACMPA63051 \| 21 \| 688465 \| 688465 \| 22.97 \| 688465 \| 22.97 \| - \| - \| - \| - \| - \| - \| \| SANKAR LAL AGARWALLA \| ACMPA6587A \| 1 \| 98250 \| 98250 \| 0.34 \| 98250 \| 0.34 \| - \| - \| - \| - \| - \| - \| \| PRAHLAD RAJ AGARWALLA \| ACMPA6587B \| 2 \| 98250 \| 98250 \| 0.34 \| 98250 \| 0.34 \| - \| - \| - \| - \| - \| - \| \| SHANTA DEVI AGARWALLA \| ACYDP0988A \| 2 \| 852300 \| 852300 \| 2.92 \| 852300 \| 2.92 \| - \| - \| - \| - \| - \| - \| \| RITA DEVI \| ACYDP0988B \| 2 \| 852300 \| 852300 \| 2.92 \| 852300 \| 2.92 \| - \| - \| - \| - \| - \| - \| \| SHEILA DEVI AGARWALLA \| ACMPA6305C \| 2 \| 752000 \| 752000 \| 2.58 \| 752000 \| 2.58 \| - \| - \| - \| - \| - \| - \| \| AVINASH AGARWALLA \| ACMPA6305D \| 1 \| 667250 \| 667250 \| 2.29 \| 667250 \| 2.29 \| - \| - \| - \| - \| - \| - \| \| SUDHANSHU AGARWALLA \| ACMPA6305E \| 1 \| 563350 \| 563350 \| 1.94 \| 563350 \| 1.94 \| - \| - \| - \| - \| - \| - \| \| MANDEVI \| ACYDP0885G \| 1 \| 564450 \| 564450 \| 1.94 \| 564450 \| 1.94 \| - \| - \| - \| - \| - \| - \| \| SUBODH AGARWALLA \| ACMPA6587C \| 1 \| 176174 \| 176174 \| 0.61 \| 176174 \| 0.61 \| - \| - \| - \| - \| - \| - \| \| PRAHLAD RAJ AGARWALLA (HUF) \| ACMPA6587K \| 1 \| 359250 \| 359250 \| 1.23 \| 359250 \| 1.23 \| - \| - \| - \| - \| - \| - \| \| SUDHARTA SHANKAR AGARWALLA \| ACMPA6587L \| 2 \| 352100 \| 352100 \| 1.14 \| 352100 \| 1.14 \| - \| - \| - \| - \| - \| - \| \| SONIYA AGARWALLA \| ASYFC0895F \| 1 \| 291165 \| 291165 \| 1.00 \| 291165 \| 1.00 \| - \| - \| - \| - \| - \| - \| \| SUBHAS CHANDRA AGARWALLA (HUF) \| AAAMHS972E \| 1 \| 110000 \| 110000 \| 0.38 \| 110000 \| 0.38 \| - \| - \| - \| - \| - \| - \| \| SMITI AGARWALLA \| AGPRA877A \| 1 \| 97500 \| 97500 \| 0.33 \| 97500 \| 0.33 \| - \| - \| - \| - \| - \| - \| \| (b) Central Government/State Government/Local Authority \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (c) Other Bodies Corporate \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (d) Foreign (Non-Resident) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Persons Acting in Concert \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| MAITHAN SMELTERS PRIVATE LIMITED \| AACMCM893QJ \| 1 \| 13853707 \| 13853707 \| 46.90 \| 13853707 \| 46.90 \| - \| - \| - \| - \| - \| - \| \| S. H. CONSULTANCY PRIVATE LIMITED \| AAACH6572P \| 1 \| 5397357 \| 5397357 \| 18.54 \| 5397357 \| 18.54 \| - \| - \| - \| - \| - \| - \| \| SUKHE TRADING PRIVATE LIMITED \| AADCS892U \| 2 \| 3259200 \| 3259200 \| 11.20 \| 3259200 \| 11.20 \| - \| - \| - \| - \| - \| - \| \| SHAKTI ENTERPRISES LIMITED \| AAACD892V \| 1 \| 1591700 \| 1591700 \| 4.78 \| 1591700 \| 4.78 \| - \| - \| - \| - \| - \| - \| \| SHAKTI AUTO TRUCKS PRIVATE LIMITED \| AAACD892W \| 1 \| 1234500 \| 1234500 \| 4.38 \| 1234500 \| 4.38 \| - \| - \| - \| - \| - \| - \| \| JIRAJ AUTO TRUCKS LIMITED \| AAACD892F \| 1 \| 1957500 \| 1957500 \| 6.77 \| 1957500 \| 6.77 \| - \| - \| - \| - \| - \| - \| \| UNIMAX TRUCK TRAILERS LIMITED \| AAACD892D \| 1 \| 980750 \| 980750 \| 3.41 \| 980750 \| 3.41 \| - \| - \| - \| - \| - \| - \| \| Sub Total (A1(i)) \| 29 \| 20340773 \| 20340773 \| 69.87 \| 20340773 \| 69.87 \| - \| - \| - \| - \| - \| - \| \| (2) Foreign \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (a) Non-Resident (Non-Individuals) \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (b) Government \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (c) Institutions \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| (d) Foreign Portfolio Investor \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Sub Total (A1(ii)) \| 29 \| 20340773 \| 20340773 \| 69.87 \| 20340773 \| 69.87 \| - \| - \| - \| - \| - \| - \| Notes: (a) S. H. Consul is the Promoter of the Company. Other shareholders shown as Persons Acting in Concert with the Promoter Avinash Agarwala, Prabhat Rai Agarwala,<cursor_is_here> </text>	[ { "content": "<url>\nhttp://maithanalloys.com/wp-content/uploads/2017/07/Jul-Sep-Q02.pdf\n</url>\n<text>\n## Annexure-I\n\n### Format of holding of specified securities\n\n#### 1. Name of Listed Entity:\nMAITHAN ALLOYS LTD. (CIN: L27101WB1985PLC039503)\n\n#### 2. Scrip Code/Name of Scrip/Class of Security:\n\n\| CSE \| BSE \| NSE \|\n\|-----\|-----\|-----\|\n\| 10023915 \| 500078 \| MAITHANAL - EQ \|\n\n- Scrip Code: \n- Name of Scrip: Maithan Alloys Limited\n- Class of Security: Equity\n\n#### 3. Share Holding Pattern Filed under: Reg. 31(1)(a)/Reg. 31(1)(b)/Reg. 31(1)(c)\n\n- If under 31(1)(b) then indicate the report for Quarter ending: 30th September, 2017\n- If under 31(1)(c) then indicate date of allotment/extinguishment N.A.\n\n#### 4. Declaration: The Listed entity is required to submit the following declaration to the extent of submission of information:\n\n\| Particulars \| Yes \| No \|\n\|-------------\|-----\|----\|\n\| 1. Whether the Listed Entity has issued any partly paid up shares? \| \| ✓ \|\n\| 2. Whether the Listed Entity has issued any Convertible Securities or Warrants? \| \| ✓ \|\n\| 3. Whether the Listed Entity has any shares against which depository receipts are issued? \| \| ✓ \|\n\| 4. Whether the Listed Entity has any shares in Locked-in? \| \| ✓ \|\n\| 5. Whether any shares held by promoters are pledge or otherwise encumbered? \| \| ✓ \|\n\n\| Category & Name of the Shareholders (i) \| PAN (ii) \| No. of fully paid up equity shares held (IV) \| No. of equity shares underwriting rights held (V) \| No. of Voting Rights held (VI) \| No. of Voting Rights held as per SCR,1957 (V+VI) \| As % of (A+B+C2) (VII) \| No. of Voting Rights Total as % of Equity (VIII) \| No. of Voting Rights Total as % of Total Outstanding Shares (IX) \| No. of Voting Rights Total as % of securities (including Warrants) (X) \| Number of Voting Rights held as a % of convertible securities (as a percentage of diluted share capital) (XI)=((VIII)+(X)) \| Number of Voting Rights held as a % of convertible securities on conversion of Warrants (XII)=(XI) \| Number of shares held in demat form (XIV) \| Number of shares held otherwise encumbered (XIII) \|\n\|----------------------------------------\|----------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\|-----------------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\|---------------------------------\|-----------------\|---------------------------------\|\n\| (1) Indian Individuals/Undivided Family \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| Promoter: \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| (a) Individuals/Hindu undivided family \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| Persons Acting in Concert \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| SUBHAS CHANDRA AGARWALLA \| ACMPA63051 \| 21 \| 688465 \| 688465 \| 22.97 \| 688465 \| 22.97 \| - \| - \| - \| - \| - \| - \|\n\| SANKAR LAL AGARWALLA \| ACMPA6587A \| 1 \| 98250 \| 98250 \| 0.34 \| 98250 \| 0.34 \| - \| - \| - \| - \| - \| - \|\n\| PRAHLAD RAJ AGARWALLA \| ACMPA6587B \| 2 \| 98250 \| 98250 \| 0.34 \| 98250 \| 0.34 \| - \| - \| - \| - \| - \| - \|\n\| SHANTA DEVI AGARWALLA \| ACYDP0988A \| 2 \| 852300 \| 852300 \| 2.92 \| 852300 \| 2.92 \| - \| - \| - \| - \| - \| - \|\n\| RITA DEVI \| ACYDP0988B \| 2 \| 852300 \| 852300 \| 2.92 \| 852300 \| 2.92 \| - \| - \| - \| - \| - \| - \|\n\| SHEILA DEVI AGARWALLA \| ACMPA6305C \| 2 \| 752000 \| 752000 \| 2.58 \| 752000 \| 2.58 \| - \| - \| - \| - \| - \| - \|\n\| AVINASH AGARWALLA \| ACMPA6305D \| 1 \| 667250 \| 667250 \| 2.29 \| 667250 \| 2.29 \| - \| - \| - \| - \| - \| - \|\n\| SUDHANSHU AGARWALLA \| ACMPA6305E \| 1 \| 563350 \| 563350 \| 1.94 \| 563350 \| 1.94 \| - \| - \| - \| - \| - \| - \|\n\| MANDEVI \| ACYDP0885G \| 1 \| 564450 \| 564450 \| 1.94 \| 564450 \| 1.94 \| - \| - \| - \| - \| - \| - \|\n\| SUBODH AGARWALLA \| ACMPA6587C \| 1 \| 176174 \| 176174 \| 0.61 \| 176174 \| 0.61 \| - \| - \| - \| - \| - \| - \|\n\| PRAHLAD RAJ AGARWALLA (HUF) \| ACMPA6587K \| 1 \| 359250 \| 359250 \| 1.23 \| 359250 \| 1.23 \| - \| - \| - \| - \| - \| - \|\n\| SUDHARTA SHANKAR AGARWALLA \| ACMPA6587L \| 2 \| 352100 \| 352100 \| 1.14 \| 352100 \| 1.14 \| - \| - \| - \| - \| - \| - \|\n\| SONIYA AGARWALLA \| ASYFC0895F \| 1 \| 291165 \| 291165 \| 1.00 \| 291165 \| 1.00 \| - \| - \| - \| - \| - \| - \|\n\| SUBHAS CHANDRA AGARWALLA (HUF) \| AAAMHS972E \| 1 \| 110000 \| 110000 \| 0.38 \| 110000 \| 0.38 \| - \| - \| - \| - \| - \| - \|\n\| SMITI AGARWALLA \| AGPRA877A \| 1 \| 97500 \| 97500 \| 0.33 \| 97500 \| 0.33 \| - \| - \| - \| - \| - \| - \|\n\| (b) Central Government/State Government/Local Authority \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| (c) Other Bodies Corporate \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| (d) Foreign (Non-Resident) \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| Persons Acting in Concert \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| MAITHAN SMELTERS PRIVATE LIMITED \| AACMCM893QJ \| 1 \| 13853707 \| 13853707 \| 46.90 \| 13853707 \| 46.90 \| - \| - \| - \| - \| - \| - \|\n\| S. H. CONSULTANCY PRIVATE LIMITED \| AAACH6572P \| 1 \| 5397357 \| 5397357 \| 18.54 \| 5397357 \| 18.54 \| - \| - \| - \| - \| - \| - \|\n\| SUKHE TRADING PRIVATE LIMITED \| AADCS892U \| 2 \| 3259200 \| 3259200 \| 11.20 \| 3259200 \| 11.20 \| - \| - \| - \| - \| - \| - \|\n\| SHAKTI ENTERPRISES LIMITED \| AAACD892V \| 1 \| 1591700 \| 1591700 \| 4.78 \| 1591700 \| 4.78 \| - \| - \| - \| - \| - \| - \|\n\| SHAKTI AUTO TRUCKS PRIVATE LIMITED \| AAACD892W \| 1 \| 1234500 \| 1234500 \| 4.38 \| 1234500 \| 4.38 \| - \| - \| - \| - \| - \| - \|\n\| JIRAJ AUTO TRUCKS LIMITED \| AAACD892F \| 1 \| 1957500 \| 1957500 \| 6.77 \| 1957500 \| 6.77 \| - \| - \| - \| - \| - \| - \|\n\| UNIMAX TRUCK TRAILERS LIMITED \| AAACD892D \| 1 \| 980750 \| 980750 \| 3.41 \| 980750 \| 3.41 \| - \| - \| - \| - \| - \| - \|\n\| Sub Total (A1(i)) \| 29 \| 20340773 \| 20340773 \| 69.87 \| 20340773 \| 69.87 \| - \| - \| - \| - \| - \| - \|\n\n\| (2) Foreign \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| (a) Non-Resident (Non-Individuals) \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| (b) Government \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| (c) Institutions \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| (d) Foreign Portfolio Investor \| \| \| \| \| \| \| \| \| \| \| \| \| \|\n\| Sub Total (A1(ii)) \| 29 \| 20340773 \| 20340773 \| 69.87 \| 20340773 \| 69.87 \| - \| - \| - \| - \| - \| - \|\n\nNotes:\n(a) S. H. Consul is the Promoter of the Company. Other shareholders shown as Persons Acting in Concert with the Promoter Avinash Agarwala, Prabhat Rai Agarwala,<cursor_is_here>\n</text>\n", "role": "user" }, { "content": " Rita Devi, Soniya Agarwala and H.", "role": "assistant" } ]
INFERRING GENOTYPE FROM CLINICAL PHENOTYPE THROUGH A KNOWLEDGE BASED ALGORITHM B.A. MALIN, L.A. SWEENEY, Ph.D. School of Computer Science, Carnegie Mellon University Pittsburgh, PA 15213, USA Genomic information is becoming increasingly useful for studying the origins of disease. Recent studies have focused on discovering new genetic loci and the influence of these loci upon disease. However, it is equally desirable to go in the opposite direction – that is, to infer genotype from the clinical phenotype for increased efficiency of treatment. This paper proposes a methodology for such inference. Our method constructs a simple knowledge-based model without the need of a domain expert and is useful in situations that have very little data and/or no training data. The model relates a disease's symptoms to particular clinical states of the disease. Clinical information is processed using the model, where appropriate weighting of the symptoms is learned from observed diagnoses to subsequently identify the state of the disease presented in hospital visits. This approach applies to any simple genetic disorder that has defined clinical phenotypes. We demonstrate the use of our methods by inferring age of onset and DNA mutations for Huntington's disease patients. 1 Background 1.1 Genotype-Phenotype Relationships Over the past decade, growing interest has surfaced in recognizing relationships between the genotype and clinical phenotype of an individual. It is believed that more efficient treatment of many diseases can be achieved through tailoring drug administration to specific genotypes. 1 With this in mind, one must consider that the etiology of many diseases resides in a combination of genetic predispositions, environmental variables, and random chance. Genetic influence varies among diseases, ranging from a weak influence on Alzheimer's disease to a deterministic effect on sickle cell anemia. This paper addresses the relationship in single gene mutation diseases known as simple Mendelian traits. The traits are an interesting study from the standpoint that their DNA mutation is considered the direct cause of the disease and permit a wide range of genotype-phenotype relationships. For example, the autosomal recessive disease cystic fibrosis is caused by mutations in the cystic fibrosis transmembrane conductance regulator gene, of which over 750 mutations have been documented. While cystic fibrosis' clinical expression is variable, the phenotypes have been demonstrated to relate to particular mutations of the gene. 2 Though the relationship between the genotype and some aspect of the clinical phenotype is known, the relationship is often obscured in standardized medical information. This paper describes a generally applicable method for discovering the particulars of this relationship from standardized medical information as they relate to individual patients. We demonstrate our general method to determine clinical phenotype of the autosomal dominant disorder known as Huntington's disease in a group of patients. Huntington's disease is caused by a CAG trinucleotide repeat expansion of the HD gene, a feature relatively independent of the observed clinical features. 3 Rather, the size of the repeat harbors an inverse exponential relationship to the age of onset of the disease, a feature of the clinical phenotype not recorded in general medical information. 4 Our methods therefore, are utilized to infer nonrecorded features of the clinical phenotype (such as age of onset) from standardized hospital information to reveal characteristics of the genotype. 1.2 Knowledgebase and Statistical Learning Approaches Nowadays knowledge-based systems, which gained tremendous popularity in the 1980's, and data mining techniques, which gained tremendous popularity in the 1990's, are often viewed as rival approaches. The era of expert systems began with exciting systems like DENDRAL, which inferred molecular structure from information provided by a mass spectrometer 5 , and MYCIN, which diagnosed blood infections 6 . But the era of expert systems ended with disillusionment as the costs of constructing real-world knowledge-based systems far exceeded their perceived benefits. Excitement shifted to neural networks and statistical data mining techniques, in part, because they provided results using standardized learning models with little or no explicit representation of domain knowledge required. But as the problem space becomes more complex, the advantages of a knowledge-based approach become apparent. Examples include games such as chess, checkers, and backgammon where efforts to learn an evaluation method using knowledge of the game are much more successful then methods void of domain knowledge 7 . In this paper, we tackle a problem in which a neural network, for example, could be used if training data were available; but in this environment, we assume no training data are available. Our approach constructs an initial knowledge-based model with minimal effort by relating diagnoses to a disease's symptoms and relating those symptoms, in turn, to stages of the disease. The represented knowledge is not from a domain "expert" but from simple extractions drawn from common literature and so, these initial mappings may be inconsistent. We therefore calibrate the model by generalizing, specializing and partitioning the initial mappings as needed. Finally, we apply the model to infer genotype for patients. 2 Methods Materials needed for this approach are standardized hospital data, general facts about the clinical presentation of the disease, and for a sample of individuals, known features of the clinical phenotype. Following are descriptions of these materials, which are necessary for use with our approach. \| INDIV1 \| \| AGE1 \| \| DOB1 \| \| SEX1 \| \| ZIP1 \| \| ADMIT1 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| INDIV2 \| \| AGE2 \| \| DOB2 \| \| SEX2 \| \| ZIP2 \| ADMIT2 \| {DIAGNOSES} \| \| \| INDIV2 \| \| AGE2 \| \| DOB2 \| \| SEX2 \| \| ZIP2 \| ADMIT2 \| {DIAGNOSES} \| \| \| INDIV2 \| \| AGE2 \| \| DOB2 \| \| SEX2 \| \| ZIP2 \| ADMIT2 \| {DIAGNOSES} \| 2.1. Inference Algorithm Definition First, we consider the collections of inpatient hospital visits. The National Association of Health Data Organizations reported that 44 of 50 states have legislative mandates to gather hospital-level data on each patient visit. As shown in Figure 1, patient demographics, hospital identity, diagnosis codes, and procedure codes are among the attributes stored with each hospital visit. Previous research has demonstrated that publicly available discharge data permits the formation of genetic population subsets. 8 Figure 2. Genotype inference algorithm. Second, we consider the current corpora of knowledge about particular diseases. General information about symptoms and clinical presentation of the disease are needed. Such information can be found in articles on MEDLINE, on authoritative web sites devoted to the disease, and in general medical texts. From the study of this information, the symptoms of the disease in question can be defined. Symptoms are defined narrowly enough, so that diagnoses map to a single symptom. With the previous information available, we present an algorithm for knowledge representation and inference in Figure 2. Steps of the algorithm are discussed in the following subsections. 2.2 Manual Mapping of Diagnoses and Symptoms (Step I) The simplest model is the direct mapping of each diagnosis to its corresponding disease states. Such a model permits the use of a neural network for parameter estimation for a defined model as depicted in Figure 3a. However, such learning tools require ample training data. Yet, this study uses a small amount of data and no training data, and as such, we attempt to use known knowledge about a disease to tune the model by adding an internal layer of nodes. Each node in the additional layer represents a group of diagnoses, as shown in Figure 3b. The question becomes, "What criteria is best for grouping the raw diagnoses?" Three possibilities are explored. One possibility is to generalize on diagnosis codes. In the case of ICD-9 diagnosis codes, codes having the same leftmost digits are semantically related. The fewer the number of leftmost digits found in common between codes, the greater the number of codes to which those digits refer. By "generalizing" diagnosis codes, codes that share the same left most digits are grouped together. A second possibility uses the textual descriptions that accompany the ICD-9 diagnosis codes. String matching words or phrases found in the text descriptions provide the basis for grouping diagnosis codes together. Finally, a third possibility identifies symptoms based on published articles and books about the disease in question. Each symptom then has an associated set of diagnoses not dependent on the coding structure or common words in the description. In all three possibilities, diagnosis codes are grouped into sets, which we generally refer to as "symptoms." Tools for performing each of these ways of grouping diagnosis codes into symptoms were constructed. Each clinical phenotype may be thought of as a different state of the disease. Of the states, only one may be presenting at any particular point in time. Thus, the disease can be characterized as a vector of 0s and 1s with k positions, where k is the number of distinct phenotypes associated with the disease. From published descriptions of the disease, groups of diagnoses ("symptoms"), which are reported as being related to states of the disease, are designated a 1 in each vector position that corresponds to those states and a 0 in all other vector positions. Each symptom therefore has a non-zero "state vector" associated with it that identifies the states in which the symptom is expected to appear. For example, the vector [1,1,0,0] represents a disease having 4 states and the symptom related to this vector has diagnoses that only appear in the first two states. Each bi in Figure 3 represents such a vector. At this point, we have an initial knowledge-based model that relates each diagnosis code to states of the disease through a symptom as shown in Figure 3b. We now look at an alternative mapping directly from diagnosis codes to disease states as shown in Figure 3a. Using literature about the disease, each diagnosis code appearing in the hospital visits is directly mapped to corresponding disease states without the use of symptoms. These are manual mappings that are not calibrated by actual observations or mapped by a real domain expert. They provide a second guess at the relationship between diagnosis and disease states. 2.3 Mapping Adjustment (Step II) The question becomes, "Do the mappings consistently define the clinical phenotype?" For example, a hospital visit with diagnoses that when binned into their respective symptoms (using the model in Figure 3b) could provide the vectors {[0,1,1,0] , [0,1,1,0] , [0,0,1,0]}, while those same diagnoses mapped directly to disease states (using the model in Figure 3a) could yield only the fourth state. Using the vectors resulting from the symptoms, the fourth clinical phenotype would never be considered. Thus, the scenario exists where a symptom may under-represent the states provided in the diagnosis-to-state mappings. Similarly, the situation could occur where a symptom over-represents the diagnosis-to-state mappings. If a symptom vector presents [0,1,1,0], but the corresponding diagnosis-to-state mappings appear only in the second clinical phenotype, then the symptom falsely assumes the third phenotype. We address these scenarios, with a method to update the symptoms, such that our model becomes consistent in its mappings. Our approach involves finding maximally specific mappings in the space defined by the initial brute-force mappings. This approach builds on prior work in the area of concept learning using general-to-specific ordering 9 . Let Sy i be the state vector for the i th symptom. Let D i be the state vector for the set of diagnoses mapped to Sy i , but whose state is determined from the diagnosis to disease state mappings. In each position j of the vector D i , the number is 1 if any diagnosis, within D i , maps to clinical state j , and 0 otherwise. For each Sy i and D i , there are four possible scenarios each with a specific action as defined in Table 1. Table 1. Symptom refinement based on diagnoses vector comparison \| \| \| Action \| \|---\|---\|---\| \| D = Sy i i \| D = [0,1,0,0], Sy = [0,1,0,0] i i \| None \| \| D < Sy i i \| D = [0,1,0,0], Sy = [0,1,1,1] i i \| Sy = D i i \| \| D > Sy i i \| D = [0,1,1,1], Sy = [0,1,0,0] i i \| \| \| Not(D = Sy) And i i Not(D < Sy) And i i Not(Sy < D) i i \| D = [1,1,0,0], Sy = [0,1,1,0] i i \| Partition symptoms \| The first scenario, Di=Syi, is trivial, the symptom does not change. When there are more states found for a symptom than the diagnoses provide, Di>Syi, or the symptom covers too many states, Di<Syi, we set Syi equal to Di. The final scenario, when the two vectors are unequal we partition Syi into several symptoms and redefine the state mappings. The partitioning rule is explained with an accompanied example. Let Di= [1,1,0,0] and Syi = [0,1,1,0]. Diagnoses within Di that are contained by Syi (≤) remain mapped to Syi. So, diagnoses that provide [0,1,0,0], [0,0,1,0], or [0,1,1,0], remain mapped to Syi. Next, create new symptoms with the vectors defined to be equal to the largest range of states spanning the remaining diagnoses. Thus, if there existed diagnoses with vectors [1,0,0,0] and [1,1,0,0] a new symptom would be created with the vector [1,1,0,0]. Yet, if the remaining diagnoses all had the vector [1,0,0,0], the new symptom would have a vector of [1,0,0,0]. Partitioning modifies the structure of the model. We now have mappings of diagnoses to symptoms and symptoms to states that are generally specific to the mapping of diagnoses to states. 2.4 Learning Diagnosis Weights (Step III) For any particular hospital visit, we are interested in what state of the disease a patient is presenting. To accomplish this, we must determine how accurate a diagnosis code is for predicting any particular state. Initially we cannot make such a determination because we have no training data. Hospital visits are not initially classified as representing a particular phenotype of the disease. So initially, we assume all mappings are equally accurate. On subsequent iterations however, hospital visits are classified as representing certain disease states thereby revealing some diagnosis codes as being more accurate then others. The accuracies of diagnosis code mappings, once hospital visits are classified, are determined as follows. From the classified hospital visits, the frequency of each diagnosis is calculated for each state. The frequency vectors are compared with the state vectors from symptoms to determine the accuracy of each diagnosis code in the prediction of disease state. A vector containing the frequency of diagnosis codes appearing in the hospital visits and a symptom's state vector are incomparable. For comparison, the frequency vector is thresholded to transform it into vector of 0s and 1s. The threshold was calculated as the average number of non-zero counts per stage: where x represents the frequency counts for state i, S is the number of states, and θ (x) is the indicator function. Each position of the frequency vector is changed to a bit, where a 1 is assignment to frequencies greater than the threshold and 0 otherwise. For example, the frequency vector [1,9,1,1] would provide a threshold of 3 ((1+1+9+1) / (1+1+1+1)), and the frequency vector after thresholding would be [0,1,0,0]. All frequency data is now on the order of a string of bits. The corresponding vectors are termed "sample vectors." From the sample and symptom vectors, we can determine an accuracy score for each diagnosis code. Because each vector position has a binary choice, we consider the accuracy score as the following. True positives and true negatives add a score of +1, while false positives add –1. The score is normalized by the total number of states k. Formally, accuracy is defined as: where t and f representative of the positions in the state and thresholded frequency vectors, respectively, and ) (x φ a bit function. By the above definition, the accuracy of any particular feature must reside in the range [(k-1)/k , 1]. The lower bound is dependent on the nature of assigning a state pattern for a symptom. there must be a minimum of one position in the vector that is defined as 1. 2.5 Patient Visits Mapped to Disease States (Step IV) The question becomes, "How do we use these accuracy values to relate distinct hospital visits to disease states?" Consider the feed forward schematic depicted in Figure 4. The useful information from a hospital visit, diagnosis codes (though procedure and discharge status codes could also be used), denoted as d, are mapped to their respective symptoms, denoted as s. Rather than feed the raw frequency vector associated with a symptom, the accuracy value of each constituent diagnosis code is used. This is represented by wi, which recognizes the degree to which the hospital visit belongs to the disease state based on the appearance of the diagnosis. At each symptom, the maximum accuracy max wi, a scalar value, is used to scale the symptom's state vector. The scaling is simple multiplication of a vector by a scalar, which converts the state vector into a vector of 0s and the max weight. For example, let si have a state vector [0,1,1,0] and the corresponding set of diagnoses weights that fed forward to si be [0.3, 0.4, 0.3, 0.7]. Because the max weight is equal to 0.7, the weighted state vector is [0, 0.7, 0.7, 0]. The weighted vectors, noted as bi in Figure 4a, for each symptom are then combined via vector addition. Since the vectors are of the same dimension, with each position corresponding to the same state of the disease, the vector addition results in a vector the same size as the number of disease states. The final vector V, is a weighted score of the certainty in each state that a particular hospital visit exhibits. This score is determined for each hospital visit independently. 2.6 Temporal Constraints for Optimizing Disease State Alignments (Step V) Now that each hospital visit has been converted into a weighted vector of disease states, we must determine how to relate visits belonging to a single patient with time dependent aspects. There exist some diseases that have a defined progression pattern, or one that may be inferred. One example of such progression inference has been demonstrated with partially observable Markov decision processes for studying heart disease. 11 Other diseases, such as Huntington's disease, are currently untreatable and therefore have a direct progression towards death. This section of the algorithm is not necessary for clinical information inference of diseases with an unknown progression status, such as cystic fibrosis. However, because progression of disease is an issue that helps define the current state of some diseases, time constraints must be taken into account. Consider the profile depicted in Figure 5a. Each row corresponds to a state s of the disease. We are attempting to determine the optimal alignment of states for this profile. If we assume that the max value in each v corresponds to the actual state, then the predicted progression would be as depicted in Figure 5b. However, if the disease could only have a forward progression without remission, we would have to consider the maximum sum of single vector positions under this constraint. The result is depicted in Figure 4c. Yet, to prevent impossible stage alignments for longitudinal medical profiles, we must utilize knowledge about the disease. Figure 5. a) Sample patient profile with the time elapsed shown between each vertical state vector. The time elapsed is in years. b-d) Various statement alignments as the result of varying degrees of time constraints. In b) max cell values are assumed to be stage of disease; in c) linear forward progression constraint is enforced, and in d) time dependency for each stage is considered. Many different state sequences could have given rise to the observed sets of diagnoses. For example, the state sequences could have been generated from the underlying states (1,1,1,1,1), (2,2,2,2,2), (2,2,3,3,3), or (1,1,2,2,2), though there would be many more possible alignments of the sequence. The difference between these alignments is that they would present diagnoses at each visit with different probabilities. We are interested in the path through the sequence alignment that provides the highest probability by considering the most probable state sequence given the set of compressed tuple vectors V, the set of time constraints T, and a state path through the profile. The diagnosis-state mappings are updated from the hospital visit classifications and then steps II through IV of the algorithm repeat until no further refinement in the classification of hospital visits is realized. Metrics were defined to determine convergence. 3 Results on Huntington's Disease Materials included hospital discharge data from the State of Illinois, for the years 1990 through 1997. There were approximately 1.3 million hospital discharges per year. Collection information has compliance with greater than 99% of discharges occurring in hospitals in the state. 8 As a sample set, a Huntington's disease registry from Rush Presbyterian Hospital of Chicago was used. The registry consisted of demographic information and the age of onset of the disease for each listing. Longitudinal medical profiles were constructed as described in previous reports. 8 Profile construction was performed with an estimate of 100% uniqueness and identifiability of individuals based on {ZIP, date of birth, gender}. The resulting profiles were crossed with the registry. The resulting join, yielded a sample of 22 individuals, with a total number of 69 hospital visits. The literature review provided a list of symptoms related to four stages. Clinically, there are three stages of the disease known to exist; an early stage, middle stage, and late stage, as well as the asymptomatic period of the disorder. It is worth noting there are two types of Huntington's disease that have different progression rates. One type is a juvenile onset that presents before the age of 20, while the other is normal adult presentation above the age of 20. Furthermore, the disease has an untreatable forward progression toward death. There is no remission, thus you could not backtrack from the middle to the early stage of the disease. Step I of the approach involves mapping symptoms to phenotype states. Based on literature review, a list of 36 symptoms was constructed with each symptom mapping to any of 4 possible stages of the disease. Diagnosis codes and discharge status codes were identified and then mapped to the generalized diagnoses based on the methods described in section 2.2. For Step II, partitioning the symptom model resulted in a total of 45 symptoms. Table 2. Comparison of Models for Generalizing Diagnoses \| Model \| Number of Nodes \| Number of States Encountered \| \|---\|---\|---\| \| Diagnoses (direct) \| 156 \| 477 \| \| Generalized Codes \| 60 \| 791 \| \| Text Semantics \| 8 \| 975 \| As shown in Table 2, the diagnosis model, which maps each diagnosis directly to its disease state, resulted in 477 states being encountered. Of the generalized models, we found the symptom model to be more specific than the models resulting from generalizing codes or using textual descriptions. Henceforth, we continue with the symptom model. Step III of the approach involves learning corresponding weights for the diagnosis and discharge status codes. Step IV of the approach involves automatically classifying each patient visit into a known disease state. Finally, with each hospital visit independently classified as exhibiting a state of the disease, we had to align visits pertaining to the same patient in order to respect the temporal constraints specific to Huntington's Disease. The method used is described in the next paragraphs. For Huntington's disease, the expected length of time is approximately 5 years per stage for the adult type, and 3 years for the juvenile type. 10 Furthermore, there is a linear progression of the disease. Once the patient reaches stage (or state) 2, remission to stage 1 is not possible. For the adult type, time up to the age of onset is defined as stage 0, from onset up to five years afterwards defines stage 1, five to ten years defines stage 2, greater than ten years defines stage 3. Based on knowledge about the particular disease, we can construct a set of rules governing the time-dependency of the disease that overlaps the stages in time to account for transitions in the disease as well as in age reporting. The noted ranges are: 1 to 6 years for stage 1, 4 to 11 years for stage 2 and 9 to 15 years for stage 3. Based on these constraints, we predicted the age of onset for each patient in the following manner: list the times for each visit as an inequality in the time ranges noted. This provides a set of inequalities, one inequality for each visit. Expand the list by reporting the time lapses between visits. Solve the resulting set of inequalities to get time bounds and then modify hospital visit classifications accordingly. Final results, converging after three iterations of the algorithm, appear in Figure 6. The relationship between the age of onset and the trinucleotide repeat size has been shown to have an inverse relationship. The relationship has an r 2 regression value of 0.73 as noted in previous works. 12 The equation used to determine the relationship between age of onset and CAG repeat size is ln(age of onset) = 5.4053 0.0377*(trinucleotide repeat size). Out of the Rush Presbyterian dataset, there were 3 subjects that we knew the repeat size for. Predictions of the repeat size yielded matches. 4 Discussion Our approach is biased by the initial disease and symptom mappings, but such bias is analogous to having incorrect knowledge in a knowledge base or incorrect classifications assigned in training data. The iterative nature of our approach further refines its models to better fit the data but cannot always overcome initial bias. The methodology described above is general enough to be compatible with many single gene disorders. For each of these diseases, the number of states will be dependent on the number of clinical types. References 1. F.M. De La Vega, M. Kreitman, and I.S. Kohane. "Human genome variation: linking genotypes to clinical phenotypes" In: Pacific Symposium on Biocomputing 2001, R.B. Altman et.al (Eds.) (World Scientific, Singapore, 2001). 2. M.R. Knowles, K.J. Friedman, and L.M. Silverman, "Genetics, Diagnosis, and Clinical Phenotype" Ed. J.R. Yankaskas and M.R. Knowles. (Lippincott-Raven, Philadelphia, 1999). 3. R.R. Brinkman, et al., "The likelihood of being affected with Huntington disease by a particular age, for a specific CAG size." Am. J. Hum. Genet. 60. 1202-1210 (1997). 4. A.R. La Spada. "Trinucleotide repeat instabilitiy: genetic features and molecular mechanisms." Brain Pathol. 7. 943-963 (1997). 5. B.G. Buchanan, et al. "Heuristic DENDRAL: a program for generating explanatory hypotheses in organic chemistry." In Machine Intelligence 4, B. Meltzer et. al (Eds.) (Edinburgh University Press, Edinburgh, 1969). 6. E.H. Shortliffe. Computer-Based Medical Consultations: MYCIN. Elsevier/North-Holland, Amsterdam, London, New York (1976). 7. G. Tesauro. "Practical issues in temporal difference learning" Machine Learning, 8 (3-4):257-277 (1992). 8. B.A. Malin, and L.A. Sweeney. "Determining the Identifiability of DNA Database Entries" Proc AMIA Symp. 537-541 (2000). 9. T.M. Mitchell, Machine Learning (McGraw-Hill, New York, 1997). 10. O. Quarrell, Huntington's Disease: The Facts. (Oxford University Press, New York, 1999). 11. M. Hauskrecht, and H. Fraser. "Modeling Treatment of Ischemic Heart Disease with Partially Observable Markov Decision Processes" Proc AMIA Symp. 538-532 (1998). 12. S.E. Andrew, et. al. "The relationship between trinucleotide (cag) repeat length and clinical features of Huntington's disease" Nature. 4. 398-403 (1993).	<urn:uuid:b59a3393-bde6-44a9-be95-8111c2ab8c17>	CC-MAIN-2022-40	https://dataprivacylab.org/dataprivacy/projects/genetic/dna3.pdf	2022-10-02T13:02:00+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-40/subset=warc/part-00228-26160df0-1827-4787-a515-95ecaa2c9688.c000.gz.parquet	222,841,419	6,258	eng_Latn	eng_Latn	0.976644	eng_Latn	0.997056	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3624, 5501, 7427, 9213, 12506, 14861, 16969, 19371, 21896, 24456, 26304, 28624 ]	INFERRING GENOTYPE FROM CLINICAL PHENOTYPE THROUGH A KNOWLEDGE BASED ALGORITHM B.A. MALIN, L.A. SWEENEY, Ph.D. School of Computer Science, Carnegie Mellon University Pittsburgh, PA 15213, USA Genomic information is becoming increasingly useful for studying the origins of disease. Recent studies have focused on discovering new genetic loci and the influence of these loci upon disease. However, it is equally desirable to go in the opposite direction – that is, to infer genotype from the clinical phenotype for increased efficiency of treatment. This paper proposes a methodology for such inference. Our method constructs a simple knowledge-based model without the need of a domain expert and is useful in situations that have very little data and/or no training data. The model relates a disease's symptoms to particular clinical states of the disease. Clinical information is processed using the model, where appropriate weighting of the symptoms is learned from observed diagnoses to subsequently identify the state of the disease presented in hospital visits. This approach applies to any simple genetic disorder that has defined clinical phenotypes. We demonstrate the use of our methods by inferring age of onset and DNA mutations for Huntington's disease patients. 1 Background 1.1 Genotype-Phenotype Relationships Over the past decade, growing interest has surfaced in recognizing relationships between the genotype and clinical phenotype of an individual. It is believed that more efficient treatment of many diseases can be achieved through tailoring drug administration to specific genotypes. 1 With this in mind, one must consider that the etiology of many diseases resides in a combination of genetic predispositions, environmental variables, and random chance. Genetic influence varies among diseases, ranging from a weak influence on Alzheimer's disease to a deterministic effect on sickle cell anemia. This paper addresses the relationship in single gene mutation diseases known as simple Mendelian traits. The traits are an interesting study from the standpoint that their DNA mutation is considered the direct cause of the disease and permit a wide range of genotype-phenotype relationships. For example, the autosomal recessive disease cystic fibrosis is caused by mutations in the cystic fibrosis transmembrane conductance regulator gene, of which over 750 mutations have been documented. While cystic fibrosis' clinical expression is variable, the phenotypes have been demonstrated to relate to particular mutations of the gene. 2 Though the relationship between the genotype and some aspect of the clinical phenotype is known, the relationship is often obscured in standardized medical information. This paper describes a generally applicable method for discovering the particulars of this relationship from standardized medical information as they relate to individual patients. We demonstrate our general method to determine clinical phenotype of the autosomal dominant disorder known as Huntington's disease in a group of patients. Huntington's disease is caused by a CAG trinucleotide repeat expansion of the HD gene, a feature relatively independent of the observed clinical features. 3 Rather, the size of the repeat harbors an inverse exponential relationship to the age of onset of the disease, a feature of the clinical phenotype not recorded in general medical information. 4 Our methods therefore, are utilized to infer nonrecorded features of the clinical phenotype (such as age of onset) from standardized hospital information to reveal characteristics of the genotype. 1.2 Knowledgebase and Statistical Learning Approaches Nowadays knowledge-based systems, which gained tremendous popularity in the 1980's, and data mining techniques, which gained tremendous popularity in the 1990's, are often viewed as rival approaches. The era of expert systems began with exciting systems like DENDRAL, which inferred molecular structure from information provided by a mass spectrometer 5 , and MYCIN, which diagnosed blood infections 6 . But the era of expert systems ended with disillusionment as the costs of constructing real-world knowledge-based systems far exceeded their perceived benefits. Excitement shifted to neural networks and statistical data mining techniques, in part, because they provided results using standardized learning models with little or no explicit representation of domain knowledge required. But as the problem space becomes more complex, the advantages of a knowledge-based approach become apparent. Examples include games such as chess, checkers, and backgammon where efforts to learn an evaluation method using knowledge of the game are much more successful then methods void of domain knowledge 7 . In this paper, we tackle a problem in which a neural network, for example, could be used if training data were available; but in this environment, we assume no training data are available. Our approach constructs an initial knowledge-based model with minimal effort by relating diagnoses to a disease's symptoms and relating those symptoms, in turn, to stages of the disease. The represented knowledge is not from a domain "expert" but from simple extractions drawn from common literature and so, these initial mappings may be inconsistent. We therefore calibrate the model by generalizing, specializing and partitioning the initial mappings as needed. Finally, we apply the model to infer genotype for patients. 2 Methods Materials needed for this approach are standardized hospital data, general facts about the clinical presentation of the disease, and for a sample of individuals, known features of the clinical phenotype. Following are descriptions of these materials, which are necessary for use with our approach. \| INDIV1 \| \| AGE1 \| \| DOB1 \| \| SEX1 \| \| ZIP1 \| \| ADMIT1 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| INDIV2 \| \| AGE2 \| \| DOB2 \| \| SEX2 \| \| ZIP2 \| ADMIT2 \| {DIAGNOSES} \| \| \| INDIV2 \| \| AGE2 \| \| DOB2 \| \| SEX2 \| \| ZIP2 \| ADMIT2 \| {DIAGNOSES} \| \| \| INDIV2 \| \| AGE2 \| \| DOB2 \| \| SEX2 \| \| ZIP2 \| ADMIT2 \| {DIAGNOSES} \| 2.1. Inference Algorithm Definition First, we consider the collections of inpatient hospital visits. The National Association of Health Data Organizations reported that 44 of 50 states have legislative mandates to gather hospital-level data on each patient visit. As shown in Figure 1, patient demographics, hospital identity, diagnosis codes, and procedure codes are among the attributes stored with each hospital visit. Previous research has demonstrated that publicly available discharge data permits the formation of genetic population subsets. 8 Figure 2. Genotype inference algorithm. Second, we consider the current corpora of knowledge about particular diseases. General information about symptoms and clinical presentation of the disease are needed. Such information can be found in articles on MEDLINE, on authoritative web sites devoted to the disease, and in general medical texts. From the study of this information, the symptoms of the disease in question can be defined. Symptoms are defined narrowly enough, so that diagnoses map to a single symptom. With the previous information available, we present an algorithm for knowledge representation and inference in Figure 2. Steps of the algorithm are discussed in the following subsections. 2.2 Manual Mapping of Diagnoses and Symptoms (Step I) The simplest model is the direct mapping of each diagnosis to its corresponding disease states. Such a model permits the use of a neural network for parameter estimation for a defined model as depicted in Figure 3a. However, such learning tools require ample training data. Yet, this study uses a small amount of d	ata and no training data, and as such, we attempt to use known knowledge about a disease to tune the model by adding an internal layer of nodes.		7,801	inside_word	data	remove_all	<url> https://dataprivacylab.org/dataprivacy/projects/genetic/dna3.pdf </url> <text> INFERRING GENOTYPE FROM CLINICAL PHENOTYPE THROUGH A KNOWLEDGE BASED ALGORITHM B.A. MALIN, L.A. SWEENEY, Ph.D. School of Computer Science, Carnegie Mellon University Pittsburgh, PA 15213, USA Genomic information is becoming increasingly useful for studying the origins of disease. Recent studies have focused on discovering new genetic loci and the influence of these loci upon disease. However, it is equally desirable to go in the opposite direction – that is, to infer genotype from the clinical phenotype for increased efficiency of treatment. This paper proposes a methodology for such inference. Our method constructs a simple knowledge-based model without the need of a domain expert and is useful in situations that have very little data and/or no training data. The model relates a disease's symptoms to particular clinical states of the disease. Clinical information is processed using the model, where appropriate weighting of the symptoms is learned from observed diagnoses to subsequently identify the state of the disease presented in hospital visits. This approach applies to any simple genetic disorder that has defined clinical phenotypes. We demonstrate the use of our methods by inferring age of onset and DNA mutations for Huntington's disease patients. 1 Background 1.1 Genotype-Phenotype Relationships Over the past decade, growing interest has surfaced in recognizing relationships between the genotype and clinical phenotype of an individual. It is believed that more efficient treatment of many diseases can be achieved through tailoring drug administration to specific genotypes. 1 With this in mind, one must consider that the etiology of many diseases resides in a combination of genetic predispositions, environmental variables, and random chance. Genetic influence varies among diseases, ranging from a weak influence on Alzheimer's disease to a deterministic effect on sickle cell anemia. This paper addresses the relationship in single gene mutation diseases known as simple Mendelian traits. The traits are an interesting study from the standpoint that their DNA mutation is considered the direct cause of the disease and permit a wide range of genotype-phenotype relationships. For example, the autosomal recessive disease cystic fibrosis is caused by mutations in the cystic fibrosis transmembrane conductance regulator gene, of which over 750 mutations have been documented. While cystic fibrosis' clinical expression is variable, the phenotypes have been demonstrated to relate to particular mutations of the gene. 2 Though the relationship between the genotype and some aspect of the clinical phenotype is known, the relationship is often obscured in standardized medical information. This paper describes a generally applicable method for discovering the particulars of this relationship from standardized medical information as they relate to individual patients. We demonstrate our general method to determine clinical phenotype of the autosomal dominant disorder known as Huntington's disease in a group of patients. Huntington's disease is caused by a CAG trinucleotide repeat expansion of the HD gene, a feature relatively independent of the observed clinical features. 3 Rather, the size of the repeat harbors an inverse exponential relationship to the age of onset of the disease, a feature of the clinical phenotype not recorded in general medical information. 4 Our methods therefore, are utilized to infer nonrecorded features of the clinical phenotype (such as age of onset) from standardized hospital information to reveal characteristics of the genotype. 1.2 Knowledgebase and Statistical Learning Approaches Nowadays knowledge-based systems, which gained tremendous popularity in the 1980's, and data mining techniques, which gained tremendous popularity in the 1990's, are often viewed as rival approaches. The era of expert systems began with exciting systems like DENDRAL, which inferred molecular structure from information provided by a mass spectrometer 5 , and MYCIN, which diagnosed blood infections 6 . But the era of expert systems ended with disillusionment as the costs of constructing real-world knowledge-based systems far exceeded their perceived benefits. Excitement shifted to neural networks and statistical data mining techniques, in part, because they provided results using standardized learning models with little or no explicit representation of domain knowledge required. But as the problem space becomes more complex, the advantages of a knowledge-based approach become apparent. Examples include games such as chess, checkers, and backgammon where efforts to learn an evaluation method using knowledge of the game are much more successful then methods void of domain knowledge 7 . In this paper, we tackle a problem in which a neural network, for example, could be used if training data were available; but in this environment, we assume no training data are available. Our approach constructs an initial knowledge-based model with minimal effort by relating diagnoses to a disease's symptoms and relating those symptoms, in turn, to stages of the disease. The represented knowledge is not from a domain "expert" but from simple extractions drawn from common literature and so, these initial mappings may be inconsistent. We therefore calibrate the model by generalizing, specializing and partitioning the initial mappings as needed. Finally, we apply the model to infer genotype for patients. 2 Methods Materials needed for this approach are standardized hospital data, general facts about the clinical presentation of the disease, and for a sample of individuals, known features of the clinical phenotype. Following are descriptions of these materials, which are necessary for use with our approach. \| INDIV1 \| \| AGE1 \| \| DOB1 \| \| SEX1 \| \| ZIP1 \| \| ADMIT1 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| INDIV2 \| \| AGE2 \| \| DOB2 \| \| SEX2 \| \| ZIP2 \| ADMIT2 \| {DIAGNOSES} \| \| \| INDIV2 \| \| AGE2 \| \| DOB2 \| \| SEX2 \| \| ZIP2 \| ADMIT2 \| {DIAGNOSES} \| \| \| INDIV2 \| \| AGE2 \| \| DOB2 \| \| SEX2 \| \| ZIP2 \| ADMIT2 \| {DIAGNOSES} \| 2.1. Inference Algorithm Definition First, we consider the collections of inpatient hospital visits. The National Association of Health Data Organizations reported that 44 of 50 states have legislative mandates to gather hospital-level data on each patient visit. As shown in Figure 1, patient demographics, hospital identity, diagnosis codes, and procedure codes are among the attributes stored with each hospital visit. Previous research has demonstrated that publicly available discharge data permits the formation of genetic population subsets. 8 Figure 2. Genotype inference algorithm. Second, we consider the current corpora of knowledge about particular diseases. General information about symptoms and clinical presentation of the disease are needed. Such information can be found in articles on MEDLINE, on authoritative web sites devoted to the disease, and in general medical texts. From the study of this information, the symptoms of the disease in question can be defined. Symptoms are defined narrowly enough, so that diagnoses map to a single symptom. With the previous information available, we present an algorithm for knowledge representation and inference in Figure 2. Steps of the algorithm are discussed in the following subsections. 2.2 Manual Mapping of Diagnoses and Symptoms (Step I) The simplest model is the direct mapping of each diagnosis to its corresponding disease states. Such a model permits the use of a neural network for parameter estimation for a defined model as depicted in Figure 3a. However, such learning tools require ample training data. Yet, this study uses a small amount of d<cursor_is_here> </text>	[ { "content": "<url>\nhttps://dataprivacylab.org/dataprivacy/projects/genetic/dna3.pdf\n</url>\n<text>\nINFERRING GENOTYPE FROM CLINICAL PHENOTYPE THROUGH A KNOWLEDGE BASED ALGORITHM\n\nB.A. MALIN, L.A. SWEENEY, Ph.D. School of Computer Science, Carnegie Mellon University Pittsburgh, PA 15213, USA\n\nGenomic information is becoming increasingly useful for studying the origins of disease. Recent studies have focused on discovering new genetic loci and the influence of these loci upon disease. However, it is equally desirable to go in the opposite direction – that is, to infer genotype from the clinical phenotype for increased efficiency of treatment. This paper proposes a methodology for such inference. Our method constructs a simple knowledge-based model without the need of a domain expert and is useful in situations that have very little data and/or no training data. The model relates a disease's symptoms to particular clinical states of the disease. Clinical information is processed using the model, where appropriate weighting of the symptoms is learned from observed diagnoses to subsequently identify the state of the disease presented in hospital visits. This approach applies to any simple genetic disorder that has defined clinical phenotypes. We demonstrate the use of our methods by inferring age of onset and DNA mutations for Huntington's disease patients.\n\n1 Background\n\n1.1 Genotype-Phenotype Relationships\n\nOver the past decade, growing interest has surfaced in recognizing relationships between the genotype and clinical phenotype of an individual. It is believed that more efficient treatment of many diseases can be achieved through tailoring drug administration to specific genotypes. 1 With this in mind, one must consider that the etiology of many diseases resides in a combination of genetic predispositions, environmental variables, and random chance. Genetic influence varies among diseases, ranging from a weak influence on Alzheimer's disease to a deterministic effect on sickle cell anemia.\n\nThis paper addresses the relationship in single gene mutation diseases known as simple Mendelian traits. The traits are an interesting study from the standpoint that their DNA mutation is considered the direct cause of the disease and permit a wide range of genotype-phenotype relationships. For example, the autosomal recessive disease cystic fibrosis is caused by mutations in the cystic fibrosis transmembrane conductance regulator gene, of which over 750 mutations have been documented. While cystic fibrosis' clinical expression is variable, the phenotypes have been demonstrated to relate to particular mutations of the gene. 2\n\nThough the relationship between the genotype and some aspect of the clinical phenotype is known, the relationship is often obscured in standardized medical information. This paper describes a generally applicable method for discovering the particulars of this relationship from standardized medical information as they relate to individual patients. We demonstrate our general method to determine clinical phenotype of the autosomal dominant disorder known as Huntington's disease in a group of patients. Huntington's disease is caused by a CAG trinucleotide repeat expansion of the HD gene, a feature relatively independent of the observed clinical features. 3 Rather, the size of the repeat harbors an inverse exponential relationship to the age of onset of the disease, a feature of the clinical phenotype not recorded in general medical information. 4 Our methods therefore, are utilized to infer nonrecorded features of the clinical phenotype (such as age of onset) from standardized hospital information to reveal characteristics of the genotype.\n\n1.2 Knowledgebase and Statistical Learning Approaches\n\nNowadays knowledge-based systems, which gained tremendous popularity in the 1980's, and data mining techniques, which gained tremendous popularity in the 1990's, are often viewed as rival approaches. The era of expert systems began with exciting systems like DENDRAL, which inferred molecular structure from information provided by a mass spectrometer 5 , and MYCIN, which diagnosed blood infections 6 . But the era of expert systems ended with disillusionment as the costs of constructing real-world knowledge-based systems far exceeded their perceived benefits. Excitement shifted to neural networks and statistical data mining techniques, in part, because they provided results using standardized learning models with little or no explicit representation of domain knowledge required. But as the problem space becomes more complex, the advantages of a knowledge-based approach become apparent. Examples include games such as chess, checkers, and backgammon where efforts to learn an evaluation method using knowledge of the game are much more successful then methods void of domain knowledge 7 .\n\nIn this paper, we tackle a problem in which a neural network, for example, could be used if training data were available; but in this environment, we assume no training data are available. Our approach constructs an initial knowledge-based model with minimal effort by relating diagnoses to a disease's symptoms and relating those symptoms, in turn, to stages of the disease. The represented knowledge is not from a domain \"expert\" but from simple extractions drawn from common literature and so, these initial mappings may be inconsistent. We therefore calibrate the model by generalizing, specializing and partitioning the initial mappings as needed. Finally, we apply the model to infer genotype for patients.\n\n2 Methods\n\nMaterials needed for this approach are standardized hospital data, general facts about the clinical presentation of the disease, and for a sample of individuals, known features of the clinical phenotype. Following are descriptions of these materials, which are necessary for use with our approach.\n\n\| INDIV1 \| \| AGE1 \| \| DOB1 \| \| SEX1 \| \| ZIP1 \| \| ADMIT1 \| \|\n\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|\n\| \| INDIV2 \| \| AGE2 \| \| DOB2 \| \| SEX2 \| \| ZIP2 \| ADMIT2 \| {DIAGNOSES} \|\n\| \| INDIV2 \| \| AGE2 \| \| DOB2 \| \| SEX2 \| \| ZIP2 \| ADMIT2 \| {DIAGNOSES} \|\n\| \| INDIV2 \| \| AGE2 \| \| DOB2 \| \| SEX2 \| \| ZIP2 \| ADMIT2 \| {DIAGNOSES} \|\n\n2.1. Inference Algorithm Definition\n\nFirst, we consider the collections of inpatient hospital visits. The National Association of Health Data Organizations reported that 44 of 50 states have legislative mandates to gather hospital-level data on each patient visit. As shown in Figure 1, patient demographics, hospital identity, diagnosis codes, and procedure codes are among the attributes stored with each hospital visit. Previous research has demonstrated that publicly available discharge data permits the formation of genetic population subsets. 8\n\nFigure 2. Genotype inference algorithm.\n\nSecond, we consider the current corpora of knowledge about particular diseases. General information about symptoms and clinical presentation of the disease are needed. Such information can be found in articles on MEDLINE, on authoritative web sites devoted to the disease, and in general medical texts. From the study of this information, the symptoms of the disease in question can be defined. Symptoms are defined narrowly enough, so that diagnoses map to a single symptom. With the previous information available, we present an algorithm for knowledge representation and inference in Figure 2. Steps of the algorithm are discussed in the following subsections.\n\n2.2 Manual Mapping of Diagnoses and Symptoms (Step I)\n\nThe simplest model is the direct mapping of each diagnosis to its corresponding disease states. Such a model permits the use of a neural network for parameter estimation for a defined model as depicted in Figure 3a. However, such learning tools require ample training data. Yet, this study uses a small amount of d<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "ata and no training data, and as such, we attempt to use known knowledge about a disease to tune the model by adding an internal layer of nodes.", "role": "assistant" } ]
Broadcasting Decision CRTC 2007-50 Ottawa, 2 February 2007 High Fidelity HDTV Inc., on behalf of a corporation to be incorporated Across Canada Application 2006-0848-2 Public Hearing in the National Capital Region 14 November 2006 Centre Stage HD – Category 2 specialty service In this decision, the Commission approves an application for a broadcasting licence to operate a new Category 2 specialty programming undertaking. The application 1. The Commission received an application by High Fidelity HDTV Inc., on behalf of a corporation to be incorporated (High Fidelity), for a broadcasting licence to operate a national, English-language Category 2 1 high definition (HD) specialty programming undertaking to be known as Centre Stage HD. 2. The applicant proposed to offer a service that would consist of programming featuring classical, opera, jazz, blues, rhythm and blues, folk, soul, world and roots music, as well as other underserved musical niches. The programming would include concerts, festivals, documentaries, interview programs, mini-series, specials and films related to such music. 3. All of the programming would be drawn from the following categories set out in item 6 of Schedule I to the Specialty Services Regulations, 1990: 2(a) Analysis and interpretation; 2(b) Long-form documentary; 5(b) Informal education/Recreation and leisure; 7(c) Specials, mini-series or made-for-TV feature films; 7(d) Theatrical feature films aired on TV; 8(a) Music and dance other than music video programs or clips; 8(b) Music video clips; 8(c) Music video programs; 11 General entertainment and human interest; 12 Interstitials; 13 Public service announcements; and 14 Infomercials, promotional and corporate videos. 4. The applicant proposed that in each year of the licence term, 100% of the programming of Centre Stage HD would be broadcast in HD format. 1 The Category 2 services are defined in Introductory statement – Licensing of new digital pay and specialty services Public Notice CRTC 2000-171, 14 December 2000. , Interventions 5. The Commission received interventions opposing the application by Rogers Cable Communications Inc. (Rogers), MusiquePlus Inc. and CHUM Limited (CHUM), as well as comments by Astral Television Networks (Astral), a division of Astral Broadcasting Group Inc., and the Canadian Independent Record Production Association (CIRPA). Rogers also opposed the six other applications by High Fidelity for national, English-language Category 2 HD services considered in this proceeding. Rogers 3. Rogers, the licensee of cable broadcasting distribution undertakings serving customers in Ontario, New Brunswick, Newfoundland and Labrador, questioned the Commission's policy of including unlaunched Category 2 services in its application of the competitiveness test for assessing requests to add foreign English- and French-language services to its lists of eligible satellite services (the Lists), as set out in Public Notice CRTC 2000-173. 2 Under that policy, the Commission precludes the addition of a foreign service that can be considered either totally or partially competitive with any Canadian specialty or pay television services whose licence applications have been approved by the Commission, including launched and unlaunched Category 2 services. 4. Rogers argued that the approval of all High Fidelity's applications would result in the applicant's occupying a wide range of programming genres. Rogers further contended that High Fidelity could take up to five years to implement these services, thus preventing the addition of any similar non-Canadian programming services to the Lists for that period and depriving Canadians of diversity and choice in digital programming services. Finally, Rogers submitted that the Commission should reconsider its policy framework governing Category 2 services before granting additional licences to High Fidelity. MusiquePlus Inc. 5. MusiquePlus Inc. is the licensee of the national, French-language specialty services MusiquePlus and MusiMax. MusiquePlus Inc. submitted that the applicant's proposed nature of service is imprecise and that it has not established sufficient safeguards to prevent the proposed service from entering into direct competition with existing Canadian specialty services focused on music, such as MusiquePlus, MusiMax, MuchMusic and MuchMoreMusic. MusiquePlus Inc. asked the Commission to deny High Fidelity's application on this basis. 2 Call for proposals to amend the lists of eligible satellite services through the inclusion of additional non-Canadian services eligible for distribution on a digital basis only, Public Notice CRTC 2000-173, 14 December 2000. CHUM 6. CHUM submitted that the applicant's broad nature of service definition and the extensive list of program categories proposed in the application could result, in the absence of any limitations, in Centre Stage HD's becoming directly competitive with one or both of CHUM's existing analog specialty services MuchMusic and Bravo! Like MusiquePlus Inc., CHUM was of the view that High Fidelity has not established sufficient safeguards to prevent such an eventuality. Specifically, CHUM expressed concern over the fact that the application does not define an "underserved musical niche" or how much of Centre Stage HD's programming will be devoted to each musical niche and, in particular, to category 8(b). CHUM also stated that the nature of the proposed service is insufficiently clear for it to determine whether Centre Stage HD will be an arts service that will be directly competitive with Bravo!, a broad-based arts channel featuring performance and drama programming, as well as discussion and documentaries. For these reasons, CHUM asked the Commission to deny High Fidelity's application. Astral 7. Astral operates The Movie Network and MPix, two English-language pay television programming undertakings that provide general interest theatrical movie-based services in eastern Canada. Astral noted that, under the Commission's licensing framework for new specialty and pay services, "the Commission has, in authorizing Category 2 applications, established restrictions on certain proposed services to ensure that they will not be directly competitive with existing pay, specialty and Category 1 digital channels." Astral proposed that Centre Stage HD be subject, by condition of licence, to a 15% limitation on programs from category 7(d). CIRPA 8. CIRPA submitted that there is enough high quality Canadian product available in the genres proposed by the applicant to meet a 30% minimum Canadian content obligation immediately, rather than gradually over a three-year time period as the applicant proposed. CIRPA requested that the Commission impose a condition of licence requiring that a minimum of 30% of the programming be Canadian upon launch of the service. Applicant's response 9. With regard to Rogers' intervention, High Fidelity maintained that the policy issues raised by Rogers are beyond the scope of its application for the proposed Category 2 service. High Fidelity added that Rogers' request should be addressed in the context of the Commission's review of the regulatory framework for discretionary services announced in CRTC 3-Year Work Plan 2006-2009, 28 April 2006 (the 3-Year Work Plan). 10. In response to the views submitted by MusiquePlus Inc. and CHUM to the effect that Centre Stage HD's proposed nature of service description is too broad and that it has not provided enough safeguards to ensure that the service will not be directly competitive with MusiquePlus, MusiMax, MuchMusic, MuchMoreMusic and/or Bravo!, High Fidelity specified that Centre Stage HD will neither be a mainstream music video service based on the telecasting of short music video clips like MusiquePlus, MusiMax, MuchMusic and MuchMoreMusic, nor a broad-based arts channel like Bravo! However, as a safeguard with respect to the former, High Fidelity indicated its willingness to accept a condition of licence requiring that not more than 10% of all programming be drawn from category 8(b). 11. High Fidelity also indicated its willingness to abide by a condition of licence requiring that not more than 15% of all programming be drawn from category 7(d) as proposed by Astral. 12. Finally, in response to CIRPA's request that the Commission impose a 30% Canadian content requirement upon launch of the service, High Fidelity stated that the Commission should not depart from the Commission's current policy with respect to the licensing of Category 2 pay and specialty services, particularly given that Centre Stage HD will not be a music video specialty service. Commission's analysis and determinations 16. While the Commission has noted the concerns raised by Rogers, the Commission finds that these issues are not directly relevant to its consideration of the present application. As announced in the 3-Year Work Plan, the Commission intends to review the framework for discretionary services and is of the view that the matters raised in Rogers' intervention may be more appropriately discussed in that context. 17. With respect to CIRPA's intervention, the Commission notes that as part of the openentry approach to licensing Category 2 services established in Licensing framework policy for new digital pay and specialty services, Public Notice CRTC 2000-6, 13 January 2000, the Commission established basic licensing criteria and programming obligations that apply to all Category 2 undertakings. The Commission sees no reason to depart from these in this case. 18. The Commission notes that the applicant indicated that it would abide by a 10% limitation on programming from category 8(b) and a 15% limitation on programming from category 7(d). The Commission is imposing conditions of licence to that effect, as set out in the appendix to this decision. The Commission is of the view that the abovenoted conditions, combined with the genres of music proposed by the applicant, will ensure that the proposed service is not directly competitive with MusiquePlus, MusiMax, MuchMusic, MuchMoreMusic, The Movie Network and MPix. Further, although music comprises part of Bravo!'s schedule, the Commission finds that the type of programming proposed by the applicant will not be directly competitive with Bravo! given that Bravo!'s genre is more broadly based and includes other arts programming, such as dance, cinema and the visual arts, in addition to music. 19. In light of the above, the Commission is satisfied that the application is in conformity with all applicable terms and conditions announced in Introductory statement – Licensing of new digital pay and specialty services – Corrected Appendix 2, Public Notice CRTC 2000-171-1, 6 March 2001 (Public Notice 2000-171-1). Accordingly, the Commission approves the application by High Fidelity HDTV Inc., on behalf of a corporation to be incorporated, for a broadcasting licence to operate the national, English-language Category 2 high definition specialty programming undertaking Centre Stage HD. 20. The Commission reminds the applicant that if it wishes to enter at any time into an agreement with non-Canadian independent producers regarding the supply of programming or the use of a licence trademark, it must comply at all times with the Direction to the CRTC (Ineligibility of non-Canadians), P.C. 1997-486, 8 April 1997, as amended by P.C. 1998-1268, 15 July 1998 (the Direction). Accordingly, the Commission has imposed a condition of licence, as set out in the appendix to this decision, that requires the licensee to file, for the Commission's prior review, a copy of any programming supply agreement or licence trademark agreement it intends to enter into with a non-Canadian party, in order to ensure that the licensee complies at all times with the Direction. 21. The licence will expire 31 August 2013 and will be subject to the conditions set out in Public Notice 2000-171-1, as well as to the conditions set out in the appendix to this decision. Issuance of the licence 22. A licence will be issued once the applicant has satisfied the Commission, with supporting documentation, that the following requirements have been met: * an eligible Canadian corporation has been incorporated in accordance with the application in all material respects; * the applicant has entered into a distribution agreement with at least one licensed distributor; and * the applicant has informed the Commission in writing that it is prepared to commence operations. The undertaking must be operational at the earliest possible date and in any event no later than 36 months from the date of this decision, unless a request for an extension of time is approved by the Commission before 2 February 2010. In order to ensure that such a request is processed in a timely manner, it should be submitted at least 60 days before that date. Secretary General This decision is to be appended to the licence. It is available in alternative format upon request and may also be examined in PDF format or in HTML at the following Internet site: http://www.crtc.gc.ca Appendix to Broadcasting Decision CRTC 2007-50 Conditions of licence 1. The licence will be subject to the conditions set out in Introductory statement – Licensing of new digital pay and specialty services – Corrected Appendix 2, Public Notice CRTC 2000-171-1, 6 March 2001. 2. The licensee shall provide a national, English-language Category 2 high definition specialty programming service devoted to classical, opera, jazz, blues, rhythm and blues, folk, soul, world and roots music, as well as other underserved musical niches. The programming will include concerts, festivals, documentaries, interview programs, mini-series, specials and films related to such music. 3. The programming shall be drawn exclusively from the following categories set out in item 6 of Schedule I to the Specialty Services Regulations, 1990, as amended from time to time: 2 (a) Analysis and interpretation (b) Long-form documentary 5 (b) Informal education/Recreation and leisure 7 (c) Specials, mini-series or made-for-TV feature films (d) Theatrical feature films aired on TV 8 (a) Music and dance other than music video programs or clips (b) Music video clips (c) Music video programs 11 General entertainment and human interest 12 Interstitials 13 Public service announcements 14 Infomercials, promotional and corporate videos 4. No more than 15% of all programming broadcast during the broadcast week shall be drawn from category 7(d). 5. No more than 10% of all programming broadcast during the broadcast week shall be drawn from category 8(b). 6. In order to ensure that the licensee complies at all times with the Direction to the CRTC (Ineligibility of non-Canadians), P.C. 1997-486, 8 April 1997, as amended by P.C. 1998-1268, 15 July 1998, the licensee shall file, for the Commission's prior review, a copy of any programming supply agreement and/or licence trademark agreement it intends to enter into with a non-Canadian party. For the purposes of the conditions of this licence, including condition of licence no. 1, broadcast day refers to the 24-hour period beginning each day at 6 a.m., or any other period approved by the Commission. ii	<urn:uuid:b51ae257-6e38-47ba-9aa2-d8c3e1ec44ca>	CC-MAIN-2019-39	https://crtc.gc.ca/eng/archive/2007/db2007-50.pdf	2019-09-20T21:26:44Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-39/segments/1568514574077.39/warc/CC-MAIN-20190920200607-20190920222607-00044.warc.gz	435,423,798	3,142	eng_Latn	eng_Latn	0.987742	eng_Latn	0.99067	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown" ]	false	rolmOCR	[ 2039, 4692, 8680, 12044, 12910, 13133, 15271, 15275 ]	Broadcasting Decision CRTC 2007-50 Ottawa, 2 February 2007 High Fidelity HDTV Inc	.	, on behalf of a corporation to be incorporated Across Canada Application 2006-0848-2 Public Hearing in the National Capital Region 14 November 2006 Centre Stage HD – Category 2 specialty service In this decision, the Commission approves an application for a broadcasting licence to operate a new Category 2 specialty programming undertaking. The application 1. The Commission received an application by High Fidelity HDTV Inc., on behalf of a corporation to be incorporated (High Fidelity), for a broadcasting licence to operate a national, English-language Category 2 1 high definition (HD) specialty programming undertaking to be known as Centre Stage HD. 2. The applicant proposed to offer a service that would consist of programming featuring classical, opera, jazz, blues, rhythm and blues, folk, soul, world and roots music, as well as other underserved musical niches. The programming would include concerts, festivals, documentaries, interview programs, mini-series, specials and films related to such music. 3. All of the programming would be drawn from the following categories set out in item 6 of Schedule I to the Specialty Services Regulations, 1990: 2(a) Analysis and interpretation; 2(b) Long-form documentary; 5(b) Informal education/Recreation and leisure; 7(c) Specials, mini-series or made-for-TV feature films; 7(d) Theatrical feature films aired on TV; 8(a) Music and dance other than music video programs or clips; 8(b) Music video clips; 8(c) Music video programs; 11 General entertainment and human interest; 12 Interstitials; 13 Public service announcements; and 14 Infomercials, promotional and corporate videos. 4. The applicant proposed that in each year of the licence term, 100% of the programming of Centre Stage HD would be broadcast in HD format. 1 The Category 2 services are defined in Introductory statement – Licensing of new digital pay and specialty services Public Notice CRTC 2000-171, 14 December 2000. , Interventions 5. The Commission received interventions opposing the application by Rogers Cable Communications Inc. (Rogers), MusiquePlus Inc. and CHUM Limited (CHUM), as well as comments by Astral Television Networks (Astral), a division of Astral Broadcasting Group Inc., and the Canadian Independent Record Production Association (CIRPA). Rogers also opposed the six other applications by High Fidelity for national, English-language Category 2 HD services considered in this proceeding. Rogers 3. Rogers, the licensee of cable broadcasting distribution undertakings serving customers in Ontario, New Brunswick, Newfoundland and Labrador, questioned the Commission's policy of including unlaunched Category 2 services in its application of the competitiveness test for assessing requests to add foreign English- and French-language services to its lists of eligible satellite services (the Lists), as set out in Public Notice CRTC 2000-173. 2 Under that policy, the Commission precludes the addition of a foreign service that can be considered either totally or partially competitive with any Canadian specialty or pay television services whose licence applications have been approved by the Commission, including launched and unlaunched Category 2 services. 4. Rogers argued that the approval of all High Fidelity's applications would result in the applicant's occupying a wide range of programming genres. Rogers further contended that High Fidelity could take up to five years to implement these services, thus preventing the addition of any similar non-Canadian programming services to the Lists for that period and depriving Canadians of diversity and choice in digital programming services. Finally, Rogers submitted that the Commission should reconsider its policy framework governing Category 2 services before granting additional licences to High Fidelity. MusiquePlus Inc. 5. MusiquePlus Inc. is the licensee of the national, French-language specialty services MusiquePlus and MusiMax. MusiquePlus Inc. submitted that the applicant's proposed nature of service is imprecise and that it has not established sufficient safeguards to prevent the proposed service from entering into direct competition with existing Canadian specialty services focused on music, such as MusiquePlus, MusiMax, MuchMusic and MuchMoreMusic. MusiquePlus Inc. asked the Commission to deny High Fidelity's application on this basis. 2 Call for proposals to amend the lists of eligible satellite services through the inclusion of additional non-Canadian services eligible for distribution on a digital basis only, Public Notice CRTC 2000-173, 14 December 2000. CHUM 6. CHUM submitted that the applicant's broad nature of service definition and the extensive list of program categories proposed in the application could result, in the absence of any limitations, in Centre Stage HD's becoming directly competitive with one or both of CHUM's existing analog specialty services MuchMusic and Bravo! Like MusiquePlus Inc., CHUM was of the view that High Fidelity has not established sufficient safeguards to prevent such an eventuality. Specifically, CHUM expressed concern over the fact that the application does not define an "underserved musical niche" or how much of Centre Stage HD's programming will be devoted to each musical niche and, in particular, to category 8(b). CHUM also stated that the nature of the proposed service is insufficiently clear for it to determine whether Centre Stage HD will be an arts service that will be directly competitive with Bravo!, a broad-based arts channel featuring performance and drama programming, as well as discussion and documentaries. For these reasons, CHUM asked the Commission to deny High Fidelity's application. Astral 7. Astral operates The Movie Network and MPix, two English-language pay television programming undertakings that provide general interest theatrical movie-based services in eastern Canada. Astral noted that, under the Commission's licensing framework for new specialty and pay services, "the Commission has, in authorizing Category 2 applications, established restrictions on certain proposed services to ensure that they will not be directly competitive with existing pay, specialty and Category 1 digital channels." Astral proposed that Centre Stage HD be subject, by condition of licence, to a 15% limitation on programs from category 7(d). CIRPA 8. CIRPA submitted that there is enough high quality Canadian product available in the genres proposed by the applicant to meet a 30% minimum Canadian content obligation immediately, rather than gradually over a three-year time period as the applicant proposed. CIRPA requested that the Commission impose a condition of licence requiring that a minimum of 30% of the programming be Canadian upon launch of the service. Applicant's response 9. With regard to Rogers' intervention, High Fidelity maintained that the policy issues raised by Rogers are beyond the scope of its application for the proposed Category 2 service. High Fidelity added that Rogers' request should be addressed in the context of the Commission's review of the regulatory framework for discretionary services announced in CRTC 3-Year Work Plan 2006-2009, 28 April 2006 (the 3-Year Work Plan). 10. In response to the views submitted by MusiquePlus Inc. and CHUM to the effect that Centre Stage HD's proposed nature of service description is too broad and that it has not provided enough safeguards to ensure that the service will not be directly competitive with MusiquePlus, MusiMax, MuchMusic, MuchMoreMusic and/or Bravo!, High Fidelity specified that Centre Stage HD will neither be a mainstream music video service based on the telecasting of short music video clips like MusiquePlus, MusiMax, MuchMusic and MuchMoreMusic, nor a broad-based arts channel like Bravo! However, as a safeguard with respect to the former, High Fidelity indicated its willingness to accept a condition of licence requiring that not more than 10% of all programming be drawn from category 8(b). 11. High Fidelity also indicated its willingness to abide by a condition of licence requiring that not more than 15% of all programming be drawn from category 7(d) as proposed by Astral. 12. Finally, in response to CIRPA's request that the Commission impose a 30% Canadian content requirement upon launch of the service, High Fidelity stated that the Commission should not depart from the Commission's current policy with respect to the licensing of Category 2 pay and specialty services, particularly given that Centre Stage HD will not be a music video specialty service. Commission's analysis and determinations 16. While the Commission has noted the concerns raised by Rogers, the Commission finds that these issues are not directly relevant to its consideration of the present application. As announced in the 3-Year Work Plan, the Commission intends to review the framework for discretionary services and is of the view that the matters raised in Rogers' intervention may be more appropriately discussed in that context. 17. With respect to CIRPA's intervention, the Commission notes that as part of the openentry approach to licensing Category 2 services established in Licensing framework policy for new digital pay and specialty services, Public Notice CRTC 2000-6, 13 January 2000, the Commission established basic licensing criteria and programming obligations that apply to all Category 2 undertakings. The Commission sees no reason to depart from these in this case. 18. The Commission notes that the applicant indicated that it would abide by a 10% limitation on programming from category 8(b) and a 15% limitation on programming from category 7(d). The Commission is imposing conditions of licence to that effect, as set out in the appendix to this decision. The Commission is of the view that the abovenoted conditions, combined with the genres of music proposed by the applicant, will ensure that the proposed service is not directly competitive with MusiquePlus, MusiMax, MuchMusic, MuchMoreMusic, The Movie Network and MPix. Further, although music comprises part of Bravo!'s schedule, the Commission finds that the type of programming proposed by the applicant will not be directly competitive with Bravo! given that Bravo!'s genre is more broadly based and includes other arts programming, such as dance, cinema and the visual arts, in addition to music. 19. In light of the above, the Commission is satisfied that the application is in conformity with all applicable terms and conditions announced in Introductory statement – Licensing of new digital pay and specialty services – Corrected Appendix 2, Public Notice CRTC 2000-171-1, 6 March 2001 (Public Notice 2000-171-1). Accordingly, the Commission approves the application by High Fidelity HDTV Inc., on behalf of a corporation to be incorporated, for a broadcasting licence to operate the national, English-language Category 2 high definition specialty programming undertaking Centre Stage HD. 20. The Commission reminds the applicant that if it wishes to enter at any time into an agreement with non-Canadian independent producers regarding the supply of programming or the use of a licence trademark, it must comply at all times with the Direction to the CRTC (Ineligibility of non-Canadians), P.C. 1997-486, 8 April 1997, as amended by P.C. 1998-1268, 15 July 1998 (the Direction). Accordingly, the Commission has imposed a condition of licence, as set out in the appendix to this decision, that requires the licensee to file, for the Commission's prior review, a copy of any programming supply agreement or licence trademark agreement it intends to enter into with a non-Canadian party, in order to ensure that the licensee complies at all times with the Direction. 21. The licence will expire 31 August 2013 and will be subject to the conditions set out in Public Notice 2000-171-1, as well as to the conditions set out in the appendix to this decision. Issuance of the licence 22. A licence will be issued once the applicant has satisfied the Commission, with supporting documentation, that the following requirements have been met: * an eligible Canadian corporation has been incorporated in accordance with the application in all material respects; * the applicant has entered into a distribution agreement with at least one licensed distributor; and * the applicant has informed the Commission in writing that it is prepared to commence operations. The undertaking must be operational at the earliest possible date and in any event no later than 36 months from the date of this decision, unless a request for an extension of time is approved by the Commission before 2 February 2010. In order to ensure that such a request is processed in a timely manner, it should be submitted at least 60 days before that date. Secretary General This decision is to be appended to the licence. It is available in alternative format upon request and may also be examined in PDF format or in HTML at the following Internet site: http://www.crtc.gc.ca Appendix to Broadcasting Decision CRTC 2007-50 Conditions of licence 1. The licence will be subject to the conditions set out in Introductory statement – Licensing of new digital pay and specialty services – Corrected Appendix 2, Public Notice CRTC 2000-171-1, 6 March 2001. 2. The licensee shall provide a national, English-language Category 2 high definition specialty programming service devoted to classical, opera, jazz, blues, rhythm and blues, folk, soul, world and roots music, as well as other underserved musical niches. The programming will include concerts, festivals, documentaries, interview programs, mini-series, specials and films related to such music. 3. The programming shall be drawn exclusively from the following categories set out in item 6 of Schedule I to the Specialty Services Regulations, 1990, as amended from time to time: 2 (a) Analysis and interpretation (b) Long-form documentary 5 (b) Informal education/Recreation and leisure 7 (c) Specials, mini-series or made-for-TV feature films (d) Theatrical feature films aired on TV 8 (a) Music and dance other than music video programs or clips (b) Music video clips (c) Music video programs 11 General entertainment and human interest 12 Interstitials 13 Public service announcements 14 Infomercials, promotional and corporate videos 4. No more than 15% of all programming broadcast during the broadcast week shall be drawn from category 7(d). 5. No more than 10% of all programming broadcast during the broadcast week shall be drawn from category 8(b). 6. In order to ensure that the licensee complies at all times with the Direction to the CRTC (Ineligibility of non-Canadians), P.C. 1997-486, 8 April 1997, as amended by P.C. 1998-1268, 15 July 1998, the licensee shall file, for the Commission's prior review, a copy of any programming supply agreement and/or licence trademark agreement it intends to enter into with a non-Canadian party. For the purposes of the conditions of this licence, including condition of licence no. 1, broadcast day refers to the 24-hour period beginning each day at 6 a.m., or any other period approved by the Commission. ii	83	inside_word	Inc.,	remove_one_sentence	<url> https://crtc.gc.ca/eng/archive/2007/db2007-50.pdf </url> <text> Broadcasting Decision CRTC 2007-50 Ottawa, 2 February 2007 High Fidelity HDTV Inc<cursor_is_here>, on behalf of a corporation to be incorporated Across Canada Application 2006-0848-2 Public Hearing in the National Capital Region 14 November 2006 Centre Stage HD – Category 2 specialty service In this decision, the Commission approves an application for a broadcasting licence to operate a new Category 2 specialty programming undertaking. The application 1. The Commission received an application by High Fidelity HDTV Inc., on behalf of a corporation to be incorporated (High Fidelity), for a broadcasting licence to operate a national, English-language Category 2 1 high definition (HD) specialty programming undertaking to be known as Centre Stage HD. 2. The applicant proposed to offer a service that would consist of programming featuring classical, opera, jazz, blues, rhythm and blues, folk, soul, world and roots music, as well as other underserved musical niches. The programming would include concerts, festivals, documentaries, interview programs, mini-series, specials and films related to such music. 3. All of the programming would be drawn from the following categories set out in item 6 of Schedule I to the Specialty Services Regulations, 1990: 2(a) Analysis and interpretation; 2(b) Long-form documentary; 5(b) Informal education/Recreation and leisure; 7(c) Specials, mini-series or made-for-TV feature films; 7(d) Theatrical feature films aired on TV; 8(a) Music and dance other than music video programs or clips; 8(b) Music video clips; 8(c) Music video programs; 11 General entertainment and human interest; 12 Interstitials; 13 Public service announcements; and 14 Infomercials, promotional and corporate videos. 4. The applicant proposed that in each year of the licence term, 100% of the programming of Centre Stage HD would be broadcast in HD format. 1 The Category 2 services are defined in Introductory statement – Licensing of new digital pay and specialty services Public Notice CRTC 2000-171, 14 December 2000. , Interventions 5. The Commission received interventions opposing the application by Rogers Cable Communications Inc. (Rogers), MusiquePlus Inc. and CHUM Limited (CHUM), as well as comments by Astral Television Networks (Astral), a division of Astral Broadcasting Group Inc., and the Canadian Independent Record Production Association (CIRPA). Rogers also opposed the six other applications by High Fidelity for national, English-language Category 2 HD services considered in this proceeding. Rogers 3. Rogers, the licensee of cable broadcasting distribution undertakings serving customers in Ontario, New Brunswick, Newfoundland and Labrador, questioned the Commission's policy of including unlaunched Category 2 services in its application of the competitiveness test for assessing requests to add foreign English- and French-language services to its lists of eligible satellite services (the Lists), as set out in Public Notice CRTC 2000-173. 2 Under that policy, the Commission precludes the addition of a foreign service that can be considered either totally or partially competitive with any Canadian specialty or pay television services whose licence applications have been approved by the Commission, including launched and unlaunched Category 2 services. 4. Rogers argued that the approval of all High Fidelity's applications would result in the applicant's occupying a wide range of programming genres. Rogers further contended that High Fidelity could take up to five years to implement these services, thus preventing the addition of any similar non-Canadian programming services to the Lists for that period and depriving Canadians of diversity and choice in digital programming services. Finally, Rogers submitted that the Commission should reconsider its policy framework governing Category 2 services before granting additional licences to High Fidelity. MusiquePlus Inc. 5. MusiquePlus Inc. is the licensee of the national, French-language specialty services MusiquePlus and MusiMax. MusiquePlus Inc. submitted that the applicant's proposed nature of service is imprecise and that it has not established sufficient safeguards to prevent the proposed service from entering into direct competition with existing Canadian specialty services focused on music, such as MusiquePlus, MusiMax, MuchMusic and MuchMoreMusic. MusiquePlus Inc. asked the Commission to deny High Fidelity's application on this basis. 2 Call for proposals to amend the lists of eligible satellite services through the inclusion of additional non-Canadian services eligible for distribution on a digital basis only, Public Notice CRTC 2000-173, 14 December 2000. CHUM 6. CHUM submitted that the applicant's broad nature of service definition and the extensive list of program categories proposed in the application could result, in the absence of any limitations, in Centre Stage HD's becoming directly competitive with one or both of CHUM's existing analog specialty services MuchMusic and Bravo! Like MusiquePlus Inc., CHUM was of the view that High Fidelity has not established sufficient safeguards to prevent such an eventuality. Specifically, CHUM expressed concern over the fact that the application does not define an "underserved musical niche" or how much of Centre Stage HD's programming will be devoted to each musical niche and, in particular, to category 8(b). CHUM also stated that the nature of the proposed service is insufficiently clear for it to determine whether Centre Stage HD will be an arts service that will be directly competitive with Bravo!, a broad-based arts channel featuring performance and drama programming, as well as discussion and documentaries. For these reasons, CHUM asked the Commission to deny High Fidelity's application. Astral 7. Astral operates The Movie Network and MPix, two English-language pay television programming undertakings that provide general interest theatrical movie-based services in eastern Canada. Astral noted that, under the Commission's licensing framework for new specialty and pay services, "the Commission has, in authorizing Category 2 applications, established restrictions on certain proposed services to ensure that they will not be directly competitive with existing pay, specialty and Category 1 digital channels." Astral proposed that Centre Stage HD be subject, by condition of licence, to a 15% limitation on programs from category 7(d). CIRPA 8. CIRPA submitted that there is enough high quality Canadian product available in the genres proposed by the applicant to meet a 30% minimum Canadian content obligation immediately, rather than gradually over a three-year time period as the applicant proposed. CIRPA requested that the Commission impose a condition of licence requiring that a minimum of 30% of the programming be Canadian upon launch of the service. Applicant's response 9. With regard to Rogers' intervention, High Fidelity maintained that the policy issues raised by Rogers are beyond the scope of its application for the proposed Category 2 service. High Fidelity added that Rogers' request should be addressed in the context of the Commission's review of the regulatory framework for discretionary services announced in CRTC 3-Year Work Plan 2006-2009, 28 April 2006 (the 3-Year Work Plan). 10. In response to the views submitted by MusiquePlus Inc. and CHUM to the effect that Centre Stage HD's proposed nature of service description is too broad and that it has not provided enough safeguards to ensure that the service will not be directly competitive with MusiquePlus, MusiMax, MuchMusic, MuchMoreMusic and/or Bravo!, High Fidelity specified that Centre Stage HD will neither be a mainstream music video service based on the telecasting of short music video clips like MusiquePlus, MusiMax, MuchMusic and MuchMoreMusic, nor a broad-based arts channel like Bravo! However, as a safeguard with respect to the former, High Fidelity indicated its willingness to accept a condition of licence requiring that not more than 10% of all programming be drawn from category 8(b). 11. High Fidelity also indicated its willingness to abide by a condition of licence requiring that not more than 15% of all programming be drawn from category 7(d) as proposed by Astral. 12. Finally, in response to CIRPA's request that the Commission impose a 30% Canadian content requirement upon launch of the service, High Fidelity stated that the Commission should not depart from the Commission's current policy with respect to the licensing of Category 2 pay and specialty services, particularly given that Centre Stage HD will not be a music video specialty service. Commission's analysis and determinations 16. While the Commission has noted the concerns raised by Rogers, the Commission finds that these issues are not directly relevant to its consideration of the present application. As announced in the 3-Year Work Plan, the Commission intends to review the framework for discretionary services and is of the view that the matters raised in Rogers' intervention may be more appropriately discussed in that context. 17. With respect to CIRPA's intervention, the Commission notes that as part of the openentry approach to licensing Category 2 services established in Licensing framework policy for new digital pay and specialty services, Public Notice CRTC 2000-6, 13 January 2000, the Commission established basic licensing criteria and programming obligations that apply to all Category 2 undertakings. The Commission sees no reason to depart from these in this case. 18. The Commission notes that the applicant indicated that it would abide by a 10% limitation on programming from category 8(b) and a 15% limitation on programming from category 7(d). The Commission is imposing conditions of licence to that effect, as set out in the appendix to this decision. The Commission is of the view that the abovenoted conditions, combined with the genres of music proposed by the applicant, will ensure that the proposed service is not directly competitive with MusiquePlus, MusiMax, MuchMusic, MuchMoreMusic, The Movie Network and MPix. Further, although music comprises part of Bravo!'s schedule, the Commission finds that the type of programming proposed by the applicant will not be directly competitive with Bravo! given that Bravo!'s genre is more broadly based and includes other arts programming, such as dance, cinema and the visual arts, in addition to music. 19. In light of the above, the Commission is satisfied that the application is in conformity with all applicable terms and conditions announced in Introductory statement – Licensing of new digital pay and specialty services – Corrected Appendix 2, Public Notice CRTC 2000-171-1, 6 March 2001 (Public Notice 2000-171-1). Accordingly, the Commission approves the application by High Fidelity HDTV Inc., on behalf of a corporation to be incorporated, for a broadcasting licence to operate the national, English-language Category 2 high definition specialty programming undertaking Centre Stage HD. 20. The Commission reminds the applicant that if it wishes to enter at any time into an agreement with non-Canadian independent producers regarding the supply of programming or the use of a licence trademark, it must comply at all times with the Direction to the CRTC (Ineligibility of non-Canadians), P.C. 1997-486, 8 April 1997, as amended by P.C. 1998-1268, 15 July 1998 (the Direction). Accordingly, the Commission has imposed a condition of licence, as set out in the appendix to this decision, that requires the licensee to file, for the Commission's prior review, a copy of any programming supply agreement or licence trademark agreement it intends to enter into with a non-Canadian party, in order to ensure that the licensee complies at all times with the Direction. 21. The licence will expire 31 August 2013 and will be subject to the conditions set out in Public Notice 2000-171-1, as well as to the conditions set out in the appendix to this decision. Issuance of the licence 22. A licence will be issued once the applicant has satisfied the Commission, with supporting documentation, that the following requirements have been met: * an eligible Canadian corporation has been incorporated in accordance with the application in all material respects; * the applicant has entered into a distribution agreement with at least one licensed distributor; and * the applicant has informed the Commission in writing that it is prepared to commence operations. The undertaking must be operational at the earliest possible date and in any event no later than 36 months from the date of this decision, unless a request for an extension of time is approved by the Commission before 2 February 2010. In order to ensure that such a request is processed in a timely manner, it should be submitted at least 60 days before that date. Secretary General This decision is to be appended to the licence. It is available in alternative format upon request and may also be examined in PDF format or in HTML at the following Internet site: http://www.crtc.gc.ca Appendix to Broadcasting Decision CRTC 2007-50 Conditions of licence 1. The licence will be subject to the conditions set out in Introductory statement – Licensing of new digital pay and specialty services – Corrected Appendix 2, Public Notice CRTC 2000-171-1, 6 March 2001. 2. The licensee shall provide a national, English-language Category 2 high definition specialty programming service devoted to classical, opera, jazz, blues, rhythm and blues, folk, soul, world and roots music, as well as other underserved musical niches. The programming will include concerts, festivals, documentaries, interview programs, mini-series, specials and films related to such music. 3. The programming shall be drawn exclusively from the following categories set out in item 6 of Schedule I to the Specialty Services Regulations, 1990, as amended from time to time: 2 (a) Analysis and interpretation (b) Long-form documentary 5 (b) Informal education/Recreation and leisure 7 (c) Specials, mini-series or made-for-TV feature films (d) Theatrical feature films aired on TV 8 (a) Music and dance other than music video programs or clips (b) Music video clips (c) Music video programs 11 General entertainment and human interest 12 Interstitials 13 Public service announcements 14 Infomercials, promotional and corporate videos 4. No more than 15% of all programming broadcast during the broadcast week shall be drawn from category 7(d). 5. No more than 10% of all programming broadcast during the broadcast week shall be drawn from category 8(b). 6. In order to ensure that the licensee complies at all times with the Direction to the CRTC (Ineligibility of non-Canadians), P.C. 1997-486, 8 April 1997, as amended by P.C. 1998-1268, 15 July 1998, the licensee shall file, for the Commission's prior review, a copy of any programming supply agreement and/or licence trademark agreement it intends to enter into with a non-Canadian party. For the purposes of the conditions of this licence, including condition of licence no. 1, broadcast day refers to the 24-hour period beginning each day at 6 a.m., or any other period approved by the Commission. ii </text>	[ { "content": "<url>\nhttps://crtc.gc.ca/eng/archive/2007/db2007-50.pdf\n</url>\n<text>\nBroadcasting Decision CRTC 2007-50\n\nOttawa, 2 February 2007\n\nHigh Fidelity HDTV Inc<cursor_is_here>, on behalf of a corporation to be incorporated Across Canada\n\nApplication 2006-0848-2 Public Hearing in the National Capital Region 14 November 2006\n\nCentre Stage HD – Category 2 specialty service\n\nIn this decision, the Commission approves an application for a broadcasting licence to operate a new Category 2 specialty programming undertaking.\n\nThe application\n\n1. The Commission received an application by High Fidelity HDTV Inc., on behalf of a corporation to be incorporated (High Fidelity), for a broadcasting licence to operate a national, English-language Category 2 1 high definition (HD) specialty programming undertaking to be known as Centre Stage HD.\n2. The applicant proposed to offer a service that would consist of programming featuring classical, opera, jazz, blues, rhythm and blues, folk, soul, world and roots music, as well as other underserved musical niches. The programming would include concerts, festivals, documentaries, interview programs, mini-series, specials and films related to such music.\n3. All of the programming would be drawn from the following categories set out in item 6 of Schedule I to the Specialty Services Regulations, 1990: 2(a) Analysis and interpretation; 2(b) Long-form documentary; 5(b) Informal education/Recreation and leisure; 7(c) Specials, mini-series or made-for-TV feature films; 7(d) Theatrical feature films aired on TV; 8(a) Music and dance other than music video programs or clips; 8(b) Music video clips; 8(c) Music video programs; 11 General entertainment and human interest; 12 Interstitials; 13 Public service announcements; and 14 Infomercials, promotional and corporate videos.\n4. The applicant proposed that in each year of the licence term, 100% of the programming of Centre Stage HD would be broadcast in HD format.\n\n1 The Category 2 services are defined in Introductory statement – Licensing of new digital pay and specialty services Public Notice CRTC 2000-171, 14 December 2000.\n\n,\n\nInterventions\n\n5. The Commission received interventions opposing the application by Rogers Cable Communications Inc. (Rogers), MusiquePlus Inc. and CHUM Limited (CHUM), as well as comments by Astral Television Networks (Astral), a division of Astral Broadcasting Group Inc., and the Canadian Independent Record Production Association (CIRPA). Rogers also opposed the six other applications by High Fidelity for national, English-language Category 2 HD services considered in this proceeding.\n\nRogers\n\n3. Rogers, the licensee of cable broadcasting distribution undertakings serving customers in Ontario, New Brunswick, Newfoundland and Labrador, questioned the Commission's policy of including unlaunched Category 2 services in its application of the competitiveness test for assessing requests to add foreign English- and French-language services to its lists of eligible satellite services (the Lists), as set out in Public Notice CRTC 2000-173. 2 Under that policy, the Commission precludes the addition of a foreign service that can be considered either totally or partially competitive with any Canadian specialty or pay television services whose licence applications have been approved by the Commission, including launched and unlaunched Category 2 services.\n4. Rogers argued that the approval of all High Fidelity's applications would result in the applicant's occupying a wide range of programming genres. Rogers further contended that High Fidelity could take up to five years to implement these services, thus preventing the addition of any similar non-Canadian programming services to the Lists for that period and depriving Canadians of diversity and choice in digital programming services. Finally, Rogers submitted that the Commission should reconsider its policy framework governing Category 2 services before granting additional licences to High Fidelity.\n\nMusiquePlus Inc.\n\n5. MusiquePlus Inc. is the licensee of the national, French-language specialty services MusiquePlus and MusiMax. MusiquePlus Inc. submitted that the applicant's proposed nature of service is imprecise and that it has not established sufficient safeguards to prevent the proposed service from entering into direct competition with existing Canadian specialty services focused on music, such as MusiquePlus, MusiMax, MuchMusic and MuchMoreMusic. MusiquePlus Inc. asked the Commission to deny High Fidelity's application on this basis.\n\n2 Call for proposals to amend the lists of eligible satellite services through the inclusion of additional non-Canadian services eligible for distribution on a digital basis only, Public Notice CRTC 2000-173, 14 December 2000.\n\nCHUM\n\n6. CHUM submitted that the applicant's broad nature of service definition and the extensive list of program categories proposed in the application could result, in the absence of any limitations, in Centre Stage HD's becoming directly competitive with one or both of CHUM's existing analog specialty services MuchMusic and Bravo! Like MusiquePlus Inc., CHUM was of the view that High Fidelity has not established sufficient safeguards to prevent such an eventuality. Specifically, CHUM expressed concern over the fact that the application does not define an \"underserved musical niche\" or how much of Centre Stage HD's programming will be devoted to each musical niche and, in particular, to category 8(b). CHUM also stated that the nature of the proposed service is insufficiently clear for it to determine whether Centre Stage HD will be an arts service that will be directly competitive with Bravo!, a broad-based arts channel featuring performance and drama programming, as well as discussion and documentaries. For these reasons, CHUM asked the Commission to deny High Fidelity's application.\n\nAstral\n\n7. Astral operates The Movie Network and MPix, two English-language pay television programming undertakings that provide general interest theatrical movie-based services in eastern Canada. Astral noted that, under the Commission's licensing framework for new specialty and pay services, \"the Commission has, in authorizing Category 2 applications, established restrictions on certain proposed services to ensure that they will not be directly competitive with existing pay, specialty and Category 1 digital channels.\" Astral proposed that Centre Stage HD be subject, by condition of licence, to a 15% limitation on programs from category 7(d).\n\nCIRPA\n\n8. CIRPA submitted that there is enough high quality Canadian product available in the genres proposed by the applicant to meet a 30% minimum Canadian content obligation immediately, rather than gradually over a three-year time period as the applicant proposed. CIRPA requested that the Commission impose a condition of licence requiring that a minimum of 30% of the programming be Canadian upon launch of the service.\n\nApplicant's response\n\n9. With regard to Rogers' intervention, High Fidelity maintained that the policy issues raised by Rogers are beyond the scope of its application for the proposed Category 2 service. High Fidelity added that Rogers' request should be addressed in the context of the Commission's review of the regulatory framework for discretionary services announced in CRTC 3-Year Work Plan 2006-2009, 28 April 2006 (the 3-Year Work Plan).\n10. In response to the views submitted by MusiquePlus Inc. and CHUM to the effect that Centre Stage HD's proposed nature of service description is too broad and that it has not provided enough safeguards to ensure that the service will not be directly competitive with MusiquePlus, MusiMax, MuchMusic, MuchMoreMusic and/or Bravo!, High Fidelity specified that Centre Stage HD will neither be a mainstream music video service based on the telecasting of short music video clips like MusiquePlus, MusiMax, MuchMusic and MuchMoreMusic, nor a broad-based arts channel like Bravo! However, as a safeguard with respect to the former, High Fidelity indicated its willingness to accept a condition of licence requiring that not more than 10% of all programming be drawn from category 8(b).\n11. High Fidelity also indicated its willingness to abide by a condition of licence requiring that not more than 15% of all programming be drawn from category 7(d) as proposed by\nAstral.\n12. Finally, in response to CIRPA's request that the Commission impose a 30% Canadian content requirement upon launch of the service, High Fidelity stated that the Commission should not depart from the Commission's current policy with respect to the licensing of Category 2 pay and specialty services, particularly given that Centre Stage HD will not be a music video specialty service.\n\nCommission's analysis and determinations\n\n16. While the Commission has noted the concerns raised by Rogers, the Commission finds that these issues are not directly relevant to its consideration of the present application. As announced in the 3-Year Work Plan, the Commission intends to review the framework for discretionary services and is of the view that the matters raised in Rogers' intervention may be more appropriately discussed in that context.\n17. With respect to CIRPA's intervention, the Commission notes that as part of the openentry approach to licensing Category 2 services established in Licensing framework policy for new digital pay and specialty services, Public Notice CRTC 2000-6, 13 January 2000, the Commission established basic licensing criteria and programming obligations that apply to all Category 2 undertakings. The Commission sees no reason to depart from these in this case.\n18. The Commission notes that the applicant indicated that it would abide by a 10% limitation on programming from category 8(b) and a 15% limitation on programming from category 7(d). The Commission is imposing conditions of licence to that effect, as set out in the appendix to this decision. The Commission is of the view that the abovenoted conditions, combined with the genres of music proposed by the applicant, will ensure that the proposed service is not directly competitive with MusiquePlus, MusiMax,\nMuchMusic, MuchMoreMusic, The Movie Network and MPix. Further, although music comprises part of Bravo!'s schedule, the Commission finds that the type of programming proposed by the applicant will not be directly competitive with Bravo! given that Bravo!'s genre is more broadly based and includes other arts programming, such as dance, cinema and the visual arts, in addition to music.\n19. In light of the above, the Commission is satisfied that the application is in conformity with all applicable terms and conditions announced in Introductory statement – Licensing of new digital pay and specialty services – Corrected Appendix 2, Public Notice CRTC 2000-171-1, 6 March 2001 (Public Notice 2000-171-1). Accordingly, the Commission approves the application by High Fidelity HDTV Inc., on behalf of a corporation to be incorporated, for a broadcasting licence to operate the national, English-language Category 2 high definition specialty programming undertaking Centre Stage HD.\n20. The Commission reminds the applicant that if it wishes to enter at any time into an agreement with non-Canadian independent producers regarding the supply of programming or the use of a licence trademark, it must comply at all times with the Direction to the CRTC (Ineligibility of non-Canadians), P.C. 1997-486, 8 April 1997, as amended by P.C. 1998-1268, 15 July 1998 (the Direction). Accordingly, the Commission has imposed a condition of licence, as set out in the appendix to this decision, that requires the licensee to file, for the Commission's prior review, a copy of any programming supply agreement or licence trademark agreement it intends to enter into with a non-Canadian party, in order to ensure that the licensee complies at all times with the Direction.\n21. The licence will expire 31 August 2013 and will be subject to the conditions set out in Public Notice 2000-171-1, as well as to the conditions set out in the appendix to this decision.\n\nIssuance of the licence\n\n22. A licence will be issued once the applicant has satisfied the Commission, with supporting documentation, that the following requirements have been met:\n* an eligible Canadian corporation has been incorporated in accordance with the application in all material respects;\n* the applicant has entered into a distribution agreement with at least one licensed distributor; and\n* the applicant has informed the Commission in writing that it is prepared to commence operations. The undertaking must be operational at the earliest possible date and in any event no later than 36 months from the date of this decision, unless a request for an extension of time is approved by the Commission before 2 February 2010. In order to ensure that such a request is processed in a timely manner, it should be submitted at least 60 days before that date.\n\nSecretary General\n\nThis decision is to be appended to the licence. It is available in alternative format upon request and may also be examined in PDF format or in HTML at the following Internet site: http://www.crtc.gc.ca\n\nAppendix to Broadcasting Decision CRTC 2007-50\n\nConditions of licence\n\n1. The licence will be subject to the conditions set out in Introductory statement – Licensing of new digital pay and specialty services – Corrected Appendix 2, Public Notice CRTC 2000-171-1, 6 March 2001.\n2. The licensee shall provide a national, English-language Category 2 high definition specialty programming service devoted to classical, opera, jazz, blues, rhythm and blues, folk, soul, world and roots music, as well as other underserved musical niches. The programming will include concerts, festivals, documentaries, interview programs, mini-series, specials and films related to such music.\n3. The programming shall be drawn exclusively from the following categories set out in item 6 of Schedule I to the Specialty Services Regulations, 1990, as amended from time to time:\n2 (a) Analysis and interpretation\n(b) Long-form documentary\n5 (b) Informal education/Recreation and leisure\n7 (c) Specials, mini-series or made-for-TV feature films\n(d) Theatrical feature films aired on TV\n8 (a) Music and dance other than music video programs or clips\n(b) Music video clips\n(c) Music video programs\n11 General entertainment and human interest\n12 Interstitials\n13 Public service announcements\n14 Infomercials, promotional and corporate videos\n4. No more than 15% of all programming broadcast during the broadcast week shall be drawn from category 7(d).\n5. No more than 10% of all programming broadcast during the broadcast week shall be drawn from category 8(b).\n6. In order to ensure that the licensee complies at all times with the Direction to the CRTC (Ineligibility of non-Canadians), P.C. 1997-486, 8 April 1997, as amended by P.C. 1998-1268, 15 July 1998, the licensee shall file, for the Commission's prior review, a copy of any programming supply agreement and/or licence trademark agreement it intends to enter into with a non-Canadian party.\n\nFor the purposes of the conditions of this licence, including condition of licence no. 1, broadcast day refers to the 24-hour period beginning each day at 6 a.m., or any other period approved by the Commission.\n\nii\n</text>\n", "role": "user" }, { "content": ".", "role": "assistant" } ]
Best Practices in Software Architecture Paul Clements Software Engineering Institute / Carnegie Mellon University and Indian Institute of Technology - Bombay 26 July 2006 Sponsored by the U.S. Department of Defense © 2006 by Carnegie Mellon University Software Engineering Institute Applied R&D laboratory situated as a college-level unit at Carnegie Mellon University, Pittsburgh, PA, USA Established in 1984 Technical staff of 335 Offices in Pittsburgh, Pennsylvania, Arlington, Virginia, and Frankfurt, Germany Purpose: Help others make measured improvements in their software engineering practices © 2005 by Carnegie Mellon University Product Line Systems Program One of 5-6 programs at the SEI, with about 30 people. Our goal is to make improvements in: - Software product line engineering - Predictable assembly of certifiable components - Software architecture - Creation - Documentation - Evaluation - Use in system-building The rise of software architecture has resulted from two trends: - Recognition of the importance of quality attributes - The development of very large and very complex systems Building large, complex systems Large-scale design decisions cannot be made by programmers. - Have limited visibility and short-term perspectives - Trained in technology solutions to specific problems. Teams can only be coordinated, and QA’s can only be achieved, by making broad design decisions that apply to the entire system – all of its elements. Importance of quality attributes If the only criterion for software was to get the right answer, we would not need architectures—unstructured, monolithic systems would suffice. But other things also matter, such as - modifiability - time of development (time to market) - performance - coordination of work teams These and other system quality attributes are largely dependent on architectural decisions. - All design involves tradeoffs in system qualities. - The earlier we reason about tradeoffs, the better. Software architecture is the structure or structures of the system, which comprise software elements, the externally visible properties of these elements, and the relationships among them. Bass, L.; Clements, P.; & Kazman, R. Software Architecture in Practice, Second Edition. Boston, MA: Addison-Wesley, 2003. Structures: Plural! Systems can and do have many structures. - No single structure can be the architecture. - The set of candidate structures is not fixed or prescribed. - Relationships and elements might be runtime related such as - “sends data to,” “invokes,” or “signals” - processes or tasks - Relationships and elements might be nonruntime related such as - “is a submodule of,” “inherits from,” or “is allocated to team X for implementation” - a class or library - Representations of structures are views of the architecture - All modern approaches to architecture embody the concept of multiple views. A Picture of Architecture-Based Development Development organizations who use architecture as a fundamental part of their way of doing business often define an architecture-based development process. This talk will illuminate some parts of that process. One of the early parts is understanding the architecturally significant requirements. Quality attributes If we accept the importance of quality attributes, then we need to understand how to specify and capture them... - Our customer has to tell us what he wants - Our architect and designers must understand it - Our programmers have to achieve it - Our testers have to test for it ...and how to design and build software to achieve them. QA’s fall into two groups “Run-time” QA’s • We can measure how well a system exhibits these by watching the system in operation • Performance, security, availability, … “Non-run-time” QA’s • We can measure these by watching a team in operation • Maintainability, portability, buildability, time to market… Specifying quality attributes I want a system that is highly modifiable! Conclusion: Just naming a quality attribute doesn’t help very much. We can’t build software with just that. We need to be more specific. Most people use quality attribute scenarios to capture quality attributes. Scenarios A scenario is a little story describing an interaction between a stakeholder and a system. A use case is a kind of scenario. The stakeholder is the user. The interaction is a functional use of the system. - “The user pushes this button, and this result occurs.” We can generalize the notion of a use case to come up with quality attribute scenarios. A quality attribute scenario is a short description of how a system is required to respond to some stimulus. A quality attribute scenario has six parts: - source – an entity that generates a stimulus - stimulus – a condition that affects the system - artifact – the part of that was stimulated by the stimulus - environment – the condition under which the stimulus occurred - response – the activity that results because of the stimulus - response measure – the measure by which the system’s response will be evaluated A QA Scenario for Availability - An unanticipated external message is received by a process during normal operation. The process informs the operator of the message’s receipt, and the system continues to operate with no downtime. 1. source – external 2. stimulus – unanticipated message received 3. artifact – process 4. environment – during normal operation 5. response – system continues to operate 6. response measure – zero downtime A QA Scenario for Modifiability - During maintenance, a change is made to the system’s rules engine. The change is completed in one day. 1. source – requestor of the change 2. stimulus – a change is made 3. artifact – rules engine 4. environment – during maintenance 5. response – the change is completed 6. response measure – …in one day A QA Scenario for Security - During peak operation, an unauthorized intruder tries to download prohibited data via the system administrator’s interface. The system detects the attempt, blocks access, and notifies authorities within 15 seconds. 1. source – an unauthorized intruder 2. stimulus – tries to download prohibited data 3. artifact – system administrator’s interface 4. environment – during peak operation 5. response – the attempt is detected, blocked, reported 6. response measure – …within 15 seconds More about QAs There is no standard set of quality attributes - People disagree on names: Maintainability/modifiability/portability - People come up with new ones: “calibrate-ability” - There is no standard meaning of what it means to be “secure” Scenarios let us avoid all of these problems! The QAs are defined by the scenarios! Who tells us what QA’s are important? Stakeholders! Stakeholders Stakeholders are people with a vested interest in the system. They are the people who can tell us what is needed. They are the people who can tell us if what we are building is the right thing. We usually think of the user as telling us what is required, but there are many kinds of stakeholders. Concerns of System Stakeholders - Development organization’s management stakeholder - Low cost, keeping people employed, leveraging existing corporate assets! - Marketing stakeholder - Neat features, short time to market, low cost, parity with competing products! - End user stakeholder - Behavior, performance, security, reliability, usability! - Maintenance organization stakeholder - Modifiability! - Customer stakeholder - Low cost, timely delivery, not changed very often! Architect: I need a raise! Stakeholder Involvement Stakeholders’ quality attribute requirements are seldom documented, which results in - goals not being achieved - conflict between stakeholders Architects must identify and actively engage stakeholders early in the life cycle to - understand the real constraints of the system (many times, stakeholders ask for everything!) - manage the stakeholders’ expectations (they can’t have everything!) - negotiate the system’s priorities - make tradeoffs SEI Quality Attribute Workshop (QAW) The QAW is a facilitated method that engages system stakeholders early in the life cycle to discover the driving quality attributes of a software-intensive system. Key points about the QAW are that it is - system-centric - stakeholder focused - used before the software architecture has been created QAW Steps 1. QAW Presentation and Introductions 2. Business/Mission Presentation 3. Architectural Plan Presentation 4. Identification of Architectural Drivers 5. Scenario Brainstorming 6. Scenario Consolidation 7. Scenario Prioritization 8. Scenario Refinement Iterate as necessary with broader stakeholder community QAW Benefits and Next Steps Potential Benefits - increased stakeholder communication - clarified quality attribute requirements - informed basis for architectural decisions QAW Quality Attribute Scenarios: • raw • prioritized • refined Can be used to Potential Next Steps Update Architectural Vision Refine Requirements Create Prototypes Exercise Simulations Create Architecture Evaluate Architecture Creating the architecture Architects primarily work by using previously-tried solutions - Large scale: Patterns and styles - Small scale: Tactics Styles, patterns, and tactics represent conceptual tools in the architect’s “tool bag.” Professional architects always keep their tool bag up to date. Tactics An architectural tactic is a fine-grained design approach used to achieve a quality attribute response. Tactics are the “building blocks” of design from which architectural patterns are created. Tactics for Availability Stimulus: Fault occurs Response: Fault masked or Repair made Tactics to control Availability Summary of Availability Tactics Fault Detection - Ping/Echo - Heartbeat - Exception Fault Recovery Preparation and Repair - Voting - Active Redundancy - Passive Redundancy - Spare Fault Recovery and Reintroduction - Shadow - State Resynchronization - Rollback Fault Prevention - Removal From Service - Transactions - Process Monitor Fault masked or repair made Summary of Modifiability Tactics Stimulus: Change arrives Modifiability Localize Changes - Semantic coherence - Anticipate expected changes - Generalize module - Limit possible options - Abstract common services Prevention of Ripple Effect - Hide information - Maintain existing interface - Restrict communication paths - Use an intermediary Defer Binding Time - Runtime registration - Configuration files - Polymorphism - Component replacement - Adherence to defined protocols Response: Changes made, tested, and deployed within time and budget Tactics for Performance Stimulus: Events arrive Performance Resource demand - Increase computation efficiency - Reduce computational overhead - Manage event rate - Control freq. Of sampling Resource management - Introduce concurrency - Maintain multiple copies - Increase available resources Resource arbitration - Scheduling policy Response: Response generated within time constraints Tactics for Security Stimulus: Attack Response: System detects, resists, or recovers from attacks Security Resisting Attacks - Authenticate users - Authorize users - Maintain data confidentiality - Maintain integrity - Limit exposure - Limit access Detecting Attacks - Intrusion detection Recovering from an attack - Restoration - See “Availability” - Identification - Audit trail Tactics for Testability Stimulus: Completion of an increment Testability Manage Input/Output - Record/playback - Separate interface from implementation - Specialized access routines/interfaces Internal monitoring - Built-in monitors Response: Faults detected Attribute-Driven Design (ADD) Method ADD is a step-by-step method for systematically producing the first architectural designs for a system. ADD results • Overall structuring decisions • Interconnection and coordination mechanisms • Application of patterns and tactics to specific parts of architecture • Explicit achievement of quality attribute requirements • NOT detailed interfaces ADD requires as input: • Quality attribute requirements • Functional requirements • Constraints Attribute-Driven Design (ADD) Steps Step 1: Confirm there is sufficient requirements information Step 2: Choose part of the system to decompose Step 3: Prioritize requirements and identify architectural drivers Step 4: Choose design concept – patterns, styles, tactics -- that satisfies the architectural drivers associated with the part of the system we’ve chosen to decompose. Step 5: Instantiate architectural elements and allocate functionality Step 6: Merge designs completed thus far Step 7: Allocate remaining functionality Step 8: Define interfaces for instantiated elements Step 9: Verify and refine requirements and make them constraints for instantiated elements Step 10: Repeat steps 2 through 9 for the next part of the system you wish to decompose Now what? How do we know that our architecture is appropriate for its intended purpose? In a large development project, an enormous amount of money may be riding on the architecture. The company’s future may be at stake. We need to evaluate the architecture. How can we do this? The SEI has developed the Architecture Tradeoff Analysis Method (ATAM). The purpose of ATAM is: to assess the consequences of architectural decisions in light of quality attribute requirements and business goals. ATAM Benefits There are a number of benefits from performing ATAM evaluations - identified risks - clarified quality attribute requirements - improved architecture documentation - documented basis for architectural decisions - increased communication among stakeholders The results are improved architectures. ATAM Steps 1. Present the ATAM 2. Present business drivers 3. Present architecture 4. Identify architectural approaches 5. Generate quality attribute utility tree 6. Analyze architectural approaches 7. Brainstorm and prioritize scenarios 8. Analyze architectural approaches 9. Present results Phase 1 Phase 2 Utility Tree Construction - Performance - Data Latency - (L,M) Reduce storage latency on customer DB to < 200 ms. - (M,M) Deliver video in real time - Transaction Throughput - (H,H) Add CORBA middleware in < 20 person-months - (H,L) Change web user interface in < 4 person-weeks - Modifiability - New products - (H,H) Power outage at site1 requires traffic redirected to site2 in < 3 seconds. - Change COTS - (H,H) Network failure detected and recovered in < 1.5 minutes - Availability - H/W failure - (H,H) Credit card transactions are secure 99.999% of the time - COTS S/W failures - (H,L) Customer DB authorization works 99.999% of the time - Security - Data confidentiality - Data integrity Conceptual Flow of ATAM - Business Drivers - Software Architecture - Quality Attributes - Architectural Approaches - Scenarios - Architectural Decisions - Analysis - Tradeoffs - Sensitivity Points - Non-Risks - Risks - Risk Themes impacts distilled into Documenting an architecture Architecture serves as the blueprint for the system, and the project that develops it. - It defines the work assignments. - It is the primary carrier of quality attributes. - It is the best artifact for early analysis. - It is the key to post-deployment maintenance and mining. Documenting the architecture is the crowning step to creating it. Documentation speaks for the architect, today and 20 years from today. What’s the answer? “How do you document a software architecture?” In industry, there seems to be a lack of systematic approaches to documentation. Instead, the emphasis has been on languages. In the past, the answer seems to have been: • “Use UML.” • “Draw boxes and lines.” • “What else do I need besides my class diagrams in Rose?” • “Not very well.” • “How do you document a what?” Now, however, we have a much better answer. “Views and Beyond” approach to architecture documentation The concept of a “view” gives us our main principle of architecture documentation: Document the relevant views, and then add information that applies to more than one view, thus tying the views together. Summary: Documenting a View Template for a View Packet Section 1. Primary Presentation of the View Packet OR Textual version of the primary presentation Section 1: Primary presentation Section 2. Element catalog Section 2.A Elements and their properties Section 2.B Relations and their properties Section 2.C Element interfaces Section 2.D Element behavior Section 3. Context diagram Section 4. Variability Guide Section 5. Architecture Background Section 5.A Design rationale Section 5.B of Analysis Results Section 5.C Assumptions Section 6. Other Information Sections 2-6: Supporting documentation A template for putting Documentation Beyond Views in a volume of its own: Template for Documentation Beyond Views How the documentation is organized Section 1. Documentation roadmap Section 2. View template What the architecture is: Section 3. System overview Section 4. Mapping between views Section 5. Directory Section 6. Glossary and acronym list Why the architecture is the way it is: Section 7. Background, design constraints, and rationale A Picture of Architecture-Based Dev. QAW Patterns and tactics "Sketches" of candidate views, determined by patterns Chosen, combined views plus doc'n. beyond views ADD Prioritized QA scenarios Requirements, constraints Stakeholders VaB ATAM © 2005 by Carnegie Mellon University Source of material Software Architecture in Practice, Len Bass, Paul Clements, Rick Kazman, Addison Wesley 2003 Evaluating Software Architectures: Methods and Case Studies, Paul Clements, Rick Kazman, Mark Klein, Addison Wesley 2001 Documenting Software Architectures: Views and Beyond, P. Clements, F. Bachmann, L. Bass, D. Garlan, J. Ivers, R. Little, R. Nord, J. Stafford, Addison Wesley 2002 New project: Improving Software Architecture Competence Architectures are created by architects. • How can we help them do their best work? • What does it mean for an architect to be competent? • How can an architect improve his/her competence? Architects work in organizations. • How can we help an organization help their architects do their best work? • What does it mean for an organization that produces architectures to be competent? • How can an organization improve its competence in architecture? What do architects do? To understand how to help architects do what they do, we need to understand what they do. - What are their duties? - What skills and knowledge made them “capable of performing their allotted or required function?” Philippe Kruchten writes that he requires architects working for him to spend 50% of their time on the architecture. What do they do with the other 50%? We can survey the “community” Sources of information • “Broadcast” sources: Information written by self-styled experts for mass anonymous consumptions - Web sites: e.g., Bredemeyer, SEI, HP, IBM (16) - Blogs and essays (16) - “Duties” list on SEI web site - Books on software architecture (25 top-sellers) • Education and training sources: - University courses in software architecture (29) - Industrial/non-university public courses (22) - Certificate and certification programs in architecture; e.g., SEI, Open Group, Microsoft (7) • “Architecture for a living” sources - Position descriptions for software architects (60) - Résumés of software architects Survey results to date This is a work in progress. To date, we have surveyed over 200 sources. We have cataloged - 201 duties - 85 skills - 96 knowledge areas Example duties Duties related to documentation - Thoroughly understand and document the application domains for which the system will be built. - Prepare architectural documents and presentations. - Document software interfaces. - Produce a comprehensive documentation package for architecture useful to stakeholders. - Keeping reader’s point of view in mind while documenting. - Creating, standardizing and using architectural descriptions. - Use a certain documentation standard. - Document variability and dynamism. - Create conceptual architectural view. © 2005 by Carnegie Mellon University Example skills Inspire creative collaboration Interpersonal skills Interviewing Investigative Leadership Learning Listening skills Maintains constructive working relationships Mentoring Negotiation skills Observation power Open minded Oral and written communication skills Organizational and workflow skills Patient Planning skills Political sagacity Example knowledge <snip> Software Architecture concepts UML diagrams and UML analysis modeling Basic knowledge of Software Engineering Specialized knowledge of software engineering Knowledge about IT industry future directions Understanding of web-based applications Experience with Web Services Technologies Business re-engineering principles and processes Knowledge of industry’s best practices Experience in testing Knowledge of testing/debugging tools Experience with Real-time systems, Video systems Security domain Experience <snip> Architecture Duties (categories) - Architecting - Life cycle phases other than architecture - Technology related - Interacting with the stakeholders - Management - Organization & Business related - Leadership & team building © 2005 by Carnegie Mellon University Architecture Duties (sub-categories) - Creating architecture - Architecture Evaluation and Analysis - Documentation - Existing system and transformation - Overall - Requirements - Coding and development - Testing - Future technologies - Tools and technology selection - Overall - Clients - Developers - Project management - People management - Support for management - Organization - Business - Technical Leadership - Team Building © 2005 by Carnegie Mellon University Architecture Skills (categories) - Communication - Inter-Personal skills - Work skills - Personal skills © 2005 by Carnegie Mellon University Architecture Skills (sub-categories) - Communication(Out) - Communication(Both) - Communication(In) - Inter-personal skills(within team) - Inter-personal skills(with other people) - Leadership skills - Effectively Managing Workload - Skills to Excel in corporate environment - Skills for Handling Information - Personal Qualities - Skills for Handling Unknown - Skills for Handling Unexpected - Learning Legend: - Educational and training - Architecting for a living - Broadcasted - Overall Skills Architecture Knowledge (categories) - Computer Science Knowledge - Knowledge of technologies and platforms - Knowledge about your organization’s context and management © 2005 by Carnegie Mellon University Architecture Knowledge (sub-cat’s) - Knowledge of architecture concepts - Knowledge of software engineering - Design Knowledge - Programming Knowledge - Specific (technologies and platforms) - Platforms - General (technologies and platforms) - Domain Knowledge - Industry Knowledge - Enterprise Knowledge - Leadership and management © 2005 by Carnegie Mellon University Duties/Skills/Knowledge This work lets us propose a “duties/skills/knowledge” model of competence. Knowledge and skills support carrying out the duties. Competence is • Carrying out the duties • Having the skills • Knowing the knowledge Advantages - It applies equally well to individuals, teams, and organizations. - It straightforwardly suggests an assessment instrument. - It straightforwardly suggests an improvement strategy - Improve your duties - Improve your skills - Improve your knowledge Future work (1): Grow this body of work Survey communities of practicing architects • E.g., WWISA, IASA, architects within a company • First questionnaire: 15-minute survey of duties, skills, and knowledge and organizational duties. Tie specific skills and knowledge to duties • If knowledge or a skill doesn’t support a duty, does it matter? Survey more sources • especially more position descriptions Future work (2): Apply model to organizations Case studies and surveys • organizational excellence in architecture • organizational improvement in architecture • surveys of organizational practices Surveys of practicing architects • E.g., WWISA, IASA, architects within a company • First questionnaire: 15-minute survey of duties, skills, and knowledge \textit{and} organizational duties. Investigation of team practices Assessment of past performance to find targeted areas of improvement What are an organization’s duties, skills, and knowledge? List may include: - Hire talented architects - Establish a career track for software architects - Make the position of architect highly regarded through visibility, reward, and prestige - Establish a clear statement of duties, responsibilities, and authority for software architects - Establish a mentoring program for architects - Start an architecture training and education program - Track how architects spend their time - Establish an architect certification program - Measure architects’ performance - Provide a forum for architects to communicate, and share information and experience - Put in a place organization-wide development practices centered around architecture - Establish and empower an architecture review board - Measure quality of architectures produced - Initiate software process improvement or software quality improvement practices Future work (3): Tie duties, skills, and knowledge to architecture quality Case studies of successful and failed architectures, relating cause to effect. Pilot assessment instruments Pilot improvement strategies Other models of competence • Organizations as architectures: They have elements and relations and behaviors. Perhaps we can “evaluate” them as we evaluate architectures. • Design for Six Sigma techniques Research collaborators wanted! Trends in Software Architecture Predictions are risky, and usually worth less than what you paid for them. “Basic building blocks” of software • Will continue becoming more sophisticated, complex, domain-specific, interoperable, and stand-alone (continuing a 40-year-old trend) • “Service” is the current form of this, but will be replaced by something else in five years • SLAs will be come more sophisticated, generalized, and dependable. “Credentials” will be the watchword, especially in services. Watch for an ebay-like model where consumers leave feedback, especially in ubiquitous computing environments. Trends in Software Architecture Process of architecting • Will become more standardized, more repeatable, more teachable, more methodical – less “magic” • Evaluation of architectures will continue becoming a widespread practice • Stakeholder-based documentation will become the norm • Gaps in the conceptual representations (e.g., between ADLs and downstream design languages such as UML, or between business goals and architecture) will be bridged • More automated traceability, from business processes/goals to architecture to design to code to testing, possibly by automated design assistants and tooling, possibly by better language support Trends in Software Architecture Architecture as a practice • We can view the history of software engineering as producing simpler ways to specify much more complex software. Our languages to describe solutions have become steadily more sophisticated. - 1960 atoms: + - / * SQRT, simply-structured reports - 2006 atoms: shopping cart, GUI, rules engine, workflow, auction... • When our languages achieve a “new plateau” of expressiveness, the programs we write suddenly become very simple, even though the software systems are much more complex. The complexity is carried in the language. • The need for architecture is not as great when the programs are very short and simple. • But we always learn to exploit our new capabilities to the fullest. Our programs quickly become more and more complex. Soon, we cannot understand them, nor can we understand how they will deliver the ever-higher quality attributes we require. • And that is the point where architecture steps in to help us structure the solutions and lend understandability and buildability. Trends in Software Architecture Architecture as a practice (continued) • Right now there seem to be two kinds of organizations. • One kind designs extensive architectures. - These are application builders solving unprecedented problems, or in domains without large “platform” vendors (they may be the platform vendors) or standardized solutions. - They perform extensive architectural design. • The other kind makes major architectural decisions by the process of selecting a platform vendor. - Here, “architecture” means putting big vendor-supplied pieces together. “Design” is de-emphasized. - The “space” of what they can specify is not that large. - You can view the things they get to choose as a specification language. - They’ve just arrived at the latest “new plateau” - They don’t view architecture design as that important. - Last prediction: They will! Questions—Now or Later Linda Northrop Director Product Line Systems Program Telephone: 412-268-7638 Email: [email protected] U.S. Mail: Software Engineering Institute Carnegie Mellon University 4500 Fifth Avenue Pittsburgh, PA 15213-3890 World Wide Web: http://www.sei.cmu.edu/architecture SEI Fax: 412-268-5758 Paul Clements Email: [email protected] A Microsoft Word template for a software architecture document based on the Views and Beyond approach is available at http://www.sei.cmu.edu/architecture/arch_doc.html or http://www.sei.cmu.edu/architecture Click on documentation Click on download	<urn:uuid:6d6147f4-6be9-441f-8cbd-bc065978e4df>	CC-MAIN-2019-39	https://resources.sei.cmu.edu/asset_files/Presentation/2006_017_001_22556.pdf	2019-09-19T13:57:20Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-39/segments/1568514573519.72/warc/CC-MAIN-20190919122032-20190919144032-00234.warc.gz	643,740,495	6,247	eng_Latn	eng_Latn	0.879437	eng_Latn	0.98019	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	true	docling	[ 253, 647, 952, 1129, 1485, 2002, 2317, 2943, 3287, 3644, 3953, 4243, 4718, 5154, 5594, 5936, 6452, 6842, 7155, 7697, 8173, 8514, 8834, 9241, 9543, 9749, 9871, 10238, 10791, 11184, 11576, 11841, 12327, 13091, 13355, 13591, 13905, 14218, 14966, 15276, 15724, 16163, 16428, 17062, 17535, 17825, 18225, 18734, 19129, 19810, 19974, 20574, 20927, 21494, 21759, 22231, 22376, 22877, 23085, 23458, 23699, 23971, 24378, 24873, 25790, 26243, 26858, 27505, 28570, 29452, 30063 ]	Best Practices in Software Architecture Paul Clements Software Engineering Institute / Carnegie Mellon University and Indian Institute of Technology - Bombay 26 July 2006 Sponsored by the U.S. Department of Defense © 2006 by Carnegie Mellon University Software Engineering Institute Applied R&D laboratory situated as a college-level unit at Carnegie Mellon University, Pittsburgh, PA, USA Established in 1984 Technical staff of 335 Offices in Pittsburgh, Pennsylvania, Arlington, Virginia, and Frankfurt, Germany Purpose: Help others make measured improvements in their software engineering practices © 2005 by Carnegie Mellon University Product Line Systems Program One of 5-6 programs at the SEI, with about 30 people. Our goal is to make improvements in: - Software product line engineering - Predictable assembly of certifiable components - Software architecture - Creation - Documentation - Evaluation - Use in system-building The rise of software architecture has resulted from two trends: - Recognition of the importance of quality attributes - The development of very large and very complex systems Building large, complex systems Large-scale design decisions cannot be made by programmers. - Have limited visibility and short-term perspectives - Trained in technology solutions to specific problems. Teams can only be coordinated, and QA’s can only be achieved, by making broad design decisions that apply to the entire system – all of its elements. Importance of quality attributes If the only criterion for software was to get the right answer, we would not need architectures—unstructured, monolithic systems would suffice. But other things also matter, such as - modifiability - time of development (time to market) - performance - coordination of work teams These and other system quality attributes are largely dependent on architectural decisions. - All design involves tradeoffs in system qualities. - The earlier we reason about tradeoffs, the better. Software architecture is the structure or structures of the system, which comprise software elements, the externally visible properties of these elements, and the relationships among them. Bass, L.; Clements, P.; & Kazman, R. Software Architecture in Practice, Second Edition. Boston, MA: Addison-Wesley, 2003. Structures: Plural! Systems can and do have many structures. - No single structure can be the architecture. - The set of candidate structures is not fixed or prescribed. - Relationships and elements might be runtime related such as - “sends data to,” “invokes,” or “signals” - processes or tasks - Relationships and elements might be nonruntime related such as - “is a submodule of,” “inherits from,” or “is allocated to team X for implementation” - a class or library - Representations of structures are views of the architecture - All modern approaches to architecture embody the concept of multiple views. A Picture of Architecture-Based Development Development organizations who use architecture as a fundamental part of their way of doing business often define an architecture-based development process. This talk will illuminate some parts of that process. One of the early parts is understanding the architecturally significant requirements. Quality attributes If we accept the importance of quality attributes, then we need to understand how to specify and capture them... - Our customer has to tell us what he wants - Our architect and designers must understand it - Our programmers have to achieve it - Our testers have to test for it ...and how to design and build software to achieve them. QA’s fall into two groups “Run-time” QA’s • We can measure how well a system exhibits these by watching the system in operation • Performance, security, availability, … “Non-run-time” QA’s • We can measure these by watching a team in operation • Maintainability, portability, buildability, time to market… Specifying quality attributes I want a system that is highly modifiable! Conclusion: Just naming a quality attribute doesn’t help very much. We can’t build software with just that. We need to be more specific. Most people use quality attribute scenarios to capture quality attributes. Scenarios A scenario is a little story describing an interaction between a stakeholder and a system. A use case is a kind of scenario. The stakeholder is the user. The interaction is a functional use of the system. - “The user pushes this button, and this result occurs.” We can generalize the notion of a use case to come up with quality attribute scenarios. A quality attribute scenario is a short description of how a system is required to respond to some stimulus. A quality attribute scenario has six parts: - source – an entity that generates a stimulus - stimulus – a condition that affects the system - artifact – the part of that was stimulated by the stimulus - environment – the condition under which the stimulus occurred - response – the activity that results because of the stimulus - response measure – the measure by which the system’s response will be evaluated A QA Scenario for Availability - An unanticipated external message is received by a process during normal operation. The process informs the operator of the message’s receipt, and the system continues to operate with no downtime. 1. source – external 2. stimulus – unanticipated message received 3. artifact – process 4. environment – during normal operation 5. response – system continues to operate 6. response measure – zero downtime A QA Scenario for Modifiability - During maintenance, a change is made to the system’s rules engine. The change is completed in one day. 1. source – requestor of the change 2. stimulus – a change is made 3. artifact – rules engine 4. environment – during maintenance 5. response – the change is completed 6. response measure – …in one day A QA Scenario for Security - During peak operation, an unauthorized intruder tries to download prohibited data via the system administrator’s interface. The system detects the attempt, blocks access, and notifies authorities within 15 seconds. 1. source – an unauthorized intruder 2. stimulus – tries to download prohibited data 3. artifact – system administrator’s interface 4. environment – during peak operation 5. response – the attempt is detected, blocked, reported 6. response measure – …within 15 seconds More about QAs There is no standard set of quality attributes - People disagree on names: Maintainability/modifiability/portability - People come up with new ones: “calibrate-ability” - There is no standard meaning of what it means to be “secure” Scenarios let us avoid all of these problems! The QAs are defined by the scenarios! Who tells us what QA’s are important? Stakeholders! Stakeholders Stakeholders are people with a vested interest in the system. They are the people who can tell us what is needed. They are the people who can tell us if what we are building is the right thing. We usually think of the user as telling us what is required, but there are many kinds of stakeholders. Concerns of System Stakeholders - Development organization’s management stakeholder - Low cost, keeping people employed, leveraging existing corporate assets! - Marketing stakeholder - Neat features, short time to market, low cost, parity with competing products! - End user stakeholder - Behavior, performance, security, reliability, usability! - Maintenance organization stakeholder - Modifiability! - Customer stakeholder - Low cost, timely delivery, not changed very often! Architect: I need a raise! Stakeholder Involvement Stakeholders’ quality attribute requirements are seldom documented, which results in - goals not being achieved - conflict between stakeholders Architects must identify and actively engage stakeholders early in the life cycle to - understand the real constraints of the system (many times, stakeholders ask for everything!) - manage the stakeholders’ expectations (they can’t have everything!) - negotiate the system’s priorities - make tradeoffs SEI Quality Attribute Workshop (QAW) The QAW is a facilitated method that engages system stakeholders early in the life cycle to discover the driving quality attributes of a software-intensive system. Key points about the QAW are that it is - system-centric - stakeholder focused - used before the software architecture has been created QAW Steps 1. QAW Presentation and Introductions 2. Business/Mission Presentation 3. Architectural Plan Presentation 4. Identification of Architectural Drivers 5. Scenario Brainstorming 6. Scenario Consolidation 7. Scenario Prioritization 8. Scenario Refinement Iterate as necessary with broader stakeholder community QAW Benefits and Next Steps Potential Benefits - increased stakeholder communication - clarified quality attribute requirements - informed basis for architectural decisions QAW Quality Attribute Scenarios: • raw • prioritized • refined Can be used to Potential Next Steps Update Architectural Vision Refine Requirements Create Prototypes Exercise Simulations Create Architecture Evaluate Architecture Creating the architecture Architects primarily work by using previously-tried solutions - Large scale: Patterns and styles - Small scale: Tactics Styles, patterns, and tactics represent conceptual tools in the architect’s “tool bag.” Professional architects always keep their tool bag up to date. Tactics An architectural tactic is a fine-grained design approach used to achieve a quality attribute response. Tactics are the “building blocks” of design from which architectural patterns are created. Tactics for Availability Stimulus: Fault occurs Response: Fault masked or Repair made Tactics to control Availability Summary of Availability Tactics Fault Detection - Ping/Echo - Heartbeat - Exception Fault Recovery Preparation and Repair - Voting - Active Redundancy - Passive Redundancy - Spare Fault Recovery and Reintroduction - Shadow - State Resynchronization - Rollback Fault Prevention - Removal From Service - Transactions - Process Monitor Fault masked or repair made Summary of Modifiability Tactics Stimulus: Change arrives Modifiability Localize Changes - Semantic coherence - Anticipate expected changes - Generalize module - Limit possible options - Abstract common services Prevention of Ripple Effect - Hide information - Maintain existing interface - Restrict communication paths - Use an intermediary Defer Binding Time - Runtime registration - Configuration files - Polymorphism - Component replacement - Adherence to defined protocols Response: Changes made, tested, and deployed within time and budget Tactics for Performance Stimulus: Events arrive Performance Resource demand - Increase computation efficiency - Reduce computational overhead - Manage event rate - Control freq. Of sampling Resource management - Introduce concurrency - Maintain multiple copies - Increase available resources Resource arbitration - Scheduling policy Response: Response generated within time constraints Tactics for Security Stimulus: Attack Response: System detects, resists, or recovers from attacks Security Resisting Attacks - Authenticate users - Authorize users - Maintain data confidentiality - Maintain integrity - Limit exposure - Limit access Detecting Attacks - Intrusion detection Recovering from an attack - Restoration - See “Availability” - Identification - Audit trail Tactics for Testability Stimulus: Completion of an increment Testability Manage Input/Output - Record/playback - Separate interface from implementation - Specialized access routines/interfaces Internal monitoring - Built-in monitors Response: Faults detected Attribute-Driven Design (ADD) Method ADD is a step-by-step method for systematically producing the first architectural designs for a system. ADD results • Overall structuring decisions • Interconnection and coordination mechanisms • Application of patterns and tactics to specific parts of architecture • Explicit achievement of quality attribute requirements • NOT detailed interfaces ADD requires as input: • Quality attribute requirements • Functional requirements • Constraints Attribute-Driven Design (ADD) Steps Step 1: Confirm there is sufficient requirements information Step 2: Choose part of the system to decompose Step 3: Prioritize requirements and identify architectural drivers Step 4: Choose design concept – patterns, styles, tactics -- that satisfies the architectural drivers associated with the part of the system we’ve chosen to decompose. Step 5: Instantiate architectural elements and allocate functionality Step 6: Merge designs completed thus far Step 7: Allocate remaining functionality Step 8: Define interfaces for instantiated elements Step 9: Verify and refine requirements and make them constraints for instantiated elements Step 10: Repeat steps 2 through 9 for the next part of the system you wish to decompose Now what? How do we know that our architecture is appropriate for its intended purpose? In a large development project, an enormous amount of money may be riding on the architecture. The company’s future may be at stake. We need to evaluate the architecture. How can we do this? The SEI has developed the Architecture Tradeoff Analysis Method (ATAM). The purpose of ATAM is: to assess the consequences of architectural decisions in light of quality attribute requirements and business goals. ATAM Benefits There are a number of benefits from performing ATAM evaluations - identified risks - clarified quality attribute requirements - improved architecture documentation - documented basis for architectural decisions - increased communication among stakeholders The results are improved architectures. ATAM Steps 1. Present the ATAM 2. Present business drivers 3. Present architecture 4. Identify architectural approaches 5. Generate quality attribute utility tree 6. Analyze architectural approaches 7. Brainstorm and prioritize scenarios 8. Analyze architectural approaches 9. Present results Phase 1 Phase 2 Utility Tree Construction - Performance - Data Latency - (L,M) Reduce storage latency on customer DB to < 200 ms. - (M,M) Deliver video in real time - Transaction Throughput - (H,H) Add CORBA middleware in < 20 person-months - (H,L) Change web user interface in < 4 person-weeks - Modifiability - New products - (H,H) Power outage at site1 requires traffic redirected to site2 in < 3 seconds. - Change COTS - (H,H) Network failure detected and recovered in < 1.5 minutes - Availability - H/W failure - (H,H) Credit card transactions are secure 99.999% of the time - COTS S/W failures - (H,L) Customer DB authorization works 99.999% of the time - Security - Data confidentiality - Data integrity Conceptual Flow of ATAM - Business Drivers - Software Architecture - Quality Attributes - Architectural Approaches - Scenarios - Architectural Decisions - Analysis - Tradeoffs - Sensitivity Points - Non-Risks - Risks - Risk Themes impacts distilled into Documenting an architecture Architecture serves as the blueprint for the system, and the project that develops it. - It defines the work assignments. - It is the primary carrier of quality attributes. - It is the best artifact for early analysis. - It is the key to post-deployment maintenance and mining. Documenting the architecture is the crowning step to creating it. Documentation speaks for the architect, today and 20 years from today. What’s the answer? “How do you document a software architecture?” In industry, there seems to be a lack of systematic approaches to documentation. Instead, the emphasis has been on languages. In the past, the answer seems to have been: • “Use UML.” • “Draw boxes and lines.” • “What else do I need besides my class diagrams in Rose?” • “Not very well.” • “How do you document a what?” Now, however, we have a much better answer. “Views and Beyond” approach to architecture documentation The concept of a “view” gives us our main principle of architecture documentation: Document the relevant views, and then add information that applies to more than one view, thus tying the views together. Summary: Documenting a View Template for a View Packet Section 1. Primary Presentation of the View Packet OR Textual version of the primary presentation Section 1: Primary presentation Section 2. Element catalog Section 2.A Elements and their properties Section 2.B Relations and their properties Section 2.C Element interfaces Section 2.D Element behavior Section 3. Context diagram Section 4. Variability Guide Section 5. Architecture Background Section 5.A Design rationale Section 5.B of Analysis Results Section 5.C Assumptions Section 6. Other Information Sections 2-6: Supporting documentation A template for putting Documentation Beyond Views in a volume of its own: Template for Documentation Beyond Views How the documentation is organized Section 1. Documentation roadmap Section 2. View template What the architecture is: Section 3. System overview Section 4. Mapping between views Section 5. Directory Section 6. Glossary and acronym list Why the architecture is the way it is: Section 7. Background, design constraints, and rationale A Picture of Architecture-Based Dev. QAW Patterns and tactics "Sketches" of candidate views, determined by patterns Chosen, combined views plus doc'n. beyond views ADD Prioritized QA scenarios Requirements, constraints Stakeholders VaB ATAM © 2005 by Carnegie Mellon University Source of material Software Architecture in Practice, Len Bass, Paul Clements, Rick Kazman, Addison Wesley 2003 Evaluating Software Architectures: Methods and Case Studies, Paul Clements, Rick Kazman, Mark Klein, Addison Wesley 2001 Documenting Software Architectures: Views and Beyond, P. Clements, F. Bachmann, L. Bass, D. Garlan, J. Ivers, R. Little, R. Nord, J. Stafford, Addison Wesley 2002 New project: Improving Software Architecture Competence Architectures are created by architects. • How can we help them do their best work? • What does it mean for an architect to be competent? • How can an architect improve his/her competence? Architects work in organizations. • How can we help an organization help their architects do their best work? • What does it mean for an organization that produces architectures to be competent? • How can an organization improve its competence in architecture? What do architects do? To understand how to help architects do what they do, we need to understand what they do. - What are their duties? - What skills and knowledge made them “capable of performing their allotted or required function?” Philippe Kruchten writes that he requires architects working for him to spend 50% of their time on the architecture. What do they do with the other 50%? We can survey the “community” Sources of information • “Broadcast” sources: Information written by self-styled experts for mass anonymous consumptions - Web sites: e.g., Bredemeyer, SEI, HP, IBM (16) - Blogs and essays (16) - “Duties” list on SEI web site - Books on software architecture (25 top-sellers) • Education and training sources: - University courses in software architecture (29) - Industrial/non-university public courses (22) - Certificate and certification programs in architecture; e.g., SEI, Open Group, Microsoft (7) • “Architecture for a living” sources - Position descriptions for software architects (60) - Résumés of software architects Survey results to date This is a work in progress. To date, we have surveyed over 200 sources. We have cataloged - 201 duties - 85 skills - 96 knowledge areas Example duties Duties related to documentation - Thoroughly understand and document the application domains for which the system will be built. - Prepare architectural documents and presentations. - Document software interfaces. - Produce a comprehensive documentation package for architecture useful to stakeholders. - Keeping reader’s point of view in mind while documenting. - Creating, standardizing and using architectural descriptions. - Use a certain documentation standard. - Document variability and dynamism. - Create conceptual architectural view. © 2005 by Carnegie Mellon University Example skills Inspire creative collaboration Interpersonal skills Interviewing Investigative Leadership Learning Listening skills Maintains constructive working relationships Mentoring Negotiation skills Observation power Open minded Oral and written communication skills Organizational and workflow skills Patient Planning skills Political sagacity Example knowledge <snip> Software Architecture concepts UML diagrams and UML analysis modeling Basic knowledge of Software Engineering Specialized knowledge of software engineering Knowledge about IT industry future directions Understanding of web-based applications Experience with Web Services Technologies Business re-engineering principles and processes Knowledge	of industry’s best practices Experience in testing Knowledge of testing/debugging tools Experience with Real-time systems, Video systems Security domain Experience <snip> Architecture Duties (categories) - Architecting - Life cycle phases other than architecture - Technology related - Interacting with the stakeholders - Management - Organization & Business related - Leadership & team building © 2005 by Carnegie Mellon University Architecture Duties (sub-categories) - Creating architecture - Architecture Evaluation and Analysis - Documentation - Existing system and transformation - Overall - Requirements - Coding and development - Testing - Future technologies - Tools and technology selection - Overall - Clients - Developers - Project management - People management - Support for management - Organization - Business - Technical Leadership - Team Building © 2005 by Carnegie Mellon University Architecture Skills (categories) - Communication - Inter-Personal skills - Work skills - Personal skills © 2005 by Carnegie Mellon University Architecture Skills (sub-categories) - Communication(Out) - Communication(Both) - Communication(In) - Inter-personal skills(within team) - Inter-personal skills(with other people) - Leadership skills - Effectively Managing Workload - Skills to Excel in corporate environment - Skills for Handling Information - Personal Qualities - Skills for Handling Unknown - Skills for Handling Unexpected - Learning Legend: - Educational and training - Architecting for a living - Broadcasted - Overall Skills Architecture Knowledge (categories) - Computer Science Knowledge - Knowledge of technologies and platforms - Knowledge about your organization’s context and management © 2005 by Carnegie Mellon University Architecture Knowledge (sub-cat’s) - Knowledge of architecture concepts - Knowledge of software engineering - Design Knowledge - Programming Knowledge - Specific (technologies and platforms) - Platforms - General (technologies and platforms) - Domain Knowledge - Industry Knowledge - Enterprise Knowledge - Leadership and management © 2005 by Carnegie Mellon University Duties/Skills/Knowledge This work lets us propose a “duties/skills/knowledge” model of competence.		21,316	inside_word	of	remove_all	<url> https://resources.sei.cmu.edu/asset_files/Presentation/2006_017_001_22556.pdf </url> <text> Best Practices in Software Architecture Paul Clements Software Engineering Institute / Carnegie Mellon University and Indian Institute of Technology - Bombay 26 July 2006 Sponsored by the U.S. Department of Defense © 2006 by Carnegie Mellon University Software Engineering Institute Applied R&D laboratory situated as a college-level unit at Carnegie Mellon University, Pittsburgh, PA, USA Established in 1984 Technical staff of 335 Offices in Pittsburgh, Pennsylvania, Arlington, Virginia, and Frankfurt, Germany Purpose: Help others make measured improvements in their software engineering practices © 2005 by Carnegie Mellon University Product Line Systems Program One of 5-6 programs at the SEI, with about 30 people. Our goal is to make improvements in: - Software product line engineering - Predictable assembly of certifiable components - Software architecture - Creation - Documentation - Evaluation - Use in system-building The rise of software architecture has resulted from two trends: - Recognition of the importance of quality attributes - The development of very large and very complex systems Building large, complex systems Large-scale design decisions cannot be made by programmers. - Have limited visibility and short-term perspectives - Trained in technology solutions to specific problems. Teams can only be coordinated, and QA’s can only be achieved, by making broad design decisions that apply to the entire system – all of its elements. Importance of quality attributes If the only criterion for software was to get the right answer, we would not need architectures—unstructured, monolithic systems would suffice. But other things also matter, such as - modifiability - time of development (time to market) - performance - coordination of work teams These and other system quality attributes are largely dependent on architectural decisions. - All design involves tradeoffs in system qualities. - The earlier we reason about tradeoffs, the better. Software architecture is the structure or structures of the system, which comprise software elements, the externally visible properties of these elements, and the relationships among them. Bass, L.; Clements, P.; & Kazman, R. Software Architecture in Practice, Second Edition. Boston, MA: Addison-Wesley, 2003. Structures: Plural! Systems can and do have many structures. - No single structure can be the architecture. - The set of candidate structures is not fixed or prescribed. - Relationships and elements might be runtime related such as - “sends data to,” “invokes,” or “signals” - processes or tasks - Relationships and elements might be nonruntime related such as - “is a submodule of,” “inherits from,” or “is allocated to team X for implementation” - a class or library - Representations of structures are views of the architecture - All modern approaches to architecture embody the concept of multiple views. A Picture of Architecture-Based Development Development organizations who use architecture as a fundamental part of their way of doing business often define an architecture-based development process. This talk will illuminate some parts of that process. One of the early parts is understanding the architecturally significant requirements. Quality attributes If we accept the importance of quality attributes, then we need to understand how to specify and capture them... - Our customer has to tell us what he wants - Our architect and designers must understand it - Our programmers have to achieve it - Our testers have to test for it ...and how to design and build software to achieve them. QA’s fall into two groups “Run-time” QA’s • We can measure how well a system exhibits these by watching the system in operation • Performance, security, availability, … “Non-run-time” QA’s • We can measure these by watching a team in operation • Maintainability, portability, buildability, time to market… Specifying quality attributes I want a system that is highly modifiable! Conclusion: Just naming a quality attribute doesn’t help very much. We can’t build software with just that. We need to be more specific. Most people use quality attribute scenarios to capture quality attributes. Scenarios A scenario is a little story describing an interaction between a stakeholder and a system. A use case is a kind of scenario. The stakeholder is the user. The interaction is a functional use of the system. - “The user pushes this button, and this result occurs.” We can generalize the notion of a use case to come up with quality attribute scenarios. A quality attribute scenario is a short description of how a system is required to respond to some stimulus. A quality attribute scenario has six parts: - source – an entity that generates a stimulus - stimulus – a condition that affects the system - artifact – the part of that was stimulated by the stimulus - environment – the condition under which the stimulus occurred - response – the activity that results because of the stimulus - response measure – the measure by which the system’s response will be evaluated A QA Scenario for Availability - An unanticipated external message is received by a process during normal operation. The process informs the operator of the message’s receipt, and the system continues to operate with no downtime. 1. source – external 2. stimulus – unanticipated message received 3. artifact – process 4. environment – during normal operation 5. response – system continues to operate 6. response measure – zero downtime A QA Scenario for Modifiability - During maintenance, a change is made to the system’s rules engine. The change is completed in one day. 1. source – requestor of the change 2. stimulus – a change is made 3. artifact – rules engine 4. environment – during maintenance 5. response – the change is completed 6. response measure – …in one day A QA Scenario for Security - During peak operation, an unauthorized intruder tries to download prohibited data via the system administrator’s interface. The system detects the attempt, blocks access, and notifies authorities within 15 seconds. 1. source – an unauthorized intruder 2. stimulus – tries to download prohibited data 3. artifact – system administrator’s interface 4. environment – during peak operation 5. response – the attempt is detected, blocked, reported 6. response measure – …within 15 seconds More about QAs There is no standard set of quality attributes - People disagree on names: Maintainability/modifiability/portability - People come up with new ones: “calibrate-ability” - There is no standard meaning of what it means to be “secure” Scenarios let us avoid all of these problems! The QAs are defined by the scenarios! Who tells us what QA’s are important? Stakeholders! Stakeholders Stakeholders are people with a vested interest in the system. They are the people who can tell us what is needed. They are the people who can tell us if what we are building is the right thing. We usually think of the user as telling us what is required, but there are many kinds of stakeholders. Concerns of System Stakeholders - Development organization’s management stakeholder - Low cost, keeping people employed, leveraging existing corporate assets! - Marketing stakeholder - Neat features, short time to market, low cost, parity with competing products! - End user stakeholder - Behavior, performance, security, reliability, usability! - Maintenance organization stakeholder - Modifiability! - Customer stakeholder - Low cost, timely delivery, not changed very often! Architect: I need a raise! Stakeholder Involvement Stakeholders’ quality attribute requirements are seldom documented, which results in - goals not being achieved - conflict between stakeholders Architects must identify and actively engage stakeholders early in the life cycle to - understand the real constraints of the system (many times, stakeholders ask for everything!) - manage the stakeholders’ expectations (they can’t have everything!) - negotiate the system’s priorities - make tradeoffs SEI Quality Attribute Workshop (QAW) The QAW is a facilitated method that engages system stakeholders early in the life cycle to discover the driving quality attributes of a software-intensive system. Key points about the QAW are that it is - system-centric - stakeholder focused - used before the software architecture has been created QAW Steps 1. QAW Presentation and Introductions 2. Business/Mission Presentation 3. Architectural Plan Presentation 4. Identification of Architectural Drivers 5. Scenario Brainstorming 6. Scenario Consolidation 7. Scenario Prioritization 8. Scenario Refinement Iterate as necessary with broader stakeholder community QAW Benefits and Next Steps Potential Benefits - increased stakeholder communication - clarified quality attribute requirements - informed basis for architectural decisions QAW Quality Attribute Scenarios: • raw • prioritized • refined Can be used to Potential Next Steps Update Architectural Vision Refine Requirements Create Prototypes Exercise Simulations Create Architecture Evaluate Architecture Creating the architecture Architects primarily work by using previously-tried solutions - Large scale: Patterns and styles - Small scale: Tactics Styles, patterns, and tactics represent conceptual tools in the architect’s “tool bag.” Professional architects always keep their tool bag up to date. Tactics An architectural tactic is a fine-grained design approach used to achieve a quality attribute response. Tactics are the “building blocks” of design from which architectural patterns are created. Tactics for Availability Stimulus: Fault occurs Response: Fault masked or Repair made Tactics to control Availability Summary of Availability Tactics Fault Detection - Ping/Echo - Heartbeat - Exception Fault Recovery Preparation and Repair - Voting - Active Redundancy - Passive Redundancy - Spare Fault Recovery and Reintroduction - Shadow - State Resynchronization - Rollback Fault Prevention - Removal From Service - Transactions - Process Monitor Fault masked or repair made Summary of Modifiability Tactics Stimulus: Change arrives Modifiability Localize Changes - Semantic coherence - Anticipate expected changes - Generalize module - Limit possible options - Abstract common services Prevention of Ripple Effect - Hide information - Maintain existing interface - Restrict communication paths - Use an intermediary Defer Binding Time - Runtime registration - Configuration files - Polymorphism - Component replacement - Adherence to defined protocols Response: Changes made, tested, and deployed within time and budget Tactics for Performance Stimulus: Events arrive Performance Resource demand - Increase computation efficiency - Reduce computational overhead - Manage event rate - Control freq. Of sampling Resource management - Introduce concurrency - Maintain multiple copies - Increase available resources Resource arbitration - Scheduling policy Response: Response generated within time constraints Tactics for Security Stimulus: Attack Response: System detects, resists, or recovers from attacks Security Resisting Attacks - Authenticate users - Authorize users - Maintain data confidentiality - Maintain integrity - Limit exposure - Limit access Detecting Attacks - Intrusion detection Recovering from an attack - Restoration - See “Availability” - Identification - Audit trail Tactics for Testability Stimulus: Completion of an increment Testability Manage Input/Output - Record/playback - Separate interface from implementation - Specialized access routines/interfaces Internal monitoring - Built-in monitors Response: Faults detected Attribute-Driven Design (ADD) Method ADD is a step-by-step method for systematically producing the first architectural designs for a system. ADD results • Overall structuring decisions • Interconnection and coordination mechanisms • Application of patterns and tactics to specific parts of architecture • Explicit achievement of quality attribute requirements • NOT detailed interfaces ADD requires as input: • Quality attribute requirements • Functional requirements • Constraints Attribute-Driven Design (ADD) Steps Step 1: Confirm there is sufficient requirements information Step 2: Choose part of the system to decompose Step 3: Prioritize requirements and identify architectural drivers Step 4: Choose design concept – patterns, styles, tactics -- that satisfies the architectural drivers associated with the part of the system we’ve chosen to decompose. Step 5: Instantiate architectural elements and allocate functionality Step 6: Merge designs completed thus far Step 7: Allocate remaining functionality Step 8: Define interfaces for instantiated elements Step 9: Verify and refine requirements and make them constraints for instantiated elements Step 10: Repeat steps 2 through 9 for the next part of the system you wish to decompose Now what? How do we know that our architecture is appropriate for its intended purpose? In a large development project, an enormous amount of money may be riding on the architecture. The company’s future may be at stake. We need to evaluate the architecture. How can we do this? The SEI has developed the Architecture Tradeoff Analysis Method (ATAM). The purpose of ATAM is: to assess the consequences of architectural decisions in light of quality attribute requirements and business goals. ATAM Benefits There are a number of benefits from performing ATAM evaluations - identified risks - clarified quality attribute requirements - improved architecture documentation - documented basis for architectural decisions - increased communication among stakeholders The results are improved architectures. ATAM Steps 1. Present the ATAM 2. Present business drivers 3. Present architecture 4. Identify architectural approaches 5. Generate quality attribute utility tree 6. Analyze architectural approaches 7. Brainstorm and prioritize scenarios 8. Analyze architectural approaches 9. Present results Phase 1 Phase 2 Utility Tree Construction - Performance - Data Latency - (L,M) Reduce storage latency on customer DB to < 200 ms. - (M,M) Deliver video in real time - Transaction Throughput - (H,H) Add CORBA middleware in < 20 person-months - (H,L) Change web user interface in < 4 person-weeks - Modifiability - New products - (H,H) Power outage at site1 requires traffic redirected to site2 in < 3 seconds. - Change COTS - (H,H) Network failure detected and recovered in < 1.5 minutes - Availability - H/W failure - (H,H) Credit card transactions are secure 99.999% of the time - COTS S/W failures - (H,L) Customer DB authorization works 99.999% of the time - Security - Data confidentiality - Data integrity Conceptual Flow of ATAM - Business Drivers - Software Architecture - Quality Attributes - Architectural Approaches - Scenarios - Architectural Decisions - Analysis - Tradeoffs - Sensitivity Points - Non-Risks - Risks - Risk Themes impacts distilled into Documenting an architecture Architecture serves as the blueprint for the system, and the project that develops it. - It defines the work assignments. - It is the primary carrier of quality attributes. - It is the best artifact for early analysis. - It is the key to post-deployment maintenance and mining. Documenting the architecture is the crowning step to creating it. Documentation speaks for the architect, today and 20 years from today. What’s the answer? “How do you document a software architecture?” In industry, there seems to be a lack of systematic approaches to documentation. Instead, the emphasis has been on languages. In the past, the answer seems to have been: • “Use UML.” • “Draw boxes and lines.” • “What else do I need besides my class diagrams in Rose?” • “Not very well.” • “How do you document a what?” Now, however, we have a much better answer. “Views and Beyond” approach to architecture documentation The concept of a “view” gives us our main principle of architecture documentation: Document the relevant views, and then add information that applies to more than one view, thus tying the views together. Summary: Documenting a View Template for a View Packet Section 1. Primary Presentation of the View Packet OR Textual version of the primary presentation Section 1: Primary presentation Section 2. Element catalog Section 2.A Elements and their properties Section 2.B Relations and their properties Section 2.C Element interfaces Section 2.D Element behavior Section 3. Context diagram Section 4. Variability Guide Section 5. Architecture Background Section 5.A Design rationale Section 5.B of Analysis Results Section 5.C Assumptions Section 6. Other Information Sections 2-6: Supporting documentation A template for putting Documentation Beyond Views in a volume of its own: Template for Documentation Beyond Views How the documentation is organized Section 1. Documentation roadmap Section 2. View template What the architecture is: Section 3. System overview Section 4. Mapping between views Section 5. Directory Section 6. Glossary and acronym list Why the architecture is the way it is: Section 7. Background, design constraints, and rationale A Picture of Architecture-Based Dev. QAW Patterns and tactics "Sketches" of candidate views, determined by patterns Chosen, combined views plus doc'n. beyond views ADD Prioritized QA scenarios Requirements, constraints Stakeholders VaB ATAM © 2005 by Carnegie Mellon University Source of material Software Architecture in Practice, Len Bass, Paul Clements, Rick Kazman, Addison Wesley 2003 Evaluating Software Architectures: Methods and Case Studies, Paul Clements, Rick Kazman, Mark Klein, Addison Wesley 2001 Documenting Software Architectures: Views and Beyond, P. Clements, F. Bachmann, L. Bass, D. Garlan, J. Ivers, R. Little, R. Nord, J. Stafford, Addison Wesley 2002 New project: Improving Software Architecture Competence Architectures are created by architects. • How can we help them do their best work? • What does it mean for an architect to be competent? • How can an architect improve his/her competence? Architects work in organizations. • How can we help an organization help their architects do their best work? • What does it mean for an organization that produces architectures to be competent? • How can an organization improve its competence in architecture? What do architects do? To understand how to help architects do what they do, we need to understand what they do. - What are their duties? - What skills and knowledge made them “capable of performing their allotted or required function?” Philippe Kruchten writes that he requires architects working for him to spend 50% of their time on the architecture. What do they do with the other 50%? We can survey the “community” Sources of information • “Broadcast” sources: Information written by self-styled experts for mass anonymous consumptions - Web sites: e.g., Bredemeyer, SEI, HP, IBM (16) - Blogs and essays (16) - “Duties” list on SEI web site - Books on software architecture (25 top-sellers) • Education and training sources: - University courses in software architecture (29) - Industrial/non-university public courses (22) - Certificate and certification programs in architecture; e.g., SEI, Open Group, Microsoft (7) • “Architecture for a living” sources - Position descriptions for software architects (60) - Résumés of software architects Survey results to date This is a work in progress. To date, we have surveyed over 200 sources. We have cataloged - 201 duties - 85 skills - 96 knowledge areas Example duties Duties related to documentation - Thoroughly understand and document the application domains for which the system will be built. - Prepare architectural documents and presentations. - Document software interfaces. - Produce a comprehensive documentation package for architecture useful to stakeholders. - Keeping reader’s point of view in mind while documenting. - Creating, standardizing and using architectural descriptions. - Use a certain documentation standard. - Document variability and dynamism. - Create conceptual architectural view. © 2005 by Carnegie Mellon University Example skills Inspire creative collaboration Interpersonal skills Interviewing Investigative Leadership Learning Listening skills Maintains constructive working relationships Mentoring Negotiation skills Observation power Open minded Oral and written communication skills Organizational and workflow skills Patient Planning skills Political sagacity Example knowledge <snip> Software Architecture concepts UML diagrams and UML analysis modeling Basic knowledge of Software Engineering Specialized knowledge of software engineering Knowledge about IT industry future directions Understanding of web-based applications Experience with Web Services Technologies Business re-engineering principles and processes Knowledge <cursor_is_here> </text>	[ { "content": "<url>\nhttps://resources.sei.cmu.edu/asset_files/Presentation/2006_017_001_22556.pdf\n</url>\n<text>\nBest Practices in Software Architecture\n\nPaul Clements\nSoftware Engineering Institute / Carnegie Mellon University\nand\nIndian Institute of Technology - Bombay\n26 July 2006\n\nSponsored by the U.S. Department of Defense\n© 2006 by Carnegie Mellon University\n\nSoftware Engineering Institute\n\nApplied R&D laboratory situated as a college-level unit at Carnegie Mellon University, Pittsburgh, PA, USA\n\nEstablished in 1984\n\nTechnical staff of 335\n\nOffices in Pittsburgh, Pennsylvania, Arlington, Virginia, and Frankfurt, Germany\n\nPurpose: Help others make measured improvements in their software engineering practices\n\n© 2005 by Carnegie Mellon University\n\nProduct Line Systems Program\n\nOne of 5-6 programs at the SEI, with about 30 people. Our goal is to make improvements in:\n\n- Software product line engineering\n- Predictable assembly of certifiable components\n- Software architecture\n - Creation\n - Documentation\n - Evaluation\n - Use in system-building\n\nThe rise of software architecture has resulted from two trends:\n\n- Recognition of the importance of quality attributes\n- The development of very large and very complex systems\n\nBuilding large, complex systems\n\nLarge-scale design decisions cannot be made by programmers.\n\n- Have limited visibility and short-term perspectives\n- Trained in technology solutions to specific problems.\n\nTeams can only be coordinated, and QA’s can only be achieved, by making broad design decisions that apply to the entire system – all of its elements.\n\nImportance of quality attributes\n\nIf the only criterion for software was to get the right answer, we would not need architectures—unstructured, monolithic systems would suffice.\n\nBut other things also matter, such as\n\n- modifiability\n- time of development (time to market)\n- performance\n- coordination of work teams\n\nThese and other system quality attributes are largely dependent on architectural decisions.\n\n- All design involves tradeoffs in system qualities.\n- The earlier we reason about tradeoffs, the better.\n\nSoftware architecture is the structure or structures of the system, which comprise software elements, the externally visible properties of these elements, and the relationships among them.\n\nBass, L.; Clements, P.; & Kazman, R. Software Architecture in Practice, Second Edition. Boston, MA: Addison-Wesley, 2003.\n\nStructures: Plural!\n\nSystems can and do have many structures.\n\n- No single structure can be the architecture.\n- The set of candidate structures is not fixed or prescribed.\n- Relationships and elements might be runtime related such as\n - “sends data to,” “invokes,” or “signals”\n - processes or tasks\n- Relationships and elements might be nonruntime related such as\n - “is a submodule of,” “inherits from,” or “is allocated to team X for implementation”\n - a class or library\n- Representations of structures are views of the architecture\n - All modern approaches to architecture embody the concept of multiple views.\n\nA Picture of Architecture-Based Development\n\nDevelopment organizations who use architecture as a fundamental part of their way of doing business often define an architecture-based development process.\n\nThis talk will illuminate some parts of that process.\n\nOne of the early parts is understanding the architecturally significant requirements.\n\nQuality attributes\n\nIf we accept the importance of quality attributes, then we need to understand how to specify and capture them...\n\n- Our customer has to tell us what he wants\n- Our architect and designers must understand it\n- Our programmers have to achieve it\n- Our testers have to test for it\n\n...and how to design and build software to achieve them.\n\nQA’s fall into two groups\n\n“Run-time” QA’s\n• We can measure how well a system exhibits these by watching the system in operation\n• Performance, security, availability, …\n\n“Non-run-time” QA’s\n• We can measure these by watching a team in operation\n• Maintainability, portability, buildability, time to market…\n\nSpecifying quality attributes\n\nI want a system that is highly modifiable!\n\nConclusion: Just naming a quality attribute doesn’t help very much.\n\nWe can’t build software with just that. We need to be more specific.\n\nMost people use quality attribute scenarios to capture quality attributes.\n\nScenarios\n\nA scenario is a little story describing an interaction between a stakeholder and a system.\n\nA use case is a kind of scenario. The stakeholder is the user. The interaction is a functional use of the system.\n\n- “The user pushes this button, and this result occurs.”\n\nWe can generalize the notion of a use case to come up with quality attribute scenarios.\n\nA quality attribute scenario is a short description of how a system is required to respond to some stimulus.\n\nA quality attribute scenario has six parts:\n\n- source – an entity that generates a stimulus\n- stimulus – a condition that affects the system\n- artifact – the part of that was stimulated by the stimulus\n- environment – the condition under which the stimulus occurred\n- response – the activity that results because of the stimulus\n- response measure – the measure by which the system’s response will be evaluated\n\nA QA Scenario for Availability\n\n- An unanticipated external message is received by a process during normal operation. The process informs the operator of the message’s receipt, and the system continues to operate with no downtime.\n\n1. source – external\n2. stimulus – unanticipated message received\n3. artifact – process\n4. environment – during normal operation\n5. response – system continues to operate\n6. response measure – zero downtime\n\nA QA Scenario for Modifiability\n\n- During maintenance, a change is made to the system’s rules engine. The change is completed in one day.\n\n1. source – requestor of the change\n2. stimulus – a change is made\n3. artifact – rules engine\n4. environment – during maintenance\n5. response – the change is completed\n6. response measure – …in one day\n\nA QA Scenario for Security\n\n- During peak operation, an unauthorized intruder tries to download prohibited data via the system administrator’s interface. The system detects the attempt, blocks access, and notifies authorities within 15 seconds.\n\n1. source – an unauthorized intruder\n2. stimulus – tries to download prohibited data\n3. artifact – system administrator’s interface\n4. environment – during peak operation\n5. response – the attempt is detected, blocked, reported\n6. response measure – …within 15 seconds\n\nMore about QAs\n\nThere is no standard set of quality attributes\n- People disagree on names:\n Maintainability/modifiability/portability\n- People come up with new ones: “calibrate-ability”\n- There is no standard meaning of what it means to be “secure”\n\nScenarios let us avoid all of these problems!\n\nThe QAs are defined by the scenarios!\n\nWho tells us what QA’s are important? Stakeholders!\n\nStakeholders\n\nStakeholders are people with a vested interest in the system. They are the people who can tell us what is needed. They are the people who can tell us if what we are building is the right thing.\n\nWe usually think of the user as telling us what is required, but there are many kinds of stakeholders.\n\nConcerns of System Stakeholders\n\n- Development organization’s management stakeholder\n - Low cost, keeping people employed, leveraging existing corporate assets!\n\n- Marketing stakeholder\n - Neat features, short time to market, low cost, parity with competing products!\n\n- End user stakeholder\n - Behavior, performance, security, reliability, usability!\n\n- Maintenance organization stakeholder\n - Modifiability!\n\n- Customer stakeholder\n - Low cost, timely delivery, not changed very often!\n\nArchitect: I need a raise!\n\nStakeholder Involvement\n\nStakeholders’ quality attribute requirements are seldom documented, which results in\n\n- goals not being achieved\n- conflict between stakeholders\n\nArchitects must identify and actively engage stakeholders early in the life cycle to\n\n- understand the real constraints of the system (many times, stakeholders ask for everything!)\n- manage the stakeholders’ expectations (they can’t have everything!)\n- negotiate the system’s priorities\n- make tradeoffs\n\nSEI Quality Attribute Workshop (QAW)\n\nThe QAW is a facilitated method that engages system stakeholders early in the life cycle to discover the driving quality attributes of a software-intensive system.\n\nKey points about the QAW are that it is\n\n- system-centric\n- stakeholder focused\n- used before the software architecture has been created\n\nQAW Steps\n\n1. QAW Presentation and Introductions\n2. Business/Mission Presentation\n3. Architectural Plan Presentation\n4. Identification of Architectural Drivers\n5. Scenario Brainstorming\n6. Scenario Consolidation\n7. Scenario Prioritization\n8. Scenario Refinement\n\nIterate as necessary with broader stakeholder community\n\nQAW Benefits and Next Steps\n\nPotential Benefits\n- increased stakeholder communication\n- clarified quality attribute requirements\n- informed basis for architectural decisions\n\nQAW\nQuality Attribute Scenarios:\n• raw\n• prioritized\n• refined\n\nCan be used to\n\nPotential Next Steps\nUpdate Architectural Vision\nRefine Requirements\nCreate Prototypes\nExercise Simulations\nCreate Architecture\n\nEvaluate Architecture\n\nCreating the architecture\n\nArchitects primarily work by using previously-tried solutions\n\n- Large scale: Patterns and styles\n- Small scale: Tactics\n\nStyles, patterns, and tactics represent conceptual tools in the architect’s “tool bag.”\n\nProfessional architects always keep their tool bag up to date.\n\nTactics\n\nAn architectural tactic is a fine-grained design approach used to achieve a quality attribute response.\n\nTactics are the “building blocks” of design from which architectural patterns are created.\n\nTactics for Availability\n\nStimulus: Fault occurs\n\nResponse: Fault masked or Repair made\n\nTactics to control Availability\n\nSummary of Availability Tactics\n\nFault Detection\n- Ping/Echo\n- Heartbeat\n- Exception\n\nFault Recovery Preparation and Repair\n- Voting\n- Active Redundancy\n- Passive Redundancy\n- Spare\n\nFault Recovery and Reintroduction\n- Shadow\n- State Resynchronization\n- Rollback\n\nFault Prevention\n- Removal From Service\n- Transactions\n- Process Monitor\n\nFault masked or repair made\n\nSummary of Modifiability Tactics\n\nStimulus: Change arrives\n\nModifiability\n\nLocalize Changes\n- Semantic coherence\n- Anticipate expected changes\n- Generalize module\n- Limit possible options\n- Abstract common services\n\nPrevention of Ripple Effect\n- Hide information\n- Maintain existing interface\n- Restrict communication paths\n- Use an intermediary\n\nDefer Binding Time\n- Runtime registration\n- Configuration files\n- Polymorphism\n- Component replacement\n- Adherence to defined protocols\n\nResponse: Changes made, tested, and deployed within time and budget\n\nTactics for Performance\n\nStimulus: Events arrive\n\nPerformance\n\nResource demand\n- Increase computation efficiency\n- Reduce computational overhead\n- Manage event rate\n- Control freq. Of sampling\n\nResource management\n- Introduce concurrency\n- Maintain multiple copies\n- Increase available resources\n\nResource arbitration\n- Scheduling policy\n\nResponse: Response generated within time constraints\n\nTactics for Security\n\nStimulus: Attack\n\nResponse: System detects, resists, or recovers from attacks\n\nSecurity\n\nResisting Attacks\n- Authenticate users\n- Authorize users\n- Maintain data confidentiality\n- Maintain integrity\n- Limit exposure\n- Limit access\n\nDetecting Attacks\n- Intrusion detection\n\nRecovering from an attack\n- Restoration\n - See “Availability”\n- Identification\n - Audit trail\n\nTactics for Testability\n\nStimulus: Completion of an increment\n\nTestability\n\nManage Input/Output\n- Record/playback\n- Separate interface from implementation\n- Specialized access routines/interfaces\n\nInternal monitoring\n- Built-in monitors\n\nResponse: Faults detected\n\nAttribute-Driven Design (ADD) Method\n\nADD is a step-by-step method for systematically producing the first architectural designs for a system.\n\nADD results\n• Overall structuring decisions\n• Interconnection and coordination mechanisms\n• Application of patterns and tactics to specific parts of architecture\n• Explicit achievement of quality attribute requirements\n• NOT detailed interfaces\n\nADD requires as input:\n• Quality attribute requirements\n• Functional requirements\n• Constraints\n\nAttribute-Driven Design (ADD) Steps\n\nStep 1: Confirm there is sufficient requirements information\nStep 2: Choose part of the system to decompose\nStep 3: Prioritize requirements and identify architectural drivers\nStep 4: Choose design concept – patterns, styles, tactics -- that satisfies the architectural drivers associated with the part of the system we’ve chosen to decompose.\nStep 5: Instantiate architectural elements and allocate functionality\nStep 6: Merge designs completed thus far\nStep 7: Allocate remaining functionality\nStep 8: Define interfaces for instantiated elements\nStep 9: Verify and refine requirements and make them constraints for instantiated elements\nStep 10: Repeat steps 2 through 9 for the next part of the system you wish to decompose\n\nNow what?\n\nHow do we know that our architecture is appropriate for its intended purpose?\n\nIn a large development project, an enormous amount of money may be riding on the architecture.\n\nThe company’s future may be at stake.\n\nWe need to evaluate the architecture.\n\nHow can we do this?\n\nThe SEI has developed the Architecture Tradeoff Analysis Method (ATAM).\n\nThe purpose of ATAM is: to assess the consequences of architectural decisions in light of quality attribute requirements and business goals.\n\nATAM Benefits\n\nThere are a number of benefits from performing ATAM evaluations\n\n- identified risks\n- clarified quality attribute requirements\n- improved architecture documentation\n- documented basis for architectural decisions\n- increased communication among stakeholders\n\nThe results are improved architectures.\n\nATAM Steps\n\n1. Present the ATAM\n2. Present business drivers\n3. Present architecture\n4. Identify architectural approaches\n5. Generate quality attribute utility tree\n6. Analyze architectural approaches\n7. Brainstorm and prioritize scenarios\n8. Analyze architectural approaches\n9. Present results\n\nPhase 1\n\nPhase 2\n\nUtility Tree Construction\n\n- Performance\n - Data Latency\n - (L,M) Reduce storage latency on customer DB to < 200 ms.\n - (M,M) Deliver video in real time\n - Transaction Throughput\n - (H,H) Add CORBA middleware in < 20 person-months\n - (H,L) Change web user interface in < 4 person-weeks\n\n- Modifiability\n - New products\n - (H,H) Power outage at site1 requires traffic redirected to site2 in < 3 seconds.\n - Change COTS\n - (H,H) Network failure detected and recovered in < 1.5 minutes\n\n- Availability\n - H/W failure\n - (H,H) Credit card transactions are secure 99.999% of the time\n - COTS S/W failures\n - (H,L) Customer DB authorization works 99.999% of the time\n\n- Security\n - Data confidentiality\n - Data integrity\n\nConceptual Flow of ATAM\n\n- Business Drivers\n- Software Architecture\n - Quality Attributes\n - Architectural Approaches\n - Scenarios\n - Architectural Decisions\n - Analysis\n - Tradeoffs\n - Sensitivity Points\n - Non-Risks\n - Risks\n - Risk Themes\n\nimpacts\n\ndistilled into\n\nDocumenting an architecture\n\nArchitecture serves as the blueprint for the system, and the project that develops it.\n\n- It defines the work assignments.\n- It is the primary carrier of quality attributes.\n- It is the best artifact for early analysis.\n- It is the key to post-deployment maintenance and mining.\n\nDocumenting the architecture is the crowning step to creating it.\n\nDocumentation speaks for the architect, today and 20 years from today.\n\nWhat’s the answer?\n\n“How do you document a software architecture?”\n\nIn industry, there seems to be a lack of systematic approaches to documentation. Instead, the emphasis has been on languages.\n\nIn the past, the answer seems to have been:\n\n• “Use UML.”\n\n• “Draw boxes and lines.”\n\n• “What else do I need besides my class diagrams in Rose?”\n\n• “Not very well.”\n\n• “How do you document a what?”\n\nNow, however, we have a much better answer.\n\n“Views and Beyond” approach to architecture documentation\n\nThe concept of a “view” gives us our main principle of architecture documentation:\n\nDocument the relevant views, and then add information that applies to more than one view, thus tying the views together.\n\nSummary: Documenting a View\n\nTemplate for a View Packet\n\nSection 1. Primary Presentation of the View Packet\n\nOR\n\nTextual version of the primary presentation\n\nSection 1: Primary presentation\n\nSection 2. Element catalog\n Section 2.A Elements and their properties\n Section 2.B Relations and their properties\n Section 2.C Element interfaces\n Section 2.D Element behavior\n\nSection 3. Context diagram\n\nSection 4. Variability Guide\n\nSection 5. Architecture Background\n Section 5.A Design rationale\n Section 5.B of Analysis Results\n Section 5.C Assumptions\n\nSection 6. Other Information\n\nSections 2-6: Supporting documentation\n\nA template for putting Documentation Beyond Views in a volume of its own:\n\nTemplate for Documentation Beyond Views\n\nHow the documentation is organized\n Section 1. Documentation roadmap\n Section 2. View template\n\nWhat the architecture is:\n Section 3. System overview\n Section 4. Mapping between views\n Section 5. Directory\n Section 6. Glossary and acronym list\n\nWhy the architecture is the way it is:\n Section 7. Background, design constraints, and rationale\n\nA Picture of Architecture-Based Dev.\n\nQAW\n\nPatterns and tactics\n\n\"Sketches\" of candidate views, determined by patterns\n\nChosen, combined views plus doc'n. beyond views\n\nADD\n\nPrioritized QA scenarios\n\nRequirements, constraints\n\nStakeholders\n\nVaB\n\nATAM\n\n© 2005 by Carnegie Mellon University\n\nSource of material\n\nSoftware Architecture in Practice, Len Bass, Paul Clements, Rick Kazman, Addison Wesley 2003\n\nEvaluating Software Architectures: Methods and Case Studies, Paul Clements, Rick Kazman, Mark Klein, Addison Wesley 2001\n\nDocumenting Software Architectures: Views and Beyond, P. Clements, F. Bachmann, L. Bass, D. Garlan, J. Ivers, R. Little, R. Nord, J. Stafford, Addison Wesley 2002\n\nNew project: Improving Software Architecture Competence\n\nArchitectures are created by architects.\n• How can we help them do their best work?\n• What does it mean for an architect to be competent?\n• How can an architect improve his/her competence?\n\nArchitects work in organizations.\n• How can we help an organization help their architects do their best work?\n• What does it mean for an organization that produces architectures to be competent?\n• How can an organization improve its competence in architecture?\n\nWhat do architects do?\n\nTo understand how to help architects do what they do, we need to understand what they do.\n\n- What are their duties?\n- What skills and knowledge made them “capable of performing their allotted or required function?”\n\nPhilippe Kruchten writes that he requires architects working for him to spend 50% of their time on the architecture.\n\nWhat do they do with the other 50%?\n\nWe can survey the “community”\n\nSources of information\n\n• “Broadcast” sources: Information written by self-styled experts for mass anonymous consumptions\n - Web sites: e.g., Bredemeyer, SEI, HP, IBM (16)\n - Blogs and essays (16)\n - “Duties” list on SEI web site\n - Books on software architecture (25 top-sellers)\n\n• Education and training sources:\n - University courses in software architecture (29)\n - Industrial/non-university public courses (22)\n - Certificate and certification programs in architecture; e.g., SEI, Open Group, Microsoft (7)\n\n• “Architecture for a living” sources\n - Position descriptions for software architects (60)\n - Résumés of software architects\n\nSurvey results to date\n\nThis is a work in progress.\n\nTo date, we have surveyed over 200 sources.\n\nWe have cataloged\n\n- 201 duties\n- 85 skills\n- 96 knowledge areas\n\nExample duties\n\nDuties related to documentation\n\n- Thoroughly understand and document the application domains for which the system will be built.\n- Prepare architectural documents and presentations.\n- Document software interfaces.\n- Produce a comprehensive documentation package for architecture useful to stakeholders.\n- Keeping reader’s point of view in mind while documenting.\n- Creating, standardizing and using architectural descriptions.\n- Use a certain documentation standard.\n- Document variability and dynamism.\n- Create conceptual architectural view.\n\n© 2005 by Carnegie Mellon University\n\nExample skills\n\nInspire creative collaboration\nInterpersonal skills\nInterviewing\nInvestigative\nLeadership\nLearning\nListening skills\nMaintains constructive working relationships\nMentoring\nNegotiation skills\nObservation power\nOpen minded\nOral and written communication skills\nOrganizational and workflow skills\nPatient\nPlanning skills\nPolitical sagacity\n\nExample knowledge\n\n<snip>\n Software Architecture concepts\n UML diagrams and UML analysis modeling\n Basic knowledge of Software Engineering\n Specialized knowledge of software engineering\n Knowledge about IT industry future directions\n Understanding of web-based applications\n Experience with Web Services Technologies\n Business re-engineering principles and processes\n Knowledge <cursor_is_here>\n</text>\n", "role": "user" }, { "content": "of industry’s best practices\n Experience in testing\n Knowledge of testing/debugging tools\n Experience with Real-time systems, Video systems\n Security domain Experience\n<snip>\n\nArchitecture Duties (categories)\n\n- Architecting\n- Life cycle phases other than architecture\n- Technology related\n- Interacting with the stakeholders\n- Management\n- Organization & Business related\n- Leadership & team building\n\n© 2005 by Carnegie Mellon University\n\nArchitecture Duties (sub-categories)\n\n- Creating architecture\n- Architecture Evaluation and Analysis\n- Documentation\n- Existing system and transformation\n- Overall\n- Requirements\n- Coding and development\n- Testing\n- Future technologies\n- Tools and technology selection\n- Overall\n- Clients\n- Developers\n- Project management\n- People management\n- Support for management\n- Organization\n- Business\n- Technical Leadership\n- Team Building\n\n© 2005 by Carnegie Mellon University\n\nArchitecture Skills (categories)\n\n- Communication\n- Inter-Personal skills\n- Work skills\n- Personal skills\n\n© 2005 by Carnegie Mellon University\n\nArchitecture Skills (sub-categories)\n\n- Communication(Out)\n- Communication(Both)\n- Communication(In)\n- Inter-personal skills(within team)\n- Inter-personal skills(with other people)\n- Leadership skills\n- Effectively Managing Workload\n- Skills to Excel in corporate environment\n- Skills for Handling Information\n- Personal Qualities\n- Skills for Handling Unknown\n- Skills for Handling Unexpected\n- Learning\n\nLegend:\n- Educational and training\n- Architecting for a living\n- Broadcasted\n- Overall Skills\n\nArchitecture Knowledge (categories)\n\n- Computer Science Knowledge\n- Knowledge of technologies and platforms\n- Knowledge about your organization’s context and management\n\n© 2005 by Carnegie Mellon University\n\nArchitecture Knowledge (sub-cat’s)\n\n- Knowledge of architecture concepts\n- Knowledge of software engineering\n- Design Knowledge\n- Programming Knowledge\n- Specific (technologies and platforms)\n- Platforms\n- General (technologies and platforms)\n- Domain Knowledge\n- Industry Knowledge\n- Enterprise Knowledge\n- Leadership and management\n\n© 2005 by Carnegie Mellon University\n\nDuties/Skills/Knowledge\n\nThis work lets us propose a “duties/skills/knowledge” model of competence.", "role": "assistant" } ]
2005 Decisions 1-6-2005 Kowalski v. Comm Social Security Precedential or Non-Precedential: Non-Precedential Docket No. 04-1660 Follow this and additional works at: http://digitalcommons.law.villanova.edu/thirdcircuit_2005 Recommended Citation "Kowalski v. Comm Social Security" (2005). 2005 Decisions. 1576. http://digitalcommons.law.villanova.edu/thirdcircuit_2005/1576 This decision is brought to you for free and open access by the Opinions of the United States Court of Appeals for the Third Circuit at Villanova University Charles Widger School of Law Digital Repository. It has been accepted for inclusion in 2005 Decisions by an authorized administrator of Villanova University Charles Widger School of Law Digital Repository. For more information, please contact [email protected]. Opinions of the United States Court of Appeals for the Third Circuit NOT PRECEDENTIAL UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT No. 04-1660 SHARON KOWALSKI, Appellant v. JO ANNE B. BARNHART, COMMISSIONER OF SOCIAL SECURITY On Appeal from the United States District Court for the Middle District of Pennsylvania (D.C. Civil No. 02-cv-01327) District Judge: The Honorable William W. Caldwell ______________ Submitted Under Third Circuit LAR 34.1(a) December 17, 2004 Before: NYGAARD and GARTH, Circuit Judges. and POLLAK, * District Judge. (Filed January 6, 2005) ______________ OPINION OF THE COURT ______________ POLLAK, District Judge. In this case, we are asked to review the opinion of Magistrate Judge Thomas M. *Honorable Louis H. Pollak, Senior District Judge for the United States District Court of the Eastern District of Pennsylvania, sitting by designation. Blewitt, adopted by Judge William W. Caldwell of the United States District Court for the Middle District of Pennsylvania. Magistrate Judge Blewitt affirmed the opinion of an Administrative Law Judge (ALJ) denying social security benefits to Sharon Kowalski, appellant herein. I. Background Ms. Kowalski is a fifty-three year old woman who suffers from a left knee impairment that, in May 2000, necessitated total replacement surgery. Ms. Kowalski filed a first application for Disability Insurance Benefits and Social Security Income Benefits on October 15, 1997. That application was denied on December 17, 1998, and Ms. Kowalski did not appeal. She filed a second application on April 10, 2001, alleging an inability to work since September 1, 1997. As the ALJ found, however, evaluation of her candidacy for benefits could date back no further than December 18, 1998, the day after her first application was denied. The ALJ found further that Ms. Kowalski was insured for benefits only through September 30, 2001. As such, the relevant period of evaluation spanned from December 18, 1998 through September 30, 2001. The ALJ proceeded through the five-step sequential analysis according to which eligibility for disability benefits is evaluated. See 20 C.F.R. § 404.1520. 1 At step three, the ALJ found that Ms. Kowalski’s impairment did not meet or equal a listed impairment. 120 C.F.R. § 404.1520 provides: The sequential evaluation process is a series of five "steps" that we follow in a set order. If we can find that you are disabled or not disabled at a step, we make our determination or decision and we do not go on to the next step. If we cannot find that you are disabled or not disabled at a step, we go on to the next step. Before we go from step three to step four, we assess your residual functional capacity. (See paragraph (e) of this section.) We use this residual functional capacity assessment at both step four and step five when we evaluate your claim at these steps. These are the five steps we follow: (I) At the first step, we consider your work activity, if any. If you are doing substantial gainful activity, we will find that you are not disabled. (See paragraph (b) of this section.) (ii) At the second step, we consider the medical severity of your impairment(s). If you do not have a severe medically determinable physical or mental impairment that meets the duration requirement in §§ 404.1509, or a combination of impairments that is severe and meets the duration requirement, we will find that you are not disabled. (See paragraph (c) of this section.) (iii) At the third step, we also consider the medical severity of your impairment(s). If you have an impairment(s) that meets or equals one of our listings in appendix 1 of this subpart and meets the duration requirement, we will find that you are disabled. (See paragraph (d) of this section.) (iv) At the fourth step, we consider our assessment of your residual functional capacity and your past relevant work. If you can still do your past relevant work, we will find that you are not disabled. (See paragraph (f) of this section and §§ 404.1560(b).) (v) At the fifth and last step, we consider our assessment of your residual functional capacity and your age, education, and work experience to see if you can make an adjustment to other work. If you can make an adjustment to other work, we will find that you are not disabled. If you cannot make an adjustment to other work, we will find that you are disabled. Moving on to step four, the ALJ determined that Ms. Kowalski could not perform her past work but, at step five, the ALJ adopted the testimony of a vocational expert that there existed a significant number of jobs in the national economy that Ms. Kowalski could perform despite her knee problems. As such, the ALJ found that Ms. Kowalski was not disabled and he denied her application. Ms. Kowalski requested that the Social Security Appeals Council review the ALJ's decision, and the Council denied her request, rendering the ALJ's decision the final decision of the Commissioner for purposes of judicial review, see Sims v. Apfel, 530 U.S. 103, 106 (2000). Ms. Kowalski then filed a complaint in the United States District Court. Her case was reviewed initially by Magistrate Judge Blewitt, who authored a Report and Recommendations (R & R) that was adopted by Judge Caldwell of the District Court despite Ms. Kowalski's objections. This timely appeal followed. II. Discussion "We review the ALJ's decision under the same standard as the District Court, to determine whether there is substantial evidence on the record to support the ALJ's decision." Burnett v. Commissioner, 220 F.3d 112, 118 (3d Cir. 2000). See 42 U.S.C. § 405(g). "Substantial evidence has been defined as more than a mere scintilla. It means such relevant evidence as a reasonable mind might accept as adequate." Plummer v. Apfel, 186 F.3d 422, 427 (3d Cir. 1999) (citing Ventura v. Shalala, 55 F.3d 900, 901 (3d Cir. 1995) ). On appeal, Ms. Kowalski first contends that the Magistrate Judge erred when he concluded that the ALJ had fully explained his reasoning at step 3, where he found that Ms. Kowalski's impairment did not meet or equal any listed impairments that would render her disabled per se. Second, Ms. Kowalski argues that the Magistrate Judge erred when he made his own comparison of the evidence to the listed impairments, rather than remanding the case for further fact-finding by the ALJ. Third, Ms. Kowalski maintains that the Magistrate Judge erred in concluding that the ALJ considered all of the evidence and in affirming the ALJ's finding that Ms. Kowalski was not entitled to a closed period of disability from December 18, 1998 to May 1, 2000. Finally, Ms. Kowalski argues that the Magistrate Judge erred when he engaged in his own analysis as to whether Ms. Kowalski was entitled to a closed period of disability. A. Step Three: Whether the ALJ Adequately Supported His Finding that Ms. Kowalski Was Not Per Se Disabled As Ms. Kowalski correctly notes, an ALJ must do more than just state his conclusion; "he must set forth the reasons for his decision," Burnett, 220 F.3d at 119. Thus, in Burnett, this court vacated a decision by the ALJ containing no more than the conclusion from his step three analysis; the court remanded the case for a discussion of the evidence and an explanation of reasoning supporting the ALJ's step three determination. 220 F.3d at 120. Ms. Kowalski maintains that the ALJ's step three determination suffers from the same defect as did the determination at issue in Burnett, and that remand is thus appropriate. In Burnett, the ALJ's entire step three analysis consisted of the following statement: "'Although [Burnett] has established that she suffers from a severe musculoskeletal [impairment], said impairment failed to equal the level of severity of any disabling condition contained in Appendix 1, Subpart P of Social Security Regulations No. 4.'" 220 F.3d at 119 (citing the ALJ opinion). The ALJ did not list the specific impairments with which he had compared Ms. Burnett's impairment, nor did he discuss the evidence in light of the listed impairments. The court referred to the ALJ's analysis as "hopelessly inadequate" since it provided the court with nothing to review. Id. At 120. Confronting challenges to step three analyses in the wake of Burnett, this court has been at pains to circumscribe its holding. See, e.g., Jones v. Barnhart, 364 F.3d 501, 505 (3d Cir., 2004). In Jones, the court stated that "Burnett does not require the ALJ to use particular language or adhere to a particular format in conducting his analysis. Rather, the function of Burnett is to ensure that there is sufficient development of the record and explanation of findings to permit meaningful review." 364 F.3d at 505. The ALJ's decision in this case is sufficiently reasoned to allow for meaningful judicial review. Unlike in Burnett, the ALJ here did list the sections describing the impairments to which he compared Ms. Kowalski's condition. Moreover, he devoted over two pages of his opinion to a discussion of the evidence, focusing in particular on the range of motion of Ms. Kowalski's left knee, impairment of which is a prerequisite for one of the listed disabilities, see Appendix 1, Section 1.02. Finally, the ALJ stated that "[i]t is important to note that no treating physician has determined the claimant [Ms. Kowalski] to be disabled." AR at 16. Substantial evidence thus supported the ALJ's determination that Ms. Kowalski did not have an impairment that met or equaled one of the listed impairments, and the ALJ presented this evidence in the course of his opinion. Accordingly, his step three determination was not based upon a conclusory statement and the Magistrate Judge did not err in upholding this determination. 2 B. The Magistrate Judge's Review of the ALJ's Step Three Analysis Ms. Kowalski contends that, to respond to her attack on the ALJ's inadequate step three reasoning, the Magistrate Judge conducted his own step three analysis, thereby contravening the basic principle that district courts may not make findings of fact to supplement those of the Commissioner, see, e.g., Grant v. Shalala, 989 F.2d 1332 (3d Cir., 1993). Yet, while it is true that the district court (or the magistrate judge whose findings the district court adopts) may not engage in fact-finding, it is commonplace for the district court to go beyond the ALJ's decision and look to the record in order to determine whether substantial evidence supported the ALJ's findings. See, e.g., McCrea 2It is also worth noting, as appellees urge us to do, that Kowalski fails to indicate which of the listed impairments she would allegedly satisfy. v. Comm'r of Soc. Sec., 370 F.3d 357 (3d Cir., 2004); Jones v. Barnhart, 364 F.3d 501 (3d Cir., 2004). Indeed, this is just what substantial evidence review requires. See, e.g., Mathews v. Weber, 423 U.S. 261, 263 (U.S., 1976) (holding that "the Federal Magistrates Act, 28 U.S.C. §§ 631 et seq., permits a United States district court to refer all Social Security benefit cases to magistrate judges for preliminary review of the administrative record, oral argument, and preparation of a recommended decision as to whether the record contains substantial evidence to support the administrative determination"). The Magistrate Judge's use of the record here, for purposes of determining whether the ALJ's step three analysis was supported by substantial evidence, was thus entirely appropriate. C. The ALJ's Determination that Ms. Kowalski Was Not Entitled to a Closed Period of Disability In the proceedings below, Ms. Kowalski argued that the ALJ's analysis was wanting since, according to her, the ALJ considered only the evidence pertaining to her limitations in the period after her knee replacement surgery, on May 1, 2000. Since the ALJ is required to weigh all of the relevant, probative and available evidence before him, see Dobrowolsky v. Califano, 606 F.2d 403, 407 (3d Cir. 1979), Ms. Kowalski argued that the ALJ's (alleged) failure to do so here constituted error. The Magistrate Judge disagreed, arguing that "none of the findings pertaining to the relevant time period appear to suggest any findings other than those already cited by the ALJ regarding the Plaintiff's treatment following total knee replacement," Kowalski v. Barnhart, No. 02-1327 at 10 (M.D. Pa. filed Dec. 22, 2003). The Magistrate Judge further defended the ALJ's opinion by citing to the portion of that opinion in which the ALJ stated that "the Plaintiff overstated her symptoms of pain and [] her complaints were inconsistent with the diagnostic findings." Id. On appeal, Ms. Kowalski maintains (without argument) that the Magistrate Judge erred. While the Magistrate Judge's reasoning is flawed, 3 the underlying ALJ decision is defensible. The ALJ recited Ms. Kowalski's medical history beginning on October 26, 1996. He described her condition on January 23, 1997 and on March 17, 1999. He also stated that "[i]t is important to note that no treating physician has determined the claimant to be disabled" – a statement that reflected the medical opinions of the physicians treating Ms. Kowalski throughout the period of alleged disability. Finally, as the Magistrate Judge argued, substantial evidence supported the ALJ's determination that at no time from December 18, 1998 through September 30, 2001 did Ms. Kowalski qualify as disabled. 3The Magistrate Judge is correct that the record relates that Ms. Kowalski's condition from December 18, 1998 to May 1, 2000, was not significantly different from that after her surgery – in the closed period in question, Ms. Kowalski was found to have a good range of motion, AR 364, and could even walk one to two miles without difficulty, AR 262. Nonetheless, the presence of this information in the record would not justify the ALJ's failure to reference it in his opinion, if the ALJ had in fact failed to do so. The Magistrate Judge's contention that the ALJ found that Ms. Kowalski had overstated her symptoms is unhelpful because the ALJ's finding was indexed to the testimony Ms. Kowalski gave regarding her symptoms at the time of the hearing, and not during the period from December 18, 1998 to May 1, 2000. D. The Magistrate Judge's Review of the ALJ's Determination that Ms. Kowalski Was Not Entitled to A Closed Period of Disability Ms. Kowalski argues that the Magistrate Judge erred by making his own findings of fact and concluding that she was not entitled to a closed period of disability. While the Magistrate Judge did recite record entries tending to show that Ms. Kowalski was not disabled between December 1, 1998 and May 1, 2000, this recitation was intended to demonstrate, and did demonstrate, that substantial evidence supported the ALJ's decision. As such, there was nothing inappropriate about the Magistrate Judge's use of the record here. III. Conclusion The ALJ's decision was well-reasoned and supported by substantial evidence. Since the Magistrate Judge so found, the decision of the District Court adopting the Report and Recommendations of the Magistrate Judge shall be AFFIRMED.	<urn:uuid:5c15f400-2d7a-47a7-b615-19ee8c5611e7>	CC-MAIN-2019-43	https://digitalcommons.law.villanova.edu/cgi/viewcontent.cgi?article=2575&context=thirdcircuit_2005	2019-10-19T14:19:20Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-43/segments/1570986696339.42/warc/CC-MAIN-20191019141654-20191019165154-00249.warc.gz	432,392,121	3,796	eng_Latn	eng_Latn	0.98237	eng_Latn	0.996142	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 884, 1714, 2917, 5227, 6627, 8168, 10599, 11507, 13180, 15065, 15968 ]	2005 Decisions 1-6-2005 Kowalski v. Comm Social Security Precedential or Non-Precedential: Non-Precedential Docket No. 04-1660 Follow this and additional works at: http://digitalcommons.law.villanova.edu/thirdcircuit_2005 Recommended Citation "Kowalski v. Comm Social Security" (2005). 2005 Decisions. 1576. http://digitalcommons.law.villanova.edu/thirdcircuit_2005/1576 This decision is brought to you for free and open access by the Opinions of the United States Court of Appeals for the Third Circuit at Villanova University Charles Widger School of Law Digital Repository. It has been accepted for inclusion in 2005 Decisions by an authorized administrator of Villanova University Charles Widger School of Law Digital Repository. For more information, please contact [email protected]. Opinions of the United States Court of Appeals for the Third Circuit NOT PRECEDENTIAL UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT No. 04-1660 SHARON KOWALSKI, Appellant v. JO ANNE B. BARNHART, COMMISSIONER OF SOCIAL SECURITY On Appeal from the United States District Court for the Middle District of Pennsylvania (D.C. Civil No. 02-cv-01327) District Judge: The Honorable William W. Caldwell ______________ Submitted Under Third Circuit LAR 34.1(a) December 17, 2004 Before: NYGAARD and GARTH, Circuit Judges. and POLLAK, * District Judge. (Filed January 6, 2005) ______________ OPINION OF THE COURT ______________ POLLAK, District Judge. In this case, we are asked to review the opinion of Magistrate Judge Thomas M. *Honorable Louis H. Pollak, Senior District Judge for the United States District Court of the Eastern District of Pennsylvania, sitting by designation. Blewitt, adopted by Judge William W. Caldwell of the United States District Court for the Middle District of Pennsylvania. Magistrate Judge Blewitt affirmed the opinion of an Administrative Law Judge (ALJ) denying social security benefits to Sharon Kowalski, appellant herein. I. Background Ms. Kowalski is a fifty-three year old woman who suffers from a left knee impairment that, in May 2000, necessitated total replacement surgery. Ms. Kowalski filed a first application for Disability Insurance Benefits and Social Security Income Benefits on October 15, 1997. That application was denied on December 17, 1998, and Ms. Kowalski did not appeal. She filed a second application on April 10, 2001, alleging an inability to work since September 1, 1997. As the ALJ found, however, evaluation of her candidacy for benefits could date back no further than December 18, 1998, the day after her first application was denied. The ALJ found further that Ms. Kowalski was insured for benefits only through September 30, 2001. As such, the relevant period of evaluation spanned from December 18, 1998 through September 30, 2001. The ALJ proceeded through the five-step sequential analysis according to which eligibility for disability benefits is evaluated. See 20 C.F.R. § 404.1520. 1 At step three, the ALJ found that Ms. Kowalski’s impairment did not meet or equal a listed impairment. 120 C.F.R. § 404.1520 provides: The sequential evaluation process is a series of five "steps" that we follow in a set order. If we can find that you are disabled or not disabled at a step, we make our determination or decision and we do not go on to the next step. If we cannot find that you are disabled or not disabled at a step, we go on to the next step. Before we go from step three to step four, we assess your residual functional capacity. (See paragraph (e) of this section.) We use this residual functional capacity assessment at both step four and step five when we evaluate your claim at these steps. These are the five steps we follow: (I) At the first step, we consider your work activity, if any. If you are doing substantial gainful activity, we will find that you are not disabled. (See paragraph (b) of this section.) (ii) At the second step, we consider the medical severity of your impairment(s). If you do not have a severe medically determinable physical or mental impairment that meets the duration requirement in §§ 404.1509, or a combination of impairments that is severe and meets the duration requirement, we will find that you are not disabled. (See paragraph (c) of this section.) (iii) At the third step, we also consider the medical severity of your impairment(s). If you have an impairment(s) that meets or equals one of our listings in appendix 1 of this subpart and meets the duration requirement, we will find that you are disabled. (See paragraph (d) of this section.) (iv) At the fourth step, we consider our assessment of yo	ur residual functional capacity and your past relevant work.	If you can still do your past relevant work, we will find that you are not disabled. (See paragraph (f) of this section and §§ 404.1560(b).) (v) At the fifth and last step, we consider our assessment of your residual functional capacity and your age, education, and work experience to see if you can make an adjustment to other work. If you can make an adjustment to other work, we will find that you are not disabled. If you cannot make an adjustment to other work, we will find that you are disabled. Moving on to step four, the ALJ determined that Ms. Kowalski could not perform her past work but, at step five, the ALJ adopted the testimony of a vocational expert that there existed a significant number of jobs in the national economy that Ms. Kowalski could perform despite her knee problems. As such, the ALJ found that Ms. Kowalski was not disabled and he denied her application. Ms. Kowalski requested that the Social Security Appeals Council review the ALJ's decision, and the Council denied her request, rendering the ALJ's decision the final decision of the Commissioner for purposes of judicial review, see Sims v. Apfel, 530 U.S. 103, 106 (2000). Ms. Kowalski then filed a complaint in the United States District Court. Her case was reviewed initially by Magistrate Judge Blewitt, who authored a Report and Recommendations (R & R) that was adopted by Judge Caldwell of the District Court despite Ms. Kowalski's objections. This timely appeal followed. II. Discussion "We review the ALJ's decision under the same standard as the District Court, to determine whether there is substantial evidence on the record to support the ALJ's decision." Burnett v. Commissioner, 220 F.3d 112, 118 (3d Cir. 2000). See 42 U.S.C. § 405(g). "Substantial evidence has been defined as more than a mere scintilla. It means such relevant evidence as a reasonable mind might accept as adequate." Plummer v. Apfel, 186 F.3d 422, 427 (3d Cir. 1999) (citing Ventura v. Shalala, 55 F.3d 900, 901 (3d Cir. 1995) ). On appeal, Ms. Kowalski first contends that the Magistrate Judge erred when he concluded that the ALJ had fully explained his reasoning at step 3, where he found that Ms. Kowalski's impairment did not meet or equal any listed impairments that would render her disabled per se. Second, Ms. Kowalski argues that the Magistrate Judge erred when he made his own comparison of the evidence to the listed impairments, rather than remanding the case for further fact-finding by the ALJ. Third, Ms. Kowalski maintains that the Magistrate Judge erred in concluding that the ALJ considered all of the evidence and in affirming the ALJ's finding that Ms. Kowalski was not entitled to a closed period of disability from December 18, 1998 to May 1, 2000. Finally, Ms. Kowalski argues that the Magistrate Judge erred when he engaged in his own analysis as to whether Ms. Kowalski was entitled to a closed period of disability. A. Step Three: Whether the ALJ Adequately Supported His Finding that Ms. Kowalski Was Not Per Se Disabled As Ms. Kowalski correctly notes, an ALJ must do more than just state his conclusion; "he must set forth the reasons for his decision," Burnett, 220 F.3d at 119. Thus, in Burnett, this court vacated a decision by the ALJ containing no more than the conclusion from his step three analysis; the court remanded the case for a discussion of the evidence and an explanation of reasoning supporting the ALJ's step three determination. 220 F.3d at 120. Ms. Kowalski maintains that the ALJ's step three determination suffers from the same defect as did the determination at issue in Burnett, and that remand is thus appropriate. In Burnett, the ALJ's entire step three analysis consisted of the following statement: "'Although [Burnett] has established that she suffers from a severe musculoskeletal [impairment], said impairment failed to equal the level of severity of any disabling condition contained in Appendix 1, Subpart P of Social Security Regulations No. 4.'" 220 F.3d at 119 (citing the ALJ opinion). The ALJ did not list the specific impairments with which he had compared Ms. Burnett's impairment, nor did he discuss the evidence in light of the listed impairments. The court referred to the ALJ's analysis as "hopelessly inadequate" since it provided the court with nothing to review. Id. At 120. Confronting challenges to step three analyses in the wake of Burnett, this court has been at pains to circumscribe its holding. See, e.g., Jones v. Barnhart, 364 F.3d 501, 505 (3d Cir., 2004). In Jones, the court stated that "Burnett does not require the ALJ to use particular language or adhere to a particular format in conducting his analysis. Rather, the function of Burnett is to ensure that there is sufficient development of the record and explanation of findings to permit meaningful review." 364 F.3d at 505. The ALJ's decision in this case is sufficiently reasoned to allow for meaningful judicial review. Unlike in Burnett, the ALJ here did list the sections describing the impairments to which he compared Ms. Kowalski's condition. Moreover, he devoted over two pages of his opinion to a discussion of the evidence, focusing in particular on the range of motion of Ms. Kowalski's left knee, impairment of which is a prerequisite for one of the listed disabilities, see Appendix 1, Section 1.02. Finally, the ALJ stated that "[i]t is important to note that no treating physician has determined the claimant [Ms. Kowalski] to be disabled." AR at 16. Substantial evidence thus supported the ALJ's determination that Ms. Kowalski did not have an impairment that met or equaled one of the listed impairments, and the ALJ presented this evidence in the course of his opinion. Accordingly, his step three determination was not based upon a conclusory statement and the Magistrate Judge did not err in upholding this determination. 2 B. The Magistrate Judge's Review of the ALJ's Step Three Analysis Ms. Kowalski contends that, to respond to her attack on the ALJ's inadequate step three reasoning, the Magistrate Judge conducted his own step three analysis, thereby contravening the basic principle that district courts may not make findings of fact to supplement those of the Commissioner, see, e.g., Grant v. Shalala, 989 F.2d 1332 (3d Cir., 1993). Yet, while it is true that the district court (or the magistrate judge whose findings the district court adopts) may not engage in fact-finding, it is commonplace for the district court to go beyond the ALJ's decision and look to the record in order to determine whether substantial evidence supported the ALJ's findings. See, e.g., McCrea 2It is also worth noting, as appellees urge us to do, that Kowalski fails to indicate which of the listed impairments she would allegedly satisfy. v. Comm'r of Soc. Sec., 370 F.3d 357 (3d Cir., 2004); Jones v. Barnhart, 364 F.3d 501 (3d Cir., 2004). Indeed, this is just what substantial evidence review requires. See, e.g., Mathews v. Weber, 423 U.S. 261, 263 (U.S., 1976) (holding that "the Federal Magistrates Act, 28 U.S.C. §§ 631 et seq., permits a United States district court to refer all Social Security benefit cases to magistrate judges for preliminary review of the administrative record, oral argument, and preparation of a recommended decision as to whether the record contains substantial evidence to support the administrative determination"). The Magistrate Judge's use of the record here, for purposes of determining whether the ALJ's step three analysis was supported by substantial evidence, was thus entirely appropriate. C. The ALJ's Determination that Ms. Kowalski Was Not Entitled to a Closed Period of Disability In the proceedings below, Ms. Kowalski argued that the ALJ's analysis was wanting since, according to her, the ALJ considered only the evidence pertaining to her limitations in the period after her knee replacement surgery, on May 1, 2000. Since the ALJ is required to weigh all of the relevant, probative and available evidence before him, see Dobrowolsky v. Califano, 606 F.2d 403, 407 (3d Cir. 1979), Ms. Kowalski argued that the ALJ's (alleged) failure to do so here constituted error. The Magistrate Judge disagreed, arguing that "none of the findings pertaining to the relevant time period appear to suggest any findings other than those already cited by the ALJ regarding the Plaintiff's treatment following total knee replacement," Kowalski v. Barnhart, No. 02-1327 at 10 (M.D. Pa. filed Dec. 22, 2003). The Magistrate Judge further defended the ALJ's opinion by citing to the portion of that opinion in which the ALJ stated that "the Plaintiff overstated her symptoms of pain and [] her complaints were inconsistent with the diagnostic findings." Id. On appeal, Ms. Kowalski maintains (without argument) that the Magistrate Judge erred. While the Magistrate Judge's reasoning is flawed, 3 the underlying ALJ decision is defensible. The ALJ recited Ms. Kowalski's medical history beginning on October 26, 1996. He described her condition on January 23, 1997 and on March 17, 1999. He also stated that "[i]t is important to note that no treating physician has determined the claimant to be disabled" – a statement that reflected the medical opinions of the physicians treating Ms. Kowalski throughout the period of alleged disability. Finally, as the Magistrate Judge argued, substantial evidence supported the ALJ's determination that at no time from December 18, 1998 through September 30, 2001 did Ms. Kowalski qualify as disabled. 3The Magistrate Judge is correct that the record relates that Ms. Kowalski's condition from December 18, 1998 to May 1, 2000, was not significantly different from that after her surgery – in the closed period in question, Ms. Kowalski was found to have a good range of motion, AR 364, and could even walk one to two miles without difficulty, AR 262. Nonetheless, the presence of this information in the record would not justify the ALJ's failure to reference it in his opinion, if the ALJ had in fact failed to do so. The Magistrate Judge's contention that the ALJ found that Ms. Kowalski had overstated her symptoms is unhelpful because the ALJ's finding was indexed to the testimony Ms. Kowalski gave regarding her symptoms at the time of the hearing, and not during the period from December 18, 1998 to May 1, 2000. D. The Magistrate Judge's Review of the ALJ's Determination that Ms. Kowalski Was Not Entitled to A Closed Period of Disability Ms. Kowalski argues that the Magistrate Judge erred by making his own findings of fact and concluding that she was not entitled to a closed period of disability. While the Magistrate Judge did recite record entries tending to show that Ms. Kowalski was not disabled between December 1, 1998 and May 1, 2000, this recitation was intended to demonstrate, and did demonstrate, that substantial evidence supported the ALJ's decision. As such, there was nothing inappropriate about the Magistrate Judge's use of the record here. III. Conclusion The ALJ's decision was well-reasoned and supported by substantial evidence. Since the Magistrate Judge so found, the decision of the District Court adopting the Report and Recommendations of the Magistrate Judge shall be AFFIRMED.	4,647	inside_word	your	remove_one_sentence	<url> https://digitalcommons.law.villanova.edu/cgi/viewcontent.cgi?article=2575&context=thirdcircuit_2005 </url> <text> 2005 Decisions 1-6-2005 Kowalski v. Comm Social Security Precedential or Non-Precedential: Non-Precedential Docket No. 04-1660 Follow this and additional works at: http://digitalcommons.law.villanova.edu/thirdcircuit_2005 Recommended Citation "Kowalski v. Comm Social Security" (2005). 2005 Decisions. 1576. http://digitalcommons.law.villanova.edu/thirdcircuit_2005/1576 This decision is brought to you for free and open access by the Opinions of the United States Court of Appeals for the Third Circuit at Villanova University Charles Widger School of Law Digital Repository. It has been accepted for inclusion in 2005 Decisions by an authorized administrator of Villanova University Charles Widger School of Law Digital Repository. For more information, please contact [email protected]. Opinions of the United States Court of Appeals for the Third Circuit NOT PRECEDENTIAL UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT No. 04-1660 SHARON KOWALSKI, Appellant v. JO ANNE B. BARNHART, COMMISSIONER OF SOCIAL SECURITY On Appeal from the United States District Court for the Middle District of Pennsylvania (D.C. Civil No. 02-cv-01327) District Judge: The Honorable William W. Caldwell ______________ Submitted Under Third Circuit LAR 34.1(a) December 17, 2004 Before: NYGAARD and GARTH, Circuit Judges. and POLLAK, * District Judge. (Filed January 6, 2005) ______________ OPINION OF THE COURT ______________ POLLAK, District Judge. In this case, we are asked to review the opinion of Magistrate Judge Thomas M. *Honorable Louis H. Pollak, Senior District Judge for the United States District Court of the Eastern District of Pennsylvania, sitting by designation. Blewitt, adopted by Judge William W. Caldwell of the United States District Court for the Middle District of Pennsylvania. Magistrate Judge Blewitt affirmed the opinion of an Administrative Law Judge (ALJ) denying social security benefits to Sharon Kowalski, appellant herein. I. Background Ms. Kowalski is a fifty-three year old woman who suffers from a left knee impairment that, in May 2000, necessitated total replacement surgery. Ms. Kowalski filed a first application for Disability Insurance Benefits and Social Security Income Benefits on October 15, 1997. That application was denied on December 17, 1998, and Ms. Kowalski did not appeal. She filed a second application on April 10, 2001, alleging an inability to work since September 1, 1997. As the ALJ found, however, evaluation of her candidacy for benefits could date back no further than December 18, 1998, the day after her first application was denied. The ALJ found further that Ms. Kowalski was insured for benefits only through September 30, 2001. As such, the relevant period of evaluation spanned from December 18, 1998 through September 30, 2001. The ALJ proceeded through the five-step sequential analysis according to which eligibility for disability benefits is evaluated. See 20 C.F.R. § 404.1520. 1 At step three, the ALJ found that Ms. Kowalski’s impairment did not meet or equal a listed impairment. 120 C.F.R. § 404.1520 provides: The sequential evaluation process is a series of five "steps" that we follow in a set order. If we can find that you are disabled or not disabled at a step, we make our determination or decision and we do not go on to the next step. If we cannot find that you are disabled or not disabled at a step, we go on to the next step. Before we go from step three to step four, we assess your residual functional capacity. (See paragraph (e) of this section.) We use this residual functional capacity assessment at both step four and step five when we evaluate your claim at these steps. These are the five steps we follow: (I) At the first step, we consider your work activity, if any. If you are doing substantial gainful activity, we will find that you are not disabled. (See paragraph (b) of this section.) (ii) At the second step, we consider the medical severity of your impairment(s). If you do not have a severe medically determinable physical or mental impairment that meets the duration requirement in §§ 404.1509, or a combination of impairments that is severe and meets the duration requirement, we will find that you are not disabled. (See paragraph (c) of this section.) (iii) At the third step, we also consider the medical severity of your impairment(s). If you have an impairment(s) that meets or equals one of our listings in appendix 1 of this subpart and meets the duration requirement, we will find that you are disabled. (See paragraph (d) of this section.) (iv) At the fourth step, we consider our assessment of yo<cursor_is_here> If you can still do your past relevant work, we will find that you are not disabled. (See paragraph (f) of this section and §§ 404.1560(b).) (v) At the fifth and last step, we consider our assessment of your residual functional capacity and your age, education, and work experience to see if you can make an adjustment to other work. If you can make an adjustment to other work, we will find that you are not disabled. If you cannot make an adjustment to other work, we will find that you are disabled. Moving on to step four, the ALJ determined that Ms. Kowalski could not perform her past work but, at step five, the ALJ adopted the testimony of a vocational expert that there existed a significant number of jobs in the national economy that Ms. Kowalski could perform despite her knee problems. As such, the ALJ found that Ms. Kowalski was not disabled and he denied her application. Ms. Kowalski requested that the Social Security Appeals Council review the ALJ's decision, and the Council denied her request, rendering the ALJ's decision the final decision of the Commissioner for purposes of judicial review, see Sims v. Apfel, 530 U.S. 103, 106 (2000). Ms. Kowalski then filed a complaint in the United States District Court. Her case was reviewed initially by Magistrate Judge Blewitt, who authored a Report and Recommendations (R & R) that was adopted by Judge Caldwell of the District Court despite Ms. Kowalski's objections. This timely appeal followed. II. Discussion "We review the ALJ's decision under the same standard as the District Court, to determine whether there is substantial evidence on the record to support the ALJ's decision." Burnett v. Commissioner, 220 F.3d 112, 118 (3d Cir. 2000). See 42 U.S.C. § 405(g). "Substantial evidence has been defined as more than a mere scintilla. It means such relevant evidence as a reasonable mind might accept as adequate." Plummer v. Apfel, 186 F.3d 422, 427 (3d Cir. 1999) (citing Ventura v. Shalala, 55 F.3d 900, 901 (3d Cir. 1995) ). On appeal, Ms. Kowalski first contends that the Magistrate Judge erred when he concluded that the ALJ had fully explained his reasoning at step 3, where he found that Ms. Kowalski's impairment did not meet or equal any listed impairments that would render her disabled per se. Second, Ms. Kowalski argues that the Magistrate Judge erred when he made his own comparison of the evidence to the listed impairments, rather than remanding the case for further fact-finding by the ALJ. Third, Ms. Kowalski maintains that the Magistrate Judge erred in concluding that the ALJ considered all of the evidence and in affirming the ALJ's finding that Ms. Kowalski was not entitled to a closed period of disability from December 18, 1998 to May 1, 2000. Finally, Ms. Kowalski argues that the Magistrate Judge erred when he engaged in his own analysis as to whether Ms. Kowalski was entitled to a closed period of disability. A. Step Three: Whether the ALJ Adequately Supported His Finding that Ms. Kowalski Was Not Per Se Disabled As Ms. Kowalski correctly notes, an ALJ must do more than just state his conclusion; "he must set forth the reasons for his decision," Burnett, 220 F.3d at 119. Thus, in Burnett, this court vacated a decision by the ALJ containing no more than the conclusion from his step three analysis; the court remanded the case for a discussion of the evidence and an explanation of reasoning supporting the ALJ's step three determination. 220 F.3d at 120. Ms. Kowalski maintains that the ALJ's step three determination suffers from the same defect as did the determination at issue in Burnett, and that remand is thus appropriate. In Burnett, the ALJ's entire step three analysis consisted of the following statement: "'Although [Burnett] has established that she suffers from a severe musculoskeletal [impairment], said impairment failed to equal the level of severity of any disabling condition contained in Appendix 1, Subpart P of Social Security Regulations No. 4.'" 220 F.3d at 119 (citing the ALJ opinion). The ALJ did not list the specific impairments with which he had compared Ms. Burnett's impairment, nor did he discuss the evidence in light of the listed impairments. The court referred to the ALJ's analysis as "hopelessly inadequate" since it provided the court with nothing to review. Id. At 120. Confronting challenges to step three analyses in the wake of Burnett, this court has been at pains to circumscribe its holding. See, e.g., Jones v. Barnhart, 364 F.3d 501, 505 (3d Cir., 2004). In Jones, the court stated that "Burnett does not require the ALJ to use particular language or adhere to a particular format in conducting his analysis. Rather, the function of Burnett is to ensure that there is sufficient development of the record and explanation of findings to permit meaningful review." 364 F.3d at 505. The ALJ's decision in this case is sufficiently reasoned to allow for meaningful judicial review. Unlike in Burnett, the ALJ here did list the sections describing the impairments to which he compared Ms. Kowalski's condition. Moreover, he devoted over two pages of his opinion to a discussion of the evidence, focusing in particular on the range of motion of Ms. Kowalski's left knee, impairment of which is a prerequisite for one of the listed disabilities, see Appendix 1, Section 1.02. Finally, the ALJ stated that "[i]t is important to note that no treating physician has determined the claimant [Ms. Kowalski] to be disabled." AR at 16. Substantial evidence thus supported the ALJ's determination that Ms. Kowalski did not have an impairment that met or equaled one of the listed impairments, and the ALJ presented this evidence in the course of his opinion. Accordingly, his step three determination was not based upon a conclusory statement and the Magistrate Judge did not err in upholding this determination. 2 B. The Magistrate Judge's Review of the ALJ's Step Three Analysis Ms. Kowalski contends that, to respond to her attack on the ALJ's inadequate step three reasoning, the Magistrate Judge conducted his own step three analysis, thereby contravening the basic principle that district courts may not make findings of fact to supplement those of the Commissioner, see, e.g., Grant v. Shalala, 989 F.2d 1332 (3d Cir., 1993). Yet, while it is true that the district court (or the magistrate judge whose findings the district court adopts) may not engage in fact-finding, it is commonplace for the district court to go beyond the ALJ's decision and look to the record in order to determine whether substantial evidence supported the ALJ's findings. See, e.g., McCrea 2It is also worth noting, as appellees urge us to do, that Kowalski fails to indicate which of the listed impairments she would allegedly satisfy. v. Comm'r of Soc. Sec., 370 F.3d 357 (3d Cir., 2004); Jones v. Barnhart, 364 F.3d 501 (3d Cir., 2004). Indeed, this is just what substantial evidence review requires. See, e.g., Mathews v. Weber, 423 U.S. 261, 263 (U.S., 1976) (holding that "the Federal Magistrates Act, 28 U.S.C. §§ 631 et seq., permits a United States district court to refer all Social Security benefit cases to magistrate judges for preliminary review of the administrative record, oral argument, and preparation of a recommended decision as to whether the record contains substantial evidence to support the administrative determination"). The Magistrate Judge's use of the record here, for purposes of determining whether the ALJ's step three analysis was supported by substantial evidence, was thus entirely appropriate. C. The ALJ's Determination that Ms. Kowalski Was Not Entitled to a Closed Period of Disability In the proceedings below, Ms. Kowalski argued that the ALJ's analysis was wanting since, according to her, the ALJ considered only the evidence pertaining to her limitations in the period after her knee replacement surgery, on May 1, 2000. Since the ALJ is required to weigh all of the relevant, probative and available evidence before him, see Dobrowolsky v. Califano, 606 F.2d 403, 407 (3d Cir. 1979), Ms. Kowalski argued that the ALJ's (alleged) failure to do so here constituted error. The Magistrate Judge disagreed, arguing that "none of the findings pertaining to the relevant time period appear to suggest any findings other than those already cited by the ALJ regarding the Plaintiff's treatment following total knee replacement," Kowalski v. Barnhart, No. 02-1327 at 10 (M.D. Pa. filed Dec. 22, 2003). The Magistrate Judge further defended the ALJ's opinion by citing to the portion of that opinion in which the ALJ stated that "the Plaintiff overstated her symptoms of pain and [] her complaints were inconsistent with the diagnostic findings." Id. On appeal, Ms. Kowalski maintains (without argument) that the Magistrate Judge erred. While the Magistrate Judge's reasoning is flawed, 3 the underlying ALJ decision is defensible. The ALJ recited Ms. Kowalski's medical history beginning on October 26, 1996. He described her condition on January 23, 1997 and on March 17, 1999. He also stated that "[i]t is important to note that no treating physician has determined the claimant to be disabled" – a statement that reflected the medical opinions of the physicians treating Ms. Kowalski throughout the period of alleged disability. Finally, as the Magistrate Judge argued, substantial evidence supported the ALJ's determination that at no time from December 18, 1998 through September 30, 2001 did Ms. Kowalski qualify as disabled. 3The Magistrate Judge is correct that the record relates that Ms. Kowalski's condition from December 18, 1998 to May 1, 2000, was not significantly different from that after her surgery – in the closed period in question, Ms. Kowalski was found to have a good range of motion, AR 364, and could even walk one to two miles without difficulty, AR 262. Nonetheless, the presence of this information in the record would not justify the ALJ's failure to reference it in his opinion, if the ALJ had in fact failed to do so. The Magistrate Judge's contention that the ALJ found that Ms. Kowalski had overstated her symptoms is unhelpful because the ALJ's finding was indexed to the testimony Ms. Kowalski gave regarding her symptoms at the time of the hearing, and not during the period from December 18, 1998 to May 1, 2000. D. The Magistrate Judge's Review of the ALJ's Determination that Ms. Kowalski Was Not Entitled to A Closed Period of Disability Ms. Kowalski argues that the Magistrate Judge erred by making his own findings of fact and concluding that she was not entitled to a closed period of disability. While the Magistrate Judge did recite record entries tending to show that Ms. Kowalski was not disabled between December 1, 1998 and May 1, 2000, this recitation was intended to demonstrate, and did demonstrate, that substantial evidence supported the ALJ's decision. As such, there was nothing inappropriate about the Magistrate Judge's use of the record here. III. Conclusion The ALJ's decision was well-reasoned and supported by substantial evidence. Since the Magistrate Judge so found, the decision of the District Court adopting the Report and Recommendations of the Magistrate Judge shall be AFFIRMED. </text>	[ { "content": "<url>\nhttps://digitalcommons.law.villanova.edu/cgi/viewcontent.cgi?article=2575&context=thirdcircuit_2005\n</url>\n<text>\n2005 Decisions\n\n1-6-2005\n\nKowalski v. Comm Social Security\n\nPrecedential or Non-Precedential: Non-Precedential\n\nDocket No. 04-1660\n\nFollow this and additional works at: http://digitalcommons.law.villanova.edu/thirdcircuit_2005\n\nRecommended Citation\n\n\"Kowalski v. Comm Social Security\" (2005). 2005 Decisions. 1576. http://digitalcommons.law.villanova.edu/thirdcircuit_2005/1576\n\nThis decision is brought to you for free and open access by the Opinions of the United States Court of Appeals for the Third Circuit at Villanova University Charles Widger School of Law Digital Repository. It has been accepted for inclusion in 2005 Decisions by an authorized administrator of Villanova University Charles Widger School of Law Digital Repository. For more information, please contact [email protected].\n\nOpinions of the United States Court of Appeals for the Third Circuit\n\nNOT PRECEDENTIAL\n\nUNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT\n\nNo. 04-1660\n\nSHARON KOWALSKI, Appellant v.\n\nJO ANNE B. BARNHART, COMMISSIONER OF SOCIAL SECURITY\n\nOn Appeal from the United States District Court for the Middle District of Pennsylvania (D.C. Civil No. 02-cv-01327)\n\nDistrict Judge: The Honorable William W. Caldwell\n\n______________\n\nSubmitted Under Third Circuit LAR 34.1(a) December 17, 2004\n\nBefore: NYGAARD and GARTH, Circuit Judges.\n\nand POLLAK,\n\n\n\nDistrict Judge.\n\n(Filed January 6, 2005)\n\n______________\n\nOPINION OF THE COURT\n\n______________\n\nPOLLAK, District Judge.\n\nIn this case, we are asked to review the opinion of Magistrate Judge Thomas M.\n\nHonorable Louis H. Pollak, Senior District Judge for the United States District Court of the Eastern District of Pennsylvania, sitting by designation.\n\nBlewitt, adopted by Judge William W. Caldwell of the United States District Court for the Middle District of Pennsylvania. Magistrate Judge Blewitt affirmed the opinion of an Administrative Law Judge (ALJ) denying social security benefits to Sharon Kowalski, appellant herein.\n\nI. Background\n\nMs. Kowalski is a fifty-three year old woman who suffers from a left knee impairment that, in May 2000, necessitated total replacement surgery. Ms. Kowalski filed a first application for Disability Insurance Benefits and Social Security Income Benefits on October 15, 1997. That application was denied on December 17, 1998, and Ms. Kowalski did not appeal. She filed a second application on April 10, 2001, alleging an inability to work since September 1, 1997. As the ALJ found, however, evaluation of her candidacy for benefits could date back no further than December 18, 1998, the day after her first application was denied. The ALJ found further that Ms. Kowalski was insured for benefits only through September 30, 2001. As such, the relevant period of evaluation spanned from December 18, 1998 through September 30, 2001.\n\nThe ALJ proceeded through the five-step sequential analysis according to which\n\neligibility for disability benefits is evaluated. See 20 C.F.R. § 404.1520. 1 At step three, the ALJ found that Ms. Kowalski’s impairment did not meet or equal a listed impairment.\n\n120 C.F.R. § 404.1520 provides:\n\nThe sequential evaluation process is a series of five \"steps\" that we follow in a set order. If we can find that you are disabled or not disabled at a step, we make our determination or decision and we do not go on to the next step. If we cannot find that you are disabled or not disabled at a step, we go on to the next step. Before we go from step three to step four, we assess your residual functional capacity. (See paragraph (e) of this section.) We use this residual functional capacity assessment at both step four and step five when we evaluate your claim at these steps. These are the five steps we follow:\n\n(I) At the first step, we consider your work activity, if any. If you are doing substantial gainful activity, we will find that you are not disabled. (See paragraph (b) of this section.)\n(ii) At the second step, we consider the medical severity of your impairment(s). If you do not have a severe medically determinable physical or mental impairment that meets the duration requirement in §§ 404.1509, or a combination of impairments that is severe and meets the duration requirement, we will find that you are not disabled. (See paragraph (c) of this section.)\n(iii) At the third step, we also consider the medical severity of your impairment(s). If you have an impairment(s) that meets or equals one of our listings in appendix 1 of this subpart and meets the duration requirement, we will find that you are disabled. (See paragraph (d) of this section.)\n(iv) At the fourth step, we consider our assessment of yo<cursor_is_here> If you can still do your past relevant work, we will find that you are not disabled. (See paragraph (f) of this section and §§ 404.1560(b).)\n(v) At the fifth and last step, we consider our assessment of your residual functional capacity and your age, education, and work experience to see if you can make an adjustment to other work. If you can make an adjustment to other work, we will find that you are not disabled. If you cannot make an adjustment to other work, we will find that you are disabled.\n\nMoving on to step four, the ALJ determined that Ms. Kowalski could not perform her past work but, at step five, the ALJ adopted the testimony of a vocational expert that there existed a significant number of jobs in the national economy that Ms. Kowalski could perform despite her knee problems. As such, the ALJ found that Ms. Kowalski was not disabled and he denied her application.\n\nMs. Kowalski requested that the Social Security Appeals Council review the ALJ's decision, and the Council denied her request, rendering the ALJ's decision the final decision of the Commissioner for purposes of judicial review, see Sims v. Apfel, 530 U.S. 103, 106 (2000). Ms. Kowalski then filed a complaint in the United States District Court. Her case was reviewed initially by Magistrate Judge Blewitt, who authored a Report and Recommendations (R & R) that was adopted by Judge Caldwell of the District Court despite Ms. Kowalski's objections. This timely appeal followed.\n\nII. Discussion\n\n\"We review the ALJ's decision under the same standard as the District Court, to determine whether there is substantial evidence on the record to support the ALJ's decision.\" Burnett v. Commissioner, 220 F.3d 112, 118 (3d Cir. 2000). See 42 U.S.C. § 405(g). \"Substantial evidence has been defined as more than a mere scintilla. It means such relevant evidence as a reasonable mind might accept as adequate.\" Plummer v.\n\nApfel, 186 F.3d 422, 427 (3d Cir. 1999) (citing Ventura v. Shalala, 55 F.3d 900, 901 (3d Cir. 1995) ).\n\nOn appeal, Ms. Kowalski first contends that the Magistrate Judge erred when he concluded that the ALJ had fully explained his reasoning at step 3, where he found that Ms. Kowalski's impairment did not meet or equal any listed impairments that would render her disabled per se. Second, Ms. Kowalski argues that the Magistrate Judge erred when he made his own comparison of the evidence to the listed impairments, rather than remanding the case for further fact-finding by the ALJ. Third, Ms. Kowalski maintains that the Magistrate Judge erred in concluding that the ALJ considered all of the evidence and in affirming the ALJ's finding that Ms. Kowalski was not entitled to a closed period of disability from December 18, 1998 to May 1, 2000. Finally, Ms. Kowalski argues that the Magistrate Judge erred when he engaged in his own analysis as to whether Ms.\n\nKowalski was entitled to a closed period of disability.\n\nA. Step Three: Whether the ALJ Adequately Supported His Finding that Ms. Kowalski Was Not Per Se Disabled\n\nAs Ms. Kowalski correctly notes, an ALJ must do more than just state his conclusion; \"he must set forth the reasons for his decision,\" Burnett, 220 F.3d at 119. Thus, in Burnett, this court vacated a decision by the ALJ containing no more than the conclusion from his step three analysis; the court remanded the case for a discussion of the evidence and an explanation of reasoning supporting the ALJ's step three\n\ndetermination. 220 F.3d at 120.\n\nMs. Kowalski maintains that the ALJ's step three determination suffers from the same defect as did the determination at issue in Burnett, and that remand is thus appropriate. In Burnett, the ALJ's entire step three analysis consisted of the following statement: \"'Although [Burnett] has established that she suffers from a severe musculoskeletal [impairment], said impairment failed to equal the level of severity of any disabling condition contained in Appendix 1, Subpart P of Social Security Regulations No. 4.'\" 220 F.3d at 119 (citing the ALJ opinion). The ALJ did not list the specific impairments with which he had compared Ms. Burnett's impairment, nor did he discuss the evidence in light of the listed impairments. The court referred to the ALJ's analysis as \"hopelessly inadequate\" since it provided the court with nothing to review. Id. At 120.\n\nConfronting challenges to step three analyses in the wake of Burnett, this court has been at pains to circumscribe its holding. See, e.g., Jones v. Barnhart, 364 F.3d 501, 505 (3d Cir., 2004). In Jones, the court stated that \"Burnett does not require the ALJ to use particular language or adhere to a particular format in conducting his analysis. Rather, the function of Burnett is to ensure that there is sufficient development of the record and explanation of findings to permit meaningful review.\" 364 F.3d at 505.\n\nThe ALJ's decision in this case is sufficiently reasoned to allow for meaningful judicial review. Unlike in Burnett, the ALJ here did list the sections describing the impairments to which he compared Ms. Kowalski's condition. Moreover, he devoted over two pages of his opinion to a discussion of the evidence, focusing in particular on the range of motion of Ms. Kowalski's left knee, impairment of which is a prerequisite for one of the listed disabilities, see Appendix 1, Section 1.02. Finally, the ALJ stated that \"[i]t is important to note that no treating physician has determined the claimant [Ms. Kowalski] to be disabled.\" AR at 16. Substantial evidence thus supported the ALJ's determination that Ms. Kowalski did not have an impairment that met or equaled one of the listed impairments, and the ALJ presented this evidence in the course of his opinion. Accordingly, his step three determination was not based upon a conclusory statement and the Magistrate Judge did not err in upholding this determination. 2\n\nB. The Magistrate Judge's Review of the ALJ's Step Three Analysis\n\nMs. Kowalski contends that, to respond to her attack on the ALJ's inadequate step three reasoning, the Magistrate Judge conducted his own step three analysis, thereby contravening the basic principle that district courts may not make findings of fact to supplement those of the Commissioner, see, e.g., Grant v. Shalala, 989 F.2d 1332 (3d Cir., 1993). Yet, while it is true that the district court (or the magistrate judge whose findings the district court adopts) may not engage in fact-finding, it is commonplace for the district court to go beyond the ALJ's decision and look to the record in order to determine whether substantial evidence supported the ALJ's findings. See, e.g., McCrea\n\n2It is also worth noting, as appellees urge us to do, that Kowalski fails to indicate which of the listed impairments she would allegedly satisfy.\n\nv. Comm'r of Soc. Sec., 370 F.3d 357 (3d Cir., 2004); Jones v. Barnhart, 364 F.3d 501 (3d Cir., 2004). Indeed, this is just what substantial evidence review requires. See, e.g., Mathews v. Weber, 423 U.S. 261, 263 (U.S., 1976) (holding that \"the Federal Magistrates Act, 28 U.S.C. §§ 631 et seq., permits a United States district court to refer all Social Security benefit cases to magistrate judges for preliminary review of the administrative record, oral argument, and preparation of a recommended decision as to whether the record contains substantial evidence to support the administrative determination\"). The Magistrate Judge's use of the record here, for purposes of determining whether the ALJ's step three analysis was supported by substantial evidence, was thus entirely appropriate. C. The ALJ's Determination that Ms. Kowalski Was Not Entitled to a Closed Period of Disability\n\nIn the proceedings below, Ms. Kowalski argued that the ALJ's analysis was wanting since, according to her, the ALJ considered only the evidence pertaining to her limitations in the period after her knee replacement surgery, on May 1, 2000. Since the ALJ is required to weigh all of the relevant, probative and available evidence before him, see Dobrowolsky v. Califano, 606 F.2d 403, 407 (3d Cir. 1979), Ms. Kowalski argued that the ALJ's (alleged) failure to do so here constituted error. The Magistrate Judge disagreed, arguing that \"none of the findings pertaining to the relevant time period appear to suggest any findings other than those already cited by the ALJ regarding the Plaintiff's treatment following total knee replacement,\" Kowalski v. Barnhart, No. 02-1327 at 10\n\n(M.D. Pa. filed Dec. 22, 2003). The Magistrate Judge further defended the ALJ's opinion by citing to the portion of that opinion in which the ALJ stated that \"the Plaintiff overstated her symptoms of pain and [] her complaints were inconsistent with the diagnostic findings.\" Id. On appeal, Ms. Kowalski maintains (without argument) that the Magistrate Judge erred.\n\nWhile the Magistrate Judge's reasoning is flawed, 3 the underlying ALJ decision is defensible. The ALJ recited Ms. Kowalski's medical history beginning on October 26, 1996. He described her condition on January 23, 1997 and on March 17, 1999. He also stated that \"[i]t is important to note that no treating physician has determined the claimant to be disabled\" – a statement that reflected the medical opinions of the physicians treating Ms. Kowalski throughout the period of alleged disability. Finally, as the Magistrate Judge argued, substantial evidence supported the ALJ's determination that at no time from December 18, 1998 through September 30, 2001 did Ms. Kowalski qualify as disabled.\n\n3The Magistrate Judge is correct that the record relates that Ms. Kowalski's condition from December 18, 1998 to May 1, 2000, was not significantly different from that after her surgery – in the closed period in question, Ms. Kowalski was found to have a good range of motion, AR 364, and could even walk one to two miles without difficulty, AR 262. Nonetheless, the presence of this information in the record would not justify the ALJ's failure to reference it in his opinion, if the ALJ had in fact failed to do so.\n\nThe Magistrate Judge's contention that the ALJ found that Ms. Kowalski had overstated her symptoms is unhelpful because the ALJ's finding was indexed to the testimony Ms. Kowalski gave regarding her symptoms at the time of the hearing, and not during the period from December 18, 1998 to May 1, 2000.\n\nD. The Magistrate Judge's Review of the ALJ's Determination that Ms. Kowalski Was Not Entitled to A Closed Period of Disability\n\nMs. Kowalski argues that the Magistrate Judge erred by making his own findings of fact and concluding that she was not entitled to a closed period of disability. While the Magistrate Judge did recite record entries tending to show that Ms. Kowalski was not disabled between December 1, 1998 and May 1, 2000, this recitation was intended to demonstrate, and did demonstrate, that substantial evidence supported the ALJ's decision. As such, there was nothing inappropriate about the Magistrate Judge's use of the record here.\n\nIII. Conclusion\n\nThe ALJ's decision was well-reasoned and supported by substantial evidence. Since the Magistrate Judge so found, the decision of the District Court adopting the Report and Recommendations of the Magistrate Judge shall be AFFIRMED.\n</text>\n", "role": "user" }, { "content": "ur residual functional capacity and your past relevant work.", "role": "assistant" } ]
Surviving The Evacuation Book 5 Reunion Yeah, reviewing a book surviving the evacuation book 5 reunion could amass your close associates listings. This is just one of the solutions for you to be successful. As understood, execution does not recommend that you have extraordinary points. Comprehending as skillfully as contract even more than extra will pay for each success. adjacent to, the revelation as with ease as perception of this surviving the evacuation book 5 reunion can be taken as capably as picked to act. Survivors - The BEST End Time Audiobook! (FULL VERSION) Pandemic (The Extinction Files) by A G Riddle Audiobook Part 5 Departure by A G Riddle Audiobook Part 1 Sean Platt Johnny B. Truant Alien Invasion 6 Extinction AudiobookChapter 5 Shelter, the Greatest Need - Nuclear War Survival Skills Book by Cresson H. Kearny A.G.Riddle - Departure Unabridged (Audio book) Allegiance:Surviving the Zombie Apocalypse (Book#5) By Shawn Chesser - Audiobook (Part 1/5) The 3 Best Survival Books You Should Be Studying footage Nuclear war survival skills book by Cresson H. Kearny - Read through intro 30 recommended books for preppers Star Wars: The Complete Canon Timeline (2020) Chapter 3 Warnings and Communications - Nuclear War Survival Skills Book by Cresson H. KearnyRecommended Books for Your Survival Library Best Survival Books every Prepper should Read Introduction - Nuclear War Survival Skills Book by Cresson H. Kearny A Day in Pompeii - Full-length animation Surviving The Evacuation Book 5 This item: Surviving The Evacuation, Book 5: Reunion (Volume 5) by Frank Tayell Paperback $12.99 Available to ship in 1-2 days. Ships from and sold by Amazon.com. Surviving The Evacuation, Book 5: Reunion (Volume 5 ... Surviving the Evacuation continues in Here We Stand 1: Infected & 2: Divided. There is an evil ... Surviving The Evacuation, Book 5: Reunion by Frank Tayell ... When they rescue a wounded man, their quest becomes one for medical supplies. That leads them to a rooftop city, and to the realisation that surviving out in the wasteland is easy compared to forging a new life from the wreckage of the old civilisation. The fifth novel in the Post-Apocalyptic series 'Surviving The Evacuation'. (100,000 words) Surviving the Evacuation, Book 5: Reunion on Apple Books Surviving The Evacuation, Book 5: Reunion - Ebook written by Frank Tayell. Read this book using Google Play Books app on your PC, android, iOS devices. Download for offline reading, highlight,... Surviving The Evacuation, Book 5: Reunion by Frank Tayell ... Other books in the near future, post-apocalyptic series Surviving The Evacuation: 0.5: Zombies vs The Living Dead. 1: London. 2: Wasteland. 3: Family. 4: Unsafe Haven. 5: Reunion. Product Details About the Author Surviving The Evacuation, Book 0.5: Zombies vs The Living ... Surviving the Apocalypse book 5 It takes all kinds of people to survive the end of the world, and this chronicle delves into what drives them to battle insurmountable odds. Fast paced, believable characters and a gripping plot make this another winner! Surviving The Evacuation, Book 5: Reunion eBook by Frank ... Surviving The Evacuation, Book 0.5: Zombies vs The Living Dead - Kindle edition by Tayell, Frank. Download it once and read it on your Kindle device, PC, phones or tablets. Use features like bookmarks, note taking and highlighting while reading Surviving The Evacuation, Book 0.5: Zombies vs The Living Dead. Amazon.com: Surviving The Evacuation, Book 0.5: Zombies vs ... Zombies vs The Living Dead (Surviving The Evacuation #0.5), London (Surviving The Evacuation #1), Wasteland (Surviving The Evacuation #2), Family (Survi... Surviving The Evacuation Series by Frank Tayell "Reunion" is the fifth novel in the "Surviving the Evacuation" series, which was released in the year 2015. Seven months have gone by since the outbreak. The world lies in ruins. Surviving the Evacuation - Book Series In Order Surviving the Evacuation, Book 18. When the Atlantic and Pacific Survivors meet. A World of Magic. A contemporary comic-fantasy featuring lockdowns, dragons, physical-distancing, snow-monsters, curfews and broomsticks. To be among the first to know about new releases & special offers sign up to the mailing list by clicking here. Frank Tayell Surviving The Evacuation, Book 5: Reunion Frank Tayell. 4.7 out of 5 stars 337. Kindle Edition. CDN$2.99. Next. Product description About the Author. Surviving the Evacuation continues in Here We Stand 1: Infected & 2: Divided. There is an evil cabal at the heart of government. This is the story of Sholto and the collapse of America. Surviving The Evacuation, Book 1: London eBook: Tayell ... Reviews - Please select the tabs below to change the source of reviews. Short and sweet, a great intro to the STE world. What happens to senior citizens once the world ends. Well, the world has ended, but it is ending. Rough Start. love it. Meh... Great insight as to what an outbreak of a ... Surviving the Evacuation, Book 0.5: Zombies vs. the Living ... Surviving The Evacuation, Book 5 by Frank Tayell, 9781511480048, available at Book Depository with free delivery worldwide. Surviving The Evacuation, Book 5 : Frank Tayell ... Surviving the Evacuation: No More News: Surviving the Evacuation (Life Goes On Book 2) Frank Tayell. 4.8 out of 5 stars 183. Kindle Edition. $3.99. While the Lights Are On: Surviving the Evacuation (Life Goes On Book 3) Frank Tayell. 4.6 out of 5 stars 169. Kindle Edition. Surviving The Evacuation, Book 1: London eBook: Tayell ... Surviving The Evacuation, Book 0.5: Zombies vs The Living Dead - Ebook written by Frank Tayell. Read this book using Google Play Books app on your PC, android, iOS devices. Download for offline... Surviving The Evacuation, Book 0.5: Zombies vs The Living ... Surviving the Evacuation: No More News: Surviving the Evacuation (Life Goes On Book 2) Frank Tayell. 4.7 out of 5 stars 253. Kindle Edition. 2.99. Next. Customer reviews. 4.3 out of 5 stars. 4.3 out of 5. 2,902 global ratings. 5 star 63% 4 star 19% 3 star 10% ... Surviving The Evacuation, Book 1: London eBook: Tayell ... Series: Surviving The Evacuation, 5 By Frank Tayell During the journey through the British wasteland, Nilda learns more about the self-confessed criminal, Chester Carson. Smashwords – Surviving The Evacuation, Book 5: Reunion – a ... Surviving the Evacuation, Book 0.5: Zombies vs. the Living Dead; By: Frank Tayell Narrated by: Tim Bruce Length: 1 hr and 29 mins Unabridged Overall 4 out of 5 stars 132 Performance ... Surviving is easy. It's the next part, living, that's hard. Zombies. It is seven months since the outbreak. The world is in ruins. Britain is a radioactive wasteland peopled by the undead. The few survivors cling to the hope that they might wake up tomorrow. For most, that is all they have left. But Nilda has something more; the chance that her son is alive. At least he was, months before. She and Chester set out from Penrith, searching for her son. During the journey, Nilda learns more about this self-confessed criminal, Radio Free England, the conspiracy behind the outbreak, and how Chester was involved in it all. As they near Hull, she realises it is too late to change her travelling companion. She will need his help to escape the zombie infested city, and find her son. Fleeing from the last remnant of the old government, Tuck and Jay head south in search for survivors. When they rescue a wounded man, their quest becomes one for medical supplies. That leads them to a rooftop city, and to the realisation that surviving out in the wasteland is easy compared to forging a new life from the wreckage of the old civilisation. (100,000 words) Other books in the series: 1: London. 2: Wasteland. (Zombies vs the Living Dead) 3: Family. 4: Unsafe Haven. 5: Reunion. 6: Harvest. 7: Home. & Here We Stand 1: Infected 2: Divided. Post-apocalyptic detective novels: Serious Crimes, Counterfeit Conspiracy & Work, Rest, Repeat. Zombies. The outbreak began in New York. Soon it had spread to the rest of the world. People were attacked, infected, and they died. Then they came back. No one is safe from the undead. As anarchy and civil war took grip across the globe, Britain was quarantined. The British press was nationalised. Martial law, curfews and rationing were implemented. It wasn't enough. An evacuation was planned. The inland towns and cities of the United Kingdom were to be evacuated to defensive enclaves being built around the coast, the Scottish Highlands, and in the Irish Republic. Bill Wright, a Westminster insider and an advisor to a future Prime Minister, broke his leg on the day of the outbreak. Unable to join the evacuation, he watched from his window as the streets filled with refugees. He watched as the streets emptied once more. He watched as they filled up again, this time with the undead. Then the power went out. He is trapped. He is alone. He is running out of food and water. He knows that to reach the safety of the enclaves he will have to venture out into the wasteland that once was England. On that journey he will ultimately discover the horrific truth about the outbreak, a decades old conspiracy, and his unwitting part in it. This is the first volume of his journal. (73,000 words) Billions were infected. Nations fell. The evacuation failed. Bill Wright's journey has only one destination, the research facility that created the virus. As he meets other survivors in his struggle across the wasteland to reach it, he discovers that it is not just the undead who need to be feared. This is the second volume of his journal. The outbreak changed everything, but there are some bonds even the undead can't break.It's been six years since Pete Guinn last saw his sister, Corrie. He always hoped to see her again, but feared she was dead. When an elusive billionaire reveals Corrie is living under an assumed name in the Australian outback, Pete unquestioningly jumps at the chance of a reunion. But you can't win the lottery without buying a ticket, and billionaires don't do favours for free. Corrie is in hiding from her old employer, and from the Rosewood Cartel. Now that they've both found her, only a miracle can save the two siblings, and what happens in Manhattan can't be described as miraculous.What begins as a viral outbreak soon turns into an impossible horror. People are infected and die, only to rise up and continue transmitting the infection. Even as the army is mobilised, the virus spreads beyond the borders of the United States. Nowhere is safe from the living dead.As Australia is quarantined, the mining town of Broken Hill becomes a transit hub for the relief effort. Tourists are evacuated while civilians are conscripted, Pete and Corrie among them. Together with a bush pilot, a flying doctor, and an outback cop, the struggle to maintain civilisation begins. Supplies run low. Looting is rampant. Laws are forgotten, especially by the cartel who haven't abandoned their search for Corrie and their quest for revenge.Set in Broken Hill and beyond as the Australian quarantine begins.As this book returns to the beginning of the outbreak, it can be considered a good entry point for readers new to the series. If not us, who? If not now, when? As the much-depleted United Nations meets in Canberra, the scale of the global catastrophe becomes clear. The tsunami left Brisbane a flooded ruin. Vanuatu has disappeared. The Madagascan evacuation has failed. Vancouver has been reduced to a radioactive crater. For as far west as Mozambique, as far to the east as Chile, and as far north as Canada, the world is a catalogue of devastation. From the Atlantic, there has been no news since the early days of the outbreak, four weeks ago. With the satellite networks down, searching for survivors is difficult. With the relief fleets destroyed, rescue is impossible. While the fallout is still settling, the collective minds of the refugees in Australia focus on rebuilding as a distraction from the rising risk of radiation and extinction. Commissioner Tess Qwong has a different duty. She must find those responsible for this ultimate crime against humanity. Her investigation into the failed coup provides the identity of those behind the outbreak and the location of their lab. With her misfit group of Special Forces and civilian conscripts, she heads to Mozambique. There, a New Zealand frigate will take them on into the unknown dangers of the Atlantic. But while they hunt the radioactive seas for the war criminals, below the waves their enemy is hunting for them. From Perth to Panama, from South Africa to South America, from paradise islands to radioactive wastelands, the battle against extinction continues. It took three weeks to destroy civilisation. It won't be rebuilt in a day. A year after the outbreak, a sharp winter is followed by a sudden thaw. Spring has come early to Nova Scotia, bringing new hope. For the thirteen thousand survivors who've found sanctuary in northern Canada, and for the first time since the apocalypse, extinction isn't imminent. But it looms large in the near future, a legacy of the nuclear war that destroyed civilisation.As the weather improves, some survivors quit the small community. Even more plan their departure. The old-world supplies of food, oil, and ammunition have been consumed. More will have to be grown, drilled, and made. Medicine, paper, clothes: in a few years there will be none left to salvage. If it can't be manufactured, it will have to be forgone. What knowledge can't be preserved will be lost.Humanity's future appears bleak unless more people can be found. Hoping there is some truth in the rumours of a redoubt in Vancouver, an expedition to the Pacific is launched. The journey will be perilous as North America was ground zero for the outbreak, and for the nuclear war.Set in Canada and beyond, as survivors from the Atlantic and Pacific meet.Please note, this book features places and events, and heroes and villains from the saga of the Pacific survivors told in the series Life Goes On. There is always hope.Northern France is a frozen morass of mud and snow across which rampages a horde of the undead, a hundred million strong. That won't stop Chester Carson and his comrades. Seeking a way across the Channel, they make for the coast, unaware that Britain has been abandoned, Belfast is a ruin, and that radiation is seeping into the Irish Sea. If they knew, that wouldn't stop them either. They're on a quest to save their family, their friends, and humanity itself; failure is not an option.As they journey through war-ravaged ports and storm-wrecked beaches, a new truth becomes clear. The flotilla that found refuge on Anglesey wasn't the only group of sea-borne refugees to have survived the outbreak. There are other survivors. Some good, some evil, some just determined to do their duty no matter the cost.Danger lurks along the French and Belgian coasts. So do answers, and hope that humanity now has a future. Sixty years ago the world was wrecked during a terrible war. The soil was poisoned. The air became toxic. Billions died. Those who survived took refuge in great towered cities, and began constructing giant colony ships that would enable them to escape the ruined Earth. The work wasn't completed in their lifetime. The seas rose to swamp the diseased land, and lap against the city walls. Their descendants laboured on, and now the first of the spaceships is nearing completion. But these cities aren't dictatorships. An election is scheduled to choose a leader for this last exodus of humanity. With twenty-four hours until voting is due to begin, two workers are murdered. It is the first serious crime in generations, and it is down to the young Constable Ely to solve it. The election must take place. The ships must be launched. Above all, production must come first. A dystopian detective novel from the author of Surviving The Evacuation 1: London, 2: Wasteland, 3: Family 4: Unsafe Haven, 5: Reunion, 6: Harvest, 7: Home. Zombies vs The Living Dead Surviving is easy. It's the next part, living, that's hard. Zombies. It is seven months since the outbreak. The world is in ruins. Britain is a radioactive wasteland peopled by the undead. The few survivors cling to the hope that they might wake up tomorrow. For most, that is all they have left. But Nilda has something more; the chance that her son is alive. At least he was, months before. She and Chester set out from Penrith, searching for her son. During the journey, Nilda learns more about this self-confessed criminal, Radio Free England, the conspiracy behind the outbreak, and how Chester was involved in it all. As they near Hull, she realises it is too late to change her travelling companion. She will need his help to escape the zombie infested city, and find her son. Fleeing from the last remnant of the old government, Tuck and Jay head south in search for survivors. When they rescue a wounded man, their quest becomes one for medical supplies. That leads them to a rooftop city, and to the realisation that surviving out in the wasteland is easy compared to forging a new life from the wreckage of the old civilisation. The fifth novel in the Post-Apocalyptic Page 1/2 10 Ways to Survive an Earthquake, According to Experts Chapter 2 Psychological Preparations - Nuclear War Survival Skills Book by Cresson H. Kearny MY TSUNAMI STORY actual Copyright : lakesidecongregation.org Acces PDF Surviving The Evacuation Book 5 Reunion series 'Surviving The Evacuation'. (100,000 words) Policing Post-Apocalyptic Britain. Strike A Match They called them Artificial Intelligences. Sentient viruses were closer to the truth. They spread throughout the world until every networked circuit was infected. Then they went to war. Millions died in the nuclear holocaust that brought an abrupt end to the AI's brief reign of terror. Billions more succumbed to radiation, starvation, and disease. But millions survived, and they rebuilt. Serious Crimes Twenty years later, a ceremony is being held to mark the first transatlantic broadcast since The Blackout. The Prime Minister of Britain and two of the Presidents of the United States will speak to an audience of nearly ten million people. Not all are celebrating. Crime is on the rise, and power is once again a prize worth murdering for. Ruth Deering, a new graduate from the police academy, doesn't care about ancient history or current affairs. She only joined the force to escape the smog-infested city. Those hopes are dashed when she is assigned to the Serious Crimes Unit, commanded by the disgraced Sergeant Mitchell. Her first case seems like a simple murder, but the investigation uncovers a counterfeiting ring and a conspiracy that threatens to destroy their fragile democracy. Serious Crimes is a transatlantic thriller set in a world of rationing and ruins, democracy and despotism, steam trains and smart phones. This is not the story of how the apocalypse is survived, but of what happens next. (77,000 words). The investigation continues in Counterfeit Conspiracy. Copyright code : f3ae11e0001429cf7e55e4487a96c1f2 Page 2/2	<urn:uuid:dbf9ee5a-7588-4ef4-a8c0-a032c3e1ce28>	CC-MAIN-2021-49	http://lakesidecongregation.org/cgi-bin/content/view.php?data=surviving_the_evacuation_book_5_reunion_pdf&filetype=pdf&id=f3ae11e0001429cf7e55e4487a96c1f2	2021-12-09T02:02:17+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-49/subset=warc/part-00275-eb7089cf-762b-4a3e-8cab-20b677c0d246.c000.gz.parquet	46,694,900	4,452	eng_Latn	eng_Latn	0.998843	eng_Latn	0.998752	[ "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 17504, 19245 ]	Surviving The Evacuation Book 5 Reunion Yeah, reviewing a book surviving the evacuation book 5 reunion could amass your close associates listings. This is just one of the solutions for you to be successful. As understood, execution does not recommend that you have extraordinary points. Comprehending as skillfully as contract even more than extra will pay for each success. adjacent to, the revelation as with ease as perception of this surviving the evacuation book 5 reunion can be taken as capably as picked to act. Survivors - The BEST End Time Audiobook! (FULL VERSION) Pandemic (The Extinction Files) by A G Riddle Audiobook Part 5 Departure by A G Riddle Audiobook Part 1 Sean Platt Johnny B. Truant Alien Invasion 6 Extinction AudiobookChapter 5 Shelter, the Greatest Need - Nuclear War Survival Skills Book by Cresson H. Kearny A.G.Riddle - Departure Unabridged (Audio book) Allegiance:Surviving the Zombie Apocalypse (Book#5) By Shawn Chesser - Audiobook (Part 1/5) The 3 Best Survival Books You Should Be Studying footage Nuclear war survival skills book by Cresson H. Kearny - Read through intro 30 recommended books for preppers Star Wars: The Complete Canon Timeline (2020) Chapter 3 Warnings and Communications - Nuclear War Survival Skills Book by Cresson H. KearnyRecommended Books for Your Survival Library Best Survival Books every Prepper should Read Introduction - Nuclear War Survival Skills Book by Cresson H. Kearny A Day in Pompeii - Full-length animation Surviving The Evacuation Book 5 This item: Surviving The Evacuation, Book 5: Reunion (Volume 5) by Frank Tayell Paperback $12.99 Available to ship in 1-2 days. Ships from and sold by Amazon.com. Surviving The Evacuation, Book 5: Reunion (Volume 5 ... Surviving the Evacuation continues in Here We Stand 1: Infected & 2: Divided. There is an evil ... Surviving The Evacuation, Book 5: Reunion by Frank Tayell ... When they rescue a wounded man, their quest becomes one for medical supplies. That leads them to a rooftop city, and to the realisation that surviving out in the wasteland is easy compared to forging a new life from the wreckage of the old civilisation. The fifth novel in the Post-Apocalyptic series 'Surviving The Evacuation'. (100,000 words) Surviving the Evacuation, Book 5: Reunion on Apple Books Surviving The Evacuation, Book 5: Reunion - Ebook written by Frank Tayell. Read this book using Google Play Books app on your PC, android, iOS devices. Download for offline reading, highlight,... Surviving The Evacuation, Book 5: Reunion by Frank Tayell ... Other books in the near future, post-apocalyptic series Surviving The Evacuation: 0.5: Zombies vs The Living Dead. 1: London. 2: Wasteland. 3: Family. 4: Unsafe Haven. 5: Reunion. Product Details About the Author Surviving The Evacuation, Book 0.5: Zombies vs The Living ... Surviving the Apocalypse book 5 It takes all kinds of people to survive the end of the world, and this chronicle delves into what drives them to battle insurmountable odds. Fast paced, believable characters and a gripping plot make this another winner! Surviving The Evacuation, Book 5: Reunion eBook by Frank ... Surviving The Evacuation, Book 0.5: Zombies vs The Living Dead - Kindle edition by Tayell, Frank. Download it once and read it on your Kindle device, PC, phones or tablets. Use features like bookmarks, note taking and highlighting while reading Surviving The Evacuation, Book 0.5: Zombies vs The Living Dead. Amazon.com: Surviving The Evacuation, Book 0.5: Zombies vs ... Zombies vs The Living Dead (Surviving The Evacuation #0.5), London (Surviving The Evacuation #1), Wasteland (Surviving The Evacuation #2), Family (Survi... Surviving The Evacuation Series by Frank Tayell "Reunion" is the fifth novel in the "Surviving the Evacuation" series, which was released in the year 2015. Seven months have gone by since the outbreak. The world lies in ruins. Surviving the Evacuation - Book Series In Order Surviving the Evacuation, Book 18. When the Atlantic and Pacific Survivors meet. A World of Magic. A contemporary comic-fantasy featuring lockdowns, dragons, physical-distancing, snow-monsters, curfews and broomsticks. To be among the first to know about new releases & special offers sign up to the mailing list by clicking here. Frank Tayell Surviving The Evacuation, Book 5: Reunion Frank Tayell. 4.7 out of 5 stars 337. Kindle Edition. CDN$2.99. Next. Product description About the Author. Surviving the Evacuation continues in Here We Stand 1: Infected & 2: Divided. There is an evil cabal at the heart of government. This is the story of Sholto and the collapse of America. Surviving The Evacuation, Book 1: London eBook: Tayell ... Reviews - Please select the tabs below to change the source of reviews. Short and sweet, a great intro to the STE world. What happens to senior citizens once the world ends. Well, the world has ended, but it is ending. Rough Start. love it. Meh... Great insight as to what an outbreak of a ... Surviving the Evacuation, Book 0.5: Zombies vs. the Living ... Surviving The Evacuation, Book 5 by Frank Tayell, 9781511480048, available at Book Depository with free delivery worldwide. Surviving The Evacuation, Book 5 : Frank Tayell ... Surviving the Evacuation: No More News: Surviving the Evacuation (Life Goes On Book 2) Frank Tayell. 4.8 out of 5 stars 183. Kindle Edition. $3.99. While the Lights Are On: Surviving the Evacuation (Life Goes On Book 3) Frank Tayell. 4.6 out of 5 stars 169. Kindle Edition. Surviving The Evacuation, Book 1: London eBook: Tayell ... Surviving The Evacuation, Book 0.5: Zombies vs The Living Dead - Ebook written by Frank Tayell. Read this book using Google Play Books app on your PC, android, iOS devices. Download for offline... Surviving The Evacuation, Book 0.5: Zombies vs The Living ... Surviving the Evacuation: No More News: Surviving the Evacuation (Life Goes On Book 2) Frank Tayell. 4.7 out of 5 stars 253. Kindle Edition. 2.99. Next. Customer reviews. 4.3 out of 5 stars. 4.3 out of 5. 2,902 global ratings. 5 star 63% 4 star 19% 3 star 10% ... Surviving The Evacuation, Book 1: London eBook: Tayell ... Series: Surviving The Evacuation, 5 By Frank Tayell During the journey through the British wasteland, Nilda learns more about the self-confessed criminal, Chester Carson. Smashwords – Surviving The Evacuation, Book 5: Reunion – a ... Surviving the Evacuation, Book 0.5: Zombies vs. the Living Dead; By: Frank Tayell Narrated by: Tim Bruce Length: 1 hr and 29 mins Unabridged Overall 4 out of 5 stars 132 Performance ... Surviving is easy. It's the next part, living, that's hard. Zombies. It is seven months since the outbreak. The world is in ruins. Britain is a radioactive wasteland peopled by the undead. The few survivors cling to the hope that they might wake up tomorrow. For most, that is all they have left. But Nilda has something more; the chance that her son is alive. At least he was, months before. She and Chester set out from Penrith, searching for her son. During the journey, Nilda learns more about this self-confessed criminal, Radio Free England, the conspiracy behind the outbreak, and how Chester was involved in it all. As they near Hull, she realises it is too late to change her travelling companion. She will need his help to escape the zombie infested city, and find her son. Fleeing from the last remnant of the old government, Tuck and Jay head south in search for survivors. When they rescue a wounded man, their quest becomes one for medical supplies. That leads them to a rooftop city, and to the realisation that surviving out in the wasteland is easy compared to forging a new life from the wreckage of the old civilisation. (100,000 words) Other books in the series: 1: London. 2: Wasteland. (Zombies vs the Living Dead) 3: Family. 4: Unsafe Haven. 5: Reunion. 6: Harvest. 7: Home. & Here We Stand 1: Infected 2: Divided. Post-apocalyptic detective novels: Serious Crimes, Counterfeit Conspiracy & Work, Rest, Repeat. Zombies. The outbreak began in New York. Soon it had spread to the rest of the world. People were attacked, infected, and they died. Then they came back. No one is safe from the undead. As anarchy and civil war took grip across the globe, Britain was quarantined. The British press was nationalised. Martial law, curfews and rationing were implemented. It wasn't enough. An evacuation was planned. The inland towns and cities of the United Kingdom were to be evacuated to defensive enclaves being built around the coast, the Scottish Highlands, and in the Irish Republic. Bill Wright, a Westminster insider and an advisor to a future Prime Minister, broke his leg on the day of the outbreak. Unable to join the evacuation, he watched from his window as the streets filled with refugees. He watched as the streets emptied once more. He watched as they filled up again, this time with the undead. Then the power went out. He is trapped. He is alone. He is running out of food and water. He knows that to reach the safety of the enclaves he will have to venture out into the wasteland that once was England. On that journey he will ultimately discover the horrific truth about the outbreak, a decades old conspiracy, and his unwitting part in it. This is the first volume of his journal. (73,000 words) Billions were infected. Nations fell. The evacuation failed. Bill Wright's journey has only one destination, the research facility that created the virus. As he meets other survivors in his struggle across the wasteland to reach it, he discovers that it is not just the undead who need to be feared. This is the second volume of his journal. The outbreak changed everything, but there are some bonds even the undead can't break.It's been six years since Pete Guinn last saw his sister, Corrie. He always hoped to see her again, but feared she was dead. When an elusive billionaire reveals Corrie is living under an assumed name in the Australian outback, Pete unquestioningly jumps at the chance of a reunion. But you can't win the lottery without buying a ticket, and billionaires don't do favours for free. Corrie is in hiding from her old employer, and from the Rosewood Cartel. Now that they've both found her, only a miracle can save the two siblings, and what happens in Manhattan can't be described as miraculous.What begins as a viral outbreak soon turns into an impossible horror. People are infected and die, only to rise up and continue transmitting the infection. Even as the army is mobilised, the virus spreads beyond the borders of the United States. Nowhere is safe from the living dead.As Australia is quarantined, the mining town of Brok	en Hill becomes a transit hub for the relief effort.		10,692	inside_word	Broken	remove_all	<url> http://lakesidecongregation.org/cgi-bin/content/view.php?data=surviving_the_evacuation_book_5_reunion_pdf&filetype=pdf&id=f3ae11e0001429cf7e55e4487a96c1f2 </url> <text> Surviving The Evacuation Book 5 Reunion Yeah, reviewing a book surviving the evacuation book 5 reunion could amass your close associates listings. This is just one of the solutions for you to be successful. As understood, execution does not recommend that you have extraordinary points. Comprehending as skillfully as contract even more than extra will pay for each success. adjacent to, the revelation as with ease as perception of this surviving the evacuation book 5 reunion can be taken as capably as picked to act. Survivors - The BEST End Time Audiobook! (FULL VERSION) Pandemic (The Extinction Files) by A G Riddle Audiobook Part 5 Departure by A G Riddle Audiobook Part 1 Sean Platt Johnny B. Truant Alien Invasion 6 Extinction AudiobookChapter 5 Shelter, the Greatest Need - Nuclear War Survival Skills Book by Cresson H. Kearny A.G.Riddle - Departure Unabridged (Audio book) Allegiance:Surviving the Zombie Apocalypse (Book#5) By Shawn Chesser - Audiobook (Part 1/5) The 3 Best Survival Books You Should Be Studying footage Nuclear war survival skills book by Cresson H. Kearny - Read through intro 30 recommended books for preppers Star Wars: The Complete Canon Timeline (2020) Chapter 3 Warnings and Communications - Nuclear War Survival Skills Book by Cresson H. KearnyRecommended Books for Your Survival Library Best Survival Books every Prepper should Read Introduction - Nuclear War Survival Skills Book by Cresson H. Kearny A Day in Pompeii - Full-length animation Surviving The Evacuation Book 5 This item: Surviving The Evacuation, Book 5: Reunion (Volume 5) by Frank Tayell Paperback $12.99 Available to ship in 1-2 days. Ships from and sold by Amazon.com. Surviving The Evacuation, Book 5: Reunion (Volume 5 ... Surviving the Evacuation continues in Here We Stand 1: Infected & 2: Divided. There is an evil ... Surviving The Evacuation, Book 5: Reunion by Frank Tayell ... When they rescue a wounded man, their quest becomes one for medical supplies. That leads them to a rooftop city, and to the realisation that surviving out in the wasteland is easy compared to forging a new life from the wreckage of the old civilisation. The fifth novel in the Post-Apocalyptic series 'Surviving The Evacuation'. (100,000 words) Surviving the Evacuation, Book 5: Reunion on Apple Books Surviving The Evacuation, Book 5: Reunion - Ebook written by Frank Tayell. Read this book using Google Play Books app on your PC, android, iOS devices. Download for offline reading, highlight,... Surviving The Evacuation, Book 5: Reunion by Frank Tayell ... Other books in the near future, post-apocalyptic series Surviving The Evacuation: 0.5: Zombies vs The Living Dead. 1: London. 2: Wasteland. 3: Family. 4: Unsafe Haven. 5: Reunion. Product Details About the Author Surviving The Evacuation, Book 0.5: Zombies vs The Living ... Surviving the Apocalypse book 5 It takes all kinds of people to survive the end of the world, and this chronicle delves into what drives them to battle insurmountable odds. Fast paced, believable characters and a gripping plot make this another winner! Surviving The Evacuation, Book 5: Reunion eBook by Frank ... Surviving The Evacuation, Book 0.5: Zombies vs The Living Dead - Kindle edition by Tayell, Frank. Download it once and read it on your Kindle device, PC, phones or tablets. Use features like bookmarks, note taking and highlighting while reading Surviving The Evacuation, Book 0.5: Zombies vs The Living Dead. Amazon.com: Surviving The Evacuation, Book 0.5: Zombies vs ... Zombies vs The Living Dead (Surviving The Evacuation #0.5), London (Surviving The Evacuation #1), Wasteland (Surviving The Evacuation #2), Family (Survi... Surviving The Evacuation Series by Frank Tayell "Reunion" is the fifth novel in the "Surviving the Evacuation" series, which was released in the year 2015. Seven months have gone by since the outbreak. The world lies in ruins. Surviving the Evacuation - Book Series In Order Surviving the Evacuation, Book 18. When the Atlantic and Pacific Survivors meet. A World of Magic. A contemporary comic-fantasy featuring lockdowns, dragons, physical-distancing, snow-monsters, curfews and broomsticks. To be among the first to know about new releases & special offers sign up to the mailing list by clicking here. Frank Tayell Surviving The Evacuation, Book 5: Reunion Frank Tayell. 4.7 out of 5 stars 337. Kindle Edition. CDN$2.99. Next. Product description About the Author. Surviving the Evacuation continues in Here We Stand 1: Infected & 2: Divided. There is an evil cabal at the heart of government. This is the story of Sholto and the collapse of America. Surviving The Evacuation, Book 1: London eBook: Tayell ... Reviews - Please select the tabs below to change the source of reviews. Short and sweet, a great intro to the STE world. What happens to senior citizens once the world ends. Well, the world has ended, but it is ending. Rough Start. love it. Meh... Great insight as to what an outbreak of a ... Surviving the Evacuation, Book 0.5: Zombies vs. the Living ... Surviving The Evacuation, Book 5 by Frank Tayell, 9781511480048, available at Book Depository with free delivery worldwide. Surviving The Evacuation, Book 5 : Frank Tayell ... Surviving the Evacuation: No More News: Surviving the Evacuation (Life Goes On Book 2) Frank Tayell. 4.8 out of 5 stars 183. Kindle Edition. $3.99. While the Lights Are On: Surviving the Evacuation (Life Goes On Book 3) Frank Tayell. 4.6 out of 5 stars 169. Kindle Edition. Surviving The Evacuation, Book 1: London eBook: Tayell ... Surviving The Evacuation, Book 0.5: Zombies vs The Living Dead - Ebook written by Frank Tayell. Read this book using Google Play Books app on your PC, android, iOS devices. Download for offline... Surviving The Evacuation, Book 0.5: Zombies vs The Living ... Surviving the Evacuation: No More News: Surviving the Evacuation (Life Goes On Book 2) Frank Tayell. 4.7 out of 5 stars 253. Kindle Edition. 2.99. Next. Customer reviews. 4.3 out of 5 stars. 4.3 out of 5. 2,902 global ratings. 5 star 63% 4 star 19% 3 star 10% ... Surviving The Evacuation, Book 1: London eBook: Tayell ... Series: Surviving The Evacuation, 5 By Frank Tayell During the journey through the British wasteland, Nilda learns more about the self-confessed criminal, Chester Carson. Smashwords – Surviving The Evacuation, Book 5: Reunion – a ... Surviving the Evacuation, Book 0.5: Zombies vs. the Living Dead; By: Frank Tayell Narrated by: Tim Bruce Length: 1 hr and 29 mins Unabridged Overall 4 out of 5 stars 132 Performance ... Surviving is easy. It's the next part, living, that's hard. Zombies. It is seven months since the outbreak. The world is in ruins. Britain is a radioactive wasteland peopled by the undead. The few survivors cling to the hope that they might wake up tomorrow. For most, that is all they have left. But Nilda has something more; the chance that her son is alive. At least he was, months before. She and Chester set out from Penrith, searching for her son. During the journey, Nilda learns more about this self-confessed criminal, Radio Free England, the conspiracy behind the outbreak, and how Chester was involved in it all. As they near Hull, she realises it is too late to change her travelling companion. She will need his help to escape the zombie infested city, and find her son. Fleeing from the last remnant of the old government, Tuck and Jay head south in search for survivors. When they rescue a wounded man, their quest becomes one for medical supplies. That leads them to a rooftop city, and to the realisation that surviving out in the wasteland is easy compared to forging a new life from the wreckage of the old civilisation. (100,000 words) Other books in the series: 1: London. 2: Wasteland. (Zombies vs the Living Dead) 3: Family. 4: Unsafe Haven. 5: Reunion. 6: Harvest. 7: Home. & Here We Stand 1: Infected 2: Divided. Post-apocalyptic detective novels: Serious Crimes, Counterfeit Conspiracy & Work, Rest, Repeat. Zombies. The outbreak began in New York. Soon it had spread to the rest of the world. People were attacked, infected, and they died. Then they came back. No one is safe from the undead. As anarchy and civil war took grip across the globe, Britain was quarantined. The British press was nationalised. Martial law, curfews and rationing were implemented. It wasn't enough. An evacuation was planned. The inland towns and cities of the United Kingdom were to be evacuated to defensive enclaves being built around the coast, the Scottish Highlands, and in the Irish Republic. Bill Wright, a Westminster insider and an advisor to a future Prime Minister, broke his leg on the day of the outbreak. Unable to join the evacuation, he watched from his window as the streets filled with refugees. He watched as the streets emptied once more. He watched as they filled up again, this time with the undead. Then the power went out. He is trapped. He is alone. He is running out of food and water. He knows that to reach the safety of the enclaves he will have to venture out into the wasteland that once was England. On that journey he will ultimately discover the horrific truth about the outbreak, a decades old conspiracy, and his unwitting part in it. This is the first volume of his journal. (73,000 words) Billions were infected. Nations fell. The evacuation failed. Bill Wright's journey has only one destination, the research facility that created the virus. As he meets other survivors in his struggle across the wasteland to reach it, he discovers that it is not just the undead who need to be feared. This is the second volume of his journal. The outbreak changed everything, but there are some bonds even the undead can't break.It's been six years since Pete Guinn last saw his sister, Corrie. He always hoped to see her again, but feared she was dead. When an elusive billionaire reveals Corrie is living under an assumed name in the Australian outback, Pete unquestioningly jumps at the chance of a reunion. But you can't win the lottery without buying a ticket, and billionaires don't do favours for free. Corrie is in hiding from her old employer, and from the Rosewood Cartel. Now that they've both found her, only a miracle can save the two siblings, and what happens in Manhattan can't be described as miraculous.What begins as a viral outbreak soon turns into an impossible horror. People are infected and die, only to rise up and continue transmitting the infection. Even as the army is mobilised, the virus spreads beyond the borders of the United States. Nowhere is safe from the living dead.As Australia is quarantined, the mining town of Brok<cursor_is_here> </text>	[ { "content": "<url>\nhttp://lakesidecongregation.org/cgi-bin/content/view.php?data=surviving_the_evacuation_book_5_reunion_pdf&filetype=pdf&id=f3ae11e0001429cf7e55e4487a96c1f2\n</url>\n<text>\nSurviving The Evacuation Book 5 Reunion\n\nYeah, reviewing a book surviving the evacuation book 5 reunion could amass your close associates listings. This is just one of the solutions for you to be successful. As understood, execution does not recommend that you have extraordinary points.\n\nComprehending as skillfully as contract even more than extra will pay for each success. adjacent to, the revelation as with ease as perception of this surviving the evacuation book 5 reunion can be taken as capably as picked to act.\n\nSurvivors - The BEST End Time Audiobook! (FULL VERSION) Pandemic (The Extinction Files) by A G Riddle Audiobook Part 5\n\nDeparture by A G Riddle Audiobook Part 1\n\nSean Platt Johnny B. Truant Alien Invasion 6 Extinction AudiobookChapter 5 Shelter, the Greatest Need - Nuclear War Survival Skills Book by Cresson H. Kearny\n\nA.G.Riddle - Departure Unabridged (Audio book)\n\nAllegiance:Surviving the Zombie Apocalypse (Book#5) By Shawn Chesser - Audiobook (Part 1/5)\n\nThe 3 Best Survival Books You Should Be Studying footage Nuclear war survival skills book by Cresson H. Kearny - Read through intro 30 recommended books for preppers Star Wars: The Complete Canon Timeline (2020) Chapter 3 Warnings and Communications - Nuclear War Survival Skills Book by Cresson H. KearnyRecommended Books for Your Survival Library\n\nBest Survival Books every Prepper should Read\n\nIntroduction - Nuclear War Survival Skills Book by Cresson H. Kearny\n\nA Day in Pompeii - Full-length animation Surviving The Evacuation Book 5\n\nThis item: Surviving The Evacuation, Book 5: Reunion (Volume 5) by Frank Tayell Paperback $12.99 Available to ship in 1-2 days. Ships from and sold by Amazon.com.\n\nSurviving The Evacuation, Book 5: Reunion (Volume 5 ...\n\nSurviving the Evacuation continues in Here We Stand 1: Infected & 2: Divided. There is an evil ...\n\nSurviving The Evacuation, Book 5: Reunion by Frank Tayell ...\n\nWhen they rescue a wounded man, their quest becomes one for medical supplies. That leads them to a rooftop city, and to the realisation that surviving out in the wasteland is easy compared to forging a new life from the wreckage of the old civilisation. The fifth novel in the Post-Apocalyptic series 'Surviving The Evacuation'. (100,000 words)\n\nSurviving the Evacuation, Book 5: Reunion on Apple Books\n\nSurviving The Evacuation, Book 5: Reunion - Ebook written by Frank Tayell. Read this book using Google Play Books app on your PC, android, iOS devices. Download for offline reading, highlight,...\n\nSurviving The Evacuation, Book 5: Reunion by Frank Tayell ...\n\nOther books in the near future, post-apocalyptic series Surviving The Evacuation: 0.5: Zombies vs The Living Dead. 1: London. 2: Wasteland. 3: Family. 4: Unsafe Haven. 5: Reunion. Product Details About the Author\n\nSurviving The Evacuation, Book 0.5: Zombies vs The Living ...\n\nSurviving the Apocalypse book 5 It takes all kinds of people to survive the end of the world, and this chronicle delves into what drives them to battle insurmountable odds. Fast paced, believable characters and a gripping plot make this another winner!\n\nSurviving The Evacuation, Book 5: Reunion eBook by Frank ...\n\nSurviving The Evacuation, Book 0.5: Zombies vs The Living Dead - Kindle edition by Tayell, Frank. Download it once and read it on your Kindle device, PC, phones or tablets. Use features like bookmarks, note taking and highlighting while reading Surviving The Evacuation, Book 0.5: Zombies vs The Living Dead.\n\nAmazon.com: Surviving The Evacuation, Book 0.5: Zombies vs ...\n\nZombies vs The Living Dead (Surviving The Evacuation #0.5), London (Surviving The Evacuation #1), Wasteland (Surviving The Evacuation #2), Family (Survi...\n\nSurviving The Evacuation Series by Frank Tayell\n\n\"Reunion\" is the fifth novel in the \"Surviving the Evacuation\" series, which was released in the year 2015. Seven months have gone by since the outbreak. The world lies in ruins.\n\nSurviving the Evacuation - Book Series In Order\n\nSurviving the Evacuation, Book 18. When the Atlantic and Pacific Survivors meet. A World of Magic. A contemporary comic-fantasy featuring lockdowns, dragons, physical-distancing, snow-monsters, curfews and broomsticks. To be among the first to know about new releases & special offers sign up to the mailing list by clicking here.\n\nFrank Tayell\n\nSurviving The Evacuation, Book 5: Reunion Frank Tayell. 4.7 out of 5 stars 337. Kindle Edition. CDN$2.99. Next. Product description About the Author. Surviving the Evacuation continues in Here We Stand 1: Infected & 2: Divided. There is an evil cabal at the heart of government. This is the story of Sholto and the collapse of America.\n\nSurviving The Evacuation, Book 1: London eBook: Tayell ...\n\nReviews - Please select the tabs below to change the source of reviews. Short and sweet, a great intro to the STE world. What happens to senior citizens once the world ends. Well, the world has ended, but it is ending. Rough Start. love it. Meh... Great insight as to what an outbreak of a ...\n\nSurviving the Evacuation, Book 0.5: Zombies vs. the Living ...\n\nSurviving The Evacuation, Book 5 by Frank Tayell, 9781511480048, available at Book Depository with free delivery worldwide.\n\nSurviving The Evacuation, Book 5 : Frank Tayell ...\n\nSurviving the Evacuation: No More News: Surviving the Evacuation (Life Goes On Book 2) Frank Tayell. 4.8 out of 5 stars 183. Kindle Edition. $3.99. While the Lights Are On: Surviving the Evacuation (Life Goes On Book 3) Frank Tayell. 4.6 out of 5 stars 169. Kindle Edition.\n\nSurviving The Evacuation, Book 1: London eBook: Tayell ...\n\nSurviving The Evacuation, Book 0.5: Zombies vs The Living Dead - Ebook written by Frank Tayell. Read this book using Google Play Books app on your PC, android, iOS devices. Download for offline...\n\nSurviving The Evacuation, Book 0.5: Zombies vs The Living ...\n\nSurviving the Evacuation: No More News: Surviving the Evacuation (Life Goes On Book 2) Frank Tayell. 4.7 out of 5 stars 253. Kindle Edition. 2.99. Next. Customer reviews. 4.3 out of 5 stars. 4.3 out of 5. 2,902 global ratings. 5 star 63% 4 star 19% 3 star 10% ...\n\nSurviving The Evacuation, Book 1: London eBook: Tayell ...\n\nSeries: Surviving The Evacuation, 5 By Frank Tayell During the journey through the British wasteland, Nilda learns more about the self-confessed criminal, Chester Carson.\n\nSmashwords – Surviving The Evacuation, Book 5: Reunion – a ...\n\nSurviving the Evacuation, Book 0.5: Zombies vs. the Living Dead; By: Frank Tayell Narrated by: Tim Bruce Length: 1 hr and 29 mins Unabridged Overall 4 out of 5 stars 132 Performance ...\n\nSurviving is easy. It's the next part, living, that's hard. Zombies. It is seven months since the outbreak. The world is in ruins. Britain is a radioactive wasteland peopled by the undead. The few survivors cling to the hope that they might wake up tomorrow. For most, that is all they have left. But Nilda has something more; the chance that her son is alive. At least he was, months before. She and Chester set out from Penrith, searching for her son. During the journey, Nilda learns more about this self-confessed criminal, Radio Free England, the conspiracy behind the outbreak, and how Chester was involved in it all. As they near Hull, she realises it is too late to change her travelling companion. She will need his help to escape the zombie infested city, and find her son. Fleeing from the last remnant of the old government, Tuck and Jay head south in search for survivors. When they rescue a wounded man, their quest becomes one for medical supplies. That leads them to a rooftop city, and to the realisation that surviving out in the wasteland is easy compared to forging a new life from the wreckage of the old civilisation. (100,000 words) Other books in the series: 1: London. 2: Wasteland. (Zombies vs the Living Dead) 3: Family. 4: Unsafe Haven. 5: Reunion. 6: Harvest. 7: Home. & Here We Stand 1: Infected 2: Divided. Post-apocalyptic detective novels: Serious Crimes, Counterfeit Conspiracy & Work, Rest, Repeat.\n\nZombies. The outbreak began in New York. Soon it had spread to the rest of the world. People were attacked, infected, and they died. Then they came back. No one is safe from the undead. As anarchy and civil war took grip across the globe, Britain was quarantined. The British press was nationalised. Martial law, curfews and rationing were implemented. It wasn't enough. An evacuation was planned. The inland towns and cities of the United Kingdom were to be evacuated to defensive enclaves being built around the coast, the Scottish Highlands, and in the Irish Republic. Bill Wright, a Westminster insider and an advisor to a future Prime Minister, broke his leg on the day of the outbreak. Unable to join the evacuation, he watched from his window as the streets filled with refugees. He watched as the streets emptied once more. He watched as they filled up again, this time with the undead. Then the power went out. He is trapped. He is alone. He is running out of food and water. He knows that to reach the safety of the enclaves he will have to venture out into the wasteland that once was England. On that journey he will ultimately discover the horrific truth about the outbreak, a decades old conspiracy, and his unwitting part in it. This is the first volume of his journal. (73,000 words)\n\nBillions were infected. Nations fell. The evacuation failed. Bill Wright's journey has only one destination, the research facility that created the virus. As he meets other survivors in his struggle across the wasteland to reach it, he discovers that it is not just the undead who need to be feared. This is the second volume of his journal.\n\nThe outbreak changed everything, but there are some bonds even the undead can't break.It's been six years since Pete Guinn last saw his sister, Corrie. He always hoped to see her again, but feared she was dead. When an elusive billionaire reveals Corrie is living under an assumed name in the Australian outback, Pete unquestioningly jumps at the chance of a reunion. But you can't win the lottery without buying a ticket, and billionaires don't do favours for free. Corrie is in hiding from her old employer, and from the Rosewood Cartel. Now that they've both found her, only a miracle can save the two siblings, and what happens in Manhattan can't be described as miraculous.What begins as a viral outbreak soon turns into an impossible horror. People are infected and die, only to rise up and continue transmitting the infection. Even as the army is mobilised, the virus spreads beyond the borders of the United States. Nowhere is safe from the living dead.As Australia is quarantined, the mining town of Brok<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "en Hill becomes a transit hub for the relief effort.", "role": "assistant" } ]
LIFE AFTER GRADUATION Session Objectives * Understand the process of taking the BOC (Board of Certification) * Exam resources and tips * Interview skills * Resources to apply for and successfully obtain a job * Maintaining continuing education credits * Learn more about ASCLS and the benefits, opportunities, and leadership skills it provides. Life After Graduation 1. Clinical Rotations 3. State Licensure 2. Taking the BOC Exam 4. The Job Hunt 6. Landing the Job 5. Interview Skills 7. Maintaining CEs 8. ASCLS Membership #1 Clinical Rotations Successful tips * SHOW UP ON TIME!!! * Be appreciative, respectful, and polite * Have an open mind * Take lots of notes * Be involved * Internship = "job interview" * Review notes and other materials at night to be prepared for the next day #1 Clinical Rotations Successful tips cont. * Ask many questions. This is your time to learn! * Thank your preceptor. They're spending extra time to teach you. * Get plenty of sleep. You will retain the information better. * Network with as many people as you can. * Remember you may use different instruments and LIS systems if you get a job elsewhere, so focus on learning the concepts and principles of things in each dept. #2 Taking the BOC exam You are eligible to sit for the exam upon successful completion of the internship term. 1. Before your internship is over, make an account with BOC. www.ascp.org/content/board-of-certification 2. Sign up for the exam. You will be asked about the MLS program. You can sign up for the exam without your final transcript. The cost of the exam is $240. Note: the sign up process takes a few weeks. 3. You will receive an email from the BOC once they have confirmed that you are eligible to sit for the exam. Sign up at the closest testing center. You can do all of this online at https://home.pearsonvue.com/ #2 Taking the BOC exam cont. 4. Select a testing date sooner than later so you have something to work towards. Understand that the testing center has limited spots and specific times, so you may not get your first choice. 6. Your final transcript must be sent in order for the BOC to release your score and certificate. 5. After completing the exam, you will see either "PASS" or "FAIL" on the screen. 7. DO NOT lose your certificate! You will need it for every future job. content-outlines/ascp-boc-us-procedures-book-final-web.pdf?sfvrsn=22 8. Here's the full procedure manual from BOC: https://www.ascp.org/content/docs/default-source/boc-pdfs/exam#2 Taking the BOC exam cont. Exam content - Blood Bank 17-22% - Urinalysis/ Body Fluids 5-10% - Chemistry 17-22% - Hematology 17-22% - Immunology 5-10% - Microbiology 17-22% - Laboratory Operations 5-10% Here's the content outline on the ASCP website: https://www.ascp.org/content/docs/default-source/boc-pdfs/exam-contentoutlines/ascp-boc-us-procedures-book-final-web.pdf https://www.ascp.org/content/docs/default-source/boc-pdfs/boc-usguidelines/mls_imls_content_guideline.pdf?sfvrsn=6 #2 Taking the BOC exam cont. How the test is set up 1. 100 Questions 2. Computer adaptive testing 3. Each question is worth a different number of points depending on difficulty. 4. You MUST earn 400 points to pass. The highest attainable score is 999. 5. There are no penalties for wrong answers. 6. 2.5 hrs. to complete 7. Answers can be changed at the very end. #2 Taking the BOC cont. 8. You will be given a whiteboard, pen, and calculator. 9. It's great if you can answer all of the easy questions, but you may not earn enough points to pass. 10. Most questions will test 2 or 3 pieces of knowledge at once. They're like A + B = C #2 Taking the BOC exam cont. Helpful Resources * A Clinical Lab Science Review by Patsy Jarreau, MHS, CLS (NCA), MT (ASCP). This book has a great review section before every set of questions. https://www.amazon.com/Clinical-LaboratoryScienceReviewApproach/dp/0967043425/ref=sr_1_2?ie=UTF8&qid=1522047 810&sr=8-2&keywords=clinical+science+review * LabCE https://www.labce.com/ * Online quiz system for test preparation. * Simulated practice quizzes just like the real exam. #2 Taking the BOC exam cont. BOC Study Guide * Really hard questions, no review material. * Tests whether or not you really know the material. * Get a used copy or previous edition to help offset the cost. #2 Taking the BOC exam cont. * Can purchase study guides or practice exams * https://www.ascp.org/content/board-of-certification/getcredentialed/#about-the-exam-process #2 Taking the BOC exam cont. Helpful Hints to passing the exam 1. Start with your weakest area. 2. Don't brush over information you don't know. The BOC will probably ask you about it ☺ 3. Start studying day 1 of your internship. By the end, you will be ready for the exam. 4. REPETITION!!!! 5. Study smart not hard. 6. When you miss a practice question, seek to understand. Understanding a concept will help you remember it more than just plain memorizing it. You would be surprised how much you can learn from doing this. 7. Go into the test with no regrets. You only want to take it once. #3 State Licensure * 11 states require a license in addition to the BOC. * California, Hawaii, Florida, Georgia, Louisiana, Montana, Nevada, New York, North Dakota, Tennessee, and West Virginia. Puerto Rico also has licensure as well. * Some of these states require an additional exam and fees. * If you plan to move to another state, you need to contact that state as soon as possible. * Contact information can be found on the ASCLS website: https://www.ascls.org/advocacy-issues/licensure * Why licensure? * A way for the government to protect the public from potential harm. A Few FAQs 1. I got offered a job before my internship was over. Should I take the exam before I start working? Starting a new job can be really stressful while trying to learn everything as you work. If your finances allow, try and take the exam before you start working. If you can't, it's okay! Many laboratory professionals have successfully passed their BOC exams while working. 2. Can I get hired without the ASCP certification? Yes. Many places require you to obtain the certification within 6 months to a year from your hire date. Some places may have a tighter window. Keep in mind that if you fail the exam, you have to wait 3 months to take it again. 3. I didn't get a job offer after my internship. What's the next step? Your next step can be to job hunt or study/ take the exam. You may have a few weeks before the term ends before you can sit for the exam. Taking the exam prior to starting a new job might make it less stressful in the long run. If you're able to pass the exam prior to job hunting, you will be more marketable. If you desperately need a job before taking the exam, go for it! You can still get hired. 4. Every open job position requires experience. I have no experience since I just finished school. What should I do? Apply for them anyway. If a lab is in need, you will have a better chance of getting hired. You never know what can happen. If you don't apply, you won't get it! You need to get your foot in the door. #4 The Job Hunt Resources to find job openings * https://www.indeed.com/ * https://www.monster.com/ * Individual hospital websites * Contacts from your internship * http://asclsidaho.org/student-corner/employment/ * ASCLS member community posts * https://ascls-jobs.careerwebsite.com/ * ASCLS network contacts! #4 The Job Hunt As a medical laboratory scientist, you can… * Work as a generalist at a hospital or clinic * Work at a specialized lab or department such as ARUP, Lab Corp, Mayo Clinic, etc. * Work for a vendor company like Sysmex, Ortho, Immucor, Stago, etc. * Teach at a college or university * Go on to medical school, dental school, etc. #5 Interview Skills Things to think about before going into an interview * Wear appropriate clothing * Relax, take a deep breath * No flip flops or jeans * Your interview may consist of lab managers AND supervisors * First impressions are everything Resume Tips * Include lab managers, supervisors, and preceptors as references from your internship * Include the instruments you worked on during your internship * Keep relevant topics on your resume #5 Interview Skills The Interview * Types of questions you may be asked: * Icebreaker questions * Ex. "Tell me about yourself." * Traditional questions * Ex. They want to gather information about your experience, skills, goals, personality, etc. * Situational questions * You'll be asked what you would do in a specific situation. * Behavioral based questions * Ex. "Tell me about a time…. " This shows how you behave and handle certain situations. * Culture-fit questions * These are designed to see if you'd fit well in the job or company #5 Interview Skills Example interview questions * Tell me about yourself. * Why should I hire you? * What are your strengths/ weaknesses? * Tell me a time when you didn't agree with your supervisor or coworker and what did you do to fix it? * Why did you choose this profession? * What motivates you? * How do people describe you? * How do you deal with conflict? * Be able to interpret lab values and what may be going on. * Do you have any questions? #5 Interview Skills There are a few things that employers are going to be looking for when hiring such as: * Do you have the skills to do the job? * Would you make a good fit? * How do you stack up with the competition? * Do you have the right mind-set of the job/company? * Do you want the job? #5 Interview Skills Response strategies: * What makes you memorable? * If you need a second to think about your response say, "Let me think for a minute" rather than just saying, "Umm, umm, etc." * Give examples!!! * Be clear and concise * Make sure to ask questions of the interviewers * Remember you are also assessing whether the job is right for you too! #6 Landing the job * Know the difference between SOP/protocol and your trainer's workflow * If you train with multiple people and you see them do things differently, make sure to differentiate or clarify with your trainers what are specific SOP things that need to be done a particular way vs. an individual's workflow to get the task done * Be engaged! Ask questions! Don't forget about critical thinking! #6 Landing the job * Try to understand 'the why' behind things, it will help you know why you are doing something or help answer questions that providers may have; don't just be robotic * More than just a job, it's a profession * Remember there are people behind those samples! #7 Maintaining CE's * Required to renew your certification every 3 years and have 36 continuing education credits (CEs) * Don't wait until the very end to do all your CEs, you are required to have them in a variety of categories and also need to submit your renewal about a month before it's due * Certification Maintenance (CM) in title * Ex. Mary Poppins, MLS(ASCP) CM * ASCLS linked to ASCP to upload CE credits #7 Maintaining CE's * Ways to obtain CEs * Attend ASCLS Conventions! (State, Regional, and/or National) * Vendor or institutional sponsored webinars * Educational opportunities through your work * Purchase packages online: * http://www.ascls.org/certification-maintenance-packages * https://www.labce.com/ * https://www.ascp.org/content/learning/access-onlinecourses/#ce_packages #8 ASCLS Membership Mission Statement: The mission of ASCLS is to make a positive impact in health care through leadership that will assure excellence in the practice of laboratory medicine. Critical Objective: ASCLS exists to advance the expertise of clinical laboratory professionals who, as integral members of interprofessional healthcare teams, deliver quality, consumer-focused, outcomes-oriented clinical laboratory services through all phases of the testing process to prevent, diagnose, monitor and treat disease. #8 ASCLS Membership ASCLS: American Society for Clinical Laboratory Science Website: ascls.org What's ASCLS? * Laboratory professional society * Gives a voice to all medical laboratory professionals to help advance our interests * Grassroots organization formed in 1933 * Provides leadership opportunities, scholarships, research grants, professional awards, educational conventions * 10 regions * Join at the state level #8 ASCLS Membership Difference between ASCLS and ASCP * ASCP (American Society for Clinical Pathology) is also a professional society that includes pathologists and laboratorians * Although you sign up for the BOC exam through ASCP, you do NOT have to join ASCP in order to maintain your certification Benefits Networking * Attend vendor expos and ask questions about instrumentation * Meet other laboratory professionals from around the state or country * Ask colleagues from other facilities about validations, borrowing supplies, etc. * Friendship * Social events #8 ASCLS Membership #8 ASCLS Membership Benefits cont. Scholarships * Undergraduate, graduate, and research grants Continuing Education * Discounted rates for State, Regional, and National meetings * Live continuing education provides an opportunity to ask questions and network with other laboratory professionals. Staying Informed * ASCLS Member Community Forums * National and State Newsletters * Clinical Laboratory Science Journal Benefits cont. Legislation * ASCLS can keep you informed on issues that affect our profession * Members talk with legislators yearly on Capitol Hill to fight for issues affecting the lab Leadership Academy * Regional and National levels * Learn and develop skills to become a leader in the lab and ASCLS #8 ASCLS Membership #8 ASCLS Membership Ways to get involved * Attend conventions * Leadership positions: board and committee positions at the state, regional, and national levels * Planning committees * Delegate at the House of Delegates at the Annual Meeting * Leadership Academy: Regional and National #8 ASCLS Membership Ways to get involved cont. Facebook groups and pages * ASCLS (national page) * Regional page * State page * ASCLS Ascending Professional group * Various interest groups (ie. Blood Bank Interest Group) * Medical Laboratory Science: Hidden Heroes #8 ASCLS Membership How to join/renew * Join or renew online at http://www.ascls.org/membership/join * https://members.ascls.org/content.asp?admin=Y&contentid=151 * Ascending Professional (formerly New Professional): $60 ($48 to renew) plus state dues ($10 per year) * Ascending Professional Membership is open to any individual eligible for Professional Membership, if the individual has not held previous membership other than Developing Professional or Ascending Professional. Membership in this Society and is within five years of graduation from a program of clinical laboratory studies. #8 ASCLS Membership What do you get with an Ascending Professional membership? * All of the benefits as a professional member, but at a cheaper price for 5 years. * Access to the Ascending Professional forum * Access to the CLS journal * Hold an office * Voting privileges Good luck on your adventure!	<urn:uuid:db463b07-0087-44ed-bb07-a568a635a070>	CC-MAIN-2024-18	http://asclsregion8.org/wp-content/uploads/2023/04/Life-After-Graduation.pdf	2024-04-15T00:49:08+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-18/subset=warc/part-00297-29538f81-5664-4df2-acb6-7d8ba3d2a1aa.c000.gz.parquet	3,787,154	3,497	eng_Latn	eng_Latn	0.941896	eng_Latn	0.995636	[ "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown" ]	false	rolmOCR	[ 21, 346, 528, 794, 1224, 1855, 2512, 3002, 3369, 3642, 4118, 4327, 4498, 5093, 5674, 6343, 7138, 7452, 7797, 8252, 8796, 9252, 9551, 9913, 10322, 10602, 11019, 11401, 11929, 12356, 12661, 12950, 13374, 13704, 13992, 14261, 14857, 15133, 15163 ]	LIFE AFTER GRADUATION Session Objectives * Understand the process of taking the BOC (Board of Certification) * Exam resources and tips * Interview skills * Resources to apply for and successfully obtain a job * Maintaining continuing education credits * Learn more about ASCLS and the benefits, opportunities, and leadership skills it provides. Life After Graduation 1. Clinical Rotations 3. State Licensure 2. Taking the BOC Exam 4. The Job Hunt 6. Landing the Job 5. Interview Skills 7. Maintaining CEs 8. ASCLS Membership #1 Clinical Rotations Successful tips * SHOW UP ON TIME!!! * Be appreciative, respectful, and polite * Have an open mind * Take lots of notes * Be involved * Internship = "job interview" * Review notes and other materials at night to be prepared for the next day #1 Clinical Rotations Successful tips cont. * Ask many questions. This is your time to learn! * Thank your preceptor. They're spending extra time to teach you. * Get plenty of sleep. You will retain the information better. * Network with as many people as you can. * Remember you may use different instruments and LIS systems if you get a job elsewhere, so focus on learning the concepts and principles of things in each dept. #2 Taking the BOC exam You are eligible to sit for the exam upon successful completion of the internship term. 1. Before your internship is over, make an account with BOC. www.ascp.org/content/board-of-certification 2. Sign up for the exam. You will be asked about the MLS program. You can sign up for the exam without your final transcript. The cost of the exam is $240. Note: the sign up process takes a few weeks. 3. You will receive an email from the BOC once they have confirmed that you are eligible to sit for the exam. Sign up at the closest testing center. You can do all of this online at https://home.pearsonvue.com/ #2 Taking the BOC exam cont. 4. Select a testing date sooner than later so you have something to work towards. Understand that the testing center has limited spots and specific times, so you may not get your first choice. 6. Your final transcript must be sent in order for the BOC to release your score and certificate. 5. After completing the exam, you will see either "PASS" or "FAIL" on the screen. 7. DO NOT lose your certificate! You will need it for every future job. content-outlines/ascp-boc-us-procedures-book-final-web.pdf?sfvrsn=22 8. Here's the full procedure manual from BOC: https://www.ascp.org/content/docs/default-source/boc-pdfs/exam#2 Taking the BOC exam cont. Exam content - Blood Bank 17-22% - Urinalysis/ Body Fluids 5-10% - Chemistry 17-22% - Hematology 17-22% - Immunology 5-10% - Microbiology 17-22% - Laboratory Operations 5-10% Here's the content outline on the ASCP website: https://www.ascp.org/content/docs/default-source/boc-pdfs/exam-contentoutlines/ascp-boc-us-procedures-book-final-web.pdf https://www.ascp.org/content/docs/default-source/boc-pdfs/boc-usguidelines/mls_imls_content_guideline.pdf?sfvrsn=6 #2 Taking the BOC exam cont. How the test is set up 1. 100 Questions 2. Computer adaptive testing 3. Each question is worth a different number of points depending on difficulty. 4. You MUST earn 400 points to pass. The highest attainable score is 999. 5. There are no penalties for wrong answers. 6. 2.5 hrs. to complete 7. Answers can be changed at the very end. #2 Taking the BOC cont. 8. You will be given a whiteboard, pen, and calculator. 9. It's great if you can answer all of the easy questions, but you may not earn enough points to pass. 10. Most questions will test 2 or 3 pieces of knowledge at once. They're like A + B = C #2 Taking the BOC exam cont. Helpful Resources * A Clinical Lab Science Review by Patsy Jarreau, MHS, CLS (NCA), MT (ASCP). This book has a great review section before every set of questions. https://www.amazon.com/Clinical-LaboratoryScienceReviewApproach/dp/0967043425/ref=sr_1_2?ie=UTF8&qid=1522047 810&sr=8-2&keywords=clinical+science+review * LabCE https://www.labce.com/ * Online quiz system for test preparation. * Simulated practice quizzes just like the real exam. #2 Taking the BOC exam cont. BOC Study Guide * Really hard questions, no review material. * Tests whether or not you really know the material. * Get a used copy or previous edition to help offset the cost. #2 Taking the BOC exam cont. * Can purchase study guides or practice exams * https://www.ascp.org/content/board-of-certification/getcredentialed/#about-the-exam-process #2 Taking the BOC exam cont. Helpful Hints to passing the exam 1. Start with your weakest area. 2. Don't brush over information you don't know. The BOC will probably ask you about it ☺ 3. Start studying day 1 of your internship. By the end, you will be ready for the exam. 4. REPETITION!!!! 5. Study smart not hard. 6. When you miss a practice question, seek to understand. Understanding a concept will help you remember it more than just plain memorizing it. You would be surprised how much you can learn from doing this. 7. Go into the test with no regrets. You only want to take it once. #3 State Licensure * 11 states require a license in addition to the BOC. * California, Hawaii, Florida, Georgia, Louisiana, Montana, Nevada, New York, North Dakota, Tennessee, and West Virginia. Puerto Rico also has licensure as well. * Some of these states require an additional exam and fees. * If you plan to move to another state, you need to contact that state as soon as possible. * Contact information can be found on the ASCLS website: https://www.ascls.org/advocacy-issues/licensure * Why licensure? * A way for the government to protect the public from potential harm. A Few FAQs 1. I got offered a job before my internship was over. Should I take the exam before I start working? Starting a new job can be really stressful while trying to learn everything as you work. If your finances allow, try and take the exam before you start working. If you can't, it's okay! Many laboratory professionals have successfully passed their BOC exams while working. 2. Can I get hired without the ASCP certification? Yes. Many places require you to obtain the certification within 6 months to a year from your hire date. Some places may have a tighter window. Keep in mind that if you f	ail the exam, you have to wait 3 months to take it again.		6,286	inside_word	fail	remove_all	<url> http://asclsregion8.org/wp-content/uploads/2023/04/Life-After-Graduation.pdf </url> <text> LIFE AFTER GRADUATION Session Objectives * Understand the process of taking the BOC (Board of Certification) * Exam resources and tips * Interview skills * Resources to apply for and successfully obtain a job * Maintaining continuing education credits * Learn more about ASCLS and the benefits, opportunities, and leadership skills it provides. Life After Graduation 1. Clinical Rotations 3. State Licensure 2. Taking the BOC Exam 4. The Job Hunt 6. Landing the Job 5. Interview Skills 7. Maintaining CEs 8. ASCLS Membership #1 Clinical Rotations Successful tips * SHOW UP ON TIME!!! * Be appreciative, respectful, and polite * Have an open mind * Take lots of notes * Be involved * Internship = "job interview" * Review notes and other materials at night to be prepared for the next day #1 Clinical Rotations Successful tips cont. * Ask many questions. This is your time to learn! * Thank your preceptor. They're spending extra time to teach you. * Get plenty of sleep. You will retain the information better. * Network with as many people as you can. * Remember you may use different instruments and LIS systems if you get a job elsewhere, so focus on learning the concepts and principles of things in each dept. #2 Taking the BOC exam You are eligible to sit for the exam upon successful completion of the internship term. 1. Before your internship is over, make an account with BOC. www.ascp.org/content/board-of-certification 2. Sign up for the exam. You will be asked about the MLS program. You can sign up for the exam without your final transcript. The cost of the exam is $240. Note: the sign up process takes a few weeks. 3. You will receive an email from the BOC once they have confirmed that you are eligible to sit for the exam. Sign up at the closest testing center. You can do all of this online at https://home.pearsonvue.com/ #2 Taking the BOC exam cont. 4. Select a testing date sooner than later so you have something to work towards. Understand that the testing center has limited spots and specific times, so you may not get your first choice. 6. Your final transcript must be sent in order for the BOC to release your score and certificate. 5. After completing the exam, you will see either "PASS" or "FAIL" on the screen. 7. DO NOT lose your certificate! You will need it for every future job. content-outlines/ascp-boc-us-procedures-book-final-web.pdf?sfvrsn=22 8. Here's the full procedure manual from BOC: https://www.ascp.org/content/docs/default-source/boc-pdfs/exam#2 Taking the BOC exam cont. Exam content - Blood Bank 17-22% - Urinalysis/ Body Fluids 5-10% - Chemistry 17-22% - Hematology 17-22% - Immunology 5-10% - Microbiology 17-22% - Laboratory Operations 5-10% Here's the content outline on the ASCP website: https://www.ascp.org/content/docs/default-source/boc-pdfs/exam-contentoutlines/ascp-boc-us-procedures-book-final-web.pdf https://www.ascp.org/content/docs/default-source/boc-pdfs/boc-usguidelines/mls_imls_content_guideline.pdf?sfvrsn=6 #2 Taking the BOC exam cont. How the test is set up 1. 100 Questions 2. Computer adaptive testing 3. Each question is worth a different number of points depending on difficulty. 4. You MUST earn 400 points to pass. The highest attainable score is 999. 5. There are no penalties for wrong answers. 6. 2.5 hrs. to complete 7. Answers can be changed at the very end. #2 Taking the BOC cont. 8. You will be given a whiteboard, pen, and calculator. 9. It's great if you can answer all of the easy questions, but you may not earn enough points to pass. 10. Most questions will test 2 or 3 pieces of knowledge at once. They're like A + B = C #2 Taking the BOC exam cont. Helpful Resources * A Clinical Lab Science Review by Patsy Jarreau, MHS, CLS (NCA), MT (ASCP). This book has a great review section before every set of questions. https://www.amazon.com/Clinical-LaboratoryScienceReviewApproach/dp/0967043425/ref=sr_1_2?ie=UTF8&qid=1522047 810&sr=8-2&keywords=clinical+science+review * LabCE https://www.labce.com/ * Online quiz system for test preparation. * Simulated practice quizzes just like the real exam. #2 Taking the BOC exam cont. BOC Study Guide * Really hard questions, no review material. * Tests whether or not you really know the material. * Get a used copy or previous edition to help offset the cost. #2 Taking the BOC exam cont. * Can purchase study guides or practice exams * https://www.ascp.org/content/board-of-certification/getcredentialed/#about-the-exam-process #2 Taking the BOC exam cont. Helpful Hints to passing the exam 1. Start with your weakest area. 2. Don't brush over information you don't know. The BOC will probably ask you about it ☺ 3. Start studying day 1 of your internship. By the end, you will be ready for the exam. 4. REPETITION!!!! 5. Study smart not hard. 6. When you miss a practice question, seek to understand. Understanding a concept will help you remember it more than just plain memorizing it. You would be surprised how much you can learn from doing this. 7. Go into the test with no regrets. You only want to take it once. #3 State Licensure * 11 states require a license in addition to the BOC. * California, Hawaii, Florida, Georgia, Louisiana, Montana, Nevada, New York, North Dakota, Tennessee, and West Virginia. Puerto Rico also has licensure as well. * Some of these states require an additional exam and fees. * If you plan to move to another state, you need to contact that state as soon as possible. * Contact information can be found on the ASCLS website: https://www.ascls.org/advocacy-issues/licensure * Why licensure? * A way for the government to protect the public from potential harm. A Few FAQs 1. I got offered a job before my internship was over. Should I take the exam before I start working? Starting a new job can be really stressful while trying to learn everything as you work. If your finances allow, try and take the exam before you start working. If you can't, it's okay! Many laboratory professionals have successfully passed their BOC exams while working. 2. Can I get hired without the ASCP certification? Yes. Many places require you to obtain the certification within 6 months to a year from your hire date. Some places may have a tighter window. Keep in mind that if you f<cursor_is_here> </text>	[ { "content": "<url>\nhttp://asclsregion8.org/wp-content/uploads/2023/04/Life-After-Graduation.pdf\n</url>\n<text>\nLIFE AFTER GRADUATION\n\nSession Objectives\n\n* Understand the process of taking the BOC (Board of Certification)\n* Exam resources and tips\n* Interview skills\n* Resources to apply for and successfully obtain a job\n* Maintaining continuing education credits\n* Learn more about ASCLS and the benefits, opportunities, and leadership skills it provides.\n\nLife After Graduation\n\n1. Clinical Rotations\n3. State Licensure\n2. Taking the BOC Exam\n4. The Job Hunt\n6. Landing the Job\n5. Interview Skills\n7. Maintaining CEs\n8. ASCLS Membership\n\n#1 Clinical Rotations\n\nSuccessful tips\n\n* SHOW UP ON TIME!!!\n* Be appreciative, respectful, and polite\n* Have an open mind\n* Take lots of notes\n* Be involved\n* Internship = \"job interview\"\n* Review notes and other materials at night to be prepared for the next day\n\n#1 Clinical Rotations\n\nSuccessful tips cont.\n\n* Ask many questions. This is your time to learn!\n* Thank your preceptor. They're spending extra time to teach you.\n* Get plenty of sleep. You will retain the information better.\n* Network with as many people as you can.\n* Remember you may use different instruments and LIS systems if you get a job elsewhere, so focus on learning the concepts and principles of things in each dept.\n\n#2 Taking the BOC exam\n\nYou are eligible to sit for the exam upon successful completion of the internship term.\n\n1. Before your internship is over, make an account with BOC. www.ascp.org/content/board-of-certification\n2. Sign up for the exam. You will be asked about the MLS program. You can sign up for the exam without your final transcript. The cost of the exam is $240. Note: the sign up process takes a few weeks.\n3. You will receive an email from the BOC once they have confirmed that you are eligible to sit for the exam. Sign up at the closest testing center. You can do all of this online at https://home.pearsonvue.com/\n\n#2 Taking the BOC exam cont.\n\n4. Select a testing date sooner than later so you have something to work towards. Understand that the testing center has limited spots and specific times, so you may not get your first choice.\n6. Your final transcript must be sent in order for the BOC to release your score and certificate.\n5. After completing the exam, you will see either \"PASS\" or \"FAIL\" on the screen.\n7. DO NOT lose your certificate! You will need it for every future job.\n\ncontent-outlines/ascp-boc-us-procedures-book-final-web.pdf?sfvrsn=22\n\n8. Here's the full procedure manual from BOC: https://www.ascp.org/content/docs/default-source/boc-pdfs/exam#2 Taking the BOC exam cont.\n\nExam content\n\n- Blood Bank 17-22%\n- Urinalysis/ Body Fluids 5-10%\n- Chemistry 17-22%\n- Hematology 17-22%\n- Immunology 5-10%\n- Microbiology 17-22%\n- Laboratory Operations 5-10%\n\nHere's the content outline on the ASCP website:\n\nhttps://www.ascp.org/content/docs/default-source/boc-pdfs/exam-contentoutlines/ascp-boc-us-procedures-book-final-web.pdf https://www.ascp.org/content/docs/default-source/boc-pdfs/boc-usguidelines/mls_imls_content_guideline.pdf?sfvrsn=6\n\n#2 Taking the BOC exam cont.\n\nHow the test is set up\n\n1. 100 Questions\n2. Computer adaptive testing\n3. Each question is worth a different number of points depending on difficulty.\n4. You MUST earn 400 points to pass. The highest attainable score is 999.\n5. There are no penalties for wrong answers.\n6. 2.5 hrs. to complete\n7. Answers can be changed at the very end.\n\n#2 Taking the BOC cont.\n\n8. You will be given a whiteboard, pen, and calculator.\n9. It's great if you can answer all of the easy questions, but you may not earn enough points to pass.\n10. Most questions will test 2 or 3 pieces of knowledge at once. They're like A + B = C\n\n#2 Taking the BOC exam cont.\n\nHelpful Resources\n\n* A Clinical Lab Science Review by Patsy Jarreau, MHS, CLS (NCA), MT (ASCP). This book has a great review section before every set of questions. https://www.amazon.com/Clinical-LaboratoryScienceReviewApproach/dp/0967043425/ref=sr_1_2?ie=UTF8&qid=1522047 810&sr=8-2&keywords=clinical+science+review\n* LabCE https://www.labce.com/\n* Online quiz system for test preparation.\n* Simulated practice quizzes just like the real exam.\n\n#2 Taking the BOC exam cont.\n\nBOC Study Guide\n\n* Really hard questions, no review material.\n* Tests whether or not you really know the material.\n* Get a used copy or previous edition to help offset the cost.\n\n#2 Taking the BOC exam cont.\n\n* Can purchase study guides or practice exams\n* https://www.ascp.org/content/board-of-certification/getcredentialed/#about-the-exam-process\n\n#2 Taking the BOC exam cont.\n\nHelpful Hints to passing the exam\n\n1. Start with your weakest area.\n2. Don't brush over information you don't know. The BOC will probably ask you about it ☺\n3. Start studying day 1 of your internship. By the end, you will be ready for the exam.\n4. REPETITION!!!!\n5. Study smart not hard.\n6. When you miss a practice question, seek to understand. Understanding a concept will help you remember it more than just plain memorizing it. You would be surprised how much you can learn from doing this.\n7. Go into the test with no regrets. You only want to take it once.\n\n#3 State Licensure\n\n* 11 states require a license in addition to the BOC.\n* California, Hawaii, Florida, Georgia, Louisiana, Montana, Nevada, New York, North Dakota, Tennessee, and West Virginia. Puerto Rico also has licensure as well.\n* Some of these states require an additional exam and fees.\n* If you plan to move to another state, you need to contact that state as soon as possible.\n* Contact information can be found on the ASCLS website: https://www.ascls.org/advocacy-issues/licensure\n* Why licensure?\n* A way for the government to protect the public from potential harm.\n\nA Few FAQs\n\n1. I got offered a job before my internship was over. Should I take the exam before I start working?\n\nStarting a new job can be really stressful while trying to learn everything as you work. If your finances allow, try and take the exam before you start working. If you can't, it's okay! Many laboratory professionals have successfully passed their BOC exams while working.\n\n2. Can I get hired without the ASCP certification?\n\nYes. Many places require you to obtain the certification within 6 months to a year from your hire date. Some places may have a tighter window. Keep in mind that if you f<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "ail the exam, you have to wait 3 months to take it again.", "role": "assistant" } ]
Paladin and Unison Films in association with Radius Films present BOY Written and Directed by Taika Waititi Paladin: Amanda [email protected]; 212-337-9500 NY/National PR: Chanelle James [email protected]; 646-873-6660 LA/National PR: Sonya Ede SYE Publicity [email protected]; 323-259-9373 Running Time: 90 minutes Rating: not rated Website: boythefilm.com BOY CREDITS Writer/Director: Taika Waititi Producers : Ainsley Gardiner, Cliff Curtis, Emanuel Michael Co-Producer : Merata Mita Associate Producer: Richard Fletcher Production Company : Whenua Films, Unison Films In Association With : The New Zealand Film Production Fund Trust, The New Zealand Film Commission, NZ On Air, Te Mangai Paho. Running Time : 90 minutes Starring : James Rolleston Te Aho Eketone-Whitu Taika Waititi Director of Photography : Adam Clark Editor : Chris Plummer Music : The Phoenix Foundation Production Designer : Shayne Radford Hair and Makeup: Danelle Satherley Costume Designer : Amanda Neale Casting: Tina Cleary BOY ABOUT THE STORY The year is 1984, and on the rural East Coast of New Zealand "Thriller" is changing kids‟ lives. Inspired by the Oscar nominated Two Cars, One Night, BOY is the hilarious and heartfelt coming-of-age tale about heroes, magic and Michael Jackson. BOY is a dreamer who loves Michael Jackson. He lives with his brother ROCKY, a tribe of deserted cousins and his Nan. Boy‟s other hero, his father, ALAMEIN, is the subject of Boy‟s fantasies, and he imagines him as a deep sea diver, war hero and a close relation of Michael Jackson (he can even dance like him). In reality Alamein is an inept, wannabe gangster who has been in jail for robbery. When Alamein returns home after seven years away, Boy is forced to confront the man he thought he remembered, find his own potential and learn to get along without the hero he had been hoping for. BOY ABOUT THE PRODUCTION Taika Waititi‟s BOY is New Zealand‟s most successful local film of all time, a lowbudget, intimately scaled, and completely independent production that nonetheless managed to capture the imagination of the entire nation, and then went on to win both prizes and acclaim internationally. Set in a rural Maori community in the scenic Bay of Plenty on New Zealand‟s eastern coast, the film charts the journey of an 11 yearold boy (whose name happens to be "Boy") as he comes to know and understand the adult world he is about to enter. Boy (played by newcomer James Rolleston) invents memories of his long-absent father, Alamein (played by Waititi), and brightens his existence by imagining—and vicariously enjoying—his dad‟s fictionalized exploits. But, when Alamein returns home, Boy is forced to see his world-- and his hero--as they are, and not as he wants them to be. BOY is based on Waititi‟s Academy Award-nominated short film, Two Cars, One Night and, like the short, it is somewhat autobiographical. "Like Boy," Waititi says, "I draw a lot of inspiration from true and imagined memories. This story is personal in that I believe you must write what you know in order to create honest art. Some events are true, some true of other people, most are imagined." He continues: "The most important part that is true is that I grew up in a household like that--many kids and not many adults. Apart from that, the rest of the story is made up. A few of the characters are based on people I grew up around but really, no one specific. I'm quite careful not to blatantly steal someone and make them a character. All the adults in the film are mixtures of people and their personalities, including mine." BOY is more inspired by Two Cars, One Night, than it is an adaptation of it. "They really are completely different stories and films," he stresses. "I knew I wanted to make another film in my backyard. I did, however, pay a little homage to the short by taking part of a scene from it and putting it in the feature. I didn't really treat it as an adaptation." Due to the enormous success of the short, Waititi was invited to the Sundance Writer‟s Lab, where he work-shopped the BOY script with Frank Pierson ("Dog Day Afternoon"), David Benioff ("Troy"), Naomi Foner ("Running On Empty), and Susan Shilliday ("Legends Of The Fall"). Of the process, Waititi says, "the labs are a sort of intensified version of asking a friend to read your script and tell you what they think. It's a great place to get focused on the script because there are very few distractions. They lock you away in the mountain resort with a large group of great writers, all with different styles and backgrounds, and make you talk with them about your story. You don't take notes or work on your script, you just chill out and talk, and later you might take a few of the resonant ideas and use them. I didn't work on the script for another year and a half so I'm not sure what I remembered but definitely there were things that stayed with me." When Waititi says he made BOY "in his own back yard," he is not exaggerating. He filmed it in the very town where he grew up, in the actual house in which he lived. On the surface, it‟s a location full if contradictions. It's called "The Bay of Plenty," but the people who live there seem to have so little; the natural surroundings are beautiful, but the man-made world is not. In describing the place and how it helped him shape the characters and drama he created Waititi says, "the area where my family lives is what most people in the U.S. would describe as poor, or poverty stricken, but it's not at all. People have money and they get by quite well, but their idea of what is important and the kinds of material things they need are very different." He continues: "they don't care about Apple products or designer clothes. They are very, very real and down to earth. It's a close community where people help each other and provide for one another. We live off the land and the sea. Most food is hunted or fished or grown. Nobody has expensive cars because there's absolutely no need for them. There's no cellphone coverage either, because we don't need cellphones there. So, life becomes „simple.‟ But, there is never a dull moment and people are always busy. It is this amazing world that I wanted to capture and show on screen. It's a perfect backdrop for this story." In addition to setting BOY geographically in his childhood home, Waititi also set the film in the very era in which he was raised. The film takes place in the summer of 1984, at the height of the Michael Jackson "Thriller" craze, and it is Boy‟s fascination with Jackson that informs many of his fantasies and, as a result, much of the film‟s boisterous and energetic visual style. Waititi confesses that, like BOY, he and his friends were obsessed with Michael Jackson as kids. In describing what this American superstar meant to a Maori adolescent growing up on the other side of the world, Waititi observes, quite simply, that "he wasn't white. It was cool," he says, "to see someone of color doing amazing things. We could relate to him because we thought he was a bit like us. He also appealed because he created a world for himself that any child would if they had millions of dollars. He had zoo animals and a railroad in his backyard and Pepsi coming out of the faucets and wore crazy clothes. He could also dance like someone from another planet. Why wouldn't you think he was cool?" In addition to worshipping Jackson, and trying to emulate him--a scene where moves like the singer to impress the girl he has a crush on is particularly funny—Boy also believes that, when his father returns, he will take him to see Jackson perform live. On more than one occasion, he also imagines himself and his cohorts living inside of Jackson‟s iconic music videos, "Thriller," and "Beat It." These musings provide the film with a few extended musical sequences—Michael Jackson numbers as performed by 11 year-old amateur Maori kids with little talent—that are far from the original, but wonderful to watch nonetheless." More than anything, they speak to the natural think that the natural creativity of Boy, and show how his fantasies and dreams help him survive all the difficulties he faces. "Kids have a way of seeing the world," says Waititi, "that blends fantasy and reality. Adults do it too but they are more reserved. I like trying to understand how kids reinterpret the world around them, especially if it is within dark scenarios and an adult- controlled environment. I didn't have as defined a fantasy world as Boy‟s when I was his age, though I was always fantasizing." Fantasy also plays an important part in Alamein's life. When we first see him, it is through Boy‟s eyes, and he is playing a number of roles appropriated from other cultures (e.g., Hollywood adventures, Samurai films.) Since Alamein has been away for years, these images are all Boy has to work with. However, when Alamein returns (from prison, as it turns out), he is every bit the dreamer that his 11 year-old son is, imagining himself the leader of a gang, and harboring fantasies of buried treasure and assorted other get-rich-quick schemes. It„s as if the Maori culture has been "colonized," in ways both good and bad, by the outside world. As Waititi explains it, "Alamein is based on a generation of people who were bought up to be ashamed of their culture. They were punished at school for speaking their language and were constantly told that to be Maori meant you were stupid. And so a lot of them moved from the country to the cities and started or joined gangs; clubs where they could congregate and feel like a family. They looked after each other and made each other feel wanted, and as much as gangs have changed and become horrible and embarrassing parts of society, some were originally started with positive intentions. (Incidentally, the origins of the L.A. gangs are very similar.) "So," he continues, "all of these guys, and girls too, started living fantasy lives where they changed their names and became less Maori, preferring to identify with outlaws, rebels, and romantic heroes like Gunslingers, Native Americans, famous conquerors, and Samurai. It wasn't because they were hammered with all these influences at the movies or on TV; they read books and sought out people they wanted to be like. Ironically, Maori history has some incredibly strong leaders and heroes, including extremely famous warriors who led armed resistance movements in the 10 year war against the British empire. On a positive note, this gang generation had a huge turnaround in the late 80's and most went back to their Maori roots." Given the role‟s significance, Waititi didn‟t originally envision casting himself as Alamein. As he recalls it, "a lot of guys, including friends, had tried out for it, and I brought some of them back about 5 or 6 times before deciding to do it myself. The role is very different from what Maori get to play in that it is more of a comic role; the mix of buffoonery and drama meant that a background in comedy was a benefit. I had been an actor for many years before I started directing so I didn't really have a problem doing it. I was also able to direct the kids in the moment, face to face, within the scene, and also adjust their performances or dialogue while we acted. So it actually became an advantage. It's not something I'd do too often because of the strain it places on you creatively. You have to split your brain into 3 different parts, one each for acting, writing, and directing. You're always thinking from one of those directions." Working so closely with his young co-stars, both on camera and behindit, Waititi was able to reinforce the similarities between Boy and Alamein—something that is already quite evident in his script. By simultaneously revealing the child‟s dawning maturity and the father‟s hopeless immaturity, Waititi shows us that Boy is really the man, while his father is really the boy. "It's a classic dynamic," he says. "The child who fathers the parent, the adult who seeks direction from the child. I like these sorts of relationships and have always been interested in the ways that families interact and navigate each other. I think we really don't know our parents and vice-versa. We are aware of them, but we can never know what they are really thinking, their hopes and dreams, and who they really are. I wanted to examine a father and two sons trying to figure each other out." Another thing that unites BOY and his father is their sense of loss: Boy losing his illusions about his father, and also losing his beloved pet goat; Alamein never recovering from the loss of his wife (and losing his money more than once); and, perhaps, the Maori people losing some of their heritage and legacy. Waititi agrees that the idea of loss is central to his film. "Everyone has lost something," he says, "and is trying to replace it with someone, or something else. I think Boy's journey is particularly interesting in that he has replaced his mother with a pet goat, The loss of his mother has forced him to believe he has always been like his father. In reality, Rocky, who has replaced himself with a sort of dangerous monster because he blames himself for her death, is more like Alamein. Alamein is trying to replace his wife AND children with a cruddy bag of money buried somewhere in a field." He continues: "As Boy realizes he is more like his mother, he moves towards her, while Rocky moves towards Alamein. So you have these shifting loyalties and loves. Alamein, in turn, must move closer to the truth that he's been avoiding this whole time - that he was never there. He also surrounds himself with losers and weaklings in order to make him feel more like a winner and a leader. In actual fact, he is the biggest loser and weakling in the film." For all this talk of loss, and despite the fact that the lives depicted are sometimes sad (and, more than once, very much so), BOY is nonetheless a comedy, and has an overwhelmingly light, fanciful, buoyant tone and style. Considering that Waititi roots are in comedy—he did stand-up and improve at key junctures in his performing career--this may not be too surprising. "I can't really handle depressing films about depressing subjects," he confesses. "I would prefer to make something that pulls an audience in with a light, welcoming tone, and then bash them with little moments of drama and real, human emotion. This is truer to real life, I believe, that we are all balancing on a fine thread that lies between drama and comedy. You have to have both in your life to keep sane and balanced, and that's why I like to tell stories that reside in both worlds." Along with Jemaine Clement and Brett Mackenzie, with whom he collaborated extensively (as writer and director) on the hit television, "Flight of the Conchords," Waititii is in the vanguard of a new comedy movement emanating from New Zealand. In describing his kinship with his fellow "Kiwi" artists, and characterizing the New Zealand brand of humor evidenced by BOY and his other work, Waititi says, "New Zealand comedy has, for many years, been quite dark and sometimes disturbing. We like good ghost stories and funny thrillers. My films are probably more at the lighter end than typical N.Z. stuff, and the "Conchords" even more so." He goes on to say that, "there are a bunch of us in N.Z. who have all collaborated in different combinations and continue to do so. I think our style is a development of the influences we had growing up - a mixture of the best of British and American comedy, and to some extent having the ability to look at things from afar, like a tiny country in the South Pacific. When you're an outsider looking in, you develop more of a subjective comic view; which is why a lot of the gags originate in observational comedy. I think we see things that Americans might not. I can't really classify my films in terms of comedy because of the dramatic element. They are comedies that aren't always funny, sometimes poetic and a bit artsy. Maybe it's art-comedy." Acknowledging that most of the most successful and highly regarded films exported from New Zealand until now have been heavily dramatic, Waititi observes, "I think that New Zealand as a whole, needs to develop and explore more styles with its films. We have found that a certain style works and have stuck with it for a while. I really didn't want to make a film where a kid dies or gets kidnapped or people seriously abuse each other or everyone is depressed. We have a lot of depression in New Zealand and it's important to talk about it, but there are other ways, and comedy is, in my opinion, a really effective tool for bringing attention to social issues too. " Waititi doesn‟t only leaven the more dramatic qualities of BOY with comedy. He also develops a distinctive visual style that deftly combines sight gags, quick subjective glimpses of his characters‟ thoughts, full-on fantasy sequences, drawings and animations, to convey the inner life and irrepressible spirit of his protagonists. It is a style reminiscent of such masters of youthful hijinx as Richard Lester in his 60‟s heyday, early Francois Truffaut, or to cite a more recent example, of Danny Boyle. (In fact, BOY has already drawn comparisons to both "The 400 Blows" and "Slumdog Millionaire"). Explaining his highly visual orientation, Waititi notes, "my background is painting. My father is a painter and when I left school that's what I decided to do. So, I spent most of my twenties making art. I drew all the animations in the movie and some of the other art within the sets." "There's no particular style that I'm influenced by," he continues, "though I guess the beginning of BOY is very similar to the beginning of „Jules et Jim --at least in my mind it is-- so I suppose I like things that feed you a lot of information and layers of visual and aural stimulation, but at the same time have a simplicity about them. Although I use things like animation and other visual styles, I think my films are pretty simple. Having said that, I did spend about a month trying to get the first 5 minutes right!" The extraordinary success enjoyed by BOY, both at home and abroad, attests to the fact that Waititi must have gotten more than its first five minutes right. Asked to account for its success, the writer/director/star can only say, "I think the story is honest and is not pretending to be what it isn't. For instance, we had money set aside to use Michael Jackson songs, including „Thriller.‟ This is before he died, so it was a little cheaper, but when we looked at the cut, with the music, it didn't feel right, it didn't feel authentic. I think for a small film like this having a gigantic song like „Thriller‟ or „Beat It‟ might pull the audience out of the experience. It just felt like we needed to show those Michael Jackson moments with a little more honesty. So I think the film really speaks that way, it's an honest approach to a story about a broken family. But told in a slightly whimsical and child-like manner." BOY ABOUT THE CAST Boy – James Rolleston James was 11 when he auditioned for a role in BOY. He was originally cast in a much smaller role but when Taika realized his initial choice for the lead had grown up a little too much to play the pre-pubescent Boy, he and the casting director brought James to Waihau Bay for a workshop with a number of the other young cast. He was cast. On Monday he started acting for the first time in his life. By Tuesday he was asking if lines were believable. He is a natural; smart, open and innocent but with enough experience in his life to draw from for the role. James is also a talented young sportsman who plays representative rugby. Rocky – Te Aho Eketone Whitu Te Aho was born and bred in Minginui, a small farming community outside Rotorua. His hobbies are motorbikes, hunting, fishing and rugby and when he grows up he wants to be Richie McCaw (All Black). BOY ABOUT THE FILMMAKERS DIRECTOR/WRITER/ACTOR – Taika Waititi Also going by the surname Cohen, Taika is of TeWhanau-a-Apanui descent and hails from the Raukokore region of the East Coast. He has been involved in the arts for several years, as a visual artist, actor, writer and director. Taika‟s first short film, 'Two Cars, One Night', was nominated for an Academy Award in 2005. His next short, 'Tama Tu' about a group of Maori soldiers in Italy during World War II won a string of international awards, making it also eligible for Oscar nomination. His first feature, Eagle vs. Shark, was released internationally in 2007 after selling to Miramax on the basis of a trailer. As a performer and comedian, Taika has been involved in some of New Zealand‟s most innovative and successful productions. He has a strong background in comedy writing and performing and with fellow comedian Jemaine Clement (Flight of the Conchords), has won New Zealand‟s top comedy award, the "Billy T" and also the "Spirit of the Fringe Award" in Edinburgh. He regularly does stand up gigs around the country and in 2004 launched his solo production; Taika's Incredible Show which wasn‟t that incredible but had a cool poster, which he drew himself. Taika has been critically acclaimed for his dramatic abilities. In 2000 he was nominated for Best Actor at the Nokia Film Awards for his role in the Sarkies Brothers‟ film Scarfies. Taika also plays Boy and Rocky‟s father, Alamein in the film. PRODUCERS Cliff Curtis Cliff Curtis is of Te Arawa and Ngati Hauiti descent. Cliff is best known as an actor in both New Zealand and in the U.S. He had his first taste behind the camera as the Director of The Rocks a half hour short film made as part of Mataku South Pacific Pictures and Four Winds Productions for television. He later joined with Ainsley to start Whenua Films in 2004 to produce Taika‟s second short film, Tama Tu. Whenua Films have since operated the NZFC‟s short film initiative in 2005/2006 and have produced Taika‟s first feature Eagle vs Shark. His interest as a producer is primarily driven by his passion for story telling but he welcomes the opportunity to not have to wear makeup. Ainsley Gardiner Ainsley is of Te Whanau-a-Apanui, Whakatohea, Ngati Awa, and Ngati Pikiao descent. She began her involvement in film in 1995 with the Avalon Film and TV production course that included work placement with Kahukura Productions. Her 6 year experience with Larry Parr saw her emerge as one of New Zealand's most promising young producers. Ainsley was appropriately acknowledged by WIFT as The Emerging Producer of the Year 2004 and again in 2007 for Achievement in Film. As well as producing two features before she was 28, she also produced a 26-episode comedy for television and various short films, and worked on commercials, shorts and corporate videos in production and as an Assistant Director for other companies. Notably Ainsley produced the short films Two Cars One Night and Tama Tu written and directed by Taika Waititi. She has also written and directed her first short film, Mokopuna, funded by Creative New Zealand and the NZ Film Commission. Emanuel Michael Emanuel Michael is a founding partner of Unison Films, a production and distribution company based in New York. Emanuel has been honored as one of MovieMaker Magazine‟s 10 Moviemakers Making A Difference, along with other honorees such as Matt Damon and Natalie Portman. Through Unison Films, Emanuel Michael has produced ten feature films including Taika Waititi‟s previous award-winning film EAGLE VS. SHARK which was released by Miramax FIlms. Upcoming films include: "360" written by two-time Academy Award® nominee Peter Morgan (THE QUEEN, THE LAST KING OF SCOTLAND) and directed by Academy Award® nominee Fernando Meirelles (CITY OF GOD, THE CONSTANT GARDENER) starring Academy Award® winner Anthony Hopkins, Academy Award® winner Rachel Weisz, and two-time Academy Award® nominee Jude Law; A LATE QUARTET written and directed by Yaron Zilberman (WATERMARKS) starring Academy Award® winner Philip Seymour Hoffman, Academy Award® winner Christopher Walken, and two-time Academy Award® nominee Catherine Keener; and INOCENTE the upcoming feature documentary from the Academy Award® nominated and Sundance Best Director winners Sean and Andrea Fine (WAR DANCE). CASTING DIRECTOR – Tina Cleary She has cast award-winning short films including Fog for director Peter Salmon, Run and Six Dollar Fifty Man for directors, Louis Sutherland & Mark Albiston, Mokopuna by director Ainsley Gardiner and Crossing the Line for director Peter Jackson. She has been the NZ Casting Director for off-shore films and TV in Tina Cleary has a body of experience working in casting on TV dramas and feature films for more than a decade development for Warner Bros and Disney and has worked for Producer Barrie Osborne. Recent projects have included an award winning TV drama Until Proven Innocent for director Peter Burger, and the NZ box office hit Second Hand Wedding, with director Paul Murphy. She has also recently co-cast Home by Christmas for director Gaylene Preston. PRODUCTION DESIGNER – Shayne Radford Shayne came to the film industry as a successful hairdresser with three salons and 30 staff. As a hairdresser on Geoff Murphy‟s Utu, Shayne was inspired by the moko work of Bob McCarron. He moved into special effects work and was part of the now Weta Workshop with Richard Taylor and Peter Jackson. He has since contributed his art direction and design skills to such iconic Kiwi films as Once Were Warriors, Desperate Remedies and Rain Of the Children, as well as numerous productions for the Bradley brothers. COSTUME DESIGNER – Amanda Neale Amanda Neale is an intuitive and resourceful designer who loves the process of creating character identity through carefully considered costume. She has an impressive and varied filmography, working as a buyer or lead standby on films such as Lord of the Rings, Last Samurai, King Kong, Avatar and The Lovely Bones. Her passion lies in costume design and creating a strong aesthetic. She loves working on New Zealand stories, collaborating and giving voice to a New Zealand identity through film. Over the last ten years she has designed the feature films Scarfies, For Good, Fracture, Eagle vs. Shark, Show of Hands, Separation City and BOY. Amanda continues to support short film making and has numerous credits to her name, notably Fog which was selected for International Critics week at Cannes Film festival in 2007. She was nominated for Costume Achievement at the Nokia Film Awards for her work on Scarifies in 2000, and in 2005, won the Nokia for her design of Fracture. Amanda first met Taika back in 1999 on Scarfies when he was a thin young actor. She still enjoys the professional challenge of trying to get him into tight pants. DIRECTOR OF PHOTOGRAPHY – Adam Clark Adam is New Zealand‟s most talented young cinematographer. He has shot both Taika‟s short films and his feature, and his photography has been integral to the success of those films. As well as shooting numerous short films and commercials he has been second DOP and operated camera for Alun Bollinger on River Queen, DOP on Vincent Ward‟s feature Rain of the Children and 2 nd DOP on Peter Jackson‟s King Kong and Gaylene Preston‟s Perfect Strangers. Although he is already an incredibly experienced DOP, it is not his experience the makes him invaluable to the project. Like Taika, his creative, visual and storytelling talent is inherent and profound. EDITOR – Chris Plummer Chris is one of New Zealand‟s leading film editors. He has worked with many of the new breed of NZ film makers on such internationally acclaimed films as; In My Father's Den, Dean Spanley and Black Sheep to name a few. He helped Vincent Ward bring his personal odyssey Rain of the Children to the big screen. His passion for story telling leads him to help tell stories that have a resonance to audiences no matter what breed or creed they hail from. During the eight weeks it took to shoot BOY on location in the East Coast of New Zealand, Chris was tempted to give up editing and become a big game fisherman. He didn‟t as he is a better film editor than fisherman. This is his first collaboration with Taika.	<urn:uuid:c62b1fe7-481c-4a51-a465-6c3d9fcdf062>	CC-MAIN-2017-43	http://boythefilm.com/wp-content/uploads/boy-final-presskit.pdf	2017-10-24T09:34:27Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-43/segments/1508187828356.82/warc/CC-MAIN-20171024090757-20171024110757-00076.warc.gz	52,265,735	6,428	eng_Latn	eng_Latn	0.903338	eng_Latn	0.999217	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 397, 1074, 1939, 4181, 6720, 9400, 11661, 14170, 16760, 19190, 20095, 21577, 23762, 26154, 28420 ]	Paladin and Unison Films in association with Radius Films present BOY Written and Directed by Taika Waititi Paladin: Amanda [email protected]; 212-337-9500 NY/National PR: Chanelle James [email protected]; 646-873-6660 LA/National PR: Sonya Ede SYE Publicity [email protected]; 323-259-9373 Running Time: 90 minutes Rating: not rated Website: boythefilm.com BOY CREDITS Writer/Director: Taika Waititi Producers : Ainsley Gardiner, Cliff Curtis, Emanuel Michael Co-Producer : Merata Mita Associate Producer: Richard Fletcher Production Company : Whenua Films, Unison Films In Association With : The New Zealand Film Production Fund Trust, The New Zealand Film Commission, NZ On Air, Te Mangai Paho. Running Time : 90 minutes Starring : James Rolleston Te Aho Eketone-Whitu Taika Waititi Director of Photography : Adam Clark Editor : Chris Plummer Music : The Phoenix Foundation Production Designer : Shayne Radford Hair and Makeup: Danelle Satherley Costume Designer : Amanda Neale Casting: Tina Cleary BOY ABOUT THE STORY The year is 1984, and on the rural East Coast of New Zealand "Thriller" is changing kids‟ lives. Inspired by the Oscar nominated Two Cars, One Night, BOY is the hilarious and heartfelt coming-of-age tale about heroes, magic and Michael Jackson. BOY is a dreamer who loves Michael Jackson. He lives with his brother ROCKY, a tribe of deserted cousins and his Nan. Boy‟s other hero, his father, ALAMEIN, is the subject of Boy‟s fantasies, and he imagines him as a deep sea diver, war hero and a close relation of Michael Jackson (he can even dance like him). In reality Alamein is an inept, wannabe gangster who has been in jail for robbery. When Alamein returns home after seven years away, Boy is forced to confront the man he thought he remembered, find his own potential and learn to get along without the hero he had been hoping for. BOY ABOUT THE PRODUCTION Taika Waititi‟s BOY is New Zealand‟s most successful local film of all time, a lowbudget, intimately scaled, and completely independent production that nonetheless managed to capture the imagination of the entire nation, and then went on to win both prizes and acclaim internationally. Set in a rural Maori community in the scenic Bay of Plenty on New Zealand‟s eastern coast, the film charts the journey of an 11 yearold boy (whose name happens to be "Boy") as he comes to know and understand the adult world he is about to enter. Boy (played by newcomer James Rolleston) invents memories of his long-absent father, Alamein (played by Waititi), and brightens his existence by imagining—and vicariously enjoying—his dad‟s fictionalized exploits. But, when Alamein returns home, Boy is forced to see his world-- and his hero--as they are, and not as he wants them to be. BOY is based on Waititi‟s Academy Award-nominated short film, Two Cars, One Night and, like the short, it is somewhat autobiographical. "Like Boy," Waititi says, "I draw a lot of inspiration from true and imagined memories. This story is personal in that I believe you must write what you know in order to create honest art. Some events are true, some true of other people, most are imagined." He continues: "The most important part that is true is that I grew up in a household like that--many kids and not many adults. Apart from that, the rest of the story is made up. A few of the characters are based on people I grew up around but really, no one specific. I'm quite careful not to blatantly steal someone and make them a character. All the adults in the film are mixtures of people and their personalities, including mine." BOY is more inspired by Two Cars, One Night, than it is an adaptation of it. "They really are completely different stories and films," he stresses. "I knew I wanted to make another film in my backyard. I did, however, pay a little homage to the short by taking part of a scene from it and putting it in the feature. I didn't really treat it as an adaptation." Due to the enormous success of the short, Waititi was invited to the Sundance Writer‟s Lab, where he work-shopped the BOY script with Frank Pierson ("Dog Day Afternoon"), David Benioff ("Troy"), Naomi Foner ("Running On Empty), and Susan Shilliday ("Legends Of The Fall"). Of the process, Waititi says, "the labs are a sort of intensified version of asking a friend to read your script and tell you what they think. It's a great place to get focused on the script because there are very few distractions. They lock you away in the mountain resort with a large group of great writers, all with different styles and backgrounds, and make you talk with them about your story. You don't take notes or work on your script, you just chill out and talk, and later you might take a few of the resonant ideas and use them. I didn't work on the script for another year and a half so I'm not sure what I remembered but definitely there were things that stayed with me." When Waititi says he made BOY "in his own back yard," he is not exaggerating. He filmed it in the very town where he grew up, in the actual house in which he lived. On the surface, it‟s a location full if contradictions. It's called "The Bay of Plenty," but the people who live there seem to have so little; the natural surroundings are beautiful, but the man-made world is not. In describing the place and how it helped him shape the characters and drama he created Waititi says, "the area where my family lives is what most people in the U.S. would describe as poor, or poverty stricken, but it's not at all. People have money and they get by quite well, but their idea of what is important and the kinds of material things they need are very different." He continues: "they don't care about Apple products or designer clothes. They are very, very real and down to earth. It's a close community where people help each other and provide for one another. We live off the land and the sea. Most food is hunted or fished or grown. Nobody has expensive cars because there's absolutely no need for them. There's no cellphone coverage either, because we don't need cellphones there. So, life becomes „simple.‟ But, there is never a dull moment and people are always busy. It is this amazing world that I wanted to capture and show on screen. It's a perfect backdrop for this story." In addition to setting BOY geographically in his childhood home, Waititi also set the film in the very era in which he was raised. The film takes place in the summer of 1984, at the height of the Michael Jackson "Thriller" craze, and it is Boy‟s fascination with Jackson that informs many of his fantasies and, as a result, much of the film‟s boisterous and energetic visual style. Waititi confesses that, like BOY, he and his friends were obsessed with Michael Jackson as kids. In describing what this American superstar meant to a Maori adolescent growing up on the other side of the world, Waititi observes, quite simply, that "he wasn't white. It was cool," he says, "to see someone of color doing amazing things. We could relate to him because we thought he was a bit like us. He also appealed because he created a world for himself that any child would if they had millions of dollars. He had zoo animals and a railroad in his backyard and Pepsi coming out of the faucets and wore crazy clothes. He could also dance like someone from another planet. Why wouldn't you think he was cool?" In addition to worshipping Jackson, and trying to emulate him--a scene where moves like the singer to impress the girl he has a crush on is particularly funny—Boy also believes that, when his father returns, he will take him to see Jackson perform live. On more than one occasion, he also imagines himself and his cohorts living inside of Jackson‟s iconic music videos, "Thriller," and "Beat It." These musings provide the film with a few extended musical sequences—Michael Jackson numbers as performed by 11 year-old amateur Maori kids with little talent—that are far from the original, but wonderful to watch nonetheless." More than anything, they speak to the natural think that the natural creativity of Boy, and show how his fantasies and dreams help him survive all the difficulties he faces. "Kids have a way of seeing the world," says Waititi, "that blends fantasy and reality. Adults do it too but they are more reserved. I like trying to understand how kids reinterpret the world around them, especially if it is within dark scenarios and an adult- controlled environment. I didn't have as defined a fantasy world as Boy‟s when I was his age, though I was always fantasizing." Fantasy also plays an important part in Alamein's life. When we first see him, it is through Boy‟s eyes, and he is playing a number of roles appropriated from other cultures (e.g., Hollywood adventures, Samurai films.) Since Alamein has been away for years, these images are all Boy has to work with. However, when Alamein returns (from prison, as it turns out), he is every bit the dreamer that his 11 year-old son is, imagining himself the leader of a gang, and harboring fantasies of buried treasure and assorted other get-rich-quick schemes. It„s as if the Maori culture has been "colonized," in ways both good and bad, by the outside world. As Waititi explains it, "Alamein is based on a generation of people who were bought up to be ashamed of their culture. They were punished at school for speaking their language and were constantly told that to be Maori meant you were stupid. And so a lot of them moved from the country to the cities and started or joined gangs; clubs where they could congregate and feel like a family. They looked after each other and made each other feel wanted, and as much as gangs have changed and become horrible and embarrassing parts of society, some were originally started with positive intentions. (Incidentally, the origins of the L.A. gangs are very similar.) "So," he continues, "all of these guys, and girls too, started living fantasy lives where they changed their names and became less Maori, preferring to identify with outlaws, rebels, and romantic heroes like Gunslingers, Native Americans, famous conquerors, and Samurai. It wasn't because they were hammered with all these influences at the movies or on TV; they read books and sought out people they wanted to be like. Ironically, Maori history has some incredibly strong leaders and heroes, including extremely famous warriors who led armed resistance movements in the 10 year war against the British empire. On a positive note, this gang generation had a huge turnaround in the late 80's and most went back to their Maori roots." Given the role‟s significance, Waititi didn‟t originally envision casting himself as Alamein. As he recalls it, "a lot of guys, including friends, had tried out for it, and I brought some of them back about 5 or 6 times before deciding to do it myself. The role is very different from what Maori get to play in that it is more of a comic role; the mix of buffoonery and drama meant that a background in comedy was a benefit. I had been an actor for many years before I started directing so I didn't really have a problem doing it. I was also able to direct the kids in the moment, face to face, within the scene, and also adjust their performances or dialogue while we acted. So it actually became an advantage. It's not something I'd do too often because of the strain it places on you creatively. You have to split your brain into 3 different parts, one each for acting, writing, and directing. You're always thinking from one of those directions." Working so closely with his young co-stars, both on camera and behindit, Waititi was able to reinforce the similarities between Boy and Alamein—something that is already quite evident in his script. By simultaneously revealing the child‟s dawning maturity and the father‟s hopeless immaturity, Waititi shows us that Boy is really the man, while his father is really the boy. "It's a classic dynamic," he says. "The child who fathers the parent, the adult who seeks direction from the child. I like these sorts of relationships and have always been interested in the ways that families interact and navigate each other. I think we really don't know our parents and vice-versa. We are aware of them, but we can never know what they are really thinking, their hopes and dreams, and who they really are. I wanted to examine a father and two sons trying to figure each other out." Another thing that unites BOY and his father is their sense of loss: Boy losing his illusions about his father, and also losing his beloved pet goat; Alamein never recovering from the loss of his wife (and losing his money more than once); and, perhaps, the Maori people losing some of their heritage and legacy. Waititi agrees that the idea of loss is central to his film. "Everyone has lost something," he says, "and is trying to replace it with someone, or something else. I think Boy's journey is particularly interesting in that he has replaced his mother with a pet goat, The loss of his mother has forced him to believe he has always been like his father. In reality, Rocky, who has replaced himself with a sort of dangerous monster because he blames himself for her death, is more like Alamein. Alamein is trying to replace his wife AND children with a cruddy bag of money buried somewhere in a field." He continues: "As Boy realizes he is more like his mother, he moves towards her, while Rocky moves towards Alamein. So you have these shifting loyalties and loves. Alamein, in turn, must move closer to the truth that he's been avoiding this whole time - that he was never there. He also surrounds himself with losers and weaklings in order to make him feel more like a winner and a leader. In actual fact, he is the biggest loser and weakling in the film." For all this talk of loss, and despite the fact that the lives depicted are sometimes sad (and, more than once, very much so), BOY is nonetheless a comedy, and has an overwhelmingly light, fanciful, buoyant tone and style. Considering that Waititi roots are in comedy—he did stand-up and improve at key junctures in his performing career--this may not be too surprising. "I can't really handle depressing films about depressing subjects," he confesses. "I would prefer to make something that pulls an audience in with a light, welcoming tone, and then bash them with little moments of drama and real, human emotion. This is truer to real life, I believe, that we are all balancing on a fine thread that lies between drama and comedy. You have to have both in your life to keep sane and balanced, and that's why I like to tell stories that reside in both worlds." Along with Jemaine Clement and Brett Mackenzie, with whom he collaborated extensively (as writer and director) on the hit television, "Flight of the Conchords," Waititii is in the vanguard of a new comedy movement emanating from New Zealand. In describing his kinship with his fellow "Kiwi" artists, and characterizing the New Zealand brand of humor evidenced by BOY and his other work, Waititi says, "New Zealand comedy has, for many years, been quite dark and sometimes disturbing. We like good ghost stories and funny thrillers. My films are probably more at the lighter end than typical N.Z. stuff, and the "Conchords" even more so." He goes on to say that, "there are a bunch of us in N.Z. who have all collaborated in different combinations and continue to do so. I think our style is a development of the influences we had growing up - a mixture of the best of British and American comedy, and to some extent having the ability to look at things from afar, like a tiny country in the South Pacific. When you're an outsider looking in, you develop more of a subjective comic view; which is why a lot of the gags originate in observational comedy. I think we see things that Americans might not. I can't really classify my films in terms of comedy because of the dramatic element. They are comedies that aren't always funny, sometimes poetic and a bit artsy. Maybe it's art-comedy." Acknowledging that most of the most successful and highly regarded films exported from New Zealand until now have been heavily dramatic, Waititi observes, "I think that New Zealand as a whole, needs to develop and explore more styles with its films. We have found that a certain style works and have stuck with it for a while. I really didn't want to make a film where a kid dies or gets kidnapped or people seriously abuse each other or everyone is depressed. We have a lot of depression in New Zealand and it's important to talk about it, but there are other ways, and comedy is, in my opinion, a really effective tool for bringing attention to social issues too. " Waititi doesn‟t only leaven the more dramatic qualities of BOY with comedy. He also develops a distinctive visual style that deftly combines sight gags, quick subjective glimpses of his characters‟ thoughts, full-on fantasy sequences, drawings and animations, to convey the inner life and irrepressible spirit of his protagonists. It is a style reminiscent of such masters of youthful hijinx as Richard Lester in his 60‟s heyday, early Francois Truffaut, or to cite a more recent example, of Danny Boyle. (In fact, BOY has already drawn comparisons to both "The 400 Blows" and "Slumdog Millionaire"). Explaining his highly visual orientation, Waititi notes, "my background is painting. My father is a painter and when I left school that's what I decided to do. So, I spent most of my twenties making art. I drew all the animations in the movie and some of the other art within the sets." "There's no particular style that I'm influenced by," he continues, "though I guess the beginning of BOY is very similar to the beginning of „Jules et Jim --at least in my mind it is-- so I suppose I like things that feed you a lot of information and layers of visual and aural stimulation, but at the same time have a simplicity about them. Although I use things like animation and other visual styles, I think my films are pretty simple. Having said that, I did spend about a month trying to get the first 5 minutes right!" The extraordinary success enjoyed by BOY, both at home and abroad, attests to the fact that Waititi must have gotten more than its first five minutes right. Asked to account for its success, the writer/director/star can only say, "I think the story is honest and is not pretending to be what it isn't. For instance, we had money set aside to use Michael Jackson songs, including „Thriller.‟ This is before he died, so it was a little cheaper, but when we looked at the cut, with the music, it didn't feel right, it didn't feel authentic. I think for a small film like this having a gigantic song like „Thriller‟ or „Beat It‟ might pull the audience out of the experience. It just felt like we needed to show those Michael Jackson moments with a little more honesty. So I think the f	ilm really speaks that way, it's an honest approach to a story about a broken family.	But told in a slightly whimsical and child-like manner." BOY ABOUT THE CAST Boy – James Rolleston James was 11 when he auditioned for a role in BOY. He was originally cast in a much smaller role but when Taika realized his initial choice for the lead had grown up a little too much to play the pre-pubescent Boy, he and the casting director brought James to Waihau Bay for a workshop with a number of the other young cast. He was cast. On Monday he started acting for the first time in his life. By Tuesday he was asking if lines were believable. He is a natural; smart, open and innocent but with enough experience in his life to draw from for the role. James is also a talented young sportsman who plays representative rugby. Rocky – Te Aho Eketone Whitu Te Aho was born and bred in Minginui, a small farming community outside Rotorua. His hobbies are motorbikes, hunting, fishing and rugby and when he grows up he wants to be Richie McCaw (All Black). BOY ABOUT THE FILMMAKERS DIRECTOR/WRITER/ACTOR – Taika Waititi Also going by the surname Cohen, Taika is of TeWhanau-a-Apanui descent and hails from the Raukokore region of the East Coast. He has been involved in the arts for several years, as a visual artist, actor, writer and director. Taika‟s first short film, 'Two Cars, One Night', was nominated for an Academy Award in 2005. His next short, 'Tama Tu' about a group of Maori soldiers in Italy during World War II won a string of international awards, making it also eligible for Oscar nomination. His first feature, Eagle vs. Shark, was released internationally in 2007 after selling to Miramax on the basis of a trailer. As a performer and comedian, Taika has been involved in some of New Zealand‟s most innovative and successful productions. He has a strong background in comedy writing and performing and with fellow comedian Jemaine Clement (Flight of the Conchords), has won New Zealand‟s top comedy award, the "Billy T" and also the "Spirit of the Fringe Award" in Edinburgh. He regularly does stand up gigs around the country and in 2004 launched his solo production; Taika's Incredible Show which wasn‟t that incredible but had a cool poster, which he drew himself. Taika has been critically acclaimed for his dramatic abilities. In 2000 he was nominated for Best Actor at the Nokia Film Awards for his role in the Sarkies Brothers‟ film Scarfies. Taika also plays Boy and Rocky‟s father, Alamein in the film. PRODUCERS Cliff Curtis Cliff Curtis is of Te Arawa and Ngati Hauiti descent. Cliff is best known as an actor in both New Zealand and in the U.S. He had his first taste behind the camera as the Director of The Rocks a half hour short film made as part of Mataku South Pacific Pictures and Four Winds Productions for television. He later joined with Ainsley to start Whenua Films in 2004 to produce Taika‟s second short film, Tama Tu. Whenua Films have since operated the NZFC‟s short film initiative in 2005/2006 and have produced Taika‟s first feature Eagle vs Shark. His interest as a producer is primarily driven by his passion for story telling but he welcomes the opportunity to not have to wear makeup. Ainsley Gardiner Ainsley is of Te Whanau-a-Apanui, Whakatohea, Ngati Awa, and Ngati Pikiao descent. She began her involvement in film in 1995 with the Avalon Film and TV production course that included work placement with Kahukura Productions. Her 6 year experience with Larry Parr saw her emerge as one of New Zealand's most promising young producers. Ainsley was appropriately acknowledged by WIFT as The Emerging Producer of the Year 2004 and again in 2007 for Achievement in Film. As well as producing two features before she was 28, she also produced a 26-episode comedy for television and various short films, and worked on commercials, shorts and corporate videos in production and as an Assistant Director for other companies. Notably Ainsley produced the short films Two Cars One Night and Tama Tu written and directed by Taika Waititi. She has also written and directed her first short film, Mokopuna, funded by Creative New Zealand and the NZ Film Commission. Emanuel Michael Emanuel Michael is a founding partner of Unison Films, a production and distribution company based in New York. Emanuel has been honored as one of MovieMaker Magazine‟s 10 Moviemakers Making A Difference, along with other honorees such as Matt Damon and Natalie Portman. Through Unison Films, Emanuel Michael has produced ten feature films including Taika Waititi‟s previous award-winning film EAGLE VS. SHARK which was released by Miramax FIlms. Upcoming films include: "360" written by two-time Academy Award® nominee Peter Morgan (THE QUEEN, THE LAST KING OF SCOTLAND) and directed by Academy Award® nominee Fernando Meirelles (CITY OF GOD, THE CONSTANT GARDENER) starring Academy Award® winner Anthony Hopkins, Academy Award® winner Rachel Weisz, and two-time Academy Award® nominee Jude Law; A LATE QUARTET written and directed by Yaron Zilberman (WATERMARKS) starring Academy Award® winner Philip Seymour Hoffman, Academy Award® winner Christopher Walken, and two-time Academy Award® nominee Catherine Keener; and INOCENTE the upcoming feature documentary from the Academy Award® nominated and Sundance Best Director winners Sean and Andrea Fine (WAR DANCE). CASTING DIRECTOR – Tina Cleary She has cast award-winning short films including Fog for director Peter Salmon, Run and Six Dollar Fifty Man for directors, Louis Sutherland & Mark Albiston, Mokopuna by director Ainsley Gardiner and Crossing the Line for director Peter Jackson. She has been the NZ Casting Director for off-shore films and TV in Tina Cleary has a body of experience working in casting on TV dramas and feature films for more than a decade development for Warner Bros and Disney and has worked for Producer Barrie Osborne. Recent projects have included an award winning TV drama Until Proven Innocent for director Peter Burger, and the NZ box office hit Second Hand Wedding, with director Paul Murphy. She has also recently co-cast Home by Christmas for director Gaylene Preston. PRODUCTION DESIGNER – Shayne Radford Shayne came to the film industry as a successful hairdresser with three salons and 30 staff. As a hairdresser on Geoff Murphy‟s Utu, Shayne was inspired by the moko work of Bob McCarron. He moved into special effects work and was part of the now Weta Workshop with Richard Taylor and Peter Jackson. He has since contributed his art direction and design skills to such iconic Kiwi films as Once Were Warriors, Desperate Remedies and Rain Of the Children, as well as numerous productions for the Bradley brothers. COSTUME DESIGNER – Amanda Neale Amanda Neale is an intuitive and resourceful designer who loves the process of creating character identity through carefully considered costume. She has an impressive and varied filmography, working as a buyer or lead standby on films such as Lord of the Rings, Last Samurai, King Kong, Avatar and The Lovely Bones. Her passion lies in costume design and creating a strong aesthetic. She loves working on New Zealand stories, collaborating and giving voice to a New Zealand identity through film. Over the last ten years she has designed the feature films Scarfies, For Good, Fracture, Eagle vs. Shark, Show of Hands, Separation City and BOY. Amanda continues to support short film making and has numerous credits to her name, notably Fog which was selected for International Critics week at Cannes Film festival in 2007. She was nominated for Costume Achievement at the Nokia Film Awards for her work on Scarifies in 2000, and in 2005, won the Nokia for her design of Fracture. Amanda first met Taika back in 1999 on Scarfies when he was a thin young actor. She still enjoys the professional challenge of trying to get him into tight pants. DIRECTOR OF PHOTOGRAPHY – Adam Clark Adam is New Zealand‟s most talented young cinematographer. He has shot both Taika‟s short films and his feature, and his photography has been integral to the success of those films. As well as shooting numerous short films and commercials he has been second DOP and operated camera for Alun Bollinger on River Queen, DOP on Vincent Ward‟s feature Rain of the Children and 2 nd DOP on Peter Jackson‟s King Kong and Gaylene Preston‟s Perfect Strangers. Although he is already an incredibly experienced DOP, it is not his experience the makes him invaluable to the project. Like Taika, his creative, visual and storytelling talent is inherent and profound. EDITOR – Chris Plummer Chris is one of New Zealand‟s leading film editors. He has worked with many of the new breed of NZ film makers on such internationally acclaimed films as; In My Father's Den, Dean Spanley and Black Sheep to name a few. He helped Vincent Ward bring his personal odyssey Rain of the Children to the big screen. His passion for story telling leads him to help tell stories that have a resonance to audiences no matter what breed or creed they hail from. During the eight weeks it took to shoot BOY on location in the East Coast of New Zealand, Chris was tempted to give up editing and become a big game fisherman. He didn‟t as he is a better film editor than fisherman. This is his first collaboration with Taika.	19,032	inside_word	film	remove_one_sentence	<url> http://boythefilm.com/wp-content/uploads/boy-final-presskit.pdf </url> <text> Paladin and Unison Films in association with Radius Films present BOY Written and Directed by Taika Waititi Paladin: Amanda [email protected]; 212-337-9500 NY/National PR: Chanelle James [email protected]; 646-873-6660 LA/National PR: Sonya Ede SYE Publicity [email protected]; 323-259-9373 Running Time: 90 minutes Rating: not rated Website: boythefilm.com BOY CREDITS Writer/Director: Taika Waititi Producers : Ainsley Gardiner, Cliff Curtis, Emanuel Michael Co-Producer : Merata Mita Associate Producer: Richard Fletcher Production Company : Whenua Films, Unison Films In Association With : The New Zealand Film Production Fund Trust, The New Zealand Film Commission, NZ On Air, Te Mangai Paho. Running Time : 90 minutes Starring : James Rolleston Te Aho Eketone-Whitu Taika Waititi Director of Photography : Adam Clark Editor : Chris Plummer Music : The Phoenix Foundation Production Designer : Shayne Radford Hair and Makeup: Danelle Satherley Costume Designer : Amanda Neale Casting: Tina Cleary BOY ABOUT THE STORY The year is 1984, and on the rural East Coast of New Zealand "Thriller" is changing kids‟ lives. Inspired by the Oscar nominated Two Cars, One Night, BOY is the hilarious and heartfelt coming-of-age tale about heroes, magic and Michael Jackson. BOY is a dreamer who loves Michael Jackson. He lives with his brother ROCKY, a tribe of deserted cousins and his Nan. Boy‟s other hero, his father, ALAMEIN, is the subject of Boy‟s fantasies, and he imagines him as a deep sea diver, war hero and a close relation of Michael Jackson (he can even dance like him). In reality Alamein is an inept, wannabe gangster who has been in jail for robbery. When Alamein returns home after seven years away, Boy is forced to confront the man he thought he remembered, find his own potential and learn to get along without the hero he had been hoping for. BOY ABOUT THE PRODUCTION Taika Waititi‟s BOY is New Zealand‟s most successful local film of all time, a lowbudget, intimately scaled, and completely independent production that nonetheless managed to capture the imagination of the entire nation, and then went on to win both prizes and acclaim internationally. Set in a rural Maori community in the scenic Bay of Plenty on New Zealand‟s eastern coast, the film charts the journey of an 11 yearold boy (whose name happens to be "Boy") as he comes to know and understand the adult world he is about to enter. Boy (played by newcomer James Rolleston) invents memories of his long-absent father, Alamein (played by Waititi), and brightens his existence by imagining—and vicariously enjoying—his dad‟s fictionalized exploits. But, when Alamein returns home, Boy is forced to see his world-- and his hero--as they are, and not as he wants them to be. BOY is based on Waititi‟s Academy Award-nominated short film, Two Cars, One Night and, like the short, it is somewhat autobiographical. "Like Boy," Waititi says, "I draw a lot of inspiration from true and imagined memories. This story is personal in that I believe you must write what you know in order to create honest art. Some events are true, some true of other people, most are imagined." He continues: "The most important part that is true is that I grew up in a household like that--many kids and not many adults. Apart from that, the rest of the story is made up. A few of the characters are based on people I grew up around but really, no one specific. I'm quite careful not to blatantly steal someone and make them a character. All the adults in the film are mixtures of people and their personalities, including mine." BOY is more inspired by Two Cars, One Night, than it is an adaptation of it. "They really are completely different stories and films," he stresses. "I knew I wanted to make another film in my backyard. I did, however, pay a little homage to the short by taking part of a scene from it and putting it in the feature. I didn't really treat it as an adaptation." Due to the enormous success of the short, Waititi was invited to the Sundance Writer‟s Lab, where he work-shopped the BOY script with Frank Pierson ("Dog Day Afternoon"), David Benioff ("Troy"), Naomi Foner ("Running On Empty), and Susan Shilliday ("Legends Of The Fall"). Of the process, Waititi says, "the labs are a sort of intensified version of asking a friend to read your script and tell you what they think. It's a great place to get focused on the script because there are very few distractions. They lock you away in the mountain resort with a large group of great writers, all with different styles and backgrounds, and make you talk with them about your story. You don't take notes or work on your script, you just chill out and talk, and later you might take a few of the resonant ideas and use them. I didn't work on the script for another year and a half so I'm not sure what I remembered but definitely there were things that stayed with me." When Waititi says he made BOY "in his own back yard," he is not exaggerating. He filmed it in the very town where he grew up, in the actual house in which he lived. On the surface, it‟s a location full if contradictions. It's called "The Bay of Plenty," but the people who live there seem to have so little; the natural surroundings are beautiful, but the man-made world is not. In describing the place and how it helped him shape the characters and drama he created Waititi says, "the area where my family lives is what most people in the U.S. would describe as poor, or poverty stricken, but it's not at all. People have money and they get by quite well, but their idea of what is important and the kinds of material things they need are very different." He continues: "they don't care about Apple products or designer clothes. They are very, very real and down to earth. It's a close community where people help each other and provide for one another. We live off the land and the sea. Most food is hunted or fished or grown. Nobody has expensive cars because there's absolutely no need for them. There's no cellphone coverage either, because we don't need cellphones there. So, life becomes „simple.‟ But, there is never a dull moment and people are always busy. It is this amazing world that I wanted to capture and show on screen. It's a perfect backdrop for this story." In addition to setting BOY geographically in his childhood home, Waititi also set the film in the very era in which he was raised. The film takes place in the summer of 1984, at the height of the Michael Jackson "Thriller" craze, and it is Boy‟s fascination with Jackson that informs many of his fantasies and, as a result, much of the film‟s boisterous and energetic visual style. Waititi confesses that, like BOY, he and his friends were obsessed with Michael Jackson as kids. In describing what this American superstar meant to a Maori adolescent growing up on the other side of the world, Waititi observes, quite simply, that "he wasn't white. It was cool," he says, "to see someone of color doing amazing things. We could relate to him because we thought he was a bit like us. He also appealed because he created a world for himself that any child would if they had millions of dollars. He had zoo animals and a railroad in his backyard and Pepsi coming out of the faucets and wore crazy clothes. He could also dance like someone from another planet. Why wouldn't you think he was cool?" In addition to worshipping Jackson, and trying to emulate him--a scene where moves like the singer to impress the girl he has a crush on is particularly funny—Boy also believes that, when his father returns, he will take him to see Jackson perform live. On more than one occasion, he also imagines himself and his cohorts living inside of Jackson‟s iconic music videos, "Thriller," and "Beat It." These musings provide the film with a few extended musical sequences—Michael Jackson numbers as performed by 11 year-old amateur Maori kids with little talent—that are far from the original, but wonderful to watch nonetheless." More than anything, they speak to the natural think that the natural creativity of Boy, and show how his fantasies and dreams help him survive all the difficulties he faces. "Kids have a way of seeing the world," says Waititi, "that blends fantasy and reality. Adults do it too but they are more reserved. I like trying to understand how kids reinterpret the world around them, especially if it is within dark scenarios and an adult- controlled environment. I didn't have as defined a fantasy world as Boy‟s when I was his age, though I was always fantasizing." Fantasy also plays an important part in Alamein's life. When we first see him, it is through Boy‟s eyes, and he is playing a number of roles appropriated from other cultures (e.g., Hollywood adventures, Samurai films.) Since Alamein has been away for years, these images are all Boy has to work with. However, when Alamein returns (from prison, as it turns out), he is every bit the dreamer that his 11 year-old son is, imagining himself the leader of a gang, and harboring fantasies of buried treasure and assorted other get-rich-quick schemes. It„s as if the Maori culture has been "colonized," in ways both good and bad, by the outside world. As Waititi explains it, "Alamein is based on a generation of people who were bought up to be ashamed of their culture. They were punished at school for speaking their language and were constantly told that to be Maori meant you were stupid. And so a lot of them moved from the country to the cities and started or joined gangs; clubs where they could congregate and feel like a family. They looked after each other and made each other feel wanted, and as much as gangs have changed and become horrible and embarrassing parts of society, some were originally started with positive intentions. (Incidentally, the origins of the L.A. gangs are very similar.) "So," he continues, "all of these guys, and girls too, started living fantasy lives where they changed their names and became less Maori, preferring to identify with outlaws, rebels, and romantic heroes like Gunslingers, Native Americans, famous conquerors, and Samurai. It wasn't because they were hammered with all these influences at the movies or on TV; they read books and sought out people they wanted to be like. Ironically, Maori history has some incredibly strong leaders and heroes, including extremely famous warriors who led armed resistance movements in the 10 year war against the British empire. On a positive note, this gang generation had a huge turnaround in the late 80's and most went back to their Maori roots." Given the role‟s significance, Waititi didn‟t originally envision casting himself as Alamein. As he recalls it, "a lot of guys, including friends, had tried out for it, and I brought some of them back about 5 or 6 times before deciding to do it myself. The role is very different from what Maori get to play in that it is more of a comic role; the mix of buffoonery and drama meant that a background in comedy was a benefit. I had been an actor for many years before I started directing so I didn't really have a problem doing it. I was also able to direct the kids in the moment, face to face, within the scene, and also adjust their performances or dialogue while we acted. So it actually became an advantage. It's not something I'd do too often because of the strain it places on you creatively. You have to split your brain into 3 different parts, one each for acting, writing, and directing. You're always thinking from one of those directions." Working so closely with his young co-stars, both on camera and behindit, Waititi was able to reinforce the similarities between Boy and Alamein—something that is already quite evident in his script. By simultaneously revealing the child‟s dawning maturity and the father‟s hopeless immaturity, Waititi shows us that Boy is really the man, while his father is really the boy. "It's a classic dynamic," he says. "The child who fathers the parent, the adult who seeks direction from the child. I like these sorts of relationships and have always been interested in the ways that families interact and navigate each other. I think we really don't know our parents and vice-versa. We are aware of them, but we can never know what they are really thinking, their hopes and dreams, and who they really are. I wanted to examine a father and two sons trying to figure each other out." Another thing that unites BOY and his father is their sense of loss: Boy losing his illusions about his father, and also losing his beloved pet goat; Alamein never recovering from the loss of his wife (and losing his money more than once); and, perhaps, the Maori people losing some of their heritage and legacy. Waititi agrees that the idea of loss is central to his film. "Everyone has lost something," he says, "and is trying to replace it with someone, or something else. I think Boy's journey is particularly interesting in that he has replaced his mother with a pet goat, The loss of his mother has forced him to believe he has always been like his father. In reality, Rocky, who has replaced himself with a sort of dangerous monster because he blames himself for her death, is more like Alamein. Alamein is trying to replace his wife AND children with a cruddy bag of money buried somewhere in a field." He continues: "As Boy realizes he is more like his mother, he moves towards her, while Rocky moves towards Alamein. So you have these shifting loyalties and loves. Alamein, in turn, must move closer to the truth that he's been avoiding this whole time - that he was never there. He also surrounds himself with losers and weaklings in order to make him feel more like a winner and a leader. In actual fact, he is the biggest loser and weakling in the film." For all this talk of loss, and despite the fact that the lives depicted are sometimes sad (and, more than once, very much so), BOY is nonetheless a comedy, and has an overwhelmingly light, fanciful, buoyant tone and style. Considering that Waititi roots are in comedy—he did stand-up and improve at key junctures in his performing career--this may not be too surprising. "I can't really handle depressing films about depressing subjects," he confesses. "I would prefer to make something that pulls an audience in with a light, welcoming tone, and then bash them with little moments of drama and real, human emotion. This is truer to real life, I believe, that we are all balancing on a fine thread that lies between drama and comedy. You have to have both in your life to keep sane and balanced, and that's why I like to tell stories that reside in both worlds." Along with Jemaine Clement and Brett Mackenzie, with whom he collaborated extensively (as writer and director) on the hit television, "Flight of the Conchords," Waititii is in the vanguard of a new comedy movement emanating from New Zealand. In describing his kinship with his fellow "Kiwi" artists, and characterizing the New Zealand brand of humor evidenced by BOY and his other work, Waititi says, "New Zealand comedy has, for many years, been quite dark and sometimes disturbing. We like good ghost stories and funny thrillers. My films are probably more at the lighter end than typical N.Z. stuff, and the "Conchords" even more so." He goes on to say that, "there are a bunch of us in N.Z. who have all collaborated in different combinations and continue to do so. I think our style is a development of the influences we had growing up - a mixture of the best of British and American comedy, and to some extent having the ability to look at things from afar, like a tiny country in the South Pacific. When you're an outsider looking in, you develop more of a subjective comic view; which is why a lot of the gags originate in observational comedy. I think we see things that Americans might not. I can't really classify my films in terms of comedy because of the dramatic element. They are comedies that aren't always funny, sometimes poetic and a bit artsy. Maybe it's art-comedy." Acknowledging that most of the most successful and highly regarded films exported from New Zealand until now have been heavily dramatic, Waititi observes, "I think that New Zealand as a whole, needs to develop and explore more styles with its films. We have found that a certain style works and have stuck with it for a while. I really didn't want to make a film where a kid dies or gets kidnapped or people seriously abuse each other or everyone is depressed. We have a lot of depression in New Zealand and it's important to talk about it, but there are other ways, and comedy is, in my opinion, a really effective tool for bringing attention to social issues too. " Waititi doesn‟t only leaven the more dramatic qualities of BOY with comedy. He also develops a distinctive visual style that deftly combines sight gags, quick subjective glimpses of his characters‟ thoughts, full-on fantasy sequences, drawings and animations, to convey the inner life and irrepressible spirit of his protagonists. It is a style reminiscent of such masters of youthful hijinx as Richard Lester in his 60‟s heyday, early Francois Truffaut, or to cite a more recent example, of Danny Boyle. (In fact, BOY has already drawn comparisons to both "The 400 Blows" and "Slumdog Millionaire"). Explaining his highly visual orientation, Waititi notes, "my background is painting. My father is a painter and when I left school that's what I decided to do. So, I spent most of my twenties making art. I drew all the animations in the movie and some of the other art within the sets." "There's no particular style that I'm influenced by," he continues, "though I guess the beginning of BOY is very similar to the beginning of „Jules et Jim --at least in my mind it is-- so I suppose I like things that feed you a lot of information and layers of visual and aural stimulation, but at the same time have a simplicity about them. Although I use things like animation and other visual styles, I think my films are pretty simple. Having said that, I did spend about a month trying to get the first 5 minutes right!" The extraordinary success enjoyed by BOY, both at home and abroad, attests to the fact that Waititi must have gotten more than its first five minutes right. Asked to account for its success, the writer/director/star can only say, "I think the story is honest and is not pretending to be what it isn't. For instance, we had money set aside to use Michael Jackson songs, including „Thriller.‟ This is before he died, so it was a little cheaper, but when we looked at the cut, with the music, it didn't feel right, it didn't feel authentic. I think for a small film like this having a gigantic song like „Thriller‟ or „Beat It‟ might pull the audience out of the experience. It just felt like we needed to show those Michael Jackson moments with a little more honesty. So I think the f<cursor_is_here> But told in a slightly whimsical and child-like manner." BOY ABOUT THE CAST Boy – James Rolleston James was 11 when he auditioned for a role in BOY. He was originally cast in a much smaller role but when Taika realized his initial choice for the lead had grown up a little too much to play the pre-pubescent Boy, he and the casting director brought James to Waihau Bay for a workshop with a number of the other young cast. He was cast. On Monday he started acting for the first time in his life. By Tuesday he was asking if lines were believable. He is a natural; smart, open and innocent but with enough experience in his life to draw from for the role. James is also a talented young sportsman who plays representative rugby. Rocky – Te Aho Eketone Whitu Te Aho was born and bred in Minginui, a small farming community outside Rotorua. His hobbies are motorbikes, hunting, fishing and rugby and when he grows up he wants to be Richie McCaw (All Black). BOY ABOUT THE FILMMAKERS DIRECTOR/WRITER/ACTOR – Taika Waititi Also going by the surname Cohen, Taika is of TeWhanau-a-Apanui descent and hails from the Raukokore region of the East Coast. He has been involved in the arts for several years, as a visual artist, actor, writer and director. Taika‟s first short film, 'Two Cars, One Night', was nominated for an Academy Award in 2005. His next short, 'Tama Tu' about a group of Maori soldiers in Italy during World War II won a string of international awards, making it also eligible for Oscar nomination. His first feature, Eagle vs. Shark, was released internationally in 2007 after selling to Miramax on the basis of a trailer. As a performer and comedian, Taika has been involved in some of New Zealand‟s most innovative and successful productions. He has a strong background in comedy writing and performing and with fellow comedian Jemaine Clement (Flight of the Conchords), has won New Zealand‟s top comedy award, the "Billy T" and also the "Spirit of the Fringe Award" in Edinburgh. He regularly does stand up gigs around the country and in 2004 launched his solo production; Taika's Incredible Show which wasn‟t that incredible but had a cool poster, which he drew himself. Taika has been critically acclaimed for his dramatic abilities. In 2000 he was nominated for Best Actor at the Nokia Film Awards for his role in the Sarkies Brothers‟ film Scarfies. Taika also plays Boy and Rocky‟s father, Alamein in the film. PRODUCERS Cliff Curtis Cliff Curtis is of Te Arawa and Ngati Hauiti descent. Cliff is best known as an actor in both New Zealand and in the U.S. He had his first taste behind the camera as the Director of The Rocks a half hour short film made as part of Mataku South Pacific Pictures and Four Winds Productions for television. He later joined with Ainsley to start Whenua Films in 2004 to produce Taika‟s second short film, Tama Tu. Whenua Films have since operated the NZFC‟s short film initiative in 2005/2006 and have produced Taika‟s first feature Eagle vs Shark. His interest as a producer is primarily driven by his passion for story telling but he welcomes the opportunity to not have to wear makeup. Ainsley Gardiner Ainsley is of Te Whanau-a-Apanui, Whakatohea, Ngati Awa, and Ngati Pikiao descent. She began her involvement in film in 1995 with the Avalon Film and TV production course that included work placement with Kahukura Productions. Her 6 year experience with Larry Parr saw her emerge as one of New Zealand's most promising young producers. Ainsley was appropriately acknowledged by WIFT as The Emerging Producer of the Year 2004 and again in 2007 for Achievement in Film. As well as producing two features before she was 28, she also produced a 26-episode comedy for television and various short films, and worked on commercials, shorts and corporate videos in production and as an Assistant Director for other companies. Notably Ainsley produced the short films Two Cars One Night and Tama Tu written and directed by Taika Waititi. She has also written and directed her first short film, Mokopuna, funded by Creative New Zealand and the NZ Film Commission. Emanuel Michael Emanuel Michael is a founding partner of Unison Films, a production and distribution company based in New York. Emanuel has been honored as one of MovieMaker Magazine‟s 10 Moviemakers Making A Difference, along with other honorees such as Matt Damon and Natalie Portman. Through Unison Films, Emanuel Michael has produced ten feature films including Taika Waititi‟s previous award-winning film EAGLE VS. SHARK which was released by Miramax FIlms. Upcoming films include: "360" written by two-time Academy Award® nominee Peter Morgan (THE QUEEN, THE LAST KING OF SCOTLAND) and directed by Academy Award® nominee Fernando Meirelles (CITY OF GOD, THE CONSTANT GARDENER) starring Academy Award® winner Anthony Hopkins, Academy Award® winner Rachel Weisz, and two-time Academy Award® nominee Jude Law; A LATE QUARTET written and directed by Yaron Zilberman (WATERMARKS) starring Academy Award® winner Philip Seymour Hoffman, Academy Award® winner Christopher Walken, and two-time Academy Award® nominee Catherine Keener; and INOCENTE the upcoming feature documentary from the Academy Award® nominated and Sundance Best Director winners Sean and Andrea Fine (WAR DANCE). CASTING DIRECTOR – Tina Cleary She has cast award-winning short films including Fog for director Peter Salmon, Run and Six Dollar Fifty Man for directors, Louis Sutherland & Mark Albiston, Mokopuna by director Ainsley Gardiner and Crossing the Line for director Peter Jackson. She has been the NZ Casting Director for off-shore films and TV in Tina Cleary has a body of experience working in casting on TV dramas and feature films for more than a decade development for Warner Bros and Disney and has worked for Producer Barrie Osborne. Recent projects have included an award winning TV drama Until Proven Innocent for director Peter Burger, and the NZ box office hit Second Hand Wedding, with director Paul Murphy. She has also recently co-cast Home by Christmas for director Gaylene Preston. PRODUCTION DESIGNER – Shayne Radford Shayne came to the film industry as a successful hairdresser with three salons and 30 staff. As a hairdresser on Geoff Murphy‟s Utu, Shayne was inspired by the moko work of Bob McCarron. He moved into special effects work and was part of the now Weta Workshop with Richard Taylor and Peter Jackson. He has since contributed his art direction and design skills to such iconic Kiwi films as Once Were Warriors, Desperate Remedies and Rain Of the Children, as well as numerous productions for the Bradley brothers. COSTUME DESIGNER – Amanda Neale Amanda Neale is an intuitive and resourceful designer who loves the process of creating character identity through carefully considered costume. She has an impressive and varied filmography, working as a buyer or lead standby on films such as Lord of the Rings, Last Samurai, King Kong, Avatar and The Lovely Bones. Her passion lies in costume design and creating a strong aesthetic. She loves working on New Zealand stories, collaborating and giving voice to a New Zealand identity through film. Over the last ten years she has designed the feature films Scarfies, For Good, Fracture, Eagle vs. Shark, Show of Hands, Separation City and BOY. Amanda continues to support short film making and has numerous credits to her name, notably Fog which was selected for International Critics week at Cannes Film festival in 2007. She was nominated for Costume Achievement at the Nokia Film Awards for her work on Scarifies in 2000, and in 2005, won the Nokia for her design of Fracture. Amanda first met Taika back in 1999 on Scarfies when he was a thin young actor. She still enjoys the professional challenge of trying to get him into tight pants. DIRECTOR OF PHOTOGRAPHY – Adam Clark Adam is New Zealand‟s most talented young cinematographer. He has shot both Taika‟s short films and his feature, and his photography has been integral to the success of those films. As well as shooting numerous short films and commercials he has been second DOP and operated camera for Alun Bollinger on River Queen, DOP on Vincent Ward‟s feature Rain of the Children and 2 nd DOP on Peter Jackson‟s King Kong and Gaylene Preston‟s Perfect Strangers. Although he is already an incredibly experienced DOP, it is not his experience the makes him invaluable to the project. Like Taika, his creative, visual and storytelling talent is inherent and profound. EDITOR – Chris Plummer Chris is one of New Zealand‟s leading film editors. He has worked with many of the new breed of NZ film makers on such internationally acclaimed films as; In My Father's Den, Dean Spanley and Black Sheep to name a few. He helped Vincent Ward bring his personal odyssey Rain of the Children to the big screen. His passion for story telling leads him to help tell stories that have a resonance to audiences no matter what breed or creed they hail from. During the eight weeks it took to shoot BOY on location in the East Coast of New Zealand, Chris was tempted to give up editing and become a big game fisherman. He didn‟t as he is a better film editor than fisherman. This is his first collaboration with Taika. </text>	[ { "content": "<url>\nhttp://boythefilm.com/wp-content/uploads/boy-final-presskit.pdf\n</url>\n<text>\nPaladin and Unison Films in association with Radius Films present\n\nBOY\n\nWritten and Directed by Taika Waititi\n\nPaladin:\n\nAmanda [email protected]; 212-337-9500\n\nNY/National PR:\n\nChanelle James [email protected]; 646-873-6660\n\nLA/National PR:\n\nSonya Ede SYE Publicity [email protected]; 323-259-9373\n\nRunning Time: 90 minutes\n\nRating: not rated\n\nWebsite: boythefilm.com\n\nBOY CREDITS\n\nWriter/Director:\n\nTaika Waititi\n\nProducers :\n\nAinsley Gardiner, Cliff Curtis, Emanuel Michael\n\nCo-Producer :\n\nMerata Mita\n\nAssociate Producer:\n\nRichard Fletcher\n\nProduction Company :\n\nWhenua Films, Unison Films\n\nIn Association With :\n\nThe New Zealand Film Production Fund Trust, The New Zealand Film Commission, NZ On Air, Te Mangai Paho.\n\nRunning Time :\n\n90 minutes\n\nStarring :\n\nJames Rolleston\n\nTe Aho Eketone-Whitu\n\nTaika Waititi\n\nDirector of Photography :\n\nAdam Clark\n\nEditor :\n\nChris Plummer\n\nMusic :\n\nThe Phoenix Foundation\n\nProduction Designer :\n\nShayne Radford\n\nHair and Makeup:\n\nDanelle Satherley\n\nCostume Designer :\n\nAmanda Neale\n\nCasting:\n\nTina Cleary\n\nBOY\n\nABOUT THE STORY\n\nThe year is 1984, and on the rural East Coast of New Zealand \"Thriller\" is changing kids‟ lives. Inspired by the Oscar nominated Two Cars, One Night, BOY is the hilarious and heartfelt coming-of-age tale about heroes, magic and Michael Jackson.\n\nBOY is a dreamer who loves Michael Jackson. He lives with his brother ROCKY, a tribe of deserted cousins and his Nan. Boy‟s other hero, his father, ALAMEIN, is the subject of Boy‟s fantasies, and he imagines him as a deep sea diver, war hero and a close relation of Michael Jackson (he can even dance like him). In reality Alamein is an inept, wannabe gangster who has been in jail for robbery.\n\nWhen Alamein returns home after seven years away, Boy is forced to confront the man he thought he remembered, find his own potential and learn to get along without the hero he had been hoping for.\n\nBOY\n\nABOUT THE PRODUCTION\n\nTaika Waititi‟s BOY is New Zealand‟s most successful local film of all time, a lowbudget, intimately scaled, and completely independent production that nonetheless managed to capture the imagination of the entire nation, and then went on to win both prizes and acclaim internationally. Set in a rural Maori community in the scenic Bay of Plenty on New Zealand‟s eastern coast, the film charts the journey of an 11 yearold boy (whose name happens to be \"Boy\") as he comes to know and understand the adult world he is about to enter. Boy (played by newcomer James Rolleston) invents memories of his long-absent father, Alamein (played by Waititi), and brightens his existence by imagining—and vicariously enjoying—his dad‟s fictionalized exploits. But, when Alamein returns home, Boy is forced to see his world-- and his hero--as they are, and not as he wants them to be.\n\nBOY is based on Waititi‟s Academy Award-nominated short film, Two Cars, One Night and, like the short, it is somewhat autobiographical. \"Like Boy,\" Waititi says, \"I draw a lot of inspiration from true and imagined memories. This story is personal in that I believe you must write what you know in order to create honest art. Some events are true, some true of other people, most are imagined.\" He continues: \"The most important part that is true is that I grew up in a household like that--many kids and not many adults. Apart from that, the rest of the story is made up. A few of the characters are based on people I grew up around but really, no one specific. I'm quite careful not to blatantly steal someone and make them a character. All the adults in the film are mixtures of people and their personalities, including mine.\"\n\nBOY is more inspired by Two Cars, One Night, than it is an adaptation of it. \"They really are completely different stories and films,\" he stresses. \"I knew I wanted to make another film in my backyard. I did, however, pay a little homage to the short by taking part of a scene from it and putting it in the feature. I didn't really treat it as an adaptation.\" Due to the enormous success of the short, Waititi was invited to the Sundance Writer‟s Lab, where he work-shopped the BOY script with Frank Pierson\n\n(\"Dog Day Afternoon\"), David Benioff (\"Troy\"), Naomi Foner (\"Running On Empty), and Susan Shilliday (\"Legends Of The Fall\"). Of the process, Waititi says, \"the labs are a sort of intensified version of asking a friend to read your script and tell you what they think. It's a great place to get focused on the script because there are very few distractions. They lock you away in the mountain resort with a large group of great writers, all with different styles and backgrounds, and make you talk with them about your story. You don't take notes or work on your script, you just chill out and talk, and later you might take a few of the resonant ideas and use them. I didn't work on the script for another year and a half so I'm not sure what I remembered but definitely there were things that stayed with me.\"\n\nWhen Waititi says he made BOY \"in his own back yard,\" he is not exaggerating. He filmed it in the very town where he grew up, in the actual house in which he lived. On the surface, it‟s a location full if contradictions. It's called \"The Bay of Plenty,\" but the people who live there seem to have so little; the natural surroundings are beautiful, but the man-made world is not. In describing the place and how it helped him shape the characters and drama he created Waititi says, \"the area where my family lives is what most people in the U.S. would describe as poor, or poverty stricken, but it's not at all. People have money and they get by quite well, but their idea of what is important and the kinds of material things they need are very different.\"\n\nHe continues: \"they don't care about Apple products or designer clothes. They are very, very real and down to earth. It's a close community where people help each other and provide for one another. We live off the land and the sea. Most food is hunted or fished or grown. Nobody has expensive cars because there's absolutely no need for them. There's no cellphone coverage either, because we don't need cellphones there. So, life becomes „simple.‟ But, there is never a dull moment and people are always busy. It is this amazing world that I wanted to capture and show on screen. It's a perfect backdrop for this story.\"\n\nIn addition to setting BOY geographically in his childhood home, Waititi also set the film in the very era in which he was raised. The film takes place in the summer of 1984, at the height of the Michael Jackson \"Thriller\" craze, and it is Boy‟s fascination with Jackson that informs many of his fantasies and, as a result, much of the film‟s\n\nboisterous and energetic visual style. Waititi confesses that, like BOY, he and his friends were obsessed with Michael Jackson as kids. In describing what this American superstar meant to a Maori adolescent growing up on the other side of the world, Waititi observes, quite simply, that \"he wasn't white. It was cool,\" he says, \"to see someone of color doing amazing things. We could relate to him because we thought he was a bit like us. He also appealed because he created a world for himself that any child would if they had millions of dollars. He had zoo animals and a railroad in his backyard and Pepsi coming out of the faucets and wore crazy clothes. He could also dance like someone from another planet. Why wouldn't you think he was cool?\"\n\nIn addition to worshipping Jackson, and trying to emulate him--a scene where moves like the singer to impress the girl he has a crush on is particularly funny—Boy also believes that, when his father returns, he will take him to see Jackson perform live. On more than one occasion, he also imagines himself and his cohorts living inside of Jackson‟s iconic music videos, \"Thriller,\" and \"Beat It.\" These musings provide the film with a few extended musical sequences—Michael Jackson numbers as performed by 11 year-old amateur Maori kids with little talent—that are far from the original, but wonderful to watch nonetheless.\" More than anything, they speak to the natural think that the natural creativity of Boy, and show how his fantasies and dreams help him survive all the difficulties he faces. \"Kids have a way of seeing the world,\" says Waititi, \"that blends fantasy and reality. Adults do it too but they are more reserved. I like trying to understand how kids reinterpret the world around them, especially if it is within dark scenarios and an adult- controlled environment. I didn't have as defined a fantasy world as Boy‟s when I was his age, though I was always fantasizing.\"\n\nFantasy also plays an important part in Alamein's life. When we first see him, it is through Boy‟s eyes, and he is playing a number of roles appropriated from other cultures (e.g., Hollywood adventures, Samurai films.) Since Alamein has been away for years, these images are all Boy has to work with. However, when Alamein returns (from prison, as it turns out), he is every bit the dreamer that his 11 year-old son is, imagining himself the leader of a gang, and harboring fantasies of buried treasure and assorted other get-rich-quick schemes. It„s as if the Maori culture has been \"colonized,\" in ways both good and bad, by the outside world.\n\nAs Waititi explains it, \"Alamein is based on a generation of people who were bought\n\nup to be ashamed of their culture. They were punished at school for speaking their language and were constantly told that to be Maori meant you were stupid. And so a lot of them moved from the country to the cities and started or joined gangs; clubs where they could congregate and feel like a family. They looked after each other and made each other feel wanted, and as much as gangs have changed and become horrible and embarrassing parts of society, some were originally started with positive intentions. (Incidentally, the origins of the L.A. gangs are very similar.)\n\n\"So,\" he continues, \"all of these guys, and girls too, started living fantasy lives where they changed their names and became less Maori, preferring to identify with outlaws, rebels, and romantic heroes like Gunslingers, Native Americans, famous conquerors, and Samurai. It wasn't because they were hammered with all these influences at the movies or on TV; they read books and sought out people they wanted to be like. Ironically, Maori history has some incredibly strong leaders and heroes, including extremely famous warriors who led armed resistance movements in the 10 year war against the British empire. On a positive note, this gang generation had a huge turnaround in the late 80's and most went back to their Maori roots.\"\n\nGiven the role‟s significance, Waititi didn‟t originally envision casting himself as Alamein. As he recalls it, \"a lot of guys, including friends, had tried out for it, and I brought some of them back about 5 or 6 times before deciding to do it myself. The role is very different from what Maori get to play in that it is more of a comic role; the mix of buffoonery and drama meant that a background in comedy was a benefit. I had been an actor for many years before I started directing so I didn't really have a problem doing it. I was also able to direct the kids in the moment, face to face, within the scene, and also adjust their performances or dialogue while we acted. So it actually became an advantage. It's not something I'd do too often because of the strain it places on you creatively. You have to split your brain into 3 different parts, one each for acting, writing, and directing. You're always thinking from one of those directions.\"\n\nWorking so closely with his young co-stars, both on camera and behindit, Waititi was able to reinforce the similarities between Boy and Alamein—something that is already quite evident in his script. By simultaneously revealing the child‟s dawning maturity and the father‟s hopeless immaturity, Waititi shows us that Boy is really the man, while his father is really the boy. \"It's a classic dynamic,\" he says. \"The child who fathers the parent, the adult who seeks direction from the child. I like these sorts of relationships and have always been interested in the ways that families interact and navigate each other. I think we really don't know our parents and vice-versa. We are aware of them, but we can never know what they are really thinking, their hopes and dreams, and who they really are. I wanted to examine a father and two sons trying to figure each other out.\"\n\nAnother thing that unites BOY and his father is their sense of loss: Boy losing his illusions about his father, and also losing his beloved pet goat; Alamein never recovering from the loss of his wife (and losing his money more than once); and, perhaps, the Maori people losing some of their heritage and legacy. Waititi agrees that the idea of loss is central to his film. \"Everyone has lost something,\" he says, \"and is trying to replace it with someone, or something else. I think Boy's journey is particularly interesting in that he has replaced his mother with a pet goat, The loss of his mother has forced him to believe he has always been like his father. In reality, Rocky, who has replaced himself with a sort of dangerous monster because he blames himself for her death, is more like Alamein. Alamein is trying to replace his wife AND children with a cruddy bag of money buried somewhere in a field.\"\n\nHe continues: \"As Boy realizes he is more like his mother, he moves towards her, while Rocky moves towards Alamein. So you have these shifting loyalties and loves. Alamein, in turn, must move closer to the truth that he's been avoiding this whole time - that he was never there. He also surrounds himself with losers and weaklings in order to make him feel more like a winner and a leader. In actual fact, he is the biggest loser and weakling in the film.\"\n\nFor all this talk of loss, and despite the fact that the lives depicted are sometimes sad (and, more than once, very much so), BOY is nonetheless a comedy, and has an overwhelmingly light, fanciful, buoyant tone and style. Considering that Waititi roots\n\nare in comedy—he did stand-up and improve at key junctures in his performing career--this may not be too surprising. \"I can't really handle depressing films about depressing subjects,\" he confesses. \"I would prefer to make something that pulls an audience in with a light, welcoming tone, and then bash them with little moments of drama and real, human emotion. This is truer to real life, I believe, that we are all balancing on a fine thread that lies between drama and comedy. You have to have both in your life to keep sane and balanced, and that's why I like to tell stories that reside in both worlds.\"\n\nAlong with Jemaine Clement and Brett Mackenzie, with whom he collaborated extensively (as writer and director) on the hit television, \"Flight of the Conchords,\" Waititii is in the vanguard of a new comedy movement emanating from New Zealand. In describing his kinship with his fellow \"Kiwi\" artists, and characterizing the New Zealand brand of humor evidenced by BOY and his other work, Waititi says, \"New Zealand comedy has, for many years, been quite dark and sometimes disturbing. We like good ghost stories and funny thrillers. My films are probably more at the lighter end than typical N.Z. stuff, and the \"Conchords\" even more so.\"\n\nHe goes on to say that, \"there are a bunch of us in N.Z. who have all collaborated in different combinations and continue to do so. I think our style is a development of the influences we had growing up - a mixture of the best of British and American comedy, and to some extent having the ability to look at things from afar, like a tiny country in the South Pacific. When you're an outsider looking in, you develop more of a subjective comic view; which is why a lot of the gags originate in observational comedy. I think we see things that Americans might not. I can't really classify my films in terms of comedy because of the dramatic element. They are comedies that aren't always funny, sometimes poetic and a bit artsy. Maybe it's art-comedy.\"\n\nAcknowledging that most of the most successful and highly regarded films exported from New Zealand until now have been heavily dramatic, Waititi observes, \"I think that New Zealand as a whole, needs to develop and explore more styles with its films. We have found that a certain style works and have stuck with it for a while. I really didn't want to make a film where a kid dies or gets kidnapped or people seriously abuse each other or everyone is depressed. We have a lot of depression in New Zealand and it's important to talk about it, but there are other ways, and comedy is, in\n\nmy opinion, a really effective tool for bringing attention to social issues too. \"\n\nWaititi doesn‟t only leaven the more dramatic qualities of BOY with comedy. He also develops a distinctive visual style that deftly combines sight gags, quick subjective glimpses of his characters‟ thoughts, full-on fantasy sequences, drawings and animations, to convey the inner life and irrepressible spirit of his protagonists. It is a style reminiscent of such masters of youthful hijinx as Richard Lester in his 60‟s heyday, early Francois Truffaut, or to cite a more recent example, of Danny Boyle. (In fact, BOY has already drawn comparisons to both \"The 400 Blows\" and \"Slumdog Millionaire\"). Explaining his highly visual orientation, Waititi notes, \"my background is painting. My father is a painter and when I left school that's what I decided to do. So, I spent most of my twenties making art. I drew all the animations in the movie and some of the other art within the sets.\"\n\n\"There's no particular style that I'm influenced by,\" he continues, \"though I guess the beginning of BOY is very similar to the beginning of „Jules et Jim --at least in my mind it is-- so I suppose I like things that feed you a lot of information and layers of visual and aural stimulation, but at the same time have a simplicity about them. Although I use things like animation and other visual styles, I think my films are pretty simple. Having said that, I did spend about a month trying to get the first 5 minutes right!\"\n\nThe extraordinary success enjoyed by BOY, both at home and abroad, attests to the fact that Waititi must have gotten more than its first five minutes right. Asked to account for its success, the writer/director/star can only say, \"I think the story is honest and is not pretending to be what it isn't. For instance, we had money set aside to use Michael Jackson songs, including „Thriller.‟ This is before he died, so it was a little cheaper, but when we looked at the cut, with the music, it didn't feel right, it didn't feel authentic. I think for a small film like this having a gigantic song like „Thriller‟ or „Beat It‟ might pull the audience out of the experience. It just felt like we needed to show those Michael Jackson moments with a little more honesty. So I think the f<cursor_is_here> But told in a slightly whimsical and child-like manner.\"\n\nBOY ABOUT THE CAST\n\nBoy – James Rolleston\n\nJames was 11 when he auditioned for a role in BOY. He was originally cast in a much smaller role but when Taika realized his initial choice for the lead had grown up a little too much to play the pre-pubescent Boy, he and the casting director brought James to Waihau Bay for a workshop with a number of the other young cast.\n\nHe was cast. On Monday he started acting for the first time in his life. By Tuesday he was asking if lines were believable. He is a natural; smart, open and innocent but with enough experience in his life to draw from for the role.\n\nJames is also a talented young sportsman who plays representative rugby.\n\nRocky – Te Aho Eketone Whitu\n\nTe Aho was born and bred in Minginui, a small farming community outside Rotorua. His hobbies are motorbikes, hunting, fishing and rugby and when he grows up he wants to be Richie McCaw (All Black).\n\nBOY ABOUT THE FILMMAKERS\n\nDIRECTOR/WRITER/ACTOR – Taika Waititi\n\nAlso going by the surname Cohen, Taika is of TeWhanau-a-Apanui descent and hails from the Raukokore region of the East Coast. He has been involved in the arts for several years, as a visual artist, actor, writer and director.\n\nTaika‟s first short film, 'Two Cars, One Night', was nominated for an Academy Award in 2005.\n\nHis next short, 'Tama Tu' about a group of Maori soldiers in Italy during World War II won a string of international awards, making it also eligible for Oscar nomination. His first feature, Eagle vs. Shark, was released internationally in 2007 after selling to Miramax on the basis of a trailer.\n\nAs a performer and comedian, Taika has been involved in some of New Zealand‟s most innovative and successful productions. He has a strong background in comedy writing and performing and with fellow comedian Jemaine Clement (Flight of the Conchords), has won New Zealand‟s top comedy award, the \"Billy T\" and also the \"Spirit of the Fringe Award\" in Edinburgh.\n\nHe regularly does stand up gigs around the country and in 2004 launched his solo production; Taika's Incredible Show which wasn‟t that incredible but had a cool poster, which he drew himself. Taika has been critically acclaimed for his dramatic abilities. In 2000 he was nominated for Best Actor at the Nokia Film Awards for his role in the Sarkies Brothers‟ film Scarfies.\n\nTaika also plays Boy and Rocky‟s father, Alamein in the film.\n\nPRODUCERS\n\nCliff Curtis\n\nCliff Curtis is of Te Arawa and Ngati Hauiti descent. Cliff is best known as an actor in both New Zealand and in the U.S.\n\nHe had his first taste behind the camera as the Director of The Rocks a half hour short film made as part of Mataku South Pacific Pictures and Four Winds Productions for television. He later joined with Ainsley to start Whenua Films in 2004 to produce Taika‟s second short film, Tama Tu. Whenua Films have since operated the NZFC‟s short film initiative in 2005/2006 and have produced Taika‟s first feature Eagle vs Shark.\n\nHis interest as a producer is primarily driven by his passion for story telling but he welcomes the opportunity to not have to wear makeup.\n\nAinsley Gardiner\n\nAinsley is of Te Whanau-a-Apanui, Whakatohea, Ngati Awa, and Ngati Pikiao descent. She began her involvement in film in 1995 with the Avalon Film and TV production course that included work placement with Kahukura Productions. Her 6 year experience with Larry Parr saw her emerge as one of New Zealand's most promising young producers. Ainsley was appropriately acknowledged by WIFT as The Emerging Producer of the Year 2004 and again in 2007 for Achievement in Film.\n\nAs well as producing two features before she was 28, she also produced a 26-episode comedy for television and various short films, and worked on commercials, shorts and corporate videos in production and as an Assistant Director for other companies. Notably Ainsley produced the short films Two Cars One Night and Tama Tu written and directed by Taika Waititi.\n\nShe has also written and directed her first short film, Mokopuna, funded by Creative New Zealand and the NZ Film Commission.\n\nEmanuel Michael\n\nEmanuel Michael is a founding partner of Unison Films, a production and distribution company based in New York. Emanuel has been honored as one of MovieMaker Magazine‟s 10 Moviemakers Making A Difference, along with other honorees such as Matt Damon and Natalie Portman. Through Unison Films, Emanuel Michael has produced ten feature films including Taika Waititi‟s previous award-winning film EAGLE VS. SHARK which was released by Miramax FIlms. Upcoming films include: \"360\"\n\nwritten by two-time Academy Award® nominee Peter Morgan (THE QUEEN, THE LAST KING OF SCOTLAND) and directed by Academy Award® nominee Fernando Meirelles (CITY OF GOD, THE CONSTANT GARDENER) starring Academy Award® winner Anthony Hopkins, Academy Award® winner Rachel Weisz, and two-time Academy Award® nominee Jude Law; A LATE QUARTET written and directed by Yaron Zilberman (WATERMARKS) starring Academy Award® winner Philip Seymour Hoffman, Academy Award® winner Christopher Walken, and two-time Academy Award® nominee Catherine Keener; and INOCENTE the upcoming feature documentary from the Academy Award® nominated and Sundance Best Director winners Sean and Andrea Fine (WAR DANCE).\n\nCASTING DIRECTOR – Tina Cleary\n\nShe has cast award-winning short films including Fog for director Peter Salmon, Run and Six Dollar Fifty Man for directors, Louis Sutherland & Mark Albiston, Mokopuna by director Ainsley Gardiner and Crossing the Line for director Peter Jackson. She has been the NZ Casting Director for off-shore films and TV in Tina Cleary has a body of experience working in casting on TV dramas and feature films for more than a decade development for Warner Bros and Disney and has worked for Producer Barrie Osborne.\n\nRecent projects have included an award winning TV drama Until Proven Innocent for director Peter Burger, and the NZ box office hit Second Hand Wedding, with director Paul Murphy. She has also recently co-cast Home by Christmas for director Gaylene Preston.\n\nPRODUCTION DESIGNER – Shayne Radford\n\nShayne came to the film industry as a successful hairdresser with three salons and 30 staff. As a hairdresser on Geoff Murphy‟s Utu, Shayne was inspired by the moko work of Bob McCarron.\n\nHe moved into special effects work and was part of the now Weta Workshop with Richard Taylor and Peter Jackson.\n\nHe has since contributed his art direction and design skills to such iconic Kiwi films as Once Were Warriors, Desperate Remedies and Rain Of the Children, as well as numerous productions for the Bradley brothers.\n\nCOSTUME DESIGNER – Amanda Neale\n\nAmanda Neale is an intuitive and resourceful designer who loves the process of creating character identity through carefully considered costume.\n\nShe has an impressive and varied filmography, working as a buyer or lead standby on films such as Lord of the Rings, Last Samurai, King Kong, Avatar and The Lovely Bones.\n\nHer passion lies in costume design and creating a strong aesthetic. She loves working on New Zealand stories, collaborating and giving voice to a New Zealand identity through film. Over the last ten years she has designed the feature films Scarfies, For Good, Fracture, Eagle vs. Shark, Show of Hands, Separation City and BOY.\n\nAmanda continues to support short film making and has numerous credits to her name, notably Fog which was selected for International Critics week at Cannes Film festival in 2007.\n\nShe was nominated for Costume Achievement at the Nokia Film Awards for her work on Scarifies in 2000, and in 2005, won the Nokia for her design of Fracture.\n\nAmanda first met Taika back in 1999 on Scarfies when he was a thin young actor. She still enjoys the professional challenge of trying to get him into tight pants.\n\nDIRECTOR OF PHOTOGRAPHY – Adam Clark\n\nAdam is New Zealand‟s most talented young cinematographer. He has shot both Taika‟s short films and his feature, and his photography has been integral to the success of those films.\n\nAs well as shooting numerous short films and commercials he has been second DOP and operated camera for Alun Bollinger on River Queen, DOP on Vincent Ward‟s feature Rain of the Children and 2 nd DOP on Peter Jackson‟s King Kong and Gaylene Preston‟s Perfect Strangers.\n\nAlthough he is already an incredibly experienced DOP, it is not his experience the makes him invaluable to the project. Like Taika, his creative, visual and storytelling talent is inherent and profound.\n\nEDITOR – Chris Plummer\n\nChris is one of New Zealand‟s leading film editors. He has worked with many of the new breed of NZ film makers on such internationally acclaimed films as; In My Father's Den, Dean Spanley and Black Sheep to name a few. He helped Vincent Ward bring his personal odyssey Rain of the Children to the big screen.\n\nHis passion for story telling leads him to help tell stories that have a resonance to audiences no matter what breed or creed they hail from.\n\nDuring the eight weeks it took to shoot BOY on location in the East Coast of New Zealand, Chris was tempted to give up editing and become a big game fisherman. He didn‟t as he is a better film editor than fisherman.\n\nThis is his first collaboration with Taika.\n</text>\n", "role": "user" }, { "content": "ilm really speaks that way, it's an honest approach to a story about a broken family.", "role": "assistant" } ]
10th Annual Report to the Governor and the General Assembly of Maryland 2021 MARYLAND UNDERGROUND FACILITIES DAMAGE PREVENTION AUTHORITY 2020 State Damage Prevention Program Review The Maryland Underground Facilities Damage Prevention Authority (the Authority) 7223 Parkway Drive, Suite 100, Hanover, Maryland 21076 Phone: 410-782-2102 web address: www.mddpa.org Staff: James A. Barron, Executive Director Phone: 410-782-2102 Email: [email protected] Susan A. M. Stroud, Deputy Director Phone: 410-782-2103 Email: [email protected] Deena L. Madore, Data Manager Phone: 410-782-2104 Email: [email protected] Bruce C. Bereano, Consultant Phone: 410-267-0410 Email: [email protected] On the cover: 2020 natural gas explosion event August 10, 2019 in Baltimore City, Maryland.... The August explosion that leveled these rowhomes in a Northwest Baltimore neighborhood, killing two, was caused by a large natural gas buildup the day after a contractor worked on an HVAC system in one of the homes, city officials said Tuesday. February 2021 The Honorable Larry Hogan State House 100 State Circle Annapolis, Maryland 21401 The Honorable William Ferguson President Senate of Maryland State House, H-107 Annapolis, Maryland 21401 The Honorable Adrienne A. Jones Speaker Maryland House of Delegates State House, H-101 Annapolis, Maryland 21401 Re: Report Required by Public Utilities Article §12-144 (MSAR#) Ladies and Gentlemen: As the 2021 Chair of the Maryland Underground Facilities Damage Prevention Authority, I submit this Tenth Annual Report to you. This document serves as an outline of the Authority's activities and accomplishments for the 2020 calendar year. Sincerely, Michael I. Jewell Chairman cc: Sarah Albert, Department of Legislative Services # TABLE OF CONTENTS - Letter of Transmittal from the Chairman of the Authority ........................................... 3 - Table of Contents ............................................................................................................. 4 - About the Authority ....................................................................................................... 5 - 2021 Authority Members & Officers ............................................................................... 6 - 2021 Authority Meeting Schedule .................................................................................. 7 - 2020 Challenges ............................................................................................................ 8 - 2020 Authority Accomplishments .................................................................................. 9 - 2019 – 2020 MD Damage Graphs ................................................................................ 11 - 2020 PHMSA Adequacy Audit ...................................................................................... 16 About the Maryland Authority The Maryland Underground Facilities Damage Prevention Authority (The Authority) was established in 2010 by the Maryland legislature (Senate Bill 911); which updated the existing Maryland Underground Facilities Damage Prevention Law, more commonly known as the “Miss Utility” or 811 law. The Authority is a peer driven organization, that has been authorized to enforce the Miss Utility law in the form of mandatory training or fines for violators. The Authority is an agency of the Executive Branch of Maryland State government; and acts as a quasi-judicial body governed by APA rules when reviewing and hearing violations of the 811 law. The Authority also has the ability to assess civil penalties. All fines collected by the Authority are used solely to underwrite its Educational and Outreach activities. The Authority is self-funded through a nominal surcharge on “Miss Utility” tickets. The Authority also competes annually for the U.S. Department of Transportation’s – Pipeline and Hazardous Materials Safety Administration (PHMSA) – State Damage Prevention grants, that help to support some Authority activities. The Authority does not receive any state funds or appropriations. The nine members of the Authority are appointed by the Governor to serve staggered two-year terms. As Authority members, these individuals sit as Administrative judges, when hearing and determining probable violations. They do not receive any compensation or any reimbursement for expenses. MARYLAND AUTHORITY MISSION STATEMENT¹ The Authority seeks to protect underground facilities of owners in the State of Maryland from destruction, damage, or dislocation to prevent: death or injury to individuals; property damage to private and public property; and the loss of services provided to the general public. To accomplish this, the Authority seeks to promote, enhance, and assist the State of Maryland in enforcing the Maryland underground utility damage enforcement, effective public education, and the constant knowledge that public safety through reduced damages is our prime concern. ¹ Pursuant to the legislative intent enacted by the Maryland General Assembly, as part of the State Underground Facilities law, Article Public Utilities, Title 12, Section 12-102, the mission statement adopted by the Authority in 2010. \| Name \| Organization \| Affiliation \| \|-----------------------------\|---------------------------------------------------\|------------------------------\| \| Joyce P. Brooks \| General Public \| Self-employed \| \| Exp. 9/30/2021 \| \| \| \| David Gaines \| Assoc. Utility Contractors of Maryland \| Gaines and Company \| \| Exp. 09/30/2022 \| \| \| \| Paul Kwiatkowski \| MACo \| Howard County \| \| Vice Chairman \| \| \| \| Exp. 9/30/2021 \| \| \| \| Derek Shreves \| Maryland Municipal League \| Town of Sykesville Public Works \| \| Exp. 9/30/2022 \| \| \| \| Michael J. Jewell \| Underground Facility Owner \| Columbia Gas \| \| Chairman \| \| \| \| Exp. 9/30/2022 \| \| \| \| Tamara Neal \| Underground Facilities Owner \| Washington Gas \| \| Treasurer \| \| \| \| Exp. 9/30/2021 \| \| \| \| Erik L. Philips \| Underground Utility Locator \| Utiliquest \| \| Exp. 9/30/2021 \| \| \| \| Kellyn H. Ruddy \| One Call Centers \| One Call Concepts, Inc. \| \| Secretary \| \| \| \| Exp. 9/30/2021 \| \| \| \| Amber D. Brengel \| Public Works Contractors Association \| Beltsville Construction Supply \| \| Exp. 9/30/2021 \| \| \| --- 2 Public Utilities Article §12-107. Membership – All Authority members are appointed by the Governor of Maryland and must represent specific entities and organizations. The Authority strives for diversity in its membership (geographically, racially and sexual orientation) in order to best represent the State of Maryland and its people. 2021 Authority Meeting Calendar Miss Utility Conference Center 7223 Parkway Drive, Hanover, Maryland ALL OPEN SESSIONS BEGIN AT 9:00 A.M. (Hearings on Probable Violations are held during the open portion of the meetings) \| Date \| Event \| Location \| \|--------------------\|----------------------------------------------------------------------\|---------------------------\| \| Wednesday January 6th \| Open Session & Closed Executive Session (1st Quarter Business Mtg & Election of Officers) \| \| \| General Assembly \| January 13th - April 14th \| Annapolis, MD \| \| Wednesday February 3rd \| Public Hearings & Closed Executive Session \| \| \| Wednesday March 3rd \| Closed Executive Session \| \| \| Wednesday April 7th \| Open Session & Closed Executive Session (2nd Quarter Business Mtg) \| \| \| Wednesday May 5th \| Public Hearings & Closed Executive Session \| \| \| Wednesday June 2nd \| Closed Executive Session \| \| \| MML Conference \| June 27th – 30th \| Ocean City, MD \| \| Wednesday July 7th \| Open Session & Closed Executive Session (3rd Quarter Business mtg.) \| \| \| Tawes Crab Feast \| July 21st \| Crisfield, MD \| \| Wednesday August \| Cancelled/Office Closed \| \| \| MACo Conference \| August 18th – 21st \| Ocean City, MD \| \| Wednesday September 1st \| Public Hearings & Closed Executive Session \| \| \| Wednesday October 6th \| Open Session & Closed Executive Session (4th Quarter Business Mtg.) \| \| \| CGA Conference \| October 12th – 15th \| Orlando, FL \| \| GCDPC \| October 26th – 29th \| Ocean City, MD \| \| Wednesday November 3rd \| Public Hearings & Closed Executive Session \| \| \| Wednesday December 1st \| Closed Executive Session \| \| 2020 Challenges As with all things, Covid-19 has had an immense impact on the Authority. Our offices have been closed since March of 2020, with all staff working remotely. While this arrangement has worked well, it does not replace the day-to-day personal interaction which makes for smoother communication and a creative atmosphere. Many of the Authority’s ongoing projects have been slowed due to the limited availability of project consultant’s during the pandemic. Of great concern to the Authority is the marked reduction of NPV’s filed in 2020. Just forty-five (45) Notices of Probable (NPVs) were submitted compared to sixty-one (61) in 2019 and ninety-four (94) in 2018. The 2020 NPV breakdown is as follows: Twenty-five (25) NPVs were file by Facility Owners (18 each; §12-124 – No Ticket; 7 each; §12-127 – Duties of Excavator). One encouraging change was a marked increase in the number of NPVs filed by Contractors. Nineteen (19) were filed in 2020 with all of them being marking violations. The Authority also had one (1) NPV submitted by a Homeowner (§12-124 – No Ticket). Some of this could be Covid-19 related, but we have observed this trend over the past three years. Unfortunately, there is little the Authority can do to compel companies to file NPVs. This will remain the case until mandatory reporting becomes part of the statute. However, there is little interest on the part of the Facility Owners to see this requirement become law. Though ticket volumes remain at a pre-Covid high, the industry has been severely affected by key shortages in the contract locating arena, which is of course is the driver of construction schedules. There is growing concern on the part of utility contractors and facility owners about the situation. Marking delays are very costly, both in overhead and timelines. Covid has had a direct impact on the locating industry in that this is an in-person activity which must adhere to specific rules laid out in the Title XII Statute and the One-Call Center’s ticket rules and requirements. Unfortunately, industry workers continue to get sick and must quarantine and, in many cases, there is no-one available to fill-in for the day or days the technician is unavailable. As a reactive enforcement agency, the Authority has little ability to affect outcomes when these marking delays occur. During the course of a normal year, the Authority participates in a number of national, state, and local conferences, provides insight, and updates to organizations and participates in training events. A majority of these activities were either cancelled or postponed, therefore the Authority’s usual active outreach programs and efforts were seriously curtailed. Once things begin to normalize, the Authority fully intends to re-double its outreach and in-person educational efforts. 2020 Accomplishments • The Authority met seven (7) times during the 2020 calendar year (down from eleven (11) in 2019). Of the seven meetings two (2) were in person and the other five (5) were conducted via Zoom. Four (4) of these meetings were open to the public as required by statute and three (3) were Closed Executive sessions held for personnel and judicial deliberations. In addition, one formal hearing was held at the March open meeting. There have also been six (6) requests for hearings, which have not yet been scheduled. The Authority reviewed forty-two (42) probable violations during this period. Of those forty-two NPV’s, nine (9) were carried over from 2019. The remaining thirty-three (33) violations were received, reviewed, and acted upon in 2020. Three (3) NPV’s were dismissed for insufficient evidence and two (2) NPV’s were withdrawn by the complainant. • The total fines assessed in 2020 were $41,360. The Authority also recommended Title XII Damage Prevention Safety training to all companies in violation of the statute or required written policy statements in order to mitigate internal shortfalls to their damage prevention programs. The Authority provides Damage Prevention Training via the MD/DC DPC at no charge to the violator). In calendar year 2020, the Authority has collected $39,440 in fines and spent $27,140 on Education and Outreach Initiatives. These dollar figures represent an improvement in fine collections over the past several years. Generally, the Authority is able to recoup approximately 50% of the exacted fines. • Despite an uptick nationwide in underground facility damages, Maryland remains one of the states with the lowest “hit rate.” – .17%; percent damages per 1000 Miss Utility tickets last reporting period (2020). • The Authority received a $97,000 PHMSA - State Damage Prevention (SDP) grant which was used to complete work on the new website launch and the development of two (2) mobile apps (android & apple), which will allow easy access for industry workers in the field who wish to look up sections of the Title XII statute, obtain up to the minute information about damage trends, pay fines and even file NPV’s. • The remainder of the 2020 grant will be used to develop a testing platform for the Authority’s on-line training program. Since education and the enforcement are key elements of the Maryland state damage prevention program, the Damage Prevention Training program must be as comprehensive as current funding levels allow. Plans for the platform include instructive videos, section overviews of the Title XII statute, section quizzes, and a certificate of course completion. All of these features will be available on the Authority website free of charge to any interested party in both English and Spanish. The estimated launch of the program will be the fall of 2021. Additional funds are being applied for in the 2021 PHMSA SDP grant to complete the project. • The Pipeline and Hazardous Material Safety Administration (PHMSA) which is a division of the United States Department of Transportation, once again evaluated the Authority for the 2018 State Damage Prevention Program for “Adequacy” in 2019. This review was the fourth annual evaluation for the Authority. Once again, the Authority received an “Adequate” rating (highest level) for its program, scoring 252 out of 258 points. • Our major focus for 2019, which continued into 2020, was the complete overhaul of the Authority’s website which will be more robust, interactive with instructional videos and a number of safety related subjects. The Authority launched their new website on August 1, 2020 (811 day). Since the launch, www.mddpa.org has received an astonishing number of visits, which last at least 3 minutes, which by industry standards is considered successful. The website is to have a Case Management System (CSM) tool built into it, which would allow for ease in reporting violations, information sharing and report generation. Unfortunately, the CMS portion of the project has been delayed due to issue with data corruption and coding issues. Late 2021 is the new target. This extensive undertaking was made possible by the Authority’s success in obtaining grants from PHMSA for special projects. • The Authority’s emphasis continues to focus on enforcement as required by changes to the Federal Rules governing the State-based Compliance programs (Rule 9). As a result, a permanent funding source for the Authority’s day-to-day operations was needed, since the Authority is an independent agency and does not receive taxpayer funding.$^3$ Thus, during the ten (10) month reporting period in 2020 the Authority received $188,554.83, which was a $14,210.68 increase of the previous year. • The Title XII law has been in effect for nearly ten (10) years, with very few changes over the ensuing years. In order to modernize the law and correct unexpected consequences or deficiencies in the statute, the Authority filed SB 877 (Sen. Feldman, D-Montgomery County – Dist. 15) during the current legislative session. The Initiative also had a companion bill in the House of Delegates HB1330, sponsored by Economic Matters Chairman, Dereck Davis, D- Prince Georges County – Dist. 25. A working group comprised of the Maryland subscriber’s group (underground facility owners/operators) and other stakeholders; the Authority undertook the facilitation of the complete overhaul of the Title XII statute. Senate Bill 877 was passed during the 2020 session of the MD legislature. However, suffered a veto by the Governor due to fiscal concerns. To-date, Senate Bill 877 has had a successful over-ride vote in the Senate and is awaiting action in the House. If SB 877 prevails, the Authority will begin the task of educating the industry on the pertinent changes to the law, utilizing its new on-line tools as well as traditional literature and training sessions once in person meetings resume. $^3$ The 2016 Maryland legislature approved the Authority’s request for a dedicated revenue stream (HB696/SB480) which is generated by a .05 cent surcharge on all out-going Miss Utility tickets. ### Damages for 2019 \| Category \| Count \| Percentage \| \|---------------------------------\|-------\|------------\| \| Failed to Call Miss Utility \| 168 \| 17.9% \| \| Marked Properly and Still Were Hit \| 437 \| 46.6% \| \| Operator Error \| 333 \| 35.5% \| \| Total \| 938 \| 100% \| ### Damages for State 2019 - Failed to Call Miss Utility: 17.9% - Marked Properly and Still Were Hit: 46.6% - Operator Error: 35.5% --- ### Damages for 2018 \| Category \| Count \| Percentage \| \|---------------------------------\|-------\|------------\| \| Failed to Call Miss Utility \| 237 \| 23.6% \| \| Marked Properly and Still Were Hit \| 438 \| 43.5% \| \| Operator Error \| 331 \| 32.9% \| \| Total \| 1006 \| 100% \| ### Damages for State 2018 - Failed to Call Miss Utility: 23.6% - Marked Properly and Still Were Hit: 43.5% - Operator Error: 32.9% --- $^4$ Source: Maryland Public Service Commission Annual Report. \| Number of Damages per 1,000 Locates \| YEAR \| \|------------------------------------\|------\| \| 2.86 \| 2011 \| \| 1.93 \| 2012 \| \| 1.71 \| 2013 \| \| 1.17 \| 2014 \| \| 1.25 \| 2015 \| \| 1.15 \| 2016 \| \| 1.13 \| 2017 \| \| 1.35 \| 2018 \| \| 1.42 \| 2019 \| Source: Maryland Public Service Commission 2019 Annual Report. Table B Excavation Damage Trend Number of Damages per 1,000 Locates Year - 2011: 2.8 - 2012: 1.9 - 2013: 1.7 - 2014: 1.2 - 2015: 1.3 - 2016: 1.2 - 2017: 1.1 - 2018: 1.3 - 2019: 1.4 Number of Damages per 1,000 Locates Linear (Number of Damages per 1,000 Locates) ## 2020 County by County Damages ### 2020 MD/DC Subscribers Damage Summary Report \| County \| Reported Ticket Volume \| Main \| Service \| No Call or Ticket \| Hit Marked Line \| Line Marked Wrong \| Other \| \|--------------\|------------------------\|------\|---------\|-------------------\|-----------------\|-------------------\|-------\| \| Allegany \| 24,214 \| 4 \| 18 \| 6 \| 8 \| 4 \| 4 \| \| Anne Arundel \| 14,570 \| 1 \| 0 \| 0 \| 0 \| 0 \| 1 \| \| Balt City \| 13,388 \| 2 \| 0 \| 0 \| 0 \| 0 \| 1 \| \| Balt County \| 13,437 \| 1 \| 0 \| 0 \| 1 \| 0 \| 0 \| \| Calvert \| 12,593 \| 7 \| 6 \| 7 \| 3 \| 4 \| 0 \| \| Carroll \| 8,277 \| 3 \| 2 \| 4 \| 1 \| 0 \| 0 \| \| Cecil \| 1,492 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Charles \| 40,437 \| 8 \| 16 \| 11 \| 5 \| 6 \| 2 \| \| Frederick \| 83,572 \| 21 \| 30 \| 15 \| 15 \| 13 \| 8 \| \| Garrett \| 8,080 \| 7 \| 4 \| 3 \| 2 \| 4 \| 2 \| \| Harford \| 30,356 \| 2 \| 0 \| 1 \| 0 \| 1 \| 0 \| \| Howard \| 7,015 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Montgomery \| 452,568 \| 76 \| 234 \| 70 \| 105 \| 107 \| 24 \| \| Prince Georges \| 349,699 \| 59 \| 188 \| 68 \| 91 \| 77 \| 14 \| \| St. Mary's \| 22,607 \| 8 \| 12 \| 9 \| 9 \| 3 \| 0 \| \| Washington \| 19,134 \| 6 \| 10 \| 6 \| 8 \| 1 \| 1 \| \| Wash DC NE \| 52,113 \| 12 \| 32 \| 16 \| 16 \| 10 \| 2 \| \| Wash DC NW \| 99,658 \| 20 \| 79 \| 30 \| 44 \| 20 \| 5 \| \| Wash DC SE \| 40,429 \| 13 \| 23 \| 8 \| 13 \| 12 \| 3 \| \| Wash DC SW \| 12,321 \| 4 \| 2 \| 1 \| 2 \| 1 \| 2 \| ### County Ratio Damages per 1000 Locates \| County \| Ratio \| \|--------------\|-------\| \| Allegany \| 0.9 \| \| Anne Arundel \| 0.1 \| \| Balt City \| 0.1 \| \| Balt County \| 0.1 \| \| Calvert \| 1.0 \| \| Carroll \| 0.6 \| \| Cecil \| 0.0 \| \| Charles \| 0.6 \| \| Frederick \| 0.6 \| \| Garrett \| 1.4 \| \| Harford \| 0.1 \| \| Howard \| 0.0 \| \| Montgomery \| 0.7 \| \| Prince Georges \| 0.7 \| \| St. Mary's \| 0.9 \| \| Washington \| 0.8 \| \| Wash DC NE \| 0.8 \| \| Wash DC NW \| 1.0 \| \| Wash DC SE \| 0.9 \| \| Wash DC SW \| 0.5 \| --- 6 Source: Miss Utility Voluntary Damage Reporting Program. \| Member Reported Tickets \| 1,305,960 \| 254 \| 656 \| 255 \| 323 \| 263 \| 69 \| 910 \| \|-------------------------\|-----------\|-----\|-----\|-----\|-----\|-----\|----\|-----\| \| Call Center Released Tickets \| 5,367,378 \| \| \| \| \| \| \| \| \| Total Damages \| 910 \| \| \| \| \| \| \| \| \| Reporting % \| 24.33% \| \| \| \| \| \| \| \| \| # Tickets \| Damages per 10,000 Tickets Received \| \|-----------\|-------------------------------------\| \| Reported Tickets \| 1,305,960 \| 1.95 \| 2.47 \| 2.01 \| 0.53 \| 6.97 \| \| Total Tickets \| 5,367,378 \| 0.48 \| 0.60 \| 0.49 \| 0.13 \| 1.70 \| \| # Tickets \| Damages per 1,000 Tickets Received \| \|-----------\|-----------------------------------\| \| Reported Tickets \| 1,305,960 \| 0.20 \| 0.25 \| 0.20 \| 0.05 \| 0.70 \| \| Total Tickets \| 5,367,378 \| 0.05 \| 0.06 \| 0.05 \| 0.01 \| 0.17 \| Determination of Adequacy of One-Call Law Enforcement Programs from 2019 Audits As of April 29, 2020 - Green: Adequate (43) - Red: Inadequate (9) Map produced April 29, 2020 by the U.S. Department of Transportation (U.S. DOT), Pipeline and Hazardous Materials Safety Administration (PHMSA) Map provided as a reference only. PHMSA makes no representations or warranties of any kind, express or implied, about the completeness, accuracy, reliability, suitability or availability with respect to this map for any purpose. PHMSA expressly disclaims liability for errors and omissions in the contents of this map. Source: USDOT – Pipeline and Hazardous Materials Safety Administration, 2020 Audit Results On November 21, 2019, a representative of the U.S. Department of Transportation’s Pipeline and Hazardous Materials Safety Administration (PHMSA) conducted an evaluation of Maryland’s enforcement of its excavation damage prevention law. PHMSA conducted this evaluation pursuant to 49 United States Code § 60114 and 49 Code of Federal Regulations Part 198, Subpart D -- State Damage Prevention Enforcement Programs. Based on this evaluation, PHMSA has determined that the enforcement of Maryland’s excavation damage prevention law is “adequate.” As you may be aware, excavation damage continues to be a leading cause of pipeline failures, some of which have resulted in fatalities, serious injuries, and environmental damage. Nationwide statistics show that effective enforcement of state damage prevention laws reduces excavation damage and pipeline incidents, resulting in enhanced public safety. In closing, PHMSA appreciates your dedication to safety and encourages the Maryland Underground Facilities Damage Prevention Authority to continue to support damage prevention outreach initiatives that promote 811 and safe digging practices. Should you have any questions regarding this letter, please contact Dr. Christie Murray, our Director of Outreach and Engagement, at (202) 366-4996 or by email at [email protected]. Sincerely, Massoud Tahamtani Deputy Associate Administrator, Policy and Programs Office of Pipeline Safety cc: Ms. Susan Ann Mary Stroud, Deputy Director, Maryland Underground Facilities Damage Prevention Authority 811® Know what’s below. Call before you dig.	2f1cc871-48e8-4236-abab-266d4e11d957	CC-MAIN-2021-10	https://mddpa.org/wp-content/uploads/2021/02/10th-Annual-Report-to-Governor-2021.pdf	2021-02-28T18:06:48+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-10/subset=warc/part-00101-dbb5a216-bcb2-4bff-b117-e812a7981d21.c000.gz.parquet	454,231,274	6,114	eng_Latn	eng_Latn	0.785876	eng_Latn	0.989426	[ "eng_Latn", "eng_Latn", "eng_Latn", "pol_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "dag_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "unknown" ]	true	docling	[ 182, 1051, 1816, 2920, 5268, 8377, 11086, 13918, 16866, 20068, 21151, 21723, 21992, 25485, 26373, 27079, 28627, 28673 ]	10th Annual Report to the Governor and the General Assembly of Maryland 2021 MARYLAND UNDERGROUND FACILITIES DAMAGE PREVENTION AUTHORITY 2020 State Damage Prevention Program Review The Maryland Underground Facilities Damage Prevention Authority (the Authority) 7223 Parkway Drive, Suite 100, Hanover, Maryland 21076 Phone: 410-782-2102 web address: www.mddpa.org Staff: James A. Barron, Executive Director Phone: 410-782-2102 Email: [email protected] Susan A. M. Stroud, Deputy Director Phone: 410-782-2103 Email: [email protected] Deena L. Madore, Data Manager Phone: 410-782-2104 Email: [email protected] Bruce C. Bereano, Consultant Phone: 410-267-0410 Email: [email protected] On the cover: 2020 natural gas explosion event August 10, 2019 in Baltimore City, Maryland.... The August explosion that leveled these rowhomes in a Northwest Baltimore neighborhood, killing two, was caused by a large natural gas buildup the day after a contractor worked on an HVAC system in one of the homes, city officials said Tuesday. February 2021 The Honorable Larry Hogan State House 100 State Circle Annapolis, Maryland 21401 The Honorable William Ferguson President Senate of Maryland State House, H-107 Annapolis, Maryland 21401 The Honorable Adrienne A. Jones Speaker Maryland House of Delegates State House, H-101 Annapolis, Maryland 21401 Re: Report Required by Public Utilities Article §12-144 (MSAR#) Ladies and Gentlemen: As the 2021 Chair of the Maryland Underground Facilities Damage Prevention Authority, I submit this Tenth Annual Report to you. This document serves as an outline of the Authority's activities and accomplishments for the 2020 calendar year. Sincerely, Michael I. Jewell Chairman cc: Sarah Albert, Department of Legislative Services # TABLE OF CONTENTS - Letter of Transmittal from the Chairman of the Authority ........................................... 3 - Table of Contents ............................................................................................................. 4 - About the Authority ....................................................................................................... 5 - 2021 Authority Members & Officers ............................................................................... 6 - 2021 Authority Meeting Schedule .................................................................................. 7 - 2020 Challenges ............................................................................................................ 8 - 2020 Authority Accomplishments .................................................................................. 9 - 2019 – 2020 MD Damage Graphs ................................................................................ 11 - 2020 PHMSA Adequacy Audit ...................................................................................... 16 About the Maryland Authority The Maryland Underground Facilities Damage Prevention Authority (The Authority) was established in 2010 by the Maryland legislature (Senate Bill 911); which updated the existing Maryland Underground Facilities Damage Prevention Law, more commonly known as the “Miss Utility” or 811 law. The Authority is a peer driven organization, that has been authorized to enforce the Miss Utility law in the form of mandatory training or fines for violators. The Authority is an agency of the Executive Branch of Maryland State government; and acts as a quasi-judicial body governed by APA rules when reviewing and hearing violations of the 811 l	aw.	The Authority also has the ability to assess civil penalties. All fines collected by the Authority are used solely to underwrite its Educational and Outreach activities. The Authority is self-funded through a nominal surcharge on “Miss Utility” tickets. The Authority also competes annually for the U.S. Department of Transportation’s – Pipeline and Hazardous Materials Safety Administration (PHMSA) – State Damage Prevention grants, that help to support some Authority activities. The Authority does not receive any state funds or appropriations. The nine members of the Authority are appointed by the Governor to serve staggered two-year terms. As Authority members, these individuals sit as Administrative judges, when hearing and determining probable violations. They do not receive any compensation or any reimbursement for expenses. MARYLAND AUTHORITY MISSION STATEMENT¹ The Authority seeks to protect underground facilities of owners in the State of Maryland from destruction, damage, or dislocation to prevent: death or injury to individuals; property damage to private and public property; and the loss of services provided to the general public. To accomplish this, the Authority seeks to promote, enhance, and assist the State of Maryland in enforcing the Maryland underground utility damage enforcement, effective public education, and the constant knowledge that public safety through reduced damages is our prime concern. ¹ Pursuant to the legislative intent enacted by the Maryland General Assembly, as part of the State Underground Facilities law, Article Public Utilities, Title 12, Section 12-102, the mission statement adopted by the Authority in 2010. \| Name \| Organization \| Affiliation \| \|-----------------------------\|---------------------------------------------------\|------------------------------\| \| Joyce P. Brooks \| General Public \| Self-employed \| \| Exp. 9/30/2021 \| \| \| \| David Gaines \| Assoc. Utility Contractors of Maryland \| Gaines and Company \| \| Exp. 09/30/2022 \| \| \| \| Paul Kwiatkowski \| MACo \| Howard County \| \| Vice Chairman \| \| \| \| Exp. 9/30/2021 \| \| \| \| Derek Shreves \| Maryland Municipal League \| Town of Sykesville Public Works \| \| Exp. 9/30/2022 \| \| \| \| Michael J. Jewell \| Underground Facility Owner \| Columbia Gas \| \| Chairman \| \| \| \| Exp. 9/30/2022 \| \| \| \| Tamara Neal \| Underground Facilities Owner \| Washington Gas \| \| Treasurer \| \| \| \| Exp. 9/30/2021 \| \| \| \| Erik L. Philips \| Underground Utility Locator \| Utiliquest \| \| Exp. 9/30/2021 \| \| \| \| Kellyn H. Ruddy \| One Call Centers \| One Call Concepts, Inc. \| \| Secretary \| \| \| \| Exp. 9/30/2021 \| \| \| \| Amber D. Brengel \| Public Works Contractors Association \| Beltsville Construction Supply \| \| Exp. 9/30/2021 \| \| \| --- 2 Public Utilities Article §12-107. Membership – All Authority members are appointed by the Governor of Maryland and must represent specific entities and organizations. The Authority strives for diversity in its membership (geographically, racially and sexual orientation) in order to best represent the State of Maryland and its people. 2021 Authority Meeting Calendar Miss Utility Conference Center 7223 Parkway Drive, Hanover, Maryland ALL OPEN SESSIONS BEGIN AT 9:00 A.M. (Hearings on Probable Violations are held during the open portion of the meetings) \| Date \| Event \| Location \| \|--------------------\|----------------------------------------------------------------------\|---------------------------\| \| Wednesday January 6th \| Open Session & Closed Executive Session (1st Quarter Business Mtg & Election of Officers) \| \| \| General Assembly \| January 13th - April 14th \| Annapolis, MD \| \| Wednesday February 3rd \| Public Hearings & Closed Executive Session \| \| \| Wednesday March 3rd \| Closed Executive Session \| \| \| Wednesday April 7th \| Open Session & Closed Executive Session (2nd Quarter Business Mtg) \| \| \| Wednesday May 5th \| Public Hearings & Closed Executive Session \| \| \| Wednesday June 2nd \| Closed Executive Session \| \| \| MML Conference \| June 27th – 30th \| Ocean City, MD \| \| Wednesday July 7th \| Open Session & Closed Executive Session (3rd Quarter Business mtg.) \| \| \| Tawes Crab Feast \| July 21st \| Crisfield, MD \| \| Wednesday August \| Cancelled/Office Closed \| \| \| MACo Conference \| August 18th – 21st \| Ocean City, MD \| \| Wednesday September 1st \| Public Hearings & Closed Executive Session \| \| \| Wednesday October 6th \| Open Session & Closed Executive Session (4th Quarter Business Mtg.) \| \| \| CGA Conference \| October 12th – 15th \| Orlando, FL \| \| GCDPC \| October 26th – 29th \| Ocean City, MD \| \| Wednesday November 3rd \| Public Hearings & Closed Executive Session \| \| \| Wednesday December 1st \| Closed Executive Session \| \| 2020 Challenges As with all things, Covid-19 has had an immense impact on the Authority. Our offices have been closed since March of 2020, with all staff working remotely. While this arrangement has worked well, it does not replace the day-to-day personal interaction which makes for smoother communication and a creative atmosphere. Many of the Authority’s ongoing projects have been slowed due to the limited availability of project consultant’s during the pandemic. Of great concern to the Authority is the marked reduction of NPV’s filed in 2020. Just forty-five (45) Notices of Probable (NPVs) were submitted compared to sixty-one (61) in 2019 and ninety-four (94) in 2018. The 2020 NPV breakdown is as follows: Twenty-five (25) NPVs were file by Facility Owners (18 each; §12-124 – No Ticket; 7 each; §12-127 – Duties of Excavator). One encouraging change was a marked increase in the number of NPVs filed by Contractors. Nineteen (19) were filed in 2020 with all of them being marking violations. The Authority also had one (1) NPV submitted by a Homeowner (§12-124 – No Ticket). Some of this could be Covid-19 related, but we have observed this trend over the past three years. Unfortunately, there is little the Authority can do to compel companies to file NPVs. This will remain the case until mandatory reporting becomes part of the statute. However, there is little interest on the part of the Facility Owners to see this requirement become law. Though ticket volumes remain at a pre-Covid high, the industry has been severely affected by key shortages in the contract locating arena, which is of course is the driver of construction schedules. There is growing concern on the part of utility contractors and facility owners about the situation. Marking delays are very costly, both in overhead and timelines. Covid has had a direct impact on the locating industry in that this is an in-person activity which must adhere to specific rules laid out in the Title XII Statute and the One-Call Center’s ticket rules and requirements. Unfortunately, industry workers continue to get sick and must quarantine and, in many cases, there is no-one available to fill-in for the day or days the technician is unavailable. As a reactive enforcement agency, the Authority has little ability to affect outcomes when these marking delays occur. During the course of a normal year, the Authority participates in a number of national, state, and local conferences, provides insight, and updates to organizations and participates in training events. A majority of these activities were either cancelled or postponed, therefore the Authority’s usual active outreach programs and efforts were seriously curtailed. Once things begin to normalize, the Authority fully intends to re-double its outreach and in-person educational efforts. 2020 Accomplishments • The Authority met seven (7) times during the 2020 calendar year (down from eleven (11) in 2019). Of the seven meetings two (2) were in person and the other five (5) were conducted via Zoom. Four (4) of these meetings were open to the public as required by statute and three (3) were Closed Executive sessions held for personnel and judicial deliberations. In addition, one formal hearing was held at the March open meeting. There have also been six (6) requests for hearings, which have not yet been scheduled. The Authority reviewed forty-two (42) probable violations during this period. Of those forty-two NPV’s, nine (9) were carried over from 2019. The remaining thirty-three (33) violations were received, reviewed, and acted upon in 2020. Three (3) NPV’s were dismissed for insufficient evidence and two (2) NPV’s were withdrawn by the complainant. • The total fines assessed in 2020 were $41,360. The Authority also recommended Title XII Damage Prevention Safety training to all companies in violation of the statute or required written policy statements in order to mitigate internal shortfalls to their damage prevention programs. The Authority provides Damage Prevention Training via the MD/DC DPC at no charge to the violator). In calendar year 2020, the Authority has collected $39,440 in fines and spent $27,140 on Education and Outreach Initiatives. These dollar figures represent an improvement in fine collections over the past several years. Generally, the Authority is able to recoup approximately 50% of the exacted fines. • Despite an uptick nationwide in underground facility damages, Maryland remains one of the states with the lowest “hit rate.” – .17%; percent damages per 1000 Miss Utility tickets last reporting period (2020). • The Authority received a $97,000 PHMSA - State Damage Prevention (SDP) grant which was used to complete work on the new website launch and the development of two (2) mobile apps (android & apple), which will allow easy access for industry workers in the field who wish to look up sections of the Title XII statute, obtain up to the minute information about damage trends, pay fines and even file NPV’s. • The remainder of the 2020 grant will be used to develop a testing platform for the Authority’s on-line training program. Since education and the enforcement are key elements of the Maryland state damage prevention program, the Damage Prevention Training program must be as comprehensive as current funding levels allow. Plans for the platform include instructive videos, section overviews of the Title XII statute, section quizzes, and a certificate of course completion. All of these features will be available on the Authority website free of charge to any interested party in both English and Spanish. The estimated launch of the program will be the fall of 2021. Additional funds are being applied for in the 2021 PHMSA SDP grant to complete the project. • The Pipeline and Hazardous Material Safety Administration (PHMSA) which is a division of the United States Department of Transportation, once again evaluated the Authority for the 2018 State Damage Prevention Program for “Adequacy” in 2019. This review was the fourth annual evaluation for the Authority. Once again, the Authority received an “Adequate” rating (highest level) for its program, scoring 252 out of 258 points. • Our major focus for 2019, which continued into 2020, was the complete overhaul of the Authority’s website which will be more robust, interactive with instructional videos and a number of safety related subjects. The Authority launched their new website on August 1, 2020 (811 day). Since the launch, www.mddpa.org has received an astonishing number of visits, which last at least 3 minutes, which by industry standards is considered successful. The website is to have a Case Management System (CSM) tool built into it, which would allow for ease in reporting violations, information sharing and report generation. Unfortunately, the CMS portion of the project has been delayed due to issue with data corruption and coding issues. Late 2021 is the new target. This extensive undertaking was made possible by the Authority’s success in obtaining grants from PHMSA for special projects. • The Authority’s emphasis continues to focus on enforcement as required by changes to the Federal Rules governing the State-based Compliance programs (Rule 9). As a result, a permanent funding source for the Authority’s day-to-day operations was needed, since the Authority is an independent agency and does not receive taxpayer funding.$^3$ Thus, during the ten (10) month reporting period in 2020 the Authority received $188,554.83, which was a $14,210.68 increase of the previous year. • The Title XII law has been in effect for nearly ten (10) years, with very few changes over the ensuing years. In order to modernize the law and correct unexpected consequences or deficiencies in the statute, the Authority filed SB 877 (Sen. Feldman, D-Montgomery County – Dist. 15) during the current legislative session. The Initiative also had a companion bill in the House of Delegates HB1330, sponsored by Economic Matters Chairman, Dereck Davis, D- Prince Georges County – Dist. 25. A working group comprised of the Maryland subscriber’s group (underground facility owners/operators) and other stakeholders; the Authority undertook the facilitation of the complete overhaul of the Title XII statute. Senate Bill 877 was passed during the 2020 session of the MD legislature. However, suffered a veto by the Governor due to fiscal concerns. To-date, Senate Bill 877 has had a successful over-ride vote in the Senate and is awaiting action in the House. If SB 877 prevails, the Authority will begin the task of educating the industry on the pertinent changes to the law, utilizing its new on-line tools as well as traditional literature and training sessions once in person meetings resume. $^3$ The 2016 Maryland legislature approved the Authority’s request for a dedicated revenue stream (HB696/SB480) which is generated by a .05 cent surcharge on all out-going Miss Utility tickets. ### Damages for 2019 \| Category \| Count \| Percentage \| \|---------------------------------\|-------\|------------\| \| Failed to Call Miss Utility \| 168 \| 17.9% \| \| Marked Properly and Still Were Hit \| 437 \| 46.6% \| \| Operator Error \| 333 \| 35.5% \| \| Total \| 938 \| 100% \| ### Damages for State 2019 - Failed to Call Miss Utility: 17.9% - Marked Properly and Still Were Hit: 46.6% - Operator Error: 35.5% --- ### Damages for 2018 \| Category \| Count \| Percentage \| \|---------------------------------\|-------\|------------\| \| Failed to Call Miss Utility \| 237 \| 23.6% \| \| Marked Properly and Still Were Hit \| 438 \| 43.5% \| \| Operator Error \| 331 \| 32.9% \| \| Total \| 1006 \| 100% \| ### Damages for State 2018 - Failed to Call Miss Utility: 23.6% - Marked Properly and Still Were Hit: 43.5% - Operator Error: 32.9% --- $^4$ Source: Maryland Public Service Commission Annual Report. \| Number of Damages per 1,000 Locates \| YEAR \| \|------------------------------------\|------\| \| 2.86 \| 2011 \| \| 1.93 \| 2012 \| \| 1.71 \| 2013 \| \| 1.17 \| 2014 \| \| 1.25 \| 2015 \| \| 1.15 \| 2016 \| \| 1.13 \| 2017 \| \| 1.35 \| 2018 \| \| 1.42 \| 2019 \| Source: Maryland Public Service Commission 2019 Annual Report. Table B Excavation Damage Trend Number of Damages per 1,000 Locates Year - 2011: 2.8 - 2012: 1.9 - 2013: 1.7 - 2014: 1.2 - 2015: 1.3 - 2016: 1.2 - 2017: 1.1 - 2018: 1.3 - 2019: 1.4 Number of Damages per 1,000 Locates Linear (Number of Damages per 1,000 Locates) ## 2020 County by County Damages ### 2020 MD/DC Subscribers Damage Summary Report \| County \| Reported Ticket Volume \| Main \| Service \| No Call or Ticket \| Hit Marked Line \| Line Marked Wrong \| Other \| \|--------------\|------------------------\|------\|---------\|-------------------\|-----------------\|-------------------\|-------\| \| Allegany \| 24,214 \| 4 \| 18 \| 6 \| 8 \| 4 \| 4 \| \| Anne Arundel \| 14,570 \| 1 \| 0 \| 0 \| 0 \| 0 \| 1 \| \| Balt City \| 13,388 \| 2 \| 0 \| 0 \| 0 \| 0 \| 1 \| \| Balt County \| 13,437 \| 1 \| 0 \| 0 \| 1 \| 0 \| 0 \| \| Calvert \| 12,593 \| 7 \| 6 \| 7 \| 3 \| 4 \| 0 \| \| Carroll \| 8,277 \| 3 \| 2 \| 4 \| 1 \| 0 \| 0 \| \| Cecil \| 1,492 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Charles \| 40,437 \| 8 \| 16 \| 11 \| 5 \| 6 \| 2 \| \| Frederick \| 83,572 \| 21 \| 30 \| 15 \| 15 \| 13 \| 8 \| \| Garrett \| 8,080 \| 7 \| 4 \| 3 \| 2 \| 4 \| 2 \| \| Harford \| 30,356 \| 2 \| 0 \| 1 \| 0 \| 1 \| 0 \| \| Howard \| 7,015 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Montgomery \| 452,568 \| 76 \| 234 \| 70 \| 105 \| 107 \| 24 \| \| Prince Georges \| 349,699 \| 59 \| 188 \| 68 \| 91 \| 77 \| 14 \| \| St. Mary's \| 22,607 \| 8 \| 12 \| 9 \| 9 \| 3 \| 0 \| \| Washington \| 19,134 \| 6 \| 10 \| 6 \| 8 \| 1 \| 1 \| \| Wash DC NE \| 52,113 \| 12 \| 32 \| 16 \| 16 \| 10 \| 2 \| \| Wash DC NW \| 99,658 \| 20 \| 79 \| 30 \| 44 \| 20 \| 5 \| \| Wash DC SE \| 40,429 \| 13 \| 23 \| 8 \| 13 \| 12 \| 3 \| \| Wash DC SW \| 12,321 \| 4 \| 2 \| 1 \| 2 \| 1 \| 2 \| ### County Ratio Damages per 1000 Locates \| County \| Ratio \| \|--------------\|-------\| \| Allegany \| 0.9 \| \| Anne Arundel \| 0.1 \| \| Balt City \| 0.1 \| \| Balt County \| 0.1 \| \| Calvert \| 1.0 \| \| Carroll \| 0.6 \| \| Cecil \| 0.0 \| \| Charles \| 0.6 \| \| Frederick \| 0.6 \| \| Garrett \| 1.4 \| \| Harford \| 0.1 \| \| Howard \| 0.0 \| \| Montgomery \| 0.7 \| \| Prince Georges \| 0.7 \| \| St. Mary's \| 0.9 \| \| Washington \| 0.8 \| \| Wash DC NE \| 0.8 \| \| Wash DC NW \| 1.0 \| \| Wash DC SE \| 0.9 \| \| Wash DC SW \| 0.5 \| --- 6 Source: Miss Utility Voluntary Damage Reporting Program. \| Member Reported Tickets \| 1,305,960 \| 254 \| 656 \| 255 \| 323 \| 263 \| 69 \| 910 \| \|-------------------------\|-----------\|-----\|-----\|-----\|-----\|-----\|----\|-----\| \| Call Center Released Tickets \| 5,367,378 \| \| \| \| \| \| \| \| \| Total Damages \| 910 \| \| \| \| \| \| \| \| \| Reporting % \| 24.33% \| \| \| \| \| \| \| \| \| # Tickets \| Damages per 10,000 Tickets Received \| \|-----------\|-------------------------------------\| \| Reported Tickets \| 1,305,960 \| 1.95 \| 2.47 \| 2.01 \| 0.53 \| 6.97 \| \| Total Tickets \| 5,367,378 \| 0.48 \| 0.60 \| 0.49 \| 0.13 \| 1.70 \| \| # Tickets \| Damages per 1,000 Tickets Received \| \|-----------\|-----------------------------------\| \| Reported Tickets \| 1,305,960 \| 0.20 \| 0.25 \| 0.20 \| 0.05 \| 0.70 \| \| Total Tickets \| 5,367,378 \| 0.05 \| 0.06 \| 0.05 \| 0.01 \| 0.17 \| Determination of Adequacy of One-Call Law Enforcement Programs from 2019 Audits As of April 29, 2020 - Green: Adequate (43) - Red: Inadequate (9) Map produced April 29, 2020 by the U.S. Department of Transportation (U.S. DOT), Pipeline and Hazardous Materials Safety Administration (PHMSA) Map provided as a reference only. PHMSA makes no representations or warranties of any kind, express or implied, about the completeness, accuracy, reliability, suitability or availability with respect to this map for any purpose. PHMSA expressly disclaims liability for errors and omissions in the contents of this map. Source: USDOT – Pipeline and Hazardous Materials Safety Administration, 2020 Audit Results On November 21, 2019, a representative of the U.S. Department of Transportation’s Pipeline and Hazardous Materials Safety Administration (PHMSA) conducted an evaluation of Maryland’s enforcement of its excavation damage prevention law. PHMSA conducted this evaluation pursuant to 49 United States Code § 60114 and 49 Code of Federal Regulations Part 198, Subpart D -- State Damage Prevention Enforcement Programs. Based on this evaluation, PHMSA has determined that the enforcement of Maryland’s excavation damage prevention law is “adequate.” As you may be aware, excavation damage continues to be a leading cause of pipeline failures, some of which have resulted in fatalities, serious injuries, and environmental damage. Nationwide statistics show that effective enforcement of state damage prevention laws reduces excavation damage and pipeline incidents, resulting in enhanced public safety. In closing, PHMSA appreciates your dedication to safety and encourages the Maryland Underground Facilities Damage Prevention Authority to continue to support damage prevention outreach initiatives that promote 811 and safe digging practices. Should you have any questions regarding this letter, please contact Dr. Christie Murray, our Director of Outreach and Engagement, at (202) 366-4996 or by email at [email protected]. Sincerely, Massoud Tahamtani Deputy Associate Administrator, Policy and Programs Office of Pipeline Safety cc: Ms. Susan Ann Mary Stroud, Deputy Director, Maryland Underground Facilities Damage Prevention Authority 811® Know what’s below. Call before you dig.	3,591	inside_word	law.	remove_one_sentence	<url> https://mddpa.org/wp-content/uploads/2021/02/10th-Annual-Report-to-Governor-2021.pdf </url> <text> 10th Annual Report to the Governor and the General Assembly of Maryland 2021 MARYLAND UNDERGROUND FACILITIES DAMAGE PREVENTION AUTHORITY 2020 State Damage Prevention Program Review The Maryland Underground Facilities Damage Prevention Authority (the Authority) 7223 Parkway Drive, Suite 100, Hanover, Maryland 21076 Phone: 410-782-2102 web address: www.mddpa.org Staff: James A. Barron, Executive Director Phone: 410-782-2102 Email: [email protected] Susan A. M. Stroud, Deputy Director Phone: 410-782-2103 Email: [email protected] Deena L. Madore, Data Manager Phone: 410-782-2104 Email: [email protected] Bruce C. Bereano, Consultant Phone: 410-267-0410 Email: [email protected] On the cover: 2020 natural gas explosion event August 10, 2019 in Baltimore City, Maryland.... The August explosion that leveled these rowhomes in a Northwest Baltimore neighborhood, killing two, was caused by a large natural gas buildup the day after a contractor worked on an HVAC system in one of the homes, city officials said Tuesday. February 2021 The Honorable Larry Hogan State House 100 State Circle Annapolis, Maryland 21401 The Honorable William Ferguson President Senate of Maryland State House, H-107 Annapolis, Maryland 21401 The Honorable Adrienne A. Jones Speaker Maryland House of Delegates State House, H-101 Annapolis, Maryland 21401 Re: Report Required by Public Utilities Article §12-144 (MSAR#) Ladies and Gentlemen: As the 2021 Chair of the Maryland Underground Facilities Damage Prevention Authority, I submit this Tenth Annual Report to you. This document serves as an outline of the Authority's activities and accomplishments for the 2020 calendar year. Sincerely, Michael I. Jewell Chairman cc: Sarah Albert, Department of Legislative Services # TABLE OF CONTENTS - Letter of Transmittal from the Chairman of the Authority ........................................... 3 - Table of Contents ............................................................................................................. 4 - About the Authority ....................................................................................................... 5 - 2021 Authority Members & Officers ............................................................................... 6 - 2021 Authority Meeting Schedule .................................................................................. 7 - 2020 Challenges ............................................................................................................ 8 - 2020 Authority Accomplishments .................................................................................. 9 - 2019 – 2020 MD Damage Graphs ................................................................................ 11 - 2020 PHMSA Adequacy Audit ...................................................................................... 16 About the Maryland Authority The Maryland Underground Facilities Damage Prevention Authority (The Authority) was established in 2010 by the Maryland legislature (Senate Bill 911); which updated the existing Maryland Underground Facilities Damage Prevention Law, more commonly known as the “Miss Utility” or 811 law. The Authority is a peer driven organization, that has been authorized to enforce the Miss Utility law in the form of mandatory training or fines for violators. The Authority is an agency of the Executive Branch of Maryland State government; and acts as a quasi-judicial body governed by APA rules when reviewing and hearing violations of the 811 l<cursor_is_here> The Authority also has the ability to assess civil penalties. All fines collected by the Authority are used solely to underwrite its Educational and Outreach activities. The Authority is self-funded through a nominal surcharge on “Miss Utility” tickets. The Authority also competes annually for the U.S. Department of Transportation’s – Pipeline and Hazardous Materials Safety Administration (PHMSA) – State Damage Prevention grants, that help to support some Authority activities. The Authority does not receive any state funds or appropriations. The nine members of the Authority are appointed by the Governor to serve staggered two-year terms. As Authority members, these individuals sit as Administrative judges, when hearing and determining probable violations. They do not receive any compensation or any reimbursement for expenses. MARYLAND AUTHORITY MISSION STATEMENT¹ The Authority seeks to protect underground facilities of owners in the State of Maryland from destruction, damage, or dislocation to prevent: death or injury to individuals; property damage to private and public property; and the loss of services provided to the general public. To accomplish this, the Authority seeks to promote, enhance, and assist the State of Maryland in enforcing the Maryland underground utility damage enforcement, effective public education, and the constant knowledge that public safety through reduced damages is our prime concern. ¹ Pursuant to the legislative intent enacted by the Maryland General Assembly, as part of the State Underground Facilities law, Article Public Utilities, Title 12, Section 12-102, the mission statement adopted by the Authority in 2010. \| Name \| Organization \| Affiliation \| \|-----------------------------\|---------------------------------------------------\|------------------------------\| \| Joyce P. Brooks \| General Public \| Self-employed \| \| Exp. 9/30/2021 \| \| \| \| David Gaines \| Assoc. Utility Contractors of Maryland \| Gaines and Company \| \| Exp. 09/30/2022 \| \| \| \| Paul Kwiatkowski \| MACo \| Howard County \| \| Vice Chairman \| \| \| \| Exp. 9/30/2021 \| \| \| \| Derek Shreves \| Maryland Municipal League \| Town of Sykesville Public Works \| \| Exp. 9/30/2022 \| \| \| \| Michael J. Jewell \| Underground Facility Owner \| Columbia Gas \| \| Chairman \| \| \| \| Exp. 9/30/2022 \| \| \| \| Tamara Neal \| Underground Facilities Owner \| Washington Gas \| \| Treasurer \| \| \| \| Exp. 9/30/2021 \| \| \| \| Erik L. Philips \| Underground Utility Locator \| Utiliquest \| \| Exp. 9/30/2021 \| \| \| \| Kellyn H. Ruddy \| One Call Centers \| One Call Concepts, Inc. \| \| Secretary \| \| \| \| Exp. 9/30/2021 \| \| \| \| Amber D. Brengel \| Public Works Contractors Association \| Beltsville Construction Supply \| \| Exp. 9/30/2021 \| \| \| --- 2 Public Utilities Article §12-107. Membership – All Authority members are appointed by the Governor of Maryland and must represent specific entities and organizations. The Authority strives for diversity in its membership (geographically, racially and sexual orientation) in order to best represent the State of Maryland and its people. 2021 Authority Meeting Calendar Miss Utility Conference Center 7223 Parkway Drive, Hanover, Maryland ALL OPEN SESSIONS BEGIN AT 9:00 A.M. (Hearings on Probable Violations are held during the open portion of the meetings) \| Date \| Event \| Location \| \|--------------------\|----------------------------------------------------------------------\|---------------------------\| \| Wednesday January 6th \| Open Session & Closed Executive Session (1st Quarter Business Mtg & Election of Officers) \| \| \| General Assembly \| January 13th - April 14th \| Annapolis, MD \| \| Wednesday February 3rd \| Public Hearings & Closed Executive Session \| \| \| Wednesday March 3rd \| Closed Executive Session \| \| \| Wednesday April 7th \| Open Session & Closed Executive Session (2nd Quarter Business Mtg) \| \| \| Wednesday May 5th \| Public Hearings & Closed Executive Session \| \| \| Wednesday June 2nd \| Closed Executive Session \| \| \| MML Conference \| June 27th – 30th \| Ocean City, MD \| \| Wednesday July 7th \| Open Session & Closed Executive Session (3rd Quarter Business mtg.) \| \| \| Tawes Crab Feast \| July 21st \| Crisfield, MD \| \| Wednesday August \| Cancelled/Office Closed \| \| \| MACo Conference \| August 18th – 21st \| Ocean City, MD \| \| Wednesday September 1st \| Public Hearings & Closed Executive Session \| \| \| Wednesday October 6th \| Open Session & Closed Executive Session (4th Quarter Business Mtg.) \| \| \| CGA Conference \| October 12th – 15th \| Orlando, FL \| \| GCDPC \| October 26th – 29th \| Ocean City, MD \| \| Wednesday November 3rd \| Public Hearings & Closed Executive Session \| \| \| Wednesday December 1st \| Closed Executive Session \| \| 2020 Challenges As with all things, Covid-19 has had an immense impact on the Authority. Our offices have been closed since March of 2020, with all staff working remotely. While this arrangement has worked well, it does not replace the day-to-day personal interaction which makes for smoother communication and a creative atmosphere. Many of the Authority’s ongoing projects have been slowed due to the limited availability of project consultant’s during the pandemic. Of great concern to the Authority is the marked reduction of NPV’s filed in 2020. Just forty-five (45) Notices of Probable (NPVs) were submitted compared to sixty-one (61) in 2019 and ninety-four (94) in 2018. The 2020 NPV breakdown is as follows: Twenty-five (25) NPVs were file by Facility Owners (18 each; §12-124 – No Ticket; 7 each; §12-127 – Duties of Excavator). One encouraging change was a marked increase in the number of NPVs filed by Contractors. Nineteen (19) were filed in 2020 with all of them being marking violations. The Authority also had one (1) NPV submitted by a Homeowner (§12-124 – No Ticket). Some of this could be Covid-19 related, but we have observed this trend over the past three years. Unfortunately, there is little the Authority can do to compel companies to file NPVs. This will remain the case until mandatory reporting becomes part of the statute. However, there is little interest on the part of the Facility Owners to see this requirement become law. Though ticket volumes remain at a pre-Covid high, the industry has been severely affected by key shortages in the contract locating arena, which is of course is the driver of construction schedules. There is growing concern on the part of utility contractors and facility owners about the situation. Marking delays are very costly, both in overhead and timelines. Covid has had a direct impact on the locating industry in that this is an in-person activity which must adhere to specific rules laid out in the Title XII Statute and the One-Call Center’s ticket rules and requirements. Unfortunately, industry workers continue to get sick and must quarantine and, in many cases, there is no-one available to fill-in for the day or days the technician is unavailable. As a reactive enforcement agency, the Authority has little ability to affect outcomes when these marking delays occur. During the course of a normal year, the Authority participates in a number of national, state, and local conferences, provides insight, and updates to organizations and participates in training events. A majority of these activities were either cancelled or postponed, therefore the Authority’s usual active outreach programs and efforts were seriously curtailed. Once things begin to normalize, the Authority fully intends to re-double its outreach and in-person educational efforts. 2020 Accomplishments • The Authority met seven (7) times during the 2020 calendar year (down from eleven (11) in 2019). Of the seven meetings two (2) were in person and the other five (5) were conducted via Zoom. Four (4) of these meetings were open to the public as required by statute and three (3) were Closed Executive sessions held for personnel and judicial deliberations. In addition, one formal hearing was held at the March open meeting. There have also been six (6) requests for hearings, which have not yet been scheduled. The Authority reviewed forty-two (42) probable violations during this period. Of those forty-two NPV’s, nine (9) were carried over from 2019. The remaining thirty-three (33) violations were received, reviewed, and acted upon in 2020. Three (3) NPV’s were dismissed for insufficient evidence and two (2) NPV’s were withdrawn by the complainant. • The total fines assessed in 2020 were $41,360. The Authority also recommended Title XII Damage Prevention Safety training to all companies in violation of the statute or required written policy statements in order to mitigate internal shortfalls to their damage prevention programs. The Authority provides Damage Prevention Training via the MD/DC DPC at no charge to the violator). In calendar year 2020, the Authority has collected $39,440 in fines and spent $27,140 on Education and Outreach Initiatives. These dollar figures represent an improvement in fine collections over the past several years. Generally, the Authority is able to recoup approximately 50% of the exacted fines. • Despite an uptick nationwide in underground facility damages, Maryland remains one of the states with the lowest “hit rate.” – .17%; percent damages per 1000 Miss Utility tickets last reporting period (2020). • The Authority received a $97,000 PHMSA - State Damage Prevention (SDP) grant which was used to complete work on the new website launch and the development of two (2) mobile apps (android & apple), which will allow easy access for industry workers in the field who wish to look up sections of the Title XII statute, obtain up to the minute information about damage trends, pay fines and even file NPV’s. • The remainder of the 2020 grant will be used to develop a testing platform for the Authority’s on-line training program. Since education and the enforcement are key elements of the Maryland state damage prevention program, the Damage Prevention Training program must be as comprehensive as current funding levels allow. Plans for the platform include instructive videos, section overviews of the Title XII statute, section quizzes, and a certificate of course completion. All of these features will be available on the Authority website free of charge to any interested party in both English and Spanish. The estimated launch of the program will be the fall of 2021. Additional funds are being applied for in the 2021 PHMSA SDP grant to complete the project. • The Pipeline and Hazardous Material Safety Administration (PHMSA) which is a division of the United States Department of Transportation, once again evaluated the Authority for the 2018 State Damage Prevention Program for “Adequacy” in 2019. This review was the fourth annual evaluation for the Authority. Once again, the Authority received an “Adequate” rating (highest level) for its program, scoring 252 out of 258 points. • Our major focus for 2019, which continued into 2020, was the complete overhaul of the Authority’s website which will be more robust, interactive with instructional videos and a number of safety related subjects. The Authority launched their new website on August 1, 2020 (811 day). Since the launch, www.mddpa.org has received an astonishing number of visits, which last at least 3 minutes, which by industry standards is considered successful. The website is to have a Case Management System (CSM) tool built into it, which would allow for ease in reporting violations, information sharing and report generation. Unfortunately, the CMS portion of the project has been delayed due to issue with data corruption and coding issues. Late 2021 is the new target. This extensive undertaking was made possible by the Authority’s success in obtaining grants from PHMSA for special projects. • The Authority’s emphasis continues to focus on enforcement as required by changes to the Federal Rules governing the State-based Compliance programs (Rule 9). As a result, a permanent funding source for the Authority’s day-to-day operations was needed, since the Authority is an independent agency and does not receive taxpayer funding.$^3$ Thus, during the ten (10) month reporting period in 2020 the Authority received $188,554.83, which was a $14,210.68 increase of the previous year. • The Title XII law has been in effect for nearly ten (10) years, with very few changes over the ensuing years. In order to modernize the law and correct unexpected consequences or deficiencies in the statute, the Authority filed SB 877 (Sen. Feldman, D-Montgomery County – Dist. 15) during the current legislative session. The Initiative also had a companion bill in the House of Delegates HB1330, sponsored by Economic Matters Chairman, Dereck Davis, D- Prince Georges County – Dist. 25. A working group comprised of the Maryland subscriber’s group (underground facility owners/operators) and other stakeholders; the Authority undertook the facilitation of the complete overhaul of the Title XII statute. Senate Bill 877 was passed during the 2020 session of the MD legislature. However, suffered a veto by the Governor due to fiscal concerns. To-date, Senate Bill 877 has had a successful over-ride vote in the Senate and is awaiting action in the House. If SB 877 prevails, the Authority will begin the task of educating the industry on the pertinent changes to the law, utilizing its new on-line tools as well as traditional literature and training sessions once in person meetings resume. $^3$ The 2016 Maryland legislature approved the Authority’s request for a dedicated revenue stream (HB696/SB480) which is generated by a .05 cent surcharge on all out-going Miss Utility tickets. ### Damages for 2019 \| Category \| Count \| Percentage \| \|---------------------------------\|-------\|------------\| \| Failed to Call Miss Utility \| 168 \| 17.9% \| \| Marked Properly and Still Were Hit \| 437 \| 46.6% \| \| Operator Error \| 333 \| 35.5% \| \| Total \| 938 \| 100% \| ### Damages for State 2019 - Failed to Call Miss Utility: 17.9% - Marked Properly and Still Were Hit: 46.6% - Operator Error: 35.5% --- ### Damages for 2018 \| Category \| Count \| Percentage \| \|---------------------------------\|-------\|------------\| \| Failed to Call Miss Utility \| 237 \| 23.6% \| \| Marked Properly and Still Were Hit \| 438 \| 43.5% \| \| Operator Error \| 331 \| 32.9% \| \| Total \| 1006 \| 100% \| ### Damages for State 2018 - Failed to Call Miss Utility: 23.6% - Marked Properly and Still Were Hit: 43.5% - Operator Error: 32.9% --- $^4$ Source: Maryland Public Service Commission Annual Report. \| Number of Damages per 1,000 Locates \| YEAR \| \|------------------------------------\|------\| \| 2.86 \| 2011 \| \| 1.93 \| 2012 \| \| 1.71 \| 2013 \| \| 1.17 \| 2014 \| \| 1.25 \| 2015 \| \| 1.15 \| 2016 \| \| 1.13 \| 2017 \| \| 1.35 \| 2018 \| \| 1.42 \| 2019 \| Source: Maryland Public Service Commission 2019 Annual Report. Table B Excavation Damage Trend Number of Damages per 1,000 Locates Year - 2011: 2.8 - 2012: 1.9 - 2013: 1.7 - 2014: 1.2 - 2015: 1.3 - 2016: 1.2 - 2017: 1.1 - 2018: 1.3 - 2019: 1.4 Number of Damages per 1,000 Locates Linear (Number of Damages per 1,000 Locates) ## 2020 County by County Damages ### 2020 MD/DC Subscribers Damage Summary Report \| County \| Reported Ticket Volume \| Main \| Service \| No Call or Ticket \| Hit Marked Line \| Line Marked Wrong \| Other \| \|--------------\|------------------------\|------\|---------\|-------------------\|-----------------\|-------------------\|-------\| \| Allegany \| 24,214 \| 4 \| 18 \| 6 \| 8 \| 4 \| 4 \| \| Anne Arundel \| 14,570 \| 1 \| 0 \| 0 \| 0 \| 0 \| 1 \| \| Balt City \| 13,388 \| 2 \| 0 \| 0 \| 0 \| 0 \| 1 \| \| Balt County \| 13,437 \| 1 \| 0 \| 0 \| 1 \| 0 \| 0 \| \| Calvert \| 12,593 \| 7 \| 6 \| 7 \| 3 \| 4 \| 0 \| \| Carroll \| 8,277 \| 3 \| 2 \| 4 \| 1 \| 0 \| 0 \| \| Cecil \| 1,492 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Charles \| 40,437 \| 8 \| 16 \| 11 \| 5 \| 6 \| 2 \| \| Frederick \| 83,572 \| 21 \| 30 \| 15 \| 15 \| 13 \| 8 \| \| Garrett \| 8,080 \| 7 \| 4 \| 3 \| 2 \| 4 \| 2 \| \| Harford \| 30,356 \| 2 \| 0 \| 1 \| 0 \| 1 \| 0 \| \| Howard \| 7,015 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \| \| Montgomery \| 452,568 \| 76 \| 234 \| 70 \| 105 \| 107 \| 24 \| \| Prince Georges \| 349,699 \| 59 \| 188 \| 68 \| 91 \| 77 \| 14 \| \| St. Mary's \| 22,607 \| 8 \| 12 \| 9 \| 9 \| 3 \| 0 \| \| Washington \| 19,134 \| 6 \| 10 \| 6 \| 8 \| 1 \| 1 \| \| Wash DC NE \| 52,113 \| 12 \| 32 \| 16 \| 16 \| 10 \| 2 \| \| Wash DC NW \| 99,658 \| 20 \| 79 \| 30 \| 44 \| 20 \| 5 \| \| Wash DC SE \| 40,429 \| 13 \| 23 \| 8 \| 13 \| 12 \| 3 \| \| Wash DC SW \| 12,321 \| 4 \| 2 \| 1 \| 2 \| 1 \| 2 \| ### County Ratio Damages per 1000 Locates \| County \| Ratio \| \|--------------\|-------\| \| Allegany \| 0.9 \| \| Anne Arundel \| 0.1 \| \| Balt City \| 0.1 \| \| Balt County \| 0.1 \| \| Calvert \| 1.0 \| \| Carroll \| 0.6 \| \| Cecil \| 0.0 \| \| Charles \| 0.6 \| \| Frederick \| 0.6 \| \| Garrett \| 1.4 \| \| Harford \| 0.1 \| \| Howard \| 0.0 \| \| Montgomery \| 0.7 \| \| Prince Georges \| 0.7 \| \| St. Mary's \| 0.9 \| \| Washington \| 0.8 \| \| Wash DC NE \| 0.8 \| \| Wash DC NW \| 1.0 \| \| Wash DC SE \| 0.9 \| \| Wash DC SW \| 0.5 \| --- 6 Source: Miss Utility Voluntary Damage Reporting Program. \| Member Reported Tickets \| 1,305,960 \| 254 \| 656 \| 255 \| 323 \| 263 \| 69 \| 910 \| \|-------------------------\|-----------\|-----\|-----\|-----\|-----\|-----\|----\|-----\| \| Call Center Released Tickets \| 5,367,378 \| \| \| \| \| \| \| \| \| Total Damages \| 910 \| \| \| \| \| \| \| \| \| Reporting % \| 24.33% \| \| \| \| \| \| \| \| \| # Tickets \| Damages per 10,000 Tickets Received \| \|-----------\|-------------------------------------\| \| Reported Tickets \| 1,305,960 \| 1.95 \| 2.47 \| 2.01 \| 0.53 \| 6.97 \| \| Total Tickets \| 5,367,378 \| 0.48 \| 0.60 \| 0.49 \| 0.13 \| 1.70 \| \| # Tickets \| Damages per 1,000 Tickets Received \| \|-----------\|-----------------------------------\| \| Reported Tickets \| 1,305,960 \| 0.20 \| 0.25 \| 0.20 \| 0.05 \| 0.70 \| \| Total Tickets \| 5,367,378 \| 0.05 \| 0.06 \| 0.05 \| 0.01 \| 0.17 \| Determination of Adequacy of One-Call Law Enforcement Programs from 2019 Audits As of April 29, 2020 - Green: Adequate (43) - Red: Inadequate (9) Map produced April 29, 2020 by the U.S. Department of Transportation (U.S. DOT), Pipeline and Hazardous Materials Safety Administration (PHMSA) Map provided as a reference only. PHMSA makes no representations or warranties of any kind, express or implied, about the completeness, accuracy, reliability, suitability or availability with respect to this map for any purpose. PHMSA expressly disclaims liability for errors and omissions in the contents of this map. Source: USDOT – Pipeline and Hazardous Materials Safety Administration, 2020 Audit Results On November 21, 2019, a representative of the U.S. Department of Transportation’s Pipeline and Hazardous Materials Safety Administration (PHMSA) conducted an evaluation of Maryland’s enforcement of its excavation damage prevention law. PHMSA conducted this evaluation pursuant to 49 United States Code § 60114 and 49 Code of Federal Regulations Part 198, Subpart D -- State Damage Prevention Enforcement Programs. Based on this evaluation, PHMSA has determined that the enforcement of Maryland’s excavation damage prevention law is “adequate.” As you may be aware, excavation damage continues to be a leading cause of pipeline failures, some of which have resulted in fatalities, serious injuries, and environmental damage. Nationwide statistics show that effective enforcement of state damage prevention laws reduces excavation damage and pipeline incidents, resulting in enhanced public safety. In closing, PHMSA appreciates your dedication to safety and encourages the Maryland Underground Facilities Damage Prevention Authority to continue to support damage prevention outreach initiatives that promote 811 and safe digging practices. Should you have any questions regarding this letter, please contact Dr. Christie Murray, our Director of Outreach and Engagement, at (202) 366-4996 or by email at [email protected]. Sincerely, Massoud Tahamtani Deputy Associate Administrator, Policy and Programs Office of Pipeline Safety cc: Ms. Susan Ann Mary Stroud, Deputy Director, Maryland Underground Facilities Damage Prevention Authority 811® Know what’s below. Call before you dig. </text>	[ { "content": "<url>\nhttps://mddpa.org/wp-content/uploads/2021/02/10th-Annual-Report-to-Governor-2021.pdf\n</url>\n<text>\n10th Annual Report to the Governor and the General Assembly of Maryland\n\n2021\n\nMARYLAND UNDERGROUND FACILITIES DAMAGE PREVENTION AUTHORITY\n2020 State Damage Prevention Program Review\n\nThe Maryland Underground Facilities Damage Prevention Authority (the Authority)\n7223 Parkway Drive, Suite 100, Hanover, Maryland 21076\nPhone: 410-782-2102 web address: www.mddpa.org\n\nStaff:\n\nJames A. Barron, Executive Director\nPhone: 410-782-2102\nEmail: [email protected]\n\nSusan A. M. Stroud, Deputy Director\nPhone: 410-782-2103\nEmail: [email protected]\n\nDeena L. Madore, Data Manager\nPhone: 410-782-2104\nEmail: [email protected]\n\nBruce C. Bereano, Consultant\nPhone: 410-267-0410\nEmail: [email protected]\n\nOn the cover: 2020 natural gas explosion event August 10, 2019 in Baltimore City, Maryland....\nThe August explosion that leveled these rowhomes in a Northwest Baltimore neighborhood, killing two, was caused by a large natural gas buildup the day after a contractor worked on an HVAC system in one of the homes, city officials said Tuesday.\n\nFebruary 2021\n\nThe Honorable Larry Hogan \nState House \n100 State Circle \nAnnapolis, Maryland 21401\n\nThe Honorable William Ferguson \nPresident \nSenate of Maryland \nState House, H-107 \nAnnapolis, Maryland 21401\n\nThe Honorable Adrienne A. Jones \nSpeaker \nMaryland House of Delegates \nState House, H-101 \nAnnapolis, Maryland 21401\n\nRe: Report Required by Public Utilities Article §12-144 (MSAR#)\n\nLadies and Gentlemen:\n\nAs the 2021 Chair of the Maryland Underground Facilities Damage Prevention Authority, I submit this Tenth Annual Report to you. This document serves as an outline of the Authority's activities and accomplishments for the 2020 calendar year.\n\nSincerely,\n\nMichael I. Jewell \nChairman\n\ncc: Sarah Albert, Department of Legislative Services\n\n# TABLE OF CONTENTS\n\n- Letter of Transmittal from the Chairman of the Authority ........................................... 3\n- Table of Contents ............................................................................................................. 4\n- About the Authority ....................................................................................................... 5\n- 2021 Authority Members & Officers ............................................................................... 6\n- 2021 Authority Meeting Schedule .................................................................................. 7\n- 2020 Challenges ............................................................................................................ 8\n- 2020 Authority Accomplishments .................................................................................. 9\n- 2019 – 2020 MD Damage Graphs ................................................................................ 11\n- 2020 PHMSA Adequacy Audit ...................................................................................... 16\n\nAbout the Maryland Authority\n\nThe Maryland Underground Facilities Damage Prevention Authority (The Authority) was established in 2010 by the Maryland legislature (Senate Bill 911); which updated the existing Maryland Underground Facilities Damage Prevention Law, more commonly known as the “Miss Utility” or 811 law. The Authority is a peer driven organization, that has been authorized to enforce the Miss Utility law in the form of mandatory training or fines for violators.\n\nThe Authority is an agency of the Executive Branch of Maryland State government; and acts as a quasi-judicial body governed by APA rules when reviewing and hearing violations of the 811 l<cursor_is_here> The Authority also has the ability to assess civil penalties. All fines collected by the Authority are used solely to underwrite its Educational and Outreach activities.\n\nThe Authority is self-funded through a nominal surcharge on “Miss Utility” tickets. The Authority also competes annually for the U.S. Department of Transportation’s – Pipeline and Hazardous Materials Safety Administration (PHMSA) – State Damage Prevention grants, that help to support some Authority activities. The Authority does not receive any state funds or appropriations.\n\nThe nine members of the Authority are appointed by the Governor to serve staggered two-year terms. As Authority members, these individuals sit as Administrative judges, when hearing and determining probable violations. They do not receive any compensation or any reimbursement for expenses.\n\nMARYLAND AUTHORITY MISSION STATEMENT¹\n\nThe Authority seeks to protect underground facilities of owners in the State of Maryland from destruction, damage, or dislocation to prevent: death or injury to individuals; property damage to private and public property; and the loss of services provided to the general public.\n\nTo accomplish this, the Authority seeks to promote, enhance, and assist the State of Maryland in enforcing the Maryland underground utility damage enforcement, effective public education, and the constant knowledge that public safety through reduced damages is our prime concern.\n\n¹ Pursuant to the legislative intent enacted by the Maryland General Assembly, as part of the State Underground Facilities law, Article Public Utilities, Title 12, Section 12-102, the mission statement adopted by the Authority in 2010.\n\n\| Name \| Organization \| Affiliation \|\n\|-----------------------------\|---------------------------------------------------\|------------------------------\|\n\| Joyce P. Brooks \| General Public \| Self-employed \|\n\| Exp. 9/30/2021 \| \| \|\n\| David Gaines \| Assoc. Utility Contractors of Maryland \| Gaines and Company \|\n\| Exp. 09/30/2022 \| \| \|\n\| Paul Kwiatkowski \| MACo \| Howard County \|\n\| Vice Chairman \| \| \|\n\| Exp. 9/30/2021 \| \| \|\n\| Derek Shreves \| Maryland Municipal League \| Town of Sykesville Public Works \|\n\| Exp. 9/30/2022 \| \| \|\n\| Michael J. Jewell \| Underground Facility Owner \| Columbia Gas \|\n\| Chairman \| \| \|\n\| Exp. 9/30/2022 \| \| \|\n\| Tamara Neal \| Underground Facilities Owner \| Washington Gas \|\n\| Treasurer \| \| \|\n\| Exp. 9/30/2021 \| \| \|\n\| Erik L. Philips \| Underground Utility Locator \| Utiliquest \|\n\| Exp. 9/30/2021 \| \| \|\n\| Kellyn H. Ruddy \| One Call Centers \| One Call Concepts, Inc. \|\n\| Secretary \| \| \|\n\| Exp. 9/30/2021 \| \| \|\n\| Amber D. Brengel \| Public Works Contractors Association \| Beltsville Construction Supply \|\n\| Exp. 9/30/2021 \| \| \|\n\n---\n\n2 Public Utilities Article §12-107. Membership – All Authority members are appointed by the Governor of Maryland and must represent specific entities and organizations. The Authority strives for diversity in its membership (geographically, racially and sexual orientation) in order to best represent the State of Maryland and its people.\n\n2021 Authority Meeting Calendar\n\nMiss Utility Conference Center\n7223 Parkway Drive,\nHanover, Maryland\n\nALL OPEN SESSIONS BEGIN AT 9:00 A.M.\n(Hearings on Probable Violations are held during the open portion of the meetings)\n\n\| Date \| Event \| Location \|\n\|--------------------\|----------------------------------------------------------------------\|---------------------------\|\n\| Wednesday January 6th \| Open Session & Closed Executive Session (1st Quarter Business Mtg & Election of Officers) \| \|\n\| General Assembly \| January 13th - April 14th \| Annapolis, MD \|\n\| Wednesday February 3rd \| Public Hearings & Closed Executive Session \| \|\n\| Wednesday March 3rd \| Closed Executive Session \| \|\n\| Wednesday April 7th \| Open Session & Closed Executive Session (2nd Quarter Business Mtg) \| \|\n\| Wednesday May 5th \| Public Hearings & Closed Executive Session \| \|\n\| Wednesday June 2nd \| Closed Executive Session \| \|\n\| MML Conference \| June 27th – 30th \| Ocean City, MD \|\n\| Wednesday July 7th \| Open Session & Closed Executive Session (3rd Quarter Business mtg.) \| \|\n\| Tawes Crab Feast \| July 21st \| Crisfield, MD \|\n\| Wednesday August \| Cancelled/Office Closed \| \|\n\| MACo Conference \| August 18th – 21st \| Ocean City, MD \|\n\| Wednesday September 1st \| Public Hearings & Closed Executive Session \| \|\n\| Wednesday October 6th \| Open Session & Closed Executive Session (4th Quarter Business Mtg.) \| \|\n\| CGA Conference \| October 12th – 15th \| Orlando, FL \|\n\| GCDPC \| October 26th – 29th \| Ocean City, MD \|\n\| Wednesday November 3rd \| Public Hearings & Closed Executive Session \| \|\n\| Wednesday December 1st \| Closed Executive Session \| \|\n\n2020 Challenges\n\nAs with all things, Covid-19 has had an immense impact on the Authority. Our offices have been closed since March of 2020, with all staff working remotely. While this arrangement has worked well, it does not replace the day-to-day personal interaction which makes for smoother communication and a creative atmosphere. Many of the Authority’s ongoing projects have been slowed due to the limited availability of project consultant’s during the pandemic.\n\nOf great concern to the Authority is the marked reduction of NPV’s filed in 2020. Just forty-five (45) Notices of Probable (NPVs) were submitted compared to sixty-one (61) in 2019 and ninety-four (94) in 2018. The 2020 NPV breakdown is as follows: Twenty-five (25) NPVs were file by Facility Owners (18 each; §12-124 – No Ticket; 7 each; §12-127 – Duties of Excavator). One encouraging change was a marked increase in the number of NPVs filed by Contractors. Nineteen (19) were filed in 2020 with all of them being marking violations. The Authority also had one (1) NPV submitted by a Homeowner (§12-124 – No Ticket). Some of this could be Covid-19 related, but we have observed this trend over the past three years. Unfortunately, there is little the Authority can do to compel companies to file NPVs. This will remain the case until mandatory reporting becomes part of the statute. However, there is little interest on the part of the Facility Owners to see this requirement become law.\n\nThough ticket volumes remain at a pre-Covid high, the industry has been severely affected by key shortages in the contract locating arena, which is of course is the driver of construction schedules. There is growing concern on the part of utility contractors and facility owners about the situation. Marking delays are very costly, both in overhead and timelines. Covid has had a direct impact on the locating industry in that this is an in-person activity which must adhere to specific rules laid out in the Title XII Statute and the One-Call Center’s ticket rules and requirements. Unfortunately, industry workers continue to get sick and must quarantine and, in many cases, there is no-one available to fill-in for the day or days the technician is unavailable. As a reactive enforcement agency, the Authority has little ability to affect outcomes when these marking delays occur.\n\nDuring the course of a normal year, the Authority participates in a number of national, state, and local conferences, provides insight, and updates to organizations and participates in training events. A majority of these activities were either cancelled or postponed, therefore the Authority’s usual active outreach programs and efforts were seriously curtailed. Once things begin to normalize, the Authority fully intends to re-double its outreach and in-person educational efforts.\n\n2020 Accomplishments\n\n• The Authority met seven (7) times during the 2020 calendar year (down from eleven (11) in 2019). Of the seven meetings two (2) were in person and the other five (5) were conducted via Zoom. Four (4) of these meetings were open to the public as required by statute and three (3) were Closed Executive sessions held for personnel and judicial deliberations. In addition, one formal hearing was held at the March open meeting. There have also been six (6) requests for hearings, which have not yet been scheduled. The Authority reviewed forty-two (42) probable violations during this period. Of those forty-two NPV’s, nine (9) were carried over from 2019. The remaining thirty-three (33) violations were received, reviewed, and acted upon in 2020. Three (3) NPV’s were dismissed for insufficient evidence and two (2) NPV’s were withdrawn by the complainant.\n\n• The total fines assessed in 2020 were $41,360. The Authority also recommended Title XII Damage Prevention Safety training to all companies in violation of the statute or required written policy statements in order to mitigate internal shortfalls to their damage prevention programs. The Authority provides Damage Prevention Training via the MD/DC DPC at no charge to the violator). In calendar year 2020, the Authority has collected $39,440 in fines and spent $27,140 on Education and Outreach Initiatives. These dollar figures represent an improvement in fine collections over the past several years. Generally, the Authority is able to recoup approximately 50% of the exacted fines.\n\n• Despite an uptick nationwide in underground facility damages, Maryland remains one of the states with the lowest “hit rate.” – .17%; percent damages per 1000 Miss Utility tickets last reporting period (2020).\n\n• The Authority received a $97,000 PHMSA - State Damage Prevention (SDP) grant which was used to complete work on the new website launch and the development of two (2) mobile apps (android & apple), which will allow easy access for industry workers in the field who wish to look up sections of the Title XII statute, obtain up to the minute information about damage trends, pay fines and even file NPV’s.\n\n• The remainder of the 2020 grant will be used to develop a testing platform for the Authority’s on-line training program. Since education and the enforcement are key elements of the Maryland state damage prevention program, the Damage Prevention Training program must be as comprehensive as current funding levels allow. Plans for the platform include instructive videos, section overviews of the Title XII statute, section quizzes, and a certificate of course completion. All of these features will be available on the Authority website free of charge to any interested party in both English and Spanish. The estimated launch of the program will be the fall of 2021. Additional funds are being applied for in the 2021 PHMSA SDP grant to complete the project.\n\n• The Pipeline and Hazardous Material Safety Administration (PHMSA) which is a division of the United States Department of Transportation, once again evaluated the Authority for the 2018 State Damage Prevention Program for “Adequacy” in 2019. This review was the fourth annual evaluation for the Authority. Once again, the Authority received an “Adequate” rating (highest level) for its program, scoring 252 out of 258 points.\n\n• Our major focus for 2019, which continued into 2020, was the complete overhaul of the Authority’s website which will be more robust, interactive with instructional videos and a number of safety related subjects. The Authority launched their new website on August 1, 2020 (811 day). Since the launch, www.mddpa.org has received an astonishing number of visits, which last at least 3 minutes, which by industry standards is considered successful. The website is to have a Case Management System (CSM) tool built into it, which would allow for ease in reporting violations, information sharing and report generation. Unfortunately, the CMS portion of the project has been delayed due to issue with data corruption and coding issues. Late 2021 is the new target. This extensive undertaking was made possible by the Authority’s success in obtaining grants from PHMSA for special projects.\n\n• The Authority’s emphasis continues to focus on enforcement as required by changes to the Federal Rules governing the State-based Compliance programs (Rule 9). As a result, a permanent funding source for the Authority’s day-to-day operations was needed, since the Authority is an independent agency and does not receive taxpayer funding.\$^3\$ Thus, during the ten (10) month reporting period in 2020 the Authority received $188,554.83, which was a $14,210.68 increase of the previous year.\n\n• The Title XII law has been in effect for nearly ten (10) years, with very few changes over the ensuing years. In order to modernize the law and correct unexpected consequences or deficiencies in the statute, the Authority filed SB 877 (Sen. Feldman, D-Montgomery County – Dist. 15) during the current legislative session. The Initiative also had a companion bill in the House of Delegates HB1330, sponsored by Economic Matters Chairman, Dereck Davis, D- Prince Georges County – Dist. 25. A working group comprised of the Maryland subscriber’s group (underground facility owners/operators) and other stakeholders; the Authority undertook the facilitation of the complete overhaul of the Title XII statute. Senate Bill 877 was passed during the 2020 session of the MD legislature. However, suffered a veto by the Governor due to fiscal concerns. To-date, Senate Bill 877 has had a successful over-ride vote in the Senate and is awaiting action in the House. If SB 877 prevails, the Authority will begin the task of educating the industry on the pertinent changes to the law, utilizing its new on-line tools as well as traditional literature and training sessions once in person meetings resume.\n\n\$^3\$ The 2016 Maryland legislature approved the Authority’s request for a dedicated revenue stream (HB696/SB480) which is generated by a .05 cent surcharge on all out-going Miss Utility tickets.\n\n### Damages for 2019\n\n\| Category \| Count \| Percentage \|\n\|---------------------------------\|-------\|------------\|\n\| Failed to Call Miss Utility \| 168 \| 17.9% \|\n\| Marked Properly and Still Were Hit \| 437 \| 46.6% \|\n\| Operator Error \| 333 \| 35.5% \|\n\| Total \| 938 \| 100% \|\n\n### Damages for State 2019\n\n- Failed to Call Miss Utility: 17.9%\n- Marked Properly and Still Were Hit: 46.6%\n- Operator Error: 35.5%\n\n---\n\n### Damages for 2018\n\n\| Category \| Count \| Percentage \|\n\|---------------------------------\|-------\|------------\|\n\| Failed to Call Miss Utility \| 237 \| 23.6% \|\n\| Marked Properly and Still Were Hit \| 438 \| 43.5% \|\n\| Operator Error \| 331 \| 32.9% \|\n\| Total \| 1006 \| 100% \|\n\n### Damages for State 2018\n\n- Failed to Call Miss Utility: 23.6%\n- Marked Properly and Still Were Hit: 43.5%\n- Operator Error: 32.9%\n\n---\n\n\$^4\$ Source: Maryland Public Service Commission Annual Report.\n\n\| Number of Damages per 1,000 Locates \| YEAR \|\n\|------------------------------------\|------\|\n\| 2.86 \| 2011 \|\n\| 1.93 \| 2012 \|\n\| 1.71 \| 2013 \|\n\| 1.17 \| 2014 \|\n\| 1.25 \| 2015 \|\n\| 1.15 \| 2016 \|\n\| 1.13 \| 2017 \|\n\| 1.35 \| 2018 \|\n\| 1.42 \| 2019 \|\n\nSource: Maryland Public Service Commission 2019 Annual Report.\n\nTable B\n\nExcavation Damage Trend\n\nNumber of Damages per 1,000 Locates\n\nYear\n\n- 2011: 2.8\n- 2012: 1.9\n- 2013: 1.7\n- 2014: 1.2\n- 2015: 1.3\n- 2016: 1.2\n- 2017: 1.1\n- 2018: 1.3\n- 2019: 1.4\n\nNumber of Damages per 1,000 Locates\n\nLinear (Number of Damages per 1,000 Locates)\n\n## 2020 County by County Damages\n\n### 2020 MD/DC Subscribers Damage Summary Report\n\n\| County \| Reported Ticket Volume \| Main \| Service \| No Call or Ticket \| Hit Marked Line \| Line Marked Wrong \| Other \|\n\|--------------\|------------------------\|------\|---------\|-------------------\|-----------------\|-------------------\|-------\|\n\| Allegany \| 24,214 \| 4 \| 18 \| 6 \| 8 \| 4 \| 4 \|\n\| Anne Arundel \| 14,570 \| 1 \| 0 \| 0 \| 0 \| 0 \| 1 \|\n\| Balt City \| 13,388 \| 2 \| 0 \| 0 \| 0 \| 0 \| 1 \|\n\| Balt County \| 13,437 \| 1 \| 0 \| 0 \| 1 \| 0 \| 0 \|\n\| Calvert \| 12,593 \| 7 \| 6 \| 7 \| 3 \| 4 \| 0 \|\n\| Carroll \| 8,277 \| 3 \| 2 \| 4 \| 1 \| 0 \| 0 \|\n\| Cecil \| 1,492 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \|\n\| Charles \| 40,437 \| 8 \| 16 \| 11 \| 5 \| 6 \| 2 \|\n\| Frederick \| 83,572 \| 21 \| 30 \| 15 \| 15 \| 13 \| 8 \|\n\| Garrett \| 8,080 \| 7 \| 4 \| 3 \| 2 \| 4 \| 2 \|\n\| Harford \| 30,356 \| 2 \| 0 \| 1 \| 0 \| 1 \| 0 \|\n\| Howard \| 7,015 \| 0 \| 0 \| 0 \| 0 \| 0 \| 0 \|\n\| Montgomery \| 452,568 \| 76 \| 234 \| 70 \| 105 \| 107 \| 24 \|\n\| Prince Georges \| 349,699 \| 59 \| 188 \| 68 \| 91 \| 77 \| 14 \|\n\| St. Mary's \| 22,607 \| 8 \| 12 \| 9 \| 9 \| 3 \| 0 \|\n\| Washington \| 19,134 \| 6 \| 10 \| 6 \| 8 \| 1 \| 1 \|\n\| Wash DC NE \| 52,113 \| 12 \| 32 \| 16 \| 16 \| 10 \| 2 \|\n\| Wash DC NW \| 99,658 \| 20 \| 79 \| 30 \| 44 \| 20 \| 5 \|\n\| Wash DC SE \| 40,429 \| 13 \| 23 \| 8 \| 13 \| 12 \| 3 \|\n\| Wash DC SW \| 12,321 \| 4 \| 2 \| 1 \| 2 \| 1 \| 2 \|\n\n### County Ratio\nDamages per 1000 Locates\n\n\| County \| Ratio \|\n\|--------------\|-------\|\n\| Allegany \| 0.9 \|\n\| Anne Arundel \| 0.1 \|\n\| Balt City \| 0.1 \|\n\| Balt County \| 0.1 \|\n\| Calvert \| 1.0 \|\n\| Carroll \| 0.6 \|\n\| Cecil \| 0.0 \|\n\| Charles \| 0.6 \|\n\| Frederick \| 0.6 \|\n\| Garrett \| 1.4 \|\n\| Harford \| 0.1 \|\n\| Howard \| 0.0 \|\n\| Montgomery \| 0.7 \|\n\| Prince Georges \| 0.7 \|\n\| St. Mary's \| 0.9 \|\n\| Washington \| 0.8 \|\n\| Wash DC NE \| 0.8 \|\n\| Wash DC NW \| 1.0 \|\n\| Wash DC SE \| 0.9 \|\n\| Wash DC SW \| 0.5 \|\n\n---\n\n6 Source: Miss Utility Voluntary Damage Reporting Program.\n\n\| Member Reported Tickets \| 1,305,960 \| 254 \| 656 \| 255 \| 323 \| 263 \| 69 \| 910 \|\n\|-------------------------\|-----------\|-----\|-----\|-----\|-----\|-----\|----\|-----\|\n\| Call Center Released Tickets \| 5,367,378 \| \| \| \| \| \| \| \|\n\| Total Damages \| 910 \| \| \| \| \| \| \| \|\n\| Reporting % \| 24.33% \| \| \| \| \| \| \| \|\n\n\| # Tickets \| Damages per 10,000 Tickets Received \|\n\|-----------\|-------------------------------------\|\n\| Reported Tickets \| 1,305,960 \| 1.95 \| 2.47 \| 2.01 \| 0.53 \| 6.97 \|\n\| Total Tickets \| 5,367,378 \| 0.48 \| 0.60 \| 0.49 \| 0.13 \| 1.70 \|\n\n\| # Tickets \| Damages per 1,000 Tickets Received \|\n\|-----------\|-----------------------------------\|\n\| Reported Tickets \| 1,305,960 \| 0.20 \| 0.25 \| 0.20 \| 0.05 \| 0.70 \|\n\| Total Tickets \| 5,367,378 \| 0.05 \| 0.06 \| 0.05 \| 0.01 \| 0.17 \|\n\nDetermination of Adequacy of One-Call Law Enforcement Programs from 2019 Audits\n\nAs of April 29, 2020\n\n- Green: Adequate (43)\n- Red: Inadequate (9)\n\nMap produced April 29, 2020 by the U.S. Department of Transportation (U.S. DOT), Pipeline and Hazardous Materials Safety Administration (PHMSA)\n\nMap provided as a reference only. PHMSA makes no representations or warranties of any kind, express or implied, about the completeness, accuracy, reliability, suitability or availability with respect to this map for any purpose. PHMSA expressly disclaims liability for errors and omissions in the contents of this map.\n\nSource: USDOT – Pipeline and Hazardous Materials Safety Administration, 2020 Audit Results\n\nOn November 21, 2019, a representative of the U.S. Department of Transportation’s Pipeline and Hazardous Materials Safety Administration (PHMSA) conducted an evaluation of Maryland’s enforcement of its excavation damage prevention law. PHMSA conducted this evaluation pursuant to 49 United States Code § 60114 and 49 Code of Federal Regulations Part 198, Subpart D -- State Damage Prevention Enforcement Programs. Based on this evaluation, PHMSA has determined that the enforcement of Maryland’s excavation damage prevention law is “adequate.”\n\nAs you may be aware, excavation damage continues to be a leading cause of pipeline failures, some of which have resulted in fatalities, serious injuries, and environmental damage. Nationwide statistics show that effective enforcement of state damage prevention laws reduces excavation damage and pipeline incidents, resulting in enhanced public safety.\n\nIn closing, PHMSA appreciates your dedication to safety and encourages the Maryland Underground Facilities Damage Prevention Authority to continue to support damage prevention outreach initiatives that promote 811 and safe digging practices. Should you have any questions regarding this letter, please contact Dr. Christie Murray, our Director of Outreach and Engagement, at (202) 366-4996 or by email at [email protected].\n\nSincerely,\n\nMassoud Tahamtani\nDeputy Associate Administrator, Policy and Programs\nOffice of Pipeline Safety\n\ncc: Ms. Susan Ann Mary Stroud, Deputy Director, Maryland Underground Facilities Damage Prevention Authority\n\n811® Know what’s below. Call before you dig.\n</text>\n", "role": "user" }, { "content": "aw.", "role": "assistant" } ]
ANY UNITED STATES PERSON WHO HOLDS THIS OBLIGATION WILL BE SUBJECT TO LIMITATIONS UNDER THE UNITED STATES INCOME TAX LAWS, INCLUDING THE LIMITATIONS PROVIDED IN SECTIONS 165(j) AND 1287(a) OF THE INTERNAL REVENUE CODE. MIFID II PRODUCT GOVERNANCE / TARGET MARKET - Solely for the purposes of the manufacturer's product approval process, the target market assessment in respect of the Notes has led to the conclusion that: (i) the target market for the Notes is eligible counterparties and professional clients only, each as defined in Directive (EU) 2014/65 (as amended, "MiFID II"); and (ii) all channels for distribution of the Notes to eligible counterparties and professional clients are appropriate. Any person subsequently offering, selling or recommending the Notes (a "distributor") should take into consideration the manufacturer's target market assessment; however, a distributor subject to MiFID II is responsible for undertaking its own target market assessment in respect of the Notes (by either adopting or refining the manufacturer's target market assessment) and determining appropriate distribution channels. PROHIBITION OF SALES TO EEA AND UK RETAIL INVESTORS – The Notes are not intended to be offered, sold or otherwise made available to and should not be offered, sold or otherwise made available to any retail investor in the European Economic Area (the "EEA") or in the United Kingdom (the "UK"). For these purposes, a retail investor means a person who is one (or more) of: (i) a retail client as defined in point (11) of Article 4(1) of Directive (EU) 2014/65 (as amended, MiFID II); or (ii) a customer within the meaning of Directive (EU) 2016/97 (as amended), where that customer would not qualify as a professional client as defined in point (10) of Article 4(1) of MiFID II; or (iii) not a qualified investor as defined in Regulation (EU) 2017/1129 (as amended) (the "Prospectus Regulation"). Consequently no key information document required by Regulation (EU) No 1286/2014 (as amended, the "PRIIPs Regulation") for offering or selling the Notes or otherwise making them available to retail investors in the EEA or in the UK has been prepared and therefore offering or selling the Notes or otherwise making them available to any retail investor in the EEA or in the UK may be unlawful under the PRIIPs Regulation. THESE NOTES ARE SUBJECT TO CONVERSION IN WHOLE OR IN PART – BY MEANS OF A TRANSACTION OR SERIES OF TRANSACTIONS AND IN ONE OR MORE STEPS – INTO COMMON SHARES OF THE BANK OF NOVA SCOTIA OR ANY OF ITS AFFILIATES UNDER SUBSECTION 39.2(2.3) OF THE CANADA DEPOSIT INSURANCE CORPORATION ACT (THE "CDIC ACT") AND TO VARIATION OR EXTINGUISHMENT IN CONSEQUENCE, AND SUBJECT TO THE APPLICATION OF THE LAWS OF THE PROVINCE OF ONTARIO AND THE FEDERAL LAWS OF CANADA APPLICABLE THEREIN IN RESPECT OF THE OPERATION OF THE CDIC ACT WITH RESPECT TO THESE NOTES. Final Terms dated December 22, 2020 The Bank of Nova Scotia LEI: L319ZG2KFGXZ61BMYR72 Issue of Aggregate Principal Amount of C$50,000,000 Callable Fixed Coupon Notes due December 22, 2035 (Bail-inable Notes) under the U.S.$12,000,000,000 Singapore Medium Term Note Programme PART A – CONTRACTUAL TERMS This document constitutes the Final Terms relating to the issue of Notes described herein. Terms used herein shall be deemed to be defined as such for the purposes of the terms and conditions (the "Conditions") set forth in the Prospectus dated December 9, 2020 (the "Prospectus"). This document constitutes the Final Terms of the Notes described herein and must be read in conjunction with such Prospectus in order to obtain all relevant information. The Prospectus is available for viewing during normal office hours at the office of the Fiscal Agent, Registrar and Transfer Agent and copies may be obtained from the principal office of the Issuer. The Prospectus and (in the case of Notes listed on the SGX-ST) the applicable Final Terms will also be published on the website of the SGX-ST at http://www.sgx.com. 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Neither the Issuer nor any Dealer is acting as a fiduciary for or adviser to it in respect of the investment in the Notes. AN INVESTMENT IN NOTES LINKED TO ONE OR MORE REFERENCE ITEMS MAY ENTAIL SIGNIFICANT RISKS NOT ASSOCIATED WITH INVESTMENTS IN A CONVENTIONAL DEBT SECURITY DUE TO THE CALL FEATURE IN FAVOUR OF THE ISSUER THAT IS A TERM OF THESE NOTES. THE INVESTOR ASSUMES THE CREDIT RISK OF THE ISSUER FOR ALL PAYMENTS UNDER THE NOTES. INVESTORS SHOULD BE PREPARED TO SUSTAIN A LOSS OF ALL OR PART OF THEIR INVESTMENT. The purchase of Notes issued under the Programme is associated with certain risks. Each prospective investor in Notes must ensure that the complexity and risks inherent in the Notes are suitable for its investment objectives and are appropriate for itself or the size, nature and condition of its business, as the case may be. No person should deal in the Notes unless that person understands the nature of the relevant transaction and the extent of that person's exposure to potential loss. Each prospective purchaser of Notes should consider carefully whether the Notes are suitable for it in light of its circumstances and financial position. Prospective investors in Notes should consult their own legal, tax, accountancy and other professional advisers to assist them in determining the suitability of the Notes for them as an investment. INVESTORS SHOULD REFER TO THE SECTION HEADED "RISK FACTORS" IN THE PROSPECTUS FOR A DISCUSSION OF CERTAIN MATTERS THAT SHOULD BE CONSIDERED WHEN MAKING A DECISION TO INVEST IN THE NOTES. 1. Issuer: The Bank of Nova Scotia 2. (i) Series Number: SMTN 120 (ii) Tranche Number: Not Applicable (iii) Date on which the Notes will be consolidated and form a single Series: Not Applicable 3. Specified Currency or Currencies: Canadian Dollars ("CAD" or "C$)) 4. Aggregate Principal Amount: CAD 50,000,000 (i) Series: CAD50,000,000 5. Issue Price: 100.00 per cent. of the Aggregate Principal Amount 6. (i) Specified Denomination(s): CAD 1,000,000 (ii) Calculation Amount: CAD 1,000,000 7. RMB Notes: Not Applicable 8. (i) Issue Date: December 22, 2020 (ii) Interest Commencement Date: December 22, 2020 9. Maturity Date: December 22, 2035 subject to adjustment for payment purposes only in accordance with the Following Business Day Convention 10. Interest Basis: 2.23 per cent. Fixed Rate (further particulars specified below) 11. (a) Redemption/Payment Basis: As per paragraphs 26, 28, 30, 31 and 32 below (b) Protection Amount: Not Applicable 12. Change of Interest or Redemption/Payment Basis: Not Applicable 13. Synthetic Currency Asset Conditions: Not Applicable 14. Put/Call Options: Issuer's Option (further particulars specified below) 15. Status of the Notes: Senior, unsubordinated and unsecured 16. Method of distribution: Non-syndicated 17. Bail-inable Notes: Yes PROVISIONS RELATING TO INTEREST (IF ANY) PAYABLE -4- Date(s) at the Optional Redemption Amount(s) as described below. (i) Optional Redemption Date(s): Each Interest Payment Date in the period from and including December 22, 2022 to and including December 22, 2034 (ii) Optional Redemption Amount(s) of each Note and method, if any, of calculation of such amount(s): C$1,000,000 per Calculation Amount (iii) If redeemable in part: Not Applicable (iv) Issuer's Option Period: A minimum of 12 (twelve) Business Days of notice period prior to the relevant Optional Redemption Date Where: "Business Days" means a day on which commercial banks and foreign exchange markets settle payments and are open for general business (including dealing in foreign exchange and foreign currency deposits) in London, New York City, Seoul and Toronto. 27. Noteholder Option (Put) Not Applicable 28. Early Redemption for Illegality: Applicable (i) Minimum Period: 12 (twelve) days (ii) Maximum Period: 30 (thirty) days 29. Early Redemption for an Administrator/Benchmark Event: Not Applicable 30. Bail-inable Notes – TLAC Disqualification Event Call: Applicable 31. Final Redemption Amount of each Note An amount equal to C$1,000,000 per Calculation Amount 32. Early Redemption Amount (i) Early Redemption Amount(s) of each Note payable on redemption for taxation reasons or on event of default and/or the method of calculating the same: An amount equal to C$1,000,000 per Calculation Amount 33. Index Linked Redemption Notes Not Applicable 34. Equity Linked Redemption Notes Not Applicable 35. Commodity Linked Redemption Notes Not Applicable 36. Fund Linked Redemption Notes Not Applicable 37. Credit Linked Notes: Not Applicable 38. Physical Delivery Notes Not Applicable GENERAL PROVISIONS APPLICABLE TO THE NOTES 39. Form of Notes: 40. Financial Centre(s) or other special provisions relating to Payment Dates: (Note Condition 6(h)) 41. Talons for future Coupons or Receipts to be attached to definitive Notes (and dates on which such Talons mature): 42. Unmatured Coupons to become void on early redemption: 43. Details relating to Partly Paid Notes: amount of each payment comprising the Issue Price and date on which each payment is to be made and consequences (if any) of failure to pay, including any right of the Issuer to forfeit the Notes and interest due on late payment: 44. Details relating to Instalment Notes: Instalment Amount, Instalment Date: 45. Redenomination: 46. U.S. Tax Considerations 47. Condition 6(k) (Payment in Alternative Currency): 48. Calculation Agent for purposes of Condition 6(k) (if other than the Fiscal Agent): 49. Other terms or special conditions: Bearer Notes: Temporary Bearer Global Note exchangeable for a Permanent Bearer Global Note which is exchangeable for definitive Notes in the limited circumstances specified in the Permanent Bearer Global Note New York City, Toronto, London and Seoul No Yes Not Applicable Not Applicable Not Applicable Not Applicable Not Applicable Not Applicable Not Applicable DISTRIBUTION 50. (i) If syndicated, names and addresses of Managers and underwriting commitments: Not Applicable (ii) Date of Subscription Agreement: Not Applicable (iii) Stabilising Manager(s) (if any): Not Applicable 51. If non-syndicated, name and address of Dealer: The Bank of Nova Scotia, Hong Kong Branch 21/F Central Tower 28 Queen's Road Central Hong Kong 52. Total commissions and concessions: 0.03% of the Aggregate Principal Amount 53. Additional selling restrictions: Republic of Korea selling restrictions The Notes have not been registered with the Financial Services Commission of Korea for public offering in Korea. None of the Notes may be offered, sold and delivered directly or indirectly, or offered or sold to any person for re-offering or resale, directly or indirectly, in Korea or to any resident of Korea except pursuant to the applicable laws and regulations of Korea, including the Financial Investment Services and Capital Markets Act and the decrees and regulations thereunder and the Foreign Exchange Transaction Law of Korea and the decrees and regulations thereunder (collectively, the "Foreign Exchange Transaction Law"). Without prejudice to the foregoing, the number of Notes offered in Korea or to a resident in Korea shall be less than 50 and for a period of one year from the issue date of the Notes, none of the Notes may be divided resulting in an increased number of Notes. Furthermore, the purchaser of the Notes shall comply with all applicable regulatory requirements (including but not limited to requirements under the Foreign Exchange Transaction Law) in connection with the purchase of the Notes. In the case of a transfer by any Korean resident of the Note to any other Korean resident during the period ending one year from the issuance date, such Korean resident holder of the Note may only transfer its entire holdings to one Korean resident. The Note may not be subdivided within one year from the issuance date. Reg. S Compliance Category 2; TEFRA D 54. U.S. Selling Restrictions: ADDITIONAL INFORMATION For so long as the Notes are listed on the SGX-ST and the rules of the SGX-ST so require, the Issuer will appoint and maintain a paying agent in Singapore, where the Notes may be presented or surrendered for payment or redemption, if Notes in definitive form are issued in exchange for Bearer Global Notes. The Issuer will announce through the SGXST any issue of Notes in definitive form in exchange for Bearer Global Notes, including in the announcement all material information on the delivery of the Notes in definitive form and details of the paying agent in Singapore. The Notes will be traded on the SGX-ST in a minimum board lot size of SGD200,000 (or its equivalent in other currencies) or such other amount as may be allowed or required from time to time for as long as the Notes are listed on the SGXST. RESPONSIBILITY The Issuer accepts responsibility for the information contained in these Final Terms. The Issuer confirms that such information has been accurately reproduced and that, so far as it is aware, no facts have been omitted which would render the reproduced inaccurate or misleading. Signed on behalf of the Issuer: By: Name: Dale Cheeseman Title: Managing Director and Head, Investor Solutions Duly authorised PART B – OTHER INFORMATION 1. LISTING AND ADMISSION TO TRADING Application is expected to be made by the Issuer (or on its behalf) for the Notes to be admitted to trading on Singapore Exchange Securities Trading Limited ("SGX-ST"). No assurance can be given that such listing and admission will be obtained. 2. RATINGS The Notes to be issued are expected to be rated by Moody's Canada Inc. A rating is not a recommendation to buy, sell or hold investments, and may be subject to revision or withdrawal at any time by the relevant rating agency. 3. OPERATIONAL INFORMATION (i) ISIN Code: XS2275418817 (ii) Common Code: 227541881 (iii) Any clearing system(s) other than Euroclear and Clearstream, Luxembourg and the relevant identification number(s): Not Applicable (iv) Delivery: Delivery against payment (v) Names and addresses of initial Paying Agent(s) (if any): The Bank of Nova Scotia, London Branch 201 Bishopsgate 6th Floor London EC2M 3NS (vi) Names and addresses of additional Paying Agents (if any): Not Applicable	<urn:uuid:e41a9c18-9ff3-49f1-9364-fa4b19efb618>	CC-MAIN-2023-23	https://www.scotiabank.com/content/dam/scotiabank/canada/en/documents/SMTN_120-Final_Terms-Executed.pdf	2023-05-28T10:43:38+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00258-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet	1,064,160,424	3,558	eng_Latn	eng_Latn	0.821086	eng_Latn	0.949529	[ "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 4015, 7158, 8490, 8545, 10150, 11697, 13638, 14477, 14906, 15950 ]	ANY UNITED STATES PERSON WHO HOLDS THIS OBLIGATION WILL BE SUBJECT TO LIMITATIONS UNDER THE UNITED STATES INCOME TAX LAWS, INCLUDING THE LIMITATIONS PROVIDED IN SECTIONS 165(j) AND 1287(a) OF THE INTERNAL REVENUE CODE. MIFID II PRODUCT GOVERNANCE / TARGET MARKET - Solely for the purposes of the manufacturer's product approval process, the target market assessment in respect of the Notes has led to the conclusion that: (i) the target market for the Notes is eligible counterparties and professional clients only, each as defined in Directive (EU) 2014/65 (as amended, "MiFID II"); and (ii) all channels for distribution of the Notes to eligible counterparties and professional clients are appropriate. Any person subsequently offering, selling or recommending the Notes (a "distributor") should take into consideration the manufacturer's target market assessment; however, a distributor subject to MiFID II is responsible for undertaking its own target market assessment in respect of the Notes (by either adopting or refining the manufacturer's target market assessment) and determining appropriate distribution channels. PROHIBITION OF SALES TO EEA AND UK RETAIL INVESTORS – The Notes are not intended to be offered, sold or otherwise made available to and should not be offered, sold or otherwise made available to any retail investor in the European Economic Area (the "EEA") or in the United Kingdom (the "UK"). For these purposes, a retail investor means a person who is one (or more) of: (i) a retail client as defined in point (11) of Article 4(1) of Directive (EU) 2014/65 (as amended, MiFID II); or (ii) a customer within the meaning of Directive (EU) 2016/97 (as amended), where that customer would not qualify as a professional client as defined in point (10) of Article 4(1) of MiFID II; or (iii) not a qualified investor as defined in Regulation (EU) 2017/1129 (as amended) (the "Prospectus Regulation"). Consequently no key information document required by Regulation (EU) No 1286/2014 (as amended, the "PRIIPs Regulation") for offering or selling the Notes or otherwise making them available to retail investors in the EEA or in the UK has been prepared and therefore offering or selling the Notes or otherwise making them available to any retail investor in the EEA or in the UK may be unlawful under the PRIIPs Regulation. THESE NOTES ARE SUBJECT TO CONVERSION IN WHOLE OR IN PART – BY MEANS OF A TRANSACTION OR SERIES OF TRANSACTIONS AND IN ONE OR MORE STEPS – INTO COMMON SHARES OF THE BANK OF NOVA SCOTIA OR ANY OF ITS AFFILIATES UNDER SUBSECTION 39.2(2.3) OF THE CANADA DEPOSIT INSURANCE CORPORATION ACT (THE "CDIC ACT") AND TO VARIATION OR EXTINGUISHMENT IN CONSEQUENCE, AND SUBJECT TO THE APPLICATION OF THE LAWS OF THE PROVINCE OF ONTARIO AND THE FEDERAL LAWS OF CANADA APPLICABLE THEREIN IN RESPECT OF THE OPERATION OF THE CDIC ACT WITH RESPECT TO THESE NOTES. Final Terms dated December 22, 2020 The Bank of Nova Scotia LEI: L319ZG2KFGXZ61BMYR72 Issue of Aggregate Principal Amount of C$50,000,000 Callable Fixed Coupon Notes due December 22, 2035 (Bail-inable Notes) under the U.S.$12,000,000,000 Singapore Medium Term Note Programme PART A – CONTRACTUAL TERMS This document constitutes the Final Terms relating to the issue of Notes described herein. Terms used herein shall be deemed to be defined as such for the purposes of the terms and conditions (the "Conditions") set forth in the Prospectus dated December 9, 2020 (the "Prospectus"). This document constitutes the Final Terms of the Notes described herein and must be read in conjunction with such Prospectus in order to obtain all relevant information. The Prospectus is available for viewing during normal office hours at the office of the Fiscal Agent, Registrar and Transfer Agent and copies may be obtained from the principal office of the Issuer. The Prospectus and (in the case of Notes listed on the SGX-ST) the applicable Final Terms will also be published on the website of the SGX-ST at http://www.sgx.com. No person has been authorised to give any information or make any representation not contained in or not consistent with these Final Terms, or any other information supplied in connection with the Notes and, if given or made, such information or representation must not be relied upon as having been authorised by the Issuer or any Dealer. By investing in the Notes each investor represents that: (a) Non-Reliance. It is acting for its own account, and it has made its own independent decisions to invest in the Notes and as to whether the investment in the Notes is appropriate or proper for it based upon its own judgment and upon advice from such advisers as it has deemed necessary. It is not relying on any communication (written or oral) of the Issuer or any Dealer as investment advice or as a recommendation to invest in the Notes, it being understood that information and explanations related to the terms and conditions of the Notes shall not be considered to be investment advice or a recommendation to invest in the Notes. No communication (written or oral) received from the Issuer or any Dealer shall be deemed to be an assurance or guarantee as to the expected results of the investment in the Notes. (b) Assessment and Understanding. It is capable of assessing the merits of and understanding (on its own behalf or through independent professional advice), and understands and accepts the terms and conditions and the risks of the investment in the Notes. It is also capable of assuming, and assumes, the risks of the investment in the Notes. (c) Status of Parties. Neither the Issuer nor any Dealer is acting as a fiduciary for or adviser to it in respect of the investment in the Notes. AN INVESTMENT IN NOTES LINKED TO ONE OR MORE REFERENCE ITEMS MAY ENTAIL SIGNIFICANT RISKS NOT ASSOCIATED WITH INVESTMENTS IN A CONVENTIONAL DEBT SECURITY DUE TO THE CALL FEATURE IN FAVOUR OF THE ISSUER THAT IS A TERM OF THESE NOTES. THE INVESTOR ASSUMES THE CREDIT RISK OF THE ISSUER FOR ALL PAYMENTS UNDER THE NOTES. INVESTORS SHOULD BE PREPARED TO SUSTAIN A LOSS OF ALL OR PART OF THEIR INVESTMENT. The purchase of Notes issued under the Programme is associated with certain risks. Each prospective investor in Notes must ensure that the complexity and risks inherent in the Notes are suitable for its investment objectives and are appropriate for itself or the size, nature and condition of its business, as the case may be. No person should deal in the Notes unless that person understands the nature of the relevant transaction and the extent of that person's exposure to potential loss. Each prospective purchaser of Notes should consider carefully whether the Notes are suitable for it in light of its circumstances and financial position. Prospective investors in Notes should consult their own legal, tax, accountancy and other professional advisers to assist them in determining the suitability of the Notes for them as an investment. INVESTORS SHOULD REFER TO THE SECTION HEADED "RISK FACTORS" IN THE PROSPECTUS FOR A DISCUSSION OF CERTAIN MATTERS THAT SHOULD BE CONSIDERED WHEN MAKING A DECISION TO INVEST IN THE NOTES. 1. Issuer: The Bank of Nova Scotia 2. (i) Series Number: SMTN 120 (ii) Tranche Number: Not Applicable (iii) Date on which the Notes will be consolidated and form a single Series: Not Applicable 3. Specified Currency or Currencies: Canadian Dollars ("CAD" or "C$)) 4. Aggregate Principal Amount: CAD 50,000,000 (i) Series: CAD50,000,000 5. Issue Price: 100.00 per cent. of the Aggregate Principal Amount 6. (i) Specified Denomination(s): CAD 1,000,000 (ii) Calculation Amount: CAD 1,000,000 7. RMB Notes: Not Applicable 8. (i) Issue Date: December 22, 2020 (ii) Interest Commencement Date: December 22, 2020 9. Maturity Date: December 22, 2035 subject to adjustment for payment purposes only in accordance with the Following Business Day Convention 10. Interest Basis: 2.23 per cent. Fixed Rate (further particulars specified below) 11. (a) Redemption/Payment Basis: As per paragraphs 26, 28, 30, 31 and 32 below (b) Protection Amount: Not Applicable 12. Change of Interest or Redemption/Payment Basis: Not Applicable 13. Synthetic Currency Asset Conditions: Not Applicable 14. Put/Call Options: Issuer's Option (further particulars specified below) 15. Status of the Notes: Senior, unsubordinated and unsecured 16. Method of distribution: Non-syndicated 17. Bail-inable Notes: Yes PROVISIONS RELATING TO INTEREST (IF ANY) PAYABLE -4- Date(s) at the Optional Redemption Amount(s) as described below. (i) Optional Redemption Date(s): Each Interest Paymen	t Date in the period from and including December 22, 2022 to and including December 22, 2034 (ii) Optional Redemption Amount(s) of each Note and method, if any, of calculation of such amount(s): C$1,000,000 per Calculation Amount (iii) If redeemable in part: Not Applicable (iv) Issuer's Option Period: A minimum of 12 (twelve) Business Days of notice period prior to the relevant Optional Redemption Date Where: "Business Days" means a day on which commercial banks and foreign exchange markets settle payments and are open for general business (including dealing in foreign exchange and foreign currency deposits) in London, New York City, Seoul and Toronto.		8,667	inside_word	Payment	remove_all	<url> https://www.scotiabank.com/content/dam/scotiabank/canada/en/documents/SMTN_120-Final_Terms-Executed.pdf </url> <text> ANY UNITED STATES PERSON WHO HOLDS THIS OBLIGATION WILL BE SUBJECT TO LIMITATIONS UNDER THE UNITED STATES INCOME TAX LAWS, INCLUDING THE LIMITATIONS PROVIDED IN SECTIONS 165(j) AND 1287(a) OF THE INTERNAL REVENUE CODE. MIFID II PRODUCT GOVERNANCE / TARGET MARKET - Solely for the purposes of the manufacturer's product approval process, the target market assessment in respect of the Notes has led to the conclusion that: (i) the target market for the Notes is eligible counterparties and professional clients only, each as defined in Directive (EU) 2014/65 (as amended, "MiFID II"); and (ii) all channels for distribution of the Notes to eligible counterparties and professional clients are appropriate. Any person subsequently offering, selling or recommending the Notes (a "distributor") should take into consideration the manufacturer's target market assessment; however, a distributor subject to MiFID II is responsible for undertaking its own target market assessment in respect of the Notes (by either adopting or refining the manufacturer's target market assessment) and determining appropriate distribution channels. PROHIBITION OF SALES TO EEA AND UK RETAIL INVESTORS – The Notes are not intended to be offered, sold or otherwise made available to and should not be offered, sold or otherwise made available to any retail investor in the European Economic Area (the "EEA") or in the United Kingdom (the "UK"). For these purposes, a retail investor means a person who is one (or more) of: (i) a retail client as defined in point (11) of Article 4(1) of Directive (EU) 2014/65 (as amended, MiFID II); or (ii) a customer within the meaning of Directive (EU) 2016/97 (as amended), where that customer would not qualify as a professional client as defined in point (10) of Article 4(1) of MiFID II; or (iii) not a qualified investor as defined in Regulation (EU) 2017/1129 (as amended) (the "Prospectus Regulation"). Consequently no key information document required by Regulation (EU) No 1286/2014 (as amended, the "PRIIPs Regulation") for offering or selling the Notes or otherwise making them available to retail investors in the EEA or in the UK has been prepared and therefore offering or selling the Notes or otherwise making them available to any retail investor in the EEA or in the UK may be unlawful under the PRIIPs Regulation. THESE NOTES ARE SUBJECT TO CONVERSION IN WHOLE OR IN PART – BY MEANS OF A TRANSACTION OR SERIES OF TRANSACTIONS AND IN ONE OR MORE STEPS – INTO COMMON SHARES OF THE BANK OF NOVA SCOTIA OR ANY OF ITS AFFILIATES UNDER SUBSECTION 39.2(2.3) OF THE CANADA DEPOSIT INSURANCE CORPORATION ACT (THE "CDIC ACT") AND TO VARIATION OR EXTINGUISHMENT IN CONSEQUENCE, AND SUBJECT TO THE APPLICATION OF THE LAWS OF THE PROVINCE OF ONTARIO AND THE FEDERAL LAWS OF CANADA APPLICABLE THEREIN IN RESPECT OF THE OPERATION OF THE CDIC ACT WITH RESPECT TO THESE NOTES. Final Terms dated December 22, 2020 The Bank of Nova Scotia LEI: L319ZG2KFGXZ61BMYR72 Issue of Aggregate Principal Amount of C$50,000,000 Callable Fixed Coupon Notes due December 22, 2035 (Bail-inable Notes) under the U.S.$12,000,000,000 Singapore Medium Term Note Programme PART A – CONTRACTUAL TERMS This document constitutes the Final Terms relating to the issue of Notes described herein. Terms used herein shall be deemed to be defined as such for the purposes of the terms and conditions (the "Conditions") set forth in the Prospectus dated December 9, 2020 (the "Prospectus"). This document constitutes the Final Terms of the Notes described herein and must be read in conjunction with such Prospectus in order to obtain all relevant information. The Prospectus is available for viewing during normal office hours at the office of the Fiscal Agent, Registrar and Transfer Agent and copies may be obtained from the principal office of the Issuer. The Prospectus and (in the case of Notes listed on the SGX-ST) the applicable Final Terms will also be published on the website of the SGX-ST at http://www.sgx.com. No person has been authorised to give any information or make any representation not contained in or not consistent with these Final Terms, or any other information supplied in connection with the Notes and, if given or made, such information or representation must not be relied upon as having been authorised by the Issuer or any Dealer. By investing in the Notes each investor represents that: (a) Non-Reliance. It is acting for its own account, and it has made its own independent decisions to invest in the Notes and as to whether the investment in the Notes is appropriate or proper for it based upon its own judgment and upon advice from such advisers as it has deemed necessary. It is not relying on any communication (written or oral) of the Issuer or any Dealer as investment advice or as a recommendation to invest in the Notes, it being understood that information and explanations related to the terms and conditions of the Notes shall not be considered to be investment advice or a recommendation to invest in the Notes. No communication (written or oral) received from the Issuer or any Dealer shall be deemed to be an assurance or guarantee as to the expected results of the investment in the Notes. (b) Assessment and Understanding. It is capable of assessing the merits of and understanding (on its own behalf or through independent professional advice), and understands and accepts the terms and conditions and the risks of the investment in the Notes. It is also capable of assuming, and assumes, the risks of the investment in the Notes. (c) Status of Parties. Neither the Issuer nor any Dealer is acting as a fiduciary for or adviser to it in respect of the investment in the Notes. AN INVESTMENT IN NOTES LINKED TO ONE OR MORE REFERENCE ITEMS MAY ENTAIL SIGNIFICANT RISKS NOT ASSOCIATED WITH INVESTMENTS IN A CONVENTIONAL DEBT SECURITY DUE TO THE CALL FEATURE IN FAVOUR OF THE ISSUER THAT IS A TERM OF THESE NOTES. THE INVESTOR ASSUMES THE CREDIT RISK OF THE ISSUER FOR ALL PAYMENTS UNDER THE NOTES. INVESTORS SHOULD BE PREPARED TO SUSTAIN A LOSS OF ALL OR PART OF THEIR INVESTMENT. The purchase of Notes issued under the Programme is associated with certain risks. Each prospective investor in Notes must ensure that the complexity and risks inherent in the Notes are suitable for its investment objectives and are appropriate for itself or the size, nature and condition of its business, as the case may be. No person should deal in the Notes unless that person understands the nature of the relevant transaction and the extent of that person's exposure to potential loss. Each prospective purchaser of Notes should consider carefully whether the Notes are suitable for it in light of its circumstances and financial position. Prospective investors in Notes should consult their own legal, tax, accountancy and other professional advisers to assist them in determining the suitability of the Notes for them as an investment. INVESTORS SHOULD REFER TO THE SECTION HEADED "RISK FACTORS" IN THE PROSPECTUS FOR A DISCUSSION OF CERTAIN MATTERS THAT SHOULD BE CONSIDERED WHEN MAKING A DECISION TO INVEST IN THE NOTES. 1. Issuer: The Bank of Nova Scotia 2. (i) Series Number: SMTN 120 (ii) Tranche Number: Not Applicable (iii) Date on which the Notes will be consolidated and form a single Series: Not Applicable 3. Specified Currency or Currencies: Canadian Dollars ("CAD" or "C$)) 4. Aggregate Principal Amount: CAD 50,000,000 (i) Series: CAD50,000,000 5. Issue Price: 100.00 per cent. of the Aggregate Principal Amount 6. (i) Specified Denomination(s): CAD 1,000,000 (ii) Calculation Amount: CAD 1,000,000 7. RMB Notes: Not Applicable 8. (i) Issue Date: December 22, 2020 (ii) Interest Commencement Date: December 22, 2020 9. Maturity Date: December 22, 2035 subject to adjustment for payment purposes only in accordance with the Following Business Day Convention 10. Interest Basis: 2.23 per cent. Fixed Rate (further particulars specified below) 11. (a) Redemption/Payment Basis: As per paragraphs 26, 28, 30, 31 and 32 below (b) Protection Amount: Not Applicable 12. Change of Interest or Redemption/Payment Basis: Not Applicable 13. Synthetic Currency Asset Conditions: Not Applicable 14. Put/Call Options: Issuer's Option (further particulars specified below) 15. Status of the Notes: Senior, unsubordinated and unsecured 16. Method of distribution: Non-syndicated 17. Bail-inable Notes: Yes PROVISIONS RELATING TO INTEREST (IF ANY) PAYABLE -4- Date(s) at the Optional Redemption Amount(s) as described below. (i) Optional Redemption Date(s): Each Interest Paymen<cursor_is_here> </text>	[ { "content": "<url>\nhttps://www.scotiabank.com/content/dam/scotiabank/canada/en/documents/SMTN_120-Final_Terms-Executed.pdf\n</url>\n<text>\nANY UNITED STATES PERSON WHO HOLDS THIS OBLIGATION WILL BE SUBJECT TO LIMITATIONS UNDER THE UNITED STATES INCOME TAX LAWS, INCLUDING THE LIMITATIONS PROVIDED IN SECTIONS 165(j) AND 1287(a) OF THE INTERNAL REVENUE CODE.\n\nMIFID II PRODUCT GOVERNANCE / TARGET MARKET - Solely for the purposes of the manufacturer's product approval process, the target market assessment in respect of the Notes has led to the conclusion that: (i) the target market for the Notes is eligible counterparties and professional clients only, each as defined in Directive (EU) 2014/65 (as amended, \"MiFID II\"); and (ii) all channels for distribution of the Notes to eligible counterparties and professional clients are appropriate. Any person subsequently offering, selling or recommending the Notes (a \"distributor\") should take into consideration the manufacturer's target market assessment; however, a distributor subject to MiFID II is responsible for undertaking its own target market assessment in respect of the Notes (by either adopting or refining the manufacturer's target market assessment) and determining appropriate distribution channels.\n\nPROHIBITION OF SALES TO EEA AND UK RETAIL INVESTORS – The Notes are not intended to be offered, sold or otherwise made available to and should not be offered, sold or otherwise made available to any retail investor in the European Economic Area (the \"EEA\") or in the United Kingdom (the \"UK\"). For these purposes, a retail investor means a person who is one (or more) of: (i) a retail client as defined in point (11) of Article 4(1) of Directive (EU) 2014/65 (as amended, MiFID II); or (ii) a customer within the meaning of Directive (EU) 2016/97 (as amended), where that customer would not qualify as a professional client as defined in point (10) of Article 4(1) of MiFID II; or (iii) not a qualified investor as defined in Regulation (EU) 2017/1129 (as amended) (the \"Prospectus Regulation\"). Consequently no key information document required by Regulation (EU) No 1286/2014 (as amended, the \"PRIIPs Regulation\") for offering or selling the Notes or otherwise making them available to retail investors in the EEA or in the UK has been prepared and therefore offering or selling the Notes or otherwise making them available to any retail investor in the EEA or in the UK may be unlawful under the PRIIPs Regulation.\n\nTHESE NOTES ARE SUBJECT TO CONVERSION IN WHOLE OR IN PART – BY MEANS OF A TRANSACTION OR SERIES OF TRANSACTIONS AND IN ONE OR MORE STEPS – INTO COMMON SHARES OF THE BANK OF NOVA SCOTIA OR ANY OF ITS AFFILIATES UNDER SUBSECTION 39.2(2.3) OF THE CANADA DEPOSIT INSURANCE CORPORATION ACT (THE \"CDIC ACT\") AND TO VARIATION OR EXTINGUISHMENT IN CONSEQUENCE, AND SUBJECT TO THE APPLICATION OF THE LAWS OF THE PROVINCE OF ONTARIO AND THE FEDERAL LAWS OF CANADA APPLICABLE THEREIN IN RESPECT OF THE OPERATION OF THE CDIC ACT WITH RESPECT TO THESE NOTES.\n\nFinal Terms dated December 22, 2020\n\nThe Bank of Nova Scotia LEI: L319ZG2KFGXZ61BMYR72 Issue of Aggregate Principal Amount of C$50,000,000 Callable Fixed Coupon Notes due December 22, 2035 (Bail-inable Notes) under the U.S.$12,000,000,000 Singapore Medium Term Note Programme\n\nPART A – CONTRACTUAL TERMS\n\nThis document constitutes the Final Terms relating to the issue of Notes described herein.\n\nTerms used herein shall be deemed to be defined as such for the purposes of the terms and conditions (the \"Conditions\") set forth in the Prospectus dated December 9, 2020 (the \"Prospectus\"). This document constitutes the Final Terms of the Notes described herein and must be read in conjunction with such Prospectus in order to obtain all relevant information. The Prospectus is available for viewing during normal office hours at the office of the Fiscal Agent, Registrar and Transfer Agent and copies may be obtained from the principal office of the Issuer. The Prospectus and (in the case of Notes listed on the SGX-ST) the applicable Final Terms will also be published on the website of the SGX-ST at http://www.sgx.com.\n\nNo person has been authorised to give any information or make any representation not contained in or not consistent with these Final Terms, or any other information supplied in connection with the Notes and, if given or made, such information or representation must not be relied upon as having been authorised by the Issuer or any Dealer. By investing in the Notes each investor represents that:\n\n(a) Non-Reliance. It is acting for its own account, and it has made its own independent decisions to invest in the Notes and as to whether the investment in the Notes is appropriate or proper for it based upon its own judgment and upon advice from such advisers as it has deemed necessary. It is not relying on any communication (written or oral) of the Issuer or any Dealer as investment advice or as a recommendation to invest in the Notes, it being understood that information and explanations related to the terms and conditions of the Notes shall not be considered to be investment advice or a recommendation to invest in the Notes. No communication (written or oral) received from the Issuer or any Dealer shall be deemed to be an assurance or guarantee as to the expected results of the investment in the Notes.\n(b) Assessment and Understanding. It is capable of assessing the merits of and understanding (on its own behalf or through independent professional advice), and understands and accepts the terms and conditions and the risks of the investment in the Notes. It is also capable of assuming, and assumes, the risks of the investment in the Notes.\n(c) Status of Parties. Neither the Issuer nor any Dealer is acting as a fiduciary for or adviser to it in respect of the investment in the Notes.\n\nAN INVESTMENT IN NOTES LINKED TO ONE OR MORE REFERENCE ITEMS MAY ENTAIL SIGNIFICANT RISKS NOT ASSOCIATED WITH INVESTMENTS IN A CONVENTIONAL DEBT SECURITY DUE TO THE CALL FEATURE IN FAVOUR OF THE ISSUER THAT IS A TERM OF THESE NOTES. THE INVESTOR ASSUMES THE CREDIT RISK OF THE ISSUER FOR ALL PAYMENTS UNDER THE NOTES.\n\nINVESTORS SHOULD BE PREPARED TO SUSTAIN A LOSS OF ALL OR PART OF THEIR INVESTMENT.\n\nThe purchase of Notes issued under the Programme is associated with certain risks. Each prospective investor in Notes must ensure that the complexity and risks inherent in the Notes are suitable for its investment objectives and are appropriate for itself or the size, nature and condition of its business, as the case may be. No person should deal in the Notes unless that person understands the nature of the relevant transaction and the extent of that person's exposure to potential loss. Each prospective purchaser of Notes should consider carefully whether the Notes are suitable for it in light of its circumstances and financial position. Prospective investors in Notes should consult their own legal, tax, accountancy and other professional advisers to assist them in determining the suitability of the Notes for them as an investment.\n\nINVESTORS SHOULD REFER TO THE SECTION HEADED \"RISK FACTORS\" IN THE PROSPECTUS FOR A DISCUSSION OF CERTAIN MATTERS THAT SHOULD BE CONSIDERED WHEN MAKING A DECISION TO INVEST IN THE NOTES.\n\n1. Issuer:\n\nThe Bank of Nova Scotia\n\n2. (i) Series Number:\n\nSMTN 120\n\n(ii) Tranche Number:\n\nNot Applicable\n\n(iii) Date on which the Notes will be consolidated and form a single Series:\n\nNot Applicable\n\n3. Specified Currency or Currencies:\n\nCanadian Dollars (\"CAD\" or \"C$))\n\n4. Aggregate Principal Amount:\n\nCAD 50,000,000\n\n(i) Series:\n\nCAD50,000,000\n\n5.\n\nIssue Price:\n\n100.00 per cent. of the Aggregate Principal Amount\n\n6. (i) Specified Denomination(s):\n\nCAD 1,000,000\n\n(ii) Calculation Amount:\n\nCAD 1,000,000\n\n7.\n\nRMB Notes:\n\nNot Applicable\n\n8. (i) Issue Date:\n\nDecember 22, 2020\n\n(ii) Interest Commencement Date:\n\nDecember 22, 2020\n\n9.\n\nMaturity Date:\n\nDecember 22, 2035 subject to adjustment for payment purposes only in accordance with the Following Business Day Convention\n\n10. Interest Basis:\n\n2.23 per cent. Fixed Rate\n\n(further particulars specified below)\n\n11. (a) Redemption/Payment Basis:\n\nAs per paragraphs 26, 28, 30, 31 and 32 below\n\n(b) Protection Amount:\n\nNot Applicable\n\n12. Change of Interest or Redemption/Payment Basis:\n\nNot Applicable\n\n13. Synthetic Currency Asset Conditions:\n\nNot Applicable\n\n14. Put/Call Options:\n\nIssuer's Option\n\n(further particulars specified below)\n\n15. Status of the Notes:\n\nSenior, unsubordinated and unsecured\n\n16. Method of distribution:\n\nNon-syndicated\n\n17. Bail-inable Notes:\n\nYes\n\nPROVISIONS RELATING TO INTEREST (IF ANY) PAYABLE\n\n-4-\n\nDate(s) at the Optional Redemption Amount(s) as described below.\n\n(i) Optional Redemption Date(s):\n\nEach Interest Paymen<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "t Date in the period from and including December 22, 2022 to and including December 22, 2034\n\n(ii) Optional Redemption Amount(s) of each Note and method, if any, of calculation of such amount(s):\n\nC$1,000,000 per Calculation Amount\n\n(iii) If redeemable in part:\n\nNot Applicable\n\n(iv) Issuer's Option Period:\n\nA minimum of 12 (twelve) Business Days of notice period prior to the relevant Optional Redemption Date Where:\n\n\"Business Days\" means a day on which commercial banks and foreign exchange markets settle payments and are open for general business (including dealing in foreign exchange and foreign currency deposits) in London, New York City, Seoul and Toronto.", "role": "assistant" } ]
First Quarter 2020 Earnings Presentation April 1 2020 Legal Notices SAFE HARBOR Please note that in this presentation, we may discuss events or results that have not yet occurred or been realized, commonly referred to as forward-looking statements. The Private Securities Litigation Reform Act of 1995 provides a safe harbor for forward-looking statements made by or on behalf of the Company. Such discussion and statements will often contain words such as "expect," "anticipate," "project," "will," "should," "believe," "intend," "plan," "assume," "estimate," "predict," "seek," "continue," "outlook," "may," "might," "aim," "can have," "likely," "potential," "target," "hope," "goal," "priority" or "guidance" and variations of such words and similar expressions, and relate in this presentation, without limitation, to the COVID-19 impact to date on the Company as a whole, as well as on each of its segments; the Company's recent actions in response to COVID-19; operating expenses savings activities; cost containment; impact of the loss of certain business in Q1 2019; market and business considerations for its segments, end-markets and net sales; working capital; FY 2020 cash flow outlook, including cash interest, cash taxes and net capex; liquidity; debt covenant compliance; near term financial outlook, including market conditions, energy performance in Q2 2020, April 2020 net sales outlook, reopening of OEMs in May 2020, Q2 2020 adjusted EBITDA guidance, full year 2020 considerations, $50 million annualized cost opportunity for FY 2020 and Q2 2020 run-rate adjusted EBITDA. These projections and statements reflect management's estimates, assumptions and expectations with respect to future events and financial performance and are believed to be reasonable, though are inherently uncertain and difficult to predict. Such projections and statements are based on the assessment of information available to management as of the current date, and management does not undertake any obligations to provide any further updates. Actual results could differ materially from those expressed or implied in the forward-looking statements if one or more of the underlying estimates, assumptions or expectations prove to be inaccurate or are unrealized. Important factors that could cause actual results to differ materially from those suggested by these forward-looking statements include, but are not limited to, the duration and spread of the coronavirus (COVID-19) pandemic; new information concerning its transmission and severity; actions taken or that might be taken by governments, businesses or individuals to contain or reduce its repercussions and mitigate its economic implications; the Company's ability to realize the expected benefits its cost containment and cost savings measures; business and management strategies; debt and debt leverage ratio; shares repurchases; expected returns to stockholders; and the impact of acquisitions, divestitures, restructurings, refinancings, impairments and other unusual items, including the Company's ability to raise and/or retire new debt and/or equity and to integrate and obtain the anticipated benefits, results and synergies from these items or other related strategic initiatives. Additional information concerning these and other factors that could cause actual results to vary is, or will be, included in the Company's periodic and other reports filed with the Securities and Exchange Commission. The Company undertakes no obligation to update any forward-looking statements, whether as a result of new information, future events or otherwise. NON-GAAP FINANCIAL MEASURES To supplement the financial measures prepared in accordance with generally accepted accounting principles in the United States ("GAAP"), the Company uses the following nonGAAP financial measures: EBITDA, adjusted EBITDA, adjusted EBITDA margin, adjusted EPS, adjusted common shares outstanding, Q2 2020 adjusted EBITDA guidance, free cash flow, net debt to adjusted EBITDA ratio and organic net sales growth. The Company also evaluates and presents its results of operations on a constant currency basis. The definitions and reconciliations of these non-GAAP measures to the most directly comparable financial measures calculated and presented in accordance with GAAP can be found in the footnotes and appendix of this presentation and in the Company's earnings release dated April 30, 2020 (the "Release"), a copy of which can be found on the Company's website at www.elementsolutionsinc.com. This presentation should be read in conjunction with the Release. Management internally reviews each of these non-GAAP measures to evaluate performance on a comparative period-to-period basis in terms of absolute performance, trends and expected future performance with respect to the Company's businesses and believes that these non-GAAP measures provide investors with an additional perspective on trends and underlying operating results on a period-to-period comparable basis. The Company also believes that investors find this information helpful in understanding the ongoing performance of its operations separate from items that may have a disproportionate positive or negative impact on its financial results in any particular period. These non-GAAP financial measures, however, have limitations as analytical tools, and should not be considered in isolation from, a substitute for, or superior to, the related financial information that the Company reports in accordance with GAAP. Investors are encouraged to review the reconciliations of these non-GAAP financial measures to their most comparable GAAP financial measures included herein and in the Release, and not to rely on any single financial measure to evaluate the Company's businesses. In addition, this presentation includes Q1 2020 cash flow uses and FY 2020 outlook, Q1 2020 free cash flow and April 2020 net sales information. This data is provided for informational purposes only and is not necessarily, and should not be assumed to be, an indication of the results that may be achieved in the future. COVID-19 Update and Recent Actions Prioritizing People & Business Continuity [x] Protecting the health and safety of our people and their families by promoting a healthy and safe working environment [x] All facilities increased health and safety protocols to meet or exceed new local and national regulatory requirements [x] Nearly all "non-essential" personnel working from home or on staggered shifts; travel limited to customer requirements [x] Ongoing dialogue with customers and suppliers to ensure supply chain continuity Supply Chain Status Financial Actions To Date [x] All facilities open and producing o Received special approval in multiple regions to operate for critical material supply for medical products [x] Built excess safety stock inventory [x] Developed manufacturing redundancy across multiple sites [x] Continued opex savings activities [x] Salary reductions for all senior leadership and select commercial and functional organizations [x] Increased focus on customer credit and collections [x] Drew (and subsequently repaid) corporate revolver First Quarter 2020 Financial Results \| \| \| \| \| Constant Currency* \| Organic* \| \|---\|---\|---\|---\|---\|---\| \| ($ in millions) \| Q1 2020 \| Q1 2019 \| YoY \| YoY \| YoY \| \| Net Sales \| $453 \| $460 \| (2%) \| 0% \| (3%) \| \| Electronics \| 269 \| 266 \| 1% \| 3% \| (2%) \| \| Industrial & Specialty \| 184 \| 194 \| (5%) \| (3%) \| (3%) \| \| GAAP Diluted EPS \| $0.03 \| $(0.02) \| \| \| \| \| Adj. EBITDA* \| $110 \| $99 \| 12% \| 14% \| \| \| % margin \| 24.3% \| 21.4% \| 290 bps \| 310 bps \| \| \| Electronics \| 67 \| 56 \| 18% \| 21% \| \| \| % margin \| 24.8% \| 21.2% \| 360 bps \| 370 bps \| \| \| Industrial & Specialty \| 44 \| 42 \| 3% \| 6% \| \| \| % margin \| 23.7% \| 21.8% \| 190 bps \| 200 bps \| \| \| Adj. EPS* \| $0.25 \| $0.20 \| 25% \| \| \| [x] Organic net sales* declined 3%, driven primarily by COVID-19 related slowdowns in Electronics in Asia, particularly in China, and global demand weakness in automotive and industrial markets o Declines in Electronics largely due to weakness in Assembly in Asia, partially offset by strength in Circuitry and significant growth in Semiconductor o Continued strength in products for 5G infrastructure and data center markets o Industrial & Specialty impacted by automotive and manufacturing softness in Asia, primarily in February and March; modest declines in Energy due to weakness in Latin America o Double-digit growth in Graphics due to strong demand for packaged goods in all regions [x] Constant currency adj. EBITDA* growth of 14% and adj. EBITDA* margin expansion of 310 bps o Favorable product mix in Electronics and supply chain savings o Continued cost containment [x] Adj. EPS* growth of 25% year-over-year reflects earnings growth and fewer shares outstanding * These financial measures, on this slide and on subsequent slides, are not prepared in accordance with GAAP. For definitions, discussions of adjustments and reconciliations, please refer to the appendix of this presentation First Quarter 2020 Segment Details Electronics Net Sales ($ in millions) [x] Assembly: weakness in Asia largely due to COVID-19 related production slowdowns; declines in the Americas and Europe driven by softness in March [x] Circuitry: strong year-over-year demand from memory disk customers and for 5G-related products was partially offset by COVID-19 related declines in Asia [x] Semiconductor: growth in advanced packaging, particularly in Asia and Europe, and advanced assembly products due to increased demand from 5G infrastructure and data center markets Industrial & Specialty Net Sales ($ in millions) [x] Industrial: declines driven by weak demand from customers in construction and manufacturing markets, particularly in Europe, and automotive production declines in all regions [x] Graphics: growth driven by higher volumes of consumer packaged goods in Europe and the Americas, primarily due to COVID-19 related demand [x] Energy: growth in the U.S. was offset by declines in Latin America, which was impacted from the loss of certain business related to a specific customer in Q1 2019 Balance Sheet and Cash Flow Considerations Key Cash Flow Items [x] Q1 2020 free cash flow* of $51 million [x] Cash interest paid of $4 million reflects undrawn corporate revolver for a majority of the quarter [x] Q1 working capital growth associated with safety stock builds across all regions o Expect to release working capital in current demand environment Q1 2020 Cash Flow Uses and FY 2020 Outlook * See non-GAAP definitions and reconciliations in the appendix 1. See p.10 for reconciliation to Adjusted Share Counts 2. Based on Element Solutions' closing stock price of $8.36 at March 31, 2020 Balance Sheet Management [x] Net debt to adj. EBITDA ratio* of 3.2x on a LTM basis as of March 31, 2020 [x] In abundance of caution, drew $320 million of $330 million revolver in the last week of March; paid down entire revolver on April 20 th as capital markets stabilized [x] Approximately $500M of liquidity with no near term maturities or anticipated debt covenant compliance issues [x] Repurchased ~ 3.7 million shares in Q1 2020 at average price of $8.82 per share (~$210 million of remaining authorization under share repurchase program) Q1 2020 Capital Structure Near Term Financial Outlook [x] Major OEM shutdowns materially impacting demand in Industrial [x] Electronics supply chain weaker but resilient (expected to decline by ~10% across the portfolio) [x] Continued positive momentum in Graphics [x] Energy performance should be stable in Q2 2020 given long-lead times for offshore activity [x] April 2020 net sales of approximately $130 million [x] May 2020 should be stronger as OEMs in Europe and the Americas are expected to reopen $70 million to $75 million [x] Impact on net sales shifts from supply chain disruption to weakening demand in key end-markets [x] Approximately $50 million of annualized cost opportunity available; have actioned less than half todate [x] Expected material upside to Q2 2020 run-rate adj. EBITDA* in second half should economic conditions improve from current levels Current Market Conditions Q2 2020 Adj. EBITDA* Guidance Full Year 2020 Considerations Appendix 8 Capital Structure 741 1 800 252 Note: Totals may not sum due to rounding Element Solutions swapped its floating term loan to fixed rate through January 2024, which could vary due to changes in the euro and the U.S. dollar exchange rate. At March 31, 2020, approximately 83% of its debt was fixed and 1. 17% was floating 2. See p.10 for reconciliation to Adjusted Share Counts 3. Based on Element Solutions' closing stock price of $8.36 at March 31, 2020 Reconciliation to Adjusted Share Counts Note: Totals may not sum due to rounding 1 Equity awards with targets that are considered probable of achievement vested at target level 10 Net Income Attributable to Common Stockholders Reconciliation to Adj. EBITDA 11 Net Debt to Adj. EBITDA Ratio Reconciliation on a Trailing Twelve Month Basis 12 GAAP Net Income Reconciliation to Adjusted Diluted EPS 1. See p.10 for a reconciliation to Adjusted Share Counts 13 Organic Net Sales Growth Reconciliation \| Reported Net Sales Growth \| Impact of Currency \| Constant Currency \| Change in Pass- Through Metals Pricing \| Acquisitions \| \|---\|---\|---\|---\|---\| 14 Non-GAAP Definitions Adjusted Earnings Per Share (EPS): Adjusted EPS is a key metric used by management to measure operating performance and trends. In particular, the exclusion of certain expenses in calculating adjusted EPS facilitates operating performance comparisons on a period-to-period basis. Adjusted EPS is defined as net income (loss) from continuing operations attributable to common stockholders adjusted to reflect adjustments consistent with the Company's definition of adjusted EBITDA. Additionally, the Company eliminates the amortization associated with intangible assets, incremental depreciation associated with the step-up of fixed assets and incremental cost of sales associated with the step-up of inventories recognized in purchase accounting for acquisitions. Further, the Company adjusts its effective tax rate to 26% and 27% for the three ended March 31, 2020 and 2019, respectively, as described in the Release. Lastly, the 2019 adjusted EPS total is based on the Company's new capital structure by assuming that the sale of Agricultural Solutions had closed and the new credit agreement had been in place on January 1, 2019. The resulting adjusted net income is then divided by the Company's adjusted common shares outstanding. Adjusted common shares outstanding represent the shares outstanding as of the balance sheet date for the quarter-to-date period and an average of each quarter for the year-to-date period. Adjusted common shares outstanding consists of common shares outstanding, plus the shares that would be issued if all convertible stock was converted to common stock, stock options were vested and exercised, and equity grants with targets that are considered probable of achievement were vested at target level and issued. Constant Currency: Management discloses net sales and adjusted EBITDA on a constant currency basis by adjusting results to exclude the impact of changes due to the translation of foreign currencies of its international locations into U.S. dollar. Management believes this non-GAAP financial information facilitates period-to-period comparison in the analysis of trends in business performance, thereby providing valuable supplemental information regarding its results of operations, consistent with how the Company evaluates its financial results. The impact of foreign currency is calculated by converting the Company's current-period local currency financial results into U.S. dollar using the prior period's exchange rates and comparing these adjusted amounts to its prior period reported results. The difference between actual growth rates and constant currency growth rates represents the impact of foreign currency translation. EBITDA and Adjusted EBITDA: EBITDA represents earnings before interest, provision for income taxes, depreciation and amortization. Adjusted EBITDA is defined as EBITDA, excluding the impact of additional items included in GAAP earnings which the Company believes are not representative or indicative of its ongoing business or are considered to be associated with its capital structure, as described in the Release. Adjusted EBITDA for each segment also includes an allocation of corporate costs, such as compensation expense and professional fees. Management believes adjusted EBITDA and adjusted EBITDA margin provide investors with a more complete understanding of the long-term profitability trends of the Company's business and facilitate comparisons of its profitability to prior and future periods. However, these measures, which do not consider certain cash requirements, should not be construed as an alternative to net income or cash flow from operations as a measure of profitability or liquidity. Net Debt to Adjusted EBITDA ratio: Net debt to adjusted EBITDA ratio is defined as total debt (current installments of long-term debt, revolving credit facilities and long-term debt), excluding unamortized discounts and debt issuance costs, which totaled $21.5 million at March 31, 2020, less cash divided by adjusted EBITDA. Free Cash Flow: Free cash flow is defined as net cash flows from operating activities less net capital expenditures. Net capital expenditures include capital expenditures less proceeds from the disposal of property, plant and equipment. Management believes that free cash flow, which measures the Company's ability to generate cash from its business operations, is an important financial measure for use in evaluating the Company's financial performance. However, free cash flow should be considered in addition to, rather than as a substitute for net cash provided by operating activities as a measure of the Company's liquidity. Organic Net Sales Growth: Organic net sales growth is defined as net sales excluding the impact of foreign currency translation, changes due to the pass-through pricing of certain metals and acquisitions and/ or divestitures, as applicable. Management believes this non-GAAP financial measure provides investors with a more complete understanding of the underlying net sales trends by providing comparable net sales over differing periods on a consistent basis. For the three months ended March 31, 2020, Electronics' and the Company's consolidated results were positively impacted by $14.4 million of acquisitions and negatively impacted by $2.1 million of pass-through metals pricing. ********************************************************************************************************************************************************************************************************************************* The Company only provides Q2 2020 adjusted EBITDA guidance on a non-GAAP basis and does not provide reconciliation of this forward-looking non-GAAP measure to GAAP due to the inherent difficulty in forecasting and quantifying certain amounts that are necessary for such reconciliation, including adjustments that could be made for restructurings, refinancings, impairments, divestitures, integration-related expenses, share-based compensation amounts, non-recurring, unusual or unanticipated charges, expenses or gains, adjustments to inventory and other charges reflected in its reconciliation of historic numbers, the amount of which, based on historical experience, could be significant. 15	<urn:uuid:56b1dae5-75c5-4560-95ce-aff1d7035781>	CC-MAIN-2021-39	https://d1io3yog0oux5.cloudfront.net/_c8bf8ebf9c8012c9d28203f821105cbc/elementsolutionsinc/db/262/2258/earnings_presentation/1Q+2020_Earnings+Deck_vFF.pdf	2021-09-19T19:41:32+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-39/subset=warc/part-00080-f465d820-0362-4c4c-a396-c69f5fd24cc4.c000.gz.parquet	250,759,762	4,060	eng_Latn	eng_Latn	0.852174	eng_Latn	0.989061	[ "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn" ]	false	rolmOCR	[ 57, 6119, 7193, 9098, 10203, 11384, 12322, 12335, 12799, 12984, 13066, 13149, 13268, 13463, 19750 ]	First Quarter 2020 Earnings Presentation April 1 2020 Legal Notices SAFE HARBOR Please note that in this presentation, we may discuss events or results that have not yet occurred or been realized, commonly referred to as forward-looking statements. The Private Securities Litigation Reform Act of 1995 provides a safe harbor for forward-looking statements made by or on behalf of the Company. Such discussion and statements will often contain words such as "expect," "anticipate," "project," "will," "should," "believe," "intend," "plan," "assume," "estimate," "predict," "seek," "continue," "outlook," "may," "might," "aim," "can have," "likely," "potential," "target," "hope," "goal," "priority" or "guidance" and variations of such words and similar expressions, and relate in this presentation, without limitation, to the COVID-19 impact to date on the Company as a whole, as well as on each of its segments; the Company's recent actions in response to COVID-19; operating expenses savings activities; cost containment; impact of the loss of certain business in Q1 2019; market and business considerations for its segments, end-markets and net sales; working capital; FY 2020 cash flow outlook, including cash interest, cash taxes and net capex; liquidity; debt covenant compliance; near term financial outlook, including market conditions, energy performance in Q2 2020, April 2020 net sales outlook, reopening of OEMs in May 2020, Q2 2020 adjusted EBITDA guidance, full year 2020 considerations, $50 million annualized cost opportunity for FY 2020 and Q2 2020 run-rate adjusted EBITDA. These projections and statements reflect management's estimates, assumptions and expectations with respect to future events and financial performance and are believed to be reasonable, though are inherently uncertain and difficult to predict. Such projections and statements are based on the assessment of information available to management as of the current date, and management does not undertake any obligations to provide any further updates. Actual results could differ materially from those expressed or implied in the forward-looking statements if one or more of the underlying esti	mates, assumptions or expectations prove to be inaccurate or are unrealized.	Important factors that could cause actual results to differ materially from those suggested by these forward-looking statements include, but are not limited to, the duration and spread of the coronavirus (COVID-19) pandemic; new information concerning its transmission and severity; actions taken or that might be taken by governments, businesses or individuals to contain or reduce its repercussions and mitigate its economic implications; the Company's ability to realize the expected benefits its cost containment and cost savings measures; business and management strategies; debt and debt leverage ratio; shares repurchases; expected returns to stockholders; and the impact of acquisitions, divestitures, restructurings, refinancings, impairments and other unusual items, including the Company's ability to raise and/or retire new debt and/or equity and to integrate and obtain the anticipated benefits, results and synergies from these items or other related strategic initiatives. Additional information concerning these and other factors that could cause actual results to vary is, or will be, included in the Company's periodic and other reports filed with the Securities and Exchange Commission. The Company undertakes no obligation to update any forward-looking statements, whether as a result of new information, future events or otherwise. NON-GAAP FINANCIAL MEASURES To supplement the financial measures prepared in accordance with generally accepted accounting principles in the United States ("GAAP"), the Company uses the following nonGAAP financial measures: EBITDA, adjusted EBITDA, adjusted EBITDA margin, adjusted EPS, adjusted common shares outstanding, Q2 2020 adjusted EBITDA guidance, free cash flow, net debt to adjusted EBITDA ratio and organic net sales growth. The Company also evaluates and presents its results of operations on a constant currency basis. The definitions and reconciliations of these non-GAAP measures to the most directly comparable financial measures calculated and presented in accordance with GAAP can be found in the footnotes and appendix of this presentation and in the Company's earnings release dated April 30, 2020 (the "Release"), a copy of which can be found on the Company's website at www.elementsolutionsinc.com. This presentation should be read in conjunction with the Release. Management internally reviews each of these non-GAAP measures to evaluate performance on a comparative period-to-period basis in terms of absolute performance, trends and expected future performance with respect to the Company's businesses and believes that these non-GAAP measures provide investors with an additional perspective on trends and underlying operating results on a period-to-period comparable basis. The Company also believes that investors find this information helpful in understanding the ongoing performance of its operations separate from items that may have a disproportionate positive or negative impact on its financial results in any particular period. These non-GAAP financial measures, however, have limitations as analytical tools, and should not be considered in isolation from, a substitute for, or superior to, the related financial information that the Company reports in accordance with GAAP. Investors are encouraged to review the reconciliations of these non-GAAP financial measures to their most comparable GAAP financial measures included herein and in the Release, and not to rely on any single financial measure to evaluate the Company's businesses. In addition, this presentation includes Q1 2020 cash flow uses and FY 2020 outlook, Q1 2020 free cash flow and April 2020 net sales information. This data is provided for informational purposes only and is not necessarily, and should not be assumed to be, an indication of the results that may be achieved in the future. COVID-19 Update and Recent Actions Prioritizing People & Business Continuity [x] Protecting the health and safety of our people and their families by promoting a healthy and safe working environment [x] All facilities increased health and safety protocols to meet or exceed new local and national regulatory requirements [x] Nearly all "non-essential" personnel working from home or on staggered shifts; travel limited to customer requirements [x] Ongoing dialogue with customers and suppliers to ensure supply chain continuity Supply Chain Status Financial Actions To Date [x] All facilities open and producing o Received special approval in multiple regions to operate for critical material supply for medical products [x] Built excess safety stock inventory [x] Developed manufacturing redundancy across multiple sites [x] Continued opex savings activities [x] Salary reductions for all senior leadership and select commercial and functional organizations [x] Increased focus on customer credit and collections [x] Drew (and subsequently repaid) corporate revolver First Quarter 2020 Financial Results \| \| \| \| \| Constant Currency* \| Organic* \| \|---\|---\|---\|---\|---\|---\| \| ($ in millions) \| Q1 2020 \| Q1 2019 \| YoY \| YoY \| YoY \| \| Net Sales \| $453 \| $460 \| (2%) \| 0% \| (3%) \| \| Electronics \| 269 \| 266 \| 1% \| 3% \| (2%) \| \| Industrial & Specialty \| 184 \| 194 \| (5%) \| (3%) \| (3%) \| \| GAAP Diluted EPS \| $0.03 \| $(0.02) \| \| \| \| \| Adj. EBITDA* \| $110 \| $99 \| 12% \| 14% \| \| \| % margin \| 24.3% \| 21.4% \| 290 bps \| 310 bps \| \| \| Electronics \| 67 \| 56 \| 18% \| 21% \| \| \| % margin \| 24.8% \| 21.2% \| 360 bps \| 370 bps \| \| \| Industrial & Specialty \| 44 \| 42 \| 3% \| 6% \| \| \| % margin \| 23.7% \| 21.8% \| 190 bps \| 200 bps \| \| \| Adj. EPS* \| $0.25 \| $0.20 \| 25% \| \| \| [x] Organic net sales* declined 3%, driven primarily by COVID-19 related slowdowns in Electronics in Asia, particularly in China, and global demand weakness in automotive and industrial markets o Declines in Electronics largely due to weakness in Assembly in Asia, partially offset by strength in Circuitry and significant growth in Semiconductor o Continued strength in products for 5G infrastructure and data center markets o Industrial & Specialty impacted by automotive and manufacturing softness in Asia, primarily in February and March; modest declines in Energy due to weakness in Latin America o Double-digit growth in Graphics due to strong demand for packaged goods in all regions [x] Constant currency adj. EBITDA* growth of 14% and adj. EBITDA* margin expansion of 310 bps o Favorable product mix in Electronics and supply chain savings o Continued cost containment [x] Adj. EPS* growth of 25% year-over-year reflects earnings growth and fewer shares outstanding * These financial measures, on this slide and on subsequent slides, are not prepared in accordance with GAAP. For definitions, discussions of adjustments and reconciliations, please refer to the appendix of this presentation First Quarter 2020 Segment Details Electronics Net Sales ($ in millions) [x] Assembly: weakness in Asia largely due to COVID-19 related production slowdowns; declines in the Americas and Europe driven by softness in March [x] Circuitry: strong year-over-year demand from memory disk customers and for 5G-related products was partially offset by COVID-19 related declines in Asia [x] Semiconductor: growth in advanced packaging, particularly in Asia and Europe, and advanced assembly products due to increased demand from 5G infrastructure and data center markets Industrial & Specialty Net Sales ($ in millions) [x] Industrial: declines driven by weak demand from customers in construction and manufacturing markets, particularly in Europe, and automotive production declines in all regions [x] Graphics: growth driven by higher volumes of consumer packaged goods in Europe and the Americas, primarily due to COVID-19 related demand [x] Energy: growth in the U.S. was offset by declines in Latin America, which was impacted from the loss of certain business related to a specific customer in Q1 2019 Balance Sheet and Cash Flow Considerations Key Cash Flow Items [x] Q1 2020 free cash flow* of $51 million [x] Cash interest paid of $4 million reflects undrawn corporate revolver for a majority of the quarter [x] Q1 working capital growth associated with safety stock builds across all regions o Expect to release working capital in current demand environment Q1 2020 Cash Flow Uses and FY 2020 Outlook * See non-GAAP definitions and reconciliations in the appendix 1. See p.10 for reconciliation to Adjusted Share Counts 2. Based on Element Solutions' closing stock price of $8.36 at March 31, 2020 Balance Sheet Management [x] Net debt to adj. EBITDA ratio* of 3.2x on a LTM basis as of March 31, 2020 [x] In abundance of caution, drew $320 million of $330 million revolver in the last week of March; paid down entire revolver on April 20 th as capital markets stabilized [x] Approximately $500M of liquidity with no near term maturities or anticipated debt covenant compliance issues [x] Repurchased ~ 3.7 million shares in Q1 2020 at average price of $8.82 per share (~$210 million of remaining authorization under share repurchase program) Q1 2020 Capital Structure Near Term Financial Outlook [x] Major OEM shutdowns materially impacting demand in Industrial [x] Electronics supply chain weaker but resilient (expected to decline by ~10% across the portfolio) [x] Continued positive momentum in Graphics [x] Energy performance should be stable in Q2 2020 given long-lead times for offshore activity [x] April 2020 net sales of approximately $130 million [x] May 2020 should be stronger as OEMs in Europe and the Americas are expected to reopen $70 million to $75 million [x] Impact on net sales shifts from supply chain disruption to weakening demand in key end-markets [x] Approximately $50 million of annualized cost opportunity available; have actioned less than half todate [x] Expected material upside to Q2 2020 run-rate adj. EBITDA* in second half should economic conditions improve from current levels Current Market Conditions Q2 2020 Adj. EBITDA* Guidance Full Year 2020 Considerations Appendix 8 Capital Structure 741 1 800 252 Note: Totals may not sum due to rounding Element Solutions swapped its floating term loan to fixed rate through January 2024, which could vary due to changes in the euro and the U.S. dollar exchange rate. At March 31, 2020, approximately 83% of its debt was fixed and 1. 17% was floating 2. See p.10 for reconciliation to Adjusted Share Counts 3. Based on Element Solutions' closing stock price of $8.36 at March 31, 2020 Reconciliation to Adjusted Share Counts Note: Totals may not sum due to rounding 1 Equity awards with targets that are considered probable of achievement vested at target level 10 Net Income Attributable to Common Stockholders Reconciliation to Adj. EBITDA 11 Net Debt to Adj. EBITDA Ratio Reconciliation on a Trailing Twelve Month Basis 12 GAAP Net Income Reconciliation to Adjusted Diluted EPS 1. See p.10 for a reconciliation to Adjusted Share Counts 13 Organic Net Sales Growth Reconciliation \| Reported Net Sales Growth \| Impact of Currency \| Constant Currency \| Change in Pass- Through Metals Pricing \| Acquisitions \| \|---\|---\|---\|---\|---\| 14 Non-GAAP Definitions Adjusted Earnings Per Share (EPS): Adjusted EPS is a key metric used by management to measure operating performance and trends. In particular, the exclusion of certain expenses in calculating adjusted EPS facilitates operating performance comparisons on a period-to-period basis. Adjusted EPS is defined as net income (loss) from continuing operations attributable to common stockholders adjusted to reflect adjustments consistent with the Company's definition of adjusted EBITDA. Additionally, the Company eliminates the amortization associated with intangible assets, incremental depreciation associated with the step-up of fixed assets and incremental cost of sales associated with the step-up of inventories recognized in purchase accounting for acquisitions. Further, the Company adjusts its effective tax rate to 26% and 27% for the three ended March 31, 2020 and 2019, respectively, as described in the Release. Lastly, the 2019 adjusted EPS total is based on the Company's new capital structure by assuming that the sale of Agricultural Solutions had closed and the new credit agreement had been in place on January 1, 2019. The resulting adjusted net income is then divided by the Company's adjusted common shares outstanding. Adjusted common shares outstanding represent the shares outstanding as of the balance sheet date for the quarter-to-date period and an average of each quarter for the year-to-date period. Adjusted common shares outstanding consists of common shares outstanding, plus the shares that would be issued if all convertible stock was converted to common stock, stock options were vested and exercised, and equity grants with targets that are considered probable of achievement were vested at target level and issued. Constant Currency: Management discloses net sales and adjusted EBITDA on a constant currency basis by adjusting results to exclude the impact of changes due to the translation of foreign currencies of its international locations into U.S. dollar. Management believes this non-GAAP financial information facilitates period-to-period comparison in the analysis of trends in business performance, thereby providing valuable supplemental information regarding its results of operations, consistent with how the Company evaluates its financial results. The impact of foreign currency is calculated by converting the Company's current-period local currency financial results into U.S. dollar using the prior period's exchange rates and comparing these adjusted amounts to its prior period reported results. The difference between actual growth rates and constant currency growth rates represents the impact of foreign currency translation. EBITDA and Adjusted EBITDA: EBITDA represents earnings before interest, provision for income taxes, depreciation and amortization. Adjusted EBITDA is defined as EBITDA, excluding the impact of additional items included in GAAP earnings which the Company believes are not representative or indicative of its ongoing business or are considered to be associated with its capital structure, as described in the Release. Adjusted EBITDA for each segment also includes an allocation of corporate costs, such as compensation expense and professional fees. Management believes adjusted EBITDA and adjusted EBITDA margin provide investors with a more complete understanding of the long-term profitability trends of the Company's business and facilitate comparisons of its profitability to prior and future periods. However, these measures, which do not consider certain cash requirements, should not be construed as an alternative to net income or cash flow from operations as a measure of profitability or liquidity. Net Debt to Adjusted EBITDA ratio: Net debt to adjusted EBITDA ratio is defined as total debt (current installments of long-term debt, revolving credit facilities and long-term debt), excluding unamortized discounts and debt issuance costs, which totaled $21.5 million at March 31, 2020, less cash divided by adjusted EBITDA. Free Cash Flow: Free cash flow is defined as net cash flows from operating activities less net capital expenditures. Net capital expenditures include capital expenditures less proceeds from the disposal of property, plant and equipment. Management believes that free cash flow, which measures the Company's ability to generate cash from its business operations, is an important financial measure for use in evaluating the Company's financial performance. However, free cash flow should be considered in addition to, rather than as a substitute for net cash provided by operating activities as a measure of the Company's liquidity. Organic Net Sales Growth: Organic net sales growth is defined as net sales excluding the impact of foreign currency translation, changes due to the pass-through pricing of certain metals and acquisitions and/ or divestitures, as applicable. Management believes this non-GAAP financial measure provides investors with a more complete understanding of the underlying net sales trends by providing comparable net sales over differing periods on a consistent basis. For the three months ended March 31, 2020, Electronics' and the Company's consolidated results were positively impacted by $14.4 million of acquisitions and negatively impacted by $2.1 million of pass-through metals pricing. ********************************************************************************************************************************************************************************************************************************* The Company only provides Q2 2020 adjusted EBITDA guidance on a non-GAAP basis and does not provide reconciliation of this forward-looking non-GAAP measure to GAAP due to the inherent difficulty in forecasting and quantifying certain amounts that are necessary for such reconciliation, including adjustments that could be made for restructurings, refinancings, impairments, divestitures, integration-related expenses, share-based compensation amounts, non-recurring, unusual or unanticipated charges, expenses or gains, adjustments to inventory and other charges reflected in its reconciliation of historic numbers, the amount of which, based on historical experience, could be significant. 15	2,190	inside_word	estimates,	remove_one_sentence	<url> https://d1io3yog0oux5.cloudfront.net/_c8bf8ebf9c8012c9d28203f821105cbc/elementsolutionsinc/db/262/2258/earnings_presentation/1Q+2020_Earnings+Deck_vFF.pdf </url> <text> First Quarter 2020 Earnings Presentation April 1 2020 Legal Notices SAFE HARBOR Please note that in this presentation, we may discuss events or results that have not yet occurred or been realized, commonly referred to as forward-looking statements. The Private Securities Litigation Reform Act of 1995 provides a safe harbor for forward-looking statements made by or on behalf of the Company. Such discussion and statements will often contain words such as "expect," "anticipate," "project," "will," "should," "believe," "intend," "plan," "assume," "estimate," "predict," "seek," "continue," "outlook," "may," "might," "aim," "can have," "likely," "potential," "target," "hope," "goal," "priority" or "guidance" and variations of such words and similar expressions, and relate in this presentation, without limitation, to the COVID-19 impact to date on the Company as a whole, as well as on each of its segments; the Company's recent actions in response to COVID-19; operating expenses savings activities; cost containment; impact of the loss of certain business in Q1 2019; market and business considerations for its segments, end-markets and net sales; working capital; FY 2020 cash flow outlook, including cash interest, cash taxes and net capex; liquidity; debt covenant compliance; near term financial outlook, including market conditions, energy performance in Q2 2020, April 2020 net sales outlook, reopening of OEMs in May 2020, Q2 2020 adjusted EBITDA guidance, full year 2020 considerations, $50 million annualized cost opportunity for FY 2020 and Q2 2020 run-rate adjusted EBITDA. These projections and statements reflect management's estimates, assumptions and expectations with respect to future events and financial performance and are believed to be reasonable, though are inherently uncertain and difficult to predict. Such projections and statements are based on the assessment of information available to management as of the current date, and management does not undertake any obligations to provide any further updates. Actual results could differ materially from those expressed or implied in the forward-looking statements if one or more of the underlying esti<cursor_is_here> Important factors that could cause actual results to differ materially from those suggested by these forward-looking statements include, but are not limited to, the duration and spread of the coronavirus (COVID-19) pandemic; new information concerning its transmission and severity; actions taken or that might be taken by governments, businesses or individuals to contain or reduce its repercussions and mitigate its economic implications; the Company's ability to realize the expected benefits its cost containment and cost savings measures; business and management strategies; debt and debt leverage ratio; shares repurchases; expected returns to stockholders; and the impact of acquisitions, divestitures, restructurings, refinancings, impairments and other unusual items, including the Company's ability to raise and/or retire new debt and/or equity and to integrate and obtain the anticipated benefits, results and synergies from these items or other related strategic initiatives. Additional information concerning these and other factors that could cause actual results to vary is, or will be, included in the Company's periodic and other reports filed with the Securities and Exchange Commission. The Company undertakes no obligation to update any forward-looking statements, whether as a result of new information, future events or otherwise. NON-GAAP FINANCIAL MEASURES To supplement the financial measures prepared in accordance with generally accepted accounting principles in the United States ("GAAP"), the Company uses the following nonGAAP financial measures: EBITDA, adjusted EBITDA, adjusted EBITDA margin, adjusted EPS, adjusted common shares outstanding, Q2 2020 adjusted EBITDA guidance, free cash flow, net debt to adjusted EBITDA ratio and organic net sales growth. The Company also evaluates and presents its results of operations on a constant currency basis. The definitions and reconciliations of these non-GAAP measures to the most directly comparable financial measures calculated and presented in accordance with GAAP can be found in the footnotes and appendix of this presentation and in the Company's earnings release dated April 30, 2020 (the "Release"), a copy of which can be found on the Company's website at www.elementsolutionsinc.com. This presentation should be read in conjunction with the Release. Management internally reviews each of these non-GAAP measures to evaluate performance on a comparative period-to-period basis in terms of absolute performance, trends and expected future performance with respect to the Company's businesses and believes that these non-GAAP measures provide investors with an additional perspective on trends and underlying operating results on a period-to-period comparable basis. The Company also believes that investors find this information helpful in understanding the ongoing performance of its operations separate from items that may have a disproportionate positive or negative impact on its financial results in any particular period. These non-GAAP financial measures, however, have limitations as analytical tools, and should not be considered in isolation from, a substitute for, or superior to, the related financial information that the Company reports in accordance with GAAP. Investors are encouraged to review the reconciliations of these non-GAAP financial measures to their most comparable GAAP financial measures included herein and in the Release, and not to rely on any single financial measure to evaluate the Company's businesses. In addition, this presentation includes Q1 2020 cash flow uses and FY 2020 outlook, Q1 2020 free cash flow and April 2020 net sales information. This data is provided for informational purposes only and is not necessarily, and should not be assumed to be, an indication of the results that may be achieved in the future. COVID-19 Update and Recent Actions Prioritizing People & Business Continuity [x] Protecting the health and safety of our people and their families by promoting a healthy and safe working environment [x] All facilities increased health and safety protocols to meet or exceed new local and national regulatory requirements [x] Nearly all "non-essential" personnel working from home or on staggered shifts; travel limited to customer requirements [x] Ongoing dialogue with customers and suppliers to ensure supply chain continuity Supply Chain Status Financial Actions To Date [x] All facilities open and producing o Received special approval in multiple regions to operate for critical material supply for medical products [x] Built excess safety stock inventory [x] Developed manufacturing redundancy across multiple sites [x] Continued opex savings activities [x] Salary reductions for all senior leadership and select commercial and functional organizations [x] Increased focus on customer credit and collections [x] Drew (and subsequently repaid) corporate revolver First Quarter 2020 Financial Results \| \| \| \| \| Constant Currency* \| Organic* \| \|---\|---\|---\|---\|---\|---\| \| ($ in millions) \| Q1 2020 \| Q1 2019 \| YoY \| YoY \| YoY \| \| Net Sales \| $453 \| $460 \| (2%) \| 0% \| (3%) \| \| Electronics \| 269 \| 266 \| 1% \| 3% \| (2%) \| \| Industrial & Specialty \| 184 \| 194 \| (5%) \| (3%) \| (3%) \| \| GAAP Diluted EPS \| $0.03 \| $(0.02) \| \| \| \| \| Adj. EBITDA* \| $110 \| $99 \| 12% \| 14% \| \| \| % margin \| 24.3% \| 21.4% \| 290 bps \| 310 bps \| \| \| Electronics \| 67 \| 56 \| 18% \| 21% \| \| \| % margin \| 24.8% \| 21.2% \| 360 bps \| 370 bps \| \| \| Industrial & Specialty \| 44 \| 42 \| 3% \| 6% \| \| \| % margin \| 23.7% \| 21.8% \| 190 bps \| 200 bps \| \| \| Adj. EPS* \| $0.25 \| $0.20 \| 25% \| \| \| [x] Organic net sales* declined 3%, driven primarily by COVID-19 related slowdowns in Electronics in Asia, particularly in China, and global demand weakness in automotive and industrial markets o Declines in Electronics largely due to weakness in Assembly in Asia, partially offset by strength in Circuitry and significant growth in Semiconductor o Continued strength in products for 5G infrastructure and data center markets o Industrial & Specialty impacted by automotive and manufacturing softness in Asia, primarily in February and March; modest declines in Energy due to weakness in Latin America o Double-digit growth in Graphics due to strong demand for packaged goods in all regions [x] Constant currency adj. EBITDA* growth of 14% and adj. EBITDA* margin expansion of 310 bps o Favorable product mix in Electronics and supply chain savings o Continued cost containment [x] Adj. EPS* growth of 25% year-over-year reflects earnings growth and fewer shares outstanding * These financial measures, on this slide and on subsequent slides, are not prepared in accordance with GAAP. For definitions, discussions of adjustments and reconciliations, please refer to the appendix of this presentation First Quarter 2020 Segment Details Electronics Net Sales ($ in millions) [x] Assembly: weakness in Asia largely due to COVID-19 related production slowdowns; declines in the Americas and Europe driven by softness in March [x] Circuitry: strong year-over-year demand from memory disk customers and for 5G-related products was partially offset by COVID-19 related declines in Asia [x] Semiconductor: growth in advanced packaging, particularly in Asia and Europe, and advanced assembly products due to increased demand from 5G infrastructure and data center markets Industrial & Specialty Net Sales ($ in millions) [x] Industrial: declines driven by weak demand from customers in construction and manufacturing markets, particularly in Europe, and automotive production declines in all regions [x] Graphics: growth driven by higher volumes of consumer packaged goods in Europe and the Americas, primarily due to COVID-19 related demand [x] Energy: growth in the U.S. was offset by declines in Latin America, which was impacted from the loss of certain business related to a specific customer in Q1 2019 Balance Sheet and Cash Flow Considerations Key Cash Flow Items [x] Q1 2020 free cash flow* of $51 million [x] Cash interest paid of $4 million reflects undrawn corporate revolver for a majority of the quarter [x] Q1 working capital growth associated with safety stock builds across all regions o Expect to release working capital in current demand environment Q1 2020 Cash Flow Uses and FY 2020 Outlook * See non-GAAP definitions and reconciliations in the appendix 1. See p.10 for reconciliation to Adjusted Share Counts 2. Based on Element Solutions' closing stock price of $8.36 at March 31, 2020 Balance Sheet Management [x] Net debt to adj. EBITDA ratio* of 3.2x on a LTM basis as of March 31, 2020 [x] In abundance of caution, drew $320 million of $330 million revolver in the last week of March; paid down entire revolver on April 20 th as capital markets stabilized [x] Approximately $500M of liquidity with no near term maturities or anticipated debt covenant compliance issues [x] Repurchased ~ 3.7 million shares in Q1 2020 at average price of $8.82 per share (~$210 million of remaining authorization under share repurchase program) Q1 2020 Capital Structure Near Term Financial Outlook [x] Major OEM shutdowns materially impacting demand in Industrial [x] Electronics supply chain weaker but resilient (expected to decline by ~10% across the portfolio) [x] Continued positive momentum in Graphics [x] Energy performance should be stable in Q2 2020 given long-lead times for offshore activity [x] April 2020 net sales of approximately $130 million [x] May 2020 should be stronger as OEMs in Europe and the Americas are expected to reopen $70 million to $75 million [x] Impact on net sales shifts from supply chain disruption to weakening demand in key end-markets [x] Approximately $50 million of annualized cost opportunity available; have actioned less than half todate [x] Expected material upside to Q2 2020 run-rate adj. EBITDA* in second half should economic conditions improve from current levels Current Market Conditions Q2 2020 Adj. EBITDA* Guidance Full Year 2020 Considerations Appendix 8 Capital Structure 741 1 800 252 Note: Totals may not sum due to rounding Element Solutions swapped its floating term loan to fixed rate through January 2024, which could vary due to changes in the euro and the U.S. dollar exchange rate. At March 31, 2020, approximately 83% of its debt was fixed and 1. 17% was floating 2. See p.10 for reconciliation to Adjusted Share Counts 3. Based on Element Solutions' closing stock price of $8.36 at March 31, 2020 Reconciliation to Adjusted Share Counts Note: Totals may not sum due to rounding 1 Equity awards with targets that are considered probable of achievement vested at target level 10 Net Income Attributable to Common Stockholders Reconciliation to Adj. EBITDA 11 Net Debt to Adj. EBITDA Ratio Reconciliation on a Trailing Twelve Month Basis 12 GAAP Net Income Reconciliation to Adjusted Diluted EPS 1. See p.10 for a reconciliation to Adjusted Share Counts 13 Organic Net Sales Growth Reconciliation \| Reported Net Sales Growth \| Impact of Currency \| Constant Currency \| Change in Pass- Through Metals Pricing \| Acquisitions \| \|---\|---\|---\|---\|---\| 14 Non-GAAP Definitions Adjusted Earnings Per Share (EPS): Adjusted EPS is a key metric used by management to measure operating performance and trends. In particular, the exclusion of certain expenses in calculating adjusted EPS facilitates operating performance comparisons on a period-to-period basis. Adjusted EPS is defined as net income (loss) from continuing operations attributable to common stockholders adjusted to reflect adjustments consistent with the Company's definition of adjusted EBITDA. Additionally, the Company eliminates the amortization associated with intangible assets, incremental depreciation associated with the step-up of fixed assets and incremental cost of sales associated with the step-up of inventories recognized in purchase accounting for acquisitions. Further, the Company adjusts its effective tax rate to 26% and 27% for the three ended March 31, 2020 and 2019, respectively, as described in the Release. Lastly, the 2019 adjusted EPS total is based on the Company's new capital structure by assuming that the sale of Agricultural Solutions had closed and the new credit agreement had been in place on January 1, 2019. The resulting adjusted net income is then divided by the Company's adjusted common shares outstanding. Adjusted common shares outstanding represent the shares outstanding as of the balance sheet date for the quarter-to-date period and an average of each quarter for the year-to-date period. Adjusted common shares outstanding consists of common shares outstanding, plus the shares that would be issued if all convertible stock was converted to common stock, stock options were vested and exercised, and equity grants with targets that are considered probable of achievement were vested at target level and issued. Constant Currency: Management discloses net sales and adjusted EBITDA on a constant currency basis by adjusting results to exclude the impact of changes due to the translation of foreign currencies of its international locations into U.S. dollar. Management believes this non-GAAP financial information facilitates period-to-period comparison in the analysis of trends in business performance, thereby providing valuable supplemental information regarding its results of operations, consistent with how the Company evaluates its financial results. The impact of foreign currency is calculated by converting the Company's current-period local currency financial results into U.S. dollar using the prior period's exchange rates and comparing these adjusted amounts to its prior period reported results. The difference between actual growth rates and constant currency growth rates represents the impact of foreign currency translation. EBITDA and Adjusted EBITDA: EBITDA represents earnings before interest, provision for income taxes, depreciation and amortization. Adjusted EBITDA is defined as EBITDA, excluding the impact of additional items included in GAAP earnings which the Company believes are not representative or indicative of its ongoing business or are considered to be associated with its capital structure, as described in the Release. Adjusted EBITDA for each segment also includes an allocation of corporate costs, such as compensation expense and professional fees. Management believes adjusted EBITDA and adjusted EBITDA margin provide investors with a more complete understanding of the long-term profitability trends of the Company's business and facilitate comparisons of its profitability to prior and future periods. However, these measures, which do not consider certain cash requirements, should not be construed as an alternative to net income or cash flow from operations as a measure of profitability or liquidity. Net Debt to Adjusted EBITDA ratio: Net debt to adjusted EBITDA ratio is defined as total debt (current installments of long-term debt, revolving credit facilities and long-term debt), excluding unamortized discounts and debt issuance costs, which totaled $21.5 million at March 31, 2020, less cash divided by adjusted EBITDA. Free Cash Flow: Free cash flow is defined as net cash flows from operating activities less net capital expenditures. Net capital expenditures include capital expenditures less proceeds from the disposal of property, plant and equipment. Management believes that free cash flow, which measures the Company's ability to generate cash from its business operations, is an important financial measure for use in evaluating the Company's financial performance. However, free cash flow should be considered in addition to, rather than as a substitute for net cash provided by operating activities as a measure of the Company's liquidity. Organic Net Sales Growth: Organic net sales growth is defined as net sales excluding the impact of foreign currency translation, changes due to the pass-through pricing of certain metals and acquisitions and/ or divestitures, as applicable. Management believes this non-GAAP financial measure provides investors with a more complete understanding of the underlying net sales trends by providing comparable net sales over differing periods on a consistent basis. For the three months ended March 31, 2020, Electronics' and the Company's consolidated results were positively impacted by $14.4 million of acquisitions and negatively impacted by $2.1 million of pass-through metals pricing. ********************************************************************************************************************************************************************************************************************************* The Company only provides Q2 2020 adjusted EBITDA guidance on a non-GAAP basis and does not provide reconciliation of this forward-looking non-GAAP measure to GAAP due to the inherent difficulty in forecasting and quantifying certain amounts that are necessary for such reconciliation, including adjustments that could be made for restructurings, refinancings, impairments, divestitures, integration-related expenses, share-based compensation amounts, non-recurring, unusual or unanticipated charges, expenses or gains, adjustments to inventory and other charges reflected in its reconciliation of historic numbers, the amount of which, based on historical experience, could be significant. 15 </text>	[ { "content": "<url>\nhttps://d1io3yog0oux5.cloudfront.net/_c8bf8ebf9c8012c9d28203f821105cbc/elementsolutionsinc/db/262/2258/earnings_presentation/1Q+2020_Earnings+Deck_vFF.pdf\n</url>\n<text>\nFirst Quarter 2020\n\nEarnings Presentation\n\nApril\n\n1\n\n2020\n\nLegal Notices\n\nSAFE HARBOR\n\nPlease note that in this presentation, we may discuss events or results that have not yet occurred or been realized, commonly referred to as forward-looking statements. The Private Securities Litigation Reform Act of 1995 provides a safe harbor for forward-looking statements made by or on behalf of the Company. Such discussion and statements will often contain words such as \"expect,\" \"anticipate,\" \"project,\" \"will,\" \"should,\" \"believe,\" \"intend,\" \"plan,\" \"assume,\" \"estimate,\" \"predict,\" \"seek,\" \"continue,\" \"outlook,\" \"may,\" \"might,\" \"aim,\" \"can have,\" \"likely,\" \"potential,\" \"target,\" \"hope,\" \"goal,\" \"priority\" or \"guidance\" and variations of such words and similar expressions, and relate in this presentation, without limitation, to the COVID-19 impact to date on the Company as a whole, as well as on each of its segments; the Company's recent actions in response to COVID-19; operating expenses savings activities; cost containment; impact of the loss of certain business in Q1 2019; market and business considerations for its segments, end-markets and net sales; working capital; FY 2020 cash flow outlook, including cash interest, cash taxes and net capex; liquidity; debt covenant compliance; near term financial outlook, including market conditions, energy performance in Q2 2020, April 2020 net sales outlook, reopening of OEMs in May 2020, Q2 2020 adjusted EBITDA guidance, full year 2020 considerations, $50 million annualized cost opportunity for FY 2020 and Q2 2020 run-rate adjusted EBITDA.\n\nThese projections and statements reflect management's estimates, assumptions and expectations with respect to future events and financial performance and are believed to be reasonable, though are inherently uncertain and difficult to predict. Such projections and statements are based on the assessment of information available to management as of the current date, and management does not undertake any obligations to provide any further updates. Actual results could differ materially from those expressed or implied in the forward-looking statements if one or more of the underlying esti<cursor_is_here> Important factors that could cause actual results to differ materially from those suggested by these forward-looking statements include, but are not limited to, the duration and spread of the coronavirus (COVID-19) pandemic; new information concerning its transmission and severity; actions taken or that might be taken by governments, businesses or individuals to contain or reduce its repercussions and mitigate its economic implications; the Company's ability to realize the expected benefits its cost containment and cost savings measures; business and management strategies; debt and debt leverage ratio; shares repurchases; expected returns to stockholders; and the impact of acquisitions, divestitures, restructurings, refinancings, impairments and other unusual items, including the Company's ability to raise and/or retire new debt and/or equity and to integrate and obtain the anticipated benefits, results and synergies from these items or other related strategic initiatives. Additional information concerning these and other factors that could cause actual results to vary is, or will be, included in the Company's periodic and other reports filed with the Securities and Exchange Commission. The Company undertakes no obligation to update any forward-looking statements, whether as a result of new information, future events or otherwise.\n\nNON-GAAP FINANCIAL MEASURES\n\nTo supplement the financial measures prepared in accordance with generally accepted accounting principles in the United States (\"GAAP\"), the Company uses the following nonGAAP financial measures: EBITDA, adjusted EBITDA, adjusted EBITDA margin, adjusted EPS, adjusted common shares outstanding, Q2 2020 adjusted EBITDA guidance, free cash flow, net debt to adjusted EBITDA ratio and organic net sales growth. The Company also evaluates and presents its results of operations on a constant currency basis. The definitions and reconciliations of these non-GAAP measures to the most directly comparable financial measures calculated and presented in accordance with GAAP can be found in the footnotes and appendix of this presentation and in the Company's earnings release dated April 30, 2020 (the \"Release\"), a copy of which can be found on the Company's website at www.elementsolutionsinc.com. This presentation should be read in conjunction with the Release.\n\nManagement internally reviews each of these non-GAAP measures to evaluate performance on a comparative period-to-period basis in terms of absolute performance, trends and expected future performance with respect to the Company's businesses and believes that these non-GAAP measures provide investors with an additional perspective on trends and underlying operating results on a period-to-period comparable basis. The Company also believes that investors find this information helpful in understanding the ongoing performance of its operations separate from items that may have a disproportionate positive or negative impact on its financial results in any particular period. These non-GAAP financial measures, however, have limitations as analytical tools, and should not be considered in isolation from, a substitute for, or superior to, the related financial information that the Company reports in accordance with GAAP. Investors are encouraged to review the reconciliations of these non-GAAP financial measures to their most comparable GAAP financial measures included herein and in the Release, and not to rely on any single financial measure to evaluate the Company's businesses.\n\nIn addition, this presentation includes Q1 2020 cash flow uses and FY 2020 outlook, Q1 2020 free cash flow and April 2020 net sales information. This data is provided for informational purposes only and is not necessarily, and should not be assumed to be, an indication of the results that may be achieved in the future.\n\nCOVID-19 Update and Recent Actions\n\nPrioritizing People & Business Continuity\n\n[x] Protecting the health and safety of our people and their families by promoting a healthy and safe working environment\n[x] All facilities increased health and safety protocols to meet or exceed new local and national regulatory requirements\n[x] Nearly all \"non-essential\" personnel working from home or on staggered shifts; travel limited to customer requirements\n[x] Ongoing dialogue with customers and suppliers to ensure supply chain continuity\n\nSupply Chain Status\n\nFinancial Actions To Date\n\n[x] All facilities open and producing\no Received special approval in multiple regions to operate for critical material supply for medical products\n[x] Built excess safety stock inventory\n[x] Developed manufacturing redundancy across multiple sites\n[x] Continued opex savings activities\n[x] Salary reductions for all senior leadership and select commercial and functional organizations\n[x] Increased focus on customer credit and collections\n[x] Drew (and subsequently repaid) corporate revolver\n\nFirst Quarter 2020 Financial Results\n\n\| \| \| \| \| Constant Currency* \| Organic* \|\n\|---\|---\|---\|---\|---\|---\|\n\| ($ in millions) \| Q1 2020 \| Q1 2019 \| YoY \| YoY \| YoY \|\n\| Net Sales \| $453 \| $460 \| (2%) \| 0% \| (3%) \|\n\| Electronics \| 269 \| 266 \| 1% \| 3% \| (2%) \|\n\| Industrial & Specialty \| 184 \| 194 \| (5%) \| (3%) \| (3%) \|\n\| GAAP Diluted EPS \| $0.03 \| $(0.02) \| \| \| \|\n\| Adj. EBITDA* \| $110 \| $99 \| 12% \| 14% \| \|\n\| % margin \| 24.3% \| 21.4% \| 290 bps \| 310 bps \| \|\n\| Electronics \| 67 \| 56 \| 18% \| 21% \| \|\n\| % margin \| 24.8% \| 21.2% \| 360 bps \| 370 bps \| \|\n\| Industrial & Specialty \| 44 \| 42 \| 3% \| 6% \| \|\n\| % margin \| 23.7% \| 21.8% \| 190 bps \| 200 bps \| \|\n\| Adj. EPS* \| $0.25 \| $0.20 \| 25% \| \| \|\n\n[x] Organic net sales* declined 3%, driven primarily by COVID-19 related slowdowns in Electronics in Asia, particularly in China, and global demand weakness in automotive and industrial markets\no Declines in Electronics largely due to weakness in Assembly in Asia, partially offset by strength in Circuitry and significant growth in Semiconductor\no Continued strength in products for 5G infrastructure and data center markets\no Industrial & Specialty impacted by automotive and manufacturing softness in Asia, primarily in February and March; modest declines in Energy due to weakness in Latin America\no Double-digit growth in Graphics due to strong demand for packaged goods in all regions\n[x] Constant currency adj. EBITDA* growth of 14% and adj. EBITDA* margin expansion of 310 bps\no Favorable product mix in Electronics and supply chain savings\no Continued cost containment\n[x] Adj. EPS* growth of 25% year-over-year reflects earnings growth and fewer shares outstanding\n\n* These financial measures, on this slide and on subsequent slides, are not prepared in accordance with GAAP. For definitions, discussions of adjustments and reconciliations, please refer to the appendix of this presentation\n\nFirst Quarter 2020 Segment Details\n\nElectronics Net Sales ($ in millions)\n\n[x] Assembly: weakness in Asia largely due to COVID-19 related production slowdowns; declines in the Americas and Europe driven by softness in March\n[x] Circuitry: strong year-over-year demand from memory disk customers and for 5G-related products was partially offset by COVID-19 related declines in Asia\n[x] Semiconductor: growth in advanced packaging, particularly in Asia and Europe, and advanced assembly products due to increased demand from 5G infrastructure and data center markets\n\nIndustrial & Specialty Net Sales ($ in millions)\n\n[x] Industrial: declines driven by weak demand from customers in construction and manufacturing markets, particularly in Europe, and automotive production declines in all regions\n[x] Graphics: growth driven by higher volumes of consumer packaged goods in Europe and the Americas, primarily due to COVID-19 related demand\n[x] Energy: growth in the U.S. was offset by declines in Latin America, which was impacted from the loss of certain business related to a specific customer in Q1 2019\n\nBalance Sheet and Cash Flow Considerations\n\nKey Cash Flow Items\n\n[x] Q1 2020 free cash flow* of $51 million\n[x] Cash interest paid of $4 million reflects undrawn corporate revolver for a majority of the quarter\n[x] Q1 working capital growth associated with safety stock builds across all regions\no Expect to release working capital in current demand environment\n\nQ1 2020 Cash Flow Uses and FY 2020 Outlook\n\n* See non-GAAP definitions and reconciliations in the appendix\n\n1. See p.10 for reconciliation to Adjusted Share Counts 2. Based on Element Solutions' closing stock price of $8.36 at March 31, 2020\n\nBalance Sheet Management\n\n[x] Net debt to adj. EBITDA ratio* of 3.2x on a LTM basis as of March 31, 2020\n[x] In abundance of caution, drew $320 million of $330 million revolver in the last week of March; paid down entire revolver on April 20 th as capital markets stabilized\n[x] Approximately $500M of liquidity with no near term maturities or anticipated debt covenant compliance issues\n[x] Repurchased ~ 3.7 million shares in Q1 2020 at average price of $8.82 per share (~$210 million of remaining authorization under share repurchase program)\n\nQ1 2020 Capital Structure\n\nNear Term Financial Outlook\n\n[x] Major OEM shutdowns materially impacting demand in Industrial\n[x] Electronics supply chain weaker but resilient (expected to decline by ~10% across the portfolio)\n[x] Continued positive momentum in Graphics\n[x] Energy performance should be stable in Q2 2020 given long-lead times for offshore activity\n[x] April 2020 net sales of approximately $130 million\n[x] May 2020 should be stronger as OEMs in Europe and the Americas are expected to reopen\n\n$70 million to $75 million\n\n[x] Impact on net sales shifts from supply chain disruption to weakening demand in key end-markets\n[x] Approximately $50 million of annualized cost opportunity available; have actioned less than half todate\n[x] Expected material upside to Q2 2020 run-rate adj. EBITDA* in second half should economic conditions improve from current levels\n\nCurrent Market Conditions\n\nQ2 2020 Adj. EBITDA* Guidance\n\nFull Year 2020 Considerations\n\nAppendix\n\n8\n\nCapital Structure\n\n741\n\n1\n\n800\n\n252\n\nNote: Totals may not sum due to rounding Element Solutions swapped its floating term loan to fixed rate through January 2024, which could vary due to changes in the euro and the U.S. dollar exchange rate. At March 31, 2020, approximately 83% of its debt was fixed and\n\n1. 17% was floating\n\n2. See p.10 for reconciliation to Adjusted Share Counts\n\n3. Based on Element Solutions' closing stock price of $8.36 at March 31, 2020\n\nReconciliation to Adjusted Share Counts\n\nNote: Totals may not sum due to rounding\n\n1 Equity awards with targets that are considered probable of achievement vested at target level\n\n10\n\nNet Income Attributable to Common Stockholders Reconciliation to Adj. EBITDA\n\n11\n\nNet Debt to Adj. EBITDA Ratio Reconciliation on a Trailing Twelve Month Basis\n\n12\n\nGAAP Net Income Reconciliation to Adjusted Diluted EPS\n\n1. See p.10 for a reconciliation to Adjusted Share Counts\n\n13\n\nOrganic Net Sales Growth Reconciliation\n\n\| Reported Net Sales Growth \| Impact of Currency \| Constant Currency \| Change in Pass- Through Metals Pricing \| Acquisitions \|\n\|---\|---\|---\|---\|---\|\n\n14\n\nNon-GAAP Definitions\n\nAdjusted Earnings Per Share (EPS): Adjusted EPS is a key metric used by management to measure operating performance and trends. In particular, the exclusion of certain expenses in calculating adjusted EPS facilitates operating performance comparisons on a period-to-period basis. Adjusted EPS is defined as net income (loss) from continuing operations attributable to common stockholders adjusted to reflect adjustments consistent with the Company's definition of adjusted EBITDA. Additionally, the Company eliminates the amortization associated with intangible assets, incremental depreciation associated with the step-up of fixed assets and incremental cost of sales associated with the step-up of inventories recognized in purchase accounting for acquisitions. Further, the Company adjusts its effective tax rate to 26% and 27% for the three ended March 31, 2020 and 2019, respectively, as described in the Release. Lastly, the 2019 adjusted EPS total is based on the Company's new capital structure by assuming that the sale of Agricultural Solutions had closed and the new credit agreement had been in place on January 1, 2019. The resulting adjusted net income is then divided by the Company's adjusted common shares outstanding. Adjusted common shares outstanding represent the shares outstanding as of the balance sheet date for the quarter-to-date period and an average of each quarter for the year-to-date period. Adjusted common shares outstanding consists of common shares outstanding, plus the shares that would be issued if all convertible stock was converted to common stock, stock options were vested and exercised, and equity grants with targets that are considered probable of achievement were vested at target level and issued.\n\nConstant Currency: Management discloses net sales and adjusted EBITDA on a constant currency basis by adjusting results to exclude the impact of changes due to the translation of foreign currencies of its international locations into U.S. dollar. Management believes this non-GAAP financial information facilitates period-to-period comparison in the analysis of trends in business performance, thereby providing valuable supplemental information regarding its results of operations, consistent with how the Company evaluates its financial results.\n\nThe impact of foreign currency is calculated by converting the Company's current-period local currency financial results into U.S. dollar using the prior period's exchange rates and comparing these adjusted amounts to its prior period reported results. The difference between actual growth rates and constant currency growth rates represents the impact of foreign currency translation.\n\nEBITDA and Adjusted EBITDA: EBITDA represents earnings before interest, provision for income taxes, depreciation and amortization. Adjusted EBITDA is defined as EBITDA, excluding the impact of additional items included in GAAP earnings which the Company believes are not representative or indicative of its ongoing business or are considered to be associated with its capital structure, as described in the Release. Adjusted EBITDA for each segment also includes an allocation of corporate costs, such as compensation expense and professional fees. Management believes adjusted EBITDA and adjusted EBITDA margin provide investors with a more complete understanding of the long-term profitability trends of the Company's business and facilitate comparisons of its profitability to prior and future periods. However, these measures, which do not consider certain cash requirements, should not be construed as an alternative to net income or cash flow from operations as a measure of profitability or liquidity.\n\nNet Debt to Adjusted EBITDA ratio: Net debt to adjusted EBITDA ratio is defined as total debt (current installments of long-term debt, revolving credit facilities and long-term debt), excluding unamortized discounts and debt issuance costs, which totaled $21.5 million at March 31, 2020, less cash divided by adjusted EBITDA.\n\nFree Cash Flow: Free cash flow is defined as net cash flows from operating activities less net capital expenditures. Net capital expenditures include capital expenditures less proceeds from the disposal of property, plant and equipment. Management believes that free cash flow, which measures the Company's ability to generate cash from its business operations, is an important financial measure for use in evaluating the Company's financial performance. However, free cash flow should be considered in addition to, rather than as a substitute for net cash provided by operating activities as a measure of the Company's liquidity.\n\nOrganic Net Sales Growth: Organic net sales growth is defined as net sales excluding the impact of foreign currency translation, changes due to the pass-through pricing of certain metals and acquisitions and/ or divestitures, as applicable. Management believes this non-GAAP financial measure provides investors with a more complete understanding of the underlying net sales trends by providing comparable net sales over differing periods on a consistent basis.\n\nFor the three months ended March 31, 2020, Electronics' and the Company's consolidated results were positively impacted by $14.4 million of acquisitions and negatively impacted by $2.1 million of pass-through metals pricing.\n\n*********************************************************************************************************************************************************************************************************************************\n\nThe Company only provides Q2 2020 adjusted EBITDA guidance on a non-GAAP basis and does not provide reconciliation of this forward-looking non-GAAP measure to GAAP due to the inherent difficulty in forecasting and quantifying certain amounts that are necessary for such reconciliation, including adjustments that could be made for restructurings, refinancings, impairments, divestitures, integration-related expenses, share-based compensation amounts, non-recurring, unusual or unanticipated charges, expenses or gains, adjustments to inventory and other charges reflected in its reconciliation of historic numbers, the amount of which, based on historical experience, could be significant.\n\n15\n</text>\n", "role": "user" }, { "content": "mates, assumptions or expectations prove to be inaccurate or are unrealized.", "role": "assistant" } ]
Dynamic clustering and modeling of temporal data subject to common regressive effects Louise Bonfils, Allou Samé and Latifa Oukhellou Université Gustave Eiffel, COSYS-GRETTIA, Champs-sur-Marne, France Abstract. Clustering is used in many applicative fields to summarize information into a small number of groups. Motivated by behavioral extraction issues from urban data, the interest of this paper is to propose a classification method that allows modeling the evolution of cluster profiles over time while considering common regressive effects. The parameters of the proposed model are estimated using variational approximation because maximum likelihood estimation is not suitable in this case. The ability of the model to estimate parameters is evaluated using various simulated data and compared with two other models. 1 Introduction and Motivation In many application domains, clustering observations into a reduced set of classes is meaningful to highlight common aspects within the clusters. Considering urban data collected in the energy or mobility domains, clustering gives insights on the typical user behavior patterns ([1], [2]). Customers’ habits and preferences can also be classified to build recommendation systems, for example ([3]). Usually, the clustering of user behaviors or customer preferences does not consider potential changes or evolutions. Incentive policies, price changes or innovations can lead to changes in these behaviors and habits. Thus, it may be interesting to consider the dynamic and evolving aspect of behavior in the classification task. The evolution of behaviors in clustering problems is often taken into account by using segmentation methods to identify periods where behaviors are static and constant, then perform clustering on these specific periods. The segmentation phase can be performed manually based on solid assumptions or using stochastic methods such as Hidden Markov Models ([4]). This paper presents a model that attempts to group similar observations into a reduced set of clusters while estimating class profiles through a dynamic approach using auto-regressive processes. The proposed model summarizes information in a small group of clusters while dynamics and evolutions are simultaneously considered without going through a first segmentation step. Moreover, the hypothesis that known factors have a global effect on observations is made. The idea is to consider the impact of those exogenous factors, which are common to all observations, and unknown endogenous effects, specific to the clusters, which the model aims to estimate. As said before, the proposed model aims at building classes in an unsupervised way while modeling class centers dynamically and estimating the effects of common exogenous factors. We place ourselves in the framework of latent variable model using mixture models. These models allow a certain flexibility to build more or less complex models. This is why they are appreciated and often used in the case of classification problems with latent variables ([5]) using in particular the Expectation-maximization algorithm to solve the optimization problem. However, in [6], the authors point out that the EM algorithm is not suitable for some complex generative models involving multiple dynamics latent processes. In [7] the authors estimate time dependent effects via Variable Neighborhood Search algorithms. But, the dynamic aspect of class centers is not taken into account by this algorithm. This topic has been explored in [8] using variational inference methods. These techniques seem to be better suited than the adapted versions of the EM algorithm to solve dynamic latent variable estimation problems. These previous results motivate the choice to use variational approximation to estimate the proposed mixture model. The second section of this paper is devoted to the construction of the model and its presentation. Section 3 presents the inference methods and the algorithm used for parameters estimation. Finally, the last section is devoted to the testing and evaluation of the proposed model by comparing it with other models using different datasets and three criteria. 2 Model definition To formalize the model, let’s consider the following notations: - $(x_1, \ldots, x_i, \ldots, x_n)$ a set of $n$ observations, where $x_i = (x_{it})_t$ is a sequence of $T$ observed data, with $\forall t, x_{it} \in \mathbb{R}$, - $u_t$ $(t \in [1, T])$ a $(p + 1)$-dimensional vector representing $p$ exogenous and observable factors. We include the constant value 1 in the vector to take into account a level parameter (bias). The model proposed in this article assumes that the series $(x_1, \ldots, x_n)$ can be grouped into $K$ clusters. It is characterized by a regressive common component reflecting the effect of known observed factors, and by cluster-specific profiles reflecting the effect of latent dynamic factors. According to this assumption, we consider that $x_{it}$ can be explained by the following model: \[ \forall i \in [1, n], \quad \forall t \in [1, T]; \quad x_{it} = u_t' a + \sum_{k=1}^{K} z_{ik} b_{kt} + e_{it}, \] where $z_{ik}$ is a binary variable equal to 1 if the observation $i$ belongs to the class $k$ and 0 otherwise. We assume that $z_i$, satisfying $z_i = k$ if $z_{ik} = 1$, follows a Multinomial distribution with parameters $\pi = (\pi_k)_{k=1,\ldots,K}$. Also, the profile $(b_{kt})_{t=1,\ldots,T}$ corresponds to the unobservable group-specific profiles, $e_{it}$ is a centered and normally distributed noise with variance $v_k$ and $a = (a_0, \ldots, a_p) \in \mathbb{R}^{(p+1)}$ refers to the regression coefficients associated to exogenous factors and $a_0$ denotes the level coefficient. The latent profiles $(b_{kt})_{t=1,\ldots,T}$ are modeled as first-order auto-regressive processes as follows: \[ \forall t \in [1, T], \forall k \in [1, K], \quad b_{kt} = \Phi_k b_{kt-1} + \nu_{kt}, \] (2) where, $\nu_{kt}$ is a centered Gaussian noise with variance $w_k$, and $b_{k0}$ is normally distributed with $\mu_{k0}$ and $\sigma_{k0}$ as mean and variance parameters. The coefficient $\Phi_k$ satisfies the stationarity constraint $\|\Phi_k\| < 1$. Then, using previous elements, the vector of parameters of the model is as follows: \[ \Theta = \{(v_k, w_k, \pi_k, \Phi_k, \mu_{k0}, \sigma_{k0})_{k=1,\ldots,K}, \mathbf{a}\}. \] The model defined by Equation (1) is not identifiable. In fact, the coefficient $a_0$ can be confused with class profiles $(b_{kt})_{(k,t)}$. In this case, it is necessary to add a constraint to the model. In the present case, by setting $\tilde{\mathbf{a}} = (a_1, \ldots, a_p)$, and noting $\tilde{\mathbf{u}}_t$ the corresponding p-dimensional exogenous variables, we have: \[ \mathbf{u}_t' \mathbf{a} + \sum_k z_{tk} b_{kt} = a_0 + \tilde{\mathbf{u}}_t' \tilde{\mathbf{a}} + \sum_k z_{tk} b_{kt} = (a_0 - \alpha) + \tilde{\mathbf{u}}_t' \tilde{\mathbf{a}} + \sum_k z_{tk} (b_{kt} + \alpha). \] Thus, depending on the value of $\alpha$, there is an infinite number of choices for $a_0$ and $b_{kt}$. To ensure the identifiability, we add the following constraint to the model: $\sum_{k=1}^{K} \sum_t b_{kt} = 0$. After presenting the model parameters and assumptions, the next session is dedicated to the theory related to variational inference methods and algorithm used for estimation. 3 Variational inference for parameter estimation In our case, the complex structure of the model makes parameter estimation via the maximum likelihood method and the EM algorithm intractable. It is therefore necessary to get around this problem by using variational inference methods. To do so, a function $F(q, \Theta)$ is introduced and built from a distribution $q$ over the latent variables $(\mathbf{b}, \mathbf{z})$ called variational distribution. The function $F$ is defined such as: $F(q, \Theta) = E_q(L_c(\Theta)) + H(q)$, where $H(q)$ is the entropy of the distribution $q$, and $L_c$ refers to the complete log-likelihood of the model. The function $F$ is called "The Evidence Lower Bound" because it satisfies the following equation ([9]): \[ L(x; \Theta) \geq F(q(z, b), \Theta). \] The main goal is to estimate the variational distribution and estimate model parameters by maximizing the Evidence Lower Bound. To simplify this maximization problem while ensuring an accurate parameter estimation, some assumptions are usually made. In that case, the function $q$ has the following form: \[ q(\mathbf{z}, \mathbf{b}) = \prod_{i=1}^{n} q_z(z_i) \prod_{t=1}^{T} \prod_{k=1}^{K} q_b(b_{kt}), \] where $q_z$ is the distribution of latent variable $z_i$ and $q_b$ is the distribution of the processes $(b_{kt})$. In this model, variables $b_{kt}$ were naturally supposed to be Gaussian with mean parameters $m_{kt}$ and variance $\lambda_k$. The variables $z_i$ are distributed according to a Multinomial distribution with parameters $(\tau_{ik})_{k=1,\ldots,K}$. This variational distribution leads us to introduce variational parameters that will be estimated by maximizing the Evidence Lower Bound. The variational parameters of the models are: $$\{\tau = \{(\tau_{ik})_{k=1,\ldots,K; i=1,\ldots,n}\}, \ m = \{(m_{kt})_{k=1,\ldots,K; t=0,\ldots,T}\}, \ \lambda = \{(\lambda_k)_{k=1,\ldots,K}\}\}.$$ Using previous elements made in Section 2, the Evidence Lower Bound can be explicitly written. The algorithm used for parameter estimation iteratively maximizes the Evidence Lower Bound according to each parameter one by one while considering the others as fixed. Updating class centers variational parameters $(m_{kt}^{(q+1)})_{(k,t)}$ requires an adapted version of Kalman filter ([8]). The initialization consists in setting a starting point for parameters. Initial values are chosen for variance parameters $(v_k^{(0)}, w_k^{(0)}, \sigma_0^{(0)})$, proportion parameters $(\pi_k^{(0)})$, variational variances $(\lambda_k^{(0)})$. Then, initial values are computed for $(m_{kt}^{(0)})$, $(\tau_{ik}^{(0)})$ and coefficients $a$ using the K-means algorithm. It is assumed that the algorithm has converged to a solution when the updated class centers are sufficiently closed to those obtained in the previous iteration. In other words, the stopping criterion for this algorithm is, with $\epsilon \to 0$, $$\frac{1}{KT} \sum_{t,k} (m_{kt}^{(q+1)} - m_{kt}^{(q)})^2 < \epsilon.$$ Once this condition is reached, the algorithm stops. ### 4 Evaluation of the model The algorithm has been implemented and tested using simulated data. First, it is important to define criteria to evaluate the performances of the proposed model and to compare them for different data sets, to the performances obtained with models used as references. #### 4.1 Criteria for model performance evaluation As a reminder, the model is supposed to be able to identify the global exogenous effects, classify observations, and estimate class centers as dynamic processes. The objective is to evaluate the model on these three aspects using three criteria. Notice that cluster labels have been reorganized to maximize the classification rate. First, the mean square error is used to evaluated the ability of the model to estimate class profiles: $$\text{CRIT}_1 = \frac{1}{KT} \sum_{t=1} \sum_{k=1}^{K} (\hat{m}_{kt} - b_{kt})^2.$$ Then, the ability of the model to identify and estimate exogenous effects is evaluated using the mean square error computed on exogenous factors such as: $$\text{CRIT}_2 = \frac{1}{T} \sum_{t=1}^{T} (\hat{u}'_t \hat{a} - u'_t a)^2.$$ Finally, the correct classification rate is used to evaluate the model: $$\text{CRIT}_3 = \frac{1}{n} \sum_{i=1}^{n} \mathbb{I}_{\{z_i = \hat{z}_i\}}.$$ We will compare the performances of the proposed model to those obtained with two reference models: - Constant class center model: This model consists of estimating class centers as constant values over time. • Two-step regression model: This model estimates the exogenous effects and then the dynamic class centers using an adapted version of the algorithm in which regression coefficients are no longer updated. The comparison between the proposed model and this allows us to show the utility to include exogenous effect estimation inside iterations. ### 4.2 Results The model is evaluated by generating various data sets to cover a large sample of different cases. Data sets with two and four classes and different numbers of observations and sequences have been generated. For each configuration, models have been tested on two hundred various datasets. First, we consider the fixed time window $T = 100$ and vary the number of observations ($n = 20$ and $n = 150$). Then, we fix the number of observations to $n = 100$ and set the time window $T = 80$ and $T = 300$. The following results are obtained with four clusters. \| \| CRIT$_1$ \| \| CRIT$_2$ \| \| CRIT$_3$ \| \| \|------------------\|----------\|-------\|----------\|-------\|----------\|-------\| \| \| n=20 \| n=150 \| n=20 \| n=150 \| n=20 \| n=150 \| \| T=100 \| \| \| \| \| \| \| \| Proposed Model \| 0.460 \| 0.133 \| 0.071 \| 0.059 \| 0.988 \| 1.000 \| \| Constant Model \| 6.994 \| 6.981 \| 0.151 \| 0.151 \| 0.792 \| 0.806 \| \| Two-step Regression \| 0.519 \| 0.333 \| 0.148 \| 0.136 \| 0.987 \| 0.992 \| \| \| CRIT$_1$ \| \| CRIT$_2$ \| \| CRIT$_3$ \| \| \|------------------\|----------\|-------\|----------\|-------\|----------\|-------\| \| \| T=80 \| T=300 \| T=80 \| T=300 \| T=80 \| T=300 \| \| n=100 \| \| \| \| \| \| \| \| Proposed Model \| 0.847 \| 0.761 \| 0.072 \| 0.049 \| 0.977 \| 0.999 \| \| Constant Model \| 3.921 \| 3.669 \| 0.085 \| 0.066 \| 0.610 \| 0.882 \| \| Two-step Regression \| 0.857 \| 0.777 \| 0.085 \| 0.069 \| 0.978 \| 0.997 \| Table 1: Average criteria calculated for data sets of different sizes According to the results shown in Table 1, we can note that the criteria are decreasing with the size of the temporal window ($T$) and the number of observations ($n$). It means that the more data there is, the more accurate the model is. The previous table also shows that, according to all of the three criteria, the proposed model outperforms the other approaches. The performances of the proposed model compared to the model with constant class centers highlight the interest of estimating the class profiles dynamically. Although, the proposed model performances are close to the “two-step regression” ones, we observed that it requires fewer iterations to converge. 5 Conclusion This paper presents a dynamic latent variable model to solve a classification problem by considering class centers’ evolutions over time. Indeed, the main objective of the model is to estimate class profiles as random walks. Moreover, the model is able to estimate the effect of known exogenous factors on the observations. In this article, the number of clusters $K$ is assumed to be known. Further investigations can be made on the choice of this hyper-parameter thanks to selection criteria such as the BIC criterion for example. The presented model represents a first step towards a more general model where exogenous effects are not global but specific to each cluster, which highlights structural effects within clusters. Future works should concern the use of the proposed model to characterize occupant behavior in buildings, for a better estimation of energy performances. References [1] Juan David Rodriguez Cote and Marco Diana. Exploring the benefits of a traveller clustering approach based on multimodality attitudes and behaviours. Transportation Research Procedia, 25:2556–2569, 2017. [2] Emilie Devijer, Yannig Goude, and Jean-Michel Poggi. Clustering electricity consumers using high-dimensional regression mixture models. Appl Stochastic Model Bus Ind., pages 1–19, 2019. [3] Fátima Rodrigues and Bruno Ferreira. Product recommendation based on shared customer’s behaviour. Procedia Computer Science, 100:136–146, 12 2016. [4] J Lüsherg, J.K Moller, H Bloem, J Cipriano, and Henrik Madsen. Hidden markov models for indirect classification of occupant behaviour. Sustainable Cities and Society, 27:83–98, 2016. [5] G.J. McLachlan and T. Krishnan. The EM Algorithm and Extensions. Wiley Series in Probability and Statistics. Wiley, New-York, 2007. [6] Michael I Jordan, Zoubin Ghahramani, Tommi S Jaakola, and Lawrence K Saul. An introduction to variational methods for graphical models. Machine Learning, 37:183–233, 1999. [7] Stéphane Bonhomme and Manresa Elena. Grouped patterns of heterogeneity in panel data. Econometrica, 83:1147–1184, 2015. [8] Hani El Assaad, Alion Samé, Gérard Govaert, and Patrice Aknin. A variational expectation-maximisation algorithm for temporal data clustering. Computational Statistics and Data Analysis, 103:206–228, 2016. [9] David M Blei, Alp Kucukelbir, and Jon D McAuliffe. Variational inference: A review for statisticians. Journal of the American Statistical Association, 112(518):859–877, 2018.	43d804cf-b1ee-4302-a323-679009640b26	CC-MAIN-2023-23	https://www.esann.org/sites/default/files/proceedings/2021/ES2021-121.pdf	2023-06-10T01:27:20+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00294-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet	799,190,467	4,323	eng_Latn	eng_Latn	0.964052	eng_Latn	0.980577	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	true	docling	[ 2834, 5800, 8937, 12051, 14816, 17314 ]	Dynamic clustering and modeling of temporal data subject to common regressive effects Louise Bonfils, Allou Samé and Latifa Oukhellou Université Gustave Eiffel, COSYS-GRETTIA, Champs-sur-Marne, France Abstract. Clustering is used in many applicative fields to summarize information into a small number of groups. Motivated by behavioral extraction issues from urban data, the interest of this paper is to propose a classification method that allows modeling the evolution of cluster profiles over time while considering common regressive effects. The parameters of the proposed model are estimated using variational approximation because maximum likelihood estimation is not suitable in this case. The ability of the model to estimate parameters is evaluated using various simulated data and compared with two other models. 1 Introduction and Motivation In many application domains, clustering observations into a reduced set of classes is meaningful to highlight common aspects within the clusters. Considering urban data collected in the energy or mobility domains, clustering gives insights on the typical user behavior patterns ([1], [2]). Customers’ habits and preferences can also be classified to build recommendation systems, for example ([3]). Usually, the clustering of user behaviors or customer preferences does not consider potential changes or evolutions. Incentive policies, price changes or innovations can lead to changes in these behaviors and habits. Thus, it may be interesting to consider the dynamic and evolving aspect of behavior in the classification task. The evolution of behaviors in clustering problems is often taken into account by using segmentation methods to identify periods where behaviors are static and constant, then perform clustering on these specific periods. The segmentation phase can be performed manually based on solid assumptions or using stochastic methods such as Hidden Markov Models ([4]). This paper presents a model that attempts to group similar observations into a reduced set of clusters while estimating class profiles through a dynamic approach using auto-regressive processes. The proposed model summarizes information in a small group of clusters while dynamics and evolutions are simultaneously considered without going through a first segmentation step. Moreover, the hypothesis that known factors have a global effect on observations is made. The idea is to consider the impact of those exogenous factors, which are common to all observations, and unknown endogenous effects, specific to the clusters, which the model aims to estimate. As said before, the proposed model aims at building classes in an unsupervised way while modeling class centers dynamically and estimating the effects of common exogenous factors. We place ourselves in the framework of latent variable model using mixture models. These models allow a certain flexibility to build more or less complex models. This is why they are appreciated and often used in the case of classification problems with latent variables ([5]) using in particular the Expectation-maximization algorithm to solve the optimization problem. However, in [6], the authors point out that the EM algorithm is not suitable for some complex generative models involving multiple dynamics latent processes. In [7] the authors estimate time dependent effects via Variable Neighborhood Search algorithms. But, the dynamic aspect of class centers is not taken into account by this algorithm. This topic has been explored in [8] using variational inference methods. These techniques seem to be better suited than the adapted versions of the EM algorithm to solve dynamic latent variable estimation problems. These previous results motivate the choice to use variational approximation to estimate the proposed mixture model. The second section of this paper is devoted to the construction of the model and its presentation. Section 3 presents the inference methods and the algorithm used for parameters estimation. Finally, the last section is devoted to the testing and evaluation of the proposed model by comparing it with other models using different datasets and three criteria. 2 Model definition To formalize the model, let’s consider the following notations: - $(x_1, \ldots, x_i, \ldots, x_n)$ a set of $n$ observations, where $x_i = (x_{it})_t$ is a sequence of $T$ observed data, with $\forall t, x_{it} \in \mathbb{R}$, - $u_t$ $(t \in [1, T])$ a $(p + 1)$-dimensional vector representing $p$ exogenous and observable factors. We include the constant value 1 in the vector to take into account a level parameter (bias). The model proposed in this article assumes that the series $(x_1, \ldots, x_n)$ can be grouped into $K$ clusters. It is characterized by a regressive common component reflecting the effect of known observed factors, and by cluster-specific profiles reflecting the effect of latent dynamic factors. According to this assumption, we consider that $x_{it}$ can be explained by the following model: \[ \forall i \in [1, n], \quad \forall t \in [1, T]; \quad x_{it} = u_t' a + \sum_{k=1}^{K} z_{ik} b_{kt} + e_{it}, \] where $z_{ik}$ is a binary variable equal to 1 if the observation $i$ belongs to the class $k$ and 0 otherwise. We assume that $z_i$, satisfying $z_i = k$ if $z_{ik} = 1$, follows a Multinomial distribution with parameters $\pi = (\pi_k)_{k=1,\ldots,K}$. Also, the profile $(b_{kt})_{t=1,\ldots,T}$ corresponds to the unobservable group-specific profiles, $e_{it}$ is a centered and normally distributed noise with variance $v_k$ and $a = (a_0, \ldots, a_p) \in \mathbb{R}^{(p+1)}$ refers to the regression coefficients associated to exogenous factors and $a_0$ denotes the level coefficient. The latent profiles $(b_{kt})_{t=1,\ldots,T}$ are modeled as first-order auto-regressive processes as follows: \[ \forall t \in [1, T], \forall k \in [1, K], \quad b_{kt} = \Phi_k b_{kt-1} + \nu_{kt}, \] (2) where, $\nu_{kt}$ is a centered Gaussian noise with variance $w_k$, and $b_{k0}$ is normally distributed with $\mu_{k0}$ and $\sigma_{k0}$ as mean and variance parameters. The coefficient $\Phi_k$ satisfies the stationarity constraint $\|\Phi_k\| < 1$. Then, using previous elements, the vector of parameters of the model is as follows: \[ \Theta = \{(v_k, w_k, \pi_k, \Phi_k, \mu_{k0}, \sigma_{k0})_{k=1,\ldots,K}, \mathbf{a}\}. \] The model defined by Equation (1) is not identifiable. In fact, the coefficient $a_0$ can be confused with class profiles $(b_{kt})_{(k,t)}$. In this case, it is necessary to add a constraint to the model. In the present case, by setting $\tilde{\mathbf{a}} = (a_1, \ldots, a_p)$, and noting $\tilde{\mathbf{u}}_t$ the corresponding p-dimensional exogenous variables, we have: \[ \mathbf{u}_t' \mathbf{a} + \sum_k z_{tk} b_{kt} = a_0 + \tilde{\mathbf{u}}_t' \tilde{\mathbf{a}} + \sum_k z_{tk} b_{kt} = (a_0 - \alpha) + \tilde{\mathbf{u}}_t' \tilde{\mathbf{a}} + \sum_k z_{tk} (b_{kt} + \alpha). \] Thus, depending on the value of $\alpha$, there is an infinite number of choices for $a_0$ and $b_{kt}$. To ensure the identifiability, we add th	e following constraint to the model: $\sum_{k=1}^{K} \sum_t b_{kt} = 0$.	After presenting the model parameters and assumptions, the next session is dedicated to the theory related to variational inference methods and algorithm used for estimation. 3 Variational inference for parameter estimation In our case, the complex structure of the model makes parameter estimation via the maximum likelihood method and the EM algorithm intractable. It is therefore necessary to get around this problem by using variational inference methods. To do so, a function $F(q, \Theta)$ is introduced and built from a distribution $q$ over the latent variables $(\mathbf{b}, \mathbf{z})$ called variational distribution. The function $F$ is defined such as: $F(q, \Theta) = E_q(L_c(\Theta)) + H(q)$, where $H(q)$ is the entropy of the distribution $q$, and $L_c$ refers to the complete log-likelihood of the model. The function $F$ is called "The Evidence Lower Bound" because it satisfies the following equation ([9]): \[ L(x; \Theta) \geq F(q(z, b), \Theta). \] The main goal is to estimate the variational distribution and estimate model parameters by maximizing the Evidence Lower Bound. To simplify this maximization problem while ensuring an accurate parameter estimation, some assumptions are usually made. In that case, the function $q$ has the following form: \[ q(\mathbf{z}, \mathbf{b}) = \prod_{i=1}^{n} q_z(z_i) \prod_{t=1}^{T} \prod_{k=1}^{K} q_b(b_{kt}), \] where $q_z$ is the distribution of latent variable $z_i$ and $q_b$ is the distribution of the processes $(b_{kt})$. In this model, variables $b_{kt}$ were naturally supposed to be Gaussian with mean parameters $m_{kt}$ and variance $\lambda_k$. The variables $z_i$ are distributed according to a Multinomial distribution with parameters $(\tau_{ik})_{k=1,\ldots,K}$. This variational distribution leads us to introduce variational parameters that will be estimated by maximizing the Evidence Lower Bound. The variational parameters of the models are: $$\{\tau = \{(\tau_{ik})_{k=1,\ldots,K; i=1,\ldots,n}\}, \ m = \{(m_{kt})_{k=1,\ldots,K; t=0,\ldots,T}\}, \ \lambda = \{(\lambda_k)_{k=1,\ldots,K}\}\}.$$ Using previous elements made in Section 2, the Evidence Lower Bound can be explicitly written. The algorithm used for parameter estimation iteratively maximizes the Evidence Lower Bound according to each parameter one by one while considering the others as fixed. Updating class centers variational parameters $(m_{kt}^{(q+1)})_{(k,t)}$ requires an adapted version of Kalman filter ([8]). The initialization consists in setting a starting point for parameters. Initial values are chosen for variance parameters $(v_k^{(0)}, w_k^{(0)}, \sigma_0^{(0)})$, proportion parameters $(\pi_k^{(0)})$, variational variances $(\lambda_k^{(0)})$. Then, initial values are computed for $(m_{kt}^{(0)})$, $(\tau_{ik}^{(0)})$ and coefficients $a$ using the K-means algorithm. It is assumed that the algorithm has converged to a solution when the updated class centers are sufficiently closed to those obtained in the previous iteration. In other words, the stopping criterion for this algorithm is, with $\epsilon \to 0$, $$\frac{1}{KT} \sum_{t,k} (m_{kt}^{(q+1)} - m_{kt}^{(q)})^2 < \epsilon.$$ Once this condition is reached, the algorithm stops. ### 4 Evaluation of the model The algorithm has been implemented and tested using simulated data. First, it is important to define criteria to evaluate the performances of the proposed model and to compare them for different data sets, to the performances obtained with models used as references. #### 4.1 Criteria for model performance evaluation As a reminder, the model is supposed to be able to identify the global exogenous effects, classify observations, and estimate class centers as dynamic processes. The objective is to evaluate the model on these three aspects using three criteria. Notice that cluster labels have been reorganized to maximize the classification rate. First, the mean square error is used to evaluated the ability of the model to estimate class profiles: $$\text{CRIT}_1 = \frac{1}{KT} \sum_{t=1} \sum_{k=1}^{K} (\hat{m}_{kt} - b_{kt})^2.$$ Then, the ability of the model to identify and estimate exogenous effects is evaluated using the mean square error computed on exogenous factors such as: $$\text{CRIT}_2 = \frac{1}{T} \sum_{t=1}^{T} (\hat{u}'_t \hat{a} - u'_t a)^2.$$ Finally, the correct classification rate is used to evaluate the model: $$\text{CRIT}_3 = \frac{1}{n} \sum_{i=1}^{n} \mathbb{I}_{\{z_i = \hat{z}_i\}}.$$ We will compare the performances of the proposed model to those obtained with two reference models: - Constant class center model: This model consists of estimating class centers as constant values over time. • Two-step regression model: This model estimates the exogenous effects and then the dynamic class centers using an adapted version of the algorithm in which regression coefficients are no longer updated. The comparison between the proposed model and this allows us to show the utility to include exogenous effect estimation inside iterations. ### 4.2 Results The model is evaluated by generating various data sets to cover a large sample of different cases. Data sets with two and four classes and different numbers of observations and sequences have been generated. For each configuration, models have been tested on two hundred various datasets. First, we consider the fixed time window $T = 100$ and vary the number of observations ($n = 20$ and $n = 150$). Then, we fix the number of observations to $n = 100$ and set the time window $T = 80$ and $T = 300$. The following results are obtained with four clusters. \| \| CRIT$_1$ \| \| CRIT$_2$ \| \| CRIT$_3$ \| \| \|------------------\|----------\|-------\|----------\|-------\|----------\|-------\| \| \| n=20 \| n=150 \| n=20 \| n=150 \| n=20 \| n=150 \| \| T=100 \| \| \| \| \| \| \| \| Proposed Model \| 0.460 \| 0.133 \| 0.071 \| 0.059 \| 0.988 \| 1.000 \| \| Constant Model \| 6.994 \| 6.981 \| 0.151 \| 0.151 \| 0.792 \| 0.806 \| \| Two-step Regression \| 0.519 \| 0.333 \| 0.148 \| 0.136 \| 0.987 \| 0.992 \| \| \| CRIT$_1$ \| \| CRIT$_2$ \| \| CRIT$_3$ \| \| \|------------------\|----------\|-------\|----------\|-------\|----------\|-------\| \| \| T=80 \| T=300 \| T=80 \| T=300 \| T=80 \| T=300 \| \| n=100 \| \| \| \| \| \| \| \| Proposed Model \| 0.847 \| 0.761 \| 0.072 \| 0.049 \| 0.977 \| 0.999 \| \| Constant Model \| 3.921 \| 3.669 \| 0.085 \| 0.066 \| 0.610 \| 0.882 \| \| Two-step Regression \| 0.857 \| 0.777 \| 0.085 \| 0.069 \| 0.978 \| 0.997 \| Table 1: Average criteria calculated for data sets of different sizes According to the results shown in Table 1, we can note that the criteria are decreasing with the size of the temporal window ($T$) and the number of observations ($n$). It means that the more data there is, the more accurate the model is. The previous table also shows that, according to all of the three criteria, the proposed model outperforms the other approaches. The performances of the proposed model compared to the model with constant class centers highlight the interest of estimating the class profiles dynamically. Although, the proposed model performances are close to the “two-step regression” ones, we observed that it requires fewer iterations to converge. 5 Conclusion This paper presents a dynamic latent variable model to solve a classification problem by considering class centers’ evolutions over time. Indeed, the main objective of the model is to estimate class profiles as random walks. Moreover, the model is able to estimate the effect of known exogenous factors on the observations. In this article, the number of clusters $K$ is assumed to be known. Further investigations can be made on the choice of this hyper-parameter thanks to selection criteria such as the BIC criterion for example. The presented model represents a first step towards a more general model where exogenous effects are not global but specific to each cluster, which highlights structural effects within clusters. Future works should concern the use of the proposed model to characterize occupant behavior in buildings, for a better estimation of energy performances. References [1] Juan David Rodriguez Cote and Marco Diana. Exploring the benefits of a traveller clustering approach based on multimodality attitudes and behaviours. Transportation Research Procedia, 25:2556–2569, 2017. [2] Emilie Devijer, Yannig Goude, and Jean-Michel Poggi. Clustering electricity consumers using high-dimensional regression mixture models. Appl Stochastic Model Bus Ind., pages 1–19, 2019. [3] Fátima Rodrigues and Bruno Ferreira. Product recommendation based on shared customer’s behaviour. Procedia Computer Science, 100:136–146, 12 2016. [4] J Lüsherg, J.K Moller, H Bloem, J Cipriano, and Henrik Madsen. Hidden markov models for indirect classification of occupant behaviour. Sustainable Cities and Society, 27:83–98, 2016. [5] G.J. McLachlan and T. Krishnan. The EM Algorithm and Extensions. Wiley Series in Probability and Statistics. Wiley, New-York, 2007. [6] Michael I Jordan, Zoubin Ghahramani, Tommi S Jaakola, and Lawrence K Saul. An introduction to variational methods for graphical models. Machine Learning, 37:183–233, 1999. [7] Stéphane Bonhomme and Manresa Elena. Grouped patterns of heterogeneity in panel data. Econometrica, 83:1147–1184, 2015. [8] Hani El Assaad, Alion Samé, Gérard Govaert, and Patrice Aknin. A variational expectation-maximisation algorithm for temporal data clustering. Computational Statistics and Data Analysis, 103:206–228, 2016. [9] David M Blei, Alp Kucukelbir, and Jon D McAuliffe. Variational inference: A review for statisticians. Journal of the American Statistical Association, 112(518):859–877, 2018.	7,221	inside_word	the	remove_one_sentence	<url> https://www.esann.org/sites/default/files/proceedings/2021/ES2021-121.pdf </url> <text> Dynamic clustering and modeling of temporal data subject to common regressive effects Louise Bonfils, Allou Samé and Latifa Oukhellou Université Gustave Eiffel, COSYS-GRETTIA, Champs-sur-Marne, France Abstract. Clustering is used in many applicative fields to summarize information into a small number of groups. Motivated by behavioral extraction issues from urban data, the interest of this paper is to propose a classification method that allows modeling the evolution of cluster profiles over time while considering common regressive effects. The parameters of the proposed model are estimated using variational approximation because maximum likelihood estimation is not suitable in this case. The ability of the model to estimate parameters is evaluated using various simulated data and compared with two other models. 1 Introduction and Motivation In many application domains, clustering observations into a reduced set of classes is meaningful to highlight common aspects within the clusters. Considering urban data collected in the energy or mobility domains, clustering gives insights on the typical user behavior patterns ([1], [2]). Customers’ habits and preferences can also be classified to build recommendation systems, for example ([3]). Usually, the clustering of user behaviors or customer preferences does not consider potential changes or evolutions. Incentive policies, price changes or innovations can lead to changes in these behaviors and habits. Thus, it may be interesting to consider the dynamic and evolving aspect of behavior in the classification task. The evolution of behaviors in clustering problems is often taken into account by using segmentation methods to identify periods where behaviors are static and constant, then perform clustering on these specific periods. The segmentation phase can be performed manually based on solid assumptions or using stochastic methods such as Hidden Markov Models ([4]). This paper presents a model that attempts to group similar observations into a reduced set of clusters while estimating class profiles through a dynamic approach using auto-regressive processes. The proposed model summarizes information in a small group of clusters while dynamics and evolutions are simultaneously considered without going through a first segmentation step. Moreover, the hypothesis that known factors have a global effect on observations is made. The idea is to consider the impact of those exogenous factors, which are common to all observations, and unknown endogenous effects, specific to the clusters, which the model aims to estimate. As said before, the proposed model aims at building classes in an unsupervised way while modeling class centers dynamically and estimating the effects of common exogenous factors. We place ourselves in the framework of latent variable model using mixture models. These models allow a certain flexibility to build more or less complex models. This is why they are appreciated and often used in the case of classification problems with latent variables ([5]) using in particular the Expectation-maximization algorithm to solve the optimization problem. However, in [6], the authors point out that the EM algorithm is not suitable for some complex generative models involving multiple dynamics latent processes. In [7] the authors estimate time dependent effects via Variable Neighborhood Search algorithms. But, the dynamic aspect of class centers is not taken into account by this algorithm. This topic has been explored in [8] using variational inference methods. These techniques seem to be better suited than the adapted versions of the EM algorithm to solve dynamic latent variable estimation problems. These previous results motivate the choice to use variational approximation to estimate the proposed mixture model. The second section of this paper is devoted to the construction of the model and its presentation. Section 3 presents the inference methods and the algorithm used for parameters estimation. Finally, the last section is devoted to the testing and evaluation of the proposed model by comparing it with other models using different datasets and three criteria. 2 Model definition To formalize the model, let’s consider the following notations: - $(x_1, \ldots, x_i, \ldots, x_n)$ a set of $n$ observations, where $x_i = (x_{it})_t$ is a sequence of $T$ observed data, with $\forall t, x_{it} \in \mathbb{R}$, - $u_t$ $(t \in [1, T])$ a $(p + 1)$-dimensional vector representing $p$ exogenous and observable factors. We include the constant value 1 in the vector to take into account a level parameter (bias). The model proposed in this article assumes that the series $(x_1, \ldots, x_n)$ can be grouped into $K$ clusters. It is characterized by a regressive common component reflecting the effect of known observed factors, and by cluster-specific profiles reflecting the effect of latent dynamic factors. According to this assumption, we consider that $x_{it}$ can be explained by the following model: \[ \forall i \in [1, n], \quad \forall t \in [1, T]; \quad x_{it} = u_t' a + \sum_{k=1}^{K} z_{ik} b_{kt} + e_{it}, \] where $z_{ik}$ is a binary variable equal to 1 if the observation $i$ belongs to the class $k$ and 0 otherwise. We assume that $z_i$, satisfying $z_i = k$ if $z_{ik} = 1$, follows a Multinomial distribution with parameters $\pi = (\pi_k)_{k=1,\ldots,K}$. Also, the profile $(b_{kt})_{t=1,\ldots,T}$ corresponds to the unobservable group-specific profiles, $e_{it}$ is a centered and normally distributed noise with variance $v_k$ and $a = (a_0, \ldots, a_p) \in \mathbb{R}^{(p+1)}$ refers to the regression coefficients associated to exogenous factors and $a_0$ denotes the level coefficient. The latent profiles $(b_{kt})_{t=1,\ldots,T}$ are modeled as first-order auto-regressive processes as follows: \[ \forall t \in [1, T], \forall k \in [1, K], \quad b_{kt} = \Phi_k b_{kt-1} + \nu_{kt}, \] (2) where, $\nu_{kt}$ is a centered Gaussian noise with variance $w_k$, and $b_{k0}$ is normally distributed with $\mu_{k0}$ and $\sigma_{k0}$ as mean and variance parameters. The coefficient $\Phi_k$ satisfies the stationarity constraint $\|\Phi_k\| < 1$. Then, using previous elements, the vector of parameters of the model is as follows: \[ \Theta = \{(v_k, w_k, \pi_k, \Phi_k, \mu_{k0}, \sigma_{k0})_{k=1,\ldots,K}, \mathbf{a}\}. \] The model defined by Equation (1) is not identifiable. In fact, the coefficient $a_0$ can be confused with class profiles $(b_{kt})_{(k,t)}$. In this case, it is necessary to add a constraint to the model. In the present case, by setting $\tilde{\mathbf{a}} = (a_1, \ldots, a_p)$, and noting $\tilde{\mathbf{u}}_t$ the corresponding p-dimensional exogenous variables, we have: \[ \mathbf{u}_t' \mathbf{a} + \sum_k z_{tk} b_{kt} = a_0 + \tilde{\mathbf{u}}_t' \tilde{\mathbf{a}} + \sum_k z_{tk} b_{kt} = (a_0 - \alpha) + \tilde{\mathbf{u}}_t' \tilde{\mathbf{a}} + \sum_k z_{tk} (b_{kt} + \alpha). \] Thus, depending on the value of $\alpha$, there is an infinite number of choices for $a_0$ and $b_{kt}$. To ensure the identifiability, we add th<cursor_is_here> After presenting the model parameters and assumptions, the next session is dedicated to the theory related to variational inference methods and algorithm used for estimation. 3 Variational inference for parameter estimation In our case, the complex structure of the model makes parameter estimation via the maximum likelihood method and the EM algorithm intractable. It is therefore necessary to get around this problem by using variational inference methods. To do so, a function $F(q, \Theta)$ is introduced and built from a distribution $q$ over the latent variables $(\mathbf{b}, \mathbf{z})$ called variational distribution. The function $F$ is defined such as: $F(q, \Theta) = E_q(L_c(\Theta)) + H(q)$, where $H(q)$ is the entropy of the distribution $q$, and $L_c$ refers to the complete log-likelihood of the model. The function $F$ is called "The Evidence Lower Bound" because it satisfies the following equation ([9]): \[ L(x; \Theta) \geq F(q(z, b), \Theta). \] The main goal is to estimate the variational distribution and estimate model parameters by maximizing the Evidence Lower Bound. To simplify this maximization problem while ensuring an accurate parameter estimation, some assumptions are usually made. In that case, the function $q$ has the following form: \[ q(\mathbf{z}, \mathbf{b}) = \prod_{i=1}^{n} q_z(z_i) \prod_{t=1}^{T} \prod_{k=1}^{K} q_b(b_{kt}), \] where $q_z$ is the distribution of latent variable $z_i$ and $q_b$ is the distribution of the processes $(b_{kt})$. In this model, variables $b_{kt}$ were naturally supposed to be Gaussian with mean parameters $m_{kt}$ and variance $\lambda_k$. The variables $z_i$ are distributed according to a Multinomial distribution with parameters $(\tau_{ik})_{k=1,\ldots,K}$. This variational distribution leads us to introduce variational parameters that will be estimated by maximizing the Evidence Lower Bound. The variational parameters of the models are: $$\{\tau = \{(\tau_{ik})_{k=1,\ldots,K; i=1,\ldots,n}\}, \ m = \{(m_{kt})_{k=1,\ldots,K; t=0,\ldots,T}\}, \ \lambda = \{(\lambda_k)_{k=1,\ldots,K}\}\}.$$ Using previous elements made in Section 2, the Evidence Lower Bound can be explicitly written. The algorithm used for parameter estimation iteratively maximizes the Evidence Lower Bound according to each parameter one by one while considering the others as fixed. Updating class centers variational parameters $(m_{kt}^{(q+1)})_{(k,t)}$ requires an adapted version of Kalman filter ([8]). The initialization consists in setting a starting point for parameters. Initial values are chosen for variance parameters $(v_k^{(0)}, w_k^{(0)}, \sigma_0^{(0)})$, proportion parameters $(\pi_k^{(0)})$, variational variances $(\lambda_k^{(0)})$. Then, initial values are computed for $(m_{kt}^{(0)})$, $(\tau_{ik}^{(0)})$ and coefficients $a$ using the K-means algorithm. It is assumed that the algorithm has converged to a solution when the updated class centers are sufficiently closed to those obtained in the previous iteration. In other words, the stopping criterion for this algorithm is, with $\epsilon \to 0$, $$\frac{1}{KT} \sum_{t,k} (m_{kt}^{(q+1)} - m_{kt}^{(q)})^2 < \epsilon.$$ Once this condition is reached, the algorithm stops. ### 4 Evaluation of the model The algorithm has been implemented and tested using simulated data. First, it is important to define criteria to evaluate the performances of the proposed model and to compare them for different data sets, to the performances obtained with models used as references. #### 4.1 Criteria for model performance evaluation As a reminder, the model is supposed to be able to identify the global exogenous effects, classify observations, and estimate class centers as dynamic processes. The objective is to evaluate the model on these three aspects using three criteria. Notice that cluster labels have been reorganized to maximize the classification rate. First, the mean square error is used to evaluated the ability of the model to estimate class profiles: $$\text{CRIT}_1 = \frac{1}{KT} \sum_{t=1} \sum_{k=1}^{K} (\hat{m}_{kt} - b_{kt})^2.$$ Then, the ability of the model to identify and estimate exogenous effects is evaluated using the mean square error computed on exogenous factors such as: $$\text{CRIT}_2 = \frac{1}{T} \sum_{t=1}^{T} (\hat{u}'_t \hat{a} - u'_t a)^2.$$ Finally, the correct classification rate is used to evaluate the model: $$\text{CRIT}_3 = \frac{1}{n} \sum_{i=1}^{n} \mathbb{I}_{\{z_i = \hat{z}_i\}}.$$ We will compare the performances of the proposed model to those obtained with two reference models: - Constant class center model: This model consists of estimating class centers as constant values over time. • Two-step regression model: This model estimates the exogenous effects and then the dynamic class centers using an adapted version of the algorithm in which regression coefficients are no longer updated. The comparison between the proposed model and this allows us to show the utility to include exogenous effect estimation inside iterations. ### 4.2 Results The model is evaluated by generating various data sets to cover a large sample of different cases. Data sets with two and four classes and different numbers of observations and sequences have been generated. For each configuration, models have been tested on two hundred various datasets. First, we consider the fixed time window $T = 100$ and vary the number of observations ($n = 20$ and $n = 150$). Then, we fix the number of observations to $n = 100$ and set the time window $T = 80$ and $T = 300$. The following results are obtained with four clusters. \| \| CRIT$_1$ \| \| CRIT$_2$ \| \| CRIT$_3$ \| \| \|------------------\|----------\|-------\|----------\|-------\|----------\|-------\| \| \| n=20 \| n=150 \| n=20 \| n=150 \| n=20 \| n=150 \| \| T=100 \| \| \| \| \| \| \| \| Proposed Model \| 0.460 \| 0.133 \| 0.071 \| 0.059 \| 0.988 \| 1.000 \| \| Constant Model \| 6.994 \| 6.981 \| 0.151 \| 0.151 \| 0.792 \| 0.806 \| \| Two-step Regression \| 0.519 \| 0.333 \| 0.148 \| 0.136 \| 0.987 \| 0.992 \| \| \| CRIT$_1$ \| \| CRIT$_2$ \| \| CRIT$_3$ \| \| \|------------------\|----------\|-------\|----------\|-------\|----------\|-------\| \| \| T=80 \| T=300 \| T=80 \| T=300 \| T=80 \| T=300 \| \| n=100 \| \| \| \| \| \| \| \| Proposed Model \| 0.847 \| 0.761 \| 0.072 \| 0.049 \| 0.977 \| 0.999 \| \| Constant Model \| 3.921 \| 3.669 \| 0.085 \| 0.066 \| 0.610 \| 0.882 \| \| Two-step Regression \| 0.857 \| 0.777 \| 0.085 \| 0.069 \| 0.978 \| 0.997 \| Table 1: Average criteria calculated for data sets of different sizes According to the results shown in Table 1, we can note that the criteria are decreasing with the size of the temporal window ($T$) and the number of observations ($n$). It means that the more data there is, the more accurate the model is. The previous table also shows that, according to all of the three criteria, the proposed model outperforms the other approaches. The performances of the proposed model compared to the model with constant class centers highlight the interest of estimating the class profiles dynamically. Although, the proposed model performances are close to the “two-step regression” ones, we observed that it requires fewer iterations to converge. 5 Conclusion This paper presents a dynamic latent variable model to solve a classification problem by considering class centers’ evolutions over time. Indeed, the main objective of the model is to estimate class profiles as random walks. Moreover, the model is able to estimate the effect of known exogenous factors on the observations. In this article, the number of clusters $K$ is assumed to be known. Further investigations can be made on the choice of this hyper-parameter thanks to selection criteria such as the BIC criterion for example. The presented model represents a first step towards a more general model where exogenous effects are not global but specific to each cluster, which highlights structural effects within clusters. Future works should concern the use of the proposed model to characterize occupant behavior in buildings, for a better estimation of energy performances. References [1] Juan David Rodriguez Cote and Marco Diana. Exploring the benefits of a traveller clustering approach based on multimodality attitudes and behaviours. Transportation Research Procedia, 25:2556–2569, 2017. [2] Emilie Devijer, Yannig Goude, and Jean-Michel Poggi. Clustering electricity consumers using high-dimensional regression mixture models. Appl Stochastic Model Bus Ind., pages 1–19, 2019. [3] Fátima Rodrigues and Bruno Ferreira. Product recommendation based on shared customer’s behaviour. Procedia Computer Science, 100:136–146, 12 2016. [4] J Lüsherg, J.K Moller, H Bloem, J Cipriano, and Henrik Madsen. Hidden markov models for indirect classification of occupant behaviour. Sustainable Cities and Society, 27:83–98, 2016. [5] G.J. McLachlan and T. Krishnan. The EM Algorithm and Extensions. Wiley Series in Probability and Statistics. Wiley, New-York, 2007. [6] Michael I Jordan, Zoubin Ghahramani, Tommi S Jaakola, and Lawrence K Saul. An introduction to variational methods for graphical models. Machine Learning, 37:183–233, 1999. [7] Stéphane Bonhomme and Manresa Elena. Grouped patterns of heterogeneity in panel data. Econometrica, 83:1147–1184, 2015. [8] Hani El Assaad, Alion Samé, Gérard Govaert, and Patrice Aknin. A variational expectation-maximisation algorithm for temporal data clustering. Computational Statistics and Data Analysis, 103:206–228, 2016. [9] David M Blei, Alp Kucukelbir, and Jon D McAuliffe. Variational inference: A review for statisticians. Journal of the American Statistical Association, 112(518):859–877, 2018. </text>	[ { "content": "<url>\nhttps://www.esann.org/sites/default/files/proceedings/2021/ES2021-121.pdf\n</url>\n<text>\nDynamic clustering and modeling of temporal data subject to common regressive effects\n\nLouise Bonfils, Allou Samé and Latifa Oukhellou\n\nUniversité Gustave Eiffel, COSYS-GRETTIA, Champs-sur-Marne, France\n\nAbstract.\n\nClustering is used in many applicative fields to summarize information into a small number of groups. Motivated by behavioral extraction issues from urban data, the interest of this paper is to propose a classification method that allows modeling the evolution of cluster profiles over time while considering common regressive effects. The parameters of the proposed model are estimated using variational approximation because maximum likelihood estimation is not suitable in this case. The ability of the model to estimate parameters is evaluated using various simulated data and compared with two other models.\n\n1 Introduction and Motivation\n\nIn many application domains, clustering observations into a reduced set of classes is meaningful to highlight common aspects within the clusters. Considering urban data collected in the energy or mobility domains, clustering gives insights on the typical user behavior patterns ([1], [2]). Customers’ habits and preferences can also be classified to build recommendation systems, for example ([3]).\n\nUsually, the clustering of user behaviors or customer preferences does not consider potential changes or evolutions. Incentive policies, price changes or innovations can lead to changes in these behaviors and habits. Thus, it may be interesting to consider the dynamic and evolving aspect of behavior in the classification task. The evolution of behaviors in clustering problems is often taken into account by using segmentation methods to identify periods where behaviors are static and constant, then perform clustering on these specific periods. The segmentation phase can be performed manually based on solid assumptions or using stochastic methods such as Hidden Markov Models ([4]).\n\nThis paper presents a model that attempts to group similar observations into a reduced set of clusters while estimating class profiles through a dynamic approach using auto-regressive processes. The proposed model summarizes information in a small group of clusters while dynamics and evolutions are simultaneously considered without going through a first segmentation step. Moreover, the hypothesis that known factors have a global effect on observations is made. The idea is to consider the impact of those exogenous factors, which are common to all observations, and unknown endogenous effects, specific to the clusters, which the model aims to estimate.\n\nAs said before, the proposed model aims at building classes in an unsupervised way while modeling class centers dynamically and estimating the effects of common exogenous factors. We place ourselves in the framework of latent\n\nvariable model using mixture models. These models allow a certain flexibility to build more or less complex models. This is why they are appreciated and often used in the case of classification problems with latent variables ([5]) using in particular the Expectation-maximization algorithm to solve the optimization problem.\n\nHowever, in [6], the authors point out that the EM algorithm is not suitable for some complex generative models involving multiple dynamics latent processes. In [7] the authors estimate time dependent effects via Variable Neighborhood Search algorithms. But, the dynamic aspect of class centers is not taken into account by this algorithm. This topic has been explored in [8] using variational inference methods. These techniques seem to be better suited than the adapted versions of the EM algorithm to solve dynamic latent variable estimation problems. These previous results motivate the choice to use variational approximation to estimate the proposed mixture model.\n\nThe second section of this paper is devoted to the construction of the model and its presentation. Section 3 presents the inference methods and the algorithm used for parameters estimation. Finally, the last section is devoted to the testing and evaluation of the proposed model by comparing it with other models using different datasets and three criteria.\n\n2 Model definition\n\nTo formalize the model, let’s consider the following notations:\n\n- \$(x_1, \\ldots, x_i, \\ldots, x_n)\$ a set of \$n\$ observations, where \$x_i = (x_{it})_t\$ is a sequence of \$T\$ observed data, with \$\\forall t, x_{it} \\in \\mathbb{R}\$,\n- \$u_t\$ \$(t \\in [1, T])\$ a \$(p + 1)\$-dimensional vector representing \$p\$ exogenous and observable factors. We include the constant value 1 in the vector to take into account a level parameter (bias).\n\nThe model proposed in this article assumes that the series \$(x_1, \\ldots, x_n)\$ can be grouped into \$K\$ clusters. It is characterized by a regressive common component reflecting the effect of known observed factors, and by cluster-specific profiles reflecting the effect of latent dynamic factors. According to this assumption, we consider that \$x_{it}\$ can be explained by the following model:\n\n\\[\n\\forall i \\in [1, n], \\quad \\forall t \\in [1, T]; \\quad x_{it} = u_t' a + \\sum_{k=1}^{K} z_{ik} b_{kt} + e_{it},\n\\]\n\nwhere \$z_{ik}\$ is a binary variable equal to 1 if the observation \$i\$ belongs to the class \$k\$ and 0 otherwise. We assume that \$z_i\$, satisfying \$z_i = k\$ if \$z_{ik} = 1\$, follows a Multinomial distribution with parameters \$\\pi = (\\pi_k)_{k=1,\\ldots,K}\$. Also, the profile \$(b_{kt})_{t=1,\\ldots,T}\$ corresponds to the unobservable group-specific profiles, \$e_{it}\$ is a centered and normally distributed noise with variance \$v_k\$ and \$a = (a_0, \\ldots, a_p) \\in \\mathbb{R}^{(p+1)}\$ refers to the regression coefficients associated to exogenous factors and \$a_0\$ denotes the level coefficient.\n\nThe latent profiles \$(b_{kt})_{t=1,\\ldots,T}\$ are modeled as first-order auto-regressive processes as follows:\n\n\\[\n\\forall t \\in [1, T], \\forall k \\in [1, K], \\quad b_{kt} = \\Phi_k b_{kt-1} + \\nu_{kt},\n\\]\n\n(2)\n\nwhere, \$\\nu_{kt}\$ is a centered Gaussian noise with variance \$w_k\$, and \$b_{k0}\$ is normally distributed with \$\\mu_{k0}\$ and \$\\sigma_{k0}\$ as mean and variance parameters. The coefficient \$\\Phi_k\$ satisfies the stationarity constraint \$\|\\Phi_k\| < 1\$. Then, using previous elements, the vector of parameters of the model is as follows:\n\n\\[\n\\Theta = \\{(v_k, w_k, \\pi_k, \\Phi_k, \\mu_{k0}, \\sigma_{k0})_{k=1,\\ldots,K}, \\mathbf{a}\\}.\n\\]\n\nThe model defined by Equation (1) is not identifiable. In fact, the coefficient \$a_0\$ can be confused with class profiles \$(b_{kt})_{(k,t)}\$. In this case, it is necessary to add a constraint to the model. In the present case, by setting \$\\tilde{\\mathbf{a}} = (a_1, \\ldots, a_p)\$, and noting \$\\tilde{\\mathbf{u}}_t\$ the corresponding p-dimensional exogenous variables, we have:\n\n\\[\n\\mathbf{u}_t' \\mathbf{a} + \\sum_k z_{tk} b_{kt} = a_0 + \\tilde{\\mathbf{u}}_t' \\tilde{\\mathbf{a}} + \\sum_k z_{tk} b_{kt} = (a_0 - \\alpha) + \\tilde{\\mathbf{u}}_t' \\tilde{\\mathbf{a}} + \\sum_k z_{tk} (b_{kt} + \\alpha).\n\\]\n\nThus, depending on the value of \$\\alpha\$, there is an infinite number of choices for \$a_0\$ and \$b_{kt}\$. To ensure the identifiability, we add th<cursor_is_here>\n\nAfter presenting the model parameters and assumptions, the next session is dedicated to the theory related to variational inference methods and algorithm used for estimation.\n\n3 Variational inference for parameter estimation\n\nIn our case, the complex structure of the model makes parameter estimation via the maximum likelihood method and the EM algorithm intractable. It is therefore necessary to get around this problem by using variational inference methods. To do so, a function \$F(q, \\Theta)\$ is introduced and built from a distribution \$q\$ over the latent variables \$(\\mathbf{b}, \\mathbf{z})\$ called variational distribution. The function \$F\$ is defined such as: \$F(q, \\Theta) = E_q(L_c(\\Theta)) + H(q)\$, where \$H(q)\$ is the entropy of the distribution \$q\$, and \$L_c\$ refers to the complete log-likelihood of the model. The function \$F\$ is called \"The Evidence Lower Bound\" because it satisfies the following equation ([9]):\n\n\\[\nL(x; \\Theta) \\geq F(q(z, b), \\Theta).\n\\]\n\nThe main goal is to estimate the variational distribution and estimate model parameters by maximizing the Evidence Lower Bound. To simplify this maximization problem while ensuring an accurate parameter estimation, some assumptions are usually made. In that case, the function \$q\$ has the following form:\n\n\\[\nq(\\mathbf{z}, \\mathbf{b}) = \\prod_{i=1}^{n} q_z(z_i) \\prod_{t=1}^{T} \\prod_{k=1}^{K} q_b(b_{kt}),\n\\]\n\nwhere \$q_z\$ is the distribution of latent variable \$z_i\$ and \$q_b\$ is the distribution of the processes \$(b_{kt})\$. In this model, variables \$b_{kt}\$ were naturally supposed to be Gaussian with mean parameters \$m_{kt}\$\n\nand variance $\\lambda_k$. The variables $z_i$ are distributed according to a Multinomial distribution with parameters $(\\tau_{ik})_{k=1,\\ldots,K}$. This variational distribution leads us to introduce variational parameters that will be estimated by maximizing the Evidence Lower Bound. The variational parameters of the models are:\n\n$$\\{\\tau = \\{(\\tau_{ik})_{k=1,\\ldots,K; i=1,\\ldots,n}\\}, \\ m = \\{(m_{kt})_{k=1,\\ldots,K; t=0,\\ldots,T}\\}, \\ \\lambda = \\{(\\lambda_k)_{k=1,\\ldots,K}\\}\\}.$$\n\nUsing previous elements made in Section 2, the Evidence Lower Bound can be explicitly written. The algorithm used for parameter estimation iteratively maximizes the Evidence Lower Bound according to each parameter one by one while considering the others as fixed. Updating class centers variational parameters $(m_{kt}^{(q+1)})_{(k,t)}$ requires an adapted version of Kalman filter ([8]).\n\nThe initialization consists in setting a starting point for parameters. Initial values are chosen for variance parameters $(v_k^{(0)}, w_k^{(0)}, \\sigma_0^{(0)})$, proportion parameters $(\\pi_k^{(0)})$, variational variances $(\\lambda_k^{(0)})$. Then, initial values are computed for $(m_{kt}^{(0)})$, $(\\tau_{ik}^{(0)})$ and coefficients $a$ using the K-means algorithm.\n\nIt is assumed that the algorithm has converged to a solution when the updated class centers are sufficiently closed to those obtained in the previous iteration. In other words, the stopping criterion for this algorithm is, with $\\epsilon \\to 0$,\n\n$$\\frac{1}{KT} \\sum_{t,k} (m_{kt}^{(q+1)} - m_{kt}^{(q)})^2 < \\epsilon.$$ Once this condition is reached, the algorithm stops.\n\n### 4 Evaluation of the model\n\nThe algorithm has been implemented and tested using simulated data. First, it is important to define criteria to evaluate the performances of the proposed model and to compare them for different data sets, to the performances obtained with models used as references.\n\n#### 4.1 Criteria for model performance evaluation\n\nAs a reminder, the model is supposed to be able to identify the global exogenous effects, classify observations, and estimate class centers as dynamic processes. The objective is to evaluate the model on these three aspects using three criteria. Notice that cluster labels have been reorganized to maximize the classification rate. First, the mean square error is used to evaluated the ability of the model to estimate class profiles: \n\n$$\\text{CRIT}_1 = \\frac{1}{KT} \\sum_{t=1} \\sum_{k=1}^{K} (\\hat{m}_{kt} - b_{kt})^2.$$ \n\nThen, the ability of the model to identify and estimate exogenous effects is evaluated using the mean square error computed on exogenous factors such as: \n\n$$\\text{CRIT}_2 = \\frac{1}{T} \\sum_{t=1}^{T} (\\hat{u}'_t \\hat{a} - u'_t a)^2.$$ \n\nFinally, the correct classification rate is used to evaluate the model: \n\n$$\\text{CRIT}_3 = \\frac{1}{n} \\sum_{i=1}^{n} \\mathbb{I}_{\\{z_i = \\hat{z}_i\\}}.$$ \n\nWe will compare the performances of the proposed model to those obtained with two reference models:\n\n- Constant class center model: This model consists of estimating class centers as constant values over time.\n\n• Two-step regression model: This model estimates the exogenous effects and then the dynamic class centers using an adapted version of the algorithm in which regression coefficients are no longer updated. The comparison between the proposed model and this allows us to show the utility to include exogenous effect estimation inside iterations.\n\n### 4.2 Results\n\nThe model is evaluated by generating various data sets to cover a large sample of different cases. Data sets with two and four classes and different numbers of observations and sequences have been generated. For each configuration, models have been tested on two hundred various datasets. First, we consider the fixed time window $T = 100$ and vary the number of observations ($n = 20$ and $n = 150$). Then, we fix the number of observations to $n = 100$ and set the time window $T = 80$ and $T = 300$. The following results are obtained with four clusters.\n\n\| \| CRIT$_1$ \| \| CRIT$_2$ \| \| CRIT$_3$ \| \|\n\|------------------\|----------\|-------\|----------\|-------\|----------\|-------\|\n\| \| n=20 \| n=150 \| n=20 \| n=150 \| n=20 \| n=150 \|\n\| T=100 \| \| \| \| \| \| \|\n\| Proposed Model \| 0.460 \| 0.133 \| 0.071 \| 0.059 \| 0.988 \| 1.000 \|\n\| Constant Model \| 6.994 \| 6.981 \| 0.151 \| 0.151 \| 0.792 \| 0.806 \|\n\| Two-step Regression \| 0.519 \| 0.333 \| 0.148 \| 0.136 \| 0.987 \| 0.992 \|\n\n\| \| CRIT$_1$ \| \| CRIT$_2$ \| \| CRIT$_3$ \| \|\n\|------------------\|----------\|-------\|----------\|-------\|----------\|-------\|\n\| \| T=80 \| T=300 \| T=80 \| T=300 \| T=80 \| T=300 \|\n\| n=100 \| \| \| \| \| \| \|\n\| Proposed Model \| 0.847 \| 0.761 \| 0.072 \| 0.049 \| 0.977 \| 0.999 \|\n\| Constant Model \| 3.921 \| 3.669 \| 0.085 \| 0.066 \| 0.610 \| 0.882 \|\n\| Two-step Regression \| 0.857 \| 0.777 \| 0.085 \| 0.069 \| 0.978 \| 0.997 \|\n\nTable 1: Average criteria calculated for data sets of different sizes\n\nAccording to the results shown in Table 1, we can note that the criteria are decreasing with the size of the temporal window ($T$) and the number of observations ($n$). It means that the more data there is, the more accurate the model is. The previous table also shows that, according to all of the three criteria, the proposed model outperforms the other approaches. The performances of the proposed model compared to the model with constant class centers highlight the interest of estimating the class profiles dynamically. Although, the proposed model performances are close to the “two-step regression” ones, we observed that it requires fewer iterations to converge.\n\n5 Conclusion\n\nThis paper presents a dynamic latent variable model to solve a classification problem by considering class centers’ evolutions over time. Indeed, the main objective of the model is to estimate class profiles as random walks. Moreover, the model is able to estimate the effect of known exogenous factors on the observations.\n\nIn this article, the number of clusters $K$ is assumed to be known. Further investigations can be made on the choice of this hyper-parameter thanks to selection criteria such as the BIC criterion for example. The presented model represents a first step towards a more general model where exogenous effects are not global but specific to each cluster, which highlights structural effects within clusters.\n\nFuture works should concern the use of the proposed model to characterize occupant behavior in buildings, for a better estimation of energy performances.\n\nReferences\n\n[1] Juan David Rodriguez Cote and Marco Diana. Exploring the benefits of a traveller clustering approach based on multimodality attitudes and behaviours. Transportation Research Procedia, 25:2556–2569, 2017.\n\n[2] Emilie Devijer, Yannig Goude, and Jean-Michel Poggi. Clustering electricity consumers using high-dimensional regression mixture models. Appl Stochastic Model Bus Ind., pages 1–19, 2019.\n\n[3] Fátima Rodrigues and Bruno Ferreira. Product recommendation based on shared customer’s behaviour. Procedia Computer Science, 100:136–146, 12 2016.\n\n[4] J Lüsherg, J.K Moller, H Bloem, J Cipriano, and Henrik Madsen. Hidden markov models for indirect classification of occupant behaviour. Sustainable Cities and Society, 27:83–98, 2016.\n\n[5] G.J. McLachlan and T. Krishnan. The EM Algorithm and Extensions. Wiley Series in Probability and Statistics. Wiley, New-York, 2007.\n\n[6] Michael I Jordan, Zoubin Ghahramani, Tommi S Jaakola, and Lawrence K Saul. An introduction to variational methods for graphical models. Machine Learning, 37:183–233, 1999.\n\n[7] Stéphane Bonhomme and Manresa Elena. Grouped patterns of heterogeneity in panel data. Econometrica, 83:1147–1184, 2015.\n\n[8] Hani El Assaad, Alion Samé, Gérard Govaert, and Patrice Aknin. A variational expectation-maximisation algorithm for temporal data clustering. Computational Statistics and Data Analysis, 103:206–228, 2016.\n\n[9] David M Blei, Alp Kucukelbir, and Jon D McAuliffe. Variational inference: A review for statisticians. Journal of the American Statistical Association, 112(518):859–877, 2018.\n</text>\n", "role": "user" }, { "content": "e following constraint to the model: \$\\sum_{k=1}^{K} \\sum_t b_{kt} = 0\$.", "role": "assistant" } ]
MFG Global Sustainable (USD) \| Strategy Inception Date \| \| Total Strategy Assets \| \| \|---\|---\|---\|---\| \| \| 1 October 2016 \| \| USD $109.6 million \| \| Top 10 Holdings2 \| \| Sector2 \| \| \|---\|---\|---\|---\| \| \| Alphabet Inc \| \| Internet & eCommerce \| \| \| Microsoft Corporation \| \| Information Technology \| \| \| Facebook Inc - Class A Shares \| \| Internet & eCommerce \| \| \| Alibaba Group Holding Ltd \| \| Internet & eCommerce \| \| \| Reckitt Benckiser Group \| \| Consumer Defensive \| \| \| Novartis AG \| \| Health Care \| \| \| Starbucks Corporation \| \| Restaurants \| \| \| Tencent Holdings Ltd \| \| Internet & eCommerce \| \| \| Unilever PLC \| \| Consumer Defensive \| \| \| Chipotle Mexican Grill Inc \| \| Restaurants \| \| \| \| \| TOTAL: \| Sector Exposure 2 \| Strategy Fundamentals2 \| \| \|---\|---\| \| \| Number of Holdings \| \| \| Carbon Intensity (CO2t/US$1m revenues) \| \| \| Return on Equity \| \| \| P/E Ratio (1 year forward) \| \| \| Interest Cover (EBIT/interest expense) \| \| \| Active Share \| \| \| Weighted Average Market Cap (USD million) \| \| Last 12 \| \|---\| \| Months \| \| 2.7 \| \| 1.8 \| \| 83% \| \| 83% \| \| 3 Months (%) \| 1 Year (%) \| 2 Years (% p.a.) \| 3 Years (% p.a.) \| \|---\|---\|---\|---\| \| 2.1 \| 33.3 \| 13.1 \| 12.5 \| \| 1.9 \| 32.2 \| 12.2 \| 11.6 \| \| 4.9 \| 54.0 \| 17.5 \| 12.8 \| \| -2.8 \| -20.7 \| -4.4 \| -0.3 \| \| 4.7 \| 54.2 \| 18.0 \| 13.1 \| \| CYTD \| 2020 \| 2019 \| 2018 \| 2017 \| \|---\|---\|---\|---\|---\| \| 2.1 \| 10.1 \| 27.2 \| -1.0 \| 21.4 \| \| 1.9 \| 9.2 \| 26.2 \| -1.8 \| 20.4 \| \| 4.9 \| 15.9 \| 27.7 \| -8.7 \| 22.4 \| \| -2.8 \| -5.8 \| -0.5 \| 7.7 \| -1.0 \| \| 4.7 \| 16.5 \| 28.5 \| -8.9 \| 22.2 \| Market Commentary Global stocks reached record highs as they rose for the eighth quarter in nine for the three months to March after the vaccine rollout intensified, US President Joe Biden capitalised on the Democrat's surprise control of Congress to launch massive fiscal stimulus, the Federal Reserve reiterated it would keep interest rates low, encouraging reports emerged on the US economy, and investors welcomed Italy's new prime minister. Gains were capped as US bond yields rose on concerns that the fiscal stimulus could revive US inflation and a third wave of covid-19 infections swept through Europe. During the quarter, 10 of the 11 sectors rose in US dollars. Energy (+22%) climbed most while consumer staples fell (0.6%). The Morgan Stanley Capital International World Index climbed 4.9% in US dollars and 6.3% in Australian currency over the quarter. US stocks gained as the White House count showed 37% of Americans had received one vaccine dose by quarter end and Democrat control of Capitol Hill allowed Biden to force a US$1.9 trillion bill through Congress that, at 9% of GDP, will boost the budget shortfall for fiscal 2021 to 18% of output. The Democratic party gained control of the Senate after winning the two seats in Georgia that went to a special election (by-election) on January 6. The result tied the Senate 50-50 but new Vice President Kamala Harris's tie-breaking vote gives the party control of the upper chamber to go with its control of the House of Representatives and the White House. In other political news, outgoing president Donald Trump was impeached and acquitted for a record second time. The House in January impeached Trump for helping to incite a mob that breached congress during a protest on January 6 against the election result. The Senate in February acting as an impeachment court acquitted Trump when it failed to gain the required two-thirds majority, though seven Republicans were among the 57 who voted for a guilty verdict while 43 senators voted not guilty. The Fed soothed concerns about bond yields rising on inflation concerns. Fed Chair Jay Powell testified to Congress that the US's recovery is "far from complete" and that the central bank intends to keep interest rates at levels that support employment growth while concerns about inflation remain low. In economic news, the US economy grew at a (revised) annualised speed of 4.3% in the last three months of 2020. The March quarter was marked by individual investors on Reddit and Robinhood bidding up selected stocks that heightened concerns of a stock bubble and the liquidation of Archegos Capital Management's leveraged bets that hurt selected stocks and its banking counterparties. The S&P 500 Index rose 5.8%. European stocks rallied after the vaccine rollout gained enough pace, the European Central Bank loosened monetary policy even more and Mario Draghi won parliamentary backing to become Italy's next prime minister. Draghi, the former president of the European Central Bank, accepted a mandate from the Italian President Sergio Mattarella to lead the eurozone's third-largest economy after Italy's 66th postwar government collapsed. The European Central Bank officials spoke to calm investors about the risk from rising bond yields as it stepped up the pace of bond-buying to arrest the rise in borrowing costs. This offset the damage from a third wave of infections that forced fresh restrictions across Europe. An economic report showed the eurozone GDP fell a revised 0.7% for the fourth quarter. The Euro Stoxx 50 Index jumped 10.3%. In other markets, Japan's Nikkei 225 Index rallied 6.3% after the Diet approved a record budget worth 106.6 trillion yen (US$976 billion) for the fiscal year starting on April 1 and a report showed the economy expanded a revised 2.8% in the fourth quarter. China's CSI 300 Index slid 3.1% as Chinese interest rates rose and the government set a modest growth rate of above 6% for 2021. The S&P/ASX 200 Accumulation Index added 4.3% as company earnings for the period ending December 31 exceeded expectations, the jobless rate fell below 6% and a report showed the economy expanded a higher-than-expected 3.1% in the December quarter. The MSCI Emerging Markets Index edged up 1.9% in US dollars on the better outlook for the world economy. Strategy Commentary The strategy recorded a positive return for the quarter. The biggest contributors were the investments in Alphabet, Wells Fargo and Tencent. Alphabet rallied after its 23% surge in revenue for the fourth quarter that was driven by Search and YouTube advertising beat expectations. Wells Fargo gained on a view the stimulus would boost lending and curtail consumer bad debts, that the associated increase in interest rates would help profit margins, and on a Bloomberg report in February that the Fed has accepted the bank's risk-management plan that, if confirmed, would be the first step in removing the Fed-imposed cap on the value of assets the bank can hold. Tencent gained 8.2% after it was among the Chinese stocks that the Trump administration spared from its 'blacklist' of Chinese stocks. Microsoft added 6.2% after fourth-quarter sales advanced a higher-than-expected 17% on pandemicdriven demand for video games and cloud resources. The biggest detractors were the investments in Red Eléctrica of Spain, PepsiCo and Unilever. Red Eléctrica, which manages Spain's electricity transmission grid, fell after the utility provided a disappointing forward investment outlook. PepsiCo slid as further restrictions on out-of-home activity were implemented, especially in Europe. Unilever declined as rising costs due to covid-19-related safety measures was just one of the causes behind a drop in profit margins that saw secondhalf revenue and profits miss expectations. In relative terms, the strategy underperformed over the quarter. While the strategy performed well during the pandemic up to the end of October, it has lagged the benchmark significantly since November for three main reasons. The first was, to conform with portfolio risk controls (a combined risk-ratio cap of 0.8), about half of the strategy was invested in cash and defensive equities such as utilities, consumer staples and defensive healthcare. This portion of the strategy has delivered lagging returns compared with the benchmark (but not noticeably against defensive stocks overall), highlighting the unusually strong preference among investors for riskier investments. The flipside is that these stocks are at their cheapest in many years, giving us comfort about future portfolio returns. The second reason for the underperformance was the stockspecific issues faced by companies such as Alibaba. Despite their volatile stock prices, we remain comfortable with holding our investments and we see a high likelihood of them delivering attractive returns over our horizon of three to five years. The third reason was our underweight exposure to cyclical equities, which have rallied very strongly following the announcement of the vaccines in November and the extraordinary fiscal stimulus announced by the new Biden administration. Index movements and stock contributors/detractors are based in local currency terms unless stated otherwise. 1 Comprised of all Global Strategies. of positive excess returns. 2 The data is based on a representative portfolio for the strategy. Sectors are internally defined. Geographical exposure is calculated on a look through basis based on underlying revenue exposure of individual companies held within the portfolio. Exposures may not sum to 100% due to rounding. Refer to the Important Notice below for further information. 3 Rolling 3-year returns are calculated and rolled monthly for the duration of each period shown. The average excess return is then calculated for each period, with the outperformance consistency indicating the percentage 4 information. Composite (Net) returns are net of fees charged to clients and have been reduced by the amount of the highest fee charged to any client employing that strategy during the period under consideration. Actual Returns are for the Global Sustainable Composite and denoted in USD. Performance would vary if returns were denominated in a currency other than USD. Refer to the GIPS Disclosure section below for further fees may vary depending on, among other things, the applicable fee schedule and portfolio size. Fees are available upon request. * Returns are only for part year. ^ Combined risk ratio is a measure of relative beta and relative drawdown to MSCI World NTR USD Index. Please contact MFGAM should you wish for further details on the calculation. IMPORTANT NOTICE This material is being furnished to you to provide summary information regarding Magellan Asset Management Limited trading as MFG Asset Management ('MFG Asset Management') and an investment fund or investment strategy managed by MFG Asset Management ('Strategy'). This material is not intended to constitute advertising or advice of any kind and you should not construe the contents of this material as legal, tax, investment or other advice. In making an investment decision, you must rely on your own examination of any offering documents relating to the Strategy. The investment program of the Strategy presented herein is speculative and may involve a high degree of risk. The Strategy is not intended as a complete investment program and is suitable only for sophisticated investors who can bear the risk of loss. The Strategy may lack diversification, which can increase the risk of loss to investors. The Strategy's performance may be volatile. Past performance is not necessarily indicative of future results and no person guarantees the future performance of the Strategy, the amount or timing of any return from it, that asset allocations will be met, that it will be able to implement its investment strategy or that its investment objectives will be achieved. Statements contained in this material that are not historical facts are based on current expectations, estimates, projections, opinions and beliefs of MFG Asset Management. Such statements involve known and unknown risks, uncertainties and other factors, and undue reliance should not be placed thereon. This material may contain 'forward-looking statements'. Actual events or results or the actual performance of an MFG Asset Management financial product or service may differ materially from those reflected or contemplated in such forward-looking statements. The Strategy will have limited liquidity, no secondary market for interests in the Strategy is expected to develop and there are restrictions on an investor's ability to withdraw and transfer interests in the Strategy. The management fees, incentive fees and allocation and other expenses of the Strategy will reduce trading profits, if any, or increase losses. No representation or warranty is made with respect to the correctness, accuracy, reasonableness or completeness of any of the information contained in this material. This information is subject to change at any time and no person has any responsibility to update any of the information provided in this material. This material may include data, research and other information from third party sources. MFG Asset Management makes no guarantee that such information is accurate, complete or timely and does not provide any warranties regarding results obtained from its use. MFG Asset Management will not be responsible or liable for any losses, whether direct, indirect or consequential, including loss of profits, damages, costs, claims or expenses, relating to or arising from your use or reliance upon any part of the information contained in this material including trading losses, loss of opportunity or incidental or punitive damages. No distribution of this material will be made in any jurisdiction where such distribution is not authorised or is unlawful. This material does not constitute, and may not be used for the purpose of, an offer or solicitation in any jurisdiction or in any circumstances in which such an offer or solicitation is unlawful or not authorized or in which the person making such offer or solicitation is not qualified to do so. This material and the information contained within it may not be reproduced, or disclosed, in whole or in part, without the prior written consent of MFG Asset Management. Further information regarding any benchmark referred to herein can be found at www.mfgam.com.au. Any trademarks, logos, and service marks contained herein may be the registered and unregistered trademarks of their respective owners. United Kingdom - This material does not constitute an offer or inducement to engage in an investment activity under the provisions of the Financial Services and Markets Act 2000 (FSMA). This material does not form part of any offer or invitation to purchase, sell or subscribe for, or any solicitation of any such offer to purchase, sell or subscribe for, any shares, units or other type of investment product or service. This material or any part of it, or the fact of its distribution, is for background purposes only. This material has not been approved by a person authorised under the FSMA and its distribution in the United Kingdom and is only being made to persons in circumstances that will not constitute a financial promotion for the purposes of section 21 of the FSMA as a result of an exemption contained in the FSMA 2000 (Financial Promotion) Order 2005 as set out below. This material is exempt from the restrictions in the FSMA as it is to be strictly communicated only to 'investment professionals' as defined in Article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (FPO). United States of America - This material is not intended as an offer or solicitation for the purchase or sale of any securities, financial instrument or product or to provide financial services. It is not the intention of MFG Asset Management to create legal relations on the basis of information provided herein. Where performance figures are shown net of fees charged to clients, the performance has been reduced by the amount of the highest fee charged to any client employing that particular strategy during the period under consideration. Actual fees may vary depending on, among other things, the applicable fee schedule and portfolio size. Fees are available upon request and also may be found in Part II of MFG Asset Management's Form ADV. The MSCI World Index (Net) is a free-float adjusted market capitalization weighted index that is designed to measure the equity performance of 24 developed markets. Index results assume the reinvestment of all distributions of capital gain and net investment income using a tax rate applicable to non-resident institutional investors who do not benefit from double taxation treaties. GLOBAL INVESTMENT PERFORMANCE STANDARDS (GIPS®) DISCLOSURE Magellan Asset Management Limited, doing business as MFG Asset Management in jurisdictions outside Australia and New Zealand, (MFG Asset Management) claims compliance with the Global Investment Performance Standards (GIPS ®) For the purpose of complying with GIPS, the Firm is defined as all discretionary portfolios managed by MFG Asset Management, excluding brands managed by subsidiaries operating as distinct business entities. MFG Asset Management is a wholly-owned subsidiary of the publicly listed company Magellan Financial Group Limited. MFG Asset Management is based in Sydney, Australia. Total Firm assets is defined as all assets managed by MFG Asset Management, excluding assets managed by subsidiaries operating as distinct business entities. The Global Sustainable composite is a concentrated global equity strategy investing in high quality companies (typically 20-50 stocks) with an integrated ESG risk assessment process, including a low carbon overlay and specific ESG exclusions on societal grounds related to either material manufacturing or retail exposures to Tobacco, Alcohol, Gambling, Controversial Weapons, Civilian Firearms, Adult Entertainment and other activities that Magellan may specify from time to time. High quality companies are those companies that have sustainable competitive advantages which translate into returns on capital materially in excess of their cost of capital for a sustained period of time. The investment objectives of the Global Sustainable strategy are to earn superior risk adjusted returns through the business cycle whilst minimising the risk of a permanent capital loss with specific ESG exclusions and a meaningfully lower carbon intensity than broader equity markets. The composite name was changed from Global ESG to Global Sustainable on 1 November 2020 following the restructure of our Global Sustainable product offerings into two distinct strategies, one with additional ESG exclusions and one without. The Global Sustainable strategy does apply additional ESG exclusions. To achieve investment objectives, the composite may also use derivative financial instruments including, but not limited to, options, swaps, futures and forwards. Derivatives are subject to the risk of changes in the market price of the underlying securities instruments, and the risk of the loss due to changes in interest rates. The use of certain derivatives may have a leveraging effect, which may increase the volatility of the composite and may reduce its returns. A copy of the composite's GIPS compliant presentation and/or the firm's list of composite descriptions are available upon request by emailing [email protected] The representative portfolio is an account in the composite that closely reflects the portfolio management style of the strategy. Performance is not a consideration in the selection of the representative portfolio. The characteristics of the representative portfolio may differ from those of the composite and of the other accounts in the composite. The representative portfolio for the Global Sustainable strategy changed on 1 November 2020 following the removal of the additional ESG exclusions from the previous representative portfolio. Information regarding the representative portfolio and the other accounts in the composite is available upon request. USD is the currency used to calculate performance. GLOBALSUSUSD44286	<urn:uuid:80a08da6-6812-47e4-bba4-4bc699dd38af>	CC-MAIN-2021-25	https://sg.mfgam.com.au/investment-strategies/mfg-global-sustainable-strategy/reports/quarterly-updates/mfg-global-sustainable-update11/	2021-06-18T02:01:34+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-25/subset=warc/part-00267-e638c5dd-3c3d-4738-8d52-dc1e9f44de3a.c000.gz.parquet	451,031,364	4,175	eng_Latn	eng_Latn	0.997185	eng_Latn	0.997684	[ "unknown", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1579, 8191, 8843, 20209 ]	MFG Global Sustainable (USD) \| Strategy Inception Date \| \| Total Strategy Assets \| \| \|---\|---\|---\|---\| \| \| 1 October 2016 \| \| USD $109.6 million \| \| Top 10 Holdings2 \| \| Sector2 \| \| \|---\|---\|---\|---\| \| \| Alphabet Inc \| \| Internet & eCommerce \| \| \| Microsoft Corporation \| \| Information Technology \| \| \| Facebook Inc - Class A Shares \| \| Internet & eCommerce \| \| \| Alibaba Group Holding Ltd \| \| Internet & eCommerce \| \| \| Reckitt Benckiser Group \| \| Consumer Defensive \| \| \| Novartis AG \| \| Health Care \| \| \| Starbucks Corporation \| \| Restaurants \| \| \| Tencent Holdings Ltd \| \| Internet & eCommerce \| \| \| Unilever PLC \| \| Consumer Defensive \| \| \| Chipotle Mexican Grill Inc \| \| Restaurants \| \| \| \| \| TOTAL: \| Sector Exposure 2 \| Strategy Fundamentals2 \| \| \|---\|---\| \| \| Number of Holdings \| \| \| Carbon Intensity (CO2t/US$1m revenues) \| \| \| Return on Equity \| \| \| P/E Ratio (1 year forward) \| \| \| Interest Cover (EBIT/interest expense) \| \| \| Active Share \| \| \| Weighted Average Market Cap (USD million) \| \| Last 12 \| \|---\| \| Months \| \| 2.7 \| \| 1.8 \| \| 83% \| \| 83% \| \| 3 Months (%) \| 1 Year (%) \| 2 Years (% p.a.) \| 3 Years (% p.a.) \| \|---\|---\|---\|---\| \| 2.1 \| 33.3 \| 13.1 \| 12.5 \| \| 1.9 \| 32.2 \| 12.2 \| 11.6 \| \| 4.9 \| 54.0 \| 17.5 \| 12.8 \| \| -2.8 \| -20.7 \| -4.4 \| -0.3 \| \| 4.7 \| 54.2 \| 18.0 \| 13.1 \| \| CYTD \| 2020 \| 2019 \| 2018 \| 2017 \| \|---\|---\|---\|---\|---\| \| 2.1 \| 10.1 \| 27.2 \| -1.0 \| 21.4 \| \| 1.9 \| 9.2 \| 26.2 \| -1.8 \| 20.4 \| \| 4.9 \| 15.9 \| 27.7 \| -8.7 \| 22.4 \| \| -2.8 \| -5.8 \| -0.5 \| 7.7 \| -1.0 \| \| 4.7 \| 16.5 \| 28.5 \| -8.9 \| 22.2 \| Market Commentary Global stocks reached record highs as they rose for the eighth quarter in nine for the three months to March after the vaccine rollout intensified, US President Joe Biden capitalised on the Democrat's surprise control of Congress to launch massive fiscal stimulus, the Federal Reserve reiterated it would keep interest rates low, encouraging reports emerged on the US economy, and investors welcomed Italy's new prime minister. Gains were capped as US bond yields rose on concerns that the fiscal stimulus could revive US inflation and a third wave of covid-19 infections swept through Europe. During the quarter, 10 of the 11 sectors rose in US dollars. Energy (+22%) climbed most while consumer staples fell (0.6%). The Morgan Stanley Capital International World Index climbed 4.9% in US dollars and 6.3% in Australian currency over the quarter. US stocks gained as the White House count showed 37% of Americans had received one vaccine dose by quarter end and Democrat control of Capitol Hill allowed Biden to force a US$1.9 trillion bill through Congress that, at 9% of GDP, will boost the budget shortfall for fiscal 2021 to 18% of output. The Democratic party gained control of the Senate after winning the two seats in Georgia that went to a special election (by-election) on January 6. The result tied the Senate 50-50 but new Vice President Kamala Harris's tie-breaking vote gives the party control of the upper chamber to go with its control of the House of Representatives and the White House. In other political news, outgoing president Donald Trump was impeached and acquitted for a record second time. The House in January impeached Trump for helping to incite a mob that breached congress during a protest on January 6 against the election result. The Senate in February acting as an impeachment court acquitted Trump when it failed to gain the required two-thirds majority, though seven Republicans were among the 57 who voted for a guilty verdict while 43 senators voted not guilty. The Fed soothed concerns about bond yields rising on inflation concerns. Fed Chair Jay Powell testified to Congress that the US's recovery is "far from complete" and that the central bank intends to keep interest rates at levels that support employment growth while concerns about inflation remain low. In economic news, the US economy grew at a (revised) annualised speed of 4.3% in the last three months of 2020. The March quarter was marked by individual investors on Reddit and Robinhood bidding up selected stocks that heightened concerns of a stock bubble and the liquidation of Archegos Capital Management's leveraged bets that hurt selected stocks and its banking counterparties. The S&P 500 Index rose 5.8%. European stocks rallied after the vaccine rollout gained enough pace, the European Central Bank loosened monetary policy even more and Mario Draghi won parliamentary backing to become Italy's next prime minister. Draghi, the former president of the European Central Bank, accepted a mandate from the Italian President Sergio Mattarella to lead the eurozone's third-largest economy after Italy's 66th postwar government collapsed. The European Central Bank officials spoke to calm investors about the risk from rising bond yields as it stepped up the pace of bond-buying to arrest the rise in borrowing costs. This offset the damage from a third wave of infections that forced fresh restrictions across Europe. An economic report showed the eurozone GDP fell a revised 0.7% for the fourth quarter. The Euro Stoxx 50 Index jumped 10.3%. In other markets, Japan's Nikkei 225 Index rallied 6.3% after the Diet approved a record budget worth 106.6 trillion yen (US$976 billion) for the fiscal year starting on April 1 and a report showed the economy expanded a revised 2.8% in the fourth quarter. China's CSI 300 Index slid 3.1% as Chinese interest rates rose and the government set a modest growth rate of above 6% for 2021. The S&P/ASX 200 Accumulation Index added 4.3% as company earnings for the period ending December 31 exceeded expectations, the jobless rate fell below 6% and a report showed the economy expanded a higher-than-expected 3.1% in the December quarter. The MSCI Emerging Markets Index edged up 1.9% in US dollars on the better outlook for the world economy. Strategy Commentary The strategy recorded a positive return for the quarter. The biggest contributors were the investments in Alphabet, Wells Fargo and Tencent. Alphabet rallied after its 23% surge in revenue for the fourth quarter that was driven by Search and YouTube advertising beat expectations. Wells Fargo gained on a view the stimulus would boost lending and curtail consumer bad debts, that the associated increase in interest rates would help profit margins, and on a Bloomberg report in February that the Fed has accepted the bank's risk-management plan that, if confirmed, would be the first step in removing the Fed-imposed cap on the value of assets the bank can hold. Tencent gained 8.2% after it was among the Chinese stocks that the Trump administration spared from its 'blacklist' of Chinese stocks. Microsoft added 6.2% after fourth-quarter sales advanced a higher-than-expected 17% on pandemicdriven demand for video games and cloud resources. The biggest detractors were the investments in Red Eléctrica of Spain, PepsiCo and Unilever. Red Eléctrica, which manages Spain's electricity transmission grid, fell after the utility provided a disappointing forward investment outlook. PepsiCo slid as further restrictions on out-of-home activity were implemented, especially in Europe. Unilever declined as rising costs due to covid-19-related safety measures was just one of the causes behind a drop in profit margins that saw secondhalf revenue and profits miss expectations. In relative terms, the strategy underperformed over the quarter. While the strategy performed well during the pandemic up to the end of October, it has lagged the benchmark significantly since November for three main reasons. The first was, to conform with portfolio risk controls (a combined risk-ratio cap of 0.8), about half of the strategy was invested in cash and defensive equities such as utilities, consumer staples and defensive healthcare. This portion of the strategy has delivered lagging returns compared with the benchmark (but not noticeably against defensive stocks overall), highlighting the unusually strong preference among investors for riskier investments. The flipside is that these stocks are at their cheapest in many years, giving us comfort about future portfolio returns. The second reason for the underperformance was the stockspecific issues faced by companies such as Alibaba. Despite their volatile stock prices, we remain comfortable with holding our investments and we see a high likelihood of them delivering attractive returns over our horizon of three to five years. The third reason was our underweight exposure to cyclical equities, which have rallied very strongly following the announcement of the vaccines in November and the extraordinary fiscal stimulus announced by the new Biden administration. Index movements and stock contributors/detractors are based in local currency terms unless stated otherwise. 1 Comprised of all Global Strategies. of positive excess returns. 2 The data is based on a representative portfolio for the strategy. Sectors are internally defined. Geographical exposure is calculated on a look through basis based on underlying revenue exposure of individual companies held within the portfolio. Exposures may not sum to 100% due to rounding. Refer to the Important Notice below for further information. 3 Rolling 3-	year returns are calculated and rolled monthly for the duration of each period shown.	The average excess return is then calculated for each period, with the outperformance consistency indicating the percentage 4 information. Composite (Net) returns are net of fees charged to clients and have been reduced by the amount of the highest fee charged to any client employing that strategy during the period under consideration. Actual Returns are for the Global Sustainable Composite and denoted in USD. Performance would vary if returns were denominated in a currency other than USD. Refer to the GIPS Disclosure section below for further fees may vary depending on, among other things, the applicable fee schedule and portfolio size. Fees are available upon request. * Returns are only for part year. ^ Combined risk ratio is a measure of relative beta and relative drawdown to MSCI World NTR USD Index. Please contact MFGAM should you wish for further details on the calculation. IMPORTANT NOTICE This material is being furnished to you to provide summary information regarding Magellan Asset Management Limited trading as MFG Asset Management ('MFG Asset Management') and an investment fund or investment strategy managed by MFG Asset Management ('Strategy'). This material is not intended to constitute advertising or advice of any kind and you should not construe the contents of this material as legal, tax, investment or other advice. In making an investment decision, you must rely on your own examination of any offering documents relating to the Strategy. The investment program of the Strategy presented herein is speculative and may involve a high degree of risk. The Strategy is not intended as a complete investment program and is suitable only for sophisticated investors who can bear the risk of loss. The Strategy may lack diversification, which can increase the risk of loss to investors. The Strategy's performance may be volatile. Past performance is not necessarily indicative of future results and no person guarantees the future performance of the Strategy, the amount or timing of any return from it, that asset allocations will be met, that it will be able to implement its investment strategy or that its investment objectives will be achieved. Statements contained in this material that are not historical facts are based on current expectations, estimates, projections, opinions and beliefs of MFG Asset Management. Such statements involve known and unknown risks, uncertainties and other factors, and undue reliance should not be placed thereon. This material may contain 'forward-looking statements'. Actual events or results or the actual performance of an MFG Asset Management financial product or service may differ materially from those reflected or contemplated in such forward-looking statements. The Strategy will have limited liquidity, no secondary market for interests in the Strategy is expected to develop and there are restrictions on an investor's ability to withdraw and transfer interests in the Strategy. The management fees, incentive fees and allocation and other expenses of the Strategy will reduce trading profits, if any, or increase losses. No representation or warranty is made with respect to the correctness, accuracy, reasonableness or completeness of any of the information contained in this material. This information is subject to change at any time and no person has any responsibility to update any of the information provided in this material. This material may include data, research and other information from third party sources. MFG Asset Management makes no guarantee that such information is accurate, complete or timely and does not provide any warranties regarding results obtained from its use. MFG Asset Management will not be responsible or liable for any losses, whether direct, indirect or consequential, including loss of profits, damages, costs, claims or expenses, relating to or arising from your use or reliance upon any part of the information contained in this material including trading losses, loss of opportunity or incidental or punitive damages. No distribution of this material will be made in any jurisdiction where such distribution is not authorised or is unlawful. This material does not constitute, and may not be used for the purpose of, an offer or solicitation in any jurisdiction or in any circumstances in which such an offer or solicitation is unlawful or not authorized or in which the person making such offer or solicitation is not qualified to do so. This material and the information contained within it may not be reproduced, or disclosed, in whole or in part, without the prior written consent of MFG Asset Management. Further information regarding any benchmark referred to herein can be found at www.mfgam.com.au. Any trademarks, logos, and service marks contained herein may be the registered and unregistered trademarks of their respective owners. United Kingdom - This material does not constitute an offer or inducement to engage in an investment activity under the provisions of the Financial Services and Markets Act 2000 (FSMA). This material does not form part of any offer or invitation to purchase, sell or subscribe for, or any solicitation of any such offer to purchase, sell or subscribe for, any shares, units or other type of investment product or service. This material or any part of it, or the fact of its distribution, is for background purposes only. This material has not been approved by a person authorised under the FSMA and its distribution in the United Kingdom and is only being made to persons in circumstances that will not constitute a financial promotion for the purposes of section 21 of the FSMA as a result of an exemption contained in the FSMA 2000 (Financial Promotion) Order 2005 as set out below. This material is exempt from the restrictions in the FSMA as it is to be strictly communicated only to 'investment professionals' as defined in Article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (FPO). United States of America - This material is not intended as an offer or solicitation for the purchase or sale of any securities, financial instrument or product or to provide financial services. It is not the intention of MFG Asset Management to create legal relations on the basis of information provided herein. Where performance figures are shown net of fees charged to clients, the performance has been reduced by the amount of the highest fee charged to any client employing that particular strategy during the period under consideration. Actual fees may vary depending on, among other things, the applicable fee schedule and portfolio size. Fees are available upon request and also may be found in Part II of MFG Asset Management's Form ADV. The MSCI World Index (Net) is a free-float adjusted market capitalization weighted index that is designed to measure the equity performance of 24 developed markets. Index results assume the reinvestment of all distributions of capital gain and net investment income using a tax rate applicable to non-resident institutional investors who do not benefit from double taxation treaties. GLOBAL INVESTMENT PERFORMANCE STANDARDS (GIPS®) DISCLOSURE Magellan Asset Management Limited, doing business as MFG Asset Management in jurisdictions outside Australia and New Zealand, (MFG Asset Management) claims compliance with the Global Investment Performance Standards (GIPS ®) For the purpose of complying with GIPS, the Firm is defined as all discretionary portfolios managed by MFG Asset Management, excluding brands managed by subsidiaries operating as distinct business entities. MFG Asset Management is a wholly-owned subsidiary of the publicly listed company Magellan Financial Group Limited. MFG Asset Management is based in Sydney, Australia. Total Firm assets is defined as all assets managed by MFG Asset Management, excluding assets managed by subsidiaries operating as distinct business entities. The Global Sustainable composite is a concentrated global equity strategy investing in high quality companies (typically 20-50 stocks) with an integrated ESG risk assessment process, including a low carbon overlay and specific ESG exclusions on societal grounds related to either material manufacturing or retail exposures to Tobacco, Alcohol, Gambling, Controversial Weapons, Civilian Firearms, Adult Entertainment and other activities that Magellan may specify from time to time. High quality companies are those companies that have sustainable competitive advantages which translate into returns on capital materially in excess of their cost of capital for a sustained period of time. The investment objectives of the Global Sustainable strategy are to earn superior risk adjusted returns through the business cycle whilst minimising the risk of a permanent capital loss with specific ESG exclusions and a meaningfully lower carbon intensity than broader equity markets. The composite name was changed from Global ESG to Global Sustainable on 1 November 2020 following the restructure of our Global Sustainable product offerings into two distinct strategies, one with additional ESG exclusions and one without. The Global Sustainable strategy does apply additional ESG exclusions. To achieve investment objectives, the composite may also use derivative financial instruments including, but not limited to, options, swaps, futures and forwards. Derivatives are subject to the risk of changes in the market price of the underlying securities instruments, and the risk of the loss due to changes in interest rates. The use of certain derivatives may have a leveraging effect, which may increase the volatility of the composite and may reduce its returns. A copy of the composite's GIPS compliant presentation and/or the firm's list of composite descriptions are available upon request by emailing [email protected] The representative portfolio is an account in the composite that closely reflects the portfolio management style of the strategy. Performance is not a consideration in the selection of the representative portfolio. The characteristics of the representative portfolio may differ from those of the composite and of the other accounts in the composite. The representative portfolio for the Global Sustainable strategy changed on 1 November 2020 following the removal of the additional ESG exclusions from the previous representative portfolio. Information regarding the representative portfolio and the other accounts in the composite is available upon request. USD is the currency used to calculate performance. GLOBALSUSUSD44286	9,281	inside_word	3-year	remove_one_sentence	<url> https://sg.mfgam.com.au/investment-strategies/mfg-global-sustainable-strategy/reports/quarterly-updates/mfg-global-sustainable-update11/ </url> <text> MFG Global Sustainable (USD) \| Strategy Inception Date \| \| Total Strategy Assets \| \| \|---\|---\|---\|---\| \| \| 1 October 2016 \| \| USD $109.6 million \| \| Top 10 Holdings2 \| \| Sector2 \| \| \|---\|---\|---\|---\| \| \| Alphabet Inc \| \| Internet & eCommerce \| \| \| Microsoft Corporation \| \| Information Technology \| \| \| Facebook Inc - Class A Shares \| \| Internet & eCommerce \| \| \| Alibaba Group Holding Ltd \| \| Internet & eCommerce \| \| \| Reckitt Benckiser Group \| \| Consumer Defensive \| \| \| Novartis AG \| \| Health Care \| \| \| Starbucks Corporation \| \| Restaurants \| \| \| Tencent Holdings Ltd \| \| Internet & eCommerce \| \| \| Unilever PLC \| \| Consumer Defensive \| \| \| Chipotle Mexican Grill Inc \| \| Restaurants \| \| \| \| \| TOTAL: \| Sector Exposure 2 \| Strategy Fundamentals2 \| \| \|---\|---\| \| \| Number of Holdings \| \| \| Carbon Intensity (CO2t/US$1m revenues) \| \| \| Return on Equity \| \| \| P/E Ratio (1 year forward) \| \| \| Interest Cover (EBIT/interest expense) \| \| \| Active Share \| \| \| Weighted Average Market Cap (USD million) \| \| Last 12 \| \|---\| \| Months \| \| 2.7 \| \| 1.8 \| \| 83% \| \| 83% \| \| 3 Months (%) \| 1 Year (%) \| 2 Years (% p.a.) \| 3 Years (% p.a.) \| \|---\|---\|---\|---\| \| 2.1 \| 33.3 \| 13.1 \| 12.5 \| \| 1.9 \| 32.2 \| 12.2 \| 11.6 \| \| 4.9 \| 54.0 \| 17.5 \| 12.8 \| \| -2.8 \| -20.7 \| -4.4 \| -0.3 \| \| 4.7 \| 54.2 \| 18.0 \| 13.1 \| \| CYTD \| 2020 \| 2019 \| 2018 \| 2017 \| \|---\|---\|---\|---\|---\| \| 2.1 \| 10.1 \| 27.2 \| -1.0 \| 21.4 \| \| 1.9 \| 9.2 \| 26.2 \| -1.8 \| 20.4 \| \| 4.9 \| 15.9 \| 27.7 \| -8.7 \| 22.4 \| \| -2.8 \| -5.8 \| -0.5 \| 7.7 \| -1.0 \| \| 4.7 \| 16.5 \| 28.5 \| -8.9 \| 22.2 \| Market Commentary Global stocks reached record highs as they rose for the eighth quarter in nine for the three months to March after the vaccine rollout intensified, US President Joe Biden capitalised on the Democrat's surprise control of Congress to launch massive fiscal stimulus, the Federal Reserve reiterated it would keep interest rates low, encouraging reports emerged on the US economy, and investors welcomed Italy's new prime minister. Gains were capped as US bond yields rose on concerns that the fiscal stimulus could revive US inflation and a third wave of covid-19 infections swept through Europe. During the quarter, 10 of the 11 sectors rose in US dollars. Energy (+22%) climbed most while consumer staples fell (0.6%). The Morgan Stanley Capital International World Index climbed 4.9% in US dollars and 6.3% in Australian currency over the quarter. US stocks gained as the White House count showed 37% of Americans had received one vaccine dose by quarter end and Democrat control of Capitol Hill allowed Biden to force a US$1.9 trillion bill through Congress that, at 9% of GDP, will boost the budget shortfall for fiscal 2021 to 18% of output. The Democratic party gained control of the Senate after winning the two seats in Georgia that went to a special election (by-election) on January 6. The result tied the Senate 50-50 but new Vice President Kamala Harris's tie-breaking vote gives the party control of the upper chamber to go with its control of the House of Representatives and the White House. In other political news, outgoing president Donald Trump was impeached and acquitted for a record second time. The House in January impeached Trump for helping to incite a mob that breached congress during a protest on January 6 against the election result. The Senate in February acting as an impeachment court acquitted Trump when it failed to gain the required two-thirds majority, though seven Republicans were among the 57 who voted for a guilty verdict while 43 senators voted not guilty. The Fed soothed concerns about bond yields rising on inflation concerns. Fed Chair Jay Powell testified to Congress that the US's recovery is "far from complete" and that the central bank intends to keep interest rates at levels that support employment growth while concerns about inflation remain low. In economic news, the US economy grew at a (revised) annualised speed of 4.3% in the last three months of 2020. The March quarter was marked by individual investors on Reddit and Robinhood bidding up selected stocks that heightened concerns of a stock bubble and the liquidation of Archegos Capital Management's leveraged bets that hurt selected stocks and its banking counterparties. The S&P 500 Index rose 5.8%. European stocks rallied after the vaccine rollout gained enough pace, the European Central Bank loosened monetary policy even more and Mario Draghi won parliamentary backing to become Italy's next prime minister. Draghi, the former president of the European Central Bank, accepted a mandate from the Italian President Sergio Mattarella to lead the eurozone's third-largest economy after Italy's 66th postwar government collapsed. The European Central Bank officials spoke to calm investors about the risk from rising bond yields as it stepped up the pace of bond-buying to arrest the rise in borrowing costs. This offset the damage from a third wave of infections that forced fresh restrictions across Europe. An economic report showed the eurozone GDP fell a revised 0.7% for the fourth quarter. The Euro Stoxx 50 Index jumped 10.3%. In other markets, Japan's Nikkei 225 Index rallied 6.3% after the Diet approved a record budget worth 106.6 trillion yen (US$976 billion) for the fiscal year starting on April 1 and a report showed the economy expanded a revised 2.8% in the fourth quarter. China's CSI 300 Index slid 3.1% as Chinese interest rates rose and the government set a modest growth rate of above 6% for 2021. The S&P/ASX 200 Accumulation Index added 4.3% as company earnings for the period ending December 31 exceeded expectations, the jobless rate fell below 6% and a report showed the economy expanded a higher-than-expected 3.1% in the December quarter. The MSCI Emerging Markets Index edged up 1.9% in US dollars on the better outlook for the world economy. Strategy Commentary The strategy recorded a positive return for the quarter. The biggest contributors were the investments in Alphabet, Wells Fargo and Tencent. Alphabet rallied after its 23% surge in revenue for the fourth quarter that was driven by Search and YouTube advertising beat expectations. Wells Fargo gained on a view the stimulus would boost lending and curtail consumer bad debts, that the associated increase in interest rates would help profit margins, and on a Bloomberg report in February that the Fed has accepted the bank's risk-management plan that, if confirmed, would be the first step in removing the Fed-imposed cap on the value of assets the bank can hold. Tencent gained 8.2% after it was among the Chinese stocks that the Trump administration spared from its 'blacklist' of Chinese stocks. Microsoft added 6.2% after fourth-quarter sales advanced a higher-than-expected 17% on pandemicdriven demand for video games and cloud resources. The biggest detractors were the investments in Red Eléctrica of Spain, PepsiCo and Unilever. Red Eléctrica, which manages Spain's electricity transmission grid, fell after the utility provided a disappointing forward investment outlook. PepsiCo slid as further restrictions on out-of-home activity were implemented, especially in Europe. Unilever declined as rising costs due to covid-19-related safety measures was just one of the causes behind a drop in profit margins that saw secondhalf revenue and profits miss expectations. In relative terms, the strategy underperformed over the quarter. While the strategy performed well during the pandemic up to the end of October, it has lagged the benchmark significantly since November for three main reasons. The first was, to conform with portfolio risk controls (a combined risk-ratio cap of 0.8), about half of the strategy was invested in cash and defensive equities such as utilities, consumer staples and defensive healthcare. This portion of the strategy has delivered lagging returns compared with the benchmark (but not noticeably against defensive stocks overall), highlighting the unusually strong preference among investors for riskier investments. The flipside is that these stocks are at their cheapest in many years, giving us comfort about future portfolio returns. The second reason for the underperformance was the stockspecific issues faced by companies such as Alibaba. Despite their volatile stock prices, we remain comfortable with holding our investments and we see a high likelihood of them delivering attractive returns over our horizon of three to five years. The third reason was our underweight exposure to cyclical equities, which have rallied very strongly following the announcement of the vaccines in November and the extraordinary fiscal stimulus announced by the new Biden administration. Index movements and stock contributors/detractors are based in local currency terms unless stated otherwise. 1 Comprised of all Global Strategies. of positive excess returns. 2 The data is based on a representative portfolio for the strategy. Sectors are internally defined. Geographical exposure is calculated on a look through basis based on underlying revenue exposure of individual companies held within the portfolio. Exposures may not sum to 100% due to rounding. Refer to the Important Notice below for further information. 3 Rolling 3-<cursor_is_here> The average excess return is then calculated for each period, with the outperformance consistency indicating the percentage 4 information. Composite (Net) returns are net of fees charged to clients and have been reduced by the amount of the highest fee charged to any client employing that strategy during the period under consideration. Actual Returns are for the Global Sustainable Composite and denoted in USD. Performance would vary if returns were denominated in a currency other than USD. Refer to the GIPS Disclosure section below for further fees may vary depending on, among other things, the applicable fee schedule and portfolio size. Fees are available upon request. * Returns are only for part year. ^ Combined risk ratio is a measure of relative beta and relative drawdown to MSCI World NTR USD Index. Please contact MFGAM should you wish for further details on the calculation. IMPORTANT NOTICE This material is being furnished to you to provide summary information regarding Magellan Asset Management Limited trading as MFG Asset Management ('MFG Asset Management') and an investment fund or investment strategy managed by MFG Asset Management ('Strategy'). This material is not intended to constitute advertising or advice of any kind and you should not construe the contents of this material as legal, tax, investment or other advice. In making an investment decision, you must rely on your own examination of any offering documents relating to the Strategy. The investment program of the Strategy presented herein is speculative and may involve a high degree of risk. The Strategy is not intended as a complete investment program and is suitable only for sophisticated investors who can bear the risk of loss. The Strategy may lack diversification, which can increase the risk of loss to investors. The Strategy's performance may be volatile. Past performance is not necessarily indicative of future results and no person guarantees the future performance of the Strategy, the amount or timing of any return from it, that asset allocations will be met, that it will be able to implement its investment strategy or that its investment objectives will be achieved. Statements contained in this material that are not historical facts are based on current expectations, estimates, projections, opinions and beliefs of MFG Asset Management. Such statements involve known and unknown risks, uncertainties and other factors, and undue reliance should not be placed thereon. This material may contain 'forward-looking statements'. Actual events or results or the actual performance of an MFG Asset Management financial product or service may differ materially from those reflected or contemplated in such forward-looking statements. The Strategy will have limited liquidity, no secondary market for interests in the Strategy is expected to develop and there are restrictions on an investor's ability to withdraw and transfer interests in the Strategy. The management fees, incentive fees and allocation and other expenses of the Strategy will reduce trading profits, if any, or increase losses. No representation or warranty is made with respect to the correctness, accuracy, reasonableness or completeness of any of the information contained in this material. This information is subject to change at any time and no person has any responsibility to update any of the information provided in this material. This material may include data, research and other information from third party sources. MFG Asset Management makes no guarantee that such information is accurate, complete or timely and does not provide any warranties regarding results obtained from its use. MFG Asset Management will not be responsible or liable for any losses, whether direct, indirect or consequential, including loss of profits, damages, costs, claims or expenses, relating to or arising from your use or reliance upon any part of the information contained in this material including trading losses, loss of opportunity or incidental or punitive damages. No distribution of this material will be made in any jurisdiction where such distribution is not authorised or is unlawful. This material does not constitute, and may not be used for the purpose of, an offer or solicitation in any jurisdiction or in any circumstances in which such an offer or solicitation is unlawful or not authorized or in which the person making such offer or solicitation is not qualified to do so. This material and the information contained within it may not be reproduced, or disclosed, in whole or in part, without the prior written consent of MFG Asset Management. Further information regarding any benchmark referred to herein can be found at www.mfgam.com.au. Any trademarks, logos, and service marks contained herein may be the registered and unregistered trademarks of their respective owners. United Kingdom - This material does not constitute an offer or inducement to engage in an investment activity under the provisions of the Financial Services and Markets Act 2000 (FSMA). This material does not form part of any offer or invitation to purchase, sell or subscribe for, or any solicitation of any such offer to purchase, sell or subscribe for, any shares, units or other type of investment product or service. This material or any part of it, or the fact of its distribution, is for background purposes only. This material has not been approved by a person authorised under the FSMA and its distribution in the United Kingdom and is only being made to persons in circumstances that will not constitute a financial promotion for the purposes of section 21 of the FSMA as a result of an exemption contained in the FSMA 2000 (Financial Promotion) Order 2005 as set out below. This material is exempt from the restrictions in the FSMA as it is to be strictly communicated only to 'investment professionals' as defined in Article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (FPO). United States of America - This material is not intended as an offer or solicitation for the purchase or sale of any securities, financial instrument or product or to provide financial services. It is not the intention of MFG Asset Management to create legal relations on the basis of information provided herein. Where performance figures are shown net of fees charged to clients, the performance has been reduced by the amount of the highest fee charged to any client employing that particular strategy during the period under consideration. Actual fees may vary depending on, among other things, the applicable fee schedule and portfolio size. Fees are available upon request and also may be found in Part II of MFG Asset Management's Form ADV. The MSCI World Index (Net) is a free-float adjusted market capitalization weighted index that is designed to measure the equity performance of 24 developed markets. Index results assume the reinvestment of all distributions of capital gain and net investment income using a tax rate applicable to non-resident institutional investors who do not benefit from double taxation treaties. GLOBAL INVESTMENT PERFORMANCE STANDARDS (GIPS®) DISCLOSURE Magellan Asset Management Limited, doing business as MFG Asset Management in jurisdictions outside Australia and New Zealand, (MFG Asset Management) claims compliance with the Global Investment Performance Standards (GIPS ®) For the purpose of complying with GIPS, the Firm is defined as all discretionary portfolios managed by MFG Asset Management, excluding brands managed by subsidiaries operating as distinct business entities. MFG Asset Management is a wholly-owned subsidiary of the publicly listed company Magellan Financial Group Limited. MFG Asset Management is based in Sydney, Australia. Total Firm assets is defined as all assets managed by MFG Asset Management, excluding assets managed by subsidiaries operating as distinct business entities. The Global Sustainable composite is a concentrated global equity strategy investing in high quality companies (typically 20-50 stocks) with an integrated ESG risk assessment process, including a low carbon overlay and specific ESG exclusions on societal grounds related to either material manufacturing or retail exposures to Tobacco, Alcohol, Gambling, Controversial Weapons, Civilian Firearms, Adult Entertainment and other activities that Magellan may specify from time to time. High quality companies are those companies that have sustainable competitive advantages which translate into returns on capital materially in excess of their cost of capital for a sustained period of time. The investment objectives of the Global Sustainable strategy are to earn superior risk adjusted returns through the business cycle whilst minimising the risk of a permanent capital loss with specific ESG exclusions and a meaningfully lower carbon intensity than broader equity markets. The composite name was changed from Global ESG to Global Sustainable on 1 November 2020 following the restructure of our Global Sustainable product offerings into two distinct strategies, one with additional ESG exclusions and one without. The Global Sustainable strategy does apply additional ESG exclusions. To achieve investment objectives, the composite may also use derivative financial instruments including, but not limited to, options, swaps, futures and forwards. Derivatives are subject to the risk of changes in the market price of the underlying securities instruments, and the risk of the loss due to changes in interest rates. The use of certain derivatives may have a leveraging effect, which may increase the volatility of the composite and may reduce its returns. A copy of the composite's GIPS compliant presentation and/or the firm's list of composite descriptions are available upon request by emailing [email protected] The representative portfolio is an account in the composite that closely reflects the portfolio management style of the strategy. Performance is not a consideration in the selection of the representative portfolio. The characteristics of the representative portfolio may differ from those of the composite and of the other accounts in the composite. The representative portfolio for the Global Sustainable strategy changed on 1 November 2020 following the removal of the additional ESG exclusions from the previous representative portfolio. Information regarding the representative portfolio and the other accounts in the composite is available upon request. USD is the currency used to calculate performance. GLOBALSUSUSD44286 </text>	[ { "content": "<url>\nhttps://sg.mfgam.com.au/investment-strategies/mfg-global-sustainable-strategy/reports/quarterly-updates/mfg-global-sustainable-update11/\n</url>\n<text>\nMFG Global Sustainable (USD)\n\n\| Strategy Inception Date \| \| Total Strategy Assets \| \|\n\|---\|---\|---\|---\|\n\| \| 1 October 2016 \| \| USD $109.6 million \|\n\n\| Top 10 Holdings2 \| \| Sector2 \| \|\n\|---\|---\|---\|---\|\n\| \| Alphabet Inc \| \| Internet & eCommerce \|\n\| \| Microsoft Corporation \| \| Information Technology \|\n\| \| Facebook Inc - Class A Shares \| \| Internet & eCommerce \|\n\| \| Alibaba Group Holding Ltd \| \| Internet & eCommerce \|\n\| \| Reckitt Benckiser Group \| \| Consumer Defensive \|\n\| \| Novartis AG \| \| Health Care \|\n\| \| Starbucks Corporation \| \| Restaurants \|\n\| \| Tencent Holdings Ltd \| \| Internet & eCommerce \|\n\| \| Unilever PLC \| \| Consumer Defensive \|\n\| \| Chipotle Mexican Grill Inc \| \| Restaurants \|\n\| \| \| \| TOTAL: \|\n\nSector Exposure\n\n2\n\n\| Strategy Fundamentals2 \| \|\n\|---\|---\|\n\| \| Number of Holdings \|\n\| \| Carbon Intensity (CO2t/US$1m revenues) \|\n\| \| Return on Equity \|\n\| \| P/E Ratio (1 year forward) \|\n\| \| Interest Cover (EBIT/interest expense) \|\n\| \| Active Share \|\n\| \| Weighted Average Market Cap (USD million) \|\n\n\| Last 12 \|\n\|---\|\n\| Months \|\n\| 2.7 \|\n\| 1.8 \|\n\| 83% \|\n\| 83% \|\n\n\| 3 Months (%) \| 1 Year (%) \| 2 Years (% p.a.) \| 3 Years (% p.a.) \|\n\|---\|---\|---\|---\|\n\| 2.1 \| 33.3 \| 13.1 \| 12.5 \|\n\| 1.9 \| 32.2 \| 12.2 \| 11.6 \|\n\| 4.9 \| 54.0 \| 17.5 \| 12.8 \|\n\| -2.8 \| -20.7 \| -4.4 \| -0.3 \|\n\| 4.7 \| 54.2 \| 18.0 \| 13.1 \|\n\n\| CYTD \| 2020 \| 2019 \| 2018 \| 2017 \|\n\|---\|---\|---\|---\|---\|\n\| 2.1 \| 10.1 \| 27.2 \| -1.0 \| 21.4 \|\n\| 1.9 \| 9.2 \| 26.2 \| -1.8 \| 20.4 \|\n\| 4.9 \| 15.9 \| 27.7 \| -8.7 \| 22.4 \|\n\| -2.8 \| -5.8 \| -0.5 \| 7.7 \| -1.0 \|\n\| 4.7 \| 16.5 \| 28.5 \| -8.9 \| 22.2 \|\n\nMarket Commentary\n\nGlobal stocks reached record highs as they rose for the eighth quarter in nine for the three months to March after the vaccine rollout intensified, US President Joe Biden capitalised on the Democrat's surprise control of Congress to launch massive fiscal stimulus, the Federal Reserve reiterated it would keep interest rates low, encouraging reports emerged on the US economy, and investors welcomed Italy's new prime minister. Gains were capped as US bond yields rose on concerns that the fiscal stimulus could revive US inflation and a third wave of covid-19 infections swept through Europe. During the quarter, 10 of the 11 sectors rose in US dollars. Energy (+22%) climbed most while consumer staples fell (0.6%). The Morgan Stanley Capital International World Index climbed 4.9% in US dollars and 6.3% in Australian currency over the quarter.\n\nUS stocks gained as the White House count showed 37% of Americans had received one vaccine dose by quarter end and Democrat control of Capitol Hill allowed Biden to force a US$1.9 trillion bill through Congress that, at 9% of GDP, will boost the budget shortfall for fiscal 2021 to 18% of output. The Democratic party gained control of the Senate after winning the two seats in Georgia that went to a special election (by-election) on January 6. The result tied the Senate 50-50 but new Vice President Kamala Harris's tie-breaking vote gives the party control of the upper chamber to go with its control of the House of Representatives and the White House. In other political news, outgoing president Donald Trump was impeached and acquitted for a record second time. The House in January impeached Trump for helping to incite a mob that breached congress during a protest on January 6 against the election result. The Senate in February acting as an impeachment court acquitted Trump when it failed to gain the required two-thirds majority, though seven Republicans were among the 57 who voted for a guilty verdict while 43 senators voted not guilty. The Fed soothed concerns about bond yields rising on inflation concerns. Fed Chair Jay Powell testified to Congress that the US's recovery is \"far from complete\" and that the central bank intends to keep interest rates at levels that support employment growth while concerns about inflation remain low. In economic news, the US economy grew at a (revised) annualised speed of 4.3% in the last three months of 2020. The March quarter was marked by individual investors on Reddit and Robinhood bidding up selected stocks that heightened concerns of a stock bubble and the liquidation of Archegos Capital Management's leveraged bets that hurt selected stocks and its banking counterparties. The S&P 500 Index rose 5.8%.\n\nEuropean stocks rallied after the vaccine rollout gained enough pace, the European Central Bank loosened monetary policy even more and Mario Draghi won parliamentary backing to become Italy's next prime minister. Draghi, the former president of the European Central Bank, accepted a mandate from the Italian President Sergio Mattarella to lead the eurozone's third-largest economy after Italy's 66th postwar government collapsed. The European Central Bank officials spoke to calm investors about the risk from rising bond yields as it stepped up the pace of bond-buying to arrest the rise in borrowing costs. This offset the damage from a third wave of infections that forced fresh restrictions across Europe. An economic report showed the eurozone GDP fell a revised 0.7% for the fourth quarter. The Euro Stoxx 50 Index jumped 10.3%.\n\nIn other markets, Japan's Nikkei 225 Index rallied 6.3% after the Diet approved a record budget worth 106.6 trillion yen (US$976 billion) for the fiscal year starting on April 1 and a report showed the economy expanded a revised 2.8% in the fourth quarter. China's CSI 300 Index slid 3.1% as Chinese interest rates rose and the government set a modest growth rate of above 6% for 2021. The S&P/ASX 200 Accumulation Index added 4.3% as company earnings for the period ending December 31 exceeded expectations, the jobless rate fell below 6% and a report showed the economy expanded a higher-than-expected 3.1% in the December quarter. The MSCI Emerging Markets Index edged up 1.9% in US dollars on the better outlook for the world economy.\n\nStrategy Commentary\n\nThe strategy recorded a positive return for the quarter. The biggest contributors were the investments in Alphabet, Wells Fargo and Tencent. Alphabet rallied after its 23% surge in revenue for the fourth quarter that was driven by Search and YouTube advertising beat expectations. Wells Fargo gained on a view the stimulus would boost lending and curtail consumer bad debts, that the associated increase in interest rates would help profit margins, and on a Bloomberg report in February that the Fed has accepted the bank's risk-management plan that, if confirmed, would be the first step in removing the Fed-imposed cap on the value of assets the bank can hold. Tencent gained 8.2% after it was among the Chinese stocks that the Trump administration spared from its 'blacklist' of Chinese stocks. Microsoft added 6.2% after fourth-quarter sales advanced a higher-than-expected 17% on pandemicdriven demand for video games and cloud resources.\n\nThe biggest detractors were the investments in Red Eléctrica of Spain, PepsiCo and Unilever. Red Eléctrica, which manages Spain's electricity transmission grid, fell after the utility provided a disappointing forward investment outlook. PepsiCo slid as further restrictions on out-of-home activity were implemented, especially in Europe. Unilever declined as rising costs due to covid-19-related safety measures was just one of the causes behind a drop in profit margins that saw secondhalf revenue and profits miss expectations.\n\nIn relative terms, the strategy underperformed over the quarter. While the strategy performed well during the pandemic up to the end of October, it has lagged the benchmark significantly since November for three main reasons.\n\nThe first was, to conform with portfolio risk controls (a combined risk-ratio cap of 0.8), about half of the strategy was invested in cash and defensive equities such as utilities, consumer staples and defensive healthcare. This portion of the strategy has delivered lagging returns compared with the benchmark (but not noticeably against defensive stocks overall), highlighting the unusually strong preference among investors for riskier investments. The flipside is that these stocks are at their cheapest in many years, giving us comfort about future portfolio returns.\n\nThe second reason for the underperformance was the stockspecific issues faced by companies such as Alibaba. Despite their volatile stock prices, we remain comfortable with holding our investments and we see a high likelihood of them delivering attractive returns over our horizon of three to five years. The third reason was our underweight exposure to cyclical equities, which have rallied very strongly following the announcement of the vaccines in November and the extraordinary fiscal stimulus announced by the new Biden administration.\n\nIndex movements and stock contributors/detractors are based in local currency terms unless stated otherwise.\n\n1 Comprised of all Global Strategies.\n\nof positive excess returns.\n\n2 The data is based on a representative portfolio for the strategy. Sectors are internally defined. Geographical exposure is calculated on a look through basis based on underlying revenue exposure of individual companies held within the portfolio. Exposures may not sum to 100% due to rounding. Refer to the Important Notice below for further information. 3 Rolling 3-<cursor_is_here> The average excess return is then calculated for each period, with the outperformance consistency indicating the percentage\n\n4\n\ninformation. Composite (Net) returns are net of fees charged to clients and have been reduced by the amount of the highest fee charged to any client employing that strategy during the period under consideration. Actual\n\nReturns are for the Global Sustainable Composite and denoted in USD. Performance would vary if returns were denominated in a currency other than USD. Refer to the GIPS Disclosure section below for further fees may vary depending on, among other things, the applicable fee schedule and portfolio size. Fees are available upon request.\n\n* Returns are only for part year.\n^ Combined risk ratio is a measure of relative beta and relative drawdown to MSCI World NTR USD Index. Please contact MFGAM should you wish for further details on the calculation.\n\nIMPORTANT NOTICE\n\nThis material is being furnished to you to provide summary information regarding Magellan Asset Management Limited trading as MFG Asset Management ('MFG Asset Management') and an investment fund or investment strategy managed by MFG Asset Management ('Strategy'). This material is not intended to constitute advertising or advice of any kind and you should not construe the contents of this material as legal, tax, investment or other advice. In making an investment decision, you must rely on your own examination of any offering documents relating to the Strategy.\n\nThe investment program of the Strategy presented herein is speculative and may involve a high degree of risk. The Strategy is not intended as a complete investment program and is suitable only for sophisticated investors who can bear the risk of loss. The Strategy may lack diversification, which can increase the risk of loss to investors. The Strategy's performance may be volatile. Past performance is not necessarily indicative of future results and no person guarantees the future performance of the Strategy, the amount or timing of any return from it, that asset allocations will be met, that it will be able to implement its investment strategy or that its investment objectives will be achieved. Statements contained in this material that are not historical facts are based on current expectations, estimates, projections, opinions and beliefs of MFG Asset Management. Such statements involve known and unknown risks, uncertainties and other factors, and undue reliance should not be placed thereon. This material may contain 'forward-looking statements'. Actual events or results or the actual performance of an MFG Asset Management financial product or service may differ materially from those reflected or contemplated in such forward-looking statements. The Strategy will have limited liquidity, no secondary market for interests in the Strategy is expected to develop and there are restrictions on an investor's ability to withdraw and transfer interests in the Strategy. The management fees, incentive fees and allocation and other expenses of the Strategy will reduce trading profits, if any, or increase losses.\n\nNo representation or warranty is made with respect to the correctness, accuracy, reasonableness or completeness of any of the information contained in this material. This information is subject to change at any time and no person has any responsibility to update any of the information provided in this material. This material may include data, research and other information from third party sources. MFG Asset Management makes no guarantee that such information is accurate, complete or timely and does not provide any warranties regarding results obtained from its use. MFG Asset Management will not be responsible or liable for any losses, whether direct, indirect or consequential, including loss of profits, damages, costs, claims or expenses, relating to or arising from your use or reliance upon any part of the information contained in this material including trading losses, loss of opportunity or incidental or punitive damages.\n\nNo distribution of this material will be made in any jurisdiction where such distribution is not authorised or is unlawful. This material does not constitute, and may not be used for the purpose of, an offer or solicitation in any jurisdiction or in any circumstances in which such an offer or solicitation is unlawful or not authorized or in which the person making such offer or solicitation is not qualified to do so. This material and the information contained within it may not be reproduced, or disclosed, in whole or in part, without the prior written consent of MFG Asset Management. Further information regarding any benchmark referred to herein can be found at www.mfgam.com.au. Any trademarks, logos, and service marks contained herein may be the registered and unregistered trademarks of their respective owners.\n\nUnited Kingdom - This material does not constitute an offer or inducement to engage in an investment activity under the provisions of the Financial Services and Markets Act 2000 (FSMA). This material does not form part of any offer or invitation to purchase, sell or subscribe for, or any solicitation of any such offer to purchase, sell or subscribe for, any shares, units or other type of investment product or service. This material or any part of it, or the fact of its distribution, is for background purposes only. This material has not been approved by a person authorised under the FSMA and its distribution in the United Kingdom and is only being made to persons in circumstances that will not constitute a financial promotion for the purposes of section 21 of the FSMA as a result of an exemption contained in the FSMA 2000 (Financial Promotion) Order 2005 as set out below. This material is exempt from the restrictions in the FSMA as it is to be strictly communicated only to 'investment professionals' as defined in Article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (FPO).\n\nUnited States of America - This material is not intended as an offer or solicitation for the purchase or sale of any securities, financial instrument or product or to provide financial services. It is not the intention of MFG Asset Management to create legal relations on the basis of information provided herein. Where performance figures are shown net of fees charged to clients, the performance has been reduced by the amount of the highest fee charged to any client employing that particular strategy during the period under consideration. Actual fees may vary depending on, among other things, the applicable fee schedule and portfolio size. Fees are available upon request and also may be found in Part II of MFG Asset Management's Form ADV.\n\nThe MSCI World Index (Net) is a free-float adjusted market capitalization weighted index that is designed to measure the equity performance of 24 developed markets. Index results assume the reinvestment of all distributions of capital gain and net investment income using a tax rate applicable to non-resident institutional investors who do not benefit from double taxation treaties.\n\nGLOBAL INVESTMENT PERFORMANCE STANDARDS (GIPS®) DISCLOSURE\n\nMagellan Asset Management Limited, doing business as MFG Asset Management in jurisdictions outside Australia and New Zealand, (MFG Asset Management) claims compliance with the Global Investment Performance Standards (GIPS ®)\n\nFor the purpose of complying with GIPS, the Firm is defined as all discretionary portfolios managed by MFG Asset Management, excluding brands managed by subsidiaries operating as distinct business entities. MFG Asset Management is a wholly-owned subsidiary of the publicly listed company Magellan Financial Group Limited. MFG Asset Management is based in Sydney, Australia. Total Firm assets is defined as all assets managed by MFG Asset Management, excluding assets managed by subsidiaries operating as distinct business entities.\n\nThe Global Sustainable composite is a concentrated global equity strategy investing in high quality companies (typically 20-50 stocks) with an integrated ESG risk assessment process, including a low carbon overlay and specific ESG exclusions on societal grounds related to either material manufacturing or retail exposures to Tobacco, Alcohol, Gambling, Controversial Weapons, Civilian Firearms, Adult Entertainment and other activities that Magellan may specify from time to time. High quality companies are those companies that have sustainable competitive advantages which translate into returns on capital materially in excess of their cost of capital for a sustained period of time. The investment objectives of the Global Sustainable strategy are to earn superior risk adjusted returns through the business cycle whilst minimising the risk of a permanent capital loss with specific ESG exclusions and a meaningfully lower carbon intensity than broader equity markets. The composite name was changed from Global ESG to Global Sustainable on 1 November 2020 following the restructure of our Global Sustainable product offerings into two distinct strategies, one with additional ESG exclusions and one without. The Global Sustainable strategy does apply additional ESG exclusions.\n\nTo achieve investment objectives, the composite may also use derivative financial instruments including, but not limited to, options, swaps, futures and forwards. Derivatives are subject to the risk of changes in the market price of the underlying securities instruments, and the risk of the loss due to changes in interest rates. The use of certain derivatives may have a leveraging effect, which may increase the volatility of the composite and may reduce its returns.\n\nA copy of the composite's GIPS compliant presentation and/or the firm's list of composite descriptions are available upon request by emailing [email protected]\n\nThe representative portfolio is an account in the composite that closely reflects the portfolio management style of the strategy. Performance is not a consideration in the selection of the representative portfolio. The characteristics of the representative portfolio may differ from those of the composite and of the other accounts in the composite. The representative portfolio for the Global Sustainable strategy changed on 1 November 2020 following the removal of the additional ESG exclusions from the previous representative portfolio. Information regarding the representative portfolio and the other accounts in the composite is available upon request.\n\nUSD is the currency used to calculate performance. GLOBALSUSUSD44286\n</text>\n", "role": "user" }, { "content": "year returns are calculated and rolled monthly for the duration of each period shown.", "role": "assistant" } ]
Statement of Commissioner William B. Allen Concerning Johnson v Transportation Agency, Santa Clara County * Preface Argument alone cannot dislodge the presumption in favor of officeholders who speak authoritatively concerning the meaning of our laws and Constitution. For that reason the following critique of the Supreme Court's opinion and judgment in the case, Johnson v. Transportation Agency, Santa Clara County, addresses rather more our general understanding than any action agenda. Place matters in their proper context and the necessity of this approach will be readily apparent. The critique does not shrink from demonstrations that the Justices do not deserve our attention on the basis of any intrinsic merit in their reasonings and judgment. They reason poorly and decide unwisely (as, for example, in denying the palpable demonstrations that petitioner Johnson had in fact been constructively hired for the position in question but subsequently denied it solely on the basis of his gender). It is rather their office that commands our attention. For whether they reason well or ill, we gauge the range of our conduct by their judgments. We can demonstrate how awkwardly circumstanced we are because of this relationship. We know today that not only Justices but many high officeholders are not only ignorant of but ill-disposed toward our Constitution and the attendant conditions of its development. We pledge allegiance to the republic created by that Constitution, while the general perception of it is forged by voices altogether antagonistic to it and which also misrepresent it. Can a pledge of allegiance make any sense in that context, any more than a spirit of law abidingness when that law is being shaped by lawless judicial interpretation? I believe the answer is yes and shall try to explain why. Put affirmative action aside for the moment and consider only the diverse statements about the imperfections of the American founding coming from high officials in this bicentennial season. According to their voices, American founding history is a sham and a delusion. Yet, the evidences they offer are all false! In a court of law we could not admit them as experts because we may so easily demonstrate that they do not tell the truth when they say the founders favored slavery, did not include blacks and women in the Declaration, and, the ultimate charge, regarded a black person as only three-fifths of a human being. All of these charges are refuted, I say, not by me but by the very surface of the founding documents and their circumstances. The compromise over slavery in the Constitution, for example, actually represented a movement away from the absolute protection for slavery that a threat from South Carolina had introduced in the convention. The Declaration does not only speak of men when it declares "all men are created equal." It also affirms that governments "are instituted among men." It would be hard to insist that women were thought to be ungoverned! But beyond that, Jefferson protested that nefarious practice of keeping "open a market where MEN should be bought and sold." That * Published in Toward an Understanding of Johnson by the U.S. Commission on Civil Rights, Clearinghouse Publication #94, October 1987. these MEN were black and male and female no sophist would deny and, one may say, was a fact of which Jefferson was intimately aware. Thus, the usage of the Declaration excluded none and was self-consciously universal. So, too, with the three-fifths clause both in its original form (Confederation Congress, 1783) and in the Constitution. Not only did the framers not depreciate the value of a black man per se, they specifically counted free blacks and whites, including indentured servants, as whole persons. The three-fifths calculation applied only to the credit for representation and taxation to be granted to slave-owners in States permitting slaves. The slaves were black, to be sure, but the fundamental distinction the calculation was based on was between free and slave. No negative aspersions were involved in this particular provision. Is it not then wonderful, despite this record, that authoritative opinion inculcates the opposite view at every point? Are we to suspect high officeholders of lying, of intentionally seeking to subvert the foundations of this republican order? I think not. I think we rather behold the effects of meager study and blind submission to a reigning orthodoxy. The general opinion that is represented here certainly had a particular origin, but that is not important here. What does count is the fact that, on the basis of this general opinion in the name of which Justices and others act, we must expect decisions and expressions unfriendly to the Constitution. To return to affirmative action, this helps to explain not only how such decisions are made but what their force is in our society. The situation of affirmative action today is not unlike that of slavery 200 years ago. The first constitutional debate in Congress was over slavery; it ended with the House asserting that Congress had some power over slavery but declining to exercise it. Although the greater and better part of the citizens of the United States found slavery incompatible with the principles of and their hopes for the republic, they could undertake no remedial steps that did not also prevail over the opinion of the slaveholders. Thus a powerful minority, not otherwise dominating the Nation, held the key to this problem—a key, as we know, of which no use was made. Similarly with affirmative action, even its supporters acknowledge an ultimate loyalty to the notion of a colorblind Constitution, just as slaveholders had conceded that slavery was incompatible with the Declaration. But, just as slaveholders could not find the practical expedient to free themselves immediately from their contradiction, so, too, supporters of affirmative action insist that it is for the moment practically impossible to forgo race- and class-conscious law. In the United States of 200 years ago, there were practical expedients untried, because they could not win the prior consent of the slaveholders. Today those who oppose affirmative action insist that there are superior modes to realize the promises of American institutions and principles, but our expedients cannot operate in the presence of affirmative action. Thus, they are excluded while affirmative action is the law. Many factors and interests sustain affirmative action. Doubtless one of the most significant, however, is the preponderance of support among American blacks. It may fairly be said that, whatever else happens, no important change of American law is possible in this regard that does not at the same time prevail over the opinions of American blacks. Hence, a powerful minority, not otherwise dominating national life, holds the key to the solution of this problem. When we speak of the opinions of Justices, therefore, and whether they are learned or mere repetitions of stale, uncritical formulas, we do not pretend thereby to have eliminated the exigent character of Court judgments. How far we can follow a Court—and therefore a public opinion—hostile to fundamental conceptions of liberty will remain a most intriguing question. In the assessment that follows, however, we assume not only a commitment to carry out the law to the farthest extent but also the obligation to seek to alter opinion in such a manner as to obviate the recourse to questions more fundamental. Part I: Johnson as Reason I divide this statement into two parts in order to signal that the analytical portion makes no pretense of showing any regard for the artificiality of legal reasoning. Legal reasoning today is significant only insofar as it permits us to say what is the latest expression of the law, not what is right or wrong. On that impoverished view, one might liken it to the directions that guide a scavenger hunt. Accordingly, the second portion of this statement is merely an approximation (a first order approximation) of the legal obligations imposed by Johnson. I concur in the statement of Chairman Pendleton. In addition, I wish to add some direct reflections on the Court's judgments in two respects, first with regard to the character of the opinion, and then in respect to the obligations of the law. The majority opinion written by Justice Brennan stretches our powers of imagination beyond the reasonable. Something called "The Plan" springs to life and assumes reflective and commanding postures. The Plan "notes." The Plan "observes." The Plan "implements." And so on. Indeed, everything that occurred, according to the majority, happened "pursuant to the Plan" (the affirmative action plan of Santa Clara County, California). Thus arises a paradox, on the stated facts of the case. Petitioner Paul Johnson competed against Diane Joyce and seven other applicants for the position of road dispatcher. Johnson and Joyce were both presumably well known to the appointing authority, since both were already employed within the Santa Clara County Transportation Agency. Johnson received preferment based on testing/interview performance, prevailing not alone over Joyce but over five other applicants deemed qualified. All of this took place under the existing authority of "The Plan." When, then, the county affirmative action coordinator intervened (at the request of Joyce) to overturn the constructive hiring of Johnson, the intervention gave rise to the question of whether "The Plan" was being followed. Without any showing whatever that the transportation agency did not follow "The Plan" in selecting Johnson, the agency was directed to appoint Joyce, in accord with "The Plan." In the absence of a positive contrary showing, we must assume that all who live by the "The Plan" also live in conformity with "The Plan." Thus, according to the majority's reading of the facts of this case, the Santa Clara County affirmative action plan could produce either of two exactly opposite results. It could produce appointments with respect for gender distinctions but not on that basis, or it could squarely discriminate on the basis of gender. Either would be acceptable, on the majority's reading. The reason that either of the opposites—nondiscrimination against males or discrimination against males—seems acceptable is that the Court conceded the title to the county to act arbitrarily and to judge summarily where these, and these only, were the allowable options. Commissioners Berry, Guess, and Ramirez seek to minimize the impact of this conclusion through the declaration that the differences between Johnson and Joyce were minimal. They rely on the Court's belief that "any difference in qualifications between Johnson and Joyce were minimal, to say the least." But here lies a problem: the two-point difference between Johnson and Joyce must appear insignificant on a colloquial or non-expert reading. To say the least, neither we nor the Court have any idea what to make of such raw scores. On the other hand, we do have a conversion instrument that would make those raw scores commensurable with other human performance—and thus say much to us about qualifications. We know that, of seven qualified applicants, a twopoint difference placed Joyce below, and Johnson above, the 50 th percentile. That is certainly no minimal difference. It may even signal the distinction between "barely qualified" and "qualified." This, in turn, amplifies our understanding of the Court's grant of arbitrary authority to the County of Santa Clara. With this result from a reading of the facts of the case and the Court's reasoning, we are forced to ask why. How does the Court justify such a counterintuitive result? The answer: not easily! nor well! According to the Court, the question being judged was not whether gender had been taken into account but whether it had "impermissibly" been taken into account in violation of Title VII of the Civil Rights Act, as amended. The relevant amendments prohibit discrimination or adverse categorization on the basis of gender and several other factors. In addressing the question, the majority announced an exclusive concern with the "scope" of Title VII, severing the law from any questions of constitutionality since, purportedly, no constitutional questions had been raised. (This, abstracting from the fact that the relevant amendments to Title VII had explicitly injected the constitutional question relative to public employers. Needless to add, it never occurred to the majority to recur to the axiom of the Declaration of Independence that vouchsafed the rights of all.) The significance of the decision not to confront the constitutional question lies in the effect of that decision on the majority's reading of the facts. The Court's prior affirmative action history would have been relevant in trying the constitutional question but not, according to the logic, to trying the scope of the statute. The opinion is not informed, therefore, by the evidence that the present "Plan" represents a reaction in Santa Clara County, not to a tradition of segregation but to the county's own frustration with the results of equal employment opportunity. The county mandated in its "Plan" work force adjustments in harmony with demographic representations of identified population subgroups. Thus, if 10 percent of the population were black, so too should the work force be. If 50 percent were women, so too should the work force be. If 3 percent were Asian, so too should the work force be. The mandate applied not merely across the board, but through specified job categories. In the transportation agency's "Plan," the goals of the county mandate were to be attained by means of annual statistical improvements in the "representation" of the designated subgroups. The concentration was to be on the "underrepresented" as opposed to the "overrepresented" subgroups. The transportation agency made the transition from vague, long term social objectives to concrete, short term goals by means of a specific action plan—namely, to locate qualified applicants in the relevant geographical area and then to distribute them actuarially relative to anticipated vacancies. The number identified at each actuarial increment would become the short term goal. A less complicated way to state this bureaucratese is to say that they guessed at probable job openings (firings, retirings, etc.) and made a judgment about the availability of members of the subgroups to fill them. Whatever number of availables they came up with, up to the number of vacancies, became the short term goal. It is, therefore, almost a conscious lie, when the Court declares that the "Agency's Plan thus set aside no specific number of positions for minorities or women." They set aside a specific percentage of each group on a long term basis and specific numbers year by year, up to the number prescribed by the long term goal operating as an arithmetic factor. The Court's sleight of hand may be captured as follows. It is possible to describe the dynamics of a Supreme Court judgment without ever mentioning the number nine or any number. Doing so, however, will not alter the fact that a determinant number of opinions alone will and must decide in any given case. The pretense that Santa Clara County's goal is not a quota merely because the county forswears an immediate declaration as to a number is either intellectual duplicity or stupidity. Although reasoning on that order may determine the law, we can take comfort that the disease need not be catching. A last word on the "overrepresented," such as female clericals: although the quota system mentioned here would be harmless in a perfectly elastic, evenly distributed labor market, a different story unfolds to the extent that humans form their ambitions and career objectives differentially (however subject to evolution). In the latter case, a necessary deduction would be substantial, legally imposed unemployment or misemployment in certain categories. It does not apply immediately only because the Court and the county forswear any intention to do anything about overrepresentation. On the other hand, the warning lights have already lit for the future of Asians in American higher education! The two primary notions, the calculation of work force representativeness and non-applicability of equal employment considerations, go to the heart of the Court's reasoning. It does, however, distinguish itself by other feats of legerdemain. According to past opinions, for example, such a "Plan" would be flawed if it were permanent as opposed to temporary. The lower court concluded from the absence of a termination date that the "Plan" was permanent. The High Court majority ruled, however, that the "Plan" only spoke explicitly of "attaining," not "maintaining a work force mirroring the labor force in the County." Thus, though acknowledging that the "Plan" called for an openended attainment of work force quotas, the majority pretended that the absence of one word, maintenance, meant that the county would have ended the "Plan" as soon as it reached its goal (which, by the way, was not supposed to be a real goal!). This is rather like arguing that a person who buys a car without a service contract really doesn't mean to keep the car, for we all know that cars require maintenance to be kept. Yet, to the extent that it is common knowledge that maintenance is the means to provide permanence, why should we have to make it explicit? The Court's reasoning on the temporal character of the "Plan" resembles its reasoning on the facts of the case touching Johnson's rights—namely, the Court denied that Johnson was denied anything to which he had a right. The Court must be wrong here (as any good common law jury would surely find), and it tacitly acknowledges this by focusing on Johnson and not the other candidates over whom Joyce had been selected. Why does Johnson stand out? Because the selection process had narrowed to a choice of Johnson! On the facts presented even in the majority's opinion, it is plausible to assume that the decision to appoint Johnson had been made through normal channels, and that in an atmosphere which had indeed raised at least an expectation of Johnson's constructive title to the job. What happened next, then, was not a simple decision to appoint Joyce, but a decision to override the process (which already included affirmative action criteria) and on the basis of gender alone to appoint Joyce over Johnson. [N.B.: This is the source of the entire fallacy of Justice O'Connor's concurrence. She failed to note that gender was considered twice, not once, and therefore considered inappropriately the second time. Insofar as she wished only to defend some consideration of gender, it had been provided for already. Had she noticed that, she would have dissented.] It was a decision to deny Johnson what he had earned (a form of title with which the Court is no longer conversant but one that will ever be morally compelling). The decision of the appointing official—under the direction of the county affirmative action officer—was effectively that the county would not be harmed by appointing Joyce (which appears correct on narrow grounds), without regard for what befell Johnson. This is what the Court has shown us, though it has not the courage or the art to say it. Johnson is not alone. Every use of race or gender operates as an exclusion. Where the exclusion of certain designated minorities, by race or ethnicity, or the exclusion of females, may result, the Court holds it is insupportable and by no stronger argument today than what can be wrung from the expression, "traditionally segregated." The exclusion of the combined class of white males—a minority by race plus gender—is the mandate of the law and the necessary inference of the Court's reasoning. This enormous transition in American principles (this abandonment of American principles) stands on an argument in behalf of "effecting a gradual improvement in the representation of minorities and women" in the key centers of social and political life. Thus, the question ceases to be a matter of individual rights and becomes instead a matter of social symbolism. Nowhere in this or any other opinion, however, does the Court undertake to state cogently the sources and content of this symbolism, conveyed by the sole word, "representation." The gravamen of this consideration will become clear if we contrast the word "representation" with the word "presence." If the Court's goal were gradually to effect an improvement in the presence of minorities and women in key centers of social and political life, there would be implied named individuals whose rights and fates were at stake. Their presence would answer to their unmerited absence. Presence, replacing absence, would terminate the cycle. But what is representation? Is it political, as where many choose few to speak on their behalf? If so, how can the choice of the spokesman be placed in the hands of the persons to whom the many are represented rather than in the hands of the persons represented? Is it artistic, as in the theatre we regard a play as a representation? If so, who is the artist, and on what just grounds do we limit his expression? Is it merely statistical, as in a representative sample? If so, must we not impose scientifically precise conditions of randomness to achieve the stated end? We behold in these reflections the massive evidence of the Court's confusion. The fact is, the Court's majority simply has no very firm conception of what it is talking about. It is out of its league. There is a perverseness involved in considering one laborer in any given industry the "representative" of others who have their own rights to vindicate irrespective of what happens to people who "look like them." They may very well prefer to hold that job themselves rather than be "represented" through the accident of race or gender. Their wishes, other factors not intervening, ought to be the law's command. In what way, then, does one laborer thus represent others? He doesn't share out his pay among them. His tax obligations do not discharge them from like obligations. Nor can they even be sued for liability when he screws up! This metaphorical style of reasoning, upon which the Court relies, obscures an ill-disguised contempt for ordinary souls (the Johnsons of the world) and the notion that their individual claims and desires deserve no particular respect. They are counted en masse, by noses, and thus only do they count. This analysis raises an urgent question: given the insufficiency and inferiority of the Court's reasoning, what are the obligations of the Commission on Civil Rights in regard to the ruling? Let it be affirmed at once: the Court's ruling is absolutely binding on the Commission, just as it is practically binding on the people as a whole, its pernicious effects to the contrary notwithstanding. The Court's ruling may be distinguished from its argument, however. We, whether at the Commission or the people at large, are under no obligation to conform our opinions to the dim lights of the Justices. This is especially true where Court opinions are manifestly inferior as logical and moral arguments. There has been much debate about the notion of original intent. It can admit of no debate, however, that the founders clearly intended Supreme Court Justices to be more accomplished reasoners than majorities of late have been—not only legally but morally, philosophically, historically, and religiously. I have offered a cursory examination of the Court's reasoning, relying on no outside authority. I could, of course, have developed the perspective of the dissenting opinion. I could as well have recurred to the stirring language of a colorblind Constitution from the Harlan dissent in Plessy, language that wended its way into the heart of the people's Constitution in spite of Supreme Court and entrenched political inertia. I conceive it as important, however, that we take the full measure of what serves us as law today. I do not conceal that I foresee ruinous consequences proceeding from the Court's ruling, not all of them traceable to the Court itself. Much of the difficulty begins with the Court's giving too great credit to Congress' hyperbolic intention to "eliminate the lasting effects of discrimination." This exceeds their power to realize. Although Congress can assure and safeguard the opportunity for the people of this country to accomplish that goal, Congress can never provide for it directly. And it is by now clear that their exerting themselves on behalf of extreme pretensions is an immediate cause rather of decline than of progress in civil rights. It is regrettable that the Court has enlisted as a handmaiden in their demarche. Part II: Johnson as Law The Johnson decision imposes upon this Commission and the society in general (including public agencies) efforts to improve gradually the representation of women and minorities in work forces. This is an extrapolation from the strict decision, approving the 8 affirmative action plan of Santa Clara County, read by way of the existing obligation to enforce Title VII of the Civil Rights Act in light of this authoritative interpretation. The specific statistical plan of quotas and decisions based squarely on gender or race in Johnson is not the sole recourse for affirmative action purposes, nor was it presented as such by the Court. On the other hand, insofar as it effectively attains the mandated condition, "representativeness," and does so comparatively more effectively than other recourses, it acquires a legal and moral priority. In particular, for this Commission it would take a strong justification to defend devoting time to other measures, under pressure of the ruling in Johnson. The consequences of this reading of the law are manifest. The myriad statutory and regulatory provisions that mandate affirmative action would now have renewed life and vigor. Heretofore, compliance efforts throughout some governmental agencies and the private marketplace, from churches and schools to multinational corporations, have been little more than demonstration projects in comparison with what the law demands. Worse, these efforts may be characterized as a mere form of paper compliance, burdening the society with noxious reports, producing the occasional show case, like Diane Joyce, but otherwise neither being carried out in good faith nor producing any markedly discernible impact on the society. The law is the law. Our voices are not stopped. We may tell the truth about the law: it is bad law. It may well destroy this society if fully enforced. Yet, it is the law. Accordingly, it is in my view the immediate and urgent task of this Commission to demand that it be fully and effectively enforced. It is not clear where the Court discovered the mandate of gradualness in the law. We can take no comfort in its presence, however, for we know not what pace of accomplishment will qualify as gradual. A timeline of 20 years will be short to some and long to others. For this Commission, then, which has no direct enforcement authority, I believe that the idea of gradualness should be subsumed under the notion of immediacy. We would then demand the immediate, full, and effective enforcement of the law. There will remain ambiguity about the objective of correcting "imbalances" in the work force and elsewhere. The law, according to the Court, requires correcting imbalances. An imbalance, however, is not per se an asymmetrical or non-analogical distribution vis-á-vis the general population. Therefore, it requires prior, authoritative determination just what kind of imbalance is meant. The Court has been content to resign that power into the hands of individual agencies, public and private. That, however, invites the abuse of interpreting as imbalance whatever "appears to us an imbalance." Such concepts are far from manifest, though the Court spoke of "manifest imbalance." They would be manifest only if supported by an equilibrium argument, of which I know none. Accordingly, believing it critical that this lacuna be filled, I ask that the Commission apply to Congress and the President for an authoritative determination, a statute fixing standards of imbalances, whereby we could more effectively pursue the task of monitoring and encouraging the enforcement of the law.	<urn:uuid:2ddf87b3-a12a-42cd-80e5-ce43bba48864>	CC-MAIN-2017-30	http://williambarclayallen.com/reports/Toward_an_Understanding_of_Johnson.pdf	2017-07-24T10:39:19Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-30/segments/1500549424846.81/warc/CC-MAIN-20170724102308-20170724122308-00380.warc.gz	342,136,452	5,555	eng_Latn	eng_Latn	0.998517	eng_Latn	0.998676	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3271, 6932, 10272, 13985, 17764, 21730, 25234, 28582 ]	Statement of Commissioner William B. Allen Concerning Johnson v Transportation Agency, Santa Clara County * Preface Argument alone cannot dislodge the presumption in favor of officeholders who speak authoritatively concerning the meaning of our laws and Constitution. For that reason the following critique of the Supreme Court's opinion and judgment in the case, Johnson v. Transportation Agency, Santa Clara County, addresses rather more our general understanding than any action agenda. Place matters in their proper context and the necessity of this approach will be readily apparent. The critique does not shrink from demonstrations that the Justices do not deserve our attention on the basis of any intrinsic merit in their reasonings and judgment. They reason poorly and decide unwisely (as, for example, in denying the palpable demonstrations that petitioner Johnson had in fact been constructively hired for the position in question but subsequently denied it solely on the basis of his gender). It is rather their office that commands our attention. For whether they reason well or ill, we gauge the range of our conduct by their judgments. We can demonstrate how awkwardly circumstanced we are because of this relationship. We know today that not only Justices but many high officeholders are not only ignorant of but ill-disposed toward our Constitution and the attendant conditions of its development. We pledge allegiance to the republic created by that Constitution, while the general perception of it is forged by voices altogether antagonistic to it and which also misrepresent it. Can a pledge of allegiance make any sense in that context, any more than a spirit of law abidingness when that law is being shaped by lawless judicial interpretation? I believe the answer is yes and shall try to explain why. Put affirmative action aside for the moment and consider only the diverse statements about the imperfections of the American founding coming from high officials in this bicentennial season. According to their voices, American founding history is a sham and a delusion. Yet, the evidences they offer are all false! In a court of law we could not admit them as experts because we may so easily demonstrate that they do not tell the truth when they say the founders favored slavery, did not include blacks and women in the Declaration, and, the ultimate charge, regarded a black person as only three-fifths of a human being. All of these charges are refuted, I say, not by me but by the very surface of the founding documents and their circumstances. The compromise over slavery in the Constitution, for example, actually represented a movement away from the absolute protection for slavery that a threat from South Carolina had introduced in the convention. The Declaration does not only speak of men when it declares "all men are created equal." It also affirms that governments "are instituted among men." It would be hard to insist that women were thought to be ungoverned! But beyond that, Jefferson protested that nefarious practice of keeping "open a market where MEN should be bought and sold." That * Published in Toward an Understanding of Johnson by the U.S. Commission on Civil Rights, Clearinghouse Publication #94, October 1987. these MEN were black and male and female no sophist would deny and, one may say, was a fact of which Jefferson was intimately aware. Thus, the usage of the Declaration excluded none and was self-consciously universal. So, too, with the three-fifths clause both in its original form (Confederation Congress, 1783) and in the Constitution. Not only did the framers not depreciate the value of a black man per se, they specifically counted free blacks and whites, including indentured servants, as whole persons. The three-fifths calculation applied only to the credit for representation and taxation to be granted to slave-owners in States permitting slaves. The slaves were black, to be sure, but the fundamental distinction the calculation was based on was between free and slave. No negative aspersions were involved in this particular provision. Is it not then wonderful, despite this record, that authoritative opinion inculcates the opposite view at every point? Are we to suspect high officeholders of lying, of intentionally seeking to subvert the foundations of this republican order? I think not. I think we rather behold the effects of meager study and blind submission to a reigning orthodoxy. The general opinion that is represented here certainly had a particular origin, but that is not important here. What does count is the fact that, on the basis of this general opinion in the name of which Justices and others act, we must expect decisions and expressions unfriendly to the Constitution. To return to affirmative action, this helps to explain not only how such decisions are made but what their force is in our society. The situation of affirmative action today is not unlike that of slavery 200 years ago. The first constitutional debate in Congress was over slavery; it ended with the House asserting that Congress had some power over slavery but declining to exercise it. Although the greater and better part of the citizens of the United States found slavery incompatible with the principles of and their hopes for the republic, they could undertake no remedial steps that did not also prevail over the opinion of the slaveholders. Thus a powerful minority, not otherwise dominating the Nation, held the key to this problem—a key, as we know, of which no use was made. Similarly with affirmative action, even its supporters acknowledge an ultimate loyalty to the notion of a colorblind Constitution, just as slaveholders had conceded that slavery was incompatible with the Declaration. But, just as slaveholders could not find the practical expedient to free themselves immediately from their contradiction, so, too, supporters of affirmative action insist that it is for the moment practically impossible to forgo race- and class-conscious law. In the United States of 200 years ago, there were practical expedients untried, because they could not win the prior consent of the slaveholders. Today those who oppose affirmative action insist that there are superior modes to realize the promises of American institutions and principles, but our expedients cannot operate in the presence of affirmative action. Thus, they are excluded while affirmative action is the law. Many factors and interests sustain affirmative action. Doubtless one of the most significant, however, is the preponderance of support among American blacks. It may fairly be said that, whatever else happens, no important change of American law is possible in this regard that does not at the same time prevail over the opinions of American blacks. Hence, a powerful minority, not otherwise dominating national life, holds the key to the solution of this problem. When we speak of the opinions of Justices, therefore, and whether they are learned or mere repetitions of stale, uncritical formulas, we do not pretend thereby to have eliminated the exigent character of Court judgments. How far we can follow a Court—and therefore a public opinion—hostile to fundamental conceptions of liberty will remain a most intriguing question. In the assessment that follows, however, we assume not only a commitment to carry out the law to the farthest extent but also the obligation to seek to alter opinion in such a manner as to obviate the recourse to questions more fundamental. Part I: Johnson as Reason I divide this statement into two parts in order to signal that the analytical portion makes no pretense of showing any regard for the artificiality of legal reasoning. Legal reasoning today is significant only insofar as it permits us to say what is the latest expression of the law, not what is right or wrong. On that impoverished view, one might liken it to the directions that guide a scavenger hunt. Accordingly, the second portion of this statement is merely an approximation (a first order approximation) of the legal obligations imposed by Johnson. I concur in the statement of Chairman Pendleton. In addition, I wish to add some direct reflections on the Court's judgments in two respects, first with regard to the character of the opinion, and then in respect to the obligations of the law. The majority opinion written by Justice Brennan stretches our powers of imagination beyond the reasonable. Something called "The Plan" springs to life and assumes reflective and commanding postures. The Plan "notes." The Plan "observes." The Plan "implements." And so on. Indeed, everything that occurred, according to the majority, happened "pursuant to the Plan" (the affirmative action plan of Santa Clara County, California). Thus arises a paradox, on the stated facts of the case. Petitioner Paul Johnson competed against Diane Joyce and seven other applicants for the position of road dispatcher. Johnson and Joyce were both presumably well known to the appointing authority, since both were already employed within the Santa Clara County Transportation Agency. Johnson received preferment based on testing/interview performance, prevailing not alone over Joyce but over five other applicants deemed qualified. All of this took place under the existing authority of "The Plan." When, then, the county affirmative action coordinator intervened (at the request of Joyce) to overturn the constructive hiring of Johnson, the intervention gave rise to the question of whether "The Plan" was being followed. Without any showing whatever that the transportation agency did not follow "The Plan" in selecting Johnson, the agency was directed to appoint Joyce, in accord with "The Plan." In the absence of a positive contrary showing, we must assume that all who live by the "The Plan" also live in conformity with "The Plan." Thus, according to the majority's reading of the facts of this case, the Santa Clara County affirmative action plan could produce either of two exactly opposite results. It could produce appointments with respect for gender distinctions but not on that basis, or it could squarely discriminate on the basis of gender. Either would be acceptable, on the majority's reading. The reason that either of the opposites—nondiscrimination against males or discrimination against males—seems acceptable is that the Court conceded the title to the county to act arbitrarily and to judge summarily where these, and these only, were the allowable options. Commissioners Berry, Guess, and Ramirez seek to minimize the impact of this conclusion through the declaration that the differences between Johnson and Joyce were minimal. They rely on the Court's belief that "any difference in qualifications between Johnson and Joyce were minimal, to say the least." But here lies a problem: the two-point difference between Johnson and Joyce must appear insignificant on a colloquial or non-expert reading. To say the least, neither we nor the Court have any idea what to make of such raw scores. On the other hand, we do have a conversion instrument that would make those raw scores commensurable with other human performance—and thus say much to us about qualifications. We know that, of seven qualified applicants, a twopoint difference placed Joyce below, and Johnson above, the 50 th percentile. That is certainly no minimal difference. It may even signal the distinction between "barely qualified" and "qualified." This, in turn, amplifies our understanding of the Court's grant of arbitrary authority to the County of Santa Clara. With this result from a reading of the facts of the case and the Court's reasoning, we are forced to ask why. How does the Court justify such a counterintuitive result? The answer: not easily! nor well! According to the Court, the question being judged was not whether gender had been taken into account but whether it had "impermissibly" been taken into account in violation of Title VII of the Civil Rights Act, as amended. The relevant amendments prohibit discrimination or adverse categorization on the basis of gender and several other factors. In addressing the question, the majority announced an exclusive concern with the "scope" of Title VII, severing the law from any questions of constitutionality since, purportedly, no constitutional questions had been raised. (This, abstracting from the fact that the relevant amendments to Title VII had explicitly injected the constitutional question relative to public employers. Needless to add, it never occurred to the majority to recur to the axiom of the Declaration of Independence that vouchsafed the rights of all.) The significance of the decision not to confront the constitutional question lies in the effect of that decision on the majority's reading of the facts. The Court's prior affirmative action history would have been relevant in trying the constitutional question but not, according to the logic, to trying the scope of the statute. The opinion is not informed, therefore, by the evidence that the present "Plan" represents a reaction in Santa Clara County, not to a tradition of segregation but to the county's own frustration with the results of equal employment opportunity. The county mandated in its "Plan" work force adjustments in harmony with demographic representations of identified population subgroups. Thus, if 10 percent of the population were black, so too should the work force be. If 50 percent were women, so too should the work force be. If 3 percent were Asian, so too should the work force be. The mandate applied not merely across the board, but through specified job categories. In the transportation agency's "Plan," the goals of the county mandate were to be attained by means of annual statistical improvements in the "representation" of the designated subgroups. The concentration was to be on the "underrepresented" as opposed to the "overrepresented" subgroups. The transportation agency made the transition from vague, long term social objectives to concrete, short term goals by means of a specific action plan—namely, to locate qualified applicants in the relevant geographical area and then to distribute them actuarially relative to anticipated vacancies. The number identified at each actuarial increment would become the short term goal. A less complicated way to state this bureaucratese is to say that they guessed at probable job openings (firings, retirings, etc.) and made a judgment about the availability of members of the subgroups to fill them. Whatever number of availables they came up with, up to the number of vacancies, became the short term goal. It is, therefore, almost a conscious lie, when the Court declares that the "Agency's Plan thus set aside no specific number of positions for minorities or women." They set aside a specific percentage of each group on a long term basis and specific numbers year by year, up to the number prescribed by the long term goal operating as an arithmetic factor. The Court's sleight of hand may be captured as follows. It is possible to describe the dynamics of a Supreme Court judgment without ever mentioning the number nine or any number. Doing so, however, will not alter the fact that a determinant number of opinions alone will and must decide in any given case. The pretense that Santa Clara County's goal is not a quota merely because the county forswears an immediate declaration as to a number is either intellectual duplicity or stupidity. Although reasoning on that order may determine the law, we can take comfort that the disease need not be catching. A last word on the "overrepresented," such as female clericals: although the quota system mentioned here would be harmless in a perfectly elastic, evenly distributed labor market, a different story unfolds to the extent that humans form their ambitions and career objectives differentially (however subject to evolution). In the latter case, a necessary deduction would be substantial, legally imposed unemployment or misemployment in certain categories. It does not apply immediately only because the Court and the county forswear any intention to do anything about overrepresentation. On the other han	d, the warning lights have already lit for the future of Asians in American higher education!		16,257	inside_word	hand,	remove_all	<url> http://williambarclayallen.com/reports/Toward_an_Understanding_of_Johnson.pdf </url> <text> Statement of Commissioner William B. Allen Concerning Johnson v Transportation Agency, Santa Clara County * Preface Argument alone cannot dislodge the presumption in favor of officeholders who speak authoritatively concerning the meaning of our laws and Constitution. For that reason the following critique of the Supreme Court's opinion and judgment in the case, Johnson v. Transportation Agency, Santa Clara County, addresses rather more our general understanding than any action agenda. Place matters in their proper context and the necessity of this approach will be readily apparent. The critique does not shrink from demonstrations that the Justices do not deserve our attention on the basis of any intrinsic merit in their reasonings and judgment. They reason poorly and decide unwisely (as, for example, in denying the palpable demonstrations that petitioner Johnson had in fact been constructively hired for the position in question but subsequently denied it solely on the basis of his gender). It is rather their office that commands our attention. For whether they reason well or ill, we gauge the range of our conduct by their judgments. We can demonstrate how awkwardly circumstanced we are because of this relationship. We know today that not only Justices but many high officeholders are not only ignorant of but ill-disposed toward our Constitution and the attendant conditions of its development. We pledge allegiance to the republic created by that Constitution, while the general perception of it is forged by voices altogether antagonistic to it and which also misrepresent it. Can a pledge of allegiance make any sense in that context, any more than a spirit of law abidingness when that law is being shaped by lawless judicial interpretation? I believe the answer is yes and shall try to explain why. Put affirmative action aside for the moment and consider only the diverse statements about the imperfections of the American founding coming from high officials in this bicentennial season. According to their voices, American founding history is a sham and a delusion. Yet, the evidences they offer are all false! In a court of law we could not admit them as experts because we may so easily demonstrate that they do not tell the truth when they say the founders favored slavery, did not include blacks and women in the Declaration, and, the ultimate charge, regarded a black person as only three-fifths of a human being. All of these charges are refuted, I say, not by me but by the very surface of the founding documents and their circumstances. The compromise over slavery in the Constitution, for example, actually represented a movement away from the absolute protection for slavery that a threat from South Carolina had introduced in the convention. The Declaration does not only speak of men when it declares "all men are created equal." It also affirms that governments "are instituted among men." It would be hard to insist that women were thought to be ungoverned! But beyond that, Jefferson protested that nefarious practice of keeping "open a market where MEN should be bought and sold." That * Published in Toward an Understanding of Johnson by the U.S. Commission on Civil Rights, Clearinghouse Publication #94, October 1987. these MEN were black and male and female no sophist would deny and, one may say, was a fact of which Jefferson was intimately aware. Thus, the usage of the Declaration excluded none and was self-consciously universal. So, too, with the three-fifths clause both in its original form (Confederation Congress, 1783) and in the Constitution. Not only did the framers not depreciate the value of a black man per se, they specifically counted free blacks and whites, including indentured servants, as whole persons. The three-fifths calculation applied only to the credit for representation and taxation to be granted to slave-owners in States permitting slaves. The slaves were black, to be sure, but the fundamental distinction the calculation was based on was between free and slave. No negative aspersions were involved in this particular provision. Is it not then wonderful, despite this record, that authoritative opinion inculcates the opposite view at every point? Are we to suspect high officeholders of lying, of intentionally seeking to subvert the foundations of this republican order? I think not. I think we rather behold the effects of meager study and blind submission to a reigning orthodoxy. The general opinion that is represented here certainly had a particular origin, but that is not important here. What does count is the fact that, on the basis of this general opinion in the name of which Justices and others act, we must expect decisions and expressions unfriendly to the Constitution. To return to affirmative action, this helps to explain not only how such decisions are made but what their force is in our society. The situation of affirmative action today is not unlike that of slavery 200 years ago. The first constitutional debate in Congress was over slavery; it ended with the House asserting that Congress had some power over slavery but declining to exercise it. Although the greater and better part of the citizens of the United States found slavery incompatible with the principles of and their hopes for the republic, they could undertake no remedial steps that did not also prevail over the opinion of the slaveholders. Thus a powerful minority, not otherwise dominating the Nation, held the key to this problem—a key, as we know, of which no use was made. Similarly with affirmative action, even its supporters acknowledge an ultimate loyalty to the notion of a colorblind Constitution, just as slaveholders had conceded that slavery was incompatible with the Declaration. But, just as slaveholders could not find the practical expedient to free themselves immediately from their contradiction, so, too, supporters of affirmative action insist that it is for the moment practically impossible to forgo race- and class-conscious law. In the United States of 200 years ago, there were practical expedients untried, because they could not win the prior consent of the slaveholders. Today those who oppose affirmative action insist that there are superior modes to realize the promises of American institutions and principles, but our expedients cannot operate in the presence of affirmative action. Thus, they are excluded while affirmative action is the law. Many factors and interests sustain affirmative action. Doubtless one of the most significant, however, is the preponderance of support among American blacks. It may fairly be said that, whatever else happens, no important change of American law is possible in this regard that does not at the same time prevail over the opinions of American blacks. Hence, a powerful minority, not otherwise dominating national life, holds the key to the solution of this problem. When we speak of the opinions of Justices, therefore, and whether they are learned or mere repetitions of stale, uncritical formulas, we do not pretend thereby to have eliminated the exigent character of Court judgments. How far we can follow a Court—and therefore a public opinion—hostile to fundamental conceptions of liberty will remain a most intriguing question. In the assessment that follows, however, we assume not only a commitment to carry out the law to the farthest extent but also the obligation to seek to alter opinion in such a manner as to obviate the recourse to questions more fundamental. Part I: Johnson as Reason I divide this statement into two parts in order to signal that the analytical portion makes no pretense of showing any regard for the artificiality of legal reasoning. Legal reasoning today is significant only insofar as it permits us to say what is the latest expression of the law, not what is right or wrong. On that impoverished view, one might liken it to the directions that guide a scavenger hunt. Accordingly, the second portion of this statement is merely an approximation (a first order approximation) of the legal obligations imposed by Johnson. I concur in the statement of Chairman Pendleton. In addition, I wish to add some direct reflections on the Court's judgments in two respects, first with regard to the character of the opinion, and then in respect to the obligations of the law. The majority opinion written by Justice Brennan stretches our powers of imagination beyond the reasonable. Something called "The Plan" springs to life and assumes reflective and commanding postures. The Plan "notes." The Plan "observes." The Plan "implements." And so on. Indeed, everything that occurred, according to the majority, happened "pursuant to the Plan" (the affirmative action plan of Santa Clara County, California). Thus arises a paradox, on the stated facts of the case. Petitioner Paul Johnson competed against Diane Joyce and seven other applicants for the position of road dispatcher. Johnson and Joyce were both presumably well known to the appointing authority, since both were already employed within the Santa Clara County Transportation Agency. Johnson received preferment based on testing/interview performance, prevailing not alone over Joyce but over five other applicants deemed qualified. All of this took place under the existing authority of "The Plan." When, then, the county affirmative action coordinator intervened (at the request of Joyce) to overturn the constructive hiring of Johnson, the intervention gave rise to the question of whether "The Plan" was being followed. Without any showing whatever that the transportation agency did not follow "The Plan" in selecting Johnson, the agency was directed to appoint Joyce, in accord with "The Plan." In the absence of a positive contrary showing, we must assume that all who live by the "The Plan" also live in conformity with "The Plan." Thus, according to the majority's reading of the facts of this case, the Santa Clara County affirmative action plan could produce either of two exactly opposite results. It could produce appointments with respect for gender distinctions but not on that basis, or it could squarely discriminate on the basis of gender. Either would be acceptable, on the majority's reading. The reason that either of the opposites—nondiscrimination against males or discrimination against males—seems acceptable is that the Court conceded the title to the county to act arbitrarily and to judge summarily where these, and these only, were the allowable options. Commissioners Berry, Guess, and Ramirez seek to minimize the impact of this conclusion through the declaration that the differences between Johnson and Joyce were minimal. They rely on the Court's belief that "any difference in qualifications between Johnson and Joyce were minimal, to say the least." But here lies a problem: the two-point difference between Johnson and Joyce must appear insignificant on a colloquial or non-expert reading. To say the least, neither we nor the Court have any idea what to make of such raw scores. On the other hand, we do have a conversion instrument that would make those raw scores commensurable with other human performance—and thus say much to us about qualifications. We know that, of seven qualified applicants, a twopoint difference placed Joyce below, and Johnson above, the 50 th percentile. That is certainly no minimal difference. It may even signal the distinction between "barely qualified" and "qualified." This, in turn, amplifies our understanding of the Court's grant of arbitrary authority to the County of Santa Clara. With this result from a reading of the facts of the case and the Court's reasoning, we are forced to ask why. How does the Court justify such a counterintuitive result? The answer: not easily! nor well! According to the Court, the question being judged was not whether gender had been taken into account but whether it had "impermissibly" been taken into account in violation of Title VII of the Civil Rights Act, as amended. The relevant amendments prohibit discrimination or adverse categorization on the basis of gender and several other factors. In addressing the question, the majority announced an exclusive concern with the "scope" of Title VII, severing the law from any questions of constitutionality since, purportedly, no constitutional questions had been raised. (This, abstracting from the fact that the relevant amendments to Title VII had explicitly injected the constitutional question relative to public employers. Needless to add, it never occurred to the majority to recur to the axiom of the Declaration of Independence that vouchsafed the rights of all.) The significance of the decision not to confront the constitutional question lies in the effect of that decision on the majority's reading of the facts. The Court's prior affirmative action history would have been relevant in trying the constitutional question but not, according to the logic, to trying the scope of the statute. The opinion is not informed, therefore, by the evidence that the present "Plan" represents a reaction in Santa Clara County, not to a tradition of segregation but to the county's own frustration with the results of equal employment opportunity. The county mandated in its "Plan" work force adjustments in harmony with demographic representations of identified population subgroups. Thus, if 10 percent of the population were black, so too should the work force be. If 50 percent were women, so too should the work force be. If 3 percent were Asian, so too should the work force be. The mandate applied not merely across the board, but through specified job categories. In the transportation agency's "Plan," the goals of the county mandate were to be attained by means of annual statistical improvements in the "representation" of the designated subgroups. The concentration was to be on the "underrepresented" as opposed to the "overrepresented" subgroups. The transportation agency made the transition from vague, long term social objectives to concrete, short term goals by means of a specific action plan—namely, to locate qualified applicants in the relevant geographical area and then to distribute them actuarially relative to anticipated vacancies. The number identified at each actuarial increment would become the short term goal. A less complicated way to state this bureaucratese is to say that they guessed at probable job openings (firings, retirings, etc.) and made a judgment about the availability of members of the subgroups to fill them. Whatever number of availables they came up with, up to the number of vacancies, became the short term goal. It is, therefore, almost a conscious lie, when the Court declares that the "Agency's Plan thus set aside no specific number of positions for minorities or women." They set aside a specific percentage of each group on a long term basis and specific numbers year by year, up to the number prescribed by the long term goal operating as an arithmetic factor. The Court's sleight of hand may be captured as follows. It is possible to describe the dynamics of a Supreme Court judgment without ever mentioning the number nine or any number. Doing so, however, will not alter the fact that a determinant number of opinions alone will and must decide in any given case. The pretense that Santa Clara County's goal is not a quota merely because the county forswears an immediate declaration as to a number is either intellectual duplicity or stupidity. Although reasoning on that order may determine the law, we can take comfort that the disease need not be catching. A last word on the "overrepresented," such as female clericals: although the quota system mentioned here would be harmless in a perfectly elastic, evenly distributed labor market, a different story unfolds to the extent that humans form their ambitions and career objectives differentially (however subject to evolution). In the latter case, a necessary deduction would be substantial, legally imposed unemployment or misemployment in certain categories. It does not apply immediately only because the Court and the county forswear any intention to do anything about overrepresentation. On the other han<cursor_is_here> </text>	[ { "content": "<url>\nhttp://williambarclayallen.com/reports/Toward_an_Understanding_of_Johnson.pdf\n</url>\n<text>\nStatement of Commissioner William B. Allen Concerning Johnson v Transportation Agency, Santa Clara County\n\n\n\nPreface\n\nArgument alone cannot dislodge the presumption in favor of officeholders who speak authoritatively concerning the meaning of our laws and Constitution. For that reason the following critique of the Supreme Court's opinion and judgment in the case, Johnson v. Transportation Agency, Santa Clara County, addresses rather more our general understanding than any action agenda. Place matters in their proper context and the necessity of this approach will be readily apparent.\n\nThe critique does not shrink from demonstrations that the Justices do not deserve our attention on the basis of any intrinsic merit in their reasonings and judgment. They reason poorly and decide unwisely (as, for example, in denying the palpable demonstrations that petitioner Johnson had in fact been constructively hired for the position in question but subsequently denied it solely on the basis of his gender). It is rather their office that commands our attention. For whether they reason well or ill, we gauge the range of our conduct by their judgments.\n\nWe can demonstrate how awkwardly circumstanced we are because of this relationship. We know today that not only Justices but many high officeholders are not only ignorant of but ill-disposed toward our Constitution and the attendant conditions of its development. We pledge allegiance to the republic created by that Constitution, while the general perception of it is forged by voices altogether antagonistic to it and which also misrepresent it. Can a pledge of allegiance make any sense in that context, any more than a spirit of law abidingness when that law is being shaped by lawless judicial interpretation? I believe the answer is yes and shall try to explain why.\n\nPut affirmative action aside for the moment and consider only the diverse statements about the imperfections of the American founding coming from high officials in this bicentennial season. According to their voices, American founding history is a sham and a delusion. Yet, the evidences they offer are all false! In a court of law we could not admit them as experts because we may so easily demonstrate that they do not tell the truth when they say the founders favored slavery, did not include blacks and women in the Declaration, and, the ultimate charge, regarded a black person as only three-fifths of a human being.\n\nAll of these charges are refuted, I say, not by me but by the very surface of the founding documents and their circumstances. The compromise over slavery in the Constitution, for example, actually represented a movement away from the absolute protection for slavery that a threat from South Carolina had introduced in the convention. The Declaration does not only speak of men when it declares \"all men are created equal.\" It also affirms that governments \"are instituted among men.\" It would be hard to insist that women were thought to be ungoverned! But beyond that, Jefferson protested that nefarious practice of keeping \"open a market where MEN should be bought and sold.\" That\n\n Published in Toward an Understanding of Johnson by the U.S. Commission on Civil Rights, Clearinghouse Publication #94, October 1987.\n\nthese MEN were black and male and female no sophist would deny and, one may say, was a fact of which Jefferson was intimately aware. Thus, the usage of the Declaration excluded none and was self-consciously universal. So, too, with the three-fifths clause both in its original form (Confederation Congress, 1783) and in the Constitution. Not only did the framers not depreciate the value of a black man per se, they specifically counted free blacks and whites, including indentured servants, as whole persons. The three-fifths calculation applied only to the credit for representation and taxation to be granted to slave-owners in States permitting slaves. The slaves were black, to be sure, but the fundamental distinction the calculation was based on was between free and slave. No negative aspersions were involved in this particular provision.\n\nIs it not then wonderful, despite this record, that authoritative opinion inculcates the opposite view at every point? Are we to suspect high officeholders of lying, of intentionally seeking to subvert the foundations of this republican order? I think not. I think we rather behold the effects of meager study and blind submission to a reigning orthodoxy. The general opinion that is represented here certainly had a particular origin, but that is not important here. What does count is the fact that, on the basis of this general opinion in the name of which Justices and others act, we must expect decisions and expressions unfriendly to the Constitution.\n\nTo return to affirmative action, this helps to explain not only how such decisions are made but what their force is in our society. The situation of affirmative action today is not unlike that of slavery 200 years ago. The first constitutional debate in Congress was over slavery; it ended with the House asserting that Congress had some power over slavery but declining to exercise it. Although the greater and better part of the citizens of the United States found slavery incompatible with the principles of and their hopes for the republic, they could undertake no remedial steps that did not also prevail over the opinion of the slaveholders.\n\nThus a powerful minority, not otherwise dominating the Nation, held the key to this problem—a key, as we know, of which no use was made. Similarly with affirmative action, even its supporters acknowledge an ultimate loyalty to the notion of a colorblind Constitution, just as slaveholders had conceded that slavery was incompatible with the Declaration. But, just as slaveholders could not find the practical expedient to free themselves immediately from their contradiction, so, too, supporters of affirmative action insist that it is for the moment practically impossible to forgo race- and class-conscious law.\n\nIn the United States of 200 years ago, there were practical expedients untried, because they could not win the prior consent of the slaveholders. Today those who oppose affirmative action insist that there are superior modes to realize the promises of American institutions and principles, but our expedients cannot operate in the presence of affirmative action. Thus, they are excluded while affirmative action is the law. Many factors and interests sustain affirmative action. Doubtless one of the most significant, however, is the preponderance of support among American blacks. It may fairly be said that, whatever else happens, no important change of American law is possible in this regard that does not at the same time prevail over the opinions of American blacks. Hence, a powerful minority, not otherwise dominating national life, holds the key to the solution of this problem.\n\nWhen we speak of the opinions of Justices, therefore, and whether they are learned or mere repetitions of stale, uncritical formulas, we do not pretend thereby to have eliminated the exigent character of Court judgments. How far we can follow a Court—and therefore a public opinion—hostile to fundamental conceptions of liberty will remain a most intriguing question. In the assessment that follows, however, we assume not only a commitment to carry out the law to the farthest extent but also the obligation to seek to alter opinion in such a manner as to obviate the recourse to questions more fundamental.\n\nPart I: Johnson as Reason\n\nI divide this statement into two parts in order to signal that the analytical portion makes no pretense of showing any regard for the artificiality of legal reasoning. Legal reasoning today is significant only insofar as it permits us to say what is the latest expression of the law, not what is right or wrong. On that impoverished view, one might liken it to the directions that guide a scavenger hunt. Accordingly, the second portion of this statement is merely an approximation (a first order approximation) of the legal obligations imposed by Johnson.\n\nI concur in the statement of Chairman Pendleton. In addition, I wish to add some direct reflections on the Court's judgments in two respects, first with regard to the character of the opinion, and then in respect to the obligations of the law.\n\nThe majority opinion written by Justice Brennan stretches our powers of imagination beyond the reasonable. Something called \"The Plan\" springs to life and assumes reflective and commanding postures. The Plan \"notes.\" The Plan \"observes.\" The Plan \"implements.\" And so on. Indeed, everything that occurred, according to the majority, happened \"pursuant to the Plan\" (the affirmative action plan of Santa Clara County, California).\n\nThus arises a paradox, on the stated facts of the case. Petitioner Paul Johnson competed against Diane Joyce and seven other applicants for the position of road dispatcher. Johnson and Joyce were both presumably well known to the appointing authority, since both were already employed within the Santa Clara County Transportation Agency. Johnson received preferment based on testing/interview performance, prevailing not alone over Joyce but over five other applicants deemed qualified. All of this took place under the existing authority of \"The Plan.\" When, then, the county affirmative action coordinator intervened (at the request of Joyce) to overturn the constructive hiring of Johnson, the intervention gave rise to the question of whether \"The Plan\" was being followed. Without any showing whatever that the transportation agency did not follow \"The Plan\" in selecting Johnson, the agency was directed to appoint Joyce, in accord with \"The Plan.\"\n\nIn the absence of a positive contrary showing, we must assume that all who live by the \"The Plan\" also live in conformity with \"The Plan.\" Thus, according to the majority's reading of the facts of this case, the Santa Clara County affirmative action plan could produce either of two exactly opposite results. It could produce appointments with respect for gender distinctions but not on that basis, or it could squarely discriminate on the basis of gender. Either would be acceptable, on the majority's reading.\n\nThe reason that either of the opposites—nondiscrimination against males or discrimination against males—seems acceptable is that the Court conceded the title to the county to act arbitrarily and to judge summarily where these, and these only, were the allowable options. Commissioners Berry, Guess, and Ramirez seek to minimize the impact of this conclusion through the declaration that the differences between Johnson and Joyce were minimal. They rely on the Court's belief that \"any difference in qualifications between Johnson and Joyce were minimal, to say the least.\" But here lies a problem: the two-point difference between Johnson and Joyce must appear insignificant on a colloquial or non-expert reading. To say the least, neither we nor the Court have any idea what to make of such raw scores. On the other hand, we do have a conversion instrument that would make those raw scores commensurable with other human performance—and thus say much to us about qualifications. We know that, of seven qualified applicants, a twopoint difference placed Joyce below, and Johnson above, the 50 th percentile. That is certainly no minimal difference. It may even signal the distinction between \"barely qualified\" and \"qualified.\" This, in turn, amplifies our understanding of the Court's grant of arbitrary authority to the County of Santa Clara.\n\nWith this result from a reading of the facts of the case and the Court's reasoning, we are forced to ask why. How does the Court justify such a counterintuitive result? The answer: not easily! nor well! According to the Court, the question being judged was not whether gender had been taken into account but whether it had \"impermissibly\" been taken into account in violation of Title VII of the Civil Rights Act, as amended. The relevant amendments prohibit discrimination or adverse categorization on the basis of gender and several other factors. In addressing the question, the majority announced an exclusive concern with the \"scope\" of Title VII, severing the law from any questions of constitutionality since, purportedly, no constitutional questions had been raised. (This, abstracting from the fact that the relevant amendments to Title VII had explicitly injected the constitutional question relative to public employers. Needless to add, it never occurred to the majority to recur to the axiom of the Declaration of Independence that vouchsafed the rights of all.)\n\nThe significance of the decision not to confront the constitutional question lies in the effect of that decision on the majority's reading of the facts. The Court's prior affirmative action history would have been relevant in trying the constitutional question but not, according to the logic, to trying the scope of the statute. The opinion is not informed, therefore, by the evidence that the present \"Plan\" represents a reaction in Santa Clara County, not to a tradition of segregation but to the county's own frustration with the results of equal employment opportunity.\n\nThe county mandated in its \"Plan\" work force adjustments in harmony with demographic representations of identified population subgroups. Thus, if 10 percent of the population were black, so too should the work force be. If 50 percent were women, so too should the work force be. If 3 percent were Asian, so too should the work force be. The mandate applied not merely across the board, but through specified job categories. In the transportation agency's \"Plan,\" the goals of the county mandate were to be attained by means of annual statistical improvements in the \"representation\" of the designated subgroups. The concentration was to be on the \"underrepresented\" as opposed to the \"overrepresented\" subgroups.\n\nThe transportation agency made the transition from vague, long term social objectives to concrete, short term goals by means of a specific action plan—namely, to locate qualified applicants in the relevant geographical area and then to distribute them actuarially relative to anticipated vacancies. The number identified at each actuarial increment would become the short term goal. A less complicated way to state this bureaucratese is to say that they guessed at probable job openings (firings, retirings, etc.) and made a judgment about the availability of members of the subgroups to fill them. Whatever number of availables they came up with, up to the number of vacancies, became the short term goal. It is, therefore, almost a conscious lie, when the Court declares that the \"Agency's Plan thus set aside no specific number of positions for minorities or women.\" They set aside a specific percentage of each group on a long term basis and specific numbers year by year, up to the number prescribed by the long term goal operating as an arithmetic factor.\n\nThe Court's sleight of hand may be captured as follows. It is possible to describe the dynamics of a Supreme Court judgment without ever mentioning the number nine or any number. Doing so, however, will not alter the fact that a determinant number of opinions alone will and must decide in any given case. The pretense that Santa Clara County's goal is not a quota merely because the county forswears an immediate declaration as to a number is either intellectual duplicity or stupidity. Although reasoning on that order may determine the law, we can take comfort that the disease need not be catching.\n\nA last word on the \"overrepresented,\" such as female clericals: although the quota system mentioned here would be harmless in a perfectly elastic, evenly distributed labor market, a different story unfolds to the extent that humans form their ambitions and career objectives differentially (however subject to evolution). In the latter case, a necessary deduction would be substantial, legally imposed unemployment or misemployment in certain categories. It does not apply immediately only because the Court and the county forswear any intention to do anything about overrepresentation. On the other han<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "d, the warning lights have already lit for the future of Asians in American higher education!", "role": "assistant" } ]
THE FARM PRODUCTS MARKETING ACT (C.C.S.M. c. F47) Root Crop Quota Order, amendment* Regulation 85/2016 Registered May 16, 2016 Manitoba Regulation 12/95 amended 1 The Root Crop Quota Order, Manitoba Regulation 12/95, is, except for subsection 12(1) of this order, amended by this order. 2(1) Section 1 is amended by replacing the definitions "annual marketing quota", "common unit", "maximum quota", "minimum annual marketing quota" and ""type" or "type of root crop"" with the following: "annual marketing quota" means the number of common units of a type of root crop that a registered producer is authorized to market during a crop year; "common unit" means in respect of (a) rutabagas – 50 pounds, (b) carrots – 50 pounds, (c) parsnips – 20 pounds, (d) Spanish-type onions – 50 pounds, and (e) cooking onions – 50 pounds; * This Order is made under the Manitoba Vegetable Producers Marketing Plan, Manitoba Regulation 117/2009, and is Order No. 2, 2016 of Peak of the Market. "maximum quota" means in respect of (a) rutabagas – 32,000 common units, (b) carrots – 140,000 common units, (c) parsnips – 35,000 common units, (d) Spanish-type onions – 60,000 common units, and (e) cooking onions – 80,000 common units; "minimum annual marketing quota" means in respect of (a) rutabagas – 3,200 common units, (b) carrots – 14,000 common units, (c) parsnips – 3,500 common units, (d) Spanish-type onions – 6,000 common units, and (e) cooking onions – 8,000 common units; "type" or "type of root crop" means (a) rutabagas, (b) carrots, (c) parsnips, (d) yellow Spanish-type onions, or (e) cooking onions. 2(2) Section 1 is further amended by adding the following definition: "retirement and annual root crop quota reallocation system" means the retirement and annual root crop quota reallocation system approved by the Board on December 18, 2014; 3 Section 7 is replaced with the following: New and increased annual marketing quotas 7 Before March 1 in each year, the Board will analyze the potential production for each type of root crop by registered producers and the potential markets available for Manitoba produced root crops of each type. If after allowing for possible yield variations, the Board expects that the aggregate potential production in Manitoba for a type of root crop will not meet potential markets available for the type of root crop (in this section referred to as the "shortfall"), the Board may allot additional annual marketing quotas for the type of root crop equal to the shortfall in accordance with the following rules: 2 1. Approximately 1/3 of the shortfall is to be allocated to applicants who have not previously been allotted an annual marketing quota for the type of root crop and have applied for registration and an annual marketing quota for that type. For this purpose, annual marketing quotas are to be allotted to applicants who have met all of the criteria of the Board in the order of priority determined in accordance with section 4. No person may be allotted an annual marketing quota under this provision in excess of minimum annual marketing quota for that type of root crop. 2. Approximately 1/3 of the shortfall is to be allocated by increasing the annual marketing quota for the type of root crop of each registered producer who has been allotted an annual marketing quota for the type that is less than the average marketing quota of registered producers of the type if (a) the producer has applied for an increase in the producer's annual marketing quota; and (b) the Board is satisfied that the producer has or will have marketed an amount of root crop of that type during the current crop year equal to 90% of the annual marketing quota allotted to the producer for that type; to bring each producer meeting the criteria of this rule up to a level where the annual marketing quota allotted to the producer is equal to the average size of annual marketing quota issued for that type of root crop (catastrophes excepted). 3. The balance of the shortfall is to be allocated as annual marketing quota equally among registered producers who marketed root crops of that type in the previous crop year and applied for increases in the annual marketing quotas allotted to them. No producer may be allotted an increase in an annual marketing quota under this rule unless the Board is satisfied that the producer has marketed or will be able to market an amount of root crop of that type equal to at least 90% of the annual marketing quota allotted to the producer for that type during the current crop year (catastrophes excepted). 4 Section 10 is replaced with the following: Delivery quotas 10 Delivery quotas for each type of root crop (except pickling onions) are allotted to registered producers in accordance with the following rules: 1. A registered producer who has been allotted an annual marketing quota for a type of root crop of 8,000 common units or less for the type is to be allocated a delivery quota for the type for each delivery period equal to 1/7 of the annual marketing quota allocated to the producer for the type. 2. A registered producer who has been allotted an annual marketing quota for a type of root crop of more than 8,000 common units for the type is to be allocated a delivery quota for that type for each delivery period equal to 1,143 common units plus an amount equal to 1/9 of the annual marketing quota allocated to the producer for the type in excess of 8,000 common units. 3 5 Section 31.1 is replaced with the following: Retirement and annual root crop quota reallocation system payments non-transferable 31.1 A person must not assign or offer to assign a payment or an entitlement to a payment or an anticipated payment from the retirement and annual root crop quota reallocation system to another person without the prior written consent of the Board. 6 Subsection 40(2) is replaced with the following: 40(2) The registered producer and each other party to the transfer must provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the party giving the undertaking will not apply (a) for a retirement payment under the retirement and annual root crop quota reallocation system; (b) for the approval of a change in the beneficial ownership of the registered producer under this section; (c) for the approval of an association of the registered producer with another registered producer under Part XI; (d) for the re-allotment of the quotas allotted to the registered producer under Part XII; or (e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58; for a minimum of five years after the waiver under this section unless the party has first received the approval of the Manitoba council to the application. 7 Subsection 46(2) is replaced with the following: 46(2) Each of the registered producers must provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the registered producer will not apply (a) for a retirement payment under the retirement and annual root crop quota reallocation system; (b) for the approval of a change in the beneficial ownership of the registered producer under Part X; (c) for the approval of an association of the registered producer with another registered producer under this section; (d) for the re-allotment of the quotas allotted to the registered producer under Part XII; or (e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58; for a minimum of five years after the waiver under this section unless the registered producer has first received the approval of the Manitoba council to the application. 8 Section 49 is replaced with the following: Complete farm sales 49(1) In the event a registered producer sells the land, buildings, and equipment used by such producer in growing, harvesting and marketing a type of root crop, the Board may re-allot the quotas used in association with those assets to the purchaser if it is satisfied that no value has been attributed to the quotas and that no more than fair market value has been paid for the assets. 49(2) In applying this section, the Board may require an appraisal of the assets by a qualified appraiser to ascertain the fair market value of the assets using an appraisal method or methods approved by the Manitoba council. The costs of the appraisal must be paid by the registered producer. 49(3) The registered producer and the purchaser must provide a statutory declaration in a form acceptable to the Board, confirming the sale and the purchase consideration (both direct and indirect). All agreements between the registered producer and the purchaser (including a detailed listing of all assets included in the sale) must be appended to that statutory declaration. 49(4) In the event that the Board has reasonable grounds for believing that any information provided in the statutory declaration or any requested certificate is false or misleading, the Board may reduce or cancel the quotas in question, whether or not the quotas were re-allotted. 49(5) The purchaser must provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the purchaser will not apply (a) for a retirement payment under the retirement and annual root crop quota reallocation system; (b) for the approval of a change in the beneficial ownership of the registered producer under Part X; (c) for the approval of an association of the registered producer with another registered producer under Part XI; (d) for the re-allotment of the quotas allotted to the registered producer under this section; or (e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58; for a minimum of five years following the re-allotment under this section unless the purchaser has first received the approval of the Manitoba council to the application. 5 9 Section 55 is replaced with the following: Partial and complete re-allotment of quota to related persons 55(1) The following definitions apply in this section. "applicant" means a registered producer who makes an application to re-allot all or a portion of the quotas allotted to a registered producer to another person. "daughter-Hutterite Colony" means a Hutterite Colony recently created as a result of the division of the assets and membership of a Hutterite Colony. "recipient" means the person who is to be re-allotted all or a portion of the quotas allotted to a registered producer as the result of an application under this section. 55(2) The Board may, upon application of a registered producer in writing, re-allot all or a portion of the quotas allotted to the applicant to another person in the following circumstances: (a) with respect to an application by an individual, if the recipient is a member of the applicant's immediate family; (b) with respect to an application by a partnership, if all the partners are members of the same immediate family and the recipient is a member of that immediate family; (c) with respect to an application by a corporation, if all the legal and beneficial shareholders in the applicant are members of the same immediate family and the recipient is a member of such immediate family; (d) with respect to an application by a Hutterite Colony (or by a corporation that is a wholly owned subsidiary of a Hutterite Colony), if the recipient is a wholly owned subsidiary of the applicant or is a daughter-Hutterite Colony or a corporation that is wholly owned by a daughter-Hutterite Colony. 55(3) The Board will not re-allot quotas to a recipient under subsection (2) until: (a) the recipient has established a separate farm that it owns and operates and on which it grows, harvests and markets root crops; (b) the Board is satisfied that the new operation of the recipient and the resulting operation of the applicant will both be economically viable; and (c) the Board is satisfied that no value has been attributed to the quotas. 55(4) The applicant and the recipient are each required to provide the Board with a statutory declaration in a form acceptable to the Board, setting out the information specified in the form. 55(5) In the event that the Board has reasonable grounds for believing that any information provided in the statutory declaration or an application is false or misleading, the Board may cancel or reduce the quotas in question, whether or not the quotas were re-allotted. 55(6) The applicant and the recipient are each required to provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the person giving the undertaking will not apply (a) for a retirement payment under the retirement and annual root crop quota reallocation system; (b) for the approval of a change in the beneficial ownership of the registered producer under Part X; (c) for the approval of an association of the registered producer with another registered producer under Part XI; (d) for the re-allotment of the quotas allotted to the registered producer under Part XII; or (e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58; for a minimum of five years following the re-allotment under this section unless the person has first received the approval of the Manitoba council to the application. 10 Sections 56.1 and 56.2 are replaced with the following: Reallotment under system 56.1 Quotas may be cancelled and reallotted by the Board as a result of and in accordance with the procedure set out in the retirement and annual root crop quota reallocation system. Acceptance of applications discretionary 56.2 The designated staff referred to in the retirement and annual root crop quota reallocation system may refuse to accept or may postpone the processing of any application to participate in the retirement and annual root crop quota reallocation system for any reason or on such terms as they consider appropriate. 11 Section 58 is replaced with the following: No application for change of land or buildings for five years 58 If the Board (a) approves a change in the beneficial ownership of a registered producer under Part X; (b) approves an association of registered producers under the provisions of Part XI; or (c) re-allots the quota allotted to a registered producer under Part XII; it is a condition of the re-allotment or approval that the applicants for it must acknowledge that only in the event of an unforeseen contingency acceptable to the Manitoba council will a party be permitted to change the certified land or buildings specified by the Board for use by such registered producer in connection with the quotas to other lands or buildings for a period of at least five years after the approval of the change, association or re-allotment. 12(1) Section 12 of the Root Crop Quota Order, amendment, Manitoba Regulation 79/2016, is repealed. 12(2) Section 63 of the Root Crop Quota Order, Manitoba Regulation 12/95, is repealed. 13 Section 66 is replaced with the following: Non-application re certain onions 66 This Order does not apply to pickling onions, multiplier onion sets, red Spanish-type onions or white Spanish-type onions. 14 The Schedule is repealed. May 13, 2016 Peak of the Market: Keith Kuhl, Chair Peter Loewen, Secretary APPROVED May 16, 2016 Manitoba Farm Products Marketing Council: Ken Caldwell, Chair Ingrid Peters-Fransen, Secretary	<urn:uuid:53fefe47-ff96-4f45-81ed-6bed478459a8>	CC-MAIN-2017-30	http://web2.gov.mb.ca/laws/regs/annual/2016/085.pdf	2017-07-27T12:50:06Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-30/segments/1500549428257.45/warc/CC-MAIN-20170727122407-20170727142407-00572.warc.gz	299,103,137	3,262	eng_Latn	eng_Latn	0.935352	eng_Latn	0.991368	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 991, 2572, 5490, 7508, 10126, 12677, 15084, 15713 ]	THE FARM PRODUCTS MARKETING ACT (C.C.S.M. c. F47) Root Crop Quota Order, amendment* Regulation 85/2016 Registered May 16, 2016 Manitoba Regulation 12/95 amended 1 The Root Crop Quota Order, Manitoba Regulation 12/95, is, except for subsection 12(1) of this order, amended by this order. 2(1) Section 1 is amended by replacing the definitions "annual marketing quota", "common unit", "maximum quota", "minimum annual marketing quota" and ""type" or "type of root crop"" with the following: "annual marketing quota" means the number of common units of a type of root crop that a registered producer is authorized to market during a crop year; "common unit" means in respect of (a) rutabagas – 50 pounds, (b) carrots – 50 pounds, (c) parsnips – 20 pounds, (d) Spanish-type onions – 50 pounds, and (e) cooking onions – 50 pounds; * This Order is made under the Manitoba Vegetable Producers Marketing Plan, Manitoba Regulation 117/2009, and is Order No. 2, 2016 of Peak of the Market. "maximum quota" means in respect of (a) rutabagas – 32,000 common units, (b) carrots – 140,000 common units, (c) parsnips – 35,000 common units, (d) Spanish-type onions – 60,000 common units, and (e) cooking onions – 80,000 common units; "minimum annual marketing quota" means in respect of (a) rutabagas – 3,200 common units, (b) carrots – 14,000 common units, (c) parsnips – 3,500 common units, (d) Spanish-type onions – 6,000 common units, and (e) cooking onions – 8,000 common units; "type" or "type of root crop" means (a) rutabagas, (b) carrots, (c) parsnips, (d) yellow Spanish-type onions, or (e) cooking onions. 2(2) Section 1 is further amended by adding the following definition: "retirement and annual root crop quota reallocation system" means the retirement and annual root crop quota reallocation system approved by the Board on December 18, 2014; 3 Section 7 is replaced with the following: New and increased annual marketing quotas 7 Before March 1 in each year, the Board will analyze the potential production for each type of root crop by registered producers and the potential markets available for Manitoba produced root crops of each type. If after allowing for possible yield variations, the Board expects that the aggregate potential production in Manitoba for a type of root crop will not meet potential markets available for the type of root crop (in this section referred to as the "shortfall"), the Board may allot additional annual marketing quotas for the type of root crop equal to the shortfall in accordance with the following rules: 2 1. Approximately 1/3 of the shortfall is to be allocated to applicants who have not previously been allotted an annual marketing quota for the type of root crop and have applied for registration and an annual marketing quota for that type. For this purpose, annual marketing quotas are to be allotted to applicants who have met all of the criteria of the Board in the order of priority determined in accordance with section 4. No person may be allotted an annual marketing quota under this provision in excess of minimum annual marketing quota for that type of root crop. 2. Approximately 1/3 of the shortfall is to be allocated by increasing the annual marketing quota for the type of root crop of each registered producer who has been allotted an annual marketing quota for the type that is less than the average marketing quota of registered producers of the type if (a) the producer has applied for an increase in the producer's annual marketing quota; and (b) the Board is satisfied that the producer has or will have marketed an amount of root crop of that type during the current crop year equal to 90% of the annual marketing quota allotted to the producer for that type; to bring each producer meeting the criteria of this rule up to a level where the annual marketing quota allotted to the producer is equal to the average size of annual marketing quota issued for that type of root crop (catastrophes excepted). 3. The balance of the shortfall is to be allocated as annual marketing quota equally among registered producers who marketed root crops of that type in the previous crop year and applied for increases in the annual marketing quotas allotted to them. No producer may be allotted an increase in an annual marketing quota under this rule unless the Board is satisfied that the producer has marketed or will be able to market an amount of root crop of that type equal to at least 90% of the annual marketing quota allotted to the producer for that type during the current crop year (catastrophes excepted). 4 Section 10 is replaced with the following: Delivery quotas 10 Delivery quotas for each type of root crop (except pickling onions) are allotted to registered producers in accordance with the following rules: 1. A registered producer who has been allotted an annual marketing quota for a type of root crop of 8,000 common units or less for the type is to be allocated a delivery quota for the type for each delivery period equal to 1/7 of the annual marketing quota allocated to the producer for the type. 2. A registered producer who has been allotted an annual marketing quota for a type of root crop of more than 8,000 common units for the type is to be allocated a delivery quota for that type for each delivery period equal to 1,143 common units plus an amount equal to 1/9 of the annual marketing quota allocated to the producer for the type in excess of 8,000 common units. 3 5 Section 31.1 is replaced with the following: Retirement and annual root crop quota reallocation system payments non-transferable 31.1 A person must not assign or offer to assign a payment or an entitlement to a payment or an anticipated payment from the retirement and annual root crop quota reallocation system to another person without the prior written consent of the Board. 6 Subsection 40(2) is replaced with the following: 40(2) The registered producer and each other party to the transfer must provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the party giving the undertaking will not apply (a) for a retirement payment under the retirement and annual root crop quota reallocation system; (b) for the approval of a change in the beneficial ownership of the registered producer under this section; (c) for the approval of an association of the registered producer with another registered producer under Part XI; (d) for the re-allotment of the quotas allotted to the registered producer under Part XII; or (e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58; for a minimum of five years after the waiver under this section unless the party has first received the approval of the Manitoba council to the application. 7 Subsection 46(2) is replaced with the following: 46(2) Each of the registered producers must provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the registered producer will not apply (a) for a retirement payment under the retirement and annual root crop quota reallocation system; (b) for the approval of a change in the beneficial ownership of the registered producer under Part X; (c) for the approval of an association of the registered producer with another registered producer under this section; (d) for the re-allotment of the quotas allotted to the registered producer under Part XII; or (e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58; for a minimum of five years after the waiver under this section unless the registered producer has first received the approval of the Manitoba council to the application. 8 Section 49 is replaced with the following: Complete farm sales 49(1) In the event a registered producer sells the land, buildings, and equipment used by such producer in growing, harvesting and marketing a type of root crop, the Board may re-allot the quotas used in association with those assets to the purchaser if it is satisfied that no value has been attributed to the quotas and that no more than fair market value has been paid for the assets. 49(2) In applying this section, the Board may require an appraisal of the assets by a qualified appraiser to ascertain the fair market value of the assets using an appraisal method or methods approved by the Manitoba council. The costs of the appraisal must be paid by the registered producer. 49(3) The registered producer and the purchaser must provide a statutory declaration in a form acceptable to the Board, confirming the sale and the purchase consideration (both direct and indirect). All agreements between the registered producer and the purchaser (including a detailed listing of all assets included in the sale) must be appended to that statutory declaration. 49(4) In the event that the Board has reasonable grounds for believing that any information provided in the statutory declaration or any requested certificate is false or misleading, the Board may reduce or cancel the quotas in question, whether or not the quotas were re-allotted. 49(5) The purchaser must provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the purchaser will not apply (a) for a retirement payment under the retirement and annual root crop quota reallocation system; (b) for the approval of a change in the beneficial ownership of the registered producer under Part X; (c) for the approval of an association of the registered producer with another registered producer under Part XI; (d) for the re-allotment of the quotas allotted to the registered producer under this section; or (e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58; for a minimum of five years following the re-allotment under this section unless the purchaser has first received the approval of the Manitoba council to the application. 5 9 Section 55 is replaced with the following: Partial and complete re-allotment of quota to related persons 55(1) The following definitions apply in this section. "applicant" means a registered producer who makes an application to re-allot all or a portion of the quotas allotted to a registered producer to another person. "daughter-Hutterite Colony" means a Hutterite Colony recently created as a result of the division of the assets and membership of a Hutterite Colony. "recipient" means the person who is to be re-allotted all or a portion of the quotas allotted to a registered producer as the result of an application under this section. 55(2) The Board may, upon application of a registered producer in writing, re-allot all or a portion of the quotas allotted to the applicant to another person in the following circumstances: (a) with respect to an application by an individual, if the recipient is a member of the applicant's immediate family; (b) with respect to an application by a partnership, if all the partners are members of the same immediate family and the recipient is a member of that immediate family; (c) with respect to an application by a corporation, if all the legal and beneficial shareholders in the applicant are members of the same immediate family and the recipient is a member of such immediate family; (d) with respect to an application by a Hutterite Colony (or by a corporation that is a wholly owned subsidiary of a Hutterite Colony), if the recipient is a wholly owned subsidiary of the applicant or is a daughter-Hutterite Colony or a corporation that is wholly owned by a daughter-Hutterite Colony. 55(3) The Board will not re-allot quotas to a recipient under subsection (2) until: (a) the recipient has established a separate farm that it owns and operates and on which it grows, harvests and markets root crops; (b) the Board is satisfied th	at the new operation of the recipient and the resulting operation of the applicant will both be economically viable; and (c) the Board is satisfied that no value has been attributed to the quotas.	55(4) The applicant and the recipient are each required to provide the Board with a statutory declaration in a form acceptable to the Board, setting out the information specified in the form. 55(5) In the event that the Board has reasonable grounds for believing that any information provided in the statutory declaration or an application is false or misleading, the Board may cancel or reduce the quotas in question, whether or not the quotas were re-allotted. 55(6) The applicant and the recipient are each required to provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the person giving the undertaking will not apply (a) for a retirement payment under the retirement and annual root crop quota reallocation system; (b) for the approval of a change in the beneficial ownership of the registered producer under Part X; (c) for the approval of an association of the registered producer with another registered producer under Part XI; (d) for the re-allotment of the quotas allotted to the registered producer under Part XII; or (e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58; for a minimum of five years following the re-allotment under this section unless the person has first received the approval of the Manitoba council to the application. 10 Sections 56.1 and 56.2 are replaced with the following: Reallotment under system 56.1 Quotas may be cancelled and reallotted by the Board as a result of and in accordance with the procedure set out in the retirement and annual root crop quota reallocation system. Acceptance of applications discretionary 56.2 The designated staff referred to in the retirement and annual root crop quota reallocation system may refuse to accept or may postpone the processing of any application to participate in the retirement and annual root crop quota reallocation system for any reason or on such terms as they consider appropriate. 11 Section 58 is replaced with the following: No application for change of land or buildings for five years 58 If the Board (a) approves a change in the beneficial ownership of a registered producer under Part X; (b) approves an association of registered producers under the provisions of Part XI; or (c) re-allots the quota allotted to a registered producer under Part XII; it is a condition of the re-allotment or approval that the applicants for it must acknowledge that only in the event of an unforeseen contingency acceptable to the Manitoba council will a party be permitted to change the certified land or buildings specified by the Board for use by such registered producer in connection with the quotas to other lands or buildings for a period of at least five years after the approval of the change, association or re-allotment. 12(1) Section 12 of the Root Crop Quota Order, amendment, Manitoba Regulation 79/2016, is repealed. 12(2) Section 63 of the Root Crop Quota Order, Manitoba Regulation 12/95, is repealed. 13 Section 66 is replaced with the following: Non-application re certain onions 66 This Order does not apply to pickling onions, multiplier onion sets, red Spanish-type onions or white Spanish-type onions. 14 The Schedule is repealed. May 13, 2016 Peak of the Market: Keith Kuhl, Chair Peter Loewen, Secretary APPROVED May 16, 2016 Manitoba Farm Products Marketing Council: Ken Caldwell, Chair Ingrid Peters-Fransen, Secretary	12,018	inside_word	that	remove_one_sentence	<url> http://web2.gov.mb.ca/laws/regs/annual/2016/085.pdf </url> <text> THE FARM PRODUCTS MARKETING ACT (C.C.S.M. c. F47) Root Crop Quota Order, amendment* Regulation 85/2016 Registered May 16, 2016 Manitoba Regulation 12/95 amended 1 The Root Crop Quota Order, Manitoba Regulation 12/95, is, except for subsection 12(1) of this order, amended by this order. 2(1) Section 1 is amended by replacing the definitions "annual marketing quota", "common unit", "maximum quota", "minimum annual marketing quota" and ""type" or "type of root crop"" with the following: "annual marketing quota" means the number of common units of a type of root crop that a registered producer is authorized to market during a crop year; "common unit" means in respect of (a) rutabagas – 50 pounds, (b) carrots – 50 pounds, (c) parsnips – 20 pounds, (d) Spanish-type onions – 50 pounds, and (e) cooking onions – 50 pounds; * This Order is made under the Manitoba Vegetable Producers Marketing Plan, Manitoba Regulation 117/2009, and is Order No. 2, 2016 of Peak of the Market. "maximum quota" means in respect of (a) rutabagas – 32,000 common units, (b) carrots – 140,000 common units, (c) parsnips – 35,000 common units, (d) Spanish-type onions – 60,000 common units, and (e) cooking onions – 80,000 common units; "minimum annual marketing quota" means in respect of (a) rutabagas – 3,200 common units, (b) carrots – 14,000 common units, (c) parsnips – 3,500 common units, (d) Spanish-type onions – 6,000 common units, and (e) cooking onions – 8,000 common units; "type" or "type of root crop" means (a) rutabagas, (b) carrots, (c) parsnips, (d) yellow Spanish-type onions, or (e) cooking onions. 2(2) Section 1 is further amended by adding the following definition: "retirement and annual root crop quota reallocation system" means the retirement and annual root crop quota reallocation system approved by the Board on December 18, 2014; 3 Section 7 is replaced with the following: New and increased annual marketing quotas 7 Before March 1 in each year, the Board will analyze the potential production for each type of root crop by registered producers and the potential markets available for Manitoba produced root crops of each type. If after allowing for possible yield variations, the Board expects that the aggregate potential production in Manitoba for a type of root crop will not meet potential markets available for the type of root crop (in this section referred to as the "shortfall"), the Board may allot additional annual marketing quotas for the type of root crop equal to the shortfall in accordance with the following rules: 2 1. Approximately 1/3 of the shortfall is to be allocated to applicants who have not previously been allotted an annual marketing quota for the type of root crop and have applied for registration and an annual marketing quota for that type. For this purpose, annual marketing quotas are to be allotted to applicants who have met all of the criteria of the Board in the order of priority determined in accordance with section 4. No person may be allotted an annual marketing quota under this provision in excess of minimum annual marketing quota for that type of root crop. 2. Approximately 1/3 of the shortfall is to be allocated by increasing the annual marketing quota for the type of root crop of each registered producer who has been allotted an annual marketing quota for the type that is less than the average marketing quota of registered producers of the type if (a) the producer has applied for an increase in the producer's annual marketing quota; and (b) the Board is satisfied that the producer has or will have marketed an amount of root crop of that type during the current crop year equal to 90% of the annual marketing quota allotted to the producer for that type; to bring each producer meeting the criteria of this rule up to a level where the annual marketing quota allotted to the producer is equal to the average size of annual marketing quota issued for that type of root crop (catastrophes excepted). 3. The balance of the shortfall is to be allocated as annual marketing quota equally among registered producers who marketed root crops of that type in the previous crop year and applied for increases in the annual marketing quotas allotted to them. No producer may be allotted an increase in an annual marketing quota under this rule unless the Board is satisfied that the producer has marketed or will be able to market an amount of root crop of that type equal to at least 90% of the annual marketing quota allotted to the producer for that type during the current crop year (catastrophes excepted). 4 Section 10 is replaced with the following: Delivery quotas 10 Delivery quotas for each type of root crop (except pickling onions) are allotted to registered producers in accordance with the following rules: 1. A registered producer who has been allotted an annual marketing quota for a type of root crop of 8,000 common units or less for the type is to be allocated a delivery quota for the type for each delivery period equal to 1/7 of the annual marketing quota allocated to the producer for the type. 2. A registered producer who has been allotted an annual marketing quota for a type of root crop of more than 8,000 common units for the type is to be allocated a delivery quota for that type for each delivery period equal to 1,143 common units plus an amount equal to 1/9 of the annual marketing quota allocated to the producer for the type in excess of 8,000 common units. 3 5 Section 31.1 is replaced with the following: Retirement and annual root crop quota reallocation system payments non-transferable 31.1 A person must not assign or offer to assign a payment or an entitlement to a payment or an anticipated payment from the retirement and annual root crop quota reallocation system to another person without the prior written consent of the Board. 6 Subsection 40(2) is replaced with the following: 40(2) The registered producer and each other party to the transfer must provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the party giving the undertaking will not apply (a) for a retirement payment under the retirement and annual root crop quota reallocation system; (b) for the approval of a change in the beneficial ownership of the registered producer under this section; (c) for the approval of an association of the registered producer with another registered producer under Part XI; (d) for the re-allotment of the quotas allotted to the registered producer under Part XII; or (e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58; for a minimum of five years after the waiver under this section unless the party has first received the approval of the Manitoba council to the application. 7 Subsection 46(2) is replaced with the following: 46(2) Each of the registered producers must provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the registered producer will not apply (a) for a retirement payment under the retirement and annual root crop quota reallocation system; (b) for the approval of a change in the beneficial ownership of the registered producer under Part X; (c) for the approval of an association of the registered producer with another registered producer under this section; (d) for the re-allotment of the quotas allotted to the registered producer under Part XII; or (e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58; for a minimum of five years after the waiver under this section unless the registered producer has first received the approval of the Manitoba council to the application. 8 Section 49 is replaced with the following: Complete farm sales 49(1) In the event a registered producer sells the land, buildings, and equipment used by such producer in growing, harvesting and marketing a type of root crop, the Board may re-allot the quotas used in association with those assets to the purchaser if it is satisfied that no value has been attributed to the quotas and that no more than fair market value has been paid for the assets. 49(2) In applying this section, the Board may require an appraisal of the assets by a qualified appraiser to ascertain the fair market value of the assets using an appraisal method or methods approved by the Manitoba council. The costs of the appraisal must be paid by the registered producer. 49(3) The registered producer and the purchaser must provide a statutory declaration in a form acceptable to the Board, confirming the sale and the purchase consideration (both direct and indirect). All agreements between the registered producer and the purchaser (including a detailed listing of all assets included in the sale) must be appended to that statutory declaration. 49(4) In the event that the Board has reasonable grounds for believing that any information provided in the statutory declaration or any requested certificate is false or misleading, the Board may reduce or cancel the quotas in question, whether or not the quotas were re-allotted. 49(5) The purchaser must provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the purchaser will not apply (a) for a retirement payment under the retirement and annual root crop quota reallocation system; (b) for the approval of a change in the beneficial ownership of the registered producer under Part X; (c) for the approval of an association of the registered producer with another registered producer under Part XI; (d) for the re-allotment of the quotas allotted to the registered producer under this section; or (e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58; for a minimum of five years following the re-allotment under this section unless the purchaser has first received the approval of the Manitoba council to the application. 5 9 Section 55 is replaced with the following: Partial and complete re-allotment of quota to related persons 55(1) The following definitions apply in this section. "applicant" means a registered producer who makes an application to re-allot all or a portion of the quotas allotted to a registered producer to another person. "daughter-Hutterite Colony" means a Hutterite Colony recently created as a result of the division of the assets and membership of a Hutterite Colony. "recipient" means the person who is to be re-allotted all or a portion of the quotas allotted to a registered producer as the result of an application under this section. 55(2) The Board may, upon application of a registered producer in writing, re-allot all or a portion of the quotas allotted to the applicant to another person in the following circumstances: (a) with respect to an application by an individual, if the recipient is a member of the applicant's immediate family; (b) with respect to an application by a partnership, if all the partners are members of the same immediate family and the recipient is a member of that immediate family; (c) with respect to an application by a corporation, if all the legal and beneficial shareholders in the applicant are members of the same immediate family and the recipient is a member of such immediate family; (d) with respect to an application by a Hutterite Colony (or by a corporation that is a wholly owned subsidiary of a Hutterite Colony), if the recipient is a wholly owned subsidiary of the applicant or is a daughter-Hutterite Colony or a corporation that is wholly owned by a daughter-Hutterite Colony. 55(3) The Board will not re-allot quotas to a recipient under subsection (2) until: (a) the recipient has established a separate farm that it owns and operates and on which it grows, harvests and markets root crops; (b) the Board is satisfied th<cursor_is_here> 55(4) The applicant and the recipient are each required to provide the Board with a statutory declaration in a form acceptable to the Board, setting out the information specified in the form. 55(5) In the event that the Board has reasonable grounds for believing that any information provided in the statutory declaration or an application is false or misleading, the Board may cancel or reduce the quotas in question, whether or not the quotas were re-allotted. 55(6) The applicant and the recipient are each required to provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the person giving the undertaking will not apply (a) for a retirement payment under the retirement and annual root crop quota reallocation system; (b) for the approval of a change in the beneficial ownership of the registered producer under Part X; (c) for the approval of an association of the registered producer with another registered producer under Part XI; (d) for the re-allotment of the quotas allotted to the registered producer under Part XII; or (e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58; for a minimum of five years following the re-allotment under this section unless the person has first received the approval of the Manitoba council to the application. 10 Sections 56.1 and 56.2 are replaced with the following: Reallotment under system 56.1 Quotas may be cancelled and reallotted by the Board as a result of and in accordance with the procedure set out in the retirement and annual root crop quota reallocation system. Acceptance of applications discretionary 56.2 The designated staff referred to in the retirement and annual root crop quota reallocation system may refuse to accept or may postpone the processing of any application to participate in the retirement and annual root crop quota reallocation system for any reason or on such terms as they consider appropriate. 11 Section 58 is replaced with the following: No application for change of land or buildings for five years 58 If the Board (a) approves a change in the beneficial ownership of a registered producer under Part X; (b) approves an association of registered producers under the provisions of Part XI; or (c) re-allots the quota allotted to a registered producer under Part XII; it is a condition of the re-allotment or approval that the applicants for it must acknowledge that only in the event of an unforeseen contingency acceptable to the Manitoba council will a party be permitted to change the certified land or buildings specified by the Board for use by such registered producer in connection with the quotas to other lands or buildings for a period of at least five years after the approval of the change, association or re-allotment. 12(1) Section 12 of the Root Crop Quota Order, amendment, Manitoba Regulation 79/2016, is repealed. 12(2) Section 63 of the Root Crop Quota Order, Manitoba Regulation 12/95, is repealed. 13 Section 66 is replaced with the following: Non-application re certain onions 66 This Order does not apply to pickling onions, multiplier onion sets, red Spanish-type onions or white Spanish-type onions. 14 The Schedule is repealed. May 13, 2016 Peak of the Market: Keith Kuhl, Chair Peter Loewen, Secretary APPROVED May 16, 2016 Manitoba Farm Products Marketing Council: Ken Caldwell, Chair Ingrid Peters-Fransen, Secretary </text>	[ { "content": "<url>\nhttp://web2.gov.mb.ca/laws/regs/annual/2016/085.pdf\n</url>\n<text>\nTHE FARM PRODUCTS MARKETING ACT\n\n(C.C.S.M. c. F47)\n\nRoot Crop Quota Order, amendment\n\nRegulation 85/2016\n\nRegistered May 16, 2016\n\nManitoba Regulation 12/95 amended\n\n1 The Root Crop Quota Order, Manitoba Regulation 12/95, is, except for subsection 12(1) of this order, amended by this order.\n2(1) Section 1 is amended by replacing the definitions \"annual marketing quota\", \"common unit\", \"maximum quota\", \"minimum annual marketing quota\" and \"\"type\" or \"type of root crop\"\" with the following:\n\n\"annual marketing quota\" means the number of common units of a type of root crop that a registered producer is authorized to market during a crop year;\n\n\"common unit\" means in respect of\n\n(a) rutabagas – 50 pounds,\n(b) carrots – 50 pounds,\n(c) parsnips – 20 pounds,\n(d) Spanish-type onions – 50 pounds, and\n(e) cooking onions – 50 pounds;\n\n This Order is made under the Manitoba Vegetable Producers Marketing Plan, Manitoba Regulation 117/2009, and is Order No. 2, 2016 of Peak of the Market.\n\n\"maximum quota\" means in respect of\n\n(a) rutabagas – 32,000 common units,\n(b) carrots – 140,000 common units,\n(c) parsnips – 35,000 common units,\n(d) Spanish-type onions – 60,000 common units, and\n(e) cooking onions – 80,000 common units;\n\n\"minimum annual marketing quota\" means in respect of\n\n(a) rutabagas – 3,200 common units,\n(b) carrots – 14,000 common units,\n(c) parsnips – 3,500 common units,\n(d) Spanish-type onions – 6,000 common units, and\n(e) cooking onions – 8,000 common units;\n\n\"type\" or \"type of root crop\" means\n\n(a) rutabagas,\n(b) carrots,\n(c) parsnips,\n(d) yellow Spanish-type onions, or\n(e) cooking onions.\n\n2(2) Section 1 is further amended by adding the following definition:\n\n\"retirement and annual root crop quota reallocation system\" means the retirement and annual root crop quota reallocation system approved by the Board on December 18, 2014;\n\n3 Section 7 is replaced with the following:\n\nNew and increased annual marketing quotas\n\n7 Before March 1 in each year, the Board will analyze the potential production for each type of root crop by registered producers and the potential markets available for Manitoba produced root crops of each type. If after allowing for possible yield variations, the Board expects that the aggregate potential production in Manitoba for a type of root crop will not meet potential markets available for the type of root crop (in this section referred to as the \"shortfall\"), the Board may allot additional annual marketing quotas for the type of root crop equal to the shortfall in accordance with the following rules:\n\n2\n\n1. Approximately 1/3 of the shortfall is to be allocated to applicants who have not previously been allotted an annual marketing quota for the type of root crop and have applied for registration and an annual marketing quota for that type. For this purpose, annual marketing quotas are to be allotted to applicants who have met all of the criteria of the Board in the order of priority determined in accordance with section 4. No person may be allotted an annual marketing quota under this provision in excess of minimum annual marketing quota for that type of root crop.\n2. Approximately 1/3 of the shortfall is to be allocated by increasing the annual marketing quota for the type of root crop of each registered producer who has been allotted an annual marketing quota for the type that is less than the average marketing quota of registered producers of the type if\n(a) the producer has applied for an increase in the producer's annual marketing quota; and\n(b) the Board is satisfied that the producer has or will have marketed an amount of root crop of that type during the current crop year equal to 90% of the annual marketing quota allotted to the producer for that type;\n\nto bring each producer meeting the criteria of this rule up to a level where the annual marketing quota allotted to the producer is equal to the average size of annual marketing quota issued for that type of root crop (catastrophes excepted).\n\n3. The balance of the shortfall is to be allocated as annual marketing quota equally among registered producers who marketed root crops of that type in the previous crop year and applied for increases in the annual marketing quotas allotted to them. No producer may be allotted an increase in an annual marketing quota under this rule unless the Board is satisfied that the producer has marketed or will be able to market an amount of root crop of that type equal to at least 90% of the annual marketing quota allotted to the producer for that type during the current crop year (catastrophes excepted).\n\n4 Section 10 is replaced with the following:\n\nDelivery quotas\n\n10 Delivery quotas for each type of root crop (except pickling onions) are allotted to registered producers in accordance with the following rules:\n\n1. A registered producer who has been allotted an annual marketing quota for a type of root crop of 8,000 common units or less for the type is to be allocated a delivery quota for the type for each delivery period equal to 1/7 of the annual marketing quota allocated to the producer for the type.\n2. A registered producer who has been allotted an annual marketing quota for a type of root crop of more than 8,000 common units for the type is to be allocated a delivery quota for that type for each delivery period equal to 1,143 common units plus an amount equal to 1/9 of the annual marketing quota allocated to the producer for the type in excess of 8,000 common units.\n\n3\n\n5 Section 31.1 is replaced with the following:\n\nRetirement and annual root crop quota reallocation system payments non-transferable\n\n31.1 A person must not assign or offer to assign a payment or an entitlement to a payment or an anticipated payment from the retirement and annual root crop quota reallocation system to another person without the prior written consent of the Board.\n\n6 Subsection 40(2) is replaced with the following:\n\n40(2) The registered producer and each other party to the transfer must provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the party giving the undertaking will not apply\n(a) for a retirement payment under the retirement and annual root crop quota reallocation system;\n(b) for the approval of a change in the beneficial ownership of the registered producer under this section;\n(c) for the approval of an association of the registered producer with another registered producer under Part XI;\n(d) for the re-allotment of the quotas allotted to the registered producer under Part XII; or\n(e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58;\n\nfor a minimum of five years after the waiver under this section unless the party has first received the approval of the Manitoba council to the application.\n\n7 Subsection 46(2) is replaced with the following:\n\n46(2) Each of the registered producers must provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the registered producer will not apply\n(a) for a retirement payment under the retirement and annual root crop quota reallocation system;\n(b) for the approval of a change in the beneficial ownership of the registered producer under Part X;\n(c) for the approval of an association of the registered producer with another registered producer under this section;\n(d) for the re-allotment of the quotas allotted to the registered producer under Part XII; or\n\n(e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58;\n\nfor a minimum of five years after the waiver under this section unless the registered producer has first received the approval of the Manitoba council to the application.\n\n8 Section 49 is replaced with the following:\n\nComplete farm sales\n\n49(1) In the event a registered producer sells the land, buildings, and equipment used by such producer in growing, harvesting and marketing a type of root crop, the Board may re-allot the quotas used in association with those assets to the purchaser if it is satisfied that no value has been attributed to the quotas and that no more than fair market value has been paid for the assets.\n49(2) In applying this section, the Board may require an appraisal of the assets by a qualified appraiser to ascertain the fair market value of the assets using an appraisal method or methods approved by the Manitoba council. The costs of the appraisal must be paid by the registered producer.\n49(3) The registered producer and the purchaser must provide a statutory declaration in a form acceptable to the Board, confirming the sale and the purchase consideration (both direct and indirect). All agreements between the registered producer and the purchaser (including a detailed listing of all assets included in the sale) must be appended to that statutory declaration.\n49(4) In the event that the Board has reasonable grounds for believing that any information provided in the statutory declaration or any requested certificate is false or misleading, the Board may reduce or cancel the quotas in question, whether or not the quotas were re-allotted.\n49(5) The purchaser must provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the purchaser will not apply\n(a) for a retirement payment under the retirement and annual root crop quota reallocation system;\n(b) for the approval of a change in the beneficial ownership of the registered producer under Part X;\n(c) for the approval of an association of the registered producer with another registered producer under Part XI;\n(d) for the re-allotment of the quotas allotted to the registered producer under this section; or\n(e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58;\n\nfor a minimum of five years following the re-allotment under this section unless the purchaser has first received the approval of the Manitoba council to the application.\n\n5\n\n9 Section 55 is replaced with the following:\n\nPartial and complete re-allotment of quota to related persons\n\n55(1) The following definitions apply in this section.\n\n\"applicant\" means a registered producer who makes an application to re-allot all or a portion of the quotas allotted to a registered producer to another person.\n\n\"daughter-Hutterite Colony\" means a Hutterite Colony recently created as a result of the division of the assets and membership of a Hutterite Colony.\n\n\"recipient\" means the person who is to be re-allotted all or a portion of the quotas allotted to a registered producer as the result of an application under this section.\n\n55(2) The Board may, upon application of a registered producer in writing, re-allot all or a portion of the quotas allotted to the applicant to another person in the following circumstances:\n(a) with respect to an application by an individual, if the recipient is a member of the applicant's immediate family;\n(b) with respect to an application by a partnership, if all the partners are members of the same immediate family and the recipient is a member of that immediate family;\n(c) with respect to an application by a corporation, if all the legal and beneficial shareholders in the applicant are members of the same immediate family and the recipient is a member of such immediate family;\n(d) with respect to an application by a Hutterite Colony (or by a corporation that is a wholly owned subsidiary of a Hutterite Colony), if the recipient is a wholly owned subsidiary of the applicant or is a daughter-Hutterite Colony or a corporation that is wholly owned by a daughter-Hutterite Colony.\n55(3) The Board will not re-allot quotas to a recipient under subsection (2) until:\n(a) the recipient has established a separate farm that it owns and operates and on which it grows, harvests and markets root crops;\n(b) the Board is satisfied th<cursor_is_here>\n55(4) The applicant and the recipient are each required to provide the Board with a statutory declaration in a form acceptable to the Board, setting out the information specified in the form.\n55(5) In the event that the Board has reasonable grounds for believing that any information provided in the statutory declaration or an application is false or misleading, the Board may cancel or reduce the quotas in question, whether or not the quotas were re-allotted.\n\n55(6) The applicant and the recipient are each required to provide the Board with a written undertaking, in a form satisfactory to the Board, stating that the person giving the undertaking will not apply\n\n(a) for a retirement payment under the retirement and annual root crop quota reallocation system;\n(b) for the approval of a change in the beneficial ownership of the registered producer under Part X;\n(c) for the approval of an association of the registered producer with another registered producer under Part XI;\n(d) for the re-allotment of the quotas allotted to the registered producer under Part XII; or\n(e) to change the certified land or buildings specified by the Board for use by the registered producer to other land or buildings under section 58;\n\nfor a minimum of five years following the re-allotment under this section unless the person has first received the approval of the Manitoba council to the application.\n\n10 Sections 56.1 and 56.2 are replaced with the following:\n\nReallotment under system\n\n56.1 Quotas may be cancelled and reallotted by the Board as a result of and in accordance with the procedure set out in the retirement and annual root crop quota reallocation system.\n\nAcceptance of applications discretionary\n\n56.2 The designated staff referred to in the retirement and annual root crop quota reallocation system may refuse to accept or may postpone the processing of any application to participate in the retirement and annual root crop quota reallocation system for any reason or on such terms as they consider appropriate.\n\n11 Section 58 is replaced with the following:\n\nNo application for change of land or buildings for five years\n\n58 If the Board\n\n(a) approves a change in the beneficial ownership of a registered producer under Part X;\n\n(b) approves an association of registered producers under the provisions of Part XI; or\n(c) re-allots the quota allotted to a registered producer under Part XII;\n\nit is a condition of the re-allotment or approval that the applicants for it must acknowledge that only in the event of an unforeseen contingency acceptable to the Manitoba council will a party be permitted to change the certified land or buildings specified by the Board for use by such registered producer in connection with the quotas to other lands or buildings for a period of at least five years after the approval of the change, association or re-allotment.\n\n12(1) Section 12 of the Root Crop Quota Order, amendment, Manitoba Regulation 79/2016, is repealed.\n\n12(2) Section 63 of the Root Crop Quota Order, Manitoba Regulation 12/95, is repealed.\n\n13 Section 66 is replaced with the following:\n\nNon-application re certain onions\n\n66 This Order does not apply to pickling onions, multiplier onion sets, red Spanish-type onions or white Spanish-type onions.\n\n14 The Schedule is repealed.\n\nMay 13, 2016\n\nPeak of the Market:\n\nKeith Kuhl, Chair\n\nPeter Loewen, Secretary\n\nAPPROVED\n\nMay 16, 2016\n\nManitoba Farm Products Marketing Council:\n\nKen Caldwell, Chair\n\nIngrid Peters-Fransen, Secretary\n</text>\n", "role": "user" }, { "content": "at the new operation of the recipient and the resulting operation of the applicant will both be economically viable; and\n(c) the Board is satisfied that no value has been attributed to the quotas.", "role": "assistant" } ]
MELDRETH PARISH COUNCIL MINUTES AS YET UNAPPROVED of Parish Council Meeting held Thursday 2 nd November 2006, 7.30 p.m. in The Green Room, Meldreth Village Hall Present: Mr C.A. Land (Chairman) Mr G.V. Borgonon Mr A.P. Burlton Mr S.W.J. Chamberlain Mrs M.P. Course Mrs C.J. Fallon Mr S.J. Hawkins Mr R.A. Searles Mr D. McCraith (Councillor, Cambridgeshire County Council [C.C.C.]) 1. Apologies for absence: Mr P.A. Ray Dr S. van de Ven (Councillor, South Cambridgeshire District Council [S.C.D.C.]) 2. To sign and approve Minutes of meeting dated 5 th October 2006 The Minutes were signed as a true record. Proposed Mr Hawkins, seconded Mr Burlton. 3. Members of the public and press are invited to address the Council 8 members were present. Mrs J. Greaves and Mr A. Florence: Speed of traffic along (i) Whitecroft Road and (ii) North End, which has caused damage to garden walls. Mr Borgonon said he had written to the Police asking for speed and enforcement checks and this pressure has to be kept up. A number of suggestions were put forward including humps; where applicable 'concealed exit' notices; 30 m.p.h. signs; speed related traffic lights; the realignment of the road from the railway bridge into Whitecroft Road, making it a left hand turn Mr Land asked if residents would be prepared to report registration numbers to the Police when drivers were exceeding the speed limit. The Clerk to write a letter to Mr David Lines, Head of Traffic Management, C.C.C., with copy to Mr McCraith and Andrew Lansley highlighting the increased level of concern to traffic problems in Meldreth. The Parish Council would like the 30 m.p.h. sign moved further along Whitecroft Road to the other side on the Fenny Lane crossroads. This request was made to Mr Lines when he visited Meldreth and he undertook to monitor speeds to assess the feasibility, but nothing has happened. Mr McCraith is to pursue with Highways Department. D.McC./Clerk Miss M. Hunter: enquired if the Parish Council was aware that S.C.D.C. has commissioned Savills, a firm of Surveyors to undertake a Stock Condition Survey of a sample of its housing to assist the council with assessing future repairs and maintenance requirements. The Parish Council was unaware of this and asked the Clerk to write to S.C.D.C. for further clarification and to be kept informed of any future consultations within Meldreth. Clerk Mr R. Burns: condition of pavements along Elin Way. The Parish Council is of the opinion that repairs will be carried out on completion of building work. 4. Members' declaration of interest for items on the agenda, which may cause a conflict of interest There were no declarations. 5. Report from District Councillor On behalf of Dr van de Ven, the Clerk read the following report: Flooding issues: permission has been given to attend a meeting in Melbourn on 15 th November devoted to addressing the serious flooding suffered in several parts of the village in late July. With Meldreth facing some of the same issues - drainage systems overburdened by excessive house building over the decades, increased likelihood of severe weather, and lack of any single authority to tackle the issues, Dr van de Ven is grateful for the opportunity to listen and learn. Mr McCraith supports Dr van de Ven in her efforts to pursue the drainage problem and attending the Melbourn Open Meeting on 15 th November. The Portfolio Holder for C.C.C. will be at the meeting and the proposed updates for the drainage system in Melbourn will be outlined. Communal Room update: current users are pleased that the Parish Office will be situated within the Meldreth Sheltered Housing Community building and available for evening meetings. They also welcome the availability of the Community Access Point, with many taking tuition. A meeting with representatives from S.C.D.C., Mr Borgonon, Dr van de Ven and the Clerk will take place on 9 th November at Cambourne. Elin Way: the retrospective planning application for the 4 garages at the new Sheltered Housing Community Room went to Planning Committee on 1 st November. Dr van de Ven argued against officer recommendation to approve, due to the unnecessary height of the building and its proximity to 7 The Grange, to the point where it is not possible for S.C.D.C. to provide landscape screening on its own land. Dr van de Ven also stated in strong terms that it was very unfortunate for the planning authority itself to be engaged in a retrospective application and also, that Meldreth Parish Council had approved the earlier application, which was unknowingly based on the wrong drawings. The Parish Council and the resident of 7 The Grange should at the very least be given a clear explanation of what happened, because nobody seems to know. There was a long debate and strong concern about the retrospective nature of the application with much discussion on the height of the building and the need for landscaping. The vote was 8-7 for refusal of the application, with 4 abstentions. 6. Agenda items 6.1 Grass Cutting – contract for the next 3 years (deferred from previous meeting) Proposed Mrs Course, seconded Mrs Fallon, with all in agreement, that the Parish Council accepts the quotation from Mr Goodwin for the period March 2007 – October 2009. Clerk to inform Mr Goodwin that the Fenny Lane area should not be cut from mid April until requested. Clerk 6.2 Highway matters - correspondence from Lady Wright and Mr Florence The Council discussed the two suggestions from Lady Wright to assist pedestrians near College Farm bend and Fieldgate Nurseries junction. The Clerk to write to Mr Steven Thulborn, standing in for Mr David Lines, Head of Traffic Management, C.C.C., who is on extended sick leave for further advice. The Clerk to write to Mr Thulborn for advice on what can be done to reduce speed of traffic along Whitecroft Road and North End. See Item 3 above. 6.3 Precept: 2007 – 2008 The first draft was discussed. Amendments will be reviewed at the December meeting. 6.4 P.P.P. – Update (i) Melbourn by-pass (lay-by): request for an additional refuse container The Clerk to enquire from S.C.D.C. if a larger container would be possible. December Agenda item. Clerk Mr Chamberlain asked for volunteers to assist Mr Searles with preparing and re-painting footpath signs. Possible link between Meads Footpath (No. 6) and Melbourn Recreation Ground. Mr Stephen Marshall, P.P.P. Committee Member, to contact Melbourn and Meldreth residents via the parish magazines to ascertain support. At the Committee Meeting held 16 th October, a review of this year's workload was discussed with intended work for 2007, which included a request to C.C.C. to erect a bridge on the Whaddon side of Kingswood Golf Course. The next meeting of the Parish Paths Partnership Committee will take place on 11th December in The Green Room of the Village Hall. (i) Report from R.A. Searles on the S.C.D.C. Travellers Liaison Forum at th Cambourne on 5 October 2006 The written report had been circulated to Councillors and a copy sent to the Meldreth Residents Association. (ii) To consider the Council's response to the consultation on the draft S.C.D.C. 'Issues and Options Report 1' on their proposed method for selecting further Gypsy and Traveller (including Showmen) sites in the district. Proposed Mr Borgonon, seconded Mr Hawkins that Meldreth Parish Council accepts the responses drafted by Mr Searles and circulated to Councillors. This was accepted unanimously and Mr Searles agreed to submit the responses on-line to S.C.D.C. by 24 th November. R.A.S. 6.6 R.A. Searles to report on C.A.L.C. AGM and EGM. held 14 th October 2006 Two items of interest: one was a presentation by John Findlay, Chief Executive Officer of N.A.L.C. who spoke on the Government White Paper – the reorganising of Local Government, including the enhanced role of Parish Councils. A 'Power of Well-Being' would replace Section 137. Parish Councils could cluster and share facilities with contractors carrying out work, which would particularly benefit small villages. The second item discussed the Strategic Review of C.A.L.C. and a new Constitution, which will become the Cambridge and Peterborough Association of Local Councils (C.P.A.L.C.), which would be made up of a two-tier structure with 6 members from each of the district associations to meet 4 times per year 6.5 Clerk Mr Land to attend the C.A.L.C. District Association Meeting on 22 nd November. A.L. 6.7 R.A. Searles to report on C.P.R.E. Workshop on Local Development Frameworks held 5 th October 2006. This meeting was useful in understanding the way that L.D.F.s replace Local Plans. S.C.D.C. are unique in producing their L.D.F. as a single thick set of documents because they had only just completed their Local Plan and the G.T.P.D. that will arise from the process being followed under 6.5 (ii) above will become part of the Local Development Framework as will other plans in future as L.D.F.s are 'living documents'. 7. Planning Amendment: Erection of House to Replace Existing Dwelling and Outbuildings Ref: S/1711/06/F to be Demolished on Completion. Proposed landscaping and boundary treatment 1 Stone Lane Mr & Mrs R.A. Searles Planning Minutes: 02.11.2006 Tree work (Tree Preservation Order status) 118 High Street Ref: C/11/40/71 Mrs T. O'Malley Planning Minutes: 02.11.2006 The following has been approved by S.C.D.C.: Change of Use of Land to Garden Land and Conversion of Ref: S/03335/05/F Stables into Additional Bedroom Accommodation at Land Adj. Cornwell House Stone Lane (for N. Davis) Planning Minutes: 02.11.2006 Appeals: Change of use of land from agricultural to storage and Ref: S/0689/05/F display of external paving materials and erection of 2 buildings for use as showroom and studio Land at Bury Lane Fruit Farm For E.W. Pepper Ltd. Planning Minutes: 02.11.2006 Change of use from repair and maintenance of motor Ref: S/0673/06/F vehicles to B1 & B8 use College Farm Business Park For Cunningham Holdings Ltd. Planning Minutes: 02.11.2006 Unapproved Minutes of the recent Planning Committee are displayed on the Parish Council Noticeboard. 8. Correspondence ü = circulated within the Parish Council C.C.C. (Contact Centre Review) ü Association of Burial Authorities Newsletter, No. 35 ü C.C.C. (South Cambs. Local Development Framework – Gypsy and Traveller Dev. Plan Doc.) ü C.C.C. (Cambs. and Peter'b Minerals and Waste Plan documents: Consultationü South Cambridgeshire (Police) Sector Newsletter ü Mr A. Florence (traffic calming required) ü Grass Cutting quotations x 3 ü C.C.C. (Registration Service in Cambridgeshire) ü InspireEast (regeneration activity in the region) ü The Cambridge and District Community Mediation Service ü Local Works (Campaign for the Sustainable Communities Bill) ü N.A.L.C. Journal (November 2006) ü Globe Watch (advertising for CCTV) ü C.C.C. (booklet on current structure of senior management and positions) ü War Memorials Trust Bulletin (Autumn 2006) ü C.C.C. (Street Lighting Maintenance and energy 2006/2007) ü C.C.C. (congestion in Cambridgeshire) + (listening to views) ü S.C.D.C. (Biodiversity Strategy) ü Clerks & Councils Direct, November 2006 ü Countryside Alliance – Post Offices ü Community Access Point (consumables revenue: £5.00) R. Skeates Funeral Directors (Cemetery fees for the late Teresa Yaxley: £160.00) Ivett & Reed (Memorial application for the late Susan Woods – Clerk approved) N.H.W. (closure of account, balance to Parish Council: £58.31) 9. Bills and Payments \| Payable \| Cheque No. \| Net £ \| V.A.T. £ \| Total £ \| Details \| \|---\|---\|---\|---\|---\|---\| \| P.J. Deards \| 001469 \| \| \| 10 \| Pavilion: plumbing \| \| Wicksteed Leisure Ltd. \| 001470 \| 874.00 \| 152.95 \| 1026.95 \| Rec.Grnd. Whirling Platform parts/installation costs \| \| Revd. A. O’Brien \| 001471 \| \| \| 30 \| Officiant: Funeral Teresa Yaxley \| \| C.P.R.E. \| 001472 \| \| \| 25 \| Local Dev. Frameworks – R.A.S. attended 5.10.06 \| \| Mr G.B. Goodwin \| 001473 \| \| \| 446.67 \| Grass Cutting \| \| Mr G.B. Goodwin \| 001474 \| \| \| 200 \| Cemetery: hedge cutting \| \| Mr R.A. Searles \| 001479 \| 28.99 \| 6.15 \| 35.14 \| Footpath signs: repainting \| LGA = Local Government Act The above payments were approved. Proposed Mr Chamberlain, seconded Mr Borgonon. 9a. Section 137 Payments There were no payments. 10. Councillors' and Clerk's comments with agenda items for next meeting: 7 th December 2006 in The Green Room, Meldreth Village Hall. War Memorial: Mr Chamberlain to clean in preparation for the Service of Remembrance on Sunday 12 th November at 9.30 a.m. Overhanging hedge obscuring speed sign near to No. 19 Whitecroft Road and the pavement near No. 33 Whitecroft Road. Agenda items to date: Precept: 2007 – 2008 Pavilion: (i) repairs to roof (ii) options for improvement/replacement of existing building (iii) payment for hire of Village Hall for meetings Neighbourhood Watch: payment for hire of Village Hall for meetings Melbourn by-pass (lay-by): request for an additional refuse container C.A.L.C. District Association Meeting – 22 nd November 2006 – update Mr Land P.P.P. - update The meeting closed at 10.10 p.m.	<urn:uuid:84f3f1a7-8c6e-4337-85d9-6c142bb1ab93>	CC-MAIN-2017-47	http://www.meldreth-pc.org.uk/wp-content/uploads/minutes-agendas/mins_2006-11-02.pdf	2017-11-19T16:15:09Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-47/segments/1510934805687.20/warc/CC-MAIN-20171119153219-20171119173219-00493.warc.gz	455,406,755	3,329	eng_Latn	eng_Latn	0.96312	eng_Latn	0.991126	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 4317, 8496, 11563, 13517 ]	MELDRETH PARISH COUNCIL MINUTES AS YET UNAPPROVED of Parish Council Meeting held Thursday 2 nd November 2006, 7.30 p.m. in The Green Room, Meldreth Village Hall Present: Mr C.A. Land (Chairman) Mr G.V. Borgonon Mr A.P. Burlton Mr S.W.J. Chamberlain Mrs M.P. Course Mrs C.J. Fallon Mr S.J. Hawkins Mr R.A. Searles Mr D. McCraith (Councillor, Cambridgeshire County Council [C.C.C.]) 1. Apologies for absence: Mr P.A. Ray Dr S. van de Ven (Councillor, South Cambridgeshire District Council [S.C.D.C.]) 2. To sign and approve Minutes of meeting dated 5 th October 2006 The Minutes were signed as a true record. Proposed Mr Hawkins, seconded Mr Burlton. 3. Members of the public and press are invited to address the Council 8 members were present. Mrs J. Greaves and Mr A. Florence: Speed of traffic along (i) Whitecroft Road and (ii) North End, which has caused damage to garden walls. Mr Borgonon said he had written to the Police asking for speed and enforcement checks and this pressure has to be kept up. A number of suggestions were put forward including humps; where applicable 'concealed exit' notices; 30 m.p.h. signs; speed related traffic lights; the realignment of the road from the railway bridge into Whitecroft Road, making it a left hand turn Mr Land asked if residents would be prepared to report registration numbers to the Police when drivers were exceeding the speed limit. The Clerk to write a letter to Mr David Lines, Head of Traffic Management, C.C.C., with copy to Mr McCraith and Andrew Lansley highlighting the increased level of concern to traffic problems in Meldreth. The Parish Council would like the 30 m.p.h. sign moved further along Whitecroft Road to the other side on the Fenny Lane crossroads. This request was made to Mr Lines when he visited Meldreth and he undertook to monitor speeds to assess the feasibility, but nothing has happened. Mr McCraith is to pursue with Highways Department. D.McC./Clerk Miss M. Hunter: enquired if the Parish Council was aware that S.C.D.C. has commissioned Savills, a firm of Surveyors to undertake a Stock Condition Survey of a sample of its housing to assist the council with assessing future repairs and maintenance requirements. The Parish Council was unaware of this and asked the Clerk to write to S.C.D.C. for further clarification and to be kept informed of any future consultations within Meldreth. Clerk Mr R. Burns: condition of pavements along Elin Way. The Parish Council is of the opinion that repairs will be carried out on completion of building work. 4. Members' declaration of interest for items on the	agenda, which may cause a conflict of interest There were no declarations.	5. Report from District Councillor On behalf of Dr van de Ven, the Clerk read the following report: Flooding issues: permission has been given to attend a meeting in Melbourn on 15 th November devoted to addressing the serious flooding suffered in several parts of the village in late July. With Meldreth facing some of the same issues - drainage systems overburdened by excessive house building over the decades, increased likelihood of severe weather, and lack of any single authority to tackle the issues, Dr van de Ven is grateful for the opportunity to listen and learn. Mr McCraith supports Dr van de Ven in her efforts to pursue the drainage problem and attending the Melbourn Open Meeting on 15 th November. The Portfolio Holder for C.C.C. will be at the meeting and the proposed updates for the drainage system in Melbourn will be outlined. Communal Room update: current users are pleased that the Parish Office will be situated within the Meldreth Sheltered Housing Community building and available for evening meetings. They also welcome the availability of the Community Access Point, with many taking tuition. A meeting with representatives from S.C.D.C., Mr Borgonon, Dr van de Ven and the Clerk will take place on 9 th November at Cambourne. Elin Way: the retrospective planning application for the 4 garages at the new Sheltered Housing Community Room went to Planning Committee on 1 st November. Dr van de Ven argued against officer recommendation to approve, due to the unnecessary height of the building and its proximity to 7 The Grange, to the point where it is not possible for S.C.D.C. to provide landscape screening on its own land. Dr van de Ven also stated in strong terms that it was very unfortunate for the planning authority itself to be engaged in a retrospective application and also, that Meldreth Parish Council had approved the earlier application, which was unknowingly based on the wrong drawings. The Parish Council and the resident of 7 The Grange should at the very least be given a clear explanation of what happened, because nobody seems to know. There was a long debate and strong concern about the retrospective nature of the application with much discussion on the height of the building and the need for landscaping. The vote was 8-7 for refusal of the application, with 4 abstentions. 6. Agenda items 6.1 Grass Cutting – contract for the next 3 years (deferred from previous meeting) Proposed Mrs Course, seconded Mrs Fallon, with all in agreement, that the Parish Council accepts the quotation from Mr Goodwin for the period March 2007 – October 2009. Clerk to inform Mr Goodwin that the Fenny Lane area should not be cut from mid April until requested. Clerk 6.2 Highway matters - correspondence from Lady Wright and Mr Florence The Council discussed the two suggestions from Lady Wright to assist pedestrians near College Farm bend and Fieldgate Nurseries junction. The Clerk to write to Mr Steven Thulborn, standing in for Mr David Lines, Head of Traffic Management, C.C.C., who is on extended sick leave for further advice. The Clerk to write to Mr Thulborn for advice on what can be done to reduce speed of traffic along Whitecroft Road and North End. See Item 3 above. 6.3 Precept: 2007 – 2008 The first draft was discussed. Amendments will be reviewed at the December meeting. 6.4 P.P.P. – Update (i) Melbourn by-pass (lay-by): request for an additional refuse container The Clerk to enquire from S.C.D.C. if a larger container would be possible. December Agenda item. Clerk Mr Chamberlain asked for volunteers to assist Mr Searles with preparing and re-painting footpath signs. Possible link between Meads Footpath (No. 6) and Melbourn Recreation Ground. Mr Stephen Marshall, P.P.P. Committee Member, to contact Melbourn and Meldreth residents via the parish magazines to ascertain support. At the Committee Meeting held 16 th October, a review of this year's workload was discussed with intended work for 2007, which included a request to C.C.C. to erect a bridge on the Whaddon side of Kingswood Golf Course. The next meeting of the Parish Paths Partnership Committee will take place on 11th December in The Green Room of the Village Hall. (i) Report from R.A. Searles on the S.C.D.C. Travellers Liaison Forum at th Cambourne on 5 October 2006 The written report had been circulated to Councillors and a copy sent to the Meldreth Residents Association. (ii) To consider the Council's response to the consultation on the draft S.C.D.C. 'Issues and Options Report 1' on their proposed method for selecting further Gypsy and Traveller (including Showmen) sites in the district. Proposed Mr Borgonon, seconded Mr Hawkins that Meldreth Parish Council accepts the responses drafted by Mr Searles and circulated to Councillors. This was accepted unanimously and Mr Searles agreed to submit the responses on-line to S.C.D.C. by 24 th November. R.A.S. 6.6 R.A. Searles to report on C.A.L.C. AGM and EGM. held 14 th October 2006 Two items of interest: one was a presentation by John Findlay, Chief Executive Officer of N.A.L.C. who spoke on the Government White Paper – the reorganising of Local Government, including the enhanced role of Parish Councils. A 'Power of Well-Being' would replace Section 137. Parish Councils could cluster and share facilities with contractors carrying out work, which would particularly benefit small villages. The second item discussed the Strategic Review of C.A.L.C. and a new Constitution, which will become the Cambridge and Peterborough Association of Local Councils (C.P.A.L.C.), which would be made up of a two-tier structure with 6 members from each of the district associations to meet 4 times per year 6.5 Clerk Mr Land to attend the C.A.L.C. District Association Meeting on 22 nd November. A.L. 6.7 R.A. Searles to report on C.P.R.E. Workshop on Local Development Frameworks held 5 th October 2006. This meeting was useful in understanding the way that L.D.F.s replace Local Plans. S.C.D.C. are unique in producing their L.D.F. as a single thick set of documents because they had only just completed their Local Plan and the G.T.P.D. that will arise from the process being followed under 6.5 (ii) above will become part of the Local Development Framework as will other plans in future as L.D.F.s are 'living documents'. 7. Planning Amendment: Erection of House to Replace Existing Dwelling and Outbuildings Ref: S/1711/06/F to be Demolished on Completion. Proposed landscaping and boundary treatment 1 Stone Lane Mr & Mrs R.A. Searles Planning Minutes: 02.11.2006 Tree work (Tree Preservation Order status) 118 High Street Ref: C/11/40/71 Mrs T. O'Malley Planning Minutes: 02.11.2006 The following has been approved by S.C.D.C.: Change of Use of Land to Garden Land and Conversion of Ref: S/03335/05/F Stables into Additional Bedroom Accommodation at Land Adj. Cornwell House Stone Lane (for N. Davis) Planning Minutes: 02.11.2006 Appeals: Change of use of land from agricultural to storage and Ref: S/0689/05/F display of external paving materials and erection of 2 buildings for use as showroom and studio Land at Bury Lane Fruit Farm For E.W. Pepper Ltd. Planning Minutes: 02.11.2006 Change of use from repair and maintenance of motor Ref: S/0673/06/F vehicles to B1 & B8 use College Farm Business Park For Cunningham Holdings Ltd. Planning Minutes: 02.11.2006 Unapproved Minutes of the recent Planning Committee are displayed on the Parish Council Noticeboard. 8. Correspondence ü = circulated within the Parish Council C.C.C. (Contact Centre Review) ü Association of Burial Authorities Newsletter, No. 35 ü C.C.C. (South Cambs. Local Development Framework – Gypsy and Traveller Dev. Plan Doc.) ü C.C.C. (Cambs. and Peter'b Minerals and Waste Plan documents: Consultationü South Cambridgeshire (Police) Sector Newsletter ü Mr A. Florence (traffic calming required) ü Grass Cutting quotations x 3 ü C.C.C. (Registration Service in Cambridgeshire) ü InspireEast (regeneration activity in the region) ü The Cambridge and District Community Mediation Service ü Local Works (Campaign for the Sustainable Communities Bill) ü N.A.L.C. Journal (November 2006) ü Globe Watch (advertising for CCTV) ü C.C.C. (booklet on current structure of senior management and positions) ü War Memorials Trust Bulletin (Autumn 2006) ü C.C.C. (Street Lighting Maintenance and energy 2006/2007) ü C.C.C. (congestion in Cambridgeshire) + (listening to views) ü S.C.D.C. (Biodiversity Strategy) ü Clerks & Councils Direct, November 2006 ü Countryside Alliance – Post Offices ü Community Access Point (consumables revenue: £5.00) R. Skeates Funeral Directors (Cemetery fees for the late Teresa Yaxley: £160.00) Ivett & Reed (Memorial application for the late Susan Woods – Clerk approved) N.H.W. (closure of account, balance to Parish Council: £58.31) 9. Bills and Payments \| Payable \| Cheque No. \| Net £ \| V.A.T. £ \| Total £ \| Details \| \|---\|---\|---\|---\|---\|---\| \| P.J. Deards \| 001469 \| \| \| 10 \| Pavilion: plumbing \| \| Wicksteed Leisure Ltd. \| 001470 \| 874.00 \| 152.95 \| 1026.95 \| Rec.Grnd. Whirling Platform parts/installation costs \| \| Revd. A. O’Brien \| 001471 \| \| \| 30 \| Officiant: Funeral Teresa Yaxley \| \| C.P.R.E. \| 001472 \| \| \| 25 \| Local Dev. Frameworks – R.A.S. attended 5.10.06 \| \| Mr G.B. Goodwin \| 001473 \| \| \| 446.67 \| Grass Cutting \| \| Mr G.B. Goodwin \| 001474 \| \| \| 200 \| Cemetery: hedge cutting \| \| Mr R.A. Searles \| 001479 \| 28.99 \| 6.15 \| 35.14 \| Footpath signs: repainting \| LGA = Local Government Act The above payments were approved. Proposed Mr Chamberlain, seconded Mr Borgonon. 9a. Section 137 Payments There were no payments. 10. Councillors' and Clerk's comments with agenda items for next meeting: 7 th December 2006 in The Green Room, Meldreth Village Hall. War Memorial: Mr Chamberlain to clean in preparation for the Service of Remembrance on Sunday 12 th November at 9.30 a.m. Overhanging hedge obscuring speed sign near to No. 19 Whitecroft Road and the pavement near No. 33 Whitecroft Road. Agenda items to date: Precept: 2007 – 2008 Pavilion: (i) repairs to roof (ii) options for improvement/replacement of existing building (iii) payment for hire of Village Hall for meetings Neighbourhood Watch: payment for hire of Village Hall for meetings Melbourn by-pass (lay-by): request for an additional refuse container C.A.L.C. District Association Meeting – 22 nd November 2006 – update Mr Land P.P.P. - update The meeting closed at 10.10 p.m.	2,634	beginning_of_word	agenda,	remove_one_sentence	<url> http://www.meldreth-pc.org.uk/wp-content/uploads/minutes-agendas/mins_2006-11-02.pdf </url> <text> MELDRETH PARISH COUNCIL MINUTES AS YET UNAPPROVED of Parish Council Meeting held Thursday 2 nd November 2006, 7.30 p.m. in The Green Room, Meldreth Village Hall Present: Mr C.A. Land (Chairman) Mr G.V. Borgonon Mr A.P. Burlton Mr S.W.J. Chamberlain Mrs M.P. Course Mrs C.J. Fallon Mr S.J. Hawkins Mr R.A. Searles Mr D. McCraith (Councillor, Cambridgeshire County Council [C.C.C.]) 1. Apologies for absence: Mr P.A. Ray Dr S. van de Ven (Councillor, South Cambridgeshire District Council [S.C.D.C.]) 2. To sign and approve Minutes of meeting dated 5 th October 2006 The Minutes were signed as a true record. Proposed Mr Hawkins, seconded Mr Burlton. 3. Members of the public and press are invited to address the Council 8 members were present. Mrs J. Greaves and Mr A. Florence: Speed of traffic along (i) Whitecroft Road and (ii) North End, which has caused damage to garden walls. Mr Borgonon said he had written to the Police asking for speed and enforcement checks and this pressure has to be kept up. A number of suggestions were put forward including humps; where applicable 'concealed exit' notices; 30 m.p.h. signs; speed related traffic lights; the realignment of the road from the railway bridge into Whitecroft Road, making it a left hand turn Mr Land asked if residents would be prepared to report registration numbers to the Police when drivers were exceeding the speed limit. The Clerk to write a letter to Mr David Lines, Head of Traffic Management, C.C.C., with copy to Mr McCraith and Andrew Lansley highlighting the increased level of concern to traffic problems in Meldreth. The Parish Council would like the 30 m.p.h. sign moved further along Whitecroft Road to the other side on the Fenny Lane crossroads. This request was made to Mr Lines when he visited Meldreth and he undertook to monitor speeds to assess the feasibility, but nothing has happened. Mr McCraith is to pursue with Highways Department. D.McC./Clerk Miss M. Hunter: enquired if the Parish Council was aware that S.C.D.C. has commissioned Savills, a firm of Surveyors to undertake a Stock Condition Survey of a sample of its housing to assist the council with assessing future repairs and maintenance requirements. The Parish Council was unaware of this and asked the Clerk to write to S.C.D.C. for further clarification and to be kept informed of any future consultations within Meldreth. Clerk Mr R. Burns: condition of pavements along Elin Way. The Parish Council is of the opinion that repairs will be carried out on completion of building work. 4. Members' declaration of interest for items on the <cursor_is_here> 5. Report from District Councillor On behalf of Dr van de Ven, the Clerk read the following report: Flooding issues: permission has been given to attend a meeting in Melbourn on 15 th November devoted to addressing the serious flooding suffered in several parts of the village in late July. With Meldreth facing some of the same issues - drainage systems overburdened by excessive house building over the decades, increased likelihood of severe weather, and lack of any single authority to tackle the issues, Dr van de Ven is grateful for the opportunity to listen and learn. Mr McCraith supports Dr van de Ven in her efforts to pursue the drainage problem and attending the Melbourn Open Meeting on 15 th November. The Portfolio Holder for C.C.C. will be at the meeting and the proposed updates for the drainage system in Melbourn will be outlined. Communal Room update: current users are pleased that the Parish Office will be situated within the Meldreth Sheltered Housing Community building and available for evening meetings. They also welcome the availability of the Community Access Point, with many taking tuition. A meeting with representatives from S.C.D.C., Mr Borgonon, Dr van de Ven and the Clerk will take place on 9 th November at Cambourne. Elin Way: the retrospective planning application for the 4 garages at the new Sheltered Housing Community Room went to Planning Committee on 1 st November. Dr van de Ven argued against officer recommendation to approve, due to the unnecessary height of the building and its proximity to 7 The Grange, to the point where it is not possible for S.C.D.C. to provide landscape screening on its own land. Dr van de Ven also stated in strong terms that it was very unfortunate for the planning authority itself to be engaged in a retrospective application and also, that Meldreth Parish Council had approved the earlier application, which was unknowingly based on the wrong drawings. The Parish Council and the resident of 7 The Grange should at the very least be given a clear explanation of what happened, because nobody seems to know. There was a long debate and strong concern about the retrospective nature of the application with much discussion on the height of the building and the need for landscaping. The vote was 8-7 for refusal of the application, with 4 abstentions. 6. Agenda items 6.1 Grass Cutting – contract for the next 3 years (deferred from previous meeting) Proposed Mrs Course, seconded Mrs Fallon, with all in agreement, that the Parish Council accepts the quotation from Mr Goodwin for the period March 2007 – October 2009. Clerk to inform Mr Goodwin that the Fenny Lane area should not be cut from mid April until requested. Clerk 6.2 Highway matters - correspondence from Lady Wright and Mr Florence The Council discussed the two suggestions from Lady Wright to assist pedestrians near College Farm bend and Fieldgate Nurseries junction. The Clerk to write to Mr Steven Thulborn, standing in for Mr David Lines, Head of Traffic Management, C.C.C., who is on extended sick leave for further advice. The Clerk to write to Mr Thulborn for advice on what can be done to reduce speed of traffic along Whitecroft Road and North End. See Item 3 above. 6.3 Precept: 2007 – 2008 The first draft was discussed. Amendments will be reviewed at the December meeting. 6.4 P.P.P. – Update (i) Melbourn by-pass (lay-by): request for an additional refuse container The Clerk to enquire from S.C.D.C. if a larger container would be possible. December Agenda item. Clerk Mr Chamberlain asked for volunteers to assist Mr Searles with preparing and re-painting footpath signs. Possible link between Meads Footpath (No. 6) and Melbourn Recreation Ground. Mr Stephen Marshall, P.P.P. Committee Member, to contact Melbourn and Meldreth residents via the parish magazines to ascertain support. At the Committee Meeting held 16 th October, a review of this year's workload was discussed with intended work for 2007, which included a request to C.C.C. to erect a bridge on the Whaddon side of Kingswood Golf Course. The next meeting of the Parish Paths Partnership Committee will take place on 11th December in The Green Room of the Village Hall. (i) Report from R.A. Searles on the S.C.D.C. Travellers Liaison Forum at th Cambourne on 5 October 2006 The written report had been circulated to Councillors and a copy sent to the Meldreth Residents Association. (ii) To consider the Council's response to the consultation on the draft S.C.D.C. 'Issues and Options Report 1' on their proposed method for selecting further Gypsy and Traveller (including Showmen) sites in the district. Proposed Mr Borgonon, seconded Mr Hawkins that Meldreth Parish Council accepts the responses drafted by Mr Searles and circulated to Councillors. This was accepted unanimously and Mr Searles agreed to submit the responses on-line to S.C.D.C. by 24 th November. R.A.S. 6.6 R.A. Searles to report on C.A.L.C. AGM and EGM. held 14 th October 2006 Two items of interest: one was a presentation by John Findlay, Chief Executive Officer of N.A.L.C. who spoke on the Government White Paper – the reorganising of Local Government, including the enhanced role of Parish Councils. A 'Power of Well-Being' would replace Section 137. Parish Councils could cluster and share facilities with contractors carrying out work, which would particularly benefit small villages. The second item discussed the Strategic Review of C.A.L.C. and a new Constitution, which will become the Cambridge and Peterborough Association of Local Councils (C.P.A.L.C.), which would be made up of a two-tier structure with 6 members from each of the district associations to meet 4 times per year 6.5 Clerk Mr Land to attend the C.A.L.C. District Association Meeting on 22 nd November. A.L. 6.7 R.A. Searles to report on C.P.R.E. Workshop on Local Development Frameworks held 5 th October 2006. This meeting was useful in understanding the way that L.D.F.s replace Local Plans. S.C.D.C. are unique in producing their L.D.F. as a single thick set of documents because they had only just completed their Local Plan and the G.T.P.D. that will arise from the process being followed under 6.5 (ii) above will become part of the Local Development Framework as will other plans in future as L.D.F.s are 'living documents'. 7. Planning Amendment: Erection of House to Replace Existing Dwelling and Outbuildings Ref: S/1711/06/F to be Demolished on Completion. Proposed landscaping and boundary treatment 1 Stone Lane Mr & Mrs R.A. Searles Planning Minutes: 02.11.2006 Tree work (Tree Preservation Order status) 118 High Street Ref: C/11/40/71 Mrs T. O'Malley Planning Minutes: 02.11.2006 The following has been approved by S.C.D.C.: Change of Use of Land to Garden Land and Conversion of Ref: S/03335/05/F Stables into Additional Bedroom Accommodation at Land Adj. Cornwell House Stone Lane (for N. Davis) Planning Minutes: 02.11.2006 Appeals: Change of use of land from agricultural to storage and Ref: S/0689/05/F display of external paving materials and erection of 2 buildings for use as showroom and studio Land at Bury Lane Fruit Farm For E.W. Pepper Ltd. Planning Minutes: 02.11.2006 Change of use from repair and maintenance of motor Ref: S/0673/06/F vehicles to B1 & B8 use College Farm Business Park For Cunningham Holdings Ltd. Planning Minutes: 02.11.2006 Unapproved Minutes of the recent Planning Committee are displayed on the Parish Council Noticeboard. 8. Correspondence ü = circulated within the Parish Council C.C.C. (Contact Centre Review) ü Association of Burial Authorities Newsletter, No. 35 ü C.C.C. (South Cambs. Local Development Framework – Gypsy and Traveller Dev. Plan Doc.) ü C.C.C. (Cambs. and Peter'b Minerals and Waste Plan documents: Consultationü South Cambridgeshire (Police) Sector Newsletter ü Mr A. Florence (traffic calming required) ü Grass Cutting quotations x 3 ü C.C.C. (Registration Service in Cambridgeshire) ü InspireEast (regeneration activity in the region) ü The Cambridge and District Community Mediation Service ü Local Works (Campaign for the Sustainable Communities Bill) ü N.A.L.C. Journal (November 2006) ü Globe Watch (advertising for CCTV) ü C.C.C. (booklet on current structure of senior management and positions) ü War Memorials Trust Bulletin (Autumn 2006) ü C.C.C. (Street Lighting Maintenance and energy 2006/2007) ü C.C.C. (congestion in Cambridgeshire) + (listening to views) ü S.C.D.C. (Biodiversity Strategy) ü Clerks & Councils Direct, November 2006 ü Countryside Alliance – Post Offices ü Community Access Point (consumables revenue: £5.00) R. Skeates Funeral Directors (Cemetery fees for the late Teresa Yaxley: £160.00) Ivett & Reed (Memorial application for the late Susan Woods – Clerk approved) N.H.W. (closure of account, balance to Parish Council: £58.31) 9. Bills and Payments \| Payable \| Cheque No. \| Net £ \| V.A.T. £ \| Total £ \| Details \| \|---\|---\|---\|---\|---\|---\| \| P.J. Deards \| 001469 \| \| \| 10 \| Pavilion: plumbing \| \| Wicksteed Leisure Ltd. \| 001470 \| 874.00 \| 152.95 \| 1026.95 \| Rec.Grnd. Whirling Platform parts/installation costs \| \| Revd. A. O’Brien \| 001471 \| \| \| 30 \| Officiant: Funeral Teresa Yaxley \| \| C.P.R.E. \| 001472 \| \| \| 25 \| Local Dev. Frameworks – R.A.S. attended 5.10.06 \| \| Mr G.B. Goodwin \| 001473 \| \| \| 446.67 \| Grass Cutting \| \| Mr G.B. Goodwin \| 001474 \| \| \| 200 \| Cemetery: hedge cutting \| \| Mr R.A. Searles \| 001479 \| 28.99 \| 6.15 \| 35.14 \| Footpath signs: repainting \| LGA = Local Government Act The above payments were approved. Proposed Mr Chamberlain, seconded Mr Borgonon. 9a. Section 137 Payments There were no payments. 10. Councillors' and Clerk's comments with agenda items for next meeting: 7 th December 2006 in The Green Room, Meldreth Village Hall. War Memorial: Mr Chamberlain to clean in preparation for the Service of Remembrance on Sunday 12 th November at 9.30 a.m. Overhanging hedge obscuring speed sign near to No. 19 Whitecroft Road and the pavement near No. 33 Whitecroft Road. Agenda items to date: Precept: 2007 – 2008 Pavilion: (i) repairs to roof (ii) options for improvement/replacement of existing building (iii) payment for hire of Village Hall for meetings Neighbourhood Watch: payment for hire of Village Hall for meetings Melbourn by-pass (lay-by): request for an additional refuse container C.A.L.C. District Association Meeting – 22 nd November 2006 – update Mr Land P.P.P. - update The meeting closed at 10.10 p.m. </text>	[ { "content": "<url>\nhttp://www.meldreth-pc.org.uk/wp-content/uploads/minutes-agendas/mins_2006-11-02.pdf\n</url>\n<text>\nMELDRETH PARISH COUNCIL\n\nMINUTES AS YET UNAPPROVED of Parish Council Meeting held Thursday 2 nd November 2006, 7.30 p.m. in The Green Room, Meldreth Village Hall\n\nPresent:\n\nMr C.A. Land (Chairman)\n\nMr G.V. Borgonon\n\nMr A.P. Burlton\n\nMr S.W.J. Chamberlain\n\nMrs M.P. Course\n\nMrs C.J. Fallon\n\nMr S.J. Hawkins\n\nMr R.A. Searles\n\nMr D. McCraith (Councillor, Cambridgeshire County Council [C.C.C.])\n\n1. Apologies for absence:\n\nMr P.A. Ray\n\nDr S. van de Ven (Councillor, South Cambridgeshire District Council [S.C.D.C.])\n\n2. To sign and approve Minutes of meeting dated 5 th October 2006\n\nThe Minutes were signed as a true record. Proposed Mr Hawkins, seconded Mr Burlton.\n\n3. Members of the public and press are invited to address the Council\n\n8 members were present.\n\nMrs J. Greaves and Mr A. Florence: Speed of traffic along (i) Whitecroft Road and (ii) North End, which has caused damage to garden walls.\n\nMr Borgonon said he had written to the Police asking for speed and enforcement checks and this pressure has to be kept up. A number of suggestions were put forward including humps; where applicable 'concealed exit' notices; 30 m.p.h. signs; speed related traffic lights; the realignment of the road from the railway bridge into Whitecroft Road, making it a left hand turn Mr Land asked if residents would be prepared to report registration numbers to the Police when drivers were exceeding the speed limit.\n\nThe Clerk to write a letter to Mr David Lines, Head of Traffic Management, C.C.C., with copy to Mr McCraith and Andrew Lansley highlighting the increased level of concern to traffic problems in Meldreth. The Parish Council would like the 30 m.p.h. sign moved further along Whitecroft Road to the other side on the Fenny Lane crossroads. This request was made to Mr Lines when he visited Meldreth and he undertook to monitor speeds to assess the feasibility, but nothing has happened. Mr McCraith is to pursue with Highways Department. D.McC./Clerk\n\nMiss M. Hunter: enquired if the Parish Council was aware that S.C.D.C. has commissioned Savills, a firm of Surveyors to undertake a Stock Condition Survey of a sample of its housing to assist the council with assessing future repairs and maintenance requirements. The Parish Council was unaware of this and asked the Clerk to write to S.C.D.C. for further clarification and to be kept informed of any future consultations within Meldreth.\n\nClerk\n\nMr R. Burns: condition of pavements along Elin Way. The Parish Council is of the opinion that repairs will be carried out on completion of building work.\n\n4. Members' declaration of interest for items on the <cursor_is_here>\n\n5. Report from District Councillor\n\nOn behalf of Dr van de Ven, the Clerk read the following report:\n\nFlooding issues: permission has been given to attend a meeting in Melbourn on 15 th November devoted to addressing the serious flooding suffered in several parts of the village in late July. With Meldreth facing some of the same issues - drainage systems overburdened by excessive house building over the decades, increased likelihood of severe weather, and lack of any single authority to tackle the issues, Dr van de Ven is grateful for the opportunity to listen and learn.\n\nMr McCraith supports Dr van de Ven in her efforts to pursue the drainage problem and attending the Melbourn Open Meeting on 15 th November. The Portfolio Holder for C.C.C. will be at the meeting and the proposed updates for the drainage system in Melbourn will be outlined.\n\nCommunal Room update: current users are pleased that the Parish Office will be situated within the Meldreth Sheltered Housing Community building and available for evening meetings. They also welcome the availability of the Community Access Point, with many taking tuition. A meeting with representatives from S.C.D.C., Mr Borgonon, Dr van de Ven and the Clerk will take place on 9 th November at Cambourne.\n\nElin Way: the retrospective planning application for the 4 garages at the new Sheltered Housing Community Room went to Planning Committee on 1 st November. Dr van de Ven argued against officer recommendation to approve, due to the unnecessary height of the building and its proximity to 7 The Grange, to the point where it is\n\nnot possible for S.C.D.C. to provide landscape screening on its own land. Dr van de Ven also stated in strong terms that it was very unfortunate for the planning authority itself to be engaged in a retrospective application and also, that Meldreth Parish Council had approved the earlier application, which was unknowingly based on the wrong drawings.\n\nThe Parish Council and the resident of 7 The Grange should at the very least be given a clear explanation of what happened, because nobody seems to know.\n\nThere was a long debate and strong concern about the retrospective nature of the application with much discussion on the height of the building and the need for landscaping. The vote was 8-7 for refusal of the application, with 4 abstentions.\n\n6. Agenda items\n\n6.1 Grass Cutting – contract for the next 3 years (deferred from previous meeting) Proposed Mrs Course, seconded Mrs Fallon, with all in agreement, that the Parish Council accepts the\n\nquotation from Mr Goodwin for the period March 2007 – October 2009. Clerk to inform Mr Goodwin that the Fenny Lane area should not be cut from mid April until requested. Clerk\n\n6.2 Highway matters - correspondence from Lady Wright and Mr Florence\n\nThe Council discussed the two suggestions from Lady Wright to assist pedestrians near College Farm bend and Fieldgate Nurseries junction. The Clerk to write to Mr Steven Thulborn, standing in for Mr David Lines, Head of Traffic Management, C.C.C., who is on extended sick leave for further advice.\n\nThe Clerk to write to Mr Thulborn for advice on what can be done to reduce speed of traffic along Whitecroft Road and North End. See Item 3 above.\n\n6.3 Precept: 2007 – 2008\n\nThe first draft was discussed. Amendments will be reviewed at the December meeting.\n\n6.4 P.P.P. – Update\n\n(i)\n\nMelbourn by-pass (lay-by): request for an additional refuse container\n\nThe Clerk to enquire from S.C.D.C. if a larger container would be possible. December Agenda item. Clerk\n\nMr Chamberlain asked for volunteers to assist Mr Searles with preparing and re-painting footpath signs.\n\nPossible link between Meads Footpath (No. 6) and Melbourn Recreation Ground. Mr Stephen Marshall, P.P.P. Committee Member, to contact Melbourn and Meldreth residents via the parish magazines to ascertain support.\n\nAt the Committee Meeting held 16 th October, a review of this year's workload was discussed with intended work for 2007, which included a request to C.C.C. to erect a bridge on the Whaddon side of Kingswood Golf Course.\n\nThe next meeting of the Parish Paths Partnership Committee will take place on 11th December in The Green Room of the Village Hall.\n\n(i)\n\nReport from R.A. Searles on the S.C.D.C. Travellers Liaison Forum at th\n\nCambourne on 5 October 2006\n\nThe written report had been circulated to Councillors and a copy sent to the Meldreth Residents Association.\n\n(ii) To consider the Council's response to the consultation on the draft S.C.D.C. 'Issues and Options Report 1' on their proposed method for selecting further Gypsy and Traveller (including Showmen) sites in the district.\n\nProposed Mr Borgonon, seconded Mr Hawkins that Meldreth Parish Council accepts the responses drafted by Mr Searles and circulated to Councillors. This was accepted unanimously and Mr Searles agreed to submit the responses on-line to S.C.D.C. by 24 th November. R.A.S.\n\n6.6 R.A. Searles to report on C.A.L.C. AGM and EGM. held 14 th October 2006\n\nTwo items of interest: one was a presentation by John Findlay, Chief Executive Officer of N.A.L.C. who spoke on the Government White Paper – the reorganising of Local Government, including the enhanced role of Parish Councils. A 'Power of Well-Being' would replace Section 137. Parish Councils could cluster and share facilities with contractors carrying out work, which would particularly benefit small villages.\n\nThe second item discussed the Strategic Review of C.A.L.C. and a new Constitution, which will become the Cambridge and Peterborough Association of Local Councils (C.P.A.L.C.), which would be made up of a two-tier structure with 6 members from each of the district associations to meet 4 times per year\n\n6.5\n\nClerk\n\nMr Land to attend the C.A.L.C. District Association Meeting on 22 nd November.\n\nA.L.\n\n6.7 R.A. Searles to report on C.P.R.E. Workshop on Local Development Frameworks held 5 th October 2006.\n\nThis meeting was useful in understanding the way that L.D.F.s replace Local Plans. S.C.D.C. are unique in producing their L.D.F. as a single thick set of documents because they had only just completed their Local Plan and the G.T.P.D. that will arise from the process being followed under 6.5 (ii) above will become part of the Local Development Framework as will other plans in future as L.D.F.s are 'living documents'.\n\n7. Planning\n\nAmendment:\n\nErection of House to Replace Existing Dwelling and Outbuildings Ref: S/1711/06/F to be Demolished on Completion. Proposed landscaping and boundary treatment 1 Stone Lane Mr & Mrs R.A. Searles Planning Minutes: 02.11.2006\n\nTree work (Tree Preservation Order status)\n\n118 High Street Ref: C/11/40/71\n\nMrs T. O'Malley\n\nPlanning Minutes: 02.11.2006\n\nThe following has been approved by S.C.D.C.:\n\nChange of Use of Land to Garden Land and Conversion of Ref: S/03335/05/F Stables into Additional Bedroom Accommodation at Land Adj. Cornwell House Stone Lane (for N. Davis) Planning Minutes: 02.11.2006\n\nAppeals:\n\nChange of use of land from agricultural to storage and Ref: S/0689/05/F display of external paving materials and erection of 2 buildings for use as showroom and studio Land at Bury Lane Fruit Farm For E.W. Pepper Ltd. Planning Minutes: 02.11.2006\n\nChange of use from repair and maintenance of motor Ref: S/0673/06/F\n\nvehicles to B1 & B8 use\n\nCollege Farm Business Park\n\nFor Cunningham Holdings Ltd.\n\nPlanning Minutes: 02.11.2006\n\nUnapproved Minutes of the recent Planning Committee are displayed on the Parish Council Noticeboard.\n\n8. Correspondence ü = circulated within the Parish Council\n\nC.C.C. (Contact Centre Review) ü\n\nAssociation of Burial Authorities Newsletter, No. 35 ü\n\nC.C.C. (South Cambs. Local Development Framework – Gypsy and Traveller Dev. Plan Doc.) ü\n\nC.C.C. (Cambs. and Peter'b Minerals and Waste Plan documents: Consultationü\n\nSouth Cambridgeshire (Police) Sector Newsletter ü\n\nMr A. Florence (traffic calming required) ü\n\nGrass Cutting quotations x 3 ü\n\nC.C.C. (Registration Service in Cambridgeshire) ü\n\nInspireEast (regeneration activity in the region) ü\n\nThe Cambridge and District Community Mediation Service ü\n\nLocal Works (Campaign for the Sustainable Communities Bill) ü\n\nN.A.L.C. Journal (November 2006) ü\n\nGlobe Watch (advertising for CCTV) ü\n\nC.C.C. (booklet on current structure of senior management and positions) ü\n\nWar Memorials Trust Bulletin (Autumn 2006) ü\n\nC.C.C. (Street Lighting Maintenance and energy 2006/2007) ü\n\nC.C.C. (congestion in Cambridgeshire) + (listening to views) ü\n\nS.C.D.C. (Biodiversity Strategy) ü\n\nClerks & Councils Direct, November 2006 ü\n\nCountryside Alliance – Post Offices ü\n\nCommunity Access Point (consumables revenue: £5.00)\n\nR. Skeates Funeral Directors (Cemetery fees for the late Teresa Yaxley: £160.00)\n\nIvett & Reed (Memorial application for the late Susan Woods – Clerk approved)\n\nN.H.W. (closure of account, balance to Parish Council: £58.31)\n\n9. Bills and Payments\n\n\| Payable \| Cheque No. \| Net £ \| V.A.T. £ \| Total £ \| Details \|\n\|---\|---\|---\|---\|---\|---\|\n\| P.J. Deards \| 001469 \| \| \| 10 \| Pavilion: plumbing \|\n\| Wicksteed Leisure Ltd. \| 001470 \| 874.00 \| 152.95 \| 1026.95 \| Rec.Grnd. Whirling Platform parts/installation costs \|\n\| Revd. A. O’Brien \| 001471 \| \| \| 30 \| Officiant: Funeral Teresa Yaxley \|\n\| C.P.R.E. \| 001472 \| \| \| 25 \| Local Dev. Frameworks – R.A.S. attended 5.10.06 \|\n\| Mr G.B. Goodwin \| 001473 \| \| \| 446.67 \| Grass Cutting \|\n\| Mr G.B. Goodwin \| 001474 \| \| \| 200 \| Cemetery: hedge cutting \|\n\| Mr R.A. Searles \| 001479 \| 28.99 \| 6.15 \| 35.14 \| Footpath signs: repainting \|\n\nLGA = Local Government Act\n\nThe above payments were approved. Proposed Mr Chamberlain, seconded Mr Borgonon.\n\n9a. Section 137 Payments\n\nThere were no payments.\n\n10. Councillors' and Clerk's comments with agenda items for next meeting: 7 th December 2006 in The Green Room, Meldreth Village Hall.\n\nWar Memorial: Mr Chamberlain to clean in preparation for the Service of Remembrance on Sunday 12 th November at 9.30 a.m.\n\nOverhanging hedge obscuring speed sign near to No. 19 Whitecroft Road and the pavement near No. 33 Whitecroft Road.\n\nAgenda items to date:\n\nPrecept: 2007 – 2008\n\nPavilion: (i)\n\nrepairs to roof\n\n(ii) options for improvement/replacement of existing building\n\n(iii)\n\npayment for hire of Village Hall for meetings\n\nNeighbourhood Watch: payment for hire of Village Hall for meetings\n\nMelbourn by-pass (lay-by): request for an additional refuse container\n\nC.A.L.C. District Association Meeting – 22\n\nnd\n\nNovember 2006 – update Mr Land\n\nP.P.P. - update\n\nThe meeting closed at 10.10 p.m.\n</text>\n", "role": "user" }, { "content": "agenda, which may cause a conflict of interest\n\nThere were no declarations.", "role": "assistant" } ]
Evaluation of the Effects of On-Demand Dynamic Transportation of Employees to Their Workplaces in Ljubljana Marko Bohanec [email protected] Jožef Stefan Institute, Department of Knowledge Technologies Jamova cesta 39 Ljubljana, Slovenia Marko Guček [email protected] GoOpti d.o.o. Ljubljana, Slovenia Davor Kontić [email protected] Jožef Stefan Institute, Department of Environmental Sciences and Centre for Participatory Research Karina Sirk [email protected] Institute for Spatial Policies Ljubljana, Slovenia Bernard Ženko [email protected] Jožef Stefan Institute, Department of Knowledge Technologies Martin Žnidaršič [email protected] Jožef Stefan Institute, Department of Knowledge Technologies ABSTRACT On-demand dynamic transportation is an innovative information-technology supported service that enables passengers to book and configure their rides. It is foreseen as a promising service to improve the sustainable mobility of citizens and alleviate traffic problems. In this paper, we present the results of a three-month pilot implementation of dynamic transportation of employees from their homes to their workplaces. The transports were managed by the company GoOpti, d.o.o., they were free and took place using vans on the routes connecting the cities Kamnik and Kranj with two areas (BTC and UKC) in Ljubljana. The project was very successful in terms of sustainable mobility: it attracted users that normally drive passenger cars, travel times were comparable to conventional modes of transportation and users were very satisfied with the service, while substantially reducing (from 30% to 70%) the harmful emissions of CO₂, NO₃ and solid particles. However, two challenges for the future still remain: improving the occupancy rate of vehicles and bridging the gap between the economic price and users’ willingness to pay for the service. KEYWORDS sustainable mobility, on-demand dynamic transport, employee transportation, Ljubljana Urban Region 1 INTRODUCTION Within the last thirty years information technologies (IT) profoundly changed many aspects of our life and the society. IT provide us with tools that enable creation of new services, which have the potential to significantly improve our every day lives. One of such services is on-demand dynamic passenger transport [11], which typically makes use of vans or mini busses that operate without fixed itineraries or fixed stops, enabling passengers to book their ride and select their pick up and drop off locations. On-demand dynamic transport bridges the gap between the conventional public transport and private car transport, and promises to reduce green house gas and other pollutant emissions, improve modal split, reduce traffic congestions and alleviate related problems. The focus of this paper are not the IT needed to implement an on-demand dynamic transport (e.g., mobile apps, databases, scheduling and optimization systems), but rather we present the results of a real life evaluation of such a system that has been carried out in Ljubljana Urban Region, Slovenia, within the SmartMOVE project [10]. SmartMOVE addresses the challenges of sustainable mobility in the Ljubljana Urban Region with the capital city of Ljubljana, which is the primary destination of daily migration flows in Slovenia. The aim of this study is to answer two questions that are crucial if such a service is to be implemented in practice: (1) Can on-demand dynamic transport really help in reducing harmful emissions and traffic congestion? and (2) Under what conditions can such a service sustainably operate in a given economic environment? It is important to note that before this study no evaluation of on-demand dynamic passenger transport in comparable environments has been done, and its benefits and limitations used to be assessed only theoretically through simulations [1]. 2 RELATED WORK Ljubljana is home to over 220,000 jobs, which accounts for over 25% of all jobs in Slovenia. As a result, over 120,000 people flock to Ljubljana daily from elsewhere. This means approximately 100,000 vehicles entering and exiting Ljubljana on a daily basis (with an average occupancy of vehicles at 1.2 pers/car). Since the majority of this is associated to the personal car transport, the main goal is to transfer the car drivers/passengers to public transport. However, the road public transport is faced with the same problems as car transport – congestions due to absence of dedicated lanes, low travel speeds, poor occupation of vehicles. The problem of public transport in Ljubljana was tackled by studies that focused on various aspects. Some of them outline the overall context of the problem and the related phenomena [4]. The current public transport organization in Ljubljana is reflected well in a paper that describes the public transport plans from a decade ago [6]. There are studies about the state of the public transport in Ljubljana, such as accessibility [12], speed [7], studies about the effects of public transport management measures [13] and about its potential future developments. On-demand dynamic transportation, which is in the focus of this paper, shares several characteristics with carpooling [14]. However, we could find no previous studies about on-demand dynamic transportation in Ljubljana and even in general, the studies of on-demand dynamic transportation are to a large extent dedicated to theoretical models [8, 5] and simulations [2, 1]. A good showcase of dynamic transport practices are the on-demand airport shuttles, which have indicated a potential solution to the downsides of regular public lines; they support the users’ needs and commodity as one of the most important factors for choosing the preferred means of transport. 3 STUDY DESIGN The main objective of this pilot study was to test using on-demand dynamic transportation of employees as a sustainable alternative to existing modes of transport, especially in comparison with using passenger cars. The study took place in the trial period from February to April 2023, when selected passengers were transported free of charge by the company GoOpti, d.o.o., employing vans that can carry up to eight passengers. Transportation costs were covered from the SmartMOVE project. Two pilot routes were established that connected two nearby cities Kamnik (14,000 inhabitants, about 23 km from Ljubljana) and Kranj (38,000, 28 km) with the areas of two large employer organisations located in Ljubljana: UKC and BTC. UKC, the University Medical Centre of Ljubljana, is with 8,000 employees the largest employer in Slovenia; daily, it is visited by additional 20,000 people. BTC, the Business Trade Centre, is the largest shopping area in Slovenia. It does not have many direct public transportation links, but is located close to a highway, inducing high volumes of car traffic. Before the study, the opportunity to join the experiment was advertised using different channels, particularly in the UKC and BTC areas. Among more than 500 interested individuals, 131 were eventually selected and invited to participate. All the operation, including the IT solution, customer management and logistics, was carried out by the project partner GoOpti. Two data sources were collected during the study: - Traffic data: Collected by GoOpti while providing the service. This included detailed data about the travelled routes (distances, times and GPS locations) and provided services (anonymized individual user’s rides). - User survey: Collected using a survey questionnaire once per each individual user at the end of the study period. The questions mainly addressed users’ current mobility habits (with more detailed questions for users using cars) and their experience with the service. A full version of the questionnaire (in Slovene language) is available in [3]. Using this data, we carried out the following analyses: basic traffic and demographical statistics, average occupancy of vans and individual users’ rides, users’ current mobility habits, and user satisfaction with and willingness to pay for the service. By combining the data sources, we estimated the differences between the current and dynamic means of transportation in terms of travelling time and contribution to lower emissions of CO$_2$, NO$_x$ (nitrogen oxides) and PM10 (particles with a diameter of 10 µm or less). In order to assess environmental burdens, we analyzed the difference in air emissions between the “BaU - Business-as-Usual” scenario (i.e., trips without the introduction of dynamic transport) and the GoOpti service. We took into account the distances traveled by the types of transport that users used before the introduction of GoOpti: mainly driving passenger cars of different types (gasoline, diesel), taking into account the age of the vehicles and corresponding average emissions. Data sources included the Statistical Yearbook of the Republic of Slovenia [9] and EU emission standards (EURO standards$^1$). We considered the users’ distances from home to workplace and the number of journeys they would have made if dynamic transport had not been employed. As a weighting factor for the calculation, we considered whether the users mainly drive with personal vehicles (several times a week) or perhaps combine the drives with other modes of transportation to work (public passenger transport, bicycle, etc.). The emission factors for GoOpti vehicles were obtained from the manufacturer’s specifications. 4 RESULTS 4.1 Traffic Data Analysis Traffic statistics. In three months of the pilot study, there were 2,629 rides of the total distance of 66,199 km and time of 1,915 hours (almost 32 days). Here, each “ride” means picking up the passengers at one or more origin locations and dropping them down at one or more destination locations. Table 1 shows, grouped by the routes and in total, the total number of passengers and average ride distances, times, speed and vehicle occupations. The term “passenger” refers to one ride of a single person. User statistics. The service was used by 131 individual users, who used the service daily or less. The most active user used the service 121 times, and the average was 54.88 times per user. Female users prevailed over males (73% vs. 27%). The prevailing age groups were 31–42 (43%) and 45–64 (46%), while the distribution of users’ education levels was close to uniform. Vehicle occupancy. As large as possible vehicle occupancy is essential for the effectiveness of dynamic transportation. Figure 1 displays the occupancy achieved in the study. 4.2 User Survey Analysis The survey was completed by users at the end of the trial period, so that each user completed the survey at most once. Out of the 131 users, the completed survey was submitted by 88: 30 travelling from/to Kranj and 58 in the Kamnik direction. Current mobility habits. Figure 2 shows relative proportions of transportation modes used by the survey respondents. The prevailing mode is using personal cars: 70% as sole drivers and 20% as fellow passengers. The train and city bus come next at approximately 30% each, the bicycle at 10%, while the remaining modes are barely indicated. Both routes exhibit similar usage patterns. The respondents that use cars estimated their average occupancy at 1.37 per ride. Most of the cars have diesel or gasoline engines (about 45% each). Hybrid and electric cars account only for about 2%. The average age of cars is 9.15 years (7.28 on route Kranj and 10.04 on route Kamnik). User satisfaction. The users were generally very satisfied with the service. They most appreciated the easiness and comfort of --- $^1$Euro 1 (1992): 91/441/EEC, 93/59/EEC; Euro 2 (1996): 94/12/EC, 96/69/EC; Euro 3 (2000): 98/69/EC; Euro 4 (2005): 98/69/EC (& 2002/80/EC); Euro 5 (2009): 715/2007/EC; Euro 6 (2014) this mode of transport, its reliability, the proximity of stations, the possibility to effectively use the time for themselves and the fact that they did not need to search for the parking place. Complaints, on the other hand, were scarce and mainly addressed too long collection/drop-off times, variable collection times and the need to check the collection information every day. When asked to compare their usual means of transportation with the dynamic one (Figure 3), they evaluated the latter better in all points except the flexibility. It is very likely (on average 9 on the 0–10 scale) that the respondents will recommend the service to their friends and relatives. Willingness to pay. When asked about their willingness to pay for the service, the average response was about 70€ per month (64€ for Kamnik and 86€ for Kranj). ### 4.3 Comparison of Traveling Times We compared the time of traveling between the dynamic transportation and the usual modes of respondents’ transportation. We used both data sources. It should be noted that the comparison includes only passengers who have completed the survey (otherwise we have no information about their normal time traveling time). Additionally, we had to exclude two respondents because of a mismatch with traffic data. Traffic data do not include any time of walking and waiting for a van. The survey data was collected only once for each passenger ($n = 86$), while there was substantially more traffic data (5,476 passenger rides). Therefore, there is a substantial difference in the amount and quality of the data, and a cautious interpretation is advised. Results are shown in Table 2. Considering all entry locations, except Kamnik, the dynamic rides are faster (in average by 6.15 minutes). This comparison is not entirely fair because the dynamic transportation times do not include possible waiting and walking times, but we can safely assume that the times are at least comparable. ### 4.4 Analysis of Environmental Burdens The analysis of the environmental burdens focused on CO$_2$ and NO$_x$ emissions and particulate matter (PM) for human health reasons. The results in Table 3 show a significant reduction in CO$_2$ emissions after the introduction of the dynamic transportation service: reduction of emissions by approximately 27%, or over 50% in case of higher occupancy/exclusive use of the dynamic service. Similar reductions are also expected with NO$_x$ (26% to 68%) and PM (27% to 79%). It is important to emphasize that Table 3: Comparison of CO$_2$, NO$_x$ and PM emissions. \| \| BaU \| Dynamic (weighted) \| Dynamic (total) \| \|----------------\|-------\|--------------------\|-----------------\| \| CO$_2$ [t] \| 23.90 \| 17.30 (-27%) \| 10.90 (-54%) \| \| NO$_x$ [kg] \| 23.21 \| 17.20 (-26%) \| 5.30 (-69%) \| \| PM [kg] \| 1.44 \| 1.05 (-27%) \| 0.30 (-79%) \| the absolute values of PM particle emissions are low, since the average vehicle age is about 9 years, when the minimum emission standards for solid particles have already been introduced. Generally, the results show a significant reduction in emissions when implementing the dynamic transport compared to the BaU scenario. However, it should be noted that the data refer to the average number of users and that these may vary depending on vehicle occupancy, driving dynamics (driving speed), road conditions (e.g., duration of traffic jams), etc. These are preliminary estimates that do not yet take into account possible errors in data collection and interpretation of uncertainty. The numbers/results correspond to the implementation of the pilot project only – the potential up-scaling analysis would show the actual potential of such measures for solving the urban mobility issues. 5 CONCLUSIONS The results of this pilot study confirm that on-demand dynamic transportation of employees to their jobs has a great potential for improving the sustainable mobility in the Ljubljana Urban Region. As part of the pilot project, which was taking place from the 1st February 2023 to 28th April 2023, 2,629 van rides were carried out with a total length of 66,199 km and a total duration of almost 32 days. The average ride was about 25 km long and lasted 44 minutes. 131 individual users were involved, who made a total of 7,182 individual commutes. Some used the service in both directions on a daily basis, others less often. Most users of the service (about 70%) usually use a passenger car for their transport to work. The transition to dynamic transportation puts all these cars “off the road”, while only moderately competes with other forms of public transportation. This also causes a significant reduction in harmful emissions of CO$_2$, NO$_x$ and solid particles into the environment: from 30% to 70%, depending on the substance and transportation. Also, the dynamic transportation is comparable with other modes of transportation considering the speed and time spent. The satisfaction of users was also highly positive, as they liked that somebody else took care of their everyday commute to work, which was done without stress, accurately and reliably. They especially appreciated the “door-to-door” aspect and avoiding the search for a parking lot. However, from the data collected we cannot actually determine to which extent was the users’ enthusiasm caused by the fact that the transport was free of charge during the pilot study. Two problems were identified that might jeopardize the permanent operation of the dynamic transportation. The average occupancy of the vehicles was only around 2.73 passengers per ride (34% of 8 seats). Of the two routes, Kamnik and Kranj, the former were better occupied – by almost one passenger in average per ride. According to GoOpti [3], a higher occupancy (75%) could be achieved during the traffic peak times around the city of Domžale, which lies halfway to Kamnik. Another problem is the price that the users are willing to pay for the service, which amounts to around 70€ per month. This is significantly less than the economic price estimated at 250€ at 50% occupancy and 160€ at 75% [3]. It seems that car users are not really aware of the actual costs and underestimate their expenses for commuting to work. Better awareness of users would be needed on the costs and environmental impacts of different transportation modes. In summary, dynamic transportation seems a feasible and effective alternative to using cars for commuting to work. However, in Slovenia, it requires a careful consideration, at the levels of communities, cities, regions and the whole country, of how to attract the users and support the transition to this and other sustainable transportation means. In perspective, it will also require intelligent software for supporting the service. The tasks that are particularly interesting for applying artificial intelligence methods, include the prediction of customers’ requests, optimization of costs and dynamic planning of routes. ACKNOWLEDGMENTS This work has been funded by the SmartMOVE project, which is co-financed by Iceland, Lichtenstein and Norway funds from the EEA Financial Mechanism and corresponding Slovenian participation within the Climate Change Mitigation and Adaptation programme in the amount of 1 609 167€. The contents of this document are the sole responsibility of the authors and can in no way be taken to reflect the views of the Climate Change Mitigation and Adaption Program Authority. The authors also acknowledge the financial support from the Slovenian Research Agency for research core funding for the programme Knowledge Technologies (No. P2-0103). REFERENCES [1] Claudia Archetti, M. Grazia Speranza, and Dennis Weyland. 2017. A simulation study of an on-demand transportation system. International transactions in operational research, 25, 4, 1137–1161. DOI: 10.1111/itor.12476. [2] Carlos Lima Azevedo et al. 2016. Microsimulation of demand and supply of autonomous vehicles on demand. Transportation Research Record, 2564, 1, 21–30. DOI: 10.3141/2564-03. [3] Marko Bohanec, Marko Gucek, Davor Kontić, Karina Širk, Bernard Ženko, and Martin Znidarič. 2023. Vrednotenje učinkov dinamičnih skupinskih prevozov zaposlenih na delovna mesta. Tech. rep. Institut Jožef Stefan, Delovno poročilo DP-14427 (in Slovene), Ljubljana, Slovenia. [4] David Bole, Matej Gabrovec, Janez Nared, and Nika Razpotnik Visković. 2012. Integrated planning of public passenger transport between the city and the region: the case of ljubljana. Acta geographica Slovenica, 52, 1, 141–163. [5] Malcolm Egan and Michal Jakob. 2016. Market mechanism design for profitable on-demand transport services. Transportation Research Part B: Methodological, 89, 178–195. DOI: https://doi.org/10.1016/j.trb.2016.04.020. [6] Cvetko Gregorec and David Krivic. 2012. Network of public passenger transport services – a step towards sustainable mobility in ljubljana urban region. Procedia-Social and Behavioral Sciences, 48, 3009–3017. [7] Simon Kohlar and Luka Mladenović. 2020. Calculating the speed of city bus trips: the case of ljubljana, slovenia. Urban izviri, 31, 1, 112–122. [8] Wengen Li, Jianrong Cao, Jihong Guan, Shuigeng Zhou, Guangning Liang, Winkun Y. So, and Michal Szczecinski. 2019. A general framework for unmet demand prediction in on-demand transportation services. IEEE Transactions on Intelligent Transportation Systems, 20, 8, 2826–2837. [9] Statistical Office RS. 2023. Statistical yearbook of RS, accessed on 23.8.2023, (2023). https://www.stat.si/Pages/en/goals/goal-12-ensure-sustainable-consumption-and-production-patterns/12.5-average-co2-emissions-per-km-from-new-passenger-cars/. [10] SmartMOVE. 2022–24. Smart mobility measures for sustainable mobility in slovenia, provided by iceland, lichtenstein and norway funds from the eea financial mechanism and the norwegian financial mechanism (2022–24). https://kt.ijs.si/project/smartmove/. [11] Amirmahdi Tareshian, Neda Masoud, and Yafeng Yin. 2020. Frontiers in service science: ride matching for peer-to-peer ride sharing: a review and future directions. Service Science, 12, 2, 3–4, 44–60. DOI: 10.1287/serv.2020.0258. [12] Jernej Tiran, Luka Mladenović, and Simon Kohlar. 2015. Accessibility to public transport along the ptvl method: the case of ljubljana. Geodetski Vestnik, 59, 4, 723–733. [13] G. Titos, H. Iyamani, L. Drinovec, F.J. Olmo, G. Močnik, and L. Alados-Arboledas. 2015. Evaluation of the impact of transportation changes on air quality. Atmospheric Environment, 114, 19–31. [14] Steve Wright, John D. Nelson, and Caitlin D Cottrill. 2020. Maas for the suburban market: incorporating carpooling in the mix. Transportation Research Part A: Policy and Practice, 131, 206–218. Slovenska konferenca o umetni inteligenci Slovenian Conference on Artificial Intelligence Uredniki / Editors Mitja Luštrek, Matjaž Gams, Rok Piltaver http://is.ijs.si 12. oktober 2023 / 12 October 2023 Ljubljana, Slovenia	41964f48-7235-4d14-a1c5-5f45af304af1	CC-MAIN-2023-50	https://kt.ijs.si/MarkoBohanec/pub/2023_IS_SmartMOVE.pdf	2023-12-07T17:54:52+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-50/subset=warc/part-00154-e565b809-b335-4c1d-90fd-54a9a2b7113d.c000.gz.parquet	415,790,558	5,195	eng_Latn	eng_Latn	0.795134	eng_Latn	0.993629	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "slv_Latn" ]	true	docling	[ 5320, 11920, 14431, 22714, 22940 ]	Evaluation of the Effects of On-Demand Dynamic Transportation of Employees to Their Workplaces in Ljubljana Marko Bohanec [email protected] Jožef Stefan Institute, Department of Knowledge Technologies Jamova cesta 39 Ljubljana, Slovenia Marko Guček [email protected] GoOpti d.o.o. Ljubljana, Slovenia Davor Kontić [email protected] Jožef Stefan Institute, Department of Environmental Sciences and Centre for Participatory Research Karina Sirk [email protected] Institute for Spatial Policies Ljubljana, Slovenia Bernard Ženko [email protected] Jožef Stefan Institute, Department of Knowledge Technologies Martin Žnidaršič [email protected] Jožef Stefan Institute, Department of Knowledge Technologies ABSTRACT On-demand dynamic transportation is an innovative information-technology supported service that enables passengers to book and configure their rides. It is foreseen as a promising service to improve the sustainable mobility of citizens and alleviate traffic problems. In this paper, we present the results of a three-month pilot implementation of dynamic transportation of employees from their homes to their workplaces. The transports were managed by the company GoOpti, d.o.o., they were free and took place using vans on the routes connecting the cities Kamnik and Kranj with two areas (BTC and UKC) in Ljubljana. The project was very successful in terms of sustainable mobility: it attracted users that normally drive passenger cars, travel times were comparable to conventional modes of transportation and users were very satisfied with the service, while substantially reducing (from 30% to 70%) the harmful emissions of CO₂, NO₃ and solid particles. However, two challenges for the future still remain: improving the occupancy rate of vehicles and bridging the gap between the economic price and users’ willingness to pay for the service. KEYWORDS sustainable mobility, on-demand dynamic transport, employee transportation, Ljubljana Urban Region 1 INTRODUCTION Within the last thirty years information technologies (IT) profoundly changed many aspects of our life and the society. IT provide us with tools that enable creation of new services, which have the potential to significantly improve our every day lives. One of such services is on-demand dynamic passenger transport [11], which typically makes use of vans or mini busses that operate without fixed itineraries or fixed stops, enabling passengers to book their ride and select their pick up and drop off locations. On-demand dynamic transport bridges the gap between the conventional public transport and private car transport, and promises to reduce green house gas and other pollutant emissions, improve modal split, reduce traffic congestions and alleviate related problems. The focus of this paper are not the IT needed to implement an on-demand dynamic transport (e.g., mobile apps, databases, scheduling and optimization systems), but rather we present the results of a real life evaluation of such a system that has been carried out in Ljubljana Urban Region, Slovenia, within the SmartMOVE project [10]. SmartMOVE addresses the challenges of sustainable mobility in the Ljubljana Urban Region with the capital city of Ljubljana, which is the primary destination of daily migration flows in Slovenia. The aim of this study is to answer two questions that are crucial if such a service is to be implemented in practice: (1) Can on-demand dynamic transport really help in reducing harmful emissions and traffic congestion? and (2) Under what conditions can such a service sustainably operate in a given economic environment? It is important to note that before this study no evaluation of on-demand dynamic passenger transport in comparable environments has been done, and its benefits and limitations used to be assessed only theoretically through simulations [1]. 2 RELATED WORK Ljubljana is home to over 220,000 jobs, which accounts for over 25% of all jobs in Slovenia. As a result, over 120,000 people flock to Ljubljana daily from elsewhere. This means approximately 100,000 vehicles entering and exiting Ljubljana on a daily basis (with an average occupancy of vehicles at 1.2 pers/car). Since the majority of this is associated to the personal car transport, the main goal is to transfer the car drivers/passengers to public transport. However, the road public transport is faced with the same problems as car transport – congestions due to absence of dedicated lanes, low travel speeds, poor occupation of vehicles. The problem of public transport in Ljubljana was tackled by studies that focused on various aspects. Some of them outline the overall context of the problem and the related phenomena [4]. The current public transport organization in Ljubljana is reflected well in a paper that describes the public transport plans from a decade ago [6]. There are studies about the state of the public transport in Ljubljana, such as accessibility [12], speed [7], studies about the effects of public transport management measures [13] and about its potential future developments. On-demand dynamic transportation, which is in the focus of this paper, shares several characteristics with carpooling [14]. However, we could find no previous studies about on-demand dynamic transportation in Ljubljana and even in general, the studies of on-demand dynamic transportation are to a large extent dedicated to theoretical models [8, 5] and simulations [2, 1]. A good showcase of dynamic transport practices are the on-demand airport shuttles, which have indicated a potential solution to the downsides of regular public lines; they support the users’ needs and commodity as one of the most important factors for choosing the preferred means of transport. 3 STUDY DESIGN The main objective of this pilot study was to test using on-demand dynamic transportation of employees as a sustainable alternative to existing modes of transport, especially in comparison with using passenger cars. The study took place in the trial period from February to April 2023, when selected passengers were transported free of charge by the company GoOpti, d.o.o., employing vans that can carry up to eight passengers. Transportation costs were covered from the SmartMOVE project. Two pilot routes were established that connected two nearby cities Kamnik (14,000 inhabitants, about 23 km from Ljubljana) and Kranj (38,000, 28 km) with the areas of two large employer organisations located in Ljubljana: UKC and BTC. UKC, the University Medical Centre of Ljubljana, is with 8,000 employees the largest employer in Slovenia; daily, it is visited by additional 20,000 people. BTC, the Business Trade Centre, is the largest shopping area	in Slovenia.		6,789	end_of_word	area	remove_all	<url> https://kt.ijs.si/MarkoBohanec/pub/2023_IS_SmartMOVE.pdf </url> <text> Evaluation of the Effects of On-Demand Dynamic Transportation of Employees to Their Workplaces in Ljubljana Marko Bohanec [email protected] Jožef Stefan Institute, Department of Knowledge Technologies Jamova cesta 39 Ljubljana, Slovenia Marko Guček [email protected] GoOpti d.o.o. Ljubljana, Slovenia Davor Kontić [email protected] Jožef Stefan Institute, Department of Environmental Sciences and Centre for Participatory Research Karina Sirk [email protected] Institute for Spatial Policies Ljubljana, Slovenia Bernard Ženko [email protected] Jožef Stefan Institute, Department of Knowledge Technologies Martin Žnidaršič [email protected] Jožef Stefan Institute, Department of Knowledge Technologies ABSTRACT On-demand dynamic transportation is an innovative information-technology supported service that enables passengers to book and configure their rides. It is foreseen as a promising service to improve the sustainable mobility of citizens and alleviate traffic problems. In this paper, we present the results of a three-month pilot implementation of dynamic transportation of employees from their homes to their workplaces. The transports were managed by the company GoOpti, d.o.o., they were free and took place using vans on the routes connecting the cities Kamnik and Kranj with two areas (BTC and UKC) in Ljubljana. The project was very successful in terms of sustainable mobility: it attracted users that normally drive passenger cars, travel times were comparable to conventional modes of transportation and users were very satisfied with the service, while substantially reducing (from 30% to 70%) the harmful emissions of CO₂, NO₃ and solid particles. However, two challenges for the future still remain: improving the occupancy rate of vehicles and bridging the gap between the economic price and users’ willingness to pay for the service. KEYWORDS sustainable mobility, on-demand dynamic transport, employee transportation, Ljubljana Urban Region 1 INTRODUCTION Within the last thirty years information technologies (IT) profoundly changed many aspects of our life and the society. IT provide us with tools that enable creation of new services, which have the potential to significantly improve our every day lives. One of such services is on-demand dynamic passenger transport [11], which typically makes use of vans or mini busses that operate without fixed itineraries or fixed stops, enabling passengers to book their ride and select their pick up and drop off locations. On-demand dynamic transport bridges the gap between the conventional public transport and private car transport, and promises to reduce green house gas and other pollutant emissions, improve modal split, reduce traffic congestions and alleviate related problems. The focus of this paper are not the IT needed to implement an on-demand dynamic transport (e.g., mobile apps, databases, scheduling and optimization systems), but rather we present the results of a real life evaluation of such a system that has been carried out in Ljubljana Urban Region, Slovenia, within the SmartMOVE project [10]. SmartMOVE addresses the challenges of sustainable mobility in the Ljubljana Urban Region with the capital city of Ljubljana, which is the primary destination of daily migration flows in Slovenia. The aim of this study is to answer two questions that are crucial if such a service is to be implemented in practice: (1) Can on-demand dynamic transport really help in reducing harmful emissions and traffic congestion? and (2) Under what conditions can such a service sustainably operate in a given economic environment? It is important to note that before this study no evaluation of on-demand dynamic passenger transport in comparable environments has been done, and its benefits and limitations used to be assessed only theoretically through simulations [1]. 2 RELATED WORK Ljubljana is home to over 220,000 jobs, which accounts for over 25% of all jobs in Slovenia. As a result, over 120,000 people flock to Ljubljana daily from elsewhere. This means approximately 100,000 vehicles entering and exiting Ljubljana on a daily basis (with an average occupancy of vehicles at 1.2 pers/car). Since the majority of this is associated to the personal car transport, the main goal is to transfer the car drivers/passengers to public transport. However, the road public transport is faced with the same problems as car transport – congestions due to absence of dedicated lanes, low travel speeds, poor occupation of vehicles. The problem of public transport in Ljubljana was tackled by studies that focused on various aspects. Some of them outline the overall context of the problem and the related phenomena [4]. The current public transport organization in Ljubljana is reflected well in a paper that describes the public transport plans from a decade ago [6]. There are studies about the state of the public transport in Ljubljana, such as accessibility [12], speed [7], studies about the effects of public transport management measures [13] and about its potential future developments. On-demand dynamic transportation, which is in the focus of this paper, shares several characteristics with carpooling [14]. However, we could find no previous studies about on-demand dynamic transportation in Ljubljana and even in general, the studies of on-demand dynamic transportation are to a large extent dedicated to theoretical models [8, 5] and simulations [2, 1]. A good showcase of dynamic transport practices are the on-demand airport shuttles, which have indicated a potential solution to the downsides of regular public lines; they support the users’ needs and commodity as one of the most important factors for choosing the preferred means of transport. 3 STUDY DESIGN The main objective of this pilot study was to test using on-demand dynamic transportation of employees as a sustainable alternative to existing modes of transport, especially in comparison with using passenger cars. The study took place in the trial period from February to April 2023, when selected passengers were transported free of charge by the company GoOpti, d.o.o., employing vans that can carry up to eight passengers. Transportation costs were covered from the SmartMOVE project. Two pilot routes were established that connected two nearby cities Kamnik (14,000 inhabitants, about 23 km from Ljubljana) and Kranj (38,000, 28 km) with the areas of two large employer organisations located in Ljubljana: UKC and BTC. UKC, the University Medical Centre of Ljubljana, is with 8,000 employees the largest employer in Slovenia; daily, it is visited by additional 20,000 people. BTC, the Business Trade Centre, is the largest shopping area<cursor_is_here> </text>	[ { "content": "<url>\nhttps://kt.ijs.si/MarkoBohanec/pub/2023_IS_SmartMOVE.pdf\n</url>\n<text>\nEvaluation of the Effects of On-Demand Dynamic Transportation of Employees to Their Workplaces in Ljubljana\n\nMarko Bohanec \[email protected] \nJožef Stefan Institute, Department of Knowledge Technologies \nJamova cesta 39 \nLjubljana, Slovenia\n\nMarko Guček \[email protected] \nGoOpti d.o.o. \nLjubljana, Slovenia\n\nDavor Kontić \[email protected] \nJožef Stefan Institute, Department of Environmental Sciences and Centre for Participatory Research\n\nKarina Sirk \[email protected] \nInstitute for Spatial Policies \nLjubljana, Slovenia\n\nBernard Ženko \[email protected] \nJožef Stefan Institute, Department of Knowledge Technologies\n\nMartin Žnidaršič \[email protected] \nJožef Stefan Institute, Department of Knowledge Technologies\n\nABSTRACT\n\nOn-demand dynamic transportation is an innovative information-technology supported service that enables passengers to book and configure their rides. It is foreseen as a promising service to improve the sustainable mobility of citizens and alleviate traffic problems. In this paper, we present the results of a three-month pilot implementation of dynamic transportation of employees from their homes to their workplaces. The transports were managed by the company GoOpti, d.o.o., they were free and took place using vans on the routes connecting the cities Kamnik and Kranj with two areas (BTC and UKC) in Ljubljana. The project was very successful in terms of sustainable mobility: it attracted users that normally drive passenger cars, travel times were comparable to conventional modes of transportation and users were very satisfied with the service, while substantially reducing (from 30% to 70%) the harmful emissions of CO₂, NO₃ and solid particles. However, two challenges for the future still remain: improving the occupancy rate of vehicles and bridging the gap between the economic price and users’ willingness to pay for the service.\n\nKEYWORDS\n\nsustainable mobility, on-demand dynamic transport, employee transportation, Ljubljana Urban Region\n\n1 INTRODUCTION\n\nWithin the last thirty years information technologies (IT) profoundly changed many aspects of our life and the society. IT provide us with tools that enable creation of new services, which have the potential to significantly improve our every day lives. One of such services is on-demand dynamic passenger transport [11], which typically makes use of vans or mini busses that operate without fixed itineraries or fixed stops, enabling passengers to book their ride and select their pick up and drop off locations. On-demand dynamic transport bridges the gap between the conventional public transport and private car transport, and promises to reduce green house gas and other pollutant emissions, improve modal split, reduce traffic congestions and alleviate related problems.\n\nThe focus of this paper are not the IT needed to implement an on-demand dynamic transport (e.g., mobile apps, databases, scheduling and optimization systems), but rather we present the results of a real life evaluation of such a system that has been carried out in Ljubljana Urban Region, Slovenia, within the SmartMOVE project [10]. SmartMOVE addresses the challenges of sustainable mobility in the Ljubljana Urban Region with the capital city of Ljubljana, which is the primary destination of daily migration flows in Slovenia.\n\nThe aim of this study is to answer two questions that are crucial if such a service is to be implemented in practice: (1) Can on-demand dynamic transport really help in reducing harmful emissions and traffic congestion? and (2) Under what conditions can such a service sustainably operate in a given economic environment? It is important to note that before this study no evaluation of on-demand dynamic passenger transport in comparable environments has been done, and its benefits and limitations used to be assessed only theoretically through simulations [1].\n\n2 RELATED WORK\n\nLjubljana is home to over 220,000 jobs, which accounts for over 25% of all jobs in Slovenia. As a result, over 120,000 people flock to Ljubljana daily from elsewhere. This means approximately 100,000 vehicles entering and exiting Ljubljana on a daily basis (with an average occupancy of vehicles at 1.2 pers/car). Since the majority of this is associated to the personal car transport, the main goal is to transfer the car drivers/passengers to public transport. However, the road public transport is faced with the same problems as car transport – congestions due to absence of dedicated lanes, low travel speeds, poor occupation of vehicles.\n\nThe problem of public transport in Ljubljana was tackled by studies that focused on various aspects. Some of them outline the overall context of the problem and the related phenomena [4]. The current public transport organization in Ljubljana is reflected well in a paper that describes the public transport plans from a decade ago [6]. There are studies about the state of the public transport in Ljubljana, such as accessibility [12], speed [7], studies about the effects of public transport management measures [13] and about its potential future developments.\n\nOn-demand dynamic transportation, which is in the focus of this paper, shares several characteristics with carpooling [14]. However, we could find no previous studies about on-demand\n\ndynamic transportation in Ljubljana and even in general, the studies of on-demand dynamic transportation are to a large extent dedicated to theoretical models [8, 5] and simulations [2, 1]. A good showcase of dynamic transport practices are the on-demand airport shuttles, which have indicated a potential solution to the downsides of regular public lines; they support the users’ needs and commodity as one of the most important factors for choosing the preferred means of transport.\n\n3 STUDY DESIGN\n\nThe main objective of this pilot study was to test using on-demand dynamic transportation of employees as a sustainable alternative to existing modes of transport, especially in comparison with using passenger cars. The study took place in the trial period from February to April 2023, when selected passengers were transported free of charge by the company GoOpti, d.o.o., employing vans that can carry up to eight passengers. Transportation costs were covered from the SmartMOVE project. Two pilot routes were established that connected two nearby cities Kamnik (14,000 inhabitants, about 23 km from Ljubljana) and Kranj (38,000, 28 km) with the areas of two large employer organisations located in Ljubljana: UKC and BTC. UKC, the University Medical Centre of Ljubljana, is with 8,000 employees the largest employer in Slovenia; daily, it is visited by additional 20,000 people. BTC, the Business Trade Centre, is the largest shopping area<cursor_is_here>\n</text>\n", "role": "user" }, { "content": " in Slovenia.", "role": "assistant" } ]
Strapdown Inertial Navigation Technology 2nd Edition By David Titterton Modern inertial sensors and systems cover more than five decades of continuous research and development involving various branches of science and engineering. Various technologies have emerged in an evolutionary manner surpassing the earlier ones in performance and reliability. The subject is still growing with proliferation in newer cost effec-tive applications, while its wider usage in aerospace systems continues. This book exposes the readers to the subject of inertial navigation, the inertial sensors and inertial systems in a unified manner while emphasizing the growth areas in emerging technologies such as micro-electromechanical inertial sensors, satellite navigation, satellite navigation integrated inertial navigation, hemispherical resonator gyro, vibrating beam accelerometer, interferometric fibre optic gyro, inertial sensor signal processing, redundant inertial systems and the quite recent emergence of cold atom interferometer based inertial sensors. The contents are imaginatively designed that will of interest to a wide spectrum of readers. The book has been written with utmost lucidity and clarity and explanations provided with a large number of illustrative figures. Besides being an ideal introduction to the principles of inertial sensors and systems for undergraduate and postgraduate students of aerospace engineering, the topics dealt with will also be of benefit to practising engineers and can assist the researchers to locate excellent references for research work. The authors have had three decades of design and application research experience in premier research institutions and have made use of their experience in giving a user-friendly shape to the book. Annotation Beginning with the basic principles of navigation, "Integrated Navigation and Guidance Systems takes a step beyond introductions with a concise look at the flight applications of inertial navigation systems integrated with Global Positioning System (GPS) satellite systems. Written at the senior engineering college level, the textbook takes a tutorial approach, weaving interrelated disciplines together with interactive computer exercises and AINSBOOK software for error analysis and Kalman filter simulation. Get a "technical jump start" with a look at traditional navigation radio aids, inertial guidance systems, and Kalman filters. Launch into GPS applications to navigation, precision approach and landing, attitude control, and air traffic control. More than 100 figures, photos, and tables add to the textbook's value. Inertial navigation is widely used for the guidance of aircraft, missiles ships and land vehicles, as well as in a number of novel applications such as surveying underground pipelines in drilling operations. This book discusses the physical principles of inertial navigation, the associated growth of errors and their compensation. It draws current technological developments, provides an indication of potential future trends and covers a broad range of applications. New chapters on MEMS (microelectromechanical systems) technology and inertial system applications are included. Topics of interests are in the broad areas of GNC, including but not limited to Control Theory and Analysis Intelligent Computing, Communication and Control New Methods of Navigation, Estimation and Tracking Navigation, Guidance and Control of Aircraft Navigation, Guidance and Control of Other Moving Objects Control of Multiple Moving Objects Man and Autonomous Unmanned Systems Guidance, Navigation and Control of Miniature Aircraft Sensor Systems for Guidance, Navigation and Control Advanced Design Simulation Software Covers the latest developments in PNT technologies, including integrated satellite navigation, sensor systems, and civil applications Featuring sixty-four chapters that are divided into six parts, this two-volume work provides comprehensive coverage of the state-of-the-art in satellitebased position, navigation, and timing (PNT) technologies and civilian applications. It also examines alternative navigation technologies based on other signals-of-opportunity and sensors and offers a comprehensive treatment on integrated PNT systems for consumer and commercial applications. Volume 1 of Position, Navigation, and Timing Technologies in the 21st Century: Integrated Satellite Navigation, Sensor Systems, and Civil Applications contains three parts and focuses on the satellite navigation systems, technologies, and engineering and scientific applications. It starts with a historical perspective of GPS development and other related PNT development. Current global and regional navigation satellite systems (GNSS and RNSS), their inter-operability, signal quality monitoring, satellite orbit and time synchronization, and ground- and satellite-based augmentation systems are examined. Recent progresses in satellite navigation receiver technologies and challenges for operations in multipath-rich urban environment, in handling spoofing and interference, and in ensuring PNT integrity are addressed. A section on satellite navigation for engineering and scientific applications finishes off the volume. Volume 2 of Position, Navigation, and Timing Technologies in the 21st Century: Integrated Satellite Navigation, Sensor Systems, and Civil Applications consists of three parts and addresses PNT using alternative signals and sensors and integrated PNT technologies for consumer and commercial applications. It looks at PNT using various radio signals-ofRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton opportunity, atomic clock, optical, laser, magnetic field, celestial, MEMS and inertial sensors, as well as the concept of navigation from Low-Earth Orbiting (LEO) satellites. GNSS-INS integration, neuroscience of navigation, and animal navigation are also covered. The volume finishes off with a collection of work on contemporary PNT applications such as survey and mobile mapping, precision agriculture, wearable systems, automated driving, train control, commercial unmanned aircraft systems, aviation, and navigation in the unique Arctic environment. In addition, this text: Serves as a complete reference and handbook for professionals and students interested in the broad range of PNT subjects Includes chapters that focus on the latest developments in GNSS and other navigation sensors, techniques, and applications Illustrates interconnecting relationships between various types of technologies in order to assure more protected, tough, and accurate PNT Position, Navigation, and Timing Technologies in the 21st Century: Integrated Satellite Navigation, Sensor Systems, and Civil Applications will appeal to all industry professionals, researchers, and academics involved with the science, engineering, and applications of position, navigation, and timing technologies. pnt21book.com This book analyses the legal, ethical and social aspects of using deep-learning AI robotic products. The collective effort of distinguished international researchers has been incorporated into one book suitable for the broader audience interested in the emerging scientific field of roboethics. The book has been edited by Prof. George Dekoulis, Aerospace Engineering Institute, Cyprus, expert on state-of-the-art implementations of robotic systems for unmanned spacecraft navigation and other aerospace applications. We hope this book will increase the sensitivity of all the community members involved with roboethics. The significance of Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton incorporating all aspects of roboethics right at the beginning of the creation of a new deeplearning AI robot is emphasised and analysed throughout the book. AI robotic systems offer an unprecedented set of virtues to the society. However, the principles of roboethical design and operation of deep-learning AI robots must be strictly legislated, the manufacturers should apply the laws and the knowledge development of the AI robots should be closely monitored after sales. This will minimise the drawbacks of implementing such intelligent technological solutions. These devices are a representation of ourselves and form communities like us. Learning from them is also a way to improve ourselves. An updated guide to GNSS and INS, and solutions to real-world GPS/INS problems with Kalman filtering Written by recognized authorities in the field, this second edition of a landmark work provides engineers, computer scientists, and others with a working familiarity with the theory and contemporary applications of Global Navigation Satellite Systems (GNSS), Inertial Navigational Systems (INS), and Kalman filters. Throughout, the focus is on solving real-world problems, with an emphasis on the effective use of state-of-the-art integration techniques for those systems, especially the application of Kalman filtering. To that end, the authors explore the various subtleties, common failures, and inherent limitations of the theory as it applies to real-world situations, and provide numerous detailed application examples and practice problems, including GNSS-aided INS, modeling of gyros and accelerometers, and SBAS and GBAS. Drawing upon their many years of experience with GNSS, INS, and the Kalman filter, the authors present numerous design and implementation techniques not found in other professional references. This Second Edition has been updated to include: GNSS signal integrity with SBAS Mitigation of multipath, including results Ionospheric delay estimation with Kalman filters New MATLAB programs for satellite position determination using almanac and ephemeris data and ionospheric delay calculations from single and dual frequency data New algorithms for GEO with L1 /L5 frequencies and clock steering Implementation of mechanization equations in numerically stable algorithms To enhance comprehension of the subjects covered, the authors have included software in MATLAB, demonstrating the working of the GNSS, INS, and filter algorithms. In addition to showing the Kalman filter in action, the software also demonstrates various practical aspects of finite word length arithmetic and the need for alternative algorithms to preserve result accuracy. This book is about aerospace sensors, their principles of operation, and their typical advantages, shortcomings, and vulnerabilities. They are described in the framework of the subsystems where they function and in accordance with the flight mission they are designed to serve. The book is intended for students at the advanced undergraduate or graduate level and for research engineers who need to acquire this kind of knowledge. An effort has been made to explain, within a uniform framework of mathematical modeling, the physics upon which a certain sensor concept is based, its construction, its dynamics, and its error sources and their corresponding mathematical models. Equipped with such knowledge and understanding, the student or research engineer should be able to get involved in research and development activities of guidance, control, and navigation systems and to contribute to the initiation of novel ideas in the aerospace sensor field. As a designer and systems engineer, he should be able to correctly interpret the various items in a technical data list and thus to interact Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton intelligently with manufacturers' representatives and other members of an R&D team. Much of the text has evolved from undergraduate and graduate courses given by the author during the past seventeen years at the Department of Aerospace Engineering at the Technion- Israel Institute of Technology and from his earlier research and development experience in flight control, guidance, navigation, and avionics at the Ministry of Defense Central Research Institute. This book introduces readers to the fundamentals of estimation and dynamical system theory, and their applications in the field of multi-source information fused autonomous Out-of-print for years, this highly sought-after volume, remains the most popular reference on inertial navigation systems analysis. Finally, this classic book is back in print and readily available only from Artech House. Authored by a pioneer in the field, this authoritative resource focuses on terrestrial navigation, but is also useful for air and sea applications. Packed with valuable, time-saving equations and models, the book helps engineers design optimal navigation systems by comparing the performance of the various types of system mechanizations. Although applications and technology have changed over the years, this book remains the best source for fundamental inertial navigation system knowledge, from notational conventions, reference frames, and geometry of the earth, to unified error analysis, self-alignment techniques, and the development of a system error model. This well-illustrated, timeless reference belongs on the shelf of every practicing engineer working in this area. Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton navigation for spacecraft. The content is divided into two parts: theory and application. The theory part (Part I) covers the mathematical background of navigation algorithm design, including parameter and state estimate methods, linear fusion, centralized and distributed fusion, observability analysis, Monte Carlo technology, and linear covariance analysis. In turn, the application part (Part II) focuses on autonomous navigation algorithm design for different phases of deep space missions, which involves multiple sensors, such as inertial measurement units, optical image sensors, and pulsar detectors. By concentrating on the relationships between estimation theory and autonomous navigation systems for spacecraft, the book bridges the gap between theory and practice. A wealth of helpful formulas and various types of estimators are also included to help readers grasp basic estimation concepts and offer them a readyreference guide. Accurate determination of the mobile position constitutes the basis of many new applications. This book provides a detailed account of wireless systems for positioning, signal processing, radio localization techniques (Time Difference Of Arrival), performances evaluation, and localization applications. The first section is dedicated to Satellite systems for positioning like GPS, GNSS. The second section addresses the localization applications using the wireless sensor networks. Some techniques are introduced for localization systems, especially for indoor positioning, such as Ultra Wide Band (UWB), WIFI. The last section is dedicated to Coupled GPS and other sensors. Some results of simulations, implementation and tests are given to help readers grasp the presented techniques. This is an ideal book for students, PhD students, academics and engineers in the field of Communication, localization This thesis develops next-generation multi-degree-of-freedom gyroscopes and inertial measurement units (IMU) using micro-electromechanical-systems (MEMS) technology. It covers both a comprehensive study of the physics of resonator gyroscopes and novel micro/nano-fabrication solutions to key performance limits in MEMS resonator gyroscopes. Firstly, theoretical and experimental studies of physical phenomena including mode localization, nonlinear behavior, and energy dissipation provide new insights into challenges like quadrature errors and flicker noise in resonator gyroscope systems. Secondly, advanced designs and micro/nano-fabrication methods developed in this work demonstrate valuable applications to a wide range of MEMS/NEMS devices. In particular, the HARPSS+ process platform established in this thesis features a novel slanted nano-gap transducer, which enabled the first wafer-level-packaged single-chip IMU prototype with co-fabricated high-frequency resonant triaxial gyroscopes and high-bandwidth triaxial micro-gravity accelerometers. This prototype demonstrates performance amongst the highest to date, with unmatched robustness and potential for flexible substrate integration and ultra-low-power operation. This thesis shows a path toward future low-power IMU-based applications including wearable inertial sensors, health informatics, and personal inertial navigation. MATLAB is an indispensable asset for scientists, researchers, and engineers. The richness of the MATLAB computational environment combined with an integrated development environment (IDE) and straightforward interface, toolkits, and simulation and modeling capabilities, creates a research and development tool that has no equal. From quick code prototyping to full blown deployable applications, MATLAB stands as a de facto development language and environment serving the technical needs of a wide range of users. As a collection of diverse applications, each book chapter presents a novel application and use of MATLAB for a specific result. Design Cutting-Edge Aided Navigation Systems for Advanced Commercial & Military Applications Aided Navigation is a design-oriented textbook and guide to building aided navigation systems for smart cars, precision farming vehicles, smart weapons, unmanned aircraft, mobile robots, and other advanced applications. The navigation guide contains two parts explaining the essential theory, concepts, and tools, as well as the methodology in aided navigation case studies with sufficient detail to serve as the basis for application-oriented analysis and design. Filled with detailed illustrations and examples, this expert design tool takes you step-by-step through coordinate systems, deterministic and stochastic modeling, optimal estimation, and navigation system design. Authoritative and comprehensive, Aided Navigation features: End-of-chapter exercises throughout Part I In-depth case studies of aided navigation systems Numerous Matlab-based examples Appendices define notation, review linear algebra, Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton and discuss GPS receiver interfacing Source code and sensor data to support examples is available through the publisher-supported website Inside this Complete Guide to Designing Aided Navigation Systems · Aided Navigation Theory: Introduction to Aided Navigation · Coordinate Systems · Deterministic Modeling · Stochastic Modeling · Optimal Estimation · Navigation System Design · Navigation Case Studies: Global Positioning System (GPS) · GPS-Aided Encoder · Attitude and Heading Reference System · GPS-Aided Inertial Navigation System (INS) · Acoustic Ranging and Doppler-Aided INS A description of the inertial technology used for guidance, control, and navigation, discussing in detail the principles, operation, and design of sensors, gyroscopes, and accelerometers, as well as the advantages and disadvantages of particular systems. An engineer with long practical experience in the field, the author elucidates such recent developments as fibre-optic gyroscopes, solid-state accelerometers, and the global positioning system. This will be of interest to researchers and practising engineers involved in systems engineering, aeronautics, The subject of integrated navigation systems covered in this book is designed for those directly involved with the design, integration, and test and evaluation of navigation systems. It is assumed that the reader has a background in mathematics, including calculus. Integrated navigation systems are the combination of an onboard navigation solution (position, velocity, and attitude) and independent navigation data (aids to navigation) to update or correct navigation solutions. In this book, this combination is accomplished with Kalman filter algorithms. Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton space research, and navigation on both land and sea. This book showcases new theoretical findings and techniques in the field of intelligent systems and control. It presents in-depth studies on a number of major topics, including: Multi-Agent Systems, Complex Networks, Intelligent Robots, Complex System Theory and Swarm Behavior, Event-Triggered Control and Data-Driven Control, Robust and Adaptive Control, Big Data and Brain Science, Process Control, Intelligent Sensor and Detection Technology, Deep learning and Learning Control, Guidance, Navigation and Control of Aerial Vehicles, and so on. Given its scope, the book will benefit all researchers, engineers, and graduate students who want to learn about cutting-edge advances in intelligent systems, intelligent control, and artificial intelligence. This book covers recent topics on gyroscopes. It briefly introduces the history of gyroscopes, and presents a concise analysis of the main types. The classical structure and main performance parameters of an interferometric fiber-optic gyroscope and an integrated optics passive-resonator gyroscope are analyzed. The developmental progress of a fiber optic gyroscope and its research situation in the United States, Japan, France, and other major developing countries are also presented. An effective autoregressive moving average model was invented to reduce MEMS gyroscope noise behavior. A discrete-time nonlinear attitude tracking control system was verified to achieve the agility and large-angle attitude maneuvers of spacecraft by numerical simulations. MEMS gyroscopes were experimentally demonstrated to be effective tools for gait analysis and to reduce the cost of revealing underlying pathologies. Strapdown Inertial Navigation TechnologyIET Data Fusion Methodology and Applications explores the data-driven discovery paradigm in Page 12/21 Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton science and the need to handle large amounts of diverse data. Drivers of this change include the increased availability and accessibility of hyphenated analytical platforms, imaging techniques, the explosion of omics data, and the development of information technology. As data-driven research deals with an inductive attitude that aims to extract information and build models capable of inferring the underlying phenomena from the data itself, this book explores the challenges and methodologies used to integrate data from multiple sources, analytical platforms, different modalities, and varying timescales. Presents the first comprehensive textbook on data fusion, focusing on all aspects of data-driven discovery Includes comprehensible, theoretical chapters written for large and diverse audiences Provides a wealth of selected application to the topics included Compiled by leading authorities, Aerospace Navigation Systems is a compendium of chapters that present modern aircraft and spacecraft navigation methods based on up-to-date inertial, satellite, map matching and other guidance techniques. Ranging from the practical to the theoretical, this book covers navigational applications over a wide range of aerospace vehicles including aircraft, spacecraft and drones, both remotely controlled and operating as autonomous vehicles. It provides a comprehensive background of fundamental theory, the utilisation of newly-developed techniques, incorporates the most complex and advanced types of technical innovation currently available and presents a vision for future developments. Satellite Navigation Systems (SNS), long range navigation systems, short range navigation systems and navigational displays are introduced, and many other detailed topics include Radio Navigation Systems (RNS), Inertial Navigation Systems (INS), Homing Systems, Map Matching and other correlated-extremalsystems, and both optimal and sub-optimal filtering in Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton integrated navigation systems. This annual conference is the traditional meeting place for scientists and engineers involved in GN&C from all over the world to exchange the results of their latest accomplishments and discuss prospects for the future This book focuses on gyro-free inertial navigation technology, which is used to measure not only linear motion parameters but also angular rates. Since no gyroscopes are used, the key technologies, such as initial alignment, attitude resolution, and error calibration, are very different than those used in traditional methods. Discussing each key technology in gyro-free inertial navigation system (GFINS) manufacture in a separate chapter, the book features easyto-understand, detailed illustrations, to allow all those involved in inertial navigation to gain a better grasp of GFINS manufacture, including accelerometer setting principles; initial alignment; quaternion-based, attitude resolution algorithms; and accelerometer de-noise methods. A bottom-up approach that enables readers to master and apply the latest techniques in state estimation This book offers the best mathematical approaches to estimating the state of a general system. The author presents state estimation theory clearly and rigorously, providing the right amount of advanced material, recent research results, and references to enable the reader to apply state estimation techniques confidently across a variety of fields in science and engineering. While there are other textbooks that treat state estimation, this one offers special features and a unique perspective and pedagogical approach that speed learning: * Straightforward, bottom-up approach begins with basic concepts and then builds step by step to more advanced topics for a clear understanding of state estimation * Simple examples and Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton problems that require only paper and pen to solve lead to an intuitive understanding of how theory works in practice * MATLAB(r)-based source code that corresponds to examples in the book, available on the author's Web site, enables readers to recreate results and experiment with other simulation setups and parameters Armed with a solid foundation in the basics, readers are presented with a careful treatment of advanced topics, including unscented filtering, high order nonlinear filtering, particle filtering, constrained state estimation, reduced order filtering, robust Kalman filtering, and mixed Kalman/H? filtering. Problems at the end of each chapter include both written exercises and computer exercises. Written exercises focus on improving the reader's understanding of theory and key concepts, whereas computer exercises help readers apply theory to problems similar to ones they are likely to encounter in industry. With its expert blend of theory and practice, coupled with its presentation of recent research results, Optimal State Estimation is strongly recommended for undergraduate and graduate-level courses in optimal control and state estimation theory. It also serves as a reference for engineers and science professionals across a wide array of industries. This book presents selected papers of the Itzhack Y. Bar-Itzhack Memorial Sympo- sium on Estimation, Navigation, and Spacecraft Control. Itzhack Y. Bar-Itzhack, professor Emeritus of Aerospace Engineering at the Technion – Israel Institute of Technology, was a prominent and world-renowned member of the applied estimation, navigation, and spacecraft attitude determination communities. He touched the lives of many. He had a love for life, an incredible sense of humor, and wisdom that he shared freely with everyone he met. To honor Professor Bar-Itzhack's memory, as well as his numerous seminal professional achievements, an international symposium was held in Haifa, Israel, on October 14–17, 2012, under the auspices Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton of the Faculty of Aerospace Engineering at the Technion and the Israeli Association for Automatic Control. The book contains 27 selected, revised, and edited contributed chapters written by eminent international experts. The book is organized in three parts: (1) Estimation, (2) Navigation and (3) Spacecraft Guidance, Navigation and Control. The volume was prepared as a reference for research scientists and practicing engineers from academy and industry in the fields of estimation, navigation, and spacecraft GN&C. This newly revised and greatly expanded edition of the popular Artech House book Principles of GNSS, Inertial, and Multisensor Integrated Navigation Systems offers you a current and comprehensive understanding of satellite navigation, inertial navigation, terrestrial radio navigation, dead reckoning, and environmental feature matching . It provides both an introduction to navigation systems and an in-depth treatment of INS/GNSS and multisensor integration. The second edition offers a wealth of added and updated material, including a brand new chapter on the principles of radio positioning and a chapter devoted to important applications in the field. Other updates include expanded treatments of map matching, image- At this conference the latest state of inertial sensors and navigation systems as well as gyro technology will be presented This includes applications of this technology, the development of new systems, components and test procedures as well as investigations on cost and marketing aspects As modern systems for navigation, localization and guidance are increasingly making use of aiding data provided by additional non inertial sensors, these topics will be focused on by the conference with growing interest Therefore, also papers covering hybrid systems will be highly appreciated, which fuse data from inertial sensors with that from GNSS, visual, infrared, radar or other sensors Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton based navigation, attitude determination, acoustic positioning, pedestrian navigation, advanced GNSS techniques, and several terrestrial and short-range radio positioning technologies .. The book shows you how satellite, inertial, and other navigation technologies work, and focuses on processing chains and error sources. In addition, you get a clear introduction to coordinate frames, multi-frame kinematics, Earth models, gravity, Kalman filtering, and nonlinear filtering. Providing solutions to common integration problems, the book describes and compares different integration architectures, and explains how to model different error sources. You get a broad and penetrating overview of current technology and are brought up to speed with the latest developments in the field, including context-dependent and cooperative positioning. Inertial navigation is widely used for the guidance of aircraft, missiles ships and land vehicles, as well as in a number of novel applications such as surveying underground pipelines in drilling operations. This book sets out to provide a clear and concise description of the physical principles of inertial navigation, the associated growth of errors and their compensation. There is also detailed treatment of recent developments in inertial sensor technology and a description of techniques for implementing and evaluating such systems. This new edition includes a number of refinements covering sensor technology, geodesy and error modelling, the major additions to the original text are new chapters on MEMS technology and inertial system applications. [Source : 4e de couv.]. Fundamentals of Inertial Navigation, Satellite-based Positioning and their Integration is an introduction to the field of Integrated Navigation Systems. It serves as an excellent reference for working engineers as well as textbook for beginners and students new to Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton the area. The book is easy to read and understand with minimum background knowledge. The authors explain the derivations in great detail. The intermediate steps are thoroughly explained so that a beginner can easily follow the material. The book shows a step-by-step implementation of navigation algorithms and provides all the necessary details. It provides detailed illustrations for an easy comprehension. The book also demonstrates real field experiments and in-vehicle road test results with professional discussions and analysis. This work is unique in discussing the different INS/GPS integration schemes in an easy to understand and straightforward way. Those schemes include loosely vs tightly coupled, open loop vs closed loop, and many more. This new edition of the bestselling Measurement, Instrumentation, and Sensors Handbook brings together all aspects of the design and implementation of measurement, instrumentation, and sensors. Reflecting the current state of the art, it describes the use of instruments and techniques for performing practical measurements in engineering, physics, chemistry, and the life sciences; explains sensors and the associated hardware and software; and discusses processing systems, automatic data acquisition, reduction and analysis, operation characteristics, accuracy, errors, calibrations, and the incorporation of standards for control purposes. Organized according to measurement problem, the Second Edition: Consists of 2 volumes Features contributions from 240+ field experts Contains 53 new chapters, plus updates to all 194 existing chapters Addresses different ways of making measurements Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton for given variables Emphasizes modern intelligent instruments and techniques, human factors, modern display methods, instrument networks, and virtual instruments Explains modern wireless techniques, sensors, measurements, and applications A concise and useful reference for engineers, scientists, academic faculty, students, designers, managers, and industry professionals involved in instrumentation and measurement research and development, Measurement, Instrumentation, and Sensors Handbook, Second Edition provides readers with a greater understanding of advanced applications. Navigation fundamentally provides information on position, velocity and direction which are needed for travel in ocean, land, air and in space. The myriad forms of navigation developed so far are collectively called modern navigation. This recent text discusses new promising developments that will assist the students when they enter their future professional career. It is the outcome of authors' wide experience in teaching, research and development in the field of navigation and inertial sensors. The content of the book is designed to impart adequate knowledge to the students in the area of navigation and related sensors. The text discusses inertial navigation, inertial sensors, MEMS based inertial sensors, satellite navigation, integrated inertial navigation, signal processing of inertial sensors and their applications. The chapters introduce all the topics in an easy to understand manner so that an appreciative understanding of the text matter can be made without resorting to equations and mathematics. Considerable references have Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton been provided to enable both the students and the professors to dwell and learn more on the topics of their interest. This textbook is primarily intended to meet the academic needs of undergraduate and postgraduate students of aerospace engineering and avionics. This book covers all aspects of inertial navigation systems (INS), including the sensor technology and the estimation of instrument errors, as well as their integration with the Microelectromechanical system (MEMS) inertial sensors have become ubiquitous in modern society. Built into mobile telephones, gaming consoles, virtual reality headsets, we use such sensors on a daily basis. They also have applications in medical therapy devices, motion-capture filming, traffic monitoring systems, and drones. While providing accurate measurements over short time scales, this diminishes over longer periods. To date, this problem has been resolved by combining them with additional sensors and models. This adds both expense and size to the devices. This tutorial focuses on the signal processing aspects of position and orientation estimation using inertial sensors. It discusses different modelling choices and a selected number of important algorithms that engineers can use to select the best options for their designs. The algorithms include optimization-based smoothing and filtering as well as computationally cheaper extended Kalman filter and complementary filter implementations. Engineers, researchers, and students deploying MEMS inertial sensors will find that this tutorial is an essential monograph on how to optimize their designs. Copyright : www.treca.org Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton Global Positioning System (GPS) for geodetic applications. Complete mathematical derivations are given. Both stabilized and strapdown mechanizations are treated in detail. Derived algorithms to process sensor data and a comprehensive explanation of the error dynamics provide not only an analytical understanding but also a practical implementation of the concepts. A self-contained description of GPS, with emphasis on kinematic applications, is one of the highlights in this book. The text is of interest to geodesists, including surveyors, mappers, and photogrammetrists; to engineers in aviation, navigation, guidance, transportation, and robotics; and to scientists involved in aerogeophysics and remote sensing. 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Various technologies have emerged in an evolutionary manner surpassing the earlier ones in performance and reliability. The subject is still growing with proliferation in newer cost effec-tive applications, while its wider usage in aerospace systems continues. This book exposes the readers to the subject of inertial navigation, the inertial sensors and inertial systems in a unified manner while emphasizing the growth areas in emerging technologies such as micro-electromechanical inertial sensors, satellite navigation, satellite navigation integrated inertial navigation, hemispherical resonator gyro, vibrating beam accelerometer, interferometric fibre optic gyro, inertial sensor signal processing, redundant inertial systems and the quite recent emergence of cold atom interferometer based inertial sensors. The contents are imaginatively designed that will of interest to a wide spectrum of readers. The book has been written with utmost lucidity and clarity and explanations provided with a large number of illustrative figures. Besides being an ideal introduction to the principles of inertial sensors and systems for undergraduate and postgraduate students of aerospace engineering, the topics dealt with will also be of benefit to practising engineers and can assist the researchers to locate excellent references for research work. The authors have had three decades of design and application research experience in premier research institutions and have made use of their experience in giving a user-friendly shape to the book. Annotation Beginning with the basic principles of navigation, "Integrated Navigation and Guidance Systems takes a step beyond introductions with a concise look at the flight applications of inertial navigation systems integrated with Global Positioning System (GPS) satellite systems. Written at the senior engineering college level, the textbook takes a tutorial approach, weaving interrelated disciplines together with interactive computer exercises and AINSBOOK software for error analysis and Kalman filter simulation. Get a "technical jump start" with a look at traditional navigation radio aids, inertial guidance systems, and Kalman filters. Launch into GPS applications to navigation, precision approach and landing, attitude control, and air traffic control. More than 100 figures, photos, and tables add to the textbook's value. Inertial navigation is widely used for the guidance of aircraft, missiles ships and land vehicles, as well as in a number of novel applications such as surveying underground pipelines in drilling operations. This book discusses the physical principles of inertial navigation, the associated growth of errors and their compensation. It draws current technological developments, provides an indication of potential future trends and covers a broad range of applications. New chapters on MEMS (microelectromechanical systems) technology and inertial system applications are included. Topics of interests are in the broad areas of GNC, including but not limited to Control Theory and Analysis Intelligent Computing, Communication and Control New Methods of Navigation, Estimation and Tracking Navigation, Guidance and Control of Aircraft Navigation, Guidance and Control of Other Moving Objects Control of Multiple Moving Objects Man and Autonomous Unmanned Systems Guidance, Navigation and Control of Miniature Aircraft Sensor Systems for Guidance, Navigation and Control Advanced Design Simulation Software Covers the latest developments in PNT technologies, including integrated satellite navigation, sensor systems, and civil applications Featuring sixty-four chapters that are divided into six parts, this two-volume work provides comprehensive coverage of the state-of-the-art in satellitebased position, navigation, and timing (PNT) technologies and civilian applications. It also examines alternative navigation technologies based on other signals-of-opportunity and sensors and offers a comprehensive treatment on integrated PNT systems for consumer and commercial applications. Volume 1 of Position, Navigation, and Timing Technologies in the 21st Century: Integrated Satellite Navigation, Sensor Systems, and Civil Applications contains three parts and focuses on the satellite navigation systems, technologies, and engineering and scientific applications. It starts with a historical perspective of GPS development and other related PNT development. Current global and regional navigation satellite systems (GNSS and RNSS), their inter-operability, signal quality monitoring, satellite orbit and time synchronization, and ground- and satellite-based augmentation systems are examined. Recent progresses in satellite navigation receiver technologies and challenges for operations in multipath-rich urban environment, in handling spoofing and interference, and in ensuring PNT integrity are addressed. A section on satellite navigation for engineering and scientific applications finishes off the volume. Volume 2 of Position, Navigation, and Timing Technologies in the 21st Century: Integrated Satellite Navigation, Sensor Systems, and Civil Applications consists of three parts and addresses PNT using alternative signals and sensors and integrated PNT technologies for consumer and commercial applications. It looks at PNT using various radio signals-ofRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton opportunity, atomic clock, optical, laser, magnetic field, celestial, MEMS and inertial sensors, as well as the concept of navigation from Low-Earth Orbiting (LEO) satellites. GNSS-INS integration, neuroscience of navigation, and animal navigation are also covered. The volume finishes off with a collection of work on contemporary PNT applications such as survey and mobile mapping, precision agriculture, wearable systems, automated driving, train control, commercial unmanned aircraft systems, aviation, and navigation in the unique Arctic environment. In addition, this text: Serves as a complete reference and handbook for professionals and students interested in the broad range of PNT subjects Includes chapters that focus on the latest developments in GNSS and other navigation sensors, techniques, and applications Illustrates interconnecting relationships between various types of technologies in order to assure more protected, tough, and accurate PNT Position, Navigation, and Timing Technologies in the 21st Century: Integrated Satellite Navigation, Sensor Systems, and Civil Applications will appeal to all industry professionals, researchers, and academics involved with the science, engineering, and applications of position, navigation, and timing technologies. pnt21book.com This book analyses the legal, ethical and social aspects of using deep-learning AI robotic products. The collective effort of distinguished international researchers has been incorporated into one book suitable for the broader audience interested in the emerging scientific field of roboethics. The book has been edited by Prof. George Dekoulis, Aerospace Engineering Institute, Cyprus, expert on state-of-the-art implementations of robotic systems for unmanned spacecraft navigation and other aerospace applications. We hope this book will increase the sensitivity of all the community members involved with roboethics. The significance of Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton incorporating all aspects of roboethics right at the beginning of the creation of a new deeplearning AI robot is emphasised and analysed throughout the book. AI robotic systems offer an unprecedented set of virtues to the society. However, the principles of roboethical design and operation of deep-learning AI robots must be strictly legislated, the manufacturers should apply the laws and the knowledge development of the AI robots should be closely monitored after sales. This will minimise the drawbacks of implementing such intelligent technological solutions. These devices are a representation of ourselves and form communities like us. Learning from them is also a way to improve ourselves. An updated guide to GNSS and INS, and solutions to real-world GPS/INS problems with Kalman filtering Written by recognized authorities in the field, this second edition of a landmark work provides engineers, computer scientists, and others with a working familiarity with the theory and contemporary applications of Global Navigation Satellite Systems (GNSS), Inertial Navigational Systems (INS), and Kalman filters. Throughout, the focus is on solving real-world problems, with an emphasis on the effective use of state-of-the-art integration techniques for those systems, especially the application of Kalman filtering. To that end, the authors explore the various subtleties, common failures, and inherent limitations of the theory as it applies to real-world situations, and provide numerous detailed application examples and practice problems, including GNSS-aided INS, modeling of gyros and accelerometers, and SBAS and GBAS. Drawing upon their many years of experience with GNSS, INS, and the Kalman filter, the authors present numerous design and implementation techniques not found in other professional references. This Second Edition has been updated to include: GNSS signal integrity with SBAS Mitigation of multipath, including results Ionospheric delay estimation with Kalman filters New MATLAB programs for satellite position determination using almanac and ephemeris data and ionospheric delay calculations from single and dual frequency data New algorithms for GEO with L1 /L5 frequencies and clock steering Implementation of mechanization equations in numerically stable algorithms To enhance comprehension of the subjects covered, the authors have included software in MATLAB, demonstrating the working of the GNSS, INS, and filter algorithms. In addition to showing the Kalman filter in action, the software also demonstrates various practical aspects of finite word length arithmetic and the need for alternative algorithms to preserve result accuracy. This book is about aerospace sensors, their principles of operation, and their typical advantages, shortcomings, and vulnerabilities. They are described in the framework of the subsystems where they function and in accordance with the flight mission they are designed to serve. The book is intended for students at the advanced undergraduate or graduate level and for research engineers who need to acquire this kind of knowledge. An effort has been made to explain, within a uniform framework of mathematical modeling, the physics upon which a certain sensor concept is based, its construction, its dynamics, and its error sources and their corresponding mathematical models. Equipped with such knowledge and understanding, the student or research engineer should be able to get involved in research and development activities of guidance, control, and navigation systems and to contribute to the initiation of novel ideas in the aerospace sensor field. As a designer and systems engineer, he should be able to correctly interpret the various items in a technical data list and thus to interact Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton intelligently with manufacturers' representatives and other members of an R&D team. Much of the text has evolved from undergraduate and graduate courses given by the author during the past seventeen years at the Department of Aerospace Engineering at the Technion- Israel Institute of Technology and from his earlier research and development experience in flight control, guidance, navigation, and avionics at the Ministry of Defense Central Research Institute. This book introduces readers to the fundamentals of estimation and dynamical system theory, and their applications in the field of multi-source information fused autonomous Out-of-print for years, this highly sought-after volume, remains the most popular reference on inertial navigation systems analysis. Finally, this classic book is back in print and readily available only from Artech House. Authored by a pioneer in the field, this authoritative resource focuses on terrestrial navigation, but is also useful for air and sea applications. Packed with valuable, time-saving equations and models, the book helps engineers design optimal navigation systems by comparing the performance of the various types of system mechanizations. Although applications and technology have changed over the years, this book remains the best source for fundamental inertial navigation system knowledge, from notational conventions, reference frames, and geometry of the earth, to unified error analysis, self-alignment techniques, and the development of a system error model. This well-illustrated, timeless reference belongs on the shelf of every practicing engineer working in this area. Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton navigation for spacecraft. The content is divided into two parts: theory and application. The theory part (Part I) covers the mathematical background of navigation algorithm design, including parameter and state estimate methods, linear fusion, centralized and distributed fusion, observability analysis, Monte Carlo technology, and linear covariance analysis. In turn, the application part (Part II) focuses on autonomous navigation algorithm design for different phases of deep space missions, which involves multiple sensors, such as inertial measurement units, optical image sensors, and pulsar detectors. By concentrating on the relationships between estimation theory and autonomous navigation systems for spacecraft, the book bridges the gap between theory and practice. A wealth of helpful formulas and various types of estimators are also included to help readers grasp basic estimation concepts and offer them a readyreference guide. Accurate determination of the mobile position constitutes the basis of many new applications. This book provides a detailed account of wireless systems for positioning, signal processing, radio localization techniques (Time Difference Of Arrival), performances evaluation, and localization applications. The first section is dedicated to Satellite systems for positioning like GPS, GNSS. The second section addresses the localization applications using the wireless sensor networks. Some techniques are introduced for localization systems, especially for indoor positioning, such as Ultra Wide Band (UWB), WIFI. The last section is dedicated to Coupled GPS and other sensors. Some results of simulations, implementation and tests are given to help readers grasp the presented techniques. This is an ideal book for students, PhD students, academics and engineers in the field of Communication, localization This thesis develops next-generation multi-degree-of-freedom gyroscopes and inertial measurement units (IMU) using micro-electromechanical-systems (MEMS) technology. It covers both a comprehensive study of the physics of resonator gyroscopes and novel micro/nano-fabrication solutions to key performance limits in MEMS resonator gyroscopes. Firstly, theoretical and experimental studies of physical phenomena including mode localization, nonlinear behavior, and energy dissipation provide new insights into challenges like quadrature errors and flicker noise in resonator gyroscope systems. Secondly, advanced designs and micro/nano-fabrication methods developed in this work demonstrate valuable applications to a wide range of MEMS/NEMS devices. In particular, the HARPSS+ process platform established in this thesis features a novel slanted nano-gap transducer, which enabled the first wafer-level-packaged single-chip IMU prototype with co-fabricated high-frequency resonant triaxial gyroscopes and high-bandwidth triaxial micro-gravity accelerometers. This prototype demonstrates performance amongst the highest to date, with unmatched robustness and potential for flexible substrate integration and ultra-low-power operation. This thesis shows a path toward future low-power IMU-based applications including wearable inertial sensors, health informatics, and personal inertial navigation. MATLAB is an indispensable asset for scientists, researchers, and engineers. The richness of the MATLAB computational environment combined with an integrated development environment (IDE) and straightforward interface, toolkits, and simulation and modeling capabilities, creates a research and development tool that has no equal. From quick code prototyping to full blown deployable applications, MATLAB stands as a de facto development language and environment serving the technical needs of a wide range of users. As a collection of diverse applications, each book chapter presents a novel application and use of MATLAB for a specific result. Design Cutting-Edge Aided Navigation Systems for Advanced Commercial & Military Applications Aided Navigation is a design-oriented textbook and guide to building aided navigation systems for smart cars, precision farming vehicles, smart weapons, unmanned aircraft, mobile robots, and other advanced applications. The navigation guide contains two parts explaining the essential theory, concepts, and tools, as well as the methodology in aided navigation case studies with sufficient detail to serve as the basis for application-oriented analysis and design. Filled with detailed illustrations and examples, this expert design tool takes you step-by-step through coordinate systems, deterministic and stochastic modeling, optimal estimation, and navigation system design. Authoritative and comprehensive, Aided Navigation features: End-of-chapter exercises throughout Part I In-depth case studies of aided navigation systems Numerous Matlab-based examples Appendices define notation, review linear algebra, Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton and discuss GPS receiver interfacing Source code and sensor data to support examples is available through the publisher-supported website Inside this Complete Guide to Designing Aided Navigation Systems · Aided Navigation Theory: Introduction to Aided Navigation · Coordinate Systems · Deterministic Modeling · Stochastic Modeling · Optimal Estimation · Navigation System Design · Navigation Case Studies: Global Positioning System (GPS) · GPS-Aided Encoder · Attitude and Heading Reference System · GPS-Aided Inertial Navigation System (INS) · Acoustic Ranging and Doppler-Aided INS A description of the inertial technology used for guidance, control, and navigation, discussing in detail the principles, operation, and design of sensors, gyroscopes, and accelerometers, as well as the advantages and disadvantages of particular systems. An engineer with long practical experience in the field, the author elucidates such recent developments as fibre-optic gyroscopes, solid-state accelerometers, and the global positioning system. This will be of interest to researchers and practising engineers involved in systems engineering, aeronautics, The subject of integrated navigation systems covered in this book is designed for those directly involved with the design, integration, and test and evaluation of navigation systems. It is assumed that the reader has a background in mathematics, including calculus. Integrated navigation systems are the combination of an onboard navigation solution (position, velocity, and attitude) and independent navigation data (aids to navigation) to update or correct navigation solutions. In this book, this combination is accomplished with Kalman filter algorithms. Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton space research, and navigation on both land and sea. This book showcases new theoretical findings and techniques in the field of intelligent systems and control. It presents in-depth studies on a number of major topics, including: Multi-Agent Systems, Complex Networks, Intelligent Robots, Complex System Theory and Swarm Behavior, Event-Triggered Control and Data-Driven Control, Robust and Adaptive Control, Big Data and Brain Science, Process Control, Intelligent Sensor and Detection Technology, Deep learning and Learning Control, Guidance, Navigation and Control of Aerial Vehicles, and so on. Given its scope, the book will benefit all researchers, engineers, and graduate students who want to learn about cutting-edge advances in intelligent systems, intelligent control, and artificial intelligence. This book covers recent topics on gyroscopes. It briefly introduces the history of gyroscopes, and presents a concise analysis of the main types. The classical structure and main performance parameters of an interferometric fiber-optic gyroscope and an integrated optics passive-resonator gyroscope are analyzed. The developmental progress of a fiber optic gyroscope and its research situation in the United States, Japan, France, and other major developing countries are also presented. An effective autoregressive moving average model was invented to reduce MEMS gyroscope noise behavior. A discrete-time nonlinear attitude tracking control system was verified to achieve the agility and large-angle attitude maneuvers of spacecraft by numerical simulations. MEMS gyroscopes were experimentally demonstrated to be effective tools for gait analysis and to reduce the cost of revealing underlying pathologies. Strapdown Inertial Navigation TechnologyIET Data Fusion Methodology and Applications explores the data-driven discovery paradigm in Page 12/21 Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton science and the need to handle large amounts of diverse data. Drivers of this change include the increased availability and accessibility of hyphenated analytical platforms, imaging techniques, the explosion of omics data, and the development of information technology. As data-driven research deals with an inductive attitude that aims to extract information and build models capable of inferring the underlying phenomena from the data itself, this book explores the challenges and methodologies used to integrate data from multiple sources, analytical platforms, different modalities, and varying timescales. Presents the first comprehensive textbook on data fusion, focusing on all aspects of data-driven discovery Includes comprehensible, theoretical chapters written for large and diverse audiences Provides a wealth of selected application to the topics included Compiled by leading authorities, Aerospace Navigation Systems is a compendium of chapters that present modern aircraft and spacecraft navigation methods based on up-to-date inertial, satellite, map matching and other guidance techniques. Ranging from the practical to the theoretical, this book covers navigational applications over a wide range of aerospace vehicles including aircraft, spacecraft and drones, both remotely controlled and operating as autonomous vehicles. It provides a comprehensive background of fundamental theory, the utilisation of newly-developed techniques, incorporates the most complex and advanced types of technical innovation currently available and presents a vision for future developments. Satellite Navigation Systems (SNS), long range navigation systems, short range navigation systems and navigational displays are introduced, and many other detailed topics include Radio Navigation Systems (RNS), Inertial Navigation Systems (INS), Homing Systems, Map Matching and other correlated-extremalsystems, and both optimal and sub-optimal filtering in Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton integrated navigation systems. This annual conference is the traditional meeting place for scientists and engineers involved in GN&C from all over the world to exchange the results of their latest accomplishments and discuss prospects for the future This book focuses on gyro-free inertial navigation technology, which is used to measure not only linear motion parameters but also angular rates. Since no gyroscopes are used, the key technologies, such as initial alignment, attitude resolution, and error calibration, are very different than those used in traditional methods. Discussing each key technology in gyro-free inertial navigation system (GFINS) manufacture in a separate chapter, the book features easyto-understand, detailed illustrations, to allow all those involved in inertial navigation to gain a better grasp of GFINS manufacture, including accelerometer setting principles; initial alignment; quaternion-based, attitude resolution algorithms; and accelerometer de-noise methods. A bottom-up approach that enables readers to master and apply the latest techniques in state estimation This book offers the best mathematical approaches to estimating the state of a general system. The author presents state estimation theory clearly and rigorously, providing the right amount of advanced material, recent research results, and references to enable the reader to apply state estimation techniques confidently across a variety of fields in science and engineering. While there are other textbooks that treat state estimation, this one offers special features and a unique perspective and pedagogical approach that speed learning: * Straightforward, bottom-up approach begins with basic concepts and then builds step by step to more advanced topics for a clear understanding of state estimation * Simple examples and Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton problems that require only paper and pen to solve lead to an intuitive understanding of how theory works in practice * MATLAB(r)-based source code that corresponds to examples in the book, available on the author's Web site, enables readers to recreate results and experiment with other simulation setups and parameters Armed with a solid foundation in the basics, readers are presented with a careful treatment of advanced topics, including unscented filtering, high order nonlinear filtering, particle filtering, constrained state estimation, reduced order filtering, robust Kalman filtering, and mixed Kalman/H? filtering. Problems at the end of each chapter include both written exercises and computer exercises. Written exercises focus on improving the reader's understanding of theory and key concepts, whereas computer exercises help readers apply theory to problems similar to ones they are likely to encounter in industry. With its expert blend of theory and practice, coupled with its presentation of recent research results, Optimal State Estimation is strongly recommended for undergraduate and graduate-level courses in optimal control and state estimation theory. It also serves as a reference for engineers and science professionals across a wide array of industries. This book presents selected papers of the Itzhack Y. Bar-Itzhack Memorial Sympo- sium on Estimation, Navigation, and Spacecraft Control. Itzhack Y. Bar-Itzhack, professor Emeritus of Aerospace Engineering at the Technion – Israel Institute of Technology, was a prominent and world-renowned member of the applied estimation, navigation, and spacecraft attitude determination communities. He touched the lives of many. He had a love for life, an incredible sense of humor, and wisdom that he shared freely with everyone he met. To honor Professor Bar-Itzhack's memory, as well as his numerous seminal professional achievements, an international symposium was held in Haifa, Israel, on October 14–17, 2012, under the auspices Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton of the Faculty of Aerospace Engineering at the Technion and the Israeli Association for Automatic Control. The book contains 27 selected, revised, and edited contributed chapters written by eminent international experts. The book is organized in three parts: (1) Estimation, (2) Navigation and (3) Spacecraft Guidance, Navigation and Control. The volume was prepared as a reference for research scientists and practicing engineers from academy and industry in the fields of estimation, navigation, and spacecraft GN&C. This newly revised and greatly expanded edition of the popular Artech House book Principles of GNSS, Inertial, and Multisensor Integrated Navigation Systems offers you a current and comprehensive understanding of satellite navigation, inertial navigation, terrestrial radio navigation, dead reckoning, and environmental feature matching . It provides both an introduction to navigation systems and an in-depth treatment of INS/GNSS and multisensor integration. The second edition offers a wealth of added and updated material, including a brand new chapter on the principles of radio positioning and a chapter devoted to important applications in the field. Other updates include expanded treatments of map matching, image- At this conference the latest state of inertial sensors and navigation systems as well as gyro technology will be presented This includes applications of this technology, the development of new systems, components and test procedures as well as investigations on cost and marketing aspects As modern systems for navigation, localization and guidance are increasingly making use of aiding data provided by additional non inertial sensors, these topics will be focused on by the conference with growing interest Therefore, also papers covering hybrid systems will be highly appreciated, which fuse data from inertial sensors with that from GNSS, visual, infrared, radar or other sensors Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton based navigation, attitude determination, acoustic positioning, pedestrian navigation, advanced GNSS techniques, and several terrestrial and short-range radio positioning technologies .. The book shows you how satellite, inertial, and other navigation technologies work, and focuses on processing chains and error sources. In addition, you get a clear introduction to coordinate frames, multi-frame kinematics, Earth models, gravity, Kalman filtering, and nonlinear filtering. Providing solutions to common integration problems, the book describes and compares different integration architectures, and explains how to model different error sources. You get a broad and penetrating overview of current technology and are brought up to speed with the latest developments in the field, including context-dependent and cooperative positioning. Inertial navigation	is widely used for the guidance of aircraft, missiles ships and land vehicles, as well as in a number of novel applications such as surveying underground pipelines in drilling operations.	This book sets out to provide a clear and concise description of the physical principles of inertial navigation, the associated growth of errors and their compensation. There is also detailed treatment of recent developments in inertial sensor technology and a description of techniques for implementing and evaluating such systems. This new edition includes a number of refinements covering sensor technology, geodesy and error modelling, the major additions to the original text are new chapters on MEMS technology and inertial system applications. [Source : 4e de couv.]. Fundamentals of Inertial Navigation, Satellite-based Positioning and their Integration is an introduction to the field of Integrated Navigation Systems. It serves as an excellent reference for working engineers as well as textbook for beginners and students new to Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton the area. The book is easy to read and understand with minimum background knowledge. The authors explain the derivations in great detail. The intermediate steps are thoroughly explained so that a beginner can easily follow the material. The book shows a step-by-step implementation of navigation algorithms and provides all the necessary details. It provides detailed illustrations for an easy comprehension. The book also demonstrates real field experiments and in-vehicle road test results with professional discussions and analysis. This work is unique in discussing the different INS/GPS integration schemes in an easy to understand and straightforward way. Those schemes include loosely vs tightly coupled, open loop vs closed loop, and many more. This new edition of the bestselling Measurement, Instrumentation, and Sensors Handbook brings together all aspects of the design and implementation of measurement, instrumentation, and sensors. Reflecting the current state of the art, it describes the use of instruments and techniques for performing practical measurements in engineering, physics, chemistry, and the life sciences; explains sensors and the associated hardware and software; and discusses processing systems, automatic data acquisition, reduction and analysis, operation characteristics, accuracy, errors, calibrations, and the incorporation of standards for control purposes. Organized according to measurement problem, the Second Edition: Consists of 2 volumes Features contributions from 240+ field experts Contains 53 new chapters, plus updates to all 194 existing chapters Addresses different ways of making measurements Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton for given variables Emphasizes modern intelligent instruments and techniques, human factors, modern display methods, instrument networks, and virtual instruments Explains modern wireless techniques, sensors, measurements, and applications A concise and useful reference for engineers, scientists, academic faculty, students, designers, managers, and industry professionals involved in instrumentation and measurement research and development, Measurement, Instrumentation, and Sensors Handbook, Second Edition provides readers with a greater understanding of advanced applications. Navigation fundamentally provides information on position, velocity and direction which are needed for travel in ocean, land, air and in space. The myriad forms of navigation developed so far are collectively called modern navigation. This recent text discusses new promising developments that will assist the students when they enter their future professional career. It is the outcome of authors' wide experience in teaching, research and development in the field of navigation and inertial sensors. The content of the book is designed to impart adequate knowledge to the students in the area of navigation and related sensors. The text discusses inertial navigation, inertial sensors, MEMS based inertial sensors, satellite navigation, integrated inertial navigation, signal processing of inertial sensors and their applications. The chapters introduce all the topics in an easy to understand manner so that an appreciative understanding of the text matter can be made without resorting to equations and mathematics. Considerable references have Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton been provided to enable both the students and the professors to dwell and learn more on the topics of their interest. This textbook is primarily intended to meet the academic needs of undergraduate and postgraduate students of aerospace engineering and avionics. This book covers all aspects of inertial navigation systems (INS), including the sensor technology and the estimation of instrument errors, as well as their integration with the Microelectromechanical system (MEMS) inertial sensors have become ubiquitous in modern society. Built into mobile telephones, gaming consoles, virtual reality headsets, we use such sensors on a daily basis. They also have applications in medical therapy devices, motion-capture filming, traffic monitoring systems, and drones. While providing accurate measurements over short time scales, this diminishes over longer periods. To date, this problem has been resolved by combining them with additional sensors and models. This adds both expense and size to the devices. This tutorial focuses on the signal processing aspects of position and orientation estimation using inertial sensors. It discusses different modelling choices and a selected number of important algorithms that engineers can use to select the best options for their designs. The algorithms include optimization-based smoothing and filtering as well as computationally cheaper extended Kalman filter and complementary filter implementations. Engineers, researchers, and students deploying MEMS inertial sensors will find that this tutorial is an essential monograph on how to optimize their designs. Copyright : www.treca.org Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton Global Positioning System (GPS) for geodetic applications. Complete mathematical derivations are given. Both stabilized and strapdown mechanizations are treated in detail. Derived algorithms to process sensor data and a comprehensive explanation of the error dynamics provide not only an analytical understanding but also a practical implementation of the concepts. A self-contained description of GPS, with emphasis on kinematic applications, is one of the highlights in this book. The text is of interest to geodesists, including surveyors, mappers, and photogrammetrists; to engineers in aviation, navigation, guidance, transportation, and robotics; and to scientists involved in aerogeophysics and remote sensing. Copyright: 40627aeaa6d1dbe59ebdb8ef57abc27c	30,893	end_of_word	navigation	remove_one_sentence	<url> https://www.treca.org/furn./margin/strapdown_inertial_navigation_technology_2nd_edition_by_david_titterton_pdf </url> <text> Strapdown Inertial Navigation Technology 2nd Edition By David Titterton Modern inertial sensors and systems cover more than five decades of continuous research and development involving various branches of science and engineering. Various technologies have emerged in an evolutionary manner surpassing the earlier ones in performance and reliability. The subject is still growing with proliferation in newer cost effec-tive applications, while its wider usage in aerospace systems continues. This book exposes the readers to the subject of inertial navigation, the inertial sensors and inertial systems in a unified manner while emphasizing the growth areas in emerging technologies such as micro-electromechanical inertial sensors, satellite navigation, satellite navigation integrated inertial navigation, hemispherical resonator gyro, vibrating beam accelerometer, interferometric fibre optic gyro, inertial sensor signal processing, redundant inertial systems and the quite recent emergence of cold atom interferometer based inertial sensors. The contents are imaginatively designed that will of interest to a wide spectrum of readers. The book has been written with utmost lucidity and clarity and explanations provided with a large number of illustrative figures. Besides being an ideal introduction to the principles of inertial sensors and systems for undergraduate and postgraduate students of aerospace engineering, the topics dealt with will also be of benefit to practising engineers and can assist the researchers to locate excellent references for research work. The authors have had three decades of design and application research experience in premier research institutions and have made use of their experience in giving a user-friendly shape to the book. Annotation Beginning with the basic principles of navigation, "Integrated Navigation and Guidance Systems takes a step beyond introductions with a concise look at the flight applications of inertial navigation systems integrated with Global Positioning System (GPS) satellite systems. Written at the senior engineering college level, the textbook takes a tutorial approach, weaving interrelated disciplines together with interactive computer exercises and AINSBOOK software for error analysis and Kalman filter simulation. Get a "technical jump start" with a look at traditional navigation radio aids, inertial guidance systems, and Kalman filters. Launch into GPS applications to navigation, precision approach and landing, attitude control, and air traffic control. More than 100 figures, photos, and tables add to the textbook's value. Inertial navigation is widely used for the guidance of aircraft, missiles ships and land vehicles, as well as in a number of novel applications such as surveying underground pipelines in drilling operations. This book discusses the physical principles of inertial navigation, the associated growth of errors and their compensation. It draws current technological developments, provides an indication of potential future trends and covers a broad range of applications. New chapters on MEMS (microelectromechanical systems) technology and inertial system applications are included. Topics of interests are in the broad areas of GNC, including but not limited to Control Theory and Analysis Intelligent Computing, Communication and Control New Methods of Navigation, Estimation and Tracking Navigation, Guidance and Control of Aircraft Navigation, Guidance and Control of Other Moving Objects Control of Multiple Moving Objects Man and Autonomous Unmanned Systems Guidance, Navigation and Control of Miniature Aircraft Sensor Systems for Guidance, Navigation and Control Advanced Design Simulation Software Covers the latest developments in PNT technologies, including integrated satellite navigation, sensor systems, and civil applications Featuring sixty-four chapters that are divided into six parts, this two-volume work provides comprehensive coverage of the state-of-the-art in satellitebased position, navigation, and timing (PNT) technologies and civilian applications. It also examines alternative navigation technologies based on other signals-of-opportunity and sensors and offers a comprehensive treatment on integrated PNT systems for consumer and commercial applications. Volume 1 of Position, Navigation, and Timing Technologies in the 21st Century: Integrated Satellite Navigation, Sensor Systems, and Civil Applications contains three parts and focuses on the satellite navigation systems, technologies, and engineering and scientific applications. It starts with a historical perspective of GPS development and other related PNT development. Current global and regional navigation satellite systems (GNSS and RNSS), their inter-operability, signal quality monitoring, satellite orbit and time synchronization, and ground- and satellite-based augmentation systems are examined. Recent progresses in satellite navigation receiver technologies and challenges for operations in multipath-rich urban environment, in handling spoofing and interference, and in ensuring PNT integrity are addressed. A section on satellite navigation for engineering and scientific applications finishes off the volume. Volume 2 of Position, Navigation, and Timing Technologies in the 21st Century: Integrated Satellite Navigation, Sensor Systems, and Civil Applications consists of three parts and addresses PNT using alternative signals and sensors and integrated PNT technologies for consumer and commercial applications. It looks at PNT using various radio signals-ofRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton opportunity, atomic clock, optical, laser, magnetic field, celestial, MEMS and inertial sensors, as well as the concept of navigation from Low-Earth Orbiting (LEO) satellites. GNSS-INS integration, neuroscience of navigation, and animal navigation are also covered. The volume finishes off with a collection of work on contemporary PNT applications such as survey and mobile mapping, precision agriculture, wearable systems, automated driving, train control, commercial unmanned aircraft systems, aviation, and navigation in the unique Arctic environment. In addition, this text: Serves as a complete reference and handbook for professionals and students interested in the broad range of PNT subjects Includes chapters that focus on the latest developments in GNSS and other navigation sensors, techniques, and applications Illustrates interconnecting relationships between various types of technologies in order to assure more protected, tough, and accurate PNT Position, Navigation, and Timing Technologies in the 21st Century: Integrated Satellite Navigation, Sensor Systems, and Civil Applications will appeal to all industry professionals, researchers, and academics involved with the science, engineering, and applications of position, navigation, and timing technologies. pnt21book.com This book analyses the legal, ethical and social aspects of using deep-learning AI robotic products. The collective effort of distinguished international researchers has been incorporated into one book suitable for the broader audience interested in the emerging scientific field of roboethics. The book has been edited by Prof. George Dekoulis, Aerospace Engineering Institute, Cyprus, expert on state-of-the-art implementations of robotic systems for unmanned spacecraft navigation and other aerospace applications. We hope this book will increase the sensitivity of all the community members involved with roboethics. The significance of Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton incorporating all aspects of roboethics right at the beginning of the creation of a new deeplearning AI robot is emphasised and analysed throughout the book. AI robotic systems offer an unprecedented set of virtues to the society. However, the principles of roboethical design and operation of deep-learning AI robots must be strictly legislated, the manufacturers should apply the laws and the knowledge development of the AI robots should be closely monitored after sales. This will minimise the drawbacks of implementing such intelligent technological solutions. These devices are a representation of ourselves and form communities like us. Learning from them is also a way to improve ourselves. An updated guide to GNSS and INS, and solutions to real-world GPS/INS problems with Kalman filtering Written by recognized authorities in the field, this second edition of a landmark work provides engineers, computer scientists, and others with a working familiarity with the theory and contemporary applications of Global Navigation Satellite Systems (GNSS), Inertial Navigational Systems (INS), and Kalman filters. Throughout, the focus is on solving real-world problems, with an emphasis on the effective use of state-of-the-art integration techniques for those systems, especially the application of Kalman filtering. To that end, the authors explore the various subtleties, common failures, and inherent limitations of the theory as it applies to real-world situations, and provide numerous detailed application examples and practice problems, including GNSS-aided INS, modeling of gyros and accelerometers, and SBAS and GBAS. Drawing upon their many years of experience with GNSS, INS, and the Kalman filter, the authors present numerous design and implementation techniques not found in other professional references. This Second Edition has been updated to include: GNSS signal integrity with SBAS Mitigation of multipath, including results Ionospheric delay estimation with Kalman filters New MATLAB programs for satellite position determination using almanac and ephemeris data and ionospheric delay calculations from single and dual frequency data New algorithms for GEO with L1 /L5 frequencies and clock steering Implementation of mechanization equations in numerically stable algorithms To enhance comprehension of the subjects covered, the authors have included software in MATLAB, demonstrating the working of the GNSS, INS, and filter algorithms. In addition to showing the Kalman filter in action, the software also demonstrates various practical aspects of finite word length arithmetic and the need for alternative algorithms to preserve result accuracy. This book is about aerospace sensors, their principles of operation, and their typical advantages, shortcomings, and vulnerabilities. They are described in the framework of the subsystems where they function and in accordance with the flight mission they are designed to serve. The book is intended for students at the advanced undergraduate or graduate level and for research engineers who need to acquire this kind of knowledge. An effort has been made to explain, within a uniform framework of mathematical modeling, the physics upon which a certain sensor concept is based, its construction, its dynamics, and its error sources and their corresponding mathematical models. Equipped with such knowledge and understanding, the student or research engineer should be able to get involved in research and development activities of guidance, control, and navigation systems and to contribute to the initiation of novel ideas in the aerospace sensor field. As a designer and systems engineer, he should be able to correctly interpret the various items in a technical data list and thus to interact Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton intelligently with manufacturers' representatives and other members of an R&D team. Much of the text has evolved from undergraduate and graduate courses given by the author during the past seventeen years at the Department of Aerospace Engineering at the Technion- Israel Institute of Technology and from his earlier research and development experience in flight control, guidance, navigation, and avionics at the Ministry of Defense Central Research Institute. This book introduces readers to the fundamentals of estimation and dynamical system theory, and their applications in the field of multi-source information fused autonomous Out-of-print for years, this highly sought-after volume, remains the most popular reference on inertial navigation systems analysis. Finally, this classic book is back in print and readily available only from Artech House. Authored by a pioneer in the field, this authoritative resource focuses on terrestrial navigation, but is also useful for air and sea applications. Packed with valuable, time-saving equations and models, the book helps engineers design optimal navigation systems by comparing the performance of the various types of system mechanizations. Although applications and technology have changed over the years, this book remains the best source for fundamental inertial navigation system knowledge, from notational conventions, reference frames, and geometry of the earth, to unified error analysis, self-alignment techniques, and the development of a system error model. This well-illustrated, timeless reference belongs on the shelf of every practicing engineer working in this area. Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton navigation for spacecraft. The content is divided into two parts: theory and application. The theory part (Part I) covers the mathematical background of navigation algorithm design, including parameter and state estimate methods, linear fusion, centralized and distributed fusion, observability analysis, Monte Carlo technology, and linear covariance analysis. In turn, the application part (Part II) focuses on autonomous navigation algorithm design for different phases of deep space missions, which involves multiple sensors, such as inertial measurement units, optical image sensors, and pulsar detectors. By concentrating on the relationships between estimation theory and autonomous navigation systems for spacecraft, the book bridges the gap between theory and practice. A wealth of helpful formulas and various types of estimators are also included to help readers grasp basic estimation concepts and offer them a readyreference guide. Accurate determination of the mobile position constitutes the basis of many new applications. This book provides a detailed account of wireless systems for positioning, signal processing, radio localization techniques (Time Difference Of Arrival), performances evaluation, and localization applications. The first section is dedicated to Satellite systems for positioning like GPS, GNSS. The second section addresses the localization applications using the wireless sensor networks. Some techniques are introduced for localization systems, especially for indoor positioning, such as Ultra Wide Band (UWB), WIFI. The last section is dedicated to Coupled GPS and other sensors. Some results of simulations, implementation and tests are given to help readers grasp the presented techniques. This is an ideal book for students, PhD students, academics and engineers in the field of Communication, localization This thesis develops next-generation multi-degree-of-freedom gyroscopes and inertial measurement units (IMU) using micro-electromechanical-systems (MEMS) technology. It covers both a comprehensive study of the physics of resonator gyroscopes and novel micro/nano-fabrication solutions to key performance limits in MEMS resonator gyroscopes. Firstly, theoretical and experimental studies of physical phenomena including mode localization, nonlinear behavior, and energy dissipation provide new insights into challenges like quadrature errors and flicker noise in resonator gyroscope systems. Secondly, advanced designs and micro/nano-fabrication methods developed in this work demonstrate valuable applications to a wide range of MEMS/NEMS devices. In particular, the HARPSS+ process platform established in this thesis features a novel slanted nano-gap transducer, which enabled the first wafer-level-packaged single-chip IMU prototype with co-fabricated high-frequency resonant triaxial gyroscopes and high-bandwidth triaxial micro-gravity accelerometers. This prototype demonstrates performance amongst the highest to date, with unmatched robustness and potential for flexible substrate integration and ultra-low-power operation. This thesis shows a path toward future low-power IMU-based applications including wearable inertial sensors, health informatics, and personal inertial navigation. MATLAB is an indispensable asset for scientists, researchers, and engineers. The richness of the MATLAB computational environment combined with an integrated development environment (IDE) and straightforward interface, toolkits, and simulation and modeling capabilities, creates a research and development tool that has no equal. From quick code prototyping to full blown deployable applications, MATLAB stands as a de facto development language and environment serving the technical needs of a wide range of users. As a collection of diverse applications, each book chapter presents a novel application and use of MATLAB for a specific result. Design Cutting-Edge Aided Navigation Systems for Advanced Commercial & Military Applications Aided Navigation is a design-oriented textbook and guide to building aided navigation systems for smart cars, precision farming vehicles, smart weapons, unmanned aircraft, mobile robots, and other advanced applications. The navigation guide contains two parts explaining the essential theory, concepts, and tools, as well as the methodology in aided navigation case studies with sufficient detail to serve as the basis for application-oriented analysis and design. Filled with detailed illustrations and examples, this expert design tool takes you step-by-step through coordinate systems, deterministic and stochastic modeling, optimal estimation, and navigation system design. Authoritative and comprehensive, Aided Navigation features: End-of-chapter exercises throughout Part I In-depth case studies of aided navigation systems Numerous Matlab-based examples Appendices define notation, review linear algebra, Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton and discuss GPS receiver interfacing Source code and sensor data to support examples is available through the publisher-supported website Inside this Complete Guide to Designing Aided Navigation Systems · Aided Navigation Theory: Introduction to Aided Navigation · Coordinate Systems · Deterministic Modeling · Stochastic Modeling · Optimal Estimation · Navigation System Design · Navigation Case Studies: Global Positioning System (GPS) · GPS-Aided Encoder · Attitude and Heading Reference System · GPS-Aided Inertial Navigation System (INS) · Acoustic Ranging and Doppler-Aided INS A description of the inertial technology used for guidance, control, and navigation, discussing in detail the principles, operation, and design of sensors, gyroscopes, and accelerometers, as well as the advantages and disadvantages of particular systems. An engineer with long practical experience in the field, the author elucidates such recent developments as fibre-optic gyroscopes, solid-state accelerometers, and the global positioning system. This will be of interest to researchers and practising engineers involved in systems engineering, aeronautics, The subject of integrated navigation systems covered in this book is designed for those directly involved with the design, integration, and test and evaluation of navigation systems. It is assumed that the reader has a background in mathematics, including calculus. Integrated navigation systems are the combination of an onboard navigation solution (position, velocity, and attitude) and independent navigation data (aids to navigation) to update or correct navigation solutions. In this book, this combination is accomplished with Kalman filter algorithms. Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton space research, and navigation on both land and sea. This book showcases new theoretical findings and techniques in the field of intelligent systems and control. It presents in-depth studies on a number of major topics, including: Multi-Agent Systems, Complex Networks, Intelligent Robots, Complex System Theory and Swarm Behavior, Event-Triggered Control and Data-Driven Control, Robust and Adaptive Control, Big Data and Brain Science, Process Control, Intelligent Sensor and Detection Technology, Deep learning and Learning Control, Guidance, Navigation and Control of Aerial Vehicles, and so on. Given its scope, the book will benefit all researchers, engineers, and graduate students who want to learn about cutting-edge advances in intelligent systems, intelligent control, and artificial intelligence. This book covers recent topics on gyroscopes. It briefly introduces the history of gyroscopes, and presents a concise analysis of the main types. The classical structure and main performance parameters of an interferometric fiber-optic gyroscope and an integrated optics passive-resonator gyroscope are analyzed. The developmental progress of a fiber optic gyroscope and its research situation in the United States, Japan, France, and other major developing countries are also presented. An effective autoregressive moving average model was invented to reduce MEMS gyroscope noise behavior. A discrete-time nonlinear attitude tracking control system was verified to achieve the agility and large-angle attitude maneuvers of spacecraft by numerical simulations. MEMS gyroscopes were experimentally demonstrated to be effective tools for gait analysis and to reduce the cost of revealing underlying pathologies. Strapdown Inertial Navigation TechnologyIET Data Fusion Methodology and Applications explores the data-driven discovery paradigm in Page 12/21 Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton science and the need to handle large amounts of diverse data. Drivers of this change include the increased availability and accessibility of hyphenated analytical platforms, imaging techniques, the explosion of omics data, and the development of information technology. As data-driven research deals with an inductive attitude that aims to extract information and build models capable of inferring the underlying phenomena from the data itself, this book explores the challenges and methodologies used to integrate data from multiple sources, analytical platforms, different modalities, and varying timescales. Presents the first comprehensive textbook on data fusion, focusing on all aspects of data-driven discovery Includes comprehensible, theoretical chapters written for large and diverse audiences Provides a wealth of selected application to the topics included Compiled by leading authorities, Aerospace Navigation Systems is a compendium of chapters that present modern aircraft and spacecraft navigation methods based on up-to-date inertial, satellite, map matching and other guidance techniques. Ranging from the practical to the theoretical, this book covers navigational applications over a wide range of aerospace vehicles including aircraft, spacecraft and drones, both remotely controlled and operating as autonomous vehicles. It provides a comprehensive background of fundamental theory, the utilisation of newly-developed techniques, incorporates the most complex and advanced types of technical innovation currently available and presents a vision for future developments. Satellite Navigation Systems (SNS), long range navigation systems, short range navigation systems and navigational displays are introduced, and many other detailed topics include Radio Navigation Systems (RNS), Inertial Navigation Systems (INS), Homing Systems, Map Matching and other correlated-extremalsystems, and both optimal and sub-optimal filtering in Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton integrated navigation systems. This annual conference is the traditional meeting place for scientists and engineers involved in GN&C from all over the world to exchange the results of their latest accomplishments and discuss prospects for the future This book focuses on gyro-free inertial navigation technology, which is used to measure not only linear motion parameters but also angular rates. Since no gyroscopes are used, the key technologies, such as initial alignment, attitude resolution, and error calibration, are very different than those used in traditional methods. Discussing each key technology in gyro-free inertial navigation system (GFINS) manufacture in a separate chapter, the book features easyto-understand, detailed illustrations, to allow all those involved in inertial navigation to gain a better grasp of GFINS manufacture, including accelerometer setting principles; initial alignment; quaternion-based, attitude resolution algorithms; and accelerometer de-noise methods. A bottom-up approach that enables readers to master and apply the latest techniques in state estimation This book offers the best mathematical approaches to estimating the state of a general system. The author presents state estimation theory clearly and rigorously, providing the right amount of advanced material, recent research results, and references to enable the reader to apply state estimation techniques confidently across a variety of fields in science and engineering. While there are other textbooks that treat state estimation, this one offers special features and a unique perspective and pedagogical approach that speed learning: * Straightforward, bottom-up approach begins with basic concepts and then builds step by step to more advanced topics for a clear understanding of state estimation * Simple examples and Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton problems that require only paper and pen to solve lead to an intuitive understanding of how theory works in practice * MATLAB(r)-based source code that corresponds to examples in the book, available on the author's Web site, enables readers to recreate results and experiment with other simulation setups and parameters Armed with a solid foundation in the basics, readers are presented with a careful treatment of advanced topics, including unscented filtering, high order nonlinear filtering, particle filtering, constrained state estimation, reduced order filtering, robust Kalman filtering, and mixed Kalman/H? filtering. Problems at the end of each chapter include both written exercises and computer exercises. Written exercises focus on improving the reader's understanding of theory and key concepts, whereas computer exercises help readers apply theory to problems similar to ones they are likely to encounter in industry. With its expert blend of theory and practice, coupled with its presentation of recent research results, Optimal State Estimation is strongly recommended for undergraduate and graduate-level courses in optimal control and state estimation theory. It also serves as a reference for engineers and science professionals across a wide array of industries. This book presents selected papers of the Itzhack Y. Bar-Itzhack Memorial Sympo- sium on Estimation, Navigation, and Spacecraft Control. Itzhack Y. Bar-Itzhack, professor Emeritus of Aerospace Engineering at the Technion – Israel Institute of Technology, was a prominent and world-renowned member of the applied estimation, navigation, and spacecraft attitude determination communities. He touched the lives of many. He had a love for life, an incredible sense of humor, and wisdom that he shared freely with everyone he met. To honor Professor Bar-Itzhack's memory, as well as his numerous seminal professional achievements, an international symposium was held in Haifa, Israel, on October 14–17, 2012, under the auspices Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton of the Faculty of Aerospace Engineering at the Technion and the Israeli Association for Automatic Control. The book contains 27 selected, revised, and edited contributed chapters written by eminent international experts. The book is organized in three parts: (1) Estimation, (2) Navigation and (3) Spacecraft Guidance, Navigation and Control. The volume was prepared as a reference for research scientists and practicing engineers from academy and industry in the fields of estimation, navigation, and spacecraft GN&C. This newly revised and greatly expanded edition of the popular Artech House book Principles of GNSS, Inertial, and Multisensor Integrated Navigation Systems offers you a current and comprehensive understanding of satellite navigation, inertial navigation, terrestrial radio navigation, dead reckoning, and environmental feature matching . It provides both an introduction to navigation systems and an in-depth treatment of INS/GNSS and multisensor integration. The second edition offers a wealth of added and updated material, including a brand new chapter on the principles of radio positioning and a chapter devoted to important applications in the field. Other updates include expanded treatments of map matching, image- At this conference the latest state of inertial sensors and navigation systems as well as gyro technology will be presented This includes applications of this technology, the development of new systems, components and test procedures as well as investigations on cost and marketing aspects As modern systems for navigation, localization and guidance are increasingly making use of aiding data provided by additional non inertial sensors, these topics will be focused on by the conference with growing interest Therefore, also papers covering hybrid systems will be highly appreciated, which fuse data from inertial sensors with that from GNSS, visual, infrared, radar or other sensors Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton based navigation, attitude determination, acoustic positioning, pedestrian navigation, advanced GNSS techniques, and several terrestrial and short-range radio positioning technologies .. The book shows you how satellite, inertial, and other navigation technologies work, and focuses on processing chains and error sources. In addition, you get a clear introduction to coordinate frames, multi-frame kinematics, Earth models, gravity, Kalman filtering, and nonlinear filtering. Providing solutions to common integration problems, the book describes and compares different integration architectures, and explains how to model different error sources. You get a broad and penetrating overview of current technology and are brought up to speed with the latest developments in the field, including context-dependent and cooperative positioning. Inertial navigation<cursor_is_here> This book sets out to provide a clear and concise description of the physical principles of inertial navigation, the associated growth of errors and their compensation. There is also detailed treatment of recent developments in inertial sensor technology and a description of techniques for implementing and evaluating such systems. This new edition includes a number of refinements covering sensor technology, geodesy and error modelling, the major additions to the original text are new chapters on MEMS technology and inertial system applications. [Source : 4e de couv.]. Fundamentals of Inertial Navigation, Satellite-based Positioning and their Integration is an introduction to the field of Integrated Navigation Systems. It serves as an excellent reference for working engineers as well as textbook for beginners and students new to Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton the area. The book is easy to read and understand with minimum background knowledge. The authors explain the derivations in great detail. The intermediate steps are thoroughly explained so that a beginner can easily follow the material. The book shows a step-by-step implementation of navigation algorithms and provides all the necessary details. It provides detailed illustrations for an easy comprehension. The book also demonstrates real field experiments and in-vehicle road test results with professional discussions and analysis. This work is unique in discussing the different INS/GPS integration schemes in an easy to understand and straightforward way. Those schemes include loosely vs tightly coupled, open loop vs closed loop, and many more. This new edition of the bestselling Measurement, Instrumentation, and Sensors Handbook brings together all aspects of the design and implementation of measurement, instrumentation, and sensors. Reflecting the current state of the art, it describes the use of instruments and techniques for performing practical measurements in engineering, physics, chemistry, and the life sciences; explains sensors and the associated hardware and software; and discusses processing systems, automatic data acquisition, reduction and analysis, operation characteristics, accuracy, errors, calibrations, and the incorporation of standards for control purposes. Organized according to measurement problem, the Second Edition: Consists of 2 volumes Features contributions from 240+ field experts Contains 53 new chapters, plus updates to all 194 existing chapters Addresses different ways of making measurements Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton for given variables Emphasizes modern intelligent instruments and techniques, human factors, modern display methods, instrument networks, and virtual instruments Explains modern wireless techniques, sensors, measurements, and applications A concise and useful reference for engineers, scientists, academic faculty, students, designers, managers, and industry professionals involved in instrumentation and measurement research and development, Measurement, Instrumentation, and Sensors Handbook, Second Edition provides readers with a greater understanding of advanced applications. Navigation fundamentally provides information on position, velocity and direction which are needed for travel in ocean, land, air and in space. The myriad forms of navigation developed so far are collectively called modern navigation. This recent text discusses new promising developments that will assist the students when they enter their future professional career. It is the outcome of authors' wide experience in teaching, research and development in the field of navigation and inertial sensors. The content of the book is designed to impart adequate knowledge to the students in the area of navigation and related sensors. The text discusses inertial navigation, inertial sensors, MEMS based inertial sensors, satellite navigation, integrated inertial navigation, signal processing of inertial sensors and their applications. The chapters introduce all the topics in an easy to understand manner so that an appreciative understanding of the text matter can be made without resorting to equations and mathematics. Considerable references have Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton been provided to enable both the students and the professors to dwell and learn more on the topics of their interest. This textbook is primarily intended to meet the academic needs of undergraduate and postgraduate students of aerospace engineering and avionics. This book covers all aspects of inertial navigation systems (INS), including the sensor technology and the estimation of instrument errors, as well as their integration with the Microelectromechanical system (MEMS) inertial sensors have become ubiquitous in modern society. Built into mobile telephones, gaming consoles, virtual reality headsets, we use such sensors on a daily basis. They also have applications in medical therapy devices, motion-capture filming, traffic monitoring systems, and drones. While providing accurate measurements over short time scales, this diminishes over longer periods. To date, this problem has been resolved by combining them with additional sensors and models. This adds both expense and size to the devices. This tutorial focuses on the signal processing aspects of position and orientation estimation using inertial sensors. It discusses different modelling choices and a selected number of important algorithms that engineers can use to select the best options for their designs. The algorithms include optimization-based smoothing and filtering as well as computationally cheaper extended Kalman filter and complementary filter implementations. Engineers, researchers, and students deploying MEMS inertial sensors will find that this tutorial is an essential monograph on how to optimize their designs. Copyright : www.treca.org Read Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton Global Positioning System (GPS) for geodetic applications. Complete mathematical derivations are given. Both stabilized and strapdown mechanizations are treated in detail. Derived algorithms to process sensor data and a comprehensive explanation of the error dynamics provide not only an analytical understanding but also a practical implementation of the concepts. A self-contained description of GPS, with emphasis on kinematic applications, is one of the highlights in this book. The text is of interest to geodesists, including surveyors, mappers, and photogrammetrists; to engineers in aviation, navigation, guidance, transportation, and robotics; and to scientists involved in aerogeophysics and remote sensing. Copyright: 40627aeaa6d1dbe59ebdb8ef57abc27c </text>	[ { "content": "<url>\nhttps://www.treca.org/furn./margin/strapdown_inertial_navigation_technology_2nd_edition_by_david_titterton_pdf\n</url>\n<text>\nStrapdown Inertial Navigation Technology 2nd Edition By David Titterton\n\nModern inertial sensors and systems cover more than five decades of continuous research and development involving various branches of science and engineering. Various technologies have emerged in an evolutionary manner surpassing the earlier ones in performance and reliability. The subject is still growing with proliferation in newer cost effec-tive applications, while its wider usage in aerospace systems continues. This book exposes the readers to the subject of inertial navigation, the inertial sensors and inertial systems in a unified manner while emphasizing the growth areas in emerging technologies such as micro-electromechanical inertial sensors, satellite navigation, satellite navigation integrated inertial navigation, hemispherical resonator gyro, vibrating beam accelerometer, interferometric fibre optic gyro, inertial sensor signal processing, redundant inertial systems and the quite recent emergence of cold atom interferometer based inertial sensors. The contents are imaginatively designed that will of interest to a wide spectrum of readers. The book has been written with utmost lucidity and clarity and explanations provided with a large number of illustrative figures. Besides being an ideal introduction to the principles of inertial sensors and systems for undergraduate and postgraduate students of aerospace engineering, the topics dealt with will also be of benefit to practising engineers and can assist the researchers to locate excellent references for research work. The authors have had three decades of design and application research experience in premier research institutions and have made use of their experience in giving a user-friendly\n\nshape to the book.\n\nAnnotation Beginning with the basic principles of navigation, \"Integrated Navigation and Guidance Systems takes a step beyond introductions with a concise look at the flight applications of inertial navigation systems integrated with Global Positioning System (GPS) satellite systems. Written at the senior engineering college level, the textbook takes a tutorial approach, weaving interrelated disciplines together with interactive computer exercises and AINSBOOK software for error analysis and Kalman filter simulation. Get a \"technical jump start\" with a look at traditional navigation radio aids, inertial guidance systems, and Kalman filters. Launch into GPS applications to navigation, precision approach and landing, attitude control, and air traffic control. More than 100 figures, photos, and tables add to the textbook's value.\n\nInertial navigation is widely used for the guidance of aircraft, missiles ships and land vehicles, as well as in a number of novel applications such as surveying underground pipelines in drilling operations. This book discusses the physical principles of inertial navigation, the associated growth of errors and their compensation. It draws current technological developments, provides an indication of potential future trends and covers a broad range of applications. New chapters on MEMS (microelectromechanical systems) technology and inertial system applications are included.\n\nTopics of interests are in the broad areas of GNC, including but not limited to Control Theory and Analysis Intelligent Computing, Communication and Control New Methods of Navigation, Estimation and Tracking Navigation, Guidance and Control of Aircraft Navigation, Guidance and Control of Other Moving Objects Control of Multiple Moving Objects Man and Autonomous\n\nUnmanned Systems Guidance, Navigation and Control of Miniature Aircraft Sensor Systems for Guidance, Navigation and Control Advanced Design Simulation Software Covers the latest developments in PNT technologies, including integrated satellite navigation, sensor systems, and civil applications Featuring sixty-four chapters that are divided into six parts, this two-volume work provides comprehensive coverage of the state-of-the-art in satellitebased position, navigation, and timing (PNT) technologies and civilian applications. It also examines alternative navigation technologies based on other signals-of-opportunity and sensors and offers a comprehensive treatment on integrated PNT systems for consumer and commercial applications. Volume 1 of Position, Navigation, and Timing Technologies in the 21st Century: Integrated Satellite Navigation, Sensor Systems, and Civil Applications contains three parts and focuses on the satellite navigation systems, technologies, and engineering and scientific applications. It starts with a historical perspective of GPS development and other related PNT development. Current global and regional navigation satellite systems (GNSS and RNSS), their inter-operability, signal quality monitoring, satellite orbit and time synchronization, and ground- and satellite-based augmentation systems are examined. Recent progresses in satellite navigation receiver technologies and challenges for operations in multipath-rich urban environment, in handling spoofing and interference, and in ensuring PNT integrity are addressed. A section on satellite navigation for engineering and scientific applications finishes off the volume. Volume 2 of Position, Navigation, and Timing Technologies in the 21st Century: Integrated Satellite Navigation, Sensor Systems, and Civil Applications consists of three parts and addresses PNT using alternative signals and sensors and integrated PNT technologies for consumer and commercial applications. It looks at PNT using various radio signals-ofRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton opportunity, atomic clock, optical, laser, magnetic field, celestial, MEMS and inertial sensors, as well as the concept of navigation from Low-Earth Orbiting (LEO) satellites. GNSS-INS integration, neuroscience of navigation, and animal navigation are also covered. The volume finishes off with a collection of work on contemporary PNT applications such as survey and mobile mapping, precision agriculture, wearable systems, automated driving, train control, commercial unmanned aircraft systems, aviation, and navigation in the unique Arctic environment. In addition, this text: Serves as a complete reference and handbook for professionals and students interested in the broad range of PNT subjects Includes chapters that focus on the latest developments in GNSS and other navigation sensors, techniques, and applications Illustrates interconnecting relationships between various types of technologies in order to assure more protected, tough, and accurate PNT Position, Navigation, and Timing Technologies in the 21st Century: Integrated Satellite Navigation, Sensor Systems, and Civil Applications will appeal to all industry professionals, researchers, and academics involved with the science, engineering, and applications of position, navigation, and timing technologies. pnt21book.com\n\nThis book analyses the legal, ethical and social aspects of using deep-learning AI robotic products. The collective effort of distinguished international researchers has been incorporated into one book suitable for the broader audience interested in the emerging scientific field of roboethics. The book has been edited by Prof. George Dekoulis, Aerospace Engineering Institute, Cyprus, expert on state-of-the-art implementations of robotic systems for unmanned spacecraft navigation and other aerospace applications. We hope this book will increase the sensitivity of all the community members involved with roboethics. The significance of\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton incorporating all aspects of roboethics right at the beginning of the creation of a new deeplearning AI robot is emphasised and analysed throughout the book. AI robotic systems offer an unprecedented set of virtues to the society. However, the principles of roboethical design and operation of deep-learning AI robots must be strictly legislated, the manufacturers should apply the laws and the knowledge development of the AI robots should be closely monitored after sales. This will minimise the drawbacks of implementing such intelligent technological solutions. These devices are a representation of ourselves and form communities like us. Learning from them is also a way to improve ourselves.\n\nAn updated guide to GNSS and INS, and solutions to real-world GPS/INS problems with Kalman filtering Written by recognized authorities in the field, this second edition of a landmark work provides engineers, computer scientists, and others with a working familiarity with the theory and contemporary applications of Global Navigation Satellite Systems (GNSS), Inertial Navigational Systems (INS), and Kalman filters. Throughout, the focus is on solving real-world problems, with an emphasis on the effective use of state-of-the-art integration techniques for those systems, especially the application of Kalman filtering. To that end, the authors explore the various subtleties, common failures, and inherent limitations of the theory as it applies to real-world situations, and provide numerous detailed application examples and practice problems, including GNSS-aided INS, modeling of gyros and accelerometers, and SBAS and GBAS. Drawing upon their many years of experience with GNSS, INS, and the Kalman filter, the authors present numerous design and implementation techniques not found in other professional references. This Second Edition has been updated to include: GNSS signal integrity with SBAS Mitigation of multipath, including results Ionospheric delay estimation with\n\nKalman filters New MATLAB programs for satellite position determination using almanac and ephemeris data and ionospheric delay calculations from single and dual frequency data New algorithms for GEO with L1 /L5 frequencies and clock steering Implementation of mechanization equations in numerically stable algorithms To enhance comprehension of the subjects covered, the authors have included software in MATLAB, demonstrating the working of the GNSS, INS, and filter algorithms. In addition to showing the Kalman filter in action, the software also demonstrates various practical aspects of finite word length arithmetic and the need for alternative algorithms to preserve result accuracy.\n\nThis book is about aerospace sensors, their principles of operation, and their typical advantages, shortcomings, and vulnerabilities. They are described in the framework of the subsystems where they function and in accordance with the flight mission they are designed to serve. The book is intended for students at the advanced undergraduate or graduate level and for research engineers who need to acquire this kind of knowledge. An effort has been made to explain, within a uniform framework of mathematical modeling, the physics upon which a certain sensor concept is based, its construction, its dynamics, and its error sources and their corresponding mathematical models. Equipped with such knowledge and understanding, the student or research engineer should be able to get involved in research and development activities of guidance, control, and navigation systems and to contribute to the initiation of novel ideas in the aerospace sensor field. As a designer and systems engineer, he should be able to correctly interpret the various items in a technical data list and thus to interact\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton intelligently with manufacturers' representatives and other members of an R&D team. Much of the text has evolved from undergraduate and graduate courses given by the author during the past seventeen years at the Department of Aerospace Engineering at the Technion- Israel Institute of Technology and from his earlier research and development experience in flight control, guidance, navigation, and avionics at the Ministry of Defense Central Research Institute.\n\nThis book introduces readers to the fundamentals of estimation and dynamical system theory, and their applications in the field of multi-source information fused autonomous\n\nOut-of-print for years, this highly sought-after volume, remains the most popular reference on inertial navigation systems analysis. Finally, this classic book is back in print and readily available only from Artech House. Authored by a pioneer in the field, this authoritative resource focuses on terrestrial navigation, but is also useful for air and sea applications. Packed with valuable, time-saving equations and models, the book helps engineers design optimal navigation systems by comparing the performance of the various types of system mechanizations. Although applications and technology have changed over the years, this book remains the best source for fundamental inertial navigation system knowledge, from notational conventions, reference frames, and geometry of the earth, to unified error analysis, self-alignment techniques, and the development of a system error model. This well-illustrated, timeless reference belongs on the shelf of every practicing engineer working in this area.\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton navigation for spacecraft. The content is divided into two parts: theory and application. The theory part (Part I) covers the mathematical background of navigation algorithm design, including parameter and state estimate methods, linear fusion, centralized and distributed fusion, observability analysis, Monte Carlo technology, and linear covariance analysis. In turn, the application part (Part II) focuses on autonomous navigation algorithm design for different phases of deep space missions, which involves multiple sensors, such as inertial measurement units, optical image sensors, and pulsar detectors. By concentrating on the relationships between estimation theory and autonomous navigation systems for spacecraft, the book bridges the gap between theory and practice. A wealth of helpful formulas and various types of estimators are also included to help readers grasp basic estimation concepts and offer them a readyreference guide.\n\nAccurate determination of the mobile position constitutes the basis of many new applications. This book provides a detailed account of wireless systems for positioning, signal processing, radio localization techniques (Time Difference Of Arrival), performances evaluation, and localization applications. The first section is dedicated to Satellite systems for positioning like GPS, GNSS. The second section addresses the localization applications using the wireless sensor networks. Some techniques are introduced for localization systems, especially for indoor positioning, such as Ultra Wide Band (UWB), WIFI. The last section is dedicated to Coupled GPS and other sensors.\n\nSome results of simulations, implementation and tests are given to help readers grasp the presented techniques. This is an ideal book for students, PhD students, academics and engineers in the field of Communication, localization\n\nThis thesis develops next-generation multi-degree-of-freedom gyroscopes and inertial measurement units (IMU) using micro-electromechanical-systems (MEMS) technology. It covers both a comprehensive study of the physics of resonator gyroscopes and novel micro/nano-fabrication solutions to key performance limits in MEMS resonator gyroscopes. Firstly, theoretical and experimental studies of physical phenomena including mode localization, nonlinear behavior, and energy dissipation provide new insights into challenges like quadrature errors and flicker noise in resonator gyroscope systems. Secondly, advanced designs and micro/nano-fabrication methods developed in this work demonstrate valuable applications to a wide range of MEMS/NEMS devices. In particular, the HARPSS+ process platform established in this thesis features a novel slanted nano-gap transducer, which enabled the first wafer-level-packaged single-chip IMU prototype with co-fabricated high-frequency resonant triaxial gyroscopes and high-bandwidth triaxial micro-gravity accelerometers. This prototype demonstrates performance amongst the highest to date, with unmatched robustness and potential for flexible substrate integration and ultra-low-power operation. This thesis shows a path toward future low-power IMU-based applications including wearable inertial sensors, health informatics, and personal inertial navigation.\n\nMATLAB is an indispensable asset for scientists, researchers, and engineers. The richness of the MATLAB computational environment combined with an integrated development environment (IDE) and straightforward interface, toolkits, and simulation and modeling capabilities, creates a research and development tool that has no equal. From quick code prototyping to full blown deployable applications, MATLAB stands as a de facto development language and environment serving the technical needs of a wide range of users. As a collection of diverse applications, each book chapter presents a novel application and use of MATLAB for a specific result.\n\nDesign Cutting-Edge Aided Navigation Systems for Advanced Commercial & Military Applications Aided Navigation is a design-oriented textbook and guide to building aided navigation systems for smart cars, precision farming vehicles, smart weapons, unmanned aircraft, mobile robots, and other advanced applications. The navigation guide contains two parts explaining the essential theory, concepts, and tools, as well as the methodology in aided navigation case studies with sufficient detail to serve as the basis for application-oriented analysis and design. Filled with detailed illustrations and examples, this expert design tool takes you step-by-step through coordinate systems, deterministic and stochastic modeling, optimal estimation, and navigation system design. Authoritative and comprehensive, Aided Navigation features: End-of-chapter exercises throughout Part I In-depth case studies of aided navigation systems Numerous Matlab-based examples Appendices define notation, review linear algebra,\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton and discuss GPS receiver interfacing Source code and sensor data to support examples is available through the publisher-supported website Inside this Complete Guide to Designing Aided Navigation Systems · Aided Navigation Theory: Introduction to Aided Navigation · Coordinate Systems · Deterministic Modeling · Stochastic Modeling · Optimal Estimation · Navigation System Design · Navigation Case Studies: Global Positioning System (GPS) · GPS-Aided Encoder · Attitude and Heading Reference System · GPS-Aided Inertial Navigation System (INS) · Acoustic Ranging and Doppler-Aided INS\n\nA description of the inertial technology used for guidance, control, and navigation, discussing in detail the principles, operation, and design of sensors, gyroscopes, and accelerometers, as well as the advantages and disadvantages of particular systems. An engineer with long practical experience in the field, the author elucidates such recent developments as fibre-optic gyroscopes, solid-state accelerometers, and the global positioning system. This will be of interest to researchers and practising engineers involved in systems engineering, aeronautics,\n\nThe subject of integrated navigation systems covered in this book is designed for those directly involved with the design, integration, and test and evaluation of navigation systems. It is assumed that the reader has a background in mathematics, including calculus. Integrated navigation systems are the combination of an onboard navigation solution (position, velocity, and attitude) and independent navigation data (aids to navigation) to update or correct navigation solutions. In this book, this combination is accomplished with Kalman filter algorithms.\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton space research, and navigation on both land and sea.\n\nThis book showcases new theoretical findings and techniques in the field of intelligent systems and control. It presents in-depth studies on a number of major topics, including: Multi-Agent Systems, Complex Networks, Intelligent Robots, Complex System Theory and Swarm Behavior, Event-Triggered Control and Data-Driven Control, Robust and Adaptive Control, Big Data and Brain Science, Process Control, Intelligent Sensor and Detection Technology, Deep learning and Learning Control, Guidance, Navigation and Control of Aerial Vehicles, and so on. Given its scope, the book will benefit all researchers, engineers, and graduate students who want to learn about cutting-edge advances in intelligent systems, intelligent control, and artificial intelligence.\n\nThis book covers recent topics on gyroscopes. It briefly introduces the history of gyroscopes, and presents a concise analysis of the main types. The classical structure and main performance parameters of an interferometric fiber-optic gyroscope and an integrated optics passive-resonator gyroscope are analyzed. The developmental progress of a fiber optic gyroscope and its research situation in the United States, Japan, France, and other major developing countries are also presented. An effective autoregressive moving average model was invented to reduce MEMS gyroscope noise behavior. A discrete-time nonlinear attitude tracking control system was verified to achieve the agility and large-angle attitude maneuvers of spacecraft by numerical simulations. MEMS gyroscopes were experimentally demonstrated to be effective tools for gait analysis and to reduce the cost of revealing underlying pathologies. Strapdown Inertial Navigation TechnologyIET\n\nData Fusion Methodology and Applications explores the data-driven discovery paradigm in\n\nPage 12/21\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton science and the need to handle large amounts of diverse data. Drivers of this change include the increased availability and accessibility of hyphenated analytical platforms, imaging techniques, the explosion of omics data, and the development of information technology. As data-driven research deals with an inductive attitude that aims to extract information and build models capable of inferring the underlying phenomena from the data itself, this book explores the challenges and methodologies used to integrate data from multiple sources, analytical platforms, different modalities, and varying timescales. Presents the first comprehensive textbook on data fusion, focusing on all aspects of data-driven discovery Includes comprehensible, theoretical chapters written for large and diverse audiences Provides a wealth of selected application to the topics included\n\nCompiled by leading authorities, Aerospace Navigation Systems is a compendium of chapters that present modern aircraft and spacecraft navigation methods based on up-to-date inertial, satellite, map matching and other guidance techniques. Ranging from the practical to the theoretical, this book covers navigational applications over a wide range of aerospace vehicles including aircraft, spacecraft and drones, both remotely controlled and operating as autonomous vehicles. It provides a comprehensive background of fundamental theory, the utilisation of newly-developed techniques, incorporates the most complex and advanced types of technical innovation currently available and presents a vision for future developments. Satellite Navigation Systems (SNS), long range navigation systems, short range navigation systems and navigational displays are introduced, and many other detailed topics include Radio Navigation Systems (RNS), Inertial Navigation Systems (INS), Homing Systems, Map Matching and other correlated-extremalsystems, and both optimal and sub-optimal filtering in\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton integrated navigation systems.\n\nThis annual conference is the traditional meeting place for scientists and engineers involved in GN&C from all over the world to exchange the results of their latest accomplishments and discuss prospects for the future\n\nThis book focuses on gyro-free inertial navigation technology, which is used to measure not only linear motion parameters but also angular rates. Since no gyroscopes are used, the key technologies, such as initial alignment, attitude resolution, and error calibration, are very different than those used in traditional methods. Discussing each key technology in gyro-free inertial navigation system (GFINS) manufacture in a separate chapter, the book features easyto-understand, detailed illustrations, to allow all those involved in inertial navigation to gain a better grasp of GFINS manufacture, including accelerometer setting principles; initial alignment; quaternion-based, attitude resolution algorithms; and accelerometer de-noise methods.\n\nA bottom-up approach that enables readers to master and apply the latest techniques in state estimation This book offers the best mathematical approaches to estimating the state of a general system. The author presents state estimation theory clearly and rigorously, providing the right amount of advanced material, recent research results, and references to enable the reader to apply state estimation techniques confidently across a variety of fields in science and engineering. While there are other textbooks that treat state estimation, this one offers special features and a unique perspective and pedagogical approach that speed learning: \n\nStraightforward, bottom-up approach begins with basic concepts and then builds step by step to more advanced topics for a clear understanding of state estimation Simple examples and\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton problems that require only paper and pen to solve lead to an intuitive understanding of how theory works in practice * MATLAB(r)-based source code that corresponds to examples in the book, available on the author's Web site, enables readers to recreate results and experiment with other simulation setups and parameters Armed with a solid foundation in the basics, readers are presented with a careful treatment of advanced topics, including unscented filtering, high order nonlinear filtering, particle filtering, constrained state estimation, reduced order filtering, robust Kalman filtering, and mixed Kalman/H? filtering. Problems at the end of each chapter include both written exercises and computer exercises. Written exercises focus on improving the reader's understanding of theory and key concepts, whereas computer exercises help readers apply theory to problems similar to ones they are likely to encounter in industry. With its expert blend of theory and practice, coupled with its presentation of recent research results, Optimal State Estimation is strongly recommended for undergraduate and graduate-level courses in optimal control and state estimation theory. It also serves as a reference for engineers and science professionals across a wide array of industries. This book presents selected papers of the Itzhack Y. Bar-Itzhack Memorial Sympo- sium on Estimation, Navigation, and Spacecraft Control. Itzhack Y. Bar-Itzhack, professor Emeritus of Aerospace Engineering at the Technion – Israel Institute of Technology, was a prominent and world-renowned member of the applied estimation, navigation, and spacecraft attitude determination communities. He touched the lives of many. He had a love for life, an incredible sense of humor, and wisdom that he shared freely with everyone he met. To honor Professor Bar-Itzhack's memory, as well as his numerous seminal professional achievements, an international symposium was held in Haifa, Israel, on October 14–17, 2012, under the auspices\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton of the Faculty of Aerospace Engineering at the Technion and the Israeli Association for Automatic Control. The book contains 27 selected, revised, and edited contributed chapters written by eminent international experts. The book is organized in three parts: (1) Estimation, (2) Navigation and (3) Spacecraft Guidance, Navigation and Control. The volume was prepared as a reference for research scientists and practicing engineers from academy and industry in the fields of estimation, navigation, and spacecraft GN&C.\n\nThis newly revised and greatly expanded edition of the popular Artech House book Principles of GNSS, Inertial, and Multisensor Integrated Navigation Systems offers you a current and comprehensive understanding of satellite navigation, inertial navigation, terrestrial radio navigation, dead reckoning, and environmental feature matching . It provides both an introduction to navigation systems and an in-depth treatment of INS/GNSS and multisensor integration. The second edition offers a wealth of added and updated material, including a brand new chapter on the principles of radio positioning and a chapter devoted to important applications in the field. Other updates include expanded treatments of map matching, image-\n\nAt this conference the latest state of inertial sensors and navigation systems as well as gyro technology will be presented This includes applications of this technology, the development of new systems, components and test procedures as well as investigations on cost and marketing aspects As modern systems for navigation, localization and guidance are increasingly making use of aiding data provided by additional non inertial sensors, these topics will be focused on by the conference with growing interest Therefore, also papers covering hybrid systems will be highly appreciated, which fuse data from inertial sensors with that from GNSS, visual, infrared, radar or other sensors\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton based navigation, attitude determination, acoustic positioning, pedestrian navigation, advanced GNSS techniques, and several terrestrial and short-range radio positioning technologies .. The book shows you how satellite, inertial, and other navigation technologies work, and focuses on processing chains and error sources. In addition, you get a clear introduction to coordinate frames, multi-frame kinematics, Earth models, gravity, Kalman filtering, and nonlinear filtering. Providing solutions to common integration problems, the book describes and compares different integration architectures, and explains how to model different error sources. You get a broad and penetrating overview of current technology and are brought up to speed with the latest developments in the field, including context-dependent and cooperative positioning. Inertial navigation<cursor_is_here> This book sets out to provide a clear and concise description of the physical principles of inertial navigation, the associated growth of errors and their compensation. There is also detailed treatment of recent developments in inertial sensor technology and a description of techniques for implementing and evaluating such systems. This new edition includes a number of refinements covering sensor technology, geodesy and error modelling, the major additions to the original text are new chapters on MEMS technology and inertial system applications. [Source : 4e de couv.].\n\nFundamentals of Inertial Navigation, Satellite-based Positioning and their Integration is an introduction to the field of Integrated Navigation Systems. It serves as an excellent reference for working engineers as well as textbook for beginners and students new to\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton the area. The book is easy to read and understand with minimum background knowledge. The authors explain the derivations in great detail. The intermediate steps are thoroughly explained so that a beginner can easily follow the material. The book shows a step-by-step implementation of navigation algorithms and provides all the necessary details. It provides detailed illustrations for an easy comprehension. The book also demonstrates real field experiments and in-vehicle road test results with professional discussions and analysis. This work is unique in discussing the different INS/GPS integration schemes in an easy to understand and straightforward way. Those schemes include loosely vs tightly coupled, open loop vs closed loop, and many more. This new edition of the bestselling Measurement, Instrumentation, and Sensors Handbook brings together all aspects of the design and implementation of measurement, instrumentation, and sensors. Reflecting the current state of the art, it describes the use of instruments and techniques for performing practical measurements in engineering, physics, chemistry, and the life sciences; explains sensors and the associated hardware and software; and discusses processing systems, automatic data acquisition, reduction and analysis, operation characteristics, accuracy, errors, calibrations, and the incorporation of standards for control purposes. Organized according to measurement problem, the Second Edition: Consists of 2 volumes Features contributions from 240+ field experts Contains 53 new chapters, plus updates to all 194 existing chapters Addresses different ways of making measurements\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton for given variables Emphasizes modern intelligent instruments and techniques, human factors, modern display methods, instrument networks, and virtual instruments Explains modern wireless techniques, sensors, measurements, and applications A concise and useful reference for engineers, scientists, academic faculty, students, designers, managers, and industry professionals involved in instrumentation and measurement research and development, Measurement, Instrumentation, and Sensors Handbook, Second Edition provides readers with a greater understanding of advanced applications.\n\nNavigation fundamentally provides information on position, velocity and direction which are needed for travel in ocean, land, air and in space. The myriad forms of navigation developed so far are collectively called modern navigation. This recent text discusses new promising developments that will assist the students when they enter their future professional career. It is the outcome of authors' wide experience in teaching, research and development in the field of navigation and inertial sensors. The content of the book is designed to impart adequate knowledge to the students in the area of navigation and related sensors. The text discusses inertial navigation, inertial sensors, MEMS based inertial sensors, satellite navigation, integrated inertial navigation, signal processing of inertial sensors and their applications. The chapters introduce all the topics in an easy to understand manner so that an appreciative understanding of the text matter can be made without resorting to equations and mathematics. Considerable references have\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton been provided to enable both the students and the professors to dwell and learn more on the topics of their interest. This textbook is primarily intended to meet the academic needs of undergraduate and postgraduate students of aerospace engineering and avionics.\n\nThis book covers all aspects of inertial navigation systems (INS), including the sensor technology and the estimation of instrument errors, as well as their integration with the\n\nMicroelectromechanical system (MEMS) inertial sensors have become ubiquitous in modern society. Built into mobile telephones, gaming consoles, virtual reality headsets, we use such sensors on a daily basis. They also have applications in medical therapy devices, motion-capture filming, traffic monitoring systems, and drones. While providing accurate measurements over short time scales, this diminishes over longer periods. To date, this problem has been resolved by combining them with additional sensors and models. This adds both expense and size to the devices. This tutorial focuses on the signal processing aspects of position and orientation estimation using inertial sensors. It discusses different modelling choices and a selected number of important algorithms that engineers can use to select the best options for their designs. The algorithms include optimization-based smoothing and filtering as well as computationally cheaper extended Kalman filter and complementary filter implementations. Engineers, researchers, and students deploying MEMS inertial sensors will find that this tutorial is an essential monograph on how to optimize their designs.\n\nCopyright : www.treca.org\n\nRead Free Strapdown Inertial Navigation Technology 2nd Edition By David Titterton\n\nGlobal Positioning System (GPS) for geodetic applications. Complete mathematical derivations are given. Both stabilized and strapdown mechanizations are treated in detail. Derived algorithms to process sensor data and a comprehensive explanation of the error dynamics provide not only an analytical understanding but also a practical implementation of the concepts. A self-contained description of GPS, with emphasis on kinematic applications, is one of the highlights in this book. The text is of interest to geodesists, including surveyors, mappers, and photogrammetrists; to engineers in aviation, navigation, guidance, transportation, and robotics; and to scientists involved in aerogeophysics and remote sensing.\n\nCopyright: 40627aeaa6d1dbe59ebdb8ef57abc27c\n</text>\n", "role": "user" }, { "content": " is widely used for the guidance of aircraft, missiles ships and land vehicles, as well as in a number of novel applications such as surveying underground pipelines in drilling operations.", "role": "assistant" } ]
Catheterization Laboratory Considerations During the Coronavirus (COVID-19) Pandemic From the ACC's Interventional Council and SCAI Frederick G.P. Welt, MD, a , b Pinak B. Shah, MD, a , c Herbert D. Aronow, MD, MPH, a , d Anna E. Bortnick, MD, PHD, a , e Timothy D. Henry, MD, a , f Matthew W. Sherwood, MD, MHS, g Michael N. Young, MD, a , h Laura J. Davidson, MD, a , i Sabeeda Kadavath, MD, a , j Ehtisham Mahmud, MD, k Ajay J. Kirtane, MD, a , l from the American College of Cardiology's Interventional Council and the Society for Cardiovascular Angiography and Interventions oronavirus disease 2019 (COVID-19) has placed an enormous strain on the health care systems of the nations where it has spread widely, with speci ﬁ c implications of the disease on practice in the catheterization laboratory. These implications include how we might modify practice for standard cardiac patients, those who are suspected to have COVID-19, and those with COVID-19 who have either unrelated cardiac conditions or cardiac manifestations of the disease. It merits emphasis that this is a dynamic situation and one for which there are limited data. In addition, local conditions may vary considerably. The purpose of this joint statement from the American College of Cardiology (ACC) Interventional Council and the Society for Cardiovascular Angiography and Interventions (SCAI) is to discuss issues facing catheterization laboratory personnel during this time. The views expressed in this paper by the American College of Cardiology's Interventional Council do not necessarily reﬂect the views of the Journal of the American College of Cardiology or the American College of Cardiology. From the a American College of Cardiology Interventional Cardiology Sectional Leadership Council, Washington, DC; b Cardiovascular Division, University of Utah Health, Salt Lake City, Utah; c Division of Cardiovascular Medicine, Brigham and Women's Hospital, Harvard Medical School, Boston, Massachusetts; d Division of Cardiology, Warren Alpert Medical School of Brown University, Providence, Rhode Island; e Division of Cardiology, Monteﬁore Medical Center, Albert Einstein College of Medicine, Bronx, New York; f The Carl and Edyth Lindner Center for Research and Education, The Christ Hospital, Cincinnati, Ohio; g Division of Cardiology, Inova Heart and Vascular Institute, Fairfax, Virginia; h Cardiology Division, Dartmouth-Hitchcock Medical Center, Geisel School of Medicine at Dartmouth, Lebanon, New Hampshire; i Division of Cardiology, Northwestern University, Feinberg School of Medicine, Chicago, Illinois; j Department of Cardiovascular Medicine, University of Arkansas for Medical Science, Little Rock, Arkansas; k Divison of Cardiovascular Medicine, University of California San Diego, La Jolla, California; and the l Division of Cardiology, Department of Medicine, Columbia University Medical Center/NewYork-Presbyterian Hospital, New York, New York. Dr. Welt has served as a site principal investigator for a multicenter trial supported by Medtronic; and has received compensation from Medtronic for participating on an Advisory Board. Dr. Shah has received compensation as a proctor for Edwards Lifesciences; and has received educational grants from Edwards, Medtronic, and Abbott; and Dr. Shah's wife is an employee of ThermoFisher Scientiﬁc. Dr. Aronow has a ﬁnancial relationship with Silk Road Medical. Dr. Sherwood has received consulting fees from Medtronic. Dr. Mahmud has received consulting fees from Abiomed, Medtronic, and Boston Scientiﬁc; has an equity interest in Abiomed; is the national principal investigator for the Precision GRX study by Corindus; and is a site principal investigator for multicenter trials supported by CSI and Abbot Vascular. Dr. Bortnick has served as a site principal investigator for multicenter trials sponsored by Abbott, AstraZeneca, Sanoﬁ, and CSL-Behring, for which her institution received compensation; has received an honorarium from ClearView Healthcare Partners; and has received support from an American Heart Association Mentored and Clinical Population Research Award (17MCPRP33630098) and National Heart, Lung, and Blood Institute grant 1K23HL146982-01A1. Dr. Kirtane has received Institutional funding to Columbia University and/or Cardiovascular Research Foundation from Medtronic, Boston Scientiﬁc, Abbott Vascular, Abiomed, CSI, Philips, and ReCor Medical (personal: CME/conference honoraria and travel/meals only). All other authors have reported that they have no relationships relevant to the contents of this paper to disclose. The authors attest they are in compliance with human studies committees and animal welfare regulations of the authors' institutions and Food and Drug Administration guidelines, including patient consent where appropriate. For more information, visit the JACCauthor instructions page. ISSN 0735-1097/$36.00 https://doi.org/10.1016/j.jacc.2020.03.021 Although this is new territory for most of us, it should be noted that the Middle East respiratory syndrome and severe acute respiratory syndrome epidemics within the past 2 decades did provide some limited information on the effects of highly contagious and morbid respiratory diseases on the catheterization laboratory (1). PATIENTS. Many institutions in the United States have already placed a moratorium on elective procedures within the catheterization laboratory in an effort to preserve resources and avoid exposure of patients to the hospital environment, where COVID-19 may be more prevalent. This certainly seems prudent in locales where the disease is highly prevalent. Under any circumstance, to preserve hospital bed capacity, it would seem reasonable to avoid elective procedures on patients with significant comorbidities or in whom the expected length of stay is >1 to 2 days (or anticipated to require the intensive care unit). In addition, the deﬁnition of truly elective requires clinical judgment, because in some cases deferral of patients may have independent deleterious effects. However, examples of procedures to defer include: 1) percutaneous coronary intervention for stable ischemic heart disease; 2) endovascular intervention for iliofemoral disease in patients with claudication; and 3) patent foramen ovale closure. Case decisions should be individualized, taking into account the risk for COVID-19 exposure versus the risk for delay in diagnosis or therapy. INFARCTION. A recent report from China outlines a protocol that relies on rapid nucleic acid testing and reliance on ﬁbrinolytic therapy (2). This is a controversial subject, especially in the United States, where primary percutaneous coronary intervention is the routine for patients with STsegment elevation myocardial infarction (STEMI). Furthermore, it is complicated by the fact that access to rapid testing is limited. However, in a patient with known COVID-19 and STEMI, the balance of staff exposure and patient beneﬁt will need to be weighed carefully. Fibrinolysis can be considered an option for a relatively stable patient with STEMI with active COVID-19. In patients with active COVID-19 in whom primary percutaneous coronary intervention is to be performed, appropriate personal protective equipment (PPE) should be worn, including gown, gloves, goggles (or shields), and an N95 mask, especially given the limited ability to take a history from such patients as well as the potential for clinical deterioration in those with STEMI. The use of powered airpurifying respirator systems may also be reasonable, especially for patients who may be vomiting (e.g., inferior STEMI) or those who may require cardiopulmonary resuscitation (CPR) and/or intubation. Importantly, the vast number of catheterization laboratories have either normal or positive ventilation systems and are not designed for infection isolation. Therefore, catheterization laboratories will require a terminal clean following the procedure, leading to delays for subsequent procedures. MYOCARDIAL INFARCTION. For most patients with non-ST-segment elevation myocardial infarction (NSTEMI) and suspected COVID-19, timing should allow for diagnostic testing for COVID-19 prior to cardiac catheterization and for a more informed decision regarding infection control. Rapid discharge of patients with primary NSTEMI following revascularization will likely be important in terms of maximizing bed availability and reducing patient exposure within the hospital. Follow-up through telehealth venues could be satisfactory in most cases. It has been suggested that in appropriately selected cases of patients with known COVID-19 and NSTEMI (e.g., particularly for those with type 2 myocardial infarction), conservative therapy may be sufﬁcient on the basis of patient risk. It is important to note that recent reports suggest that acute cardiac injury is present in about 7% of patients with COVID-19 and may represent either type 2 myocardial infarction or myocarditis (3). All of these factors need to be taken into account when weighing risks and beneﬁts vis-à-vis infection control. Efforts should be made to try to differentiate between these type 2 myocardial infarctions and "primary" acute coronary syndromes, with consideration of deferral of invasive management in the former, especially if the patient is hemodynamically stable. Unstable patients with NSTEMI whose instability is due to the acute coronary syndrome (rather than other factors) may be considered under the STEMI rubric outlined earlier. OR CPR. Intubation, suction, and active CPR likely result in aerosolization of respiratory secretions increasing likelihood of exposure to personnel. Patients who are already intubated pose less of a transmission risk to staff members given that their ventilation is managed through a closed circuit. Patients with COVID-19 or suspected COVID-19 requiring intubation should be intubated prior to. arrival to the catheterization laboratory. Furthermore, the threshold to consider intubation in a patient with borderline respiratory status may need to be lowered to avoid emergent intubation in the catheterization laboratory. Some institutions have suggested using a high-efﬁciency particulate air ﬁlter between tube and bag if staff members are bagging an intubated patient, as bag ventilation can increase aerosolization. Other considerations are to use closed-circuit bilevel positive airway pressure machines if intubation not available. Close coordination with critical care, infectious disease, and anesthesia teams in airway management will be critical to avoid spread of infection. CATHETERIZATION LABORATORY TIME. Consideration should be given to laboratory downsizing case volumes (e.g., deferral of elective cases) and or shiftbased allocation of staff members and physicians needed to operate the laboratory in anticipation of likely disruptions to stafﬁng. Despite measures to reduce exposure, staff shortages should be anticipated on the basis of both the possibility of infected, exposed, or quarantined staff members as well as the derivative impact on staff members due to school closings, which will put a strain on home, dependent, and child care resources. Speciﬁc consideration to subspecialty care teams may be required, with separation of persons with overlapping skill sets (e.g., avoidance of 2 structural heart interventionalists being in the same care area simultaneously). Given the infectious risk of transporting patients from wards to the catheterization laboratory, some procedures routinely done in the catheterization laboratory should be considered for bedside performance. Examples include pulmonary artery catheter placement, pericardiocentesis, and intra-aortic balloon pump insertion. As mentioned earlier, the vast majority of catheterization laboratories have either normal or positive ventilation systems and are not designed for infection isolation. Given the need for terminal cleaning following procedures on patients with suspected or known COVID-19, these cases should be done at the end of the working day if possible. For known COVID-19-positive patients, restriction of cases to a dedicated laboratory may be of value. All catheterization laboratory personnel should be ﬁttested for N95 masks and be well versed in the proper techniques for dofﬁng and donning PPE, including eye protection. There may be situations in which the use of powered air-purifying respirator systems is advised. All catheterization laboratory directors and managers should work closely with their institutional infection control groups to ensure adequate availability and training in the use of this equipment. Ideally for patients with known COVID-19 or suspected COVID-19 who are required to come to the catheterization laboratory, patients should wear surgical masks, and all members of the catheterization laboratory team should don PPE (preferably for aerosolized precautions given the risk of emergent intubation, suctioning, and CPR). In addition to the known shortage of N95 masks, there are emerging reports of shortages of gowns, gloves, and regular surgical masks. This supports the deferral of elective cases and a reduction in the number of people who scrub into procedures. This is particularly relevant for teaching institutions, at which multiple physicians often scrub into cases. Vendor access and use of PPE should be limited to those cases only when absolutely essential. As the medical community gains more experience dealing with the various issues raised by the COVID-19 pandemic, it will be important to have an ability to exchange experiences and best practices. Already, social media has provided a venue for some excellent discussions and insight from practitioners at institutions experiencing the effects of the pandemic. As the pandemic progresses, we will need to create avenues for reporting and collation of data and then methods for rapidly dispersing that information in order to better care for our patients and to protect health care workers. CORRESPONDENCE: Dr. Frederick Welt, University of Utah Health Sciences Center, 30 North 1900 East, Room 4A100, Salt Lake City, Utah 84132. E-mail: [email protected]. Twitter: @FrederickWelt, @ajaykirtane. 1. Tsui KL, Li SK, Li MC, et al. Preparedness of the cardiac catheterization laboratory for severe acute respiratory syndrome (SARS) and other epidemics. J Invasive Cardiol 2005;17:149–52. 2. Zeng J, Huang J, Pan L. How to balance acute myocardial infarction and COVID-19: the protocols from Sichuan Provincial People's Hospital. Intensive Care Med 2020. In press. 3. Wang D, Hu B, Hu C, et al. Clinical characteristics of 138 hospitalized patients with 2019 novel coronavirus-infected pneumonia in Wuhan, China. JAMA 2020. In press.	<urn:uuid:4a87eedd-8c28-4fde-84d4-3d567c74f330>	CC-MAIN-2020-40	https://www.onlinejacc.org/content/accj/75/18/2372.full.pdf?download=true	2020-09-25T22:34:29+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2020-40/subset=warc/part-00287-50bb8e61-7c5b-4d2c-bd34-dad6ca92b697.c000.gz.parquet	976,672,173	3,086	eng_Latn	eng_Latn	0.96472	eng_Latn	0.99068	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 4944, 9919, 14243, 14780 ]	Catheterization Laboratory Considerations During the Coronavirus (COVID-19) Pandemic From the ACC's Interventional Council and SCAI Frederick G.P. Welt, MD, a , b Pinak B. Shah, MD, a , c Herbert D. Aronow, MD, MPH, a , d Anna E. Bortnick, MD, PHD, a , e Timothy D. Henry, MD, a , f Matthew W. Sherwood, MD, MHS, g Michael N. Young, MD, a , h Laura J. Davidson, MD, a , i Sabeeda Kadavath, MD, a , j Ehtisham Mahmud, MD, k Ajay J. Kirtane, MD, a , l from the American College of Cardiology's Interventional Council and the Society for Cardiovascular Angiography and Interventions oronavirus disease 2019 (COVID-19) has placed an enormous strain on the health care systems of the nations where it has spread widely, with speci ﬁ c implications of the disease on practice in the catheterization laboratory. These implications include how we might modify practice for standard cardiac patients, those who are suspected to have COVID-19, and those with COVID-19 who have either unrelated cardiac conditions or cardiac manifestations of the disease. It merits emphasis that this is a dynamic situation and one for which there are limited data. In addition, local conditions may vary considerably. The purpose of this joint statement from the American College of Cardiology (ACC) Interventional Council and the Society for Cardiovascular Angiography and Interventions (SCAI) is to discuss issues facing catheterization laboratory personnel during this time. The views expressed in this paper by the American College of Cardiology's Interventional Council do not necessarily reﬂect the views of the Journal of the American College of Cardiology or the American College of Cardiology. From the a American College of Cardiology Interventional Cardiology Sectional Leadership Council, Washington, DC; b Cardiovascular Division, University of Utah Health, Salt Lake City, Utah; c Division of Cardiovascular Medicine, Brigham and Women's Hospital, Harvard Medical School, Boston, Massachusetts; d Division of Cardiology, Warren Alpert Medical School of Brown University, Providence, Rhode Island; e Division of Cardiology, Monteﬁore Medical Center, Albert Einstein College of Medicine, Bronx, New York; f The Carl and Edyth Lindner Center for Research and Education, The Christ Hospital, Cincinnati, Ohio; g Division of Cardiology, Inova Heart and Vascular Institute, Fairfax, Virginia; h Cardiology Division, Dartmouth-Hitchcock Medical Center, Geisel School of Medicine at Dartmouth, Lebanon, New Hampshire; i Division of Cardiology, Northwestern University, Feinberg School of Medicine, Chicago, Illinois; j Department of Cardiovascular Medicine, University of Arkansas for Medical Science, Little Rock, Arkansas; k Divison of Cardiovascular Medicine, University of California San Diego, La Jolla, California; and the l Division of Cardiology, Department of Medicine, Columbia University Medical Center/NewYork-Presbyterian Hospital, New York, New York. Dr. Welt has served as a site principal investigator for a multicenter trial supported by Medtronic; and has received compensation from Medtronic for participating on an Advisory Board. Dr. Shah has received compensation as a proctor for Edwards Lifesciences; and has received educational grants from Edwards, Medtronic, and Abbott; and Dr. Shah's wife is an employee of ThermoFisher Scientiﬁc. Dr. Aronow has a ﬁnancial relationship with Silk Road Medical. Dr. Sherwood has received consulting fees from Medtronic. Dr. Mahmud has received consulting fees from Abiomed, Medtronic, and Boston Scientiﬁc; has an equity interest in Abiomed; is the national principal investigator for the Precision GRX study by Corindus; and is a site principal investigator for multicenter trials supported by CSI and Abbot Vascular. Dr. Bortnick has served as a site principal investigator for multicenter trials sponsored by Abbott, AstraZeneca, Sanoﬁ, and CSL-Behring, for which her institution received compensation; has received an honorarium from ClearView Healthcare Partners; and has received support from an American Heart Association Mentored and Clinical Population Research Award (17MCPRP33630098) and National Heart, Lung, and Blood Institute grant 1K23HL146982-01A1. Dr. Kirtane has received Institutional funding to Columbia University and/or Cardiovascular Research Foundation from Medtronic, Boston Scientiﬁc, Abbott Vascular, Abiomed, CSI, Philips, and ReCor Medical (personal: CME/conference honoraria and travel/meals only). All other authors have reported that they have no relationships relevant to the contents of this paper to disclose. The authors attest they are in compliance with human studies committees and animal welfare regulations of the authors' institutions and Food and Drug Administration guidelines, including patient consent where appropriate. For more information, visit the JACCauthor instructions page. ISSN 0735-1097/$36.00 https://doi.org/10.1016/j.jacc.2020.03.021 Although this is new territory for most of us, it should be noted that the Middle East respiratory syndrome and severe acute respiratory syndrome epidemics within the past 2 decades did provide some limited information on the effects of highly contagious and morbid respiratory diseases on the catheterization laboratory (1). PATIENTS. Many institutions in the United States have already placed a moratorium on elective procedures within the catheterization laboratory in an effort to preserve resources and avoid exposure of patients to the hospital environment, where COVID-19 may be more prevalent. This certainly seems prudent in locales where the disease is highly prevalent. Under any circumstance, to preserve hospital bed capacity, it would seem reasonable to avoid elective procedures on patients with significant comorbidities or in whom the expected length of stay is >1 to 2 days (or anticipated to require the intensive care unit). In addition, the deﬁnition of truly elective requires clinical judgment, because in some cases deferral of patients may have independent deleterious effects. However, examples of procedures to defer include: 1) percutaneous coronary intervention for stable ischemic heart disease; 2) endovascular intervention for iliofemoral disease in patients with claudication; and 3) patent foramen ovale closure. Case decisions should be individualized, taking into account the risk for COVID-19 exposure versus the risk for delay in diagnosis or therapy. INFARCTION. A recent report from China outlines a protocol that relies on rapid nucleic acid testing and reliance on ﬁbrinolytic therapy (2). This is a controversial subject, especially in the United States, where primary percutaneous coronary intervention is the routine for patients with STsegment elevation myocardial infarction (STEMI). Furthermore, it is complicated by the fact that access to rapid testing is limited. However, in a patient with known COVID-19 and STEMI, the balance of staff exposure and patient beneﬁt will need to be weighed carefully. Fibrinolysis can be considered an option for a relatively stable patient with STEMI with active COVID-19. In patients with active COVID-19 in whom primary percutaneous coronary intervention is to be performed, appropriate personal protective equipment (PPE) should be worn, including gown, gloves, goggles (or shields), and an N95 mask, especially given the limited ability to take a history from such patients as well as the potential for clinical deterioration in those with STEMI. The use of powered airpurifying respirator systems may also be reasonable, especially for patients who may be vomiting (e.g., inferior STEMI) or those who may require cardiopulmonary resuscitation (CPR) and/or intubation. Importantly, the vast number of catheterization laboratories have either normal or positive ventilation systems and are not designed for infection isolation. Therefore, catheterization laboratories will require a terminal clean following the procedure, leading to delays for subsequent procedures. MYOCARDIAL INFARCTION. For most patients with non-ST-segment elevation myocardial infarction (NSTEMI) and suspected COVID-19, timing should allow for diagnostic testing for COVID-19 prior to cardiac catheterization and for a more informed decision regarding infection control. Rapid discharge of patients with primary NSTEMI following revascularization will likely be important in terms of maximizing bed availability and reducing patient exposure within the hospital. Follow-up through telehealth venues could be satisfactory in most cases. It has been suggested that in appropriately selected cases of patients with known COVID-19 and NSTEMI (e.g., particularly for those with type 2 myocardial infarction), conservative therapy may be sufﬁcient on the basis of patient risk. It is important to note that recent reports suggest that acute cardiac injury is present in about 7% of patients with COVID-19 and may represent either type 2 myocardial infarction or myocarditis (3). All of these factors need to be taken into account when weighing risks and beneﬁts vis-à-vis infection control. Efforts should be made to try to differentiate between these type 2 myocardial infarctions and "primary" acute coronary syndromes, with consideration of deferral of invasive management in the former, especially if the patient is hemodynamically stable. Unstable patients with NSTEMI whose instability is due to the acute coronary syndrome (rather than other factors) may be considered under the STEMI rubric outlined earlier. OR CPR. Intubation, suction, and active CPR likely result in aerosolization of respiratory secretions increasing likelihood of exposure to personnel. Patients who are already intubated pose less of a transmission risk to staff members given that their ventilation is managed through a closed circuit. Patients with COVID-19 or suspected COVID-19 requiring intubation should be intubated prior to. arrival to the catheterization laboratory. Furthermore, the threshold to consider intubation in a patient with borderline respiratory status may need to be lowered to avoid emergent intubation in the catheterization laboratory. Some institutions have suggested using a high-efﬁciency particulate air ﬁlter between tube and bag if staff members are bagging an intubated patient, as bag ventilation can increase aerosolization. Other considerations are to use closed-circuit bilevel positive airway pressure machines if intubation not available. Close coordination with critical care, infectious disease, and anesthesia teams in airway management will be critical to avoid spread of infection. CATHETERIZATION LABORATORY TIME. Consideration should be given to laboratory downsizing case volumes (e.g., deferral of elective cases) and or shiftbased allocation of staff members and physicians needed to operate the laboratory in anticipation of likely disruptions to stafﬁng. Despite measures to reduce exposure, staff shortages should be anticipated on the basis of both the possibility of infected, exposed, or quarantined staff members as well as the derivative impact on staff members due to school closings, which will put a strain on home, dependent, and child care resources. Speciﬁc consideration to subspecialty care teams may be required, with separation of persons with overlapping skill sets (e.g., avoidance of 2 structural heart interventionalists being in the same care area simultaneously). Given the infectious risk of transporting patients from wards to the catheterization laboratory, some procedures routinely done in the catheterization laboratory should be considered for bedside performance. Examples include pulmonary artery catheter placement, pericardiocentesis, and intra-aortic balloon pump insertion. As mentioned earlier, the vast majority of catheterization laboratories have either normal or positive ventilation systems and are not designed for infection isolation. Given the need for terminal cleaning following procedures on patients with suspected or known COVID-19, these cases should be done at the end of the working day if possible. For known COVID-19-positive patients, restriction of cases to a dedicated laboratory may be of value. All catheterization laboratory personnel should be ﬁttested for N95 masks and be well versed in the proper techniques for dofﬁng and donning PPE, including eye protection. There may be situations in which the use of powered air-purifying respirator systems is advised. All catheterization laboratory directors and managers should work closely with their institutional infection control groups to ensure adequate availability and training in the use of this equipment. Ideally for patients with known COVID-19 or suspected COVID-19 who are required to come to the catheterization laboratory, patients should wear surgical masks, and all members of the catheterization laboratory team should don PPE (preferably for aerosolized precautions given the risk of emergent intubation, suctioning, and CPR). In addition to the known shortage of N95 masks, there are emerging reports of shortages of gowns, gloves, and regular surgical masks. This s	upports the deferral of elective cases and a reduction in the number of people who scrub into procedures.		13,134	inside_word	supports	remove_all	<url> https://www.onlinejacc.org/content/accj/75/18/2372.full.pdf?download=true </url> <text> Catheterization Laboratory Considerations During the Coronavirus (COVID-19) Pandemic From the ACC's Interventional Council and SCAI Frederick G.P. Welt, MD, a , b Pinak B. Shah, MD, a , c Herbert D. Aronow, MD, MPH, a , d Anna E. Bortnick, MD, PHD, a , e Timothy D. Henry, MD, a , f Matthew W. Sherwood, MD, MHS, g Michael N. Young, MD, a , h Laura J. Davidson, MD, a , i Sabeeda Kadavath, MD, a , j Ehtisham Mahmud, MD, k Ajay J. Kirtane, MD, a , l from the American College of Cardiology's Interventional Council and the Society for Cardiovascular Angiography and Interventions oronavirus disease 2019 (COVID-19) has placed an enormous strain on the health care systems of the nations where it has spread widely, with speci ﬁ c implications of the disease on practice in the catheterization laboratory. These implications include how we might modify practice for standard cardiac patients, those who are suspected to have COVID-19, and those with COVID-19 who have either unrelated cardiac conditions or cardiac manifestations of the disease. It merits emphasis that this is a dynamic situation and one for which there are limited data. In addition, local conditions may vary considerably. The purpose of this joint statement from the American College of Cardiology (ACC) Interventional Council and the Society for Cardiovascular Angiography and Interventions (SCAI) is to discuss issues facing catheterization laboratory personnel during this time. The views expressed in this paper by the American College of Cardiology's Interventional Council do not necessarily reﬂect the views of the Journal of the American College of Cardiology or the American College of Cardiology. From the a American College of Cardiology Interventional Cardiology Sectional Leadership Council, Washington, DC; b Cardiovascular Division, University of Utah Health, Salt Lake City, Utah; c Division of Cardiovascular Medicine, Brigham and Women's Hospital, Harvard Medical School, Boston, Massachusetts; d Division of Cardiology, Warren Alpert Medical School of Brown University, Providence, Rhode Island; e Division of Cardiology, Monteﬁore Medical Center, Albert Einstein College of Medicine, Bronx, New York; f The Carl and Edyth Lindner Center for Research and Education, The Christ Hospital, Cincinnati, Ohio; g Division of Cardiology, Inova Heart and Vascular Institute, Fairfax, Virginia; h Cardiology Division, Dartmouth-Hitchcock Medical Center, Geisel School of Medicine at Dartmouth, Lebanon, New Hampshire; i Division of Cardiology, Northwestern University, Feinberg School of Medicine, Chicago, Illinois; j Department of Cardiovascular Medicine, University of Arkansas for Medical Science, Little Rock, Arkansas; k Divison of Cardiovascular Medicine, University of California San Diego, La Jolla, California; and the l Division of Cardiology, Department of Medicine, Columbia University Medical Center/NewYork-Presbyterian Hospital, New York, New York. Dr. Welt has served as a site principal investigator for a multicenter trial supported by Medtronic; and has received compensation from Medtronic for participating on an Advisory Board. Dr. Shah has received compensation as a proctor for Edwards Lifesciences; and has received educational grants from Edwards, Medtronic, and Abbott; and Dr. Shah's wife is an employee of ThermoFisher Scientiﬁc. Dr. Aronow has a ﬁnancial relationship with Silk Road Medical. Dr. Sherwood has received consulting fees from Medtronic. Dr. Mahmud has received consulting fees from Abiomed, Medtronic, and Boston Scientiﬁc; has an equity interest in Abiomed; is the national principal investigator for the Precision GRX study by Corindus; and is a site principal investigator for multicenter trials supported by CSI and Abbot Vascular. Dr. Bortnick has served as a site principal investigator for multicenter trials sponsored by Abbott, AstraZeneca, Sanoﬁ, and CSL-Behring, for which her institution received compensation; has received an honorarium from ClearView Healthcare Partners; and has received support from an American Heart Association Mentored and Clinical Population Research Award (17MCPRP33630098) and National Heart, Lung, and Blood Institute grant 1K23HL146982-01A1. Dr. Kirtane has received Institutional funding to Columbia University and/or Cardiovascular Research Foundation from Medtronic, Boston Scientiﬁc, Abbott Vascular, Abiomed, CSI, Philips, and ReCor Medical (personal: CME/conference honoraria and travel/meals only). All other authors have reported that they have no relationships relevant to the contents of this paper to disclose. The authors attest they are in compliance with human studies committees and animal welfare regulations of the authors' institutions and Food and Drug Administration guidelines, including patient consent where appropriate. For more information, visit the JACCauthor instructions page. ISSN 0735-1097/$36.00 https://doi.org/10.1016/j.jacc.2020.03.021 Although this is new territory for most of us, it should be noted that the Middle East respiratory syndrome and severe acute respiratory syndrome epidemics within the past 2 decades did provide some limited information on the effects of highly contagious and morbid respiratory diseases on the catheterization laboratory (1). PATIENTS. Many institutions in the United States have already placed a moratorium on elective procedures within the catheterization laboratory in an effort to preserve resources and avoid exposure of patients to the hospital environment, where COVID-19 may be more prevalent. This certainly seems prudent in locales where the disease is highly prevalent. Under any circumstance, to preserve hospital bed capacity, it would seem reasonable to avoid elective procedures on patients with significant comorbidities or in whom the expected length of stay is >1 to 2 days (or anticipated to require the intensive care unit). In addition, the deﬁnition of truly elective requires clinical judgment, because in some cases deferral of patients may have independent deleterious effects. However, examples of procedures to defer include: 1) percutaneous coronary intervention for stable ischemic heart disease; 2) endovascular intervention for iliofemoral disease in patients with claudication; and 3) patent foramen ovale closure. Case decisions should be individualized, taking into account the risk for COVID-19 exposure versus the risk for delay in diagnosis or therapy. INFARCTION. A recent report from China outlines a protocol that relies on rapid nucleic acid testing and reliance on ﬁbrinolytic therapy (2). This is a controversial subject, especially in the United States, where primary percutaneous coronary intervention is the routine for patients with STsegment elevation myocardial infarction (STEMI). Furthermore, it is complicated by the fact that access to rapid testing is limited. However, in a patient with known COVID-19 and STEMI, the balance of staff exposure and patient beneﬁt will need to be weighed carefully. Fibrinolysis can be considered an option for a relatively stable patient with STEMI with active COVID-19. In patients with active COVID-19 in whom primary percutaneous coronary intervention is to be performed, appropriate personal protective equipment (PPE) should be worn, including gown, gloves, goggles (or shields), and an N95 mask, especially given the limited ability to take a history from such patients as well as the potential for clinical deterioration in those with STEMI. The use of powered airpurifying respirator systems may also be reasonable, especially for patients who may be vomiting (e.g., inferior STEMI) or those who may require cardiopulmonary resuscitation (CPR) and/or intubation. Importantly, the vast number of catheterization laboratories have either normal or positive ventilation systems and are not designed for infection isolation. Therefore, catheterization laboratories will require a terminal clean following the procedure, leading to delays for subsequent procedures. MYOCARDIAL INFARCTION. For most patients with non-ST-segment elevation myocardial infarction (NSTEMI) and suspected COVID-19, timing should allow for diagnostic testing for COVID-19 prior to cardiac catheterization and for a more informed decision regarding infection control. Rapid discharge of patients with primary NSTEMI following revascularization will likely be important in terms of maximizing bed availability and reducing patient exposure within the hospital. Follow-up through telehealth venues could be satisfactory in most cases. It has been suggested that in appropriately selected cases of patients with known COVID-19 and NSTEMI (e.g., particularly for those with type 2 myocardial infarction), conservative therapy may be sufﬁcient on the basis of patient risk. It is important to note that recent reports suggest that acute cardiac injury is present in about 7% of patients with COVID-19 and may represent either type 2 myocardial infarction or myocarditis (3). All of these factors need to be taken into account when weighing risks and beneﬁts vis-à-vis infection control. Efforts should be made to try to differentiate between these type 2 myocardial infarctions and "primary" acute coronary syndromes, with consideration of deferral of invasive management in the former, especially if the patient is hemodynamically stable. Unstable patients with NSTEMI whose instability is due to the acute coronary syndrome (rather than other factors) may be considered under the STEMI rubric outlined earlier. OR CPR. Intubation, suction, and active CPR likely result in aerosolization of respiratory secretions increasing likelihood of exposure to personnel. Patients who are already intubated pose less of a transmission risk to staff members given that their ventilation is managed through a closed circuit. Patients with COVID-19 or suspected COVID-19 requiring intubation should be intubated prior to. arrival to the catheterization laboratory. Furthermore, the threshold to consider intubation in a patient with borderline respiratory status may need to be lowered to avoid emergent intubation in the catheterization laboratory. Some institutions have suggested using a high-efﬁciency particulate air ﬁlter between tube and bag if staff members are bagging an intubated patient, as bag ventilation can increase aerosolization. Other considerations are to use closed-circuit bilevel positive airway pressure machines if intubation not available. Close coordination with critical care, infectious disease, and anesthesia teams in airway management will be critical to avoid spread of infection. CATHETERIZATION LABORATORY TIME. Consideration should be given to laboratory downsizing case volumes (e.g., deferral of elective cases) and or shiftbased allocation of staff members and physicians needed to operate the laboratory in anticipation of likely disruptions to stafﬁng. Despite measures to reduce exposure, staff shortages should be anticipated on the basis of both the possibility of infected, exposed, or quarantined staff members as well as the derivative impact on staff members due to school closings, which will put a strain on home, dependent, and child care resources. Speciﬁc consideration to subspecialty care teams may be required, with separation of persons with overlapping skill sets (e.g., avoidance of 2 structural heart interventionalists being in the same care area simultaneously). Given the infectious risk of transporting patients from wards to the catheterization laboratory, some procedures routinely done in the catheterization laboratory should be considered for bedside performance. Examples include pulmonary artery catheter placement, pericardiocentesis, and intra-aortic balloon pump insertion. As mentioned earlier, the vast majority of catheterization laboratories have either normal or positive ventilation systems and are not designed for infection isolation. Given the need for terminal cleaning following procedures on patients with suspected or known COVID-19, these cases should be done at the end of the working day if possible. For known COVID-19-positive patients, restriction of cases to a dedicated laboratory may be of value. All catheterization laboratory personnel should be ﬁttested for N95 masks and be well versed in the proper techniques for dofﬁng and donning PPE, including eye protection. There may be situations in which the use of powered air-purifying respirator systems is advised. All catheterization laboratory directors and managers should work closely with their institutional infection control groups to ensure adequate availability and training in the use of this equipment. Ideally for patients with known COVID-19 or suspected COVID-19 who are required to come to the catheterization laboratory, patients should wear surgical masks, and all members of the catheterization laboratory team should don PPE (preferably for aerosolized precautions given the risk of emergent intubation, suctioning, and CPR). In addition to the known shortage of N95 masks, there are emerging reports of shortages of gowns, gloves, and regular surgical masks. This s<cursor_is_here> </text>	[ { "content": "<url>\nhttps://www.onlinejacc.org/content/accj/75/18/2372.full.pdf?download=true\n</url>\n<text>\nCatheterization Laboratory Considerations During the Coronavirus (COVID-19) Pandemic\n\nFrom the ACC's Interventional Council and SCAI\n\nFrederick G.P. Welt, MD, a , b Pinak B. Shah, MD, a , c Herbert D. Aronow, MD, MPH, a , d Anna E. Bortnick, MD, PHD, a , e Timothy D. Henry, MD, a , f Matthew W. Sherwood, MD, MHS, g Michael N. Young, MD, a , h Laura J. Davidson, MD, a , i Sabeeda Kadavath, MD, a , j Ehtisham Mahmud, MD, k Ajay J. Kirtane, MD, a , l from the American College of Cardiology's Interventional Council and the Society for Cardiovascular Angiography and Interventions oronavirus disease 2019 (COVID-19) has placed an enormous strain on the health care systems of the nations where it has spread widely, with speci ﬁ c implications of the disease on practice in the catheterization laboratory. These implications include how we might modify practice for standard cardiac patients, those who are suspected to have COVID-19, and those with COVID-19 who have either unrelated cardiac conditions or cardiac\n\nmanifestations of the disease. It merits emphasis that this is a dynamic situation and one for which there are limited data. In addition, local conditions may vary considerably. The purpose of this joint statement from the American College of Cardiology (ACC) Interventional Council and the Society for Cardiovascular Angiography and Interventions (SCAI) is to discuss issues facing catheterization laboratory personnel during this time.\n\nThe views expressed in this paper by the American College of Cardiology's Interventional Council do not necessarily reﬂect the views of the Journal of the American College of Cardiology or the American College of Cardiology.\n\nFrom the a American College of Cardiology Interventional Cardiology Sectional Leadership Council, Washington, DC; b Cardiovascular Division, University of Utah Health, Salt Lake City, Utah; c Division of Cardiovascular Medicine, Brigham and Women's Hospital, Harvard Medical School, Boston, Massachusetts; d Division of Cardiology, Warren Alpert Medical School of Brown University, Providence, Rhode Island; e Division of Cardiology, Monteﬁore Medical Center, Albert Einstein College of Medicine, Bronx, New York; f The Carl and Edyth Lindner Center for Research and Education, The Christ Hospital, Cincinnati, Ohio; g Division of Cardiology, Inova Heart and Vascular Institute, Fairfax, Virginia; h Cardiology Division, Dartmouth-Hitchcock Medical Center, Geisel School of Medicine at Dartmouth, Lebanon, New Hampshire; i Division of Cardiology, Northwestern University, Feinberg School of Medicine, Chicago, Illinois; j Department of Cardiovascular Medicine, University of Arkansas for Medical Science, Little Rock, Arkansas; k Divison of Cardiovascular Medicine, University of California San Diego, La Jolla, California; and the l Division of Cardiology, Department of Medicine, Columbia University Medical Center/NewYork-Presbyterian Hospital, New York, New York. Dr. Welt has served as a site principal investigator for a multicenter trial supported by Medtronic; and has received compensation from Medtronic for participating on an Advisory Board. Dr. Shah has received compensation as a proctor for Edwards Lifesciences; and has received educational grants from Edwards, Medtronic, and Abbott; and Dr. Shah's wife is an employee of ThermoFisher Scientiﬁc. Dr. Aronow has a ﬁnancial relationship with Silk Road Medical. Dr. Sherwood has received consulting fees from Medtronic. Dr. Mahmud has received consulting fees from Abiomed, Medtronic, and Boston Scientiﬁc; has an equity interest in Abiomed; is the national principal investigator for the Precision GRX study by Corindus; and is a site principal investigator for multicenter trials supported by CSI and Abbot Vascular. Dr. Bortnick has served as a site principal investigator for multicenter trials sponsored by Abbott, AstraZeneca, Sanoﬁ, and CSL-Behring, for which her institution received compensation; has received an honorarium from ClearView Healthcare Partners; and has received support from an American Heart Association Mentored and Clinical Population Research Award (17MCPRP33630098) and National Heart, Lung, and Blood Institute grant 1K23HL146982-01A1. Dr. Kirtane has received Institutional funding to Columbia University and/or Cardiovascular Research Foundation from Medtronic, Boston Scientiﬁc, Abbott Vascular, Abiomed, CSI, Philips, and ReCor Medical (personal: CME/conference honoraria and travel/meals only). All other authors have reported that they have no relationships relevant to the contents of this paper to disclose.\n\nThe authors attest they are in compliance with human studies committees and animal welfare regulations of the authors' institutions and Food and Drug Administration guidelines, including patient consent where appropriate. For more information, visit the\n\nJACCauthor instructions page.\n\nISSN 0735-1097/$36.00\n\nhttps://doi.org/10.1016/j.jacc.2020.03.021\n\nAlthough this is new territory for most of us, it should be noted that the Middle East respiratory syndrome and severe acute respiratory syndrome epidemics within the past 2 decades did provide some limited information on the effects of highly contagious and morbid respiratory diseases on the catheterization laboratory (1).\n\nPATIENTS. Many institutions in the United States have already placed a moratorium on elective procedures within the catheterization laboratory in an effort to preserve resources and avoid exposure of patients to the hospital environment, where COVID-19 may be more prevalent. This certainly seems prudent in locales where the disease is highly prevalent. Under any circumstance, to preserve hospital bed capacity, it would seem reasonable to avoid elective procedures on patients with significant comorbidities or in whom the expected length of stay is >1 to 2 days (or anticipated to require the intensive care unit). In addition, the deﬁnition of truly elective requires clinical judgment, because in some cases deferral of patients may have independent deleterious effects. However, examples of procedures to defer include: 1) percutaneous coronary intervention for stable ischemic heart disease; 2) endovascular intervention for iliofemoral disease in patients with claudication; and 3) patent foramen ovale closure. Case decisions should be individualized, taking into account the risk for COVID-19 exposure versus the risk for delay in diagnosis or therapy.\n\nINFARCTION. A recent report from China outlines a protocol that relies on rapid nucleic acid testing and reliance on ﬁbrinolytic therapy (2). This is a controversial subject, especially in the United States, where primary percutaneous coronary intervention is the routine for patients with STsegment elevation myocardial infarction (STEMI). Furthermore, it is complicated by the fact that access to rapid testing is limited. However, in a patient with known COVID-19 and STEMI, the balance of staff exposure and patient beneﬁt will need to be weighed carefully. Fibrinolysis can be considered an option for a relatively stable patient with STEMI with active COVID-19. In patients with active COVID-19 in whom primary percutaneous coronary intervention is to be performed, appropriate personal protective equipment (PPE) should be worn, including gown, gloves, goggles (or shields), and an N95 mask, especially given the limited ability to take a history from such patients as well as the potential for clinical deterioration in those with STEMI. The use of powered airpurifying respirator systems may also be reasonable, especially for patients who may be vomiting (e.g., inferior STEMI) or those who may require cardiopulmonary resuscitation (CPR) and/or intubation. Importantly, the vast number of catheterization laboratories have either normal or positive ventilation systems and are not designed for infection isolation. Therefore, catheterization laboratories will require a terminal clean following the procedure, leading to delays for subsequent procedures.\n\nMYOCARDIAL INFARCTION. For most patients with non-ST-segment elevation myocardial infarction (NSTEMI) and suspected COVID-19, timing should allow for diagnostic testing for COVID-19 prior to cardiac catheterization and for a more informed decision regarding infection control. Rapid discharge of patients with primary NSTEMI following revascularization will likely be important in terms of maximizing bed availability and reducing patient exposure within the hospital. Follow-up through telehealth venues could be satisfactory in most cases. It has been suggested that in appropriately selected cases of patients with known COVID-19 and NSTEMI (e.g., particularly for those with type 2 myocardial infarction), conservative therapy may be sufﬁcient on the basis of patient risk. It is important to note that recent reports suggest that acute cardiac injury is present in about 7% of patients with COVID-19 and may represent either type 2 myocardial infarction or myocarditis (3). All of these factors need to be taken into account when weighing risks and beneﬁts vis-à-vis infection control. Efforts should be made to try to differentiate between these type 2 myocardial infarctions and \"primary\" acute coronary syndromes, with consideration of deferral of invasive management in the former, especially if the patient is hemodynamically stable. Unstable patients with NSTEMI whose instability is due to the acute coronary syndrome (rather than other factors) may be considered under the STEMI rubric outlined earlier.\n\nOR CPR. Intubation, suction, and active CPR likely result in aerosolization of respiratory secretions increasing likelihood of exposure to personnel. Patients who are already intubated pose less of a transmission risk to staff members given that their ventilation is managed through a closed circuit. Patients with COVID-19 or suspected COVID-19 requiring intubation should be intubated prior to.\n\narrival to the catheterization laboratory. Furthermore, the threshold to consider intubation in a patient with borderline respiratory status may need to be lowered to avoid emergent intubation in the catheterization laboratory. Some institutions have suggested using a high-efﬁciency particulate air ﬁlter between tube and bag if staff members are bagging an intubated patient, as bag ventilation can increase aerosolization. Other considerations are to use closed-circuit bilevel positive airway pressure machines if intubation not available. Close coordination with critical care, infectious disease, and anesthesia teams in airway management will be critical to avoid spread of infection.\n\nCATHETERIZATION LABORATORY TIME. Consideration should be given to laboratory downsizing case volumes (e.g., deferral of elective cases) and or shiftbased allocation of staff members and physicians needed to operate the laboratory in anticipation of likely disruptions to stafﬁng. Despite measures to reduce exposure, staff shortages should be anticipated on the basis of both the possibility of infected, exposed, or quarantined staff members as well as the derivative impact on staff members due to school closings, which will put a strain on home, dependent, and child care resources. Speciﬁc consideration to subspecialty care teams may be required, with separation of persons with overlapping skill sets (e.g., avoidance of 2 structural heart interventionalists being in the same care area simultaneously). Given the infectious risk of transporting patients from wards to the catheterization laboratory, some procedures routinely done in the catheterization laboratory should be considered for bedside performance. Examples include pulmonary artery catheter placement, pericardiocentesis, and intra-aortic balloon pump insertion. As mentioned earlier, the vast majority of catheterization laboratories have either normal or positive ventilation systems and are not designed for infection isolation. Given the need for terminal cleaning following procedures on patients with suspected or known COVID-19, these cases should be done at the end of the working day if possible. For known COVID-19-positive patients, restriction of cases to a dedicated laboratory may be of value.\n\nAll catheterization laboratory personnel should be ﬁttested for N95 masks and be well versed in the proper techniques for dofﬁng and donning PPE, including eye protection. There may be situations in which the use of powered air-purifying respirator systems is advised. All catheterization laboratory directors and managers should work closely with their institutional infection control groups to ensure adequate availability and training in the use of this equipment. Ideally for patients with known COVID-19 or suspected COVID-19 who are required to come to the catheterization laboratory, patients should wear surgical masks, and all members of the catheterization laboratory team should don PPE (preferably for aerosolized precautions given the risk of emergent intubation, suctioning, and CPR).\n\nIn addition to the known shortage of N95 masks, there are emerging reports of shortages of gowns, gloves, and regular surgical masks. This s<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "upports the deferral of elective cases and a reduction in the number of people who scrub into procedures.", "role": "assistant" } ]
THOMAS NELSON™ Full-Time Faculty Handbook 2016-2017 ADDENDUM The complete 2015-2016 Faculty Handbook can be accessed online, via MyTNCC. To view, click on the Faculty and Staff page on the Thomas Nelson website, select “MyTNCC” and log on using your faculty credentials. Once you have logged on, you will find a link to the Faculty Handbook under “Faculty Resources”. This document serves as an addendum to the 2015-2106 handbook and contains information on important policy updates for the 2016-2017 academic year, as well as additional resources for faculty (see Appendices). All referenced policies can be found in the Administrative Procedures Manual (APM), accessed via GatorNet (Sharepoint). 2.0000 Functions, Duties, and Responsibilities ................................................................. 2-1 2.3100 Thomas Nelson Governance Committees ............................................................. 2-3 The 2016-2017 College Governances Committees document can be found in the APM, section 3.24. 3.0000 Instructional Policies and Procedures .................................................................. 3-1 3.3200 Textbooks .............................................................................................................. 3-8 Addendum: Some faculty and departments choose to reduce or eliminate textbook cost to students by using Open Educational Resources, either in place of traditional textbooks, or as a supplement to other course materials. At Thomas Nelson, we use the Hewlett Foundation’s definition of Open Educational Resources: “Open educational resources are teaching, learning, and research resources that reside in the public domain or have been released under an intellectual property license that permits their free use and re-purposing by others. Open educational resources include full courses, course materials, modules, textbooks, streaming videos, tests, software, and any other tools, materials, or techniques used to support access to knowledge” (Hewlett Foundation). If you are interested in learning more about OER or about reducing or eliminating textbook cost to your students, please get in touch with your department chair or division dean. 3.4000 Advising Students ............................................................................................... 3-11 Addendum: Faculty Advising/Mentoring Faculty advising is a collaborative relationship between the advisor and a student. Faculty advisors assist students with understanding the certificate and/or degree requirements for graduation. The role of the faculty advisors is to assist their advisees in designing a program of study that supports the student’s interests, academic and professional goals. Continuing/returning students who are assigned to a faculty member are encouraged to meet with their assigned faculty advisor during their scheduled office hours each semester until completion of their program of study. Faculty advising is being phased out at the College as a result of the QEP: Advising: Plan Now, Succeed Now. Faculty members will transition from advisors to mentors. All full-time faculty at the College are expected to participate in mentoring activities. Faculty mentors will choose to participate in one or more student engagement activity, to include, but not limited to (a) serving as a sponsor to a discipline –related club/organization, (b) providing tutoring through TutorZone, (c) conducting presentations for students in related career fields, (d) assisting in general career exploration for specific fields, (e) facilitating research opportunities and (f) working with one of the College retention initiatives (Honors Program, Men Engaging Real Issues Together Program, TRiO, and National Society of Leadership and Success). 4.0000 Student Services Policies and Procedures ............................................................ 4-1 Addendum: Please consult the APM for updates on the following policies not contained in the 2015-2016 4.6200 Academic Advising ................................................................................................................. 4-9 Addendum: Academic advising is a program designed to enable students to develop and attain their academic, personal, and career goals. The advising program focuses on the development of a continuous relationship between academic advisors, faculty mentors, support staff, and administrators to support each student’s growth in these areas. Students should meet with an academic advisor or their assigned faculty advisor to obtain information and assistance with academic planning. Academic advising assists students with a wide range of services as it relates to programs of study, curricula planning, transfer, college and career resources, and support services. New students at Thomas Nelson are required to meet with an academic advisor to explore program options that meet their educational and career objectives. Continuing and/or returning students should meet with their assigned faculty advisor or visit the advising center for their academic division. All students should meet with their advisor each semester to discuss academic progress and get support. New students are advised by professional academic advisors within their Academic Division. To locate an academic advisor, please visit one of the following advising locations: Business, Public Services, Information Systems, and Mathematics Hampton Campus, Diggs Hall, room 122, (757) 825-2883 Historic Triangle Campus, room 117, (757) 253-4755 Communications, Humanities, and Social Sciences Hampton Campus, Griffin Hall, room 222, (757) 825-3896 Historic Triangle Campus, room 117, (757) 253-4755 Health Professions Hampton Campus, Hastings Hall, room 323, (757) 825-2993 Historic Triangle Campus, room 117, (757) 253-4755 Science, Engineering, and Technology Hampton Campus, Hastings Hall, room 323, (757) 825-2950 Historic Triangle Campus, room 117, (757) 253-4755 Students who are undecided about their program of study you may visit The New Student Success Center, Griffin Hall, room 221S or Room 117 on the Historic Triangle campus to explore possible career pathways and programs offered at Thomas Nelson. 6.0000 Personnel Policies and Procedures .................................................................................. 6-1 Addendum: Please consult the APM for updates on the following policies not contained in the 2015-2016 Faculty Handbook: - Teaching and Administrative/Professional Faculty Emeritus (2015), APM 3.28 - Evaluation of Adjunct and Associate Instructor Faculty (2015), APM 3.30 - Lactation Policy (2015), APM 3.31 - Consensual and Familial Relationships (2015), APM 3.32 Appendix 1-A: Classroom Success Tips and Resources for Faculty QUICK TIPS Assignments/Tests Due Dates – At the beginning of each class, show the syllabus timeline with emphasis on the next assignment/test due date. The day before the due date, send a friendly reminder via Blackboard. Blackboard – Make available on Blackboard the following: a welcome, faculty contact information, class presentations, handouts, web links, assignments, tests and grades. Student Resources – Become familiar with key TNCC student college resources and refer students to these as needed. ViewPure – If showing videos during class, consider using ViewPure, an online tool that removes ads, related videos and/or comments. To purify a video, go to viewpure.com, paste your video URL into the area that says “Enter YouTube URL or search term” and click on ‘Purify.’ College Success Seminars at TNCC are intended to provide learning opportunities outside of the classroom for students to improve and enhance their academic and personal development. For more information, call (757) 825-2827 (Hampton). (757) 285-6527 (Williamsburg) Disability Support Services at TNCC complies with the requirements of the Americans with Disabilities Act (ADA) and provides reasonable accommodations to its employees and those persons receiving services from the College who are entitled to such accommodations by law. (757) 825-2827 (Hampton), (757) 253-4755 (Williamsburg) The College Math Center at TNCC is an important resource for students in math and other related curriculum. Math Instructional Assistants offer individual math help to all Thomas Nelson students. Inside of the Library in Wythe Hall, (757) 825-2884 (Hampton). (757) 258-6515 (Williamsburg). The College Writing Center at TNCC is a walk-in service that helps students with writing assignments for any Thomas Nelson class. They provide: Help with any stage of the writing process; Help writing argumentative, narrative, descriptive, and research essays or papers; Grammar tutorials. The Writing Center does not proofread papers. Inside of the Library in Wythe Hall. (757) 825-2940 (Hampton). (757) 258-6516 (Williamsburg). The Computer Lab inside of the Library at TNCC provides computer access and assistance to students, faculty and staff. Staff is knowledgeable and available to assist with issues related to information technology and computing, including using software, formatting papers, printing and accessing MyTNCC and Blackboard. Wythe Hall, (757) 825-2877 (Hampton). (757) 258-6500 (Williamsburg). The Peer Tutoring Center at TNCC provides free tutoring services for currently enrolled students. Students must be enrolled in the Thomas Nelson credit class for which they are seeking assistance. Inside of the Library in Wythe Hall, 825-2804 (Hampton). SmartThinking is an online tutoring service that can provide you with tutoring assistance whenever and wherever you need it. (757) 825-2940. http://www.pearsoned.com/higher-education/products-and-services/smarthinking/resources-support/students/ SAILS is an early alert system, which allows instructors to identify early in the term students who are having issues with attendance, behavior, participation, and low quiz/test scores. See Appendix 1-B for more information on SAILS RESOURCES Reading and Writing: - The National Writing Project offers ideas, books, and research on reading and writing in the classroom: http://www.nwp.org/cs/public/print/doc/resources/topics.csp; - The OWL at Purdue contains helpful information for proper email etiquette as well as information on using MLA and APA style documentation: http://owl.english.purdue.edu Teaching Students with Disabilities: A new feature of Google-docs is dictation to text: http://www.mnn.com/green-tech/computers/blogs/look-ma-no-hands-you-can-now-speak-type-google-docs Encouraging Student Engagement: - Sharon Bowman’s Six Principles of Learning: https://www.youtube.com/watch?v=DAiXOgFu8Wc - Dr. Chews How-to-Study Videos: http://www.samford.edu/departments/academic-success-center/how-to-study - Dartmouth Success Skills: http://www.dartmouth.edu/~acskills/success/notes.html Using Technology: - Animoto.com - Studyblue.com - Quizlet.com Faculty Development at Honolulu Community College - "THE MOST COLORFUL, COMPREHENSIVE, EXCITING, AND AWARD WINNING FACULTY DEVELOPMENT SITE ON THE INTERNET": http://www.honolulu.hawaii.edu/facdev/ National School Reform Faculty organization has always focused on increasing student achievement: http://www.nsrfharmony.org/ Appendix 1-B: Student Assistance and Intervention for Learning Success (SAILS) The Virginia Community College System and Thomas Nelson Community College launched an email early alert system in the fall of 2013 in order to help identify students who are in need of support, resources, or information. Thomas Nelson students may not be aware of all of the resources available to them, which can help them be more successful in their classes. To access SAILS: - Go to: https://my.vccs.edu - Login using your MyVCCS credentials (same credentials used to log into Blackboard). - Click on the SAILS link to access the system. - You will see a link(s) to your Outstanding Surveys at the top of your SAILS homepage. - Once you reach the survey, simply check the box next to the particular student's name for whom you would like to report progress. You may also add comments that will appear on the notification to the student. (See below.) - Click Submit. (It is important to click Submit even if you don't have any alerts to turn in. This confirms you reviewed the survey.) You will receive a confirmation email. - Items you raise will generate an email to the student notifying the student of your concern(s). Additional support may be provided to some students and other students may contact you directly. If you raise a General Concern, an email will not be sent to the student; however, it will be addressed by a Student Affairs staff member. There are three components to this early alert system, which has been named SAILS—Student Assistance and Intervention for Learning Success. 1. At key points in the semester, all instructors are provided progress surveys to complete which serve to alert students and student services staff that they are concerned about their likelihood of success in the course. These reasons include nonattendance, low participation, low quiz/test scores, and behavior. These alerts come to students in the form of emails, which request that the student go to see the instructor. 2. All instructors have access to the SAILS early alert system; therefore, all instructors can identify students who can benefit from seeing the instructor or seeking out student services. 3. In addition, the College has purchased another piece of this program called Connect, which facilitates appointment making, note taking, and resource listing. All College personnel who have a role in SAILS have access to these functions. The resources below help faculty to better understand and utilize the components of the SAILS system. Short videos offer instruction on a variety of features of SAILS. The list includes: - How to update your Profile - How to create office hours - How to take attendance - How to respond to a progress survey - Alert and referral notifications - Appointment notifications - How to close the loop - How to take attendance All of these videos can be found at: https://www.youtube.com/playlist?list=PLrlSg2rzQL5biWqr07FVdPbOZ_Gir_HCx Whether the faculty member notifies a student of a concern via a progress survey or by manually “raising a flag”, an email goes to the student, which requests that the student comes to see the faculty member. (The only exception to this is in the case of a General Concern flag. General concern flags go directly to the Student Services staff for their resolution and a copy does not go to the student.) If the faculty member meets with the student and comes to some resolution, then the faculty member should take a moment and close the loop and clear the flag. Faculty members are responsible for clearing the flags that they raise for: - Assignment concerns - Participation concerns - Low quiz/test scores - Behavior The Student Services staff is responsible for following up on General Concerns, Attendance Concerns, In Danger of Failing, and 3 or 5 flags. They will email and telephone the student. After they have made at least two attempts to get in touch with the student, they will send the faculty member an email, which will inform the faculty member that they have not been successful in reaching out to the student. If they are able to contact the student and can provide a meaningful intervention, then the Student Service staff member will update the faculty member via email and close the loop. If the concern persists, then the faculty member may raise the flag again. If you have questions, please email [email protected], Dr. Betsy Harrison. Appendix 1-C: Learning Resources Library and Tutoring http://tncc.edu/library Learning Resources at Thomas Nelson encompasses services on both the Hampton and Historic Triangle campuses and includes the Library and Tutor Zone. Tutor Zone The Tutor Zone offers free walk-in and/or appointment-based tutoring for Thomas Nelson students. Peer tutors provide help in a variety of subjects in which they have successfully earned credit. Professional tutors are also available for help in all areas of math and for writing in any discipline. The Tutor Zone is located in the library. Information about tutoring services and hours are located at http://libguides.tncc.edu/tutoring. Library Services for Faculty The following serves to outline services for faculty, but in most cases, these services also extend to students and staff. We encourage you (and your students) to visit the library to meet your librarians. http://libguides.tncc.edu/facultyservices Checking Out Materials Thomas Nelson Faculty must present a current Thomas Nelson ID to receive a Thomas Nelson library barcode. Up to 15 items can be checked out at a time. Items circulated by the library include books, DVDs, audiobooks, CDs, Kindles, graphing calculators, and media equipment. Online/Off-Campus Access to Library Resources The library has an extensive online collection that is available to the Thomas Nelson Community. The library website provides access to all of the library's online resources and the online library catalog. A full list of online resources can be found in the "Databases" list on the library website. Off-campus use of library resources requires authentication. Users will be prompted to log in using their MyTNCC username and password. Information Literacy Instruction Thomas Nelson Librarians conduct information literacy instruction sessions both on campus and at dual enrollment sites. Sessions cover evaluating sources, utilizing online library resources, and citations and be tailored to meet the needs of your course. Sessions should be requested at least 7 days in advance by completing library instruction request forms available at http://libguides.tncc.edu/infolit. Research Assistance Faculty, staff, and students can work with librarians for assistance in researching topics. Help is available in person, via telephone or email, and 24-7 online chat. More information is available at http://libanswers.tncc.edu/. Research Guides Research guides are available for many subjects and courses at Thomas Nelson. These guides contain listings of recommended resources related to a specific subject area, subtopic area, a specific class, or even a specific class assignment and can be embedded and linked in Blackboard. A full list of Research Guides is available at http://libguides.tncc.edu. Please contact librarians to inquire about creating a guide for your class. Computer Access and Technology Assistance The library provides computer access and assistance to students and community members. Staff are available to assist with issues related to information technology and computing, including using software, formatting papers, printing and accessing Blackboard and SIS. LRC Seminars The library offers seminars throughout the semester covering various topics including Blackboard, Microsoft Office products, and EasyBib/Citations. Seminars are open to all. OER Librarians are available to provide support for using and implementing open educational resources. Librarians can assist with finding open content and answer questions about copyright and content licensing. If you are interested in OER training, contact the OER Librarian. For more information on OER and links to other useful websites, see the OER guide on the library website at http://libguides.tncc.edu/OER. Course Reserves Course Reserves are course-related materials made available to students in the Library. These materials are located behind the Check Out Desk and are limited to in-library use only. More information, forms, and policies can be found at http://libguides.tncc.edu/about/reserves. Virginia Tidewater Consortium Reciprocal Borrowing Cards Faculty and students may obtain borrowing privileges at Peninsula area college and university libraries through the VTC Reciprocal Borrowing Program. Users must have a TNCC photo ID and visit the Thomas Nelson library to obtain a VTC card prior to visiting another college library. Cards must be renewed each semester. Appendix 1-D: TNCC Quick Facts - TNCC was founded in Fall 1968. - The first class was on Monday Sep. 30th 1968. - A Thomas Nelson portrait was donated by Yancy, a local real estate developer, to the College. Its current location is unknown. - The school newspaper was originally called “Nelsonite”. Later students voted and changed the name to “The Nelsonite”. - TNCC seal was drawn by John Moore, a commercial art student at TNCC. - The original mascot was the “Swamp Stomper”. Students were dissatisfied with the choice. They changed the mascot to the “Gator”. The colors green and gold were chosen to symbolize the predominant colors of the foliage in the area during fall. - Four women became the first students to complete a course. study at TNCC in January 1969. It was a three month course in key-punch operation. - “TN for TEN”, the 15 foot high steel sculpture located in between Diggs Hall and Templin Hall, marked the 10th anniversary of the College in October 1978. It was created by Dr. Charles Bush, professor of architecture. - Hastings Hall was named after Charles and Mary Hastings. The Hastings founded an instrument company that manufactured radio navigational systems and other precision devices. The company is still in business at Hampton. It is known as Teledyne Hastings-Raydist. - The Circle of Flags was built in 1977 as a celebration of the bicentennial anniversary of the American Revolution. Initially, the flags displayed were the current flags of the original 13 colonies. In 1998 the flags were replaced with flags of the world in recognition of globalization. - A time capsule donated by NASA will be placed in the ground for 100 years. It will be dug up in November 2076. - TNCC has had 10 presidents. - There are 120 full-time faculty members. - 47% of our students were enrolled in a university-transfer program, 33.3% were enrolled in an occupational/technical program and 19.7% were non-curricular. - You can find year-round art displays in both floors of Templin Hall.	<urn:uuid:8d0abc17-1a35-4f60-95cb-649f42259921>	CC-MAIN-2024-33	https://www.tncc.edu/pdf/2016-2017-Faculty-Handbook-Addendum_Final.pdf	2024-08-13T13:00:38+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-33/subset=warc/part-00291-4f628544-3cdf-4526-86aa-bdfa0b33cdc9.c000.gz.parquet	790,887,499	4,581	eng_Latn	eng_Latn	0.988739	eng_Latn	0.994492	[ "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	docling	[ 62, 700, 4036, 6783, 9592, 11333, 14194, 15771, 18652, 20238, 20982, 22261 ]	THOMAS NELSON™ Full-Time Faculty Handbook 2016-2017 ADDENDUM The complete 2015-2016 Faculty Handbook can be accessed online, via MyTNCC. To view, click on the Faculty and Staff page on the Thomas Nelson website, select “MyTNCC” and log on using your faculty credentials. Once you have logged on, you will find a link to the Faculty Handbook under “Faculty Resources”. This document serves as an addendum to the 2015-2106 handbook and contains information on important policy updates for the 2016-2017 academic year, as well as additional resources for faculty (see Appendices). All referenced policies can be found in the Administrative Procedures Manual (APM), accessed via GatorNet (Sharepoint). 2.0000 Functions, Duties, and Responsibilities ................................................................. 2-1 2.3100 Thomas Nelson Governance Committees ............................................................. 2-3 The 2016-2017 College Governances Committees document can be found in the APM, section 3.24. 3.0000 Instructional Policies and Procedures .................................................................. 3-1 3.3200 Textbooks .............................................................................................................. 3-8 Addendum: Some faculty and departments choose to reduce or eliminate textbook cost to students by using Open Educational Resources, either in place of traditional textbooks, or as a supplement to other course materials. At Thomas Nelson, we use the Hewlett Foundation’s definition of Open Educational Resources: “Open educational resources are teaching, learning, and research resources that reside in the public domain or have been released under an intellectual property license that permits their free use and re-purposing by others. Open educational resources include full courses, course materials, modules, textbooks, streaming videos, tests, software, and any other tools, materials, or techniques used to support access to knowledge” (Hewlett Foundation). If you are interested in learning more about OER or about reducing or eliminating textbook cost to your students, please get in touch with your department chair or division dean. 3.4000 Advising Students ............................................................................................... 3-11 Addendum: Faculty Advising/Mentoring Faculty advising is a collaborative relationship between the advisor and a student. Faculty advisors assist students with understanding the certificate and/or degree requirements for graduation. The role of the faculty advisors is to assist their advisees in designing a program of study that supports the student’s interests, academic and professional goals. Continuing/returning students who are assigned to a faculty member are encouraged to meet with their assigned faculty advisor during their scheduled office hours each semester until completion of their program of study. Faculty advising is being phased out at the College as a result of the QEP: Advising: Plan Now, Succeed Now. Faculty members will transition from advisors to mentors. All full-time faculty at the College are expected to participate in mentoring activities. Faculty mentors will choose to participate in one or more student engagement activity, to include, but not limited to (a) serving as a sponsor to a discipline –related club/organization, (b) providing tutoring through TutorZone, (c) conducting presentations for students in related career fields, (d) assisting in general career exploration for specific fields, (e) facilitating research opportunities and (f) working with one of the College retention initiatives (Honors Program, Men Engaging Real Issues Together Program, TRiO, and National Society of Leadership and Success). 4.0000 Student Services Policies and Procedures ............................................................ 4-1 Addendum: Please consult the APM for updates on the following policies not contained in the 2015-2016 4.6200 Academic Advising ................................................................................................................. 4-9 Addendum: Academic advising is a program designed to enable students to develop and attain their academic, personal, and career goals. The advising program focuses on the development of a continuous relationship between academic advisors, faculty mentors, support staff, and administrators to support each student’s growth in these areas. Students should meet with an academic advisor or their assigned faculty advisor to obtain information and assistance with academic planning. Academic advising assists students with a wide range of services as it relates to programs of study, curricula planning, transfer, college and career resources, and support services. New students at Thomas Nelson are required to meet with an academic advisor to explore program options that meet their educational and career objectives. Continuing and/or returning students should meet with their assigned faculty advisor or visit the advising center for their academic division. All students should meet with their advisor each semester to discuss academic progress and get support. New students are advised by professional academic advisors within their Academic Division. To locate an academic advisor, please visit one of the following advising locations: Business, Public Services, Information Systems, and Mathematics Hampton Campus, Diggs Hall, room 122, (757) 825-2883 Historic Triangle Campus, room 117, (757) 253-4755 Communications, Humanities, and Social Sciences Hampton Campus, Griffin Hall, room 222, (757) 825-3896 Historic Triangle Campus, room 117, (757) 253-4755 Health Professions Hampton Campus, Hastings Hall, room 323, (757) 825-2993 Historic Triangle Campus, room 117, (757) 253-4755 Science, Engineering, and Technology Hampton Campus, Hastings Hall, room 323, (757) 825-2950 Historic Triangle Campus, room 117, (757) 253-4755 Students who are undecided about their program of study you may visit The New Student Success Center, Griffin Hall, room 221S or Room 117 on the Historic Triangle campus to explore possible career pathways and programs offered at Thomas Nelson. 6.0000 Personnel Policies and Procedures .................................................................................. 6-1 Addendum: Please consult the APM for updates on the following policies not contained in the 2015-2016 Faculty Handbook: - Teaching and Administrative/Professional Faculty Emeritus (2015), APM 3.28 - Evaluation of Adjunct and Associate Instructor Faculty (2015), APM 3.30 - Lactation Policy (2015), APM 3.31 - Consensual and Familial Relationships (2015), APM 3.32 Appendix 1-A: Classroom Success Tips and Resources for Faculty QUICK TIPS Assignments/Tests Due Dates – At the beginning of each class, show the syllabus timeline with emphasis on the next assignment/test due date. The day before the due date, send a friendly reminder via Blackboard. Blackboard – Make available on Blackboard the following: a welcome, faculty contact information, class presentations, handouts, web links, assignments, tests and grades. Student Resources – Become familiar with key TNCC student college resources and refer students to these as needed. ViewPure – If showing videos during class, consider using ViewPure, an online tool that removes ads, related videos and/or comments. To purify a video, go to viewpure.com, paste your video URL into the area that says “Enter YouTube URL or search term” and click on ‘Purify.’ College Success Seminars at TNCC are intended to provide learning opportunities outside of the classroom for students to improve and enhance their academic and personal development. For more information, call (757) 825-2827 (Hampton). (757) 285-6527 (Williamsburg) Disability Support Services at TNCC complies with the requirements of the Americans with Disabilities Act (ADA) and provides reasonable accommodations to its employees and those persons receiving services from the College who are entitled to such accommodations by law. (757) 825-2827 (Hampton), (757) 253-4755 (Williamsburg) The College Math Center at TNCC is an important resource for students in math and other related curriculum. Math Instructional Assistants offer individual math help to all Thomas Nelson students. Inside of the Library in Wythe Hall, (757) 825-2884 (Hampton). (757) 258-6515 (Williamsburg). The College Writing Center at TNCC is a walk-in service that helps students with writing assignments for any Thomas Nelson class. They provide: Help with any stage of the writing process; Help writing argumentative, narrative, descriptive, and research essays or papers; Grammar tutorials. The Writing Center does not proofread papers. Inside of the Library in Wythe Hall. (757) 825-2940 (Hampton). (757) 258-6516 (Williamsburg). The Computer Lab inside of the Library at TNCC provides computer access and assistance to students, faculty and staff. Staff is knowledgeable and available to assist with issues related to information technology and computing, including using software, formatting papers, printing and accessing MyTNCC and Blackboard. Wythe Hall, (757) 825-2877 (Hampton). (757) 258-6500 (Williamsburg). The Peer Tutoring Center at TNCC provides free tutoring services for currently enrolled students. Students must be enrolled in the Thomas Nelson credit class for which they are seeking assistance. Inside of the Library in Wythe Hall, 825-2804 (Hampton). SmartThinking is an online tutoring service that can provide you with tutoring assistance whenever and wherever you need it. (757) 825-2940. http://www.pearsoned.com/higher-education/products-and-services/smarthinking/resources-support/students/ SAILS is an early alert system, which allows instructors to identify early in the term students who are having issues with attendance, behavior, participation, and low quiz/test scores. See Appendix 1-B for more information on SAILS RESOURCES Reading and Writing: - The National Writing Project offers ideas, books, and research on reading and writing in the classroom: http://www.nwp.org/cs/public/print/doc/resources/topics.csp; - The OWL at Purdue contains helpful information for proper email etiquette as well as information on using MLA and APA style documentation: http://owl.english.purdue.edu Teaching Students with Disabilities: A new feature of Google-docs is dictation to text: http://www.mnn.com/green-tech/computers/blogs/look-ma-no-hands-you-can-now-speak-type-google-docs Encouraging Student Engagement: - Sharon Bowman’s Six Principles of Learning: https://www.youtube.com/watch?v=DAiXOgFu8Wc - Dr. Chews How-to-Study Videos: http://www.samford.edu/departments/academic-success-center/how-to-study - Dartmouth Success Skills: http://www.dartmouth.edu/~acskills/success/notes.html Using Technology: - Animoto.com - Studyblue.com - Quizlet.com Faculty Development at Honolulu Community College - "THE MOST COLORFUL, COMPREHENSIVE, EXCITING, AND AWARD WINNING FACULTY DEVELOPMENT SITE ON THE INTERNET": http://www.honolulu.hawaii.edu/facdev/ National School Reform Faculty organization has always focused on increasing student achievement: http://www.nsrfharmony.org/ Appendix 1-B: Student Assistance and Intervention for Learning Success (SAILS) The Virginia Community College System and Thomas Nelson Community College launched an email early alert system in the fall of 2013 in order to help identify students who are in need of support, resources, or information. Thomas Nelson students may not be aware of all of the resources available to them, which can help them be more successful in their classes. To access SAILS: - Go to: https://my.vccs.edu - Login using your MyVCCS credentials (same credentials used to log into Blackboard). - Click on the SAILS link to access the system. - You will see a link(s) to your Outstanding Surveys at the top of your SAILS homepage. - Once you reach the survey, simply check the box next to the particular student's name for whom you would like to report progress. You may also add comments that will appear on the notification to the student. (See below.) - Click Submit. (It is important to click Submit even if you don't have any alerts to turn in. This confirms you reviewed the survey.) You will receive a confirmation email. - Items you raise will generate an email to the student notifying the student of your concern(s). Additional support may be provided to some students and other students may contact you directly. If you raise a General Concern, an email will not be sent to the student; however, it will be addressed by a Student Affairs staff member. There are three components to this early alert system, which has been named SAILS—Student Assistance and Intervention for Learning Success. 1. At key points in the semester, all instructors are provided progress surveys to complete which serve to alert students and student services staff that they are concerned about their likelihood of success in the course. These reasons include nonattendance, low participation, low quiz/test scores, and behavior. These alerts come to students in the form of emails, which request that the student go to see the instructor. 2. All instructors have access to the SAILS early alert system; therefore, all instructors can identify students who can benefit from seeing the instructor or seeking out student services. 3. In addition, the College has purchased another piece of this program called Connect, which facilitates appointment making, note taking, and resource listing. All College personnel who have a role in SAILS have access to these functions. The resources below help faculty to better understand and utilize the components of the SAILS system. Short videos offer instruction on a variety of features of SAILS. The list includes: - How to update your Profile - How to create office hours - How to take attendance - How to respond to a progress survey - Alert and referral notifications - Appointment notifications - How to close the loop - How to take attendance All of these videos can be found at: https://www.youtube.com/playlist?list=PLrlSg2rzQL5biWqr07FVdPbOZ_Gir_HCx Whether the faculty member notifies a student of a concern via a progress survey or by manually “raising a flag”, an email goes to the student, which requests that the student comes to see the faculty member. (The only exception to this is in the case of a General Concern flag. General concern flags go directly to the Student Services staff for their resolution and a copy does not go to the student.) If the faculty member meets with the student and comes to some resolution, then the faculty member should take a moment and close the loop and clear the flag. Faculty members are responsible for clearing the flags that they raise for: - Assignment concerns - Participation concerns - Low quiz/test scores - Behavior The Student Services staff is responsible for following up on General Concerns, Attendance Concerns, In Danger of Failing, and 3 or 5 flags. They will email and telephone the student. After they have made at least two attempts to get in touch with the student, they will send the faculty member an email, which will inform the faculty member that they have not been successful in reaching out to the student. If they are able to contact the student and can provide a meaningful intervention, then the Student Service staff member will update the faculty member via email and close the loop. If the concern persists, then the faculty member may raise the flag again. If you have questions, please email [email protected], Dr. Betsy Harrison. Appendix 1-C: Learning Resources Library and Tutoring http://tncc.edu/library Learning Resources at Thomas Nelson encompasses services on both the Hampton and Historic Triangle campuses and includes the Library and Tutor Zone. Tutor Zone The Tutor Zone offers free walk-in and/or appointment-based tutoring for Thomas Nelson students. Peer tutors provide help in a variety of subjects in which they have successfully earned credit. Professional tutors are also available for help in all areas of math and for writing in any discipline. The Tutor Zone is located in the library. Information about tutoring services and hours are located at http://libguides.tncc.edu/tutoring. Library Services for Faculty The following serves to outline services for faculty, but in most cases, these services also extend to students and staff. We encourage you (and your students) to visit the library to meet your librarians. http://libguides.tncc.edu/facultyservices Checking Out Materials Thomas Nelson Faculty must present a current Thomas Nelson ID to receive a Thomas Nelson library barcode. Up to 15 items can be checked out at a time. Items circulated by the library include books, DVDs, audiobooks, CDs, Kindles, graphing calculators, and media equipment. Online/Off-Campus Access to Library Resources The library has an extensive online collection that is available to the Thomas Nelson Community. The library website provides access to all of the library's online resources and the online library catalog. A full list of online resources can be found in the "Databases" list on the library website. Off-campus use of library resources requires authentication. Users will be prompted to log in using their MyTNCC username and password. Information Literacy Instruction Thomas Nelson Librarians conduct information literacy instruction sessions both on campus and at dual enrollment sites. Sessions cover evaluating sources, utilizing online library resources, and citations and be tailored to meet the needs of your course. Sessions should be requested at least 7 days in advance by completing library instruction request forms available at http://libguides.tncc.edu/infolit. Research Assistance Faculty, staff, and students can work with librarians for assistance in researching topics. Help is available in person, via telephone or email, and 24-7 online chat. More information is available at http://libanswers.tncc.edu/. Research Guides Research guides are available for many subjects and courses at Thomas Nelson. These guides contain listings of recommended resources related to a specific subject area, subtopic area, a specific class, or even a specific class assignment and can be embedded and linked in Blackboard. A full list of Research Guides is available at http://libguides.tncc.edu. Please contact librarians to inquire about creating a guide for your class. Computer Access and Technology Assistance The library provides computer access and assistance to students and community members. Staff are available to assist with issues related to information technology and computing, including using software, formatting papers, printing and accessing Blackboard and SIS. LRC Seminars The library offers seminars throughout the semester covering various topics including Blackboard, Microsoft Office products, and EasyBib/Citations. Seminars are open to all. OER Librarians are available to provide support for us	ing and implementing open educational resources.	Librarians can assist with finding open content and answer questions about copyright and content licensing. If you are interested in OER training, contact the OER Librarian. For more information on OER and links to other useful websites, see the OER guide on the library website at http://libguides.tncc.edu/OER. Course Reserves Course Reserves are course-related materials made available to students in the Library. These materials are located behind the Check Out Desk and are limited to in-library use only. More information, forms, and policies can be found at http://libguides.tncc.edu/about/reserves. Virginia Tidewater Consortium Reciprocal Borrowing Cards Faculty and students may obtain borrowing privileges at Peninsula area college and university libraries through the VTC Reciprocal Borrowing Program. Users must have a TNCC photo ID and visit the Thomas Nelson library to obtain a VTC card prior to visiting another college library. Cards must be renewed each semester. Appendix 1-D: TNCC Quick Facts - TNCC was founded in Fall 1968. - The first class was on Monday Sep. 30th 1968. - A Thomas Nelson portrait was donated by Yancy, a local real estate developer, to the College. Its current location is unknown. - The school newspaper was originally called “Nelsonite”. Later students voted and changed the name to “The Nelsonite”. - TNCC seal was drawn by John Moore, a commercial art student at TNCC. - The original mascot was the “Swamp Stomper”. Students were dissatisfied with the choice. They changed the mascot to the “Gator”. The colors green and gold were chosen to symbolize the predominant colors of the foliage in the area during fall. - Four women became the first students to complete a course. study at TNCC in January 1969. It was a three month course in key-punch operation. - “TN for TEN”, the 15 foot high steel sculpture located in between Diggs Hall and Templin Hall, marked the 10th anniversary of the College in October 1978. It was created by Dr. Charles Bush, professor of architecture. - Hastings Hall was named after Charles and Mary Hastings. The Hastings founded an instrument company that manufactured radio navigational systems and other precision devices. The company is still in business at Hampton. It is known as Teledyne Hastings-Raydist. - The Circle of Flags was built in 1977 as a celebration of the bicentennial anniversary of the American Revolution. Initially, the flags displayed were the current flags of the original 13 colonies. In 1998 the flags were replaced with flags of the world in recognition of globalization. - A time capsule donated by NASA will be placed in the ground for 100 years. It will be dug up in November 2076. - TNCC has had 10 presidents. - There are 120 full-time faculty members. - 47% of our students were enrolled in a university-transfer program, 33.3% were enrolled in an occupational/technical program and 19.7% were non-curricular. - You can find year-round art displays in both floors of Templin Hall.	19,217	inside_word	using	remove_one_sentence	<url> https://www.tncc.edu/pdf/2016-2017-Faculty-Handbook-Addendum_Final.pdf </url> <text> THOMAS NELSON™ Full-Time Faculty Handbook 2016-2017 ADDENDUM The complete 2015-2016 Faculty Handbook can be accessed online, via MyTNCC. To view, click on the Faculty and Staff page on the Thomas Nelson website, select “MyTNCC” and log on using your faculty credentials. Once you have logged on, you will find a link to the Faculty Handbook under “Faculty Resources”. This document serves as an addendum to the 2015-2106 handbook and contains information on important policy updates for the 2016-2017 academic year, as well as additional resources for faculty (see Appendices). All referenced policies can be found in the Administrative Procedures Manual (APM), accessed via GatorNet (Sharepoint). 2.0000 Functions, Duties, and Responsibilities ................................................................. 2-1 2.3100 Thomas Nelson Governance Committees ............................................................. 2-3 The 2016-2017 College Governances Committees document can be found in the APM, section 3.24. 3.0000 Instructional Policies and Procedures .................................................................. 3-1 3.3200 Textbooks .............................................................................................................. 3-8 Addendum: Some faculty and departments choose to reduce or eliminate textbook cost to students by using Open Educational Resources, either in place of traditional textbooks, or as a supplement to other course materials. At Thomas Nelson, we use the Hewlett Foundation’s definition of Open Educational Resources: “Open educational resources are teaching, learning, and research resources that reside in the public domain or have been released under an intellectual property license that permits their free use and re-purposing by others. Open educational resources include full courses, course materials, modules, textbooks, streaming videos, tests, software, and any other tools, materials, or techniques used to support access to knowledge” (Hewlett Foundation). If you are interested in learning more about OER or about reducing or eliminating textbook cost to your students, please get in touch with your department chair or division dean. 3.4000 Advising Students ............................................................................................... 3-11 Addendum: Faculty Advising/Mentoring Faculty advising is a collaborative relationship between the advisor and a student. Faculty advisors assist students with understanding the certificate and/or degree requirements for graduation. The role of the faculty advisors is to assist their advisees in designing a program of study that supports the student’s interests, academic and professional goals. Continuing/returning students who are assigned to a faculty member are encouraged to meet with their assigned faculty advisor during their scheduled office hours each semester until completion of their program of study. Faculty advising is being phased out at the College as a result of the QEP: Advising: Plan Now, Succeed Now. Faculty members will transition from advisors to mentors. All full-time faculty at the College are expected to participate in mentoring activities. Faculty mentors will choose to participate in one or more student engagement activity, to include, but not limited to (a) serving as a sponsor to a discipline –related club/organization, (b) providing tutoring through TutorZone, (c) conducting presentations for students in related career fields, (d) assisting in general career exploration for specific fields, (e) facilitating research opportunities and (f) working with one of the College retention initiatives (Honors Program, Men Engaging Real Issues Together Program, TRiO, and National Society of Leadership and Success). 4.0000 Student Services Policies and Procedures ............................................................ 4-1 Addendum: Please consult the APM for updates on the following policies not contained in the 2015-2016 4.6200 Academic Advising ................................................................................................................. 4-9 Addendum: Academic advising is a program designed to enable students to develop and attain their academic, personal, and career goals. The advising program focuses on the development of a continuous relationship between academic advisors, faculty mentors, support staff, and administrators to support each student’s growth in these areas. Students should meet with an academic advisor or their assigned faculty advisor to obtain information and assistance with academic planning. Academic advising assists students with a wide range of services as it relates to programs of study, curricula planning, transfer, college and career resources, and support services. New students at Thomas Nelson are required to meet with an academic advisor to explore program options that meet their educational and career objectives. Continuing and/or returning students should meet with their assigned faculty advisor or visit the advising center for their academic division. All students should meet with their advisor each semester to discuss academic progress and get support. New students are advised by professional academic advisors within their Academic Division. To locate an academic advisor, please visit one of the following advising locations: Business, Public Services, Information Systems, and Mathematics Hampton Campus, Diggs Hall, room 122, (757) 825-2883 Historic Triangle Campus, room 117, (757) 253-4755 Communications, Humanities, and Social Sciences Hampton Campus, Griffin Hall, room 222, (757) 825-3896 Historic Triangle Campus, room 117, (757) 253-4755 Health Professions Hampton Campus, Hastings Hall, room 323, (757) 825-2993 Historic Triangle Campus, room 117, (757) 253-4755 Science, Engineering, and Technology Hampton Campus, Hastings Hall, room 323, (757) 825-2950 Historic Triangle Campus, room 117, (757) 253-4755 Students who are undecided about their program of study you may visit The New Student Success Center, Griffin Hall, room 221S or Room 117 on the Historic Triangle campus to explore possible career pathways and programs offered at Thomas Nelson. 6.0000 Personnel Policies and Procedures .................................................................................. 6-1 Addendum: Please consult the APM for updates on the following policies not contained in the 2015-2016 Faculty Handbook: - Teaching and Administrative/Professional Faculty Emeritus (2015), APM 3.28 - Evaluation of Adjunct and Associate Instructor Faculty (2015), APM 3.30 - Lactation Policy (2015), APM 3.31 - Consensual and Familial Relationships (2015), APM 3.32 Appendix 1-A: Classroom Success Tips and Resources for Faculty QUICK TIPS Assignments/Tests Due Dates – At the beginning of each class, show the syllabus timeline with emphasis on the next assignment/test due date. The day before the due date, send a friendly reminder via Blackboard. Blackboard – Make available on Blackboard the following: a welcome, faculty contact information, class presentations, handouts, web links, assignments, tests and grades. Student Resources – Become familiar with key TNCC student college resources and refer students to these as needed. ViewPure – If showing videos during class, consider using ViewPure, an online tool that removes ads, related videos and/or comments. To purify a video, go to viewpure.com, paste your video URL into the area that says “Enter YouTube URL or search term” and click on ‘Purify.’ College Success Seminars at TNCC are intended to provide learning opportunities outside of the classroom for students to improve and enhance their academic and personal development. For more information, call (757) 825-2827 (Hampton). (757) 285-6527 (Williamsburg) Disability Support Services at TNCC complies with the requirements of the Americans with Disabilities Act (ADA) and provides reasonable accommodations to its employees and those persons receiving services from the College who are entitled to such accommodations by law. (757) 825-2827 (Hampton), (757) 253-4755 (Williamsburg) The College Math Center at TNCC is an important resource for students in math and other related curriculum. Math Instructional Assistants offer individual math help to all Thomas Nelson students. Inside of the Library in Wythe Hall, (757) 825-2884 (Hampton). (757) 258-6515 (Williamsburg). The College Writing Center at TNCC is a walk-in service that helps students with writing assignments for any Thomas Nelson class. They provide: Help with any stage of the writing process; Help writing argumentative, narrative, descriptive, and research essays or papers; Grammar tutorials. The Writing Center does not proofread papers. Inside of the Library in Wythe Hall. (757) 825-2940 (Hampton). (757) 258-6516 (Williamsburg). The Computer Lab inside of the Library at TNCC provides computer access and assistance to students, faculty and staff. Staff is knowledgeable and available to assist with issues related to information technology and computing, including using software, formatting papers, printing and accessing MyTNCC and Blackboard. Wythe Hall, (757) 825-2877 (Hampton). (757) 258-6500 (Williamsburg). The Peer Tutoring Center at TNCC provides free tutoring services for currently enrolled students. Students must be enrolled in the Thomas Nelson credit class for which they are seeking assistance. Inside of the Library in Wythe Hall, 825-2804 (Hampton). SmartThinking is an online tutoring service that can provide you with tutoring assistance whenever and wherever you need it. (757) 825-2940. http://www.pearsoned.com/higher-education/products-and-services/smarthinking/resources-support/students/ SAILS is an early alert system, which allows instructors to identify early in the term students who are having issues with attendance, behavior, participation, and low quiz/test scores. See Appendix 1-B for more information on SAILS RESOURCES Reading and Writing: - The National Writing Project offers ideas, books, and research on reading and writing in the classroom: http://www.nwp.org/cs/public/print/doc/resources/topics.csp; - The OWL at Purdue contains helpful information for proper email etiquette as well as information on using MLA and APA style documentation: http://owl.english.purdue.edu Teaching Students with Disabilities: A new feature of Google-docs is dictation to text: http://www.mnn.com/green-tech/computers/blogs/look-ma-no-hands-you-can-now-speak-type-google-docs Encouraging Student Engagement: - Sharon Bowman’s Six Principles of Learning: https://www.youtube.com/watch?v=DAiXOgFu8Wc - Dr. Chews How-to-Study Videos: http://www.samford.edu/departments/academic-success-center/how-to-study - Dartmouth Success Skills: http://www.dartmouth.edu/~acskills/success/notes.html Using Technology: - Animoto.com - Studyblue.com - Quizlet.com Faculty Development at Honolulu Community College - "THE MOST COLORFUL, COMPREHENSIVE, EXCITING, AND AWARD WINNING FACULTY DEVELOPMENT SITE ON THE INTERNET": http://www.honolulu.hawaii.edu/facdev/ National School Reform Faculty organization has always focused on increasing student achievement: http://www.nsrfharmony.org/ Appendix 1-B: Student Assistance and Intervention for Learning Success (SAILS) The Virginia Community College System and Thomas Nelson Community College launched an email early alert system in the fall of 2013 in order to help identify students who are in need of support, resources, or information. Thomas Nelson students may not be aware of all of the resources available to them, which can help them be more successful in their classes. To access SAILS: - Go to: https://my.vccs.edu - Login using your MyVCCS credentials (same credentials used to log into Blackboard). - Click on the SAILS link to access the system. - You will see a link(s) to your Outstanding Surveys at the top of your SAILS homepage. - Once you reach the survey, simply check the box next to the particular student's name for whom you would like to report progress. You may also add comments that will appear on the notification to the student. (See below.) - Click Submit. (It is important to click Submit even if you don't have any alerts to turn in. This confirms you reviewed the survey.) You will receive a confirmation email. - Items you raise will generate an email to the student notifying the student of your concern(s). Additional support may be provided to some students and other students may contact you directly. If you raise a General Concern, an email will not be sent to the student; however, it will be addressed by a Student Affairs staff member. There are three components to this early alert system, which has been named SAILS—Student Assistance and Intervention for Learning Success. 1. At key points in the semester, all instructors are provided progress surveys to complete which serve to alert students and student services staff that they are concerned about their likelihood of success in the course. These reasons include nonattendance, low participation, low quiz/test scores, and behavior. These alerts come to students in the form of emails, which request that the student go to see the instructor. 2. All instructors have access to the SAILS early alert system; therefore, all instructors can identify students who can benefit from seeing the instructor or seeking out student services. 3. In addition, the College has purchased another piece of this program called Connect, which facilitates appointment making, note taking, and resource listing. All College personnel who have a role in SAILS have access to these functions. The resources below help faculty to better understand and utilize the components of the SAILS system. Short videos offer instruction on a variety of features of SAILS. The list includes: - How to update your Profile - How to create office hours - How to take attendance - How to respond to a progress survey - Alert and referral notifications - Appointment notifications - How to close the loop - How to take attendance All of these videos can be found at: https://www.youtube.com/playlist?list=PLrlSg2rzQL5biWqr07FVdPbOZ_Gir_HCx Whether the faculty member notifies a student of a concern via a progress survey or by manually “raising a flag”, an email goes to the student, which requests that the student comes to see the faculty member. (The only exception to this is in the case of a General Concern flag. General concern flags go directly to the Student Services staff for their resolution and a copy does not go to the student.) If the faculty member meets with the student and comes to some resolution, then the faculty member should take a moment and close the loop and clear the flag. Faculty members are responsible for clearing the flags that they raise for: - Assignment concerns - Participation concerns - Low quiz/test scores - Behavior The Student Services staff is responsible for following up on General Concerns, Attendance Concerns, In Danger of Failing, and 3 or 5 flags. They will email and telephone the student. After they have made at least two attempts to get in touch with the student, they will send the faculty member an email, which will inform the faculty member that they have not been successful in reaching out to the student. If they are able to contact the student and can provide a meaningful intervention, then the Student Service staff member will update the faculty member via email and close the loop. If the concern persists, then the faculty member may raise the flag again. If you have questions, please email [email protected], Dr. Betsy Harrison. Appendix 1-C: Learning Resources Library and Tutoring http://tncc.edu/library Learning Resources at Thomas Nelson encompasses services on both the Hampton and Historic Triangle campuses and includes the Library and Tutor Zone. Tutor Zone The Tutor Zone offers free walk-in and/or appointment-based tutoring for Thomas Nelson students. Peer tutors provide help in a variety of subjects in which they have successfully earned credit. Professional tutors are also available for help in all areas of math and for writing in any discipline. The Tutor Zone is located in the library. Information about tutoring services and hours are located at http://libguides.tncc.edu/tutoring. Library Services for Faculty The following serves to outline services for faculty, but in most cases, these services also extend to students and staff. We encourage you (and your students) to visit the library to meet your librarians. http://libguides.tncc.edu/facultyservices Checking Out Materials Thomas Nelson Faculty must present a current Thomas Nelson ID to receive a Thomas Nelson library barcode. Up to 15 items can be checked out at a time. Items circulated by the library include books, DVDs, audiobooks, CDs, Kindles, graphing calculators, and media equipment. Online/Off-Campus Access to Library Resources The library has an extensive online collection that is available to the Thomas Nelson Community. The library website provides access to all of the library's online resources and the online library catalog. A full list of online resources can be found in the "Databases" list on the library website. Off-campus use of library resources requires authentication. Users will be prompted to log in using their MyTNCC username and password. Information Literacy Instruction Thomas Nelson Librarians conduct information literacy instruction sessions both on campus and at dual enrollment sites. Sessions cover evaluating sources, utilizing online library resources, and citations and be tailored to meet the needs of your course. Sessions should be requested at least 7 days in advance by completing library instruction request forms available at http://libguides.tncc.edu/infolit. Research Assistance Faculty, staff, and students can work with librarians for assistance in researching topics. Help is available in person, via telephone or email, and 24-7 online chat. More information is available at http://libanswers.tncc.edu/. Research Guides Research guides are available for many subjects and courses at Thomas Nelson. These guides contain listings of recommended resources related to a specific subject area, subtopic area, a specific class, or even a specific class assignment and can be embedded and linked in Blackboard. A full list of Research Guides is available at http://libguides.tncc.edu. Please contact librarians to inquire about creating a guide for your class. Computer Access and Technology Assistance The library provides computer access and assistance to students and community members. Staff are available to assist with issues related to information technology and computing, including using software, formatting papers, printing and accessing Blackboard and SIS. LRC Seminars The library offers seminars throughout the semester covering various topics including Blackboard, Microsoft Office products, and EasyBib/Citations. Seminars are open to all. OER Librarians are available to provide support for us<cursor_is_here> Librarians can assist with finding open content and answer questions about copyright and content licensing. If you are interested in OER training, contact the OER Librarian. For more information on OER and links to other useful websites, see the OER guide on the library website at http://libguides.tncc.edu/OER. Course Reserves Course Reserves are course-related materials made available to students in the Library. These materials are located behind the Check Out Desk and are limited to in-library use only. More information, forms, and policies can be found at http://libguides.tncc.edu/about/reserves. Virginia Tidewater Consortium Reciprocal Borrowing Cards Faculty and students may obtain borrowing privileges at Peninsula area college and university libraries through the VTC Reciprocal Borrowing Program. Users must have a TNCC photo ID and visit the Thomas Nelson library to obtain a VTC card prior to visiting another college library. Cards must be renewed each semester. Appendix 1-D: TNCC Quick Facts - TNCC was founded in Fall 1968. - The first class was on Monday Sep. 30th 1968. - A Thomas Nelson portrait was donated by Yancy, a local real estate developer, to the College. Its current location is unknown. - The school newspaper was originally called “Nelsonite”. Later students voted and changed the name to “The Nelsonite”. - TNCC seal was drawn by John Moore, a commercial art student at TNCC. - The original mascot was the “Swamp Stomper”. Students were dissatisfied with the choice. They changed the mascot to the “Gator”. The colors green and gold were chosen to symbolize the predominant colors of the foliage in the area during fall. - Four women became the first students to complete a course. study at TNCC in January 1969. It was a three month course in key-punch operation. - “TN for TEN”, the 15 foot high steel sculpture located in between Diggs Hall and Templin Hall, marked the 10th anniversary of the College in October 1978. It was created by Dr. Charles Bush, professor of architecture. - Hastings Hall was named after Charles and Mary Hastings. The Hastings founded an instrument company that manufactured radio navigational systems and other precision devices. The company is still in business at Hampton. It is known as Teledyne Hastings-Raydist. - The Circle of Flags was built in 1977 as a celebration of the bicentennial anniversary of the American Revolution. Initially, the flags displayed were the current flags of the original 13 colonies. In 1998 the flags were replaced with flags of the world in recognition of globalization. - A time capsule donated by NASA will be placed in the ground for 100 years. It will be dug up in November 2076. - TNCC has had 10 presidents. - There are 120 full-time faculty members. - 47% of our students were enrolled in a university-transfer program, 33.3% were enrolled in an occupational/technical program and 19.7% were non-curricular. - You can find year-round art displays in both floors of Templin Hall. </text>	[ { "content": "<url>\nhttps://www.tncc.edu/pdf/2016-2017-Faculty-Handbook-Addendum_Final.pdf\n</url>\n<text>\nTHOMAS NELSON™\n\nFull-Time Faculty Handbook 2016-2017\n\nADDENDUM\n\nThe complete 2015-2016 Faculty Handbook can be accessed online, via MyTNCC. To view, click on the Faculty and Staff page on the Thomas Nelson website, select “MyTNCC” and log on using your faculty credentials. Once you have logged on, you will find a link to the Faculty Handbook under “Faculty Resources”. This document serves as an addendum to the 2015-2106 handbook and contains information on important policy updates for the 2016-2017 academic year, as well as additional resources for faculty (see Appendices). All referenced policies can be found in the Administrative Procedures Manual (APM), accessed via GatorNet (Sharepoint).\n\n2.0000 Functions, Duties, and Responsibilities ................................................................. 2-1\n\n2.3100 Thomas Nelson Governance Committees ............................................................. 2-3\nThe 2016-2017 College Governances Committees document can be found in the APM, section 3.24.\n\n3.0000 Instructional Policies and Procedures .................................................................. 3-1\n\n3.3200 Textbooks .............................................................................................................. 3-8\n\nAddendum: Some faculty and departments choose to reduce or eliminate textbook cost to students by using Open Educational Resources, either in place of traditional textbooks, or as a supplement to other course materials.\n\nAt Thomas Nelson, we use the Hewlett Foundation’s definition of Open Educational Resources:\n\n“Open educational resources are teaching, learning, and research resources that reside in the public domain or have been released under an intellectual property license that permits their free use and re-purposing by others. Open educational resources include full courses, course materials, modules, textbooks, streaming videos, tests, software, and any other tools, materials, or techniques used to support access to knowledge” (Hewlett Foundation).\n\nIf you are interested in learning more about OER or about reducing or eliminating textbook cost to your students, please get in touch with your department chair or division dean.\n\n3.4000 Advising Students ............................................................................................... 3-11\n\nAddendum: Faculty Advising/Mentoring\n\nFaculty advising is a collaborative relationship between the advisor and a student. Faculty advisors assist students with understanding the certificate and/or degree requirements for graduation. The role of the faculty advisors is to assist their advisees in designing a program of study that supports the student’s interests, academic and professional goals. Continuing/returning students who are assigned to a faculty member are encouraged to meet with their assigned faculty advisor during their scheduled office hours each semester until completion of their program of study. Faculty advising is being phased out at the College as a result of the QEP: Advising: Plan Now, Succeed Now. Faculty members will transition from advisors to mentors.\n\nAll full-time faculty at the College are expected to participate in mentoring activities. Faculty mentors will choose to participate in one or more student engagement activity, to include, but not limited to (a) serving as a sponsor to a discipline –related club/organization, (b) providing tutoring through TutorZone, (c) conducting presentations for students in related career fields, (d) assisting in general career exploration for specific fields, (e) facilitating research opportunities and (f) working with one of the College retention initiatives (Honors Program, Men Engaging Real Issues Together Program, TRiO, and National Society of Leadership and Success).\n\n4.0000 Student Services Policies and Procedures ............................................................ 4-1\n\nAddendum: Please consult the APM for updates on the following policies not contained in the 2015-2016\n\n4.6200 Academic Advising ................................................................................................................. 4-9\n\nAddendum: Academic advising is a program designed to enable students to develop and attain their academic, personal, and career goals. The advising program focuses on the development of a continuous relationship between academic advisors, faculty mentors, support staff, and administrators to support each student’s growth in these areas. Students should meet with an academic advisor or their assigned faculty advisor to obtain information and assistance with academic planning. Academic advising assists students with a wide range of services as it relates to programs of study, curricula planning, transfer, college and career resources, and support services.\n\nNew students at Thomas Nelson are required to meet with an academic advisor to explore program options that meet their educational and career objectives. Continuing and/or returning students should meet with their assigned faculty advisor or visit the advising center for their academic division. All students should meet with their advisor each semester to discuss academic progress and get support. New students are advised by professional academic advisors within their Academic Division. To locate an academic advisor, please visit one of the following advising locations:\n\nBusiness, Public Services, Information Systems, and Mathematics\nHampton Campus, Diggs Hall, room 122, (757) 825-2883\nHistoric Triangle Campus, room 117, (757) 253-4755\n\nCommunications, Humanities, and Social Sciences\nHampton Campus, Griffin Hall, room 222, (757) 825-3896\nHistoric Triangle Campus, room 117, (757) 253-4755\n\nHealth Professions\nHampton Campus, Hastings Hall, room 323, (757) 825-2993\nHistoric Triangle Campus, room 117, (757) 253-4755\n\nScience, Engineering, and Technology\nHampton Campus, Hastings Hall, room 323, (757) 825-2950\nHistoric Triangle Campus, room 117, (757) 253-4755\n\nStudents who are undecided about their program of study you may visit The New Student Success Center, Griffin Hall, room 221S or Room 117 on the Historic Triangle campus to explore possible career pathways and programs offered at Thomas Nelson.\n\n6.0000 Personnel Policies and Procedures .................................................................................. 6-1\n\nAddendum: Please consult the APM for updates on the following policies not contained in the 2015-2016\n\nFaculty Handbook:\n- Teaching and Administrative/Professional Faculty Emeritus (2015), APM 3.28\n- Evaluation of Adjunct and Associate Instructor Faculty (2015), APM 3.30\n- Lactation Policy (2015), APM 3.31\n- Consensual and Familial Relationships (2015), APM 3.32\n\nAppendix 1-A: Classroom Success Tips and Resources for Faculty\n\nQUICK TIPS\n\nAssignments/Tests Due Dates – At the beginning of each class, show the syllabus timeline with emphasis on the next assignment/test due date. The day before the due date, send a friendly reminder via Blackboard.\n\nBlackboard – Make available on Blackboard the following: a welcome, faculty contact information, class presentations, handouts, web links, assignments, tests and grades.\n\nStudent Resources – Become familiar with key TNCC student college resources and refer students to these as needed.\n\nViewPure – If showing videos during class, consider using ViewPure, an online tool that removes ads, related videos and/or comments. To purify a video, go to viewpure.com, paste your video URL into the area that says “Enter YouTube URL or search term” and click on ‘Purify.’\n\nCollege Success Seminars at TNCC are intended to provide learning opportunities outside of the classroom for students to improve and enhance their academic and personal development. For more information, call (757) 825-2827 (Hampton). (757) 285-6527 (Williamsburg)\n\nDisability Support Services at TNCC complies with the requirements of the Americans with Disabilities Act (ADA) and provides reasonable accommodations to its employees and those persons receiving services from the College who are entitled to such accommodations by law. (757) 825-2827 (Hampton), (757) 253-4755 (Williamsburg)\n\nThe College Math Center at TNCC is an important resource for students in math and other related curriculum. Math Instructional Assistants offer individual math help to all Thomas Nelson students. Inside of the Library in Wythe Hall, (757) 825-2884 (Hampton). (757) 258-6515 (Williamsburg).\n\nThe College Writing Center at TNCC is a walk-in service that helps students with writing assignments for any Thomas Nelson class. They provide: Help with any stage of the writing process; Help writing argumentative, narrative, descriptive, and research essays or papers; Grammar tutorials. The Writing Center does not proofread papers. Inside of the Library in Wythe Hall. (757) 825-2940 (Hampton). (757) 258-6516 (Williamsburg).\n\nThe Computer Lab inside of the Library at TNCC provides computer access and assistance to students, faculty and staff. Staff is knowledgeable and available to assist with issues related to information technology and computing, including using software, formatting papers, printing and accessing MyTNCC and Blackboard. Wythe Hall, (757) 825-2877 (Hampton). (757) 258-6500 (Williamsburg).\n\nThe Peer Tutoring Center at TNCC provides free tutoring services for currently enrolled students. Students must be enrolled in the Thomas Nelson credit class for which they are seeking assistance. Inside of the Library in Wythe Hall, 825-2804 (Hampton).\n\nSmartThinking is an online tutoring service that can provide you with tutoring assistance whenever and wherever you need it. (757) 825-2940. http://www.pearsoned.com/higher-education/products-and-services/smarthinking/resources-support/students/\n\nSAILS is an early alert system, which allows instructors to identify early in the term students who are having issues with attendance, behavior, participation, and low quiz/test scores. See Appendix 1-B for more information on SAILS\n\nRESOURCES\n\nReading and Writing:\n\n- The National Writing Project offers ideas, books, and research on reading and writing in the classroom: http://www.nwp.org/cs/public/print/doc/resources/topics.csp;\n\n- The OWL at Purdue contains helpful information for proper email etiquette as well as information on using MLA and APA style documentation: http://owl.english.purdue.edu\n\nTeaching Students with Disabilities: A new feature of Google-docs is dictation to text: http://www.mnn.com/green-tech/computers/blogs/look-ma-no-hands-you-can-now-speak-type-google-docs\n\nEncouraging Student Engagement:\n\n- Sharon Bowman’s Six Principles of Learning: https://www.youtube.com/watch?v=DAiXOgFu8Wc\n- Dr. Chews How-to-Study Videos: http://www.samford.edu/departments/academic-success-center/how-to-study\n- Dartmouth Success Skills: http://www.dartmouth.edu/~acskills/success/notes.html\n\nUsing Technology:\n\n- Animoto.com\n- Studyblue.com\n- Quizlet.com\n\nFaculty Development at Honolulu Community College - \"THE MOST COLORFUL, COMPREHENSIVE, EXCITING, AND AWARD WINNING FACULTY DEVELOPMENT SITE ON THE INTERNET\": http://www.honolulu.hawaii.edu/facdev/\n\nNational School Reform Faculty organization has always focused on increasing student achievement: http://www.nsrfharmony.org/\n\nAppendix 1-B: Student Assistance and Intervention for Learning Success (SAILS)\n\nThe Virginia Community College System and Thomas Nelson Community College launched an email early alert system in the fall of 2013 in order to help identify students who are in need of support, resources, or information. Thomas Nelson students may not be aware of all of the resources available to them, which can help them be more successful in their classes.\n\nTo access SAILS:\n\n- Go to: https://my.vccs.edu\n- Login using your MyVCCS credentials (same credentials used to log into Blackboard).\n- Click on the SAILS link to access the system.\n- You will see a link(s) to your Outstanding Surveys at the top of your SAILS homepage.\n- Once you reach the survey, simply check the box next to the particular student's name for whom you would like to report progress. You may also add comments that will appear on the notification to the student. (See below.)\n- Click Submit. (It is important to click Submit even if you don't have any alerts to turn in. This confirms you reviewed the survey.) You will receive a confirmation email.\n- Items you raise will generate an email to the student notifying the student of your concern(s). Additional support may be provided to some students and other students may contact you directly. If you raise a General Concern, an email will not be sent to the student; however, it will be addressed by a Student Affairs staff member.\n\nThere are three components to this early alert system, which has been named SAILS—Student Assistance and Intervention for Learning Success.\n\n1. At key points in the semester, all instructors are provided progress surveys to complete which serve to alert students and student services staff that they are concerned about their likelihood of success in the course. These reasons include nonattendance, low participation, low quiz/test scores, and behavior. These alerts come to students in the form of emails, which request that the student go to see the instructor.\n2. All instructors have access to the SAILS early alert system; therefore, all instructors can identify students who can benefit from seeing the instructor or seeking out student services.\n3. In addition, the College has purchased another piece of this program called Connect, which facilitates appointment making, note taking, and resource listing. All College personnel who have a role in SAILS have access to these functions.\n\nThe resources below help faculty to better understand and utilize the components of the SAILS system. Short videos offer instruction on a variety of features of SAILS. The list includes:\n\n- How to update your Profile\n- How to create office hours\n- How to take attendance\n- How to respond to a progress survey\n- Alert and referral notifications\n- Appointment notifications\n- How to close the loop\n- How to take attendance\n\nAll of these videos can be found at: https://www.youtube.com/playlist?list=PLrlSg2rzQL5biWqr07FVdPbOZ_Gir_HCx\n\nWhether the faculty member notifies a student of a concern via a progress survey or by manually “raising a flag”, an email goes to the student, which requests that the student comes to see the faculty member. (The only exception to this is in the case of a General Concern flag. General concern flags go directly to the Student Services staff for their resolution and a copy does not go to the student.) If the faculty member meets with the student and comes to some resolution, then the faculty member should take a moment and close the loop and clear the flag. Faculty members are responsible for clearing the flags that they raise for:\n\n- Assignment concerns\n- Participation concerns\n- Low quiz/test scores\n- Behavior\n\nThe Student Services staff is responsible for following up on General Concerns, Attendance Concerns, In Danger of Failing, and 3 or 5 flags. They will email and telephone the student. After they have made at least two attempts to get in touch with the student, they will send the faculty member an email, which will inform the faculty member that they have not been successful in reaching out to the student. If they are able to contact the student and can provide a meaningful intervention, then the Student Service staff member will update the faculty member via email and close the loop. If the concern persists, then the faculty member may raise the flag again.\n\nIf you have questions, please email [email protected], Dr. Betsy Harrison.\n\nAppendix 1-C: Learning Resources\n\nLibrary and Tutoring\nhttp://tncc.edu/library\n\nLearning Resources at Thomas Nelson encompasses services on both the Hampton and Historic Triangle campuses and includes the Library and Tutor Zone.\n\nTutor Zone\nThe Tutor Zone offers free walk-in and/or appointment-based tutoring for Thomas Nelson students. Peer tutors provide help in a variety of subjects in which they have successfully earned credit. Professional tutors are also available for help in all areas of math and for writing in any discipline. The Tutor Zone is located in the library.\n\nInformation about tutoring services and hours are located at http://libguides.tncc.edu/tutoring.\n\nLibrary Services for Faculty\nThe following serves to outline services for faculty, but in most cases, these services also extend to students and staff. We encourage you (and your students) to visit the library to meet your librarians.\n\nhttp://libguides.tncc.edu/facultyservices\n\nChecking Out Materials\nThomas Nelson Faculty must present a current Thomas Nelson ID to receive a Thomas Nelson library barcode. Up to 15 items can be checked out at a time. Items circulated by the library include books, DVDs, audiobooks, CDs, Kindles, graphing calculators, and media equipment.\n\nOnline/Off-Campus Access to Library Resources\nThe library has an extensive online collection that is available to the Thomas Nelson Community. The library website provides access to all of the library's online resources and the online library catalog. A full list of online resources can be found in the \"Databases\" list on the library website.\n\nOff-campus use of library resources requires authentication. Users will be prompted to log in using their MyTNCC username and password.\n\nInformation Literacy Instruction\nThomas Nelson Librarians conduct information literacy instruction sessions both on campus and at dual enrollment sites. Sessions cover evaluating sources, utilizing online library resources, and citations and be tailored to meet the needs of your course. Sessions should be requested at least 7 days in advance by completing library instruction request forms available at http://libguides.tncc.edu/infolit.\n\nResearch Assistance\nFaculty, staff, and students can work with librarians for assistance in researching topics. Help is available in person, via telephone or email, and 24-7 online chat. More information is available at http://libanswers.tncc.edu/.\n\nResearch Guides\nResearch guides are available for many subjects and courses at Thomas Nelson. These guides contain listings of recommended resources related to a specific subject area, subtopic area, a specific class, or even a specific class assignment and can be embedded and linked in Blackboard. A full list of Research Guides is available at http://libguides.tncc.edu. Please contact librarians to inquire about creating a guide for your class.\n\nComputer Access and Technology Assistance\nThe library provides computer access and assistance to students and community members. Staff are available to assist with issues related to information technology and computing, including using software, formatting papers, printing and accessing Blackboard and SIS.\n\nLRC Seminars\nThe library offers seminars throughout the semester covering various topics including Blackboard, Microsoft Office products, and EasyBib/Citations. Seminars are open to all.\n\nOER\nLibrarians are available to provide support for us<cursor_is_here> Librarians can assist with finding open content and answer questions about copyright and content licensing. If you are interested in OER training, contact the OER Librarian. For more information on OER and links to other useful websites, see the OER guide on the library website at http://libguides.tncc.edu/OER.\n\nCourse Reserves\nCourse Reserves are course-related materials made available to students in the Library. These materials are located behind the Check Out Desk and are limited to in-library use only. More information, forms, and policies can be found at http://libguides.tncc.edu/about/reserves.\n\nVirginia Tidewater Consortium Reciprocal Borrowing Cards\nFaculty and students may obtain borrowing privileges at Peninsula area college and university libraries through the VTC Reciprocal Borrowing Program. Users must have a TNCC photo ID and visit the Thomas Nelson library to obtain a VTC card prior to visiting another college library. Cards must be renewed each semester.\n\nAppendix 1-D: TNCC Quick Facts\n\n- TNCC was founded in Fall 1968.\n- The first class was on Monday Sep. 30th 1968.\n- A Thomas Nelson portrait was donated by Yancy, a local real estate developer, to the College. Its current location is unknown.\n\n- The school newspaper was originally called “Nelsonite”. Later students voted and changed the name to “The Nelsonite”.\n\n- TNCC seal was drawn by John Moore, a commercial art student at TNCC.\n\n- The original mascot was the “Swamp Stomper”. Students were dissatisfied with the choice. They changed the mascot to the “Gator”. The colors green and gold were chosen to symbolize the predominant colors of the foliage in the area during fall.\n\n- Four women became the first students to complete a course.\n\nstudy at TNCC in January 1969. It was a three month course in key-punch operation.\n\n- “TN for TEN”, the 15 foot high steel sculpture located in between Diggs Hall and Templin Hall, marked the 10th anniversary of the College in October 1978. It was created by Dr. Charles Bush, professor of architecture.\n\n- Hastings Hall was named after Charles and Mary Hastings. The Hastings founded an instrument company that manufactured radio navigational systems and other precision devices. The company is still in business at Hampton. It is known as Teledyne Hastings-Raydist.\n\n- The Circle of Flags was built in 1977 as a celebration of the bicentennial anniversary of the American Revolution. Initially, the flags displayed were the current flags of the original 13 colonies. In 1998 the flags were replaced with flags of the world in recognition of globalization.\n\n- A time capsule donated by NASA will be placed in the ground for 100 years. It will be dug up in November 2076.\n\n- TNCC has had 10 presidents.\n\n- There are 120 full-time faculty members.\n\n- 47% of our students were enrolled in a university-transfer program, 33.3% were enrolled in an occupational/technical program and 19.7% were non-curricular.\n\n- You can find year-round art displays in both floors of Templin Hall.\n</text>\n", "role": "user" }, { "content": "ing and implementing open educational resources.", "role": "assistant" } ]
October 11, 2004 Meeting second Monday each month at: St. Thomas More Catholic Church 2900 Kimball Ave Manhattan, Kansas Social time at 8:30 a.m., meeting begins at 9 a.m. www.kpqg.com Prairie Pointer Speaker Will Go First, Then Business Meeting October: Visual poet Jacquelyn Mooney created the Big City Women series as a vehicle for her vibrant, contemporary quilted textile collages. She is a nationallyrecognized artist launching "This Joint is Jumpin'" in 2004. Jacquelyn comes to us from New Orleans via Greensboro as a guest of KSU. Her works will be shown in Justin Hall on the KSU campus. Jacquelyn will present her program at 9 a.m., as she is scheduled at K-State for a program later in the morning. To accommodate her, we will have our program at 9, followed by the business meeting and show'n'tell. Jacquelyn has a show opening on Sunday Oct. 10, to which we're invited, at the Human Ecology Building (Justin Hall), but she will bring other quilts to (Continued on page 5) Prez Sez It's hard to believe we are coming to the end of September with these summer-like temperatures. I hope our fall weather will kick in soon. Thank you to all who participated in the Little Apple Festival this past weekend. There was a lot of interest and shared stories by passersby who remembered their mothers or grandmothers who quilted. We even had a 10 year old girl ask to quilt and Cindy Ross kindly assisted her in putting a few stitches into Cindy's quilt. The opportunity quilt was a success as we sold around $375 worth of tickets, in addition to being paid by Parks and Rec for demonstrating the art of quilting. I personally think this weekend of demonstration will help in educating and tickling an interest in future generations of quilters. With all this said, please volunteer to help with Pumpkin Patch, which is just around the corner. And a BIG BIG Quilt-from-the- heart thank you to all who pieced, quilted, sewed labels, tied, donated time and or money to our crisis center project over these past six months. Quilters are the most generous peo- Marci Baker, our September speaker. ple I know and I am proud to have been your President these past two years. Next meeting we will be presenting you a new slate of officers to be voted on in November. Please consider serving on the board—it is a lot of fun and very rewarding. Love and Stitches, Whitney Pumpkin Patch is Friday, Oct 1 from 9am-8pm and Saturday, Oct 2 from 9am-4pm October Refreshments Libby Edgar Gayle Edmiston Alice Edmunds Carma Edwards Jane Elliott Lana Ellis Carol Elmore Dorine Elsea Our October birthday girls are Betty Shawgo, Jan Zelch, Ronna Robertson and Nayola Norris and (below) Barb Warner. Directory changes: Robbie Courts, 87 Schofield Circle, Fort Riley 66442, 785-7848157, 2 July, [email protected] Susan Gormely, 434 Wickham Rd, Manhattan 66502, 785-5393701, 21 April, [email protected] Judy Marshall, 146 N Dartmouth, Manhattan 66503, 785-5391086, 25 July, [email protected] Delores Briggs, 1601 Perry, Junction City 66441, 785-2384649, 29 May Nancy B. Parker, 1604 Barrington Dr, Manhattan 66503, 785537-2563 Patchwork Pieces 2004 Officers (KPQG Board meets at noon, 3rd Mondays, at Bluestem Bistro in Aggieville) President: Whitney Short VP/Program Chair: Charlotte Herr Program Chair Select: Cindy Ross Secretary: Dona Koster; Treasurer: Twila Hoffman Photographer: Shari Reeves Members-at-large: Donna Dawson, Mary Jo Kurtz, Norma Larson Past President: Barbara Nelson Newsletter: Jennie Burden; Circulation: Jeanne Powell Committees : Library: Kay Hummels, Carolyn Dreiling, Anne Collins, Jan Carl; 2004 Opportunity Quilt: Margie Young, Harriette Janke; Opportunity Quilt Tickets: Virginia Cleek, Mary Jo Harbour; Refreshments set-up: Eloise Brown, Norma Blakely, Barbara Broce; clean-up: Sharon Pollman, Alice Edmunds, Nelda Warnica; Greeters: Betty Shawgo, Pauline Adoph, Susie Sapp; Block of the Month: Robb-n-Graves; Challenge: Susie Weir; Directory: Twila Hoffman; Quilts From the Heart: Bonnie Olsen; Pumpkin Patch: Twila Hoffman. Every Thursday from 11 am-3 pm a group meets at the Riley County Senior Center to sew, quilt and visit. Lunch is on your own, except the last Thursday of the month, when it's potluck. Contact: Susie (Weir, Wong or Sapp.) The 4th Monday group meets 9:303:30 at the clubhouse of the Westbank Townhouses on Rockridge Court. Bring a sack lunch. Whitney's President's Block: 10½" square (finish to 10") block, any pattern, pieced or appliquéd, in Christmas colors. Please sign your block. Thank You Notes I want to thank the guild members for the standing ovation you gave me. Remember you did the work. I just gave you a little push, and I thank you. We have the quilts all finished and labeled. Now it is time to take a little "vacation" so we will be ready to start again in January on the next project. We have some finished quilts for Phase Two; I sewed the labels on those already. I have been working getting kits together for you. It has been one great project. Bonnie From the winner of our County Fair Prize: Dear Barbara Nelson: I want to thank the Konza Prairie Quilt Guild for the $50 prize they gave me at the Riley County Fair. I really appreciate it I had fun making my quilt! My next project is to make some matching pillows. Sincerely, Hannah Pauls One of two t-shirt quilts Alison Boyd made for her sons, who are Riley County High School graduates. When Moving to a New Town, Best Way to Ease Transition is Join a Quilt Guild Rosemary McMullen is a widow but was married for 50 years and has 5 children, 13 grandchildren and 8 great grandchildren, so far! She joined guild around 2000. Quilt guild made her introduction to Manhattan "painless and fun!" Rosie loves to read and does needlework of several types. She belongs to Kiwanis, doing many volunteer projects for them, and also contributes to RSVP. Her work history is varied—secretary/bookkeeper, real estate, house restorer. Rosie says she has been sewing all her life and quilting was a natural extension. She started a 50 state quilt with embroidered blocks, got tired of it and put it away. When she found it 20 years later, she knew she "better finish it or her kids would throw it away." She prefers old-fashioned techniques, hand pieces, traditional blocks. She imagines herself as a pioneer mother. She has finished 8 quilts which have mostly gone to her children. She says quilting gives a sense of accomplishment and she has fun trying different patterns. Rosie hopes to finish a cathedral window quilt during her lifetime, but right now it is resting in a trunk! November Pillow Block of the Month The copying process changes size of pattern; you may need to increase or decrease to fit the pillow top. Note the inch marks along the side of the basket. If you adjust the pattern so these are actually 1" apart, you will have the correct size. Instructions for November Pillow of the Month Fabric needed: Four 8"x16" neutrals for background ⅛ yard for inner border ½ yard for outer border 4"x4" for bottom half of nuts 3"x3" for top half of nuts eight 3"x4" different leaf colors Supplies needed: 14" pillow form black embroidery floss six ⅞" buttons fusible web fusible interfacing (optional) Cutting: From the 4 neutral fabrics, cut two 7½"x7½" squares. From the inner border fabric, cut two 1"x28½" strips. From the outer border fabric, cut two 6½"x28½" strips. Sewing: All seam allowances are ¼". Please read all directions before beginning. Sew two different neutral squares together and repeat three more times. Press. Now sew two pairs together to make two 4-patch blocks measuring 14½"x14½". You can appliqué the design by hand appliqué or by fusing. I chose to use a fusible web. When using a fusible web, you need to trace a reverse image. The easiest way to reverse the design is to trace it on tracing paper with a black marker. Flip over the tracing paper and use this side to trace the different pieces to the paper side of the fusible web, allowing a little extra where any of the pieces go underneath another. paper pattern as a positioning guide, arrange the pieces on the background block. Fuse down. To finish the raw edges of the fused pieces and add the stems on the leaves, do a small zig zag or satin stitch on each piece. I used a dark brown thread so it would contrast well with all the leaves. Place a stabilizer (could be typing or tracing paper) behind the fabric when doing this by machine for a betterlooking stitch. Remove paper when finished stitching. Use two strands of black embroidery floss to stitch three "X"s on each nut. Sew the two 4-patch blocks together. Sew the inner and outer borders together, and then sew to the center section. To finish the side edges, cut two pieces of fusible interfacing 3"x28½" and fuse ¼" from both outer side edges. Finish the raw side edges by turning under ¼" and top stitch down. Sew the two remaining unfinished edges together to form a tube. Fold the side edges under 3" and press Finish by adding three buttons and buttonholes, snaps, or Velcro to each side. It's up to you. Slip your pillow form in and enjoy. Following the fusing directions of your fusible web, fuse to the wrong side of the coordinating fabrics. Cut out each piece on the traced lines. Peel off the paper and now using the right side of the tracing Upcoming Programs (Continued from page 1) show us that will not be displayed elsewhere. November: Our own Carole Chelz will have a trunk and slide show of quilts from her private collection. December: Program will be a demonstration of how to put a quilt in a traditional frame. We'll share a potluck dinner and the sister sisters will be revealed. Do you need a variety of Christmas cookies for entertaining? Then bring 3½ homemade dozen to guild. You'll be able to choose 3 dozen other cookies to take home, and we'll use the extras to make up plates for members who are physically unable to attend guild meetings. Suzy Wong made this butterfly quilt for her granddaughter Trinity. Thanks to all who demonstrated quilting on Cindy Ross' quilt: Jo Valverde, Harriette Janke, Jennie Burden, Opal Kemnitz, Susie Sapp, Doris Hofman, Ethel Houtz, Nelda Warnica, Shari Reeves, Eloise Brown, Donna Dawson, Delores Briggs, Betty Wiechmann, Bonnie J. Olsen, Edythe Porter, Whitney Short, Lois Morrison, Norma Larson, Susie Weir, Betty Frank, Lana Ellis, Doris Beckenhauer, Kay Hummels and Nyle Larson for help with logistics. Interviews with numerous prominent quilters, among them John Flynn, Patricia Campbell, Flavin Glover, Georgia Bonesteel, Charlotte Warr Anderson, Elsie Campbell, Libby Lehman, Carol Doak, Jean Ray Laury, Sharlene Jorgenson and Kaye Wood can be found at: http://www.centerforthequilt.org/qsos/ qsos_interviews.php Two of several angel-themed stained-glass wallhangings that Sue Jones shared. What Can You do With a UFO? 1. Sort UFOs into two piles: KEEP and DONATE. 2. Organize a Trading UFOs Night for your Donate pile. Or given them to a charitable group (like Quilts From the Heart.) 3. Arrange the KEEP pile into "Time to Finish," as in "how much time will it take to finish?" 4. Do the quick ones first. Use them to practice your machine quilting techniques. 5. Combine them into a Quilt From the Heart. 6. Give yourself permission to throw them away—it is just fabric, after all. 7. Check out www.mccallsquilting.com to share ideas with other quilters. Thanks to McCall's Magazine, Oct. 2004, for ideas on Using UFOs. On the Road Quilt Shows and Events of Interest Sep 25-Oct 10 Quilter's Guild of Greater Kansas City Quilt Show. Crown Center, Kansas City. Oct 1-3 Central KS Shop Hop; 13 stores in Salina, McPherson, Hutchinson, Alden, Newton, Halstead, Wichita, Andover, Severy and Derby. Contact Janeen Miller (316)788-5120 Oct 8-10 KQO Fall Meeting, Colby. Featured speaker Bobbie Aug. Oct 15-17 Heart of Kansas Quilt Show, Eisenhower Bldg., Kansas State Fairgrounds, Hutchinson. Oct 16-17 In Grandma's Attic, Silver Needles Quilt Guild show, Bicentennial Center, Salina. Sat 9-5, Sun 12-5. Nov 9-Dec 14 Heart of Kansas Quilt Guild Exhibit, Shafer Museum, Barton Co. Comm. College, Great Bend. June 4-5, 2005 Celebrate 150 Quilt Show, marking Manhattan's 150th Birthday. (Disclaimer: Information for "On the Road" is gleaned from our sources. You may wish to confirm dates, times and places of quilt shows before traveling to them, as errors sometimes get inserted.) KONZA PRAIRIE QUILTERS' GUILD BOX 271 MANHATTAN KS 66505-0271 www.kpqg.com Don't forget to bring a trick or a treat for your Secret Sister! For Sale Older Nolting longarm quilting machine with laser light (front or back location). 12' table, extenda-base for line work plus several pantograph patterns. New motor and speed regulator board. Runs great—I'm just updating. Call Sherry at 785-263-2860 or email [email protected]. This is a perfect machine for those wanting to know if a longarm is for them! I have used it for 4 years. Lost, found and mis-taken: Someone took the wrong large green cutting board from Jane Buckley's workshop. Please call Dorene if the board you have has 2 round corners and 2 square. She has yours. A set of 4 pink placemats were left at the church from our meeting. See Whitney. Prairie Star Quilt Guild Meets the second Monday of each month 7:15 pm Pottorff Hall, Cico Park, Manhattan Oct: Anne Collins—Flannel Chenille Scarves Nov: Lynne Hagmeier—Designing Fabric December: Party, ornament exchange The Prairie Pointer is the monthly newsletter of Konza Prairie Quilters' Guild. Membership is open to all those interested in quilts and quilting. Yearly dues are $35 and include 12 Opportunity Tickets, admission to all meetings, monthly newsletter, access to library materials, block of the month patterns, and opportunity to participate in workshops, field trips and public events. Guests are welcome and may attend twice before joining.	<urn:uuid:71d3bb80-c742-49a0-a14f-798448b6d834>	CC-MAIN-2017-30	http://kpqg.com/Newsletters/2004/10_2004.pdf	2017-07-24T10:45:39Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-30/segments/1500549424846.81/warc/CC-MAIN-20170724102308-20170724122308-00382.warc.gz	189,465,064	3,465	eng_Latn	eng_Latn	0.957115	eng_Latn	0.996495	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2594, 4585, 6667, 6949, 10039, 10858, 12537, 14023 ]	October 11, 2004 Meeting second Monday each month at: St. Thomas More Catholic Church 2900 Kimball Ave Manhattan, Kansas Social time at 8:30 a.m., meeting begins at 9 a.m. www.kpqg.com Prairie Pointer Speaker Will Go First, Then Business Meeting October: Visual poet Jacquelyn Mooney created the Big City Women series as a vehicle for her vibrant, contemporary quilted textile collages. She is a nationallyrecognized artist launching "This Joint is Jumpin'" in 2004. Jacquelyn comes to us from New Orleans via Greensboro as a guest of KSU. Her works will be shown in Justin Hall on the KSU campus. Jacquelyn will present her program at 9 a.m., as she is scheduled at K-State for a program later in the morning. To accommodate her, we will have our program at 9, followed by the business meeting and show'n'tell. Jacquelyn has a show opening on Sunday Oct. 10, to which we're invited, at the Human Ecology Building (Justin Hall), but she will bring other quilts to (Continued on page 5) Prez Sez It's hard to believe we are coming to the end of September with these summer-like temperatures. I hope our fall weather will kick in soon. Thank you to all who participated in the Little Apple Festival this past weekend. There was a lot of interest and shared stories by passersby who remembered their mothers or grandmothers who quilted. We even had a 10 year old girl ask to quilt and Cindy Ross kindly assisted her in putting a few stitches into Cindy's quilt. The opportunity quilt was a success as we sold around $375 worth of tickets, in addition to being paid by Parks and Rec for demonstrating the art of quilting. I personally think this weekend of demonstration will help in educating and tickling an interest in future generations of quilters. With all this said, please volunteer to help with Pumpkin Patch, which is just around the corner. And a BIG BIG Quilt-from-the- heart thank you to all who pieced, quilted, sewed labels, tied, donated time and or money to our crisis center project over these past six months. Quilters are the most generous peo- Marci Baker, our September speaker. ple	I know and I am proud to have been your President these past two years.	Next meeting we will be presenting you a new slate of officers to be voted on in November. Please consider serving on the board—it is a lot of fun and very rewarding. Love and Stitches, Whitney Pumpkin Patch is Friday, Oct 1 from 9am-8pm and Saturday, Oct 2 from 9am-4pm October Refreshments Libby Edgar Gayle Edmiston Alice Edmunds Carma Edwards Jane Elliott Lana Ellis Carol Elmore Dorine Elsea Our October birthday girls are Betty Shawgo, Jan Zelch, Ronna Robertson and Nayola Norris and (below) Barb Warner. Directory changes: Robbie Courts, 87 Schofield Circle, Fort Riley 66442, 785-7848157, 2 July, [email protected] Susan Gormely, 434 Wickham Rd, Manhattan 66502, 785-5393701, 21 April, [email protected] Judy Marshall, 146 N Dartmouth, Manhattan 66503, 785-5391086, 25 July, [email protected] Delores Briggs, 1601 Perry, Junction City 66441, 785-2384649, 29 May Nancy B. Parker, 1604 Barrington Dr, Manhattan 66503, 785537-2563 Patchwork Pieces 2004 Officers (KPQG Board meets at noon, 3rd Mondays, at Bluestem Bistro in Aggieville) President: Whitney Short VP/Program Chair: Charlotte Herr Program Chair Select: Cindy Ross Secretary: Dona Koster; Treasurer: Twila Hoffman Photographer: Shari Reeves Members-at-large: Donna Dawson, Mary Jo Kurtz, Norma Larson Past President: Barbara Nelson Newsletter: Jennie Burden; Circulation: Jeanne Powell Committees : Library: Kay Hummels, Carolyn Dreiling, Anne Collins, Jan Carl; 2004 Opportunity Quilt: Margie Young, Harriette Janke; Opportunity Quilt Tickets: Virginia Cleek, Mary Jo Harbour; Refreshments set-up: Eloise Brown, Norma Blakely, Barbara Broce; clean-up: Sharon Pollman, Alice Edmunds, Nelda Warnica; Greeters: Betty Shawgo, Pauline Adoph, Susie Sapp; Block of the Month: Robb-n-Graves; Challenge: Susie Weir; Directory: Twila Hoffman; Quilts From the Heart: Bonnie Olsen; Pumpkin Patch: Twila Hoffman. Every Thursday from 11 am-3 pm a group meets at the Riley County Senior Center to sew, quilt and visit. Lunch is on your own, except the last Thursday of the month, when it's potluck. Contact: Susie (Weir, Wong or Sapp.) The 4th Monday group meets 9:303:30 at the clubhouse of the Westbank Townhouses on Rockridge Court. Bring a sack lunch. Whitney's President's Block: 10½" square (finish to 10") block, any pattern, pieced or appliquéd, in Christmas colors. Please sign your block. Thank You Notes I want to thank the guild members for the standing ovation you gave me. Remember you did the work. I just gave you a little push, and I thank you. We have the quilts all finished and labeled. Now it is time to take a little "vacation" so we will be ready to start again in January on the next project. We have some finished quilts for Phase Two; I sewed the labels on those already. I have been working getting kits together for you. It has been one great project. Bonnie From the winner of our County Fair Prize: Dear Barbara Nelson: I want to thank the Konza Prairie Quilt Guild for the $50 prize they gave me at the Riley County Fair. I really appreciate it I had fun making my quilt! My next project is to make some matching pillows. Sincerely, Hannah Pauls One of two t-shirt quilts Alison Boyd made for her sons, who are Riley County High School graduates. When Moving to a New Town, Best Way to Ease Transition is Join a Quilt Guild Rosemary McMullen is a widow but was married for 50 years and has 5 children, 13 grandchildren and 8 great grandchildren, so far! She joined guild around 2000. Quilt guild made her introduction to Manhattan "painless and fun!" Rosie loves to read and does needlework of several types. She belongs to Kiwanis, doing many volunteer projects for them, and also contributes to RSVP. Her work history is varied—secretary/bookkeeper, real estate, house restorer. Rosie says she has been sewing all her life and quilting was a natural extension. She started a 50 state quilt with embroidered blocks, got tired of it and put it away. When she found it 20 years later, she knew she "better finish it or her kids would throw it away." She prefers old-fashioned techniques, hand pieces, traditional blocks. She imagines herself as a pioneer mother. She has finished 8 quilts which have mostly gone to her children. She says quilting gives a sense of accomplishment and she has fun trying different patterns. Rosie hopes to finish a cathedral window quilt during her lifetime, but right now it is resting in a trunk! November Pillow Block of the Month The copying process changes size of pattern; you may need to increase or decrease to fit the pillow top. Note the inch marks along the side of the basket. If you adjust the pattern so these are actually 1" apart, you will have the correct size. Instructions for November Pillow of the Month Fabric needed: Four 8"x16" neutrals for background ⅛ yard for inner border ½ yard for outer border 4"x4" for bottom half of nuts 3"x3" for top half of nuts eight 3"x4" different leaf colors Supplies needed: 14" pillow form black embroidery floss six ⅞" buttons fusible web fusible interfacing (optional) Cutting: From the 4 neutral fabrics, cut two 7½"x7½" squares. From the inner border fabric, cut two 1"x28½" strips. From the outer border fabric, cut two 6½"x28½" strips. Sewing: All seam allowances are ¼". Please read all directions before beginning. Sew two different neutral squares together and repeat three more times. Press. Now sew two pairs together to make two 4-patch blocks measuring 14½"x14½". You can appliqué the design by hand appliqué or by fusing. I chose to use a fusible web. When using a fusible web, you need to trace a reverse image. The easiest way to reverse the design is to trace it on tracing paper with a black marker. Flip over the tracing paper and use this side to trace the different pieces to the paper side of the fusible web, allowing a little extra where any of the pieces go underneath another. paper pattern as a positioning guide, arrange the pieces on the background block. Fuse down. To finish the raw edges of the fused pieces and add the stems on the leaves, do a small zig zag or satin stitch on each piece. I used a dark brown thread so it would contrast well with all the leaves. Place a stabilizer (could be typing or tracing paper) behind the fabric when doing this by machine for a betterlooking stitch. Remove paper when finished stitching. Use two strands of black embroidery floss to stitch three "X"s on each nut. Sew the two 4-patch blocks together. Sew the inner and outer borders together, and then sew to the center section. To finish the side edges, cut two pieces of fusible interfacing 3"x28½" and fuse ¼" from both outer side edges. Finish the raw side edges by turning under ¼" and top stitch down. Sew the two remaining unfinished edges together to form a tube. Fold the side edges under 3" and press Finish by adding three buttons and buttonholes, snaps, or Velcro to each side. It's up to you. Slip your pillow form in and enjoy. Following the fusing directions of your fusible web, fuse to the wrong side of the coordinating fabrics. Cut out each piece on the traced lines. Peel off the paper and now using the right side of the tracing Upcoming Programs (Continued from page 1) show us that will not be displayed elsewhere. November: Our own Carole Chelz will have a trunk and slide show of quilts from her private collection. December: Program will be a demonstration of how to put a quilt in a traditional frame. We'll share a potluck dinner and the sister sisters will be revealed. Do you need a variety of Christmas cookies for entertaining? Then bring 3½ homemade dozen to guild. You'll be able to choose 3 dozen other cookies to take home, and we'll use the extras to make up plates for members who are physically unable to attend guild meetings. Suzy Wong made this butterfly quilt for her granddaughter Trinity. Thanks to all who demonstrated quilting on Cindy Ross' quilt: Jo Valverde, Harriette Janke, Jennie Burden, Opal Kemnitz, Susie Sapp, Doris Hofman, Ethel Houtz, Nelda Warnica, Shari Reeves, Eloise Brown, Donna Dawson, Delores Briggs, Betty Wiechmann, Bonnie J. Olsen, Edythe Porter, Whitney Short, Lois Morrison, Norma Larson, Susie Weir, Betty Frank, Lana Ellis, Doris Beckenhauer, Kay Hummels and Nyle Larson for help with logistics. Interviews with numerous prominent quilters, among them John Flynn, Patricia Campbell, Flavin Glover, Georgia Bonesteel, Charlotte Warr Anderson, Elsie Campbell, Libby Lehman, Carol Doak, Jean Ray Laury, Sharlene Jorgenson and Kaye Wood can be found at: http://www.centerforthequilt.org/qsos/ qsos_interviews.php Two of several angel-themed stained-glass wallhangings that Sue Jones shared. What Can You do With a UFO? 1. Sort UFOs into two piles: KEEP and DONATE. 2. Organize a Trading UFOs Night for your Donate pile. Or given them to a charitable group (like Quilts From the Heart.) 3. Arrange the KEEP pile into "Time to Finish," as in "how much time will it take to finish?" 4. Do the quick ones first. Use them to practice your machine quilting techniques. 5. Combine them into a Quilt From the Heart. 6. Give yourself permission to throw them away—it is just fabric, after all. 7. Check out www.mccallsquilting.com to share ideas with other quilters. Thanks to McCall's Magazine, Oct. 2004, for ideas on Using UFOs. On the Road Quilt Shows and Events of Interest Sep 25-Oct 10 Quilter's Guild of Greater Kansas City Quilt Show. Crown Center, Kansas City. Oct 1-3 Central KS Shop Hop; 13 stores in Salina, McPherson, Hutchinson, Alden, Newton, Halstead, Wichita, Andover, Severy and Derby. Contact Janeen Miller (316)788-5120 Oct 8-10 KQO Fall Meeting, Colby. Featured speaker Bobbie Aug. Oct 15-17 Heart of Kansas Quilt Show, Eisenhower Bldg., Kansas State Fairgrounds, Hutchinson. Oct 16-17 In Grandma's Attic, Silver Needles Quilt Guild show, Bicentennial Center, Salina. Sat 9-5, Sun 12-5. Nov 9-Dec 14 Heart of Kansas Quilt Guild Exhibit, Shafer Museum, Barton Co. Comm. College, Great Bend. June 4-5, 2005 Celebrate 150 Quilt Show, marking Manhattan's 150th Birthday. (Disclaimer: Information for "On the Road" is gleaned from our sources. You may wish to confirm dates, times and places of quilt shows before traveling to them, as errors sometimes get inserted.) KONZA PRAIRIE QUILTERS' GUILD BOX 271 MANHATTAN KS 66505-0271 www.kpqg.com Don't forget to bring a trick or a treat for your Secret Sister! For Sale Older Nolting longarm quilting machine with laser light (front or back location). 12' table, extenda-base for line work plus several pantograph patterns. New motor and speed regulator board. Runs great—I'm just updating. Call Sherry at 785-263-2860 or email [email protected]. This is a perfect machine for those wanting to know if a longarm is for them! I have used it for 4 years. Lost, found and mis-taken: Someone took the wrong large green cutting board from Jane Buckley's workshop. Please call Dorene if the board you have has 2 round corners and 2 square. She has yours. A set of 4 pink placemats were left at the church from our meeting. See Whitney. Prairie Star Quilt Guild Meets the second Monday of each month 7:15 pm Pottorff Hall, Cico Park, Manhattan Oct: Anne Collins—Flannel Chenille Scarves Nov: Lynne Hagmeier—Designing Fabric December: Party, ornament exchange The Prairie Pointer is the monthly newsletter of Konza Prairie Quilters' Guild. Membership is open to all those interested in quilts and quilting. Yearly dues are $35 and include 12 Opportunity Tickets, admission to all meetings, monthly newsletter, access to library materials, block of the month patterns, and opportunity to participate in workshops, field trips and public events. Guests are welcome and may attend twice before joining.	2,121	inside_word	I	remove_one_sentence	<url> http://kpqg.com/Newsletters/2004/10_2004.pdf </url> <text> October 11, 2004 Meeting second Monday each month at: St. Thomas More Catholic Church 2900 Kimball Ave Manhattan, Kansas Social time at 8:30 a.m., meeting begins at 9 a.m. www.kpqg.com Prairie Pointer Speaker Will Go First, Then Business Meeting October: Visual poet Jacquelyn Mooney created the Big City Women series as a vehicle for her vibrant, contemporary quilted textile collages. She is a nationallyrecognized artist launching "This Joint is Jumpin'" in 2004. Jacquelyn comes to us from New Orleans via Greensboro as a guest of KSU. Her works will be shown in Justin Hall on the KSU campus. Jacquelyn will present her program at 9 a.m., as she is scheduled at K-State for a program later in the morning. To accommodate her, we will have our program at 9, followed by the business meeting and show'n'tell. Jacquelyn has a show opening on Sunday Oct. 10, to which we're invited, at the Human Ecology Building (Justin Hall), but she will bring other quilts to (Continued on page 5) Prez Sez It's hard to believe we are coming to the end of September with these summer-like temperatures. I hope our fall weather will kick in soon. Thank you to all who participated in the Little Apple Festival this past weekend. There was a lot of interest and shared stories by passersby who remembered their mothers or grandmothers who quilted. We even had a 10 year old girl ask to quilt and Cindy Ross kindly assisted her in putting a few stitches into Cindy's quilt. The opportunity quilt was a success as we sold around $375 worth of tickets, in addition to being paid by Parks and Rec for demonstrating the art of quilting. I personally think this weekend of demonstration will help in educating and tickling an interest in future generations of quilters. With all this said, please volunteer to help with Pumpkin Patch, which is just around the corner. And a BIG BIG Quilt-from-the- heart thank you to all who pieced, quilted, sewed labels, tied, donated time and or money to our crisis center project over these past six months. Quilters are the most generous peo- Marci Baker, our September speaker. ple <cursor_is_here> Next meeting we will be presenting you a new slate of officers to be voted on in November. Please consider serving on the board—it is a lot of fun and very rewarding. Love and Stitches, Whitney Pumpkin Patch is Friday, Oct 1 from 9am-8pm and Saturday, Oct 2 from 9am-4pm October Refreshments Libby Edgar Gayle Edmiston Alice Edmunds Carma Edwards Jane Elliott Lana Ellis Carol Elmore Dorine Elsea Our October birthday girls are Betty Shawgo, Jan Zelch, Ronna Robertson and Nayola Norris and (below) Barb Warner. Directory changes: Robbie Courts, 87 Schofield Circle, Fort Riley 66442, 785-7848157, 2 July, [email protected] Susan Gormely, 434 Wickham Rd, Manhattan 66502, 785-5393701, 21 April, [email protected] Judy Marshall, 146 N Dartmouth, Manhattan 66503, 785-5391086, 25 July, [email protected] Delores Briggs, 1601 Perry, Junction City 66441, 785-2384649, 29 May Nancy B. Parker, 1604 Barrington Dr, Manhattan 66503, 785537-2563 Patchwork Pieces 2004 Officers (KPQG Board meets at noon, 3rd Mondays, at Bluestem Bistro in Aggieville) President: Whitney Short VP/Program Chair: Charlotte Herr Program Chair Select: Cindy Ross Secretary: Dona Koster; Treasurer: Twila Hoffman Photographer: Shari Reeves Members-at-large: Donna Dawson, Mary Jo Kurtz, Norma Larson Past President: Barbara Nelson Newsletter: Jennie Burden; Circulation: Jeanne Powell Committees : Library: Kay Hummels, Carolyn Dreiling, Anne Collins, Jan Carl; 2004 Opportunity Quilt: Margie Young, Harriette Janke; Opportunity Quilt Tickets: Virginia Cleek, Mary Jo Harbour; Refreshments set-up: Eloise Brown, Norma Blakely, Barbara Broce; clean-up: Sharon Pollman, Alice Edmunds, Nelda Warnica; Greeters: Betty Shawgo, Pauline Adoph, Susie Sapp; Block of the Month: Robb-n-Graves; Challenge: Susie Weir; Directory: Twila Hoffman; Quilts From the Heart: Bonnie Olsen; Pumpkin Patch: Twila Hoffman. Every Thursday from 11 am-3 pm a group meets at the Riley County Senior Center to sew, quilt and visit. Lunch is on your own, except the last Thursday of the month, when it's potluck. Contact: Susie (Weir, Wong or Sapp.) The 4th Monday group meets 9:303:30 at the clubhouse of the Westbank Townhouses on Rockridge Court. Bring a sack lunch. Whitney's President's Block: 10½" square (finish to 10") block, any pattern, pieced or appliquéd, in Christmas colors. Please sign your block. Thank You Notes I want to thank the guild members for the standing ovation you gave me. Remember you did the work. I just gave you a little push, and I thank you. We have the quilts all finished and labeled. Now it is time to take a little "vacation" so we will be ready to start again in January on the next project. We have some finished quilts for Phase Two; I sewed the labels on those already. I have been working getting kits together for you. It has been one great project. Bonnie From the winner of our County Fair Prize: Dear Barbara Nelson: I want to thank the Konza Prairie Quilt Guild for the $50 prize they gave me at the Riley County Fair. I really appreciate it I had fun making my quilt! My next project is to make some matching pillows. Sincerely, Hannah Pauls One of two t-shirt quilts Alison Boyd made for her sons, who are Riley County High School graduates. When Moving to a New Town, Best Way to Ease Transition is Join a Quilt Guild Rosemary McMullen is a widow but was married for 50 years and has 5 children, 13 grandchildren and 8 great grandchildren, so far! She joined guild around 2000. Quilt guild made her introduction to Manhattan "painless and fun!" Rosie loves to read and does needlework of several types. She belongs to Kiwanis, doing many volunteer projects for them, and also contributes to RSVP. Her work history is varied—secretary/bookkeeper, real estate, house restorer. Rosie says she has been sewing all her life and quilting was a natural extension. She started a 50 state quilt with embroidered blocks, got tired of it and put it away. When she found it 20 years later, she knew she "better finish it or her kids would throw it away." She prefers old-fashioned techniques, hand pieces, traditional blocks. She imagines herself as a pioneer mother. She has finished 8 quilts which have mostly gone to her children. She says quilting gives a sense of accomplishment and she has fun trying different patterns. Rosie hopes to finish a cathedral window quilt during her lifetime, but right now it is resting in a trunk! November Pillow Block of the Month The copying process changes size of pattern; you may need to increase or decrease to fit the pillow top. Note the inch marks along the side of the basket. If you adjust the pattern so these are actually 1" apart, you will have the correct size. Instructions for November Pillow of the Month Fabric needed: Four 8"x16" neutrals for background ⅛ yard for inner border ½ yard for outer border 4"x4" for bottom half of nuts 3"x3" for top half of nuts eight 3"x4" different leaf colors Supplies needed: 14" pillow form black embroidery floss six ⅞" buttons fusible web fusible interfacing (optional) Cutting: From the 4 neutral fabrics, cut two 7½"x7½" squares. From the inner border fabric, cut two 1"x28½" strips. From the outer border fabric, cut two 6½"x28½" strips. Sewing: All seam allowances are ¼". Please read all directions before beginning. Sew two different neutral squares together and repeat three more times. Press. Now sew two pairs together to make two 4-patch blocks measuring 14½"x14½". You can appliqué the design by hand appliqué or by fusing. I chose to use a fusible web. When using a fusible web, you need to trace a reverse image. The easiest way to reverse the design is to trace it on tracing paper with a black marker. Flip over the tracing paper and use this side to trace the different pieces to the paper side of the fusible web, allowing a little extra where any of the pieces go underneath another. paper pattern as a positioning guide, arrange the pieces on the background block. Fuse down. To finish the raw edges of the fused pieces and add the stems on the leaves, do a small zig zag or satin stitch on each piece. I used a dark brown thread so it would contrast well with all the leaves. Place a stabilizer (could be typing or tracing paper) behind the fabric when doing this by machine for a betterlooking stitch. Remove paper when finished stitching. Use two strands of black embroidery floss to stitch three "X"s on each nut. Sew the two 4-patch blocks together. Sew the inner and outer borders together, and then sew to the center section. To finish the side edges, cut two pieces of fusible interfacing 3"x28½" and fuse ¼" from both outer side edges. Finish the raw side edges by turning under ¼" and top stitch down. Sew the two remaining unfinished edges together to form a tube. Fold the side edges under 3" and press Finish by adding three buttons and buttonholes, snaps, or Velcro to each side. It's up to you. Slip your pillow form in and enjoy. Following the fusing directions of your fusible web, fuse to the wrong side of the coordinating fabrics. Cut out each piece on the traced lines. Peel off the paper and now using the right side of the tracing Upcoming Programs (Continued from page 1) show us that will not be displayed elsewhere. November: Our own Carole Chelz will have a trunk and slide show of quilts from her private collection. December: Program will be a demonstration of how to put a quilt in a traditional frame. We'll share a potluck dinner and the sister sisters will be revealed. Do you need a variety of Christmas cookies for entertaining? Then bring 3½ homemade dozen to guild. You'll be able to choose 3 dozen other cookies to take home, and we'll use the extras to make up plates for members who are physically unable to attend guild meetings. Suzy Wong made this butterfly quilt for her granddaughter Trinity. Thanks to all who demonstrated quilting on Cindy Ross' quilt: Jo Valverde, Harriette Janke, Jennie Burden, Opal Kemnitz, Susie Sapp, Doris Hofman, Ethel Houtz, Nelda Warnica, Shari Reeves, Eloise Brown, Donna Dawson, Delores Briggs, Betty Wiechmann, Bonnie J. Olsen, Edythe Porter, Whitney Short, Lois Morrison, Norma Larson, Susie Weir, Betty Frank, Lana Ellis, Doris Beckenhauer, Kay Hummels and Nyle Larson for help with logistics. Interviews with numerous prominent quilters, among them John Flynn, Patricia Campbell, Flavin Glover, Georgia Bonesteel, Charlotte Warr Anderson, Elsie Campbell, Libby Lehman, Carol Doak, Jean Ray Laury, Sharlene Jorgenson and Kaye Wood can be found at: http://www.centerforthequilt.org/qsos/ qsos_interviews.php Two of several angel-themed stained-glass wallhangings that Sue Jones shared. What Can You do With a UFO? 1. Sort UFOs into two piles: KEEP and DONATE. 2. Organize a Trading UFOs Night for your Donate pile. Or given them to a charitable group (like Quilts From the Heart.) 3. Arrange the KEEP pile into "Time to Finish," as in "how much time will it take to finish?" 4. Do the quick ones first. Use them to practice your machine quilting techniques. 5. Combine them into a Quilt From the Heart. 6. Give yourself permission to throw them away—it is just fabric, after all. 7. Check out www.mccallsquilting.com to share ideas with other quilters. Thanks to McCall's Magazine, Oct. 2004, for ideas on Using UFOs. On the Road Quilt Shows and Events of Interest Sep 25-Oct 10 Quilter's Guild of Greater Kansas City Quilt Show. Crown Center, Kansas City. Oct 1-3 Central KS Shop Hop; 13 stores in Salina, McPherson, Hutchinson, Alden, Newton, Halstead, Wichita, Andover, Severy and Derby. Contact Janeen Miller (316)788-5120 Oct 8-10 KQO Fall Meeting, Colby. Featured speaker Bobbie Aug. Oct 15-17 Heart of Kansas Quilt Show, Eisenhower Bldg., Kansas State Fairgrounds, Hutchinson. Oct 16-17 In Grandma's Attic, Silver Needles Quilt Guild show, Bicentennial Center, Salina. Sat 9-5, Sun 12-5. Nov 9-Dec 14 Heart of Kansas Quilt Guild Exhibit, Shafer Museum, Barton Co. Comm. College, Great Bend. June 4-5, 2005 Celebrate 150 Quilt Show, marking Manhattan's 150th Birthday. (Disclaimer: Information for "On the Road" is gleaned from our sources. You may wish to confirm dates, times and places of quilt shows before traveling to them, as errors sometimes get inserted.) KONZA PRAIRIE QUILTERS' GUILD BOX 271 MANHATTAN KS 66505-0271 www.kpqg.com Don't forget to bring a trick or a treat for your Secret Sister! For Sale Older Nolting longarm quilting machine with laser light (front or back location). 12' table, extenda-base for line work plus several pantograph patterns. New motor and speed regulator board. Runs great—I'm just updating. Call Sherry at 785-263-2860 or email [email protected]. This is a perfect machine for those wanting to know if a longarm is for them! I have used it for 4 years. Lost, found and mis-taken: Someone took the wrong large green cutting board from Jane Buckley's workshop. Please call Dorene if the board you have has 2 round corners and 2 square. She has yours. A set of 4 pink placemats were left at the church from our meeting. See Whitney. Prairie Star Quilt Guild Meets the second Monday of each month 7:15 pm Pottorff Hall, Cico Park, Manhattan Oct: Anne Collins—Flannel Chenille Scarves Nov: Lynne Hagmeier—Designing Fabric December: Party, ornament exchange The Prairie Pointer is the monthly newsletter of Konza Prairie Quilters' Guild. Membership is open to all those interested in quilts and quilting. Yearly dues are $35 and include 12 Opportunity Tickets, admission to all meetings, monthly newsletter, access to library materials, block of the month patterns, and opportunity to participate in workshops, field trips and public events. Guests are welcome and may attend twice before joining. </text>	[ { "content": "<url>\nhttp://kpqg.com/Newsletters/2004/10_2004.pdf\n</url>\n<text>\nOctober 11, 2004\n\nMeeting second Monday each month at: St. Thomas More Catholic Church 2900 Kimball Ave Manhattan, Kansas\n\nSocial time at 8:30 a.m., meeting begins at 9 a.m.\n\nwww.kpqg.com\n\nPrairie Pointer\n\nSpeaker Will Go First, Then Business Meeting\n\nOctober: Visual poet Jacquelyn Mooney created the Big City Women series as a vehicle for her vibrant, contemporary quilted textile collages. She is a nationallyrecognized artist launching \"This Joint is Jumpin'\" in 2004. Jacquelyn comes to us from New Orleans via Greensboro as a guest of KSU. Her works will be shown in Justin Hall on the KSU campus. Jacquelyn will present her program at 9 a.m., as she is scheduled at K-State for a program later in the morning. To accommodate her, we will have our program at 9, followed by the business meeting and show'n'tell. Jacquelyn has a show opening on Sunday Oct. 10, to which we're invited, at the Human Ecology Building (Justin Hall), but she will bring other quilts to\n\n(Continued on page 5)\n\nPrez Sez\n\nIt's hard to believe we are coming to the end of September with these summer-like temperatures. I hope our fall weather will kick in soon. Thank you to all who participated in the Little Apple Festival this past weekend. There was a lot of interest and shared stories by passersby who remembered their mothers or grandmothers who quilted. We even had a 10 year old girl ask to quilt and Cindy Ross kindly assisted her in putting a few stitches into Cindy's quilt.\n\nThe opportunity quilt was a success as we sold around $375 worth of tickets, in addition to being paid by Parks and Rec for demonstrating the art of quilting. I personally think this weekend of demonstration will help in educating and tickling an interest in future generations of quilters.\n\nWith all this said, please volunteer to help with Pumpkin Patch, which is just around the corner.\n\nAnd a BIG BIG Quilt-from-the- heart thank you to all who pieced, quilted, sewed labels, tied, donated time and or money to our crisis center project over these past six months. Quilters are the most generous peo-\n\nMarci Baker, our September speaker.\n\nple <cursor_is_here>\n\nNext meeting we will be presenting you a new slate of officers to be voted on in November. Please consider serving on the board—it is a lot of fun and very rewarding. Love and Stitches, Whitney\n\nPumpkin Patch is Friday, Oct 1 from 9am-8pm and Saturday, Oct 2 from 9am-4pm\n\nOctober Refreshments\n\nLibby Edgar Gayle Edmiston Alice Edmunds Carma Edwards Jane Elliott Lana Ellis Carol Elmore Dorine Elsea\n\nOur October birthday girls are Betty Shawgo, Jan Zelch, Ronna Robertson and Nayola Norris and (below) Barb Warner.\n\nDirectory changes:\n\nRobbie Courts, 87 Schofield Circle, Fort Riley 66442, 785-7848157, 2 July, [email protected]\n\nSusan Gormely, 434 Wickham Rd, Manhattan 66502, 785-5393701, 21 April, [email protected]\n\nJudy Marshall, 146 N Dartmouth, Manhattan 66503, 785-5391086, 25 July, [email protected]\n\nDelores Briggs, 1601 Perry, Junction City 66441, 785-2384649, 29 May\n\nNancy B. Parker, 1604 Barrington Dr, Manhattan 66503, 785537-2563\n\nPatchwork Pieces\n\n2004 Officers\n\n(KPQG Board meets at noon, 3rd Mondays, at Bluestem\n\nBistro in Aggieville)\n\nPresident: Whitney Short\n\nVP/Program Chair: Charlotte Herr\n\nProgram Chair Select: Cindy Ross\n\nSecretary: Dona Koster; Treasurer: Twila Hoffman\n\nPhotographer: Shari Reeves\n\nMembers-at-large: Donna Dawson, Mary Jo Kurtz, Norma Larson\n\nPast President: Barbara Nelson\n\nNewsletter: Jennie Burden; Circulation: Jeanne Powell\n\nCommittees\n\n: Library: Kay Hummels, Carolyn Dreiling, Anne\n\nCollins, Jan Carl; 2004 Opportunity Quilt: Margie Young,\n\nHarriette Janke; Opportunity Quilt Tickets: Virginia Cleek, Mary\n\nJo Harbour; Refreshments set-up: Eloise Brown, Norma Blakely,\n\nBarbara Broce; clean-up: Sharon Pollman, Alice Edmunds, Nelda\n\nWarnica; Greeters: Betty Shawgo, Pauline Adoph, Susie Sapp;\n\nBlock of the Month: Robb-n-Graves; Challenge: Susie Weir;\n\nDirectory: Twila Hoffman; Quilts From the Heart: Bonnie Olsen;\n\nPumpkin Patch: Twila Hoffman.\n\nEvery Thursday from 11 am-3 pm a group meets at the Riley County Senior Center to sew, quilt and visit. Lunch is on your own, except the last Thursday of the month, when it's potluck. Contact: Susie (Weir, Wong or Sapp.)\n\nThe 4th Monday group meets 9:303:30 at the clubhouse of the Westbank Townhouses on Rockridge Court. Bring a sack lunch.\n\nWhitney's President's Block:\n\n10½\" square (finish to 10\") block, any pattern, pieced or appliquéd, in Christmas colors. Please sign your block.\n\nThank You Notes\n\nI want to thank the guild members for the standing ovation you gave me. Remember you did the work. I just gave you a little push, and I thank you. We have the quilts all finished and labeled. Now it is time to take a little \"vacation\" so we will be ready to start again in January on the next project. We have some finished quilts for Phase Two; I sewed the labels on those already. I have been working getting kits together for you. It has been one great project. Bonnie\n\nFrom the winner of our County Fair Prize:\n\nDear Barbara Nelson:\n\nI want to thank the Konza Prairie Quilt Guild for the $50 prize they gave me at the Riley County Fair. I really appreciate it I had fun making my quilt! My next project is to make some matching pillows. Sincerely, Hannah Pauls\n\nOne of two t-shirt quilts Alison Boyd made for her sons, who are Riley County High School graduates.\n\nWhen Moving to a New Town, Best Way to Ease Transition is Join a Quilt Guild\n\nRosemary McMullen is a widow but was married for 50 years and has 5 children, 13 grandchildren and 8 great grandchildren, so far! She joined guild around 2000. Quilt guild made her introduction to Manhattan \"painless and fun!\"\n\nRosie loves to read and does needlework of several types. She belongs to Kiwanis, doing many volunteer projects for them, and also contributes to RSVP. Her work history is varied—secretary/bookkeeper, real estate, house restorer.\n\nRosie says she has been sewing all her life and quilting was a natural extension. She started a 50 state quilt with embroidered blocks, got tired of it and put it away. When she found it 20 years later, she knew she \"better finish it or her kids would throw it away.\"\n\nShe prefers old-fashioned techniques, hand pieces, traditional blocks. She imagines herself as a pioneer mother. She has finished 8 quilts which have mostly gone to her children. She says quilting gives a sense of accomplishment and she has fun trying different patterns. Rosie hopes to finish a cathedral window quilt during her lifetime, but right now it is resting in a trunk!\n\nNovember Pillow Block of the Month\n\nThe copying process changes size of pattern; you may need to increase or decrease to fit the pillow top. Note the inch marks along the side of the basket. If you adjust the pattern so these are actually 1\" apart, you will have the correct size.\n\nInstructions for November Pillow of the Month\n\nFabric needed:\n\nFour 8\"x16\" neutrals for background ⅛ yard for inner border ½ yard for outer border 4\"x4\" for bottom half of nuts 3\"x3\" for top half of nuts eight 3\"x4\" different leaf colors Supplies needed: 14\" pillow form black embroidery floss six ⅞\" buttons fusible web fusible interfacing (optional)\n\nCutting:\n\nFrom the 4 neutral fabrics, cut two 7½\"x7½\" squares. From the inner border fabric, cut two 1\"x28½\" strips. From the outer border fabric, cut two 6½\"x28½\" strips.\n\nSewing:\n\nAll seam allowances are ¼\". Please read all directions before beginning.\n\nSew two different neutral squares together and repeat three more times. Press. Now sew two pairs together to make two 4-patch blocks measuring 14½\"x14½\".\n\nYou can appliqué the design by hand appliqué or by fusing. I chose to use a fusible web. When using a fusible web, you need to trace a reverse image. The easiest way to reverse the design is to trace it on tracing paper with a black marker. Flip over the tracing paper and use this side to trace the different pieces to the paper side of the fusible web, allowing a little extra where any of the pieces go underneath another.\n\npaper pattern as a positioning guide, arrange the pieces on the background block. Fuse down.\n\nTo finish the raw edges of the fused pieces and add the stems on the leaves, do a small zig zag or satin stitch on each piece. I used a dark brown thread so it would contrast well with all the leaves. Place a stabilizer (could be typing or tracing paper) behind the fabric when doing this by machine for a betterlooking stitch. Remove paper when finished stitching.\n\nUse two strands of black embroidery floss to stitch three \"X\"s on each nut.\n\nSew the two 4-patch blocks together. Sew the inner and outer borders together, and then sew to the center section. To finish the side edges, cut two pieces of fusible interfacing 3\"x28½\" and fuse ¼\" from both outer side edges. Finish the raw side edges by turning under ¼\" and top stitch down. Sew the two remaining unfinished edges together to form a tube. Fold the side edges under 3\" and press\n\nFinish by adding three buttons and buttonholes, snaps, or Velcro to each side. It's up to you. Slip your pillow form in and enjoy.\n\nFollowing the fusing directions of your fusible web, fuse to the wrong side of the coordinating fabrics. Cut out each piece on the traced lines. Peel off the paper and now using the right side of the tracing\n\nUpcoming Programs\n\n(Continued from page 1)\n\nshow us that will not be displayed elsewhere.\n\nNovember: Our own Carole Chelz will have a trunk and slide show of quilts from her private collection.\n\nDecember: Program will be a demonstration of how to put a quilt in a traditional frame. We'll share a potluck dinner and the sister sisters will be revealed. Do you need a variety of Christmas cookies for entertaining? Then bring 3½ homemade dozen to guild. You'll be able to choose 3 dozen other cookies to take home, and we'll use the extras to make up plates for members who are physically unable to attend guild meetings.\n\nSuzy Wong made this butterfly quilt for her granddaughter Trinity.\n\nThanks to all who demonstrated quilting on Cindy Ross' quilt:\n\nJo Valverde, Harriette Janke, Jennie Burden, Opal Kemnitz, Susie Sapp, Doris Hofman, Ethel Houtz, Nelda Warnica, Shari Reeves, Eloise Brown, Donna Dawson, Delores Briggs, Betty Wiechmann, Bonnie J. Olsen, Edythe Porter, Whitney Short, Lois Morrison, Norma Larson, Susie Weir, Betty Frank, Lana Ellis, Doris Beckenhauer, Kay Hummels and Nyle Larson for help with logistics.\n\nInterviews with numerous prominent quilters, among them John Flynn, Patricia Campbell, Flavin Glover, Georgia Bonesteel, Charlotte Warr Anderson, Elsie Campbell, Libby Lehman, Carol Doak, Jean Ray Laury, Sharlene Jorgenson and Kaye Wood can be found at: http://www.centerforthequilt.org/qsos/ qsos_interviews.php\n\nTwo of several angel-themed stained-glass wallhangings that Sue Jones shared.\n\nWhat Can You do With a UFO?\n\n1. Sort UFOs into two piles: KEEP and DONATE.\n2. Organize a Trading UFOs Night for your Donate pile. Or given them to a charitable group (like Quilts From the Heart.)\n3. Arrange the KEEP pile into \"Time to Finish,\" as in \"how much time will it take to finish?\"\n4. Do the quick ones first. Use them to practice your machine quilting techniques.\n5. Combine them into a Quilt From the Heart.\n6. Give yourself permission to throw them away—it is just fabric, after all.\n7. Check out www.mccallsquilting.com to share ideas with other quilters.\n\nThanks to McCall's Magazine, Oct. 2004, for ideas on Using UFOs.\n\nOn the Road\n\nQuilt Shows and Events of Interest\n\nSep 25-Oct 10 Quilter's Guild of Greater Kansas City Quilt Show. Crown Center, Kansas City.\n\nOct 1-3\n\nCentral KS Shop Hop; 13 stores in Salina, McPherson, Hutchinson, Alden, Newton,\n\nHalstead, Wichita, Andover, Severy and Derby. Contact Janeen Miller (316)788-5120\n\nOct 8-10\n\nKQO Fall Meeting, Colby. Featured speaker Bobbie Aug.\n\nOct 15-17 Heart of Kansas Quilt Show, Eisenhower Bldg., Kansas State Fairgrounds, Hutchinson.\nOct 16-17 In Grandma's Attic, Silver Needles Quilt Guild show, Bicentennial Center, Salina. Sat 9-5, Sun 12-5.\nNov 9-Dec 14 Heart of Kansas Quilt Guild Exhibit, Shafer Museum, Barton Co. Comm. College, Great Bend.\nJune 4-5, 2005 Celebrate 150 Quilt Show, marking Manhattan's 150th Birthday.\n\n(Disclaimer: Information for \"On the Road\" is gleaned from our sources. You may wish to confirm dates, times and places of quilt shows before traveling to them, as errors sometimes get inserted.)\n\nKONZA PRAIRIE QUILTERS' GUILD BOX 271 MANHATTAN KS 66505-0271\n\nwww.kpqg.com\n\nDon't forget to bring a trick or a treat for your Secret Sister!\n\nFor Sale\n\nOlder Nolting longarm quilting machine with laser light (front or back location). 12' table, extenda-base for line work plus several pantograph patterns. New motor and speed regulator board. Runs great—I'm just updating. Call Sherry at 785-263-2860 or email [email protected].\n\nThis is a perfect machine for those wanting to know if a longarm is for them! I have used it for 4 years.\n\nLost, found and mis-taken:\n\nSomeone took the wrong large green cutting board from Jane Buckley's workshop. Please call Dorene if the board you have has 2 round corners and 2 square. She has yours. A set of 4 pink placemats were left at the church from our meeting. See Whitney.\n\nPrairie Star Quilt Guild\n\nMeets the second Monday of each month 7:15 pm Pottorff Hall, Cico Park, Manhattan Oct: Anne Collins—Flannel Chenille Scarves Nov: Lynne Hagmeier—Designing Fabric December: Party, ornament exchange\n\nThe Prairie Pointer is the monthly newsletter of Konza Prairie Quilters' Guild. Membership is open to all those interested in quilts and quilting. Yearly dues are $35 and include 12 Opportunity Tickets, admission to all meetings, monthly newsletter, access to library materials, block of the month patterns, and opportunity to participate in workshops, field trips and public events. Guests are welcome and may attend twice before joining.\n</text>\n", "role": "user" }, { "content": "I know and I am proud to have been your President these past two years.", "role": "assistant" } ]
Access Free Free Manual Slk200 Kompressor Free Download Pdf Mercedes-Benz SLK Mercedes-Benz SLK Autocar Mercedes-Benz, the Slk Models Road & Track MercedesBenz SL-SLK-CLK Mercedes-Benz, the Slk Models Mercedes-Benz SL Mercedes-Benz, the Slk Models Driving-safety Systems Fuel Systems for IC Engines The Hack Mechanic Guide to European Automotive Electrical Systems Legendary Since April 1992 - Birthday Gift For 27 Year Old Men and Women Born in April 1992 Mollebakken - A Viking Age Novella Vehicle Operator's Manual MERCEDES-BENZ, the Modern SL Cars, the R107 and C107 Faszination SLK MERCEDES-BENZ, the SL R129 The GCHQ Puzzle Book Religion and State - Development Cooperation Clean Disruption of Energy and Transportation Everything about the Mercedes-Benz SLK Engineering Properties of Asphalt Mixtures and the Relationship to Their Performance Mercedes-benz, the Modern Sl Cars, the R230 Christmas Color By Number Coloring Book For Kids Kawaii Nightmare Supercharging Performance Handbook A View from the Ridge The Vanishing Newspaper [2nd Ed] The Fool of Frenchtown The Burn Bob and Tom Get a Dog Bosch Fuel Injection and Engine Management Creative Writing Bouquet Goggomobil Holy Halls Hb The Shift Program Cars We Used to Drive Mercedes-Benz E-class Diesel Workshop Manual Picturesque Palestine, Sinai, and Egypt: Introduction Salads Bosch Fuel Injection and Engine Management May 04 2020 This Bosch Bible fully explains the theory, troubleshooting, and service of all Bosch systems from D-Jetronic through the latest Motronics. Includes highperformance tuning secrets and information on the newest KE- and LH-Motronic systems not available from any other source. The Vanishing Newspaper [2nd Ed] Sep 07 2020 "In this edition, Meyer's analysis of the correlation between newspaper quality and profitability is updated and applied to recent developments in the newspaper industry. Meyer argues that understanding the relationship between quality and profit is central to sustaining journalistic excellence and preserving journalism's unique social functions." -- Provided by the publisher. The Fool of Frenchtown Aug 07 2020 Legendary Since April 1992 - Birthday Gift For 27 Year Old Men and Women Born in April 1992 Jan 24 2022 This Legendary Since April 1992 - Birthday Gift For 27 Year Old Men and Women Born in April 1992 notebook / Journal makes an excellent gift for any occasion . Lined - Size: 6 x 9'' - Notebook - Journal - Planner Dairy - 110 Pages - Classic White Lined Paper - For Writing, Sketching, Journals and Hand Lettering Bob and Tom Get a Dog Jun 04 2020 "Siblings Bob and Tom get a dog with spots. This A-level story uses decodable text to raise confidence in early readers. The book uses a combination of sight words and short-vowel words in repetition to build recognition. Original illustrations help guide readers through the text."-- MERCEDES-BENZ, the Modern SL Cars, the R107 and C107 Oct 21 2021 You haven't gotten yourself a R107 yet? Too bad, the good ones can cost a small fortune today and they have only one way to go: UP! But don't worry, plenty of them have been built and plenty of them are still around. Problem is, which one is the right one for you? Can you imagine that even a low mileage, good looking R107 can still far exceed your wildest imaginations, when it comes to restoration costs? Everybody seems to want a late model 560SL. Why not an early 450SL for half the money? The joy and pride of ownership is the same, trust me. Or how about one of the former longtime underdogs, an SLC? Also they start to appreciate, a few of them even very fast, faster than a mint 560SL. If any of this is of interest, then this new book (published already earlier as e-book) is for you. It does not only deal with development and history, it also comes with a comprehensive buyer's guide for both the SL and SLC. This includes a look at their price development over the past years. Another focus has been the VIN and data card, so that you have a better understanding, how they were equipped and to which market they have been shipped first. Superb recent photography from the author's collection can help you to find the right car or it might even serve as reference in a restoration project. Naturally the paint and interior upholstery options, full Goggomobil Mar 02 2020 First offered to the public in 1955 this four-wheel microcar featured a fiberglass twodoor, four-seat body with a 247cc two stroke engine that suited the German license concessions. A coupT was introduced in 1957 and two larger engines, 293cc and 392cc, were also available. The company was taken over by BMW in 1966. This is a book of contemporary road tests, specification and technical data, new model introductions, driver's impressions. Models covered include: saloon, coupT, TS 300, 293, 400, T600, ISAR 35, TS 400, T 700, Dart, Estate. technical details plus the annual production history of each model are covered. As a bonus, rare insights into the R107's almost unknown rally history are given.FREE BONUS: When you have bought this book, you are eligible for a free pdf file of any Mercedes model (such as W111 or W198 or R107 for example) the author has covered in one of his books. Please contact the author through his website (inside the book) and stipulate, which free pdf file you want him to send to you. Mercedes-Benz E-class Diesel Workshop Manual Oct 28 2019 This manual has been written for the practical owner who wants to maintain a vehicle in first class condition and carry out the bulk of his or her servicing and repairs. Brief, easy to follow instructions are given, plus many diagrams and illustrations. A View from the Ridge Oct 09 2020 West, aged eighty, reviews the chronicle of his life and belief, offering his readers a lyrical, intimate and affirming account of his pilgrimage as a 20th century Christian. From the vantage point of his hard-won and deeply held faith, West shares a remarkable and inspiring journey through doubting and questioning to ultimately embracing faith in God. "Morris West has written a truly challenging testimony as he nears the end of a fine career and eventful life. His candidness and honesty are refreshing. His ideas worth consideration. And his words often inspiring. I am grateful he took the time to tell me so intimately about his own faith journey." - Amazon.com reader. Mercedes-Benz SL Jun 28 2022 Beginning with a look at the SL model's heritage, this book describes the full development and production history of a modern classic. Covering available models in all the major markets, year-by-year, and including limited editions, the data is supported by contemporary illustrations, sourced from the factory, plus in-depth appendices. Creative Writing Bouquet Apr 02 2020 The authors of this Bouquet are people like you. Retired, living in the Lutheran Homes at Glynde, with freedom at last to pursue things they have always wanted to do. Intrigued by a flyer in their letterboxes offering a creative-writing group, the long-held desire to write overcame their hesitation. They came along, one Tuesday afternoon, to meet with Dorothy O'Neill, a Homes resident and the author of several books, to find out more.Every first and third Tuesday in the month, for a year, these seven women worked diligently with Dorothy, to discover and develop the skills they never knew they had. Using simple and homely topics, they drew on their experience, imagination and wisdom to create the varied pieces collected here. Through the group, these strangers found the satisfaction of creative work and the fun and fellowship of a shared endeavour.So here is a bouquet of their work - short stories, poems, spiritual reflections - to prove that creativity flowers in all of us if we will let it: age open, experience not required. Mollebakken - A Viking Age Novella Dec 23 2021 King Harald Fairhair is dying. Who will rule in his stead? Viking Age Norway's greatest king, Harald Fairhair, has unified the northern districts into a kingdom, but as he ages and weakens, so does his realm. To keep the kingdom from fracturing, Harald abdicates his High Seat to the one son he believes capable and vicious enough: Erik Bloodaxe. But there is one problem: the other sons hate their brother, and will not accept his kingship. This leads to an unavoidable confrontation on a rain-soaked hill known as Mollebakken; a hill that will decide who will rule, and who will die. Mercedes-Benz SLK Jan 04 2023 Having this book in your pocket is just like having a real marque expert by your side. Benefit from the author's years of Mercedes-Benz ownership, learn how to spot a bad car quickly, and how to assess a promising car like a professional. Get the right car at the right price! Holy Halls Hb Jan 30 2020 - A thrilling photographic account of the treasure trove of cars kept by the MercedesBenz Museum in Stuttgart that are not currently on display to the public The Mercedes-Benz Museum in Stuttgart is one of the largest and most visited industrial museums in the world. But the 160 or so automobiles on display are only a small part of the shiny chrome treasures that form the Mercedes-Benz Classic vehicle collection. Another 1,000 historical models are 'parked' in secret places outside Stuttgart - these secret places are called the 'Holy Halls'. This collection is the treasure trove of the brand. It has existed since 1923 and offers a comprehensive overview of the model history of Mercedes-Benz. Cars with special technology and equipment are stored here, as are the silver arrows of Caracciola, Lang and Fangio, the Pope's carriages, the state cars of the young Federal Republic of Germany or Mercedes models that became collectors' items due to their prominent previous owners. Some of these exhibits are well protected and waiting in special wooden boxes for their next use at exhibitions, fairs, events or classic car races. Others stand next to each other as silent witnesses of the past. Each time a model is modified, the collection is extended by the last vehicle of the discontinued series, which experts believe will be one of tomorrow's classic cars. The 'Holy Halls' are not open to the public; enquiries from editorial offices and TV teams have often been rejected. But, during the years 2016 to 2018, almost all the vehicles of the Mercedes collection were photographed. Thus, a unique photographic collection was created, the automobile history from more than ten decades; many of the previously unpublished photographs are exclusively available here in this book. In addition, Mercedes-Benz Classic agreed to open the 'Holy Halls' for an external photo team and provide information about the car models stored there. For the first time, it has been possible to produce a fascinating illustrated book with panoramic and detailed shots from the 'halls', and lively photo reports on cars that tell stories - from the first Benz batting motor car to the latest Formula 1 racing car. Equally thrilling are the stories of the unique specimens and prototypes that are stored in the 'Holy Halls': Mercedes models that never went into production are presented for the first time. The stories about the selected automobiles of the vehicle collection are supplemented by historical recordings from the Mercedes-Benz Classic archive. The Burn Jul 06 2020 Haylie Pomroy, the powerhouse nutritionist behind the #1 New York Times bestseller The Fast Metabolism Diet, breaks new ground and gives anyone trying to lose weight new tools for busting through plateaus. Using targeted micronutrients to incinerate weight-loss roadblocks, Haylie will help you remove the problem—and lose up to 3, 5, and 10 pounds in as many days! The Burn offers three eating plans, therapeutically designed to achieve highly specific results. The I-Burn targets the body's inflammatory reactions to food and flushes out toxins and subcutaneous fat, producing prominent cheekbones and a glowing complexion in three days. In five days, the D-Burn unblocks the body's digestive barrier and torches torso fat, to create a flat belly and tighter waistline. The 10-day H-Burn addresses the hormonal system, repairing and facilitating the proper synthesis of hormones to reshape lumps and bumps into gorgeous curves, sleeker hips, and thinner thighs. The Burn also unveils: · I-Burn, D-Burn, and H-Burn eating and living plans, complete with detailed grocery lists and daily menus to keep the process simple and easy-to-follow. · Dozens of delicious recipes for meals in a flash. · Simple success boosters: foods, teas, tips, and practices that are easy to incorporate and stoke up your body's ability to heal. · How to live your life on fire – road maps that help readers recognize what their bodies are saying to keep their metabolisms blazing! Faszination SLK Sep 19 2021 This book was published celebrating the 10th anniversary of the R 170, presenting and illustrating the development of a model series which was not only highly successful but also demonstrated the design excellence of Mercedes-Benz and influenced the brand's image with lasting effect. The GCHQ Puzzle Book Jul 18 2021 WINNER OF 'STOCKING FILLER OF THE YEAR AWARD' GUARDIAN Pit your wits against the people who cracked Enigma in the official puzzle book from Britain's secretive intelligence organisation, GCHQ. 'A fiendish work, as frustrating, divisive and annoying as it is deeply fulfilling: the true spirit of Christmas' Guardian 'Surely the trickiest puzzle book in years. Crack these fiendish problems and Trivial Pursuit should be a doddle' Daily Telegraph If 3=T, 4=S, 5=P, 6=H, 7=H ...what is 8? What is the next letter in the sequence: M, V, E, M, J, S, U, ? Which of the following words is the odd one out: CHAT, COMMENT, ELF, MANGER, PAIN, POUR? GCHQ is a top-secret intelligence and security agency which recruits some of the very brightest minds. Over the years, their codebreakers have helped keep our country safe, from the Bletchley Park breakthroughs of WWII to the modern-day threat of cyberattack. So it comes as no surprise that, even in their time off, the staff at GCHQ love a good puzzle. Whether they're recruiting new staff or challenging each other to the toughest Christmas quizzes and treasure hunts imaginable, puzzles are at the heart of what GCHQ does. Now they're opening up their archives of decades' worth of codes, puzzles and challenges for everyone to try. In this book you will find: - Tips on how to get into the mindset of a codebreaker - Puzzles ranging in difficulty from easy to brain-bending - A competition section where we search for Britain's smartest puzzler Good luck! 'Ideal for the crossword enthusiast' Daily Telegraph Picturesque Palestine, Sinai, and Egypt: Introduction Sep 27 2019 The Shift Program Dec 31 2019 An elimination based 21-day cleanse program (for both omnivores and vegans) with full shopping list and recipe support to help you clarify what foods make it hard maintain a healthy weight, which foods are connected to fatigue, chronic pain and break outs. At the end of three weeks, you'll learn to shop for, cook and love gluten-free, dairy-free, soy-free and sugar-free meals. You'll develop a well balanced dietary regimen that sets you up to focus on whole foods 80% of the time and eat whatever floats your boat the other 20%! Mercedes-Benz SLK Dec 03 2022 This book reveals the full history of the second generation Mercedes-Benz SLK, covering in detail the German, US, UK, Australian and Japanese markets. The perfect book to grace a Mercedes-Benz enthusiasts' library shelf, it's the definitive record of the model illustrated with stunning photographs. Everything about the Mercedes-Benz SLK Apr 14 2021 Mercedes-Benz, the Slk Models May 28 2022 This new book covers in detail the complete history of the SLK R170. Two other such books cover the R171 and R172. Written by Mercedes expert Bernd S. Koehling, this book serves as the perfect reference work to everything SLK R170. It discusses not only all the upgrades and different specifications, it also helps the reader to choose the right R170. It continues by explaining the car's VIN, listing the different model codes and letting the reader enjoy a ride in a SLK230. The book ends with complete technical specifications and the annual production history of each model. Plenty of interesting photos highlight many technical details of the different R170 versionsThe author has so far over 25 books and e-books about MercedesBenz cars from the 1949 170V to the 2012 SL R231 to his credit.In this guide one can read- how the SLK story began- the concept cars- history of the vario roof- trouble-shooting the SLK vario roof- details of the R170- the engines- the facelift- the SLK32 AMG- the special editions- experiencing the SLK230- the Brabus SLK6.5-32other tuners- choosing a used R170- the SLK's VIN explained- the data card with detailed model code description- today's second hand SLK prices- the sales performance incl. annual production data of each modelthe technical specs Clean Disruption of Energy and Transportation May 16 2021 The industrial age of energy and transportation will be over by 2030. Maybe before. Exponentially improving technologies such as solar, electric vehicles, and autonomous (self-driving) cars will disrupt and sweep away the energy and transportation industries as we know it. The same Silicon Valley ecosystem that created bit-based technologies that have disrupted atom-based industries is now creating bit- and electron-based technologies that will disrupt atom-based energy industries. Clean Disruption projections (based on technology cost curves, business model innovation as well as product innovation) show that by 2030: - All new energy will be provided by solar or wind. - All new mass-market vehicles will be electric. - All of these vehicles will be autonomous (self-driving) or semi-autonomous. - The new car market will shrink by 80%. - Even assuming that EVs don't kill the gasoline car by 2030, the self-driving car will shrink the new car market by 80%. - Gasoline will be obsolete. Nuclear is already obsolete. - Up to 80% of highways will be redundant. - Up to 80% of parking spaces will be redundant. - The concept of individual car ownership will be obsolete. - The Car Insurance industry will be disrupted. The Stone Age did not end because we ran out of rocks. It ended because a disruptive technology ushered in the Bronze Age. The era of centralized, command-and-control, extraction-resource-based energy sources (oil, gas, coal and nuclear) will not end because we run out of petroleum, natural gas, coal, or uranium. It will end because these energy sources, the business models they employ, and the products that sustain them will be disrupted by superior technologies, product architectures, and business models. This is a technology-based disruption reminiscent of how the cell phone, Internet, and personal computer swept away industries such as landline telephony, publishing, and mainframe computers. Just like those technology disruptions flipped the architecture of information and brought abundant, cheap and participatory information, the clean disruption will flip the architecture of energy and bring abundant, cheap and participatory energy. Just like those previous technology disruptions, the Clean Disruption is inevitable and it will be swift. Kawaii Nightmare Dec 11 2020 Kawaii Nightmare 2 Year (24 Months) Weekly Planner & Daily Gratitude Diary 110 Pages 8" x 10" This super cute kawaii nightmare anime girl has her Halloween pumpkins & bats ready to go along with an awesome Halloween look with a cute witch hat! Awesome Kawaii themed gift for the holidays! This awesome 2020 & 2021 weekly planner is templated to give you room for planning, journaling notes, working on a to-do list & taking the time to write down your gratitudes for the day! Perfect size for a backpack or to fit in your purse! Amazing Christmas present idea for both men & women alike! The Hack Mechanic Guide to European Automotive Electrical Systems Feb 22 2022 Electrical issues in European cars can be intimidating. The Hack Mechanic Guide to European Automotive Electrical Systems shows you how to think about electricity in your car and then take on real-world electrical problems. The principles discussed can be applied to most conventional internal-combustion-engined vehicles, with a focus on European cars spanning the past six decades.Drawing on The Hack Mechanic's wisdom and experience, the 38 chapters cover key electrical topics such as battery, starter, alternator, ignition, circuits, and relays. Through a practical and informal approach featuring hundreds of full-color illustrations, author Rob Siegel takes the fear-factor out of projects like making wire repairs, measuring voltage drops, or figuring out if you have a bad fuel pump relay. Essential tools such as multimeters (DVOM), oscillosopes, and scan tools are discussed, with special attention given to the automotive multimeter needed to troubleshoot many modern sensors. You'll get step-by-step troubleshooting procedures ranging from safely jump starting a battery to diagnosing parasitic current drain and vehicle energy diagnosis. And you'll find detailed testing procedures for most problematic electrical components on your European car such as oxygen sensors, crankshaft and camshaft sensors, wheel speed sensors, fuel pumps, solenoids, and actuators. Reading wiring diagrams and decoding the German DIN standard are also covered.Whether you are a DIY mechanic or a professional technician, The Hack Mechanic Guide to European Automotive Electrical Systems will increase your confidence in tackling automotive electrical problem-solving.This book applies to gasoline and diesel powered internal combustion engine vehicles. Not intended for hybrid or electric vehicles. Mercedes-Benz, the Slk Models Oct 01 2022 This new book is the only one that covers in detail the complete history of the R171, the second generation SLK. Written by Mercedes expert Bernd S. Koehling it serves as the perfect reference work to everything SLK R171. It discusses not only all the upgrades and different specifications, it also explains the car's VIN, covers the COMAND system and lists the different model codes. It gives sound advice, what to look out for if one wants to buy a R171 and talks about possible vario roof and balance shaft sprocket issues. The book lets the reader experience driving the SLK55 AMG and continues with listing complete technical specifications and annual production history of each model. Plenty of interesting photos highlight many technical details of the different R171 versions.The author has so far over 25 books and e-books about Mercedes-Benz cars from the 1949 170V to the 2012 SL R231 to his credit.In this guide one can read- how the SLK story began- history of the vario roof- trouble-shooting the SLK vario roof- details of the R171- the enginesM272 balance shaft issues- the COMAND system- the option packages- the safety features- the SLK55 AMGthe SLK55 AMG Black Series- first upgrades- the 2008 facelift- the special editions- experiencing the SLK55 AMG- the Brabus SLK- other tuners- choosing a used R171- the SLK's VIN explained- the data card with detailed model code description- today's second hand SLK prices- the sales performance incl. annual prod. data for each model- the technical specs Salads Aug 26 2019 Classic ingredients to create gourmet salads for every occasion. Over 130 scrumptious recipes and 150 colour photographs. Engineering Properties of Asphalt Mixtures and the Relationship to Their Performance Mar 14 2021 Thirteen papers presented at the conference on [title], held in Phoenix, Arizona, December, 1994, discuss the products of the strategic highway research program, the Superpave method of mix design, and test methods for fatigue cracking and permanent deformation. Lacks an index. Annotation c. by Book Religion and State - Development Cooperation Jun 16 2021 This collection of contributions – drawn from different events, in a dialogue between Germany and South Africa, the global North and the global South – focuses on the challenges, obstacles and opportunities related to cooperation between religion and the state in matters of development. The international impact of the COVID-19 pandemic in 2020 poses much more than just a health challenge – the economic, social, political consequences have accentuated the existing fault lines and disparities within countries, and between countries across the world. Mercedes-benz, the Modern Sl Cars, the R230 Feb 10 2021 If you search for a car that can hold its own, when parked next to a Porsche 911 Cabrio, don't look any further. Because the SL R230 is regarded by many as the best looking SL that has left Stuttgart after the famous SL Gullwing. On top it is immense fun to drive, with powerful V8s and V12s to match the looks. Like the drive-train they are almost bullet-proof. Early cars suffered from quality problems that could spoil the fun factor somewhat. But all in all the R230 plays its GT role rather well, even with six-cylinder engines. And the AMG versions are true sports cars. This book with comprehensive buyer's guide can help you to find the right one, if the R230 interests you. It was already published as e-book in 2012 and has been completely revised in Nov.2015. The book explains the VIN and data card in great detail, discusses the SBC, ABC systems and looks at potential problems with the vario-roof. Superb photography and an enjoyable test-drive in the splendid SL65 AMG are other highlights. It ends with a detailed list of the cars' technical specifications and annual production history of each model. FREE BONUS: When you have bought this book, you are eligible for a free pdf file of any Mercedes model (such as W111or W198 or R107 for example) the author has covered in one of his books. Please contact the author through his website (inside the book) and stipulate, which free pdf file you want him to send to you. Vehicle Operator's Manual Nov 21 2021 Autocar Nov 02 2022 Supercharging Performance Handbook Nov 09 2020 Road & Track Mercedes-Benz SL-SLK-CLK Aug 31 2022 One of an exciting new group of publications covering road tests, model introductions, driving impressions, comparisons and performance data, specifications and longterm reports. For the serious enthusiast, this Portfolio is an excellent reference for collecting, restoring or buying the car of your dreams. Models covered - SL 320, 500, 600, SL55 AMG, SLK 230 & 230 Sport, 320, SLK32 AMG, CLK 320 430 500, CLK-GTR, CLK55 AMG. Christmas Color By Number Coloring Book For Kids Jan 12 2021 50 Color By Numbers Christmas Coloring Pages for KidsRelaxing Coloring Pages. Every page you color will pull you into a relaxing world where your responsibilities will seem to fade away...Beautiful Illustrations. We've included 50 unique images for you to express your creativity and make masterpieces. Which colors will you choose for this book?Self Help Management stress Releasing Design For Adult .Single-sided Pages. Every image is placed on its own blackbacked page to reduce the bleed-through problem found in other coloring books.Great for All Skill Levels. You can color every page however you want and there is no wrong way to color (even if you are a beginner). Mercedes-Benz, the Slk Models Jul 30 2022 This new book is the only one that covers in detail the complete history of the R172, the third generation SLK. Two other such books cover the R170 and R171. Written by Mercedes expert Bernd S. Koehling, this book serves as the perfect reference work to everything SLK R172. It discusses not only the different specifications, it also explains the car's VIN, covers the COMAND system and lists the different model codes.It gives sound advice, what to look out for if one wants to buy a used R172 and talks about possible vario roof issues. The book lets the reader experience driving the SLK250 CDI and continues with listing complete technical specifications and annual production history of each model. Plenty of interesting photos highlight many technical details of the different R172 versions..The author has so far over 25 books and ebooks about Mercedes-Benz cars from the 1949 170V to the 2012 SL R231 to his credit.In this guide one can read - how the SLK story began - history of the vario roof - trouble-shooting the SLK vario roof - details of the R172 - the engines - the suspension - the interior - the safety features - prices and specifications - the SLK250 CDI - the SLK55 AMG - the option packages - the COMAND system - the special editions - first upgrades and changes - experiencing the SLK250 CDI - the tuners - choosing a used R172 - the SLK's VIN explained - the data card with detailed model code description - the technical specifications of each model MERCEDES-BENZ, the SL R129 Aug 19 2021 Discover the Mercedes SL R129. Updated in March 2021, this guide tells you everything about the car's history; it explains in detail chassis number and data card and offers a comprehensive buyer's guide. All this is accompanied by great recent non-Daimler AG photos, this includes pictures of the suspension. These are some of the topics covered: Development of the R129 The 500SL and 300SL-24 The V12 arrives The 1995 facelift The 1998 facelift The navigation system The AMG models, from the SL36 to the SL72 The special editions, from the 1995 Mille Miglia to the 2000 UK Heritage and Silver Arrow The tuning scene, from Brabus to RENNtech The Middelhauve and Karman R129 Gullwing The VIN/FIN explained The data card explained R129 buyer's guide Technical specifications and production figures This guide ends with a free e-book offer. Enjoy! Driving-safety Systems Apr 26 2022 Formerly 'Automotive Brake Systems'. 2nd Edition. Safety is very important in vehicle design and operation. Driving-Safety Systems is the new edition of what was formerly titled 'Automotive Brake Systems'. The title has been changed to reflect the addition of information on recent technological advancements in safety systems beyond braking systems such as traction control systems (TCS) and electronic stability control (ESP). Ideal for engineers, technicians and enthusiasts, this book offers a wide range of detailed and easy-to-understand descriptions of the most important control systems and components. A new section on electronic stability has been added, and sections on driving physics, braking systems basics and braking systems for passenger cars and commercial vehicles have been updated. Contents include: Driving Safety in the Vehicle Basics of Driving Physics Braking-System Basics Braking Systems for Passenger Cars Commercial Vehicles - Basic Concepts, Systems and Diagrams Compressed Air Equipment Symbols Equipment for Commercial Vehicles Brake Testing Electronic Stability Program ESP. Cars We Used to Drive Nov 29 2019 In Cars We Used To Drive, Don Loffler, well-known Holden author, reveals his lifelong interest in all makes of cars on Australian roads in the years 1946 to 1966. Don Loffler has assembled a remarkable collection of 280 colour slides and black-and-white photographs of owners and their cars, from Austin to Zeta. Fuel Systems for IC Engines Mar 26 2022 This book presents the papers from the latest conference in this successful series on fuel injection systems for internal combustion engines. It is vital for the automotive industry to continue to meet the demands of the modern environmental agenda. In order to excel, manufacturers must research and develop fuel systems that guarantee the best engine performance, ensuring minimal emissions and maximum profit. The papers from this unique conference focus on the latest technology for state-of-the-art system design, characterisation, measurement, and modelling, addressing all technological aspects of diesel and gasoline fuel injection systems. Topics range from fundamental fuel spray theory, component design, to effects on engine performance, fuel economy and emissions. Presents the papers from the IMechE conference on fuel injection systems for internal combustion engines Papers focus on the latest technology for state-of-the-art system design, characterisation, measurement and modelling; addressing all technological aspects of diesel and gasoline fuel injection systems Topics range from fundamental fuel spray theory and component design to effects on engine performance, fuel economy and emissions Access Free Free Manual Slk200 Kompressor Free Download Pdf Access Free pluto.wickedlocal.com on February 5, 2023 Free Download Pdf	<urn:uuid:a759dfb5-9339-4512-ab49-d9e16a81ee30>	CC-MAIN-2023-06	https://pluto.wickedlocal.com/cgi/noisy?m=E6E4K7&FileName=Free_Manual_Slk200_Kompressor	2023-02-05T21:20:44+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-06/subset=warc/part-00177-b5ddf469-bf28-43c4-9c36-5b5ccc3b2bf1.c000.gz.parquet	475,906,211	6,968	eng_Latn	eng_Latn	0.995545	eng_Latn	0.997077	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 4865, 11229, 17066, 23459, 29159, 32712 ]	Access Free Free Manual Slk200 Kompressor Free Download Pdf Mercedes-Benz SLK Mercedes-Benz SLK Autocar Mercedes-Benz, the Slk Models Road & Track MercedesBenz SL-SLK-CLK Mercedes-Benz, the Slk Models Mercedes-Benz SL Mercedes-Benz, the Slk Models Driving-safety Systems Fuel Systems for IC Engines The Hack Mechanic Guide to European Automotive Electrical Systems Legendary Since April 1992 - Birthday Gift For 27 Year Old Men and Women Born in April 1992 Mollebakken - A Viking Age Novella Vehicle Operator's Manual MERCEDES-BENZ, the Modern SL Cars, the R107 and C107 Faszination SLK MERCEDES-BENZ, the SL R129 The GCHQ Puzzle Book Religion and State - Development Cooperation Clean Disruption of Energy and Transportation Everything about the Mercedes-Benz SLK Engineering Properties of Asphalt Mixtures and the Relationship to Their Performance Mercedes-benz, the Modern Sl Cars, the R230 Christmas Color By Number Coloring Book For Kids Kawaii Nightmare Supercharging Performance Handbook A View from the Ridge The Vanishing Newspaper [2nd Ed] The Fool of Frenchtown The Burn Bob and Tom Get a Dog Bosch Fuel Injection and Engine Management Creative Writing Bouquet Goggomobil Holy Halls Hb The Shift Program Cars We Used to Drive Mercedes-Benz E-class Diesel Workshop Manual Picturesque Palestine, Sinai, and Egypt: Introduction Salads Bosch Fuel Injection and Engine Management May 04 2020 This Bosch Bible fully explains the theory, troubleshooting, and service of all Bosch systems from D-Jetronic through the latest Motronics. Includes highperformance tuning secrets and information on the newest KE- and LH-Motronic systems not available from any other source. The Vanishing Newspaper [2nd Ed] Sep 07 2020 "In this edition, Meyer's analysis of the correlation between newspaper quality and profitability is updated and applied to recent developments in the newspaper industry. Meyer argues that understanding the relationship between quality and profit is central to sustaining journalistic excellence and preserving journalism's unique social functions." -- Provided by the publisher. The Fool of Frenchtown Aug 07 2020 Legendary Since April 1992 - Birthday Gift For 27 Year Old Men and Women Born in April 1992 Jan 24 2022 This Legendary Since April 1992 - Birthday Gift For 27 Year Old Men and Women Born in April 1992 notebook / Journal makes an excellent gift for any occasion . Lined - Size: 6 x 9'' - Notebook - Journal - Planner Dairy - 110 Pages - Classic White Lined Paper - For Writing, Sketching, Journals and Hand Lettering Bob and Tom Get a Dog Jun 04 2020 "Siblings Bob and Tom get a dog with spots. This A-level story uses decodable text to raise confidence in early readers. The book uses a combination of sight words and short-vowel words in repetition to build recognition. Original illustrations help guide readers through the text."-- MERCEDES-BENZ, the Modern SL Cars, the R107 and C107 Oct 21 2021 You haven't gotten yourself a R107 yet? Too bad, the good ones can cost a small fortune today and they have only one way to go: UP! But don't worry, plenty of them have been built and plenty of them are still around. Problem is, which one is the right one for you? Can you imagine that even a low mileage, good looking R107 can still far exceed your wildest imaginations, when it comes to restoration costs? Everybody seems to want a late model 560SL. Why not an early 450SL for half the money? The joy and pride of ownership is the same, trust me. Or how about one of the former longtime underdogs, an SLC? Also they start to appreciate, a few of them even very fast, faster than a mint 560SL. If any of this is of interest, then this new book (published already earlier as e-book) is for you. It does not only deal with development and history, it also comes with a comprehensive buyer's guide for both the SL and SLC. This includes a look at their price development over the past years. Another focus has been the VIN and data card, so that you have a better understanding, how they were equipped and to which market they have been shipped first. Superb recent photography from the author's collection can help you to find the right car or it might even serve as reference in a restoration project. Naturally the paint and interior upholstery options, full Goggomobil Mar 02 2020 First offered to the public in 1955 this four-wheel microcar featured a fiberglass twodoor, four-seat body with a 247cc two stroke engine that suited the German license concessions. A coupT was introduced in 1957 and two larger engines, 293cc and 392cc, were also available. The company was taken over by BMW in 1966. This is a book of contemporary road tests, specification and technical data, new model introductions, driver's impressions. Models covered include: saloon, coupT, TS 300, 293, 400, T600, ISAR 35, TS 400, T 700, Dart, Estate. technical details plus the annual production history of each model are covered. As a bonus, rare insights into the R107's almost unknown rally history are given.FREE BONUS: When you have bought this book, you are eligible for a free pdf file of any Mercedes model (such as W111 or W198 or R107 for example) the author has covered in one of his books. Please contact the author through his website (inside the book) and stipulate, which free pdf file you want him to send to you. Mercedes-Benz E-class Diesel Workshop Manual Oct 28 2019 This manual has been written for the practical owner who wants to maintain a vehicle in first class condition and carry out the bulk of his or her servicing and repairs. Brief, easy to follow instructions are given, plus many diagrams and illustrations. A View from the Ridge Oct 09 2020 West, aged eighty, reviews the chronicle of his life and belief, offering his readers a lyrical, intimate and affirming account of his pilgrimage as a 20th century Christian. From the vantage point of his hard-won and deeply held faith, West shares a remarkable and inspiring journey through doubting and questioning to ultimately embracing faith in God. "Morris West has written a truly challenging testimony as he nears the end of a fine career and eventful life. His candidness and honesty are refreshing. His ideas worth consideration. And his words often inspiring. I am grateful he took the time to tell me so intimately about his own faith journey." - Amazon.com reader. Mercedes-Benz SL Jun 28 2022 Beginning with a look at the SL model's heritage, this book describes the full development and production history of a modern classic. Covering available models in all the major markets, year-by-year, and including limited editions, the data is supported by contemporary illustrations, sourced from the factory, plus in-depth appendices. Creative Writing Bouquet Apr 02 2020 The authors of this Bouquet are people like you. Retired, living in the Lutheran Homes at Glynde, with freedom at last to pursue things they have always wanted to do. Intrigued by a flyer in their letterboxes offering a creative-writing group, the long-held desire to write overcame their hesitation. They came along, one Tuesday afternoon, to meet with Dorothy O'Neill, a Homes resident and the author of several books, to find out more.Every first and third Tuesday in the month, for a year, these seven women worked diligently with Dorothy, to discover and develop the skills they never knew they had. Using simple and homely topics, they drew on their experience, imagination and wisdom to create the varied pieces collected here. Through the group, these strangers found the satisfaction of creative work and the fun and fellowship of a shared endeavour.So here is a bouquet of their work - short stories, poems, spiritual reflections - to prove that creativity flowers in all of us if we will let it: age open, experience not required. Mollebakken - A Viking Age Novella Dec 23 2021 King Harald Fairhair is dying. Who will rule in his stead? Viking Age Norway's greatest king, Harald Fairhair, has unified the northern districts into a kingdom, but as he ages and weakens, so does his realm. To keep the kingdom from fracturing, Harald abdicates his High Seat to the one son he believes capable and vicious enough: Erik Bloodaxe. But there is one problem: the other sons hate their brother, and will not accept his kingship. This leads to an unavoidable confrontation on a rain-soaked hill known as Mollebakken; a hill that will decide who will rule, and who will die. Mercedes-Benz SLK Jan 04 2023 Having this book in your pocket is just like having a real marque expert by your side. Benefit from the author's years of Mercedes-Benz ownership, learn how to spot a bad car quickly, and how to assess a promising car like a professional. Get the right car at the right price! Holy Halls Hb Jan 30 2020 - A thrilling photographic account of the treasure trove of cars kept by the MercedesBenz Museum in Stuttgart that are not currently on display to the public The Mercedes-Benz Museum in Stuttgart is one of the largest and most visited industrial museums in the world. But the 160 or so automobiles on display are only a small part of the shiny chrome treasures that form the Mercedes-Benz Classic vehicle collection. Another 1,000 historical models are 'parked' in secret places outside Stuttgart - these secret places are called the 'Holy Halls'. This collection is the treasure trove of the brand. It has existed since 1923 and offers a comprehensive overview of the model history of Mercedes-Benz. Cars with special technology and equipment are stored here, as are the silver arrows of Caracciola, Lang and Fangio, the Pope's carriages, the state cars of the young Federal Republic of Germany or Mercedes models that became collectors' items due to their prominent previous owners. Some of these exhibits are well protected and waiting in special wooden boxes for their next use at exhibitions, fairs, events or classic car races. Others stand next to each other as silent witnesses of the past. Each time a model is modified, the collection is extended by the last vehicle of the discontinued series, which experts believe will be one of tomorrow's classic cars. The 'Holy Halls' are not open to the public; enquiries from editorial offices and TV teams have often been rejected. But, during the years 2016 to 2018, almost all the vehicles of the Mercedes collection were photographed. Thus, a unique photographic collection was created, the automobile history from more than ten decades; many of the previously unpublished photographs are exclusively available here in this book. In addition, Mercedes-Benz Classic agreed to open the 'Holy Halls' for an external photo team and provide information about the car models stored there. For the first time, it has been possible to produce a fascinating illustrated book with panoramic and detailed shots from the 'halls', and lively photo reports on cars that tell stories - from the first Benz batting motor car to the latest Formula 1 racing car. Equally thrilling are the stories of the unique specimens and prototypes that are stored in the 'Holy Halls': Mercedes models that never went into production are presented for the first time. The stories about the selected automobiles of the vehicle collection are supplemented by historical recordings from the Mercedes-Benz Classic archive. The Burn Jul 06 2020 Haylie Pomroy, the powerhouse nutritionist behind the #1 New York Times bestseller The Fast Metabolism Diet, breaks new ground and gives anyone trying to lose weight new tools for busting through plateaus. Using targeted micronutrients to incinerate weight-loss roadblocks, Haylie will help you remove the problem—and lose up to 3, 5, and 10 pounds in as many days! The Burn offers three eating plans, therapeutically designed to achieve highly specific results. The I-Burn targets the body's inflammatory reactions to food and flushes out toxins and subcutaneous fat, producing prominent cheekbones and a glowing complexion in three days. In five days, the D-Burn unblocks the body's digestive barrier and torches torso fat, to create a flat belly and tighter waistline. The 10-day H-Burn addresses the hormonal system, repairing and facilitating the proper synthesis of hormones to reshape lumps and bumps into gorgeous curves, sleeker hips, and thinner thighs. The Burn also unveils: · I-Burn, D-Burn, and H-Burn eating and living plans, complete with detailed grocery lists and daily menus to keep the process simple and easy-to-follow. · Dozens of delicious recipes for meals in a flash. · Simple success boosters: foods, teas, tips, and practices that are easy to incorporate and stoke up your body's ability to heal. · How to live your life on fire – road maps that help readers recognize what their bodies are saying to keep their metabolisms blazing! Faszination SLK Sep 19 2021 This book was published celebrating the 10th anniversary of the R 170, presenting and illustrating the development of a model series which was not only highly successful but also demonstrated the design excellence of Mercedes-Benz and influenced the brand's image with lasting effect. The GCHQ Puzzle Book Jul 18 2021 WINNER OF 'STOCKING FILLER OF THE YEAR AWARD' GUARDIAN Pit your wits against the people who cracked Enigma in the official puzzle book from Britain's secretive intelligence organisation, GCHQ. 'A fiendish work, as frustrating, divisive and annoying as it is deeply fulfilling: the true spirit of Christmas' Guardian 'Surely the trickiest puzzle book in years. Crack these fiendish problems and Trivial Pursuit should be a doddle' Daily Telegraph If 3=T, 4=S, 5=P, 6=H, 7=H ...what is 8? What is the next letter in the sequence: M, V, E, M, J, S, U, ? Which of the following words is the odd one out: CHAT, COMMENT, ELF, MANGER, PAIN, POUR? GCHQ is a top-secret intelligence and security agency which recruits some of the very brightest minds. Over the years, their codebreakers have helped keep our country safe, from the Bletchley Park breakthroughs of WWII to the modern-day threat of cyberattack. So it comes as no surprise that, even in their time off, the staff at GCHQ love a good puzzle. Whether they're recruiting new staff or challenging each other to the toughest Christmas quizzes and treasure hunts imaginable, puzzles are at the heart of what GCHQ does. Now they're opening up their archives of decades' worth of codes, puzzles and challenges for everyone to try. In this book you will find: - Tips on how to get into the mindset of a codebreaker - Puzzles ranging in difficulty from easy to brain-bending - A competition section where we search for Britain's smartest puzzler Good luck! 'Ideal for the crossword enthusiast' Daily Telegraph Picturesque Palestine, Sinai, and Egypt: Introduction Sep 27 2019 The Shift Program Dec 31 2019 An elimination based 21-day cleanse program (for both omnivores and vegans) with full shopping list and recipe support to help you clarify what foods make it hard maintain a healthy weight, which foods are connected to fatigue, chronic pain and break outs. At the end of three weeks, you'll learn to shop for, cook and love gluten-free, dairy-free, soy-free and sugar-free meals. You'll develop a well balanced dietary regimen that sets you up to focus on whole foods 80% of the time and eat whatever floats your boat the other 20%! Mercedes-Benz SLK Dec 03 2022 This book reveals the full history of the second generation Mercedes-Benz SLK, covering in detail the German, US, UK, Australian and Japanese markets. The perfect book to grace a Mercedes-Benz enthusiasts' library shelf, it's the definitive record of the model illustrated with stunning photographs. Everything about the Mercedes-Benz SLK Apr 14 2021 Mercedes-Benz, the Slk Models May 28 2022 This new book covers in detail the complete history of the SLK R170. Two other such books cover the R171 and R172. Written by Mercedes expert Bernd S. Koehling, this book serves as the perfect reference work to everything SLK R170. It discusses not only all the upgrades and different specifications, it also helps the reader to choose the right R170. It continues by explaining the car's VIN, listing the different model codes and letting the reader enjoy a ride in a SLK230. The book ends with complete technical specifications and the annual production history of each model. Plenty of interesting photos highlight many technical details of the different R170 versionsThe author has so far over 25 books and e-books about MercedesBenz cars from the 1949 170V to the 2012 SL R231 to his credit.In this guide one can read- how the SLK story began- the concept cars- history of the vario roof- trouble-shooting the SLK vario roof- details of the R170- the engines- the facelift- the SLK32 AMG- the special editions- experiencing the SLK230- the Brabus SLK6.5-32other tuners- choosing a used R170- the SLK's VIN explained- the data card with detailed model code description- today's second hand SLK prices- the sales performance incl. annual production data of each modelthe technical specs Clean Disruption of Energy and Transportation May 16 2021 The industrial age of energy and transportation will be over by 2030. Maybe before. Exponentially improving technologies such as solar, electric vehicles, and autonomous (self-driving) cars will disrupt and sweep away the energy and transportation industries as we know it. The same Silicon Valley ecosystem that created bit-based technologies that have disrupted atom-based industries is now creating bit- and electron-based technologies that will disrupt atom-based energy industries. Clean Disruption projections (based on technology cost curves, business model innovation as well as product innovation) show that by 2030: - All new energy will be provided by solar or wind. - All new mass-market vehicles will be electric. - All of these vehicles will be autonomous (self-driving) or semi-autonomous. - The new car market will shrink by 80%. - Even assuming that EVs don't kill the gasoline car by 2030, the self-driving car will shrink the new car market by 80%. - Gasoline will be obsolete. Nuclear is already obsolete. - Up to 80% of highways will be redundant. - Up to 80% of parking spaces will be redundant. - The concept of individual car ownership will be obsolete. - The Car Insurance industry will be disrupted. The Stone Age did not end because we ran out of rocks. It ended because a disruptive technology ushered in the Bronze Age. The era of centralized, command-and-control, extraction-resource-based energy sources (oil, gas, coal and nuclear) will not end because we run out of petroleum, natural gas, coal, or uranium. It will end because these energy sources, the business models they employ, and the products that sustain them will be disrupted by superior technologies, product architectures, and business models. This is a technology-based disruption reminiscent of how the cell phone, Internet, and personal computer swept away industries such as landline telephony, publishing, and mainframe computers. Just like those technology disruptions flipped the architecture of information and brought abundant, cheap and participatory information, the clean disruption will flip the architecture of energy and bring abundant, cheap and participatory energy. Just like those previous technology disruptions, the Clean Disruption is inevitable and it will be swift. Kawaii Nightmare Dec 11 2020 Kawaii Nightmare 2 Year (24 Months) Weekly Planner & Daily Gratitude Diary 110 Pages 8" x 10" This super cute kawaii nightmare anime girl has her Halloween pumpkins & bats ready to go along with an awesome Halloween look with a cute witch hat! Awesome Kawaii themed gift for the holidays! This awesome 2020 & 2021 weekly planner is templated to give you room for planning, journaling notes, working on a to-do list & taking the time to write down your gratitudes for the day! Perfect size for a backpack or to fit in your purse! Amazing Christmas present idea for both men & women alike! The Hack Mechanic Guide to European Automotive Electrical Systems Feb 22 2022 Electrical issues in European cars can be intimidating. The Hack Mechanic Guide to European Automotive Electrical Systems shows you how to think about electricity in your car and then take on real-world electrical problems. The principles discussed can be applied to most conventional internal-combustion-engined vehicles, with a focus on European cars spanning the past six decades.Drawing on The Hack Mechanic's wisdom and experience, the 38 chapters cover key electrical topics such as battery, starter, alternator, ignition, circuits, and relays. Through a practical and informal approach featuring hundreds of full-color illustrations, author Rob Siegel takes the fear-factor out of projects like making wire repairs, measuring voltage drops, or figuring out if you have a bad fuel pump relay. Essential tools such as multimeters (DVOM), oscillosopes, and scan tools are discussed, with special attention given to the automotive multimeter needed to troubleshoot many modern sensors. You'll get step-by-step troubleshooting procedures ranging from safely jump starting a battery to diagnosing parasitic current drain and vehicle energy diagnosis. And you'll find detailed testing procedures for most problematic electrical components on your European car such as oxygen sensors, crankshaft and camshaft sensors, wheel speed sensors, fuel pumps, solenoids, and actuators. Reading wiring diagrams and decoding the German DIN standard are also covered.Whether you are a DIY mechanic or a professional technician, The Hack Mechanic Guide to European Automotive Electrical Systems will increase your confidence in tackling automotive electrical problem-solving.This book applies to gasoline and diesel powered internal combustion engine vehicles. Not intended for hybrid or electric vehicles. Mercedes-Benz, the Slk Models Oct 01 2022 This new book is the only one that covers in detail the complete history of the R171, the second generation SLK. Written by Mercedes expert Bernd S. Koehling it serves as the perfect reference work to everything SLK R171. It discusses not only all the upgrades and different specifications, it also explains the car's VIN, covers the COMAND system and lists the different model codes. It gives sound advice, what to look out for if one wants to buy a R171 and talks about possible vario roof and balance shaft sprocket issues. The book lets the reader experience driving the SLK55 AMG and continues with listing complete technical specifications and annual production history of each model. Plenty of interesting photos highlight many technical details of the different R171 versions.The author has so far over 25 books and e-books about Mercedes-Benz cars from the 1949 170V to the 2012 SL R231 to his credit.In this guide one can read- how the SLK story began- history of the vario roof- trouble-shooting the SLK vario roof- details of the R171- the enginesM272 balance shaft issues- the COMAND system- the option packages- the safety features- the SLK55 AMGthe SLK55 AMG Black Series- first upgrades- the 2008 facelift- the special editions- experiencing the SLK55 AMG- the Brabus SLK- other tuners- choosing a used R171- the SLK's VIN explained- the data card with detailed model code description- today's second hand SLK prices- the sales performance incl. annual prod. data for each model- the technical specs Salads Aug 26 2019 Classic ingredients to create gourmet salads for every occasion. Over 130 scrumptious recipes and 150 colour photographs. Engineering Properties of Asphalt Mixtures and the Relationship to Their Performance Mar 14 2021 Thirteen papers presented at the conference on [title], held in Phoenix, Arizona, December, 1994, discuss the products of the strategic highway research program, the Superpave method of mix design, and test methods for fatigue cracking and permanent deformation. Lacks an index. Annotation c. by Book Religion and State - Development Cooperation Jun 16 2021 This collection of contributions – drawn from different events, in a dialogue between Germany and South Africa, the global North and the global South – focuses on the challenges, obstacles and opportunities related to cooperation between religion and the state in matters of development. The international impact of the COVID-19 pandemic in 2020 poses much more than just a health challenge – the economic, social, political consequences have accentuated the existing fault lines and disparities within countries, and between countries across the world. Mercedes-benz, the Modern Sl Cars, the R230 Feb 10 2021 If you search for a car that can hold its own, when parked next to a Porsche 911 Cabrio, don't look any further. Because the SL R230 is regarded by many as the best looking SL that has left Stuttgart after the famous SL Gullwing. On top it is immense fun to drive, with powerful V8s and V12s to match the looks. Like the drive-train they are almost bullet-proof. Early cars suffered from quality problems that could spoil the fun factor somewhat. But all in all the R230 plays its GT role rather well, even with six-cylinder engines. And the AMG versions are true sports cars. This book with comprehensive buyer's guide can help you to find the right one, if the R230 interests you. It was already published as e-book in 2012 and has been completely revised in Nov.2015. The book explains the VIN and data card in great detail, discusses the SBC, ABC systems and looks at potential problems with the vario-roof. Superb photography and an enjoyable test-drive in the splendid SL65 AMG are other highlights. It ends with a detailed list of the cars' technical specifications and annual production history of each model. FREE BONUS: When you have bought this book, you are eligible for a free pdf file of any Mercedes model (such as W111or W198 or R107 for example) the author has covered in one of his books. Please contact the author through his website (inside the book) and stipulate, which free pdf file you want him to send to you. Vehicle Operator's Manual Nov 21 2021 Autocar Nov 02 2022 Supercharging Performance Handbook Nov 09 2020 Road & Track Mercedes-Benz SL-SLK-CLK Aug 31 2022 One of an exciting new group of publications covering road tests, model introductions, driving impressions, comparisons and performance data, specifications and longterm reports. For the serious enthusiast, this Portfolio is an excellent reference for collecting, restoring or buying the car of your dreams. Models covered - SL 320, 500, 600, SL55 AMG, SLK 230 & 230 Sport, 320, SLK32 AMG, CLK 320 430 500, CLK-GTR, CLK55 AMG. Christmas Color By Number Coloring Book For Kids Jan 12 2021 50 Color By Numbers Christmas Coloring Pages for KidsRelaxing Coloring Pages. Every page you color will pull you into a relaxing world where your responsibilities will seem to fade away...Beautiful Illustrations. We've included 50 unique images for you to express your creativity and make masterpieces. Which colors will you choose for this book?Self Help Management stress Releasing Design For Adult .Single-sided Pages. Every image is placed on its own blackbacked page to reduce the bleed-through problem found in other coloring books.Great for All Skill Levels. You can color every page however you want and there is no wrong way to color (even if you are a beginner). Mercedes-Benz, the Slk Models Jul 30 2022 This new book is the only one that covers in detail the complete history of the R172, the third generation SLK. Two other such books cover the R170 and R171. Written by Mercedes expert Bernd S. Koehling, this book serves as the perfect reference work to everything SLK R172. It discusses not only the different specifications, it also explains the car's VIN, covers the COMAND system and lists the different model codes.It gives sound advice, what to look out for if one wants to buy a used R172 and talks about possible vario roof issues. The book lets the reader experience driving the SLK250 CDI and continues with listing complete technical specifications and annual production history of each model. Plenty of interesting photos highlight many technical details of the different R172 versions..The author has so far over 25 books and ebooks about Mercedes-Benz cars from the 1949 170V to the 2012 SL R231 to his credit.In this guide one can read - how the SLK story began - history of the vario roof - trouble-shooting the SLK vario roof - details	of the R172 - the engines - the suspension - the interior - the safety features - prices and specifications - the SLK250 CDI - the SLK55 AMG - the option packages - the COMAND system - the special editions - first upgrades and changes - experiencing the SLK250 CDI - the tuners - choosing a used R172 - the SLK's VIN explained - the data card with detailed model code description - the technical specifications of each model MERCEDES-BENZ, the SL R129 Aug 19 2021 Discover the Mercedes SL R129.		28,520	end_of_word	details	remove_all	<url> https://pluto.wickedlocal.com/cgi/noisy?m=E6E4K7&FileName=Free_Manual_Slk200_Kompressor </url> <text> Access Free Free Manual Slk200 Kompressor Free Download Pdf Mercedes-Benz SLK Mercedes-Benz SLK Autocar Mercedes-Benz, the Slk Models Road & Track MercedesBenz SL-SLK-CLK Mercedes-Benz, the Slk Models Mercedes-Benz SL Mercedes-Benz, the Slk Models Driving-safety Systems Fuel Systems for IC Engines The Hack Mechanic Guide to European Automotive Electrical Systems Legendary Since April 1992 - Birthday Gift For 27 Year Old Men and Women Born in April 1992 Mollebakken - A Viking Age Novella Vehicle Operator's Manual MERCEDES-BENZ, the Modern SL Cars, the R107 and C107 Faszination SLK MERCEDES-BENZ, the SL R129 The GCHQ Puzzle Book Religion and State - Development Cooperation Clean Disruption of Energy and Transportation Everything about the Mercedes-Benz SLK Engineering Properties of Asphalt Mixtures and the Relationship to Their Performance Mercedes-benz, the Modern Sl Cars, the R230 Christmas Color By Number Coloring Book For Kids Kawaii Nightmare Supercharging Performance Handbook A View from the Ridge The Vanishing Newspaper [2nd Ed] The Fool of Frenchtown The Burn Bob and Tom Get a Dog Bosch Fuel Injection and Engine Management Creative Writing Bouquet Goggomobil Holy Halls Hb The Shift Program Cars We Used to Drive Mercedes-Benz E-class Diesel Workshop Manual Picturesque Palestine, Sinai, and Egypt: Introduction Salads Bosch Fuel Injection and Engine Management May 04 2020 This Bosch Bible fully explains the theory, troubleshooting, and service of all Bosch systems from D-Jetronic through the latest Motronics. Includes highperformance tuning secrets and information on the newest KE- and LH-Motronic systems not available from any other source. The Vanishing Newspaper [2nd Ed] Sep 07 2020 "In this edition, Meyer's analysis of the correlation between newspaper quality and profitability is updated and applied to recent developments in the newspaper industry. Meyer argues that understanding the relationship between quality and profit is central to sustaining journalistic excellence and preserving journalism's unique social functions." -- Provided by the publisher. The Fool of Frenchtown Aug 07 2020 Legendary Since April 1992 - Birthday Gift For 27 Year Old Men and Women Born in April 1992 Jan 24 2022 This Legendary Since April 1992 - Birthday Gift For 27 Year Old Men and Women Born in April 1992 notebook / Journal makes an excellent gift for any occasion . Lined - Size: 6 x 9'' - Notebook - Journal - Planner Dairy - 110 Pages - Classic White Lined Paper - For Writing, Sketching, Journals and Hand Lettering Bob and Tom Get a Dog Jun 04 2020 "Siblings Bob and Tom get a dog with spots. This A-level story uses decodable text to raise confidence in early readers. The book uses a combination of sight words and short-vowel words in repetition to build recognition. Original illustrations help guide readers through the text."-- MERCEDES-BENZ, the Modern SL Cars, the R107 and C107 Oct 21 2021 You haven't gotten yourself a R107 yet? Too bad, the good ones can cost a small fortune today and they have only one way to go: UP! But don't worry, plenty of them have been built and plenty of them are still around. Problem is, which one is the right one for you? Can you imagine that even a low mileage, good looking R107 can still far exceed your wildest imaginations, when it comes to restoration costs? Everybody seems to want a late model 560SL. Why not an early 450SL for half the money? The joy and pride of ownership is the same, trust me. Or how about one of the former longtime underdogs, an SLC? Also they start to appreciate, a few of them even very fast, faster than a mint 560SL. If any of this is of interest, then this new book (published already earlier as e-book) is for you. It does not only deal with development and history, it also comes with a comprehensive buyer's guide for both the SL and SLC. This includes a look at their price development over the past years. Another focus has been the VIN and data card, so that you have a better understanding, how they were equipped and to which market they have been shipped first. Superb recent photography from the author's collection can help you to find the right car or it might even serve as reference in a restoration project. Naturally the paint and interior upholstery options, full Goggomobil Mar 02 2020 First offered to the public in 1955 this four-wheel microcar featured a fiberglass twodoor, four-seat body with a 247cc two stroke engine that suited the German license concessions. A coupT was introduced in 1957 and two larger engines, 293cc and 392cc, were also available. The company was taken over by BMW in 1966. This is a book of contemporary road tests, specification and technical data, new model introductions, driver's impressions. Models covered include: saloon, coupT, TS 300, 293, 400, T600, ISAR 35, TS 400, T 700, Dart, Estate. technical details plus the annual production history of each model are covered. As a bonus, rare insights into the R107's almost unknown rally history are given.FREE BONUS: When you have bought this book, you are eligible for a free pdf file of any Mercedes model (such as W111 or W198 or R107 for example) the author has covered in one of his books. Please contact the author through his website (inside the book) and stipulate, which free pdf file you want him to send to you. Mercedes-Benz E-class Diesel Workshop Manual Oct 28 2019 This manual has been written for the practical owner who wants to maintain a vehicle in first class condition and carry out the bulk of his or her servicing and repairs. Brief, easy to follow instructions are given, plus many diagrams and illustrations. A View from the Ridge Oct 09 2020 West, aged eighty, reviews the chronicle of his life and belief, offering his readers a lyrical, intimate and affirming account of his pilgrimage as a 20th century Christian. From the vantage point of his hard-won and deeply held faith, West shares a remarkable and inspiring journey through doubting and questioning to ultimately embracing faith in God. "Morris West has written a truly challenging testimony as he nears the end of a fine career and eventful life. His candidness and honesty are refreshing. His ideas worth consideration. And his words often inspiring. I am grateful he took the time to tell me so intimately about his own faith journey." - Amazon.com reader. Mercedes-Benz SL Jun 28 2022 Beginning with a look at the SL model's heritage, this book describes the full development and production history of a modern classic. Covering available models in all the major markets, year-by-year, and including limited editions, the data is supported by contemporary illustrations, sourced from the factory, plus in-depth appendices. Creative Writing Bouquet Apr 02 2020 The authors of this Bouquet are people like you. Retired, living in the Lutheran Homes at Glynde, with freedom at last to pursue things they have always wanted to do. Intrigued by a flyer in their letterboxes offering a creative-writing group, the long-held desire to write overcame their hesitation. They came along, one Tuesday afternoon, to meet with Dorothy O'Neill, a Homes resident and the author of several books, to find out more.Every first and third Tuesday in the month, for a year, these seven women worked diligently with Dorothy, to discover and develop the skills they never knew they had. Using simple and homely topics, they drew on their experience, imagination and wisdom to create the varied pieces collected here. Through the group, these strangers found the satisfaction of creative work and the fun and fellowship of a shared endeavour.So here is a bouquet of their work - short stories, poems, spiritual reflections - to prove that creativity flowers in all of us if we will let it: age open, experience not required. Mollebakken - A Viking Age Novella Dec 23 2021 King Harald Fairhair is dying. Who will rule in his stead? Viking Age Norway's greatest king, Harald Fairhair, has unified the northern districts into a kingdom, but as he ages and weakens, so does his realm. To keep the kingdom from fracturing, Harald abdicates his High Seat to the one son he believes capable and vicious enough: Erik Bloodaxe. But there is one problem: the other sons hate their brother, and will not accept his kingship. This leads to an unavoidable confrontation on a rain-soaked hill known as Mollebakken; a hill that will decide who will rule, and who will die. Mercedes-Benz SLK Jan 04 2023 Having this book in your pocket is just like having a real marque expert by your side. Benefit from the author's years of Mercedes-Benz ownership, learn how to spot a bad car quickly, and how to assess a promising car like a professional. Get the right car at the right price! Holy Halls Hb Jan 30 2020 - A thrilling photographic account of the treasure trove of cars kept by the MercedesBenz Museum in Stuttgart that are not currently on display to the public The Mercedes-Benz Museum in Stuttgart is one of the largest and most visited industrial museums in the world. But the 160 or so automobiles on display are only a small part of the shiny chrome treasures that form the Mercedes-Benz Classic vehicle collection. Another 1,000 historical models are 'parked' in secret places outside Stuttgart - these secret places are called the 'Holy Halls'. This collection is the treasure trove of the brand. It has existed since 1923 and offers a comprehensive overview of the model history of Mercedes-Benz. Cars with special technology and equipment are stored here, as are the silver arrows of Caracciola, Lang and Fangio, the Pope's carriages, the state cars of the young Federal Republic of Germany or Mercedes models that became collectors' items due to their prominent previous owners. Some of these exhibits are well protected and waiting in special wooden boxes for their next use at exhibitions, fairs, events or classic car races. Others stand next to each other as silent witnesses of the past. Each time a model is modified, the collection is extended by the last vehicle of the discontinued series, which experts believe will be one of tomorrow's classic cars. The 'Holy Halls' are not open to the public; enquiries from editorial offices and TV teams have often been rejected. But, during the years 2016 to 2018, almost all the vehicles of the Mercedes collection were photographed. Thus, a unique photographic collection was created, the automobile history from more than ten decades; many of the previously unpublished photographs are exclusively available here in this book. In addition, Mercedes-Benz Classic agreed to open the 'Holy Halls' for an external photo team and provide information about the car models stored there. For the first time, it has been possible to produce a fascinating illustrated book with panoramic and detailed shots from the 'halls', and lively photo reports on cars that tell stories - from the first Benz batting motor car to the latest Formula 1 racing car. Equally thrilling are the stories of the unique specimens and prototypes that are stored in the 'Holy Halls': Mercedes models that never went into production are presented for the first time. The stories about the selected automobiles of the vehicle collection are supplemented by historical recordings from the Mercedes-Benz Classic archive. The Burn Jul 06 2020 Haylie Pomroy, the powerhouse nutritionist behind the #1 New York Times bestseller The Fast Metabolism Diet, breaks new ground and gives anyone trying to lose weight new tools for busting through plateaus. Using targeted micronutrients to incinerate weight-loss roadblocks, Haylie will help you remove the problem—and lose up to 3, 5, and 10 pounds in as many days! The Burn offers three eating plans, therapeutically designed to achieve highly specific results. The I-Burn targets the body's inflammatory reactions to food and flushes out toxins and subcutaneous fat, producing prominent cheekbones and a glowing complexion in three days. In five days, the D-Burn unblocks the body's digestive barrier and torches torso fat, to create a flat belly and tighter waistline. The 10-day H-Burn addresses the hormonal system, repairing and facilitating the proper synthesis of hormones to reshape lumps and bumps into gorgeous curves, sleeker hips, and thinner thighs. The Burn also unveils: · I-Burn, D-Burn, and H-Burn eating and living plans, complete with detailed grocery lists and daily menus to keep the process simple and easy-to-follow. · Dozens of delicious recipes for meals in a flash. · Simple success boosters: foods, teas, tips, and practices that are easy to incorporate and stoke up your body's ability to heal. · How to live your life on fire – road maps that help readers recognize what their bodies are saying to keep their metabolisms blazing! Faszination SLK Sep 19 2021 This book was published celebrating the 10th anniversary of the R 170, presenting and illustrating the development of a model series which was not only highly successful but also demonstrated the design excellence of Mercedes-Benz and influenced the brand's image with lasting effect. The GCHQ Puzzle Book Jul 18 2021 WINNER OF 'STOCKING FILLER OF THE YEAR AWARD' GUARDIAN Pit your wits against the people who cracked Enigma in the official puzzle book from Britain's secretive intelligence organisation, GCHQ. 'A fiendish work, as frustrating, divisive and annoying as it is deeply fulfilling: the true spirit of Christmas' Guardian 'Surely the trickiest puzzle book in years. Crack these fiendish problems and Trivial Pursuit should be a doddle' Daily Telegraph If 3=T, 4=S, 5=P, 6=H, 7=H ...what is 8? What is the next letter in the sequence: M, V, E, M, J, S, U, ? Which of the following words is the odd one out: CHAT, COMMENT, ELF, MANGER, PAIN, POUR? GCHQ is a top-secret intelligence and security agency which recruits some of the very brightest minds. Over the years, their codebreakers have helped keep our country safe, from the Bletchley Park breakthroughs of WWII to the modern-day threat of cyberattack. So it comes as no surprise that, even in their time off, the staff at GCHQ love a good puzzle. Whether they're recruiting new staff or challenging each other to the toughest Christmas quizzes and treasure hunts imaginable, puzzles are at the heart of what GCHQ does. Now they're opening up their archives of decades' worth of codes, puzzles and challenges for everyone to try. In this book you will find: - Tips on how to get into the mindset of a codebreaker - Puzzles ranging in difficulty from easy to brain-bending - A competition section where we search for Britain's smartest puzzler Good luck! 'Ideal for the crossword enthusiast' Daily Telegraph Picturesque Palestine, Sinai, and Egypt: Introduction Sep 27 2019 The Shift Program Dec 31 2019 An elimination based 21-day cleanse program (for both omnivores and vegans) with full shopping list and recipe support to help you clarify what foods make it hard maintain a healthy weight, which foods are connected to fatigue, chronic pain and break outs. At the end of three weeks, you'll learn to shop for, cook and love gluten-free, dairy-free, soy-free and sugar-free meals. You'll develop a well balanced dietary regimen that sets you up to focus on whole foods 80% of the time and eat whatever floats your boat the other 20%! Mercedes-Benz SLK Dec 03 2022 This book reveals the full history of the second generation Mercedes-Benz SLK, covering in detail the German, US, UK, Australian and Japanese markets. The perfect book to grace a Mercedes-Benz enthusiasts' library shelf, it's the definitive record of the model illustrated with stunning photographs. Everything about the Mercedes-Benz SLK Apr 14 2021 Mercedes-Benz, the Slk Models May 28 2022 This new book covers in detail the complete history of the SLK R170. Two other such books cover the R171 and R172. Written by Mercedes expert Bernd S. Koehling, this book serves as the perfect reference work to everything SLK R170. It discusses not only all the upgrades and different specifications, it also helps the reader to choose the right R170. It continues by explaining the car's VIN, listing the different model codes and letting the reader enjoy a ride in a SLK230. The book ends with complete technical specifications and the annual production history of each model. Plenty of interesting photos highlight many technical details of the different R170 versionsThe author has so far over 25 books and e-books about MercedesBenz cars from the 1949 170V to the 2012 SL R231 to his credit.In this guide one can read- how the SLK story began- the concept cars- history of the vario roof- trouble-shooting the SLK vario roof- details of the R170- the engines- the facelift- the SLK32 AMG- the special editions- experiencing the SLK230- the Brabus SLK6.5-32other tuners- choosing a used R170- the SLK's VIN explained- the data card with detailed model code description- today's second hand SLK prices- the sales performance incl. annual production data of each modelthe technical specs Clean Disruption of Energy and Transportation May 16 2021 The industrial age of energy and transportation will be over by 2030. Maybe before. Exponentially improving technologies such as solar, electric vehicles, and autonomous (self-driving) cars will disrupt and sweep away the energy and transportation industries as we know it. The same Silicon Valley ecosystem that created bit-based technologies that have disrupted atom-based industries is now creating bit- and electron-based technologies that will disrupt atom-based energy industries. Clean Disruption projections (based on technology cost curves, business model innovation as well as product innovation) show that by 2030: - All new energy will be provided by solar or wind. - All new mass-market vehicles will be electric. - All of these vehicles will be autonomous (self-driving) or semi-autonomous. - The new car market will shrink by 80%. - Even assuming that EVs don't kill the gasoline car by 2030, the self-driving car will shrink the new car market by 80%. - Gasoline will be obsolete. Nuclear is already obsolete. - Up to 80% of highways will be redundant. - Up to 80% of parking spaces will be redundant. - The concept of individual car ownership will be obsolete. - The Car Insurance industry will be disrupted. The Stone Age did not end because we ran out of rocks. It ended because a disruptive technology ushered in the Bronze Age. The era of centralized, command-and-control, extraction-resource-based energy sources (oil, gas, coal and nuclear) will not end because we run out of petroleum, natural gas, coal, or uranium. It will end because these energy sources, the business models they employ, and the products that sustain them will be disrupted by superior technologies, product architectures, and business models. This is a technology-based disruption reminiscent of how the cell phone, Internet, and personal computer swept away industries such as landline telephony, publishing, and mainframe computers. Just like those technology disruptions flipped the architecture of information and brought abundant, cheap and participatory information, the clean disruption will flip the architecture of energy and bring abundant, cheap and participatory energy. Just like those previous technology disruptions, the Clean Disruption is inevitable and it will be swift. Kawaii Nightmare Dec 11 2020 Kawaii Nightmare 2 Year (24 Months) Weekly Planner & Daily Gratitude Diary 110 Pages 8" x 10" This super cute kawaii nightmare anime girl has her Halloween pumpkins & bats ready to go along with an awesome Halloween look with a cute witch hat! Awesome Kawaii themed gift for the holidays! This awesome 2020 & 2021 weekly planner is templated to give you room for planning, journaling notes, working on a to-do list & taking the time to write down your gratitudes for the day! Perfect size for a backpack or to fit in your purse! Amazing Christmas present idea for both men & women alike! The Hack Mechanic Guide to European Automotive Electrical Systems Feb 22 2022 Electrical issues in European cars can be intimidating. The Hack Mechanic Guide to European Automotive Electrical Systems shows you how to think about electricity in your car and then take on real-world electrical problems. The principles discussed can be applied to most conventional internal-combustion-engined vehicles, with a focus on European cars spanning the past six decades.Drawing on The Hack Mechanic's wisdom and experience, the 38 chapters cover key electrical topics such as battery, starter, alternator, ignition, circuits, and relays. Through a practical and informal approach featuring hundreds of full-color illustrations, author Rob Siegel takes the fear-factor out of projects like making wire repairs, measuring voltage drops, or figuring out if you have a bad fuel pump relay. Essential tools such as multimeters (DVOM), oscillosopes, and scan tools are discussed, with special attention given to the automotive multimeter needed to troubleshoot many modern sensors. You'll get step-by-step troubleshooting procedures ranging from safely jump starting a battery to diagnosing parasitic current drain and vehicle energy diagnosis. And you'll find detailed testing procedures for most problematic electrical components on your European car such as oxygen sensors, crankshaft and camshaft sensors, wheel speed sensors, fuel pumps, solenoids, and actuators. Reading wiring diagrams and decoding the German DIN standard are also covered.Whether you are a DIY mechanic or a professional technician, The Hack Mechanic Guide to European Automotive Electrical Systems will increase your confidence in tackling automotive electrical problem-solving.This book applies to gasoline and diesel powered internal combustion engine vehicles. Not intended for hybrid or electric vehicles. Mercedes-Benz, the Slk Models Oct 01 2022 This new book is the only one that covers in detail the complete history of the R171, the second generation SLK. Written by Mercedes expert Bernd S. Koehling it serves as the perfect reference work to everything SLK R171. It discusses not only all the upgrades and different specifications, it also explains the car's VIN, covers the COMAND system and lists the different model codes. It gives sound advice, what to look out for if one wants to buy a R171 and talks about possible vario roof and balance shaft sprocket issues. The book lets the reader experience driving the SLK55 AMG and continues with listing complete technical specifications and annual production history of each model. Plenty of interesting photos highlight many technical details of the different R171 versions.The author has so far over 25 books and e-books about Mercedes-Benz cars from the 1949 170V to the 2012 SL R231 to his credit.In this guide one can read- how the SLK story began- history of the vario roof- trouble-shooting the SLK vario roof- details of the R171- the enginesM272 balance shaft issues- the COMAND system- the option packages- the safety features- the SLK55 AMGthe SLK55 AMG Black Series- first upgrades- the 2008 facelift- the special editions- experiencing the SLK55 AMG- the Brabus SLK- other tuners- choosing a used R171- the SLK's VIN explained- the data card with detailed model code description- today's second hand SLK prices- the sales performance incl. annual prod. data for each model- the technical specs Salads Aug 26 2019 Classic ingredients to create gourmet salads for every occasion. Over 130 scrumptious recipes and 150 colour photographs. Engineering Properties of Asphalt Mixtures and the Relationship to Their Performance Mar 14 2021 Thirteen papers presented at the conference on [title], held in Phoenix, Arizona, December, 1994, discuss the products of the strategic highway research program, the Superpave method of mix design, and test methods for fatigue cracking and permanent deformation. Lacks an index. Annotation c. by Book Religion and State - Development Cooperation Jun 16 2021 This collection of contributions – drawn from different events, in a dialogue between Germany and South Africa, the global North and the global South – focuses on the challenges, obstacles and opportunities related to cooperation between religion and the state in matters of development. The international impact of the COVID-19 pandemic in 2020 poses much more than just a health challenge – the economic, social, political consequences have accentuated the existing fault lines and disparities within countries, and between countries across the world. Mercedes-benz, the Modern Sl Cars, the R230 Feb 10 2021 If you search for a car that can hold its own, when parked next to a Porsche 911 Cabrio, don't look any further. Because the SL R230 is regarded by many as the best looking SL that has left Stuttgart after the famous SL Gullwing. On top it is immense fun to drive, with powerful V8s and V12s to match the looks. Like the drive-train they are almost bullet-proof. Early cars suffered from quality problems that could spoil the fun factor somewhat. But all in all the R230 plays its GT role rather well, even with six-cylinder engines. And the AMG versions are true sports cars. This book with comprehensive buyer's guide can help you to find the right one, if the R230 interests you. It was already published as e-book in 2012 and has been completely revised in Nov.2015. The book explains the VIN and data card in great detail, discusses the SBC, ABC systems and looks at potential problems with the vario-roof. Superb photography and an enjoyable test-drive in the splendid SL65 AMG are other highlights. It ends with a detailed list of the cars' technical specifications and annual production history of each model. FREE BONUS: When you have bought this book, you are eligible for a free pdf file of any Mercedes model (such as W111or W198 or R107 for example) the author has covered in one of his books. Please contact the author through his website (inside the book) and stipulate, which free pdf file you want him to send to you. Vehicle Operator's Manual Nov 21 2021 Autocar Nov 02 2022 Supercharging Performance Handbook Nov 09 2020 Road & Track Mercedes-Benz SL-SLK-CLK Aug 31 2022 One of an exciting new group of publications covering road tests, model introductions, driving impressions, comparisons and performance data, specifications and longterm reports. For the serious enthusiast, this Portfolio is an excellent reference for collecting, restoring or buying the car of your dreams. Models covered - SL 320, 500, 600, SL55 AMG, SLK 230 & 230 Sport, 320, SLK32 AMG, CLK 320 430 500, CLK-GTR, CLK55 AMG. Christmas Color By Number Coloring Book For Kids Jan 12 2021 50 Color By Numbers Christmas Coloring Pages for KidsRelaxing Coloring Pages. Every page you color will pull you into a relaxing world where your responsibilities will seem to fade away...Beautiful Illustrations. We've included 50 unique images for you to express your creativity and make masterpieces. Which colors will you choose for this book?Self Help Management stress Releasing Design For Adult .Single-sided Pages. Every image is placed on its own blackbacked page to reduce the bleed-through problem found in other coloring books.Great for All Skill Levels. You can color every page however you want and there is no wrong way to color (even if you are a beginner). Mercedes-Benz, the Slk Models Jul 30 2022 This new book is the only one that covers in detail the complete history of the R172, the third generation SLK. Two other such books cover the R170 and R171. Written by Mercedes expert Bernd S. Koehling, this book serves as the perfect reference work to everything SLK R172. It discusses not only the different specifications, it also explains the car's VIN, covers the COMAND system and lists the different model codes.It gives sound advice, what to look out for if one wants to buy a used R172 and talks about possible vario roof issues. The book lets the reader experience driving the SLK250 CDI and continues with listing complete technical specifications and annual production history of each model. Plenty of interesting photos highlight many technical details of the different R172 versions..The author has so far over 25 books and ebooks about Mercedes-Benz cars from the 1949 170V to the 2012 SL R231 to his credit.In this guide one can read - how the SLK story began - history of the vario roof - trouble-shooting the SLK vario roof - details<cursor_is_here> </text>	[ { "content": "<url>\nhttps://pluto.wickedlocal.com/cgi/noisy?m=E6E4K7&FileName=Free_Manual_Slk200_Kompressor\n</url>\n<text>\nAccess Free Free Manual Slk200 Kompressor Free Download Pdf\n\nMercedes-Benz SLK Mercedes-Benz SLK Autocar Mercedes-Benz, the Slk Models Road & Track MercedesBenz SL-SLK-CLK Mercedes-Benz, the Slk Models Mercedes-Benz SL Mercedes-Benz, the Slk Models Driving-safety Systems Fuel Systems for IC Engines The Hack Mechanic Guide to European Automotive Electrical Systems Legendary Since April 1992 - Birthday Gift For 27 Year Old Men and Women Born in April 1992 Mollebakken - A Viking Age Novella Vehicle Operator's Manual MERCEDES-BENZ, the Modern SL Cars, the R107 and C107 Faszination SLK MERCEDES-BENZ, the SL R129 The GCHQ Puzzle Book Religion and State - Development Cooperation Clean Disruption of Energy and Transportation Everything about the Mercedes-Benz SLK Engineering Properties of Asphalt Mixtures and the Relationship to Their Performance Mercedes-benz, the Modern Sl Cars, the R230 Christmas Color By Number Coloring Book For Kids Kawaii Nightmare Supercharging Performance Handbook A View from the Ridge The Vanishing Newspaper [2nd Ed] The Fool of Frenchtown The Burn Bob and Tom Get a Dog Bosch Fuel Injection and Engine Management Creative Writing Bouquet Goggomobil Holy Halls Hb The Shift Program Cars We Used to Drive Mercedes-Benz E-class Diesel Workshop Manual Picturesque Palestine, Sinai, and Egypt: Introduction Salads\n\nBosch Fuel Injection and Engine Management May 04 2020 This Bosch Bible fully explains the theory, troubleshooting, and service of all Bosch systems from D-Jetronic through the latest Motronics. Includes highperformance tuning secrets and information on the newest KE- and LH-Motronic systems not available from any other source.\n\nThe Vanishing Newspaper [2nd Ed] Sep 07 2020 \"In this edition, Meyer's analysis of the correlation between newspaper quality and profitability is updated and applied to recent developments in the newspaper industry. Meyer argues that understanding the relationship between quality and profit is central to sustaining journalistic excellence and preserving journalism's unique social functions.\" -- Provided by the publisher.\n\nThe Fool of Frenchtown Aug 07 2020\n\nLegendary Since April 1992 - Birthday Gift For 27 Year Old Men and Women Born in April 1992 Jan 24 2022 This Legendary Since April 1992 - Birthday Gift For 27 Year Old Men and Women Born in April 1992 notebook / Journal makes an excellent gift for any occasion . Lined - Size: 6 x 9'' - Notebook - Journal - Planner Dairy - 110 Pages - Classic White Lined Paper - For Writing, Sketching, Journals and Hand Lettering Bob and Tom Get a Dog Jun 04 2020 \"Siblings Bob and Tom get a dog with spots. This A-level story uses decodable text to raise confidence in early readers. The book uses a combination of sight words and short-vowel words in repetition to build recognition. Original illustrations help guide readers through the text.\"--\n\nMERCEDES-BENZ, the Modern SL Cars, the R107 and C107 Oct 21 2021 You haven't gotten yourself a R107 yet? Too bad, the good ones can cost a small fortune today and they have only one way to go: UP! But don't worry, plenty of them have been built and plenty of them are still around. Problem is, which one is the right one for you? Can you imagine that even a low mileage, good looking R107 can still far exceed your wildest imaginations, when it comes to restoration costs? Everybody seems to want a late model 560SL. Why not an early 450SL for half the money? The joy and pride of ownership is the same, trust me. Or how about one of the former longtime underdogs, an SLC? Also they start to appreciate, a few of them even very fast, faster than a mint 560SL. If any of this is of interest, then this new book (published already earlier as e-book) is for you. It does not only deal with development and history, it also comes with a comprehensive buyer's guide for both the SL and SLC. This includes a look at their price development over the past years. Another focus has been the VIN and data card, so that you have a better understanding, how they were equipped and to which market they have been shipped first. Superb recent photography from the author's collection can help you to find the right car or it might even serve as reference in a restoration project. Naturally the paint and interior upholstery options, full\n\nGoggomobil Mar 02 2020 First offered to the public in 1955 this four-wheel microcar featured a fiberglass twodoor, four-seat body with a 247cc two stroke engine that suited the German license concessions. A coupT was introduced in 1957 and two larger engines, 293cc and 392cc, were also available. The company was taken over by BMW in 1966. This is a book of contemporary road tests, specification and technical data, new model introductions, driver's impressions. Models covered include: saloon, coupT, TS 300, 293, 400, T600, ISAR 35, TS 400, T 700, Dart, Estate.\n\ntechnical details plus the annual production history of each model are covered. As a bonus, rare insights into the R107's almost unknown rally history are given.FREE BONUS: When you have bought this book, you are eligible for a free pdf file of any Mercedes model (such as W111 or W198 or R107 for example) the author has covered in one of his books. Please contact the author through his website (inside the book) and stipulate, which free pdf file you want him to send to you.\n\nMercedes-Benz E-class Diesel Workshop Manual Oct 28 2019 This manual has been written for the practical owner who wants to maintain a vehicle in first class condition and carry out the bulk of his or her servicing and repairs. Brief, easy to follow instructions are given, plus many diagrams and illustrations.\n\nA View from the Ridge Oct 09 2020 West, aged eighty, reviews the chronicle of his life and belief, offering his readers a lyrical, intimate and affirming account of his pilgrimage as a 20th century Christian. From the vantage point of his hard-won and deeply held faith, West shares a remarkable and inspiring journey through doubting and questioning to ultimately embracing faith in God. \"Morris West has written a truly challenging testimony as he nears the end of a fine career and eventful life. His candidness and honesty are refreshing. His ideas worth consideration. And his words often inspiring. I am grateful he took the time to tell me so intimately about his own faith journey.\" - Amazon.com reader.\n\nMercedes-Benz SL Jun 28 2022 Beginning with a look at the SL model's heritage, this book describes the full development and production history of a modern classic. Covering available models in all the major markets, year-by-year, and including limited editions, the data is supported by contemporary illustrations, sourced from the factory, plus in-depth appendices.\n\nCreative Writing Bouquet Apr 02 2020 The authors of this Bouquet are people like you. Retired, living in the Lutheran Homes at Glynde, with freedom at last to pursue things they have always wanted to do. Intrigued by a flyer in their letterboxes offering a creative-writing group, the long-held desire to write overcame their hesitation. They came along, one Tuesday afternoon, to meet with Dorothy O'Neill, a Homes resident and the author of several books, to find out more.Every first and third Tuesday in the month, for a year, these seven women worked diligently with Dorothy, to discover and develop the skills they never knew they had. Using simple and homely topics, they drew on their experience, imagination and wisdom to create the varied pieces collected here. Through the group, these strangers found the satisfaction of creative work and the fun and fellowship of a shared endeavour.So here is a bouquet of their work - short stories, poems, spiritual reflections - to prove that creativity flowers in all of us if we will let it: age open, experience not required.\n\nMollebakken - A Viking Age Novella Dec 23 2021 King Harald Fairhair is dying. Who will rule in his stead? Viking Age Norway's greatest king, Harald Fairhair, has unified the northern districts into a kingdom, but as he ages and weakens, so does his realm. To keep the kingdom from fracturing, Harald abdicates his High Seat to the one son he believes capable and vicious enough: Erik Bloodaxe. But there is one problem: the other sons hate their brother, and will not accept his kingship. This leads to an unavoidable confrontation on a rain-soaked hill known as Mollebakken; a hill that will decide who will rule, and who will die.\n\nMercedes-Benz SLK Jan 04 2023 Having this book in your pocket is just like having a real marque expert by your side. Benefit from the author's years of Mercedes-Benz ownership, learn how to spot a bad car quickly, and how to assess a promising car like a professional. Get the right car at the right price!\n\nHoly Halls Hb Jan 30 2020 - A thrilling photographic account of the treasure trove of cars kept by the MercedesBenz Museum in Stuttgart that are not currently on display to the public The Mercedes-Benz Museum in Stuttgart is one of the largest and most visited industrial museums in the world. But the 160 or so automobiles on display are only a small part of the shiny chrome treasures that form the Mercedes-Benz Classic vehicle collection. Another 1,000 historical models are 'parked' in secret places outside Stuttgart - these secret places are called the 'Holy Halls'. This collection is the treasure trove of the brand. It has existed since 1923 and offers a comprehensive overview of the model history of Mercedes-Benz. Cars with special technology and equipment are stored here, as are the silver arrows of Caracciola, Lang and Fangio, the Pope's carriages, the state cars of the young Federal Republic of Germany or Mercedes models that became collectors' items due to their prominent previous owners. Some of these exhibits are well protected and waiting in special wooden boxes for their next use at exhibitions, fairs, events or classic car races. Others stand next to each other as silent witnesses of the past. Each time a model is modified, the collection is extended by the last vehicle of the discontinued series, which experts believe will be one of tomorrow's classic cars. The 'Holy Halls' are not open to the public; enquiries from editorial offices and TV teams have often been rejected. But, during the years 2016 to 2018, almost all the vehicles of the Mercedes collection were photographed. Thus, a unique photographic collection was created, the automobile history from more than ten decades; many of the previously unpublished photographs are exclusively available here in this book. In addition, Mercedes-Benz Classic agreed to open the 'Holy Halls' for an external photo team and provide information about the car models stored there. For the first time, it has been possible to produce a fascinating illustrated book with panoramic and detailed shots from the 'halls', and lively photo reports on cars that tell stories - from the first Benz batting motor car to the latest Formula 1 racing car. Equally thrilling are the stories of the unique specimens and prototypes that are stored in the 'Holy Halls': Mercedes models that never went into production are presented for the first time. The stories about the selected automobiles of the\n\nvehicle collection are supplemented by historical recordings from the Mercedes-Benz Classic archive. The Burn Jul 06 2020 Haylie Pomroy, the powerhouse nutritionist behind the #1 New York Times bestseller The Fast Metabolism Diet, breaks new ground and gives anyone trying to lose weight new tools for busting through plateaus. Using targeted micronutrients to incinerate weight-loss roadblocks, Haylie will help you remove the problem—and lose up to 3, 5, and 10 pounds in as many days! The Burn offers three eating plans, therapeutically designed to achieve highly specific results. The I-Burn targets the body's inflammatory reactions to food and flushes out toxins and subcutaneous fat, producing prominent cheekbones and a glowing complexion in three days. In five days, the D-Burn unblocks the body's digestive barrier and torches torso fat, to create a flat belly and tighter waistline. The 10-day H-Burn addresses the hormonal system, repairing and facilitating the proper synthesis of hormones to reshape lumps and bumps into gorgeous curves, sleeker hips, and thinner thighs. The Burn also unveils: · I-Burn, D-Burn, and H-Burn eating and living plans, complete with detailed grocery lists and daily menus to keep the process simple and easy-to-follow. · Dozens of delicious recipes for meals in a flash. · Simple success boosters: foods, teas, tips, and practices that are easy to incorporate and stoke up your body's ability to heal. · How to live your life on fire – road maps that help readers recognize what their bodies are saying to keep their metabolisms blazing!\n\nFaszination SLK Sep 19 2021 This book was published celebrating the 10th anniversary of the R 170, presenting and illustrating the development of a model series which was not only highly successful but also demonstrated the design excellence of Mercedes-Benz and influenced the brand's image with lasting effect. The GCHQ Puzzle Book Jul 18 2021 WINNER OF 'STOCKING FILLER OF THE YEAR AWARD' GUARDIAN Pit your wits against the people who cracked Enigma in the official puzzle book from Britain's secretive intelligence organisation, GCHQ. 'A fiendish work, as frustrating, divisive and annoying as it is deeply fulfilling: the true spirit of Christmas' Guardian 'Surely the trickiest puzzle book in years. Crack these fiendish problems and Trivial Pursuit should be a doddle' Daily Telegraph If 3=T, 4=S, 5=P, 6=H, 7=H ...what is 8? What is the next letter in the sequence: M, V, E, M, J, S, U, ? Which of the following words is the odd one out: CHAT, COMMENT, ELF, MANGER, PAIN, POUR? GCHQ is a top-secret intelligence and security agency which recruits some of the very brightest minds. Over the years, their codebreakers have helped keep our country safe, from the Bletchley Park breakthroughs of WWII to the modern-day threat of cyberattack. So it comes as no surprise that, even in their time off, the staff at GCHQ love a good puzzle. Whether they're recruiting new staff or challenging each other to the toughest Christmas quizzes and treasure hunts imaginable, puzzles are at the heart of what GCHQ does. Now they're opening up their archives of decades' worth of codes, puzzles and challenges for everyone to try. In this book you will find: - Tips on how to get into the mindset of a codebreaker - Puzzles ranging in difficulty from easy to brain-bending - A competition section where we search for Britain's smartest puzzler Good luck! 'Ideal for the crossword enthusiast' Daily Telegraph\n\nPicturesque Palestine, Sinai, and Egypt: Introduction Sep 27 2019\n\nThe Shift Program Dec 31 2019 An elimination based 21-day cleanse program (for both omnivores and vegans) with full shopping list and recipe support to help you clarify what foods make it hard maintain a healthy weight, which foods are connected to fatigue, chronic pain and break outs. At the end of three weeks, you'll learn to shop for, cook and love gluten-free, dairy-free, soy-free and sugar-free meals. You'll develop a well balanced dietary regimen that sets you up to focus on whole foods 80% of the time and eat whatever floats your boat the other 20%!\n\nMercedes-Benz SLK Dec 03 2022 This book reveals the full history of the second generation Mercedes-Benz SLK, covering in detail the German, US, UK, Australian and Japanese markets. The perfect book to grace a Mercedes-Benz enthusiasts' library shelf, it's the definitive record of the model illustrated with stunning photographs.\n\nEverything about the Mercedes-Benz SLK Apr 14 2021\n\nMercedes-Benz, the Slk Models May 28 2022 This new book covers in detail the complete history of the SLK R170. Two other such books cover the R171 and R172. Written by Mercedes expert Bernd S. Koehling, this book serves as the perfect reference work to everything SLK R170. It discusses not only all the upgrades and different specifications, it also helps the reader to choose the right R170. It continues by explaining the car's VIN, listing the different model codes and letting the reader enjoy a ride in a SLK230. The book ends with complete technical specifications and the annual production history of each model. Plenty of interesting photos highlight many technical details of the different R170 versionsThe author has so far over 25 books and e-books about MercedesBenz cars from the 1949 170V to the 2012 SL R231 to his credit.In this guide one can read- how the SLK story began- the concept cars- history of the vario roof- trouble-shooting the SLK vario roof- details of the R170- the engines- the facelift- the SLK32 AMG- the special editions- experiencing the SLK230- the Brabus SLK6.5-32other tuners- choosing a used R170- the SLK's VIN explained- the data card with detailed model code description- today's second hand SLK prices- the sales performance incl. annual production data of each modelthe technical specs\n\nClean Disruption of Energy and Transportation May 16 2021 The industrial age of energy and transportation will be over by 2030. Maybe before. Exponentially improving technologies such as solar, electric vehicles, and autonomous (self-driving) cars will disrupt and sweep away the energy and transportation industries as we know it. The same Silicon Valley ecosystem that created bit-based technologies that have disrupted atom-based industries is now creating bit- and electron-based technologies that will disrupt atom-based energy industries. Clean Disruption projections (based on technology cost curves, business model innovation as well as product innovation) show that by 2030: - All new energy will be provided by solar or wind. - All new mass-market vehicles will be electric. - All of these vehicles will be autonomous (self-driving) or semi-autonomous. - The new car market will shrink by 80%. - Even assuming that EVs don't kill the gasoline car by 2030, the self-driving car will shrink the new car market by 80%. - Gasoline will be obsolete. Nuclear is already obsolete. - Up to 80% of highways will be redundant. - Up to 80% of parking spaces will be redundant. - The concept of individual car ownership will be obsolete. - The Car Insurance industry will be disrupted. The Stone Age did not end because we ran out of rocks. It ended because a disruptive technology ushered in the Bronze Age. The era of centralized, command-and-control, extraction-resource-based energy sources (oil, gas, coal and nuclear) will not end because we run out of petroleum, natural gas, coal, or uranium. It will end because these energy sources, the business models they employ, and the products that sustain them will be disrupted by superior technologies, product architectures, and business models. This is a technology-based disruption reminiscent of how the cell phone, Internet, and personal computer swept away industries such as landline telephony, publishing, and mainframe computers. Just like those technology disruptions flipped the architecture of information and brought abundant, cheap and participatory information, the clean disruption will flip the architecture of energy and bring abundant, cheap and participatory energy. Just like those previous technology disruptions, the Clean Disruption is inevitable and it will be swift.\n\nKawaii Nightmare Dec 11 2020 Kawaii Nightmare 2 Year (24 Months) Weekly Planner & Daily Gratitude Diary 110 Pages 8\" x 10\" This super cute kawaii nightmare anime girl has her Halloween pumpkins & bats ready to go along with an awesome Halloween look with a cute witch hat! Awesome Kawaii themed gift for the holidays! This awesome 2020 & 2021 weekly planner is templated to give you room for planning, journaling notes, working on a to-do list & taking the time to write down your gratitudes for the day! Perfect size for a backpack or to fit in your purse! Amazing Christmas present idea for both men & women alike!\n\nThe Hack Mechanic Guide to European Automotive Electrical Systems Feb 22 2022 Electrical issues in European cars can be intimidating. The Hack Mechanic Guide to European Automotive Electrical Systems shows you how to think about electricity in your car and then take on real-world electrical problems. The principles discussed can be applied to most conventional internal-combustion-engined vehicles, with a focus on European cars spanning the past six decades.Drawing on The Hack Mechanic's wisdom and experience, the 38 chapters cover key electrical topics such as battery, starter, alternator, ignition, circuits, and relays. Through a practical and informal approach featuring hundreds of full-color illustrations, author Rob Siegel takes the fear-factor out of projects like making wire repairs, measuring voltage drops, or figuring out if you have a bad fuel pump relay. Essential tools such as multimeters (DVOM), oscillosopes, and scan tools are discussed, with special attention given to the automotive multimeter needed to troubleshoot many modern sensors. You'll get step-by-step troubleshooting procedures ranging from safely jump starting a battery to diagnosing parasitic current drain and vehicle energy diagnosis. And you'll find detailed testing procedures for most problematic electrical components on your European car such as oxygen sensors, crankshaft and camshaft sensors, wheel speed sensors, fuel pumps, solenoids, and actuators. Reading wiring diagrams and decoding the German DIN standard are also covered.Whether you are a DIY mechanic or a professional technician, The Hack Mechanic Guide to European Automotive Electrical Systems will increase your confidence in tackling automotive electrical problem-solving.This book applies to gasoline and diesel powered internal combustion engine vehicles. Not intended for hybrid or electric vehicles.\n\nMercedes-Benz, the Slk Models Oct 01 2022 This new book is the only one that covers in detail the complete history of the R171, the second generation SLK. Written by Mercedes expert Bernd S. Koehling it serves as the perfect reference work to everything SLK R171. It discusses not only all the upgrades and different specifications, it also explains the car's VIN, covers the COMAND system and lists the different model codes. It gives sound advice, what to look out for if one wants to buy a R171 and talks about possible vario roof and balance shaft sprocket issues. The book lets the reader experience driving the SLK55 AMG and continues with listing complete technical specifications and annual production history of each model. Plenty of interesting photos highlight many technical details of the different R171 versions.The author has so far over 25 books and e-books about Mercedes-Benz cars from the 1949 170V to the 2012 SL R231 to his credit.In this guide one can read- how the SLK story began- history of the vario roof- trouble-shooting the SLK vario roof- details of the R171- the enginesM272 balance shaft issues- the COMAND system- the option packages- the safety features- the SLK55 AMGthe SLK55 AMG Black Series- first upgrades- the 2008 facelift- the special editions- experiencing the SLK55 AMG- the Brabus SLK- other tuners- choosing a used R171- the SLK's VIN explained- the data card with detailed model code description- today's second hand SLK prices- the sales performance incl. annual prod. data for each model- the technical specs\n\nSalads Aug 26 2019 Classic ingredients to create gourmet salads for every occasion. Over 130 scrumptious recipes and 150 colour photographs.\n\nEngineering Properties of Asphalt Mixtures and the Relationship to Their Performance Mar 14 2021 Thirteen papers presented at the conference on [title], held in Phoenix, Arizona, December, 1994, discuss the products of the strategic highway research program, the Superpave method of mix design, and test methods for fatigue cracking and permanent deformation. Lacks an index. Annotation c. by Book\n\nReligion and State - Development Cooperation Jun 16 2021 This collection of contributions – drawn from different events, in a dialogue between Germany and South Africa, the global North and the global South – focuses on the challenges, obstacles and opportunities related to cooperation between religion and the state in matters of development. The international impact of the COVID-19 pandemic in 2020 poses much more than just a health challenge – the economic, social, political consequences have accentuated the existing fault lines and disparities within countries, and between countries across the world.\n\nMercedes-benz, the Modern Sl Cars, the R230 Feb 10 2021 If you search for a car that can hold its own, when parked next to a Porsche 911 Cabrio, don't look any further. Because the SL R230 is regarded by many as the best looking SL that has left Stuttgart after the famous SL Gullwing. On top it is immense fun to drive, with powerful V8s and V12s to match the looks. Like the drive-train they are almost bullet-proof. Early cars suffered from quality problems that could spoil the fun factor somewhat. But all in all the R230 plays its GT role rather well, even with six-cylinder engines. And the AMG versions are true sports cars. This book with comprehensive buyer's guide can help you to find the right one, if the R230 interests you. It was already published as e-book in 2012 and has been completely revised in Nov.2015. The book explains the VIN and data card in great detail, discusses the SBC, ABC systems and looks at potential problems with the vario-roof. Superb photography and an enjoyable test-drive in the splendid SL65 AMG are other highlights. It ends with a detailed list of the cars' technical specifications and annual production history of each model. FREE BONUS: When you have bought this book, you are eligible for a free pdf file of any Mercedes model (such as W111or W198 or R107 for example) the author has covered in one of his books. Please contact the author through his website (inside the book) and stipulate, which free pdf file you want him to send to you.\n\nVehicle Operator's Manual Nov 21 2021\n\nAutocar Nov 02 2022\n\nSupercharging Performance Handbook Nov 09 2020\n\nRoad & Track Mercedes-Benz SL-SLK-CLK Aug 31 2022 One of an exciting new group of publications covering road tests, model introductions, driving impressions, comparisons and performance data, specifications and longterm reports. For the serious enthusiast, this Portfolio is an excellent reference for collecting, restoring or buying the car of your dreams. Models covered - SL 320, 500, 600, SL55 AMG, SLK 230 & 230 Sport, 320, SLK32 AMG, CLK 320 430 500, CLK-GTR, CLK55 AMG.\n\nChristmas Color By Number Coloring Book For Kids Jan 12 2021 50 Color By Numbers Christmas Coloring Pages for KidsRelaxing Coloring Pages. Every page you color will pull you into a relaxing world where your responsibilities will seem to fade away...Beautiful Illustrations. We've included 50 unique images for you to express your creativity and make masterpieces. Which colors will you choose for this book?Self Help Management stress Releasing Design For Adult .Single-sided Pages. Every image is placed on its own blackbacked page to reduce the bleed-through problem found in other coloring books.Great for All Skill Levels. You can color every page however you want and there is no wrong way to color (even if you are a beginner). Mercedes-Benz, the Slk Models Jul 30 2022 This new book is the only one that covers in detail the complete history of the R172, the third generation SLK. Two other such books cover the R170 and R171. Written by Mercedes expert Bernd S. Koehling, this book serves as the perfect reference work to everything SLK R172. It discusses not only the different specifications, it also explains the car's VIN, covers the COMAND system and lists the different model codes.It gives sound advice, what to look out for if one wants to buy a used R172 and talks about possible vario roof issues. The book lets the reader experience driving the SLK250 CDI and continues with listing complete technical specifications and annual production history of each model. Plenty of interesting photos highlight many technical details of the different R172 versions..The author has so far over 25 books and ebooks about Mercedes-Benz cars from the 1949 170V to the 2012 SL R231 to his credit.In this guide one can read - how the SLK story began - history of the vario roof - trouble-shooting the SLK vario roof - details<cursor_is_here>\n</text>\n", "role": "user" }, { "content": " of the R172 - the engines - the suspension - the interior - the safety features - prices and specifications - the SLK250 CDI - the SLK55 AMG - the option packages - the COMAND system - the special editions - first upgrades and changes - experiencing the SLK250 CDI - the tuners - choosing a used R172 - the SLK's VIN explained - the data card with detailed model code description - the technical specifications of each model MERCEDES-BENZ, the SL R129 Aug 19 2021 Discover the Mercedes SL R129.", "role": "assistant" } ]
Date: February 2, 2021 NEWS RELEASE Hubbell Incorporated 40 Waterview Drive Shelton, CT 06484 475-882-4000 HUBBELL REPORTS FOURTH QUARTER 2020 AND FULL YEAR RESULTS * Q4 diluted EPS of $1.48; adjusted diluted EPS of $1.76 * Q4 net sales decreased 6% (organic -7%, Acquisitions +1%) * Closed three accretive bolt-on acquisitions in the fourth quarter * Full Year 2020 diluted EPS of $6.43; adjusted diluted EPS of $7.58 * Includes restructuring and related investment ($0.43) * Full Year 2020 free cash flow of $560 million * FY21 diluted EPS expected range of $6.95-$7.35; adjusted diluted EPS of $8.10-$8.50 SHELTON, CT. (February 2, 2021) – Hubbell Incorporated (NYSE: HUBB) today reported operating results for the fourth quarter ended December 31, 2020. "Hubbell's full year 2020 results demonstrate a strong year of operating performance and consistent execution," said Gerben Bakker, President and Chief Executive Officer. "Despite considerable end market and operational challenges resulting from the COVID-19 pandemic, the Company achieved full year adjusted operating margins that were down only ten basis points versus the prior year, as well as free cash flow generation of $560 million, reflecting 12% growth over 2019 levels. We accomplished this through a rigorous focus on productivity, as well as disciplined operating expense and working capital management. Hubbell's ongoing operational transformation and footprint optimization investments are producing sustainable savings which we expect to continue providing significant benefit to our shareholders and customers in the future." 1 Mr. Bakker continued, "In the fourth quarter, Utility facing markets remained resilient, with grid modernization and renewable energy trends driving ongoing strength in demand for T&D components and mid single digit growth in Power Systems. Aclara continued to be affected by regulatory delays on certain project deployments as a result of the COVID-19 pandemic, though we expect these headwinds to continue moderating into 2021 as the business returns to its prior growth trajectory. While Electrical volumes remained soft, order patterns steadily picked up exiting the fourth quarter, with strength in light industrial verticals and continued growth in residential markets driven by e-commerce and retail channels." Mr. Bakker concluded, "Robust free cash flow generation allows the Company to pursue a balanced capital deployment strategy to drive shareholder returns. Bolt-on acquisitions are a critical component of Hubbell's strategy, and we are pleased to announce the acquisitions of Beckwith Electric and Armorcast Products to our portfolio. These businesses are strong strategic fits with the Hubbell Utility Solutions platform, adding to our capabilities in distribution controls and specialty enclosures. Together with our previously announced acquisition of AccelTex in October, the Company deployed $236 million to three accretive bolt-on acquisitions in the fourth quarter, bolstering our growth strategy while expanding our ability to serve customers with best in class, reliability, quality and efficiency." Certain terms used in this release, including "Net debt", "Free Cash Flow", "Organic net sales", "Organic growth", "Restructuring-related costs", "EBITDA", and certain "adjusted" measures, are defined under the section entitled "Non-GAAP Definitions." See page 8 for more information. 2 FINANCIAL HIGHLIGHTS The comments and year-over-year comparisons in this segment review are based on fourth quarter results in 2020 and 2019. Electrical Solutions segment net sales in the fourth quarter of 2020 of $559 million decreased 10% from $618 million in the fourth quarter of 2019. Organic sales decreased 11% in the quarter while acquisitions added 1%. Electrical Solutions segment operating income in the fourth quarter was $49 million, or 8.8% of net sales, compared to $73 million, or 11.9% of net sales in the same period of 2019. Adjusted operating income was $55 million, or 9.9% of net sales, in the fourth quarter of 2020 as compared to $79 million, or 12.8% of net sales in the same period of the prior year. Decreases in adjusted operating income and adjusted operating margin were primarily due to lower volumes and the non-repeat of a discrete benefit in the prior year from tariff mitigation, partially offset by productivity from restructuring and footprint optimization initiatives, as well as lower operating expenses. Utility Solutions segment net sales in the fourth quarter of 2020 decreased 1% to $479 million compared to $485 million reported in the fourth quarter of 2019. Organic sales declined 2% compared to the fourth quarter of 2019, while acquisitions added 1%. Power Systems sales increased 5% and Aclara sales declined 14%. Utility Solutions segment operating income in the fourth quarter was $71 million, or 14.7% of net sales, compared to $63 million, or 12.9% of net sales in the same period of 2019. Adjusted operating income was $84 million, or 17.5% of net sales, in the fourth quarter of 2020 as compared to $75 million, or 15.4% of net sales in the same period of the prior year. The increases in adjusted operating income and adjusted operating margin were primarily due to price realization in excess of material cost inflation, lower operating expenses and positive mix. Adjusted fourth quarter 2020 results exclude two items: $0.27 of amortization of acquisition-related intangible assets as well as $0.01 due to pension settlement charges. Net cash provided from operating activities was $192 million in the fourth quarter of 2020 versus $207 million in the comparable period of 2019. Free cash flow (defined as net cash provided by operating activities less capital expenditures) was $156 million in the fourth quarter of 2020 versus $185 million reported in the comparable period of 2019. 3 SUMMARY & OUTLOOK Beginning in the first quarter of 2021, the Company will report results of its Gas Connectors and Accessories business as part of the Utility Solutions segment. This realigned operating structure better reflects Hubbell's comprehensive offerings of utility components and communications solutions across common electric, water and gas utility customers. Recast segment results reflecting the shift of this business from Electrical Solutions to Utility Solutions are included at the end of this press release. For the full year 2021, Hubbell anticipates sales growth of 6-8%, comprised of 3-5% organic growth and approximately 3% growth from acquisitions. By end market, the Company expects growth of 2-4% in Utility T&D Components, 4-6% in Utility Communications and Controls, 3-5% in Industrial, 3-5% in Residential, and (2-4%) in Non-Residential. Hubbell anticipates 2021 adjusted diluted earnings per share ("Adjusted EPS") in the range of $8.10 to $8.50 and GAAP diluted earnings per share expectations in the range of $6.95 to $7.35. Adjusted EPS excludes amortization of acquisition-related intangible assets, which the Company expects to be approximately $1.15 per share for the full year. The Company believes Adjusted EPS is a useful measure of underlying financial performance in light of our acquisition strategy. The earnings per share and adjusted earnings per share ranges are based on an adjusted tax rate of 22-23% and include approximately $0.30 of anticipated restructuring and related investment. The ranges also incorporate the impact of acquisitions, which we anticipate adding approximately $0.25 to full year adjusted earnings. The Company expects full year 2021 free cash flow conversion of approximately 110% on adjusted net income. 4 CONFERENCE CALL Hubbell will conduct an earnings conference call to discuss its fourth quarter 2020 financial results today, February 2, 2021 at 10:00 a.m. ET. A live audio of the conference call will be available and can be accessed by visiting Hubbell's "Investor Relations - Events/Presentations" section of www.hubbell.com. Audio replays of the recorded conference call will be available after the call and can be accessed two hours after the conclusion of the original conference call by calling (855) 859-2056 and using passcode 8159402. The replay will remain available until March 2, 2021 at 11:59 p.m. ET. Audio replays will also be available at the conclusion of the call by visiting www.hubbell.com and selecting "Investors" from the options at the bottom of the page and then "Events/Presentations" from the drop-down menu. 5 FORWARD-LOOKING STATEMENTS Certain statements contained herein may constitute forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These include statements about expectations regarding our financial results, condition and outlook, anticipated end markets, near-term volume, continued opportunity for operational improvement, our ongoing operational transformation and footprint optimization investments continuing to provide tangible benefits to our shareholders and customers in the future, Aclara's business returning to its prior growth trajectory as headwinds continue to moderate into 2021, bolt-on acquisitions serving as a critical component of our strategy and expanding our capabilities to serve utility customers with best in class reliability, anticipated effects of the COVID-19 pandemic and the responses thereto, including the pandemic's impact on general economic and market conditions, as well as on our business, customers, end markets, results of operations and financial condition, and all statements, including our projected financial results, set forth in "Summary & Outlook" above, as well as other statements that are not strictly historic in nature. In addition, all statements regarding anticipated growth, changes in operating results, market conditions and economic conditions are forward-looking, including those regarding the adverse impact of the COVID-19 pandemic on the Company's end markets. These statements may be identified by the use of forward-looking words or phrases such as "believe", "expect", "anticipate", "plan", "estimated", "target", "should", "could", "may", "subject to", "continues", "growing", "projected", "if", "potential", "will likely be", and similar words and phrases. Such forward-looking statements are based on our current expectations and involve numerous assumptions, known and unknown risks, uncertainties and other factors which may cause actual and future performance or the Company's achievements to be materially different from any future results, performance, or achievements expressed or implied by such forward-looking statements. Such factors include, but are not limited to: our ability to effectively execute our business plan in light of the COVID-19 pandemic; the effectiveness of the actions that we take to address the effects of the COVID-19 pandemic; the outcome of contingencies or costs compared to amounts provided for such contingencies, including those with respect to pension withdrawal liabilities; achieving sales levels to meet revenue expectations; unexpected costs or charges, certain of which may be outside the Company's control; the effects of trade tariffs, import quotas and other trade restrictions or actions taken by the U.S., U.K., and other countries, including the recent and potential changes in U.S. trade policies; changes in product sales prices and material costs; failure to achieve projected levels of efficiencies, cost savings and cost reduction measures, including those expected as a result of our lean initiatives and strategic sourcing plans; effects of unfavorable foreign currency exchange rates and the potential use of hedging instruments to hedge the exposure to fluctuating rates of foreign currency exchange on inventory purchases; regulatory issues, changes in tax laws, or changes in geographic profit mix affecting tax rates and availability of tax incentives; general economic and business conditions as well as inflationary trends; the impact of and the ability to complete and integrate strategic acquisitions; the impact of certain divestitures; the ability to effectively develop and introduce new products, expand into new markets and deploy capital; and other factors described in our Securities and Exchange Commission filings, including the "Business", "Risk Factors", "Forward-Looking Statements" and "Quantitative and Qualitative Disclosures about Market Risk" Sections in the Annual Report on Form 10-K for the year ended December 31, 2019 and Quarterly Reports on Form 10-Q. 6 About the Company Hubbell Incorporated is an international manufacturer of high quality, reliable electrical products and utility solutions for a broad range of customer and end market applications. With 2020 revenues of $4.2 billion, Hubbell Incorporated operates manufacturing facilities in the United States and around the world. The corporate headquarters is located in Shelton, CT. Contact: Dan Innamorato Hubbell Incorporated 40 Waterview Drive P.O. Box 1000 Shelton, CT 06484 (475) 882-4000 ####### 7 NON-GAAP DEFINITIONS References to "adjusted" operating measures exclude the impact of certain costs, gains or losses. Management believes these adjusted operating measures provide useful information regarding our underlying performance from period to period and an understanding of our results of operations without regard to items we do not consider a component of our core operating performance. Adjusted operating measures are non-GAAP measures, and include adjusted operating income, adjusted operating margin, adjusted net income, adjusted net income available to common shareholders, adjusted net income attributable to Hubbell, adjusted earnings per diluted share, and adjusted EBITDA. These non-GAAP measures exclude, where applicable: * Amortization of all intangible assets associated with our business acquisitions, including inventory step-up amortization associated with those acquisitions. The intangible assets associated with our business acquisitions arise from the allocation of the purchase price using the acquisition method of accounting in accordance with Accounting Standards Codification 805, "Business Combinations." These assets consist primarily of customer relationships, developed technology, trademarks and tradenames, and patents, as reported in Note 6—Goodwill and Other Intangible Assets, under the heading "Total Definite-Lived Intangibles," within the Company's audited consolidated financial statements set forth in its Annual Report on Form 10-K for Fiscal Year Ended December 31, 2019. The Company excludes these non-cash expenses because we believe it (i) enhances management's and investors' ability to analyze underlying business performance, (ii) facilitates comparisons of our financial results over multiple periods, and (iii) provides more relevant comparisons of our results with the results of other companies as the amortization expense associated with these assets may fluctuate significantly from period to period based on the timing, size, nature, and number of acquisitions. Although we exclude amortization of these acquired intangible assets and inventory step-up from our non-GAAP results, we believe that it is important for investors to understand that revenue generated, in part, from such intangibles is included within revenue in determining adjusted net income attributable to Hubbell Incorporated. * A gain recognized in the third quarter of 2019 from the disposition of a business, * An investment loss recognized in the third quarter of 2019 and reported within Other income (expense), net in the Condensed Consolidated Statement of Income, * Pension charges including settlement charges in 2020 and a multi-employer pension charge in 2019 to recognize certain additional liabilities associated with the Company's participation and withdrawal from a multi-employer pension plan. * Income tax effects of the above adjustments which are calculated using the statutory tax rate, taking into consideration the nature of the item and the relevant taxing jurisdiction, unless otherwise noted. 8 Adjusted EBITDA is a non-GAAP measure that excludes the items noted above and also excludes the Other income (expense), net, Interest expense, net, and Provision for income taxes captions of the Condensed Consolidated Statement of Income, as well as depreciation and amortization expense. Net debt (defined as total debt less cash and investments) to total capital is a non-GAAP measure that we believe is a useful measure for evaluating the Company's financial leverage and the ability to meet its funding needs. Free cash flow is a non-GAAP measure that we believe provides useful information regarding the Company's ability to generate cash without reliance on external financing. In addition, management uses free cash flow to evaluate the resources available for investments in the business, strategic acquisitions and further strengthening the balance sheet. In connection with our restructuring and related actions we have incurred restructuring costs as defined by U.S. GAAP, which are primarily severance and employee benefits, asset impairments, accelerated depreciation, as well as facility closure, contract termination and certain pension costs that are directly related to restructuring actions. We also incur restructuring-related costs, which are costs associated with our business transformation initiatives, including the consolidation of back-office functions and streamlining our processes, and certain other costs and gains associated with restructuring actions. We refer to these costs on a combined basis as "restructuring and related costs", which is a non-GAAP measure. 9 Organic net sales, a non-GAAP measure, represent net sales according to U.S. GAAP, less net sales from acquisitions and divestitures during the first twelve months of ownership or divestiture, respectively, less the effect of fluctuations in net sales from foreign currency exchange. The period-over-period effect of fluctuations in net sales from foreign currency exchange is calculated as the difference between local currency net sales of the prior period translated at the current period exchange rate as compared to the same local currency net sales translated at the prior period exchange rate. We believe this measure provides management and investors with a more complete understanding of underlying operating results and trends of established, ongoing operations by excluding the effect of acquisitions, dispositions and foreign currency, as these activities can obscure underlying trends. When comparing net sales growth between periods excluding the effects of acquisitions, business dispositions and currency exchange rates, those effects are different when comparing results for different periods. For example, because net sales from acquisitions are considered inorganic from the date we complete an acquisition through the end of the first year following the acquisition, net sales from such acquisition are reflected as organic net sales thereafter. There are limitations to the use of non-GAAP measures. Non-GAAP measures do not present complete financial results. We compensate for this limitation by providing a reconciliation between our non-GAAP financial measures and the respective most directly comparable financial measure calculated and presented in accordance with GAAP. Because non-GAAP financial measures are not standardized, it may not be possible to compare these financial measures with other companies' non-GAAP financial measures having the same or similar names. These financial measures should not be considered in isolation from, as substitutes for, or alternative measures of, reported GAAP financial results, and should be viewed in conjunction with the most comparable GAAP financial measures and the provided reconciliations thereto. We believe, however, that these non-GAAP financial measures, when viewed together with our GAAP results and related reconciliations, provide a more complete understanding of our business. We strongly encourage investors to review our consolidated financial statements and publicly filed reports in their entirety and not rely on any single financial measure. Reconciliations of each of these non-GAAP measures to the most directly comparable GAAP measure can be found in the tables below. HUBBELL INCORPORATED Condensed Consolidated Statement of Income (unaudited) (in millions, except per share amounts) Condensed Consolidated Balance Sheet (unaudited) (in millions) December 31, 2020 December 31, 2019 Condensed Consolidated Statement of Cash Flows (unaudited) (in millions) Twelve Months Ended December 31, Earnings Per Share (unaudited) (in millions, except per share amounts) Segment Information (unaudited) (in millions) Hubbell Incorporated HUBBELL INCORPORATED Organic Net Sales Growth (unaudited) (in millions and percentage change) Three Months Ended December 31, Twelve Months Ended December 31, Electrical Solutions Three Months Ended December 31, Twelve Months Ended December 31, Utility Solutions Three Months Ended December 31, Twelve Months Ended December 31, HUBBELL INCORPORATED Adjusted EBITDA (unaudited) (in millions) Three Months Ended December 31, Twelve Months Ended December 31, Restructuring and Related Costs Included in Consolidated Results (unaudited) (in millions, except per share amounts) Three Months Ended December 31, Twelve Months Ended December 31, HUBBELL INCORPORATED Additional Non-GAAP Financial Measures (unaudited) (in millions) Ratios of Total Debt to Total Capital and Net Debt to Total Capital Free Cash Flow Reconciliation (93.9) Recast Segment Information (unaudited) (in millions) As previously noted, beginning in the first quarter of 2021, the Company will report results of its Gas Connectors and Accessories business as part of the Utility Solutions segment. This realignment has no impact on the Company's historical consolidated financial position, results of operations or cash flows. To provide historical information on a basis consistent with its new reporting structure, the Company has recast certain historical segment information to conform to the new reporting structure. The recast financial information included below does not represent a restatement of previously issued financial statements.	<urn:uuid:9f536ffc-c9db-4b26-a6ee-bb39e011e817>	CC-MAIN-2021-25	https://hubbell.gcs-web.com/static-files/54699f73-36ee-4908-9381-8e17c88734af	2021-06-18T02:40:36+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-25/subset=warc/part-00273-e638c5dd-3c3d-4738-8d52-dc1e9f44de3a.c000.gz.parquet	286,059,272	4,429	eng_Latn	eng_Latn	0.757937	eng_Latn	0.993414	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "nld_Latn", "dag_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1609, 3425, 5877, 7663, 8504, 12575, 13089, 16147, 17749, 20417, 20536, 20639, 20748, 20820, 20869, 21231, 21363, 21550, 21746, 22432 ]	Date: February 2, 2021 NEWS RELEASE Hubbell Incorporated 40 Waterview Drive Shelton, CT 06484 475-882-4000 HUBBELL REPORTS FOURTH QUARTER 2020 AND FULL YEAR RESULTS * Q4 diluted EPS of $1.48; adjusted diluted EPS of $1.76 * Q4 net sales decreased 6% (organic -7%, Acquisitions +1%) * Closed three accretive bolt-on acquisitions in the fourth quarter * Full Year 2020 diluted EPS of $6.43; adjusted diluted EPS of $7.58 * Includes restructuring and related investment ($0.43) * Full Year 2020 free cash flow of $560 million * FY21 diluted EPS expected range of $6.95-$7.35; adjusted diluted EPS of $8.10-$8.50 SHELTON, CT. (February 2, 2021) – Hubbell Incorporated (NYSE: HUBB) today reported operating results for the fourth quarter ended December 31, 2020. "Hubbell's full year 2020 results demonstrate a strong year of operating performance and consistent execution," said Gerben Bakker, President and Chief Executive Officer. "Despite considerable end market and operational challenges resulting from the COVID-19 pandemic, the Company achieved full year adjusted operating margins that were down only ten basis points versus the prior year, as well as free cash flow generation of $560 million, reflecting 12% growth over 2019 levels. We accomplished this through a rigorous focus on productivity, as well as disciplined operating expense and worki	ng capital management.	Hubbell's ongoing operational transformation and footprint optimization investments are producing sustainable savings which we expect to continue providing significant benefit to our shareholders and customers in the future." 1 Mr. Bakker continued, "In the fourth quarter, Utility facing markets remained resilient, with grid modernization and renewable energy trends driving ongoing strength in demand for T&D components and mid single digit growth in Power Systems. Aclara continued to be affected by regulatory delays on certain project deployments as a result of the COVID-19 pandemic, though we expect these headwinds to continue moderating into 2021 as the business returns to its prior growth trajectory. While Electrical volumes remained soft, order patterns steadily picked up exiting the fourth quarter, with strength in light industrial verticals and continued growth in residential markets driven by e-commerce and retail channels." Mr. Bakker concluded, "Robust free cash flow generation allows the Company to pursue a balanced capital deployment strategy to drive shareholder returns. Bolt-on acquisitions are a critical component of Hubbell's strategy, and we are pleased to announce the acquisitions of Beckwith Electric and Armorcast Products to our portfolio. These businesses are strong strategic fits with the Hubbell Utility Solutions platform, adding to our capabilities in distribution controls and specialty enclosures. Together with our previously announced acquisition of AccelTex in October, the Company deployed $236 million to three accretive bolt-on acquisitions in the fourth quarter, bolstering our growth strategy while expanding our ability to serve customers with best in class, reliability, quality and efficiency." Certain terms used in this release, including "Net debt", "Free Cash Flow", "Organic net sales", "Organic growth", "Restructuring-related costs", "EBITDA", and certain "adjusted" measures, are defined under the section entitled "Non-GAAP Definitions." See page 8 for more information. 2 FINANCIAL HIGHLIGHTS The comments and year-over-year comparisons in this segment review are based on fourth quarter results in 2020 and 2019. Electrical Solutions segment net sales in the fourth quarter of 2020 of $559 million decreased 10% from $618 million in the fourth quarter of 2019. Organic sales decreased 11% in the quarter while acquisitions added 1%. Electrical Solutions segment operating income in the fourth quarter was $49 million, or 8.8% of net sales, compared to $73 million, or 11.9% of net sales in the same period of 2019. Adjusted operating income was $55 million, or 9.9% of net sales, in the fourth quarter of 2020 as compared to $79 million, or 12.8% of net sales in the same period of the prior year. Decreases in adjusted operating income and adjusted operating margin were primarily due to lower volumes and the non-repeat of a discrete benefit in the prior year from tariff mitigation, partially offset by productivity from restructuring and footprint optimization initiatives, as well as lower operating expenses. Utility Solutions segment net sales in the fourth quarter of 2020 decreased 1% to $479 million compared to $485 million reported in the fourth quarter of 2019. Organic sales declined 2% compared to the fourth quarter of 2019, while acquisitions added 1%. Power Systems sales increased 5% and Aclara sales declined 14%. Utility Solutions segment operating income in the fourth quarter was $71 million, or 14.7% of net sales, compared to $63 million, or 12.9% of net sales in the same period of 2019. Adjusted operating income was $84 million, or 17.5% of net sales, in the fourth quarter of 2020 as compared to $75 million, or 15.4% of net sales in the same period of the prior year. The increases in adjusted operating income and adjusted operating margin were primarily due to price realization in excess of material cost inflation, lower operating expenses and positive mix. Adjusted fourth quarter 2020 results exclude two items: $0.27 of amortization of acquisition-related intangible assets as well as $0.01 due to pension settlement charges. Net cash provided from operating activities was $192 million in the fourth quarter of 2020 versus $207 million in the comparable period of 2019. Free cash flow (defined as net cash provided by operating activities less capital expenditures) was $156 million in the fourth quarter of 2020 versus $185 million reported in the comparable period of 2019. 3 SUMMARY & OUTLOOK Beginning in the first quarter of 2021, the Company will report results of its Gas Connectors and Accessories business as part of the Utility Solutions segment. This realigned operating structure better reflects Hubbell's comprehensive offerings of utility components and communications solutions across common electric, water and gas utility customers. Recast segment results reflecting the shift of this business from Electrical Solutions to Utility Solutions are included at the end of this press release. For the full year 2021, Hubbell anticipates sales growth of 6-8%, comprised of 3-5% organic growth and approximately 3% growth from acquisitions. By end market, the Company expects growth of 2-4% in Utility T&D Components, 4-6% in Utility Communications and Controls, 3-5% in Industrial, 3-5% in Residential, and (2-4%) in Non-Residential. Hubbell anticipates 2021 adjusted diluted earnings per share ("Adjusted EPS") in the range of $8.10 to $8.50 and GAAP diluted earnings per share expectations in the range of $6.95 to $7.35. Adjusted EPS excludes amortization of acquisition-related intangible assets, which the Company expects to be approximately $1.15 per share for the full year. The Company believes Adjusted EPS is a useful measure of underlying financial performance in light of our acquisition strategy. The earnings per share and adjusted earnings per share ranges are based on an adjusted tax rate of 22-23% and include approximately $0.30 of anticipated restructuring and related investment. The ranges also incorporate the impact of acquisitions, which we anticipate adding approximately $0.25 to full year adjusted earnings. The Company expects full year 2021 free cash flow conversion of approximately 110% on adjusted net income. 4 CONFERENCE CALL Hubbell will conduct an earnings conference call to discuss its fourth quarter 2020 financial results today, February 2, 2021 at 10:00 a.m. ET. A live audio of the conference call will be available and can be accessed by visiting Hubbell's "Investor Relations - Events/Presentations" section of www.hubbell.com. Audio replays of the recorded conference call will be available after the call and can be accessed two hours after the conclusion of the original conference call by calling (855) 859-2056 and using passcode 8159402. The replay will remain available until March 2, 2021 at 11:59 p.m. ET. Audio replays will also be available at the conclusion of the call by visiting www.hubbell.com and selecting "Investors" from the options at the bottom of the page and then "Events/Presentations" from the drop-down menu. 5 FORWARD-LOOKING STATEMENTS Certain statements contained herein may constitute forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These include statements about expectations regarding our financial results, condition and outlook, anticipated end markets, near-term volume, continued opportunity for operational improvement, our ongoing operational transformation and footprint optimization investments continuing to provide tangible benefits to our shareholders and customers in the future, Aclara's business returning to its prior growth trajectory as headwinds continue to moderate into 2021, bolt-on acquisitions serving as a critical component of our strategy and expanding our capabilities to serve utility customers with best in class reliability, anticipated effects of the COVID-19 pandemic and the responses thereto, including the pandemic's impact on general economic and market conditions, as well as on our business, customers, end markets, results of operations and financial condition, and all statements, including our projected financial results, set forth in "Summary & Outlook" above, as well as other statements that are not strictly historic in nature. In addition, all statements regarding anticipated growth, changes in operating results, market conditions and economic conditions are forward-looking, including those regarding the adverse impact of the COVID-19 pandemic on the Company's end markets. These statements may be identified by the use of forward-looking words or phrases such as "believe", "expect", "anticipate", "plan", "estimated", "target", "should", "could", "may", "subject to", "continues", "growing", "projected", "if", "potential", "will likely be", and similar words and phrases. Such forward-looking statements are based on our current expectations and involve numerous assumptions, known and unknown risks, uncertainties and other factors which may cause actual and future performance or the Company's achievements to be materially different from any future results, performance, or achievements expressed or implied by such forward-looking statements. Such factors include, but are not limited to: our ability to effectively execute our business plan in light of the COVID-19 pandemic; the effectiveness of the actions that we take to address the effects of the COVID-19 pandemic; the outcome of contingencies or costs compared to amounts provided for such contingencies, including those with respect to pension withdrawal liabilities; achieving sales levels to meet revenue expectations; unexpected costs or charges, certain of which may be outside the Company's control; the effects of trade tariffs, import quotas and other trade restrictions or actions taken by the U.S., U.K., and other countries, including the recent and potential changes in U.S. trade policies; changes in product sales prices and material costs; failure to achieve projected levels of efficiencies, cost savings and cost reduction measures, including those expected as a result of our lean initiatives and strategic sourcing plans; effects of unfavorable foreign currency exchange rates and the potential use of hedging instruments to hedge the exposure to fluctuating rates of foreign currency exchange on inventory purchases; regulatory issues, changes in tax laws, or changes in geographic profit mix affecting tax rates and availability of tax incentives; general economic and business conditions as well as inflationary trends; the impact of and the ability to complete and integrate strategic acquisitions; the impact of certain divestitures; the ability to effectively develop and introduce new products, expand into new markets and deploy capital; and other factors described in our Securities and Exchange Commission filings, including the "Business", "Risk Factors", "Forward-Looking Statements" and "Quantitative and Qualitative Disclosures about Market Risk" Sections in the Annual Report on Form 10-K for the year ended December 31, 2019 and Quarterly Reports on Form 10-Q. 6 About the Company Hubbell Incorporated is an international manufacturer of high quality, reliable electrical products and utility solutions for a broad range of customer and end market applications. With 2020 revenues of $4.2 billion, Hubbell Incorporated operates manufacturing facilities in the United States and around the world. The corporate headquarters is located in Shelton, CT. Contact: Dan Innamorato Hubbell Incorporated 40 Waterview Drive P.O. Box 1000 Shelton, CT 06484 (475) 882-4000 ####### 7 NON-GAAP DEFINITIONS References to "adjusted" operating measures exclude the impact of certain costs, gains or losses. Management believes these adjusted operating measures provide useful information regarding our underlying performance from period to period and an understanding of our results of operations without regard to items we do not consider a component of our core operating performance. Adjusted operating measures are non-GAAP measures, and include adjusted operating income, adjusted operating margin, adjusted net income, adjusted net income available to common shareholders, adjusted net income attributable to Hubbell, adjusted earnings per diluted share, and adjusted EBITDA. These non-GAAP measures exclude, where applicable: * Amortization of all intangible assets associated with our business acquisitions, including inventory step-up amortization associated with those acquisitions. The intangible assets associated with our business acquisitions arise from the allocation of the purchase price using the acquisition method of accounting in accordance with Accounting Standards Codification 805, "Business Combinations." These assets consist primarily of customer relationships, developed technology, trademarks and tradenames, and patents, as reported in Note 6—Goodwill and Other Intangible Assets, under the heading "Total Definite-Lived Intangibles," within the Company's audited consolidated financial statements set forth in its Annual Report on Form 10-K for Fiscal Year Ended December 31, 2019. The Company excludes these non-cash expenses because we believe it (i) enhances management's and investors' ability to analyze underlying business performance, (ii) facilitates comparisons of our financial results over multiple periods, and (iii) provides more relevant comparisons of our results with the results of other companies as the amortization expense associated with these assets may fluctuate significantly from period to period based on the timing, size, nature, and number of acquisitions. Although we exclude amortization of these acquired intangible assets and inventory step-up from our non-GAAP results, we believe that it is important for investors to understand that revenue generated, in part, from such intangibles is included within revenue in determining adjusted net income attributable to Hubbell Incorporated. * A gain recognized in the third quarter of 2019 from the disposition of a business, * An investment loss recognized in the third quarter of 2019 and reported within Other income (expense), net in the Condensed Consolidated Statement of Income, * Pension charges including settlement charges in 2020 and a multi-employer pension charge in 2019 to recognize certain additional liabilities associated with the Company's participation and withdrawal from a multi-employer pension plan. * Income tax effects of the above adjustments which are calculated using the statutory tax rate, taking into consideration the nature of the item and the relevant taxing jurisdiction, unless otherwise noted. 8 Adjusted EBITDA is a non-GAAP measure that excludes the items noted above and also excludes the Other income (expense), net, Interest expense, net, and Provision for income taxes captions of the Condensed Consolidated Statement of Income, as well as depreciation and amortization expense. Net debt (defined as total debt less cash and investments) to total capital is a non-GAAP measure that we believe is a useful measure for evaluating the Company's financial leverage and the ability to meet its funding needs. Free cash flow is a non-GAAP measure that we believe provides useful information regarding the Company's ability to generate cash without reliance on external financing. In addition, management uses free cash flow to evaluate the resources available for investments in the business, strategic acquisitions and further strengthening the balance sheet. In connection with our restructuring and related actions we have incurred restructuring costs as defined by U.S. GAAP, which are primarily severance and employee benefits, asset impairments, accelerated depreciation, as well as facility closure, contract termination and certain pension costs that are directly related to restructuring actions. We also incur restructuring-related costs, which are costs associated with our business transformation initiatives, including the consolidation of back-office functions and streamlining our processes, and certain other costs and gains associated with restructuring actions. We refer to these costs on a combined basis as "restructuring and related costs", which is a non-GAAP measure. 9 Organic net sales, a non-GAAP measure, represent net sales according to U.S. GAAP, less net sales from acquisitions and divestitures during the first twelve months of ownership or divestiture, respectively, less the effect of fluctuations in net sales from foreign currency exchange. The period-over-period effect of fluctuations in net sales from foreign currency exchange is calculated as the difference between local currency net sales of the prior period translated at the current period exchange rate as compared to the same local currency net sales translated at the prior period exchange rate. We believe this measure provides management and investors with a more complete understanding of underlying operating results and trends of established, ongoing operations by excluding the effect of acquisitions, dispositions and foreign currency, as these activities can obscure underlying trends. When comparing net sales growth between periods excluding the effects of acquisitions, business dispositions and currency exchange rates, those effects are different when comparing results for different periods. For example, because net sales from acquisitions are considered inorganic from the date we complete an acquisition through the end of the first year following the acquisition, net sales from such acquisition are reflected as organic net sales thereafter. There are limitations to the use of non-GAAP measures. Non-GAAP measures do not present complete financial results. We compensate for this limitation by providing a reconciliation between our non-GAAP financial measures and the respective most directly comparable financial measure calculated and presented in accordance with GAAP. Because non-GAAP financial measures are not standardized, it may not be possible to compare these financial measures with other companies' non-GAAP financial measures having the same or similar names. These financial measures should not be considered in isolation from, as substitutes for, or alternative measures of, reported GAAP financial results, and should be viewed in conjunction with the most comparable GAAP financial measures and the provided reconciliations thereto. We believe, however, that these non-GAAP financial measures, when viewed together with our GAAP results and related reconciliations, provide a more complete understanding of our business. We strongly encourage investors to review our consolidated financial statements and publicly filed reports in their entirety and not rely on any single financial measure. Reconciliations of each of these non-GAAP measures to the most directly comparable GAAP measure can be found in the tables below. HUBBELL INCORPORATED Condensed Consolidated Statement of Income (unaudited) (in millions, except per share amounts) Condensed Consolidated Balance Sheet (unaudited) (in millions) December 31, 2020 December 31, 2019 Condensed Consolidated Statement of Cash Flows (unaudited) (in millions) Twelve Months Ended December 31, Earnings Per Share (unaudited) (in millions, except per share amounts) Segment Information (unaudited) (in millions) Hubbell Incorporated HUBBELL INCORPORATED Organic Net Sales Growth (unaudited) (in millions and percentage change) Three Months Ended December 31, Twelve Months Ended December 31, Electrical Solutions Three Months Ended December 31, Twelve Months Ended December 31, Utility Solutions Three Months Ended December 31, Twelve Months Ended December 31, HUBBELL INCORPORATED Adjusted EBITDA (unaudited) (in millions) Three Months Ended December 31, Twelve Months Ended December 31, Restructuring and Related Costs Included in Consolidated Results (unaudited) (in millions, except per share amounts) Three Months Ended December 31, Twelve Months Ended December 31, HUBBELL INCORPORATED Additional Non-GAAP Financial Measures (unaudited) (in millions) Ratios of Total Debt to Total Capital and Net Debt to Total Capital Free Cash Flow Reconciliation (93.9) Recast Segment Information (unaudited) (in millions) As previously noted, beginning in the first quarter of 2021, the Company will report results of its Gas Connectors and Accessories business as part of the Utility Solutions segment. This realignment has no impact on the Company's historical consolidated financial position, results of operations or cash flows. To provide historical information on a basis consistent with its new reporting structure, the Company has recast certain historical segment information to conform to the new reporting structure. The recast financial information included below does not represent a restatement of previously issued financial statements.	1,358	inside_word	working	remove_one_sentence	<url> https://hubbell.gcs-web.com/static-files/54699f73-36ee-4908-9381-8e17c88734af </url> <text> Date: February 2, 2021 NEWS RELEASE Hubbell Incorporated 40 Waterview Drive Shelton, CT 06484 475-882-4000 HUBBELL REPORTS FOURTH QUARTER 2020 AND FULL YEAR RESULTS * Q4 diluted EPS of $1.48; adjusted diluted EPS of $1.76 * Q4 net sales decreased 6% (organic -7%, Acquisitions +1%) * Closed three accretive bolt-on acquisitions in the fourth quarter * Full Year 2020 diluted EPS of $6.43; adjusted diluted EPS of $7.58 * Includes restructuring and related investment ($0.43) * Full Year 2020 free cash flow of $560 million * FY21 diluted EPS expected range of $6.95-$7.35; adjusted diluted EPS of $8.10-$8.50 SHELTON, CT. (February 2, 2021) – Hubbell Incorporated (NYSE: HUBB) today reported operating results for the fourth quarter ended December 31, 2020. "Hubbell's full year 2020 results demonstrate a strong year of operating performance and consistent execution," said Gerben Bakker, President and Chief Executive Officer. "Despite considerable end market and operational challenges resulting from the COVID-19 pandemic, the Company achieved full year adjusted operating margins that were down only ten basis points versus the prior year, as well as free cash flow generation of $560 million, reflecting 12% growth over 2019 levels. We accomplished this through a rigorous focus on productivity, as well as disciplined operating expense and worki<cursor_is_here> Hubbell's ongoing operational transformation and footprint optimization investments are producing sustainable savings which we expect to continue providing significant benefit to our shareholders and customers in the future." 1 Mr. Bakker continued, "In the fourth quarter, Utility facing markets remained resilient, with grid modernization and renewable energy trends driving ongoing strength in demand for T&D components and mid single digit growth in Power Systems. Aclara continued to be affected by regulatory delays on certain project deployments as a result of the COVID-19 pandemic, though we expect these headwinds to continue moderating into 2021 as the business returns to its prior growth trajectory. While Electrical volumes remained soft, order patterns steadily picked up exiting the fourth quarter, with strength in light industrial verticals and continued growth in residential markets driven by e-commerce and retail channels." Mr. Bakker concluded, "Robust free cash flow generation allows the Company to pursue a balanced capital deployment strategy to drive shareholder returns. Bolt-on acquisitions are a critical component of Hubbell's strategy, and we are pleased to announce the acquisitions of Beckwith Electric and Armorcast Products to our portfolio. These businesses are strong strategic fits with the Hubbell Utility Solutions platform, adding to our capabilities in distribution controls and specialty enclosures. Together with our previously announced acquisition of AccelTex in October, the Company deployed $236 million to three accretive bolt-on acquisitions in the fourth quarter, bolstering our growth strategy while expanding our ability to serve customers with best in class, reliability, quality and efficiency." Certain terms used in this release, including "Net debt", "Free Cash Flow", "Organic net sales", "Organic growth", "Restructuring-related costs", "EBITDA", and certain "adjusted" measures, are defined under the section entitled "Non-GAAP Definitions." See page 8 for more information. 2 FINANCIAL HIGHLIGHTS The comments and year-over-year comparisons in this segment review are based on fourth quarter results in 2020 and 2019. Electrical Solutions segment net sales in the fourth quarter of 2020 of $559 million decreased 10% from $618 million in the fourth quarter of 2019. Organic sales decreased 11% in the quarter while acquisitions added 1%. Electrical Solutions segment operating income in the fourth quarter was $49 million, or 8.8% of net sales, compared to $73 million, or 11.9% of net sales in the same period of 2019. Adjusted operating income was $55 million, or 9.9% of net sales, in the fourth quarter of 2020 as compared to $79 million, or 12.8% of net sales in the same period of the prior year. Decreases in adjusted operating income and adjusted operating margin were primarily due to lower volumes and the non-repeat of a discrete benefit in the prior year from tariff mitigation, partially offset by productivity from restructuring and footprint optimization initiatives, as well as lower operating expenses. Utility Solutions segment net sales in the fourth quarter of 2020 decreased 1% to $479 million compared to $485 million reported in the fourth quarter of 2019. Organic sales declined 2% compared to the fourth quarter of 2019, while acquisitions added 1%. Power Systems sales increased 5% and Aclara sales declined 14%. Utility Solutions segment operating income in the fourth quarter was $71 million, or 14.7% of net sales, compared to $63 million, or 12.9% of net sales in the same period of 2019. Adjusted operating income was $84 million, or 17.5% of net sales, in the fourth quarter of 2020 as compared to $75 million, or 15.4% of net sales in the same period of the prior year. The increases in adjusted operating income and adjusted operating margin were primarily due to price realization in excess of material cost inflation, lower operating expenses and positive mix. Adjusted fourth quarter 2020 results exclude two items: $0.27 of amortization of acquisition-related intangible assets as well as $0.01 due to pension settlement charges. Net cash provided from operating activities was $192 million in the fourth quarter of 2020 versus $207 million in the comparable period of 2019. Free cash flow (defined as net cash provided by operating activities less capital expenditures) was $156 million in the fourth quarter of 2020 versus $185 million reported in the comparable period of 2019. 3 SUMMARY & OUTLOOK Beginning in the first quarter of 2021, the Company will report results of its Gas Connectors and Accessories business as part of the Utility Solutions segment. This realigned operating structure better reflects Hubbell's comprehensive offerings of utility components and communications solutions across common electric, water and gas utility customers. Recast segment results reflecting the shift of this business from Electrical Solutions to Utility Solutions are included at the end of this press release. For the full year 2021, Hubbell anticipates sales growth of 6-8%, comprised of 3-5% organic growth and approximately 3% growth from acquisitions. By end market, the Company expects growth of 2-4% in Utility T&D Components, 4-6% in Utility Communications and Controls, 3-5% in Industrial, 3-5% in Residential, and (2-4%) in Non-Residential. Hubbell anticipates 2021 adjusted diluted earnings per share ("Adjusted EPS") in the range of $8.10 to $8.50 and GAAP diluted earnings per share expectations in the range of $6.95 to $7.35. Adjusted EPS excludes amortization of acquisition-related intangible assets, which the Company expects to be approximately $1.15 per share for the full year. The Company believes Adjusted EPS is a useful measure of underlying financial performance in light of our acquisition strategy. The earnings per share and adjusted earnings per share ranges are based on an adjusted tax rate of 22-23% and include approximately $0.30 of anticipated restructuring and related investment. The ranges also incorporate the impact of acquisitions, which we anticipate adding approximately $0.25 to full year adjusted earnings. The Company expects full year 2021 free cash flow conversion of approximately 110% on adjusted net income. 4 CONFERENCE CALL Hubbell will conduct an earnings conference call to discuss its fourth quarter 2020 financial results today, February 2, 2021 at 10:00 a.m. ET. A live audio of the conference call will be available and can be accessed by visiting Hubbell's "Investor Relations - Events/Presentations" section of www.hubbell.com. Audio replays of the recorded conference call will be available after the call and can be accessed two hours after the conclusion of the original conference call by calling (855) 859-2056 and using passcode 8159402. The replay will remain available until March 2, 2021 at 11:59 p.m. ET. Audio replays will also be available at the conclusion of the call by visiting www.hubbell.com and selecting "Investors" from the options at the bottom of the page and then "Events/Presentations" from the drop-down menu. 5 FORWARD-LOOKING STATEMENTS Certain statements contained herein may constitute forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These include statements about expectations regarding our financial results, condition and outlook, anticipated end markets, near-term volume, continued opportunity for operational improvement, our ongoing operational transformation and footprint optimization investments continuing to provide tangible benefits to our shareholders and customers in the future, Aclara's business returning to its prior growth trajectory as headwinds continue to moderate into 2021, bolt-on acquisitions serving as a critical component of our strategy and expanding our capabilities to serve utility customers with best in class reliability, anticipated effects of the COVID-19 pandemic and the responses thereto, including the pandemic's impact on general economic and market conditions, as well as on our business, customers, end markets, results of operations and financial condition, and all statements, including our projected financial results, set forth in "Summary & Outlook" above, as well as other statements that are not strictly historic in nature. In addition, all statements regarding anticipated growth, changes in operating results, market conditions and economic conditions are forward-looking, including those regarding the adverse impact of the COVID-19 pandemic on the Company's end markets. These statements may be identified by the use of forward-looking words or phrases such as "believe", "expect", "anticipate", "plan", "estimated", "target", "should", "could", "may", "subject to", "continues", "growing", "projected", "if", "potential", "will likely be", and similar words and phrases. Such forward-looking statements are based on our current expectations and involve numerous assumptions, known and unknown risks, uncertainties and other factors which may cause actual and future performance or the Company's achievements to be materially different from any future results, performance, or achievements expressed or implied by such forward-looking statements. Such factors include, but are not limited to: our ability to effectively execute our business plan in light of the COVID-19 pandemic; the effectiveness of the actions that we take to address the effects of the COVID-19 pandemic; the outcome of contingencies or costs compared to amounts provided for such contingencies, including those with respect to pension withdrawal liabilities; achieving sales levels to meet revenue expectations; unexpected costs or charges, certain of which may be outside the Company's control; the effects of trade tariffs, import quotas and other trade restrictions or actions taken by the U.S., U.K., and other countries, including the recent and potential changes in U.S. trade policies; changes in product sales prices and material costs; failure to achieve projected levels of efficiencies, cost savings and cost reduction measures, including those expected as a result of our lean initiatives and strategic sourcing plans; effects of unfavorable foreign currency exchange rates and the potential use of hedging instruments to hedge the exposure to fluctuating rates of foreign currency exchange on inventory purchases; regulatory issues, changes in tax laws, or changes in geographic profit mix affecting tax rates and availability of tax incentives; general economic and business conditions as well as inflationary trends; the impact of and the ability to complete and integrate strategic acquisitions; the impact of certain divestitures; the ability to effectively develop and introduce new products, expand into new markets and deploy capital; and other factors described in our Securities and Exchange Commission filings, including the "Business", "Risk Factors", "Forward-Looking Statements" and "Quantitative and Qualitative Disclosures about Market Risk" Sections in the Annual Report on Form 10-K for the year ended December 31, 2019 and Quarterly Reports on Form 10-Q. 6 About the Company Hubbell Incorporated is an international manufacturer of high quality, reliable electrical products and utility solutions for a broad range of customer and end market applications. With 2020 revenues of $4.2 billion, Hubbell Incorporated operates manufacturing facilities in the United States and around the world. The corporate headquarters is located in Shelton, CT. Contact: Dan Innamorato Hubbell Incorporated 40 Waterview Drive P.O. Box 1000 Shelton, CT 06484 (475) 882-4000 ####### 7 NON-GAAP DEFINITIONS References to "adjusted" operating measures exclude the impact of certain costs, gains or losses. Management believes these adjusted operating measures provide useful information regarding our underlying performance from period to period and an understanding of our results of operations without regard to items we do not consider a component of our core operating performance. Adjusted operating measures are non-GAAP measures, and include adjusted operating income, adjusted operating margin, adjusted net income, adjusted net income available to common shareholders, adjusted net income attributable to Hubbell, adjusted earnings per diluted share, and adjusted EBITDA. These non-GAAP measures exclude, where applicable: * Amortization of all intangible assets associated with our business acquisitions, including inventory step-up amortization associated with those acquisitions. The intangible assets associated with our business acquisitions arise from the allocation of the purchase price using the acquisition method of accounting in accordance with Accounting Standards Codification 805, "Business Combinations." These assets consist primarily of customer relationships, developed technology, trademarks and tradenames, and patents, as reported in Note 6—Goodwill and Other Intangible Assets, under the heading "Total Definite-Lived Intangibles," within the Company's audited consolidated financial statements set forth in its Annual Report on Form 10-K for Fiscal Year Ended December 31, 2019. The Company excludes these non-cash expenses because we believe it (i) enhances management's and investors' ability to analyze underlying business performance, (ii) facilitates comparisons of our financial results over multiple periods, and (iii) provides more relevant comparisons of our results with the results of other companies as the amortization expense associated with these assets may fluctuate significantly from period to period based on the timing, size, nature, and number of acquisitions. Although we exclude amortization of these acquired intangible assets and inventory step-up from our non-GAAP results, we believe that it is important for investors to understand that revenue generated, in part, from such intangibles is included within revenue in determining adjusted net income attributable to Hubbell Incorporated. * A gain recognized in the third quarter of 2019 from the disposition of a business, * An investment loss recognized in the third quarter of 2019 and reported within Other income (expense), net in the Condensed Consolidated Statement of Income, * Pension charges including settlement charges in 2020 and a multi-employer pension charge in 2019 to recognize certain additional liabilities associated with the Company's participation and withdrawal from a multi-employer pension plan. * Income tax effects of the above adjustments which are calculated using the statutory tax rate, taking into consideration the nature of the item and the relevant taxing jurisdiction, unless otherwise noted. 8 Adjusted EBITDA is a non-GAAP measure that excludes the items noted above and also excludes the Other income (expense), net, Interest expense, net, and Provision for income taxes captions of the Condensed Consolidated Statement of Income, as well as depreciation and amortization expense. Net debt (defined as total debt less cash and investments) to total capital is a non-GAAP measure that we believe is a useful measure for evaluating the Company's financial leverage and the ability to meet its funding needs. Free cash flow is a non-GAAP measure that we believe provides useful information regarding the Company's ability to generate cash without reliance on external financing. In addition, management uses free cash flow to evaluate the resources available for investments in the business, strategic acquisitions and further strengthening the balance sheet. In connection with our restructuring and related actions we have incurred restructuring costs as defined by U.S. GAAP, which are primarily severance and employee benefits, asset impairments, accelerated depreciation, as well as facility closure, contract termination and certain pension costs that are directly related to restructuring actions. We also incur restructuring-related costs, which are costs associated with our business transformation initiatives, including the consolidation of back-office functions and streamlining our processes, and certain other costs and gains associated with restructuring actions. We refer to these costs on a combined basis as "restructuring and related costs", which is a non-GAAP measure. 9 Organic net sales, a non-GAAP measure, represent net sales according to U.S. GAAP, less net sales from acquisitions and divestitures during the first twelve months of ownership or divestiture, respectively, less the effect of fluctuations in net sales from foreign currency exchange. The period-over-period effect of fluctuations in net sales from foreign currency exchange is calculated as the difference between local currency net sales of the prior period translated at the current period exchange rate as compared to the same local currency net sales translated at the prior period exchange rate. We believe this measure provides management and investors with a more complete understanding of underlying operating results and trends of established, ongoing operations by excluding the effect of acquisitions, dispositions and foreign currency, as these activities can obscure underlying trends. When comparing net sales growth between periods excluding the effects of acquisitions, business dispositions and currency exchange rates, those effects are different when comparing results for different periods. For example, because net sales from acquisitions are considered inorganic from the date we complete an acquisition through the end of the first year following the acquisition, net sales from such acquisition are reflected as organic net sales thereafter. There are limitations to the use of non-GAAP measures. Non-GAAP measures do not present complete financial results. We compensate for this limitation by providing a reconciliation between our non-GAAP financial measures and the respective most directly comparable financial measure calculated and presented in accordance with GAAP. Because non-GAAP financial measures are not standardized, it may not be possible to compare these financial measures with other companies' non-GAAP financial measures having the same or similar names. These financial measures should not be considered in isolation from, as substitutes for, or alternative measures of, reported GAAP financial results, and should be viewed in conjunction with the most comparable GAAP financial measures and the provided reconciliations thereto. We believe, however, that these non-GAAP financial measures, when viewed together with our GAAP results and related reconciliations, provide a more complete understanding of our business. We strongly encourage investors to review our consolidated financial statements and publicly filed reports in their entirety and not rely on any single financial measure. Reconciliations of each of these non-GAAP measures to the most directly comparable GAAP measure can be found in the tables below. HUBBELL INCORPORATED Condensed Consolidated Statement of Income (unaudited) (in millions, except per share amounts) Condensed Consolidated Balance Sheet (unaudited) (in millions) December 31, 2020 December 31, 2019 Condensed Consolidated Statement of Cash Flows (unaudited) (in millions) Twelve Months Ended December 31, Earnings Per Share (unaudited) (in millions, except per share amounts) Segment Information (unaudited) (in millions) Hubbell Incorporated HUBBELL INCORPORATED Organic Net Sales Growth (unaudited) (in millions and percentage change) Three Months Ended December 31, Twelve Months Ended December 31, Electrical Solutions Three Months Ended December 31, Twelve Months Ended December 31, Utility Solutions Three Months Ended December 31, Twelve Months Ended December 31, HUBBELL INCORPORATED Adjusted EBITDA (unaudited) (in millions) Three Months Ended December 31, Twelve Months Ended December 31, Restructuring and Related Costs Included in Consolidated Results (unaudited) (in millions, except per share amounts) Three Months Ended December 31, Twelve Months Ended December 31, HUBBELL INCORPORATED Additional Non-GAAP Financial Measures (unaudited) (in millions) Ratios of Total Debt to Total Capital and Net Debt to Total Capital Free Cash Flow Reconciliation (93.9) Recast Segment Information (unaudited) (in millions) As previously noted, beginning in the first quarter of 2021, the Company will report results of its Gas Connectors and Accessories business as part of the Utility Solutions segment. This realignment has no impact on the Company's historical consolidated financial position, results of operations or cash flows. To provide historical information on a basis consistent with its new reporting structure, the Company has recast certain historical segment information to conform to the new reporting structure. The recast financial information included below does not represent a restatement of previously issued financial statements. </text>	[ { "content": "<url>\nhttps://hubbell.gcs-web.com/static-files/54699f73-36ee-4908-9381-8e17c88734af\n</url>\n<text>\nDate: February 2, 2021\n\nNEWS RELEASE\n\nHubbell Incorporated 40 Waterview Drive Shelton, CT 06484 475-882-4000\n\nHUBBELL REPORTS FOURTH QUARTER 2020 AND FULL YEAR RESULTS\n\n* Q4 diluted EPS of $1.48; adjusted diluted EPS of $1.76\n* Q4 net sales decreased 6% (organic -7%, Acquisitions +1%)\n* Closed three accretive bolt-on acquisitions in the fourth quarter\n* Full Year 2020 diluted EPS of $6.43; adjusted diluted EPS of $7.58\n* Includes restructuring and related investment ($0.43)\n* Full Year 2020 free cash flow of $560 million\n* FY21 diluted EPS expected range of $6.95-$7.35; adjusted diluted EPS of $8.10-$8.50\n\nSHELTON, CT. (February 2, 2021) – Hubbell Incorporated (NYSE: HUBB) today reported operating results for the fourth quarter ended December 31, 2020.\n\n\"Hubbell's full year 2020 results demonstrate a strong year of operating performance and consistent execution,\" said Gerben Bakker, President and Chief Executive Officer. \"Despite considerable end market and operational challenges resulting from the COVID-19 pandemic, the Company achieved full year adjusted operating margins that were down only ten basis points versus the prior year, as well as free cash flow generation of $560 million, reflecting 12% growth over 2019 levels. We accomplished this through a rigorous focus on productivity, as well as disciplined operating expense and worki<cursor_is_here> Hubbell's ongoing operational transformation and footprint optimization investments are producing sustainable savings which we expect to continue providing significant benefit to our shareholders and customers in the future.\"\n\n1\n\nMr. Bakker continued, \"In the fourth quarter, Utility facing markets remained resilient, with grid modernization and renewable energy trends driving ongoing strength in demand for T&D components and mid single digit growth in Power Systems. Aclara continued to be affected by regulatory delays on certain project deployments as a result of the COVID-19 pandemic, though we expect these headwinds to continue moderating into 2021 as the business returns to its prior growth trajectory. While Electrical volumes remained soft, order patterns steadily picked up exiting the fourth quarter, with strength in light industrial verticals and continued growth in residential markets driven by e-commerce and retail channels.\"\n\nMr. Bakker concluded, \"Robust free cash flow generation allows the Company to pursue a balanced capital deployment strategy to drive shareholder returns. Bolt-on acquisitions are a critical component of Hubbell's strategy, and we are pleased to announce the acquisitions of Beckwith Electric and Armorcast Products to our portfolio. These businesses are strong strategic fits with the Hubbell Utility Solutions platform, adding to our capabilities in distribution controls and specialty enclosures. Together with our previously announced acquisition of AccelTex in October, the Company deployed $236 million to three accretive bolt-on acquisitions in the fourth quarter, bolstering our growth strategy while expanding our ability to serve customers with best in class, reliability, quality and efficiency.\"\n\nCertain terms used in this release, including \"Net debt\", \"Free Cash Flow\", \"Organic net sales\", \"Organic growth\", \"Restructuring-related costs\", \"EBITDA\", and certain \"adjusted\" measures, are defined under the section entitled \"Non-GAAP Definitions.\" See page 8 for more information.\n\n2\n\nFINANCIAL HIGHLIGHTS\n\nThe comments and year-over-year comparisons in this segment review are based on fourth quarter results in 2020 and 2019.\n\nElectrical Solutions segment net sales in the fourth quarter of 2020 of $559 million decreased 10% from $618 million in the fourth quarter of 2019. Organic sales decreased 11% in the quarter while acquisitions added 1%. Electrical Solutions segment operating income in the fourth quarter was $49 million, or 8.8% of net sales, compared to $73 million, or 11.9% of net sales in the same period of 2019. Adjusted operating income was $55 million, or 9.9% of net sales, in the fourth quarter of 2020 as compared to $79 million, or 12.8% of net sales in the same period of the prior year. Decreases in adjusted operating income and adjusted operating margin were primarily due to lower volumes and the non-repeat of a discrete benefit in the prior year from tariff mitigation, partially offset by productivity from restructuring and footprint optimization initiatives, as well as lower operating expenses.\n\nUtility Solutions segment net sales in the fourth quarter of 2020 decreased 1% to $479 million compared to $485 million reported in the fourth quarter of 2019. Organic sales declined 2% compared to the fourth quarter of 2019, while acquisitions added 1%. Power Systems sales increased 5% and Aclara sales declined 14%. Utility Solutions segment operating income in the fourth quarter was $71 million, or 14.7% of net sales, compared to $63 million, or 12.9% of net sales in the same period of 2019. Adjusted operating income was $84 million, or 17.5% of net sales, in the fourth quarter of 2020 as compared to $75 million, or 15.4% of net sales in the same period of the prior year. The increases in adjusted operating income and adjusted operating margin were primarily due to price realization in excess of material cost inflation, lower operating expenses and positive mix.\n\nAdjusted fourth quarter 2020 results exclude two items: $0.27 of amortization of acquisition-related intangible assets as well as $0.01 due to pension settlement charges.\n\nNet cash provided from operating activities was $192 million in the fourth quarter of 2020 versus $207 million in the comparable period of 2019. Free cash flow (defined as net cash provided by operating activities less capital expenditures) was $156 million in the fourth quarter of 2020 versus $185 million reported in the comparable period of 2019.\n\n3\n\nSUMMARY & OUTLOOK\n\nBeginning in the first quarter of 2021, the Company will report results of its Gas Connectors and Accessories business as part of the Utility Solutions segment. This realigned operating structure better reflects Hubbell's comprehensive offerings of utility components and communications solutions across common electric, water and gas utility customers. Recast segment results reflecting the shift of this business from Electrical Solutions to Utility Solutions are included at the end of this press release.\n\nFor the full year 2021, Hubbell anticipates sales growth of 6-8%, comprised of 3-5% organic growth and approximately 3% growth from acquisitions. By end market, the Company expects growth of 2-4% in Utility T&D Components, 4-6% in Utility Communications and Controls, 3-5% in Industrial, 3-5% in Residential, and (2-4%) in Non-Residential.\n\nHubbell anticipates 2021 adjusted diluted earnings per share (\"Adjusted EPS\") in the range of $8.10 to $8.50 and GAAP diluted earnings per share expectations in the range of $6.95 to $7.35. Adjusted EPS excludes amortization of acquisition-related intangible assets, which the Company expects to be approximately $1.15 per share for the full year. The Company believes Adjusted EPS is a useful measure of underlying financial performance in light of our acquisition strategy.\n\nThe earnings per share and adjusted earnings per share ranges are based on an adjusted tax rate of 22-23% and include approximately $0.30 of anticipated restructuring and related investment. The ranges also incorporate the impact of acquisitions, which we anticipate adding approximately $0.25 to full year adjusted earnings. The Company expects full year 2021 free cash flow conversion of approximately 110% on adjusted net income.\n\n4\n\nCONFERENCE CALL\n\nHubbell will conduct an earnings conference call to discuss its fourth quarter 2020 financial results today, February 2, 2021 at 10:00 a.m. ET. A live audio of the conference call will be available and can be accessed by visiting Hubbell's \"Investor Relations - Events/Presentations\" section of www.hubbell.com. Audio replays of the recorded conference call will be available after the call and can be accessed two hours after the conclusion of the original conference call by calling (855) 859-2056 and using passcode 8159402. The replay will remain available until March 2, 2021 at 11:59 p.m. ET. Audio replays will also be available at the conclusion of the call by visiting www.hubbell.com and selecting \"Investors\" from the options at the bottom of the page and then \"Events/Presentations\" from the drop-down menu.\n\n5\n\nFORWARD-LOOKING STATEMENTS\n\nCertain statements contained herein may constitute forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. These include statements about expectations regarding our financial results, condition and outlook, anticipated end markets, near-term volume, continued opportunity for operational improvement, our ongoing operational transformation and footprint optimization investments continuing to provide tangible benefits to our shareholders and customers in the future, Aclara's business returning to its prior growth trajectory as headwinds continue to moderate into 2021, bolt-on acquisitions serving as a critical component of our strategy and expanding our capabilities to serve utility customers with best in class reliability, anticipated effects of the COVID-19 pandemic and the responses thereto, including the pandemic's impact on general economic and market conditions, as well as on our business, customers, end markets, results of operations and financial condition, and all statements, including our projected financial results, set forth in \"Summary & Outlook\" above, as well as other statements that are not strictly historic in nature. In addition, all statements regarding anticipated growth, changes in operating results, market conditions and economic conditions are forward-looking, including those regarding the adverse impact of the COVID-19 pandemic on the Company's end markets. These statements may be identified by the use of forward-looking words or phrases such as \"believe\", \"expect\", \"anticipate\", \"plan\", \"estimated\", \"target\", \"should\", \"could\", \"may\", \"subject to\", \"continues\", \"growing\", \"projected\", \"if\", \"potential\", \"will likely be\", and similar words and phrases. Such forward-looking statements are based on our current expectations and involve numerous assumptions, known and unknown risks, uncertainties and other factors which may cause actual and future performance or the Company's achievements to be materially different from any future results, performance, or achievements expressed or implied by such forward-looking statements. Such factors include, but are not limited to: our ability to effectively execute our business plan in light of the COVID-19 pandemic; the effectiveness of the actions that we take to address the effects of the COVID-19 pandemic; the outcome of contingencies or costs compared to amounts provided for such contingencies, including those with respect to pension withdrawal liabilities; achieving sales levels to meet revenue expectations; unexpected costs or charges, certain of which may be outside the Company's control; the effects of trade tariffs, import quotas and other trade restrictions or actions taken by the U.S., U.K., and other countries, including the recent and potential changes in U.S. trade policies; changes in product sales prices and material costs; failure to achieve projected levels of efficiencies, cost savings and cost reduction measures, including those expected as a result of our lean initiatives and strategic sourcing plans; effects of unfavorable foreign currency exchange rates and the potential use of hedging instruments to hedge the exposure to fluctuating rates of foreign currency exchange on inventory purchases; regulatory issues, changes in tax laws, or changes in geographic profit mix affecting tax rates and availability of tax incentives; general economic and business conditions as well as inflationary trends; the impact of and the ability to complete and integrate strategic acquisitions; the impact of certain divestitures; the ability to effectively develop and introduce new products, expand into new markets and deploy capital; and other factors described in our Securities and Exchange Commission filings, including the \"Business\", \"Risk Factors\", \"Forward-Looking Statements\" and \"Quantitative and Qualitative Disclosures about Market Risk\" Sections in the Annual Report on Form 10-K for the year ended December 31, 2019 and Quarterly Reports on Form 10-Q.\n\n6\n\nAbout the Company\n\nHubbell Incorporated is an international manufacturer of high quality, reliable electrical products and utility solutions for a broad range of customer and end market applications. With 2020 revenues of $4.2 billion, Hubbell Incorporated operates manufacturing facilities in the United States and around the world. The corporate headquarters is located in Shelton, CT.\n\nContact:\n\nDan Innamorato Hubbell Incorporated 40 Waterview Drive P.O. Box 1000 Shelton, CT 06484 (475) 882-4000\n\n#######\n\n7\n\nNON-GAAP DEFINITIONS\n\nReferences to \"adjusted\" operating measures exclude the impact of certain costs, gains or losses. Management believes these adjusted operating measures provide useful information regarding our underlying performance from period to period and an understanding of our results of operations without regard to items we do not consider a component of our core operating performance. Adjusted operating measures are non-GAAP measures, and include adjusted operating income, adjusted operating margin, adjusted net income, adjusted net income available to common shareholders, adjusted net income attributable to Hubbell, adjusted earnings per diluted share, and adjusted EBITDA. These non-GAAP measures exclude, where applicable:\n\n* Amortization of all intangible assets associated with our business acquisitions, including inventory step-up amortization associated with those acquisitions. The intangible assets associated with our business acquisitions arise from the allocation of the purchase price using the acquisition method of accounting in accordance with Accounting Standards Codification 805, \"Business Combinations.\" These assets consist primarily of customer relationships, developed technology, trademarks and tradenames, and patents, as reported in Note 6—Goodwill and Other Intangible Assets, under the heading \"Total Definite-Lived Intangibles,\" within the Company's audited consolidated financial statements set forth in its Annual Report on Form 10-K for Fiscal Year Ended December 31, 2019. The Company excludes these non-cash expenses because we believe it (i) enhances management's and investors' ability to analyze underlying business performance, (ii) facilitates comparisons of our financial results over multiple periods, and (iii) provides more relevant comparisons of our results with the results of other companies as the amortization expense associated with these assets may fluctuate significantly from period to period based on the timing, size, nature, and number of acquisitions. Although we exclude amortization of these acquired intangible assets and inventory step-up from our non-GAAP results, we believe that it is important for investors to understand that revenue generated, in part, from such intangibles is included within revenue in determining adjusted net income attributable to Hubbell Incorporated.\n* A gain recognized in the third quarter of 2019 from the disposition of a business,\n* An investment loss recognized in the third quarter of 2019 and reported within Other income (expense), net in the Condensed Consolidated Statement of Income,\n* Pension charges including settlement charges in 2020 and a multi-employer pension charge in 2019 to recognize certain additional liabilities associated with the Company's participation and withdrawal from a multi-employer pension plan.\n* Income tax effects of the above adjustments which are calculated using the statutory tax rate, taking into consideration the nature of the item and the relevant taxing jurisdiction, unless otherwise noted.\n\n8\n\nAdjusted EBITDA is a non-GAAP measure that excludes the items noted above and also excludes the Other income (expense), net, Interest expense, net, and Provision for income taxes captions of the Condensed Consolidated Statement of Income, as well as depreciation and amortization expense.\n\nNet debt (defined as total debt less cash and investments) to total capital is a non-GAAP measure that we believe is a useful measure for evaluating the Company's financial leverage and the ability to meet its funding needs.\n\nFree cash flow is a non-GAAP measure that we believe provides useful information regarding the Company's ability to generate cash without reliance on external financing. In addition, management uses free cash flow to evaluate the resources available for investments in the business, strategic acquisitions and further strengthening the balance sheet.\n\nIn connection with our restructuring and related actions we have incurred restructuring costs as defined by U.S. GAAP, which are primarily severance and employee benefits, asset impairments, accelerated depreciation, as well as facility closure, contract termination and certain pension costs that are directly related to restructuring actions. We also incur restructuring-related costs, which are costs associated with our business transformation initiatives, including the consolidation of back-office functions and streamlining our processes, and certain other costs and gains associated with restructuring actions. We refer to these costs on a combined basis as \"restructuring and related costs\", which is a non-GAAP measure.\n\n9\n\nOrganic net sales, a non-GAAP measure, represent net sales according to U.S. GAAP, less net sales from acquisitions and divestitures during the first twelve months of ownership or divestiture, respectively, less the effect of fluctuations in net sales from foreign currency exchange. The period-over-period effect of fluctuations in net sales from foreign currency exchange is calculated as the difference between local currency net sales of the prior period translated at the current period exchange rate as compared to the same local currency net sales translated at the prior period exchange rate. We believe this measure provides management and investors with a more complete understanding of underlying operating results and trends of established, ongoing operations by excluding the effect of acquisitions, dispositions and foreign currency, as these activities can obscure underlying trends. When comparing net sales growth between periods excluding the effects of acquisitions, business dispositions and currency exchange rates, those effects are different when comparing results for different periods. For example, because net sales from acquisitions are considered inorganic from the date we complete an acquisition through the end of the first year following the acquisition, net sales from such acquisition are reflected as organic net sales thereafter.\n\nThere are limitations to the use of non-GAAP measures. Non-GAAP measures do not present complete financial results. We compensate for this limitation by providing a reconciliation between our non-GAAP financial measures and the respective most directly comparable financial measure calculated and presented in accordance with GAAP. Because non-GAAP financial measures are not standardized, it may not be possible to compare these financial measures with other companies' non-GAAP financial measures having the same or similar names. These financial measures should not be considered in isolation from, as substitutes for, or alternative measures of, reported GAAP financial results, and should be viewed in conjunction with the most comparable GAAP financial measures and the provided reconciliations thereto. We believe, however, that these non-GAAP financial measures, when viewed together with our GAAP results and related reconciliations, provide a more complete understanding of our business. We strongly encourage investors to review our consolidated financial statements and publicly filed reports in their entirety and not rely on any single financial measure.\n\nReconciliations of each of these non-GAAP measures to the most directly comparable GAAP measure can be found in the tables below.\n\nHUBBELL INCORPORATED Condensed Consolidated Statement of Income\n\n(unaudited)\n\n(in millions, except per share amounts)\n\nCondensed Consolidated Balance Sheet\n\n(unaudited)\n\n(in millions)\n\nDecember 31, 2020 December 31, 2019\n\nCondensed Consolidated Statement of Cash Flows (unaudited)\n\n(in millions)\n\nTwelve Months Ended December 31,\n\nEarnings Per Share (unaudited) (in millions, except per share amounts)\n\nSegment Information\n\n(unaudited)\n\n(in millions)\n\nHubbell Incorporated\n\nHUBBELL INCORPORATED\n\nOrganic Net Sales Growth\n\n(unaudited)\n\n(in millions and percentage change)\n\nThree Months Ended December 31,\n\nTwelve Months Ended December 31,\n\nElectrical Solutions\n\nThree Months Ended December 31,\n\nTwelve Months Ended December 31,\n\nUtility Solutions\n\nThree Months Ended December 31,\n\nTwelve Months Ended December 31,\n\nHUBBELL INCORPORATED Adjusted EBITDA\n\n(unaudited) (in millions)\n\nThree Months Ended December 31,\n\nTwelve Months Ended December 31,\n\nRestructuring and Related Costs Included in Consolidated Results\n\n(unaudited)\n\n(in millions, except per share amounts)\n\nThree Months Ended December 31,\n\nTwelve Months Ended December 31,\n\nHUBBELL INCORPORATED Additional Non-GAAP Financial Measures\n\n(unaudited) (in millions)\n\nRatios of Total Debt to Total Capital and Net Debt to Total Capital\n\nFree Cash Flow Reconciliation\n\n(93.9)\n\nRecast Segment Information\n\n(unaudited) (in millions)\n\nAs previously noted, beginning in the first quarter of 2021, the Company will report results of its Gas Connectors and Accessories business as part of the Utility Solutions segment. This realignment has no impact on the Company's historical consolidated financial position, results of operations or cash flows. To provide historical information on a basis consistent with its new reporting structure, the Company has recast certain historical segment information to conform to the new reporting structure. The recast financial information included below does not represent a restatement of previously issued financial statements.\n</text>\n", "role": "user" }, { "content": "ng capital management.", "role": "assistant" } ]
Date of issue: 05/15/2017 Version: 1.0 SECTION 1: Identification 1.1. Product identifier Product form : Substance Substance name : Nitrous Oxide (Compressed) Chemical name : Nitrous Oxide Substance type : Mono-constituent CAS-No. : 10024-97-2 Product code : CA-1001-00717 Formula : N 2 O Synonyms : Nitrogen oxide / Nitrous oxide / Nitrogen oxide (N2O) / Laughing gas / Hyponitrous acid / anhydride; Dinitrogen monoxide 1.2. Recommended use and restrictions on use Recommended uses and restrictions : Medical or Laboratory Purposes 1.3. Supplier Air Liquide Canada Inc. www.airliquide.ca 1250, René Lévesque West Blvd. Suite 1700 H3B 5E6 Montreal, QC - Canada T 1-800-817-7697 1.4. Emergency telephone number Emergency number : 514-878-1667 SECTION 2: Hazard identification 2.1. Classification of the substance or mixture Classification (GHS-CA) Oxidising Gases, Category 1 H270 Gases under pressure : Compressed gas H280 Specific target organ toxicity — Single exposure, Category 3, Narcosis H336 Full text of H statements : see section 16 2.2. GHS Label elements, including precautionary statements GHS-CA labelling Hazard pictograms (GHS-CA) : GHS04 GHS07 05/15/2017 EN (English) Signal word (GHS-CA) : Danger Hazard statements (GHS-CA) : H270 - May cause or intensify fire; oxidizer H280 - Contains gas under pressure; may explode if heated H336 - May cause drowsiness or dizziness OSHA-H01 - May displace oxygen and cause rapid suffocation CGA-HG01 - May cause frostbite Precautionary statements (GHS-CA): P370+P376 - In case of fire: Stop leak if safe to do so P501 - Dispose of contents/container in accordance with local/regional/national/international regulations. P403 - Store in a well-ventilated place P403+P233 - Store in a well-ventilated place. Keep container tightly closed P405 - Store locked up P220 - Keep away from clothing and other combustible materials P261 - Avoid breathing dust/fume/gas/mist/vapours/spray P262 - Do not get in eyes, on skin, or on clothing P244 - Keep valves and fittings free from oil and grease P202 - Do not handle until all safety precautions have been read and understood P312 - Call a POISON CENTER or doctor if you feel unwell P315 - Get immediate medical advice/attention P271 - Use only outdoors or in a well-ventilated area P304+P340 - IF INHALED: Remove person to fresh air and keep comfortable for breathing P302 - IF ON SKIN: P336+P315 - Thaw frosted parts with lukewarm water. Do not rub affected area CGA-PG02 - Protect from sunlight when ambient temperature exceeds 52 °C/125 °F CGA-PG05 - Use a back flow preventive device in the piping CGA-PG06 - Close valve after each use and when empty CGA-PG10 - Use only with equipment rated for cylinder pressure CGA-PG14 - Approach suspected leak area with caution CGA-PG20 - Use only with equipment of compatible materials of construction and rated for cylinder pressure CGA-PG21 - Open valve slowly CGA-PG22 - Use only with equipment cleaned for oxygen service 2.3. Other hazards No additional information available 2.4. Unknown acute toxicity (GHS-CA) No data available SECTION 3: Composition/information on ingredients 3.1. Substances Substance type : Mono-constituent Name : Nitrous Oxide (Compressed) CAS-No. : 10024-97-2 \| \| Name \| \| Chemical name/Synonyms \| \| Product identifier \| \| % \| Classification (GHS-CA) \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Nitrous oxide \| \| Dinitrogen oxide / Laughing gas / Nitrogen oxide (N2O) / NITROUS OXIDE \| \| (CAS-No.) 10024-97-2 \| \| > 99 \| \| \| Full text of hazard classes and H-statements : see section 16 3.2. Mixtures Not applicable SECTION 4: First-aid measures 4.1. Description of first aid measures First-aid measures after inhalation First-aid measures after skin contact First-aid measures after eye contact : Remove victim to fresh air and keep at rest in a position comfortable for breathing. If you feel unwell, seek medical advice. : Thaw frosted parts with lukewarm water. Do not rub affected area. Get immediate medical advice/attention. : Rinse cautiously with water for several minutes. Remove contact lenses, if present and easy to do. Continue rinsing. Consult an eye specialist. First-aid measures after ingestion : Ingestion is not considered a potential route of exposure. 4.2. Most important symptoms and effects (acute and delayed) Symptoms/effects after inhalation : May displace oxygen and cause rapid suffocation. May cause drowsiness or dizziness. Symptoms/effects after skin contact: Contact with the liquefied gas may cause frostbite. Symptoms/effects after eye contact: Contact with the product may cause cold burns or frostbite. Symptoms/effects after ingestion : Ingestion is not considered a potential route of exposure. Symptoms/effects upon intravenous administration : Not known. Chronic symptoms : None known. Most important symptoms and effects, both acute and delayed : Refer to section 11. 4.3. Immediate medical attention and special treatment, if necessary Other medical advice or treatment : If breathing is difficult, give oxygen. Obtain medical attention if breathing difficulty persists. SECTION 5: Fire-fighting measures 5.1. Suitable extinguishing media Suitable extinguishing media : Use extinguishing media appropriate for surrounding fire. 5.2. Unsuitable extinguishing media Unsuitable extinguishing media : Do not use water jet to extinguish. 5.3. Specific hazards arising from the hazardous product Fire hazard : The product is not flammable. Explosion hazard : Product is not explosive. Heat may build pressure, rupturing closed containers, spreading fire and increasing risk of burns and injuries. Hazardous combustion products : None known 5.4. Special protective equipment and precautions for fire-fighters Firefighting instructions : In case of fire: Evacuate area. Fight fire remotely due to the risk of explosion. Use water spray or fog for cooling exposed containers. Exercise caution when fighting any chemical fire. Exposure to fire may cause containers to rupture/explode. Protection during firefighting : Standard protective clothing and equipment (e.g, Self Contained Breathing Apparatus) for fire fighters. Do not enter fire area without proper protective equipment, including respiratory protection. SECTION 6: Accidental release measures 6.1. Personal precautions, protective equipment and emergency procedures General measures : Ensure adequate ventilation. Personal Precautions, Protective Equipment and Emergency Procedures : EVACUATE ALL PERSONNEL FROM AFFECTED AREA. Use appropriate protective equipment. If leak is on user's equipment, be certain to purge piping before attempting repairs. If leak is on a container or container valve contact the closest Air Liquide Canada location. 6.2. Methods and materials for containment and cleaning up For containment : Try to stop release if without risk. Methods for cleaning up Methods and material for containment and cleaning up : Dispose of contents/container in accordance with local/regional/national/international regulations. : None. 6.3. Reference to other sections For further information refer to section 8: "Exposure controls/personal protection" SECTION 7: Handling and storage 7.1. Precautions for safe handling Precautions for safe handling Hygiene measures : Do not handle until all safety precautions have been read and understood. Use only outdoors or in a well-ventilated area. : Do not eat, drink or smoke when using this product. Additional hazards when processed : Pressurized container: Do not pierce or burn, even after use. Use only with equipment rated for cylinder pressure. 7.2. Conditions for safe storage, including any incompatibilities Technical measures : Comply with applicable regulations. Storage conditions Incompatible products Incompatible materials : Store locked up. Do not expose to temperatures exceeding 52 °C/ 125 °F. Keep container closed when not in use. Protect cylinders from physical damage; do not drag, roll, slide or drop. Store in well ventilated area. : None known. : Flammable materials. Reducing agents. Combustible materials. Conditions for safe storage, including any incompatibilities : Observe all regulations and local requirements regarding storage of containers. Containers should not be stored in conditions likely to encourage corrosion. Container valve guards or caps should be in place. Containers should be stored in the vertical position and properly secured to prevent them from falling over. Stored containers should be periodically checked for general condition and leakage. Keep container below 50°C in a well ventilated place. Store containers in location free from fire risk and away from sources of heat and ignition. Keep away from combustible materials. SECTION 8: Exposure controls/personal protection 8.1. Control parameters \| USA - ACGIH \| ACGIH TWA (ppm) \| 50 ppm \| \|---\|---\|---\| \| Canada (Quebec) \| VEMP (mg/m³) \| 90 mg/m³ \| \| Canada (Quebec) \| VEMP (ppm) \| 50 ppm \| \| \| Nitrous oxide (10024-97-2) \| \| \| \|---\|---\|---\|---\| \| Alberta \| \| OEL TWA (mg/m³) \| 90 mg/m³ \| \| Alberta \| \| OEL TWA (ppm) \| 50 ppm \| \| British Columbia \| \| OEL TWA (ppm) \| 25 ppm \| \| Manitoba \| \| OEL TWA (ppm) \| 50 ppm \| \| New Brunswick \| \| OEL TWA (mg/m³) \| 90 mg/m³ \| \| New Brunswick \| \| OEL TWA (ppm) \| 50 ppm \| \| New Foundland & Labrador \| \| OEL TWA (ppm) \| 50 ppm \| \| Nova Scotia \| \| OEL TWA (ppm) \| 50 ppm \| \| Nunavut \| \| OEL STEL (ppm) \| 75 ppm \| \| Nunavut \| \| OEL TWA (ppm) \| 50 ppm \| \| Northwest Territories \| \| OEL STEL (ppm) \| 75 ppm \| \| Northwest Territories \| \| OEL TWA (ppm) \| 50 ppm \| \| Ontario \| \| OEL TWA (mg/m³) \| 45 mg/m³ \| \| Ontario \| \| OEL TWA (ppm) \| 25 ppm \| \| Prince Edward Island \| \| OEL TWA (ppm) \| 50 ppm \| \| Saskatchewan \| \| OEL STEL (ppm) \| 75 ppm \| \| Saskatchewan \| \| OEL TWA (ppm) \| 50 ppm \| 8.2. Appropriate engineering controls Appropriate engineering controls : Ensure exposure is below occupational exposure limits (where available). Provide adequate general and local exhaust ventilation. Systems under pressure should be regularly checked for leakages. Oxygen detectors should be used when asphyxiating gases may be released. Consider the use of a work permit system e.g. for maintenance activities. Environmental exposure controls : Refer to local regulations for restriction of emissions to the atmosphere. See section 13 for specific methods for waste gas treatment. 8.3. Individual protection measures/Personal protective equipment Personal protective equipment: Gloves. Safety glasses. Protective clothing. Safety shoes. Hand protection: Wear working gloves when handling gas containers. Eye protection: Wear safety glasses with side shields. Skin and body protection: Wear suitable protective clothing, e.g. lab coats, coveralls or flame resistant clothing. Respiratory protection: None necessary during routine operations. Thermal hazard protection: None necessary. Other information: Wear safety shoes while handling containers. SECTION 9: Physical and chemical properties Acute toxicity (dermal) : Not classified Acute toxicity (inhalation) : Inhalation:gas: Not classified. \| \| Nitrous Oxide (Compressed) ( \f )10024-97-2 \| \|---\|---\| \| LC50 inhalation rat (ppm) \| \| \| ATE CA (gases) \| \| \| \| Nitrous oxide (10024-97-2) \| \|---\|---\| \| LC50 inhalation rat (ppm) \| \| SECTION 12: Ecological information 12.1. Toxicity Ecology - general : Classification criteria are not met. 12.2. Persistence and degradability \| \| Nitrous Oxide (Compressed) (10024-97-2) \| \| \|---\|---\|---\| \| Persistence and degradability \| \| No data available. \| \| \| Nitrous oxide (10024-97-2) \| \| \| Persistence and degradability \| \| Not applicable for inorganic gases. \| 12.3. Bioaccumulative potential \| \| Nitrous Oxide (Compressed) (10024-97-2) \| \| \|---\|---\|---\| \| Log Pow \| \| Not applicable for gas mixtures. \| \| Log Kow \| \| Not applicable for gas mixtures. \| \| Bioaccumulative potential \| \| No data available. \| \| \| Nitrous oxide (10024-97-2) \| \| \| Log Pow \| \| Not applicable for inorganic gases. \| \| Bioaccumulative potential \| \| No data available. \| 12.4. Mobility in soil \| \| Nitrous Oxide (Compressed) (10024-97-2) \| \| \|---\|---\|---\| \| Mobility in soil \| \| No data available \| \| Log Pow \| \| Not applicable for gas mixtures. \| \| Log Kow \| \| Not applicable for gas mixtures. \| \| \| Nitrous oxide (10024-97-2) \| \| \| Log Pow \| \| Not applicable for inorganic gases. \| \| Ecology - soil \| \| Because of its high volatility, the product is unlikely to cause ground or water pollution. \| 12.5. Other adverse effects Effect on ozone layer : None. SECTION 13: Disposal considerations 13.1. Disposal methods Waste treatment methods : Contact supplier if guidance is required. Do not discharge into any place where its operating permits are not exceeded. accumulation could be dangerous. Ensure that the emission levels from local regulations or Nitrous Oxide (Compressed) ) Safety Data Sheet according to the Hazardous Products Regulation (February 11, 20 015) Product/Packaging disposal recommendations : Refer to the CGA Pamphlet P-63 "Disposal of Gases" availa more guidance on suitable disposal methods. able at www.cganet.com for Additional information : None. SECTION 14: Transport information 14.1. Basic shipping description In accordance with TDG Transportation of Dangerous Goods UN-No. (TDG) : TDG Primary Hazard Classes : TDG Subsidiary Classes : Transport Document Description: Proper Shipping Name : Hazard labels (TDG) : UN1070 2.2 - Class 2.2 - Non-Flammable, Non-Toxic Gas. 5.1 UN1070 NITROUS OXIDE, 2.2 (5.1) NITROUS OXIDE 2.2 - Non-flammable, non-toxic gases 5.1 - Oxidizing substances ERAP Index : Explosive Limit and Limited Quantity Index : Excepted quantities (TDG) : Passenger Carrying Road Vehicle or Passenger : Carrying Railway Vehicle Index 3 000 0 E0 75 L 14.2. Transport information/DOT - USA Department of Transport DOT NA no. : UN-No.(DOT) : Transport Document Description : Proper Shipping Name (DOT) : Contains Statement Field Selection (DOT): DOT_TECHNICAL - Proper Shipping Name - Technical (DO OT) Class (DOT) : Division (DOT) : Hazard labels (DOT) : 2.2 - Non-flammable gas UN1070 1070 UN1070 Nitrous oxide, 2.2 (5.1) Nitrous oxide 2.2 - Class 2.2 - Non-flammable compressed gas 49 CFR 173.115 2.2 5.1 - Oxidiser Dangerous for the environment: DOT Special Provisions (49 CFR 172.102) : DOT Packaging Exceptions (49 CFR 173.xxx) : DOT Packaging Non Bulk (49 CFR 173.xxx): DOT Packaging Bulk (49 CFR 173.xxx) : DOT Quantity Limitations Passenger aircraft/rail (49 CFR 173.27) : No A14 - This material is not authorized to be transported as a commodity in accordance with 173.306 of this subchapter w limited quantity or consumer when transported aboard an aircraft. 306 304 314;315 75 kg DOT Quantity Limitations Cargo aircraft only (49 CFR 175.75) : 150 kg DOT Vessel Stowage Location : A - The material may be stowed ‘‘on deck’’ or ‘‘under deck’’ on a cargo vessel and on a passenger vessel. DOT Vessel Stowage Other : 40 - Stow ''clear of living quarters'' Emergency Response Guide (ERG) Number: 122 Special transport precautions : Avoid transport on vehicles where the load space is not separated from the driver's compartment. Ensure vehicle driver is aware of the potential hazards of the load and knows what to do in the event of an accident or an emergency. Before transporting product containers: - Ensure there is adequate ventilation. - Ensure that containers are firmly secured. - Ensure cylinder valve is closed and not leaking. - Ensure valve outlet cap nut or plug (where provided) is correctly fitted. - Ensure valve protection device (where provided) is correctly fitted. Other information : No supplementary information available. 14.3. Air and sea transport IMDG UN-No. (IMDG) : 1070 Proper Shipping Name (IMDG) : NITROUS OXIDE Transport Document Description (IMDG): UN 1070 NITROUS OXIDE, 2.2 (5.1) Class (IMDG) : 2 - Gases Subsidiary risk (IMDG) : 5.1 IATA UN-No. (IATA) : 1070 Proper Shipping Name (IATA) : Nitrous oxide Transport Document Description (IATA): UN 1070 Nitrous oxide, 2.2 (5.1) Class (IATA) : 2 SECTION 15: Regulatory information 15.1. National regulations Nitrous oxide (10024-97-2) Listed on the Canadian DSL (Domestic Substances List) 15.2. International regulations Nitrous oxide (10024-97-2) Listed on the AICS (Australian Inventory of Chemical Substances) Listed on the EEC inventory EINECS (European Inventory of Existing Commercial Chemical Substances) Listed on IECSC (Inventory of Existing Chemical Substances Produced or Imported in China) Listed on the Japanese ENCS (Existing & New Chemical Substances) inventory Listed on NZIoC (New Zealand Inventory of Chemicals) Listed on the Korean ECL (Existing Chemicals List) Listed on PICCS (Philippines Inventory of Chemicals and Chemical Substances) Listed on INSQ (Mexican National Inventory of Chemical Substances) Listed on the United States TSCA (Toxic Substances Control Act) inventory SECTION 16: Other information Date of issue : 05/15/2017 Full text of H-statements: ------ ------ ------ SDS Canada (GHS) THE INFORMATION, RECOMMENDATIONS AND DATA CONTAINED IN THIS DOCUMENT ARE INTENDED TO BE USED BY PROPERLY TRAINED AND QUALIFIED PERSONNEL ONLY AND AT THEIR SOLE RISKS AND DISCRETION. THE INFORMATION, RECOMMENDATIONS AND DATA HEREIN CONTAINED ARE DERIVED FROM SOURCES WHICH WE BELIEVE TO BE RELIABLE. HOWEVER, AIR LIQUIDE CANADA INC. MAKES NO REPRESENTATION AND GIVES NO WARRANTY OF ANY KIND WHATSOEVER WITH RESPECT TO THEIR ACCURACY OR COMPLETENESS AND ASSUMES NO LIABILITY FOR DAMAGES OR LOSS ARISING DIRECTLY OR INDIRECTLY FROM THEIR USE, WHETHER PROPER OR IMPROPER.	<urn:uuid:81605eed-625d-41a2-9168-4776ffafc461>	CC-MAIN-2020-40	https://www.airliquidehealthcare.ca/sites/alh_ca/files/sds/2018/02/16/air-liquide-healthcare-nitrous_oxide_compressed-ca-1001-00717.pdf	2020-09-21T09:56:24+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2020-40/subset=warc/part-00183-50bb8e61-7c5b-4d2c-bd34-dad6ca92b697.c000.gz.parquet	728,746,214	4,702	eng_Latn	eng_Latn	0.707741	eng_Latn	0.898444	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2292, 5379, 9109, 11129, 11174, 13056, 15005, 17947 ]	Date of issue: 05/15/2017 Version: 1.0 SECTION 1: Identification 1.1. Product identifier Product form : Substance Substance name : Nitrous Oxide (Compressed) Chemical name : Nitrous Oxide Substance type : Mono-constituent CAS-No. : 10024-97-2 Product code : CA-1001-00717 Formula : N 2 O Synonyms : Nitrogen oxide / Nitrous oxide / Nitrogen oxide (N2O) / Laughing gas / Hyponitrous acid / anhydride; Dinitrogen monoxide 1.2. Recommended use and restrictions on use Recommended uses and restrictions : Medical or Laboratory Purposes 1.3. Supplier Air Liquide Canada Inc. www.airliquide.ca 1250, René Lévesque West Blvd. Suite 1700 H3B 5E6 Montreal, QC - Canada T 1-800-817-7697 1.4. Emergency telephone number Emergency number : 514-878-1667 SECTION 2: Hazard identification 2.1. Classification of the substance or mixture Classification (GHS-CA) Oxidising Gases, Category 1 H270 Gases under pressure : Compressed gas H280 Specific target organ toxicity — Single exposure, Category 3, Narcosis H336 Full text of H statements : see section 16 2.2. GHS Label elements, including precautionary statements GHS-CA labelling Hazard pictograms (GHS-CA) : GHS04 GHS07 05/15/2017 EN (English) Signal word (GHS-CA) : Danger Hazard statements (GHS-CA) : H270 - May cause or intensify fire; oxidizer H280 - Contains gas under pressure; may explode if heated H336 - May cause drowsiness or dizziness OSHA-H01 - May displace oxygen and cause rapid suffocation CGA-HG01 - May cause frostbite Precautionary statements (GHS-CA): P370+P376 - In case of fire: Stop leak if safe to do so P501 - Dispose of contents/container in accordance with local/regional/national/international regulations. P403 - Store in a well-ventilated place P403+P233 - Store in a well-ventilated place. Keep container tightly closed P405 - Store locked up P220 - Keep away from clothing and other combustible materials P261 - Avoid breathing dust/fume/gas/mist/vapours/spray P262 - Do not get in eyes, on skin, or on clothing P244 - Keep valves and fittings free from oil and grease P202 - Do not handle until all safety precautions have been read and understood P312 - Call a POISON CENTER or doctor if you feel unwell P315 - Get immediate medical advice/attention P271 - Use only outdoors or in a well-ventilated area P304+P340 - IF INHALED: Remove person to fresh air and keep comfortable for breathing P302 - IF ON SKIN: P336+P315 - Thaw frosted parts with lukewarm water. Do not rub affected area CGA-PG02 - Protect from sunlight when ambient temperature exceeds 52 °C/125 °F CGA-PG05 - Use a back flow preventive device in the piping CGA-PG06 - Close valve after each use and when empty CGA-PG10 - Use only with equipment rated for cylinder pressure CGA-PG14 - Approach suspected leak area with caution CGA-PG20 - Use only with equipment of compatible materials of construction and rated for cylinder pressure CGA-PG21 - Open valve slowly CGA-PG22 - Use only with equipment cleaned for oxygen service 2.3. Other hazards No additional information available 2.4. Unknown acute toxicity (GHS-CA) No data available SECTION 3: Composition/information on ingredients 3.1. Substances Substance type : Mono-constituent Name : Nitrous Oxide (Compressed) CAS-No. : 10024-97-2 \| \| Name \| \| Chemical name/Synonyms \| \| Product identifier \| \| % \| Classification (GHS-CA) \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Nitrous oxide \| \| Dinitrogen oxide / Laughing gas / Nitrogen oxide (N2O) / NITROUS OXIDE \| \| (CAS-No.) 10024-97-2 \| \| > 99 \| \| \| Full text of hazard classes and H-statements : see section 16 3.2. Mixtures Not applicable SECTION 4: First-aid measures 4.1. Description of first aid measures First-aid measures after inhalation First-aid measures after skin contact First-aid measures after eye contact : Remove victim to fresh air and keep at rest in a position comfortable for breathing. If you feel unwell, seek medical advice. : Thaw frosted parts with lukewarm water. Do not rub affected area. Get immediate medical advice/attention. : Rinse cautiously with water for several minutes. Remove contact lenses, if present and easy to do. Continue rinsing. Consult an eye specialist. First-aid measures after ingestion : Ingestion is not considered a potential route of exposure. 4.2. Most important symptoms and effects (acute and delayed) Symptoms/effects after inhalation : May displace oxygen and cause rapid suffocation. May cause drowsiness or dizziness. Symptoms/effects after skin contact: Contact with the liquefied gas may cause frostbite. Symptoms/effects after eye contact: Contact with the product may cause cold burns or frostbite. Symptoms/effects after ingestion : Ingestion is not considered a potential route of exposure. Symptoms/effects upon intravenous administration : Not known. Chronic symptoms : None known. Most important symptoms and effects, both acute and delayed : Refer to section 11. 4.3. Immediate medical attention and special treatment, if necessary Other medical advice or treatment : If breathing is difficult, give oxygen. Obtain medical attention if breathing difficulty persists. SECTION 5: Fire-fighting measures 5.1. Suitable extinguishing media Suitable extinguishing media : Use extinguishing media appropriate for surrounding fire. 5.2. Unsuitable extinguishing media Unsuitable extinguishing media : Do not use water jet to extinguish. 5.3. Specific hazards arising from the hazardous product Fire hazard : The product is not flammable. Explosion hazard : Product is not explosive. Heat may build pressure, rupturing closed containers, spreading fire and increasing risk of burns and injuries. Hazardous combustion products : None known 5.4. Special protective equipment and precautions for fire-fighters Firefighting instructions : In case of fire: Evacuate area. Fight fire remotely due to the risk of explosion. Use water spray or fog for cooling exposed containers. Exercise caution when fighting any chemical fire. Exposure to fire may cause containers to rupture/explode. Protection during firefighting : Standard protective clothing and equipment (e.g, Self Contained Breathing Apparatus) for fire fighters. Do not enter fire area without proper protective equipment, including respiratory protection. SECTION 6: Accidental release measures 6.1. Personal precautions, protective equipment and emergency procedures General measures : Ensure adequate ventilation. Personal Precautions, Protective Equipment and Emergency Procedures : EVACUATE ALL PERSONNEL FROM AFFECTED AREA. Use appropriate protective equipment. If leak is on user's equipment, be certain to purge piping before attempting repairs. If leak is on a container or container valve contact the closest Air Liquide Canada location. 6.2. Methods and materials for containment and cleaning up For containment : Try to stop release if without risk. Methods for cleaning up Methods and material for containment and cleaning up : Dispose of contents/container in accordance with local/regional/national/international regulations. : None. 6.3. Reference to other sections For further information refer to section 8: "Exposure controls/personal protection" SECTION 7: Handling and storage 7.1. Precautions for safe handling Precautions for safe handling Hygiene measures : Do not handle until all safety precautions have been read and understood. Use only outdoors or in a well-ventilated area. : Do not eat, drink or smoke when using this product. Additional hazards when processed : Pressurized container: Do not pierce or burn, even after use. Use only with equipment rated for cylinder pressure. 7.2. Conditions for safe storage, including any incompatibilities Technical measures : Comply with applicable regulations. Storage conditions Incompatible products Incompatible materials : Store locked up. Do not expose to temperatures exceeding 52 °C/ 125 °F. Keep container closed when not in use. Protect cylinders from physical damage; do not drag, roll, slide or drop. Store in well ventilated area. : None known. : Flammable materials. Reducing agents. Combustible materials. Conditions for safe storage, including any incompatibilities : Observe all regulations and local requirements regarding storage of containers. Containers should not be stored in conditions likely to encourage corrosion. Container valve guards or caps should be in place. Containers should be stored in the vertical position and properly secured to prevent them from falling over. Stored containers should be periodically checked for general condition and leakage. Keep container below 50°C in a well ventilated place. Store containers in location free from fire risk and away from sources of heat and ignition. Keep away from combustible materials. SECTION 8: Exposure controls/personal protection 8.1. Control parameters \| USA - ACGIH \| ACGIH TWA (ppm) \| 50 ppm \| \|---\|---\|---\| \| Canada (Quebec) \| VEMP (mg/m³) \| 90 mg/m³ \| \| Canada (Quebec) \| VEMP (ppm) \| 50 ppm \| \| \| Nitrous oxide (10024-97-2) \| \| \| \|---\|---\|---\|---\| \| Alberta \| \| OEL TWA (mg/m³) \| 90 mg/m³ \| \| Alberta \| \| OEL TWA (ppm) \| 50 ppm \| \| British Columbia \| \| OEL TWA (ppm) \| 25 ppm \| \| Manitoba \| \| OEL TWA (ppm) \| 50 ppm \| \| New Brunswick \| \| OEL TWA (mg/m³) \| 90 mg/m³ \| \| New Brunswick \| \| OEL TWA (ppm) \| 50 ppm \| \| New Foundland & Labrador \| \| OEL TWA (ppm) \| 50 ppm \| \| Nova Scotia \| \| OEL TWA (ppm) \| 50 ppm \| \| Nunavut \| \| OEL STEL (ppm) \| 75 ppm \| \| Nunavut \| \| OEL TWA (ppm) \| 50 ppm \| \| Northwest Territories \| \| OEL STEL (ppm) \| 75 ppm \| \| Northwest Territories \| \| OEL TWA (ppm) \| 50 ppm \| \| Ontario \| \| OEL TWA (mg/m³) \| 45 mg/m³ \| \| Ontario \| \| OEL TWA (ppm) \| 25 ppm \| \| Prince Edward Island \| \| OEL TWA (ppm) \| 50 ppm \| \| Saskatchewan \| \| OEL STEL (ppm) \| 75 ppm \| \| Saskatchewan \| \| OEL TWA (ppm) \| 50 ppm \| 8.2. Appropriate engineering controls Appropriate engineering controls : Ensure exposure is below occupational exposure limits (where available). Provide adequate general and local exhaust ventilation. Systems under pressure should be regularly checked for leakages. Oxygen detectors should be used when asphyxiating gases may be released. Consider the use of a work permit system e.g. for maintenance activities. Environmental exposure controls : Refer to local regulations for restriction of emissions to the atmosphere. See section 13 for specific methods for waste gas treatment. 8.3. Individual protection measures/Personal protective equipment Personal protective equipment: Gloves. Safety glasses. Protective clothing. Safety shoes. Hand protection: Wear working gloves when handling gas containers. Eye protection: Wear safety glasses with side shields. Skin and body protection: Wear suitable protective clothing, e.g. lab coats, coveralls or flame resistant clothing. Respiratory protection: None necessary during routine operations. Thermal hazard protection: None necessary. Other information: Wear safety shoes while handling containers. SECTION 9: Physical and chemical properties Acute toxicity (dermal) : Not classified Acute toxicity (inhalation) : Inhalation:gas: Not classified. \| \| Nitrous Oxide (Compressed) ( \f )10024-97-2 \| \|---\|---\| \| LC50 inhalation rat (ppm) \| \| \| ATE CA (gases) \| \| \| \| Nitrous oxide (10024-97-2) \| \|---\|---\| \| LC50 inhalation rat (ppm) \| \| SECTION 12: Ecological information 12.1. Toxicity Ecology - general : Classification criteria are not met. 12.2. Persistence and degradability \| \| Nitrous Oxide (Compressed) (10024-97-2) \| \| \|---\|---\|---\| \| Persistence and degradability \| \| No data available. \| \| \| Nitrous oxide (10024-97-2) \| \| \| Persistence and degradability \| \| Not applicable for inorganic gases. \| 12.3. Bioaccumulative potential \| \| Nitrous Oxide (Compressed) (10024-97-2) \| \| \|---\|---\|---\| \| Log Pow \| \| Not applicable for gas mixtures. \| \| Log Kow \| \| Not applicable for gas mixtures. \| \| Bioaccumulative potential \| \| No data available. \| \| \| Nitrous oxide (10024-97-2) \| \| \| Log Pow \| \| Not applicable for inorganic gases. \| \| Bioaccumulative potential \| \| No data available. \| 12.4. Mobility in soil \| \| Nitrous Oxide (Compressed) (10024-97-2) \| \| \|---\|---\|---\| \| Mobility in soil \| \| No data available \| \| Log Pow \| \| Not applicable for gas mixtures. \| \| Log Kow \| \| Not applicable for gas mixtures. \| \| \| Nitrous oxide (10024-97-2) \| \| \| Log Pow \| \| Not applicable for inorganic gases. \| \| Ecology - soil \| \| Because of its high volatility, the product is unlikely to cause ground or water pollution. \| 12.5. Other adverse effects Effect on ozone layer : None. SECTION 13: Disposal considerations 13.1. Disposal methods Waste treatment methods : Contact supplier if guidance is required. Do not discharge into any place where its operating permits are not exceeded. accumulation could be dangerous. Ensure that the emission levels from local regulations or Nitrous Oxide (Compressed) ) Safety Data Sheet according to the Hazardous Products Regulation (February 11, 20 015) Product/Packaging disposal recommendations : Refer to the CGA Pamphlet P-63 "Disposal of Gases" availa more guidance on suitable disposal methods. able at www.cganet.com for Additional information : None. SECTION 14: Transport information 14.1. Basic shipping description In accordance with TDG Transportation of Dangerous Goods UN-No. (TDG) : TDG Primary Hazard Classes : TDG Subsidiary Classes : Transport Document Description: Proper Shipping Name : Hazard labels (TDG) : UN1070 2.2 - Class 2.2 - Non-Flammable, Non-Toxic Gas. 5.1 UN1070 NITROUS OXIDE, 2.2 (5.1) NITROUS OXIDE 2.2 - Non-flammable, non-toxic gases 5.1 - Oxidizing substances ERAP Index : Explosive Limit and Limited Quantity Index : Excepted quantities (TDG) : Passenger Carrying Road Vehicle or Passenger : Carrying Railway Vehicle Index 3 000 0 E0 75 L 14.2. Transport information/DOT - USA Department of Transport DOT NA no. : UN-No.(DOT) : Transport Document Description : Proper Shipping Name (DOT) : Contains Statement Field Selection (DOT): DOT_TECHNICAL - Proper Shipping Name - Technical (DO OT) Class (DOT) : Division (DOT) : Hazard labels (DOT) : 2.2 - Non-flammable gas UN1070 1070 UN1070 Nitrous oxide, 2.2 (5.1) Nitrous oxide 2.2 - Class 2.2 - Non-flammable compressed gas 49 CFR 173.115 2.2 5.1 - Oxidiser Dangerous for the environment: DOT Special Provisions (49 CFR 172.102) : DOT Packaging Exceptions (49 CFR 173.xxx) : DOT Packaging Non Bulk (49 CFR 173.xxx): DOT Packaging Bulk (49 CFR 173.xxx) : DOT Quantity Limitations Passenger aircraft/rail (49 CFR 173.27) : No A14 - This material is not authorized to be transported as a commodity in accordance with 173.306 of this subchapter w limited quantity or consumer when transported aboard an aircraft. 306 304 314;315 75 kg DOT Quantity Limitations Cargo aircraft only (49 CFR 175.75) : 150 kg DOT Vessel Stowage Location : A - The material may be stowed ‘‘on deck’’ or ‘‘under deck’’ on a cargo vessel and on a passenger vessel. DOT Vessel Stowage Other : 40 - Stow ''clear of living quarters'' Emergency Response Guide (ERG) Number: 12	2 Special transport precautions : Avoid transport on vehicles where the load space is not separated from the driver's compartment.		15,326	inside_word	122	remove_all	<url> https://www.airliquidehealthcare.ca/sites/alh_ca/files/sds/2018/02/16/air-liquide-healthcare-nitrous_oxide_compressed-ca-1001-00717.pdf </url> <text> Date of issue: 05/15/2017 Version: 1.0 SECTION 1: Identification 1.1. Product identifier Product form : Substance Substance name : Nitrous Oxide (Compressed) Chemical name : Nitrous Oxide Substance type : Mono-constituent CAS-No. : 10024-97-2 Product code : CA-1001-00717 Formula : N 2 O Synonyms : Nitrogen oxide / Nitrous oxide / Nitrogen oxide (N2O) / Laughing gas / Hyponitrous acid / anhydride; Dinitrogen monoxide 1.2. Recommended use and restrictions on use Recommended uses and restrictions : Medical or Laboratory Purposes 1.3. Supplier Air Liquide Canada Inc. www.airliquide.ca 1250, René Lévesque West Blvd. Suite 1700 H3B 5E6 Montreal, QC - Canada T 1-800-817-7697 1.4. Emergency telephone number Emergency number : 514-878-1667 SECTION 2: Hazard identification 2.1. Classification of the substance or mixture Classification (GHS-CA) Oxidising Gases, Category 1 H270 Gases under pressure : Compressed gas H280 Specific target organ toxicity — Single exposure, Category 3, Narcosis H336 Full text of H statements : see section 16 2.2. GHS Label elements, including precautionary statements GHS-CA labelling Hazard pictograms (GHS-CA) : GHS04 GHS07 05/15/2017 EN (English) Signal word (GHS-CA) : Danger Hazard statements (GHS-CA) : H270 - May cause or intensify fire; oxidizer H280 - Contains gas under pressure; may explode if heated H336 - May cause drowsiness or dizziness OSHA-H01 - May displace oxygen and cause rapid suffocation CGA-HG01 - May cause frostbite Precautionary statements (GHS-CA): P370+P376 - In case of fire: Stop leak if safe to do so P501 - Dispose of contents/container in accordance with local/regional/national/international regulations. P403 - Store in a well-ventilated place P403+P233 - Store in a well-ventilated place. Keep container tightly closed P405 - Store locked up P220 - Keep away from clothing and other combustible materials P261 - Avoid breathing dust/fume/gas/mist/vapours/spray P262 - Do not get in eyes, on skin, or on clothing P244 - Keep valves and fittings free from oil and grease P202 - Do not handle until all safety precautions have been read and understood P312 - Call a POISON CENTER or doctor if you feel unwell P315 - Get immediate medical advice/attention P271 - Use only outdoors or in a well-ventilated area P304+P340 - IF INHALED: Remove person to fresh air and keep comfortable for breathing P302 - IF ON SKIN: P336+P315 - Thaw frosted parts with lukewarm water. Do not rub affected area CGA-PG02 - Protect from sunlight when ambient temperature exceeds 52 °C/125 °F CGA-PG05 - Use a back flow preventive device in the piping CGA-PG06 - Close valve after each use and when empty CGA-PG10 - Use only with equipment rated for cylinder pressure CGA-PG14 - Approach suspected leak area with caution CGA-PG20 - Use only with equipment of compatible materials of construction and rated for cylinder pressure CGA-PG21 - Open valve slowly CGA-PG22 - Use only with equipment cleaned for oxygen service 2.3. Other hazards No additional information available 2.4. Unknown acute toxicity (GHS-CA) No data available SECTION 3: Composition/information on ingredients 3.1. Substances Substance type : Mono-constituent Name : Nitrous Oxide (Compressed) CAS-No. : 10024-97-2 \| \| Name \| \| Chemical name/Synonyms \| \| Product identifier \| \| % \| Classification (GHS-CA) \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Nitrous oxide \| \| Dinitrogen oxide / Laughing gas / Nitrogen oxide (N2O) / NITROUS OXIDE \| \| (CAS-No.) 10024-97-2 \| \| > 99 \| \| \| Full text of hazard classes and H-statements : see section 16 3.2. Mixtures Not applicable SECTION 4: First-aid measures 4.1. Description of first aid measures First-aid measures after inhalation First-aid measures after skin contact First-aid measures after eye contact : Remove victim to fresh air and keep at rest in a position comfortable for breathing. If you feel unwell, seek medical advice. : Thaw frosted parts with lukewarm water. Do not rub affected area. Get immediate medical advice/attention. : Rinse cautiously with water for several minutes. Remove contact lenses, if present and easy to do. Continue rinsing. Consult an eye specialist. First-aid measures after ingestion : Ingestion is not considered a potential route of exposure. 4.2. Most important symptoms and effects (acute and delayed) Symptoms/effects after inhalation : May displace oxygen and cause rapid suffocation. May cause drowsiness or dizziness. Symptoms/effects after skin contact: Contact with the liquefied gas may cause frostbite. Symptoms/effects after eye contact: Contact with the product may cause cold burns or frostbite. Symptoms/effects after ingestion : Ingestion is not considered a potential route of exposure. Symptoms/effects upon intravenous administration : Not known. Chronic symptoms : None known. Most important symptoms and effects, both acute and delayed : Refer to section 11. 4.3. Immediate medical attention and special treatment, if necessary Other medical advice or treatment : If breathing is difficult, give oxygen. Obtain medical attention if breathing difficulty persists. SECTION 5: Fire-fighting measures 5.1. Suitable extinguishing media Suitable extinguishing media : Use extinguishing media appropriate for surrounding fire. 5.2. Unsuitable extinguishing media Unsuitable extinguishing media : Do not use water jet to extinguish. 5.3. Specific hazards arising from the hazardous product Fire hazard : The product is not flammable. Explosion hazard : Product is not explosive. Heat may build pressure, rupturing closed containers, spreading fire and increasing risk of burns and injuries. Hazardous combustion products : None known 5.4. Special protective equipment and precautions for fire-fighters Firefighting instructions : In case of fire: Evacuate area. Fight fire remotely due to the risk of explosion. Use water spray or fog for cooling exposed containers. Exercise caution when fighting any chemical fire. Exposure to fire may cause containers to rupture/explode. Protection during firefighting : Standard protective clothing and equipment (e.g, Self Contained Breathing Apparatus) for fire fighters. Do not enter fire area without proper protective equipment, including respiratory protection. SECTION 6: Accidental release measures 6.1. Personal precautions, protective equipment and emergency procedures General measures : Ensure adequate ventilation. Personal Precautions, Protective Equipment and Emergency Procedures : EVACUATE ALL PERSONNEL FROM AFFECTED AREA. Use appropriate protective equipment. If leak is on user's equipment, be certain to purge piping before attempting repairs. If leak is on a container or container valve contact the closest Air Liquide Canada location. 6.2. Methods and materials for containment and cleaning up For containment : Try to stop release if without risk. Methods for cleaning up Methods and material for containment and cleaning up : Dispose of contents/container in accordance with local/regional/national/international regulations. : None. 6.3. Reference to other sections For further information refer to section 8: "Exposure controls/personal protection" SECTION 7: Handling and storage 7.1. Precautions for safe handling Precautions for safe handling Hygiene measures : Do not handle until all safety precautions have been read and understood. Use only outdoors or in a well-ventilated area. : Do not eat, drink or smoke when using this product. Additional hazards when processed : Pressurized container: Do not pierce or burn, even after use. Use only with equipment rated for cylinder pressure. 7.2. Conditions for safe storage, including any incompatibilities Technical measures : Comply with applicable regulations. Storage conditions Incompatible products Incompatible materials : Store locked up. Do not expose to temperatures exceeding 52 °C/ 125 °F. Keep container closed when not in use. Protect cylinders from physical damage; do not drag, roll, slide or drop. Store in well ventilated area. : None known. : Flammable materials. Reducing agents. Combustible materials. Conditions for safe storage, including any incompatibilities : Observe all regulations and local requirements regarding storage of containers. Containers should not be stored in conditions likely to encourage corrosion. Container valve guards or caps should be in place. Containers should be stored in the vertical position and properly secured to prevent them from falling over. Stored containers should be periodically checked for general condition and leakage. Keep container below 50°C in a well ventilated place. Store containers in location free from fire risk and away from sources of heat and ignition. Keep away from combustible materials. SECTION 8: Exposure controls/personal protection 8.1. Control parameters \| USA - ACGIH \| ACGIH TWA (ppm) \| 50 ppm \| \|---\|---\|---\| \| Canada (Quebec) \| VEMP (mg/m³) \| 90 mg/m³ \| \| Canada (Quebec) \| VEMP (ppm) \| 50 ppm \| \| \| Nitrous oxide (10024-97-2) \| \| \| \|---\|---\|---\|---\| \| Alberta \| \| OEL TWA (mg/m³) \| 90 mg/m³ \| \| Alberta \| \| OEL TWA (ppm) \| 50 ppm \| \| British Columbia \| \| OEL TWA (ppm) \| 25 ppm \| \| Manitoba \| \| OEL TWA (ppm) \| 50 ppm \| \| New Brunswick \| \| OEL TWA (mg/m³) \| 90 mg/m³ \| \| New Brunswick \| \| OEL TWA (ppm) \| 50 ppm \| \| New Foundland & Labrador \| \| OEL TWA (ppm) \| 50 ppm \| \| Nova Scotia \| \| OEL TWA (ppm) \| 50 ppm \| \| Nunavut \| \| OEL STEL (ppm) \| 75 ppm \| \| Nunavut \| \| OEL TWA (ppm) \| 50 ppm \| \| Northwest Territories \| \| OEL STEL (ppm) \| 75 ppm \| \| Northwest Territories \| \| OEL TWA (ppm) \| 50 ppm \| \| Ontario \| \| OEL TWA (mg/m³) \| 45 mg/m³ \| \| Ontario \| \| OEL TWA (ppm) \| 25 ppm \| \| Prince Edward Island \| \| OEL TWA (ppm) \| 50 ppm \| \| Saskatchewan \| \| OEL STEL (ppm) \| 75 ppm \| \| Saskatchewan \| \| OEL TWA (ppm) \| 50 ppm \| 8.2. Appropriate engineering controls Appropriate engineering controls : Ensure exposure is below occupational exposure limits (where available). Provide adequate general and local exhaust ventilation. Systems under pressure should be regularly checked for leakages. Oxygen detectors should be used when asphyxiating gases may be released. Consider the use of a work permit system e.g. for maintenance activities. Environmental exposure controls : Refer to local regulations for restriction of emissions to the atmosphere. See section 13 for specific methods for waste gas treatment. 8.3. Individual protection measures/Personal protective equipment Personal protective equipment: Gloves. Safety glasses. Protective clothing. Safety shoes. Hand protection: Wear working gloves when handling gas containers. Eye protection: Wear safety glasses with side shields. Skin and body protection: Wear suitable protective clothing, e.g. lab coats, coveralls or flame resistant clothing. Respiratory protection: None necessary during routine operations. Thermal hazard protection: None necessary. Other information: Wear safety shoes while handling containers. SECTION 9: Physical and chemical properties Acute toxicity (dermal) : Not classified Acute toxicity (inhalation) : Inhalation:gas: Not classified. \| \| Nitrous Oxide (Compressed) ( \f )10024-97-2 \| \|---\|---\| \| LC50 inhalation rat (ppm) \| \| \| ATE CA (gases) \| \| \| \| Nitrous oxide (10024-97-2) \| \|---\|---\| \| LC50 inhalation rat (ppm) \| \| SECTION 12: Ecological information 12.1. Toxicity Ecology - general : Classification criteria are not met. 12.2. Persistence and degradability \| \| Nitrous Oxide (Compressed) (10024-97-2) \| \| \|---\|---\|---\| \| Persistence and degradability \| \| No data available. \| \| \| Nitrous oxide (10024-97-2) \| \| \| Persistence and degradability \| \| Not applicable for inorganic gases. \| 12.3. Bioaccumulative potential \| \| Nitrous Oxide (Compressed) (10024-97-2) \| \| \|---\|---\|---\| \| Log Pow \| \| Not applicable for gas mixtures. \| \| Log Kow \| \| Not applicable for gas mixtures. \| \| Bioaccumulative potential \| \| No data available. \| \| \| Nitrous oxide (10024-97-2) \| \| \| Log Pow \| \| Not applicable for inorganic gases. \| \| Bioaccumulative potential \| \| No data available. \| 12.4. Mobility in soil \| \| Nitrous Oxide (Compressed) (10024-97-2) \| \| \|---\|---\|---\| \| Mobility in soil \| \| No data available \| \| Log Pow \| \| Not applicable for gas mixtures. \| \| Log Kow \| \| Not applicable for gas mixtures. \| \| \| Nitrous oxide (10024-97-2) \| \| \| Log Pow \| \| Not applicable for inorganic gases. \| \| Ecology - soil \| \| Because of its high volatility, the product is unlikely to cause ground or water pollution. \| 12.5. Other adverse effects Effect on ozone layer : None. SECTION 13: Disposal considerations 13.1. Disposal methods Waste treatment methods : Contact supplier if guidance is required. Do not discharge into any place where its operating permits are not exceeded. accumulation could be dangerous. Ensure that the emission levels from local regulations or Nitrous Oxide (Compressed) ) Safety Data Sheet according to the Hazardous Products Regulation (February 11, 20 015) Product/Packaging disposal recommendations : Refer to the CGA Pamphlet P-63 "Disposal of Gases" availa more guidance on suitable disposal methods. able at www.cganet.com for Additional information : None. SECTION 14: Transport information 14.1. Basic shipping description In accordance with TDG Transportation of Dangerous Goods UN-No. (TDG) : TDG Primary Hazard Classes : TDG Subsidiary Classes : Transport Document Description: Proper Shipping Name : Hazard labels (TDG) : UN1070 2.2 - Class 2.2 - Non-Flammable, Non-Toxic Gas. 5.1 UN1070 NITROUS OXIDE, 2.2 (5.1) NITROUS OXIDE 2.2 - Non-flammable, non-toxic gases 5.1 - Oxidizing substances ERAP Index : Explosive Limit and Limited Quantity Index : Excepted quantities (TDG) : Passenger Carrying Road Vehicle or Passenger : Carrying Railway Vehicle Index 3 000 0 E0 75 L 14.2. Transport information/DOT - USA Department of Transport DOT NA no. : UN-No.(DOT) : Transport Document Description : Proper Shipping Name (DOT) : Contains Statement Field Selection (DOT): DOT_TECHNICAL - Proper Shipping Name - Technical (DO OT) Class (DOT) : Division (DOT) : Hazard labels (DOT) : 2.2 - Non-flammable gas UN1070 1070 UN1070 Nitrous oxide, 2.2 (5.1) Nitrous oxide 2.2 - Class 2.2 - Non-flammable compressed gas 49 CFR 173.115 2.2 5.1 - Oxidiser Dangerous for the environment: DOT Special Provisions (49 CFR 172.102) : DOT Packaging Exceptions (49 CFR 173.xxx) : DOT Packaging Non Bulk (49 CFR 173.xxx): DOT Packaging Bulk (49 CFR 173.xxx) : DOT Quantity Limitations Passenger aircraft/rail (49 CFR 173.27) : No A14 - This material is not authorized to be transported as a commodity in accordance with 173.306 of this subchapter w limited quantity or consumer when transported aboard an aircraft. 306 304 314;315 75 kg DOT Quantity Limitations Cargo aircraft only (49 CFR 175.75) : 150 kg DOT Vessel Stowage Location : A - The material may be stowed ‘‘on deck’’ or ‘‘under deck’’ on a cargo vessel and on a passenger vessel. DOT Vessel Stowage Other : 40 - Stow ''clear of living quarters'' Emergency Response Guide (ERG) Number: 12<cursor_is_here> </text>	[ { "content": "<url>\nhttps://www.airliquidehealthcare.ca/sites/alh_ca/files/sds/2018/02/16/air-liquide-healthcare-nitrous_oxide_compressed-ca-1001-00717.pdf\n</url>\n<text>\nDate of issue: 05/15/2017\n\nVersion: 1.0\n\nSECTION 1: Identification\n\n1.1. Product identifier\n\nProduct form\n\n: Substance\n\nSubstance name\n\n: Nitrous Oxide (Compressed)\n\nChemical name\n\n: Nitrous Oxide\n\nSubstance type\n\n: Mono-constituent\n\nCAS-No.\n\n: 10024-97-2\n\nProduct code\n\n: CA-1001-00717\n\nFormula\n\n: N\n\n2\n\nO\n\nSynonyms\n\n: Nitrogen oxide / Nitrous oxide / Nitrogen oxide (N2O) / Laughing gas / Hyponitrous acid / anhydride; Dinitrogen monoxide\n\n1.2. Recommended use and restrictions on use\n\nRecommended uses and restrictions : Medical or Laboratory Purposes\n\n1.3.\n\nSupplier\n\nAir Liquide Canada Inc.\n\nwww.airliquide.ca\n\n1250, René Lévesque West Blvd. Suite 1700\n\nH3B 5E6 Montreal, QC - Canada\n\nT 1-800-817-7697\n\n1.4.\n\nEmergency telephone number\n\nEmergency number\n\n: 514-878-1667\n\nSECTION 2: Hazard identification\n\n2.1. Classification of the substance or mixture\n\nClassification (GHS-CA)\n\nOxidising Gases, Category 1\n\nH270\n\nGases under pressure : Compressed gas\n\nH280\n\nSpecific target organ toxicity — Single exposure, Category 3, Narcosis H336\n\nFull text of H statements : see section 16\n\n2.2. GHS Label elements, including precautionary statements\n\nGHS-CA labelling\n\nHazard pictograms (GHS-CA)\n\n:\n\nGHS04\n\nGHS07\n\n05/15/2017\n\nEN (English)\n\nSignal word (GHS-CA)\n\n: Danger\n\nHazard statements (GHS-CA)\n\n: H270 - May cause or intensify fire; oxidizer\n\nH280 - Contains gas under pressure; may explode if heated\n\nH336 - May cause drowsiness or dizziness\n\nOSHA-H01 - May displace oxygen and cause rapid suffocation\n\nCGA-HG01 - May cause frostbite\n\nPrecautionary statements (GHS-CA): P370+P376 - In case of fire: Stop leak if safe to do so\n\nP501 - Dispose of contents/container in accordance with local/regional/national/international regulations. P403 - Store in a well-ventilated place\n\nP403+P233 - Store in a well-ventilated place. Keep container tightly closed\n\nP405 - Store locked up\n\nP220 - Keep away from clothing and other combustible materials\n\nP261 - Avoid breathing dust/fume/gas/mist/vapours/spray\n\nP262 - Do not get in eyes, on skin, or on clothing\n\nP244 - Keep valves and fittings free from oil and grease\n\nP202 - Do not handle until all safety precautions have been read and understood\n\nP312 - Call a POISON CENTER or doctor if you feel unwell\n\nP315 - Get immediate medical advice/attention\n\nP271 - Use only outdoors or in a well-ventilated area\n\nP304+P340 - IF INHALED: Remove person to fresh air and keep comfortable for breathing P302 - IF ON SKIN:\n\nP336+P315 - Thaw frosted parts with lukewarm water. Do not rub affected area\n\nCGA-PG02 - Protect from sunlight when ambient temperature exceeds 52 °C/125 °F\n\nCGA-PG05 - Use a back flow preventive device in the piping\n\nCGA-PG06 - Close valve after each use and when empty\n\nCGA-PG10 - Use only with equipment rated for cylinder pressure\n\nCGA-PG14 - Approach suspected leak area with caution\n\nCGA-PG20 - Use only with equipment of compatible materials of construction and rated for\n\ncylinder pressure\n\nCGA-PG21 - Open valve slowly\n\nCGA-PG22 - Use only with equipment cleaned for oxygen service\n\n2.3. Other hazards\n\nNo additional information available\n\n2.4.\n\nUnknown acute toxicity (GHS-CA)\n\nNo data available\n\nSECTION 3: Composition/information on ingredients\n\n3.1.\n\nSubstances\n\nSubstance type\n\n: Mono-constituent\n\nName\n\n: Nitrous Oxide (Compressed)\n\nCAS-No.\n\n: 10024-97-2\n\n\| \| Name \| \| Chemical name/Synonyms \| \| Product identifier \| \| % \| Classification (GHS-CA) \|\n\|---\|---\|---\|---\|---\|---\|---\|---\|---\|\n\| Nitrous oxide \| \| Dinitrogen oxide / Laughing gas / Nitrogen oxide (N2O) / NITROUS OXIDE \| \| (CAS-No.) 10024-97-2 \| \| > 99 \| \| \|\n\nFull text of hazard classes and H-statements : see section 16\n\n3.2. Mixtures\n\nNot applicable\n\nSECTION 4: First-aid measures\n\n4.1. Description of first aid measures\n\nFirst-aid measures after inhalation\n\nFirst-aid measures after skin contact\n\nFirst-aid measures after eye contact\n\n: Remove victim to fresh air and keep at rest in a position comfortable for breathing. If you feel unwell, seek medical advice.\n\n: Thaw frosted parts with lukewarm water. Do not rub affected area. Get immediate medical advice/attention.\n\n: Rinse cautiously with water for several minutes. Remove contact lenses, if present and easy to do. Continue rinsing. Consult an eye specialist.\n\nFirst-aid measures after ingestion\n\n: Ingestion is not considered a potential route of exposure.\n\n4.2. Most important symptoms and effects (acute and delayed)\n\nSymptoms/effects after inhalation\n\n: May displace oxygen and cause rapid suffocation. May cause drowsiness or dizziness.\n\nSymptoms/effects after skin contact: Contact with the liquefied gas may cause frostbite.\n\nSymptoms/effects after eye contact: Contact with the product may cause cold burns or frostbite.\n\nSymptoms/effects after ingestion\n\n: Ingestion is not considered a potential route of exposure.\n\nSymptoms/effects upon intravenous\n\nadministration\n\n: Not known.\n\nChronic symptoms\n\n: None known.\n\nMost important symptoms and effects, both\n\nacute and delayed\n\n: Refer to section 11.\n\n4.3. Immediate medical attention and special treatment, if necessary\n\nOther medical advice or treatment\n\n: If breathing is difficult, give oxygen. Obtain medical attention if breathing difficulty persists.\n\nSECTION 5: Fire-fighting measures\n\n5.1. Suitable extinguishing media\n\nSuitable extinguishing media\n\n: Use extinguishing media appropriate for surrounding fire.\n\n5.2. Unsuitable extinguishing media\n\nUnsuitable extinguishing media\n\n: Do not use water jet to extinguish.\n\n5.3. Specific hazards arising from the hazardous product\n\nFire hazard\n\n: The product is not flammable.\n\nExplosion hazard\n\n: Product is not explosive. Heat may build pressure, rupturing closed containers, spreading fire and increasing risk of burns and injuries.\n\nHazardous combustion products\n\n: None known\n\n5.4. Special protective equipment and precautions for fire-fighters\n\nFirefighting instructions\n\n: In case of fire: Evacuate area. Fight fire remotely due to the risk of explosion. Use water spray or fog for cooling exposed containers. Exercise caution when fighting any chemical fire. Exposure to fire may cause containers to rupture/explode.\n\nProtection during firefighting\n\n: Standard protective clothing and equipment (e.g, Self Contained Breathing Apparatus) for fire fighters. Do not enter fire area without proper protective equipment, including respiratory protection.\n\nSECTION 6: Accidental release measures\n\n6.1. Personal precautions, protective equipment and emergency procedures\n\nGeneral measures\n\n: Ensure adequate ventilation.\n\nPersonal Precautions, Protective Equipment and Emergency Procedures\n\n: EVACUATE ALL PERSONNEL FROM AFFECTED AREA. Use appropriate protective equipment. If leak is on user's equipment, be certain to purge piping before attempting repairs. If leak is on a container or container valve contact the closest Air Liquide Canada location.\n\n6.2. Methods and materials for containment and cleaning up\n\nFor containment\n\n: Try to stop release if without risk.\n\nMethods for cleaning up\n\nMethods and material for containment and cleaning up\n\n: Dispose of contents/container in accordance with local/regional/national/international regulations.\n: None.\n\n6.3.\n\nReference to other sections\n\nFor further information refer to section 8: \"Exposure controls/personal protection\"\n\nSECTION 7: Handling and storage\n\n7.1. Precautions for safe handling\n\nPrecautions for safe handling\n\nHygiene measures\n\n: Do not handle until all safety precautions have been read and understood. Use only outdoors or in a well-ventilated area.\n: Do not eat, drink or smoke when using this product.\n\nAdditional hazards when processed\n\n: Pressurized container: Do not pierce or burn, even after use. Use only with equipment rated for cylinder pressure.\n\n7.2. Conditions for safe storage, including any incompatibilities\n\nTechnical measures\n\n: Comply with applicable regulations.\n\nStorage conditions\n\nIncompatible products\n\nIncompatible materials\n\n: Store locked up. Do not expose to temperatures exceeding 52 °C/ 125 °F. Keep container closed when not in use. Protect cylinders from physical damage; do not drag, roll, slide or drop. Store in well ventilated area.\n\n: None known.\n\n: Flammable materials. Reducing agents. Combustible materials.\n\nConditions for safe storage, including any incompatibilities\n\n: Observe all regulations and local requirements regarding storage of containers. Containers should not be stored in conditions likely to encourage corrosion. Container valve guards or caps should be in place. Containers should be stored in the vertical position and properly secured to prevent them from falling over. Stored containers should be periodically checked for general condition and leakage. Keep container below 50°C in a well ventilated place. Store containers in location free from fire risk and away from sources of heat and ignition. Keep away from combustible materials.\n\nSECTION 8: Exposure controls/personal protection\n\n8.1. Control parameters\n\n\| USA - ACGIH \| ACGIH TWA (ppm) \| 50 ppm \|\n\|---\|---\|---\|\n\| Canada (Quebec) \| VEMP (mg/m³) \| 90 mg/m³ \|\n\| Canada (Quebec) \| VEMP (ppm) \| 50 ppm \|\n\n\| \| Nitrous oxide (10024-97-2) \| \| \|\n\|---\|---\|---\|---\|\n\| Alberta \| \| OEL TWA (mg/m³) \| 90 mg/m³ \|\n\| Alberta \| \| OEL TWA (ppm) \| 50 ppm \|\n\| British Columbia \| \| OEL TWA (ppm) \| 25 ppm \|\n\| Manitoba \| \| OEL TWA (ppm) \| 50 ppm \|\n\| New Brunswick \| \| OEL TWA (mg/m³) \| 90 mg/m³ \|\n\| New Brunswick \| \| OEL TWA (ppm) \| 50 ppm \|\n\| New Foundland & Labrador \| \| OEL TWA (ppm) \| 50 ppm \|\n\| Nova Scotia \| \| OEL TWA (ppm) \| 50 ppm \|\n\| Nunavut \| \| OEL STEL (ppm) \| 75 ppm \|\n\| Nunavut \| \| OEL TWA (ppm) \| 50 ppm \|\n\| Northwest Territories \| \| OEL STEL (ppm) \| 75 ppm \|\n\| Northwest Territories \| \| OEL TWA (ppm) \| 50 ppm \|\n\| Ontario \| \| OEL TWA (mg/m³) \| 45 mg/m³ \|\n\| Ontario \| \| OEL TWA (ppm) \| 25 ppm \|\n\| Prince Edward Island \| \| OEL TWA (ppm) \| 50 ppm \|\n\| Saskatchewan \| \| OEL STEL (ppm) \| 75 ppm \|\n\| Saskatchewan \| \| OEL TWA (ppm) \| 50 ppm \|\n\n8.2.\n\nAppropriate engineering controls\n\nAppropriate engineering controls\n\n: Ensure exposure is below occupational exposure limits (where available). Provide adequate general and local exhaust ventilation. Systems under pressure should be regularly checked for leakages. Oxygen detectors should be used when asphyxiating gases may be released. Consider the use of a work permit system e.g. for maintenance activities.\n\nEnvironmental exposure controls\n\n: Refer to local regulations for restriction of emissions to the atmosphere. See section 13 for specific methods for waste gas treatment.\n\n8.3. Individual protection measures/Personal protective equipment\n\nPersonal protective equipment:\n\nGloves. Safety glasses. Protective clothing. Safety shoes.\n\nHand protection:\n\nWear working gloves when handling gas containers.\n\nEye protection:\n\nWear safety glasses with side shields.\n\nSkin and body protection:\n\nWear suitable protective clothing, e.g. lab coats, coveralls or flame resistant clothing.\n\nRespiratory protection:\n\nNone necessary during routine operations.\n\nThermal hazard protection:\n\nNone necessary.\n\nOther information:\n\nWear safety shoes while handling containers.\n\nSECTION 9: Physical and chemical properties\n\nAcute toxicity (dermal)\n\n: Not classified\n\nAcute toxicity (inhalation)\n\n: Inhalation:gas: Not classified.\n\n\| \| Nitrous Oxide (Compressed) ( \\f )10024-97-2 \|\n\|---\|---\|\n\| LC50 inhalation rat (ppm) \| \|\n\| ATE CA (gases) \| \|\n\n\| \| Nitrous oxide (10024-97-2) \|\n\|---\|---\|\n\| LC50 inhalation rat (ppm) \| \|\n\nSECTION 12: Ecological information\n\n12.1. Toxicity\n\nEcology - general\n\n: Classification criteria are not met.\n\n12.2. Persistence and degradability\n\n\| \| Nitrous Oxide (Compressed) (10024-97-2) \| \|\n\|---\|---\|---\|\n\| Persistence and degradability \| \| No data available. \|\n\| \| Nitrous oxide (10024-97-2) \| \|\n\| Persistence and degradability \| \| Not applicable for inorganic gases. \|\n\n12.3. Bioaccumulative potential\n\n\| \| Nitrous Oxide (Compressed) (10024-97-2) \| \|\n\|---\|---\|---\|\n\| Log Pow \| \| Not applicable for gas mixtures. \|\n\| Log Kow \| \| Not applicable for gas mixtures. \|\n\| Bioaccumulative potential \| \| No data available. \|\n\| \| Nitrous oxide (10024-97-2) \| \|\n\| Log Pow \| \| Not applicable for inorganic gases. \|\n\| Bioaccumulative potential \| \| No data available. \|\n\n12.4. Mobility in soil\n\n\| \| Nitrous Oxide (Compressed) (10024-97-2) \| \|\n\|---\|---\|---\|\n\| Mobility in soil \| \| No data available \|\n\| Log Pow \| \| Not applicable for gas mixtures. \|\n\| Log Kow \| \| Not applicable for gas mixtures. \|\n\| \| Nitrous oxide (10024-97-2) \| \|\n\| Log Pow \| \| Not applicable for inorganic gases. \|\n\| Ecology - soil \| \| Because of its high volatility, the product is unlikely to cause ground or water pollution. \|\n\n12.5. Other adverse effects\n\nEffect on ozone layer\n\n: None.\n\nSECTION 13: Disposal considerations\n\n13.1. Disposal methods\n\nWaste treatment methods\n\n: Contact supplier if guidance is required. Do not discharge into any place where its operating permits are not exceeded.\n\naccumulation could be dangerous. Ensure that the emission levels from local regulations or\n\nNitrous Oxide (Compressed) )\n\nSafety Data Sheet\n\naccording to the Hazardous Products Regulation (February 11, 20 015)\n\nProduct/Packaging disposal recommendations\n\n: Refer to the CGA Pamphlet P-63 \"Disposal of Gases\" availa more guidance on suitable disposal methods. able at www.cganet.com for\n\nAdditional information\n\n: None.\n\nSECTION 14: Transport information\n\n14.1. Basic shipping description\n\nIn accordance with TDG\n\nTransportation of Dangerous Goods\n\nUN-No. (TDG)\n\n:\n\nTDG Primary Hazard Classes :\n\nTDG Subsidiary Classes :\n\nTransport Document Description:\n\nProper Shipping Name :\n\nHazard labels (TDG)\n\n:\n\nUN1070\n\n2.2 - Class 2.2 - Non-Flammable, Non-Toxic Gas.\n\n5.1\n\nUN1070 NITROUS OXIDE, 2.2 (5.1)\n\nNITROUS OXIDE\n\n2.2 - Non-flammable, non-toxic gases\n\n5.1 - Oxidizing substances\n\nERAP Index :\n\nExplosive Limit and Limited Quantity Index :\n\nExcepted quantities (TDG)\n\n:\n\nPassenger Carrying Road Vehicle or Passenger :\n\nCarrying Railway Vehicle Index\n\n3 000\n\n0\n\nE0\n\n75 L\n\n14.2. Transport information/DOT - USA\n\nDepartment of Transport\n\nDOT NA no. :\n\nUN-No.(DOT) :\n\nTransport Document Description :\n\nProper Shipping Name (DOT)\n\n:\n\nContains Statement Field Selection (DOT): DOT_TECHNICAL - Proper Shipping Name - Technical (DO OT)\n\nClass (DOT) :\n\nDivision (DOT)\n\n:\n\nHazard labels (DOT)\n\n: 2.2 - Non-flammable gas\n\nUN1070\n\n1070\n\nUN1070 Nitrous oxide, 2.2 (5.1)\n\nNitrous oxide\n\n2.2 - Class 2.2 - Non-flammable compressed gas 49 CFR 173.115\n\n2.2\n\n5.1 - Oxidiser\n\nDangerous for the environment:\n\nDOT Special Provisions (49 CFR 172.102) :\n\nDOT Packaging Exceptions (49 CFR 173.xxx) :\n\nDOT Packaging Non Bulk (49 CFR 173.xxx):\n\nDOT Packaging Bulk (49 CFR 173.xxx) :\n\nDOT Quantity Limitations Passenger aircraft/rail (49 CFR 173.27) :\n\nNo\n\nA14 - This material is not authorized to be transported as a commodity in accordance with 173.306 of this subchapter w limited quantity or consumer when transported aboard an aircraft.\n\n306\n\n304\n\n314;315\n\n75 kg\n\nDOT Quantity Limitations Cargo aircraft only (49 CFR 175.75)\n\n: 150 kg\n\nDOT Vessel Stowage Location\n\n: A - The material may be stowed ‘‘on deck’’ or ‘‘under deck’’ on a cargo vessel and on a passenger vessel.\n\nDOT Vessel Stowage Other\n\n: 40 - Stow ''clear of living quarters''\n\nEmergency Response Guide (ERG) Number: 12<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "2\n\nSpecial transport precautions\n\n: Avoid transport on vehicles where the load space is not separated from the driver's compartment.", "role": "assistant" } ]
TEACHER OVERVIEW Passive Solar Design for Homes For Grades 6, 7 and 8 OVERVIEW In this unit students will learn about using the right type of materials in a home that conserves energy and the importance of building orientation and window sizing. Students will engage in an activity to measure temperature changes in several thermal storage samples. By the end of the unit, students will appreciate the need to plan construction with proper materials. Students will learn that simple measures, such as landscaping and installing thermal storage, make a big difference in energy consumption. OBJECTIVES See Middle School Teacher Resource Guide for TEKS objectives and additional information regarding this and other middle school units. SUGGESTED TIMEFRAME Teacher will need to determine how many class periods to devote to each activity, based on the suggested timeframe and length of classes. \| Time \| Activity \| Content Area \| \|---\|---\|---\| \| 10 minutes 15 minutes 45 minutes \| Activity 1 – Teacher Introduction Activity 2 – Assessment of Current Student Knowledge Activity 3 – Reading Passage and Vocabulary Homework Assignment – Sentences with Vocabulary \| Science Reading Vocabulary Language Arts \| \| 30 minutes 60 minutes \| Activity 4 – Pre-Lab Activity 5 – Lab \| Science \| \| 30 minutes \| Activity 6 – Post-Lab \| Science \| \| 30 minutes \| Activity 7 – Assessment \| Science \| REQUIRED MATERIALS „ copy of the Reading Passage and Student Data Sheets (includes reading comprehension questions, vocabulary and Lab Activity) for each student „ graph paper „ copy of the Assessment Questions for each student „ an equipment kit for each group containing the following items: * 3 small thermometers (non-mercury recommended) * 200 ml each of optional materials to test, such as water, packed sand, shredded paper, powdered cement, mortar, plaster, rock, etc, (students will measure each into a separate beaker) * 1 lab thermometer (non-mercury recommended * 1 liter of ice water OR * 3 beakers to hold test materials * 1 liter of hot water at 85° C approximate, (hot from tap) * goggles * container to hold beakers (cake pans work well) * gloves SUMMARY OF ACTIVITIES Activity 1 – Teacher Introduction (10 minutes) Explain to the class that for the next unit of study, they will be learning about passive solar energy and how these principles can be used in our homes and other buildings. They will be introduced to using appropriate building materials and choosing appropriate design options, such as the position of the building relative to the sun and landscaping. The purpose of the Lab Activity is to test the thermal storage capabilities of several materials that could be used as thermal mass, such as sand, shredded paper and powdered cement, mortar or plaster. Each test material will first be contained in a test beaker and then placed in either a hot water bath or a cold water bath. The effect of the hot or cold water on the test material will be gauged by taking temperature readings of the test material at 1minute intervals for 10 minutes. Test materials with small changes in temperature will have the better thermal storage capabilities than materials with greater temperature changes. TEACHER OVERVIEW Activity 2 – Assessment of Current Student Knowledge (15 minutes) To assess what students already know, prompt a class discussion based on the 4 questions listed below. Based on this discussion, create and display a graphic organizer of the points that were discussed, which can be displayed throughout the unit of study. Refer to the Teacher Resource Guide for a sample bubble graph. 1. What does it mean to use proper building materials to conserve energy in the home? What are examples of these proper building materials? that could be used as thermal mass, such as sand, shredded paper and powdered cement, mortar or plaster. For teachers interested in exploring scientific inquiry more fully as it applies to this Lab, see the Teacher Resource Guide for guidelines. Before performing the lab, students can be given the lab instructions to read and summarize the steps involved. The summary can be in the form of a brief chart. Review safety guidelines before students conduct the lab. See Teacher Resource Guide for general safety guidelines. Demonstrate proper use and care of the equipment used in the activity. 2. Why would the position of a building relative to the sun be important for the building's heating and cooling needs? 4. What impact would natural shading and landscaping have on helping to cool or heat a home? 3. Do you think that homes in Texas can be designed to be solar homes? See Teacher Resource Guide for alternative or additional assessment activity. Activity 3 – Vocabulary and Reading Passage (45 minutes) Each student will need a copy of the Reading Passage and the Student Data Sheets, which include reading comprehension questions, vocabulary words and the Lab Activity. (As an alternative to making copies, the Student Data Sheets can be displayed so the entire class can view them and copy the information into their science notebook.) Instruct students to study the Reading Passage and complete the questions and vocabulary. This activity will help them learn about passive solar design and prepare them for the Lab Activity in which they will test the thermal storage capabilities of several materials. Key vocabulary words in the Reading Passage will assist them in understanding the Lab Activity instructions. For students who wish to learn more of the detailed principles about passive solar design, direct them to the appropriate resources. Suggested resources are included in the Teacher Resource Guide. At the end of this activity, collect and grade the student's work. Return their graded work the following day. Homework Assignment – Key Vocabulary List 2. Collect and grade this assignment the next day. 1. Instruct students to create in their science notebooks meaningful sentences that reflect an understanding of the definition of each vocabulary word. Students should have written the definition of the words in their science notebooks during class. See Teacher Resource Guide for alternative vocabulary homework. Activity 4 – Pre-Lab (30 minutes) 1. Explain to the class that the purpose of the Lab Activity is to test the thermal storage capabilities of several materials 2. Divide the class into small groups to test their materials and conduct the activity. To ensure that all students participate, instruct the groups to assign who will be responsible for each step in the activity before beginning. Activity 5 – Lab Activity (60 minutes) 2. Confirm that the students have recorded their time measurements on their Lab Report Form, as well as answers and calculations to the lab questions. 1. Instruct each group to obtain the materials for one Lab Activity kit. The materials include hot and cold water to use as the water baths. The teacher should decide if each group will test the materials with hot and cold water or if each group will be assigned hot or cold water. The data tables can be modified accordingly. Suggestions 2. Students should not try forcing a thermometer through a dense material, such as sand or cement, because the thermometer may break. Demonstrate how students can pour a portion of the dense material into the beaker, place the thermometer in the beaker, and then continue pouring the material in the beaker around the thermometer. 1. Before conducting the activity, the teacher should gather the test materials for the class (sand, shredded paper, powdered cement, etc.) and store them in buckets, dishpans or other similar containers and label their contents. Before returning tested materials to their original containers so other groups/classes may test them, some materials, like sand should be transferred to a temporary container so it can return to room temperature. They may be cold or warm for a while as a result of the experiment. Dense materials gain and lose heat slowly. 3. To obtain the correct amount of materials, students can estimate the 200 ml of sand or other materials in a 250 ml beaker. a) Time vs. Temperature Measurement of Each Material (line graph) 4. Graphs that can be created from this activity include: b) Material vs. Total Temperature Change of Each Material (bar graph) Sample observations See Figures 1 and 2 for sample graphs that can be created. See Tables 1 and 2 for sample data obtained for this activity. TEACHER OVERVIEW Teacher's Sample Data Table Table 1. Temperature Readings (°C) in Hot Water Bath, 2 Minute Intervals Activity 6 – Post Lab (30 minutes) After students have completed their Lab Report Forms and have created graphs, discuss their results and their answers to the lab report questions. Activity 7 – Assessment (30 minutes) Distribute a copy of the Assessment Questions to each student. Instruct each student to work alone and answer the short answer and multiple-choice questions. Collect the handouts, grade and return them to the students. ADDITIONAL ACTIVITIES Have the groups repeat the Lab Activity, using the opposite temperature of water for the bath. If they used hot water during the Lab, have them repeat the activity using ice water and vice versa. 1. Using Opposite Temperature Water Bath 2. Internet or Library Research Group 1 – earliest uses of passive solar design in homes Group 2 – current areas of the U.S. that are using solar home Students can research information available on the Internet about passive solar design for buildings. Suggested resources are included in the Teacher Resource Guide. You may divide the class into 4 groups and assign each group to a particular topic. Each group can create a display of the information that they found and provide a short summary of their findings. Suggested group topics include: and green building construction techniques Group 4 – Trombe wall construction in homes Group 3 – commonly used home building materials and alternative building materials that could replace them to create thermal mass 3. Collage Collect newspapers and magazines with advertisements from home improvement centers. Ask students to create a collage of the building materials that are advertised for creating floors, walls, fireplaces and other applications where thermal mass could be utilized. The collage should also contain a description of each material and its thermal storage abilities. The color of a particular building material can also be a factor, along with the material itself. Table 2. Temperature Readings (°C) in Cold Water Bath, 2 Minute Intervals Passive Solar Design for Homes HIGHLIGHTS * Direct or indirect gain, solar heating can save money sun. All that is required is an interest in using passive solar design in the building. Once this design is chosen, the building basically becomes a large solar collector. * House orientation and window sizing are keys to proper design * Thermal storage helps control overheating of spaces * Porches and trees are important elements in solar control SUMMARY Sometimes when architects and builders decide where to locate a home or building on a piece of land, they try to position it so that it can make the most use of the sun's heat in the winter. At the same time, they make sure the building will not be too hot in the summer. Locating and placing a home based on the sun is called "solar orientation." Solar orientation for heating and cooling buildings is not a new idea. Builders in China and Greece were designing buildings that used the sun's heat over 2,000 years ago. Buildings in any climate can take advantage of the THE SUN AND YOUR HOME The sun is much lower in the sky during the winter than it is in the summer at most places on Earth. The only exception to this fact is when the location is near the equator. Then the sun remains directly overhead. Solar homes are designed to use the changing position of the sun to benefit the home throughout the year. This is done by allowing the sun to shine into the house in the winter, which heats the home, and by blocking out the sun during the summer, which helps keep the home cooler. To do this, architects and builders must know the exact position of the sun in the sky at various times of the year. Then they can predict the angle that the sun's rays will shine into a home. Using that information, they will know where to place windows and roof overhangs. DIRECT-GAIN SYSTEM The simplest way to use passive solar heating is to just let the sun shine into FIG. 1 SUN ANGLES This diagram shows the direct gain system. Summer Sun Summer Sun Winter Sun Winter Sun Overhang Insulation Overhang Clearstory Masonry Mass the home. This is known as a direct gain system. During the winter, a direct gain system uses south-facing windows that allow heat from the sun to enter the home (See Fig. 1). That heat is then stored using thermal mass. Thermal mass is a dense material that gains or looses heat slowly. Examples of thermal mass include concrete, adobe, stone, brick and water. Heat that is stored in the thermal mass is eventually released into the home later when the sun is no longer high in the sky. During the summer, when the sun is higher in the sky, window overhangs block the sun. For Texans, the most important thing to consider is that the home has the right number of south-facing windows. The right number of south-facing windows depends on how big the home is, also known as the square footage of the house. Too many windows will make the home too hot, which could be worse than no windows at all. When designed correctly, a direct-gain solar home in a Texas city like Amarillo could get 75 percent of the heat it needs from the sun. INDIRECT-GAIN SYSTEMS The most common type of indirect system is a greenhouse or sun porch (See Fig. 2). These rooms trap heat from the sun that can be used in other parts of the house. These structures are usually built to provide more living space in the home or as a place to grow plants. They also contain a large amount of thermal mass to help store heat from the sun. This heat can then be used in other parts of the house by natural air movement or by a fan. During the hot Texas summer, when we want to keep our homes as cool as possible, these structures can be covered with a curtain, shades or blinds. Or we can let the warm air out by opening windows, door or vents. THERMAL STORAGE Solar homes work best when they are made with dense material that absorbs and loses heat slowly. These dense materials are known as thermal mass. Examples of thermal mass include water, adobe, insulated concrete slabs, masonry or even a brick fireplace. The thermal mass absorbs heat during the day when the sun is shining and releases it at night and when it is cloudy outside. Thermal mass also helps prevents homes from getting too hot during the day by absorbing excess heat. air to the outside during the summer. In addition, if a roof overhang is the right size, it will prevent sunlight from hitting the wall during the hot summer months. Builders can use thermal mass walls on the south side of homes and cover it with glass. These types of walls have been in use for centuries. These walls are sometimes called Trombe walls named after the French architect Felix Trombe. If the walls are constructed of masonry, small vents can be added in the top and bottom so that warm air from the air space in the wall will move into the home. If the home becomes too warm, the vents can be closed. In Texas, where cooling is usually more of a problem than heating, vents can be added to thermal walls that will move hot NATURAL SHADING AND LANDSCAPING Deciduous trees may be considered lowtech, but they are one of the best ways to keep a home cool in the summer and warm in the winter. During the summer, the trees provide shade that blocks the sun and keeps it from making the house warm. In the winter, when the leaves have fallen, sun can shine through the branches and into the home to provide some heat. Studies have shown that when the right type of shade trees, bushes and grass are planted in the right places, energy that is used to cool and heat a home can be reduced by up to 30 percent. STUDENT DATA SHEET Understanding the Reading Passage 1. What is solar orientation? ________________________________________________________________ _____________________________________________________________________________________ 2. What is thermal mass? __________________________________________________________________ List 3 examples: 1 ______________________________________________ 2 ______________________________________________ 3 ______________________________________________ 3. How can greenhouses and sun porches help heat and cool our home? ______________________________ _____________________________________________________________________________________ 4. What is a Trombe wall and how can it help heat and cool our home? _______________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ 5. How can landscaping help heat and cool our home? ____________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ 6. In your own words, explain how Figure 1 and Figure 2 are similar. _____________________________________________________________________________________ _____________________________________________________________________________________ Vocabulary Based on the Reading Passage, write down your understanding of these words or word pairs and verify your definitions in a dictionary, on the Internet if available or with your teacher: architect _______________________________________________________________________________ climate ________________________________________________________________________________ deciduous ______________________________________________________________________________ dense __________________________________________________________________________________ direct gain ______________________________________________________________________________ indirect gain ____________________________________________________________________________ passive solar _____________________________________________________________________________ solar collector ___________________________________________________________________________ thermal mass ____________________________________________________________________________ Trombe wall ____________________________________________________________________________ Lab Activity – Testing Thermal Storage Materials Introduction Performing the Experiment (wear goggles, use gloves) The purpose of this activity is to test the thermal storage capabilities of several materials that could be used as thermal mass. Before You Start Review the vocabulary words from the Reading Passage. Ask your teacher if you are unsure of any of the meanings. Divide up all the steps in the Lab Activity first, so that everyone has a clear job to do. Materials * 200 ml of any 3 test materials your teacher has prepared Obtain an equipment kit from your teacher. Check that it contains the following materials: * 3 small thermometers * 3 beakers to hold test materials * 1 lab thermometer * 1 liter of ice water OR * container to hold beakers * 1 liter of hot water at 85° C approximate * goggles * gloves 9. Dispose of the contents of your beakers as directed by your teacher. 1. As directed by your teacher, obtain 200 ml of each material you will be testing: sand, paper or other material. 3. Place a small thermometer in each beaker you will test. Be sure the test material covers the bottom of the thermometer. 2. Place 200 ml of one test material in beaker #1, 200 ml of the second test material in beaker #2, and 200 ml of the third test material in beaker #3. If you are using a more dense material as the teacher instructs, fill the beaker halfway then place the thermometer into the material and finish filling the beaker. You should avoid forcing a thermometer into dense materials because the thermometer may break. 4. Record the starting temperatures of the test materials on your Data Table. 6. Take 1 liter of either hot or cold water as directed by your teacher and pour the water into the container with the 3 standing beakers. 8. Read and record on your Data Table the temperature of the test materials and the water bath every minute for 10 minutes. 5. Place your 3 beakers to be tested into the container. 7. Place a separate thermometer in the water bath. STUDENT DATA SHEET Lab Report Form – Testing Thermal Storage Materials Date ___________________________________________________________________________________ Purpose of this lab is to _____________________________________________________________________ ________________________________________________________________________________________ Instructions: Follow the instructions listed in the Lab Activity and record your measurements in the Data Table below. Once you have completed all the measurements and calculations, answer the questions at the end of this form and create a graph according to your teacher's instructions. DATA TABLE. Temperature Measurements of Thermal Mass In Water Baths \| Time \| Material: __________ Temperature of Material \| Material: __________ Temperature of Material \| Material: __________ Temperature of Material \| Temperature of Water \| \|---\|---\|---\|---\|---\| \| Start \| \| \| \| \| \| 00:01 \| \| \| \| \| \| 00:02 \| \| \| \| \| \| 00:03 \| \| \| \| \| \| 00:04 \| \| \| \| \| \| 00:05 \| \| \| \| \| \| 00:06 \| \| \| \| \| \| 00:07 \| \| \| \| \| \| 00:08 \| \| \| \| \| \| 00:09 \| \| \| \| \| \| 00:10 \| \| \| \| \| \| Total Temperature Change \| \| \| \| \| 1. Which material retained its initial temperature the longest? ______________________________________ 2. Which material changed its initial temperature the quickest? _____________________________________ 3. How did this lab help you determine how thermal storage works? _________________________________ _____________________________________________________________________________________ 4. According to your teacher's instructions, create a graph with the data you have collected. STUDENT DATA SHEET Assessment Questions 1. What local materials do you think would provide good thermal mass? _____________________________________________________________________________________ _____________________________________________________________________________________ 2. Which material used in the activity kept its starting temperature the longest? _________________________ Why? ________________________________________________________________________________ 3. How is landscaping used in an energy efficient home design? _____________________________________________________________________________________ _____________________________________________________________________________________ Multiple Choice Questions 1. Passive solar design: b) depends on proper house orientation a) is useful in all climates c) can save you money d) all answers a, b, and c 2. The sun is: b) the same height in winter and summer a) higher in the sky in winter c) lower in the sky in winter d) lower in the sky in summer 3. The direct-gain system is dependent on: b) correct sun angles a) south-facing design c) any sun angle d) answers a and b 4. An example of thermal mass is: b) styrofoam a) adobe c) shade d) glass 5. Landscaping can: b) be thermal storage system a) change the sun's position c) be a direct gain glazing d) reduce energy costs 6. The Trombe wall is: b) a glass covered thermal mass wall a) a fire wall c) vented on top and bottom d) b and c 7. Deciduous means: b) indecisive a) evergreen c) losing leaves in autumn d) a flowering bush 8. Solar contribution is greatest in b) El Paso and Lubbock a) Lufkin and Corpus Christi c) Brownsville d) Houston 9. Generally in Texas: b) Having east-facing windows is important. a) Cooling is more of a problem than heating. c) Porches are unnecessary for shade. d) a and b 10. In order to keep a home cooler: b) blinds for windows are shut during the day a) shade trees are used c) hot air spaces are allowed to be vented d) all answers a, b, and c Understanding the Reading Passage 1. Solar orientation is locating and positioning a home on a piece of land so that it takes advantage of the sun for its heating and cooling needs. 3. They contain a large amount of thermal mass that can help store heat from the sun and can be enhanced by adding a fan to distribute air to different parts of the house. 2. Thermal mass is a material that gains and loses heat slowly. Examples include concrete, brick, tile, etc. 4. A thermal mass wall on the south side of a home that is covered in glass allows heat to be collected and stored. The heat can be circulated to the home by natural air movement or by vents. 6. Accept students' answers. Both Figures show how a house design can impact the amount of solar heat on a home. 5. Deciduous trees and bushes can prevent the sun from entering and heating a home thereby keeping the home cool. In the winter their bare branches allow sunlight in the home to keep it warm. Assessment Questions 1. The local materials will vary among concrete, brick, adobe, etc. 3. Well planned landscaping with deciduous trees can provide shade, especially on the west side of the house in the summer, and can allow sunlight to filter into the home in the winter. Plants and grass around the home are cooler than rocks and concrete, which create thermal mass in the yard, making the house hotter. 2. Answers will vary depending on lab results. In general, more dense materials will retain their starting temperature the longest. Multiple Choice Questions 1 d; 2 c; 3 d; 4 a; 5 d; 6 d; 7 c; 8 b; 9 a; 10 d Vocabulary Definitions architect – a person who designs buildings climate – the weather pattern in a region over a long period of time deciduous – a tree whose leaves shed each year at the end of the period of growth, often in autumn dense – thick, packed closely together direct-gain – solar radiation directly entering and heating living spaces, such as south-facing windows that admit heat from the winter sun and warm the room's air indirect-gain – storing or trapping heat so that it can be used in other parts of a building, such as a room with a substantial amount of thermal mass (concrete, adobe, brick, water, etc.), with many windows through which the thermal mass captures the heat from the sun and releases the stored heat at night passive solar – using or capturing solar energy without any external power solar collector – device that collects solar radiation and converts it into heat energy thermal mass – a dense material that gains or loses heat slowly; examples are concrete, adobe, stone, brick and water Trombe wall – a glass covered thermal mass wall on the south side of a home that uses small vents in the top and bottom to allow warm air to flow into the house InfinitePower.org Financial Acknowledgement This publication was developed as part of the Renewable Energy Demonstration Program and was funded 100% with oil overcharge funds from the Exxon settlement as provided by the Texas State Energy Conservation Office and the U.S. Department of Energy. Mention of trade names or commercial products does not constitute endorsement or recommendation for use. State Energy Conservation Office 111 East 17th Street, Room 1114 Austin, Texas 78774 Ph. 800.531.5441 ext 31796 www.InfinitePower.org Texas Comptroller of Public Accounts Publication #96-821B (03/05)	<urn:uuid:d015dca1-ea08-4160-8b6e-1518a824f944>	CC-MAIN-2014-41	http://www.greeneducationfoundation.org/institute/lesson-clearinghouse/download/file.html?fid=19.237	2014-09-23T14:22:50Z	s3://commoncrawl/crawl-data/CC-MAIN-2014-41/segments/1410657138980.37/warc/CC-MAIN-20140914011218-00120-ip-10-234-18-248.ec2.internal.warc.gz	542,895,477	5,618	eng_Latn	eng_Latn	0.93404	eng_Latn	0.999223	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "hau_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3214, 8484, 10626, 12556, 14708, 16254, 18848, 20851, 22531, 24555, 27340, 27944 ]	TEACHER OVERVIEW Passive Solar Design for Homes For Grades 6, 7 and 8 OVERVIEW In this unit students will learn about using the right type of materials in a home that conserves energy and the importance of building orientation and window sizing. Students will engage in an activity to measure temperature changes in several thermal storage samples. By the end of the unit, students will appreciate the need to plan construction with proper materials. Students will learn that simple measures, such as landscaping and installing thermal storage, make a big difference in energy consumption. OBJECTIVES See Middle School Teacher Resource Guide for TEKS objectives and additional information regarding this and other middle school units. SUGGESTED TIMEFRAME Teacher will need to determine how many class periods to devote to each activity, based on the suggested timeframe and length of classes. \| Time \| Activity \| Content Area \| \|---\|---\|---\| \| 10 minutes 15 minutes 45 minutes \| Activity 1 – Teacher Introduction Activity 2 – Assessment of Current Student Knowledge Activity 3 – Reading Passage and Vocabulary Homework Assignment – Sentences with Vocabulary \| Science Reading Vocabulary Language Arts \| \| 30 minutes 60 minutes \| Activity 4 – Pre-Lab Activity 5 – Lab \| Science \| \| 30 minutes \| Activity 6 – Post-Lab \| Science \| \| 30 minutes \| Activity 7 – Assessment \| Science \| REQUIRED MATERIALS „ copy of the Reading Passage and Student Data Sheets (includes reading comprehension questions, vocabulary and Lab Activity) for each student „ graph paper „ copy of the Assessment Questions for each student „ an equipment kit for each group containing the following items: * 3 small thermometers (non-mercury recommended) * 200 ml each of optional materials to test, such as water, packed sand, shredded paper, powdered cement, mortar, plaster, rock, etc, (students will measure each into a separate beaker) * 1 lab thermometer (non-mercury recommended * 1 liter of ice water OR * 3 beakers to hold test materials * 1 liter of hot water at 85° C approximate, (hot from tap) * goggles * container to hold beakers (cake pans work well) * gloves SUMMARY OF ACTIVITIES Activity 1 – Teacher Introduction (10 minutes) Explain to the class that for the next unit of study, they will be learning about passive solar energy and how these principles can be used in our homes and other buildings. They will be introduced to using appropriate building materials and choosing appropriate design options, such as the position of the building relative to the sun and landscaping. The purpose of the Lab Activity is to test the thermal storage capabilities of several materials that could be used as thermal mass, such as sand, shredded paper and powdered cement, mortar or plaster. Each test material will first be contained in a test beaker and then placed in either a hot water bath or a cold water bath. The effect of the hot or cold water on the test material will be gauged by taking temperature readings of the test material at 1minute intervals for 10 minutes. Test materials with small changes in temperature will have the better thermal storage capabilities than materials with greater temperature changes. TEACHER OVERVIEW Activity 2 – Assessment of Current Student Knowledge (15 minutes) To assess what students already know, prompt a class discussion based on the 4 questions listed below. Based on this discussion, create and display a graphic organizer of the points that were discussed, which can be displayed throughout the unit of study. Refer to the Teacher Resource Guide for a sample bubble graph. 1. What does it mean to use proper building materials to conserve energy in the home? What are examples of these proper building materials? that could be used as thermal mass, such as sand, shredded paper and powdered cement, mortar or plaster. For teachers interested in exploring scientific inquiry more fully as it applies to this Lab, see the Teacher Resource Guide for guidelines. Before performing the lab, students can be given the lab instructions to read and summarize the steps involved. The summary can be in the form of a brief chart. Review safety guidelines before students conduct the lab. See Teacher Resource Guide for general safety guidelines. Demonstrate proper use and care of the equipment used in the activity. 2. Why would the position of a building relative to the sun be important for the building's heating and cooling needs? 4. What impact would natural shading and landscaping have on helping to cool or heat a home? 3. Do you think that homes in Texas can be designed to be solar homes? See Teacher Resource Guide for alternative or additional assessment activity. Activity 3 – Vocabulary and Reading Passage (45 minutes) Each student will need a copy of the Reading Passage and the Student Data Sheets, which include reading comprehension questions, vocabulary words and the Lab Activity. (As an alternative to making copies, the Student Data Sheets can be displayed so the entire class can view them and copy the information into their science notebook.) Instruct students to study the Reading Passage and complete the questions and vocabulary. This activity will help them learn about passive solar design and prepare them for the Lab Activity in which they will test the thermal storage capabilities of several materials. Key vocabulary words in the Reading Passage will assist them in understanding the Lab Activity instructions. For students who wish to learn more of the detailed principles about passive solar design, direct them to the appropriate resources. Suggested resources are included in the Teacher Resource Guide. At the end of this activity, collect and grade the student's work. Return their graded work the following day. Homework Assignment – Key Vocabulary List 2. Collect and grade this assignment the next day. 1. Instruct students to create in their science notebooks meaningful sentences that reflect an understanding of the definition of each vocabulary word. Students should have written the definition of the words in their science notebooks during class. See Teacher Resource Guide for alternative vocabulary homework. Activity 4 – Pre-Lab (30 minutes) 1. Explain to the class that the purpose of the Lab Activity is to test the thermal storage capabilities of several materials 2. Divide the class into small groups to test their materials and conduct the activity. To ensure that all students participate, instruct the groups to assign who will be responsible for each step in the activity before beginning. Activity 5 – Lab Activity (60 minutes) 2. Confirm that the students have recorded their time measurements on their Lab Report Form, as well as answers and calculations to the lab questions. 1. Instruct each group to obtain the materials for one Lab Activity kit. The materials include hot and cold water to use as the water baths. The teacher should decide if each group will test the materials with hot and cold water or if each group will be assigned hot or cold water. The data tables can be modified accordingly. Suggestions 2. Students should not try forcing a thermometer through a dense material, such as sand or cement, because the thermometer may break. Demonstrate how students can pour a portion of the dense material into the beaker, place the thermometer in the beaker, and then continue pouring the material in the beaker around the thermometer. 1. Before conducting the activity, the teacher should gather the test materials for the class (sand, shredded paper, powdered cement, etc.) and store them in buckets, dishpans or other similar containers and label their contents. Before returning tested materials to their original containers so other groups/classes may test them, some materials, like sand should be transferred to a temporary container so it can return to room temperature. They may be cold or warm for a while as a result of the experiment. Dense materials gain and lose heat slowly. 3. To obtain the correct amount of materials, students can estimate the 200 ml of sand or other materials in a 250 ml beaker. a) Time vs. Temperature Measurement of Each Material (line graph) 4. Graphs that can be created from this activity include: b) Material vs. Total Temperature Change of Each Material (bar graph) Sample observations See Figures 1 and 2 for sample graphs that can be created. See Tables 1 and 2 for sample data obtained for this activity. TEACHER OVERVIEW Teacher's Sample Data Table Table 1. Temperature Readings (°C) in Hot Water Bath, 2 Minute Intervals Activity 6 – Post Lab (30 minutes) After students have completed their Lab Report Forms and have created graphs, discuss their results and their answers to the lab report questions. Activity 7 – Assessment (30 minutes) Distribute a copy of the Assessment Questions to each student. Instruct each student to work alone and answer the short answer and multiple-choice questions. Collect the handouts, grade and return them to the students. ADDITIONAL ACTIVITIES Have the groups repeat the Lab Activity, using the opposite temperature of water for the bath. If they used hot water during the Lab, have them repeat the activity using ice water and vice versa. 1. Using Opposite Temperature Water Bath 2. Internet or Library Research Group 1 – earliest uses of passive solar design in homes Group 2 – current areas of the U.S. that are using solar home Students can research information available on the Internet about passive solar design for buildings. Suggested resources are included in the Teacher Resource Guide. You may divide the class into 4 groups and assign each group to a particular topic. Each group can create a display of the information that they found and provide a short summary of their findings. Suggested group topics include: and green building construction techniques Group 4 – Trombe wall construction in homes Group 3 – commonly used home building materials and alternative building materials that could replace them to create thermal mass 3. Collage Collect newspapers and magazines with advertisements from home improvement centers. Ask students to create a collage of the building materials that are advertised for creating floors, walls, fireplaces and other applications where thermal mass could be utilized. The collage should also contain a description of each material and its thermal storage abilities. The color of a particular building material can also be a factor, along with the material itself. Table 2. Temperature Readings (°C) in Cold Water Bath, 2 Minute Intervals Passive Solar Design for Homes HIGHLIGHTS * Direct or indirect gain, solar heating can save money sun. All that is required is an interest in using passive solar design in the building. Once this design is chosen, the building basically becomes a large solar collector. * House orientation and window sizing are keys to proper design * Thermal storage helps control overheating of spaces * Porches and trees are important elements in solar control SUMMARY Sometimes when architects and builders decide where to locate a home or building on a piece of land, they try to position it so that it can make the most use of the sun's heat in the winter. At the same time, they make sure the building will not be too hot in the summer. Locating and placing a home based on the sun is called "solar orientation." Solar orientation for heating and cooling buildings is not a new idea. Builders in China and Greece were designing buildings that used the sun's heat over 2,000 years ago. Buildings in any climate can take advantage of the THE SUN AND YOUR HOME The sun is much lower in the sky during the winter than it is in the summer at most places on Earth. The only exception to this fact is when the location is near the equator. Then the sun remains directly overhead. Solar homes are designed to use the changing position of the sun to benefit the home throughout the year. This is done by allowing the sun to shine into the house in the winter, which heats the home, and by blocking out the sun during the summer, which helps keep the home cooler. To do this, architects and builders must know the exact position of the sun in the sky at various times of the year. Then they can predict the angle that the sun's rays will shine into a home. Using that information, they will know where to place windows and roof overhangs. DIRECT-GAIN SYSTEM The simplest way to use passive solar heating is to just let the sun shine into FIG. 1 SUN ANGLES This diagram shows the direct gain system. Summer Sun Summer Sun Winter Sun Winter Sun Overhang Insulation Overhang Clearstory Masonry Mass the home. This is known as a direct gain system. During the winter, a direct gain system uses south-facing windows that allow heat from the sun to enter the home (See Fig. 1). That heat is then stored using thermal mass. Thermal mass is a dense material that gains or looses heat slowly. Examples of thermal mass include concrete, adobe, stone, brick and water. Heat that is stored in the thermal mass is eventually released into the home later when the sun is no longer high in the sky. During the summer, when the sun is higher in the sky, window overhangs block the sun. For Texans, the most important thing to consider is that the home has the right number of south-facing windows. The right number of south-facing windows depends on how big the home is, also known as the square footage of the house. Too many windows will make the home too hot, which could be worse than no windows at all. When designed correctly, a direct-gain solar home in a Texas city like Amarillo could get 75 percent of the heat it needs from the sun. INDIRECT-GAIN SYSTEMS The most common type of indirect system is a greenhouse or sun porch (See Fig. 2). These rooms trap heat from the sun that can be used in other parts of the house. These structures are usually built to provide more living space in the home or as a place to grow plants. They also contain a large amount of thermal mass to help store heat from the sun. This heat can then be used in other parts of the house by natural air movement or by a fan. During the hot Texas summer, when we want to keep our homes as cool as possible, these structures can be covered with a curtain, shades or blinds. Or we can let the warm air out by opening windows, door or vents. THERMAL STORAGE Solar homes work best when they are made with dense material that absorbs and loses heat slowly. These dense materials are known as thermal mass. Examples of thermal mass include water, adobe, insulated concrete slabs, masonry or even a brick fireplace. The thermal mass absorbs heat during the day when the sun is shining and releases it at night and when it is cloudy outside. Thermal mass also helps prevents homes from getting too hot during the day by absorbing excess heat. air to the outside during the summer. In addition, if a roof overhang is the right size, it will prevent sunlight from hitting the wall during the hot summer months. Builders can use thermal mass walls on the south side of homes and cover it with glass. These types of walls have been in use for centuries. These walls are sometimes called Trombe walls named after the French architect Felix Trombe. If the walls are constructed of masonry, small vents can be added in the top and bottom so that warm air from the air space in the wall will move into the home. If the home becomes too warm, the vents can be closed. In Texas, where cooling is usually more of a problem than heating, vents can be added to thermal walls that will move hot NATURAL SHADING AND LANDSCAPING Deciduous trees may be considered lowtech, but they are one of the best ways to keep a home cool in the summer and warm in the winter. During the summer, the trees provide shade that blocks the sun and keeps it from making the house warm. In the winter, when the leaves have fallen, sun can shine through the branches and into the home to provide some heat. Studies have shown that when the right type of shade trees, bushes and grass are planted in the right places, energy that is used to cool and heat a home can be reduced by up to 30 percent. STUDENT DATA SHEET Understanding the Reading Passage 1. What is solar orientation? ________________________________________________________________ _____________________________________________________________________________________ 2. What is thermal mass? __________________________________________________________________ List 3 examples: 1 ______________________________________________ 2 ______________________________________________ 3 ______________________________________________ 3. How can greenhouses and sun porches help heat and cool our home? ______________________________ _____________________________________________________________________________________ 4. What is a Trombe wall and how can it help heat and cool our home? _______________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ 5. How can landscaping help heat and cool our home? ____________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ 6. In your own words, explain how Figure 1 and Figure 2 are similar. _____________________________________________________________________________________ _____________________________________________________________________________________ Vocabulary Based on the Reading Passage, write down your understanding of these words or word pairs and verify your definitions in a dictionary, on the Internet if available or with your teacher: architect _______________________________________________________________________________ climate ________________________________________________________________________________ deciduous ______________________________________________________________________________ dense __________________________________________________________________________________ direct gain ______________________________________________________________________________ indirect gain ____________________________________________________________________________ passive solar _____________________________________________________________________________ solar collector ___________________________________________________________________________ thermal mass ____________________________________________________________________________ Trombe wall ____________________________________________________________________________ Lab Activity – Testing Thermal Storage Materials Introduction Performing the Experiment (wear goggles, use gloves) The purpose of this activity is to test the thermal storage capabilities of several materials that could be used as thermal mass. Before You Start Review the vocabulary words from the Reading Passage. Ask your teacher if you are unsure of any of the meanings. Divide up all the steps in the Lab Activity first, so that everyone has a clear job to do. Materials * 200 ml of any 3 test materials your teacher has prepared Obtain an equipment kit from your teacher. Check that it contains the following materials: * 3 small thermometers * 3 beakers to hold test materials * 1 lab thermometer * 1 liter of ice water OR * container to hold beakers * 1 liter of hot water at 85° C approximate * goggles * gloves 9. Dispose of the contents of your beakers as directed by your teacher. 1. As directed by your teacher, obtain 200 ml of each material you will be testing: sand, paper or other material. 3. Place a small thermometer in each beaker you will test. Be sure the test material covers the bottom of the thermometer. 2. Place 200 ml of one test material in beaker #1, 200 ml of the second test material in beaker #2, and 200 ml of the third test material in beaker #3. If you are using a more dense material as the teacher instructs, fill the beaker halfway then place the thermometer into the material and finish filling the beaker. You should avoid forcing a thermometer into dense materials because the thermometer may break. 4. Record the starting temperatures of the test materials on your Data Table. 6. Take 1 liter of either hot or cold water as directed by your teacher and pour the water into the container with the 3 standing beakers. 8. Read and record on your Data Table the temperature of the test materials and the water bath every minute for 10 minutes. 5. Place your 3 beakers to be tested into the container. 7. Place a separate thermometer in the water bath. STUDENT DATA SHEET Lab Report Form – Testing Thermal Storage Materials Date ___________________________________________________________________________________ Purpose of this lab is to _____________________________________________________________________ ________________________________________________________________________________________ Instructions: Follow the instructions listed in the Lab Activity and record your measurements in the Data Table below. Once you have completed all the measurements and calculations, answer the questions at the end of this form and create a graph according to your teacher's instructions. DATA TABLE. Temperature Measurements of Thermal Mass In Water Baths \| Time \| Material: __________ Temperature of Material \| Material: __________ Temperature of Material \| Material: __________ Temperature of Material \| Temperature of Water \| \|---\|---\|---\|---\|---\| \| Start \| \| \| \| \| \| 00:01 \| \| \| \| \| \| 00:02 \| \| \| \| \| \| 00:03 \| \| \| \| \| \| 00:04 \| \| \| \| \| \| 00:05 \| \| \| \| \| \| 00:06 \| \| \| \| \| \| 00:07 \| \| \| \| \| \| 00:08 \| \| \| \| \| \| 00:09 \| \| \| \| \| \| 00:10 \| \| \| \| \| \| Total Temperature Change \| \| \| \| \| 1. Which material retained its initial temperature the longest? ______________________________________ 2. Which material changed its initial temperature the quickest? _____________________________________ 3. How did this lab help you determine how thermal storage works? _________________________________ _____________________________________________________________________________________ 4. According to your teacher's instructions, create a graph with the data you have collected. STUDENT DATA SHEET Assessment Questions 1. What local materials do you think would provide good thermal mass? _____________________________________________________________________________________ _____________________________________________________________________________________ 2. Which material used in the activity kept its starting temperature the longest? _________________________ Why? ________________________________________________________________________________ 3. How is landscaping used in an energy efficient home design? _____________________________________________________________________________________ _____________________________________________________________________________________ Multiple Choice Questions 1. Passive solar design: b) depends on proper house orientation a) is useful in all climates c) can save you money d) all answers a, b, and c 2. The sun is: b) the same height in winter and summer a) higher in the sky in winter c) lower in the sky in winter d) lower in the sky in summer 3. The direct-gain system is dependent on: b) correct sun angles a) south-facing design c) any sun angle d) answers a and b 4. An example of thermal mass is: b) styrofoam a) adobe c) shade d) glass 5. Landscaping can: b) be thermal storage system a) change the sun's position c) be a direct gain glazing d) reduce energy costs 6. The Trombe wall is: b) a glass covered thermal mass wall a) a fire wall c) vented on top and bottom d) b and c 7. Deciduous means: b) indecisive a) evergreen c) losing leaves in autumn d) a flowering bush 8. Solar contribution is greatest in b) El Paso and Lubbock a) Lufkin and Corpus Christi c) Brownsville d) Houston 9. Generally in Texas: b) Having east-facing windows is important. a) Cooling is more of a problem than heating. c) Porches are unnecessary for shade. d) a and b 10. In order to keep a home cooler: b) blinds for windows are shut during the day a) shade trees are used c) hot air spaces are allowed to be vented d) all answers a, b, and c Understanding the Reading Passage 1. Solar orientation is locating and positioning a home on a piece of land so that it takes advantage of the sun for its heating and cooling needs. 3. They contain a large amount of thermal mass that can help store heat from the sun and can be enhanced by adding a fan to distribute air to different parts of the house. 2. Thermal mass is a material that gains and loses heat slowly. Examples include concrete, brick, tile, etc. 4. A thermal mass wall on the south side of a home that is covered in glass allows heat to be collected and stored. The heat can be circulated to the home by natural air movement or by vents. 6. Accept students' answers. Both Figures show how a house design can impact the amount of solar heat on a home. 5. Deciduous trees and bushes can prevent the sun from entering and heating a home thereby keeping the home cool. In the winter their bare branches allow sunlight in the home to keep it warm. Assessment Questions 1. The local materials will vary among concrete, brick, adobe, etc. 3. Well planned landscaping with deciduous trees can provide shade, especially on the west side of the house in the summer, and can allow sunlight to filter into the home in the winter. Plants and grass around the home are cooler than rocks and concrete, which create thermal mass in the yard, making the house hotter. 2. Answers will vary depending on la	b results.	In general, more dense materials will retain their starting temperature the longest. Multiple Choice Questions 1 d; 2 c; 3 d; 4 a; 5 d; 6 d; 7 c; 8 b; 9 a; 10 d Vocabulary Definitions architect – a person who designs buildings climate – the weather pattern in a region over a long period of time deciduous – a tree whose leaves shed each year at the end of the period of growth, often in autumn dense – thick, packed closely together direct-gain – solar radiation directly entering and heating living spaces, such as south-facing windows that admit heat from the winter sun and warm the room's air indirect-gain – storing or trapping heat so that it can be used in other parts of a building, such as a room with a substantial amount of thermal mass (concrete, adobe, brick, water, etc.), with many windows through which the thermal mass captures the heat from the sun and releases the stored heat at night passive solar – using or capturing solar energy without any external power solar collector – device that collects solar radiation and converts it into heat energy thermal mass – a dense material that gains or loses heat slowly; examples are concrete, adobe, stone, brick and water Trombe wall – a glass covered thermal mass wall on the south side of a home that uses small vents in the top and bottom to allow warm air to flow into the house InfinitePower.org Financial Acknowledgement This publication was developed as part of the Renewable Energy Demonstration Program and was funded 100% with oil overcharge funds from the Exxon settlement as provided by the Texas State Energy Conservation Office and the U.S. Department of Energy. Mention of trade names or commercial products does not constitute endorsement or recommendation for use. State Energy Conservation Office 111 East 17th Street, Room 1114 Austin, Texas 78774 Ph. 800.531.5441 ext 31796 www.InfinitePower.org Texas Comptroller of Public Accounts Publication #96-821B (03/05)	25,964	inside_word	lab	remove_one_sentence	<url> http://www.greeneducationfoundation.org/institute/lesson-clearinghouse/download/file.html?fid=19.237 </url> <text> TEACHER OVERVIEW Passive Solar Design for Homes For Grades 6, 7 and 8 OVERVIEW In this unit students will learn about using the right type of materials in a home that conserves energy and the importance of building orientation and window sizing. Students will engage in an activity to measure temperature changes in several thermal storage samples. By the end of the unit, students will appreciate the need to plan construction with proper materials. Students will learn that simple measures, such as landscaping and installing thermal storage, make a big difference in energy consumption. OBJECTIVES See Middle School Teacher Resource Guide for TEKS objectives and additional information regarding this and other middle school units. SUGGESTED TIMEFRAME Teacher will need to determine how many class periods to devote to each activity, based on the suggested timeframe and length of classes. \| Time \| Activity \| Content Area \| \|---\|---\|---\| \| 10 minutes 15 minutes 45 minutes \| Activity 1 – Teacher Introduction Activity 2 – Assessment of Current Student Knowledge Activity 3 – Reading Passage and Vocabulary Homework Assignment – Sentences with Vocabulary \| Science Reading Vocabulary Language Arts \| \| 30 minutes 60 minutes \| Activity 4 – Pre-Lab Activity 5 – Lab \| Science \| \| 30 minutes \| Activity 6 – Post-Lab \| Science \| \| 30 minutes \| Activity 7 – Assessment \| Science \| REQUIRED MATERIALS „ copy of the Reading Passage and Student Data Sheets (includes reading comprehension questions, vocabulary and Lab Activity) for each student „ graph paper „ copy of the Assessment Questions for each student „ an equipment kit for each group containing the following items: * 3 small thermometers (non-mercury recommended) * 200 ml each of optional materials to test, such as water, packed sand, shredded paper, powdered cement, mortar, plaster, rock, etc, (students will measure each into a separate beaker) * 1 lab thermometer (non-mercury recommended * 1 liter of ice water OR * 3 beakers to hold test materials * 1 liter of hot water at 85° C approximate, (hot from tap) * goggles * container to hold beakers (cake pans work well) * gloves SUMMARY OF ACTIVITIES Activity 1 – Teacher Introduction (10 minutes) Explain to the class that for the next unit of study, they will be learning about passive solar energy and how these principles can be used in our homes and other buildings. They will be introduced to using appropriate building materials and choosing appropriate design options, such as the position of the building relative to the sun and landscaping. The purpose of the Lab Activity is to test the thermal storage capabilities of several materials that could be used as thermal mass, such as sand, shredded paper and powdered cement, mortar or plaster. Each test material will first be contained in a test beaker and then placed in either a hot water bath or a cold water bath. The effect of the hot or cold water on the test material will be gauged by taking temperature readings of the test material at 1minute intervals for 10 minutes. Test materials with small changes in temperature will have the better thermal storage capabilities than materials with greater temperature changes. TEACHER OVERVIEW Activity 2 – Assessment of Current Student Knowledge (15 minutes) To assess what students already know, prompt a class discussion based on the 4 questions listed below. Based on this discussion, create and display a graphic organizer of the points that were discussed, which can be displayed throughout the unit of study. Refer to the Teacher Resource Guide for a sample bubble graph. 1. What does it mean to use proper building materials to conserve energy in the home? What are examples of these proper building materials? that could be used as thermal mass, such as sand, shredded paper and powdered cement, mortar or plaster. For teachers interested in exploring scientific inquiry more fully as it applies to this Lab, see the Teacher Resource Guide for guidelines. Before performing the lab, students can be given the lab instructions to read and summarize the steps involved. The summary can be in the form of a brief chart. Review safety guidelines before students conduct the lab. See Teacher Resource Guide for general safety guidelines. Demonstrate proper use and care of the equipment used in the activity. 2. Why would the position of a building relative to the sun be important for the building's heating and cooling needs? 4. What impact would natural shading and landscaping have on helping to cool or heat a home? 3. Do you think that homes in Texas can be designed to be solar homes? See Teacher Resource Guide for alternative or additional assessment activity. Activity 3 – Vocabulary and Reading Passage (45 minutes) Each student will need a copy of the Reading Passage and the Student Data Sheets, which include reading comprehension questions, vocabulary words and the Lab Activity. (As an alternative to making copies, the Student Data Sheets can be displayed so the entire class can view them and copy the information into their science notebook.) Instruct students to study the Reading Passage and complete the questions and vocabulary. This activity will help them learn about passive solar design and prepare them for the Lab Activity in which they will test the thermal storage capabilities of several materials. Key vocabulary words in the Reading Passage will assist them in understanding the Lab Activity instructions. For students who wish to learn more of the detailed principles about passive solar design, direct them to the appropriate resources. Suggested resources are included in the Teacher Resource Guide. At the end of this activity, collect and grade the student's work. Return their graded work the following day. Homework Assignment – Key Vocabulary List 2. Collect and grade this assignment the next day. 1. Instruct students to create in their science notebooks meaningful sentences that reflect an understanding of the definition of each vocabulary word. Students should have written the definition of the words in their science notebooks during class. See Teacher Resource Guide for alternative vocabulary homework. Activity 4 – Pre-Lab (30 minutes) 1. Explain to the class that the purpose of the Lab Activity is to test the thermal storage capabilities of several materials 2. Divide the class into small groups to test their materials and conduct the activity. To ensure that all students participate, instruct the groups to assign who will be responsible for each step in the activity before beginning. Activity 5 – Lab Activity (60 minutes) 2. Confirm that the students have recorded their time measurements on their Lab Report Form, as well as answers and calculations to the lab questions. 1. Instruct each group to obtain the materials for one Lab Activity kit. The materials include hot and cold water to use as the water baths. The teacher should decide if each group will test the materials with hot and cold water or if each group will be assigned hot or cold water. The data tables can be modified accordingly. Suggestions 2. Students should not try forcing a thermometer through a dense material, such as sand or cement, because the thermometer may break. Demonstrate how students can pour a portion of the dense material into the beaker, place the thermometer in the beaker, and then continue pouring the material in the beaker around the thermometer. 1. Before conducting the activity, the teacher should gather the test materials for the class (sand, shredded paper, powdered cement, etc.) and store them in buckets, dishpans or other similar containers and label their contents. Before returning tested materials to their original containers so other groups/classes may test them, some materials, like sand should be transferred to a temporary container so it can return to room temperature. They may be cold or warm for a while as a result of the experiment. Dense materials gain and lose heat slowly. 3. To obtain the correct amount of materials, students can estimate the 200 ml of sand or other materials in a 250 ml beaker. a) Time vs. Temperature Measurement of Each Material (line graph) 4. Graphs that can be created from this activity include: b) Material vs. Total Temperature Change of Each Material (bar graph) Sample observations See Figures 1 and 2 for sample graphs that can be created. See Tables 1 and 2 for sample data obtained for this activity. TEACHER OVERVIEW Teacher's Sample Data Table Table 1. Temperature Readings (°C) in Hot Water Bath, 2 Minute Intervals Activity 6 – Post Lab (30 minutes) After students have completed their Lab Report Forms and have created graphs, discuss their results and their answers to the lab report questions. Activity 7 – Assessment (30 minutes) Distribute a copy of the Assessment Questions to each student. Instruct each student to work alone and answer the short answer and multiple-choice questions. Collect the handouts, grade and return them to the students. ADDITIONAL ACTIVITIES Have the groups repeat the Lab Activity, using the opposite temperature of water for the bath. If they used hot water during the Lab, have them repeat the activity using ice water and vice versa. 1. Using Opposite Temperature Water Bath 2. Internet or Library Research Group 1 – earliest uses of passive solar design in homes Group 2 – current areas of the U.S. that are using solar home Students can research information available on the Internet about passive solar design for buildings. Suggested resources are included in the Teacher Resource Guide. You may divide the class into 4 groups and assign each group to a particular topic. Each group can create a display of the information that they found and provide a short summary of their findings. Suggested group topics include: and green building construction techniques Group 4 – Trombe wall construction in homes Group 3 – commonly used home building materials and alternative building materials that could replace them to create thermal mass 3. Collage Collect newspapers and magazines with advertisements from home improvement centers. Ask students to create a collage of the building materials that are advertised for creating floors, walls, fireplaces and other applications where thermal mass could be utilized. The collage should also contain a description of each material and its thermal storage abilities. The color of a particular building material can also be a factor, along with the material itself. Table 2. Temperature Readings (°C) in Cold Water Bath, 2 Minute Intervals Passive Solar Design for Homes HIGHLIGHTS * Direct or indirect gain, solar heating can save money sun. All that is required is an interest in using passive solar design in the building. Once this design is chosen, the building basically becomes a large solar collector. * House orientation and window sizing are keys to proper design * Thermal storage helps control overheating of spaces * Porches and trees are important elements in solar control SUMMARY Sometimes when architects and builders decide where to locate a home or building on a piece of land, they try to position it so that it can make the most use of the sun's heat in the winter. At the same time, they make sure the building will not be too hot in the summer. Locating and placing a home based on the sun is called "solar orientation." Solar orientation for heating and cooling buildings is not a new idea. Builders in China and Greece were designing buildings that used the sun's heat over 2,000 years ago. Buildings in any climate can take advantage of the THE SUN AND YOUR HOME The sun is much lower in the sky during the winter than it is in the summer at most places on Earth. The only exception to this fact is when the location is near the equator. Then the sun remains directly overhead. Solar homes are designed to use the changing position of the sun to benefit the home throughout the year. This is done by allowing the sun to shine into the house in the winter, which heats the home, and by blocking out the sun during the summer, which helps keep the home cooler. To do this, architects and builders must know the exact position of the sun in the sky at various times of the year. Then they can predict the angle that the sun's rays will shine into a home. Using that information, they will know where to place windows and roof overhangs. DIRECT-GAIN SYSTEM The simplest way to use passive solar heating is to just let the sun shine into FIG. 1 SUN ANGLES This diagram shows the direct gain system. Summer Sun Summer Sun Winter Sun Winter Sun Overhang Insulation Overhang Clearstory Masonry Mass the home. This is known as a direct gain system. During the winter, a direct gain system uses south-facing windows that allow heat from the sun to enter the home (See Fig. 1). That heat is then stored using thermal mass. Thermal mass is a dense material that gains or looses heat slowly. Examples of thermal mass include concrete, adobe, stone, brick and water. Heat that is stored in the thermal mass is eventually released into the home later when the sun is no longer high in the sky. During the summer, when the sun is higher in the sky, window overhangs block the sun. For Texans, the most important thing to consider is that the home has the right number of south-facing windows. The right number of south-facing windows depends on how big the home is, also known as the square footage of the house. Too many windows will make the home too hot, which could be worse than no windows at all. When designed correctly, a direct-gain solar home in a Texas city like Amarillo could get 75 percent of the heat it needs from the sun. INDIRECT-GAIN SYSTEMS The most common type of indirect system is a greenhouse or sun porch (See Fig. 2). These rooms trap heat from the sun that can be used in other parts of the house. These structures are usually built to provide more living space in the home or as a place to grow plants. They also contain a large amount of thermal mass to help store heat from the sun. This heat can then be used in other parts of the house by natural air movement or by a fan. During the hot Texas summer, when we want to keep our homes as cool as possible, these structures can be covered with a curtain, shades or blinds. Or we can let the warm air out by opening windows, door or vents. THERMAL STORAGE Solar homes work best when they are made with dense material that absorbs and loses heat slowly. These dense materials are known as thermal mass. Examples of thermal mass include water, adobe, insulated concrete slabs, masonry or even a brick fireplace. The thermal mass absorbs heat during the day when the sun is shining and releases it at night and when it is cloudy outside. Thermal mass also helps prevents homes from getting too hot during the day by absorbing excess heat. air to the outside during the summer. In addition, if a roof overhang is the right size, it will prevent sunlight from hitting the wall during the hot summer months. Builders can use thermal mass walls on the south side of homes and cover it with glass. These types of walls have been in use for centuries. These walls are sometimes called Trombe walls named after the French architect Felix Trombe. If the walls are constructed of masonry, small vents can be added in the top and bottom so that warm air from the air space in the wall will move into the home. If the home becomes too warm, the vents can be closed. In Texas, where cooling is usually more of a problem than heating, vents can be added to thermal walls that will move hot NATURAL SHADING AND LANDSCAPING Deciduous trees may be considered lowtech, but they are one of the best ways to keep a home cool in the summer and warm in the winter. During the summer, the trees provide shade that blocks the sun and keeps it from making the house warm. In the winter, when the leaves have fallen, sun can shine through the branches and into the home to provide some heat. Studies have shown that when the right type of shade trees, bushes and grass are planted in the right places, energy that is used to cool and heat a home can be reduced by up to 30 percent. STUDENT DATA SHEET Understanding the Reading Passage 1. What is solar orientation? ________________________________________________________________ _____________________________________________________________________________________ 2. What is thermal mass? __________________________________________________________________ List 3 examples: 1 ______________________________________________ 2 ______________________________________________ 3 ______________________________________________ 3. How can greenhouses and sun porches help heat and cool our home? ______________________________ _____________________________________________________________________________________ 4. What is a Trombe wall and how can it help heat and cool our home? _______________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ 5. How can landscaping help heat and cool our home? ____________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ 6. In your own words, explain how Figure 1 and Figure 2 are similar. _____________________________________________________________________________________ _____________________________________________________________________________________ Vocabulary Based on the Reading Passage, write down your understanding of these words or word pairs and verify your definitions in a dictionary, on the Internet if available or with your teacher: architect _______________________________________________________________________________ climate ________________________________________________________________________________ deciduous ______________________________________________________________________________ dense __________________________________________________________________________________ direct gain ______________________________________________________________________________ indirect gain ____________________________________________________________________________ passive solar _____________________________________________________________________________ solar collector ___________________________________________________________________________ thermal mass ____________________________________________________________________________ Trombe wall ____________________________________________________________________________ Lab Activity – Testing Thermal Storage Materials Introduction Performing the Experiment (wear goggles, use gloves) The purpose of this activity is to test the thermal storage capabilities of several materials that could be used as thermal mass. Before You Start Review the vocabulary words from the Reading Passage. Ask your teacher if you are unsure of any of the meanings. Divide up all the steps in the Lab Activity first, so that everyone has a clear job to do. Materials * 200 ml of any 3 test materials your teacher has prepared Obtain an equipment kit from your teacher. Check that it contains the following materials: * 3 small thermometers * 3 beakers to hold test materials * 1 lab thermometer * 1 liter of ice water OR * container to hold beakers * 1 liter of hot water at 85° C approximate * goggles * gloves 9. Dispose of the contents of your beakers as directed by your teacher. 1. As directed by your teacher, obtain 200 ml of each material you will be testing: sand, paper or other material. 3. Place a small thermometer in each beaker you will test. Be sure the test material covers the bottom of the thermometer. 2. Place 200 ml of one test material in beaker #1, 200 ml of the second test material in beaker #2, and 200 ml of the third test material in beaker #3. If you are using a more dense material as the teacher instructs, fill the beaker halfway then place the thermometer into the material and finish filling the beaker. You should avoid forcing a thermometer into dense materials because the thermometer may break. 4. Record the starting temperatures of the test materials on your Data Table. 6. Take 1 liter of either hot or cold water as directed by your teacher and pour the water into the container with the 3 standing beakers. 8. Read and record on your Data Table the temperature of the test materials and the water bath every minute for 10 minutes. 5. Place your 3 beakers to be tested into the container. 7. Place a separate thermometer in the water bath. STUDENT DATA SHEET Lab Report Form – Testing Thermal Storage Materials Date ___________________________________________________________________________________ Purpose of this lab is to _____________________________________________________________________ ________________________________________________________________________________________ Instructions: Follow the instructions listed in the Lab Activity and record your measurements in the Data Table below. Once you have completed all the measurements and calculations, answer the questions at the end of this form and create a graph according to your teacher's instructions. DATA TABLE. Temperature Measurements of Thermal Mass In Water Baths \| Time \| Material: __________ Temperature of Material \| Material: __________ Temperature of Material \| Material: __________ Temperature of Material \| Temperature of Water \| \|---\|---\|---\|---\|---\| \| Start \| \| \| \| \| \| 00:01 \| \| \| \| \| \| 00:02 \| \| \| \| \| \| 00:03 \| \| \| \| \| \| 00:04 \| \| \| \| \| \| 00:05 \| \| \| \| \| \| 00:06 \| \| \| \| \| \| 00:07 \| \| \| \| \| \| 00:08 \| \| \| \| \| \| 00:09 \| \| \| \| \| \| 00:10 \| \| \| \| \| \| Total Temperature Change \| \| \| \| \| 1. Which material retained its initial temperature the longest? ______________________________________ 2. Which material changed its initial temperature the quickest? _____________________________________ 3. How did this lab help you determine how thermal storage works? _________________________________ _____________________________________________________________________________________ 4. According to your teacher's instructions, create a graph with the data you have collected. STUDENT DATA SHEET Assessment Questions 1. What local materials do you think would provide good thermal mass? _____________________________________________________________________________________ _____________________________________________________________________________________ 2. Which material used in the activity kept its starting temperature the longest? _________________________ Why? ________________________________________________________________________________ 3. How is landscaping used in an energy efficient home design? _____________________________________________________________________________________ _____________________________________________________________________________________ Multiple Choice Questions 1. Passive solar design: b) depends on proper house orientation a) is useful in all climates c) can save you money d) all answers a, b, and c 2. The sun is: b) the same height in winter and summer a) higher in the sky in winter c) lower in the sky in winter d) lower in the sky in summer 3. The direct-gain system is dependent on: b) correct sun angles a) south-facing design c) any sun angle d) answers a and b 4. An example of thermal mass is: b) styrofoam a) adobe c) shade d) glass 5. Landscaping can: b) be thermal storage system a) change the sun's position c) be a direct gain glazing d) reduce energy costs 6. The Trombe wall is: b) a glass covered thermal mass wall a) a fire wall c) vented on top and bottom d) b and c 7. Deciduous means: b) indecisive a) evergreen c) losing leaves in autumn d) a flowering bush 8. Solar contribution is greatest in b) El Paso and Lubbock a) Lufkin and Corpus Christi c) Brownsville d) Houston 9. Generally in Texas: b) Having east-facing windows is important. a) Cooling is more of a problem than heating. c) Porches are unnecessary for shade. d) a and b 10. In order to keep a home cooler: b) blinds for windows are shut during the day a) shade trees are used c) hot air spaces are allowed to be vented d) all answers a, b, and c Understanding the Reading Passage 1. Solar orientation is locating and positioning a home on a piece of land so that it takes advantage of the sun for its heating and cooling needs. 3. They contain a large amount of thermal mass that can help store heat from the sun and can be enhanced by adding a fan to distribute air to different parts of the house. 2. Thermal mass is a material that gains and loses heat slowly. Examples include concrete, brick, tile, etc. 4. A thermal mass wall on the south side of a home that is covered in glass allows heat to be collected and stored. The heat can be circulated to the home by natural air movement or by vents. 6. Accept students' answers. Both Figures show how a house design can impact the amount of solar heat on a home. 5. Deciduous trees and bushes can prevent the sun from entering and heating a home thereby keeping the home cool. In the winter their bare branches allow sunlight in the home to keep it warm. Assessment Questions 1. The local materials will vary among concrete, brick, adobe, etc. 3. Well planned landscaping with deciduous trees can provide shade, especially on the west side of the house in the summer, and can allow sunlight to filter into the home in the winter. Plants and grass around the home are cooler than rocks and concrete, which create thermal mass in the yard, making the house hotter. 2. Answers will vary depending on la<cursor_is_here> In general, more dense materials will retain their starting temperature the longest. Multiple Choice Questions 1 d; 2 c; 3 d; 4 a; 5 d; 6 d; 7 c; 8 b; 9 a; 10 d Vocabulary Definitions architect – a person who designs buildings climate – the weather pattern in a region over a long period of time deciduous – a tree whose leaves shed each year at the end of the period of growth, often in autumn dense – thick, packed closely together direct-gain – solar radiation directly entering and heating living spaces, such as south-facing windows that admit heat from the winter sun and warm the room's air indirect-gain – storing or trapping heat so that it can be used in other parts of a building, such as a room with a substantial amount of thermal mass (concrete, adobe, brick, water, etc.), with many windows through which the thermal mass captures the heat from the sun and releases the stored heat at night passive solar – using or capturing solar energy without any external power solar collector – device that collects solar radiation and converts it into heat energy thermal mass – a dense material that gains or loses heat slowly; examples are concrete, adobe, stone, brick and water Trombe wall – a glass covered thermal mass wall on the south side of a home that uses small vents in the top and bottom to allow warm air to flow into the house InfinitePower.org Financial Acknowledgement This publication was developed as part of the Renewable Energy Demonstration Program and was funded 100% with oil overcharge funds from the Exxon settlement as provided by the Texas State Energy Conservation Office and the U.S. Department of Energy. Mention of trade names or commercial products does not constitute endorsement or recommendation for use. State Energy Conservation Office 111 East 17th Street, Room 1114 Austin, Texas 78774 Ph. 800.531.5441 ext 31796 www.InfinitePower.org Texas Comptroller of Public Accounts Publication #96-821B (03/05) </text>	[ { "content": "<url>\nhttp://www.greeneducationfoundation.org/institute/lesson-clearinghouse/download/file.html?fid=19.237\n</url>\n<text>\nTEACHER OVERVIEW\n\nPassive Solar Design for Homes\n\nFor Grades 6, 7 and 8\n\nOVERVIEW\n\nIn this unit students will learn about using the right type of materials in a home that conserves energy and the importance of building orientation and window sizing. Students will engage in an activity to measure temperature changes in several thermal storage samples. By the end of the unit, students will appreciate the need to plan construction with proper materials. Students will learn that simple measures, such as landscaping and installing thermal storage, make a big difference in energy consumption.\n\nOBJECTIVES\n\nSee Middle School Teacher Resource Guide for TEKS objectives and additional information regarding this and other middle school units.\n\nSUGGESTED TIMEFRAME\n\nTeacher will need to determine how many class periods to devote to each activity, based on the suggested timeframe and length of classes.\n\n\| Time \| Activity \| Content Area \|\n\|---\|---\|---\|\n\| 10 minutes 15 minutes 45 minutes \| Activity 1 – Teacher Introduction Activity 2 – Assessment of Current Student Knowledge Activity 3 – Reading Passage and Vocabulary Homework Assignment – Sentences with Vocabulary \| Science Reading Vocabulary Language Arts \|\n\| 30 minutes 60 minutes \| Activity 4 – Pre-Lab Activity 5 – Lab \| Science \|\n\| 30 minutes \| Activity 6 – Post-Lab \| Science \|\n\| 30 minutes \| Activity 7 – Assessment \| Science \|\n\nREQUIRED MATERIALS\n\n„ copy of the Reading Passage and Student Data Sheets (includes reading comprehension questions, vocabulary and Lab Activity) for each student\n„ graph paper\n„ copy of the Assessment Questions for each student\n„ an equipment kit for each group containing the following items:\n* 3 small thermometers (non-mercury recommended)\n* 200 ml each of optional materials to test, such as water, packed sand, shredded paper, powdered cement, mortar, plaster, rock, etc, (students will measure each into a separate beaker)\n* 1 lab thermometer (non-mercury recommended\n* 1 liter of ice water OR\n* 3 beakers to hold test materials\n* 1 liter of hot water at 85° C approximate, (hot from tap)\n* goggles\n* container to hold beakers (cake pans work well)\n* gloves\n\nSUMMARY OF ACTIVITIES\n\nActivity 1 – Teacher Introduction (10 minutes)\n\nExplain to the class that for the next unit of study, they will be learning about passive solar energy and how these principles can be used in our homes and other buildings. They will be introduced to using appropriate building materials and choosing appropriate design options, such as the position of the building relative to the sun and landscaping. The purpose of the Lab Activity is to test the thermal storage capabilities of several materials that could be used as thermal mass, such as sand, shredded paper and powdered cement, mortar or plaster. Each test material will first be contained in a test beaker and then placed in either a hot water bath or a cold water bath. The effect of the hot or cold water on the test material will be gauged by taking temperature readings of the test material at 1minute intervals for 10 minutes. Test materials with small changes in temperature will have the better thermal storage capabilities than materials with greater temperature changes.\n\nTEACHER OVERVIEW\n\nActivity 2 – Assessment of Current Student Knowledge (15 minutes)\n\nTo assess what students already know, prompt a class discussion based on the 4 questions listed below. Based on this discussion, create and display a graphic organizer of the points that were discussed, which can be displayed throughout the unit of study. Refer to the Teacher Resource Guide for a sample bubble graph.\n\n1. What does it mean to use proper building materials to conserve energy in the home? What are examples of these proper building materials?\nthat could be used as thermal mass, such as sand, shredded paper and powdered cement, mortar or plaster. For teachers interested in exploring scientific inquiry more fully as it applies to this Lab, see the Teacher Resource Guide for guidelines. Before performing the lab, students can be given the lab instructions to read and summarize the steps involved. The summary can be in the form of a brief chart. Review safety guidelines before students conduct the lab. See Teacher Resource Guide for general safety guidelines. Demonstrate proper use and care of the equipment used in the activity.\n2. Why would the position of a building relative to the sun be important for the building's heating and cooling needs?\n4. What impact would natural shading and landscaping have on helping to cool or heat a home?\n3. Do you think that homes in Texas can be designed to be solar homes?\n\nSee Teacher Resource Guide for alternative or additional assessment activity.\n\nActivity 3 – Vocabulary and Reading Passage\n\n(45 minutes)\n\nEach student will need a copy of the Reading Passage and the Student Data Sheets, which include reading comprehension questions, vocabulary words and the Lab Activity. (As an alternative to making copies, the Student Data Sheets can be displayed so the entire class can view them and copy the information into their science notebook.) Instruct students to study the Reading Passage and complete the questions and vocabulary. This activity will help them learn about passive solar design and prepare them for the Lab Activity in which they will test the thermal storage capabilities of several materials. Key vocabulary words in the Reading Passage will assist them in understanding the Lab Activity instructions. For students who wish to learn more of the detailed principles about passive solar design, direct them to the appropriate resources. Suggested resources are included in the Teacher Resource Guide. At the end of this activity, collect and grade the student's work. Return their graded work the following day.\n\nHomework Assignment – Key Vocabulary List\n\n2. Collect and grade this assignment the next day.\n1. Instruct students to create in their science notebooks meaningful sentences that reflect an understanding of the definition of each vocabulary word. Students should have written the definition of the words in their science notebooks during class. See Teacher Resource Guide for alternative vocabulary homework.\n\nActivity 4 – Pre-Lab (30 minutes)\n\n1. Explain to the class that the purpose of the Lab Activity is to test the thermal storage capabilities of several materials\n2. Divide the class into small groups to test their materials and conduct the activity. To ensure that all students participate, instruct the groups to assign who will be responsible for each step in the activity before beginning.\n\nActivity 5 – Lab Activity (60 minutes)\n\n2. Confirm that the students have recorded their time measurements on their Lab Report Form, as well as answers and calculations to the lab questions.\n1. Instruct each group to obtain the materials for one Lab Activity kit. The materials include hot and cold water to use as the water baths. The teacher should decide if each group will test the materials with hot and cold water or if each group will be assigned hot or cold water. The data tables can be modified accordingly.\n\nSuggestions\n\n2. Students should not try forcing a thermometer through a dense material, such as sand or cement, because the thermometer may break. Demonstrate how students can pour a portion of the dense material into the beaker, place the thermometer in the beaker, and then continue pouring the material in the beaker around the thermometer.\n1. Before conducting the activity, the teacher should gather the test materials for the class (sand, shredded paper, powdered cement, etc.) and store them in buckets, dishpans or other similar containers and label their contents. Before returning tested materials to their original containers so other groups/classes may test them, some materials, like sand should be transferred to a temporary container so it can return to room temperature. They may be cold or warm for a while as a result of the experiment. Dense materials gain and lose heat slowly.\n3. To obtain the correct amount of materials, students can estimate the 200 ml of sand or other materials in a 250 ml beaker.\na) Time vs. Temperature Measurement of Each Material (line graph)\n\n4. Graphs that can be created from this activity include:\n\nb) Material vs. Total Temperature Change of Each Material (bar graph)\n\nSample observations\n\nSee Figures 1 and 2 for sample graphs that can be created.\n\nSee Tables 1 and 2 for sample data obtained for this activity.\n\nTEACHER OVERVIEW\n\nTeacher's Sample Data Table\n\nTable 1. Temperature Readings (°C) in Hot Water Bath, 2 Minute Intervals\n\nActivity 6 – Post Lab (30 minutes)\n\nAfter students have completed their Lab Report Forms and have created graphs, discuss their results and their answers to the lab report questions.\n\nActivity 7 – Assessment (30 minutes)\n\nDistribute a copy of the Assessment Questions to each student. Instruct each student to work alone and answer the short answer and multiple-choice questions. Collect the handouts, grade and return them to the students.\n\nADDITIONAL ACTIVITIES\n\nHave the groups repeat the Lab Activity, using the opposite temperature of water for the bath. If they used hot water during the Lab, have them repeat the activity using ice water and vice versa.\n\n1. Using Opposite Temperature Water Bath\n\n2. Internet or Library Research\n\nGroup 1 – earliest uses of passive solar design in homes Group 2 – current areas of the U.S. that are using solar home\n\nStudents can research information available on the Internet about passive solar design for buildings. Suggested resources are included in the Teacher Resource Guide. You may divide the class into 4 groups and assign each group to a particular topic. Each group can create a display of the information that they found and provide a short summary of their findings. Suggested group topics include:\n\nand green building construction techniques\n\nGroup 4 – Trombe wall construction in homes\n\nGroup 3 – commonly used home building materials and alternative building materials that could replace them to create thermal mass\n\n3. Collage\n\nCollect newspapers and magazines with advertisements from home improvement centers. Ask students to create a collage of the building materials that are advertised for creating floors, walls, fireplaces and other applications where thermal mass could be utilized. The collage should also contain a description of each material and its thermal storage abilities. The color of a particular building material can also be a factor, along with the material itself.\n\nTable 2. Temperature Readings (°C) in Cold Water Bath, 2 Minute Intervals\n\nPassive Solar Design for Homes\n\nHIGHLIGHTS\n\n* Direct or indirect gain, solar heating can save money\n\nsun. All that is required is an interest in using passive solar design in the building. Once this design is chosen, the building basically becomes a large solar collector.\n\n* House orientation and window sizing are keys to proper design\n* Thermal storage helps control overheating of spaces\n* Porches and trees are important elements in solar control\n\nSUMMARY\n\nSometimes when architects and builders decide where to locate a home or building on a piece of land, they try to position it so that it can make the most use of the sun's heat in the winter. At the same time, they make sure the building will not be too hot in the summer. Locating and placing a home based on the sun is called \"solar orientation.\" Solar orientation for heating and cooling buildings is not a new idea. Builders in China and Greece were designing buildings that used the sun's heat over 2,000 years ago. Buildings in any climate can take advantage of the\n\nTHE SUN AND YOUR HOME\n\nThe sun is much lower in the sky during the winter than it is in the summer at most places on Earth. The only exception to this fact is when the location is near the equator. Then the sun remains directly overhead. Solar homes are designed to use the changing position of the sun to benefit the home throughout the year. This is done by allowing the sun to shine into the house in the winter, which heats the home, and by blocking out the sun during the summer, which helps keep the home cooler. To do this, architects and builders must know the exact position of the sun in the sky at various times of the year. Then they can predict the angle that the sun's rays will shine into a home. Using that information, they will know where to place windows and roof overhangs.\n\nDIRECT-GAIN SYSTEM\n\nThe simplest way to use passive solar heating is to just let the sun shine into\n\nFIG. 1 SUN ANGLES This diagram shows the direct gain system.\n\nSummer\nSun\nSummer\nSun\nWinter\nSun\nWinter\nSun\nOverhang\nInsulation\nOverhang\nClearstory\nMasonry\nMass\n\nthe home. This is known as a direct gain system. During the winter, a direct gain system uses south-facing windows that allow heat from the sun to enter the home (See Fig. 1). That heat is then stored using thermal mass. Thermal mass is a dense material that gains or looses heat slowly. Examples of thermal mass include concrete, adobe, stone, brick and water. Heat that is stored in the thermal mass is eventually released into the home later when the sun is no longer high in the sky. During the summer, when the sun is higher in the sky, window overhangs block the sun. For Texans, the most important thing to consider is that the home has the right number of south-facing windows. The right number of south-facing windows depends on how big the home is, also known as the square footage of the house. Too many windows will make the home too hot, which could be worse than no windows at all.\n\nWhen designed correctly, a direct-gain solar home in a Texas city like Amarillo could get 75 percent of the heat it needs from the sun.\n\nINDIRECT-GAIN SYSTEMS\n\nThe most common type of indirect system is a greenhouse or sun porch (See Fig. 2). These rooms trap heat from the sun that can be used in other parts of the house. These structures are usually built to provide more living space in the home or as a place to grow plants. They also contain a large amount of thermal mass to help store heat from the sun. This heat can then be used in other parts of the house by natural air movement or by a fan.\n\nDuring the hot Texas summer, when we want to keep our homes as cool as possible, these structures can be covered with a curtain, shades or blinds. Or we can let the warm air out by opening windows, door or vents.\n\nTHERMAL STORAGE\n\nSolar homes work best when they are made with dense material that absorbs and loses heat slowly. These dense materials are known as thermal mass. Examples of thermal mass include water, adobe, insulated concrete slabs, masonry or even a brick fireplace. The\n\nthermal mass absorbs heat during the day when the sun is shining and releases it at night and when it is cloudy outside. Thermal mass also helps prevents homes from getting too hot during the day by absorbing excess heat.\n\nair to the outside during the summer. In addition, if a roof overhang is the right size, it will prevent sunlight from hitting the wall during the hot summer months.\n\nBuilders can use thermal mass walls on the south side of homes and cover it with glass. These types of walls have been in use for centuries. These walls are sometimes called Trombe walls named after the French architect Felix Trombe. If the walls are constructed of masonry, small vents can be added in the top and bottom so that warm air from the air space in the wall will move into the home. If the home becomes too warm, the vents can be closed.\n\nIn Texas, where cooling is usually more of a problem than heating, vents can be added to thermal walls that will move hot\n\nNATURAL SHADING AND LANDSCAPING\n\nDeciduous trees may be considered lowtech, but they are one of the best ways to keep a home cool in the summer and warm in the winter. During the summer, the trees provide shade that blocks the sun and keeps it from making the house warm. In the winter, when the leaves have fallen, sun can shine through the branches and into the home to provide some heat. Studies have shown that when the right type of shade trees, bushes and grass are planted in the right places, energy that is used to cool and heat a home can be reduced by up to 30 percent.\n\nSTUDENT DATA SHEET\n\nUnderstanding the Reading Passage\n\n1. What is solar orientation? ________________________________________________________________ _____________________________________________________________________________________\n\n2. What is thermal mass? __________________________________________________________________\n\nList 3 examples:\n\n1 ______________________________________________\n\n2 ______________________________________________\n\n3 ______________________________________________\n\n3. How can greenhouses and sun porches help heat and cool our home? ______________________________\n\n_____________________________________________________________________________________\n\n4. What is a Trombe wall and how can it help heat and cool our home? _______________________________\n\n_____________________________________________________________________________________ _____________________________________________________________________________________\n\n5. How can landscaping help heat and cool our home? ____________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________\n\n6. In your own words, explain how Figure 1 and Figure 2 are similar.\n\n_____________________________________________________________________________________ _____________________________________________________________________________________\n\nVocabulary\n\nBased on the Reading Passage, write down your understanding of these words or word pairs and verify your definitions in a dictionary, on the Internet if available or with your teacher:\n\narchitect _______________________________________________________________________________ climate ________________________________________________________________________________ deciduous ______________________________________________________________________________ dense __________________________________________________________________________________ direct gain ______________________________________________________________________________ indirect gain ____________________________________________________________________________ passive solar _____________________________________________________________________________ solar collector ___________________________________________________________________________ thermal mass ____________________________________________________________________________\n\nTrombe wall ____________________________________________________________________________\n\nLab Activity – Testing Thermal Storage Materials\n\nIntroduction\n\nPerforming the Experiment\n\n(wear goggles, use gloves)\n\nThe purpose of this activity is to test the thermal storage capabilities of several materials that could be used as thermal mass.\n\nBefore You Start\n\nReview the vocabulary words from the Reading Passage. Ask your teacher if you are unsure of any of the meanings. Divide up all the steps in the Lab Activity first, so that everyone has a clear job to do.\n\nMaterials\n\n* 200 ml of any 3 test materials your teacher has prepared\n\nObtain an equipment kit from your teacher. Check that it contains the following materials:\n\n* 3 small thermometers\n* 3 beakers to hold test materials\n* 1 lab thermometer\n* 1 liter of ice water OR\n* container to hold beakers\n* 1 liter of hot water at 85° C approximate\n* goggles\n* gloves\n9. Dispose of the contents of your beakers as directed by your teacher.\n1. As directed by your teacher, obtain 200 ml of each material you will be testing: sand, paper or other material.\n3. Place a small thermometer in each beaker you will test. Be sure the test material covers the bottom of the thermometer.\n2. Place 200 ml of one test material in beaker #1, 200 ml of the second test material in beaker #2, and 200 ml of the third test material in beaker #3. If you are using a more dense material as the teacher instructs, fill the beaker halfway then place the thermometer into the material and finish filling the beaker. You should avoid forcing a thermometer into dense materials because the thermometer may break.\n4. Record the starting temperatures of the test materials on your Data Table.\n6. Take 1 liter of either hot or cold water as directed by your teacher and pour the water into the container with the 3 standing beakers.\n8. Read and record on your Data Table the temperature of the test materials and the water bath every minute for 10 minutes.\n5. Place your 3 beakers to be tested into the container.\n7. Place a separate thermometer in the water bath.\n\nSTUDENT DATA SHEET\n\nLab Report Form – Testing Thermal Storage Materials\n\nDate ___________________________________________________________________________________\n\nPurpose of this lab is to _____________________________________________________________________ ________________________________________________________________________________________\n\nInstructions:\n\nFollow the instructions listed in the Lab Activity and record your measurements in the Data Table below. Once you have completed all the measurements and calculations, answer the questions at the end of this form and create a graph according to your teacher's instructions.\n\nDATA TABLE. Temperature Measurements of Thermal Mass In Water Baths\n\n\| Time \| Material: __________ Temperature of Material \| Material: __________ Temperature of Material \| Material: __________ Temperature of Material \| Temperature of Water \|\n\|---\|---\|---\|---\|---\|\n\| Start \| \| \| \| \|\n\| 00:01 \| \| \| \| \|\n\| 00:02 \| \| \| \| \|\n\| 00:03 \| \| \| \| \|\n\| 00:04 \| \| \| \| \|\n\| 00:05 \| \| \| \| \|\n\| 00:06 \| \| \| \| \|\n\| 00:07 \| \| \| \| \|\n\| 00:08 \| \| \| \| \|\n\| 00:09 \| \| \| \| \|\n\| 00:10 \| \| \| \| \|\n\| Total Temperature Change \| \| \| \| \|\n\n1. Which material retained its initial temperature the longest? ______________________________________\n2. Which material changed its initial temperature the quickest? _____________________________________\n3. How did this lab help you determine how thermal storage works? _________________________________\n\n_____________________________________________________________________________________\n\n4. According to your teacher's instructions, create a graph with the data you have collected.\n\nSTUDENT DATA SHEET\n\nAssessment Questions\n\n1. What local materials do you think would provide good thermal mass?\n\n_____________________________________________________________________________________ _____________________________________________________________________________________\n\n2. Which material used in the activity kept its starting temperature the longest? _________________________\n\nWhy? ________________________________________________________________________________\n\n3. How is landscaping used in an energy efficient home design?\n\n_____________________________________________________________________________________ _____________________________________________________________________________________\n\nMultiple Choice Questions\n\n1. Passive solar design:\nb) depends on proper house orientation\na) is useful in all climates\nc) can save you money\nd) all answers a, b, and c\n2. The sun is:\nb) the same height in winter and summer\na) higher in the sky in winter\nc) lower in the sky in winter\nd) lower in the sky in summer\n3. The direct-gain system is dependent on:\nb) correct sun angles\na) south-facing design\nc) any sun angle d) answers a and b\n\n4. An example of thermal mass is:\nb) styrofoam\na) adobe\nc) shade\nd) glass\n5. Landscaping can:\nb) be thermal storage system\na) change the sun's position\nc) be a direct gain glazing\nd) reduce energy costs\n6. The Trombe wall is:\nb) a glass covered thermal mass wall\na) a fire wall\nc) vented on top and bottom\nd) b and c\n7. Deciduous means:\nb) indecisive\na) evergreen\nc) losing leaves in autumn\nd) a flowering bush\n8. Solar contribution is greatest in\nb) El Paso and Lubbock\na) Lufkin and Corpus Christi\nc) Brownsville\nd) Houston\n9. Generally in Texas:\nb) Having east-facing windows is important.\na) Cooling is more of a problem than heating.\nc) Porches are unnecessary for shade.\nd) a and b\n10. In order to keep a home cooler:\nb) blinds for windows are shut during the day\na) shade trees are used\nc) hot air spaces are allowed to be vented\nd) all answers a, b, and c\n\nUnderstanding the Reading Passage\n\n1. Solar orientation is locating and positioning a home on a piece of land so that it takes advantage of the sun for its heating and cooling needs.\n3. They contain a large amount of thermal mass that can help store heat from the sun and can be enhanced by adding a fan to distribute air to different parts of the house.\n2. Thermal mass is a material that gains and loses heat slowly. Examples include concrete, brick, tile, etc.\n4. A thermal mass wall on the south side of a home that is covered in glass allows heat to be collected and stored. The heat can be circulated to the home by natural air movement or by vents.\n6. Accept students' answers. Both Figures show how a house design can impact the amount of solar heat on a home.\n5. Deciduous trees and bushes can prevent the sun from entering and heating a home thereby keeping the home cool. In the winter their bare branches allow sunlight in the home to keep it warm.\n\nAssessment Questions\n\n1. The local materials will vary among concrete, brick, adobe, etc.\n3. Well planned landscaping with deciduous trees can provide shade, especially on the west side of the house in the summer, and can allow sunlight to filter into the home in the winter. Plants and grass around the home are cooler than rocks and concrete, which create thermal mass in the yard, making the house hotter.\n2. Answers will vary depending on la<cursor_is_here> In general, more dense materials will retain their starting temperature the longest.\n\nMultiple Choice Questions\n\n1 d; 2 c; 3 d; 4 a; 5 d; 6 d; 7 c; 8 b; 9 a; 10 d\n\nVocabulary Definitions\n\narchitect – a person who designs buildings climate – the weather pattern in a region over a long period of time\n\ndeciduous – a tree whose leaves shed each year at the end of the period of growth, often in autumn dense – thick, packed closely together\n\ndirect-gain – solar radiation directly entering and heating living spaces, such as south-facing windows that admit heat from the winter sun and warm the room's air indirect-gain – storing or trapping heat so that it can be used in other parts of a building, such as a room with a substantial amount of thermal mass (concrete, adobe, brick, water, etc.), with many windows through which the thermal mass captures the heat from the sun and releases the stored heat at night\n\npassive solar – using or capturing solar energy without any external power solar collector – device that collects solar radiation and converts it into heat energy\n\nthermal mass – a dense material that gains or loses heat slowly; examples are concrete, adobe, stone, brick and water\n\nTrombe wall – a glass covered thermal mass wall on the south side of a home that uses small vents in the top and bottom to allow warm air to flow into the house\n\nInfinitePower.org\n\nFinancial Acknowledgement This publication was developed as part of the Renewable Energy Demonstration Program and was funded 100% with oil overcharge funds from the Exxon settlement as provided by the Texas State Energy Conservation Office and the U.S. Department of Energy. Mention of trade names or commercial products does not constitute endorsement or recommendation for use.\n\nState Energy Conservation Office\n\n111 East 17th Street, Room 1114 Austin, Texas 78774 Ph. 800.531.5441 ext 31796 www.InfinitePower.org\n\nTexas Comptroller of Public Accounts Publication #96-821B (03/05)\n</text>\n", "role": "user" }, { "content": "b results.", "role": "assistant" } ]
IA AI S Justice Canada Audit of Cost Recovery Process Improvement (CRPI) Initiative – Phase 1 Audit Report Internal Audit Services March 2015 Information contained in this publication or product may be reproduced, in part or in whole, and by any means, for personal or public non-commercial purposes, without charge or further permission, unless otherwise specified. You are asked to: exercise due diligence in ensuring the accuracy of the materials reproduced; indicate both the complete title of the materials reproduced, as well as the author organization; and indicate that the reproduction is a copy of an official work that is published by the Government of Canada and that the reproduction has not been produced in affiliation with or with the endorsement of the Government of Canada. Commercial reproduction and distribution is prohibited except with written permission from the Department of Justice Canada. For more information, please contact the Department of Justice Canada at: www.justice.gc.ca. ©Her Majesty the Queen in Right of Canada, represented by the Minister of Justice and Attorney General of Canada, 2015 ISBN 978-0-660-02038-9 Cat. No J22-27/2015E-PDF Table of Contents 1. Executive Summary Justice Canada provides litigation and legal advisory services to federal government departments, agencies and Crown Corporations across Canada. The Department uses a hybrid model to fund its operations, relying on a mix of A-base funding to provide a certain level of legal services, and Net Voting Authority (NVA) to recover the costs of legal services from client organizations over and above this base level. NVA (cost recovery) is an important source of funding for the Department, providing more than a third of the operating budget. The Treasury Board (TB) Common Services Policy sets out a strategic direction and outlines key requirements with respect to cost recovery. The Cost Recovery Process Improvement (CRPI) Initiative commenced in August 2010 to examine and re-engineer Justice's end-to-end cost recovery processes and reporting, and in so doing respond to deficiencies noted in the 2010 Internal Audit of the Cost Recovery Framework. The objectives of the CRPI Initiative included improving business processes and enhancing corporate systems with a view to reducing administrative effort, supporting timely cash collection, meeting central agency policies and directives as well as better leveraging established Government of Canada best practices to track and invoice professional services. The changes flowing from the CRPI Initiative were implemented on April 1, 2012. To support the implementation, CRPI guidance was developed, roles and responsibilities were documented and communicated, and staff from across the Department received training. There is cost recovery reporting and monitoring at the individual client level, namely within Legal Services Units (LSUs) and portfolios. While there is some strategic cost recovery reporting and oversight via the Financial Situation Reporting and year-end financial reporting processes, the frequency and nature of in-year cost reporting does not support senior management in actively monitoring cost recovery and taking corrective action on a timely basis as may be required. Soliciting feedback from clients following the implementation of major changes to the cost recovery system is critical to ensuring that clients' needs have been sufficiently considered and addressed. This is particularly the case in regards to Justice's invoicing processes for legal services. While ad hoc feedback is sometimes received by LSUs in this regard, there is no mechanism in place to systematically solicit and capture information on client satisfaction with respect to CRPI. The Department has recently embarked on a review of its legal services funding model. While this may lead to changes in the model by which the Department recovers legal service costs from clients, the importance of sound governance processes and practices, recommendations for which are addressed as part of this report, will remain. Management Response Management is in agreement with the audit findings, has accepted the recommendations included in this report, and has developed a management action plan to address them. The management action plan has been integrated in this report. Department of Justice Canada Submitted by: Linda Saunders Chief Audit Executive Department of Justice Canada Date Recommended for approval by: Hon. Doug Lewis Departmental Audit Committee Chair Department of Justice Canada Date Approved by: William F. Pentney Deputy Minister Department of Justice Canada Date 2. Background Justice Canada provides litigation and legal advisory services to federal government departments, agencies and Crown Corporations across Canada. The Department uses a hybrid model to fund its operations, relying on a mix of A-base funding to provide a certain level of legal services, and Net Voting Authority (NVA) to recover the costs of legal services from client organizations over and above this base level. NVA (cost recovery) is an important source of funding for the Department, providing more than a third of the operating budget. The Treasury Board (TB) Common Services Policy sets out a strategic direction and outlines key requirements with respect to cost recovery. The Cost Recovery Process Improvement (CRPI) Initiative commenced in August 2010 to examine and re-engineer Justice's end-to-end cost recovery processes and reporting, and in so doing respond to deficiencies contained in the 2010 Internal Audit of the Cost Recovery Framework. The objectives of the CRPI Initiative included improving business processes and enhancing corporate systems with a view to reducing administrative effort, supporting timely cash collection, meeting central agency policies and directives as well as better leveraging established Government of Canada best practices to track and invoice professional services. In support of these objectives, eleven new standards were put in place effective April 1, 2012 to standardize the five business processes that collectively make up the CRPI Initiative, namely: 1. Memorandums of Understanding (MOUs), including Annex Bs that support planning and forecasting; 2. Timekeeping; 3. Reimbursable Disbursements; 4. Invoicing; and 5. Accounts Receivable Settlements. In 2013-2014, the Department recovered legal service costs of $330.2M as well as $8.6M (2%) of reimbursable disbursements. In accordance with the Departmental Risk-based Audit Plan 2014-2017 which was approved by the Deputy Minister on June 5, 2014, Internal Audit Services undertook an audit of the Cost Recovery Process Improvement (CRPI) Initiative. Given the complexity, risks and magnitude of the cost recovery system, this audit was split into two phases. This report represents the results of Phase 1 of the audit which is focused on Governance. Audit results associated with Phase 2 are scheduled for tabling at the September 2015 Departmental Audit Committee (DAC) meeting. The latter phase focuses on efforts undertaken by management to streamline and standardize cost recovery business processes. 3. Audit Objective The objective of this audit was to provide assurance that effective mechanisms are in place to support continued delivery of the Cost Recovery Process Improvement (CRPI) Initiative outcomes. In relation to this, Phase 1 of the audit examined CRPI Governance; Phase 2 of the audit will examine the effectiveness of management's efforts to streamline and standardize associated business processes. 4. Audit Scope Based on the results of a risk assessment conducted during the planning phase, the scope of Phase 1 of the audit focused on governance processes and practices with respect to cost recovery from April 2013 to October 2014. Also included in the scope was an examination of processes and practices in place to solicit cost recovery feedback from legal services clients. 5. Audit Approach The audit team carried out its mandate in accordance with Treasury Board's Policy on Internal Audit and the Internal Auditing Standards for the Government of Canada. The audit employed various techniques including a risk assessment of the audit entity, interviews, file reviews, as well as reviews and analysis of documentation and information. 6. Findings, Recommendations and Management Action Plan This section provides the findings and recommendations resulting from the audit work carried out. While the audit was conducted based on the lines of enquiry and audit criteria identified in the planning phase, this report is structured along the following main findings: 1. Roles and Responsibilities; 2. Reporting and Monitoring; 3. Oversight; and 4. Client Satisfaction. For conclusions by audit criterion, please refer to Appendix A. Based on the audit work performed and our professional judgment, the risk associated with each finding was rated using a three-point scale. The risk ranking (high, moderate, and low) is based on the level of potential risk exposure we feel may have an impact on the achievement of Justice Canada's objectives, and is indicative of the priority Management should give to the recommendations associated with that finding. The following criteria were used in determining the risk exposure level: 6.1 Governance Cost recovery is an important source of funding for the Department, providing $330.2M in 2013-2014, or approximately one-third of the operating budget. The Cost Recovery Process Improvement (CRPI) Initiative was initiated in August 2010 to examine and re-engineer Justice's end-to-end cost recovery processes. The resulting changes to the process came into effect on April 1, 2012. The CRPI is comprised of five business processes as follows: 1. Memorandums of Understanding (MOUs), including Annex Bs that support planning and forecasting; 2. Timekeeping; 3. Reimbursable Disbursements; 4. Invoicing; and 5. Accounts Receivable Settlements. Throughout the duration of the CRPI Initiative, active monitoring and oversight was provided by the CRPI Project Committee (January 2011 - July 2012). Following the implementation of this initiative, the CRPI Project Committee was disbanded. While responsibility for an initial suite of system changes was delegated to a Change Advisory Board, lead responsibility for various elements of the cost recovery process was dispersed to the respective business owners throughout the organization. Given the magnitude of this initiative and the criticality of the revenues generated through cost recovery, effective governance processes and practices are required to ensure the Department continues to achieve the expected results of the CRPI Initiative. As outlined in the CRPI Project Charter, this initiative was designed to: - Promote consistent business practices across the Department; - Smooth out cash flows so they are received on a more predictable basis throughout the fiscal year; - Address client Departmental expectations; - Respond to prior audit findings and recommendations. - Achieve greater policy compliance; and 6.1.1 Finding 1: Roles and Responsibilities Linkage to: Governance Risk Management Control Cost recovery roles and responsibilities are documented and have been communicated across the Department. Interviews conducted with departmental staff indicated that cost recovery roles and responsibilities were clear and well understood. Roles and responsibilities for each of the five elements of the cost recovery process are clearly documented in the CRPI Supplementary Documentation. This is a key document that is readily available on the Department's intranet and was referenced in the suite of guidance used to train departmental staff on the new CRPI. Cost recovery reporting and monitoring roles and responsibilities are also documented in the CRPI Supplementary Documentation, with specific reference to in-year cost recovery reporting and monitoring through the Financial Situation Reporting (FSR) process. The Department's Accountability Framework for MOU Related to the Provision of Legal Services elaborates further on roles and responsibilities with respect to the MOUs and Annex Bs development, negotiation and monitoring processes. The CRPI Project Close-Out Report clearly assigns to Management and CFO Sector the responsibility for the support, maintenance and troubleshooting of the financial system-related elements of cost recovery. Interviews with staff responsible for the various elements of the cost recovery process indicated Departmental staff have a sound awareness and understanding of their roles and responsibilities. A number of interviewees indicated that they find the CRPI support provided by the Management and CFO Sector to be timely and very helpful. Low Processes and practices are in place and operating effectively to support cost recovery reporting and monitoring at the client level. However, the frequency and nature of cost recovery reporting does not support active monitoring and oversight at the strategic or corporate level. MOUs and Annex Bs The Treasury Board Common Services Policy requires departments providing mandatory common services to "develop, in consultation with client departments and agencies, meaningful and visible standards of service and performance for the delivery of mandatory services." The Department of Justice has an MOU Framework in place that provides the overarching structure and expectations with respect to the development, negotiation and approval of client agreements (i.e. umbrella MOUs often covering more than one year and accompanying Annex Bs that are negotiated annually). This Framework includes the expectation that "the status of MOU implementation will be monitored and shared with senior management at least once a year." This Framework also specifies that by April 1 st each year, the financial codes necessary for cost recovery (i.e. Interdepartmental Settlement codes) are to be obtained from clients and reflected in Annex B. At the client level, the Finance and Planning Branch of Management and CFO Sector maintains an MOU repository. The Branch periodically produces an Excel spreadsheet that reflects the status of MOUs and Annex Bs by client and portfolio. Once the associated information is validated by related branches and portfolios, the spreadsheet is posted on the Department's intranet site. At the Department level, the Business Practice and Intelligence Branch of Management and CFO Sector produced a high level status report for the 20122013 fiscal year. This reporting, tabled at Management Committee (MC) in September 2013, reflected the status of MOUs and Annex Bs by portfolio. However, the reporting did not include any accompanying client information. While this reporting may have technically fulfilled the requirements of "annual MOU status reporting" as outlined in the MOU Framework, the nature of it was at such a high level that it did not provide MC with meaningful insight to clearly link the absence of required Annex Bs to client billings, particularly in relation to the Department's top billers. In addition, the tabling of this 20122013 report after year end, with no corresponding in-year MC reporting, was not optimal to support senior management in the timely identification and management of significant or systemic issues in this area. There was no MOU status reporting for 2013-2014 or to date for 2014-2015. In the first quarter of 2014-2015, there was a 15% reduction in cost recovery revenue from approximately $36M at June 30, 2013 to approximately $30.6M at June 30, 2014. This was primarily the result of the less than timely receipt of signed Annex Bs and the receipt of Interdepartmental Settlement (IS) codes that facilitate the timely collection of cost recovery revenue. This issue came to light via the Department's external Quarterly Financial Report. Regularized strategic reporting that clearly links cost recovery revenue with the status reporting on Annex Bs and receipt of IS codes would provide timely, relevant information to support MC in their monitoring role. Interviews indicated that resource constraints resulted in the absence of any MOU status reports being developed or communicated to MC since 2012-2013. The Business Practice and Intelligence Branch and CFO Sector have indicated that work is underway to strengthen MOU monitoring and oversight processes for 2015-2016 including the tracking, escalation and status reporting to Portfolios, Branches and MC. Revenue As previously stated, expectations for cost recovery monitoring and reporting, including in-year cost recovery reporting and monitoring through the Financial Situation Reporting (FSR) process are outlined in CRPI Supplementary Documentation. Each month the Finance and Planning Branch (FPB) develops Cost Recovery Billing Reports and posts them on the Department's intranet. This reporting reflects actual cost recovery billings by portfolio and by client for the related month as well as total year-to-date billings. As noted in interviews, this reporting supports LSUs in monitoring and discussing in-year billings with clients, reviewing and updating client forecasts, and planning for the next fiscal year. On a quarterly basis, the FPB updates the consolidated revenue forecast for the Department and communicates this information to MC via the Financial Situation Reporting (FSR) process. However, we noted that the nature of the cost recovery information reflected in these reports varied from quarter to quarter. For example, the updated revenue forecast reflected in the October 2014 FSR included a one line adjustment that is based on a historical trending of forecasting accuracy. For the corresponding quarter of the preceding year (i.e. October 2013), the revenue forecast reflected a brief summary by portfolio as well as client details for major reductions in forecasted revenue. In addition, the FPB prepares the monthly FSRs and the year-end update report. Monthly FSRs and year-end reporting for 2013-2014 provided an explicit comparison of actual cost recovery revenue versus the forecast of the prior year. The reporting included the identification of material differences between actual and forecasted cost recovery revenue for the period and the key clients whose delayed billings were the main reason for the difference. The 2014-2015 FSRs include a similar bar chart comparison of actual cost recovery for the current and prior year. However, there was no inclusion of a comparison against forecast nor was there a clear identification of, or information on, the variance between the current and prior year's actual cost recovery revenue, either for the month or year-to-date. The absence of a clear comparison of actual cost recovery revenue against forecast, particularly for the Department's top 20-30 clients, makes it a challenge for MC to readily monitor the timeliness of cost recovery cash flows and address any related issues that may arise. 6.1.3 Finding 3: Oversight Linkage to: Governance Risk Management Control There is effective oversight of some elements of the cost recovery system. Opportunities exist to refine the oversight of cost recovery to support the continued achievement of the expected outcomes that the system was designed to deliver on. The design and implementation of the CRPI Initiative included mechanisms to support oversight. This included a CRPI Project Committee, co-chaired by two Departmental executives, which oversaw the design and implementation of this initiative and a Change Advisory Board responsible for overseeing an initial suite of changes to the cost recovery system. Following the implementation of the CRPI Initiative, it was expected that strategic oversight for cost recovery, a regime that generates revenue to cover approximately one-third of the Department's budget, would shift to an existing Departmental committee. Management Committee (MC) is the Department's decision-making forum. As outlined in its Terms of Reference, the committee is responsible for "legal service delivery, horizontal management, operational and accountability issues affecting the Department." Given the horizontal nature of CRPI and the criticality of cost recovery revenue to funding the Department's operations, MC plays a key role in the strategic oversight of cost recovery. To support the Management Committee in its overall role, we noted that between April 2013 and October 2014, members of this Committee received and reviewed the following cost recovery reporting: - Financial Situation Reports (FSRs) are tabled at MC throughout the year and a Year-End Financial Update is tabled once at MC a few months following year end; - Annual Cost Recovery Analysis report for the two fiscal years that provided an analysis of total cost recovery revenues (NVA) and the associated costs, both in dollar and percentage terms for the Department as a whole; and - A high level MOU and Annex B status report for the 2012-2013 fiscal year entitled Report to Management Committee on MOU Completion Status for 2012-13. The above reports provide some information on cost recovery. However, the nature and frequency of the reporting does not readily support senior management in effectively exercising its oversight role in this area. For example, with little to no reporting to MC on the status of MOUs and Annex Bs, MC may not be able to identify or address significant and/or systemic issues on a timely basis. While the Department is reviewing and considering changes to the funding model, effective oversight will continue to be imperative to ensure the efficient management of an area that is highly decentralized and material to Departmental operations. Recommendation 2 Management Action Plan Management Committee should review and refine the nature and frequency of Management Committee's review and discussion of critical elements of the cost recovery system to ensure continued achievement of the benefits derived from the investment in the Cost Recovery Process Improvement Initiative. Office of Primary Interest: Due Date: 6.1.4 Finding 4: The Management Committee will be provided with an opportunity to discuss reporting requirements on CRPI as part of the June 2015 FSR process. At a minimum, Management Committee will be provided with the new information outlined in the management action plan for recommendation #1. Management Committee March 31, 2016 6.1 Client Satisfaction Subsection title / theme 2 General context information about the topic goes here along with audit criteria context. Linkage to: Governance Risk Management Control 6.2 Subsection title / theme 2 Ad hoc client feedback is sometimes received by LSUs. However, no formal or systematic mechanism is in place to solicit and capture client satisfaction information with respect to CRPI. Moderate General context information about the topic goes here along with audit criteria context. Since 2006, the Department has undertaken a survey every three years to solicit feedback from clients. The primary focus of this survey is to gain insight into the quality, accessibility, responsiveness, usefulness and timeliness of legal services provided. To date, the survey has not encompassed cost recovery, including client invoicing and administrative burden. The integration of LSUs in major client departments provides for a close working relationship between Justice lawyers and the client. This working relationship can provide an informal mechanism for clients to provide feedback on the cost recovery system, including the changes flowing from CRPI. The implementation of the Billing Manager Review process and the Final Quality Assurance (QA) Review and Approval process supports improved accuracy of client invoices. Interviews with those involved in this process pointed to a reduction in the number of questions and concerns expressed by clients following the issuance of an invoice in a post-CRPI world. This is interpreted as an indication that client satisfaction has improved with respect to the accuracy of invoices. Ad hoc verbal feedback received by LSUs indicates that the implementation of monthly billing under CRPI has improved client satisfaction with respect to the timeliness of invoicing. Anecdotal information provided by LSUs indicates that while clients appreciate the regularized monthly billing, the lack of CRPI-generated information to readily support the amounts billed continues to be problematic. For example, the cost recovery module of the Integrated Financial and Material System (IFMS) does not provide any details to support Full Time Equivalent (FTE) billing. Hourly billing information provided by this system is effectively a 'data dump' of the time slips for the billing period, without any summary by lawyer and/or by file. The lack of FTE billing information and the sheer length of the accompanying hourly billing details (i.e. it is often well in excess of 100 pages) compromises the quality of the invoice and on its own would be administratively burdensome and challenging for clients to ascertain the nature and reasonableness of the services being billed. Through interviews and document reviews, we found that some LSUs have developed their own tools and reports, outside of the cost recovery module of IFMS, to better meet clients' invoicing needs and expectations. For example, Canada Revenue Agency's LSU has developed tailored templates and associated monthly reporting to better meet their client's needs with respect to forecast monitoring. This enables clear and readily understandable substantiation of the associated legal services billings. As another example, Transport Canada's LSU has developed a database to readily track, analyze and report on the legal services they provide. As previously noted, the absence of a systematic or formalized mechanism to solicit and respond to feedback from clients impairs Justice Canada's ability to ensure that the investment in CRPI has resulted in improved client satisfaction with respect to invoicing and administrative burden. As a result, management is not able to effectively assess the continued achievement of the related CRPI outcomes and ensure the efficient design and implementation of invoice reporting templates and tools that meet clients' needs and expectations. Recommendation 3 Management and CFO Sector should leverage existing mechanisms to solicit and respond to feedback from client departments with respect to invoicing and the administrative burden of the cost recovery process. Office of Primary Interest: Management Action Plan The Legal Services Review Wave 2 proposed changes will address issues identified by client departments with respect to invoicing and the administrative burden of the cost recovery process. In accordance with section 5.3 of the respective MOUs between Justice and clients, the Legal Services Unit Heads will continue to be encouraged to informally review and discuss the quality of legal services with clients relative to the service standards and the operational indicators in order to identify opportunities for service improvement. Management and CFO Sector LSUs Heads Due Date: April 30, 2016 7. Audit Opinion Based on the audit findings, our opinion is that there are some sound governance processes and practices in place to support the continued achievement of CRPI objectives. However, improvements should be made to enhance strategic cost recovery monitoring, reporting and oversight. A mechanism should also be implemented to systematically solicit cost recovery feedback from clients in order to support their continuous improvement needs. 8. Statement of Conformance In my professional judgment as Chief Audit Executive, sufficient and appropriate audit procedures have been conducted and evidence gathered to support the accuracy of the opinion provided and contained in this report. The extent of the examination was planned to provide a reasonable level of assurance with respect to the audit criteria. The opinion is based on a comparison of the conditions, as they existed at the time, against pre-established audit criteria that were agreed on with Management. The opinion is applicable only to the entity examined and within the scope described herein. The evidence was gathered in compliance with the Treasury Board Policy and Directive on Internal Audit. The audit conforms to the Internal Auditing Standards for the Government of Canada, as supported by the results of the Quality Assurance and Improvement Program. The procedures used meet the professional standards of the Institute of Internal Auditors. The evidence gathered is sufficient to provide senior management with proof of the opinion derived from the internal audit. Appendix A – Audit Criteria Based on a combination of the evidence gathered through documentation examination, analysis and interviews, each of the audit criteria listed below was assessed and a conclusion for the audit criteria was determined using the following definitions: The following are the audit criteria and examples of key evidence and/or findings noted which were analyzed and against which conclusions were drawn. In cases where significant improvements and/or moderate issues were observed, these were reported in the audit report.	<urn:uuid:6d1f93c2-aa31-4cdd-9e7c-a86c2902b126>	CC-MAIN-2022-33	https://www.justice.gc.ca/eng/rp-pr/cp-pm/aud-ver/2015/crpi-aprc.pdf	2022-08-19T01:27:42+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-33/subset=warc/part-00243-d466b69e-be2b-4525-ac34-1b10d57329da.c000.gz.parquet	737,125,841	5,515	eng_Latn	eng_Latn	0.936379	eng_Latn	0.995911	[ "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 146, 1189, 1208, 4366, 4686, 7227, 9271, 9392, 11187, 12894, 15487, 18291, 19143, 21660, 24059, 26553, 28751, 29004, 29554 ]	IA AI S Justice Canada Audit of Cost Recovery Process Improvement (CRPI) Initiative – Phase 1 Audit Report Internal Audit Services March 2015 Information contained in this publication or product may be reproduced, in part or in whole, and by any means, for personal or public non-commercial purposes, without charge or further permission, unless otherwise specified. You are asked to: exercise due diligence in ensuring the accuracy of the materials reproduced; indicate both the complete title of the materials reproduced, as well as the author organization; and indicate that the reproduction is a copy of an official work that is published by the Government of Canada and that the reproduction has not been produced in affiliation with or with the endorsement of the Government of Canada. Commercial reproduction and distribution is prohibited except with written permission from the Department of Justice Canada. For more information, please contact the Department of Justice Canada at: www.justice.gc.ca. ©Her Majesty the Queen in Right of Canada, represented by the Minister of Justice and Attorney General of Canada, 2015 ISBN 978-0-660-02038-9 Cat. No J22-27/2015E-PDF Table of Contents 1. Executive Summary Justice Canada provides litigation and legal advisory services to federal government departments, agencies and Crown Corporations across Canada. The Department uses a hybrid model to fund its operations, relying on a mix of A-base funding to provide a certain level of legal services, and Net Voting Authority (NVA) to recover the costs of legal services from client organizations over and above this base level. NVA (cost recovery) is an important source of funding for the Department, providing more than a third of the operating budget. The Treasury Board (TB) Common Services Policy sets out a strategic direction and outlines key requirements with respect to cost recovery. The Cost Recovery Process Improvement (CRPI) Initiative commenced in August 2010 to examine and re-engineer Justice's end-to-end cost recovery processes and reporting, and in so doing respond to deficiencies noted in the 2010 Internal Audit of the Cost Recovery Framework. The objectives of the CRPI Initiative included improving business processes and enhancing corporate systems with a view to reducing administrative effort, supporting timely cash collection, meeting central agency policies and directives as well as better leveraging established Government of Canada best practices to track and invoice professional services. The changes flowing from the CRPI Initiative were implemented on April 1, 2012. To support the implementation, CRPI guidance was developed, roles and responsibilities were documented and communicated, and staff from across the Department received training. There is cost recovery reporting and monitoring at the individual client level, namely within Legal Services Units (LSUs) and portfolios. While there is some strategic cost recovery reporting and oversight via the Financial Situation Reporting and year-end financial reporting processes, the frequency and nature of in-year cost reporting does not support senior management in actively monitoring cost recovery and taking corrective action on a timely basis as may be required. Soliciting feedback from clients following the implementation of major changes to the cost recovery system is critical to ensuring that clients' needs have been sufficiently considered and addressed. This is particularly the case in regards to Justice's invoicing processes for legal services. While ad hoc feedback is sometimes received by LSUs in this regard, there is no mechanism in place to systematically solicit and capture information on client satisfaction with respect to CRPI. The Department has recently embarked on a review of its legal services funding model. While this may lead to changes in the model by which the Department recovers legal service costs from clients, the importance of sound governance processes and practices, recommendations for which are addressed as part of this report, will remain. Management Response Management is in agreement with the audit findings, has accepted the recommendations included in this report, and has developed a management action plan to address them. The management action plan has been integrated in this report. Department of Justice Canada Submitted by: Linda Saunders Chief Audit Executive Department of Justice Canada Date Recommended for approval by: Hon. Doug Lewis Departmental Audit Committee Chair Department of Justice Canada Date Approved by: William F. Pentney Deputy Minister Department of Justice Canada Date 2. Background Justice Canada provides litigation and legal advisory services to federal government departments, agencies and Crown Corporations across Canada. The Department uses a hybrid model to fund its operations, relying on a mix of A-base funding to provide a certain level of legal services, and Net Voting Authority (NVA) to recover the costs of legal services from client organizations over and above this base level. NVA (cost recovery) is an important source of funding for the Department, providing more than a third of the operating budget. The Treasury Board (TB) Common Services Policy sets out a strategic direction and outlines key requirements with respect to cost recovery. The Cost Recovery Process Improvement (CRPI) Initiative commenced in August 2010 to examine and re-engineer Justice's end-to-end cost recovery processes and reporting, and in so doing respond to deficiencies contained in the 2010 Internal Audit of the Cost Recovery Framework. The objectives of the CRPI Initiative included improving business processes and enhancing corporate systems with a view to reducing administrative effort, supporting timely cash collection, meeting central agency policies and directives as well as better leveraging established Government of Canada best practices to track and invoice professional services. In support of these objectives, eleven new standards were put in place effective April 1, 2012 to standardize the five business processes that collectively make up the CRPI Initiative, namely: 1. Memorandums of Understanding (MOUs), including Annex Bs that support planning and forecasting; 2. Timekeeping; 3. Reimbursable Disbursements; 4. Invoicing; and 5. Accounts Receivable Settlements. In 2013-2014, the Department recovered legal service costs of $330.2M as well as $8.6M (2%) of reimbursable disbursements. In accordance with the Departmental Risk-based Audit Plan 2014-2017 which was approved by the Deputy Minister on June 5, 2014, Internal Audit Services undertook an audit of the Cost Recovery Process Improvement (CRPI) Initiative. Given the complexity, risks and magnitude of the cost recovery system, this audit was split into two phases. This report represents the results of Phase 1 of the audit which is focused on Governance. Audit results associated with Phase 2 are scheduled for tabling at the September 2015 Departmental Audit Committee (DAC) meeting. The latter phase focuses on efforts undertaken by management to streamline and standardize cost recovery business processes. 3. Audit Objective The objective of this audit was to provide assurance that effective mechanisms are in place to support continued delivery of the Cost Recovery Process Improvement (CRPI) Initiative outcomes. In relation to this, Phase 1 of the audit examined CRPI Governance; Phase 2 of the audit will examine the effectiveness of management's efforts to streamline and standardize associated business processes. 4. Audit Scope Based on the results of a risk assessment conducted during the planning phase, the scope of Phase 1 of the audit focused on governance processes and practices with respect to cost recovery from April 2013 to October 2014. Also included in the scope was an examination of processes and practices in place to solicit cost recovery feedback from legal services clients. 5. Audit Approach The audit team carried out its mandate in accordance with Treasury Board's Policy on Internal Audit and the Internal Auditing Standards for the Government of Canada. The audit employed various techniques including a risk assessment of the audit entity, interviews, file reviews, as well as reviews and analysis of documentation and information. 6. Findings, Recommendations and Management Action Plan This section provides the findings and recommendations resulting from the audit work carried out. While the audit was conducted based on the lines of enquiry and audit criteria identified in the planning phase, this report is structured along the following main findings: 1. Roles and Responsibilities; 2. Reporting and Monitoring; 3. Oversight; and 4. Client Satisfaction. For conclusions by audit criterion, please refer to Appendix A. Based on the audit work performed and our professional judgment, the risk associated with each finding was rated using a three-point scale. The risk ranking (high, moderate, and low) is based on the level of potential risk exposure we feel may have an impact on the achievement of Justice Canada's objectives, and is indicative of the priority Management should give to the recommendations associated with that finding. The following criteria were used in determining the risk exposure level: 6.1 Governance Cost recovery is an important source of funding for the Department, providing $330.2M in 2013-2014, or approximately one-third of the operating budget. The Cost Recovery Process Improvement (CRPI) Initiative was initiated in August 2010 to examine and re-engineer Justice's end-to-end cost recovery processes. The resulting changes to the process came into effect on April 1, 2012. The CRPI is comprised of five business processes as follows: 1. Memorandums of Understanding (MOUs), including Annex Bs that support planning and forecasting; 2. Timekeeping; 3. Reimbursable Disbursements; 4. Invoicing; and 5. Accounts Receivable Settlements. Throughout the duration of the CRPI Initiative, active monitoring and oversight was provided by the CRPI Project Committee (January 2011 - July 2012). Following the implementation of this initiative, the CRPI Project Committee was disbanded. While responsibility for an initial suite of system changes was delegated to a Change Advisory Board, lead responsibility for various elements of the cost recovery process was dispersed to the respective business owners throughout the organization. Given the magnitude of this initiative and the criticality of the revenues generated through cost recovery, effective governance processes and practices are required to ensure the Department continues to achieve the expected results of the CRPI Initiative. As outlined in the CRPI Project Charter, this initiative was designed to: - Promote consistent business practices across the Department; - Smooth out cash flows so they are received on a more predictable basis throughout the fiscal year; - Address client Departmental expectations; - Respond to prior audit findings and recommendations. - Achieve greater policy compliance; and 6.1.1 Finding 1: Roles and Responsibilities Linkage to: Governance Risk Management Control Cost recovery roles and responsibilities are documented and have been communicated across the Department. Interviews conducted with departmental staff indicated that cost recovery roles and responsibilities were clear and well understood. Roles and responsibilities for each of the five elements of the cost recovery process are clearly documented in the CRPI Supplementary Documentation. This is a key document that is readily available on the Department's intranet and was referenced in the suite of guidance used to train departmental staff on the new CRPI. Cost recovery reporting and monitoring roles and responsibilities are also documented in the CRPI Supplementary Documentation, with specific reference to in-year cost recovery reporting and monitoring through the Financial Situation Reporting (FSR) process. The Department's Accountability Framework for MOU Related to the Provision of Legal Services elaborates further on roles and responsibilities with respect to the MOUs and Annex Bs development, negotiation and monitoring processes. The CRPI Project Close-Out Report clearly assigns to Management and CFO Sector the responsibility for the support, maintenance and troubleshooting of the financial system-related elements of cost recovery. Interviews with staff responsible for the various elements of the cost recovery process indicated Departmental staff have a sound awareness and understanding of their roles and responsibilities. A number of interviewees indicated that they find the CRPI support provided by the Management and CFO Sector to be timely and very helpful. Low Processes and practices are in place and operating effectively to support cost recovery reporting and monitoring at the client level. However, the frequency and nature of cost recovery reporting does not support active monitoring and oversight at the strategic or corporate level. MOUs and Annex Bs The Treasury Board Common Services Policy requires departments providing mandatory common services to "develop, in consultation with client departments and agencies, meaningful and visible standards of service and performance for the delivery of mandatory services." The Department of Justice has an MOU Framework in place that provides the overarching structure and expectations with respect to the development, negotiation and approval of client agreements (i.e. umbrella MOUs often covering more than one year and accompanying Annex Bs that are negotiated annually). This Framework includes the expectation that "the status of MOU implementation will be monitored and shared with senior management at least once a year." This Framework also specifies that by April 1 st each year, the financial codes necessary for cost recovery (i.e. Interdepartmental Settlement codes) are to be obtained from clients and reflected in Annex B. At the client level, the Finance and Planning Branch of Management and CFO Sector maintains an MOU repository. The Branch periodically produces an Excel spreadsheet that reflects the status of MOUs and Annex Bs by client and portfolio. Once the associated information is validated by related branches and portfolios, the spreadsheet is posted on the Department's intranet site. At the Department level, the Business Practice and Intelligence Branch of Management and CFO Sector produced a high level status report for the 20122013 fiscal year. This reporting, tabled at Management Committee (MC) in September 2013, reflected the status of MOUs and Annex Bs by portfolio. However, the reporting did not include any accompanying client information. While this reporting may have technically fulfilled the requirements of "annual MOU status reporting" as outlined in the MOU Framework, the nature of it was at such a high level that it did not provide MC with meaningful insight to clearly link the absence of required Annex Bs to client billings, particularly in relation to the Department's top billers. In addition, the tabling of this 20122013 report after year end, with no corresponding in-year MC reporting, was not optimal to support senior management in the timely identification and management of significant or systemic issues in this area. There was no MOU status reporting for 2013-2014 or to date for 2014-2015. In the first quarter of 2014-2015, there was a 15% reduction in cost recovery revenue from approximately $36M at June 30, 2013 to approximately $30.6M at June 30, 2014. This was primarily the result of the less than timely receipt of signed Annex Bs and the receipt of Interdepartmental Settlement (IS) codes that facilitate the timely collection of cost recovery revenue. This issue came to light via the Department's external Quarterly Financial Report. Regularized strategic reporting that clearly links cost recovery revenue with the status reporting on Annex Bs and receipt of IS codes would provide timely, relevant information to support MC in their monitoring role. Interviews indicated that resource constraints resulted in the absence of any MOU status reports being developed or communicated to MC since 2012-2013. The Business Practice and Intelligence Branch and CFO Sector have indicated that work is underway to strengthen MOU monitoring and oversight processes for 2015-2016 including the tracking, escalation and status reporting to Portfolios, Branches and MC. Revenue As previously stated, expectations for cost recovery monitoring and reporting, including in-year cost recovery reporting and monitoring through the Financial Situation Reporting (FSR) process are outlined in CRPI Supplementary Documentation. Each month the Finance and Planning Branch (FPB) develops Cost Recovery Billing Reports and posts them on the Department's intranet. This reporting reflects actual cost recovery billings by portfolio and by client for the related month as well as total year-to-date billings. As noted in interviews, this reporting supports LSUs in monitoring and discussing in-year billings with clients, reviewing and updating client forecasts, and planning for the next fiscal year. On a quarterly basis, the FPB updates the consolidated revenue forecast for the Department and communicates this information to MC via the Financial Situation Reporting (FSR) process. However, we noted that the nature of the cost recovery information reflected in these reports varied from quarter to quarter. For example, the updated revenue forecast reflected in the October 2014 FSR included a one line adjustment that is based on a historical trending of forecasting accuracy. For the corresponding quarter of the preceding year (i.e. October 2013), the revenue forecast reflected a brief summary by portfolio as well as client details for major reductions in forecasted revenue. In addition, the FPB prepares the monthly FSRs and the year-end update report. Monthly FSRs and year-end reporting for 2013-2014 provided an explicit comparison of actual cost recovery revenue versus the forecast of the prior year. The reporting included the identification of material differences between actual and	forecasted cost recovery revenue for the period and the key clients whose delayed billings were the main reason for the difference.	The 2014-2015 FSRs include a similar bar chart comparison of actual cost recovery for the current and prior year. However, there was no inclusion of a comparison against forecast nor was there a clear identification of, or information on, the variance between the current and prior year's actual cost recovery revenue, either for the month or year-to-date. The absence of a clear comparison of actual cost recovery revenue against forecast, particularly for the Department's top 20-30 clients, makes it a challenge for MC to readily monitor the timeliness of cost recovery cash flows and address any related issues that may arise. 6.1.3 Finding 3: Oversight Linkage to: Governance Risk Management Control There is effective oversight of some elements of the cost recovery system. Opportunities exist to refine the oversight of cost recovery to support the continued achievement of the expected outcomes that the system was designed to deliver on. The design and implementation of the CRPI Initiative included mechanisms to support oversight. This included a CRPI Project Committee, co-chaired by two Departmental executives, which oversaw the design and implementation of this initiative and a Change Advisory Board responsible for overseeing an initial suite of changes to the cost recovery system. Following the implementation of the CRPI Initiative, it was expected that strategic oversight for cost recovery, a regime that generates revenue to cover approximately one-third of the Department's budget, would shift to an existing Departmental committee. Management Committee (MC) is the Department's decision-making forum. As outlined in its Terms of Reference, the committee is responsible for "legal service delivery, horizontal management, operational and accountability issues affecting the Department." Given the horizontal nature of CRPI and the criticality of cost recovery revenue to funding the Department's operations, MC plays a key role in the strategic oversight of cost recovery. To support the Management Committee in its overall role, we noted that between April 2013 and October 2014, members of this Committee received and reviewed the following cost recovery reporting: - Financial Situation Reports (FSRs) are tabled at MC throughout the year and a Year-End Financial Update is tabled once at MC a few months following year end; - Annual Cost Recovery Analysis report for the two fiscal years that provided an analysis of total cost recovery revenues (NVA) and the associated costs, both in dollar and percentage terms for the Department as a whole; and - A high level MOU and Annex B status report for the 2012-2013 fiscal year entitled Report to Management Committee on MOU Completion Status for 2012-13. The above reports provide some information on cost recovery. However, the nature and frequency of the reporting does not readily support senior management in effectively exercising its oversight role in this area. For example, with little to no reporting to MC on the status of MOUs and Annex Bs, MC may not be able to identify or address significant and/or systemic issues on a timely basis. While the Department is reviewing and considering changes to the funding model, effective oversight will continue to be imperative to ensure the efficient management of an area that is highly decentralized and material to Departmental operations. Recommendation 2 Management Action Plan Management Committee should review and refine the nature and frequency of Management Committee's review and discussion of critical elements of the cost recovery system to ensure continued achievement of the benefits derived from the investment in the Cost Recovery Process Improvement Initiative. Office of Primary Interest: Due Date: 6.1.4 Finding 4: The Management Committee will be provided with an opportunity to discuss reporting requirements on CRPI as part of the June 2015 FSR process. At a minimum, Management Committee will be provided with the new information outlined in the management action plan for recommendation #1. Management Committee March 31, 2016 6.1 Client Satisfaction Subsection title / theme 2 General context information about the topic goes here along with audit criteria context. Linkage to: Governance Risk Management Control 6.2 Subsection title / theme 2 Ad hoc client feedback is sometimes received by LSUs. However, no formal or systematic mechanism is in place to solicit and capture client satisfaction information with respect to CRPI. Moderate General context information about the topic goes here along with audit criteria context. Since 2006, the Department has undertaken a survey every three years to solicit feedback from clients. The primary focus of this survey is to gain insight into the quality, accessibility, responsiveness, usefulness and timeliness of legal services provided. To date, the survey has not encompassed cost recovery, including client invoicing and administrative burden. The integration of LSUs in major client departments provides for a close working relationship between Justice lawyers and the client. This working relationship can provide an informal mechanism for clients to provide feedback on the cost recovery system, including the changes flowing from CRPI. The implementation of the Billing Manager Review process and the Final Quality Assurance (QA) Review and Approval process supports improved accuracy of client invoices. Interviews with those involved in this process pointed to a reduction in the number of questions and concerns expressed by clients following the issuance of an invoice in a post-CRPI world. This is interpreted as an indication that client satisfaction has improved with respect to the accuracy of invoices. Ad hoc verbal feedback received by LSUs indicates that the implementation of monthly billing under CRPI has improved client satisfaction with respect to the timeliness of invoicing. Anecdotal information provided by LSUs indicates that while clients appreciate the regularized monthly billing, the lack of CRPI-generated information to readily support the amounts billed continues to be problematic. For example, the cost recovery module of the Integrated Financial and Material System (IFMS) does not provide any details to support Full Time Equivalent (FTE) billing. Hourly billing information provided by this system is effectively a 'data dump' of the time slips for the billing period, without any summary by lawyer and/or by file. The lack of FTE billing information and the sheer length of the accompanying hourly billing details (i.e. it is often well in excess of 100 pages) compromises the quality of the invoice and on its own would be administratively burdensome and challenging for clients to ascertain the nature and reasonableness of the services being billed. Through interviews and document reviews, we found that some LSUs have developed their own tools and reports, outside of the cost recovery module of IFMS, to better meet clients' invoicing needs and expectations. For example, Canada Revenue Agency's LSU has developed tailored templates and associated monthly reporting to better meet their client's needs with respect to forecast monitoring. This enables clear and readily understandable substantiation of the associated legal services billings. As another example, Transport Canada's LSU has developed a database to readily track, analyze and report on the legal services they provide. As previously noted, the absence of a systematic or formalized mechanism to solicit and respond to feedback from clients impairs Justice Canada's ability to ensure that the investment in CRPI has resulted in improved client satisfaction with respect to invoicing and administrative burden. As a result, management is not able to effectively assess the continued achievement of the related CRPI outcomes and ensure the efficient design and implementation of invoice reporting templates and tools that meet clients' needs and expectations. Recommendation 3 Management and CFO Sector should leverage existing mechanisms to solicit and respond to feedback from client departments with respect to invoicing and the administrative burden of the cost recovery process. Office of Primary Interest: Management Action Plan The Legal Services Review Wave 2 proposed changes will address issues identified by client departments with respect to invoicing and the administrative burden of the cost recovery process. In accordance with section 5.3 of the respective MOUs between Justice and clients, the Legal Services Unit Heads will continue to be encouraged to informally review and discuss the quality of legal services with clients relative to the service standards and the operational indicators in order to identify opportunities for service improvement. Management and CFO Sector LSUs Heads Due Date: April 30, 2016 7. Audit Opinion Based on the audit findings, our opinion is that there are some sound governance processes and practices in place to support the continued achievement of CRPI objectives. However, improvements should be made to enhance strategic cost recovery monitoring, reporting and oversight. A mechanism should also be implemented to systematically solicit cost recovery feedback from clients in order to support their continuous improvement needs. 8. Statement of Conformance In my professional judgment as Chief Audit Executive, sufficient and appropriate audit procedures have been conducted and evidence gathered to support the accuracy of the opinion provided and contained in this report. The extent of the examination was planned to provide a reasonable level of assurance with respect to the audit criteria. The opinion is based on a comparison of the conditions, as they existed at the time, against pre-established audit criteria that were agreed on with Management. The opinion is applicable only to the entity examined and within the scope described herein. The evidence was gathered in compliance with the Treasury Board Policy and Directive on Internal Audit. The audit conforms to the Internal Auditing Standards for the Government of Canada, as supported by the results of the Quality Assurance and Improvement Program. The procedures used meet the professional standards of the Institute of Internal Auditors. The evidence gathered is sufficient to provide senior management with proof of the opinion derived from the internal audit. Appendix A – Audit Criteria Based on a combination of the evidence gathered through documentation examination, analysis and interviews, each of the audit criteria listed below was assessed and a conclusion for the audit criteria was determined using the following definitions: The following are the audit criteria and examples of key evidence and/or findings noted which were analyzed and against which conclusions were drawn. In cases where significant improvements and/or moderate issues were observed, these were reported in the audit report.	18,377	end_of_word	and	remove_one_sentence	<url> https://www.justice.gc.ca/eng/rp-pr/cp-pm/aud-ver/2015/crpi-aprc.pdf </url> <text> IA AI S Justice Canada Audit of Cost Recovery Process Improvement (CRPI) Initiative – Phase 1 Audit Report Internal Audit Services March 2015 Information contained in this publication or product may be reproduced, in part or in whole, and by any means, for personal or public non-commercial purposes, without charge or further permission, unless otherwise specified. You are asked to: exercise due diligence in ensuring the accuracy of the materials reproduced; indicate both the complete title of the materials reproduced, as well as the author organization; and indicate that the reproduction is a copy of an official work that is published by the Government of Canada and that the reproduction has not been produced in affiliation with or with the endorsement of the Government of Canada. Commercial reproduction and distribution is prohibited except with written permission from the Department of Justice Canada. For more information, please contact the Department of Justice Canada at: www.justice.gc.ca. ©Her Majesty the Queen in Right of Canada, represented by the Minister of Justice and Attorney General of Canada, 2015 ISBN 978-0-660-02038-9 Cat. No J22-27/2015E-PDF Table of Contents 1. Executive Summary Justice Canada provides litigation and legal advisory services to federal government departments, agencies and Crown Corporations across Canada. The Department uses a hybrid model to fund its operations, relying on a mix of A-base funding to provide a certain level of legal services, and Net Voting Authority (NVA) to recover the costs of legal services from client organizations over and above this base level. NVA (cost recovery) is an important source of funding for the Department, providing more than a third of the operating budget. The Treasury Board (TB) Common Services Policy sets out a strategic direction and outlines key requirements with respect to cost recovery. The Cost Recovery Process Improvement (CRPI) Initiative commenced in August 2010 to examine and re-engineer Justice's end-to-end cost recovery processes and reporting, and in so doing respond to deficiencies noted in the 2010 Internal Audit of the Cost Recovery Framework. The objectives of the CRPI Initiative included improving business processes and enhancing corporate systems with a view to reducing administrative effort, supporting timely cash collection, meeting central agency policies and directives as well as better leveraging established Government of Canada best practices to track and invoice professional services. The changes flowing from the CRPI Initiative were implemented on April 1, 2012. To support the implementation, CRPI guidance was developed, roles and responsibilities were documented and communicated, and staff from across the Department received training. There is cost recovery reporting and monitoring at the individual client level, namely within Legal Services Units (LSUs) and portfolios. While there is some strategic cost recovery reporting and oversight via the Financial Situation Reporting and year-end financial reporting processes, the frequency and nature of in-year cost reporting does not support senior management in actively monitoring cost recovery and taking corrective action on a timely basis as may be required. Soliciting feedback from clients following the implementation of major changes to the cost recovery system is critical to ensuring that clients' needs have been sufficiently considered and addressed. This is particularly the case in regards to Justice's invoicing processes for legal services. While ad hoc feedback is sometimes received by LSUs in this regard, there is no mechanism in place to systematically solicit and capture information on client satisfaction with respect to CRPI. The Department has recently embarked on a review of its legal services funding model. While this may lead to changes in the model by which the Department recovers legal service costs from clients, the importance of sound governance processes and practices, recommendations for which are addressed as part of this report, will remain. Management Response Management is in agreement with the audit findings, has accepted the recommendations included in this report, and has developed a management action plan to address them. The management action plan has been integrated in this report. Department of Justice Canada Submitted by: Linda Saunders Chief Audit Executive Department of Justice Canada Date Recommended for approval by: Hon. Doug Lewis Departmental Audit Committee Chair Department of Justice Canada Date Approved by: William F. Pentney Deputy Minister Department of Justice Canada Date 2. Background Justice Canada provides litigation and legal advisory services to federal government departments, agencies and Crown Corporations across Canada. The Department uses a hybrid model to fund its operations, relying on a mix of A-base funding to provide a certain level of legal services, and Net Voting Authority (NVA) to recover the costs of legal services from client organizations over and above this base level. NVA (cost recovery) is an important source of funding for the Department, providing more than a third of the operating budget. The Treasury Board (TB) Common Services Policy sets out a strategic direction and outlines key requirements with respect to cost recovery. The Cost Recovery Process Improvement (CRPI) Initiative commenced in August 2010 to examine and re-engineer Justice's end-to-end cost recovery processes and reporting, and in so doing respond to deficiencies contained in the 2010 Internal Audit of the Cost Recovery Framework. The objectives of the CRPI Initiative included improving business processes and enhancing corporate systems with a view to reducing administrative effort, supporting timely cash collection, meeting central agency policies and directives as well as better leveraging established Government of Canada best practices to track and invoice professional services. In support of these objectives, eleven new standards were put in place effective April 1, 2012 to standardize the five business processes that collectively make up the CRPI Initiative, namely: 1. Memorandums of Understanding (MOUs), including Annex Bs that support planning and forecasting; 2. Timekeeping; 3. Reimbursable Disbursements; 4. Invoicing; and 5. Accounts Receivable Settlements. In 2013-2014, the Department recovered legal service costs of $330.2M as well as $8.6M (2%) of reimbursable disbursements. In accordance with the Departmental Risk-based Audit Plan 2014-2017 which was approved by the Deputy Minister on June 5, 2014, Internal Audit Services undertook an audit of the Cost Recovery Process Improvement (CRPI) Initiative. Given the complexity, risks and magnitude of the cost recovery system, this audit was split into two phases. This report represents the results of Phase 1 of the audit which is focused on Governance. Audit results associated with Phase 2 are scheduled for tabling at the September 2015 Departmental Audit Committee (DAC) meeting. The latter phase focuses on efforts undertaken by management to streamline and standardize cost recovery business processes. 3. Audit Objective The objective of this audit was to provide assurance that effective mechanisms are in place to support continued delivery of the Cost Recovery Process Improvement (CRPI) Initiative outcomes. In relation to this, Phase 1 of the audit examined CRPI Governance; Phase 2 of the audit will examine the effectiveness of management's efforts to streamline and standardize associated business processes. 4. Audit Scope Based on the results of a risk assessment conducted during the planning phase, the scope of Phase 1 of the audit focused on governance processes and practices with respect to cost recovery from April 2013 to October 2014. Also included in the scope was an examination of processes and practices in place to solicit cost recovery feedback from legal services clients. 5. Audit Approach The audit team carried out its mandate in accordance with Treasury Board's Policy on Internal Audit and the Internal Auditing Standards for the Government of Canada. The audit employed various techniques including a risk assessment of the audit entity, interviews, file reviews, as well as reviews and analysis of documentation and information. 6. Findings, Recommendations and Management Action Plan This section provides the findings and recommendations resulting from the audit work carried out. While the audit was conducted based on the lines of enquiry and audit criteria identified in the planning phase, this report is structured along the following main findings: 1. Roles and Responsibilities; 2. Reporting and Monitoring; 3. Oversight; and 4. Client Satisfaction. For conclusions by audit criterion, please refer to Appendix A. Based on the audit work performed and our professional judgment, the risk associated with each finding was rated using a three-point scale. The risk ranking (high, moderate, and low) is based on the level of potential risk exposure we feel may have an impact on the achievement of Justice Canada's objectives, and is indicative of the priority Management should give to the recommendations associated with that finding. The following criteria were used in determining the risk exposure level: 6.1 Governance Cost recovery is an important source of funding for the Department, providing $330.2M in 2013-2014, or approximately one-third of the operating budget. The Cost Recovery Process Improvement (CRPI) Initiative was initiated in August 2010 to examine and re-engineer Justice's end-to-end cost recovery processes. The resulting changes to the process came into effect on April 1, 2012. The CRPI is comprised of five business processes as follows: 1. Memorandums of Understanding (MOUs), including Annex Bs that support planning and forecasting; 2. Timekeeping; 3. Reimbursable Disbursements; 4. Invoicing; and 5. Accounts Receivable Settlements. Throughout the duration of the CRPI Initiative, active monitoring and oversight was provided by the CRPI Project Committee (January 2011 - July 2012). Following the implementation of this initiative, the CRPI Project Committee was disbanded. While responsibility for an initial suite of system changes was delegated to a Change Advisory Board, lead responsibility for various elements of the cost recovery process was dispersed to the respective business owners throughout the organization. Given the magnitude of this initiative and the criticality of the revenues generated through cost recovery, effective governance processes and practices are required to ensure the Department continues to achieve the expected results of the CRPI Initiative. As outlined in the CRPI Project Charter, this initiative was designed to: - Promote consistent business practices across the Department; - Smooth out cash flows so they are received on a more predictable basis throughout the fiscal year; - Address client Departmental expectations; - Respond to prior audit findings and recommendations. - Achieve greater policy compliance; and 6.1.1 Finding 1: Roles and Responsibilities Linkage to: Governance Risk Management Control Cost recovery roles and responsibilities are documented and have been communicated across the Department. Interviews conducted with departmental staff indicated that cost recovery roles and responsibilities were clear and well understood. Roles and responsibilities for each of the five elements of the cost recovery process are clearly documented in the CRPI Supplementary Documentation. This is a key document that is readily available on the Department's intranet and was referenced in the suite of guidance used to train departmental staff on the new CRPI. Cost recovery reporting and monitoring roles and responsibilities are also documented in the CRPI Supplementary Documentation, with specific reference to in-year cost recovery reporting and monitoring through the Financial Situation Reporting (FSR) process. The Department's Accountability Framework for MOU Related to the Provision of Legal Services elaborates further on roles and responsibilities with respect to the MOUs and Annex Bs development, negotiation and monitoring processes. The CRPI Project Close-Out Report clearly assigns to Management and CFO Sector the responsibility for the support, maintenance and troubleshooting of the financial system-related elements of cost recovery. Interviews with staff responsible for the various elements of the cost recovery process indicated Departmental staff have a sound awareness and understanding of their roles and responsibilities. A number of interviewees indicated that they find the CRPI support provided by the Management and CFO Sector to be timely and very helpful. Low Processes and practices are in place and operating effectively to support cost recovery reporting and monitoring at the client level. However, the frequency and nature of cost recovery reporting does not support active monitoring and oversight at the strategic or corporate level. MOUs and Annex Bs The Treasury Board Common Services Policy requires departments providing mandatory common services to "develop, in consultation with client departments and agencies, meaningful and visible standards of service and performance for the delivery of mandatory services." The Department of Justice has an MOU Framework in place that provides the overarching structure and expectations with respect to the development, negotiation and approval of client agreements (i.e. umbrella MOUs often covering more than one year and accompanying Annex Bs that are negotiated annually). This Framework includes the expectation that "the status of MOU implementation will be monitored and shared with senior management at least once a year." This Framework also specifies that by April 1 st each year, the financial codes necessary for cost recovery (i.e. Interdepartmental Settlement codes) are to be obtained from clients and reflected in Annex B. At the client level, the Finance and Planning Branch of Management and CFO Sector maintains an MOU repository. The Branch periodically produces an Excel spreadsheet that reflects the status of MOUs and Annex Bs by client and portfolio. Once the associated information is validated by related branches and portfolios, the spreadsheet is posted on the Department's intranet site. At the Department level, the Business Practice and Intelligence Branch of Management and CFO Sector produced a high level status report for the 20122013 fiscal year. This reporting, tabled at Management Committee (MC) in September 2013, reflected the status of MOUs and Annex Bs by portfolio. However, the reporting did not include any accompanying client information. While this reporting may have technically fulfilled the requirements of "annual MOU status reporting" as outlined in the MOU Framework, the nature of it was at such a high level that it did not provide MC with meaningful insight to clearly link the absence of required Annex Bs to client billings, particularly in relation to the Department's top billers. In addition, the tabling of this 20122013 report after year end, with no corresponding in-year MC reporting, was not optimal to support senior management in the timely identification and management of significant or systemic issues in this area. There was no MOU status reporting for 2013-2014 or to date for 2014-2015. In the first quarter of 2014-2015, there was a 15% reduction in cost recovery revenue from approximately $36M at June 30, 2013 to approximately $30.6M at June 30, 2014. This was primarily the result of the less than timely receipt of signed Annex Bs and the receipt of Interdepartmental Settlement (IS) codes that facilitate the timely collection of cost recovery revenue. This issue came to light via the Department's external Quarterly Financial Report. Regularized strategic reporting that clearly links cost recovery revenue with the status reporting on Annex Bs and receipt of IS codes would provide timely, relevant information to support MC in their monitoring role. Interviews indicated that resource constraints resulted in the absence of any MOU status reports being developed or communicated to MC since 2012-2013. The Business Practice and Intelligence Branch and CFO Sector have indicated that work is underway to strengthen MOU monitoring and oversight processes for 2015-2016 including the tracking, escalation and status reporting to Portfolios, Branches and MC. Revenue As previously stated, expectations for cost recovery monitoring and reporting, including in-year cost recovery reporting and monitoring through the Financial Situation Reporting (FSR) process are outlined in CRPI Supplementary Documentation. Each month the Finance and Planning Branch (FPB) develops Cost Recovery Billing Reports and posts them on the Department's intranet. This reporting reflects actual cost recovery billings by portfolio and by client for the related month as well as total year-to-date billings. As noted in interviews, this reporting supports LSUs in monitoring and discussing in-year billings with clients, reviewing and updating client forecasts, and planning for the next fiscal year. On a quarterly basis, the FPB updates the consolidated revenue forecast for the Department and communicates this information to MC via the Financial Situation Reporting (FSR) process. However, we noted that the nature of the cost recovery information reflected in these reports varied from quarter to quarter. For example, the updated revenue forecast reflected in the October 2014 FSR included a one line adjustment that is based on a historical trending of forecasting accuracy. For the corresponding quarter of the preceding year (i.e. October 2013), the revenue forecast reflected a brief summary by portfolio as well as client details for major reductions in forecasted revenue. In addition, the FPB prepares the monthly FSRs and the year-end update report. Monthly FSRs and year-end reporting for 2013-2014 provided an explicit comparison of actual cost recovery revenue versus the forecast of the prior year. The reporting included the identification of material differences between actual and<cursor_is_here> The 2014-2015 FSRs include a similar bar chart comparison of actual cost recovery for the current and prior year. However, there was no inclusion of a comparison against forecast nor was there a clear identification of, or information on, the variance between the current and prior year's actual cost recovery revenue, either for the month or year-to-date. The absence of a clear comparison of actual cost recovery revenue against forecast, particularly for the Department's top 20-30 clients, makes it a challenge for MC to readily monitor the timeliness of cost recovery cash flows and address any related issues that may arise. 6.1.3 Finding 3: Oversight Linkage to: Governance Risk Management Control There is effective oversight of some elements of the cost recovery system. Opportunities exist to refine the oversight of cost recovery to support the continued achievement of the expected outcomes that the system was designed to deliver on. The design and implementation of the CRPI Initiative included mechanisms to support oversight. This included a CRPI Project Committee, co-chaired by two Departmental executives, which oversaw the design and implementation of this initiative and a Change Advisory Board responsible for overseeing an initial suite of changes to the cost recovery system. Following the implementation of the CRPI Initiative, it was expected that strategic oversight for cost recovery, a regime that generates revenue to cover approximately one-third of the Department's budget, would shift to an existing Departmental committee. Management Committee (MC) is the Department's decision-making forum. As outlined in its Terms of Reference, the committee is responsible for "legal service delivery, horizontal management, operational and accountability issues affecting the Department." Given the horizontal nature of CRPI and the criticality of cost recovery revenue to funding the Department's operations, MC plays a key role in the strategic oversight of cost recovery. To support the Management Committee in its overall role, we noted that between April 2013 and October 2014, members of this Committee received and reviewed the following cost recovery reporting: - Financial Situation Reports (FSRs) are tabled at MC throughout the year and a Year-End Financial Update is tabled once at MC a few months following year end; - Annual Cost Recovery Analysis report for the two fiscal years that provided an analysis of total cost recovery revenues (NVA) and the associated costs, both in dollar and percentage terms for the Department as a whole; and - A high level MOU and Annex B status report for the 2012-2013 fiscal year entitled Report to Management Committee on MOU Completion Status for 2012-13. The above reports provide some information on cost recovery. However, the nature and frequency of the reporting does not readily support senior management in effectively exercising its oversight role in this area. For example, with little to no reporting to MC on the status of MOUs and Annex Bs, MC may not be able to identify or address significant and/or systemic issues on a timely basis. While the Department is reviewing and considering changes to the funding model, effective oversight will continue to be imperative to ensure the efficient management of an area that is highly decentralized and material to Departmental operations. Recommendation 2 Management Action Plan Management Committee should review and refine the nature and frequency of Management Committee's review and discussion of critical elements of the cost recovery system to ensure continued achievement of the benefits derived from the investment in the Cost Recovery Process Improvement Initiative. Office of Primary Interest: Due Date: 6.1.4 Finding 4: The Management Committee will be provided with an opportunity to discuss reporting requirements on CRPI as part of the June 2015 FSR process. At a minimum, Management Committee will be provided with the new information outlined in the management action plan for recommendation #1. Management Committee March 31, 2016 6.1 Client Satisfaction Subsection title / theme 2 General context information about the topic goes here along with audit criteria context. Linkage to: Governance Risk Management Control 6.2 Subsection title / theme 2 Ad hoc client feedback is sometimes received by LSUs. However, no formal or systematic mechanism is in place to solicit and capture client satisfaction information with respect to CRPI. Moderate General context information about the topic goes here along with audit criteria context. Since 2006, the Department has undertaken a survey every three years to solicit feedback from clients. The primary focus of this survey is to gain insight into the quality, accessibility, responsiveness, usefulness and timeliness of legal services provided. To date, the survey has not encompassed cost recovery, including client invoicing and administrative burden. The integration of LSUs in major client departments provides for a close working relationship between Justice lawyers and the client. This working relationship can provide an informal mechanism for clients to provide feedback on the cost recovery system, including the changes flowing from CRPI. The implementation of the Billing Manager Review process and the Final Quality Assurance (QA) Review and Approval process supports improved accuracy of client invoices. Interviews with those involved in this process pointed to a reduction in the number of questions and concerns expressed by clients following the issuance of an invoice in a post-CRPI world. This is interpreted as an indication that client satisfaction has improved with respect to the accuracy of invoices. Ad hoc verbal feedback received by LSUs indicates that the implementation of monthly billing under CRPI has improved client satisfaction with respect to the timeliness of invoicing. Anecdotal information provided by LSUs indicates that while clients appreciate the regularized monthly billing, the lack of CRPI-generated information to readily support the amounts billed continues to be problematic. For example, the cost recovery module of the Integrated Financial and Material System (IFMS) does not provide any details to support Full Time Equivalent (FTE) billing. Hourly billing information provided by this system is effectively a 'data dump' of the time slips for the billing period, without any summary by lawyer and/or by file. The lack of FTE billing information and the sheer length of the accompanying hourly billing details (i.e. it is often well in excess of 100 pages) compromises the quality of the invoice and on its own would be administratively burdensome and challenging for clients to ascertain the nature and reasonableness of the services being billed. Through interviews and document reviews, we found that some LSUs have developed their own tools and reports, outside of the cost recovery module of IFMS, to better meet clients' invoicing needs and expectations. For example, Canada Revenue Agency's LSU has developed tailored templates and associated monthly reporting to better meet their client's needs with respect to forecast monitoring. This enables clear and readily understandable substantiation of the associated legal services billings. As another example, Transport Canada's LSU has developed a database to readily track, analyze and report on the legal services they provide. As previously noted, the absence of a systematic or formalized mechanism to solicit and respond to feedback from clients impairs Justice Canada's ability to ensure that the investment in CRPI has resulted in improved client satisfaction with respect to invoicing and administrative burden. As a result, management is not able to effectively assess the continued achievement of the related CRPI outcomes and ensure the efficient design and implementation of invoice reporting templates and tools that meet clients' needs and expectations. Recommendation 3 Management and CFO Sector should leverage existing mechanisms to solicit and respond to feedback from client departments with respect to invoicing and the administrative burden of the cost recovery process. Office of Primary Interest: Management Action Plan The Legal Services Review Wave 2 proposed changes will address issues identified by client departments with respect to invoicing and the administrative burden of the cost recovery process. In accordance with section 5.3 of the respective MOUs between Justice and clients, the Legal Services Unit Heads will continue to be encouraged to informally review and discuss the quality of legal services with clients relative to the service standards and the operational indicators in order to identify opportunities for service improvement. Management and CFO Sector LSUs Heads Due Date: April 30, 2016 7. Audit Opinion Based on the audit findings, our opinion is that there are some sound governance processes and practices in place to support the continued achievement of CRPI objectives. However, improvements should be made to enhance strategic cost recovery monitoring, reporting and oversight. A mechanism should also be implemented to systematically solicit cost recovery feedback from clients in order to support their continuous improvement needs. 8. Statement of Conformance In my professional judgment as Chief Audit Executive, sufficient and appropriate audit procedures have been conducted and evidence gathered to support the accuracy of the opinion provided and contained in this report. The extent of the examination was planned to provide a reasonable level of assurance with respect to the audit criteria. The opinion is based on a comparison of the conditions, as they existed at the time, against pre-established audit criteria that were agreed on with Management. The opinion is applicable only to the entity examined and within the scope described herein. The evidence was gathered in compliance with the Treasury Board Policy and Directive on Internal Audit. The audit conforms to the Internal Auditing Standards for the Government of Canada, as supported by the results of the Quality Assurance and Improvement Program. The procedures used meet the professional standards of the Institute of Internal Auditors. The evidence gathered is sufficient to provide senior management with proof of the opinion derived from the internal audit. Appendix A – Audit Criteria Based on a combination of the evidence gathered through documentation examination, analysis and interviews, each of the audit criteria listed below was assessed and a conclusion for the audit criteria was determined using the following definitions: The following are the audit criteria and examples of key evidence and/or findings noted which were analyzed and against which conclusions were drawn. In cases where significant improvements and/or moderate issues were observed, these were reported in the audit report. </text>	[ { "content": "<url>\nhttps://www.justice.gc.ca/eng/rp-pr/cp-pm/aud-ver/2015/crpi-aprc.pdf\n</url>\n<text>\nIA AI S\n\nJustice Canada\n\nAudit of Cost Recovery Process Improvement (CRPI) Initiative – Phase 1\n\nAudit Report\n\nInternal Audit Services\n\nMarch 2015\n\nInformation contained in this publication or product may be reproduced, in part or in whole, and by any means, for personal or public non-commercial purposes, without charge or further permission, unless otherwise specified.\n\nYou are asked to:\n\nexercise due diligence in ensuring the accuracy of the materials reproduced;\n\nindicate both the complete title of the materials reproduced, as well as the author organization; and indicate that the reproduction is a copy of an official work that is published by the Government of Canada and that the reproduction has not been produced in affiliation with or with the endorsement of the Government of Canada.\n\nCommercial reproduction and distribution is prohibited except with written permission from the Department of Justice Canada. For more information, please contact the Department of Justice Canada at: www.justice.gc.ca.\n\n©Her Majesty the Queen in Right of Canada, represented by the Minister of Justice and Attorney General of Canada, 2015\n\nISBN 978-0-660-02038-9\n\nCat. No J22-27/2015E-PDF\n\nTable of Contents\n\n1. Executive Summary\n\nJustice Canada provides litigation and legal advisory services to federal government departments, agencies and Crown Corporations across Canada. The Department uses a hybrid model to fund its operations, relying on a mix of A-base funding to provide a certain level of legal services, and Net Voting Authority (NVA) to recover the costs of legal services from client organizations over and above this base level. NVA (cost recovery) is an important source of funding for the Department, providing more than a third of the operating budget. The Treasury Board (TB) Common Services Policy sets out a strategic direction and outlines key requirements with respect to cost recovery.\n\nThe Cost Recovery Process Improvement (CRPI) Initiative commenced in August 2010 to examine and re-engineer Justice's end-to-end cost recovery processes and reporting, and in so doing respond to deficiencies noted in the 2010 Internal Audit of the Cost Recovery Framework. The objectives of the CRPI Initiative included improving business processes and enhancing corporate systems with a view to reducing administrative effort, supporting timely cash collection, meeting central agency policies and directives as well as better leveraging established Government of Canada best practices to track and invoice professional services.\n\nThe changes flowing from the CRPI Initiative were implemented on April 1, 2012. To support the implementation, CRPI guidance was developed, roles and responsibilities were documented and communicated, and staff from across the Department received training. There is cost recovery reporting and monitoring at the individual client level, namely within Legal Services Units (LSUs) and portfolios. While there is some strategic cost recovery reporting and oversight via the Financial Situation Reporting and year-end financial reporting processes, the frequency and nature of in-year cost reporting does not support senior management in actively monitoring cost recovery and taking corrective action on a timely basis as may be required.\n\nSoliciting feedback from clients following the implementation of major changes to the cost recovery system is critical to ensuring that clients' needs have been sufficiently considered and addressed. This is particularly the case in regards to Justice's invoicing processes for legal services. While ad hoc feedback is sometimes received by LSUs in this regard, there is no mechanism in place to systematically solicit and capture information on client satisfaction with respect to CRPI.\n\nThe Department has recently embarked on a review of its legal services funding model. While this may lead to changes in the model by which the Department recovers legal service costs from clients, the importance of sound governance processes and practices, recommendations for which are addressed as part of this report, will remain.\n\nManagement Response\n\nManagement is in agreement with the audit findings, has accepted the recommendations included in this report, and has developed a management action plan to address them. The management action plan has been integrated in this report.\n\nDepartment of Justice Canada\n\nSubmitted by:\n\nLinda Saunders Chief Audit Executive Department of Justice Canada\n\nDate\n\nRecommended for approval by:\n\nHon. Doug Lewis Departmental Audit Committee Chair Department of Justice Canada\n\nDate\n\nApproved by:\n\nWilliam F. Pentney Deputy Minister Department of Justice Canada\n\nDate\n\n2. Background\n\nJustice Canada provides litigation and legal advisory services to federal government departments, agencies and Crown Corporations across Canada. The Department uses a hybrid model to fund its operations, relying on a mix of A-base funding to provide a certain level of legal services, and Net Voting Authority (NVA) to recover the costs of legal services from client organizations over and above this base level. NVA (cost recovery) is an important source of funding for the Department, providing more than a third of the operating budget. The Treasury Board (TB) Common Services Policy sets out a strategic direction and outlines key requirements with respect to cost recovery.\n\nThe Cost Recovery Process Improvement (CRPI) Initiative commenced in August 2010 to examine and re-engineer Justice's end-to-end cost recovery processes and reporting, and in so doing respond to deficiencies contained in the 2010 Internal Audit of the Cost Recovery Framework. The objectives of the CRPI Initiative included improving business processes and enhancing corporate systems with a view to reducing administrative effort, supporting timely cash collection, meeting central agency policies and directives as well as better leveraging established Government of Canada best practices to track and invoice professional services.\n\nIn support of these objectives, eleven new standards were put in place effective April 1, 2012 to standardize the five business processes that collectively make up the CRPI Initiative, namely:\n\n1. Memorandums of Understanding (MOUs), including Annex Bs that support planning and forecasting;\n2. Timekeeping;\n3. Reimbursable Disbursements;\n4. Invoicing; and\n5. Accounts Receivable Settlements.\n\nIn 2013-2014, the Department recovered legal service costs of $330.2M as well as $8.6M (2%) of reimbursable disbursements.\n\nIn accordance with the Departmental Risk-based Audit Plan 2014-2017 which was approved by the Deputy Minister on June 5, 2014, Internal Audit Services undertook an audit of the Cost Recovery Process Improvement (CRPI) Initiative. Given the complexity, risks and magnitude of the cost recovery system, this audit was split into two phases. This report represents the results of Phase 1 of the audit which is focused on Governance. Audit results associated with Phase 2 are scheduled for tabling at the September 2015 Departmental Audit Committee (DAC) meeting. The latter phase focuses on efforts undertaken by management to streamline and standardize cost recovery business processes.\n\n3. Audit Objective\n\nThe objective of this audit was to provide assurance that effective mechanisms are in place to support continued delivery of the Cost Recovery Process Improvement (CRPI) Initiative outcomes. In relation to this, Phase 1 of the audit examined CRPI Governance; Phase 2 of the audit will examine the effectiveness of management's efforts to streamline and standardize associated business processes.\n\n4. Audit Scope\n\nBased on the results of a risk assessment conducted during the planning phase, the scope of Phase 1 of the audit focused on governance processes and practices with respect to cost recovery from April 2013 to October 2014. Also included in the scope was an examination of processes and practices in place to solicit cost recovery feedback from legal services clients.\n\n5. Audit Approach\n\nThe audit team carried out its mandate in accordance with Treasury Board's Policy on Internal Audit and the Internal Auditing Standards for the Government of Canada. The audit employed various techniques including a risk assessment of the audit entity, interviews, file reviews, as well as reviews and analysis of documentation and information.\n\n6. Findings, Recommendations and Management Action Plan\n\nThis section provides the findings and recommendations resulting from the audit work carried out. While the audit was conducted based on the lines of enquiry and audit criteria identified in the planning phase, this report is structured along the following main findings:\n\n1. Roles and Responsibilities;\n2. Reporting and Monitoring;\n3. Oversight; and\n4. Client Satisfaction.\n\nFor conclusions by audit criterion, please refer to Appendix A.\n\nBased on the audit work performed and our professional judgment, the risk associated with each finding was rated using a three-point scale. The risk ranking (high, moderate, and low) is based on the level of potential risk exposure we feel may have an impact on the achievement of Justice Canada's objectives, and is indicative of the priority Management should give to the\n\nrecommendations associated with that finding. The following criteria were used in determining the risk exposure level:\n\n6.1 Governance\n\nCost recovery is an important source of funding for the Department, providing $330.2M in 2013-2014, or approximately one-third of the operating budget. The Cost Recovery Process Improvement (CRPI) Initiative was initiated in August 2010 to examine and re-engineer Justice's end-to-end cost recovery processes. The resulting changes to the process came into effect on April 1, 2012. The CRPI is comprised of five business processes as follows:\n\n1. Memorandums of Understanding (MOUs), including Annex Bs that support planning and forecasting;\n2. Timekeeping;\n3. Reimbursable Disbursements;\n4. Invoicing; and\n5. Accounts Receivable Settlements.\n\nThroughout the duration of the CRPI Initiative, active monitoring and oversight was provided by the CRPI Project Committee (January 2011 - July 2012). Following the implementation of this initiative, the CRPI Project Committee was disbanded. While responsibility for an initial suite of system changes was delegated to a Change Advisory Board, lead responsibility for various elements of the cost recovery process was dispersed to the respective business owners throughout the organization.\n\nGiven the magnitude of this initiative and the criticality of the revenues generated through cost recovery, effective governance processes and practices are required to ensure the Department continues to achieve the expected results of the CRPI Initiative. As outlined in the CRPI Project Charter, this initiative was designed to:\n\n- Promote consistent business practices across the Department;\n- Smooth out cash flows so they are received on a more predictable basis throughout the fiscal year;\n- Address client Departmental expectations;\n- Respond to prior audit findings and recommendations.\n- Achieve greater policy compliance; and\n\n6.1.1 Finding 1:\n\nRoles and Responsibilities\n\nLinkage to:\n\nGovernance\n\nRisk Management\n\nControl\n\nCost recovery roles and responsibilities are documented and have been communicated across the Department. Interviews conducted with departmental staff indicated that cost recovery roles and responsibilities were clear and well understood.\n\nRoles and responsibilities for each of the five elements of the cost recovery process are clearly documented in the CRPI Supplementary Documentation. This is a key document that is readily available on the Department's intranet and was referenced in the suite of guidance used to train departmental staff on the new CRPI. Cost recovery reporting and monitoring roles and responsibilities are also documented in the CRPI Supplementary Documentation, with specific reference to in-year cost recovery reporting and monitoring through the Financial Situation Reporting (FSR) process.\n\nThe Department's Accountability Framework for MOU Related to the Provision of Legal Services elaborates further on roles and responsibilities with respect to the MOUs and Annex Bs development, negotiation and monitoring processes. The CRPI Project Close-Out Report clearly assigns to Management and CFO Sector the responsibility for the support, maintenance and troubleshooting of the financial system-related elements of cost recovery.\n\nInterviews with staff responsible for the various elements of the cost recovery process indicated Departmental staff have a sound awareness and understanding of their roles and responsibilities. A number of interviewees indicated that they find the CRPI support provided by the Management and CFO Sector to be timely and very helpful.\n\nLow\n\nProcesses and practices are in place and operating effectively to support cost recovery reporting and monitoring at the client level. However, the frequency and nature of cost recovery reporting does not support active monitoring and oversight at the strategic or corporate level.\n\nMOUs and Annex Bs\n\nThe Treasury Board Common Services Policy requires departments providing mandatory common services to \"develop, in consultation with client departments and agencies, meaningful and visible standards of service and performance for the delivery of mandatory services.\" The Department of Justice has an MOU Framework in place that provides the overarching structure and expectations with respect to the development, negotiation and approval of client agreements (i.e. umbrella MOUs often covering more than one year and accompanying Annex Bs that are negotiated annually). This Framework includes the expectation that \"the status of MOU implementation will be monitored and shared with senior management at least once a year.\" This Framework also specifies that by April 1 st each year, the financial codes necessary for cost recovery (i.e. Interdepartmental Settlement codes) are to be obtained from clients and reflected in Annex B.\n\nAt the client level, the Finance and Planning Branch of Management and CFO Sector maintains an MOU repository. The Branch periodically produces an Excel spreadsheet that reflects the status of MOUs and Annex Bs by client and portfolio. Once the associated information is validated by related branches and portfolios, the spreadsheet is posted on the Department's intranet site.\n\nAt the Department level, the Business Practice and Intelligence Branch of Management and CFO Sector produced a high level status report for the 20122013 fiscal year. This reporting, tabled at Management Committee (MC) in September 2013, reflected the status of MOUs and Annex Bs by portfolio. However, the reporting did not include any accompanying client information. While this reporting may have technically fulfilled the requirements of \"annual MOU status reporting\" as outlined in the MOU Framework, the nature of it was at such a high level that it did not provide MC with meaningful insight to clearly link the absence of required Annex Bs to client billings, particularly in relation to the Department's top billers. In addition, the tabling of this 20122013 report after year end, with no corresponding in-year MC reporting, was not optimal to support senior management in the timely identification and management of significant or systemic issues in this area.\n\nThere was no MOU status reporting for 2013-2014 or to date for 2014-2015. In the first quarter of 2014-2015, there was a 15% reduction in cost recovery revenue from approximately $36M at June 30, 2013 to approximately $30.6M at June 30, 2014. This was primarily the result of the less than timely receipt of signed Annex Bs and the receipt of Interdepartmental Settlement (IS) codes that facilitate the timely collection of cost recovery revenue. This issue came to light via the Department's external Quarterly Financial Report. Regularized strategic reporting that clearly links cost recovery revenue with the status reporting on Annex Bs and receipt of IS codes would provide timely, relevant information to support MC in their monitoring role.\n\nInterviews indicated that resource constraints resulted in the absence of any MOU status reports being developed or communicated to MC since 2012-2013. The Business Practice and Intelligence Branch and CFO Sector have indicated that work is underway to strengthen MOU monitoring and oversight processes for 2015-2016 including the tracking, escalation and status reporting to Portfolios, Branches and MC.\n\nRevenue\n\nAs previously stated, expectations for cost recovery monitoring and reporting, including in-year cost recovery reporting and monitoring through the Financial Situation Reporting (FSR) process are outlined in CRPI Supplementary Documentation.\n\nEach month the Finance and Planning Branch (FPB) develops Cost Recovery Billing Reports and posts them on the Department's intranet. This reporting reflects actual cost recovery billings by portfolio and by client for the related month as well as total year-to-date billings. As noted in interviews, this reporting supports LSUs in monitoring and discussing in-year billings with clients, reviewing and updating client forecasts, and planning for the next fiscal year.\n\nOn a quarterly basis, the FPB updates the consolidated revenue forecast for the Department and communicates this information to MC via the Financial Situation Reporting (FSR) process. However, we noted that the nature of the cost recovery information reflected in these reports varied from quarter to quarter. For example, the updated revenue forecast reflected in the October 2014 FSR included a one line adjustment that is based on a historical trending of forecasting accuracy. For the corresponding quarter of the preceding year (i.e. October 2013), the revenue forecast reflected a brief summary by portfolio as well as client details for major reductions in forecasted revenue.\n\nIn addition, the FPB prepares the monthly FSRs and the year-end update report. Monthly FSRs and year-end reporting for 2013-2014 provided an explicit comparison of actual cost recovery revenue versus the forecast of the prior year.\n\nThe reporting included the identification of material differences between actual and<cursor_is_here> The 2014-2015 FSRs include a similar bar chart comparison of actual cost recovery for the current and prior year. However, there was no inclusion of a comparison against forecast nor was there a clear identification of, or information on, the variance between the current and prior year's actual cost recovery revenue, either for the month or year-to-date.\n\nThe absence of a clear comparison of actual cost recovery revenue against forecast, particularly for the Department's top 20-30 clients, makes it a challenge for MC to readily monitor the timeliness of cost recovery cash flows and address any related issues that may arise.\n\n6.1.3 Finding 3: Oversight\n\nLinkage to:\n\nGovernance\n\nRisk Management\n\nControl\n\nThere is effective oversight of some elements of the cost recovery system. Opportunities exist to refine the oversight of cost recovery to support the continued achievement of the expected outcomes that the system was designed to deliver on.\n\nThe design and implementation of the CRPI Initiative included mechanisms to support oversight. This included a CRPI Project Committee, co-chaired by two Departmental executives, which oversaw the design and implementation of this initiative and a Change Advisory Board responsible for overseeing an initial suite of changes to the cost recovery system.\n\nFollowing the implementation of the CRPI Initiative, it was expected that strategic oversight for cost recovery, a regime that generates revenue to cover approximately one-third of the Department's budget, would shift to an existing Departmental committee. Management Committee (MC) is the Department's decision-making forum. As outlined in its Terms of Reference, the committee is responsible for \"legal service delivery, horizontal management, operational and accountability issues affecting the Department.\" Given the horizontal nature of CRPI and the criticality of cost recovery revenue to funding the Department's operations, MC plays a key role in the strategic oversight of cost recovery.\n\nTo support the Management Committee in its overall role, we noted that between April 2013 and October 2014, members of this Committee received and reviewed the following cost recovery reporting:\n\n- Financial Situation Reports (FSRs) are tabled at MC throughout the year and a Year-End Financial Update is tabled once at MC a few months following year end;\n- Annual Cost Recovery Analysis report for the two fiscal years that provided an analysis of total cost recovery revenues (NVA) and the associated costs, both in dollar and percentage terms for the Department as a whole; and\n- A high level MOU and Annex B status report for the 2012-2013 fiscal year entitled Report to Management Committee on MOU Completion Status for 2012-13.\n\nThe above reports provide some information on cost recovery. However, the nature and frequency of the reporting does not readily support senior management in effectively exercising its oversight role in this area. For example, with little to no reporting to MC on the status of MOUs and Annex Bs, MC may not be able to identify or address significant and/or systemic issues on a timely basis.\n\nWhile the Department is reviewing and considering changes to the funding model, effective oversight will continue to be imperative to ensure the efficient management of an area that is highly decentralized and material to Departmental operations.\n\nRecommendation 2\n\nManagement Action Plan\n\nManagement Committee should review and refine the nature and frequency of Management Committee's review and discussion of critical elements of the cost recovery system to ensure continued achievement of the benefits derived from the investment in the Cost Recovery Process Improvement Initiative.\n\nOffice of Primary Interest:\n\nDue Date:\n\n6.1.4 Finding 4:\n\nThe Management Committee will be provided with an opportunity to discuss reporting requirements on CRPI as part of the June 2015 FSR process. At a minimum, Management Committee will be provided with the new information outlined in the management action plan for recommendation #1.\n\nManagement Committee\n\nMarch 31, 2016\n\n6.1 Client Satisfaction\n\nSubsection title / theme 2\n\nGeneral context information about the topic goes here along with audit criteria context. Linkage to: Governance Risk Management Control\n\n6.2 Subsection title / theme 2 Ad hoc client feedback is sometimes received by LSUs. However, no formal or systematic mechanism is in place to solicit and capture client satisfaction information with respect to CRPI.\n\nModerate\n\nGeneral context information about the topic goes here along with audit criteria context. Since 2006, the Department has undertaken a survey every three years to solicit feedback from clients. The primary focus of this survey is to gain insight into the quality, accessibility, responsiveness, usefulness and timeliness of legal services provided. To date, the survey has not encompassed cost recovery, including client invoicing and administrative burden.\n\nThe integration of LSUs in major client departments provides for a close working relationship between Justice lawyers and the client. This working relationship can provide an informal mechanism for clients to provide feedback on the cost recovery system, including the changes flowing from CRPI.\n\nThe implementation of the Billing Manager Review process and the Final Quality Assurance (QA) Review and Approval process supports improved accuracy of client invoices. Interviews with those involved in this process pointed to a reduction in the\n\nnumber of questions and concerns expressed by clients following the issuance of an invoice in a post-CRPI world. This is interpreted as an indication that client satisfaction has improved with respect to the accuracy of invoices.\n\nAd hoc verbal feedback received by LSUs indicates that the implementation of monthly billing under CRPI has improved client satisfaction with respect to the timeliness of invoicing.\n\nAnecdotal information provided by LSUs indicates that while clients appreciate the regularized monthly billing, the lack of CRPI-generated information to readily support the amounts billed continues to be problematic. For example, the cost recovery module of the Integrated Financial and Material System (IFMS) does not provide any details to support Full Time Equivalent (FTE) billing. Hourly billing information provided by this system is effectively a 'data dump' of the time slips for the billing period, without any summary by lawyer and/or by file. The lack of FTE billing information and the sheer length of the accompanying hourly billing details (i.e. it is often well in excess of 100 pages) compromises the quality of the invoice and on its own would be administratively burdensome and challenging for clients to ascertain the nature and reasonableness of the services being billed.\n\nThrough interviews and document reviews, we found that some LSUs have developed their own tools and reports, outside of the cost recovery module of IFMS, to better meet clients' invoicing needs and expectations. For example, Canada Revenue Agency's LSU has developed tailored templates and associated monthly reporting to better meet their client's needs with respect to forecast monitoring. This enables clear and readily understandable substantiation of the associated legal services billings. As another example, Transport Canada's LSU has developed a database to readily track, analyze and report on the legal services they provide.\n\nAs previously noted, the absence of a systematic or formalized mechanism to solicit and respond to feedback from clients impairs Justice Canada's ability to ensure that the investment in CRPI has resulted in improved client satisfaction with respect to invoicing and administrative burden. As a result, management is not able to effectively assess the continued achievement of the related CRPI outcomes and ensure the efficient design and implementation of invoice reporting templates and tools that meet clients' needs and expectations.\n\nRecommendation 3\n\nManagement and CFO Sector should leverage existing mechanisms to solicit and respond to feedback from client departments with respect to invoicing and the administrative burden of the cost recovery process.\n\nOffice of Primary Interest:\n\nManagement Action Plan\n\nThe Legal Services Review Wave 2 proposed changes will address issues identified by client departments with respect to invoicing and the administrative burden of the cost recovery process.\n\nIn accordance with section 5.3 of the respective MOUs between Justice and clients, the Legal Services Unit Heads will continue to be encouraged to informally review and discuss the quality of legal services with clients relative to the service standards and the operational indicators in order to identify opportunities for service improvement.\n\nManagement and CFO Sector\n\nLSUs Heads\n\nDue Date:\n\nApril 30, 2016\n\n7. Audit Opinion\n\nBased on the audit findings, our opinion is that there are some sound governance processes and practices in place to support the continued achievement of CRPI objectives. However, improvements should be made to enhance strategic cost recovery monitoring, reporting and oversight. A mechanism should also be implemented to systematically solicit cost recovery feedback from clients in order to support their continuous improvement needs.\n\n8. Statement of Conformance\n\nIn my professional judgment as Chief Audit Executive, sufficient and appropriate audit procedures have been conducted and evidence gathered to support the accuracy of the opinion provided and contained in this report. The extent of the examination was planned to provide a reasonable level of assurance with respect to the audit criteria. The opinion is based on a comparison of the conditions, as they existed at the time, against pre-established audit criteria that were agreed on with Management. The opinion is applicable only to the entity examined and within the scope described herein. The evidence was gathered in compliance with the Treasury Board Policy and Directive on Internal Audit. The audit conforms to the Internal Auditing Standards for the Government of Canada, as supported by the results of the Quality\n\nAssurance and Improvement Program. The procedures used meet the professional standards of the Institute of Internal Auditors. The evidence gathered is sufficient to provide senior management with proof of the opinion derived from the internal audit.\n\nAppendix A – Audit Criteria\n\nBased on a combination of the evidence gathered through documentation examination, analysis and interviews, each of the audit criteria listed below was assessed and a conclusion for the audit criteria was determined using the following definitions:\n\nThe following are the audit criteria and examples of key evidence and/or findings noted which were analyzed and against which conclusions were drawn. In cases where significant improvements and/or moderate issues were observed, these were reported in the audit report.\n</text>\n", "role": "user" }, { "content": " forecasted cost recovery revenue for the period and the key clients whose delayed billings were the main reason for the difference.", "role": "assistant" } ]
ENERGY SECURITY BOARD POST 2025 FUTURE MARKET PROGRAM DER INTEGRATION – ‘OPEN MIC’ SESSION 28 JULY 2020 IMPORTANT NOTES These slides are solely for workshop purposes only. The content provides general information to support informed stakeholder engagement and feedback. The presentation does not represent the official position of the Energy Security Board or any related body. The webinar is being recorded and a link to the recording will be provided after the webinar. All previous webinar recordings and slides are available here for your reference. WEBINAR-WORKSHOP LOGISTICS • All participants are currently in listen-only mode. • We will pause periodically for discussion. Please use the Raised Hand to signal that you would like to speak. • If you would like to record a comment without discussion, feel free to type it into this field. The webinar is being recorded and a link to the recording will be provided after the webinar. AGENDA / FORMAT 1. Recap and open discussion of KPMG/ITP final report 2. Recap and open discussion of DER Strategy 3. Other discussion KPMG/ITP FINAL REPORT – DER INTEGRATION RECOMMENDATIONS AND ISSUES - KPMG/ITP final report makes recommendations to each MDI on DER integration: - Two-sided Markets & Essential System Services most relevant to DER - Scheduling & Ahead Markets next most relevant (although instances when DER is very relevant e.g. TGE) MARKET DESIGN INITIATIVES A. Resource Adequacy Mechanisms B. Aging Thermal Generation Exit Strategy C. Essential System Services D. Scheduling & Ahead Markets E. Two-sided Markets F. DER Integration G. CoGaTI KPMG/ITP FINAL REPORT – DER INTEGRATION RECOMMENDATIONS AND ISSUES • Key Issues Identified: 1. DER Uptake and Functionality 2. Technical requirements (off-market) v. Market incentives (on-market) 3. Optimisation DER Participation 4. Co-optimisation (Customer, Aggregator, DNSP, AEMO) 5. Alignment of Financial Incentive 6. Appropriate Sequencing of changes required for efficient DER integration (attached PDF) 7. Distribution Level Markets DER INTEGRATION STRATEGY: ESB DER STEERING COMMITTEE \| Objective \| Outcomes \| Dimensions \| Priority work areas \| \|-----------\|----------\|------------\|---------------------\| \| To optimise the benefits of DER for all electricity system users \| To support a secure and reliable electricity system \| Technical integration \| Device, comms, cyber and data standards \| \| \| To support improved distribution network management \| Regulatory integration \| New governance arrangements for DER standards \| \| \| To unlock the value of DER services \| Market integration \| Improving DNSP systems to integrate DER \| \| \| \| \| Improve LV network/connection point visibility \| \| \| \| \| Implement dynamic operating envelopes \| \| \| \| \| Incorporate DER into T&D planning \| \| \| \| \| Consider modular networks \| \| \| \| \| Enhance DNSP requirements for DER integration and network revenue regulation to optimise use of DER \| \| \| \| \| Accelerate tariff reform and consider future pricing \| \| \| \| \| Incorporate DER in p2025 market design \| \| \| \| \| Define aggregators and market participants, consider MTR \| \| \| \| \| Enable value-stacking of DER services \| \| \| \| \| Consider non-financial motivations \| \| \| \| \| Pilot DER for network services, wholesale, FCAS/ESS and via local markets \| - DER Steerco have drafted a DER strategy - This document will be published to accompany P2025 August report - Focus on Technical and Regulatory changes in parallel to Market integration - Customer Engagement is vital (all system users) Implications of Distributed Energy Resources for the post-2025 market design project MDI Focus Group meeting Tues 21 July 2020 POINTS FOR DISCUSSION - Scope of engagement - Approach and deliverables - Relative importance of MDIs/DER - Key Issues The Energy Security Board (ESB) DER Integration DMI is evaluating the implications of the uptake and operation of DER for the different Market Design Initiatives (MDIs) under the Post-2025 work plan. ITP/KPMG have been asked to provide perspectives on how DER is being considered by the MDIs and the possible implications for DER operation and integration under the reform options being considered. Our scope is considering: - How will the uptake of DER impact on the Post 2025 reforms? - Will the Post 2025 reforms better enable or put up barriers to DER uptake and value creation? - Are there any interdependencies related to DER across the initiatives? The implications for DER will depend on the detail design of this reform initiatives –which is currently being developed. Hence our observations are based more on the conceptual level and are subject to change. 1. Briefing Paper – provided a summary of current landscape for DER including activities, trials and changes being progressed to support DER integration plus initial thoughts on how the DER relates to each of the Post 2025 MDI. 2. Interviews with each MDI teams 3. Interim Report on our observations and our initial advice to the ESB DER Steering Committee 1. Included a section circulated to the MDIs that summarised the outcomes from the meetings 4. Final Report built on the Interim Report with 1. A summary of the relative importance of DER to each of the MDIs and vice versa 2. A prioritisation framework to identify particular DER issues most relevant to P2025 3. A discussion of key considerations identified using the prioritisation framework \| MDI \| Consumers \| LV network \| Technologies \| Commercial \| Regulatory \| \|----------------------------\|-----------\|------------\|--------------\|------------\|------------\| \| Resource Adequacy Mechanisms \| 0 \| 2 \| 0 \| 1 \| 2 \| 3 \| 2 \| 2 \| 0 \| 2 \| \| Thermal Generation Exit Strategy \| 0 \| 2 \| 0 \| 1 \| 2 \| 4 \| 2 \| 3 \| 0 \| 2 \| \| Essential System Services \| 0 \| 4 \| 2 \| 4 \| 3 \| 4 \| 3 \| 4 \| 1 \| 4 \| \| Scheduling & Ahead Markets \| 0 \| 3 \| 1 \| 2 \| 3 \| 2 \| 3 \| 2 \| 1 \| 2 \| \| Two-sided markets \| 0 \| 5 \| 2 \| 4 \| 3 \| 5 \| 3 \| 5 \| 3 \| 3 \| \| COGATI \| 0 \| 2 \| 0 \| 1 \| 1 \| 2 \| 1 \| 2 \| 0 \| 2 \| 2SM and ESS most relevant to DER, followed by SAM, although particular instances when DER is very relevant e.g. TGE The first column for Consumers does not mean that the MDIs are not important for consumers, it means that they don’t affect the fundamental drivers that influence consumers’ decisions In general, DER is more important to the MDIs than the MDIs are to DER’s uptake and operation, although fairly similar in the technical and commercial categories The technical and commercial categories are most to the MDIs, although the actions of consumers and the fact that DER is located on the LV network are important determinants of how DER engages with the MDIs, particularly the 2SM, ESS and SAMs DER uptake will continue irrespective of any market reforms. How much of DER capability can be accessed by markets (“active/able to be scheduled DER”)? - Depends on rate of uptake of different technologies, their capabilities, and the degree to which customers are both able and willing to participate. Only a small proportion of customers currently could be considered really responsive DER and, based on AEMO projections, only around 8% will be by 2030. - However, there is some circularity: in that the MDI outcomes and the development of aggregators could help drive more DER uptake, as could step changes in costs (batteries, EVs), favourable government policy etc Has implications for: - The timeline of progression of the MDIs, especially the progression of stages within SAM, ESS and 2SM - Has implications for the financial viability of aggregators forming around what may be a relatively small market, especially if value stacking is required - The degree to which retailers are left ‘carrying the can’ (if aggregators are sparse) The balance between ‘off-market’ and ‘on-market’ actions is crucial. Improved technical capabilities of, and requirements placed on, DER will (i) better enable it to participate in MDI mechanisms, and (ii) better enable it to provide power quality support independent on any such on-market drivers. On-market approaches should be used where possible as they should be least-cost. However, some functionalities will be mandated from a power quality/safety perspective. Competition - Advanced inverters could provide frequency control (competes with ESS) - Batteries in load-following mode could reduce spot process - Increased visibility and forecastability could reduce the need for Ahead markets - Operational envelopes could be used to address minimum demand issues Consequences - This results in an interesting dynamic that could create uncertainty for market players such as aggregators who may not want to enter the market. Particularly relevant where value stacking is required for financial viability. - Should off-market provision of power quality services be financially compensated, achievable in practice? Need an appropriate framework for DER participation in P2025 markets i.e. the rules regarding eligibility to participate, calculation of payments and compliance - Need to ensure consistency of treatment for DER in these arrangements across the MDIs - What is the appropriate approach to define compliance arrangements for DER under the market design - The technical ability to respond to real time market-based signals may be more limited for DER than for other resources, - DER aggregators would need to contract with more DER capacity than necessary to manage diversity and availability issues, including any network constraints, - There could be merit in having DER operate under different time-frames for bidding and re-nominations under the ahead markets, and - Any financial penalty regime may unfavourably impact on DER participation more so than centralised generation Multiple layers of co-optimisation: customer, DNSP, aggregator and wholesale Is critical and is more complicated for local resources than for centralised generation - Who is ultimately responsible from the P2025 point of view? - The aggregator that solves and deploys its resources in response to price signals? - The system operator deciding how best to deploy the capability across the multiple markets in each time interval? Is dependent on - the contractual framework underpinning the various compensation channels, - the congruency of the financial incentives, - customers’ willingness and understanding, - information flows to enable correct and immediate evaluation of trade-offs, and - investment in IT systems to enable co-optimisation at the customer level Three key areas - Will the market designs provide customers/aggregators with sufficient information to facilitate co-optimisation? - Are there any barriers to the other enablers of optimisation? - Is there merit in establishing a formal ability for the system operator to take a more active role in solving the co-optimisation for customers? Consistency and alignment of financial incentives across the P2025 designs is critical. However, the design of the financial incentive – either by price signal or other procurement mechanisms – will likely differ across markets. This will be important to foster the investment in the supporting architecture. Need to consider: - how different designs impact on DER participation both from the consumer and aggregator perspectives - how collectively all the different price signals under the various markets would work together and reinforce each other in a manner which promotes market efficiency Compensation payments can differ according to: - Time period, in advance, in real time or ex-post - Resource value calculated: on a market clearing approach or an administrative approach Other issues: - There may be a need for multiple back to back contracts - Ex-ante payment could disadvantage DER given the dependency on multiple consumer decisions Appropriate sequencing of P2025 reforms from DER’s perspective Needs to consider how the MDI reform affects DER and vice versa DER least relevant to COGATI, TGE, RAM and SAM - DER can affect the aggregated load profiles as seen by these MDIs but wouldn’t materially impact on their sequencing - DER unlikely to be able to materially offer services to these MDIs for some time DER more relevant to 2SM and ESS - Important that the progression of stages within these MDIs takes into account the likely rate of uptake, functionality and participation on DER in market reforms - This includes the flexibility to allow for possible game changers such as step changes in costs (batteries, EVs), favourable government policy etc. Important to signal the sequencing of the full spectrum of value propositions for DER across multiple markets - Is required for aggregators to see a credible pathway of market reform Potential Impact of distribution-level markets and dependencies at the local level for market participation – increases complexity for DER integration into markets What are distribution level markets??? - LET between customers or with a community battery? - A VPP with the DNDSP to provide local network support? - Trading of excess network capacities? - Nested markets, which feed into wholesale markets? A clear need to have a generally agreed working definition, as this affects questions like - Will they result in local settlement of transactions outside the wholesale markets, or will they feed transactions into the wholesale markets? - Will they increase or decrease visibility for AEMO and its ability to influence the operation of distribution-level assets to achieve system-wide goals? - Will they decrease or increase overall complexity of market design, and how will they interface with the outcomes of the MDIs? NEXT STEPS - P2025 August consultation paper - Observations from interviews conducted by ITP/KPMG has been circulated to all other MDIs – it is expected that the advice/observations will be incorporated in the MDIs drafting of the consultation paper. - DER integration issues prioritisation framework - ITP/KPMG are preparing a prioritisation framework – for assessing issues that came out of MDI interviews. - Issues will be assessed against a set of criteria to determine their importance to P2025 reforms. - For issues that need attention, a timeframe for action will be assigned. - ESB DER integration strategy - The ESB DER Integration Steering Committee will prepare a separate paper that will accompany the P2025 August consultation paper. - The paper will cover the ESB’s integration strategy and future workplan – across all aspects of integration. - Open mic Q&A - Next Tuesday – 28 July 3.30pm – 5.00pm DER Integration Technical Focus Group JULY MEETING Agenda: Draft DER strategy paper outline - Vision and objectives - Technical integration - Regulatory integration - Market integration - Resulting priority work areas - ‘Critical path’ activities and timeline Technical and operational challenges For system security and distribution network reliability, including DER visibility and standards – which potentially limit or reduce the value of DER for prosumers and consumers Regulatory and planning challenges Include ringfencing regulation and integrated planning to optimise the benefits of DER integration Market and business model challenges Electricity markets and DNSP business models need to be updated to support the benefits and minimise the costs of DER integration for all consumers Objective, outcomes and dimensions of DER integration \| Objective \| Outcomes \| Dimensions \| Priority work areas \| \|-----------\|----------\|------------\|---------------------\| \| To optimise the benefits of DER for all electricity system users \| To support a secure and reliable electricity system \| Technical integration \| Device, comms, cyber and data standards \| \| \| To support improved distribution network management \| Regulatory integration \| New governance arrangements for DER standards \| \| \| To unlock the value of DER services \| Market integration \| Improve LV network/connection point visibility \| \| \| \| \| Implement dynamic operating envelopes \| \| \| \| \| Incorporate DER into T&D planning \| \| \| \| \| Consider modular networks \| \| \| \| \| Enhance DNSP requirements for DER integration and network revenue regulation to optimise use of DER \| \| \| \| \| Accelerate tariff reform and consider future pricing \| \| \| \| \| Incorporate DER in p2025 market design \| \| \| \| \| Define aggregators and market participants, consider MTR \| \| \| \| \| Enable value-stacking of DER services \| \| \| \| \| Consider non-financial motivations \| \| \| \| \| Pilot DER for network services, wholesale, FCAS/ESS and via local markets \| DER capability can offer value throughout the electricity supply chain. DER benefits should flow to all consumers, both those with and without DER. DER will fundamentally change the electricity system Installed capacity in Australia, centralized vs decentralized GW Decentralization ratio 41% of capacity sits behind-the-meter by 2030 Electricity demand in Australia TWh Rooftop PV supplies 17% of demand by 2030 Source: BloombergNEF, 2018 Australia Behind-the-Meter PV and Storage Forecast May 2018. Source: BloombergNEF. Note: For more details see: Australia behind-the-meter PV and storage forecast (Web \| Terminal). Technical integration AEMO’s priority is ensuring DER responds appropriately to disturbances but technical integration will be needed at all timescales: Figure 4 Timescales of power system operating elements, applicable to DER - Disturbance behaviour - Frequency Control Ancillary Services - Dispatch - Operational forecasting - Planning & Forecasting Milliseconds Seconds Minutes Hours Days Months Years Technical challenges to system security and operations - The most immediate challenge is DER response during system disturbances, especially voltage disturbance ride-through. - Updates to AS4777 for inverters in 2020 – and inclusion in Rules. - Governance of Technical Standards: - Current arrangements not fit-for-purpose. - Need leadership and coordination, greater speed and flexibility given the pace of change. \| Standards, Data and Interoperability Working Group \| \|---------------------------------------------------\| \| DER and Performance Standards \| \| APIs and Data Standards \| \| Cyber Security \| - Updates to device standards incl. AS4777 and AS4755. Review minimum performance standards for DER and Compliance methods. Liaise with Standards Australia. - Develop a set of common methods for the use of APIs (incl IEEE 1547 and 2030) and data communication for trials and recommend new standards. - Work with the Australia Cyber Centre and stakeholders to determine set of cyber security standards and compliance frameworks for DER devices and communication. Technical challenges to distribution network operations - Need greater levels of network visibility - Need communication/interoperability standards and protocols - Together with the development of dynamic ‘operating envelopes’ providing signals as to when DER can’t feed into the grid due to technical constraints Source: SA Power Networks (2019) Example site indicating link between PV curtailment and voltage Source: UNSW LV Voltage report for ESB Technical integration priorities • Device, comms, cyber and data standards • New governance arrangements for DER standards • Improving LV network visibility • Improving DNSP systems to integrate DER • Dynamic operating envelopes • Incorporation of DER into T&D planning Regulatory and pricing challenges The need for ‘grid architecture’ and clear functional responsibilities Source: Lorenzo Kristov Location changes to the supply/demand curve • Note important existing technical challenge to DER exports: Across the NEM LV network voltage is currently sitting at high average levels and with a broad range of minimum to maximum voltage at many points. • DER exports can exacerbate this existing issue. • Need visibility and more dynamic ‘smarter’ network management. • However, DNSPs currently don’t have clear responsibilities or clear remuneration for DER integration under the rules. Source: UNSW LV Voltage report for ESB Time of day changes to the supply/demand curve Technical, regulatory and market challenges: • Negative minimum demand – impacts system security and pricing (SA in particular) • Increased ramp rates (due to large and small scale PV) DER can provide network services DER can provide ‘non-network alternatives’ including: - Network extension - Network augmentation - Network replacement - Network operation – especially voltage management, also thermal constraint/reverse flows management – some of which may be exacerbated by DER itself - Managing bushfire risk from lines (including allowing areas to stay powered even if a line has to be de-energised) - Potential to move from static to dynamic ‘network services markets’ – will require significant changes to DNSP planning, operation and revenue - Need to consider potential within the Economic Regulatory Framework (ENERF review) DER can support a move to modular networks? Contested future in the NEM but Western Power is moving to a ‘modular network’: underground in high density areas, above ground in suburban settings and SAPs/microgrids in low density areas Regulatory integration priorities - Enhance DNSP requirements for DER integration and network revenue regulation to optimise use of DER, including for network services where appropriate. - Accelerate tariff reforms and consider future pricing changes. - Consider modular networks and implications on revenue regulation. - Ensure integrated T&D planning. Reform Package Components COMPONENT 1: UPDATE FRAMEWORK - No regrets foundations for future reforms - Regulatory framework should reflect changing use of grid and consumer expectations - Promote role of distribution networks as a trading platform for multiple services - Update regulatory framework and re-align network incentives and obligations - Strengthen access rights, greater transparency of network constraints to inform DER investments - Foundations for considering how costs should be allocated and whether cost reflective pricing would promote NEO - now and for future models COMPONENT 2: EFFICIENT INVESTMENT SIGNALS - Flexibility to adapt to changing preferences - Consumption only pricing arrangements may not provide sufficient flexibility for the future system - Support customer choice and provide regulatory tools to meet different circumstances - Export charges potentially useful tool to promote efficiency and equity objectives, but contentious - Implementation could be complicated, trade-offs need to be considered - AEMC can undertake targeted consultation on these more contentious issues, building on DEIP process COMPONENT 3: FUTURE PRICING MODELS - Full integration of DER into energy system - Future energy services bought and sold in more dynamic way, responding to consumer preferences and price signals - Networks facilitate customers’ access to different energy markets and services - Future pricing arrangements should send efficient signals so DER services deliver the most value to energy system at any point in time, and reward supportive behaviour - Moving towards a ‘two-way pricing model is a significant transition, possibly requiring initial network investments - These reform considerations need to be staged, and outcomes of ESB Post-2025 market design program will need to be taken into consideration Market integration The need for integration across post-2025 workstreams – including the market infrastructure DER market integration: system and infrastructure considerations Major changes needed to AEMO market design and operations: • Forecasting, Metering, Scheduling, Dispatch, SCADA (etc) requirements to enable DER to become active in the wholesale and ESS markets Major infrastructure requirements to enable market participation: • Clear communications, data and interoperability standards and protocols • Network monitoring, SCADA, constraint development and communication • Visibility at the consumer connection point for aggregators/retailers • Aggregator and retailer comms and changes to billing systems • ‘Platform’ infrastructure for bidding (VPPs already being trialled on a small scale but will need work to scale and trade across multiple markets/procurement) Consumer considerations in market integration Need to incentivise each DER owner to stay on-market (not to leave the grid), so that the benefits of their investment can be shared with the broader market. Need participation models that make it simple for DER to provide services into all markets, and simple for customers to understand the value of making their DER available to the market. Expose DER to price signals to encourage the optimal DER operation. Align risks to those who are best able to manage them. Even with infrastructure and price signals, consumers may not participate: - Social science research shows that DER owners will be more likely to respond to non-financial incentives to provide DER services - for social good reasons – but this has not been tested in practice. - Commercial offers will require value (above self-consumption) and trust. - Consumer experience will be critical to participation – need for robust consumer protections. Other challenges for DER integration into existing and new markets - Aggregators for DER participation in the wholesale market are not currently defined in the rules - As the possible functionalities for Market Participants become more varied, there is likely to be a need for greater functional flexibility - The role of the DNSP in facilitating DER integration into these markets will need further consideration and definition - The challenge of creating a contractual model where the DER proponent can sell various DER services across multi-parties (i.e. to achieve value stacking) has not been progressed significantly to date but there is opportunity to do so in the post-2025 project Nested or distribution-level markets: - The Open Energy Networks projects has left unresolved the issue of distribution-level markets and these require further exploration and definition - Best way to resolve this is through trials Market integration priorities • Incorporate DER into p2025 market design • Define DER products and services, aggregators and market participation • Consider MTR • Pilot DER for wholesale, FCAS/ESS (and network services), and via distribution-level markets ‘Critical path’ actions for DER Integration 1. Technical standards rule change and new governance structure and processes 2. Reviewing network responsibilities for DER integration, revenue regulation to optimise the use of DER in distribution networks and network pricing 3. DER integration into Post2025 Market Design Initiatives, including defining DER aggregators in the Rules, MTR, understanding non-financial incentives for household DER owners 4. Design a suite of effective price signals, regulations and incentives to integrate DER into the wholesale, ESS, network services and (where appropriate) local markets/procurement mechanisms. The aim by 2025 is: - enable DER owners to sell DER services into wholesale, ESS and network services markets - for DER to not cause any technical system or network operation challenges - to have integrated transmission and distribution planning. DER Integration pathway Market - Pilot DER for network services, wholesale, FCAS/ESS and via local markets - Incorporate DER into p2025 market design - Define aggregators and market participants - Enable value stacking of DER services (effective and efficient competition) - Consider non-financial motivations - Accelerate tariff reform and consider future pricing Regulatory - Enhance DNSP requirements for DER integration - Enhance DNSP revenue for DER optimisation - DNSP system improvements - LV/connection point visibility - Dynamic operating envelopes - Incorporate DER into T&D planning - Consider modular networks Technical - Interoperability/communications/data standards and platform - Device and cyber standards - New governance arrangements for setting DER technical standards	b8f14b24-8454-48e0-9edd-71c0dc0accac	CC-MAIN-2020-45	https://esb-post2025-market-design.aemc.gov.au/32572/1601009433-200728-p2025-der-integration-2-open-mic-session.pdf	2020-10-29T20:39:57+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2020-45/subset=warc/part-00107-6409130e-6e9b-44d1-90ec-9f9d0ade2504.c000.gz.parquet	307,087,191	5,764	eng_Latn	eng_Latn	0.887044	eng_Latn	0.987245	[ "dan_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "dan_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	true	docling	[ 106, 561, 951, 1090, 1625, 2075, 3564, 3694, 3815, 4687, 5470, 6648, 7357, 8405, 9535, 10414, 11530, 12485, 13396, 14327, 15276, 15330, 16090, 17441, 17923, 18333, 19497, 19952, 20224, 20356, 20889, 21129, 21783, 22020, 24241, 24354, 25125, 26092, 27018, 27276, 28174, 28977 ]	ENERGY SECURITY BOARD POST 2025 FUTURE MARKET PROGRAM DER INTEGRATION – ‘OPEN MIC’ SESSION 28 JULY 2020 IMPORTANT NOTES These slides are solely for workshop purposes only. The content provides general information to support informed stakeholder engagement and feedback. The presentation does not represent the official position of the Energy Security Board or any related body. The webinar is being recorded and a link to the recording will be provided after the webinar. All previous webinar recordings and slides are available here for your reference. WEBINAR-WORKSHOP LOGISTICS • All participants are currently in listen-only mode. • We will pause periodically for discussion. Please use the Raised Hand to signal that you would like to speak. • If you would like to record a comment without discussion, feel free to type it into this field. The webinar is being recorded and a link to the recording will be provided after the webinar. AGENDA / FORMAT 1. Recap and open discussion of KPMG/ITP final report 2. Recap and open discussion of DER Strategy 3. Other discussion KPMG/ITP FINAL REPORT – DER INTEGRATION RECOMMENDATIONS AND ISSUES - KPMG/ITP final report makes recommendations to each MDI on DER integration: - Two-sided Markets & Essential System Services most relevant to DER - Scheduling & Ahead Markets next most relevant (although instances when DER is very relevant e.g. TGE) MARKET DESIGN INITIATIVES A. Resource Adequacy Mechanisms B. Aging Thermal Generation Exit Strategy C. Essential System Services D. Scheduling & Ahead Markets E. Two-sided Markets F. DER Integration G. CoGaTI KPMG/ITP FINAL REPORT – DER INTEGRATION RECOMMENDATIONS AND ISSUES • Key Issues Identified: 1. DER Uptake and Functionality 2. Technical requirements (off-market) v. Market incentives (on-market) 3. Optimisation DER Participation 4. Co-optimisation (Customer, Aggregator, DNSP, AEMO) 5. Alignment of Financial Incentive 6. Appropriate Sequencing of changes required for efficient DER integration (attached PDF) 7. Distribution Level Markets DER INTEGRATION STRATEGY: ESB DER STEERING COMMITTEE \| Objective \| Outcomes \| Dimensions \| Priority work areas \| \|-----------\|----------\|------------\|---------------------\| \| To optimise the benefits of DER for all electricity system users \| To support a secure and reliable electricity system \| Technical integration \| Device, comms, cyber and data standards \| \| \| To support improved distribution network management \| Regulatory integration \| New governance arrangements for DER standards \| \| \| To unlock the value of DER services \| Market integration \| Improving DNSP systems to integrate DER \| \| \| \| \| Improve LV network/connection point visibility \| \| \| \| \| Implement dynamic operating envelopes \| \| \| \| \| Incorporate DER into T&D planning \| \| \| \| \| Consider modular networks \| \| \| \| \| Enhance DNSP requirements for DER integration and network revenue regulation to optimise use of DER \| \| \| \| \| Accelerate tariff reform and consider future pricing \| \| \| \| \| Incorporate DER in p2025 market design \| \| \| \| \| Define aggregators and market participants, consider MTR \| \| \| \| \| Enable value-stacking of DER services \| \| \| \| \| Consider non-financial motivations \| \| \| \| \| Pilot DER for network services, wholesale, FCAS/ESS and via local markets \| - DER Steerco have drafted a DER strategy - This document will be published to accompany P2025 August report - Focus on Technical and Regulatory changes in parallel to Market integration - Customer Engagement is vital (all system users) Implications of Distributed Energy Resources for the post-2025 market design project MDI Focus Group meeting Tues 21 July 2020 POINTS FOR DISCUSSION - Scope of engagement - Approach and deliverables - Relative importance of MDIs/DER - Key Issues The Energy Security Board (ESB) DER Integration DMI is evaluating the implications of the uptake and operation of DER for the different Market Design Initiatives (MDIs) under the Post-2025 work plan. ITP/KPMG have been asked to provide perspectives on how DER is being considered by the MDIs and the possible implications for DER operation and integration under the reform options being considered. Our scope is considering: - How will the uptake of DER impact on the Post 2025 reforms? - Will the Post 2025 reforms better enable or put up barriers to DER uptake and value creation? - Are there any interdependencies related to DER across the initiatives? The implications for DER will depend on the detail design of this reform initiatives –which is currently being developed. Hence our observations are based more on the conceptual level and are subject to change. 1. Briefing Paper – provided a summary of current landscape for DER including activities, trials and changes being progressed to support DER integration plus initial thoughts on how the DER relates to each of the Post 2025 MDI. 2. Interviews with each MDI teams 3. Interim Report on our observations and our initial advice to the ESB DER Steering Committee 1. Included a section circulated to the MDIs that summarised the outcomes from the meetings 4. Final Report built on the Interim Report with 1. A summary of the relative importance of DER to each of the MDIs and vice versa 2. A prioritisation framework to identify particular DER issues most relevant to P2025 3. A discussion of key considerations identified using the prioritisation framework \| MDI \| Consumers \| LV network \| Technologies \| Commercial \| Regulatory \| \|----------------------------\|-----------\|------------\|--------------\|------------\|------------\| \| Resource Adequacy Mechanisms \| 0 \| 2 \| 0 \| 1 \| 2 \| 3 \| 2 \| 2 \| 0 \| 2 \| \| Thermal Generation Exit Strategy \| 0 \| 2 \| 0 \| 1 \| 2 \| 4 \| 2 \| 3 \| 0 \| 2 \| \| Essential System Services \| 0 \| 4 \| 2 \| 4 \| 3 \| 4 \| 3 \| 4 \| 1 \| 4 \| \| Scheduling & Ahead Markets \| 0 \| 3 \| 1 \| 2 \| 3 \| 2 \| 3 \| 2 \| 1 \| 2 \| \| Two-sided markets \| 0 \| 5 \| 2 \| 4 \| 3 \| 5 \| 3 \| 5 \| 3 \| 3 \| \| COGATI \| 0 \| 2 \| 0 \| 1 \| 1 \| 2 \| 1 \| 2 \| 0 \| 2 \| 2SM and ESS most relevant to DER, followed by SAM, although particular instances when DER is very relevant e.g. TGE The first column for Consumers does not mean that the MDIs are not important for consumers, it means that they don’t affect the fundamental drivers that influence consumers’ decisions In general, DER is more important to the MDIs than the MDIs are to DER’s uptake and operation, although fairly similar in the technical and commercial categories The technical and commercial categories are most to the MDIs, although the actions of consumers and the fact that DER is located on the LV network are important determinants of how DER engages with the MDIs, particularly the 2SM, ESS and SAMs DER uptake will continue irrespective of any market reforms. How much of DER capability can be accessed by markets (“active/able to be scheduled DER”)? - Depends on rate of uptake of different technologies, their capabilities, and the degree to which customers are both able and willing to participate. Only a small proportion of customers currently could be considered really responsive DER and, based on AEMO projections, only around 8% will be by 2030. - However, there is some circularity: in that the MDI outcomes and the development of aggregators could help drive more DER uptake, as could step changes in costs (batteries, EVs), favourable government policy etc Has implications for: - The timeline of progression of the MDIs, especially the progression of stages within SAM, ESS and 2SM - Has implications for the financial viability of aggregators forming around what may be a relatively small market, especially if value stacking is required - The degree to which retailers are left ‘carrying the can’ (if aggregators are sparse) The balance between ‘off-market’ and ‘on-market’ actions is crucial. Improved technical capabilities of, and requirements placed on, DER will (i) better enable it to participate in MDI mechanisms, and (ii) better enable it to provide power quality support independent on any such on-market drivers. On-market approaches should be used where possible as they should be least-cost. However, some functionalities will be mandated from a power quality/safety perspective. Competition - Advanced inverters could provide frequency control (competes with ESS) - Batteries in load-following mode could reduce spot process - Increased visibility and forecastability could reduce the need for Ahead markets - Operational envelopes could be used to address minimum demand issues Consequences - This results in an interesting dynamic that could create uncertainty for market players such as aggregators who may not want to enter the market. Particularly relevant where value stacking is required for financial viability. - Should off-market provision of power quality services be financially compensated, achievable in practice? Need an appropriate framework for DER participation in P2025 markets i.e. the rules regarding eligibility to participate, calculation of payments and compliance - Need to ensure consistency of treatment for DER in these arrangements across the MDIs - What is the appropriate approach to define compliance arrangements for DER under the market design - The technical ability to respond to real time market-based signals may be more limited for DER than for other resources, - DER aggregators would need to contract with more DER capacity than necessary to manage diversity and availability issues, including any network constraints, - There could be merit in having DER operate under different time-frames for bidding and re-nominations under the ahead markets, and - Any financial penalty regime may unfavourably impact on DER participation more so than centralised generation Multiple layers of co-optimisation: customer, DNSP, aggregator and wholesale Is critical and is more complicated for local resources than for centralised generation - Who is ultimately responsible from the P2025 point of view? - The aggregator that solves and deploys its resources in response to price signals? - The system operator deciding how best to deploy the capability across the multiple markets in each time interval? Is dependent on - the contractual framework underpinning the various compensation channels, - the congruency of the financial incentives, - customers’ willingness and understanding, - information flows to enable correct and immediate evaluation of trade-offs, and - investment in IT systems to enable co-optimisation at the customer level Three key areas - Will the market designs provide customers/aggregators with sufficient information to facilitate co-optimisation? - Are there any barriers to the other enablers of optimisation? - Is there merit in establishing a formal ability for the system operator to take a more active role in solving the co-optimisation for customers? Consistency and alignment of financial incentives across the P2025 designs is critical. However, the design of the financial incentive – either by price signal or other procurement mechanisms – will likely differ across markets. This will be important to foster the investment in the supporting architecture. Need to consider: - how different designs impact on DER participation both from the consumer and aggregator perspectives - how collectively all the different price signals under the various markets would work together and reinforce each other in a manner which promotes market efficiency Compensation payments can differ according to: - Time period, in advance, in real time or ex-post - Resource value calculated: on a market clearing approach or an administrative approach Other issues: - There may be a need for multiple back to back contracts - Ex-ante payment could disadvantage DER given the dependency on multiple consumer decisions Appropriate sequencing of P2025 reforms from DER’s perspective Needs to consider how the MDI reform affects DER and vice versa DER least relevant to COGATI, TGE, RAM and SAM - DER can affect the aggregated load profiles as seen by these MDIs but wouldn’t materially impact on their sequencing - DER unlikely to be able to materially offer services to these MDIs for some time DER more relevant to 2SM and ESS - Important that the progression of stages within these MDIs takes into account the likely rate of uptake, functionality and participation on DER in market reforms - This includes the flexibility to allow for possible game changers such as step changes in costs (batteries, EVs), favourable government policy etc. Important to signal the sequencing of the full spectrum of value propositions for DER across multiple markets - Is required for	aggregators to see a credible pathway of market reform Potential Impact of distribution-level markets and dependencies at the local level for market participation – increases complexity for DER integration into markets What are distribution level markets???	- LET between customers or with a community battery? - A VPP with the DNDSP to provide local network support? - Trading of excess network capacities? - Nested markets, which feed into wholesale markets? A clear need to have a generally agreed working definition, as this affects questions like - Will they result in local settlement of transactions outside the wholesale markets, or will they feed transactions into the wholesale markets? - Will they increase or decrease visibility for AEMO and its ability to influence the operation of distribution-level assets to achieve system-wide goals? - Will they decrease or increase overall complexity of market design, and how will they interface with the outcomes of the MDIs? NEXT STEPS - P2025 August consultation paper - Observations from interviews conducted by ITP/KPMG has been circulated to all other MDIs – it is expected that the advice/observations will be incorporated in the MDIs drafting of the consultation paper. - DER integration issues prioritisation framework - ITP/KPMG are preparing a prioritisation framework – for assessing issues that came out of MDI interviews. - Issues will be assessed against a set of criteria to determine their importance to P2025 reforms. - For issues that need attention, a timeframe for action will be assigned. - ESB DER integration strategy - The ESB DER Integration Steering Committee will prepare a separate paper that will accompany the P2025 August consultation paper. - The paper will cover the ESB’s integration strategy and future workplan – across all aspects of integration. - Open mic Q&A - Next Tuesday – 28 July 3.30pm – 5.00pm DER Integration Technical Focus Group JULY MEETING Agenda: Draft DER strategy paper outline - Vision and objectives - Technical integration - Regulatory integration - Market integration - Resulting priority work areas - ‘Critical path’ activities and timeline Technical and operational challenges For system security and distribution network reliability, including DER visibility and standards – which potentially limit or reduce the value of DER for prosumers and consumers Regulatory and planning challenges Include ringfencing regulation and integrated planning to optimise the benefits of DER integration Market and business model challenges Electricity markets and DNSP business models need to be updated to support the benefits and minimise the costs of DER integration for all consumers Objective, outcomes and dimensions of DER integration \| Objective \| Outcomes \| Dimensions \| Priority work areas \| \|-----------\|----------\|------------\|---------------------\| \| To optimise the benefits of DER for all electricity system users \| To support a secure and reliable electricity system \| Technical integration \| Device, comms, cyber and data standards \| \| \| To support improved distribution network management \| Regulatory integration \| New governance arrangements for DER standards \| \| \| To unlock the value of DER services \| Market integration \| Improve LV network/connection point visibility \| \| \| \| \| Implement dynamic operating envelopes \| \| \| \| \| Incorporate DER into T&D planning \| \| \| \| \| Consider modular networks \| \| \| \| \| Enhance DNSP requirements for DER integration and network revenue regulation to optimise use of DER \| \| \| \| \| Accelerate tariff reform and consider future pricing \| \| \| \| \| Incorporate DER in p2025 market design \| \| \| \| \| Define aggregators and market participants, consider MTR \| \| \| \| \| Enable value-stacking of DER services \| \| \| \| \| Consider non-financial motivations \| \| \| \| \| Pilot DER for network services, wholesale, FCAS/ESS and via local markets \| DER capability can offer value throughout the electricity supply chain. DER benefits should flow to all consumers, both those with and without DER. DER will fundamentally change the electricity system Installed capacity in Australia, centralized vs decentralized GW Decentralization ratio 41% of capacity sits behind-the-meter by 2030 Electricity demand in Australia TWh Rooftop PV supplies 17% of demand by 2030 Source: BloombergNEF, 2018 Australia Behind-the-Meter PV and Storage Forecast May 2018. Source: BloombergNEF. Note: For more details see: Australia behind-the-meter PV and storage forecast (Web \| Terminal). Technical integration AEMO’s priority is ensuring DER responds appropriately to disturbances but technical integration will be needed at all timescales: Figure 4 Timescales of power system operating elements, applicable to DER - Disturbance behaviour - Frequency Control Ancillary Services - Dispatch - Operational forecasting - Planning & Forecasting Milliseconds Seconds Minutes Hours Days Months Years Technical challenges to system security and operations - The most immediate challenge is DER response during system disturbances, especially voltage disturbance ride-through. - Updates to AS4777 for inverters in 2020 – and inclusion in Rules. - Governance of Technical Standards: - Current arrangements not fit-for-purpose. - Need leadership and coordination, greater speed and flexibility given the pace of change. \| Standards, Data and Interoperability Working Group \| \|---------------------------------------------------\| \| DER and Performance Standards \| \| APIs and Data Standards \| \| Cyber Security \| - Updates to device standards incl. AS4777 and AS4755. Review minimum performance standards for DER and Compliance methods. Liaise with Standards Australia. - Develop a set of common methods for the use of APIs (incl IEEE 1547 and 2030) and data communication for trials and recommend new standards. - Work with the Australia Cyber Centre and stakeholders to determine set of cyber security standards and compliance frameworks for DER devices and communication. Technical challenges to distribution network operations - Need greater levels of network visibility - Need communication/interoperability standards and protocols - Together with the development of dynamic ‘operating envelopes’ providing signals as to when DER can’t feed into the grid due to technical constraints Source: SA Power Networks (2019) Example site indicating link between PV curtailment and voltage Source: UNSW LV Voltage report for ESB Technical integration priorities • Device, comms, cyber and data standards • New governance arrangements for DER standards • Improving LV network visibility • Improving DNSP systems to integrate DER • Dynamic operating envelopes • Incorporation of DER into T&D planning Regulatory and pricing challenges The need for ‘grid architecture’ and clear functional responsibilities Source: Lorenzo Kristov Location changes to the supply/demand curve • Note important existing technical challenge to DER exports: Across the NEM LV network voltage is currently sitting at high average levels and with a broad range of minimum to maximum voltage at many points. • DER exports can exacerbate this existing issue. • Need visibility and more dynamic ‘smarter’ network management. • However, DNSPs currently don’t have clear responsibilities or clear remuneration for DER integration under the rules. Source: UNSW LV Voltage report for ESB Time of day changes to the supply/demand curve Technical, regulatory and market challenges: • Negative minimum demand – impacts system security and pricing (SA in particular) • Increased ramp rates (due to large and small scale PV) DER can provide network services DER can provide ‘non-network alternatives’ including: - Network extension - Network augmentation - Network replacement - Network operation – especially voltage management, also thermal constraint/reverse flows management – some of which may be exacerbated by DER itself - Managing bushfire risk from lines (including allowing areas to stay powered even if a line has to be de-energised) - Potential to move from static to dynamic ‘network services markets’ – will require significant changes to DNSP planning, operation and revenue - Need to consider potential within the Economic Regulatory Framework (ENERF review) DER can support a move to modular networks? Contested future in the NEM but Western Power is moving to a ‘modular network’: underground in high density areas, above ground in suburban settings and SAPs/microgrids in low density areas Regulatory integration priorities - Enhance DNSP requirements for DER integration and network revenue regulation to optimise use of DER, including for network services where appropriate. - Accelerate tariff reforms and consider future pricing changes. - Consider modular networks and implications on revenue regulation. - Ensure integrated T&D planning. Reform Package Components COMPONENT 1: UPDATE FRAMEWORK - No regrets foundations for future reforms - Regulatory framework should reflect changing use of grid and consumer expectations - Promote role of distribution networks as a trading platform for multiple services - Update regulatory framework and re-align network incentives and obligations - Strengthen access rights, greater transparency of network constraints to inform DER investments - Foundations for considering how costs should be allocated and whether cost reflective pricing would promote NEO - now and for future models COMPONENT 2: EFFICIENT INVESTMENT SIGNALS - Flexibility to adapt to changing preferences - Consumption only pricing arrangements may not provide sufficient flexibility for the future system - Support customer choice and provide regulatory tools to meet different circumstances - Export charges potentially useful tool to promote efficiency and equity objectives, but contentious - Implementation could be complicated, trade-offs need to be considered - AEMC can undertake targeted consultation on these more contentious issues, building on DEIP process COMPONENT 3: FUTURE PRICING MODELS - Full integration of DER into energy system - Future energy services bought and sold in more dynamic way, responding to consumer preferences and price signals - Networks facilitate customers’ access to different energy markets and services - Future pricing arrangements should send efficient signals so DER services deliver the most value to energy system at any point in time, and reward supportive behaviour - Moving towards a ‘two-way pricing model is a significant transition, possibly requiring initial network investments - These reform considerations need to be staged, and outcomes of ESB Post-2025 market design program will need to be taken into consideration Market integration The need for integration across post-2025 workstreams – including the market infrastructure DER market integration: system and infrastructure considerations Major changes needed to AEMO market design and operations: • Forecasting, Metering, Scheduling, Dispatch, SCADA (etc) requirements to enable DER to become active in the wholesale and ESS markets Major infrastructure requirements to enable market participation: • Clear communications, data and interoperability standards and protocols • Network monitoring, SCADA, constraint development and communication • Visibility at the consumer connection point for aggregators/retailers • Aggregator and retailer comms and changes to billing systems • ‘Platform’ infrastructure for bidding (VPPs already being trialled on a small scale but will need work to scale and trade across multiple markets/procurement) Consumer considerations in market integration Need to incentivise each DER owner to stay on-market (not to leave the grid), so that the benefits of their investment can be shared with the broader market. Need participation models that make it simple for DER to provide services into all markets, and simple for customers to understand the value of making their DER available to the market. Expose DER to price signals to encourage the optimal DER operation. Align risks to those who are best able to manage them. Even with infrastructure and price signals, consumers may not participate: - Social science research shows that DER owners will be more likely to respond to non-financial incentives to provide DER services - for social good reasons – but this has not been tested in practice. - Commercial offers will require value (above self-consumption) and trust. - Consumer experience will be critical to participation – need for robust consumer protections. Other challenges for DER integration into existing and new markets - Aggregators for DER participation in the wholesale market are not currently defined in the rules - As the possible functionalities for Market Participants become more varied, there is likely to be a need for greater functional flexibility - The role of the DNSP in facilitating DER integration into these markets will need further consideration and definition - The challenge of creating a contractual model where the DER proponent can sell various DER services across multi-parties (i.e. to achieve value stacking) has not been progressed significantly to date but there is opportunity to do so in the post-2025 project Nested or distribution-level markets: - The Open Energy Networks projects has left unresolved the issue of distribution-level markets and these require further exploration and definition - Best way to resolve this is through trials Market integration priorities • Incorporate DER into p2025 market design • Define DER products and services, aggregators and market participation • Consider MTR • Pilot DER for wholesale, FCAS/ESS (and network services), and via distribution-level markets ‘Critical path’ actions for DER Integration 1. Technical standards rule change and new governance structure and processes 2. Reviewing network responsibilities for DER integration, revenue regulation to optimise the use of DER in distribution networks and network pricing 3. DER integration into Post2025 Market Design Initiatives, including defining DER aggregators in the Rules, MTR, understanding non-financial incentives for household DER owners 4. Design a suite of effective price signals, regulations and incentives to integrate DER into the wholesale, ESS, network services and (where appropriate) local markets/procurement mechanisms. The aim by 2025 is: - enable DER owners to sell DER services into wholesale, ESS and network services markets - for DER to not cause any technical system or network operation challenges - to have integrated transmission and distribution planning. DER Integration pathway Market - Pilot DER for network services, wholesale, FCAS/ESS and via local markets - Incorporate DER into p2025 market design - Define aggregators and market participants - Enable value stacking of DER services (effective and efficient competition) - Consider non-financial motivations - Accelerate tariff reform and consider future pricing Regulatory - Enhance DNSP requirements for DER integration - Enhance DNSP revenue for DER optimisation - DNSP system improvements - LV/connection point visibility - Dynamic operating envelopes - Incorporate DER into T&D planning - Consider modular networks Technical - Interoperability/communications/data standards and platform - Device and cyber standards - New governance arrangements for setting DER technical standards	13,341	end_of_word	for	remove_one_sentence	<url> https://esb-post2025-market-design.aemc.gov.au/32572/1601009433-200728-p2025-der-integration-2-open-mic-session.pdf </url> <text> ENERGY SECURITY BOARD POST 2025 FUTURE MARKET PROGRAM DER INTEGRATION – ‘OPEN MIC’ SESSION 28 JULY 2020 IMPORTANT NOTES These slides are solely for workshop purposes only. The content provides general information to support informed stakeholder engagement and feedback. The presentation does not represent the official position of the Energy Security Board or any related body. The webinar is being recorded and a link to the recording will be provided after the webinar. All previous webinar recordings and slides are available here for your reference. WEBINAR-WORKSHOP LOGISTICS • All participants are currently in listen-only mode. • We will pause periodically for discussion. Please use the Raised Hand to signal that you would like to speak. • If you would like to record a comment without discussion, feel free to type it into this field. The webinar is being recorded and a link to the recording will be provided after the webinar. AGENDA / FORMAT 1. Recap and open discussion of KPMG/ITP final report 2. Recap and open discussion of DER Strategy 3. Other discussion KPMG/ITP FINAL REPORT – DER INTEGRATION RECOMMENDATIONS AND ISSUES - KPMG/ITP final report makes recommendations to each MDI on DER integration: - Two-sided Markets & Essential System Services most relevant to DER - Scheduling & Ahead Markets next most relevant (although instances when DER is very relevant e.g. TGE) MARKET DESIGN INITIATIVES A. Resource Adequacy Mechanisms B. Aging Thermal Generation Exit Strategy C. Essential System Services D. Scheduling & Ahead Markets E. Two-sided Markets F. DER Integration G. CoGaTI KPMG/ITP FINAL REPORT – DER INTEGRATION RECOMMENDATIONS AND ISSUES • Key Issues Identified: 1. DER Uptake and Functionality 2. Technical requirements (off-market) v. Market incentives (on-market) 3. Optimisation DER Participation 4. Co-optimisation (Customer, Aggregator, DNSP, AEMO) 5. Alignment of Financial Incentive 6. Appropriate Sequencing of changes required for efficient DER integration (attached PDF) 7. Distribution Level Markets DER INTEGRATION STRATEGY: ESB DER STEERING COMMITTEE \| Objective \| Outcomes \| Dimensions \| Priority work areas \| \|-----------\|----------\|------------\|---------------------\| \| To optimise the benefits of DER for all electricity system users \| To support a secure and reliable electricity system \| Technical integration \| Device, comms, cyber and data standards \| \| \| To support improved distribution network management \| Regulatory integration \| New governance arrangements for DER standards \| \| \| To unlock the value of DER services \| Market integration \| Improving DNSP systems to integrate DER \| \| \| \| \| Improve LV network/connection point visibility \| \| \| \| \| Implement dynamic operating envelopes \| \| \| \| \| Incorporate DER into T&D planning \| \| \| \| \| Consider modular networks \| \| \| \| \| Enhance DNSP requirements for DER integration and network revenue regulation to optimise use of DER \| \| \| \| \| Accelerate tariff reform and consider future pricing \| \| \| \| \| Incorporate DER in p2025 market design \| \| \| \| \| Define aggregators and market participants, consider MTR \| \| \| \| \| Enable value-stacking of DER services \| \| \| \| \| Consider non-financial motivations \| \| \| \| \| Pilot DER for network services, wholesale, FCAS/ESS and via local markets \| - DER Steerco have drafted a DER strategy - This document will be published to accompany P2025 August report - Focus on Technical and Regulatory changes in parallel to Market integration - Customer Engagement is vital (all system users) Implications of Distributed Energy Resources for the post-2025 market design project MDI Focus Group meeting Tues 21 July 2020 POINTS FOR DISCUSSION - Scope of engagement - Approach and deliverables - Relative importance of MDIs/DER - Key Issues The Energy Security Board (ESB) DER Integration DMI is evaluating the implications of the uptake and operation of DER for the different Market Design Initiatives (MDIs) under the Post-2025 work plan. ITP/KPMG have been asked to provide perspectives on how DER is being considered by the MDIs and the possible implications for DER operation and integration under the reform options being considered. Our scope is considering: - How will the uptake of DER impact on the Post 2025 reforms? - Will the Post 2025 reforms better enable or put up barriers to DER uptake and value creation? - Are there any interdependencies related to DER across the initiatives? The implications for DER will depend on the detail design of this reform initiatives –which is currently being developed. Hence our observations are based more on the conceptual level and are subject to change. 1. Briefing Paper – provided a summary of current landscape for DER including activities, trials and changes being progressed to support DER integration plus initial thoughts on how the DER relates to each of the Post 2025 MDI. 2. Interviews with each MDI teams 3. Interim Report on our observations and our initial advice to the ESB DER Steering Committee 1. Included a section circulated to the MDIs that summarised the outcomes from the meetings 4. Final Report built on the Interim Report with 1. A summary of the relative importance of DER to each of the MDIs and vice versa 2. A prioritisation framework to identify particular DER issues most relevant to P2025 3. A discussion of key considerations identified using the prioritisation framework \| MDI \| Consumers \| LV network \| Technologies \| Commercial \| Regulatory \| \|----------------------------\|-----------\|------------\|--------------\|------------\|------------\| \| Resource Adequacy Mechanisms \| 0 \| 2 \| 0 \| 1 \| 2 \| 3 \| 2 \| 2 \| 0 \| 2 \| \| Thermal Generation Exit Strategy \| 0 \| 2 \| 0 \| 1 \| 2 \| 4 \| 2 \| 3 \| 0 \| 2 \| \| Essential System Services \| 0 \| 4 \| 2 \| 4 \| 3 \| 4 \| 3 \| 4 \| 1 \| 4 \| \| Scheduling & Ahead Markets \| 0 \| 3 \| 1 \| 2 \| 3 \| 2 \| 3 \| 2 \| 1 \| 2 \| \| Two-sided markets \| 0 \| 5 \| 2 \| 4 \| 3 \| 5 \| 3 \| 5 \| 3 \| 3 \| \| COGATI \| 0 \| 2 \| 0 \| 1 \| 1 \| 2 \| 1 \| 2 \| 0 \| 2 \| 2SM and ESS most relevant to DER, followed by SAM, although particular instances when DER is very relevant e.g. TGE The first column for Consumers does not mean that the MDIs are not important for consumers, it means that they don’t affect the fundamental drivers that influence consumers’ decisions In general, DER is more important to the MDIs than the MDIs are to DER’s uptake and operation, although fairly similar in the technical and commercial categories The technical and commercial categories are most to the MDIs, although the actions of consumers and the fact that DER is located on the LV network are important determinants of how DER engages with the MDIs, particularly the 2SM, ESS and SAMs DER uptake will continue irrespective of any market reforms. How much of DER capability can be accessed by markets (“active/able to be scheduled DER”)? - Depends on rate of uptake of different technologies, their capabilities, and the degree to which customers are both able and willing to participate. Only a small proportion of customers currently could be considered really responsive DER and, based on AEMO projections, only around 8% will be by 2030. - However, there is some circularity: in that the MDI outcomes and the development of aggregators could help drive more DER uptake, as could step changes in costs (batteries, EVs), favourable government policy etc Has implications for: - The timeline of progression of the MDIs, especially the progression of stages within SAM, ESS and 2SM - Has implications for the financial viability of aggregators forming around what may be a relatively small market, especially if value stacking is required - The degree to which retailers are left ‘carrying the can’ (if aggregators are sparse) The balance between ‘off-market’ and ‘on-market’ actions is crucial. Improved technical capabilities of, and requirements placed on, DER will (i) better enable it to participate in MDI mechanisms, and (ii) better enable it to provide power quality support independent on any such on-market drivers. On-market approaches should be used where possible as they should be least-cost. However, some functionalities will be mandated from a power quality/safety perspective. Competition - Advanced inverters could provide frequency control (competes with ESS) - Batteries in load-following mode could reduce spot process - Increased visibility and forecastability could reduce the need for Ahead markets - Operational envelopes could be used to address minimum demand issues Consequences - This results in an interesting dynamic that could create uncertainty for market players such as aggregators who may not want to enter the market. Particularly relevant where value stacking is required for financial viability. - Should off-market provision of power quality services be financially compensated, achievable in practice? Need an appropriate framework for DER participation in P2025 markets i.e. the rules regarding eligibility to participate, calculation of payments and compliance - Need to ensure consistency of treatment for DER in these arrangements across the MDIs - What is the appropriate approach to define compliance arrangements for DER under the market design - The technical ability to respond to real time market-based signals may be more limited for DER than for other resources, - DER aggregators would need to contract with more DER capacity than necessary to manage diversity and availability issues, including any network constraints, - There could be merit in having DER operate under different time-frames for bidding and re-nominations under the ahead markets, and - Any financial penalty regime may unfavourably impact on DER participation more so than centralised generation Multiple layers of co-optimisation: customer, DNSP, aggregator and wholesale Is critical and is more complicated for local resources than for centralised generation - Who is ultimately responsible from the P2025 point of view? - The aggregator that solves and deploys its resources in response to price signals? - The system operator deciding how best to deploy the capability across the multiple markets in each time interval? Is dependent on - the contractual framework underpinning the various compensation channels, - the congruency of the financial incentives, - customers’ willingness and understanding, - information flows to enable correct and immediate evaluation of trade-offs, and - investment in IT systems to enable co-optimisation at the customer level Three key areas - Will the market designs provide customers/aggregators with sufficient information to facilitate co-optimisation? - Are there any barriers to the other enablers of optimisation? - Is there merit in establishing a formal ability for the system operator to take a more active role in solving the co-optimisation for customers? Consistency and alignment of financial incentives across the P2025 designs is critical. However, the design of the financial incentive – either by price signal or other procurement mechanisms – will likely differ across markets. This will be important to foster the investment in the supporting architecture. Need to consider: - how different designs impact on DER participation both from the consumer and aggregator perspectives - how collectively all the different price signals under the various markets would work together and reinforce each other in a manner which promotes market efficiency Compensation payments can differ according to: - Time period, in advance, in real time or ex-post - Resource value calculated: on a market clearing approach or an administrative approach Other issues: - There may be a need for multiple back to back contracts - Ex-ante payment could disadvantage DER given the dependency on multiple consumer decisions Appropriate sequencing of P2025 reforms from DER’s perspective Needs to consider how the MDI reform affects DER and vice versa DER least relevant to COGATI, TGE, RAM and SAM - DER can affect the aggregated load profiles as seen by these MDIs but wouldn’t materially impact on their sequencing - DER unlikely to be able to materially offer services to these MDIs for some time DER more relevant to 2SM and ESS - Important that the progression of stages within these MDIs takes into account the likely rate of uptake, functionality and participation on DER in market reforms - This includes the flexibility to allow for possible game changers such as step changes in costs (batteries, EVs), favourable government policy etc. Important to signal the sequencing of the full spectrum of value propositions for DER across multiple markets - Is required for<cursor_is_here> - LET between customers or with a community battery? - A VPP with the DNDSP to provide local network support? - Trading of excess network capacities? - Nested markets, which feed into wholesale markets? A clear need to have a generally agreed working definition, as this affects questions like - Will they result in local settlement of transactions outside the wholesale markets, or will they feed transactions into the wholesale markets? - Will they increase or decrease visibility for AEMO and its ability to influence the operation of distribution-level assets to achieve system-wide goals? - Will they decrease or increase overall complexity of market design, and how will they interface with the outcomes of the MDIs? NEXT STEPS - P2025 August consultation paper - Observations from interviews conducted by ITP/KPMG has been circulated to all other MDIs – it is expected that the advice/observations will be incorporated in the MDIs drafting of the consultation paper. - DER integration issues prioritisation framework - ITP/KPMG are preparing a prioritisation framework – for assessing issues that came out of MDI interviews. - Issues will be assessed against a set of criteria to determine their importance to P2025 reforms. - For issues that need attention, a timeframe for action will be assigned. - ESB DER integration strategy - The ESB DER Integration Steering Committee will prepare a separate paper that will accompany the P2025 August consultation paper. - The paper will cover the ESB’s integration strategy and future workplan – across all aspects of integration. - Open mic Q&A - Next Tuesday – 28 July 3.30pm – 5.00pm DER Integration Technical Focus Group JULY MEETING Agenda: Draft DER strategy paper outline - Vision and objectives - Technical integration - Regulatory integration - Market integration - Resulting priority work areas - ‘Critical path’ activities and timeline Technical and operational challenges For system security and distribution network reliability, including DER visibility and standards – which potentially limit or reduce the value of DER for prosumers and consumers Regulatory and planning challenges Include ringfencing regulation and integrated planning to optimise the benefits of DER integration Market and business model challenges Electricity markets and DNSP business models need to be updated to support the benefits and minimise the costs of DER integration for all consumers Objective, outcomes and dimensions of DER integration \| Objective \| Outcomes \| Dimensions \| Priority work areas \| \|-----------\|----------\|------------\|---------------------\| \| To optimise the benefits of DER for all electricity system users \| To support a secure and reliable electricity system \| Technical integration \| Device, comms, cyber and data standards \| \| \| To support improved distribution network management \| Regulatory integration \| New governance arrangements for DER standards \| \| \| To unlock the value of DER services \| Market integration \| Improve LV network/connection point visibility \| \| \| \| \| Implement dynamic operating envelopes \| \| \| \| \| Incorporate DER into T&D planning \| \| \| \| \| Consider modular networks \| \| \| \| \| Enhance DNSP requirements for DER integration and network revenue regulation to optimise use of DER \| \| \| \| \| Accelerate tariff reform and consider future pricing \| \| \| \| \| Incorporate DER in p2025 market design \| \| \| \| \| Define aggregators and market participants, consider MTR \| \| \| \| \| Enable value-stacking of DER services \| \| \| \| \| Consider non-financial motivations \| \| \| \| \| Pilot DER for network services, wholesale, FCAS/ESS and via local markets \| DER capability can offer value throughout the electricity supply chain. DER benefits should flow to all consumers, both those with and without DER. DER will fundamentally change the electricity system Installed capacity in Australia, centralized vs decentralized GW Decentralization ratio 41% of capacity sits behind-the-meter by 2030 Electricity demand in Australia TWh Rooftop PV supplies 17% of demand by 2030 Source: BloombergNEF, 2018 Australia Behind-the-Meter PV and Storage Forecast May 2018. Source: BloombergNEF. Note: For more details see: Australia behind-the-meter PV and storage forecast (Web \| Terminal). Technical integration AEMO’s priority is ensuring DER responds appropriately to disturbances but technical integration will be needed at all timescales: Figure 4 Timescales of power system operating elements, applicable to DER - Disturbance behaviour - Frequency Control Ancillary Services - Dispatch - Operational forecasting - Planning & Forecasting Milliseconds Seconds Minutes Hours Days Months Years Technical challenges to system security and operations - The most immediate challenge is DER response during system disturbances, especially voltage disturbance ride-through. - Updates to AS4777 for inverters in 2020 – and inclusion in Rules. - Governance of Technical Standards: - Current arrangements not fit-for-purpose. - Need leadership and coordination, greater speed and flexibility given the pace of change. \| Standards, Data and Interoperability Working Group \| \|---------------------------------------------------\| \| DER and Performance Standards \| \| APIs and Data Standards \| \| Cyber Security \| - Updates to device standards incl. AS4777 and AS4755. Review minimum performance standards for DER and Compliance methods. Liaise with Standards Australia. - Develop a set of common methods for the use of APIs (incl IEEE 1547 and 2030) and data communication for trials and recommend new standards. - Work with the Australia Cyber Centre and stakeholders to determine set of cyber security standards and compliance frameworks for DER devices and communication. Technical challenges to distribution network operations - Need greater levels of network visibility - Need communication/interoperability standards and protocols - Together with the development of dynamic ‘operating envelopes’ providing signals as to when DER can’t feed into the grid due to technical constraints Source: SA Power Networks (2019) Example site indicating link between PV curtailment and voltage Source: UNSW LV Voltage report for ESB Technical integration priorities • Device, comms, cyber and data standards • New governance arrangements for DER standards • Improving LV network visibility • Improving DNSP systems to integrate DER • Dynamic operating envelopes • Incorporation of DER into T&D planning Regulatory and pricing challenges The need for ‘grid architecture’ and clear functional responsibilities Source: Lorenzo Kristov Location changes to the supply/demand curve • Note important existing technical challenge to DER exports: Across the NEM LV network voltage is currently sitting at high average levels and with a broad range of minimum to maximum voltage at many points. • DER exports can exacerbate this existing issue. • Need visibility and more dynamic ‘smarter’ network management. • However, DNSPs currently don’t have clear responsibilities or clear remuneration for DER integration under the rules. Source: UNSW LV Voltage report for ESB Time of day changes to the supply/demand curve Technical, regulatory and market challenges: • Negative minimum demand – impacts system security and pricing (SA in particular) • Increased ramp rates (due to large and small scale PV) DER can provide network services DER can provide ‘non-network alternatives’ including: - Network extension - Network augmentation - Network replacement - Network operation – especially voltage management, also thermal constraint/reverse flows management – some of which may be exacerbated by DER itself - Managing bushfire risk from lines (including allowing areas to stay powered even if a line has to be de-energised) - Potential to move from static to dynamic ‘network services markets’ – will require significant changes to DNSP planning, operation and revenue - Need to consider potential within the Economic Regulatory Framework (ENERF review) DER can support a move to modular networks? Contested future in the NEM but Western Power is moving to a ‘modular network’: underground in high density areas, above ground in suburban settings and SAPs/microgrids in low density areas Regulatory integration priorities - Enhance DNSP requirements for DER integration and network revenue regulation to optimise use of DER, including for network services where appropriate. - Accelerate tariff reforms and consider future pricing changes. - Consider modular networks and implications on revenue regulation. - Ensure integrated T&D planning. Reform Package Components COMPONENT 1: UPDATE FRAMEWORK - No regrets foundations for future reforms - Regulatory framework should reflect changing use of grid and consumer expectations - Promote role of distribution networks as a trading platform for multiple services - Update regulatory framework and re-align network incentives and obligations - Strengthen access rights, greater transparency of network constraints to inform DER investments - Foundations for considering how costs should be allocated and whether cost reflective pricing would promote NEO - now and for future models COMPONENT 2: EFFICIENT INVESTMENT SIGNALS - Flexibility to adapt to changing preferences - Consumption only pricing arrangements may not provide sufficient flexibility for the future system - Support customer choice and provide regulatory tools to meet different circumstances - Export charges potentially useful tool to promote efficiency and equity objectives, but contentious - Implementation could be complicated, trade-offs need to be considered - AEMC can undertake targeted consultation on these more contentious issues, building on DEIP process COMPONENT 3: FUTURE PRICING MODELS - Full integration of DER into energy system - Future energy services bought and sold in more dynamic way, responding to consumer preferences and price signals - Networks facilitate customers’ access to different energy markets and services - Future pricing arrangements should send efficient signals so DER services deliver the most value to energy system at any point in time, and reward supportive behaviour - Moving towards a ‘two-way pricing model is a significant transition, possibly requiring initial network investments - These reform considerations need to be staged, and outcomes of ESB Post-2025 market design program will need to be taken into consideration Market integration The need for integration across post-2025 workstreams – including the market infrastructure DER market integration: system and infrastructure considerations Major changes needed to AEMO market design and operations: • Forecasting, Metering, Scheduling, Dispatch, SCADA (etc) requirements to enable DER to become active in the wholesale and ESS markets Major infrastructure requirements to enable market participation: • Clear communications, data and interoperability standards and protocols • Network monitoring, SCADA, constraint development and communication • Visibility at the consumer connection point for aggregators/retailers • Aggregator and retailer comms and changes to billing systems • ‘Platform’ infrastructure for bidding (VPPs already being trialled on a small scale but will need work to scale and trade across multiple markets/procurement) Consumer considerations in market integration Need to incentivise each DER owner to stay on-market (not to leave the grid), so that the benefits of their investment can be shared with the broader market. Need participation models that make it simple for DER to provide services into all markets, and simple for customers to understand the value of making their DER available to the market. Expose DER to price signals to encourage the optimal DER operation. Align risks to those who are best able to manage them. Even with infrastructure and price signals, consumers may not participate: - Social science research shows that DER owners will be more likely to respond to non-financial incentives to provide DER services - for social good reasons – but this has not been tested in practice. - Commercial offers will require value (above self-consumption) and trust. - Consumer experience will be critical to participation – need for robust consumer protections. Other challenges for DER integration into existing and new markets - Aggregators for DER participation in the wholesale market are not currently defined in the rules - As the possible functionalities for Market Participants become more varied, there is likely to be a need for greater functional flexibility - The role of the DNSP in facilitating DER integration into these markets will need further consideration and definition - The challenge of creating a contractual model where the DER proponent can sell various DER services across multi-parties (i.e. to achieve value stacking) has not been progressed significantly to date but there is opportunity to do so in the post-2025 project Nested or distribution-level markets: - The Open Energy Networks projects has left unresolved the issue of distribution-level markets and these require further exploration and definition - Best way to resolve this is through trials Market integration priorities • Incorporate DER into p2025 market design • Define DER products and services, aggregators and market participation • Consider MTR • Pilot DER for wholesale, FCAS/ESS (and network services), and via distribution-level markets ‘Critical path’ actions for DER Integration 1. Technical standards rule change and new governance structure and processes 2. Reviewing network responsibilities for DER integration, revenue regulation to optimise the use of DER in distribution networks and network pricing 3. DER integration into Post2025 Market Design Initiatives, including defining DER aggregators in the Rules, MTR, understanding non-financial incentives for household DER owners 4. Design a suite of effective price signals, regulations and incentives to integrate DER into the wholesale, ESS, network services and (where appropriate) local markets/procurement mechanisms. The aim by 2025 is: - enable DER owners to sell DER services into wholesale, ESS and network services markets - for DER to not cause any technical system or network operation challenges - to have integrated transmission and distribution planning. DER Integration pathway Market - Pilot DER for network services, wholesale, FCAS/ESS and via local markets - Incorporate DER into p2025 market design - Define aggregators and market participants - Enable value stacking of DER services (effective and efficient competition) - Consider non-financial motivations - Accelerate tariff reform and consider future pricing Regulatory - Enhance DNSP requirements for DER integration - Enhance DNSP revenue for DER optimisation - DNSP system improvements - LV/connection point visibility - Dynamic operating envelopes - Incorporate DER into T&D planning - Consider modular networks Technical - Interoperability/communications/data standards and platform - Device and cyber standards - New governance arrangements for setting DER technical standards </text>	[ { "content": "<url>\nhttps://esb-post2025-market-design.aemc.gov.au/32572/1601009433-200728-p2025-der-integration-2-open-mic-session.pdf\n</url>\n<text>\nENERGY SECURITY BOARD\n\nPOST 2025 FUTURE MARKET PROGRAM\n\nDER INTEGRATION – ‘OPEN MIC’ SESSION\n\n28 JULY 2020\n\nIMPORTANT NOTES\n\nThese slides are solely for workshop purposes only. The content provides general information to support informed stakeholder engagement and feedback.\n\nThe presentation does not represent the official position of the Energy Security Board or any related body.\n\nThe webinar is being recorded and a link to the recording will be provided after the webinar.\n\nAll previous webinar recordings and slides are available here for your reference.\n\nWEBINAR-WORKSHOP LOGISTICS\n\n• All participants are currently in listen-only mode.\n\n• We will pause periodically for discussion. Please use the Raised Hand to signal that you would like to speak.\n\n• If you would like to record a comment without discussion, feel free to type it into this field.\n\nThe webinar is being recorded and a link to the recording will be provided after the webinar.\n\nAGENDA / FORMAT\n\n1. Recap and open discussion of KPMG/ITP final report\n\n2. Recap and open discussion of DER Strategy\n\n3. Other discussion\n\nKPMG/ITP FINAL REPORT – DER INTEGRATION RECOMMENDATIONS AND ISSUES\n\n- KPMG/ITP final report makes recommendations to each MDI on DER integration:\n - Two-sided Markets & Essential System Services most relevant to DER\n - Scheduling & Ahead Markets next most relevant (although instances when DER is very relevant e.g. TGE)\n\nMARKET DESIGN INITIATIVES\n\nA. Resource Adequacy Mechanisms\nB. Aging Thermal Generation Exit Strategy\nC. Essential System Services\nD. Scheduling & Ahead Markets\nE. Two-sided Markets\nF. DER Integration\nG. CoGaTI\n\nKPMG/ITP FINAL REPORT – DER INTEGRATION RECOMMENDATIONS AND ISSUES\n\n• Key Issues Identified:\n\n1. DER Uptake and Functionality\n\n2. Technical requirements (off-market) v. Market incentives (on-market)\n\n3. Optimisation DER Participation\n\n4. Co-optimisation (Customer, Aggregator, DNSP, AEMO)\n\n5. Alignment of Financial Incentive\n\n6. Appropriate Sequencing of changes required for efficient DER integration (attached PDF)\n\n7. Distribution Level Markets\n\nDER INTEGRATION STRATEGY: ESB DER STEERING COMMITTEE\n\n\| Objective \| Outcomes \| Dimensions \| Priority work areas \|\n\|-----------\|----------\|------------\|---------------------\|\n\| To optimise the benefits of DER for all electricity system users \| To support a secure and reliable electricity system \| Technical integration \| Device, comms, cyber and data standards \|\n\| \| To support improved distribution network management \| Regulatory integration \| New governance arrangements for DER standards \|\n\| \| To unlock the value of DER services \| Market integration \| Improving DNSP systems to integrate DER \|\n\| \| \| \| Improve LV network/connection point visibility \|\n\| \| \| \| Implement dynamic operating envelopes \|\n\| \| \| \| Incorporate DER into T&D planning \|\n\| \| \| \| Consider modular networks \|\n\| \| \| \| Enhance DNSP requirements for DER integration and network revenue regulation to optimise use of DER \|\n\| \| \| \| Accelerate tariff reform and consider future pricing \|\n\| \| \| \| Incorporate DER in p2025 market design \|\n\| \| \| \| Define aggregators and market participants, consider MTR \|\n\| \| \| \| Enable value-stacking of DER services \|\n\| \| \| \| Consider non-financial motivations \|\n\| \| \| \| Pilot DER for network services, wholesale, FCAS/ESS and via local markets \|\n\n- DER Steerco have drafted a DER strategy\n- This document will be published to accompany P2025 August report\n- Focus on Technical and Regulatory changes in parallel to Market integration\n- Customer Engagement is vital (all system users)\n\nImplications of Distributed Energy Resources for the post-2025 market design project\n\nMDI Focus Group meeting\n\nTues 21 July 2020\n\nPOINTS FOR DISCUSSION\n\n- Scope of engagement\n- Approach and deliverables\n- Relative importance of MDIs/DER\n- Key Issues\n\nThe Energy Security Board (ESB) DER Integration DMI is evaluating the implications of the uptake and operation of DER for the different Market Design Initiatives (MDIs) under the Post-2025 work plan.\n\nITP/KPMG have been asked to provide perspectives on how DER is being considered by the MDIs and the possible implications for DER operation and integration under the reform options being considered.\n\nOur scope is considering:\n\n- How will the uptake of DER impact on the Post 2025 reforms?\n- Will the Post 2025 reforms better enable or put up barriers to DER uptake and value creation?\n- Are there any interdependencies related to DER across the initiatives?\n\nThe implications for DER will depend on the detail design of this reform initiatives –which is currently being developed. Hence our observations are based more on the conceptual level and are subject to change.\n\n1. Briefing Paper – provided a summary of current landscape for DER including activities, trials and changes being progressed to support DER integration plus initial thoughts on how the DER relates to each of the Post 2025 MDI.\n\n2. Interviews with each MDI teams\n\n3. Interim Report on our observations and our initial advice to the ESB DER Steering Committee\n 1. Included a section circulated to the MDIs that summarised the outcomes from the meetings\n\n4. Final Report built on the Interim Report with\n 1. A summary of the relative importance of DER to each of the MDIs and vice versa\n 2. A prioritisation framework to identify particular DER issues most relevant to P2025\n 3. A discussion of key considerations identified using the prioritisation framework\n\n\| MDI \| Consumers \| LV network \| Technologies \| Commercial \| Regulatory \|\n\|----------------------------\|-----------\|------------\|--------------\|------------\|------------\|\n\| Resource Adequacy Mechanisms \| 0 \| 2 \| 0 \| 1 \| 2 \| 3 \| 2 \| 2 \| 0 \| 2 \|\n\| Thermal Generation Exit Strategy \| 0 \| 2 \| 0 \| 1 \| 2 \| 4 \| 2 \| 3 \| 0 \| 2 \|\n\| Essential System Services \| 0 \| 4 \| 2 \| 4 \| 3 \| 4 \| 3 \| 4 \| 1 \| 4 \|\n\| Scheduling & Ahead Markets \| 0 \| 3 \| 1 \| 2 \| 3 \| 2 \| 3 \| 2 \| 1 \| 2 \|\n\| Two-sided markets \| 0 \| 5 \| 2 \| 4 \| 3 \| 5 \| 3 \| 5 \| 3 \| 3 \|\n\| COGATI \| 0 \| 2 \| 0 \| 1 \| 1 \| 2 \| 1 \| 2 \| 0 \| 2 \|\n\n2SM and ESS most relevant to DER, followed by SAM, although particular instances when DER is very relevant e.g. TGE\n\nThe first column for Consumers does not mean that the MDIs are not important for consumers, it means that they don’t affect the fundamental drivers that influence consumers’ decisions\n\nIn general, DER is more important to the MDIs than the MDIs are to DER’s uptake and operation, although fairly similar in the technical and commercial categories\n\nThe technical and commercial categories are most to the MDIs, although the actions of consumers and the fact that DER is located on the LV network are important determinants of how DER engages with the MDIs, particularly the 2SM, ESS and SAMs\n\nDER uptake will continue irrespective of any market reforms. How much of DER capability can be accessed by markets (“active/able to be scheduled DER”)?\n\n- Depends on rate of uptake of different technologies, their capabilities, and the degree to which customers are both able and willing to participate. Only a small proportion of customers currently could be considered really responsive DER and, based on AEMO projections, only around 8% will be by 2030.\n\n- However, there is some circularity: in that the MDI outcomes and the development of aggregators could help drive more DER uptake, as could step changes in costs (batteries, EVs), favourable government policy etc\n\nHas implications for:\n\n- The timeline of progression of the MDIs, especially the progression of stages within SAM, ESS and 2SM\n\n- Has implications for the financial viability of aggregators forming around what may be a relatively small market, especially if value stacking is required\n\n- The degree to which retailers are left ‘carrying the can’ (if aggregators are sparse)\n\nThe balance between ‘off-market’ and ‘on-market’ actions is crucial. Improved technical capabilities of, and requirements placed on, DER will (i) better enable it to participate in MDI mechanisms, and (ii) better enable it to provide power quality support independent on any such on-market drivers.\n\nOn-market approaches should be used where possible as they should be least-cost.\n\nHowever, some functionalities will be mandated from a power quality/safety perspective.\n\nCompetition\n- Advanced inverters could provide frequency control (competes with ESS)\n- Batteries in load-following mode could reduce spot process\n- Increased visibility and forecastability could reduce the need for Ahead markets\n- Operational envelopes could be used to address minimum demand issues\n\nConsequences\n- This results in an interesting dynamic that could create uncertainty for market players such as aggregators who may not want to enter the market. Particularly relevant where value stacking is required for financial viability.\n- Should off-market provision of power quality services be financially compensated, achievable in practice?\n\nNeed an appropriate framework for DER participation in P2025 markets i.e. the rules regarding eligibility to participate, calculation of payments and compliance\n\n- Need to ensure consistency of treatment for DER in these arrangements across the MDIs\n- What is the appropriate approach to define compliance arrangements for DER under the market design\n- The technical ability to respond to real time market-based signals may be more limited for DER than for other resources,\n- DER aggregators would need to contract with more DER capacity than necessary to manage diversity and availability issues, including any network constraints,\n- There could be merit in having DER operate under different time-frames for bidding and re-nominations under the ahead markets, and\n- Any financial penalty regime may unfavourably impact on DER participation more so than centralised generation\n\nMultiple layers of co-optimisation: customer, DNSP, aggregator and wholesale\n\nIs critical and is more complicated for local resources than for centralised generation\n\n- Who is ultimately responsible from the P2025 point of view?\n- The aggregator that solves and deploys its resources in response to price signals?\n- The system operator deciding how best to deploy the capability across the multiple markets in each time interval?\n\nIs dependent on\n\n- the contractual framework underpinning the various compensation channels,\n- the congruency of the financial incentives,\n- customers’ willingness and understanding,\n- information flows to enable correct and immediate evaluation of trade-offs, and\n- investment in IT systems to enable co-optimisation at the customer level\n\nThree key areas\n\n- Will the market designs provide customers/aggregators with sufficient information to facilitate co-optimisation?\n- Are there any barriers to the other enablers of optimisation?\n- Is there merit in establishing a formal ability for the system operator to take a more active role in solving the co-optimisation for customers?\n\nConsistency and alignment of financial incentives across the P2025 designs is critical.\n\nHowever, the design of the financial incentive – either by price signal or other procurement mechanisms – will likely differ across markets.\n\nThis will be important to foster the investment in the supporting architecture.\n\nNeed to consider:\n- how different designs impact on DER participation both from the consumer and aggregator perspectives\n- how collectively all the different price signals under the various markets would work together and reinforce each other in a manner which promotes market efficiency\n\nCompensation payments can differ according to:\n- Time period, in advance, in real time or ex-post\n- Resource value calculated: on a market clearing approach or an administrative approach\n\nOther issues:\n- There may be a need for multiple back to back contracts\n- Ex-ante payment could disadvantage DER given the dependency on multiple consumer decisions\n\nAppropriate sequencing of P2025 reforms from DER’s perspective\n\nNeeds to consider how the MDI reform affects DER and vice versa\n\nDER least relevant to COGATI, TGE, RAM and SAM\n- DER can affect the aggregated load profiles as seen by these MDIs but wouldn’t materially impact on their sequencing\n- DER unlikely to be able to materially offer services to these MDIs for some time\n\nDER more relevant to 2SM and ESS\n- Important that the progression of stages within these MDIs takes into account the likely rate of uptake, functionality and participation on DER in market reforms\n- This includes the flexibility to allow for possible game changers such as step changes in costs (batteries, EVs), favourable government policy etc.\n\nImportant to signal the sequencing of the full spectrum of value propositions for DER across multiple markets\n- Is required for<cursor_is_here>\n\n- LET between customers or with a community battery?\n- A VPP with the DNDSP to provide local network support?\n- Trading of excess network capacities?\n- Nested markets, which feed into wholesale markets?\n\nA clear need to have a generally agreed working definition, as this affects questions like\n\n- Will they result in local settlement of transactions outside the wholesale markets, or will they feed transactions into the wholesale markets?\n- Will they increase or decrease visibility for AEMO and its ability to influence the operation of distribution-level assets to achieve system-wide goals?\n- Will they decrease or increase overall complexity of market design, and how will they interface with the outcomes of the MDIs?\n\nNEXT STEPS\n\n- P2025 August consultation paper\n - Observations from interviews conducted by ITP/KPMG has been circulated to all other MDIs – it is expected that the advice/observations will be incorporated in the MDIs drafting of the consultation paper.\n\n- DER integration issues prioritisation framework\n - ITP/KPMG are preparing a prioritisation framework – for assessing issues that came out of MDI interviews.\n - Issues will be assessed against a set of criteria to determine their importance to P2025 reforms.\n - For issues that need attention, a timeframe for action will be assigned.\n\n- ESB DER integration strategy\n - The ESB DER Integration Steering Committee will prepare a separate paper that will accompany the P2025 August consultation paper.\n - The paper will cover the ESB’s integration strategy and future workplan – across all aspects of integration.\n\n- Open mic Q&A\n - Next Tuesday – 28 July 3.30pm – 5.00pm\n\nDER Integration\n\nTechnical Focus Group\n\nJULY MEETING\n\nAgenda: Draft DER strategy paper outline\n\n- Vision and objectives\n- Technical integration\n- Regulatory integration\n- Market integration\n- Resulting priority work areas\n- ‘Critical path’ activities and timeline\n\nTechnical and operational challenges\nFor system security and distribution network reliability, including DER visibility and standards – which potentially limit or reduce the value of DER for prosumers and consumers\n\nRegulatory and planning challenges\nInclude ringfencing regulation and integrated planning to optimise the benefits of DER integration\n\nMarket and business model challenges\nElectricity markets and DNSP business models need to be updated to support the benefits and minimise the costs of DER integration for all consumers\n\nObjective, outcomes and dimensions of DER integration\n\n\| Objective \| Outcomes \| Dimensions \| Priority work areas \|\n\|-----------\|----------\|------------\|---------------------\|\n\| To optimise the benefits of DER for all electricity system users \| To support a secure and reliable electricity system \| Technical integration \| Device, comms, cyber and data standards \|\n\| \| To support improved distribution network management \| Regulatory integration \| New governance arrangements for DER standards \|\n\| \| To unlock the value of DER services \| Market integration \| Improve LV network/connection point visibility \|\n\| \| \| \| Implement dynamic operating envelopes \|\n\| \| \| \| Incorporate DER into T&D planning \|\n\| \| \| \| Consider modular networks \|\n\| \| \| \| Enhance DNSP requirements for DER integration and network revenue regulation to optimise use of DER \|\n\| \| \| \| Accelerate tariff reform and consider future pricing \|\n\| \| \| \| Incorporate DER in p2025 market design \|\n\| \| \| \| Define aggregators and market participants, consider MTR \|\n\| \| \| \| Enable value-stacking of DER services \|\n\| \| \| \| Consider non-financial motivations \|\n\| \| \| \| Pilot DER for network services, wholesale, FCAS/ESS and via local markets \|\n\nDER capability can offer value throughout the electricity supply chain. DER benefits should flow to all consumers, both those with and without DER.\n\nDER will fundamentally change the electricity system\n\nInstalled capacity in Australia, centralized vs decentralized\n\nGW\n\nDecentralization ratio\n\n41% of capacity sits behind-the-meter by 2030\n\nElectricity demand in Australia\n\nTWh\n\nRooftop PV supplies 17% of demand by 2030\n\nSource: BloombergNEF, 2018 Australia Behind-the-Meter PV and Storage Forecast May 2018.\n\nSource: BloombergNEF. Note: For more details see: Australia behind-the-meter PV and storage forecast (Web \| Terminal).\n\nTechnical integration\n\nAEMO’s priority is ensuring DER responds appropriately to disturbances but technical integration will be needed at all timescales:\n\nFigure 4 Timescales of power system operating elements, applicable to DER\n\n- Disturbance behaviour\n- Frequency Control Ancillary Services\n- Dispatch\n- Operational forecasting\n- Planning & Forecasting\n\nMilliseconds Seconds Minutes Hours Days Months Years\n\nTechnical challenges to system security and operations\n\n- The most immediate challenge is DER response during system disturbances, especially voltage disturbance ride-through.\n\n- Updates to AS4777 for inverters in 2020 – and inclusion in Rules.\n\n- Governance of Technical Standards:\n - Current arrangements not fit-for-purpose.\n - Need leadership and coordination, greater speed and flexibility given the pace of change.\n\n\| Standards, Data and Interoperability Working Group \|\n\|---------------------------------------------------\|\n\| DER and Performance Standards \|\n\| APIs and Data Standards \|\n\| Cyber Security \|\n\n- Updates to device standards incl. AS4777 and AS4755. Review minimum performance standards for DER and Compliance methods. Liaise with Standards Australia.\n\n- Develop a set of common methods for the use of APIs (incl IEEE 1547 and 2030) and data communication for trials and recommend new standards.\n\n- Work with the Australia Cyber Centre and stakeholders to determine set of cyber security standards and compliance frameworks for DER devices and communication.\n\nTechnical challenges to distribution network operations\n\n- Need greater levels of network visibility\n- Need communication/interoperability standards and protocols\n- Together with the development of dynamic ‘operating envelopes’ providing signals as to when DER can’t feed into the grid due to technical constraints\n\nSource: SA Power Networks (2019)\n\nExample site indicating link between PV curtailment and voltage\n\nSource: UNSW LV Voltage report for ESB\n\nTechnical integration priorities\n\n• Device, comms, cyber and data standards\n• New governance arrangements for DER standards\n• Improving LV network visibility\n• Improving DNSP systems to integrate DER\n• Dynamic operating envelopes\n• Incorporation of DER into T&D planning\n\nRegulatory and pricing challenges\n\nThe need for ‘grid architecture’ and clear functional responsibilities\n\nSource: Lorenzo Kristov\n\nLocation changes to the supply/demand curve\n\n• Note important existing technical challenge to DER exports: Across the NEM LV network voltage is currently sitting at high average levels and with a broad range of minimum to maximum voltage at many points.\n\n• DER exports can exacerbate this existing issue.\n\n• Need visibility and more dynamic ‘smarter’ network management.\n\n• However, DNSPs currently don’t have clear responsibilities or clear remuneration for DER integration under the rules.\n\nSource: UNSW LV Voltage report for ESB\n\nTime of day changes to the supply/demand curve\n\nTechnical, regulatory and market challenges:\n\n• Negative minimum demand – impacts system security and pricing\n (SA in particular)\n\n• Increased ramp rates\n (due to large and small scale PV)\n\nDER can provide network services\n\nDER can provide ‘non-network alternatives’ including:\n\n- Network extension\n- Network augmentation\n- Network replacement\n- Network operation – especially voltage management, also thermal constraint/reverse flows management – some of which may be exacerbated by DER itself\n- Managing bushfire risk from lines (including allowing areas to stay powered even if a line has to be de-energised)\n\n- Potential to move from static to dynamic ‘network services markets’ – will require significant changes to DNSP planning, operation and revenue\n- Need to consider potential within the Economic Regulatory Framework (ENERF review)\n\nDER can support a move to modular networks?\n\nContested future in the NEM but\n\nWestern Power is moving to a ‘modular network’: underground in high density areas, above ground in suburban settings and SAPs/microgrids in low density areas\n\nRegulatory integration priorities\n\n- Enhance DNSP requirements for DER integration and network revenue regulation to optimise use of DER, including for network services where appropriate.\n\n- Accelerate tariff reforms and consider future pricing changes.\n\n- Consider modular networks and implications on revenue regulation.\n\n- Ensure integrated T&D planning.\n\nReform Package Components\n\nCOMPONENT 1: UPDATE FRAMEWORK\n- No regrets foundations for future reforms\n- Regulatory framework should reflect changing use of grid and consumer expectations\n- Promote role of distribution networks as a trading platform for multiple services\n- Update regulatory framework and re-align network incentives and obligations\n- Strengthen access rights, greater transparency of network constraints to inform DER investments\n- Foundations for considering how costs should be allocated and whether cost reflective pricing would promote NEO - now and for future models\n\nCOMPONENT 2: EFFICIENT INVESTMENT SIGNALS\n- Flexibility to adapt to changing preferences\n- Consumption only pricing arrangements may not provide sufficient flexibility for the future system\n- Support customer choice and provide regulatory tools to meet different circumstances\n- Export charges potentially useful tool to promote efficiency and equity objectives, but contentious\n- Implementation could be complicated, trade-offs need to be considered\n- AEMC can undertake targeted consultation on these more contentious issues, building on DEIP process\n\nCOMPONENT 3: FUTURE PRICING MODELS\n- Full integration of DER into energy system\n- Future energy services bought and sold in more dynamic way, responding to consumer preferences and price signals\n- Networks facilitate customers’ access to different energy markets and services\n- Future pricing arrangements should send efficient signals so DER services deliver the most value to energy system at any point in time, and reward supportive behaviour\n- Moving towards a ‘two-way pricing model is a significant transition, possibly requiring initial network investments\n- These reform considerations need to be staged, and outcomes of ESB Post-2025 market design program will need to be taken into consideration\n\nMarket integration\n\nThe need for integration across post-2025 workstreams – including the market infrastructure\n\nDER market integration: system and infrastructure considerations\n\nMajor changes needed to AEMO market design and operations:\n\n• Forecasting, Metering, Scheduling, Dispatch, SCADA (etc) requirements to enable DER to become active in the wholesale and ESS markets\n\nMajor infrastructure requirements to enable market participation:\n\n• Clear communications, data and interoperability standards and protocols\n• Network monitoring, SCADA, constraint development and communication\n• Visibility at the consumer connection point for aggregators/retailers\n• Aggregator and retailer comms and changes to billing systems\n• ‘Platform’ infrastructure for bidding (VPPs already being trialled on a small scale but will need work to scale and trade across multiple markets/procurement)\n\nConsumer considerations in market integration\n\nNeed to incentivise each DER owner to stay on-market (not to leave the grid), so that the benefits of their investment can be shared with the broader market.\n\nNeed participation models that make it simple for DER to provide services into all markets, and simple for customers to understand the value of making their DER available to the market.\n\nExpose DER to price signals to encourage the optimal DER operation.\n\nAlign risks to those who are best able to manage them.\n\nEven with infrastructure and price signals, consumers may not participate:\n\n- Social science research shows that DER owners will be more likely to respond to non-financial incentives to provide DER services - for social good reasons – but this has not been tested in practice.\n- Commercial offers will require value (above self-consumption) and trust.\n- Consumer experience will be critical to participation – need for robust consumer protections.\n\nOther challenges for DER integration into existing and new markets\n\n- Aggregators for DER participation in the wholesale market are not currently defined in the rules\n- As the possible functionalities for Market Participants become more varied, there is likely to be a need for greater functional flexibility\n- The role of the DNSP in facilitating DER integration into these markets will need further consideration and definition\n- The challenge of creating a contractual model where the DER proponent can sell various DER services across multi-parties (i.e. to achieve value stacking) has not been progressed significantly to date but there is opportunity to do so in the post-2025 project\n\nNested or distribution-level markets:\n\n- The Open Energy Networks projects has left unresolved the issue of distribution-level markets and these require further exploration and definition\n- Best way to resolve this is through trials\n\nMarket integration priorities\n\n• Incorporate DER into p2025 market design\n• Define DER products and services, aggregators and market participation\n• Consider MTR\n• Pilot DER for wholesale, FCAS/ESS (and network services), and via distribution-level markets\n\n‘Critical path’ actions for DER Integration\n\n1. Technical standards rule change and new governance structure and processes\n\n2. Reviewing network responsibilities for DER integration, revenue regulation to optimise the use of DER in distribution networks and network pricing\n\n3. DER integration into Post2025 Market Design Initiatives, including defining DER aggregators in the Rules, MTR, understanding non-financial incentives for household DER owners\n\n4. Design a suite of effective price signals, regulations and incentives to integrate DER into the wholesale, ESS, network services and (where appropriate) local markets/procurement mechanisms.\n\nThe aim by 2025 is:\n\n- enable DER owners to sell DER services into wholesale, ESS and network services markets\n- for DER to not cause any technical system or network operation challenges\n- to have integrated transmission and distribution planning.\n\nDER Integration pathway\n\nMarket\n- Pilot DER for network services, wholesale, FCAS/ESS and via local markets\n- Incorporate DER into p2025 market design\n - Define aggregators and market participants\n - Enable value stacking of DER services (effective and efficient competition)\n - Consider non-financial motivations\n- Accelerate tariff reform and consider future pricing\n\nRegulatory\n- Enhance DNSP requirements for DER integration\n- Enhance DNSP revenue for DER optimisation\n- DNSP system improvements\n - LV/connection point visibility\n - Dynamic operating envelopes\n- Incorporate DER into T&D planning\n- Consider modular networks\n\nTechnical\n- Interoperability/communications/data standards and platform\n- Device and cyber standards\n- New governance arrangements for setting DER technical standards\n</text>\n", "role": "user" }, { "content": " aggregators to see a credible pathway of market reform\n\nPotential Impact of distribution-level markets and dependencies at the local level for market participation – increases complexity for DER integration into markets\n\nWhat are distribution level markets???", "role": "assistant" } ]
Creating Indexes with Microsoft Word v.2, 04.08.2021 Contents 1 Introduction This guideline describes how to mark index entries in Microsoft Word and automatically create an index. In addition, it explains how to create multiple indexes. Microsoft Word offers two ways to mark index entries with XE fields: 1. Manually mark individual words or phrases 2. Automatic mark index entries with the help of a list of terms (concordance file) The first approach marks the index entries within the document using the Mark Entry dialog box. One can read through the manuscript to be indexed or manually search for predetermined search terms. The index entries are then created by hand for the respective index. Alternatively, a concordance file can be created. It is the basis for auto-marking the index entries. This procedure can be used in the following situations: - The index entries are already available as a list. When writing the manuscript, they can be collected into an open concordance file. - There is already a concordance file with normalized search terms. Only an update is necessary. A disadvantage of this second approach is, that Microsoft Word also marks keywords on pages where they are not significant. This is because all places where the search term is mentioned are marked. 2 Manually marking individual words or phrases In principle, the creation of the index should only take place after the completion of the manuscript. This will avoid additional effort. The index does not have to be constantly updated and renewed during the process, but it is created once at the end. Step 1 Index entries are marked with {XE} fields that are not visible in the document itself. Instead, they are formatted as hidden text. To view these fields, first select Display ‣ Hidden Text in Word options (see Fig. 1). Alternatively, you can display "hidden symbols" on the ribbon under Home ‣ Paragraph; select the "Show/Hide ¶" icon (see Fig. 2) or use the key combination Ctrl + . Step 2 In order to mark an index entry, you must first select the corresponding text and use the Mark Index Entry dialog box (Ribbon: References ‣ Index ‣ Mark Entry [see Fig. 3]). Otherwise, the key combination Alt + Shift + X can be used here. When you mark an entry, a Mark Index Entry dialog box appears with the word you selected in the Main entry field. You can then modify this term and the modification will appear in the index while still being linked to the term in the text that you selected. This can be used to modify a term slightly – like changing a plural to a singular – or to link specific terms in the text with a general entry in the index. As an example, figure 4 marks the term "book". This was selected before the dialog box was opened and the term appears automatically in the Main entry field (however, still without the completed subentry "word"). Note: You should change the term to the standard form (normally nominative, singular) that you want to appear in the index. In addition, pay attention to the formatting of the term in the Main entry field, which by default will follow the formatting of the selected term in the text. It must be set to standard font (i.e. not bold or italic) because the formatting is taken over in the index and would otherwise have to be subsequently adjusted with each new index creation. If the index entry is marked without modification, then the manuscript text appears in the index with the current page number. Alternatively, as described previously the Main entry field in the dialog box can be edited directly to change what appears in the index, but the entry will remain anchored to the XE field in the manuscript. Figure 4: Set Index Entry. The Subentry field can, as the name suggests, can be filled with a keyword that will be subordinated to the main entry in the index. For example, the main entry Book can receive the subentry Word (see Fig. 4). With this function, only one subentry can be assigned to each main entry at first. If several subentries are desired, a different subentry must be created for each given main entry, for example Character, Table or Page. 4 \| 13 In the section Options of the dialog box, you can choose between Cross-reference, Current page and Page range. By default, the index entry is referenced to the current page number of the marked term. Cross-reference can be useful if the index entry should refer to another index entry. The default text See can also be replaced with a corresponding term. The Page Range option can be used to link an index entry to a bookmark. Before this, there must a bookmark defined in the document, which typically identifies a specific page range. The Page number format section lets you set the formatting of the page number in the index to Bold and/or Italic. This can be useful if you want to differentiate where index terms appear, for example, using italic for footnotes and bold for tables while regular font indicates material in the main text. Step 3 Click the Mark button to complete the definition of the current index entry. When this is complete, the dialog box for entering other index entries remains open. Thus, for example, additional subentries for the same main entry can be added by typing a new term in the subentry field and clicking Mark again. When the dialog box is no longer needed, click the Cancel button to close it. Figure 5: Example of a marked index entry. When you mark an index entry, it inserts a hidden {XE} field into the document following the text that is selected. These {XE} fields are marked with curly braces {} (see Fig. 5). The text inside the quotation marks represents the entry as it should appear in the index. A subentry is separated from the main term using a colon (example: { XE "main entry:subentry" }). You can manually edit the {XE} fields at any time, and once they are inserted into the document, this is the only way to change. Following the entry in quotation marks, a so-called switch can be integrated to modify the index entry. Selecting the options for bold or italic page numbers in the dialog box results in the switches "\b" and "\i" respectively (example: { XE "main entry:subentry" \b }). Other switches can be added to the {XE} field manually. A table of possible switches is given at the end of this document in section 5.5. In the dialog box, if you instead select the Mark All button, all occurrences of the marked term in the current document will be marked. In addition, when you generate an index, the resulting entry will include every page number where the term appears. There is one exception to the mark all function. It marks only the first occurrence in a paragraph. So, if a term occurs twice in the same paragraph and these appear on separate pages, only the first will be recorded. This is because the second page number for that paragraph does not need to be provided in an index, so there is nothing that needs to be done to change this function. After you have marked an index entry, you can select a new term in the document and click again on the dialog box. The term you have just selected will now appear in the Main entry field and you can modify and mark it as described above. In this way, you can leave the dialog box open and go through the document, marking all of the index terms as you go. 5 \| 13 Step 4 Once you have indexed all the terms, you can hide hidden text again using any of the methods described in Step 2.1. This is necessary because the hidden text include all of the {XE} fields you have inserted, make the document longer and change the pagination. When you hide hidden text, the pagination and also the page count are displayed again as they are in print and the correct page information will be generated when you generate the index. To generate an index from the terms you have marked, follow the menu path: References ‣ Index ‣ Insert Index. Then the field function Index is selected. There are various setting options that can determine how many columns the index should have and whether the subentries should be displayed continuously or indented. Note that a generated index will not be used in typesetting. Instead, the {XE} fields will be taken into the typesetting program and a final index will be generated using the final pagination from the page proofs. Nevertheless, generating an index in MS Word is a good way to check the entries that you have marked. So you can correct any errors. 3 Automatic marking of index entries with the help of a Concordance file Figure 6: Example of a small concordance file. A concordance file is a Microsoft Word document that is used to mark index entries. This Microsoft Word document contains a simple two-column table (see Fig. 6). The left column contains the search terms that are to be automatically marked as index entries. It is important, to make sure that the search terms are displayed exactly as they appear in the target document. This applies not only to the grammatical form (singular, plural, inflections, etc.), also to the case of the terms. The right column includes all entries, as they should appear in the index. If the search term from the left column is to be taken as it is into the index, the right table column can remain free. When introducing a subentry, it is important that the main entry is recorded first followed by a colon and then the then the associated text. The output from figure 6 would thus be: ``` chapter book, # car, # wordplay word, # ``` Note the creation of subentries and the collection of page numbers for "car", and "vehicle" under the index entry "car". Step 1 First display hidden text by one of the methods discussed above: select Display ‣ Hidden Text in Word options (see Fig. 1); select the "Show/Hide ¶" icon on the ribbon under Home ‣ Paragraph (see Fig. 2); or use the key combination Ctrl + . Step 2 To use a concordance file to automatically mark the index terms, follow the path References ‣ Index ‣ Insert Index (see Fig. 7). Step 3 In the Insert Index dialog box, select the AutoMark button (see Fig. 8). This will open another dialog box where you can navigate to and open the concordance file. Word will then automatically index all the terms in the file. If hidden text is already switched on, the target document immediately shows which terms have been included in the index. This can be seen in the {XE} fields that were inserted throughout the document. Step 4 As described above, once you have indexed all the terms, you should turn off hidden text before generating an index from the terms you have marked so that the correct page numbers appear in your index (see Step 2.1). To insert the index, follow the step outlined above in Step 2.4. 4 Marking multiple indexes Step 1 Please follow one of the two above variants to mark the index entries. Step 2 Suppose you have a name index and a subject index. In each index entry (which appears in hidden text as {· XE·" Term"·}), you can insert the switch \f with an identifier for the corresponding index in quotation marks (see Fig. 9). The index identifier can be as simple as a letter, so this can look like: {·XE·"Term"·\f·"a"·} and {·XE·"Term"·\f·"b"·}. You can also name the switch after the index type: {· XE·"Term"·\f·"Name"·} and {· XE·"Term"·\f·"Subject"·}. Note: The dots in the above sample {XE} fields represent the hidden symbols for spaces that appear in the hidden text view, which is the only way to view {XE} fields. Please do not copy the above examples from this document, but enter the switches yourself in Word, using spaces where indicated. Figure 9: Assigning the Switches in the Index Entries. Advice: Once you enter a switch for one index, you might find it goes faster to copy/paste that switch into all of the {XE} fields for that index throughout the document before going on to the next index. This means several passes through the document but require less typing and it can work especially well with entries that are distinctive for one index, such as citations general terms. Step 3 As described above, when you have indexed all the terms, you should turn off hidden text so that the correct page numbers appear in your indexes (see Step 2.1). Step 4 If you want to check your index entries by generating indexes in your Word document, the method for inserting multiple indexes is different from inserting one index. First, place the cursor at the place where you want to create the first index. On the ribbon menu, follow the path Insert ‣ Text ‣ Quick Parts and then select Field. From the field names list, select the name Index. Then click Field Codes. You will see the Advance field properties displayed now. After "INDEX" (which appears automatically), enter a blank space and then the switch for the index you are inserting; ex. 'INDEX \f "a"' (see Fig. 10). Confirm your entry by selecting OK. The named index has now been created. For the other index(es), simply repeat this process for each separate index; the only change is that the switch name must be adjusted accordingly: \f "b", \f "c", \f "d", \f "e", etc. 5 Making basic changes to the indexing 5.1 Search for index entries A search for a specific index entry can be done via the Find and Replace dialog box, which you can open from the basic search function by selecting Advanced find… or Replace… To search for a particular word, such as "form", enter into the search field: ^d XE "form It is important to make sure that there is a space between d and XE and between XE and the quotation mark. Note also that a second quotation mark is not used. It is not necessary to enter the entire term; a few characters are already sufficient. 5.2 Changing index entries To change an index entry after it has been created, you need to manually edit the {XE} field. If the quotation marks are deleted by mistake, they can easily be added again. The changing can include changing the main term between the quotation marks, adding a subentry with a colon (ex. { XE "form:fill in" }), or adding a switch to the entry. 5.3 Updating index entries If one or more index entries have been changed, an update must be performed on the index itself. This is done as follows: - place your cursor anywhere in the index and press the F9 key. This will update all fields in the index. - Alternatively, select the entire document by pressing Ctrl + A (which will thus include the index) and press the F9 key. In order to make sure that all fields are updated before each print operation, the checkbox Update fields before printing can be selected under File ‣ Options ‣ Display ‣ Print Options. 5.4 Delete index entries If an index entry is not needed and should be removed, the entire field including the curly brackets {} must be deleted from the text. To find this index entry in the Word document, use the Search and Replace dialog box as describe above in 5.1. While you can manually delete each {XE} field from the text, you can also remove them with the Replace function by leaving the Replace with field empty. To complete the process for an entire index entry (thus removing all associated {XE} fields), use the Replace All button. 5.5 Overview of field switches for marking index entries 5.6 Overview of field switches for inserting indexes \| Switch \| Description of the switch \| \|---\|---\| \| \b \| Builds an index for the portion of the document marked by the specified bookmark. The field { INDEX \b Select } builds an index for the portion of the document marked by the bookmark "Select". \| \| \c \| Creates an index with multiple columns on a page. The { index \c 2 } field creates a two- column index. You can specify up to four columns. \| \| \d "Separators" \| Used with the \s switch, specifies the characters (up to five) that separate sequence numbers and page numbers. The field { INDEX \s chapter \d ":" } displays page numbers in the format "2:14." A hyphen (-) is used if you omit the \d switch. Enclose the characters in quotation marks. \| \| \e "Separators" \| Specifies the characters (up to five) that separate an index entry and its page number. The { INDEX \e "; " } field displays a result such as "Inserting text; 3" in the index. A comma and space (, ) are used if you omit the \e switch. Enclose the characters in quotation marks. \| \| \f “Identifier” \| Creates an index using only the specified entry type. The index generated by { INDEX \f "a" } includes only entries marked with XE fields such as { XE "Selecting Text" \f "a" }. The default entry type is "I". \| \| \g "Separators" \| Specifies the characters (up to five) that separate a range of pages. Enclose the characters in quotation marks. The default is an en dash (–). The field { INDEX \g " to " } displays page ranges as "Finding text, 3 to 4". \| \| \h "Heading" \| Inserts text formatted with the Index Heading style between alphabetic groups in the index. Enclose the text in quotation marks. The field { INDEX \h "—A—" } displays the appropriate letter before each alphabetic group in the index. To insert a blank line between groups, use empty quotation marks: \h "". \| The second list of switches is taken directly from: https://support.microsoft.com/en-us/office/feldfunktionen-index-feld-adafcf4a-cb30-43f6-85c7743da1635d9e?ui=de-de&rs=de-de&ad=de	<urn:uuid:30ddf4ed-68ea-46b9-b818-a05599d7bbad>	CC-MAIN-2021-43	https://degruyter-live-craftcms-assets.s3.amazonaws.com/docs/authors/DG-Author-Guidelines-Indexing-EN.pdf?mtime=20210921115831&focal=none	2021-10-20T16:22:12+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-43/subset=warc/part-00259-16202947-a809-4711-8221-79ab0a79d5b1.c000.gz.parquet	301,801,089	3,872	eng_Latn	eng_Latn	0.960461	eng_Latn	0.997988	[ "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 63, 1299, 1995, 4152, 7348, 8471, 10019, 10747, 13123, 15196, 17116, 17298 ]	Creating Indexes with Microsoft Word v.2, 04.08.2021 Contents 1 Introduction This guideline describes how to mark index entries in Microsoft Word and automatically create an index. In addition, it explains how to create multiple indexes. Microsoft Word offers two ways to mark index entries with XE fields: 1. Manually mark individual words or phrases 2. Automatic mark index entries with the help of a list of terms (concordance file) The first approach marks the index entries within the document using the Mark Entry dialog box. One can read through the manuscript to be indexed or manually search for predetermined search terms. The index entries are then created by hand for the respective index. Alternatively, a concordance file can be created. It is the basis for auto-marking the index entries. This procedure can be used in the following situations: - The index entries are already available as a list. When writing the manuscript, they can be collected into an open concordance file. - There is already a concordance file with normalized search terms. Only an update is necessary. A disadvantage of this second approach is, that Microsoft Word also marks keywords on pages where they are not significant. This is because all places where the search term is mentioned are marked. 2 Manually marking individual words or phrases In principle, the creation of the index should only take place after the completion of the manuscript. This will avoid additional effort. The index does not have to be constantly updated and renewed during the process, but it is created once at the end. Step 1 Index entries are marked with {XE} fields that are not visible in the document itself. Instead, they are formatted as hidden text. To view these fields, first select Display ‣ Hidden Text in Word options (see Fig. 1). Alternatively, you can display "hidden symbols" on the ribbon under Home ‣ Paragraph; select the "Show/Hide ¶" icon (see Fig. 2) or use the key combination Ctrl + *. Step 2 In order to mark an index entry, you must first select the corresponding text and use the Mark Index Entry dialog box (Ribbon: References ‣ Index ‣ Mark Entry [see Fig. 3]). Otherwise, the key combination Alt + Shift + X can	be used here.	When you mark an entry, a Mark Index Entry dialog box appears with the word you selected in the Main entry field. You can then modify this term and the modification will appear in the index while still being linked to the term in the text that you selected. This can be used to modify a term slightly – like changing a plural to a singular – or to link specific terms in the text with a general entry in the index. As an example, figure 4 marks the term "book". This was selected before the dialog box was opened and the term appears automatically in the Main entry field (however, still without the completed subentry "word"). Note: You should change the term to the standard form (normally nominative, singular) that you want to appear in the index. In addition, pay attention to the formatting of the term in the Main entry field, which by default will follow the formatting of the selected term in the text. It must be set to standard font (i.e. not bold or italic) because the formatting is taken over in the index and would otherwise have to be subsequently adjusted with each new index creation. If the index entry is marked without modification, then the manuscript text appears in the index with the current page number. Alternatively, as described previously the Main entry field in the dialog box can be edited directly to change what appears in the index, but the entry will remain anchored to the XE field in the manuscript. Figure 4: Set Index Entry. The Subentry field can, as the name suggests, can be filled with a keyword that will be subordinated to the main entry in the index. For example, the main entry Book can receive the subentry Word (see Fig. 4). With this function, only one subentry can be assigned to each main entry at first. If several subentries are desired, a different subentry must be created for each given main entry, for example Character, Table or Page. 4 \| 13 In the section Options of the dialog box, you can choose between Cross-reference, Current page and Page range. By default, the index entry is referenced to the current page number of the marked term. Cross-reference can be useful if the index entry should refer to another index entry. The default text See can also be replaced with a corresponding term. The Page Range option can be used to link an index entry to a bookmark. Before this, there must a bookmark defined in the document, which typically identifies a specific page range. The Page number format section lets you set the formatting of the page number in the index to Bold and/or Italic. This can be useful if you want to differentiate where index terms appear, for example, using italic for footnotes and bold for tables while regular font indicates material in the main text. Step 3 Click the Mark button to complete the definition of the current index entry. When this is complete, the dialog box for entering other index entries remains open. Thus, for example, additional subentries for the same main entry can be added by typing a new term in the subentry field and clicking Mark again. When the dialog box is no longer needed, click the Cancel button to close it. Figure 5: Example of a marked index entry. When you mark an index entry, it inserts a hidden {XE} field into the document following the text that is selected. These {XE} fields are marked with curly braces {} (see Fig. 5). The text inside the quotation marks represents the entry as it should appear in the index. A subentry is separated from the main term using a colon (example: { XE "main entry:subentry" }). You can manually edit the {XE} fields at any time, and once they are inserted into the document, this is the only way to change. Following the entry in quotation marks, a so-called switch can be integrated to modify the index entry. Selecting the options for bold or italic page numbers in the dialog box results in the switches "\b" and "\i" respectively (example: { XE "main entry:subentry" \b }). Other switches can be added to the {XE} field manually. A table of possible switches is given at the end of this document in section 5.5. In the dialog box, if you instead select the Mark All button, all occurrences of the marked term in the current document will be marked. In addition, when you generate an index, the resulting entry will include every page number where the term appears. There is one exception to the mark all function. It marks only the first occurrence in a paragraph. So, if a term occurs twice in the same paragraph and these appear on separate pages, only the first will be recorded. This is because the second page number for that paragraph does not need to be provided in an index, so there is nothing that needs to be done to change this function. After you have marked an index entry, you can select a new term in the document and click again on the dialog box. The term you have just selected will now appear in the Main entry field and you can modify and mark it as described above. In this way, you can leave the dialog box open and go through the document, marking all of the index terms as you go. 5 \| 13 Step 4 Once you have indexed all the terms, you can hide hidden text again using any of the methods described in Step 2.1. This is necessary because the hidden text include all of the {XE} fields you have inserted, make the document longer and change the pagination. When you hide hidden text, the pagination and also the page count are displayed again as they are in print and the correct page information will be generated when you generate the index. To generate an index from the terms you have marked, follow the menu path: References ‣ Index ‣ Insert Index. Then the field function Index is selected. There are various setting options that can determine how many columns the index should have and whether the subentries should be displayed continuously or indented. Note that a generated index will not be used in typesetting. Instead, the {XE} fields will be taken into the typesetting program and a final index will be generated using the final pagination from the page proofs. Nevertheless, generating an index in MS Word is a good way to check the entries that you have marked. So you can correct any errors. 3 Automatic marking of index entries with the help of a Concordance file Figure 6: Example of a small concordance file. A concordance file is a Microsoft Word document that is used to mark index entries. This Microsoft Word document contains a simple two-column table (see Fig. 6). The left column contains the search terms that are to be automatically marked as index entries. It is important, to make sure that the search terms are displayed exactly as they appear in the target document. This applies not only to the grammatical form (singular, plural, inflections, etc.), also to the case of the terms. The right column includes all entries, as they should appear in the index. If the search term from the left column is to be taken as it is into the index, the right table column can remain free. When introducing a subentry, it is important that the main entry is recorded first followed by a colon and then the then the associated text. The output from figure 6 would thus be: ``` chapter book, # car, # wordplay word, # ``` Note the creation of subentries and the collection of page numbers for "car", and "vehicle" under the index entry "car". Step 1 First display hidden text by one of the methods discussed above: select Display ‣ Hidden Text in Word options (see Fig. 1); select the "Show/Hide ¶" icon on the ribbon under Home ‣ Paragraph (see Fig. 2); or use the key combination Ctrl + *. Step 2 To use a concordance file to automatically mark the index terms, follow the path References ‣ Index ‣ Insert Index (see Fig. 7). Step 3 In the Insert Index dialog box, select the AutoMark button (see Fig. 8). This will open another dialog box where you can navigate to and open the concordance file. Word will then automatically index all the terms in the file. If hidden text is already switched on, the target document immediately shows which terms have been included in the index. This can be seen in the {XE} fields that were inserted throughout the document. Step 4 As described above, once you have indexed all the terms, you should turn off hidden text before generating an index from the terms you have marked so that the correct page numbers appear in your index (see Step 2.1). To insert the index, follow the step outlined above in Step 2.4. 4 Marking multiple indexes Step 1 Please follow one of the two above variants to mark the index entries. Step 2 Suppose you have a name index and a subject index. In each index entry (which appears in hidden text as {· XE·" Term"·}), you can insert the switch \f with an identifier for the corresponding index in quotation marks (see Fig. 9). The index identifier can be as simple as a letter, so this can look like: {·XE·"Term"·\f·"a"·} and {·XE·"Term"·\f·"b"·}. You can also name the switch after the index type: {· XE·"Term"·\f·"Name"·} and {· XE·"Term"·\f·"Subject"·}. Note: The dots in the above sample {XE} fields represent the hidden symbols for spaces that appear in the hidden text view, which is the only way to view {XE} fields. Please do not copy the above examples from this document, but enter the switches yourself in Word, using spaces where indicated. Figure 9: Assigning the Switches in the Index Entries. Advice: Once you enter a switch for one index, you might find it goes faster to copy/paste that switch into all of the {XE} fields for that index throughout the document before going on to the next index. This means several passes through the document but require less typing and it can work especially well with entries that are distinctive for one index, such as citations general terms. Step 3 As described above, when you have indexed all the terms, you should turn off hidden text so that the correct page numbers appear in your indexes (see Step 2.1). Step 4 If you want to check your index entries by generating indexes in your Word document, the method for inserting multiple indexes is different from inserting one index. First, place the cursor at the place where you want to create the first index. On the ribbon menu, follow the path Insert ‣ Text ‣ Quick Parts and then select Field. From the field names list, select the name Index. Then click Field Codes. You will see the Advance field properties displayed now. After "INDEX" (which appears automatically), enter a blank space and then the switch for the index you are inserting; ex. 'INDEX \f "a"' (see Fig. 10). Confirm your entry by selecting OK. The named index has now been created. For the other index(es), simply repeat this process for each separate index; the only change is that the switch name must be adjusted accordingly: \f "b", \f "c", \f "d", \f "e", etc. 5 Making basic changes to the indexing 5.1 Search for index entries A search for a specific index entry can be done via the Find and Replace dialog box, which you can open from the basic search function by selecting Advanced find… or Replace… To search for a particular word, such as "form", enter into the search field: ^d XE "form It is important to make sure that there is a space between d and XE and between XE and the quotation mark. Note also that a second quotation mark is not used. It is not necessary to enter the entire term; a few characters are already sufficient. 5.2 Changing index entries To change an index entry after it has been created, you need to manually edit the {XE} field. If the quotation marks are deleted by mistake, they can easily be added again. The changing can include changing the main term between the quotation marks, adding a subentry with a colon (ex. { XE "form:fill in" }), or adding a switch to the entry. 5.3 Updating index entries If one or more index entries have been changed, an update must be performed on the index itself. This is done as follows: - place your cursor anywhere in the index and press the F9 key. This will update all fields in the index. - Alternatively, select the entire document by pressing Ctrl + A (which will thus include the index) and press the F9 key. In order to make sure that all fields are updated before each print operation, the checkbox Update fields before printing can be selected under File ‣ Options ‣ Display ‣ Print Options. 5.4 Delete index entries If an index entry is not needed and should be removed, the entire field including the curly brackets {} must be deleted from the text. To find this index entry in the Word document, use the Search and Replace dialog box as describe above in 5.1. While you can manually delete each {XE} field from the text, you can also remove them with the Replace function by leaving the Replace with field empty. To complete the process for an entire index entry (thus removing all associated {XE} fields), use the Replace All button. 5.5 Overview of field switches for marking index entries 5.6 Overview of field switches for inserting indexes \| Switch \| Description of the switch \| \|---\|---\| \| \b \| Builds an index for the portion of the document marked by the specified bookmark. The field { INDEX \b Select } builds an index for the portion of the document marked by the bookmark "Select". \| \| \c \| Creates an index with multiple columns on a page. The { index \c 2 } field creates a two- column index. You can specify up to four columns. \| \| \d "Separators" \| Used with the \s switch, specifies the characters (up to five) that separate sequence numbers and page numbers. The field { INDEX \s chapter \d ":" } displays page numbers in the format "2:14." A hyphen (-) is used if you omit the \d switch. Enclose the characters in quotation marks. \| \| \e "Separators" \| Specifies the characters (up to five) that separate an index entry and its page number. The { INDEX \e "; " } field displays a result such as "Inserting text; 3" in the index. A comma and space (, ) are used if you omit the \e switch. Enclose the characters in quotation marks. \| \| \f “Identifier” \| Creates an index using only the specified entry type. The index generated by { INDEX \f "a" } includes only entries marked with XE fields such as { XE "Selecting Text" \f "a" }. The default entry type is "I". \| \| \g "Separators" \| Specifies the characters (up to five) that separate a range of pages. Enclose the characters in quotation marks. The default is an en dash (–). The field { INDEX \g " to " } displays page ranges as "Finding text, 3 to 4". \| \| \h "Heading" \| Inserts text formatted with the Index Heading style between alphabetic groups in the index. Enclose the text in quotation marks. The field { INDEX \h "—A—" } displays the appropriate letter before each alphabetic group in the index. To insert a blank line between groups, use empty quotation marks: \h "". \| The second list of switches is taken directly from: https://support.microsoft.com/en-us/office/feldfunktionen-index-feld-adafcf4a-cb30-43f6-85c7743da1635d9e?ui=de-de&rs=de-de&ad=de	2,229	end_of_word	can	remove_one_sentence	<url> https://degruyter-live-craftcms-assets.s3.amazonaws.com/docs/authors/DG-Author-Guidelines-Indexing-EN.pdf?mtime=20210921115831&focal=none </url> <text> Creating Indexes with Microsoft Word v.2, 04.08.2021 Contents 1 Introduction This guideline describes how to mark index entries in Microsoft Word and automatically create an index. In addition, it explains how to create multiple indexes. Microsoft Word offers two ways to mark index entries with XE fields: 1. Manually mark individual words or phrases 2. Automatic mark index entries with the help of a list of terms (concordance file) The first approach marks the index entries within the document using the Mark Entry dialog box. One can read through the manuscript to be indexed or manually search for predetermined search terms. The index entries are then created by hand for the respective index. Alternatively, a concordance file can be created. It is the basis for auto-marking the index entries. This procedure can be used in the following situations: - The index entries are already available as a list. When writing the manuscript, they can be collected into an open concordance file. - There is already a concordance file with normalized search terms. Only an update is necessary. A disadvantage of this second approach is, that Microsoft Word also marks keywords on pages where they are not significant. This is because all places where the search term is mentioned are marked. 2 Manually marking individual words or phrases In principle, the creation of the index should only take place after the completion of the manuscript. This will avoid additional effort. The index does not have to be constantly updated and renewed during the process, but it is created once at the end. Step 1 Index entries are marked with {XE} fields that are not visible in the document itself. Instead, they are formatted as hidden text. To view these fields, first select Display ‣ Hidden Text in Word options (see Fig. 1). Alternatively, you can display "hidden symbols" on the ribbon under Home ‣ Paragraph; select the "Show/Hide ¶" icon (see Fig. 2) or use the key combination Ctrl + . Step 2 In order to mark an index entry, you must first select the corresponding text and use the Mark Index Entry dialog box (Ribbon: References ‣ Index ‣ Mark Entry [see Fig. 3]). Otherwise, the key combination Alt + Shift + X can<cursor_is_here> When you mark an entry, a Mark Index Entry dialog box appears with the word you selected in the Main entry field. You can then modify this term and the modification will appear in the index while still being linked to the term in the text that you selected. This can be used to modify a term slightly – like changing a plural to a singular – or to link specific terms in the text with a general entry in the index. As an example, figure 4 marks the term "book". This was selected before the dialog box was opened and the term appears automatically in the Main entry field (however, still without the completed subentry "word"). Note: You should change the term to the standard form (normally nominative, singular) that you want to appear in the index. In addition, pay attention to the formatting of the term in the Main entry field, which by default will follow the formatting of the selected term in the text. It must be set to standard font (i.e. not bold or italic) because the formatting is taken over in the index and would otherwise have to be subsequently adjusted with each new index creation. If the index entry is marked without modification, then the manuscript text appears in the index with the current page number. Alternatively, as described previously the Main entry field in the dialog box can be edited directly to change what appears in the index, but the entry will remain anchored to the XE field in the manuscript. Figure 4: Set Index Entry. The Subentry field can, as the name suggests, can be filled with a keyword that will be subordinated to the main entry in the index. For example, the main entry Book can receive the subentry Word (see Fig. 4). With this function, only one subentry can be assigned to each main entry at first. If several subentries are desired, a different subentry must be created for each given main entry, for example Character, Table or Page. 4 \| 13 In the section Options of the dialog box, you can choose between Cross-reference, Current page and Page range. By default, the index entry is referenced to the current page number of the marked term. Cross-reference can be useful if the index entry should refer to another index entry. The default text See can also be replaced with a corresponding term. The Page Range option can be used to link an index entry to a bookmark. Before this, there must a bookmark defined in the document, which typically identifies a specific page range. The Page number format section lets you set the formatting of the page number in the index to Bold and/or Italic. This can be useful if you want to differentiate where index terms appear, for example, using italic for footnotes and bold for tables while regular font indicates material in the main text. Step 3 Click the Mark button to complete the definition of the current index entry. When this is complete, the dialog box for entering other index entries remains open. Thus, for example, additional subentries for the same main entry can be added by typing a new term in the subentry field and clicking Mark again. When the dialog box is no longer needed, click the Cancel button to close it. Figure 5: Example of a marked index entry. When you mark an index entry, it inserts a hidden {XE} field into the document following the text that is selected. These {XE} fields are marked with curly braces {} (see Fig. 5). The text inside the quotation marks represents the entry as it should appear in the index. A subentry is separated from the main term using a colon (example: { XE "main entry:subentry" }). You can manually edit the {XE} fields at any time, and once they are inserted into the document, this is the only way to change. Following the entry in quotation marks, a so-called switch can be integrated to modify the index entry. Selecting the options for bold or italic page numbers in the dialog box results in the switches "\b" and "\i" respectively (example: { XE "main entry:subentry" \b }). Other switches can be added to the {XE} field manually. A table of possible switches is given at the end of this document in section 5.5. In the dialog box, if you instead select the Mark All button, all occurrences of the marked term in the current document will be marked. In addition, when you generate an index, the resulting entry will include every page number where the term appears. There is one exception to the mark all function. It marks only the first occurrence in a paragraph. So, if a term occurs twice in the same paragraph and these appear on separate pages, only the first will be recorded. This is because the second page number for that paragraph does not need to be provided in an index, so there is nothing that needs to be done to change this function. After you have marked an index entry, you can select a new term in the document and click again on the dialog box. The term you have just selected will now appear in the Main entry field and you can modify and mark it as described above. In this way, you can leave the dialog box open and go through the document, marking all of the index terms as you go. 5 \| 13 Step 4 Once you have indexed all the terms, you can hide hidden text again using any of the methods described in Step 2.1. This is necessary because the hidden text include all of the {XE} fields you have inserted, make the document longer and change the pagination. When you hide hidden text, the pagination and also the page count are displayed again as they are in print and the correct page information will be generated when you generate the index. To generate an index from the terms you have marked, follow the menu path: References ‣ Index ‣ Insert Index. Then the field function Index is selected. There are various setting options that can determine how many columns the index should have and whether the subentries should be displayed continuously or indented. Note that a generated index will not be used in typesetting. Instead, the {XE} fields will be taken into the typesetting program and a final index will be generated using the final pagination from the page proofs. Nevertheless, generating an index in MS Word is a good way to check the entries that you have marked. So you can correct any errors. 3 Automatic marking of index entries with the help of a Concordance file Figure 6: Example of a small concordance file. A concordance file is a Microsoft Word document that is used to mark index entries. This Microsoft Word document contains a simple two-column table (see Fig. 6). The left column contains the search terms that are to be automatically marked as index entries. It is important, to make sure that the search terms are displayed exactly as they appear in the target document. This applies not only to the grammatical form (singular, plural, inflections, etc.), also to the case of the terms. The right column includes all entries, as they should appear in the index. If the search term from the left column is to be taken as it is into the index, the right table column can remain free. When introducing a subentry, it is important that the main entry is recorded first followed by a colon and then the then the associated text. The output from figure 6 would thus be: ``` chapter book, # car, # wordplay word, # ``` Note the creation of subentries and the collection of page numbers for "car", and "vehicle" under the index entry "car". Step 1 First display hidden text by one of the methods discussed above: select Display ‣ Hidden Text in Word options (see Fig. 1); select the "Show/Hide ¶" icon on the ribbon under Home ‣ Paragraph (see Fig. 2); or use the key combination Ctrl + . Step 2 To use a concordance file to automatically mark the index terms, follow the path References ‣ Index ‣ Insert Index (see Fig. 7). Step 3 In the Insert Index dialog box, select the AutoMark button (see Fig. 8). This will open another dialog box where you can navigate to and open the concordance file. Word will then automatically index all the terms in the file. If hidden text is already switched on, the target document immediately shows which terms have been included in the index. This can be seen in the {XE} fields that were inserted throughout the document. Step 4 As described above, once you have indexed all the terms, you should turn off hidden text before generating an index from the terms you have marked so that the correct page numbers appear in your index (see Step 2.1). To insert the index, follow the step outlined above in Step 2.4. 4 Marking multiple indexes Step 1 Please follow one of the two above variants to mark the index entries. Step 2 Suppose you have a name index and a subject index. In each index entry (which appears in hidden text as {· XE·" Term"·}), you can insert the switch \f with an identifier for the corresponding index in quotation marks (see Fig. 9). The index identifier can be as simple as a letter, so this can look like: {·XE·"Term"·\f·"a"·} and {·XE·"Term"·\f·"b"·}. You can also name the switch after the index type: {· XE·"Term"·\f·"Name"·} and {· XE·"Term"·\f·"Subject"·}. Note: The dots in the above sample {XE} fields represent the hidden symbols for spaces that appear in the hidden text view, which is the only way to view {XE} fields. Please do not copy the above examples from this document, but enter the switches yourself in Word, using spaces where indicated. Figure 9: Assigning the Switches in the Index Entries. Advice: Once you enter a switch for one index, you might find it goes faster to copy/paste that switch into all of the {XE} fields for that index throughout the document before going on to the next index. This means several passes through the document but require less typing and it can work especially well with entries that are distinctive for one index, such as citations general terms. Step 3 As described above, when you have indexed all the terms, you should turn off hidden text so that the correct page numbers appear in your indexes (see Step 2.1). Step 4 If you want to check your index entries by generating indexes in your Word document, the method for inserting multiple indexes is different from inserting one index. First, place the cursor at the place where you want to create the first index. On the ribbon menu, follow the path Insert ‣ Text ‣ Quick Parts and then select Field. From the field names list, select the name Index. Then click Field Codes. You will see the Advance field properties displayed now. After "INDEX" (which appears automatically), enter a blank space and then the switch for the index you are inserting; ex. 'INDEX \f "a"' (see Fig. 10). Confirm your entry by selecting OK. The named index has now been created. For the other index(es), simply repeat this process for each separate index; the only change is that the switch name must be adjusted accordingly: \f "b", \f "c", \f "d", \f "e", etc. 5 Making basic changes to the indexing 5.1 Search for index entries A search for a specific index entry can be done via the Find and Replace dialog box, which you can open from the basic search function by selecting Advanced find… or Replace… To search for a particular word, such as "form", enter into the search field: ^d XE "form It is important to make sure that there is a space between d and XE and between XE and the quotation mark. Note also that a second quotation mark is not used. It is not necessary to enter the entire term; a few characters are already sufficient. 5.2 Changing index entries To change an index entry after it has been created, you need to manually edit the {XE} field. If the quotation marks are deleted by mistake, they can easily be added again. The changing can include changing the main term between the quotation marks, adding a subentry with a colon (ex. { XE "form:fill in" }), or adding a switch to the entry. 5.3 Updating index entries If one or more index entries have been changed, an update must be performed on the index itself. This is done as follows: - place your cursor anywhere in the index and press the F9 key. This will update all fields in the index. - Alternatively, select the entire document by pressing Ctrl + A (which will thus include the index) and press the F9 key. In order to make sure that all fields are updated before each print operation, the checkbox Update fields before printing can be selected under File ‣ Options ‣ Display ‣ Print Options. 5.4 Delete index entries If an index entry is not needed and should be removed, the entire field including the curly brackets {} must be deleted from the text. To find this index entry in the Word document, use the Search and Replace dialog box as describe above in 5.1. While you can manually delete each {XE} field from the text, you can also remove them with the Replace function by leaving the Replace with field empty. To complete the process for an entire index entry (thus removing all associated {XE} fields), use the Replace All button. 5.5 Overview of field switches for marking index entries 5.6 Overview of field switches for inserting indexes \| Switch \| Description of the switch \| \|---\|---\| \| \b \| Builds an index for the portion of the document marked by the specified bookmark. The field { INDEX \b Select } builds an index for the portion of the document marked by the bookmark "Select". \| \| \c \| Creates an index with multiple columns on a page. The { index \c 2 } field creates a two- column index. You can specify up to four columns. \| \| \d "Separators" \| Used with the \s switch, specifies the characters (up to five) that separate sequence numbers and page numbers. The field { INDEX \s chapter \d ":" } displays page numbers in the format "2:14." A hyphen (-) is used if you omit the \d switch. Enclose the characters in quotation marks. \| \| \e "Separators" \| Specifies the characters (up to five) that separate an index entry and its page number. The { INDEX \e "; " } field displays a result such as "Inserting text; 3" in the index. A comma and space (, ) are used if you omit the \e switch. Enclose the characters in quotation marks. \| \| \f “Identifier” \| Creates an index using only the specified entry type. The index generated by { INDEX \f "a" } includes only entries marked with XE fields such as { XE "Selecting Text" \f "a" }. The default entry type is "I". \| \| \g "Separators" \| Specifies the characters (up to five) that separate a range of pages. Enclose the characters in quotation marks. The default is an en dash (–). The field { INDEX \g " to " } displays page ranges as "Finding text, 3 to 4". \| \| \h "Heading" \| Inserts text formatted with the Index Heading style between alphabetic groups in the index. Enclose the text in quotation marks. The field { INDEX \h "—A—" } displays the appropriate letter before each alphabetic group in the index. To insert a blank line between groups, use empty quotation marks: \h "". \| The second list of switches is taken directly from: https://support.microsoft.com/en-us/office/feldfunktionen-index-feld-adafcf4a-cb30-43f6-85c7743da1635d9e?ui=de-de&rs=de-de&ad=de </text>	[ { "content": "<url>\nhttps://degruyter-live-craftcms-assets.s3.amazonaws.com/docs/authors/DG-Author-Guidelines-Indexing-EN.pdf?mtime=20210921115831&focal=none\n</url>\n<text>\nCreating Indexes with Microsoft Word\n\nv.2, 04.08.2021\n\nContents\n\n1 Introduction\n\nThis guideline describes how to mark index entries in Microsoft Word and automatically create an index. In addition, it explains how to create multiple indexes.\n\nMicrosoft Word offers two ways to mark index entries with XE fields:\n\n1. Manually mark individual words or phrases\n2. Automatic mark index entries with the help of a list of terms (concordance file)\n\nThe first approach marks the index entries within the document using the Mark Entry dialog box. One can read through the manuscript to be indexed or manually search for predetermined search terms. The index entries are then created by hand for the respective index. Alternatively, a concordance file can be created. It is the basis for auto-marking the index entries. This procedure can be used in the following situations:\n\n- The index entries are already available as a list. When writing the manuscript, they can be collected into an open concordance file.\n- There is already a concordance file with normalized search terms. Only an update is necessary.\n\nA disadvantage of this second approach is, that Microsoft Word also marks keywords on pages where they are not significant. This is because all places where the search term is mentioned are marked.\n\n2 Manually marking individual words or phrases\n\nIn principle, the creation of the index should only take place after the completion of the manuscript. This will avoid additional effort. The index does not have to be constantly updated and renewed during the process, but it is created once at the end.\n\nStep 1\n\nIndex entries are marked with {XE} fields that are not visible in the document itself. Instead, they are formatted as hidden text. To view these fields, first select Display ‣ Hidden Text in Word options (see Fig. 1). Alternatively, you can display \"hidden symbols\" on the ribbon under Home ‣ Paragraph; select the \"Show/Hide ¶\" icon (see Fig. 2) or use the key combination Ctrl + .\n\nStep 2\n\nIn order to mark an index entry, you must first select the corresponding text and use the Mark Index Entry dialog box (Ribbon: References ‣ Index ‣ Mark Entry [see Fig. 3]). Otherwise, the key combination Alt + Shift + X can<cursor_is_here>\n\nWhen you mark an entry, a Mark Index Entry dialog box appears with the word you selected in the Main entry field. You can then modify this term and the modification will appear in the index while still being linked to the term in the text that you selected. This can be used to modify a term slightly – like changing a plural to a singular – or to link specific terms in the text with a general entry in the index.\n\nAs an example, figure 4 marks the term \"book\". This was selected before the dialog box was opened and the term appears automatically in the Main entry field (however, still without the completed subentry \"word\").\n\nNote: You should change the term to the standard form (normally nominative, singular) that you want to appear in the index. In addition, pay attention to the formatting of the term in the Main entry field, which by default will follow the formatting of the selected term in the text. It must be set to standard font (i.e. not bold or italic) because the formatting is taken over in the index and would otherwise have to be subsequently adjusted with each new index creation.\n\nIf the index entry is marked without modification, then the manuscript text appears in the index with the current page number. Alternatively, as described previously the Main entry field in the dialog box can be edited directly to change what appears in the index, but the entry will remain anchored to the XE field in the manuscript.\n\nFigure 4: Set Index Entry.\n\nThe Subentry field can, as the name suggests, can be filled with a keyword that will be subordinated to the main entry in the index. For example, the main entry Book can receive the subentry Word (see Fig. 4). With this function, only one subentry can be assigned to each main entry at first. If several subentries are desired, a different subentry must be created for each given main entry, for example Character, Table or Page.\n\n4 \| 13\n\nIn the section Options of the dialog box, you can choose between Cross-reference, Current page and Page range. By default, the index entry is referenced to the current page number of the marked term. Cross-reference can be useful if the index entry should refer to another index entry. The default text See can also be replaced with a corresponding term. The Page Range option can be used to link an index entry to a bookmark. Before this, there must a bookmark defined in the document, which typically identifies a specific page range.\n\nThe Page number format section lets you set the formatting of the page number in the index to Bold and/or Italic. This can be useful if you want to differentiate where index terms appear, for example, using italic for footnotes and bold for tables while regular font indicates material in the main text.\n\nStep 3\n\nClick the Mark button to complete the definition of the current index entry. When this is complete, the dialog box for entering other index entries remains open. Thus, for example, additional subentries for the same main entry can be added by typing a new term in the subentry field and clicking Mark again. When the dialog box is no longer needed, click the Cancel button to close it.\n\nFigure 5: Example of a marked index entry.\n\nWhen you mark an index entry, it inserts a hidden {XE} field into the document following the text that is selected. These {XE} fields are marked with curly braces {} (see Fig. 5). The text inside the quotation marks represents the entry as it should appear in the index. A subentry is separated from the main term using a colon (example: { XE \"main entry:subentry\" }). You can manually edit the {XE} fields at any time, and once they are inserted into the document, this is the only way to change.\n\nFollowing the entry in quotation marks, a so-called switch can be integrated to modify the index entry. Selecting the options for bold or italic page numbers in the dialog box results in the switches \"\\b\" and \"\\i\" respectively (example: { XE \"main entry:subentry\" \\b }). Other switches can be added to the {XE} field manually. A table of possible switches is given at the end of this document in section 5.5.\n\nIn the dialog box, if you instead select the Mark All button, all occurrences of the marked term in the current document will be marked. In addition, when you generate an index, the resulting entry will include every page number where the term appears.\n\nThere is one exception to the mark all function. It marks only the first occurrence in a paragraph. So, if a term occurs twice in the same paragraph and these appear on separate pages, only the first will be recorded. This is because the second page number for that paragraph does not need to be provided in an index, so there is nothing that needs to be done to change this function.\n\nAfter you have marked an index entry, you can select a new term in the document and click again on the dialog box. The term you have just selected will now appear in the Main entry field and you can modify and mark it as described above. In this way, you can leave the dialog box open and go through the document, marking all of the index terms as you go.\n\n5 \| 13\n\nStep 4\n\nOnce you have indexed all the terms, you can hide hidden text again using any of the methods described in Step 2.1. This is necessary because the hidden text include all of the {XE} fields you have inserted, make the document longer and change the pagination. When you hide hidden text, the pagination and also the page count are displayed again as they are in print and the correct page information will be generated when you generate the index.\n\nTo generate an index from the terms you have marked, follow the menu path: References ‣ Index ‣ Insert Index. Then the field function Index is selected. There are various setting options that can determine how many columns the index should have and whether the subentries should be displayed continuously or indented.\n\nNote that a generated index will not be used in typesetting. Instead, the {XE} fields will be taken into the typesetting program and a final index will be generated using the final pagination from the page proofs. Nevertheless, generating an index in MS Word is a good way to check the entries that you have marked. So you can correct any errors.\n\n3 Automatic marking of index entries with the help of a Concordance file\n\nFigure 6: Example of a small concordance file.\n\nA concordance file is a Microsoft Word document that is used to mark index entries. This Microsoft Word document contains a simple two-column table (see Fig. 6). The left column contains the search terms that are to be automatically marked as index entries. It is important, to make sure that the search terms are displayed exactly as they appear in the target document. This applies not only to the grammatical form (singular, plural, inflections, etc.), also to the case of the terms. The right column includes all entries, as they should appear in the index. If the search term from the left column is to be taken as it is into the index, the right table column can remain free. When introducing a subentry, it is important that the main entry is recorded first followed by a colon and then the then the associated text.\n\nThe output from figure 6 would thus be:\n\n```\nchapter book, # car, # wordplay word, #\n```\n\nNote the creation of subentries and the collection of page numbers for \"car\", and \"vehicle\" under the index entry \"car\".\n\nStep 1\n\nFirst display hidden text by one of the methods discussed above: select Display ‣ Hidden Text in Word options (see Fig. 1); select the \"Show/Hide ¶\" icon on the ribbon under Home ‣ Paragraph (see Fig. 2); or use the key combination Ctrl + .\n\nStep 2\n\nTo use a concordance file to automatically mark the index terms, follow the path References ‣ Index ‣ Insert Index (see Fig. 7).\n\nStep 3\n\nIn the Insert Index dialog box, select the AutoMark button (see Fig. 8). This will open another dialog box where you can navigate to and open the concordance file. Word will then automatically index all the terms in the file. If hidden text is already switched on, the target document immediately shows which terms have been included in the index. This can be seen in the {XE} fields that were inserted throughout the document.\n\nStep 4\n\nAs described above, once you have indexed all the terms, you should turn off hidden text before generating an index from the terms you have marked so that the correct page numbers appear in your index (see Step 2.1). To insert the index, follow the step outlined above in Step 2.4.\n\n4 Marking multiple indexes\n\nStep 1\n\nPlease follow one of the two above variants to mark the index entries.\n\nStep 2\n\nSuppose you have a name index and a subject index. In each index entry (which appears in hidden text as {· XE·\" Term\"·}), you can insert the switch \\f with an identifier for the corresponding index in quotation marks (see Fig. 9). The index identifier can be as simple as a letter, so this can look like: {·XE·\"Term\"·\\f·\"a\"·} and {·XE·\"Term\"·\\f·\"b\"·}. You can also name the switch after the index type: {· XE·\"Term\"·\\f·\"Name\"·} and {· XE·\"Term\"·\\f·\"Subject\"·}.\n\nNote: The dots in the above sample {XE} fields represent the hidden symbols for spaces that appear in the hidden text view, which is the only way to view {XE} fields. Please do not copy the above examples from this document, but enter the switches yourself in Word, using spaces where indicated.\n\nFigure 9: Assigning the Switches in the Index Entries.\n\nAdvice: Once you enter a switch for one index, you might find it goes faster to copy/paste that switch into all of the {XE} fields for that index throughout the document before going on to the next index. This means several passes through the document but require less typing and it can work especially well with entries that are distinctive for one index, such as citations general terms.\n\nStep 3\n\nAs described above, when you have indexed all the terms, you should turn off hidden text so that the correct page numbers appear in your indexes (see Step 2.1).\n\nStep 4\n\nIf you want to check your index entries by generating indexes in your Word document, the method for inserting multiple indexes is different from inserting one index.\n\nFirst, place the cursor at the place where you want to create the first index. On the ribbon menu, follow the path Insert ‣ Text ‣ Quick Parts and then select Field. From the field names list, select the name Index. Then click Field Codes. You will see the Advance field properties displayed now. After \"INDEX\" (which appears automatically), enter a blank space and then the switch for the index you are inserting; ex. 'INDEX \\f \"a\"' (see Fig. 10). Confirm your entry by selecting OK. The named index has now been created.\n\nFor the other index(es), simply repeat this process for each separate index; the only change is that the switch name must be adjusted accordingly: \\f \"b\", \\f \"c\", \\f \"d\", \\f \"e\", etc.\n\n5 Making basic changes to the indexing\n\n5.1 Search for index entries\n\nA search for a specific index entry can be done via the Find and Replace dialog box, which you can open from the basic search function by selecting Advanced find… or Replace… To search for a particular word, such as \"form\", enter into the search field:\n\n^d XE \"form\n\nIt is important to make sure that there is a space between d and XE and between XE and the quotation mark. Note also that a second quotation mark is not used. It is not necessary to enter the entire term; a few characters are already sufficient.\n\n5.2 Changing index entries\n\nTo change an index entry after it has been created, you need to manually edit the {XE} field. If the quotation marks are deleted by mistake, they can easily be added again. The changing can include changing the main term between the quotation marks, adding a subentry with a colon (ex. { XE \"form:fill in\" }), or adding a switch to the entry.\n\n5.3 Updating index entries\n\nIf one or more index entries have been changed, an update must be performed on the index itself. This is done as follows:\n\n- place your cursor anywhere in the index and press the F9 key. This will update all fields in the index.\n- Alternatively, select the entire document by pressing Ctrl + A (which will thus include the index) and press the F9 key.\n\nIn order to make sure that all fields are updated before each print operation, the checkbox Update fields before printing can be selected under File ‣ Options ‣ Display ‣ Print Options.\n\n5.4 Delete index entries\n\nIf an index entry is not needed and should be removed, the entire field including the curly brackets {} must be deleted from the text. To find this index entry in the Word document, use the Search and Replace dialog box as describe above in 5.1.\n\nWhile you can manually delete each {XE} field from the text, you can also remove them with the Replace function by leaving the Replace with field empty. To complete the process for an entire index entry (thus removing all associated {XE} fields), use the Replace All button.\n\n5.5 Overview of field switches for marking index entries\n\n5.6 Overview of field switches for inserting indexes\n\n\| Switch \| Description of the switch \|\n\|---\|---\|\n\| \\b \| Builds an index for the portion of the document marked by the specified bookmark. The field { INDEX \\b Select } builds an index for the portion of the document marked by the bookmark \"Select\". \|\n\| \\c \| Creates an index with multiple columns on a page. The { index \\c 2 } field creates a two- column index. You can specify up to four columns. \|\n\| \\d \"Separators\" \| Used with the \\s switch, specifies the characters (up to five) that separate sequence numbers and page numbers. The field { INDEX \\s chapter \\d \":\" } displays page numbers in the format \"2:14.\" A hyphen (-) is used if you omit the \\d switch. Enclose the characters in quotation marks. \|\n\| \\e \"Separators\" \| Specifies the characters (up to five) that separate an index entry and its page number. The { INDEX \\e \"; \" } field displays a result such as \"Inserting text; 3\" in the index. A comma and space (, ) are used if you omit the \\e switch. Enclose the characters in quotation marks. \|\n\| \\f “Identifier” \| Creates an index using only the specified entry type. The index generated by { INDEX \\f \"a\" } includes only entries marked with XE fields such as { XE \"Selecting Text\" \\f \"a\" }. The default entry type is \"I\". \|\n\| \\g \"Separators\" \| Specifies the characters (up to five) that separate a range of pages. Enclose the characters in quotation marks. The default is an en dash (–). The field { INDEX \\g \" to \" } displays page ranges as \"Finding text, 3 to 4\". \|\n\| \\h \"Heading\" \| Inserts text formatted with the Index Heading style between alphabetic groups in the index. Enclose the text in quotation marks. The field { INDEX \\h \"—A—\" } displays the appropriate letter before each alphabetic group in the index. To insert a blank line between groups, use empty quotation marks: \\h \"\". \|\n\nThe second list of switches is taken directly from: https://support.microsoft.com/en-us/office/feldfunktionen-index-feld-adafcf4a-cb30-43f6-85c7743da1635d9e?ui=de-de&rs=de-de&ad=de\n</text>\n", "role": "user" }, { "content": " be used here.", "role": "assistant" } ]
STOPPING COVID-19: SHORT-TERM ACTIONS FOR LONG-TERM IMPACT MARCH 2020 STOPPING COVID-19: SHORT-TERM ACTIONS FOR LONG-TERM IMPACT MITRE's mission-driven teams are dedicated to solving problems for a safer world. Through our publicprivate partnerships and federally funded R&D centers, we work across government and in partnership with industry to tackle challenges to the safety, stability, and well-being of our nation. This memo is put together by MITRE's infectious disease analytics team, which projected the trajectory and consequences of the Ebola outbreak, as well as other epidemiological events. We base our recommendations on quantitative analysis and modeling developed for prior epidemics, yet tailored and advanced for COVID-19. * The COVID-19 pandemic presents an imminent and severe threat to the lives of our citizens, the American healthcare system, and the economy. The purpose of this paper is to recommend measures that U.S. leaders can and should take right now to limit the course of COVID-19. * National, state, and local leaders can and must institute significant social distancing through Non-Pharmaceutical Interventions (NPIs) in order to reduce the spread of COVID-19. * We believe that we need to reduce the human-to-human contact rate of Americans by 90 percent to stop this epidemic. * The emergency policies outlined in this brief are essential for the health and economic security of U.S. citizens. While they may appear painful, costly, and intrusive, these measures are critically important to suppress, and eventually eliminate, the spread of COVID-19 among Americans. WHY IS AGGRESSIVE AND MULTI-FACETED SOCIAL DISTANCING CRITICAL RIGHT NOW? Without social distancing, the rapidly escalating COVID-19 infection rate in the United States will result in significant morbidity and mortality for a large percentage of American citizens within months. As of March 18, 2020, there were more than 7,600 confirmed infections in the United States. The rate of increase in domestic cases (which varies somewhat from day-to-day depending upon how you measure) is now estimated to be in the range of 25 to 40 percent per day near to or eclipsing the alarming rates of case growth occurring in France and Italy, where governments have recently instituted strict social distancing actions to prevent further transmission. Our work suggests that without significant social distancing in the United States, the COVID-19 virus could infect millions within months. We believe that U.S. case counts are likely underrepresented due to an inadequate domestic testing infrastructure; further, as testing accelerates, the number of confirmed cases will jump. Some efforts at social distancing are taking place in the form of select state-wide school closings and the cancellation of large events; the federal government has suspended air travel from many countries where COVID-19 is spreading. While many NPIs are in place locally, the challenge going forward is to make such measures widespread, intensive, and consistent across the country. It's important to note that due to the limited testing capabilities and long duration of asymptomatic infection, existing scattered and inconsistent NPI policies will not be sufficient to curb the spread of COVID-19. The United States needs to implement a more impactful and coordinated set of actions to 1) significantly reduce the contact rate across the U.S. population in order to slow and eventually eliminate COVID-19 in the U.S., and 2) suppress a later resurgence of COVID-19. While the challenges seem overwhelming, Hong Kong, Singapore, and other nations and jurisdictions have taken proactive actions that have successfully limited the velocity of transmission among their population. However, they acted after very few cases emerged in or around their borders. We already have thousands of confirmed cases in the United States and likely far more unconfirmed, so we will, in all likelihood, have to do much more than Singapore and Hong Kong to suppress case expansion. This document outlines the risks of COVID-19 domestically and illustrates that the contact rate across the U.S. population needs to be significantly reduced—by as much as 90 percent—to contain this epidemic. We offer an ordered list of measures that federal, state, and local leaders can and should enact in a widespread and synchronized manner to stop the spread of COVID19. Separate and more extensive analyses that support the assertions and results presented in this document exist and are available. THE IMPERATIVE COVID-19 has an observed reproduction number and mortality rate similar to those estimated for the Spanish Flu of 1918. There is debate as to the exact observed reproduction number and the case fatality rate of COVID-19, but in combination, published estimates point to an epidemic that is approximately as dangerous as the Spanish Flu that infected 500 million people and killed 50 million worldwide. That flu resulted in 675,000 deaths in the United States alone. At the time, the world's population was only 1.8 billion, and the U.S. population was 103 million. While the scientific community has evolved its ability to care for patients over the last century, we are living in a world with a much higher rate of population mobility and travel flows. We believe that already implemented and expected social distancing actions, although scattered and inconsistent both within the United States and abroad, will have a beneficial impact on the propagation of the virus. But, it is difficult to ascertain to what degree. As such, we should be cautious not to extrapolate from the outcomes of the Spanish Flu. The analyses presented here are based on reported and confirmed cases, which we believe significantly underrepresent the actual number of active domestic COVID-19 infections. We believe that COVID-19 cases are currently underrepresented in large part due to our current limited testing capability and the multi-day period of asymptomatic infectivity associated with the COVID-19 pathogen. The case fatality rate (CFR) for COVID-19 is estimated to be in the range of a half percent to greater than one percent of those infected. CFR is notoriously difficult to compute because of the latency between exposure, illness, and death, along with the aforementioned difficulty of case confirmation. To get a truly accurate CFR, estimates require a comprehensive case confirmation infrastructure and the ability to track individual patient outcomes, both of which have been challenging in the current environment. Based on the current velocity of COVID-19 progression in the United States, the CFR in the range above would mean thousands to tens of thousands of fatalities domestically and an unbearable strain on our healthcare system within a very short time. Such a scenario would tax our ability to care for both COVID-19 and other patients and would come with significant accompanying damage to our economic security. POLICY OPTIONS TO SLOW AND STOP COVID-19 Pharmaceutical solutions, including vaccines and treatments for COVID-19, have been reported to take 12-18 months to develop. In the interim, we must slow the pace of infection, through the widespread implementation of social distancing actions. To truly suppress the progression of COVID-19, which is propagated through person-to-person transmission, the U.S. population's contact rate must be significantly reduced through mobility restrictions and other means of social distancing. These measures include restricting domestic and international travel, encouraging the closure of certain businesses, incenting work-at-home policies, closing schools and universities, canceling concerts and sporting events, limiting numbers in restaurants and other social gathering places, and, in extreme situations, incentivizing quarantine-related actions. We estimate that we will have to reduce the human-to-human contact rate of our citizens by approximately 90 percent to successfully suppress COVID-19. IMMEDIATE ACTION IS REQUIRED The temptation for many government leaders is to delay the implementation of aggressive social distancing measures in order to minimize economic costs and social disruption. Such an approach is fundamentally short-sighted and dangerous. Despite hesitation on the part of many government entities, many of the largest corporations in the United States have implemented voluntary and significant social distancing actions. The progression of infections in Singapore and Hong Kong, where moderate social distancing measures were enacted very early in the epidemic, occurred much more slowly compared to progression rates in Italy and Iran, both of which waited to enact NPI measures. Late NPI measures forced Italy to enact highly disruptive and draconian quarantine actions, and the results are yet to be seen. The velocity of an outbreak in a specific region is characterized by a construct known as doubling time. This value describes the number of days, on average, required for the number of cases to double in a given area. This measure can describe disease behavior worldwide, in a country, or even in a smaller region such as a state. For our purposes, we will discuss doubling time at a national level. Below, we have calculated doubling time for several nations, on a trailing, rolling 10-day basis, based on March 14 case values. A decline in doubling time indicates that the infection rate is accelerating (cases double in fewer days), while an increase of doubling time indicates that the regional infection rate is slowing. Ideally, when NPIs are implemented aggressively in a region and after some period of delay, doubling times should begin to increase in a matter of days, weeks, or months, depending upon the severity of the local epidemic and the degree of social distancing prescribed by the NPIs. Given the number of NPIs already being enacted or implemented across the country, one should be cautious not to extrapolate growth rates from trailing statistics. Table 1 shows the current 10-day lagging doubling times for COVID-19 for several countries. Table 1: 10-Day Lagging Doubling Times for COVID-19 for Eight Countries (March 12) \| Country \| South \| Singapore \| Japan \| Hong \| Iran \| Italy \| France \| United \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Korea \| \| \| Kong \| \| \| \| States \| As depicted in the following graphs, doubling time increased rapidly in both Singapore and Hong Kong, when these countries implemented a set of NPIs early on. The United States continues to show a very short doubling time with no improvement to date, due to what we believe are spotty and not well-coordinated social distancing actions. However, these values are very sensitive to starting assumptions and are trailing statistics, and should not be used to extrapolate forward values. In addition, the many NPIs being implemented around the country in recent days should, over time, have some beneficial impact on doubling times in the United States. It is important to understand that Singapore's recent decline in doubling time, which can be observed in the graph above, is due to the "importation of cases" to Singapore from Indonesia and Europe versus a failure of implemented NPIs. The very low case counts in Singapore exaggerate this effect on doubling times from these imported cases. WHY ACT NOW? As measured on March 12, on a trailing basis, the United States showed the worst doubling time among the nations we've observed. We are well past keeping the virus out of the country and must focus resources on limiting community transmission. In contrast, Hong Kong and Singapore acted so early they were able to focus largely on containment. These lessons learned from other regions as well as our modeling of this and other pandemics support the implementation of early and proactive NPIs. We believe that the time to activate NPIs at a state level is not when significant cases have already appeared. Rather, implementation should occur at the sign of the first infection or earlier if a significant infection rate exists in neighboring states. Moreover, as more individuals become infected, the strains on the U.S. healthcare delivery system will be significant. Because it typically operates at very thin margins, commercial medical delivery operations tend to run with little to no slack capacity. Hospitals generally have few or no empty beds and are staffed with precisely the number of professionals needed to meet normal demand. As cases of COVID-19 increase, additional testing and patient care will be needed, shifting the focus of many medical professionals away from their normal duties. This, in turn, will impact the many non-COVID-19 patients. However, the real stress on our healthcare system will derive from the significant resources required to treat severely ill coronavirus patients. Caring for the very ill COVID-19 population requires regular and intensive care hospital beds, medical staff, protective gear, and many other resources. An additional risk is that many healthcare workers will themselves become infected, reducing the resources to care for coronavirus patients. One key resource is our limited supply of mechanical ventilators. Most experts today agree that the most severely ill coronavirus patients (estimates of the number of COVID-19 patients who will need ventilators range from two percent to six percent) will require this medical device until they recover or pass away (currently estimated to be ten to fourteen days). Even utilizing all existing ventilators, the United States would be unable to care for all critically ill COVID-19 patients if the number of active case counts surges significantly. In such a scenario, decisions would have to be made as to which critically ill patients will receive the ventilators and which will not. A RECOMMENDED SEQUENCE OF ACTIONS FOR THE NATION Our models indicate that defeating the COVID-19 outbreak in the United States will require that our citizens reduce their contact rate with other citizens by 90 percent. The following is a recommended set of actions. Each of the directives regarding specific social distancing actions, if implemented widely within the United States, will individually lower the contact rate of our populace by some percentage. However, it is unlikely that the implementation of a subset of these recommended measures will get us to the 90 percent contact rate reduction that we need. In short, we believe that all or a very large percentage of the recommended NPIs must be implemented simultaneously across the entire United States. If these measures are not implemented broadly and consistently across the country, we will not reach the contact rate reduction target required to defeat COVID-19. As such, we strongly recommend that the federal government direct or mandate that the states implement these actions. The recommended social distancing measures may have to be aggressively enforced to ensure compliance by the majority of the populace. Once these measures have been implemented broadly across the United States with accompanying enforcement, our analyses indicate that the country should experience significant slowing of the infection rate within a few months. It is important to note that our estimate of the necessary contact rate required to defeat COVID-19 may vary as we get a better understanding of the number of actual cases in the United States. It's important to remember that regardless of these interventions, the case counts in the United States will likely jump in the near-term, largely due to an upcoming increase in testing capability. Specific recommendations: 1. Immediately close all schools and institutions of learning in the United States regardless of location (move to remote learning where possible). 2. Incentivize private enterprises to implement remote work policies and ensure social distancing is maximized in operating facilities. 3. Support and encourage commercial food, medical, and basic supply distribution businesses to remain in operation as well as related transport and logistics operations. Have the government ensure a sanitary environment for the production and delivery of materials and protect employees of these entities with testing and protective gear. 4. Shut down places of social gathering, including restaurants, bars, movie theaters, concerts, sporting events, etc. 5. Extend the Centers for Disease Control and Prevention recommendation to build home food supplies to everyone, not just the elderly. Provide financial support and food to those who cannot afford or are otherwise unable to do so. 6. Seal or restrict all U.S. borders to all forms of traffic/transport, after allowing a week for Americans to return home if they desire. 7. Depending upon the number of cases in a country from which an American is returning, quarantine returning citizens in hotels or other facilities, one to a room, with skeleton staff (also protected). Ensure these facilities are supplied with food, water, and communication capabilities, compensating the facility providers with federal monies. 8. Incentivize Americans not to leave their home for anything other than medically necessary movement or to work in support of other NPIs and U.S. critical infrastructure. 9. Provide compensation (net-out payments to employees) to business owners for temporarily closing non-essential businesses that require major physical presence at their facilities to operate. 10. Ensure that food, water, and medically necessary products and services delivery capabilities remain in place, or are extended as needed throughout the country, compensating providers appropriately. 11. When the observed reproduction number drops sufficiently, until all new cases are under contact tracing (depends on existing level of infections, which have to be measured carefully and continuously), begin to gradually lift implemented NPIs (epidemics die off quickly when observed reproduction rates drop well below 1). Once there are no new cases for at least one week, we can begin to lift NPIs. We must be extremely vigilant and thorough with our testing in order not to stop social distancing actions too early, or we may face a resurgence of the epidemic. We anticipate the NPIs will have to remain in place for at least three months. 12. Diligently monitor for residual infections and aggressively quarantine families of new patients for three weeks, providing basic services as needed. Provide consistent supports for those families during the quarantine period. 13. Do not unseal borders until the global pandemic is under control. 14. Prepare for resurgence and watch case counts for signals that a second wave of actions is needed. Make sure there is a widespread surveillance and testing capability in place to detect and monitor infections. CONCLUSION The social distancing and related NPIs we've recommended are necessary to slow the infection rate of this epidemic to a point of eventual elimination. Doing so will preserve the health and economic security of our nation and minimize morbidity and mortality for our citizens. Once such a path of actions is laid out and broadly and clearly communicated to our citizens, and a few weeks of case progression slowing is observed and also communicated broadly, our citizens will understand the trajectory of the epidemic and its likely end. These actions should provide encouragement for Americans and should calm capital markets, as at least the duration of the epidemic will be better understood, and a logical process communicated as to how we will get past it as well as continuing indications of how we are progressing. Reference materials are available upon request.	<urn:uuid:edaf4df8-d787-4583-ac90-fb415f4d16d8>	CC-MAIN-2020-16	https://atarc.org/wp-content/uploads/2020/03/COVID-19_MITRE_Action_Paper_March-2020.pdf	2020-04-06T23:50:53+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2020-16/subset=warc/part-00245-5e0433ee-fa15-4837-b2dc-d6f38301af97.c000.gz.parquet	366,249,935	3,741	eng_Latn	eng_Latn	0.898705	eng_Latn	0.998583	[ "pis_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 71, 2680, 6071, 9280, 11044, 12739, 16181, 19399, 19795 ]	STOPPING COVID-19: SHORT-TERM ACTIONS FOR LONG-TERM IMPACT MARCH 2020 STOPPING COVID-19: SHORT-TERM ACTIONS FOR LONG-TERM IMPACT MITRE's mission-driven teams are dedicated to solving problems for a safer world. Through our publicprivate partnerships and federally funded R&D centers, we work across government and in partnership with industry to tackle challenges to the safety, stability, and well-being of our nation. This memo is put together by MITRE's infectious disease analytics team, which projected the trajectory and consequences of the Ebola outbreak, as well as other epidemiological events. We base our recommendations on quantitative analysis and modeling developed for prior epidemics, yet tailored and advanced for COVID-19. * The COVID-19 pandemic presents an imminent and severe threat to the lives of our citizens, the American healthcare system, and the economy. The purpose of this paper is to recommend measures that U.S. leaders can and should take right now to limit the course of COVID-19. * National, state, and local leaders can and must institute significant social distancing through Non-Pharmaceutical Interventions (NPIs) in order to reduce the spread of COVID-19. * We believe that we need to reduce the human-to-human contact rate of Americans by 90 percent to stop this epidemic. * The emergency policies outlined in this brief are essential for the health and economic security of U.S. citizens. While they may appear painful, costly, and intrusive, these measures are critically important to suppress, and eventually eliminate, the spread of COVID-19 among Americans. WHY IS AGGRESSIVE AND MULTI-FACETED SOCIAL DISTANCING CRITICAL RIGHT NOW? Without social distancing, the rapidly escalating COVID-19 infection rate in the United States will result in significant morbidity and mortality for a large percentage of American citizens within months. As of March 18, 2020, there were more than 7,600 confirmed infections in the United States. The rate of increase in domestic cases (which varies somewhat from day-to-day depending upon how you measure) is now estimated to be in the range of 25 to 40 percent per day near to or eclipsing the alarming rates of case growth occurring in France and Italy, where governments have recently instituted strict social distancing actions to prevent further transmission. Our work suggests that without significant social distancing in the United States, the COVID-19 virus could infect millions within months. We believe that U.S. case counts are likely underrepresented due to an inadequate domestic testing infrastructure; further, as testing accelerates, the number of confirmed cases will jump. Some efforts at social distancing are taking place in the form of select state-wide school closings and the cancellation of large events; the federal government has suspended air travel from many countries where COVID-19 is spreading. While many NPIs are in place locally, the challenge going forward is to make such measures widespread, intensive, and consistent across the country. It's important to note that due to the limited testing capabilities and long duration of asymptomatic infection, existing scattered and inconsistent NPI policies will not be sufficient to curb the spread of COVID-19. The United States needs to implement a more impactful and coordinated set of actions to 1) significantly reduce the contact rate across the U.S. population in order to slow and eventually eliminate COVID-19 in the U.S., and 2) suppress a later resurgence of COVID-19. While the challenges seem overwhelming, Hong Kong, Singapore, and other nations and jurisdictions have taken proactive actions that have successfully limited the velocity of transmission among their population. However, they acted after very few cases emerged in or around their borders. We already have thousands of confirmed cases in the United States and likely far more unconfirmed, so we will, in all likelihood, have to do much more than Singapore and Hong Kong to suppress case expansion. This document outlines the risks of COVID-19 domestically and illustrates that the contact rate across the U.S. population needs to be significantly reduced—by as much as 90 percent—to contain this epidemic. We offer an ordered list of measures that federal, state, and local leaders can and should enact in a widespread and synchronized manner to stop the spread of COVID19. Separate and more extensive analyses that support the assertions and results presented in this document exist and are available. THE IMPERATIVE COVID-19 has an observed reproduction number and mortality rate similar to those estimated for the Spanish Flu of 1918. There is debate as to the exact observed reproduction number and the case fatality rate of COVID-19, but in combination, published estimates point to an epidemic that is approximately as dangerous as the Spanish Flu that infected 500 million people and killed 50 million worldwide. That flu resulted in 675,000 deaths in the United States alone. At the time, the world's population was only 1.8 billion, and the U.S. population was 103 million. While the scientific community has evolved its ability to care for patients over the last century, we are living in a world with a much higher rate of population mobility and travel flows. We believe that already implemented and expected social distancing actions, although scattered and inconsistent both within the United States and abroad, will have a beneficial impact on the propagation of the virus. But, it is difficult to ascertain to what degree. As such, we should be cautious not to extrapolate from the outcomes of the Spanish Flu. The analyses presented here are based on reported and confirmed cases, which we believe significantly underrepresent the actual number of active domestic COVID-19 infections. We believe that COVID-19 cases are currently underrepresented in large part due to our current limited testing capability and the multi-day period of asymptomatic infectivity associated with the COVID-19 pathogen. The case fatality rate (CFR) for COVID-19 is estimated to be in the range of a half percent to greater than one percent of those infected. CFR is notoriously difficult to compute because of the latency between exposure, illness, and death, along with the aforementioned difficulty of case confirmation. To get a truly accurate CFR, estimates require a comprehensive case confirmation infrastructure and the ability to track individual patient outcomes, both of which have been challenging in the current environment. Based on the current velocity of COVID-19 progression in the United States, the CFR in the range above would mean thousands to tens of thousands of fatalities domestically and an unbearable strain on our healthcare system within a very short time. Such a scenario would tax our ability to care for both COVID-19 and other patients and would come with significant accompanying damage to our economic security. POLICY OPTIONS TO SLOW AND STOP COVID-19 Pharmaceutical solutions, including vaccines and treatments for COVID-19, have been reported to take 12-18 months to develop. In the interim, we must slow the pace of infection, through the widespread implementation of social distancing actions. To truly suppress the progression of COVID-19, which is propagated through person-to-person transmission, the U.S. population's contact rate must be significantly reduced through mobility restrictions and other means of social distancing. These measures include restricting domestic and international travel, encouraging the closure of certain businesses, incenting work-at-home policies, closing schools and universities, canceling concerts and sporting events, limiting numbers in restaurants and other social gathering places, and, in extreme situations, incentivizing quarantine-related actions. We estimate that we will have to reduce the human-to-human contact rate of our citizens by approximately 90 percent to successfully suppress COVID-19. IMMEDIATE ACTION IS REQUIRED The temptation for many government leaders is to delay the implementation of aggressive social distancing measures in order to minimize economic costs and social disruption. Such an approach is fundamentally short-sighted and dangerous. Despite hesitation on the part of many government entities, many of the largest corporations in the United States have implemented voluntary and significant social distancing actions. The progression of infections in Singapore and Hong Kong, where moderate social distancing measures were enacted very early in the epidemic, occurred much more slowly compared to progression rates in Italy and Iran, both of which waited to enact NPI measures. Late NPI measures forced Italy to enact highly disruptive and draconian quarantine actions, and the results are yet to be seen. The velocity of an outbreak in a specific region is characterized by a construct known as doubling time. This value describes the number of days, on average, required for the number of cases to double in a given area. This measure can describe disease behavior worldwide, in a country, or even in a smaller region such as a state. For our purposes, we will discuss doubling time at a national level. Below, we have calculated doubling time for several nations, on a trailing, rolling 10-day basis, based on March 14 case values. A decline in doubling time indicates that the infection rate is accelerating (cases double in fewer days), while an increase of doubling time indicates that the regional infection rate is slowing. Ideally, when NPIs are implemented aggressively in a region and after some period of delay, doubling times should begin to increase in a matter of days, weeks, or months, depending upon the severity of the local epidemic and the degree of social distancing prescribed by the NPIs. Given the number of NPIs already being enacted or implemented across the country, one should be cautious not to extrapolate growth rates from trailing statistics. Table 1 shows the current 10-day lagging doubling times for COVID-19 for several countries. Table 1: 10-Day Lagging Doubling Times for COVID-19 for Eight Countries (March 12) \| Country \| South \| Singapore \| Japan \| Hong \| Iran \| Italy \| France \| United \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Korea \| \| \| Kong \| \| \| \| States \| As depicted in the following graphs, doubling time increased rapidly in both Singapore and Hong Kong, when these countries implemented a set of NPIs early on. The United States continues to show a very short doubling time with no improvement to date, due to what we believe are spotty and not well-coordinated social distancing actions. However, these values are very sensitive to starting assumptions and are trailing statistics, and should not be used to extrapolate forward values. In addition, the many NPIs being implemented around the country in recent days should, over time, have some beneficial impact on doubling times in the United States. It is important to understand that Singapore's recent decline in doubling time, which can be observed in the graph above, is due to the "importation of cases" to Singapore from Indonesia and Europe versus a failure of implemented NPIs. The very low case counts in Singapore exaggerate this effect on doubling times from these imported cases. WHY ACT NOW? As measured on March 12, on a trailing basis, the United States showed the worst doubling time among the nations we've observed. We are well past keeping the virus out of the country and must focus resources on limiting community transmission. In contrast, Hong Kong and Singapore acted so early they were able to focus largely on containment. These lessons learned from other regions as well as our modeling of this and other pandemics support the implementation of early and proactive NPIs. We believe that the time to activate NPIs at a state level is not when significant cases have already appeared. Rather, implementation should occur at the sign of the first infection or earlier if a significant infection rate exists in neighboring states. Moreover, as more individuals become infected, the strains on the U.S. healthcare delivery system will be significant. Because it typically operates at very thin margins, commercial medical delivery operations tend to run with little to no slack capacity. Hospitals generally have few or no empty beds and are staffed with precisely the number of professionals needed to meet normal demand. As cases of COVID-19 increase, additional testing and patient care will be needed, shifting the focus of many medical professionals away from their normal duties. This, in turn, will impact the many non-COVID-19 patients. However, the real stress on our healthcare system will derive from the significant resources required to treat severely ill coronavirus patients. Caring for the very ill COVID-19 population requires regular and intensive care hospital beds, medical staff, protective gear, and many other resources. An additional risk is that many healthcare workers will themselves become infected, reducing the resources to care for coronavirus patients. One key resource is our limited supply of mechanical ventilators. Most experts today agree that the most severely ill coronavirus patients (estimates of the number of COVID-19 patients who will need ventilators range from two percent to six percent) will require this medical device until they recover or pass away (currently estimated to be ten to fourteen days). Even utilizing all existing ventilators, the United States would be unable to care for all critically ill COVID-19 patients if the number of active case counts surges significantly. In such a scenario, decisions would have to be made as to which critically ill patients will receive the ventilators and which will not. A RECOMMENDED SEQUENCE OF ACTIONS FOR THE NATION Our models indicate that defeating the COVID-19 outbreak in the United States will require that our citizens reduce their contact rate with other citizens by 90 percent. The following is a recommended set of actions. Each of the directives regarding specific social distancing actions, if implemented widely within the United States, will individually lower the contact rate of our populace by some percentage. However, it is unlikely that the implementation of a subset of these recommended measures will get us to the 90 percent contact rate reduction that we need. In short, we believe that all or a very large percentage of the recommended NPIs must be implemented simultaneously across the entire United States. If these measures are not implemented broadly and consistently across the country, we will not reach the contact rate reduction target required to defeat COVID-19. As such, we strongly recommend that the federal government direct or mandate that the states implement these actions. The recommended social distancing measures may have to be aggressively enforced to ensure compliance by the majority of the populace. Once these measures have been implemented broadly across the United States with accompanying enforcement, our analyses indicate that the country should experience significant slowing of the inf	ection rate within a few months.		15,274	inside_word	infection	remove_all	<url> https://atarc.org/wp-content/uploads/2020/03/COVID-19_MITRE_Action_Paper_March-2020.pdf </url> <text> STOPPING COVID-19: SHORT-TERM ACTIONS FOR LONG-TERM IMPACT MARCH 2020 STOPPING COVID-19: SHORT-TERM ACTIONS FOR LONG-TERM IMPACT MITRE's mission-driven teams are dedicated to solving problems for a safer world. Through our publicprivate partnerships and federally funded R&D centers, we work across government and in partnership with industry to tackle challenges to the safety, stability, and well-being of our nation. This memo is put together by MITRE's infectious disease analytics team, which projected the trajectory and consequences of the Ebola outbreak, as well as other epidemiological events. We base our recommendations on quantitative analysis and modeling developed for prior epidemics, yet tailored and advanced for COVID-19. * The COVID-19 pandemic presents an imminent and severe threat to the lives of our citizens, the American healthcare system, and the economy. The purpose of this paper is to recommend measures that U.S. leaders can and should take right now to limit the course of COVID-19. * National, state, and local leaders can and must institute significant social distancing through Non-Pharmaceutical Interventions (NPIs) in order to reduce the spread of COVID-19. * We believe that we need to reduce the human-to-human contact rate of Americans by 90 percent to stop this epidemic. * The emergency policies outlined in this brief are essential for the health and economic security of U.S. citizens. While they may appear painful, costly, and intrusive, these measures are critically important to suppress, and eventually eliminate, the spread of COVID-19 among Americans. WHY IS AGGRESSIVE AND MULTI-FACETED SOCIAL DISTANCING CRITICAL RIGHT NOW? Without social distancing, the rapidly escalating COVID-19 infection rate in the United States will result in significant morbidity and mortality for a large percentage of American citizens within months. As of March 18, 2020, there were more than 7,600 confirmed infections in the United States. The rate of increase in domestic cases (which varies somewhat from day-to-day depending upon how you measure) is now estimated to be in the range of 25 to 40 percent per day near to or eclipsing the alarming rates of case growth occurring in France and Italy, where governments have recently instituted strict social distancing actions to prevent further transmission. Our work suggests that without significant social distancing in the United States, the COVID-19 virus could infect millions within months. We believe that U.S. case counts are likely underrepresented due to an inadequate domestic testing infrastructure; further, as testing accelerates, the number of confirmed cases will jump. Some efforts at social distancing are taking place in the form of select state-wide school closings and the cancellation of large events; the federal government has suspended air travel from many countries where COVID-19 is spreading. While many NPIs are in place locally, the challenge going forward is to make such measures widespread, intensive, and consistent across the country. It's important to note that due to the limited testing capabilities and long duration of asymptomatic infection, existing scattered and inconsistent NPI policies will not be sufficient to curb the spread of COVID-19. The United States needs to implement a more impactful and coordinated set of actions to 1) significantly reduce the contact rate across the U.S. population in order to slow and eventually eliminate COVID-19 in the U.S., and 2) suppress a later resurgence of COVID-19. While the challenges seem overwhelming, Hong Kong, Singapore, and other nations and jurisdictions have taken proactive actions that have successfully limited the velocity of transmission among their population. However, they acted after very few cases emerged in or around their borders. We already have thousands of confirmed cases in the United States and likely far more unconfirmed, so we will, in all likelihood, have to do much more than Singapore and Hong Kong to suppress case expansion. This document outlines the risks of COVID-19 domestically and illustrates that the contact rate across the U.S. population needs to be significantly reduced—by as much as 90 percent—to contain this epidemic. We offer an ordered list of measures that federal, state, and local leaders can and should enact in a widespread and synchronized manner to stop the spread of COVID19. Separate and more extensive analyses that support the assertions and results presented in this document exist and are available. THE IMPERATIVE COVID-19 has an observed reproduction number and mortality rate similar to those estimated for the Spanish Flu of 1918. There is debate as to the exact observed reproduction number and the case fatality rate of COVID-19, but in combination, published estimates point to an epidemic that is approximately as dangerous as the Spanish Flu that infected 500 million people and killed 50 million worldwide. That flu resulted in 675,000 deaths in the United States alone. At the time, the world's population was only 1.8 billion, and the U.S. population was 103 million. While the scientific community has evolved its ability to care for patients over the last century, we are living in a world with a much higher rate of population mobility and travel flows. We believe that already implemented and expected social distancing actions, although scattered and inconsistent both within the United States and abroad, will have a beneficial impact on the propagation of the virus. But, it is difficult to ascertain to what degree. As such, we should be cautious not to extrapolate from the outcomes of the Spanish Flu. The analyses presented here are based on reported and confirmed cases, which we believe significantly underrepresent the actual number of active domestic COVID-19 infections. We believe that COVID-19 cases are currently underrepresented in large part due to our current limited testing capability and the multi-day period of asymptomatic infectivity associated with the COVID-19 pathogen. The case fatality rate (CFR) for COVID-19 is estimated to be in the range of a half percent to greater than one percent of those infected. CFR is notoriously difficult to compute because of the latency between exposure, illness, and death, along with the aforementioned difficulty of case confirmation. To get a truly accurate CFR, estimates require a comprehensive case confirmation infrastructure and the ability to track individual patient outcomes, both of which have been challenging in the current environment. Based on the current velocity of COVID-19 progression in the United States, the CFR in the range above would mean thousands to tens of thousands of fatalities domestically and an unbearable strain on our healthcare system within a very short time. Such a scenario would tax our ability to care for both COVID-19 and other patients and would come with significant accompanying damage to our economic security. POLICY OPTIONS TO SLOW AND STOP COVID-19 Pharmaceutical solutions, including vaccines and treatments for COVID-19, have been reported to take 12-18 months to develop. In the interim, we must slow the pace of infection, through the widespread implementation of social distancing actions. To truly suppress the progression of COVID-19, which is propagated through person-to-person transmission, the U.S. population's contact rate must be significantly reduced through mobility restrictions and other means of social distancing. These measures include restricting domestic and international travel, encouraging the closure of certain businesses, incenting work-at-home policies, closing schools and universities, canceling concerts and sporting events, limiting numbers in restaurants and other social gathering places, and, in extreme situations, incentivizing quarantine-related actions. We estimate that we will have to reduce the human-to-human contact rate of our citizens by approximately 90 percent to successfully suppress COVID-19. IMMEDIATE ACTION IS REQUIRED The temptation for many government leaders is to delay the implementation of aggressive social distancing measures in order to minimize economic costs and social disruption. Such an approach is fundamentally short-sighted and dangerous. Despite hesitation on the part of many government entities, many of the largest corporations in the United States have implemented voluntary and significant social distancing actions. The progression of infections in Singapore and Hong Kong, where moderate social distancing measures were enacted very early in the epidemic, occurred much more slowly compared to progression rates in Italy and Iran, both of which waited to enact NPI measures. Late NPI measures forced Italy to enact highly disruptive and draconian quarantine actions, and the results are yet to be seen. The velocity of an outbreak in a specific region is characterized by a construct known as doubling time. This value describes the number of days, on average, required for the number of cases to double in a given area. This measure can describe disease behavior worldwide, in a country, or even in a smaller region such as a state. For our purposes, we will discuss doubling time at a national level. Below, we have calculated doubling time for several nations, on a trailing, rolling 10-day basis, based on March 14 case values. A decline in doubling time indicates that the infection rate is accelerating (cases double in fewer days), while an increase of doubling time indicates that the regional infection rate is slowing. Ideally, when NPIs are implemented aggressively in a region and after some period of delay, doubling times should begin to increase in a matter of days, weeks, or months, depending upon the severity of the local epidemic and the degree of social distancing prescribed by the NPIs. Given the number of NPIs already being enacted or implemented across the country, one should be cautious not to extrapolate growth rates from trailing statistics. Table 1 shows the current 10-day lagging doubling times for COVID-19 for several countries. Table 1: 10-Day Lagging Doubling Times for COVID-19 for Eight Countries (March 12) \| Country \| South \| Singapore \| Japan \| Hong \| Iran \| Italy \| France \| United \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Korea \| \| \| Kong \| \| \| \| States \| As depicted in the following graphs, doubling time increased rapidly in both Singapore and Hong Kong, when these countries implemented a set of NPIs early on. The United States continues to show a very short doubling time with no improvement to date, due to what we believe are spotty and not well-coordinated social distancing actions. However, these values are very sensitive to starting assumptions and are trailing statistics, and should not be used to extrapolate forward values. In addition, the many NPIs being implemented around the country in recent days should, over time, have some beneficial impact on doubling times in the United States. It is important to understand that Singapore's recent decline in doubling time, which can be observed in the graph above, is due to the "importation of cases" to Singapore from Indonesia and Europe versus a failure of implemented NPIs. The very low case counts in Singapore exaggerate this effect on doubling times from these imported cases. WHY ACT NOW? As measured on March 12, on a trailing basis, the United States showed the worst doubling time among the nations we've observed. We are well past keeping the virus out of the country and must focus resources on limiting community transmission. In contrast, Hong Kong and Singapore acted so early they were able to focus largely on containment. These lessons learned from other regions as well as our modeling of this and other pandemics support the implementation of early and proactive NPIs. We believe that the time to activate NPIs at a state level is not when significant cases have already appeared. Rather, implementation should occur at the sign of the first infection or earlier if a significant infection rate exists in neighboring states. Moreover, as more individuals become infected, the strains on the U.S. healthcare delivery system will be significant. Because it typically operates at very thin margins, commercial medical delivery operations tend to run with little to no slack capacity. Hospitals generally have few or no empty beds and are staffed with precisely the number of professionals needed to meet normal demand. As cases of COVID-19 increase, additional testing and patient care will be needed, shifting the focus of many medical professionals away from their normal duties. This, in turn, will impact the many non-COVID-19 patients. However, the real stress on our healthcare system will derive from the significant resources required to treat severely ill coronavirus patients. Caring for the very ill COVID-19 population requires regular and intensive care hospital beds, medical staff, protective gear, and many other resources. An additional risk is that many healthcare workers will themselves become infected, reducing the resources to care for coronavirus patients. One key resource is our limited supply of mechanical ventilators. Most experts today agree that the most severely ill coronavirus patients (estimates of the number of COVID-19 patients who will need ventilators range from two percent to six percent) will require this medical device until they recover or pass away (currently estimated to be ten to fourteen days). Even utilizing all existing ventilators, the United States would be unable to care for all critically ill COVID-19 patients if the number of active case counts surges significantly. In such a scenario, decisions would have to be made as to which critically ill patients will receive the ventilators and which will not. A RECOMMENDED SEQUENCE OF ACTIONS FOR THE NATION Our models indicate that defeating the COVID-19 outbreak in the United States will require that our citizens reduce their contact rate with other citizens by 90 percent. The following is a recommended set of actions. Each of the directives regarding specific social distancing actions, if implemented widely within the United States, will individually lower the contact rate of our populace by some percentage. However, it is unlikely that the implementation of a subset of these recommended measures will get us to the 90 percent contact rate reduction that we need. In short, we believe that all or a very large percentage of the recommended NPIs must be implemented simultaneously across the entire United States. If these measures are not implemented broadly and consistently across the country, we will not reach the contact rate reduction target required to defeat COVID-19. As such, we strongly recommend that the federal government direct or mandate that the states implement these actions. The recommended social distancing measures may have to be aggressively enforced to ensure compliance by the majority of the populace. Once these measures have been implemented broadly across the United States with accompanying enforcement, our analyses indicate that the country should experience significant slowing of the inf<cursor_is_here> </text>	[ { "content": "<url>\nhttps://atarc.org/wp-content/uploads/2020/03/COVID-19_MITRE_Action_Paper_March-2020.pdf\n</url>\n<text>\nSTOPPING COVID-19:\n\nSHORT-TERM ACTIONS FOR LONG-TERM IMPACT\n\nMARCH 2020\n\nSTOPPING COVID-19: SHORT-TERM ACTIONS FOR LONG-TERM IMPACT\n\nMITRE's mission-driven teams are dedicated to solving problems for a safer world. Through our publicprivate partnerships and federally funded R&D centers, we work across government and in partnership with industry to tackle challenges to the safety, stability, and well-being of our nation.\n\nThis memo is put together by MITRE's infectious disease analytics team, which projected the trajectory and consequences of the Ebola outbreak, as well as other epidemiological events. We base our recommendations on quantitative analysis and modeling developed for prior epidemics, yet tailored and advanced for COVID-19.\n\n* The COVID-19 pandemic presents an imminent and severe threat to the lives of our citizens, the American healthcare system, and the economy. The purpose of this paper is to recommend measures that U.S. leaders can and should take right now to limit the course of COVID-19.\n* National, state, and local leaders can and must institute significant social distancing through Non-Pharmaceutical Interventions (NPIs) in order to reduce the spread of COVID-19.\n* We believe that we need to reduce the human-to-human contact rate of Americans by 90 percent to stop this epidemic.\n* The emergency policies outlined in this brief are essential for the health and economic security of U.S. citizens. While they may appear painful, costly, and intrusive, these measures are critically important to suppress, and eventually eliminate, the spread of COVID-19 among Americans.\n\nWHY IS AGGRESSIVE AND MULTI-FACETED SOCIAL DISTANCING CRITICAL RIGHT NOW?\n\nWithout social distancing, the rapidly escalating COVID-19 infection rate in the United States will result in significant morbidity and mortality for a large percentage of American citizens within months. As of March 18, 2020, there were more than 7,600 confirmed infections in the United States. The rate of increase in domestic cases (which varies somewhat from day-to-day depending upon how you measure) is now estimated to be in the range of 25 to 40 percent per day near to or eclipsing the alarming rates of case growth occurring in France and Italy, where governments have recently instituted strict social distancing actions to prevent further transmission. Our work suggests that without significant social distancing in the United States, the COVID-19 virus could infect millions within months.\n\nWe believe that U.S. case counts are likely underrepresented due to an inadequate domestic testing infrastructure; further, as testing accelerates, the number of confirmed cases will jump.\n\nSome efforts at social distancing are taking place in the form of select state-wide school closings and the cancellation of large events; the federal government has suspended air travel from many countries where COVID-19 is spreading.\n\nWhile many NPIs are in place locally, the challenge going forward is to make such measures widespread, intensive, and consistent across the country. It's important to note that due to the limited testing capabilities and long duration of asymptomatic infection, existing scattered and inconsistent NPI policies will not be sufficient to curb the spread of COVID-19. The United States needs to implement a more impactful and coordinated set of actions to 1) significantly reduce the contact rate across the U.S. population in order to slow and eventually eliminate COVID-19 in the U.S., and 2) suppress a later resurgence of COVID-19.\n\nWhile the challenges seem overwhelming, Hong Kong, Singapore, and other nations and jurisdictions have taken proactive actions that have successfully limited the velocity of transmission among their population. However, they acted after very few cases emerged in or around their borders. We already have thousands of confirmed cases in the United States and likely far more unconfirmed, so we will, in all likelihood, have to do much more than Singapore and Hong Kong to suppress case expansion.\n\nThis document outlines the risks of COVID-19 domestically and illustrates that the contact rate across the U.S. population needs to be significantly reduced—by as much as 90 percent—to contain this epidemic. We offer an ordered list of measures that federal, state, and local leaders can and should enact in a widespread and synchronized manner to stop the spread of COVID19. Separate and more extensive analyses that support the assertions and results presented in this document exist and are available.\n\nTHE IMPERATIVE\n\nCOVID-19 has an observed reproduction number and mortality rate similar to those estimated for the Spanish Flu of 1918.\n\nThere is debate as to the exact observed reproduction number and the case fatality rate of COVID-19, but in combination, published estimates point to an epidemic that is approximately as dangerous as the Spanish Flu that infected 500 million people and killed 50 million worldwide. That flu resulted in 675,000 deaths in the United States alone. At the time, the world's population was only 1.8 billion, and the U.S. population was 103 million. While the scientific community has evolved its ability to care for patients over the last century, we are living in a world with a much higher rate of population mobility and travel flows. We believe that already implemented and expected social distancing actions, although scattered and inconsistent both within the United States and abroad, will have a beneficial impact on the propagation of the virus. But, it is difficult to ascertain to what degree. As such, we should be cautious not to extrapolate from the outcomes of the Spanish Flu.\n\nThe analyses presented here are based on reported and confirmed cases, which we believe significantly underrepresent the actual number of active domestic COVID-19 infections. We believe that COVID-19 cases are currently underrepresented in large part due to our current limited testing capability and the multi-day period of asymptomatic infectivity associated with the COVID-19 pathogen.\n\nThe case fatality rate (CFR) for COVID-19 is estimated to be in the range of a half percent to greater than one percent of those infected. CFR is notoriously difficult to compute because of the latency between exposure, illness, and death, along with the aforementioned difficulty of case confirmation. To get a truly accurate CFR, estimates require a comprehensive case confirmation infrastructure and the ability to track individual patient outcomes, both of which have been challenging in the current environment. Based on the current velocity of COVID-19 progression in the United States, the CFR in the range above would mean thousands to tens of thousands of fatalities domestically and an unbearable strain on our healthcare system within a very short time. Such a scenario would tax our ability to care for both COVID-19 and other patients and would come with significant accompanying damage to our economic security.\n\nPOLICY OPTIONS TO SLOW AND STOP COVID-19\n\nPharmaceutical solutions, including vaccines and treatments for COVID-19, have been reported to take 12-18 months to develop. In the interim, we must slow the pace of infection, through the widespread implementation of social distancing actions. To truly suppress the progression of COVID-19, which is propagated through person-to-person transmission, the U.S. population's contact rate must be significantly reduced through mobility restrictions and other means of social distancing. These measures include restricting domestic and international travel, encouraging the closure of certain businesses, incenting work-at-home policies, closing schools and universities, canceling concerts and sporting events, limiting numbers in restaurants and other social gathering places, and, in extreme situations, incentivizing quarantine-related actions. We estimate that we will have to reduce the human-to-human contact rate of our citizens by approximately 90 percent to successfully suppress COVID-19.\n\nIMMEDIATE ACTION IS REQUIRED\n\nThe temptation for many government leaders is to delay the implementation of aggressive social distancing measures in order to minimize economic costs and social disruption. Such an approach is fundamentally short-sighted and dangerous. Despite hesitation on the part of many government entities, many of the largest corporations in the United States have implemented voluntary and significant social distancing actions.\n\nThe progression of infections in Singapore and Hong Kong, where moderate social distancing measures were enacted very early in the epidemic, occurred much more slowly compared to progression rates in Italy and Iran, both of which waited to enact NPI measures. Late NPI measures forced Italy to enact highly disruptive and draconian quarantine actions, and the results are yet to be seen.\n\nThe velocity of an outbreak in a specific region is characterized by a construct known as doubling time. This value describes the number of days, on average, required for the number of cases to double in a given area. This measure can describe disease behavior worldwide, in a country, or even in a smaller region such as a state. For our purposes, we will discuss doubling time at a national level.\n\nBelow, we have calculated doubling time for several nations, on a trailing, rolling 10-day basis, based on March 14 case values. A decline in doubling time indicates that the infection rate is accelerating (cases double in fewer days), while an increase of doubling time indicates that the regional infection rate is slowing. Ideally, when NPIs are implemented aggressively in a region and after some period of delay, doubling times should begin to increase in a matter of days, weeks, or months, depending upon the severity of the local epidemic and the degree of social distancing prescribed by the NPIs. Given the number of NPIs already being enacted or implemented across the country, one should be cautious not to extrapolate growth rates from trailing statistics.\n\nTable 1 shows the current 10-day lagging doubling times for COVID-19 for several countries.\n\nTable 1: 10-Day Lagging Doubling Times for COVID-19 for Eight Countries (March 12)\n\n\| Country \| South \| Singapore \| Japan \| Hong \| Iran \| Italy \| France \| United \|\n\|---\|---\|---\|---\|---\|---\|---\|---\|---\|\n\| \| Korea \| \| \| Kong \| \| \| \| States \|\n\nAs depicted in the following graphs, doubling time increased rapidly in both Singapore and Hong Kong, when these countries implemented a set of NPIs early on.\n\nThe United States continues to show a very short doubling time with no improvement to date, due to what we believe are spotty and not well-coordinated social distancing actions. However, these values are very sensitive to starting assumptions and are trailing statistics, and should not be used to extrapolate forward values. In addition, the many NPIs being implemented around the country in recent days should, over time, have some beneficial impact on doubling times in the United States.\n\nIt is important to understand that Singapore's recent decline in doubling time, which can be observed in the graph above, is due to the \"importation of cases\" to Singapore from Indonesia and Europe versus a failure of implemented NPIs. The very low case counts in Singapore exaggerate this effect on doubling times from these imported cases.\n\nWHY ACT NOW?\n\nAs measured on March 12, on a trailing basis, the United States showed the worst doubling time among the nations we've observed. We are well past keeping the virus out of the country and must focus resources on limiting community transmission. In contrast, Hong Kong and Singapore acted so early they were able to focus largely on containment.\n\nThese lessons learned from other regions as well as our modeling of this and other pandemics support the implementation of early and proactive NPIs. We believe that the time to activate NPIs at a state level is not when significant cases have already appeared. Rather, implementation should occur at the sign of the first infection or earlier if a significant infection rate exists in neighboring states.\n\nMoreover, as more individuals become infected, the strains on the U.S. healthcare delivery system will be significant. Because it typically operates at very thin margins, commercial medical delivery operations tend to run with little to no slack capacity. Hospitals generally have few or no empty beds and are staffed with precisely the number of professionals needed to meet normal demand.\n\nAs cases of COVID-19 increase, additional testing and patient care will be needed, shifting the focus of many medical professionals away from their normal duties. This, in turn, will impact the\n\nmany non-COVID-19 patients. However, the real stress on our healthcare system will derive from the significant resources required to treat severely ill coronavirus patients. Caring for the very ill COVID-19 population requires regular and intensive care hospital beds, medical staff, protective gear, and many other resources. An additional risk is that many healthcare workers will themselves become infected, reducing the resources to care for coronavirus patients.\n\nOne key resource is our limited supply of mechanical ventilators. Most experts today agree that the most severely ill coronavirus patients (estimates of the number of COVID-19 patients who will need ventilators range from two percent to six percent) will require this medical device until they recover or pass away (currently estimated to be ten to fourteen days). Even utilizing all existing ventilators, the United States would be unable to care for all critically ill COVID-19 patients if the number of active case counts surges significantly. In such a scenario, decisions would have to be made as to which critically ill patients will receive the ventilators and which will not.\n\nA RECOMMENDED SEQUENCE OF ACTIONS FOR THE NATION\n\nOur models indicate that defeating the COVID-19 outbreak in the United States will require that our citizens reduce their contact rate with other citizens by 90 percent. The following is a recommended set of actions. Each of the directives regarding specific social distancing actions, if implemented widely within the United States, will individually lower the contact rate of our populace by some percentage. However, it is unlikely that the implementation of a subset of these recommended measures will get us to the 90 percent contact rate reduction that we need. In short, we believe that all or a very large percentage of the recommended NPIs must be implemented simultaneously across the entire United States. If these measures are not implemented broadly and consistently across the country, we will not reach the contact rate reduction target required to defeat COVID-19. As such, we strongly recommend that the federal government direct or mandate that the states implement these actions.\n\nThe recommended social distancing measures may have to be aggressively enforced to ensure compliance by the majority of the populace. Once these measures have been implemented broadly across the United States with accompanying enforcement, our analyses indicate that the country should experience significant slowing of the inf<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "ection rate within a few months.", "role": "assistant" } ]
DOCUMENTATION Technopedia Catalog for ServiceNow 3.5.0 Deployment Guide May 8, 2017 LEGAL NOTICES Use of the BDNA software and products are subject to the terms and conditions of a license agreement found in either a separately executed master license agreement or the click-through master license agreement that is accepted prior to delivery of the BDNA software and/or products. Copyright © 2001-2017. BDNA Corporation Information in this manual and all BDNA technical support policies are subject to change without notice. Check with your BDNA authorized representative to ensure that you have the most recent information. BDNA®, the BDNA logo, Technopedia®, BDNA Discover™, BDNA Normalize®, and BDNA Analyze™ are trademarks or reg istered trademarks of BDNA Corporation in the United States and internationally. The products described herein may be technically combined with third party products or other products not supplied by BDNA, including third party or customer software, hardware, and materials. Any combinations or potential combinations described herein are advisory only. BDNA expressly disclaims any liability, and any expressed or implied representation and warranty, resulting from any combinations of the BDNA products with any other products not supplied by BDNA. This document is provided "as is" and without warranty of any kind, and BDNA and its licensors (hereinafter collectively referred to as "BDNA") expressly disclaim all warranties, expressed or implied, including, but not limited to, the implied warranties of merchantability and fitness for a particular purpose and against infringement. Oracle is a trademark or registered trademark of Oracle Corporation in the United States and in other countries. Red Hat Enterprise Linux (RHEL) is a trademark or registered trademark of Red Hat Incorporated in the United States and in other countries. Microsoft Internet Explorer is a trademark or registered trademark of Microsoft Corporation in the United States or in other countries. All other trademarks appearing herein are the property of their respective owners. Confidential and Proprietary to BDNA. BDNA Corporation 339 North Bernardo Avenue, Suite 206 Mountain View, CA 94043 USA Phone +1 650 625 9530 Fax +1 650 625 9533 http://www.bdna.com 0542010101 Contents About this Book Welcome to the BDNA Technopedia Catalog for ServiceNow Deployment Guide. This book provides detailed information about how to install and configure the Technopedia Catalog for integration with ServiceNow. The Technopedia Catalog provides a simple, standard solution for populating and maintaining ServiceNow hardware and software models with Technopedia data. Technopedia ServiceNow uses the Technopedia API in order to fetch the Technopedia Catalog, and populate the Model tables. If you are running an older version, make sure to reach out to support if you have issues upgrading. For reference, see Knowledge Base for revision history. This book provides detailed information about performing the following tasks: * "Installing Technopedia Catalog" on page 4. * "Configuring the Technopedia Catalog" on page 6. * "Troubleshooting/FAQ" on page 15. What's New * We have a new and improved ServiceNow Compatibility versions named Istanbul. * Multiple Catalog sync options are now available to customers (see page 14 under "Catalog Schedule" for more details). * Please see the Knowledge Base for Known Issues pertaining to recent updates. * Under "Properties" the "date of the last data load from Technopedia API..."has been moved under "Technopedia Modules" each module has the "last download date" listed. Installation and Configuration Requirements * Access to the "security_admin" role in ServiceNow. * Sufficient privileges to load, preview, and commit retrieved update sets. * ServiceNow IT Automation, Helsinki or Istanbul release: – You can determine the release you have by entering: http://<YourInstanceName>.service-now.com/stats.do. Verify the "Build name:" attribute. – Technopedia Catalog Version 3.5.0 is certified for the Helsinki or Istanbul releases of ServiceNow. Installing Technopedia Catalog The information contained in this section describes how to upload, preview, and commit the Technopedia Catalog update set. If you have already finished this procedure, skip to "Configuring the Technopedia Catalog" on page 6. To upload, preview, and commit the Technopedia update set: 1. Open the ServiceNow IT Service Management Suite. e 2. Navigate to "System Update Sets" and click "Retrieved Update Sets." 3. Under the heading "Related Links," click the "Import Update Set from XML" link. 4. Click "Choose File" and locate the Technopedia Catalog update set. 5. Upload the update set. 6. In the "Retrieved Update Sets" module, locate and select the Technopedia update set you just loaded. 7. Click "Preview Update Set." 8. Wait for the Preview process to finish. 9. When the Preview process finishes, click the "View Update Set Preview List" link. 10. Ensure that all "Proposed Actions" are set to "Commit" by applying the following: 10.1. Select one of the Commit records, right-clicking on it, and selecting "Filter Out." 10.2. If any records remain that have a proposed action OTHER than "Commit," they must be updated to "Commit" status before proceeding. Note: If some actions report "Error" or "Skip," refer to "Troubleshooting/FAQ" on page 15. 11. When the Preview finishes successfully, navigate to the "Retrieved Update Sets" module and select the Technopedia Catalog update set. 12. Click "Commit Update Set." 13. Wait for the Commit process to finish. 14. Click the Refresh icon in the Application Navigator. After refreshing the Application Navigator, the "Integration - Technopedia" Application opens. Note: Make sure that the "Technopedia Catalog" application appears in the Application Navigator by using one of the following methods: — Click the Refresh icon or — Type "Technopedia" in the "Type filter text" entry field at the top of the Application Navigator. Configuring the Technopedia Catalog The Technopedia Catalog includes a simple, step-by-step setup wizard designed to walk you through the configuration of the integration. Due to the nature of the integration, you MUST complete every step of the setup wizard in sequence in order to ensure proper configuration of the integration. Important: If you do not see the "Setup" module as the first module in the Technopedia Catalog application, you must enable the security_admin role, then refresh the left-hand navigation pane. To enable the security_admin role, see "Activating Elevated Privileges (security_admin role)." Step-by-step instructions are provided for the following procedures: * "Activating Elevated Privileges (security_admin role)"— Enables configuration access. * "Technopedia Catalog Configuration Wizard"—Provides settings for authentication and connectivity. Activating Elevated Privileges (security_admin role) To access Security Admin Functions, you must first activate elevated privileges. To activate elevated privileges, use the following procedure: 1. Navigate to the Technopedia Catalog application. 2. Click the Elevated Privileges icon next to your username at the top of the screen. 3. Check the security_admin option in the "Activate an Elevated Privilege" dialog box. 4. You are now ready to configure the Technopedia Catalog. Technopedia Catalog Configuration Wizard 1. Navigate to the Technopedia Catalog application. 2. Click the "Setup" module of the application. 3. Enter your Technopedia username and Technopedia API key in the provided fields. Note: You will be loading Hardware Models for most installations. See "Deciding Whether to Load Hardware Models" on page 9 for more information about loading or not loading Hardware Models. 4. Click the "Update Properties" button to save your configuration settings. Note: If you want to perform advanced configuration, see "Integration Properties Reference" on page 9. However, the default configuration works well with most ServiceNow instances. 5. Click the "Run A Test Load" button to test access between your ServiceNow instance and the Technopedia API. 6. You will be automatically redirected to the Progress module within the Technopedia Catalog application, which refreshes every 30 seconds. 7. The test load will load only 120 records for Taxonomy, Manufacturer, Software, and Hardware. The process usually takes less than 3 minutes. Note: If the test load does not start within a few minutes, refer to "Troubleshooting/FAQ" on page 15. 8. When the test load finishes, click the "Setup" module and select "Do full import of taxonomy and manufacturer data." Note: If the test load does not start within a few minutes, refer to "Troubleshooting/FAQ" on page 15. 9. Click the "Add Indexes, modify field lengths" button. This step initializes the model tables intended to receive the Catalog data. 10. Select "Properties," then set "The date of last data load from Technopedia API" to your last catalog sync date. 11. Run the import. You will be redirected to the Progress module. For more information, please see "Running the Technopedia Catalog" on page 11." Deciding Whether to Load Hardware Models The Technopedia Catalog integration provides the option to load or not load Hardware Models. This option is provided because ServiceNow Discovery creates and manages its own Hardware Models. Thus, if you are using ServiceNow Discovery without other discovery tools, and you will not be using BDNA Normalize, you should NOT load the Hardware Models from the Technopedia Catalog. To learn more about BDNA Normalize and its integration with ServiceNow, visit http://www.bdna.com/servicenow. Use the following table in order to determine if you should load Hardware Models: Table 1: Load Hardware Models Decision Matrix Integration Properties Reference The default integration of the Technopedia Catalog Setup Wizard handles most ServiceNow configurations. Occasionally, changes to the integration may be necessary. The Technopedia Catalog integration has a number of advanced properties you can modify that will alter the behavior of the integration. These properties, shown in Table 2, "Integration Properties," on page 9, are available from the Properties module. Table 2: Integration Properties Table 2: Integration Properties (Continued) Running the Technopedia Catalog The Technopedia Catalog loads a large volume of data into the categories, vendor/manufacturers, and hardware and software model tables. While the initial load of categories and vendor/manufacturers data is relatively small (fewer than 20,000 rows), the load of hardware and software models brings more than 500,000 rows of data into ServiceNow. Note: While the initial data load takes between 2-4 hours, subsequent loads (delta loads) are much smaller and take significantly less time. Since the configuration of ServiceNow instances vary widely, it is possible that the initial data load can affect ServiceNow instance performance. In order to manage both your ServiceNow instance and network performance, it is essential to understand what happens during the data load process, and to monitor the process as it is underway. These subjects are covered in the following sections: * "Understanding the Data Load Process" * "Monitoring the Data Load Process" Understanding the Data Load Process The load process fetches a number of rows (1000 by default) per API call, inserts them into import set tables, and then transforms the rows into the target tables. Most ServiceNow instances easily support loading data at the default rates specified. However, some configurations may have slower network access to the Technopedia API, slower insert performance, or slower transformation performance. It is essential to closely monitor the initial data load in order to ensure that both network performance and instance write performance do not degrade. Monitoring the Data Load Process Once the full data load is underway, you will be redirected to the Progress module. The Progress module refreshes automatically every 30 seconds. It can also be refreshed on demand by clicking the Progress module link. The Progress module provides both text and graphical information about the data load process. At the top of the Progress module page, there is a "[Performance Charts]" toggle option that shows or hides the performance charts. With the default settings, the initial data load should be processing between 1800 and 2300 records per minute for each of the four parallel loads. Additionally, within the graphs the blue line indicates the performance of network access to the API, and the green line indicates the insert performance of the instance. While it is not unusual to see occasional spikes in either, both of these graphs should ideally show fairly consistent timings over the loading process. The primary concern during the initial data load process is an increasing Table Insertion time, represented by the green line in the performance graph. If the Table Insertion time begins to grow and continues growing, it is an indication that the instance is "falling behind" the rate at which the data is being brought into the instance. If this is allowed to continue, it may adversely affect instance performance, or even halt the instance. You can check the System Diagnostics -> Progress Workers module to see how the insertion process is progressing. Sort the Created column in descending order and look for Names indicating "Transforming…Technopedia." There are typically 4 to 8 of these at a time. If the number of progress workers increases beyond that range, you should cancel the data load and reduce its load rate. For additional information, see "Managing Initial Data Load Performance" on page 13. The Technopedia Catalog application has a number of checks that scan for degrading instance performance. In certain situations, the application actually halts the loading process if performance continues to degrade. However, it is still necessary to closely watch this process over time. We recommend checking the performance every 15 minutes during the initial data load in order to ensure that Table Insertion is not falling behind. If it does fall behind, cancel the data load and refer to the section entitled "Managing Initial Data Load Performance" on page 13. Canceling the Data Load Once a data load is underway, it can be canceled at any time. To cancel a data load: 1. Navigate to the Progress module of the Technopedia Catalog application. 2. Click the "Cancel Data Loads" button located at the top of the page. Any rows that have been loaded, but not yet transformed, will continue to be processed. However, fetching new rows from the Technopedia API will cease immediately. The Data Load status is then set to "Data Load Canceled," but you may still see progress bars continuing on the Data Transform status for some time afterward. After a few minutes, the load stops entirely, and Data Transform and Import Set Status statuses are set to "Complete." Restarting Individual Data Loads Once a data load has been canceled, you may restart it from its interruption point. To restart a load from its interruption point: 1. From the Progress module, click the "Data Load Canceled" link for the Data Load status of the data load you want to restart. Alternately, you can open the Load Progress module in the Logs group, and pick the load you want to restart. You are only able to restart loads that have "Canceled" listed as their current state. 2. Click the "Continue load from interruption point" Related Link, and the load will restart. 3. To verify the restart, navigate to the Progress module. Note: Restarting data loads individually is one way to limit the load placed upon the instance. Running Delta Load The Technopedia Catalog is updated every day with the latest information about manufacturers' hardware and software products. The Technopedia Catalog application keeps track of the last time it executed a data load. When it is run again, it will only load data that was changed in the interim. The process of delta loading is much more efficient, requiring just a few minutes. To manually run a delta load: 1. From the Progress module, click the "Start Data Load" button. 2. The Technopedia Catalog application automatically loads any changes that have occurred since the previous data load. There are four different catalog sync modules: * Sync_Technopedia_Content_Pack (weekly) * Sync_Technopedia_Content_Packs (quarterly) * Sync_Technopedia_Core (weekly) * Sync_Technopedia_Core (quarterly) While the Technopedia Catalog application tracks the last load date, it is possible to forcibly load data from an older date. To force the application to load data from an earlier date (e.g., March 17, 2012): 1. Navigate to the Properties module. 2. Set the "Last Modified Date" property to "2012-03-17". 3. Save the properties. 4. Navigate to the Progress module and press the "Start Data Load" button. 5. The Technopedia Catalog application loads all changes since March 17, 2012. Automating Delta Loading Automated delta loading is scheduled through the Scheduled Import module of the Data Import group. To set an automated schedule: 1. Click the "Scheduled Import" module in the Data Import group. 2. Choose a Run time, and enter the appropriate attributes required for your scheduled Run time selection (i.e. day of the week, time of day, etc.). 3. Click the "Update" button to save your changes. Typically, a Weekly schedule is sufficient to ensure your instance has the latest information. However, you can schedule a run as frequently as you require. Managing Initial Data Load Performance Occasionally, the ServiceNow instance configuration must be modified in order to ensure all records can be loaded without affecting instance performance. If you encounter performance issues, the table "Strategies to Slow the Initial Data Load" on page 14 describes a sequence of strategies for slowing the initial data load. These strategies should be implemented in the order they appear within the table below. Table 3: Strategies to Slow the Initial Data Load These strategies will resolve issues related to data loading performance. Note: Changes to the REST chunk size will increase the initial load time, but will have little effect on future delta loading. Catalog Schedule Customers can perform multiple catalog syncs, specifically for core syncs and content pack syncs. By default, these scheduled imports are set to occur weekly and quarterly. These options exist in order to allow customers to compare changes and updates from various syncs, thus ensuring that they do not miss any potential ServiceNow improvements. It is also important to remember that a core synchronization must occur before a content pack synchronization, because content pack changes are dependent upon core catalog updates. Application Module Details The following table describes the modules of the Technopedia Catalog application: Table 4: Application Modules Table 4: Application Modules Troubleshooting/FAQ The Technopedia Application isn't showing up in the left-hand Application pane. After committing the BDNA Technopedia update set, make sure to click the Refresh icon in the Application Navigator. This will refresh the applications and modules in the Application Navigator and allow you to see the Technopedia Application. You can also type "Technopedia" in the "Type filter text" entry field at the top of the Application Navigator. If still does not appear, you may need to have the Technopedia or administrative role applied in order to see the Application. There was an error while previewing the update. If there was an error previewing the update set, try running the preview again. If there is still an error, consult with the system administrator for the instance. The update set preview says there were "Collisions." Is that a problem? Collisions happen when the code being previewed conflicts with existing code on the instance. Find the collisions in the list of updates and consult with a local system administrator to decide if they should be committed or skipped. If updates are skipped, the Technopedia Integration Application may not function correctly. Test load does not show any progress. This is typically caused by a bad username or API key. To investigate possible causes: 1. Click on the Probes module, and sort by the Created date. 2. Examine the "output" Queue entry for the most recent REST Probe Topic.	<urn:uuid:dad737c8-c4e0-4b64-a57f-0db169f76e66>	CC-MAIN-2019-43	https://download.flexnetoperations.com/439214/1169/697/12222697/Technopedia_Catalog_3.5.0_Deployment_Guide.pdf?ftpRequestID=7382463477&server=download.flexnetoperations.com&dtm=DTM20191023043153NjM1MDM2MjA2&authparam=1571830313_9cc71c2b6557504f3eddb6b2a4a27d2f&ext=.pdf	2019-10-23T03:31:54Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-43/segments/1570987828425.99/warc/CC-MAIN-20191023015841-20191023043341-00030.warc.gz	449,435,651	4,200	eng_Latn	eng_Latn	0.940102	eng_Latn	0.990481	[ "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 84, 2303, 2313, 4378, 4566, 6737, 7905, 8812, 10353, 10398, 13849, 16610, 18201, 19143, 20633 ]	DOCUMENTATION Technopedia Catalog for ServiceNow 3.5.0 Deployment Guide May 8, 2017 LEGAL NOTICES Use of the BDNA software and products are subject to the terms and conditions of a license agreement found in either a separately executed master license agreement or the click-through master license agreement that is accepted prior to delivery of the BDNA software and/or products. Copyright © 2001-2017. BDNA Corporation Information in this manual and all BDNA technical support policies are subject to change without notice. Check with your BDNA authorized representative to ensure that you have the most recent information. BDNA®, the BDNA logo, Technopedia®, BDNA Discover™, BDNA Normalize®, and BDNA Analyze™ are trademarks or reg istered trademarks of BDNA Corporation in the United States and internationally. The products described herein may be technically combined with third party products or other products not supplied by BDNA, including third party or customer software, hardware, and materials. Any combinations or potential combinations described herein are advisory only. BDNA expressly disclaims any liability, and any expressed or implied representation and warranty, resulting from any combinations of the BDNA products with any other products not supplied by BDNA. This document is provided "as is" and without warranty of any kind, and BDNA and its licensors (hereinafter collectively referred to as "BDNA") expressly disclaim all warranties, expressed or implied, including, but not limited to, the implied warranties of merchantability and fitness for a particular purpose and against infringement. Oracle is a trademark or registered trademark of Oracle Corporation in the United States and in other countries. Red Hat Enterprise Linux (RHEL) is a trademark or registered trademark of Red Hat Incorporated in the United States and in other countries. Microsoft Internet Explorer is a trademark or registered trademark of Microsoft Corporation in the United States or in other countries. All other trademarks appearing herein are the property of their respective owners. Confidential and Proprietary to BDNA. BDNA Corporation 339 North Bernardo Avenue, Suite 206 Mountain View, CA 94043 USA Phone +1 650 625 9530 Fax +1 650 625 9533 http://www.bdna.com 0542010101 Contents About this Book Welcome to the BDNA Technopedia Catalog for ServiceNow Deployment Guide. This book provides detailed information about how to install and configure the Technopedia Catalog for integration with ServiceNow. The Technopedia Catalog provides a simple, standard solution for populating and maintaining ServiceNow hardware and software models with Technopedia data. Technopedia ServiceNow uses the Technopedia API in order to fetch the Technopedia Catalog, and populate the Model tables. If you are running an older version, make sure to reach out to support if you have issues upgrading. For reference, see Knowledge Base for revision history. This book provides detailed information about performing the following tasks: * "Installing Technopedia Catalog" on page 4. * "Configuring the Technopedia Catalog" on page 6. * "Troubleshooting/FAQ" on page 15. What's New * We have a new and improved ServiceNow Compatibility versions named Istanbul. * Multiple Catalog sync options are now available to customers (see page 14 under "Catalog Schedule" for more details). * Please see the Knowledge Base for Known Issues pertaining to recent updates. * Under "Properties" the "date of the last data load from Technopedia API..."has been moved under "Technopedia Modules" each module has the "last download date" listed. Installation and Configuration Requirements * Access to the "security_admin" role in ServiceNow. * Sufficient privileges to load, preview, and commit retrieved update sets. * ServiceNow IT Automation, Helsinki or Istanbul release: – You can determine the release you have by entering: http://<YourInstanceName>.service-now.com/stats.do. Verify the "Build name:" attribute. – Technopedia Catalog Version 3.5.0 is certified for the Helsinki or Istanbul releases of ServiceNow. Installing Technopedia Catalog The information contained in this section describes how to upload, preview, and commit the Technopedia Catalog update set. If you have already finished this procedure, skip to "Configuring the Technopedia Catalog" on page 6. To upload, preview, and commit the Technopedia update set: 1. Open the ServiceNow IT Service Management Suite. e 2. Navigate to "System Update Sets" and click "Retrieved Update Sets." 3. Under the heading "Related Links," click the "Import Update Set from XML" link. 4. Click "Choose File" and locate the Technopedia Catalog update set. 5. Upload the update set. 6. In the "Retrieved Update Sets" module, locate and select the Technopedia update set you just loaded. 7. Click "Preview Update Set." 8. Wait for the Preview process to finish. 9. When the Preview process finishes, click the "View Update Set Preview List" link. 10. Ensure that all "Proposed Actions" are set to "Commit" by applying the following: 10.1. Select one of the Commit records, right-clicking on it, and selecting "Filter Out." 10.2. If any records remain that have a proposed action OTHER than "Commit," they must be updated to "Commit" status before proceeding. Note: If some actions report "Error" or "Skip," refer to "Troubleshooting/FAQ" on page 15. 11. When the Preview finishes successfully, navigate to the "Retrieved Update Sets" module and select the Technopedia Catalog update set. 12. Click "Commit Update Set." 13. Wait for the Commit process to finish. 14. Click the Refresh icon in the Application Navigator. After refreshing the Application Navigator, the "Integration - Technopedia" Application opens. Note: Make sure that the "Technopedia Catalog" application appears in the Application Navigator by using one of the following methods: — Click the Refresh icon or — Type "Technopedia" in the "Type filter text" entry field at the top of the Application Navigator. Configuring the Technopedia Catalog The Technopedia Catalog includes a simple, step-by-step setup wizard designed to walk you through the configuration of the integration. Due to the nature of the integration, you MUST complete every step of the setup wizard in sequence in order to ensure proper configuration of the integration. Important: If you do not see the "Setup" module as the first module in the Technopedia Catalog application, you must enable the security_admin role, then refresh the left-hand navigation pane. To enable the security_admin role, see "Activating Elevated Privileges (security_admin role)." Step-by-step instructions are provided for the following procedures: * "Activating Elevated Privileges (security_admin role)"— Enables configuration access. * "Technopedia Catalog Configuration Wizard"—Provides settings for authentication and connectivity. Activating Elevated Privileges (security_admin role) To access Security Admin Functions, you must first activate elevated privileges. To activate elevated privileges, use the following procedure: 1. Navigate to the Technopedia Catalog application. 2. Click the Elevated Privileges icon next to your username at the top of the screen. 3. Check the security_admin option in the "Activate an Elevated Privilege" dialog box. 4. You are now ready to configure the Technopedia Catalog. Technopedia Catalog Configuration Wizard 1. Navigate to the Technopedia Catalog application. 2. Click the "Setup" module of the application. 3. Enter your Technopedia username and Technopedia API key in the provided fields. Note: You will be loading Hardware Models for most installations. See "Deciding Whether to Load Hardware Models" on page 9 for more information about loading or not loading Hardware Models. 4. Click the "Update Properties" button to save your configuration settings. Note: If you want to perform advanced configuration, see "Integration Properties Reference" on page 9. However, the default configuration works well with most ServiceNow instances. 5. Click the "Run A Test Load" button to test access between your ServiceNow instance and the Technopedia API. 6. You will be automatically redirected to the Progress module within the Technopedia Catalog application, which refreshes every 30 seconds. 7. The test load will load only 120 records for Taxonomy, Manufacturer, Software, and Hardware. The process usually takes less than 3 minutes. Note: If the test load does not start within a few minutes, refer to "Troubleshooting/FAQ" on page 15. 8. When the test load finishes, click the "Setup" module and select "Do full import of taxonomy and manufacturer data." Note: If the test load does not start within a few minutes, refer to "Troubleshooting/FAQ" on page 15. 9. Click the "Add Indexes, modify field lengths" button. This step initializes the model tables intended to receive the Catalog data. 10. Select "Properties," then set "The date of last data load from Technopedia API" to your last catalog sync date. 11. Run the import. You will be redirected to the Progress module. For more information, please see "Running the Technopedia Catalog" on page 11." Deciding Whether to Load Hardware Models The Technopedia Catalog integration provides the option to load or not load Hardware Models. This option is provided because ServiceNow Discovery creates and manages its own Hardware Models. Thus, if you are using ServiceNow Discovery without other discovery tools, and you will not be using BDNA Normalize, you should NOT load the Hardware Models from the Technopedia Catalog. To learn more about BDNA Normalize and its integration with ServiceNow, visit http://www.bdna.com/servicenow. Use the following table in order to determine if you should load Hardware Models: Table 1: Load Hardware Models Decision Matrix Integration Properties Reference The default integration of the Technopedia Catalog Setup Wizard handles most ServiceNow configurations. Occasionally, changes to the integration may be necessary. The Technopedia Catalog integration has a number of advanced properties you can modify that will alter the behavior of the integration. These properties, shown in Table 2, "Integration Properties," on page 9, are available from the Properties	module.	Table 2: Integration Properties Table 2: Integration Properties (Continued) Running the Technopedia Catalog The Technopedia Catalog loads a large volume of data into the categories, vendor/manufacturers, and hardware and software model tables. While the initial load of categories and vendor/manufacturers data is relatively small (fewer than 20,000 rows), the load of hardware and software models brings more than 500,000 rows of data into ServiceNow. Note: While the initial data load takes between 2-4 hours, subsequent loads (delta loads) are much smaller and take significantly less time. Since the configuration of ServiceNow instances vary widely, it is possible that the initial data load can affect ServiceNow instance performance. In order to manage both your ServiceNow instance and network performance, it is essential to understand what happens during the data load process, and to monitor the process as it is underway. These subjects are covered in the following sections: * "Understanding the Data Load Process" * "Monitoring the Data Load Process" Understanding the Data Load Process The load process fetches a number of rows (1000 by default) per API call, inserts them into import set tables, and then transforms the rows into the target tables. Most ServiceNow instances easily support loading data at the default rates specified. However, some configurations may have slower network access to the Technopedia API, slower insert performance, or slower transformation performance. It is essential to closely monitor the initial data load in order to ensure that both network performance and instance write performance do not degrade. Monitoring the Data Load Process Once the full data load is underway, you will be redirected to the Progress module. The Progress module refreshes automatically every 30 seconds. It can also be refreshed on demand by clicking the Progress module link. The Progress module provides both text and graphical information about the data load process. At the top of the Progress module page, there is a "[Performance Charts]" toggle option that shows or hides the performance charts. With the default settings, the initial data load should be processing between 1800 and 2300 records per minute for each of the four parallel loads. Additionally, within the graphs the blue line indicates the performance of network access to the API, and the green line indicates the insert performance of the instance. While it is not unusual to see occasional spikes in either, both of these graphs should ideally show fairly consistent timings over the loading process. The primary concern during the initial data load process is an increasing Table Insertion time, represented by the green line in the performance graph. If the Table Insertion time begins to grow and continues growing, it is an indication that the instance is "falling behind" the rate at which the data is being brought into the instance. If this is allowed to continue, it may adversely affect instance performance, or even halt the instance. You can check the System Diagnostics -> Progress Workers module to see how the insertion process is progressing. Sort the Created column in descending order and look for Names indicating "Transforming…Technopedia." There are typically 4 to 8 of these at a time. If the number of progress workers increases beyond that range, you should cancel the data load and reduce its load rate. For additional information, see "Managing Initial Data Load Performance" on page 13. The Technopedia Catalog application has a number of checks that scan for degrading instance performance. In certain situations, the application actually halts the loading process if performance continues to degrade. However, it is still necessary to closely watch this process over time. We recommend checking the performance every 15 minutes during the initial data load in order to ensure that Table Insertion is not falling behind. If it does fall behind, cancel the data load and refer to the section entitled "Managing Initial Data Load Performance" on page 13. Canceling the Data Load Once a data load is underway, it can be canceled at any time. To cancel a data load: 1. Navigate to the Progress module of the Technopedia Catalog application. 2. Click the "Cancel Data Loads" button located at the top of the page. Any rows that have been loaded, but not yet transformed, will continue to be processed. However, fetching new rows from the Technopedia API will cease immediately. The Data Load status is then set to "Data Load Canceled," but you may still see progress bars continuing on the Data Transform status for some time afterward. After a few minutes, the load stops entirely, and Data Transform and Import Set Status statuses are set to "Complete." Restarting Individual Data Loads Once a data load has been canceled, you may restart it from its interruption point. To restart a load from its interruption point: 1. From the Progress module, click the "Data Load Canceled" link for the Data Load status of the data load you want to restart. Alternately, you can open the Load Progress module in the Logs group, and pick the load you want to restart. You are only able to restart loads that have "Canceled" listed as their current state. 2. Click the "Continue load from interruption point" Related Link, and the load will restart. 3. To verify the restart, navigate to the Progress module. Note: Restarting data loads individually is one way to limit the load placed upon the instance. Running Delta Load The Technopedia Catalog is updated every day with the latest information about manufacturers' hardware and software products. The Technopedia Catalog application keeps track of the last time it executed a data load. When it is run again, it will only load data that was changed in the interim. The process of delta loading is much more efficient, requiring just a few minutes. To manually run a delta load: 1. From the Progress module, click the "Start Data Load" button. 2. The Technopedia Catalog application automatically loads any changes that have occurred since the previous data load. There are four different catalog sync modules: * Sync_Technopedia_Content_Pack (weekly) * Sync_Technopedia_Content_Packs (quarterly) * Sync_Technopedia_Core (weekly) * Sync_Technopedia_Core (quarterly) While the Technopedia Catalog application tracks the last load date, it is possible to forcibly load data from an older date. To force the application to load data from an earlier date (e.g., March 17, 2012): 1. Navigate to the Properties module. 2. Set the "Last Modified Date" property to "2012-03-17". 3. Save the properties. 4. Navigate to the Progress module and press the "Start Data Load" button. 5. The Technopedia Catalog application loads all changes since March 17, 2012. Automating Delta Loading Automated delta loading is scheduled through the Scheduled Import module of the Data Import group. To set an automated schedule: 1. Click the "Scheduled Import" module in the Data Import group. 2. Choose a Run time, and enter the appropriate attributes required for your scheduled Run time selection (i.e. day of the week, time of day, etc.). 3. Click the "Update" button to save your changes. Typically, a Weekly schedule is sufficient to ensure your instance has the latest information. However, you can schedule a run as frequently as you require. Managing Initial Data Load Performance Occasionally, the ServiceNow instance configuration must be modified in order to ensure all records can be loaded without affecting instance performance. If you encounter performance issues, the table "Strategies to Slow the Initial Data Load" on page 14 describes a sequence of strategies for slowing the initial data load. These strategies should be implemented in the order they appear within the table below. Table 3: Strategies to Slow the Initial Data Load These strategies will resolve issues related to data loading performance. Note: Changes to the REST chunk size will increase the initial load time, but will have little effect on future delta loading. Catalog Schedule Customers can perform multiple catalog syncs, specifically for core syncs and content pack syncs. By default, these scheduled imports are set to occur weekly and quarterly. These options exist in order to allow customers to compare changes and updates from various syncs, thus ensuring that they do not miss any potential ServiceNow improvements. It is also important to remember that a core synchronization must occur before a content pack synchronization, because content pack changes are dependent upon core catalog updates. Application Module Details The following table describes the modules of the Technopedia Catalog application: Table 4: Application Modules Table 4: Application Modules Troubleshooting/FAQ The Technopedia Application isn't showing up in the left-hand Application pane. After committing the BDNA Technopedia update set, make sure to click the Refresh icon in the Application Navigator. This will refresh the applications and modules in the Application Navigator and allow you to see the Technopedia Application. You can also type "Technopedia" in the "Type filter text" entry field at the top of the Application Navigator. If still does not appear, you may need to have the Technopedia or administrative role applied in order to see the Application. There was an error while previewing the update. If there was an error previewing the update set, try running the preview again. If there is still an error, consult with the system administrator for the instance. The update set preview says there were "Collisions." Is that a problem? Collisions happen when the code being previewed conflicts with existing code on the instance. Find the collisions in the list of updates and consult with a local system administrator to decide if they should be committed or skipped. If updates are skipped, the Technopedia Integration Application may not function correctly. Test load does not show any progress. This is typically caused by a bad username or API key. To investigate possible causes: 1. Click on the Probes module, and sort by the Created date. 2. Examine the "output" Queue entry for the most recent REST Probe Topic.	10,313	beginning_of_word	module.	remove_one_sentence	<url> https://download.flexnetoperations.com/439214/1169/697/12222697/Technopedia_Catalog_3.5.0_Deployment_Guide.pdf?ftpRequestID=7382463477&server=download.flexnetoperations.com&dtm=DTM20191023043153NjM1MDM2MjA2&authparam=1571830313_9cc71c2b6557504f3eddb6b2a4a27d2f&ext=.pdf </url> <text> DOCUMENTATION Technopedia Catalog for ServiceNow 3.5.0 Deployment Guide May 8, 2017 LEGAL NOTICES Use of the BDNA software and products are subject to the terms and conditions of a license agreement found in either a separately executed master license agreement or the click-through master license agreement that is accepted prior to delivery of the BDNA software and/or products. Copyright © 2001-2017. BDNA Corporation Information in this manual and all BDNA technical support policies are subject to change without notice. Check with your BDNA authorized representative to ensure that you have the most recent information. BDNA®, the BDNA logo, Technopedia®, BDNA Discover™, BDNA Normalize®, and BDNA Analyze™ are trademarks or reg istered trademarks of BDNA Corporation in the United States and internationally. The products described herein may be technically combined with third party products or other products not supplied by BDNA, including third party or customer software, hardware, and materials. Any combinations or potential combinations described herein are advisory only. BDNA expressly disclaims any liability, and any expressed or implied representation and warranty, resulting from any combinations of the BDNA products with any other products not supplied by BDNA. This document is provided "as is" and without warranty of any kind, and BDNA and its licensors (hereinafter collectively referred to as "BDNA") expressly disclaim all warranties, expressed or implied, including, but not limited to, the implied warranties of merchantability and fitness for a particular purpose and against infringement. Oracle is a trademark or registered trademark of Oracle Corporation in the United States and in other countries. Red Hat Enterprise Linux (RHEL) is a trademark or registered trademark of Red Hat Incorporated in the United States and in other countries. Microsoft Internet Explorer is a trademark or registered trademark of Microsoft Corporation in the United States or in other countries. All other trademarks appearing herein are the property of their respective owners. Confidential and Proprietary to BDNA. BDNA Corporation 339 North Bernardo Avenue, Suite 206 Mountain View, CA 94043 USA Phone +1 650 625 9530 Fax +1 650 625 9533 http://www.bdna.com 0542010101 Contents About this Book Welcome to the BDNA Technopedia Catalog for ServiceNow Deployment Guide. This book provides detailed information about how to install and configure the Technopedia Catalog for integration with ServiceNow. The Technopedia Catalog provides a simple, standard solution for populating and maintaining ServiceNow hardware and software models with Technopedia data. Technopedia ServiceNow uses the Technopedia API in order to fetch the Technopedia Catalog, and populate the Model tables. If you are running an older version, make sure to reach out to support if you have issues upgrading. For reference, see Knowledge Base for revision history. This book provides detailed information about performing the following tasks: * "Installing Technopedia Catalog" on page 4. * "Configuring the Technopedia Catalog" on page 6. * "Troubleshooting/FAQ" on page 15. What's New * We have a new and improved ServiceNow Compatibility versions named Istanbul. * Multiple Catalog sync options are now available to customers (see page 14 under "Catalog Schedule" for more details). * Please see the Knowledge Base for Known Issues pertaining to recent updates. * Under "Properties" the "date of the last data load from Technopedia API..."has been moved under "Technopedia Modules" each module has the "last download date" listed. Installation and Configuration Requirements * Access to the "security_admin" role in ServiceNow. * Sufficient privileges to load, preview, and commit retrieved update sets. * ServiceNow IT Automation, Helsinki or Istanbul release: – You can determine the release you have by entering: http://<YourInstanceName>.service-now.com/stats.do. Verify the "Build name:" attribute. – Technopedia Catalog Version 3.5.0 is certified for the Helsinki or Istanbul releases of ServiceNow. Installing Technopedia Catalog The information contained in this section describes how to upload, preview, and commit the Technopedia Catalog update set. If you have already finished this procedure, skip to "Configuring the Technopedia Catalog" on page 6. To upload, preview, and commit the Technopedia update set: 1. Open the ServiceNow IT Service Management Suite. e 2. Navigate to "System Update Sets" and click "Retrieved Update Sets." 3. Under the heading "Related Links," click the "Import Update Set from XML" link. 4. Click "Choose File" and locate the Technopedia Catalog update set. 5. Upload the update set. 6. In the "Retrieved Update Sets" module, locate and select the Technopedia update set you just loaded. 7. Click "Preview Update Set." 8. Wait for the Preview process to finish. 9. When the Preview process finishes, click the "View Update Set Preview List" link. 10. Ensure that all "Proposed Actions" are set to "Commit" by applying the following: 10.1. Select one of the Commit records, right-clicking on it, and selecting "Filter Out." 10.2. If any records remain that have a proposed action OTHER than "Commit," they must be updated to "Commit" status before proceeding. Note: If some actions report "Error" or "Skip," refer to "Troubleshooting/FAQ" on page 15. 11. When the Preview finishes successfully, navigate to the "Retrieved Update Sets" module and select the Technopedia Catalog update set. 12. Click "Commit Update Set." 13. Wait for the Commit process to finish. 14. Click the Refresh icon in the Application Navigator. After refreshing the Application Navigator, the "Integration - Technopedia" Application opens. Note: Make sure that the "Technopedia Catalog" application appears in the Application Navigator by using one of the following methods: — Click the Refresh icon or — Type "Technopedia" in the "Type filter text" entry field at the top of the Application Navigator. Configuring the Technopedia Catalog The Technopedia Catalog includes a simple, step-by-step setup wizard designed to walk you through the configuration of the integration. Due to the nature of the integration, you MUST complete every step of the setup wizard in sequence in order to ensure proper configuration of the integration. Important: If you do not see the "Setup" module as the first module in the Technopedia Catalog application, you must enable the security_admin role, then refresh the left-hand navigation pane. To enable the security_admin role, see "Activating Elevated Privileges (security_admin role)." Step-by-step instructions are provided for the following procedures: * "Activating Elevated Privileges (security_admin role)"— Enables configuration access. * "Technopedia Catalog Configuration Wizard"—Provides settings for authentication and connectivity. Activating Elevated Privileges (security_admin role) To access Security Admin Functions, you must first activate elevated privileges. To activate elevated privileges, use the following procedure: 1. Navigate to the Technopedia Catalog application. 2. Click the Elevated Privileges icon next to your username at the top of the screen. 3. Check the security_admin option in the "Activate an Elevated Privilege" dialog box. 4. You are now ready to configure the Technopedia Catalog. Technopedia Catalog Configuration Wizard 1. Navigate to the Technopedia Catalog application. 2. Click the "Setup" module of the application. 3. Enter your Technopedia username and Technopedia API key in the provided fields. Note: You will be loading Hardware Models for most installations. See "Deciding Whether to Load Hardware Models" on page 9 for more information about loading or not loading Hardware Models. 4. Click the "Update Properties" button to save your configuration settings. Note: If you want to perform advanced configuration, see "Integration Properties Reference" on page 9. However, the default configuration works well with most ServiceNow instances. 5. Click the "Run A Test Load" button to test access between your ServiceNow instance and the Technopedia API. 6. You will be automatically redirected to the Progress module within the Technopedia Catalog application, which refreshes every 30 seconds. 7. The test load will load only 120 records for Taxonomy, Manufacturer, Software, and Hardware. The process usually takes less than 3 minutes. Note: If the test load does not start within a few minutes, refer to "Troubleshooting/FAQ" on page 15. 8. When the test load finishes, click the "Setup" module and select "Do full import of taxonomy and manufacturer data." Note: If the test load does not start within a few minutes, refer to "Troubleshooting/FAQ" on page 15. 9. Click the "Add Indexes, modify field lengths" button. This step initializes the model tables intended to receive the Catalog data. 10. Select "Properties," then set "The date of last data load from Technopedia API" to your last catalog sync date. 11. Run the import. You will be redirected to the Progress module. For more information, please see "Running the Technopedia Catalog" on page 11." Deciding Whether to Load Hardware Models The Technopedia Catalog integration provides the option to load or not load Hardware Models. This option is provided because ServiceNow Discovery creates and manages its own Hardware Models. Thus, if you are using ServiceNow Discovery without other discovery tools, and you will not be using BDNA Normalize, you should NOT load the Hardware Models from the Technopedia Catalog. To learn more about BDNA Normalize and its integration with ServiceNow, visit http://www.bdna.com/servicenow. Use the following table in order to determine if you should load Hardware Models: Table 1: Load Hardware Models Decision Matrix Integration Properties Reference The default integration of the Technopedia Catalog Setup Wizard handles most ServiceNow configurations. Occasionally, changes to the integration may be necessary. The Technopedia Catalog integration has a number of advanced properties you can modify that will alter the behavior of the integration. These properties, shown in Table 2, "Integration Properties," on page 9, are available from the Properties <cursor_is_here> Table 2: Integration Properties Table 2: Integration Properties (Continued) Running the Technopedia Catalog The Technopedia Catalog loads a large volume of data into the categories, vendor/manufacturers, and hardware and software model tables. While the initial load of categories and vendor/manufacturers data is relatively small (fewer than 20,000 rows), the load of hardware and software models brings more than 500,000 rows of data into ServiceNow. Note: While the initial data load takes between 2-4 hours, subsequent loads (delta loads) are much smaller and take significantly less time. Since the configuration of ServiceNow instances vary widely, it is possible that the initial data load can affect ServiceNow instance performance. In order to manage both your ServiceNow instance and network performance, it is essential to understand what happens during the data load process, and to monitor the process as it is underway. These subjects are covered in the following sections: * "Understanding the Data Load Process" * "Monitoring the Data Load Process" Understanding the Data Load Process The load process fetches a number of rows (1000 by default) per API call, inserts them into import set tables, and then transforms the rows into the target tables. Most ServiceNow instances easily support loading data at the default rates specified. However, some configurations may have slower network access to the Technopedia API, slower insert performance, or slower transformation performance. It is essential to closely monitor the initial data load in order to ensure that both network performance and instance write performance do not degrade. Monitoring the Data Load Process Once the full data load is underway, you will be redirected to the Progress module. The Progress module refreshes automatically every 30 seconds. It can also be refreshed on demand by clicking the Progress module link. The Progress module provides both text and graphical information about the data load process. At the top of the Progress module page, there is a "[Performance Charts]" toggle option that shows or hides the performance charts. With the default settings, the initial data load should be processing between 1800 and 2300 records per minute for each of the four parallel loads. Additionally, within the graphs the blue line indicates the performance of network access to the API, and the green line indicates the insert performance of the instance. While it is not unusual to see occasional spikes in either, both of these graphs should ideally show fairly consistent timings over the loading process. The primary concern during the initial data load process is an increasing Table Insertion time, represented by the green line in the performance graph. If the Table Insertion time begins to grow and continues growing, it is an indication that the instance is "falling behind" the rate at which the data is being brought into the instance. If this is allowed to continue, it may adversely affect instance performance, or even halt the instance. You can check the System Diagnostics -> Progress Workers module to see how the insertion process is progressing. Sort the Created column in descending order and look for Names indicating "Transforming…Technopedia." There are typically 4 to 8 of these at a time. If the number of progress workers increases beyond that range, you should cancel the data load and reduce its load rate. For additional information, see "Managing Initial Data Load Performance" on page 13. The Technopedia Catalog application has a number of checks that scan for degrading instance performance. In certain situations, the application actually halts the loading process if performance continues to degrade. However, it is still necessary to closely watch this process over time. We recommend checking the performance every 15 minutes during the initial data load in order to ensure that Table Insertion is not falling behind. If it does fall behind, cancel the data load and refer to the section entitled "Managing Initial Data Load Performance" on page 13. Canceling the Data Load Once a data load is underway, it can be canceled at any time. To cancel a data load: 1. Navigate to the Progress module of the Technopedia Catalog application. 2. Click the "Cancel Data Loads" button located at the top of the page. Any rows that have been loaded, but not yet transformed, will continue to be processed. However, fetching new rows from the Technopedia API will cease immediately. The Data Load status is then set to "Data Load Canceled," but you may still see progress bars continuing on the Data Transform status for some time afterward. After a few minutes, the load stops entirely, and Data Transform and Import Set Status statuses are set to "Complete." Restarting Individual Data Loads Once a data load has been canceled, you may restart it from its interruption point. To restart a load from its interruption point: 1. From the Progress module, click the "Data Load Canceled" link for the Data Load status of the data load you want to restart. Alternately, you can open the Load Progress module in the Logs group, and pick the load you want to restart. You are only able to restart loads that have "Canceled" listed as their current state. 2. Click the "Continue load from interruption point" Related Link, and the load will restart. 3. To verify the restart, navigate to the Progress module. Note: Restarting data loads individually is one way to limit the load placed upon the instance. Running Delta Load The Technopedia Catalog is updated every day with the latest information about manufacturers' hardware and software products. The Technopedia Catalog application keeps track of the last time it executed a data load. When it is run again, it will only load data that was changed in the interim. The process of delta loading is much more efficient, requiring just a few minutes. To manually run a delta load: 1. From the Progress module, click the "Start Data Load" button. 2. The Technopedia Catalog application automatically loads any changes that have occurred since the previous data load. There are four different catalog sync modules: * Sync_Technopedia_Content_Pack (weekly) * Sync_Technopedia_Content_Packs (quarterly) * Sync_Technopedia_Core (weekly) * Sync_Technopedia_Core (quarterly) While the Technopedia Catalog application tracks the last load date, it is possible to forcibly load data from an older date. To force the application to load data from an earlier date (e.g., March 17, 2012): 1. Navigate to the Properties module. 2. Set the "Last Modified Date" property to "2012-03-17". 3. Save the properties. 4. Navigate to the Progress module and press the "Start Data Load" button. 5. The Technopedia Catalog application loads all changes since March 17, 2012. Automating Delta Loading Automated delta loading is scheduled through the Scheduled Import module of the Data Import group. To set an automated schedule: 1. Click the "Scheduled Import" module in the Data Import group. 2. Choose a Run time, and enter the appropriate attributes required for your scheduled Run time selection (i.e. day of the week, time of day, etc.). 3. Click the "Update" button to save your changes. Typically, a Weekly schedule is sufficient to ensure your instance has the latest information. However, you can schedule a run as frequently as you require. Managing Initial Data Load Performance Occasionally, the ServiceNow instance configuration must be modified in order to ensure all records can be loaded without affecting instance performance. If you encounter performance issues, the table "Strategies to Slow the Initial Data Load" on page 14 describes a sequence of strategies for slowing the initial data load. These strategies should be implemented in the order they appear within the table below. Table 3: Strategies to Slow the Initial Data Load These strategies will resolve issues related to data loading performance. Note: Changes to the REST chunk size will increase the initial load time, but will have little effect on future delta loading. Catalog Schedule Customers can perform multiple catalog syncs, specifically for core syncs and content pack syncs. By default, these scheduled imports are set to occur weekly and quarterly. These options exist in order to allow customers to compare changes and updates from various syncs, thus ensuring that they do not miss any potential ServiceNow improvements. It is also important to remember that a core synchronization must occur before a content pack synchronization, because content pack changes are dependent upon core catalog updates. Application Module Details The following table describes the modules of the Technopedia Catalog application: Table 4: Application Modules Table 4: Application Modules Troubleshooting/FAQ The Technopedia Application isn't showing up in the left-hand Application pane. After committing the BDNA Technopedia update set, make sure to click the Refresh icon in the Application Navigator. This will refresh the applications and modules in the Application Navigator and allow you to see the Technopedia Application. You can also type "Technopedia" in the "Type filter text" entry field at the top of the Application Navigator. If still does not appear, you may need to have the Technopedia or administrative role applied in order to see the Application. There was an error while previewing the update. If there was an error previewing the update set, try running the preview again. If there is still an error, consult with the system administrator for the instance. The update set preview says there were "Collisions." Is that a problem? Collisions happen when the code being previewed conflicts with existing code on the instance. Find the collisions in the list of updates and consult with a local system administrator to decide if they should be committed or skipped. If updates are skipped, the Technopedia Integration Application may not function correctly. Test load does not show any progress. This is typically caused by a bad username or API key. To investigate possible causes: 1. Click on the Probes module, and sort by the Created date. 2. Examine the "output" Queue entry for the most recent REST Probe Topic. </text>	[ { "content": "<url>\nhttps://download.flexnetoperations.com/439214/1169/697/12222697/Technopedia_Catalog_3.5.0_Deployment_Guide.pdf?ftpRequestID=7382463477&server=download.flexnetoperations.com&dtm=DTM20191023043153NjM1MDM2MjA2&authparam=1571830313_9cc71c2b6557504f3eddb6b2a4a27d2f&ext=.pdf\n</url>\n<text>\nDOCUMENTATION\n\nTechnopedia Catalog for ServiceNow 3.5.0 Deployment Guide May 8, 2017\n\nLEGAL NOTICES\n\nUse of the BDNA software and products are subject to the terms and conditions of a license agreement found in either a separately executed master license agreement or the click-through master license agreement that is accepted prior to delivery of the BDNA software and/or products.\n\nCopyright © 2001-2017. BDNA Corporation\n\nInformation in this manual and all BDNA technical support policies are subject to change without notice. Check with your BDNA authorized representative to ensure that you have the most recent information.\n\nBDNA®, the BDNA logo, Technopedia®, BDNA Discover™, BDNA Normalize®, and BDNA Analyze™ are trademarks or reg istered trademarks of BDNA Corporation in the United States and internationally.\n\nThe products described herein may be technically combined with third party products or other products not supplied by BDNA, including third party or customer software, hardware, and materials. Any combinations or potential combinations described herein are advisory only. BDNA expressly disclaims any liability, and any expressed or implied representation and warranty, resulting from any combinations of the BDNA products with any other products not supplied by BDNA.\n\nThis document is provided \"as is\" and without warranty of any kind, and BDNA and its licensors (hereinafter collectively referred to as \"BDNA\") expressly disclaim all warranties, expressed or implied, including, but not limited to, the implied warranties of merchantability and fitness for a particular purpose and against infringement.\n\nOracle is a trademark or registered trademark of Oracle Corporation in the United States and in other countries. Red Hat Enterprise Linux (RHEL) is a trademark or registered trademark of Red Hat Incorporated in the United States and in other countries. Microsoft Internet Explorer is a trademark or registered trademark of Microsoft Corporation in the United States or in other countries. All other trademarks appearing herein are the property of their respective owners.\n\nConfidential and Proprietary to BDNA.\n\nBDNA Corporation 339 North Bernardo Avenue, Suite 206 Mountain View, CA 94043\n\nUSA\n\nPhone +1 650 625 9530\n\nFax +1 650 625 9533\n\nhttp://www.bdna.com\n\n0542010101\n\nContents\n\nAbout this Book\n\nWelcome to the BDNA Technopedia Catalog for ServiceNow Deployment Guide. This book provides detailed information about how to install and configure the Technopedia Catalog for integration with ServiceNow. The Technopedia Catalog provides a simple, standard solution for populating and maintaining ServiceNow hardware and software models with Technopedia data. Technopedia ServiceNow uses the Technopedia API in order to fetch the Technopedia Catalog, and populate the Model tables. If you are running an older version, make sure to reach out to support if you have issues upgrading. For reference, see Knowledge Base for revision history.\n\nThis book provides detailed information about performing the following tasks:\n\n* \"Installing Technopedia Catalog\" on page 4.\n* \"Configuring the Technopedia Catalog\" on page 6.\n* \"Troubleshooting/FAQ\" on page 15.\n\nWhat's New\n\n* We have a new and improved ServiceNow Compatibility versions named Istanbul.\n* Multiple Catalog sync options are now available to customers (see page 14 under \"Catalog Schedule\" for more details).\n* Please see the Knowledge Base for Known Issues pertaining to recent updates.\n* Under \"Properties\" the \"date of the last data load from Technopedia API...\"has been moved under \"Technopedia Modules\" each module has the \"last download date\" listed.\n\nInstallation and Configuration Requirements\n\n* Access to the \"security_admin\" role in ServiceNow.\n* Sufficient privileges to load, preview, and commit retrieved update sets.\n* ServiceNow IT Automation, Helsinki or Istanbul release:\n– You can determine the release you have by entering: http://<YourInstanceName>.service-now.com/stats.do. Verify the \"Build name:\" attribute.\n– Technopedia Catalog Version 3.5.0 is certified for the Helsinki or Istanbul releases of ServiceNow.\n\nInstalling Technopedia Catalog\n\nThe information contained in this section describes how to upload, preview, and commit the Technopedia Catalog update set. If you have already finished this procedure, skip to \"Configuring the Technopedia Catalog\" on page 6.\n\nTo upload, preview, and commit the Technopedia update set:\n\n1. Open the ServiceNow IT Service Management Suite.\n\ne\n\n2. Navigate to \"System Update Sets\" and click \"Retrieved Update Sets.\"\n\n3. Under the heading \"Related Links,\" click the \"Import Update Set from XML\" link.\n4. Click \"Choose File\" and locate the Technopedia Catalog update set.\n5. Upload the update set.\n6. In the \"Retrieved Update Sets\" module, locate and select the Technopedia update set you just loaded.\n7. Click \"Preview Update Set.\"\n8. Wait for the Preview process to finish.\n9. When the Preview process finishes, click the \"View Update Set Preview List\" link.\n10. Ensure that all \"Proposed Actions\" are set to \"Commit\" by applying the following:\n10.1. Select one of the Commit records, right-clicking on it, and selecting \"Filter Out.\"\n10.2. If any records remain that have a proposed action OTHER than \"Commit,\" they must be updated to \"Commit\" status before proceeding.\n\nNote: If some actions report \"Error\" or \"Skip,\" refer to \"Troubleshooting/FAQ\" on page 15.\n\n11. When the Preview finishes successfully, navigate to the \"Retrieved Update Sets\" module and select the Technopedia Catalog update set.\n12. Click \"Commit Update Set.\"\n13. Wait for the Commit process to finish.\n14. Click the Refresh icon in the Application Navigator. After refreshing the Application Navigator, the \"Integration - Technopedia\" Application opens.\n\nNote: Make sure that the \"Technopedia Catalog\" application appears in the Application Navigator by using one of the following methods:\n\n— Click the Refresh icon\n\nor\n\n— Type \"Technopedia\" in the \"Type filter text\" entry field at the top of the Application Navigator.\n\nConfiguring the Technopedia Catalog\n\nThe Technopedia Catalog includes a simple, step-by-step setup wizard designed to walk you through the configuration of the integration. Due to the nature of the integration, you MUST complete every step of the setup wizard in sequence in order to ensure proper configuration of the integration.\n\nImportant: If you do not see the \"Setup\" module as the first module in the Technopedia Catalog application, you must enable the security_admin role, then refresh the left-hand navigation pane. To enable the security_admin role, see \"Activating Elevated Privileges (security_admin role).\"\n\nStep-by-step instructions are provided for the following procedures:\n\n* \"Activating Elevated Privileges (security_admin role)\"— Enables configuration access.\n* \"Technopedia Catalog Configuration Wizard\"—Provides settings for authentication and connectivity.\n\nActivating Elevated Privileges (security_admin role)\n\nTo access Security Admin Functions, you must first activate elevated privileges.\n\nTo activate elevated privileges, use the following procedure:\n\n1. Navigate to the Technopedia Catalog application.\n2. Click the Elevated Privileges icon next to your username at the top of the screen.\n3. Check the security_admin option in the \"Activate an Elevated Privilege\" dialog box.\n4. You are now ready to configure the Technopedia Catalog.\n\nTechnopedia Catalog Configuration Wizard\n\n1. Navigate to the Technopedia Catalog application.\n2. Click the \"Setup\" module of the application.\n3. Enter your Technopedia username and Technopedia API key in the provided fields.\n\nNote: You will be loading Hardware Models for most installations. See \"Deciding Whether to Load Hardware Models\" on page 9 for more information about loading or not loading Hardware Models.\n\n4. Click the \"Update Properties\" button to save your configuration settings.\n\nNote: If you want to perform advanced configuration, see \"Integration Properties Reference\" on page 9. However, the default configuration works well with most ServiceNow instances.\n\n5. Click the \"Run A Test Load\" button to test access between your ServiceNow instance and the Technopedia API.\n6. You will be automatically redirected to the Progress module within the Technopedia Catalog application, which refreshes every 30 seconds.\n7. The test load will load only 120 records for Taxonomy, Manufacturer, Software, and Hardware. The process usually takes less than 3 minutes.\n\nNote: If the test load does not start within a few minutes, refer to \"Troubleshooting/FAQ\" on page 15.\n\n8. When the test load finishes, click the \"Setup\" module and select \"Do full import of taxonomy and manufacturer data.\"\n\nNote: If the test load does not start within a few minutes, refer to \"Troubleshooting/FAQ\" on page 15.\n\n9. Click the \"Add Indexes, modify field lengths\" button. This step initializes the model tables intended to receive the Catalog data.\n10. Select \"Properties,\" then set \"The date of last data load from Technopedia API\" to your last catalog sync date.\n11. Run the import. You will be redirected to the Progress module. For more information, please see \"Running the Technopedia Catalog\" on page 11.\"\n\nDeciding Whether to Load Hardware Models\n\nThe Technopedia Catalog integration provides the option to load or not load Hardware Models. This option is provided because ServiceNow Discovery creates and manages its own Hardware Models. Thus, if you are using ServiceNow Discovery without other discovery tools, and you will not be using BDNA Normalize, you should NOT load the Hardware Models from the Technopedia Catalog. To learn more about BDNA Normalize and its integration with ServiceNow, visit http://www.bdna.com/servicenow.\n\nUse the following table in order to determine if you should load Hardware Models:\n\nTable 1: Load Hardware Models Decision Matrix\n\nIntegration Properties Reference\n\nThe default integration of the Technopedia Catalog Setup Wizard handles most ServiceNow configurations. Occasionally, changes to the integration may be necessary. The Technopedia Catalog integration has a number of advanced properties you can modify that will alter the behavior of the integration. These properties, shown in Table 2, \"Integration Properties,\" on page 9, are available from the Properties <cursor_is_here>\n\nTable 2: Integration Properties\n\nTable 2: Integration Properties (Continued)\n\nRunning the Technopedia Catalog\n\nThe Technopedia Catalog loads a large volume of data into the categories, vendor/manufacturers, and hardware and software model tables. While the initial load of categories and vendor/manufacturers data is relatively small (fewer than 20,000 rows), the load of hardware and software models brings more than 500,000 rows of data into ServiceNow.\n\nNote: While the initial data load takes between 2-4 hours, subsequent loads (delta loads) are much smaller and take significantly less time.\n\nSince the configuration of ServiceNow instances vary widely, it is possible that the initial data load can affect ServiceNow instance performance. In order to manage both your ServiceNow instance and network performance, it is essential to understand what happens during the data load process, and to monitor the process as it is underway. These subjects are covered in the following sections:\n\n* \"Understanding the Data Load Process\"\n* \"Monitoring the Data Load Process\"\n\nUnderstanding the Data Load Process\n\nThe load process fetches a number of rows (1000 by default) per API call, inserts them into import set tables, and then transforms the rows into the target tables.\n\nMost ServiceNow instances easily support loading data at the default rates specified. However, some configurations may have slower network access to the Technopedia API, slower insert performance, or slower transformation performance. It is essential to closely monitor the initial data load in order to ensure that both network performance and instance write performance do not degrade.\n\nMonitoring the Data Load Process\n\nOnce the full data load is underway, you will be redirected to the Progress module. The Progress module refreshes automatically every 30 seconds. It can also be refreshed on demand by clicking the Progress module link. The Progress module provides both text and graphical information about the data load process. At the top of the Progress module page, there is a \"[Performance Charts]\" toggle option that shows or hides the performance charts.\n\nWith the default settings, the initial data load should be processing between 1800 and 2300 records per minute for each of the four parallel loads. Additionally, within the graphs the blue line indicates the performance of network access to the API, and the green line indicates the insert performance of the instance. While it is not unusual to see occasional spikes in either, both of these graphs should ideally show fairly consistent timings over the loading process.\n\nThe primary concern during the initial data load process is an increasing Table Insertion time, represented by the green line in the performance graph. If the Table Insertion time begins to grow and continues growing, it is an indication that the instance is \"falling behind\" the rate at which the data is being brought into the instance. If this is allowed to continue, it may adversely affect instance performance, or even halt the instance. You can check the System Diagnostics -> Progress Workers module to see how the insertion process is progressing. Sort the Created column in descending order and look for Names indicating \"Transforming…Technopedia.\" There are typically 4 to 8 of these at a time. If the number of progress workers increases beyond that range, you should cancel the data load and reduce its load rate. For additional information, see \"Managing Initial Data Load Performance\" on page 13.\n\nThe Technopedia Catalog application has a number of checks that scan for degrading instance performance. In certain situations, the application actually halts the loading process if performance continues to degrade. However, it is still necessary to closely watch this process over time. We recommend checking the performance every 15 minutes during the initial data load in order to ensure that Table Insertion is not falling behind. If it does fall behind, cancel the data load and refer to the section entitled \"Managing Initial Data Load Performance\" on page 13.\n\nCanceling the Data Load\n\nOnce a data load is underway, it can be canceled at any time.\n\nTo cancel a data load:\n\n1. Navigate to the Progress module of the Technopedia Catalog application.\n2. Click the \"Cancel Data Loads\" button located at the top of the page.\n\nAny rows that have been loaded, but not yet transformed, will continue to be processed. However, fetching new rows from the Technopedia API will cease immediately. The Data Load status is then set to \"Data Load Canceled,\" but you may still see progress bars continuing on the Data Transform status for some time afterward. After a few minutes, the load stops entirely, and Data Transform and Import Set Status statuses are set to \"Complete.\"\n\nRestarting Individual Data Loads\n\nOnce a data load has been canceled, you may restart it from its interruption point.\n\nTo restart a load from its interruption point:\n\n1. From the Progress module, click the \"Data Load Canceled\" link for the Data Load status of the data load you want to restart. Alternately, you can open the Load Progress module in the Logs group, and pick the load you want to restart. You are only able to restart loads that have \"Canceled\" listed as their current state.\n2. Click the \"Continue load from interruption point\" Related Link, and the load will restart.\n3. To verify the restart, navigate to the Progress module.\n\nNote: Restarting data loads individually is one way to limit the load placed upon the instance.\n\nRunning Delta Load\n\nThe Technopedia Catalog is updated every day with the latest information about manufacturers' hardware and software products. The Technopedia Catalog application keeps track of the last time it executed a data load. When it is run again, it will only load data that was changed in the interim. The process of delta loading is much more efficient, requiring just a few minutes.\n\nTo manually run a delta load:\n\n1. From the Progress module, click the \"Start Data Load\" button.\n2. The Technopedia Catalog application automatically loads any changes that have occurred since the previous data load. There are four different catalog sync modules:\n* Sync_Technopedia_Content_Pack (weekly)\n* Sync_Technopedia_Content_Packs (quarterly)\n\n* Sync_Technopedia_Core (weekly)\n* Sync_Technopedia_Core (quarterly)\n\nWhile the Technopedia Catalog application tracks the last load date, it is possible to forcibly load data from an older date.\n\nTo force the application to load data from an earlier date (e.g., March 17, 2012):\n\n1. Navigate to the Properties module.\n2. Set the \"Last Modified Date\" property to \"2012-03-17\".\n3. Save the properties.\n4. Navigate to the Progress module and press the \"Start Data Load\" button.\n5. The Technopedia Catalog application loads all changes since March 17, 2012.\n\nAutomating Delta Loading\n\nAutomated delta loading is scheduled through the Scheduled Import module of the Data Import group.\n\nTo set an automated schedule:\n\n1. Click the \"Scheduled Import\" module in the Data Import group.\n2. Choose a Run time, and enter the appropriate attributes required for your scheduled Run time selection (i.e. day of the week, time of day, etc.).\n3. Click the \"Update\" button to save your changes.\n\nTypically, a Weekly schedule is sufficient to ensure your instance has the latest information. However, you can schedule a run as frequently as you require.\n\nManaging Initial Data Load Performance\n\nOccasionally, the ServiceNow instance configuration must be modified in order to ensure all records can be loaded without affecting instance performance. If you encounter performance issues, the table \"Strategies to Slow the Initial Data Load\" on page 14 describes a sequence of strategies for slowing the initial data load. These strategies should be implemented in the order they appear within the table below.\n\nTable 3: Strategies to Slow the Initial Data Load\n\nThese strategies will resolve issues related to data loading performance.\n\nNote: Changes to the REST chunk size will increase the initial load time, but will have little effect on future delta loading.\n\nCatalog Schedule\n\nCustomers can perform multiple catalog syncs, specifically for core syncs and content pack syncs. By default, these scheduled imports are set to occur weekly and quarterly. These options exist in order to allow customers to compare changes and updates from various syncs, thus ensuring that they do not miss any potential ServiceNow improvements. It is also important to remember that a core synchronization must occur before a content pack synchronization, because content pack changes are dependent upon core catalog updates.\n\nApplication Module Details\n\nThe following table describes the modules of the Technopedia Catalog application:\n\nTable 4: Application Modules\n\nTable 4: Application Modules\n\nTroubleshooting/FAQ\n\nThe Technopedia Application isn't showing up in the left-hand Application pane.\n\nAfter committing the BDNA Technopedia update set, make sure to click the Refresh icon in the Application Navigator. This will refresh the applications and modules in the Application Navigator and allow you to see the Technopedia Application. You can also type \"Technopedia\" in the \"Type filter text\" entry field at the top of the Application Navigator. If still does not appear, you may need to have the Technopedia or administrative role applied in order to see the Application.\n\nThere was an error while previewing the update.\n\nIf there was an error previewing the update set, try running the preview again. If there is still an error, consult with the system administrator for the instance.\n\nThe update set preview says there were \"Collisions.\" Is that a problem?\n\nCollisions happen when the code being previewed conflicts with existing code on the instance. Find the collisions in the list of updates and consult with a local system administrator to decide if they should be committed or skipped. If updates are skipped, the Technopedia Integration Application may not function correctly.\n\nTest load does not show any progress.\n\nThis is typically caused by a bad username or API key.\n\nTo investigate possible causes:\n\n1. Click on the Probes module, and sort by the Created date.\n2. Examine the \"output\" Queue entry for the most recent REST Probe Topic.\n</text>\n", "role": "user" }, { "content": "module.", "role": "assistant" } ]
Finite Element Software Analysis of Engineering Structure Test and Teaching Reform of Integration of Production and Teaching Kun Zhu ( B ) , Zaiyong Ma, Furong Wang, Lijuan Geng, Ruitian Wu, Xianyue Meng, Lin Wang, and Hui Gao Changchun Institute of Technology, Chaoyang, Changchun, Jilin, China [email protected] Abstract. The reform of information teaching in civil engineering specialty is an inevitable result under the background of information age. The course of architectural structure is a very important course of civil engineering, and civil engineering is a very practical major. Most of the civil structure test work needs to be completed with the help of computer software analysis, the industry to civil engineering students software application ability requirements are increasingly high. How to carry out the ﬁnite element software analysis teaching of structural test has become the key to cultivate applied civil engineering professionals. It not only enables students to master the basic theory of building structure test, but also cultivates students' ability of test design operation and SAP2000 software to establish ﬁnite element model. In the teaching, sap2000 software was used to analyze the ﬁnite element model of concrete frame and string beam structure. In order to better complete the ﬁnite element software information teaching of this course, reform the teaching method, adopt the combination of online and ofﬂine teaching, and better apply the teaching method of the integration of production and teaching, put forward some targeted solutions. Keywords: Teaching reform · Finite element software · Integration of production and education 1 Introduction The integration of industry and education is the deep cooperation between industry and education. The integration of industry and education more closely combines industry practice with teaching and learning. The school has become a center of talent cultivation and a practical place of production for scientiﬁc research and cultivation. In his report to the 19th National Congress in 2017, the General Secretary put forward the idea of deepening the integration of industry and education. It is also mentioned in the Implementation Plan of the National Vocational Education Reform that enterprises should actively support the vocational education of Chinese students and focus on cultivating high-level, high-tech, skilled and high-quality talents. Therefore, vocational education in China is not only facing the old problems of continuing to strengthen industry-education X. Yuan et al. (Eds.): ICEKIM 2023, AHCS 13, pp. 1621–1631, 2023. integration and school-enterprise cooperation, but also facing the new task of how to promote the training of applied talents. We are very urgently aware of the importance of the integration of industry and education, and we have put forward a plan to promote the integration of industry and education. 2 The Necessity of Promoting the Integration of Industry and Education in Civil Engineering Structural Test 2.1 It is Conducive to Promoting the Healthy Development of Vocational Education Vocational education is an important approach to cultivating high-skilled talents, and the development of our country more from a large number of skilled talents in high technology, high technology talented person is the pioneer of scientiﬁc and technological achievements into real life, science and technology thought idea into reality, cannot leave the efforts of high-tech talent, innovation of science and technology experts is extremely valuable spiritual and social wealth, Highly skilled people also play an irreplaceable role. They turn ideas into reality and have strong creativity. Both of them are the talents that our country needs in the journey of building a great modern socialist country. Therefore, colleges and universities set up a strong practical major on the knowledge of students, quality also put forward higher requirements. The training idea of "integration of production and education" is in line with this way of training high-skilled talents, and colleges and universities should vigorously support and promote it. 2.2 It is Helpful to Stimulate Students' Creativity and Innovation, and Create Conditions for Students to Combine Theory with Practice Colleges and universities establish and develop majors related to production practice, and carry out teaching methods into learning. This teaching system provides students with good practice conditions and rare opportunities for exercise. In the courses of study related practice, students in the teacher's leadership, under the guidance of professional, apply the professional knowledge of the teacher has taught into practice, so that the students have a more profound understanding of basic specialized knowledge, and more enhanced skillfully use this professional knowledge to solve the problems in the actual situation in this major. Moreover, the combination of production and education will stimulate the potential creativity of students, and encourage students to make continuous progress and innovation in practice, which is more conducive to their future development. Suchinnovativethinking,innovativeabilityandinnovativetalentcultivationexactlymeet the development of the school, the industry and the country [1]. 3 The Current Situation of Our SCHOOl's Civil Engineering Structure Experiment to Promote the Combination of Production and Education of Online and Ofﬂine Mixed Information Teaching Reform 3.1 The School Promotes the Integration of Industry and Education Changchun Institute of Technology at present belongs to the people's government of Jilin province, the architectural college of Changchun, Changchun industrial college, Changchun college of hydraulic and electric engineering, three national excellent college merge and become, is a key technology is given priority to, and the fusion tube, arts, the sciences, arts disciplines province-owned universities. Since several junior colleges are national excellent junior colleges with 50 years of running experience, Changchun Institute of Technology, on the basis of integrating the advantages of these schools and combining with its own characteristics, presents a diversiﬁed development trend of these disciplines. Application-oriented undergraduate education has played a very positive role in promoting China's economic and social development. It has also cultivated a lot of highly skilled talents for our country, and played a positive role in meeting the needs of high-level application-oriented talents and promoting China's higher education to the Chinese people. Therefore, the school attaches great importance to students' practical courses, and constantly strengthens the implementation of student-centered integration of production and education. Since mergers create, gradually establishing basic computer learning training center in the university, and engineering skills training base, advanced high-tech technology training center, the power system simulation training bases, civil engineering construction Training Center, modern business simulation training practice base and management engineering internship training base and so on 10 campus practice training center, In addition, there are 131 off-campus practice training bases for students' practical training, 84 of which are in normal operation, providing students with learning convenience. There are also 4 practical training demonstration centers of Jilin Province level, which provide practical places for students' study and life. 3.2 Mixed Online and Ofﬂine Teaching Information-based teaching can not only improve teachers' application level of information technology, update teaching concepts, change teaching methods and improve teaching effects, but also encourage students to use information technology to learn independently, enhance the ability to analyze and solve problems by using information technology, and improve students' comprehensive literacy. Information-based teaching can also break the barriers between school and society, realize complementary advantages, learn from each other, strengthen the adaptability of students. The training of applied talents also needs to strengthen the training of professional core competence, so the training curriculum system is very demanding. For civil engineering majors, courses in building structures include analysis and testing of building structures, so this course requires high practical ability, and it is particularly important for vocational ability training. Therefore, how to make students learn this course well is very important. For this course, the blended teaching method of MOOC online and BOPPPS ofﬂine is adopted. Finally, students can master the relevant knowledge of systematic structural design, have the ability to solve architectural structural design problems, determine the layout scheme of various structures according to the needs, and conduct structural analysis. The teaching method is for students to watch MOOC videos in advance to preview what they have learned, make notes and upload them for the teacher to check. Discuss in groups, ﬁnd cases related to what you have learned, and summarize them. Finally, the results of this class are tested by in-class tests. Through these teaching methods in class, we have cultivated the good learning habits of teamwork and self-disciplined learning among students. Students establish a good thinking mode of ﬁnding problems actively. A very important part of this course is the experiment of building structure. This course has strong practical ability. After years of teaching experience, the course teaching process has been a complete set of teaching process [5]. Forexample,animportantexperimentinthiscourseistotestthecompressivestrength of concrete with the rebound instrument method. When teaching students about this experiment, teachers will clearly tell students about the basic knowledge of the experiment. Students divide the test area according to the relevant principles. When students measure, make the axis of the rebound instrument always perpendicular to the component plane. Students bounce back 16 times for each test area. Test the depth of concrete carbonation layer after students rebound. The test Angle is corrected ﬁrst, and then the test surface is corrected. According to the measured depth of carbonation layer and the corrected rebound value, the strength values of each test area can be obtained from the table. The average strength value of concrete of structure or component can be calculated from the strength value obtained from the table in each test area [6]. As shown in Table 1 Rebound data. The ﬁrst three values in the table are the minimum values, and the last three values are the maximum values. In the process of data processing, three minimum values and three maximum values are removed from the 16 rebound values, and the remaining 10 average values are taken. The rebound instrument method mainly uses the mutual relationship between the strength of concrete and the surface hardness to indirectly test the strength of concrete by the method of testing the surface hardness of concrete. Figure 1 shows the test of rebound Angle regulator. The teacher will tell the students how to use the rebound instrument is very important, in the use of the spring rod has been extended against the concrete test area, light pressure cap tail, then measured the rebound value of this area. Teachers often tell students that these are basic experimental operations, and this test method is often used in engineering practice. Therefore, students must master such basic experimental skills, which is more conducive to the students to integrate into the enterprise practice as soon as possible. Our school also constantly encourages innovative experiments. Our teachers lead students to form research groups to carry out research projects, so as to open up our students' innovative thinking and promote the development of the whole civil engineering industry. After ﬁnishing the experiment, the teacher will tell the students that it is also very important to ﬁll in the experiment report, which records the experimental data of the experiment done by the students. However, in the traditional teaching mode Table 1. Rebound data \| Serial number \| \| \| \| \| \|---\|---\|---\|---\|---\| \| 1 \| 39 \| 47 \| 45 \| 39 \| \| 2 \| 40 \| 50 \| 49 \| 40 \| \| 3 \| 43 \| 52 \| 50 \| 45 \| \| 4 \| 45 \| 54 \| 52 \| 46 \| \| 5 \| 58 \| 56 \| 54 \| 48 \| \| 6 \| 58 \| 56 \| 56 \| 56 \| \| 7 \| 58 \| 56 \| 58 \| 58 \| \| 8 \| 58 \| 58 \| 58 \| 58 \| \| 9 \| 58 \| 59 \| 58 \| 59 \| \| 10 \| 59 \| 59 \| 58 \| 59 \| \| 11 \| 60 \| 60 \| 58 \| 60 \| \| 12 \| 60 \| 60 \| 58 \| 60 \| \| 13 \| 60 \| 60 \| 58 \| 61 \| \| 14 \| 60 \| 60 \| 58 \| 61 \| \| 15 \| 60 \| 60 \| 60 \| 62 \| \| 16 \| 60 \| 62 \| 60 \| 62 \| \| Mean value \| 59.3 \| 59.4 \| 58.4 \| 60 \| Note: Table source: The data comes from the architectural structure course example of Civil engineering major of Changchun Institute of Technology Fig. 1. The regulation of the Angle of rebound instrument test. Note: Picture source: The picture is from the teaching plan of Civil Engineering major Architectural structure course of Changchun Institute of Technology. of our school, our students are learning mechanically, ﬁlling in and writing exactly what the teacher says, which also loses the original purpose of doing experiments. If we want to make progress and development, we need to break the traditional inherent mode, according to each group's own experimental procedures and methods to write experimental reports, to truly reﬂect the results of their own experiments. 3.3 sap2000 Software Finite Element Model Analysis Due to the limitations of test scale, test site, equipment capacity and test funds, the vast majority of structural test objects are using structural models. As computers become more powerful, ﬁnite element analysis, which used to be done with servers, can now be done with cheaper personal computers and even portable laptops [9]. As an important auxiliary means of engineering, ﬁnite element analysis has become an easy tool for engineering and technical personnel and even students. At present, the graduation design of civil engineering major in China is centered on information, innovation, engineering application and other directions, and these are inseparable from the application of civil engineering computer software. With the deepening of ﬁnite element concept in universities and design institutes, both students, teachers and designers will inevitably come into contact with or use ﬁnite element software in daily life. The most basic concept of ﬁnite element method is to solve the problem of seismic performance by dividing the object of analysis into ﬁnite modules, as shown in Fig. 2, components in the ﬁnite element model are divided into grids, then these small blocks are analyzed and the results are combined to ﬁnd a solution for the entire building structure. Studentsusesap2000softwaretoconductpushoveranalysisandtimehistoryanalysis of the structure. Through the analysis of concrete frame structure, Fig. 3 shows the structural model of SAP2000 concrete frame. Pushover method and time history analysis make designers understand the response of structure under earthquake to a certain extent, and ﬁnd the weak link in the structure. SAP2000 software has an integrated user interface. Model establishment, analysis, designandresultdisplayarecarriedoutunderauniﬁedinterface.Itissuitableforstudents who are new to ﬁnite element software and can establish good spatial imagination and structuralanalysisabilitywiththehelpofthissoftware[10].WhentheSAP2000software is used to model the seismic load analysis of the concrete frame, the results of modal analysis and response spectrum analysis can be quickly obtained by using the linear static analysis method, and the shear force and bending moment of the section of each member of the frame can be calculated, and the SAP2000 software can be used to determine whether the section of the member meets the bearing capacity requirements. Figure 4 shows the bending moment diagram of the column. At the same time, the SAP2000 Fig. 2. Mesh of components in ﬁnite element model. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. Fig. 3. Sap2000 software concrete frame structure analysis. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. software can check the design of the structural member according to the Chinese code, and get the member that does not meet the requirements of the code [7]. Fig. 4. Bending moment diagram of column. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. Table 2. Internal force data of a position of frame under different working conditions \| Working condition \| Qy \| Qx \| \|---\|---\|---\| \| Position (Relative to both ends) \| Node179 (0m)–158(2.4m) \| Node98 (0m)–122(8m) \| \| Maximum shear value V2 \| 77KN(at2.4m) \| 33.673KN(at8m) \| \| Maximum bending moment M3 \| −277.5245KN.m(at2.4m) \| 134.8484KN.m(at2.4m) \| \| Maximum deflection value \| −0.000162m(at1.44m) \| 0.001467m(at1.5m) \| Note: Table source: The data comes from the structural software course assignment report of structural engineering students in Changchun Institute of Technology In the SAP2000 software, drawings can be drawn by CAD and imported into the SAP2000 software for the modeling and analysis of steel structures. Moreover, the modeling of SAP2000 software can observe the deformation and load of structures from a 3D perspective. The three-dimensional image view effect enhances students' understanding of course knowledge. Figure 5 shows the CAD model imported for modeling analysis. A middle school comprehensive experimental building project ﬁve ﬂoors on the ground, 19 m high, the main functions of the building for laboratory, classroom, lecture hall; There is a basement under the ground, and the main building functions are parking garage, equipment room and air defense basement. String beam structure is located in the multifunctional lecture hall area on the fourth ﬂoor of the laboratory building. CAD drawing model, and then the upper string, lower string, strut, purline in turn into SAP2000 software. PE cable with software deﬁned material Q345 and 1670. Deﬁne the cross section as the strut H300x300x12x20 lower string H400x300x12x30 purline H500x200x10x12 upper string H500x400x14x35. After deﬁning the material and section, select the object group, and specify the upper chord, lower chord, strut frame section and material in turn. Deﬁne the cable section and draw the cable with the default Settings. Because the situation of the support is not easy to judge, it is ﬁrst analyzed according to the assumption that both ends are ﬁxed and one end is sliding. The main internal function of the girder is prestress, and the external load is dead load, live load and temperature load. Dead load: In order to more clearly reﬂect the inﬂuence of load application sequence on the calculation of string beam structure, dead load is divided into two parts: structural dead weight and external permanent load. Temperature load: According to the local meteorological data, the closing temperature of the steel structure of the awning is 15 ± 5 °C, and the temperature difference is mainly 35 °C. Considering the above meteorological data, the closing temperature is assumed to be 20 °C, and the temperature difference when considering use is ± 30 °C. Two temperature loads of ± 30 °C are deﬁned. Prestress: The effect of prestress in SAP2000 can be considered in terms of temperature load. Using the linear expansion coefﬁcient of the material, the prestress applied to the cable can be simulated by cooling the wire cable unit. Figure 6 shows the ﬁnite element analysis of the model. Table 2 shows the internal force data of a certain position under different working conditions. Fig. 5. CAD model of string beam structure. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. Fig. 6. Finite element model analysis of string beam structure. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. 3.4 Introduce Structural Design Competition for College Students to Improve Their Interest in Learning The National College Students Structural Design Competition is a discipline competition with the highest recognition in civil engineering majors [8]. The competition aims to improve students' hands-on ability, cultivate their innovation ability and team consciousness, and enable students to "learn by doing" and "learn by doing". For students majoring in civil engineering, by participating in structural design competition, they can exercise their computer drawing and modeling ability, improve their ability to analyze and solve problems, and also exercise their practical ability, which will be helpful for future employment. Since August 1, 2021, the teaching reform and practice of civil engineering structure experiment course of "Excellence Plan Class" in our school has been put into practice, and won the special prize in the 2019 Jilin University Students Structure Design Competition, and won the ﬁrst prize in the research and application of complete set technology of prefabricated concrete structure in 2020. Through the cooperation between schools and enterprises, the course content is connected with vocational practice, which is an important way to cultivate talents for application-oriented undergraduates. Through cooperation with enterprises, our school is more conducive to the development of students, the school and even the whole industry. 4 In View of the Civil Engineering Structural Test of Our School, the Corresponding Measures to Further Promote the Integration of Production and Education 4.1 Improve and Optimize the Teaching System Through the combination of theory and practice to establish a scientiﬁc and reasonable modular curriculum system, and after the completion of phased learning skills assessment,toensurethatstudentsmastertheoperation,tobetterintegrateintothedevelopment of the enterprise. Reform and practice should also be carried out in practice courses to better support the orientation of civil engineering "excellence Plan class" professional personnel training [2]. 4.2 Improve the Professional Construction of Laboratory Personnel No matter what industry or ﬁeld, professionalism is always the most critical weapon to win. Laboratory related personnel must strengthen learning, requirements to achieve enough professional. At present, relying on the course of "Civil Engineering Structural Test" of "Excellence Program Class", and through the development of series of experiments, the laboratory construction is further promoted, and the professional ability and management level of laboratory teachers are improved [4]. 4.3 The School Strengthens the Communication with the Enterprise The main problem of the insufﬁcient integration of production and education is that the connection between the school and the enterprise is not close enough. Because the two subjects are in different environments and do different work, there are great differences between the cultures, and the work practice is not comprehensive enough in the minds of students. Therefore, it is necessary to strengthen the communication and cooperation between the school and the enterprise. Schools can invite enterprises to preach on campus, or put the research projects of the research group into the practice work of enterprises [3]. 5 Conclusions Underthebackgroundofintegrationofindustryandeducation,throughschool-enterprise cooperation, teaching content and work content are connected, and teaching process and production process are connected. Since the reform of curriculum teaching, the students' learning enthusiasm has been greatly improved, the learning effect has been signiﬁcantly enhanced, and the unqualiﬁed students have been gradually reduced. In the follow-up study of relevant courses, students have shown a relatively solid theoretical knowledge and basic skills. The reform and innovation of architectural structure curriculum reform in the application of civil engineering teaching is the historical mission given to teachers in the information age. It is the requirement of new engineering teaching reform and information-based teaching to reform the teaching content of experimental application of building structure and to innovate its teaching mode and evaluation system. With the actual architectural structure test as the carrier, the teaching content of architectural structure test and its software is constantly enriched through the combination of online and ofﬂine teaching, and the teaching mode and teaching effect of the integration of production and teaching are constantly completed. Acknowledgments. Jilin Province higher education teaching reform research topic. Teaching reform and practice of civil engineering structure experiment course in "Excellent Planning Class", Research on stable bearing capacity of concrete ﬁlled steel tube parabolic hingeless arch in plane. Project number: JJKH20180992KJ, 2021cit002. References 1. Liu, Y., Xiang, G., Wang, J. (2015) Study on the model of production-education integration and its inﬂuencing factors in applied universities. Higher Education Research in China., 5: 64–68. 2. Huang, Q. (2019) Analysis on the talent training Mode of "Integration of Production and Education". Science and Technology in Chinese Universities, 9: 66–68. 3. Li, Z. (2018) The obstacles of production-education integration in vocational education and its resolution. Higher Education Research in China., 9: 87–92. 4. Zheng,J.,Yao,R.,Wang,X.(2016)Thinkingandpracticeof"ArchitecturalStructure"curriculum reform under the background of production-education integration. Journal of Yangzhou Education Institute., 4: 64–67. 5. Chen, H., Li, W. (2020) Teaching reform of structural software course in Civil engineering major team type independent study defense model. Sichuan architecture., 4: 351–352. 6. Zhuang, P., Zhao, C., Zeng, J. (2015) Application of structural software in civil engineering design practice course. Shanxi architecture., 27: 222–224. 7. Li, G., Yang, H., Guo, N., Xu, M. (2022) On the teaching Practice of "Structural Design Software and Application" course. Anhui architecture., 9: 83–84. 8. Zhang, Y. (2022) The teaching status and improvement measures of the course "Experiment on the Principle of Concrete Structure Design" Take the School of Civil Engineering of Qinghai University as an example. Quality education in western China., 10: 160–162. 9. An, Y. (2016) Finite element mechanical analysis of building structure. China Construction., 1: 124–125. 10. Dai, S., Xin, Z., Hou, S., Zhang, S. (2018) The application of SAP2000 in the teaching of Advanced Steel Structure Theory. Popular science and technology., 9: 83–85. Open Access This chapter is licensed under the terms of the Creative Commons AttributionNonCommercial 4.0 International License (http://creativecommons.org/licenses/by-nc/4.0/), which permits any noncommercial use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license and indicate if changes were made. The images or other third party material in this chapter are included in the chapter's Creative Commons license, unless indicated otherwise in a credit line to the material. If material is not included in the chapter's Creative Commons license and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder.	<urn:uuid:b260fcb8-ecfc-47d9-bbfc-9af63e06a0ca>	CC-MAIN-2024-51	https://www.atlantis-press.com/article/125988317.pdf	2024-12-02T10:17:23+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-51/subset=warc/part-00252-b392068a-8e35-4497-8fab-a691b1a71843.c000.gz.parquet	604,033,497	5,731	eng_Latn	eng_Latn	0.990619	eng_Latn	0.995959	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2631, 5334, 9774, 12349, 13671, 16432, 17605, 20431, 22787, 25656, 28280 ]	Finite Element Software Analysis of Engineering Structure Test and Teaching Reform of Integration of Production and Teaching Kun Zhu ( B ) , Zaiyong Ma, Furong Wang, Lijuan Geng, Ruitian Wu, Xianyue Meng, Lin Wang, and Hui Gao Changchun Institute of Technology, Chaoyang, Changchun, Jilin, China [email protected] Abstract. The reform of information teaching in civil engineering specialty is an inevitable result under the background of information age. The course of architectural structure is a very important course of civil engineering, and civil engineering is a very practical major. Most of the civil structure test work needs to be completed with the help of computer software analysis, the industry to civil engineering students software application ability requirements are increasingly high. How to carry out the ﬁnite element software analysis teaching of structural test has become the key to cultivate applied civil engineering professionals. It not only enables students to master the basic theory of building structure test, but also cultivates students' ability of test design operation and SAP2000 software to establish ﬁnite element model. In the teaching, sap2000 software was used to analyze the ﬁnite element model of concrete frame and string beam structure. In order to better complete the ﬁnite element software information teaching of this course, reform the teaching method, adopt the combination of online and ofﬂine teaching, and better apply the teaching method of the integration of production and teaching, put forward some targeted solutions. Keywords: Teaching reform · Finite element software · Integration of production and education 1 Introduction The integration of industry and education is the deep cooperation between industry and education. The integration of industry and education more closely combines industry practice with teaching and learning. The school has become a center of talent cultivation and a practical place of production for scientiﬁc research and cultivation. In his report to the 19th National Congress in 2017, the General Secretary put forward the idea of deepening the integration of industry and education. It is also mentioned in the Implementation Plan of the National Vocational Education Reform that enterprises should actively support the vocational education of Chinese students and focus on cultivating high-level, high-tech, skilled and high-quality talents. Therefore, vocational education in China is not only facing the old problems of continuing to strengthen industry-education X. Yuan et al. (Eds.): ICEKIM 2023, AHCS 13, pp. 1621–1631, 2023. integration and school-enterprise cooperation, but also facing the new task of how to promote the training of applied talents. We are very urgently aware of the importance of the integration of industry and education, and we have put forward a plan to promote the integration of industry and education. 2 The Necessity of Promoting the Integration of Industry and Education in Civil Engineering Structural Test 2.1 It is Conducive to Promoting the Healthy Development of Vocational Education Vocational education is an important approach to cultivating high-skilled talents, and the development of our country more from a large number of skilled talents in high technology, high technology talented person is the pioneer of scientiﬁc and technological achievements into real life, science and technology thought idea into reality, cannot leave the efforts of high-tech talent, innovation of science and technology experts is extremely valuable spiritual and social wealth, Highly skilled people also play an irreplaceable role. They turn ideas into reality and have strong creativity. Both of them are the talents that our country needs in the journey of building a great modern socialist country. Therefore, colleges and universities set up a strong practical major on the knowledge of students, quality also put forward higher requirements. The training idea of "integration of production and education" is in line with this way of training high-skilled talents, and colleges and universities should vigorously support and promote it. 2.2 It is Helpful to Stimulate Students' Creativity and Innovation, and Create Conditions for Students to Combine Theory with Practice Colleges and universities establish and develop majors related to production practice, and carry out teaching methods into learning. This teaching system provides students with good practice conditions and rare opportunities for exercise. In the courses of study related practice, students in the teacher's leadership, under the guidance of professional, apply the professional knowledge of the teacher has taught into practice, so that the students have a more profound understanding of basic specialized knowledge, and more enhanced skillfully use this professional knowledge to solve the problems in the actual situation in this major. Moreover, the combination of production and education will stimulate the potential creativity of students, and encourage students to make continuous progress and innovation in practice, which is more conducive to their future development. Suchinnovativethinking,innovativeabilityandinnovativetalentcultivationexactlymeet the development of the school, the industry and the country [1]. 3 The Current Situation of Our SCHOOl's Civil Engineering Structure Experiment to Promote the Combination of Production and Education of Online and Ofﬂine Mixed Information Teaching Reform 3.1 The School Promotes the Integration of Industry and Education Changchun Institute of Technology at present belongs to the people's government of Jilin province, the architectural college of Changchun, Changchun industrial college, Changchun college of hydraulic and electric engineering, three national excellent college merge and become, is a key technology is given priority to, and the fusion tube, arts, the sciences, arts disciplines province-owned universities. Since several junior colleges are national excellent junior colleges with 50 years of running experience, Changchun Institute of Technology, on the basis of integrating the advantages of these schools and combining with its own characteristics, presents a diversiﬁed development trend of these disciplines. Application-oriented undergraduate education has played a very positive role in promoting China's economic and social development. It has also cultivated a lot of highly skilled talents for our country, and played a positive role in meeting the needs of high-level application-oriented talents and promoting China's higher education to the Chinese people. Therefore, the school attaches great importance to students' practical courses, and constantly strengthens the implementation of student-centered integration of production and education. Since mergers create, gradually establishing basic computer learning training center in the university, and engineering skills training base, advanced high-tech technology training center, the power system simulation training bases, civil engineering construction Training Center, modern business simulation training practice base and management engineering internship training base and so on 10 campus practice training center, In addition, there are 131 off-campus practice training bases for students' practical training, 84 of which are in normal operation, providing students with learning convenience. There are also 4 practical training demonstration centers of Jilin Province level, which provide practical places for students' study and life. 3.2 Mixed Online and Ofﬂine Teaching Information-based teaching can not only improve teachers' application level of information technology, update teaching concepts, change teaching methods and improve teaching effects, but also encourage students to use information technology to learn independently, enhance the ability to analyze and solve problems by using information technology, and improve students' comprehensive literacy. Information-based teaching can also break the barriers between school and society, realize complementary advantages, learn from each other, strengthen the adaptability of students. The training of applied talents also needs to strengthen the training of professional core competence, so the training curriculum system is very demanding. For civil engineering majors, courses in building structures include analysis and testing of building structures, so this course requires high practical ability, and it is particularly important for vocational ability training. Therefore, how to make students learn this course well is very important. For this course, the blended teaching method of MOOC online and BOPPPS ofﬂine is adopted. Finally, students can master the relevant knowledge of systematic structural design, have the ability to solve architectural structural design problems, determine the layout scheme of various structures according to the needs, and conduct structural analysis. The teaching method is for students to watch MOOC videos in advance to preview what they have learned, make notes and upload them for the teacher to check. Discuss in groups, ﬁnd cases related to what you have learned, and summarize them. Finally, the results of this class are tested by in-class tests. Through these teaching methods in class, we have cultivated the good learning habits of teamwork and self-disciplined learning among students. Students establish a good thinking mode of ﬁnding problems actively. A very important part of this course is the experiment of building structure. This course has strong practical ability. After years of teaching experience, the course teaching process has been a complete set of teaching process [5]. Forexample,animportantexperimentinthiscourseistotestthecompressivestrength of concrete with the rebound instrument method. When teaching students about this experiment, teachers will clearly tell students about the basic knowledge of the experiment. Students divide the test area according to the relevant principles. When students measure, make the axis of the rebound instrument always perpendicular to the component plane. Students bounce back 16 times for each test area. Test the depth of concrete carbonation layer after students rebound. The test Angle is corrected ﬁrst, and then the test surface is corrected. According to the measured depth of carbonation layer and the corrected rebound value, the strength values of each test area can be obtained from the table. The average strength value of concrete of structure or component can be calculated from the strength value obtained from the table in each test area [6]. As shown in Table 1 Rebound data. The ﬁrst three values in the table are the minimum values, and the last three values are the maximum values. In the process of data processing, three minimum values and three maximum values are removed from the 16 rebound values, and the remaining 10 average values are taken. The rebound instrument method mainly uses the mutual relationship between the strength of concrete and the surface hardness to indirectly test the strength of concrete by the method of testing the surface hardness of concrete. Figure 1 shows the test of rebound Angle regulator. The teacher will tell the students how to use the rebound instrument is very important, in the use of the spring rod has been extended against the concrete test area, light pressure cap tail, then measured the rebound value of this area. Teachers often tell students that these are basic experimental operations, and this test method is often used in engineering practice. Therefore, students must master such basic experimental skills, which is more conducive to the students to integrate into the enterprise practice as soon as possible. Our school also constantly encourages innovative experiments. Our teachers lead students to form research groups to carry out research projects, so as to open up our students' innovative thinking and promote the development of the whole civil engineering industry. After ﬁnishing the experiment, the teacher will tell the students that it is also very important to ﬁll in the experiment report, which records the experimental data of the experiment done by the students. However, in the traditional teaching mode Table 1. Rebound data \| Serial number \| \| \| \| \| \|---\|---\|---\|---\|---\| \| 1 \|	39 \| 47 \| 45 \| 39 \| \| 2 \| 40 \| 50 \| 49 \| 40 \| \| 3 \| 43 \| 52 \| 50 \| 45 \| \| 4 \| 45 \| 54 \| 52 \| 46 \| \| 5 \| 58 \| 56 \| 54 \| 48 \| \| 6 \| 58 \| 56 \| 56 \| 56 \| \| 7 \| 58 \| 56 \| 58 \| 58 \| \| 8 \| 58 \| 58 \| 58 \| 58 \| \| 9 \| 58 \| 59 \| 58 \| 59 \| \| 10 \| 59 \| 59 \| 58 \| 59 \| \| 11 \| 60 \| 60 \| 58 \| 60 \| \| 12 \| 60 \| 60 \| 58 \| 60 \| \| 13 \| 60 \| 60 \| 58 \| 61 \| \| 14 \| 60 \| 60 \| 58 \| 61 \| \| 15 \| 60 \| 60 \| 60 \| 62 \| \| 16 \| 60 \| 62 \| 60 \| 62 \| \| Mean value \| 59.	3 \| 59.4 \| 58.4 \| 60 \| Note: Table source: The data comes from the architectural structure course example of Civil engineering major of Changchun Institute of Technology Fig. 1. The regulation of the Angle of rebound instrument test. Note: Picture source: The picture is from the teaching plan of Civil Engineering major Architectural structure course of Changchun Institute of Technology. of our school, our students are learning mechanically, ﬁlling in and writing exactly what the teacher says, which also loses the original purpose of doing experiments. If we want to make progress and development, we need to break the traditional inherent mode, according to each group's own experimental procedures and methods to write experimental reports, to truly reﬂect the results of their own experiments. 3.3 sap2000 Software Finite Element Model Analysis Due to the limitations of test scale, test site, equipment capacity and test funds, the vast majority of structural test objects are using structural models. As computers become more powerful, ﬁnite element analysis, which used to be done with servers, can now be done with cheaper personal computers and even portable laptops [9]. As an important auxiliary means of engineering, ﬁnite element analysis has become an easy tool for engineering and technical personnel and even students. At present, the graduation design of civil engineering major in China is centered on information, innovation, engineering application and other directions, and these are inseparable from the application of civil engineering computer software. With the deepening of ﬁnite element concept in universities and design institutes, both students, teachers and designers will inevitably come into contact with or use ﬁnite element software in daily life. The most basic concept of ﬁnite element method is to solve the problem of seismic performance by dividing the object of analysis into ﬁnite modules, as shown in Fig. 2, components in the ﬁnite element model are divided into grids, then these small blocks are analyzed and the results are combined to ﬁnd a solution for the entire building structure. Studentsusesap2000softwaretoconductpushoveranalysisandtimehistoryanalysis of the structure. Through the analysis of concrete frame structure, Fig. 3 shows the structural model of SAP2000 concrete frame. Pushover method and time history analysis make designers understand the response of structure under earthquake to a certain extent, and ﬁnd the weak link in the structure. SAP2000 software has an integrated user interface. Model establishment, analysis, designandresultdisplayarecarriedoutunderauniﬁedinterface.Itissuitableforstudents who are new to ﬁnite element software and can establish good spatial imagination and structuralanalysisabilitywiththehelpofthissoftware[10].WhentheSAP2000software is used to model the seismic load analysis of the concrete frame, the results of modal analysis and response spectrum analysis can be quickly obtained by using the linear static analysis method, and the shear force and bending moment of the section of each member of the frame can be calculated, and the SAP2000 software can be used to determine whether the section of the member meets the bearing capacity requirements. Figure 4 shows the bending moment diagram of the column. At the same time, the SAP2000 Fig. 2. Mesh of components in ﬁnite element model. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. Fig. 3. Sap2000 software concrete frame structure analysis. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. software can check the design of the structural member according to the Chinese code, and get the member that does not meet the requirements of the code [7]. Fig. 4. Bending moment diagram of column. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. Table 2. Internal force data of a position of frame under different working conditions \| Working condition \| Qy \| Qx \| \|---\|---\|---\| \| Position (Relative to both ends) \| Node179 (0m)–158(2.4m) \| Node98 (0m)–122(8m) \| \| Maximum shear value V2 \| 77KN(at2.4m) \| 33.673KN(at8m) \| \| Maximum bending moment M3 \| −277.5245KN.m(at2.4m) \| 134.8484KN.m(at2.4m) \| \| Maximum deflection value \| −0.000162m(at1.44m) \| 0.001467m(at1.5m) \| Note: Table source: The data comes from the structural software course assignment report of structural engineering students in Changchun Institute of Technology In the SAP2000 software, drawings can be drawn by CAD and imported into the SAP2000 software for the modeling and analysis of steel structures. Moreover, the modeling of SAP2000 software can observe the deformation and load of structures from a 3D perspective. The three-dimensional image view effect enhances students' understanding of course knowledge. Figure 5 shows the CAD model imported for modeling analysis. A middle school comprehensive experimental building project ﬁve ﬂoors on the ground, 19 m high, the main functions of the building for laboratory, classroom, lecture hall; There is a basement under the ground, and the main building functions are parking garage, equipment room and air defense basement. String beam structure is located in the multifunctional lecture hall area on the fourth ﬂoor of the laboratory building. CAD drawing model, and then the upper string, lower string, strut, purline in turn into SAP2000 software. PE cable with software deﬁned material Q345 and 1670. Deﬁne the cross section as the strut H300x300x12x20 lower string H400x300x12x30 purline H500x200x10x12 upper string H500x400x14x35. After deﬁning the material and section, select the object group, and specify the upper chord, lower chord, strut frame section and material in turn. Deﬁne the cable section and draw the cable with the default Settings. Because the situation of the support is not easy to judge, it is ﬁrst analyzed according to the assumption that both ends are ﬁxed and one end is sliding. The main internal function of the girder is prestress, and the external load is dead load, live load and temperature load. Dead load: In order to more clearly reﬂect the inﬂuence of load application sequence on the calculation of string beam structure, dead load is divided into two parts: structural dead weight and external permanent load. Temperature load: According to the local meteorological data, the closing temperature of the steel structure of the awning is 15 ± 5 °C, and the temperature difference is mainly 35 °C. Considering the above meteorological data, the closing temperature is assumed to be 20 °C, and the temperature difference when considering use is ± 30 °C. Two temperature loads of ± 30 °C are deﬁned. Prestress: The effect of prestress in SAP2000 can be considered in terms of temperature load. Using the linear expansion coefﬁcient of the material, the prestress applied to the cable can be simulated by cooling the wire cable unit. Figure 6 shows the ﬁnite element analysis of the model. Table 2 shows the internal force data of a certain position under different working conditions. Fig. 5. CAD model of string beam structure. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. Fig. 6. Finite element model analysis of string beam structure. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. 3.4 Introduce Structural Design Competition for College Students to Improve Their Interest in Learning The National College Students Structural Design Competition is a discipline competition with the highest recognition in civil engineering majors [8]. The competition aims to improve students' hands-on ability, cultivate their innovation ability and team consciousness, and enable students to "learn by doing" and "learn by doing". For students majoring in civil engineering, by participating in structural design competition, they can exercise their computer drawing and modeling ability, improve their ability to analyze and solve problems, and also exercise their practical ability, which will be helpful for future employment. Since August 1, 2021, the teaching reform and practice of civil engineering structure experiment course of "Excellence Plan Class" in our school has been put into practice, and won the special prize in the 2019 Jilin University Students Structure Design Competition, and won the ﬁrst prize in the research and application of complete set technology of prefabricated concrete structure in 2020. Through the cooperation between schools and enterprises, the course content is connected with vocational practice, which is an important way to cultivate talents for application-oriented undergraduates. Through cooperation with enterprises, our school is more conducive to the development of students, the school and even the whole industry. 4 In View of the Civil Engineering Structural Test of Our School, the Corresponding Measures to Further Promote the Integration of Production and Education 4.1 Improve and Optimize the Teaching System Through the combination of theory and practice to establish a scientiﬁc and reasonable modular curriculum system, and after the completion of phased learning skills assessment,toensurethatstudentsmastertheoperation,tobetterintegrateintothedevelopment of the enterprise. Reform and practice should also be carried out in practice courses to better support the orientation of civil engineering "excellence Plan class" professional personnel training [2]. 4.2 Improve the Professional Construction of Laboratory Personnel No matter what industry or ﬁeld, professionalism is always the most critical weapon to win. Laboratory related personnel must strengthen learning, requirements to achieve enough professional. At present, relying on the course of "Civil Engineering Structural Test" of "Excellence Program Class", and through the development of series of experiments, the laboratory construction is further promoted, and the professional ability and management level of laboratory teachers are improved [4]. 4.3 The School Strengthens the Communication with the Enterprise The main problem of the insufﬁcient integration of production and education is that the connection between the school and the enterprise is not close enough. Because the two subjects are in different environments and do different work, there are great differences between the cultures, and the work practice is not comprehensive enough in the minds of students. Therefore, it is necessary to strengthen the communication and cooperation between the school and the enterprise. Schools can invite enterprises to preach on campus, or put the research projects of the research group into the practice work of enterprises [3]. 5 Conclusions Underthebackgroundofintegrationofindustryandeducation,throughschool-enterprise cooperation, teaching content and work content are connected, and teaching process and production process are connected. Since the reform of curriculum teaching, the students' learning enthusiasm has been greatly improved, the learning effect has been signiﬁcantly enhanced, and the unqualiﬁed students have been gradually reduced. In the follow-up study of relevant courses, students have shown a relatively solid theoretical knowledge and basic skills. The reform and innovation of architectural structure curriculum reform in the application of civil engineering teaching is the historical mission given to teachers in the information age. It is the requirement of new engineering teaching reform and information-based teaching to reform the teaching content of experimental application of building structure and to innovate its teaching mode and evaluation system. With the actual architectural structure test as the carrier, the teaching content of architectural structure test and its software is constantly enriched through the combination of online and ofﬂine teaching, and the teaching mode and teaching effect of the integration of production and teaching are constantly completed. Acknowledgments. Jilin Province higher education teaching reform research topic. Teaching reform and practice of civil engineering structure experiment course in "Excellent Planning Class", Research on stable bearing capacity of concrete ﬁlled steel tube parabolic hingeless arch in plane. Project number: JJKH20180992KJ, 2021cit002. References 1. Liu, Y., Xiang, G., Wang, J. (2015) Study on the model of production-education integration and its inﬂuencing factors in applied universities. Higher Education Research in China., 5: 64–68. 2. Huang, Q. (2019) Analysis on the talent training Mode of "Integration of Production and Education". Science and Technology in Chinese Universities, 9: 66–68. 3. Li, Z. (2018) The obstacles of production-education integration in vocational education and its resolution. Higher Education Research in China., 9: 87–92. 4. Zheng,J.,Yao,R.,Wang,X.(2016)Thinkingandpracticeof"ArchitecturalStructure"curriculum reform under the background of production-education integration. Journal of Yangzhou Education Institute., 4: 64–67. 5. Chen, H., Li, W. (2020) Teaching reform of structural software course in Civil engineering major team type independent study defense model. Sichuan architecture., 4: 351–352. 6. Zhuang, P., Zhao, C., Zeng, J. (2015) Application of structural software in civil engineering design practice course. Shanxi architecture., 27: 222–224. 7. Li, G., Yang, H., Guo, N., Xu, M. (2022) On the teaching Practice of "Structural Design Software and Application" course. Anhui architecture., 9: 83–84. 8. Zhang, Y. (2022) The teaching status and improvement measures of the course "Experiment on the Principle of Concrete Structure Design" Take the School of Civil Engineering of Qinghai University as an example. Quality education in western China., 10: 160–162. 9. An, Y. (2016) Finite element mechanical analysis of building structure. China Construction., 1: 124–125. 10. Dai, S., Xin, Z., Hou, S., Zhang, S. (2018) The application of SAP2000 in the teaching of Advanced Steel Structure Theory. Popular science and technology., 9: 83–85. Open Access This chapter is licensed under the terms of the Creative Commons AttributionNonCommercial 4.0 International License (http://creativecommons.org/licenses/by-nc/4.0/), which permits any noncommercial use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license and indicate if changes were made. The images or other third party material in this chapter are included in the chapter's Creative Commons license, unless indicated otherwise in a credit line to the material. If material is not included in the chapter's Creative Commons license and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder.	12,445	beginning_of_word	39	remove_one_sentence	<url> https://www.atlantis-press.com/article/125988317.pdf </url> <text> Finite Element Software Analysis of Engineering Structure Test and Teaching Reform of Integration of Production and Teaching Kun Zhu ( B ) , Zaiyong Ma, Furong Wang, Lijuan Geng, Ruitian Wu, Xianyue Meng, Lin Wang, and Hui Gao Changchun Institute of Technology, Chaoyang, Changchun, Jilin, China [email protected] Abstract. The reform of information teaching in civil engineering specialty is an inevitable result under the background of information age. The course of architectural structure is a very important course of civil engineering, and civil engineering is a very practical major. Most of the civil structure test work needs to be completed with the help of computer software analysis, the industry to civil engineering students software application ability requirements are increasingly high. How to carry out the ﬁnite element software analysis teaching of structural test has become the key to cultivate applied civil engineering professionals. It not only enables students to master the basic theory of building structure test, but also cultivates students' ability of test design operation and SAP2000 software to establish ﬁnite element model. In the teaching, sap2000 software was used to analyze the ﬁnite element model of concrete frame and string beam structure. In order to better complete the ﬁnite element software information teaching of this course, reform the teaching method, adopt the combination of online and ofﬂine teaching, and better apply the teaching method of the integration of production and teaching, put forward some targeted solutions. Keywords: Teaching reform · Finite element software · Integration of production and education 1 Introduction The integration of industry and education is the deep cooperation between industry and education. The integration of industry and education more closely combines industry practice with teaching and learning. The school has become a center of talent cultivation and a practical place of production for scientiﬁc research and cultivation. In his report to the 19th National Congress in 2017, the General Secretary put forward the idea of deepening the integration of industry and education. It is also mentioned in the Implementation Plan of the National Vocational Education Reform that enterprises should actively support the vocational education of Chinese students and focus on cultivating high-level, high-tech, skilled and high-quality talents. Therefore, vocational education in China is not only facing the old problems of continuing to strengthen industry-education X. Yuan et al. (Eds.): ICEKIM 2023, AHCS 13, pp. 1621–1631, 2023. integration and school-enterprise cooperation, but also facing the new task of how to promote the training of applied talents. We are very urgently aware of the importance of the integration of industry and education, and we have put forward a plan to promote the integration of industry and education. 2 The Necessity of Promoting the Integration of Industry and Education in Civil Engineering Structural Test 2.1 It is Conducive to Promoting the Healthy Development of Vocational Education Vocational education is an important approach to cultivating high-skilled talents, and the development of our country more from a large number of skilled talents in high technology, high technology talented person is the pioneer of scientiﬁc and technological achievements into real life, science and technology thought idea into reality, cannot leave the efforts of high-tech talent, innovation of science and technology experts is extremely valuable spiritual and social wealth, Highly skilled people also play an irreplaceable role. They turn ideas into reality and have strong creativity. Both of them are the talents that our country needs in the journey of building a great modern socialist country. Therefore, colleges and universities set up a strong practical major on the knowledge of students, quality also put forward higher requirements. The training idea of "integration of production and education" is in line with this way of training high-skilled talents, and colleges and universities should vigorously support and promote it. 2.2 It is Helpful to Stimulate Students' Creativity and Innovation, and Create Conditions for Students to Combine Theory with Practice Colleges and universities establish and develop majors related to production practice, and carry out teaching methods into learning. This teaching system provides students with good practice conditions and rare opportunities for exercise. In the courses of study related practice, students in the teacher's leadership, under the guidance of professional, apply the professional knowledge of the teacher has taught into practice, so that the students have a more profound understanding of basic specialized knowledge, and more enhanced skillfully use this professional knowledge to solve the problems in the actual situation in this major. Moreover, the combination of production and education will stimulate the potential creativity of students, and encourage students to make continuous progress and innovation in practice, which is more conducive to their future development. Suchinnovativethinking,innovativeabilityandinnovativetalentcultivationexactlymeet the development of the school, the industry and the country [1]. 3 The Current Situation of Our SCHOOl's Civil Engineering Structure Experiment to Promote the Combination of Production and Education of Online and Ofﬂine Mixed Information Teaching Reform 3.1 The School Promotes the Integration of Industry and Education Changchun Institute of Technology at present belongs to the people's government of Jilin province, the architectural college of Changchun, Changchun industrial college, Changchun college of hydraulic and electric engineering, three national excellent college merge and become, is a key technology is given priority to, and the fusion tube, arts, the sciences, arts disciplines province-owned universities. Since several junior colleges are national excellent junior colleges with 50 years of running experience, Changchun Institute of Technology, on the basis of integrating the advantages of these schools and combining with its own characteristics, presents a diversiﬁed development trend of these disciplines. Application-oriented undergraduate education has played a very positive role in promoting China's economic and social development. It has also cultivated a lot of highly skilled talents for our country, and played a positive role in meeting the needs of high-level application-oriented talents and promoting China's higher education to the Chinese people. Therefore, the school attaches great importance to students' practical courses, and constantly strengthens the implementation of student-centered integration of production and education. Since mergers create, gradually establishing basic computer learning training center in the university, and engineering skills training base, advanced high-tech technology training center, the power system simulation training bases, civil engineering construction Training Center, modern business simulation training practice base and management engineering internship training base and so on 10 campus practice training center, In addition, there are 131 off-campus practice training bases for students' practical training, 84 of which are in normal operation, providing students with learning convenience. There are also 4 practical training demonstration centers of Jilin Province level, which provide practical places for students' study and life. 3.2 Mixed Online and Ofﬂine Teaching Information-based teaching can not only improve teachers' application level of information technology, update teaching concepts, change teaching methods and improve teaching effects, but also encourage students to use information technology to learn independently, enhance the ability to analyze and solve problems by using information technology, and improve students' comprehensive literacy. Information-based teaching can also break the barriers between school and society, realize complementary advantages, learn from each other, strengthen the adaptability of students. The training of applied talents also needs to strengthen the training of professional core competence, so the training curriculum system is very demanding. For civil engineering majors, courses in building structures include analysis and testing of building structures, so this course requires high practical ability, and it is particularly important for vocational ability training. Therefore, how to make students learn this course well is very important. For this course, the blended teaching method of MOOC online and BOPPPS ofﬂine is adopted. Finally, students can master the relevant knowledge of systematic structural design, have the ability to solve architectural structural design problems, determine the layout scheme of various structures according to the needs, and conduct structural analysis. The teaching method is for students to watch MOOC videos in advance to preview what they have learned, make notes and upload them for the teacher to check. Discuss in groups, ﬁnd cases related to what you have learned, and summarize them. Finally, the results of this class are tested by in-class tests. Through these teaching methods in class, we have cultivated the good learning habits of teamwork and self-disciplined learning among students. Students establish a good thinking mode of ﬁnding problems actively. A very important part of this course is the experiment of building structure. This course has strong practical ability. After years of teaching experience, the course teaching process has been a complete set of teaching process [5]. Forexample,animportantexperimentinthiscourseistotestthecompressivestrength of concrete with the rebound instrument method. When teaching students about this experiment, teachers will clearly tell students about the basic knowledge of the experiment. Students divide the test area according to the relevant principles. When students measure, make the axis of the rebound instrument always perpendicular to the component plane. Students bounce back 16 times for each test area. Test the depth of concrete carbonation layer after students rebound. The test Angle is corrected ﬁrst, and then the test surface is corrected. According to the measured depth of carbonation layer and the corrected rebound value, the strength values of each test area can be obtained from the table. The average strength value of concrete of structure or component can be calculated from the strength value obtained from the table in each test area [6]. As shown in Table 1 Rebound data. The ﬁrst three values in the table are the minimum values, and the last three values are the maximum values. In the process of data processing, three minimum values and three maximum values are removed from the 16 rebound values, and the remaining 10 average values are taken. The rebound instrument method mainly uses the mutual relationship between the strength of concrete and the surface hardness to indirectly test the strength of concrete by the method of testing the surface hardness of concrete. Figure 1 shows the test of rebound Angle regulator. The teacher will tell the students how to use the rebound instrument is very important, in the use of the spring rod has been extended against the concrete test area, light pressure cap tail, then measured the rebound value of this area. Teachers often tell students that these are basic experimental operations, and this test method is often used in engineering practice. Therefore, students must master such basic experimental skills, which is more conducive to the students to integrate into the enterprise practice as soon as possible. Our school also constantly encourages innovative experiments. Our teachers lead students to form research groups to carry out research projects, so as to open up our students' innovative thinking and promote the development of the whole civil engineering industry. After ﬁnishing the experiment, the teacher will tell the students that it is also very important to ﬁll in the experiment report, which records the experimental data of the experiment done by the students. However, in the traditional teaching mode Table 1. Rebound data \| Serial number \| \| \| \| \| \|---\|---\|---\|---\|---\| \| 1 \| <cursor_is_here>3 \| 59.4 \| 58.4 \| 60 \| Note: Table source: The data comes from the architectural structure course example of Civil engineering major of Changchun Institute of Technology Fig. 1. The regulation of the Angle of rebound instrument test. Note: Picture source: The picture is from the teaching plan of Civil Engineering major Architectural structure course of Changchun Institute of Technology. of our school, our students are learning mechanically, ﬁlling in and writing exactly what the teacher says, which also loses the original purpose of doing experiments. If we want to make progress and development, we need to break the traditional inherent mode, according to each group's own experimental procedures and methods to write experimental reports, to truly reﬂect the results of their own experiments. 3.3 sap2000 Software Finite Element Model Analysis Due to the limitations of test scale, test site, equipment capacity and test funds, the vast majority of structural test objects are using structural models. As computers become more powerful, ﬁnite element analysis, which used to be done with servers, can now be done with cheaper personal computers and even portable laptops [9]. As an important auxiliary means of engineering, ﬁnite element analysis has become an easy tool for engineering and technical personnel and even students. At present, the graduation design of civil engineering major in China is centered on information, innovation, engineering application and other directions, and these are inseparable from the application of civil engineering computer software. With the deepening of ﬁnite element concept in universities and design institutes, both students, teachers and designers will inevitably come into contact with or use ﬁnite element software in daily life. The most basic concept of ﬁnite element method is to solve the problem of seismic performance by dividing the object of analysis into ﬁnite modules, as shown in Fig. 2, components in the ﬁnite element model are divided into grids, then these small blocks are analyzed and the results are combined to ﬁnd a solution for the entire building structure. Studentsusesap2000softwaretoconductpushoveranalysisandtimehistoryanalysis of the structure. Through the analysis of concrete frame structure, Fig. 3 shows the structural model of SAP2000 concrete frame. Pushover method and time history analysis make designers understand the response of structure under earthquake to a certain extent, and ﬁnd the weak link in the structure. SAP2000 software has an integrated user interface. Model establishment, analysis, designandresultdisplayarecarriedoutunderauniﬁedinterface.Itissuitableforstudents who are new to ﬁnite element software and can establish good spatial imagination and structuralanalysisabilitywiththehelpofthissoftware[10].WhentheSAP2000software is used to model the seismic load analysis of the concrete frame, the results of modal analysis and response spectrum analysis can be quickly obtained by using the linear static analysis method, and the shear force and bending moment of the section of each member of the frame can be calculated, and the SAP2000 software can be used to determine whether the section of the member meets the bearing capacity requirements. Figure 4 shows the bending moment diagram of the column. At the same time, the SAP2000 Fig. 2. Mesh of components in ﬁnite element model. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. Fig. 3. Sap2000 software concrete frame structure analysis. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. software can check the design of the structural member according to the Chinese code, and get the member that does not meet the requirements of the code [7]. Fig. 4. Bending moment diagram of column. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. Table 2. Internal force data of a position of frame under different working conditions \| Working condition \| Qy \| Qx \| \|---\|---\|---\| \| Position (Relative to both ends) \| Node179 (0m)–158(2.4m) \| Node98 (0m)–122(8m) \| \| Maximum shear value V2 \| 77KN(at2.4m) \| 33.673KN(at8m) \| \| Maximum bending moment M3 \| −277.5245KN.m(at2.4m) \| 134.8484KN.m(at2.4m) \| \| Maximum deflection value \| −0.000162m(at1.44m) \| 0.001467m(at1.5m) \| Note: Table source: The data comes from the structural software course assignment report of structural engineering students in Changchun Institute of Technology In the SAP2000 software, drawings can be drawn by CAD and imported into the SAP2000 software for the modeling and analysis of steel structures. Moreover, the modeling of SAP2000 software can observe the deformation and load of structures from a 3D perspective. The three-dimensional image view effect enhances students' understanding of course knowledge. Figure 5 shows the CAD model imported for modeling analysis. A middle school comprehensive experimental building project ﬁve ﬂoors on the ground, 19 m high, the main functions of the building for laboratory, classroom, lecture hall; There is a basement under the ground, and the main building functions are parking garage, equipment room and air defense basement. String beam structure is located in the multifunctional lecture hall area on the fourth ﬂoor of the laboratory building. CAD drawing model, and then the upper string, lower string, strut, purline in turn into SAP2000 software. PE cable with software deﬁned material Q345 and 1670. Deﬁne the cross section as the strut H300x300x12x20 lower string H400x300x12x30 purline H500x200x10x12 upper string H500x400x14x35. After deﬁning the material and section, select the object group, and specify the upper chord, lower chord, strut frame section and material in turn. Deﬁne the cable section and draw the cable with the default Settings. Because the situation of the support is not easy to judge, it is ﬁrst analyzed according to the assumption that both ends are ﬁxed and one end is sliding. The main internal function of the girder is prestress, and the external load is dead load, live load and temperature load. Dead load: In order to more clearly reﬂect the inﬂuence of load application sequence on the calculation of string beam structure, dead load is divided into two parts: structural dead weight and external permanent load. Temperature load: According to the local meteorological data, the closing temperature of the steel structure of the awning is 15 ± 5 °C, and the temperature difference is mainly 35 °C. Considering the above meteorological data, the closing temperature is assumed to be 20 °C, and the temperature difference when considering use is ± 30 °C. Two temperature loads of ± 30 °C are deﬁned. Prestress: The effect of prestress in SAP2000 can be considered in terms of temperature load. Using the linear expansion coefﬁcient of the material, the prestress applied to the cable can be simulated by cooling the wire cable unit. Figure 6 shows the ﬁnite element analysis of the model. Table 2 shows the internal force data of a certain position under different working conditions. Fig. 5. CAD model of string beam structure. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. Fig. 6. Finite element model analysis of string beam structure. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology. 3.4 Introduce Structural Design Competition for College Students to Improve Their Interest in Learning The National College Students Structural Design Competition is a discipline competition with the highest recognition in civil engineering majors [8]. The competition aims to improve students' hands-on ability, cultivate their innovation ability and team consciousness, and enable students to "learn by doing" and "learn by doing". For students majoring in civil engineering, by participating in structural design competition, they can exercise their computer drawing and modeling ability, improve their ability to analyze and solve problems, and also exercise their practical ability, which will be helpful for future employment. Since August 1, 2021, the teaching reform and practice of civil engineering structure experiment course of "Excellence Plan Class" in our school has been put into practice, and won the special prize in the 2019 Jilin University Students Structure Design Competition, and won the ﬁrst prize in the research and application of complete set technology of prefabricated concrete structure in 2020. Through the cooperation between schools and enterprises, the course content is connected with vocational practice, which is an important way to cultivate talents for application-oriented undergraduates. Through cooperation with enterprises, our school is more conducive to the development of students, the school and even the whole industry. 4 In View of the Civil Engineering Structural Test of Our School, the Corresponding Measures to Further Promote the Integration of Production and Education 4.1 Improve and Optimize the Teaching System Through the combination of theory and practice to establish a scientiﬁc and reasonable modular curriculum system, and after the completion of phased learning skills assessment,toensurethatstudentsmastertheoperation,tobetterintegrateintothedevelopment of the enterprise. Reform and practice should also be carried out in practice courses to better support the orientation of civil engineering "excellence Plan class" professional personnel training [2]. 4.2 Improve the Professional Construction of Laboratory Personnel No matter what industry or ﬁeld, professionalism is always the most critical weapon to win. Laboratory related personnel must strengthen learning, requirements to achieve enough professional. At present, relying on the course of "Civil Engineering Structural Test" of "Excellence Program Class", and through the development of series of experiments, the laboratory construction is further promoted, and the professional ability and management level of laboratory teachers are improved [4]. 4.3 The School Strengthens the Communication with the Enterprise The main problem of the insufﬁcient integration of production and education is that the connection between the school and the enterprise is not close enough. Because the two subjects are in different environments and do different work, there are great differences between the cultures, and the work practice is not comprehensive enough in the minds of students. Therefore, it is necessary to strengthen the communication and cooperation between the school and the enterprise. Schools can invite enterprises to preach on campus, or put the research projects of the research group into the practice work of enterprises [3]. 5 Conclusions Underthebackgroundofintegrationofindustryandeducation,throughschool-enterprise cooperation, teaching content and work content are connected, and teaching process and production process are connected. Since the reform of curriculum teaching, the students' learning enthusiasm has been greatly improved, the learning effect has been signiﬁcantly enhanced, and the unqualiﬁed students have been gradually reduced. In the follow-up study of relevant courses, students have shown a relatively solid theoretical knowledge and basic skills. The reform and innovation of architectural structure curriculum reform in the application of civil engineering teaching is the historical mission given to teachers in the information age. It is the requirement of new engineering teaching reform and information-based teaching to reform the teaching content of experimental application of building structure and to innovate its teaching mode and evaluation system. With the actual architectural structure test as the carrier, the teaching content of architectural structure test and its software is constantly enriched through the combination of online and ofﬂine teaching, and the teaching mode and teaching effect of the integration of production and teaching are constantly completed. Acknowledgments. Jilin Province higher education teaching reform research topic. Teaching reform and practice of civil engineering structure experiment course in "Excellent Planning Class", Research on stable bearing capacity of concrete ﬁlled steel tube parabolic hingeless arch in plane. Project number: JJKH20180992KJ, 2021cit002. References 1. Liu, Y., Xiang, G., Wang, J. (2015) Study on the model of production-education integration and its inﬂuencing factors in applied universities. Higher Education Research in China., 5: 64–68. 2. Huang, Q. (2019) Analysis on the talent training Mode of "Integration of Production and Education". Science and Technology in Chinese Universities, 9: 66–68. 3. Li, Z. (2018) The obstacles of production-education integration in vocational education and its resolution. Higher Education Research in China., 9: 87–92. 4. Zheng,J.,Yao,R.,Wang,X.(2016)Thinkingandpracticeof"ArchitecturalStructure"curriculum reform under the background of production-education integration. Journal of Yangzhou Education Institute., 4: 64–67. 5. Chen, H., Li, W. (2020) Teaching reform of structural software course in Civil engineering major team type independent study defense model. Sichuan architecture., 4: 351–352. 6. Zhuang, P., Zhao, C., Zeng, J. (2015) Application of structural software in civil engineering design practice course. Shanxi architecture., 27: 222–224. 7. Li, G., Yang, H., Guo, N., Xu, M. (2022) On the teaching Practice of "Structural Design Software and Application" course. Anhui architecture., 9: 83–84. 8. Zhang, Y. (2022) The teaching status and improvement measures of the course "Experiment on the Principle of Concrete Structure Design" Take the School of Civil Engineering of Qinghai University as an example. Quality education in western China., 10: 160–162. 9. An, Y. (2016) Finite element mechanical analysis of building structure. China Construction., 1: 124–125. 10. Dai, S., Xin, Z., Hou, S., Zhang, S. (2018) The application of SAP2000 in the teaching of Advanced Steel Structure Theory. Popular science and technology., 9: 83–85. Open Access This chapter is licensed under the terms of the Creative Commons AttributionNonCommercial 4.0 International License (http://creativecommons.org/licenses/by-nc/4.0/), which permits any noncommercial use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license and indicate if changes were made. The images or other third party material in this chapter are included in the chapter's Creative Commons license, unless indicated otherwise in a credit line to the material. If material is not included in the chapter's Creative Commons license and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. </text>	[ { "content": "<url>\nhttps://www.atlantis-press.com/article/125988317.pdf\n</url>\n<text>\nFinite Element Software Analysis of Engineering Structure Test and Teaching Reform of Integration of Production and Teaching\n\nKun Zhu ( B ) , Zaiyong Ma, Furong Wang, Lijuan Geng, Ruitian Wu, Xianyue Meng, Lin Wang, and Hui Gao\n\nChangchun Institute of Technology, Chaoyang, Changchun, Jilin, China [email protected]\n\nAbstract. The reform of information teaching in civil engineering specialty is an inevitable result under the background of information age. The course of architectural structure is a very important course of civil engineering, and civil engineering is a very practical major. Most of the civil structure test work needs to be completed with the help of computer software analysis, the industry to civil engineering students software application ability requirements are increasingly high. How to carry out the ﬁnite element software analysis teaching of structural test has become the key to cultivate applied civil engineering professionals. It not only enables students to master the basic theory of building structure test, but also cultivates students' ability of test design operation and SAP2000 software to establish ﬁnite element model. In the teaching, sap2000 software was used to analyze the ﬁnite element model of concrete frame and string beam structure. In order to better complete the ﬁnite element software information teaching of this course, reform the teaching method, adopt the combination of online and ofﬂine teaching, and better apply the teaching method of the integration of production and teaching, put forward some targeted solutions.\n\nKeywords: Teaching reform · Finite element software · Integration of production and education\n\n1 Introduction\n\nThe integration of industry and education is the deep cooperation between industry and education. The integration of industry and education more closely combines industry practice with teaching and learning. The school has become a center of talent cultivation and a practical place of production for scientiﬁc research and cultivation. In his report to the 19th National Congress in 2017, the General Secretary put forward the idea of deepening the integration of industry and education. It is also mentioned in the Implementation Plan of the National Vocational Education Reform that enterprises should actively support the vocational education of Chinese students and focus on cultivating high-level, high-tech, skilled and high-quality talents. Therefore, vocational education in China is not only facing the old problems of continuing to strengthen industry-education\n\nX. Yuan et al. (Eds.): ICEKIM 2023, AHCS 13, pp. 1621–1631, 2023.\n\nintegration and school-enterprise cooperation, but also facing the new task of how to promote the training of applied talents. We are very urgently aware of the importance of the integration of industry and education, and we have put forward a plan to promote the integration of industry and education.\n\n2 The Necessity of Promoting the Integration of Industry and Education in Civil Engineering Structural Test\n\n2.1 It is Conducive to Promoting the Healthy Development of Vocational Education\n\nVocational education is an important approach to cultivating high-skilled talents, and the development of our country more from a large number of skilled talents in high technology, high technology talented person is the pioneer of scientiﬁc and technological achievements into real life, science and technology thought idea into reality, cannot leave the efforts of high-tech talent, innovation of science and technology experts is extremely valuable spiritual and social wealth, Highly skilled people also play an irreplaceable role. They turn ideas into reality and have strong creativity. Both of them are the talents that our country needs in the journey of building a great modern socialist country. Therefore, colleges and universities set up a strong practical major on the knowledge of students, quality also put forward higher requirements. The training idea of \"integration of production and education\" is in line with this way of training high-skilled talents, and colleges and universities should vigorously support and promote it.\n\n2.2 It is Helpful to Stimulate Students' Creativity and Innovation, and Create Conditions for Students to Combine Theory with Practice\n\nColleges and universities establish and develop majors related to production practice, and carry out teaching methods into learning. This teaching system provides students with good practice conditions and rare opportunities for exercise. In the courses of study related practice, students in the teacher's leadership, under the guidance of professional, apply the professional knowledge of the teacher has taught into practice, so that the students have a more profound understanding of basic specialized knowledge, and more enhanced skillfully use this professional knowledge to solve the problems in the actual situation in this major. Moreover, the combination of production and education will stimulate the potential creativity of students, and encourage students to make continuous progress and innovation in practice, which is more conducive to their future development. Suchinnovativethinking,innovativeabilityandinnovativetalentcultivationexactlymeet the development of the school, the industry and the country [1].\n\n3 The Current Situation of Our SCHOOl's Civil Engineering Structure Experiment to Promote the Combination of Production and Education of Online and Ofﬂine Mixed Information Teaching Reform\n\n3.1 The School Promotes the Integration of Industry and Education\n\nChangchun Institute of Technology at present belongs to the people's government of Jilin province, the architectural college of Changchun, Changchun industrial college, Changchun college of hydraulic and electric engineering, three national excellent college merge and become, is a key technology is given priority to, and the fusion tube, arts, the sciences, arts disciplines province-owned universities. Since several junior colleges are national excellent junior colleges with 50 years of running experience, Changchun Institute of Technology, on the basis of integrating the advantages of these schools and combining with its own characteristics, presents a diversiﬁed development trend of these disciplines.\n\nApplication-oriented undergraduate education has played a very positive role in promoting China's economic and social development. It has also cultivated a lot of highly skilled talents for our country, and played a positive role in meeting the needs of high-level application-oriented talents and promoting China's higher education to the Chinese people. Therefore, the school attaches great importance to students' practical courses, and constantly strengthens the implementation of student-centered integration of production and education.\n\nSince mergers create, gradually establishing basic computer learning training center in the university, and engineering skills training base, advanced high-tech technology training center, the power system simulation training bases, civil engineering construction Training Center, modern business simulation training practice base and management engineering internship training base and so on 10 campus practice training center, In addition, there are 131 off-campus practice training bases for students' practical training, 84 of which are in normal operation, providing students with learning convenience. There are also 4 practical training demonstration centers of Jilin Province level, which provide practical places for students' study and life.\n\n3.2 Mixed Online and Ofﬂine Teaching\n\nInformation-based teaching can not only improve teachers' application level of information technology, update teaching concepts, change teaching methods and improve teaching effects, but also encourage students to use information technology to learn independently, enhance the ability to analyze and solve problems by using information technology, and improve students' comprehensive literacy. Information-based teaching can also break the barriers between school and society, realize complementary advantages, learn from each other, strengthen the adaptability of students.\n\nThe training of applied talents also needs to strengthen the training of professional core competence, so the training curriculum system is very demanding. For civil engineering majors, courses in building structures include analysis and testing of building structures, so this course requires high practical ability, and it is particularly important for vocational ability training. Therefore, how to make students learn this course well is very important. For this course, the blended teaching method of MOOC online and BOPPPS ofﬂine is adopted. Finally, students can master the relevant knowledge of systematic structural design, have the ability to solve architectural structural design problems, determine the layout scheme of various structures according to the needs, and conduct structural analysis. The teaching method is for students to watch MOOC videos in advance to preview what they have learned, make notes and upload them for the teacher to check. Discuss in groups, ﬁnd cases related to what you have learned, and summarize them. Finally, the results of this class are tested by in-class tests. Through these teaching methods in class, we have cultivated the good learning habits of teamwork and self-disciplined learning among students. Students establish a good thinking mode of ﬁnding problems actively. A very important part of this course is the experiment of building structure. This course has strong practical ability. After years of teaching experience, the course teaching process has been a complete set of teaching process [5].\n\nForexample,animportantexperimentinthiscourseistotestthecompressivestrength of concrete with the rebound instrument method. When teaching students about this experiment, teachers will clearly tell students about the basic knowledge of the experiment. Students divide the test area according to the relevant principles. When students measure, make the axis of the rebound instrument always perpendicular to the component plane. Students bounce back 16 times for each test area. Test the depth of concrete carbonation layer after students rebound. The test Angle is corrected ﬁrst, and then the test surface is corrected. According to the measured depth of carbonation layer and the corrected rebound value, the strength values of each test area can be obtained from the table. The average strength value of concrete of structure or component can be calculated from the strength value obtained from the table in each test area [6].\n\nAs shown in Table 1 Rebound data. The ﬁrst three values in the table are the minimum values, and the last three values are the maximum values. In the process of data processing, three minimum values and three maximum values are removed from the 16 rebound values, and the remaining 10 average values are taken.\n\nThe rebound instrument method mainly uses the mutual relationship between the strength of concrete and the surface hardness to indirectly test the strength of concrete by the method of testing the surface hardness of concrete. Figure 1 shows the test of rebound Angle regulator. The teacher will tell the students how to use the rebound instrument is very important, in the use of the spring rod has been extended against the concrete test area, light pressure cap tail, then measured the rebound value of this area. Teachers often tell students that these are basic experimental operations, and this test method is often used in engineering practice. Therefore, students must master such basic experimental skills, which is more conducive to the students to integrate into the enterprise practice as soon as possible. Our school also constantly encourages innovative experiments. Our teachers lead students to form research groups to carry out research projects, so as to open up our students' innovative thinking and promote the development of the whole civil engineering industry. After ﬁnishing the experiment, the teacher will tell the students that it is also very important to ﬁll in the experiment report, which records the experimental data of the experiment done by the students. However, in the traditional teaching mode\n\nTable 1. Rebound data\n\n\| Serial number \| \| \| \| \|\n\|---\|---\|---\|---\|---\|\n\| 1 \| <cursor_is_here>3 \| 59.4 \| 58.4 \| 60 \|\n\nNote: Table source: The data comes from the architectural structure course example of Civil engineering major of Changchun Institute of Technology\n\nFig. 1. The regulation of the Angle of rebound instrument test. Note: Picture source: The picture is from the teaching plan of Civil Engineering major Architectural structure course of Changchun Institute of Technology.\n\nof our school, our students are learning mechanically, ﬁlling in and writing exactly what the teacher says, which also loses the original purpose of doing experiments. If we want to make progress and development, we need to break the traditional inherent mode, according to each group's own experimental procedures and methods to write experimental reports, to truly reﬂect the results of their own experiments.\n\n3.3 sap2000 Software Finite Element Model Analysis\n\nDue to the limitations of test scale, test site, equipment capacity and test funds, the vast majority of structural test objects are using structural models. As computers become more powerful, ﬁnite element analysis, which used to be done with servers, can now be done with cheaper personal computers and even portable laptops [9]. As an important auxiliary means of engineering, ﬁnite element analysis has become an easy tool for engineering and technical personnel and even students. At present, the graduation design of civil engineering major in China is centered on information, innovation, engineering application and other directions, and these are inseparable from the application of civil engineering computer software. With the deepening of ﬁnite element concept in universities and design institutes, both students, teachers and designers will inevitably come into contact with or use ﬁnite element software in daily life. The most basic concept of ﬁnite element method is to solve the problem of seismic performance by dividing the object of analysis into ﬁnite modules, as shown in Fig. 2, components in the ﬁnite element model are divided into grids, then these small blocks are analyzed and the results are combined to ﬁnd a solution for the entire building structure.\n\nStudentsusesap2000softwaretoconductpushoveranalysisandtimehistoryanalysis of the structure. Through the analysis of concrete frame structure, Fig. 3 shows the structural model of SAP2000 concrete frame. Pushover method and time history analysis make designers understand the response of structure under earthquake to a certain extent, and ﬁnd the weak link in the structure.\n\nSAP2000 software has an integrated user interface. Model establishment, analysis, designandresultdisplayarecarriedoutunderauniﬁedinterface.Itissuitableforstudents who are new to ﬁnite element software and can establish good spatial imagination and structuralanalysisabilitywiththehelpofthissoftware[10].WhentheSAP2000software is used to model the seismic load analysis of the concrete frame, the results of modal analysis and response spectrum analysis can be quickly obtained by using the linear static analysis method, and the shear force and bending moment of the section of each member of the frame can be calculated, and the SAP2000 software can be used to determine whether the section of the member meets the bearing capacity requirements. Figure 4 shows the bending moment diagram of the column. At the same time, the SAP2000\n\nFig. 2. Mesh of components in ﬁnite element model. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology.\n\nFig. 3. Sap2000 software concrete frame structure analysis. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology.\n\nsoftware can check the design of the structural member according to the Chinese code, and get the member that does not meet the requirements of the code [7].\n\nFig. 4. Bending moment diagram of column. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology.\n\nTable 2. Internal force data of a position of frame under different working conditions\n\n\| Working condition \| Qy \| Qx \|\n\|---\|---\|---\|\n\| Position (Relative to both ends) \| Node179 (0m)–158(2.4m) \| Node98 (0m)–122(8m) \|\n\| Maximum shear value V2 \| 77KN(at2.4m) \| 33.673KN(at8m) \|\n\| Maximum bending moment M3 \| −277.5245KN.m(at2.4m) \| 134.8484KN.m(at2.4m) \|\n\| Maximum deflection value \| −0.000162m(at1.44m) \| 0.001467m(at1.5m) \|\n\nNote: Table source: The data comes from the structural software course assignment report of structural engineering students in Changchun Institute of Technology\n\nIn the SAP2000 software, drawings can be drawn by CAD and imported into the SAP2000 software for the modeling and analysis of steel structures. Moreover, the modeling of SAP2000 software can observe the deformation and load of structures from a 3D perspective. The three-dimensional image view effect enhances students' understanding of course knowledge. Figure 5 shows the CAD model imported for modeling analysis.\n\nA middle school comprehensive experimental building project ﬁve ﬂoors on the ground, 19 m high, the main functions of the building for laboratory, classroom, lecture hall; There is a basement under the ground, and the main building functions are parking garage, equipment room and air defense basement. String beam structure is located in the multifunctional lecture hall area on the fourth ﬂoor of the laboratory building. CAD drawing model, and then the upper string, lower string, strut, purline in turn into SAP2000 software. PE cable with software deﬁned material Q345 and 1670. Deﬁne the cross section as the strut H300x300x12x20 lower string H400x300x12x30 purline H500x200x10x12 upper string H500x400x14x35. After deﬁning the material and section, select the object group, and specify the upper chord, lower chord, strut frame section and material in turn. Deﬁne the cable section and draw the cable with the default Settings. Because the situation of the support is not easy to judge, it is ﬁrst analyzed according to the assumption that both ends are ﬁxed and one end is sliding. The main internal function of the girder is prestress, and the external load is dead load, live load and temperature load. Dead load: In order to more clearly reﬂect the inﬂuence of load application sequence on the calculation of string beam structure, dead load is divided into two parts: structural dead weight and external permanent load. Temperature load: According to the local meteorological data, the closing temperature of the steel structure of the awning is 15 ± 5 °C, and the temperature difference is mainly 35 °C. Considering the above meteorological data, the closing temperature is assumed to be 20 °C, and the temperature difference when considering use is ± 30 °C. Two temperature loads of ± 30 °C are deﬁned. Prestress: The effect of prestress in SAP2000 can be considered in terms of temperature load. Using the linear expansion coefﬁcient of the material, the prestress applied to the cable can be simulated by cooling the wire cable unit. Figure 6 shows the ﬁnite element analysis of the model. Table 2 shows the internal force data of a certain position under different working conditions.\n\nFig. 5. CAD model of string beam structure. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology.\n\nFig. 6. Finite element model analysis of string beam structure. Note: Picture source: The picture is from the structural engineering students Structural software course assignment report of Changchun Institute of Technology.\n\n3.4 Introduce Structural Design Competition for College Students to Improve Their Interest in Learning\n\nThe National College Students Structural Design Competition is a discipline competition with the highest recognition in civil engineering majors [8]. The competition aims to improve students' hands-on ability, cultivate their innovation ability and team consciousness, and enable students to \"learn by doing\" and \"learn by doing\". For students majoring in civil engineering, by participating in structural design competition, they can exercise their computer drawing and modeling ability, improve their ability to analyze and solve problems, and also exercise their practical ability, which will be helpful for future employment.\n\nSince August 1, 2021, the teaching reform and practice of civil engineering structure experiment course of \"Excellence Plan Class\" in our school has been put into practice, and won the special prize in the 2019 Jilin University Students Structure Design Competition, and won the ﬁrst prize in the research and application of complete set technology of prefabricated concrete structure in 2020.\n\nThrough the cooperation between schools and enterprises, the course content is connected with vocational practice, which is an important way to cultivate talents for application-oriented undergraduates. Through cooperation with enterprises, our school is more conducive to the development of students, the school and even the whole industry.\n\n4 In View of the Civil Engineering Structural Test of Our School, the Corresponding Measures to Further Promote the Integration of Production and Education\n\n4.1 Improve and Optimize the Teaching System\n\nThrough the combination of theory and practice to establish a scientiﬁc and reasonable modular curriculum system, and after the completion of phased learning skills assessment,toensurethatstudentsmastertheoperation,tobetterintegrateintothedevelopment of the enterprise. Reform and practice should also be carried out in practice courses to better support the orientation of civil engineering \"excellence Plan class\" professional personnel training [2].\n\n4.2 Improve the Professional Construction of Laboratory Personnel\n\nNo matter what industry or ﬁeld, professionalism is always the most critical weapon to win. Laboratory related personnel must strengthen learning, requirements to achieve enough professional. At present, relying on the course of \"Civil Engineering Structural Test\" of \"Excellence Program Class\", and through the development of series of experiments, the laboratory construction is further promoted, and the professional ability and management level of laboratory teachers are improved [4].\n\n4.3 The School Strengthens the Communication with the Enterprise\n\nThe main problem of the insufﬁcient integration of production and education is that the connection between the school and the enterprise is not close enough. Because the two subjects are in different environments and do different work, there are great differences between the cultures, and the work practice is not comprehensive enough in the minds of students. Therefore, it is necessary to strengthen the communication and cooperation between the school and the enterprise. Schools can invite enterprises to preach on campus, or put the research projects of the research group into the practice work of enterprises [3].\n\n5 Conclusions\n\nUnderthebackgroundofintegrationofindustryandeducation,throughschool-enterprise cooperation, teaching content and work content are connected, and teaching process and production process are connected. Since the reform of curriculum teaching, the students' learning enthusiasm has been greatly improved, the learning effect has been signiﬁcantly enhanced, and the unqualiﬁed students have been gradually reduced. In the follow-up study of relevant courses, students have shown a relatively solid theoretical knowledge and basic skills. The reform and innovation of architectural structure curriculum reform in the application of civil engineering teaching is the historical mission given to teachers in the information age. It is the requirement of new engineering teaching reform and information-based teaching to reform the teaching content of experimental application of building structure and to innovate its teaching mode and evaluation system. With the actual architectural structure test as the carrier, the teaching content of architectural structure test and its software is constantly enriched through the combination of online and ofﬂine teaching, and the teaching mode and teaching effect of the integration of production and teaching are constantly completed.\n\nAcknowledgments. Jilin Province higher education teaching reform research topic. Teaching reform and practice of civil engineering structure experiment course in \"Excellent Planning Class\", Research on stable bearing capacity of concrete ﬁlled steel tube parabolic hingeless arch in plane. Project number: JJKH20180992KJ, 2021cit002.\n\nReferences\n\n1. Liu, Y., Xiang, G., Wang, J. (2015) Study on the model of production-education integration and its inﬂuencing factors in applied universities. Higher Education Research in China., 5: 64–68.\n2. Huang, Q. (2019) Analysis on the talent training Mode of \"Integration of Production and Education\". Science and Technology in Chinese Universities, 9: 66–68.\n3. Li, Z. (2018) The obstacles of production-education integration in vocational education and its resolution. Higher Education Research in China., 9: 87–92.\n4. Zheng,J.,Yao,R.,Wang,X.(2016)Thinkingandpracticeof\"ArchitecturalStructure\"curriculum reform under the background of production-education integration. Journal of Yangzhou Education Institute., 4: 64–67.\n5. Chen, H., Li, W. (2020) Teaching reform of structural software course in Civil engineering major team type independent study defense model. Sichuan architecture., 4: 351–352.\n6. Zhuang, P., Zhao, C., Zeng, J. (2015) Application of structural software in civil engineering design practice course. Shanxi architecture., 27: 222–224.\n7. Li, G., Yang, H., Guo, N., Xu, M. (2022) On the teaching Practice of \"Structural Design Software and Application\" course. Anhui architecture., 9: 83–84.\n8. Zhang, Y. (2022) The teaching status and improvement measures of the course \"Experiment on the Principle of Concrete Structure Design\" Take the School of Civil Engineering of Qinghai University as an example. Quality education in western China., 10: 160–162.\n9. An, Y. (2016) Finite element mechanical analysis of building structure. China Construction., 1: 124–125.\n10. Dai, S., Xin, Z., Hou, S., Zhang, S. (2018) The application of SAP2000 in the teaching of Advanced Steel Structure Theory. Popular science and technology., 9: 83–85.\n\nOpen Access This chapter is licensed under the terms of the Creative Commons AttributionNonCommercial 4.0 International License (http://creativecommons.org/licenses/by-nc/4.0/), which permits any noncommercial use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license and indicate if changes were made.\n\nThe images or other third party material in this chapter are included in the chapter's Creative Commons license, unless indicated otherwise in a credit line to the material. If material is not included in the chapter's Creative Commons license and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder.\n</text>\n", "role": "user" }, { "content": "39 \| 47 \| 45 \| 39 \|\n\| 2 \| 40 \| 50 \| 49 \| 40 \|\n\| 3 \| 43 \| 52 \| 50 \| 45 \|\n\| 4 \| 45 \| 54 \| 52 \| 46 \|\n\| 5 \| 58 \| 56 \| 54 \| 48 \|\n\| 6 \| 58 \| 56 \| 56 \| 56 \|\n\| 7 \| 58 \| 56 \| 58 \| 58 \|\n\| 8 \| 58 \| 58 \| 58 \| 58 \|\n\| 9 \| 58 \| 59 \| 58 \| 59 \|\n\| 10 \| 59 \| 59 \| 58 \| 59 \|\n\| 11 \| 60 \| 60 \| 58 \| 60 \|\n\| 12 \| 60 \| 60 \| 58 \| 60 \|\n\| 13 \| 60 \| 60 \| 58 \| 61 \|\n\| 14 \| 60 \| 60 \| 58 \| 61 \|\n\| 15 \| 60 \| 60 \| 60 \| 62 \|\n\| 16 \| 60 \| 62 \| 60 \| 62 \|\n\| Mean value \| 59.", "role": "assistant" } ]
BPW HUNTLY & DISTRICTS VOLUME 5, ISSUE 5 NEWSLETTER – JULY 2017 PRESIDENT'S PEN We had another enjoyable and very informative evening at our July dinner meeting and it was lovely to have a couple of extra guests from outside our membership to listen to our guest speaker. Glenda Graham's presentation about Enduring Powers of Attorney & Wills was well received. A report on her presentation is given later in this newsletter – thanks again to Helen for taking the notes and liasing with Glenda as to the final report. I'm sure you will all agree that it is not an easy topic to report back on, with so many intricacies involved, so Helen, congratulations on a fine job. Also a big "ups" to Beth for her contribution to this month's newsletter - see "As it Was" on page 3. Wendy, Janet and I attended BPW Tamaki's Candlelighting dinner and ceremony on 12 th of this month. Tamaki's club is small and so they were pleased to have guests from other clubs – Huntly and Franklin to boost their numbers. The guest speaker was Dr Jackie Blue who is a Human Rights Commissioner at the NZ Human Rights Commission and who has the Equal Employment Opportunities and Women's Rights Portfolio. Jackie has a strong commitment to advancing the participation of women in society and is the Commission's lead on stopping violence against women. Here are some of the points we gleaned from her talk: - Poor representation of women on Sporting Boards with women sports graduates earning 17% less than their male counterparts - Tennis pays equal prizemoney for Grandslam tournaments but in most sports there is a big pay disparity between men and women - The majority of boards need to have 30% women representation to be effective - The percentage of women in Parliament hasn't improved – currently only 38% and the aim is 50% - Only 4% of CEO's in the top 50 companies in NZ are women - Our stock exchange is making it compulsory from October 17 for boards to have diversified boards in terms of gender, ethnicity and disability. Jackie ended with the statement – "when we have ratios of 50% women on boards, 50% women in Parliament and 50% men running the family households then we will have true equality". I'm looking forward to a great turnout at our next dinner meeting so that we can work on our self –development through the KTA program and will be in touch with members individually over the next couple of weeks, regarding this. If you want to read Joy's copy of Judi Davidson's book "Arms Wide Open" let Merle know as she is currently reading it and will pass it on. Kia Kaha Trish COMING UP AUGUST MEETING th Monday 7 August From 5pm at Huntly RSA 5.30pm meeting 6.15pm dinner $25.00 per head KTA Workshops HOSTESSES Shirley, Gaye Please let Gayle Scott if you are unable to attend 826 3383 or 0212636840 [email protected] AUGUST BIRTHDAYS Carole COMMITTEE MEETINGS Monday 31st July 5.15 pm at Cowley Stanich offices FUTURE DATES Monday 28 th August Monday 25 th September REMINDER Friends of Kimihia Quiz Night Friday 21 st July 7pm. $10 Huntly Bowling Club Why not get a team together and support this worthy cause or if you would like to join a team just contact Wendy or Carole for details. HAPPENINGS FROM OUR JULY DINNER MEETING Janet Gibb being presented with a cheque to assist with costs towards the BPW International Conference being held in Cairo JULY SPEAKER'S REPORT – GLENDA GRAHAM ENDURING POWERS OF ATTORNEY AND WILLS Glenda Graham recently became a partner in Norris Ward McKinnon where she runs the Succession and Wealth Protection team which deals with wills, trusts, Enduring Power of Attorney and Estate and Succession Planning. The following is a summary of her very well received presentation. Enduring Power of Attorney (EPA) is a document naming a person to act on your behalf when you are unable to do so due to being mentally incapable. This should be in place before it is needed as if no EPA organised it can be expensive and time consuming to have someone appointed as a Property Manager or Welfare Guardian through the court process. Furthermore, if a person is appointed by the Court, the person chosen by the Court may not necessarily be the person that you would have wished to run your affairs or make decisions for you. If you wish for your wife/husband or partner to be your attorney, they must be named as the Attorney for the spouse via an EPA document. There is criteria for who can be chosen for EPA and they must be over 20 years, not bankrupt and not mentally incapable themselves. In March 2017, new forms were launched which are available on-line through Ministry of Social Development, Super Seniors website. These however have proven to be difficult to fill out and there are still strict witnessing requirements in order for an EPA to be valid and lawyer assistance is required. There are two types of EPA. You can appoint a different person to be your attorney for each type. The types are: 1. Personal care and welfare which only comes into effect when the Donor (person who appointed the attorney) is certified as mentally incapable by a doctor. Can only have one person active in this role at a time. It is recommended however that you appoint a backup or successor attorney should your first attorney be unable to act due to their death or own mental incapacity. 2. Property - includes land, investments, bank accounts. The attorney can be appointed to act immediately upon signing of the EPA or otherwise only if the Donor becomes mentally incapable. Therefore, you need to decide at which point the EPA should be able to be activated. You can appoint more than one attorney to act at a time, and we recommend that the attorneys act jointly and severally. We would still suggest that you have a backup or successor attorney/s. They need to consult with and provide information to named persons e.g. siblings, children. Need to support personal care and welfare attorney and keep detailed records of all transactions and decisions. Family court can review the operation of the EPA if concerns over the decisions or actions of the Attorney are raised. The appointment of attorney ends when the person dies. The attorney therefore is unable to take money out to pay for funeral expenses. Wills It is best to make one early for valuable and sentimental assets, even if those assets are of little financial value. Marriage revokes wills made prior to marriage unless the Will is stated to be in contemplation of marriage. A new de facto relationship does not revoke your earlier will so you may find that your previous partner still would receive your assets unless you make a new Will. Separation of spouses doesn't revoke a will until Separation Orders or dissolution of marriage is obtained so therefore you need to redo will if you separate. A will can only deal with assets you have in your own individual name – not jointly held assets or assets owned by a Trust. Some assets pass by survivorship – that is, if an asset is held in joint names, such as a joint bank account, the bank account will pass to the survivor upon the death of the first person. If an asset is owned as tenants in common, for example a land title in which ownership is recorded as to a half share to each person, then the half share will pass in accordance with the deceased's Will. Likewise, if the land was owned half by an individual and half in the name of the Trustees of the Trust, then the half owned by the individual would pass in accordance with the individual's Will. If money is owed to you by your children, it is important to record whether this is a gift or a loan. If it is a loan, then the debt will be an asset of your estate. You can appoint guardians for your infant children in your will. The guardians will not necessarily undertake day- to- day care of children but will have a role in the parental type decisions. The following can be included in a will: - gifts of items or money to family members or charities; Newsletter – July 2017 - forgiveness of any debts owed to you by your trust or family members; - specific funeral directions such as cremation, burial, organ donation, scattering of ashes; - appointment of testamentary guardians for infant children; - nomination of beneficiaries to receive your estate; - Appointment of executors and trustees. These people may also be beneficiaries. They collect assets, pay debts and distribute money or assets to beneficiaries. If the Executor is a professional or you wish them to reimbursed for their actions, then need a charging clause in will to permit this. Alternatively you could make a gift of money to the Executor in recognition of their work. A will and EPA should be reviewed every 5 years or so with a cost of around $900 - $1100 per couple or $500-700 +GST for a single person will. Ensure people know where will is kept and a list of assets as it can be difficult for lawyers to locate the Will or assets if we don't know where to start. Check life insurance policy ownership – is it joint? The life insured is the person who is covered by the policy and the policy owner/s is the one who will receive the funds. Ideally, ownership should be in joint names. If person dies without a will, assets are distributed in the order of priorities set by the Administration Act 1969. "AS IT WAS" - BY BETH WRIGHT I remember coming into the Valley as a new bride, here are some thoughts from earlier years. The welcome the residents gave us, woolshed decorated, gate bolted shut with a tin canning to follow. Getting into our new home we had a few tests to pass. We spruced up the home DYI painting the ceilings, reattaching the scrim to the walls before the paper went up. It always did breathe when the wind blew. No TV entertainment then so it was cards, socialising, sledging in the frost, possum shooting competitions with final count at midnight!! The itinerant workers who helped shed the hills of scrub, camping out, possibly owning only the clothes they stood up in. Their desperate need to return to the big smoke for some refreshment when they received their cheque, some departing shortly before the men in blue came looking for them and always coming back with extras. Coupled with that, smoke from the burning scrub and the sowing of seed into the warm ash. All done by hand then. The cream run acted as the local carrier ferrying people and goods to and from the nearest town. Phones - those old party lines 13 on ours then. The standard to pick up and say [are you working] the call up sounds of morse code. Numbers reduced to 6 then 2 then 1 over the years. No longer do you wait now, just pick up and ring, Now Internet, never heard of then. The local store provided and delivered anything from a needle to a bag of pig food and all the groceries were but a phone call away, bill to be paid monthly. Roads metal pot holey, winding and prone to flood after heavy rain in some areas. Now tar sealed and less winding. School out early during winter when the hills sent water down to the lower areas and on into lake Waikare. Much activity there too wild fowl in plenty, picnic area with toilets, school picnic venue, yacht club where so many learnt to sail until the lake level was lowered, the start of so many problems. Fencing all done with concrete posts then locally made - treated posts had not come onto the market then. Battens split from old strainers or Macrocarpa some still on the fences. All carried or packed by horse. All holes dug with spade and shovel. Now it all happens with a post rammer. Aerial topdressing in its early days and the response the countryside had to it. There was a school bursting at the seams with 4 teachers at one stage. Three separate bus runs; now school closed down for lack of children An enterprising few started a play group based in an old home where we used to meet once a week for the pre-schoolers. Plunket was in full swing. With fundraising taking many forms to help fund the system. Local dances, welcome in and farewells, table tennis, indoor bowls. Where has it all gone? The Golf Club still holds its own though. Docking, a family and neighbor affair early starts, lunch out on the hills and that little bit of competition of men and their dogs. The excitement of the local sheep fairs catered for by locals and PTA. Those after- sale parties in the wool shed attended by all. Do you remember " The limbo rock," the enthusiasm of the stock and station agents. Not many sheep left now. The camaraderie, fun and the friendships made over the years. This is but a very small part of the life lived in a special valley earlier on. It's called Home THE INTERNATIONAL COLLECT We ask That we meet together as women, not allowing beliefs, religion, nationality, ethnicity or language to come between us. That these meetings enable us to move forward and advance the status of women throughout the world. That the value of women be recognized in our families, our communities, our workplaces, our country and the world. That we use our good ideas, our knowledge, and our experience to promote the worth of women. That we combine our strengths to move forward in peace, in serenity and in love. That women of all generations will do their part to achieve harmony and equality among all human beings. President: Trish Foy 828 7590 or 021 840 022 Past President: Janet Gibb (07) 824 6737 or 027 4753397 Secretary: Jan Shand 021 848 043 Treasurer/ Vice President Wendy Horrox 828 8915 or 027 202 2252 Catering: Gayle Scott 826 3383 or 021 263 6840 Other Committee: Karen Putwain, Shelley Lynch We welcome your ideas, suggestions to improve our club. AIMS OF BPW BPW International aims to unite business and professional women in all parts of the world to: 1. Work for women's: • economic independence • equal opportunity and representation in economic, civil and political life. 2. Encourage and support women and girls to: • develop their professional and leadership potential • undertake lifelong education and training • use their abilities for the benefit of others, locally, nationally and internationally. 3. Advocate: • for the elimination of all discrimination against women • for human rights and the use of gender-sensitive perspectives. 4. Undertake: • world-wide networking and co-operation between business and professional women • non-profit projects that help women gain economic independence • to present the views of business and professional women to international organisations and agencies, and to business, governments and civil society. BULLETIN CONTRIBUTIONS Please email them to [email protected] by the 15 th of the month. Contributions to our bulletin are welcome from all club members.	<urn:uuid:e88cbcb2-97da-4149-aa4b-0483058949d7>	CC-MAIN-2017-30	http://bpwnz.org.nz/wp-content/uploads/2014/08/July-2017-newsletter.pdf	2017-07-24T10:52:40Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-30/segments/1500549424846.81/warc/CC-MAIN-20170724102308-20170724122308-00386.warc.gz	46,713,006	3,259	eng_Latn	eng_Latn	0.997148	eng_Latn	0.999072	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3234, 8039, 12728, 14818 ]	BPW HUNTLY & DISTRICTS VOLUME 5, ISSUE 5 NEWSLETTER – JULY 2017 PRESIDENT'S PEN We had another enjoyable and very informative evening at our July dinner meeting and it was lovely to have a couple of extra guests from outside our membership to listen to our guest speaker. Glenda Graham's presentation about Enduring Powers of Attorney & Wills was well received. A report on her presentation is given later in this newsletter – thanks again to Helen for taking the notes and liasing with Glenda as to the final report. I'm sure you will all agree that it is not an easy topic to report back on, with so many intricacies involved, so Helen, congratulations on a fine job. Also a big "ups" to Beth for her contribution to this month's newsletter - see "As it Was" on page 3. Wendy, Janet and I attended BPW Tamaki's Candlelighting dinner and ceremony on 12 th of this month. Tamaki's club is small and so they were pleased to have guests from other clubs – Huntly and Franklin to boost their numbers. The guest speaker was Dr Jackie Blue who is a Human Rights Commissioner at the NZ Human Rights Commission and who has the Equal Employment Opportunities and Women's Rights Portfolio. Jackie has a strong commitment to advancing the participation of women in society and is the Commission's lead on stopping violence against women. Here are some of the points we gleaned from her talk: - Poor representation of women on Sporting Boards with women sports graduates earning 17% less than their male counterparts - Tennis pays equal prizemoney for Grandslam tournaments but in most sports there is a big pay disparity between men and women - The majority of boards need to have 30% women representation to be effective - The percentage of women in Parliament hasn't improved – currently only 38% and the aim is 50% - Only 4% of CEO's in the top 50 companies in NZ are women - Our stock exchange is making it compulsory from October 17 for boards to have diversified boards in terms of gender, ethnicity and disability. Jackie ended with the statement – "when we have ratios of 50% women on boards, 50% women in Parliament and 50% men running the family households then we will have true equality". I'm looking forward to a great turnout at our next dinner meeting so that we can work on our self –development through the KTA program and will be in touch with members individually over the next couple of weeks, regarding this. If you want to read Joy's copy of Judi Davidson's book "Arms Wide Open" let Merle know as she is currently reading it and will pass it on. Kia Kaha Trish COMING UP AUGUST MEETING th Monday 7 August From 5pm at Huntly RSA 5.30pm meeting 6.15pm dinner $25.00 per head KTA Workshops HOSTESSES Shirley, Gaye Please let Gayle Scott if you are unable to attend 826 3383 or 0212636840 [email protected] AUGUST BIRTHDAYS Carole COMMITTEE MEETINGS Monday 31st July 5.15 pm at Cowley Stanich offices FUTURE DATES Monday 28 th August Monday 25 th September REMINDER Friends of Kimihia Quiz Night Friday 21 st July 7pm. $10 Huntly Bowling Club Why not get a team together and support this worthy cause or if you would like to join a team just contact Wendy or Carole for details. HAPPENINGS FROM OUR JULY DINNER MEETING Janet Gibb being presented with a cheque to assist with costs towards the BPW International Conference being held in Cairo JULY SPEAKER'S REPORT – GLENDA GRAHAM ENDURING POWERS OF ATTORNEY AND WILLS Glenda Graham recently became a partner in Norris Ward McKinnon where she runs the Succession and Wealth Protection team which deals with wills, trusts, Enduring Power of Attorney and Estate and Succession Planning. The following is a summary of her very well received presentation. Enduring Power of Attorney (EPA) is a document naming a person to act on your behalf when you are unable to do so due to being mentally incapable. This should be in place before it is needed as if no EPA organised it can be expensive and time consuming to have someone appointed as a Property Manager or Welfare Guardian through the court process. Furthermore, if a person is appointed by the Court, the person chosen by the Court may not necessarily be the person that you would have wished to run your affairs or make decisions for you. If you wish for your wife/husband or partner to be your attorney, they must be named as the Attorney for the spouse via an EPA document. There is criteria for who can be chosen for EPA and they must be over 20 years, not bankrupt and not mentally incapable themselves. In March 2017, new forms were launched which are available on-line through Ministry of Social Development, Super Seniors website. These however have proven to be difficult to fill out and there are still strict witnessing requirements in order for an EPA to be valid and lawyer assistance is required. There are two types of EPA. You can appoint a different person to be your attorney for each type. The types are: 1. Personal care and welfare which only comes into effect when the Donor (person who appointed the attorney) is certified as mentally incapable by a doctor. Can only have one person active in this role at a time. It is recommended however that you appoint a backup or successor attorney should your first attorney be unable to act due to their death or own mental incapacity. 2. Property - includes land, investments, bank accounts. The attorney can be appointed to act immediately upon signing of the EPA or otherwise only if the Donor becomes mentally incapable. Therefore, you need to decide at which point the EPA should be able to be activated. You can appoint more than one attorney to act at a time, and we recommend that the attorneys act jointly and severally. We would still suggest that you have a backup or successor attorney/s. They need to consult with and provide information to named persons e.g. siblings, children. Need to support personal care and welfare attorney and keep detailed records of all transactions and decisions. Family court can review the operation of the EPA if concerns over the decisions or actions of the Attorney are raised. The appointment of attorney ends when the person dies. The attorney therefore is unable to take money out to pay for funeral expenses. Wills It is best to make one early for valuable and sentimental assets, even if those assets are of little financial value. Marriage revokes wills made prior to marriage unless the Will is stated to be in contemplation of marriage. A new de facto relationship does not revoke your earlier will so you may find that your previous partner still would receive your assets unless you make a new Will. Separation of spouses doesn't revoke a will until Separation Orders or dissolution of marriage is obtained so therefore you need to redo will if you separate. A will can only deal with assets you have in your own individual name – not jointly held assets or assets owned by a Trust. Some assets pass by survivorship – that is, if an asset is held in joint names, such as a joint bank account, the bank account will pass to the survivor upon the death of the first person. If an asset is owned as tenants in common, for example a land title in which ownership is recorded as to a half share to each person, then the half share will pass in accordance with the deceased's Will. Likewise, if the land was owned half by an individual and half in the name of the Trustees of the Trust, then the half owned by the individual would pass in accordance with the individual's Will. If money is owed to you by your children, it is important to record whether this is a gift or a loan. If it is a loan, then the debt will be an asset of your estate. You can appoint guardians for your infant children in your will. The guardians will not necessarily undertake day- to- day care of children but will have a role in the parental type decisions. The following can be included in a will: - gifts of items or money to family members or charities; Newsletter – July 2017 - forgiveness of any debts owed to you by your trust or family members; - specific funeral directions such as cremation, burial, organ donation, scattering of ashes; - appointment of testamentary guardians for infant children; - nomination of beneficiaries to receive your estate; - Appointment of executors and trustees. These people may also be beneficiaries. They collect assets, pay debts and distribute money or assets to beneficiaries. If the Executor is a professional or you wish them to reimbursed for their actions, then need a charging clause in will to permit this. Alternatively you could make a gift of money to the Executor in recognition of their work. A will and EPA should be reviewed every 5 years or so with a cost of around $900 - $1100 per couple or $500-700 +GST for a single person will. Ensure people know where will is kept and a list of assets as it can be difficult for lawyers to locate the Will or assets if we don't know where to start. Check life insurance policy ownership – is it joint? The life insured is the person who is covered by the policy and the policy owner/s is the one who will receive the funds. Ideally, ownership should be in joint names. If person dies without a will, assets are distributed in the order of priorities set by the Administration Act 1969. "AS IT WAS" - BY BETH WRIGHT I remember coming into the Valley as a new bride, here are some thoughts from earlier years. The welcome the residents gave us, woolshed decorated, gate bolted shut with a tin canning to follow. Getting into our new home we had a few tests to pass. We spruced up the home DYI painting the ceilings, reattaching the scrim to the walls before the paper went up. It always did breathe when the wind blew. No TV entertainment then so it was cards, socialising, sledging in the frost, possum shooting competitions with final count at midnight!! The itinerant workers who helped shed the hills of scrub, camping out, possibly owning only the clothes they stood up in. Their desperate need to return to the big smoke for some refreshment when they received their cheque, some departing shortly before the men in blue came looking for them and always coming back with extras. Coupled with that, smoke from the burning scrub and the sowing of seed into the warm ash. All done by hand then. The cream run acted as the local carrier ferrying people and goods	to and from the nearest town.		10,473	inside_word	to	remove_all	<url> http://bpwnz.org.nz/wp-content/uploads/2014/08/July-2017-newsletter.pdf </url> <text> BPW HUNTLY & DISTRICTS VOLUME 5, ISSUE 5 NEWSLETTER – JULY 2017 PRESIDENT'S PEN We had another enjoyable and very informative evening at our July dinner meeting and it was lovely to have a couple of extra guests from outside our membership to listen to our guest speaker. Glenda Graham's presentation about Enduring Powers of Attorney & Wills was well received. A report on her presentation is given later in this newsletter – thanks again to Helen for taking the notes and liasing with Glenda as to the final report. I'm sure you will all agree that it is not an easy topic to report back on, with so many intricacies involved, so Helen, congratulations on a fine job. Also a big "ups" to Beth for her contribution to this month's newsletter - see "As it Was" on page 3. Wendy, Janet and I attended BPW Tamaki's Candlelighting dinner and ceremony on 12 th of this month. Tamaki's club is small and so they were pleased to have guests from other clubs – Huntly and Franklin to boost their numbers. The guest speaker was Dr Jackie Blue who is a Human Rights Commissioner at the NZ Human Rights Commission and who has the Equal Employment Opportunities and Women's Rights Portfolio. Jackie has a strong commitment to advancing the participation of women in society and is the Commission's lead on stopping violence against women. Here are some of the points we gleaned from her talk: - Poor representation of women on Sporting Boards with women sports graduates earning 17% less than their male counterparts - Tennis pays equal prizemoney for Grandslam tournaments but in most sports there is a big pay disparity between men and women - The majority of boards need to have 30% women representation to be effective - The percentage of women in Parliament hasn't improved – currently only 38% and the aim is 50% - Only 4% of CEO's in the top 50 companies in NZ are women - Our stock exchange is making it compulsory from October 17 for boards to have diversified boards in terms of gender, ethnicity and disability. Jackie ended with the statement – "when we have ratios of 50% women on boards, 50% women in Parliament and 50% men running the family households then we will have true equality". I'm looking forward to a great turnout at our next dinner meeting so that we can work on our self –development through the KTA program and will be in touch with members individually over the next couple of weeks, regarding this. If you want to read Joy's copy of Judi Davidson's book "Arms Wide Open" let Merle know as she is currently reading it and will pass it on. Kia Kaha Trish COMING UP AUGUST MEETING th Monday 7 August From 5pm at Huntly RSA 5.30pm meeting 6.15pm dinner $25.00 per head KTA Workshops HOSTESSES Shirley, Gaye Please let Gayle Scott if you are unable to attend 826 3383 or 0212636840 [email protected] AUGUST BIRTHDAYS Carole COMMITTEE MEETINGS Monday 31st July 5.15 pm at Cowley Stanich offices FUTURE DATES Monday 28 th August Monday 25 th September REMINDER Friends of Kimihia Quiz Night Friday 21 st July 7pm. $10 Huntly Bowling Club Why not get a team together and support this worthy cause or if you would like to join a team just contact Wendy or Carole for details. HAPPENINGS FROM OUR JULY DINNER MEETING Janet Gibb being presented with a cheque to assist with costs towards the BPW International Conference being held in Cairo JULY SPEAKER'S REPORT – GLENDA GRAHAM ENDURING POWERS OF ATTORNEY AND WILLS Glenda Graham recently became a partner in Norris Ward McKinnon where she runs the Succession and Wealth Protection team which deals with wills, trusts, Enduring Power of Attorney and Estate and Succession Planning. The following is a summary of her very well received presentation. Enduring Power of Attorney (EPA) is a document naming a person to act on your behalf when you are unable to do so due to being mentally incapable. This should be in place before it is needed as if no EPA organised it can be expensive and time consuming to have someone appointed as a Property Manager or Welfare Guardian through the court process. Furthermore, if a person is appointed by the Court, the person chosen by the Court may not necessarily be the person that you would have wished to run your affairs or make decisions for you. If you wish for your wife/husband or partner to be your attorney, they must be named as the Attorney for the spouse via an EPA document. There is criteria for who can be chosen for EPA and they must be over 20 years, not bankrupt and not mentally incapable themselves. In March 2017, new forms were launched which are available on-line through Ministry of Social Development, Super Seniors website. These however have proven to be difficult to fill out and there are still strict witnessing requirements in order for an EPA to be valid and lawyer assistance is required. There are two types of EPA. You can appoint a different person to be your attorney for each type. The types are: 1. Personal care and welfare which only comes into effect when the Donor (person who appointed the attorney) is certified as mentally incapable by a doctor. Can only have one person active in this role at a time. It is recommended however that you appoint a backup or successor attorney should your first attorney be unable to act due to their death or own mental incapacity. 2. Property - includes land, investments, bank accounts. The attorney can be appointed to act immediately upon signing of the EPA or otherwise only if the Donor becomes mentally incapable. Therefore, you need to decide at which point the EPA should be able to be activated. You can appoint more than one attorney to act at a time, and we recommend that the attorneys act jointly and severally. We would still suggest that you have a backup or successor attorney/s. They need to consult with and provide information to named persons e.g. siblings, children. Need to support personal care and welfare attorney and keep detailed records of all transactions and decisions. Family court can review the operation of the EPA if concerns over the decisions or actions of the Attorney are raised. The appointment of attorney ends when the person dies. The attorney therefore is unable to take money out to pay for funeral expenses. Wills It is best to make one early for valuable and sentimental assets, even if those assets are of little financial value. Marriage revokes wills made prior to marriage unless the Will is stated to be in contemplation of marriage. A new de facto relationship does not revoke your earlier will so you may find that your previous partner still would receive your assets unless you make a new Will. Separation of spouses doesn't revoke a will until Separation Orders or dissolution of marriage is obtained so therefore you need to redo will if you separate. A will can only deal with assets you have in your own individual name – not jointly held assets or assets owned by a Trust. Some assets pass by survivorship – that is, if an asset is held in joint names, such as a joint bank account, the bank account will pass to the survivor upon the death of the first person. If an asset is owned as tenants in common, for example a land title in which ownership is recorded as to a half share to each person, then the half share will pass in accordance with the deceased's Will. Likewise, if the land was owned half by an individual and half in the name of the Trustees of the Trust, then the half owned by the individual would pass in accordance with the individual's Will. If money is owed to you by your children, it is important to record whether this is a gift or a loan. If it is a loan, then the debt will be an asset of your estate. You can appoint guardians for your infant children in your will. The guardians will not necessarily undertake day- to- day care of children but will have a role in the parental type decisions. The following can be included in a will: - gifts of items or money to family members or charities; Newsletter – July 2017 - forgiveness of any debts owed to you by your trust or family members; - specific funeral directions such as cremation, burial, organ donation, scattering of ashes; - appointment of testamentary guardians for infant children; - nomination of beneficiaries to receive your estate; - Appointment of executors and trustees. These people may also be beneficiaries. They collect assets, pay debts and distribute money or assets to beneficiaries. If the Executor is a professional or you wish them to reimbursed for their actions, then need a charging clause in will to permit this. Alternatively you could make a gift of money to the Executor in recognition of their work. A will and EPA should be reviewed every 5 years or so with a cost of around $900 - $1100 per couple or $500-700 +GST for a single person will. Ensure people know where will is kept and a list of assets as it can be difficult for lawyers to locate the Will or assets if we don't know where to start. Check life insurance policy ownership – is it joint? The life insured is the person who is covered by the policy and the policy owner/s is the one who will receive the funds. Ideally, ownership should be in joint names. If person dies without a will, assets are distributed in the order of priorities set by the Administration Act 1969. "AS IT WAS" - BY BETH WRIGHT I remember coming into the Valley as a new bride, here are some thoughts from earlier years. The welcome the residents gave us, woolshed decorated, gate bolted shut with a tin canning to follow. Getting into our new home we had a few tests to pass. We spruced up the home DYI painting the ceilings, reattaching the scrim to the walls before the paper went up. It always did breathe when the wind blew. No TV entertainment then so it was cards, socialising, sledging in the frost, possum shooting competitions with final count at midnight!! The itinerant workers who helped shed the hills of scrub, camping out, possibly owning only the clothes they stood up in. Their desperate need to return to the big smoke for some refreshment when they received their cheque, some departing shortly before the men in blue came looking for them and always coming back with extras. Coupled with that, smoke from the burning scrub and the sowing of seed into the warm ash. All done by hand then. The cream run acted as the local carrier ferrying people and goods <cursor_is_here> </text>	[ { "content": "<url>\nhttp://bpwnz.org.nz/wp-content/uploads/2014/08/July-2017-newsletter.pdf\n</url>\n<text>\nBPW HUNTLY & DISTRICTS\n\nVOLUME 5, ISSUE 5\n\nNEWSLETTER – JULY 2017\n\nPRESIDENT'S PEN\n\nWe had another enjoyable and very informative evening at our July dinner meeting and it was lovely to have a couple of extra guests from outside our membership to listen to our guest speaker. Glenda Graham's presentation about Enduring Powers of Attorney & Wills was well received. A report on her presentation is given later in this newsletter – thanks again to Helen for taking the notes and liasing with Glenda as to the final report. I'm sure you will all agree that it is not an easy topic to report back on, with so many intricacies involved, so Helen, congratulations on a fine job. Also a big \"ups\" to Beth for her contribution to this month's newsletter - see \"As it Was\" on page 3.\n\nWendy, Janet and I attended BPW Tamaki's Candlelighting dinner and ceremony on 12 th of this month. Tamaki's club is small and so they were pleased to have guests from other clubs – Huntly and Franklin to boost their numbers. The guest speaker was Dr Jackie Blue who is a Human Rights Commissioner at the NZ Human Rights Commission and who has the Equal Employment Opportunities and Women's Rights Portfolio. Jackie has a strong commitment to advancing the participation of women in society and is the Commission's lead on stopping violence against women.\n\nHere are some of the points we gleaned from her talk:\n\n- Poor representation of women on Sporting Boards with women sports graduates earning 17% less than their male counterparts\n- Tennis pays equal prizemoney for Grandslam tournaments but in most sports there is a big pay disparity between men and women\n- The majority of boards need to have 30% women representation to be effective\n- The percentage of women in Parliament hasn't improved – currently only 38% and the aim is 50%\n- Only 4% of CEO's in the top 50 companies in NZ are women\n- Our stock exchange is making it compulsory from October 17 for boards to have diversified boards in terms of gender, ethnicity and disability.\n\nJackie ended with the statement – \"when we have ratios of 50% women on boards, 50% women in Parliament and 50% men running the family households then we will have true equality\".\n\nI'm looking forward to a great turnout at our next dinner meeting so that we can work on our self –development through the KTA program and will be in touch with members individually over the next couple of weeks, regarding this. If you want to read Joy's copy of Judi Davidson's book \"Arms Wide Open\" let Merle know as she is currently reading it and will pass it on.\n\nKia Kaha Trish\n\nCOMING UP\n\nAUGUST MEETING\n\nth\n\nMonday 7\n\nAugust\n\nFrom 5pm at Huntly RSA\n\n5.30pm meeting\n\n6.15pm dinner\n\n$25.00 per head\n\nKTA Workshops\n\nHOSTESSES\n\nShirley, Gaye\n\nPlease let Gayle Scott if you are unable to attend\n\n826 3383 or 0212636840 [email protected]\n\nAUGUST BIRTHDAYS\n\nCarole\n\nCOMMITTEE MEETINGS\n\nMonday 31st July 5.15 pm at Cowley Stanich offices\n\nFUTURE DATES\n\nMonday 28 th August Monday 25 th September\n\nREMINDER\n\nFriends of Kimihia Quiz Night Friday 21 st July 7pm. $10 Huntly Bowling Club\n\nWhy not get a team together and support this worthy cause or if you would like to join a team just contact Wendy or Carole for details.\n\nHAPPENINGS FROM OUR JULY DINNER MEETING\n\nJanet Gibb being presented with a cheque to assist with costs towards the BPW International Conference being held in Cairo\n\nJULY SPEAKER'S REPORT – GLENDA GRAHAM ENDURING POWERS OF ATTORNEY AND WILLS\n\nGlenda Graham recently became a partner in Norris Ward McKinnon where she runs the Succession and Wealth Protection team which deals with wills, trusts, Enduring Power of Attorney and Estate and Succession Planning. The following is a summary of her very well received presentation.\n\nEnduring Power of Attorney (EPA) is a document naming a person to act on your behalf when you are unable to do so due to being mentally incapable. This should be in place before it is needed as if no EPA organised it can be expensive and time consuming to have someone appointed as a Property Manager or Welfare Guardian through the court process. Furthermore, if a person is appointed by the Court, the person chosen by the Court\n\nmay not necessarily be the person that you would have wished to run your affairs or make decisions for you. If you wish for your wife/husband or partner to be your attorney, they must be named as the Attorney for the spouse via an EPA document. There is criteria for who can be chosen for EPA and they must be over 20 years, not bankrupt and not mentally incapable themselves. In March 2017, new forms were launched which are available on-line through Ministry of Social Development, Super Seniors website. These however have proven to be difficult to fill out and there are still strict witnessing requirements in order for an EPA to be valid and lawyer assistance is required.\n\nThere are two types of EPA. You can appoint a different person to be your attorney for each type. The types are:\n\n1. Personal care and welfare which only comes into effect when the Donor (person who appointed the attorney) is certified as mentally incapable by a doctor. Can only have one person active in this role at a time. It is recommended however that you appoint a backup or successor attorney should your first attorney be unable to act due to their death or own mental incapacity.\n2. Property - includes land, investments, bank accounts. The attorney can be appointed to act immediately upon signing of the EPA or otherwise only if the Donor becomes mentally incapable. Therefore, you need to decide at which point the EPA should be able to be activated. You can appoint more than one attorney to act at a time, and we recommend that the attorneys act jointly and severally. We would still suggest that you have a backup or successor attorney/s. They need to consult with and provide information to named persons e.g. siblings, children. Need to support personal care and welfare attorney and keep detailed records of all transactions and decisions. Family court can review the operation of the EPA if concerns over the decisions or actions of the Attorney are raised. The appointment of attorney ends when the person dies. The attorney therefore is unable to take money out to pay for funeral expenses.\n\nWills It is best to make one early for valuable and sentimental assets, even if those assets are of little financial value. Marriage revokes wills made prior to marriage unless the Will is stated to be in contemplation of marriage. A new de facto relationship does not revoke your earlier will so you may find that your previous partner still would receive your assets unless you make a new Will. Separation of spouses doesn't revoke a will until Separation Orders or dissolution of marriage is obtained so therefore you need to redo will if you separate.\n\nA will can only deal with assets you have in your own individual name – not jointly held assets or assets owned by a Trust.\n\nSome assets pass by survivorship – that is, if an asset is held in joint names, such as a joint bank account, the bank account will pass to the survivor upon the death of the first person. If an asset is owned as tenants in common, for example a land title in which ownership is recorded as to a half share to each person, then the half share will pass in accordance with the deceased's Will. Likewise, if the land was owned half by an individual and half in the name of the Trustees of the Trust, then the half owned by the individual would pass in accordance with the individual's Will.\n\nIf money is owed to you by your children, it is important to record whether this is a gift or a loan. If it is a loan, then the debt will be an asset of your estate.\n\nYou can appoint guardians for your infant children in your will. The guardians will not necessarily undertake day- to- day care of children but will have a role in the parental type decisions.\n\nThe following can be included in a will:\n\n- gifts of items or money to family members or charities;\n\nNewsletter – July 2017\n\n- forgiveness of any debts owed to you by your trust or family members;\n- specific funeral directions such as cremation, burial, organ donation, scattering of ashes;\n- appointment of testamentary guardians for infant children;\n- nomination of beneficiaries to receive your estate;\n- Appointment of executors and trustees. These people may also be beneficiaries. They collect assets, pay debts and distribute money or assets to beneficiaries. If the Executor is a professional or you wish them to reimbursed for their actions, then need a charging clause in will to permit this. Alternatively you could make a gift of money to the Executor in recognition of their work.\n\nA will and EPA should be reviewed every 5 years or so with a cost of around $900 - $1100 per couple or $500-700 +GST for a single person will.\n\nEnsure people know where will is kept and a list of assets as it can be difficult for lawyers to locate the Will or assets if we don't know where to start.\n\nCheck life insurance policy ownership – is it joint? The life insured is the person who is covered by the policy and the policy owner/s is the one who will receive the funds. Ideally, ownership should be in joint names.\n\nIf person dies without a will, assets are distributed in the order of priorities set by the Administration Act 1969.\n\n\"AS IT WAS\" - BY BETH WRIGHT\n\nI remember coming into the Valley as a new bride, here are some thoughts from earlier years.\n\nThe welcome the residents gave us, woolshed decorated, gate bolted shut with a tin canning to follow. Getting into our new home we had a few tests to pass. We spruced up the home DYI painting the ceilings, reattaching the scrim to the walls before the paper went up. It always did breathe when the wind blew. No TV entertainment then so it was cards, socialising, sledging in the frost, possum shooting competitions with final count at midnight!!\n\nThe itinerant workers who helped shed the hills of scrub, camping out, possibly owning only the clothes they stood up in. Their desperate need to return to the big smoke for some refreshment when they received their cheque, some departing shortly before the men in blue came looking for them and always coming back with extras. Coupled with that, smoke from the burning scrub and the sowing of seed into the warm ash. All done by hand then.\n\nThe cream run acted as the local carrier ferrying people and goods <cursor_is_here>\n</text>\n", "role": "user" }, { "content": "to and from the nearest town.", "role": "assistant" } ]
HEALTHCARE LEADERSHIP (HC) HC 4000 Healthcare Systems and Regulatory Environments (4 Credits) This course opens with a comprehensive overview of the functions of various types of healthcare organizations: providers, insurance companies, government agencies, and professional associations. Alternative payment and provider models are reviewed, regulatory bodies and issues are explored, and healthcare reform efforts and proposals are discussed. Supply and demand projections for personnel are examined. The work of key federal agencies (NIH, National Center for Disease Control, and Food and Drug Administration) is reviewed as well as the activity of national and international non-governmental organizations. Major national and global public health challenges are introduced. HC 4005 Healthcare Macroeconomics (4 Credits) This course focuses on macro analysis of the current ﬁnancial state of healthcare in the United States. The relationships of value, quality, and price are analyzed. Transparency related to price and quality is considered. Fundamental items such as balance sheets/income statements, accounting vs. ﬁnancial reporting, equity, cash flows, and debt ﬁnancing are covered in detail. Payment and incentive models are considered in connection with employer-furnished beneﬁts, private health insurance plans, Medicare and Medicaid. Current issues, such as pay for performance, shared savings, cost shifting, and healthcare for the aging, under and uninsured are discussed. Students will discuss variations in health policy related to payment and coverage systems. HC 4010 Healthcare Communication and Leadership (4 Credits) This course focuses on the welfare of patient, family, and community in the context of medical team communication and leadership. Models for communicating highly technical medical information with patients and others involved in their care are examined. Students weigh and assess differences in personal and organizational cultures to optimize patient-centered outcomes. Students acquire a sound body of knowledge and terminology to facilitate communication and leadership across a multitude of disciplines essential in the delivery of healthcare. NOTE: This course is strongly recommended within the ﬁrst 3 terms of study. HC 4015 Healthcare Finance (4 Credits) This course presents an overview of ﬁnancial management in healthcare organizations operating in the United States. Students will gain a broad overview of the business of healthcare in the United States, including interpretation of ﬁnancial statements, budgeting, variance analysis, operational analysis, capital investment analysis, expense management issues, revenues, and payment systems used in the current United States healthcare system. The course will use a case-based approach where students will demonstrate mastery of ﬁnancial management skills through application of knowledge to real-life scenarios from the industry. HC 4100 Management Principles in Healthcare Systems (4 Credits) Healthcare systems are complex, dynamic, multilayered and unpredictable. They require constant situational awareness to maintain safety, efﬁciency, compliance, relevance and ﬁscal responsibility. Management and leadership need to have the vision to respond to changes and unexpected events. In this course, students encounter and explore the management functions required to lead and administer various types of healthcare systems. Students will engage in activities such as analyzing a healthcare system or organization's current level of performance or culture to inform ways to lead that organization toward excellence. HC 4110 Healthcare: Innovative Strategies and Change Management (4 Credits) Effective healthcare takes continual innovation to meet the ever-changing needs of the population. Through an examination of disruptions that create a catalyst for change, this course focuses on teaching students how innovative strategies can enable quality care and sustainability both within the healthcare delivery system and the health industry. Further, the drivers of innovation are explored from their use in grassroots efforts through regulatory reform through the lens of supply and demand. Finally, strategic planning for maximum use of ﬁnancial resources to meet stakeholder expectations is ventured into in this course. HC 4130 Organizational Behavior in Healthcare (4 Credits) Customer and employee satisfaction elements of healthcare management are often a result of how well the entire healthcare system functions. Students examine successful and less successful examples of cooperation, compatibility, and dedication within the workplace and explore what contributes to a harmonious and effective healthcare environment. Interpersonal skills are discussed, as are ethical guidelines and laws that deﬁne acceptable workplace behavior. HC 4200 Comparative Healthcare Systems (4 Credits) This course describes variations in healthcare delivery systems locally, nationally, and globally as they relate to policy, structure, and ﬁnance. Comparisons of systems are made relative to expenditure of resources and outcomes. Students learn about healthcare coverage, access to care, healthcare rationing, provider manpower distribution, and seeking healthcare in foreign countries (medical tourism). The discrepancy between the desirable and the practical is explored, and students are asked to outline and defend a system that they believe is both desirable and practical. HC 4210 Quality Improvement for HC Leaders (4 Credits) This course is designed to review the body of knowledge and core competencies needed to function at the level of Certiﬁed Professional in Healthcare Quality (CPHQ) in a healthcare organization. Skills gained are applicable to managers and administrators of hospitals, practices, and clinics. Course content is beneﬁcial to clinicians and others interested in quality and patient safety. This course facilitates the successful pursuit of the CPHQ certiﬁcation exam. Core competencies, aligned with the CPHQ certiﬁcation exam, to be explored in detail include: Leadership and Management; Quality and Performance Improvement; Healthcare Safety; Information Management and Regulation, Accreditation and Continuous Readiness. Students are strongly encouraged to complete HC4000 and HC4220 prior to registering for the course. 1 HC 4220 Ethical Considerations in Healthcare (4 Credits) This course explores ethical considerations encountered throughout the United States' healthcare industry as well as within the broader global environment. Both clinical and non-clinical scenarios will be examined. Students will learn to apply ethical principles, theories, and concepts to analyze and draw conclusions for a broad range of ethical dilemmas. Through readings, class discussions, and assignments, students will recognize how ethical considerations vary depending on the perspective of the stakeholder or assessor, a critcal step in making ethical decisions with no single right answer. HC 4225 Healthcare Public Policy and the Legislative Process (4 Credits) This class provides students with an understanding of the political and legislative procedures that lead to healthcare policy change and reform. Students examine the influences and functions of government agencies, legislative processes and procedures and executive branch rule-making. Students objectively evaluate how policy changes occur at the federal and state levels and subsequently affect the functioning as a citizen and a professional. Class lecture focuses on the legislative path of federal law and then follows it through to the outcomes at the state level. Students explore the importance of developing relationships, communication and advocacy strategies with elected ofﬁcials and various stakeholder groups that interact with the federal and state legislative processes. HC 4230 Implementation and Evaluation of Healthcare Public Policy (4 Credits) This course examines strategies for implementation and evaluation of healthcare public policy. Students develop skills in analyzing issues, considering and weighing pros and cons of proposed policy, and defending strategies for bringing about change. Beginning with the passage of a new law, policy, or regulation, students track the process to implement and evaluate new policy. Topics related to implementation of a new policy include funding the implementation, effect on constituents and the overall national economy, sustainability, and short- and long-term evaluation of the policy. At the conclusion of this course, students will prepare an implementation plan for selected recently passed state legislation. Students are strongly encouraged to complete HC 4000 prior to registering for this course. HC 4400 Legal Dynamics of Healthcare Leadership (4 Credits) This course is a primer on the legal and compliance considerations associated with organization, payment, and administration of facilities and provider groups. Topics will include the corporate and contract law, Stark and anti-kickback law, licensure and credentialing, professional liability, professional review and patient safety, HIPAA and patient privacy, and other laws affecting healthcare providers and organizations. HC 4410 Legal Frameworks of the Healthcare Industry (4 Credits) This course reviews the recent history of healthcare reform in the United States beginning with the 2010 Affordable Care Act (ACA) and moving to health reform since the ACA. Students examine the influences and functions of Medicare and Medicaid as well as the Department of Health and Human Services' (HHS) role in shaping beneﬁt coverage throughout the healthcare industry. Students will explore the importance of, and examine legal issues related to, public health and healthcare provided by entities within the Federal Government such as the Department of Veterans Affairs (VA), Department of Defense (DoD), and Indian Health Service (IHS). Students will objectively evaluate the legalities and ethical issues associated with clinical research as well as the Food and Drug Administration (FDA)'s involvement in the development of pharmaceutical agents and medical devices. The course concludes with students analyzing the future landscape of health reform and public sector influence in healthcare. HC 4420 Legal Fundamentals of Revenue in Healthcare (4 Credits) This course provides an understanding of the legal complexities of creating and managing delivery and payment models for healthcare services. Course content revolves around the current challenges of evolving from volume-based to value-based payment principles. Topics will include fraud and abuse and compliance, legal foundations of private and public payment systems, fee for service, managed care, value-based systems, and a review of current healthcare payment reform efforts. The course wraps up with the role of clinical health information and related data systems in healthcare delivery and payment. HC 4430 Signiﬁcant Healthcare Law (4 Credits) As a foundation, students begin with an overview of healthcare law and an analysis of the sources of law to include the Constitution, statutes, regulations, and case law. Throughout the course, students will objectively analyze constitutional issues and major federal healthcare laws and will further delve into regulations implementing statutes as well as cases interpreting them. Students will examine the intersection of traditional areas of law and healthcare to include torts, antitrust, contracts, and intellectual property. They will explore the contemporary and emerging areas of information and innovation in healthcare law as well as the Affordable Care Act, to include the Supreme Court's landmark decision. The course concludes with a consideration of the pervasive problem of fraud, waste, and abuse. This course is delivered in a seminar style with signiﬁcant independent work/research on the part of students and should be taken after introductory and concentration courses. HC 4500 Operational Challenges in Global Health Management (4 Credits) This course presents challenges in operations that are unique to healthcare services and products being delivered in the international market. Topics include international marketing of services and healthcare products, negotiation styles, ethical considerations, organizational structure, transporting of medical goods and personnel, individual travel health and medical tourism as a business model. Cultural and religious considerations in healthcare delivery are discussed. Grants and research management for global health are compared with domestic procedures. HC 4510 Legal and Employment Issues in Global Health Management (4 Credits) This course presents legal considerations involved in conducting global programs and business related to healthcare services and products. Employment and labor law are discussed in relationship to employment across international lines and within foreign countries. Intellectual property, patent and copyright of healthcare products, curriculum, and programs are examined. Customs laws, foreign trade, and other regulations such as healthcare licensing and credentialing of personnel are developed. Human resource challenges such as remote team management are discussed. HC 4520 Global Health NGO Management (4 Credits) Students will examine factors that impact organizational performance in the global nonproﬁt health sector. Students expore current challenges associated with Non-Government Organizations (NGOs) that operate in low-income and middle-income countries. Examples include Doctors Without Borders, Shoulder to Shoulder, and others. Students are empowered to research and compare different NGOs and analyze factors that impact organizational effectiveness. Key challenges facing NGO leaders are analyzed and students provide recommendations to improve organizational performance. Course topics include assessment of NGO strategies, organizational resources and ﬁnancing, and stakeholder relations. Other topics include analysis of countries' demographics, culture, healthcare delivery, policies, and external environment. It is recommended that students in the Global Health Program Management concentration or certiﬁcate complete HC4500 and HC4510 prior to registering for this course. Students in other concentrations or programs may take this course at any time as an elective. HC 4530 Regulatory Affairs in Global Health Management (4 Credits) This course discusses the various regulatory requirements of conducting healthcare related business from the perspective of research, development, and marketing of medical devices and pharmaceuticals. Both domestic and international requirements will be examined. Students will develop a template of skills for investigating healthcare related compliance issues that can be adapted to speciﬁc markets as needed. HC 4701 Topics in Healthcare Management (1-10 Credits) This is an advanced special topics seminar course. The focus is on specialized areas of interest. Topics courses may be used as electives within the Healthcare Leadership degree and certiﬁcates, and, with advance approval from Academic Director, may substitute for core courses in the degree or certiﬁcate programs. HC 4900 Experiential Learning in Healthcare (4 Credits) This course is for students who want to do independent research by completing an industry project and serves as a connector between research methods and a student's Capstone Project. The course will connect an academic research question with an experiential learning opportunity in healthcare for students as they prepare for their Capstone Project experience. Students will choose a Capstone Advisor, choose a topic, develop a thesis statement, explore project methodologies, write a proposal, and complete the necessary Institutional Review Board (IRB) requirements. Students will also agree to the structure and deliverables of their projects. There is an expectation for face to face (virtual is acceptable) meetings between students and their prospective Capstone Advisor during this course. This course is a prerequisite for any students planning to complete the Capstone Project (HC 4901) as it is the beginning of the Capstone Project process. Prerequisites: approval by Academic Director, acceptance as a degree candidate, and completion of between 30-40 quarter-hours. This course meets an elective option. HC 4901 Capstone Project (4 Credits) The Capstone Project provides students the opportunity to research a topic, problem, or issue within their ﬁeld of study, and work individually with a Capstone advisor. Similar in weight to a thesis, but more flexible, this ﬁnal project will synthesize and apply core concepts acquired from the program. The student will select an appropriate Capstone advisor who is knowledgeable in the ﬁeld of study to work closely with and whom can guide the research project. Evaluation will be focused on the quality and professionalism of applied research and writing; critical and creative thinking; problemsolving skills; knowledge of research design, method, and implementation; and contribution to the ﬁeld and topic of study. Please see the Capstone Guidelines for additional details. Prerequisites: A Capstone Proposal that has been approved by both the Capstone Advisor and the Academic Director, acceptance as a degree candidate, completion of at least 40 quarter-hours (including all core courses) with a cumulative GPA of 3.0 or better. A ﬁnal grade of a B- or better is required to pass. HC 4902 Capstone Seminar (4 Credits) The Capstone Seminar is a graduate seminar in which students utilize the knowledge and skills gained through the degree program to create a culminating work that critically addresses a problem in their degree ﬁeld of study. The students produce a Capstone of 7000-8000 words that presents a position on a relevant problem, supports the position with professional and academic literature, analyzes and tests the proposed solution, and discusses the ﬁndings as related to the ﬁeld of study. The seminar is dependent upon quality, collegial discussion, and feedback of students' research and work products, under the facilitation of a faculty member. The course structure guides the students through the process of independent, secondary research and writing of a Capstone. No primary research is allowed. Students generate the course content through ongoing discussion and peer feedback on the Capstone process and individual topic areas under investigation. Students professionally and academically communicate through written work and oral presentation. Students must have: Acceptance as a degree candidate, completion of at least 40 quarter-hours (including all core courses) with a cumulative GPA of 3.0 or better. A ﬁnal grade of B- or better is required in this course to meet degree requirements. Students must complete the Capstone Seminar in one quarter; no incomplete grades are assigned. HC 4904 Interdisciplinary Capstone Seminar (4 Credits) The Interdisciplinary Capstone Seminar is a graduate seminar in which students utilize the knowledge and skills gained through the degree program to create a culminating work that critically addresses a problem or issue in the degree ﬁeld of study. Members of the class will include students from various UCOL programs, representing multiple topics of study. On campus offerings of this course include required online components. The student produces a paper of 7000-8000 words that presents a position on a relevant problem or issue, supports the position with professional and academic work in the ﬁeld, analyzes and tests the paper position, and discusses the role of the ﬁndings within the ﬁeld of study. Students professionally and academically communicate their ﬁndings through written work and oral presentations. The seminar is dependent upon active and collegial discussion and critique of student research and work under the facilitation of a faculty member, and it is governed by the quality of participation and contributions of the students. Students must have: Acceptance as a degree candidate, completion of at least 40 quarter-hours (including all core courses) with a cumulative GPA of 3.0 or better. A ﬁnal grade of B- or better is required in this course to meet degree requirements. Students must complete the Capstone Seminar in one quarter; no incomplete grades are assigned. 3 4 HC 4910 Research Practices and Applications (4 Credits) This course develops competency in principles of research and measurement for use in the professional setting. As an initial course in the program of study, students will learn research methods to apply to program and systems design and evaluation to achieve successful measurement of outcomes and goals. Students will become critical consumers of pertinent literature to provide background and support for the choice and application of proper qualitative and quantitative research methods and data analysis for professional application. Critical thinking through comparing and contrasting cause and effect is used to build logic models. Research, design, and evaluation processes that address issues of implementation, feasibility, and sustainability are emphasized. At the conclusion of this course students will be prepared to apply and clearly communicate the practice of scientiﬁc research principles in the professional environment to ensure that the question being asked can be answered through rigorous research and the design and formative assessment of the program or system. Completion of Institutional Review Board (IRB) training via CITI Program is required as a basis for discussion of research ethics and IRB procedures. Competencies gained in this course, including practices of inquiry, self-analysis, and evaluation, will be applied and integrated throughout the course of study and demonstrated in the culminating capstone work of the master's degree. This course is required of all degree-seeking students and should be taken in the ﬁrst three quarters of enrollment. HC 4915 Experiential Learning in Business (4 Credits) This course is for learners who want to increase their range of business skills and industry experience. As learners navigate ten modules, they will walk through reflection on speciﬁc activities related to professional business skills. These skills include items such as building a personal brand, creating value add, informational interviewing, negotiating, and system evaluation. This course will use virtual reality to ensure an equitable experience for remote students. At the culmination of this course, learners will have a basic set of professional business skills they can use throughout their careers. HC 4980 Internship (0-10 Credits) The Healthcare Internship is designed to offer students a purposeful experience in a practical, industry related setting. The internship is an individualized learning experience. A training plan is created for each student in conjunction with the internship site supervisor to provide experiences related to the skills and knowledge covered in the certiﬁcate and master's programs as well as professional goals. Students are responsible for ﬁnding their own internship site and proposing their internship ideas. University College will send notiﬁcation to all Healthcare students if they hear of internship possibilities. Students may also work through the DU career center, to explore opportunities for internship experiences. HC 4991 Independent Study (1-8 Credits) This is an advanced course for students wishing to pursue an independent course of study. The student must be accepted in a degree program, have earned a grade point average of 3.0 or better, obtained the approval of the department director, and have completed the Independent Study form and ﬁled the form with all appropriate ofﬁces before registering for the independent study. Independent Study is offered only on a for-credit basis.	<urn:uuid:0c19799e-a0c6-4029-a9dc-d108075c61b6>	CC-MAIN-2022-40	http://bulletin.du.edu/graduate/coursedescriptions/hc/hc.pdf	2022-10-03T11:06:36+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-40/subset=warc/part-00295-26160df0-1827-4787-a515-95ecaa2c9688.c000.gz.parquet	8,249,393	4,312	eng_Latn	eng_Latn	0.995976	eng_Latn	0.996136	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 6373, 13334, 20510, 24069 ]	HEALTHCARE LEADERSHIP (HC) HC 4000 Healthcare Systems and Regulatory Environments (4 Credits) This course opens with a comprehensive overview of the functions of various types of healthcare organizations: providers, insurance companies, government agencies, and professional associations. Alternative payment and provider models are reviewed, regulatory bodies and issues are explored, and healthcare reform efforts and proposals are discussed. Supply and demand projections for personnel are examined. The work of key federal agencies (NIH, National Center for Disease Control, and Food and Drug Administration) is reviewed as well as the activity of national and international non-governmental organizations. Major national and global public health challenges are introduced. HC 4005 Healthcare Macroeconomics (4 Credits) This course focuses on macro analysis of the current ﬁnancial state of healthcare in the United States. The relationships of value, quality, and price are analyzed. Transparency related to price and quality is considered. Fundamental items such as balance sheets/income statements, accounting vs. ﬁnancial reporting, equity, cash flows, and debt ﬁnancing are covered in detail. Payment and incentive models are considered in connection with employer-furnished beneﬁts, private health insurance plans, Medicare and Medicaid. Current issues, such as pay for performance, shared savings, cost shifting, and healthcare for the aging, under and uninsured are discussed. Students will discuss variations in health policy related to payment and coverage systems. HC 4010 Healthcare Communication and Leadership (4 Credits) This course focuses on the welfare of patient, family, and community in the context of medical team communication and leadership. Models for communicating highly technical medical information with patients and others involved in their care are examined. Students weigh and assess differences in personal and organizational cultures to optimize patient-centered outcomes. Students acquire a sound body of knowledge and terminology to facilitate communication and leadership across a multitude of disciplines essential in the delivery of healthcare. NOTE: This course is strongly recommended within the ﬁrst 3 terms of study. HC 4015 Healthcare Finance (4 Credits) This course presents an overview of ﬁnancial management in healthcare organizations operating in the United States. Students will gain a broad overview of the business of healthcare in the United States, including interpretation of ﬁnancial statements, budgeting, variance analysis, operational analysis, capital investment analysis, expense management issues, revenues, and payment systems used in the current United States healthcare system. The course will use a case-based approach where students will demonstrate mastery of ﬁnancial management skills through application of knowledge to real-life scenarios from the industry. HC 4100 Management Principles in Healthcare Systems (4 Credits) Healthcare systems are complex, dynamic, multilayered and unpredictable. They require constant situational awareness to maintain safety, efﬁciency, compliance, relevance and ﬁscal responsibility. Management and leadership need to have the vision to respond to changes and unexpected events. In this course, students encounter and explore the management functions required to lead and administer various types of healthcare systems. Students will engage in activities such as analyzing a healthcare system or organization's current level of performance or culture to inform ways to lead that organization toward excellence. HC 4110 Healthcare: Innovative Strategies and Change Management (4 Credits) Effective healthcare takes continual innovation to meet the ever-changing needs of the population. Through an examination of disruptions that create a catalyst for change, this course focuses on teaching students how innovative strategies can enable quality care and sustainability both within the healthcare delivery system and the health industry. Further, the drivers of innovation are explored from their use in grassroots efforts through regulatory reform through the lens of supply and demand. Finally, strategic planning for maximum use of ﬁnancial resources to meet stakeholder expectations is ventured into in this course. HC 4130 Organizational Behavior in Healthcare (4 Credits) Customer and employee satisfaction elements of healthcare management are often a result of how well the entire healthcare system functions. Students examine successful and less successful examples of cooperation, compatibility, and dedication within the workplace and explore what contributes to a harmonious and effective healthcare environment. Interpersonal skills are discussed, as are ethical guidelines and laws that deﬁne acceptable workplace behavior. HC 4200 Comparative Healthcare Systems (4 Credits) This course describes variations in healthcare delivery systems locally, nationally, and globally as they relate to policy, structure, and ﬁnance. Comparisons of systems are made relative to expenditure of resources and outcomes. Students learn about healthcare coverage, access to care, healthcare rationing, provider manpower distribution, and seeking healthcare in foreign countries (medical tourism). The discrepancy between the desirable and the practical is explored, and students are asked to outline and defend a system that they believe is both desirable and practical. HC 4210 Quality Improvement for HC Leaders (4 Credits) This course is designed to review the body of knowledge and core competencies needed to function at the level of Certiﬁed Professional in Healthcare Quality (CPHQ) in a healthcare organization. Skills gained are applicable to managers and administrators of hospitals, practices, and clinics. Course content is beneﬁcial to clinicians and others interested in quality and patient safety. This course facilitates the successful pursuit of the CPHQ certiﬁcation exam. Core competencies, aligned with the CPHQ certiﬁcation exam, to be explored in detail include: Leadership and Management; Quality and Performance Improvement; Healthcare Safety; Information Management and Regulation, Accreditation and Continuous Readiness. Students are strongly encouraged to complete HC4000 and HC4220 prior to registering for the course. 1 HC 4220 Ethical Considerations in Healthcare (4 Credits) This course explores ethical considerations encountered throughout the United States' healthcare industry as well as within the broader global environment. Both clinical and non-clinical scenarios will be examined. Students will learn to apply ethical principles, theories, and concepts to analyze and draw conclusions for a broad range of ethical dilemmas. Through readings, class discussions, and assignments, students will recognize how ethical considerations vary depending on the perspective of the stakeholder or assessor, a critcal step in making ethical decisions with no single right answer. HC 4225 Healthcare Public Policy and the Legislative Process (4 Credits) This class provides students with an understanding of the political and legislative procedures that lead to healthcare policy change and reform. Students examine the influences and functions of government agencies, legislative processes and procedures and executive branch rule-making. Students objectively evaluate how policy changes occur at the federal and state levels and subsequently affect the functioning as a citizen and a professional. Class lecture focuses on the legislative path of federal law and then follows it through to the outcomes at the state level. Students explore the importance of developing relationships, communication and advocacy strategies with elected ofﬁcials and various stakeholder groups that interact with the federal and state legislative processes. HC 4230 Implementation and Evaluation of Healthcare Public Policy (4 Credits) This course examines strategies for implementation and evaluation of healthcare public policy. Students develop skills in analyzing issues, considering and weighing pros and cons of proposed policy, and defending strategies for bringing about change. Beginning with the passage of a new law, policy, or regulation, students track the process to implement and evaluate new policy. Topics related to implementation of a new policy include funding the implementation, effect on constituents and the overall national economy, sustainability, and short- and long-term evaluation of the policy. At the conclusion of this course, students will prepare an implementation plan for selected recently passed state legislation. Students are strongly encouraged to complete HC 4000 prior to registering for this course. HC 4400 Legal Dynamics of Healthcare Leadership (4 Credits) This course is a primer on the legal and compliance considerations associated with organization, payment, and administration of facilities and provider groups. Topics will include the corporate and contract law, Stark and anti-kickback law, licensure and credentialing, professional liability, professional review and patient safety, HIPAA and patient privacy, and other laws affecting healthcare providers and organizations. HC 4410 Legal Frameworks of the Healthcare Industry (4 Credits) This course reviews the recent history of healthcare reform in the United States beginning with the 2010 Affordable Care Act (ACA) and moving to health reform since the ACA. Students examine the influences and functions of Medicare and Medicaid as well as the Department of Health and Human Services' (HHS) role in shaping beneﬁt coverage throughout the healthcare industry. Students will explore the importance of, and examine legal issues related to, public health and healthcare provided by entities within the Federal Government such as the Department of Veterans Affairs (VA), Department of Defense (DoD), and Indian Health Service (IHS). Students will objectively evaluate the legalities and ethical issues associated with clinical research as well as the Food and Drug Administration (FDA)'s involvement in the development of pharmaceutical agents and medical devices. The course concludes with students analyzing the future landscape of health reform and public sector influence in healthcare. HC 4420 Legal Fundamentals of Revenue in Healthcare (4 Credits) This course provides an understanding of the legal complexities of creating and managing delivery and payment models for healthcare services. Course content revolves around the current challenges of evolving from volume-based to value-based payment principles. Topics will include fraud and abuse and compliance, legal foundations of private and public payment systems, fee for service, managed care, value-based systems, and a review of current healthcare payment reform efforts. The course wraps up with the role of clinical health information and related data systems in healthcare delivery and payment. HC 4430 Signiﬁcant Healthcare Law (4 Credits) As a foundation, students begin with an overview of healthcare law and an analysis of the sources of law to include the Constitution, statutes, regulations, and case law. Throughout the course, students will objectively analyze constitutional issues and major federal healthcare laws and will further delve into regulations implementing statutes as well as cases interpreting them. Students will examine the intersection of traditional areas of law and healthcare to include torts, antitrust, contracts, and intellectual property. They will explore the contemporary and emerging areas of information and innovation in healthcare law as well as the Affordable Care Act, to include the Supreme Court's landmark decision. The course concludes with a consideration of the pervasive problem of fraud, waste, and abuse. This course is delivered in a seminar style with signiﬁcant independent work/research on the part of students and should be taken after introductory and concentration courses. HC 4500 Operational Challenges in Global Health Management (4 Credits) This course presents challenges in operations that are unique to healthcare services and products being delivered in the international market. Topics include international marketing of services and healthcare products, negotiation styles, ethical considerations, organizational structure, transporting of medical goods and personnel, individual travel health and medical tourism as a business model. Cultural and religious considerations in healthcare delivery are discussed. Grants and research management for global health are compared with domestic procedures. HC 4510 Legal and Employment Issues in Global Health Management (4 Credits) This course presents legal considerations involved in conducting global programs and business related to healthcare services and products. Employment and labor law are discussed in relationship to employment across international lines and within foreign countries. Intellectual property, patent and copyright of healthcare products, curriculum, and programs are examined. Customs laws, foreign trade, and other regulations such as healthcare licensing and credentialing of personnel are developed. Human resource challenges such as remote team management are discussed. HC 4520 Global Health NGO Management (4 Credits) Students will examine factors that impact organizational performance in the global nonproﬁt health sector. Students expore current challenges associated with Non-Government Organizations (NGOs) that operate in low-income and middle-income countries. Examples include Doctors Without Borders, Shoulder to Shoulder, and others. Students are empowered to research and compare different NGOs and analyze factors that impact organizational effectiveness. Key challenges facing NGO leaders are analyzed and students provide recommendations to improve organizational performance. Course topics include assessment of NGO strategies, organizational resources and ﬁnancing, and stakeholder relations. Other topics include analysis of countries' demographics, culture, healthcare delivery, policies, and external environment. It is recommended that students in the Global Health Program Management concentration or certiﬁcate complete HC4500 and HC4510 prior to registering for this course. Students in other concentrations or programs may take this course at any time as an elective. HC 4530 Regulatory Affairs in Global Health Management (4 Credits) This course discusses the various regulatory requirements of conducting healthcare related business from the perspective of research, development, and marketing of medical devices and pharmaceuticals. Both domestic and international requirements will be examined. Students will develop a template of skills for investigating healthcare related compliance issues that can be adapted to speciﬁc markets as needed. HC 4701 Topics in Healthcare Management (1-10 Credits) This is an advanced special topics seminar course. The focus is on specialized areas of interest. Topics courses may be used as electives within the Healthcare Leadership degree and certiﬁcates, and, with advance approval from Academic Director, may substitute for core courses in the degree or certiﬁcate programs. HC 4900 Experiential Learning in Healthcare (4 Credits) This course is for students who want to do independent research by completing an industry project and serves as a connector between research methods and a student's Capstone Project. The course will connect an academic research question with an experiential learning opportunity in healthcare for students as they prepare for their Capstone Project experience. Students will choose a Capstone Advisor, choose a topic, develop a thesis statement, explore project methodologies, write a proposal, and complete the necessary Institutional Review Board (IRB) requirements. Students will also agree to the structure and deliverables of their projects. There is an expectation for face to face (virtual is acceptable) meetings between students and their prospective Capstone Advisor during this course. This course is a prerequisite for any students planning to complete the Capstone Project (HC 4901) as it is the beginning of the Capstone Project process. Prerequisites: approval by Academic Director, acceptance as a degree candidate, and completion of between 30-40 quarter-hours. This course meets an elective option. HC 4901 Capstone Project (4 Credits) The Capstone Project provides students the opportunity to research a topic, problem, or issue within their ﬁeld of study, and work individually with a Capstone advisor. Similar in weight to a thesis, but more flexible, this ﬁnal project will synthesize and apply core concepts acquired from the program. The student will select an appropriate Capstone advisor who is knowledgeable in the ﬁeld of study to work closely with and whom can guide the research project. Evaluation will be focused on the quality and professionalism of applied research and writing; critical and creative thinking; problemsolving skills; knowledge of research design, method, and implementation; and contribution to the ﬁeld and topic of study. Please see the Capstone Guidelines for additional details. Prerequisites: A Capstone Proposal that has been approved by both the Capstone Advisor and the Academic Director, acceptance as a degree candidate, completion of at least 40 quarter-hours (including all core courses) with a cumulative GPA of 3.0 or better. A ﬁnal grade of a B- or better is required to pass. HC 4902 Capstone Seminar (4 Credits) The Capstone Seminar is a graduate seminar in which students utilize the knowledge and skills gained through the degree program to create a culminating work that critically addresses a problem in their degree ﬁeld of study. The students produce a Capstone of 7000-8000 words that presents a position on a relevant problem, supports the position with professional and academic literature, analyzes and tests the proposed solution, and discusses the ﬁndings as related to the ﬁeld of study. The seminar is dependent upon quality, collegial discussion, and feedback of students' research and work products, under the facilitation of a faculty member. The course structure guides the students through the process of independent, secondary research and writing of a Capstone. No primary research is allowed. Students generate the course content through ongoing discussion and peer feedback on the Capstone process and individual topic areas under investigation. Students professionally and academically communicate through written work and oral presentation. Students must have: Acceptance as a degree candidate, completion of at least 40 quarter-hours (including all core courses) with a cumulative GPA of 3.0 or better. A ﬁnal grade of B- or better is required in this course to meet degree requirements. Students must complete the Capstone Seminar in one quarter; no incomplete grades are assigned. HC 4904 Interdisciplinary Capstone Seminar (4 Credits) The Interdisciplinary Capstone Seminar is a graduate seminar in which students utilize the knowledge and skills gained through the degree program to create a culminating work that critically addresses a problem or issue in the degree ﬁeld of study. Members of the class will include students from various UCOL programs, representing multiple topics of study. On campus offerings of this course include required online components. The student produces a paper of 7000-8000 words that presents a position on a relevant problem or issue, supports the position with professional and academic work in the ﬁeld, analyzes and tests the paper position, and discusses the role of the ﬁndings within the ﬁeld of study. Students professionally and academically communicate their ﬁndings through written work and oral presentations. The seminar is dependent upon active and collegial discussion and critique of student research and work under the facilitation of a faculty member, and it is governed by the quality of participation and contributions of the students. Students must have: Acceptance as a degree candidate, completion of at least 40 quarter-hours (including all core courses) with a cumulative GPA of 3.0 or better. A ﬁnal grade of B- or better is required in this course to meet degree requirements. Students must complete the Capstone Seminar in one quarter; no incomplete grades are assigned. 3 4 HC 4910 Research Practices and Applications (4 Credits) This course develops competency in principles of research and measurement for use in the professional setting. As an initial course in the program of study, students will learn research methods to apply to program and systems design and evaluation to achieve successful measurement of outcomes and goals. Students will become critical consumers of pertinent literature to provide background and support for the choice and application of proper qualitative and quantitative research methods and data analysis for professional application. Critical thinking through comparing and contrasting cause and effect is used to build logic models. Research, design, and evaluation processes that address issues of implementation, feasibility, and sustainability are emphasized. At the conclusion of this course students will be prepared to apply and clearly communicate the practice of scientiﬁc research principles in the professional environment to ensure that the question being asked can be answered through rigorous research and the design and formative assessment of the program or system. Completion of Institutional Review Board (IRB) training via CITI Program is required as a basis for discussion of research ethics and IRB procedures. Competencies gained in this course, including practices of inquiry, self-analysis, and evaluation, will be applied and integrated throughout the course of study and demonstrated in the culminating capstone work of the master's degree. This course is required of all degree-seeking students and should be taken in the ﬁrst three quarters of enrollment. HC 4915 Experiential Learning in Business (4 Credits) This course is for learners who want to increase their range of business skills and industry experience. As learners navigate ten modules, they will walk through reflection on speciﬁc activities related to professional business skills. These skills include items such as building a personal brand, creating value add, informational interviewing, negotiating, and system evaluation. This course will use virtual reality to ensure an equitable experience for remote students. At the culmination of this course, learners will have a basic set of professional business skills they can use throughout their careers. HC 4980 Internship (0-10 Credits) The Healthcare Internship is designed to offer students a purposeful experience in a practical, industry related setting. The internship is an individualized learning experience. A training plan is created for each student in conjunction with the internship site supervisor to provide experiences related to the skills and knowledge covered in the certiﬁcate and master's programs as well as professional goals. Students are responsible for ﬁnding their own internship site and proposing their internship ideas	.	University College will send notiﬁcation to all Healthcare students if they hear of internship possibilities. Students may also work through the DU career center, to explore opportunities for internship experiences. HC 4991 Independent Study (1-8 Credits) This is an advanced course for students wishing to pursue an independent course of study. The student must be accepted in a degree program, have earned a grade point average of 3.0 or better, obtained the approval of the department director, and have completed the Independent Study form and ﬁled the form with all appropriate ofﬁces before registering for the independent study. Independent Study is offered only on a for-credit basis.	23,373	inside_word	ideas.	remove_one_sentence	<url> http://bulletin.du.edu/graduate/coursedescriptions/hc/hc.pdf </url> <text> HEALTHCARE LEADERSHIP (HC) HC 4000 Healthcare Systems and Regulatory Environments (4 Credits) This course opens with a comprehensive overview of the functions of various types of healthcare organizations: providers, insurance companies, government agencies, and professional associations. Alternative payment and provider models are reviewed, regulatory bodies and issues are explored, and healthcare reform efforts and proposals are discussed. Supply and demand projections for personnel are examined. The work of key federal agencies (NIH, National Center for Disease Control, and Food and Drug Administration) is reviewed as well as the activity of national and international non-governmental organizations. Major national and global public health challenges are introduced. HC 4005 Healthcare Macroeconomics (4 Credits) This course focuses on macro analysis of the current ﬁnancial state of healthcare in the United States. The relationships of value, quality, and price are analyzed. Transparency related to price and quality is considered. Fundamental items such as balance sheets/income statements, accounting vs. ﬁnancial reporting, equity, cash flows, and debt ﬁnancing are covered in detail. Payment and incentive models are considered in connection with employer-furnished beneﬁts, private health insurance plans, Medicare and Medicaid. Current issues, such as pay for performance, shared savings, cost shifting, and healthcare for the aging, under and uninsured are discussed. Students will discuss variations in health policy related to payment and coverage systems. HC 4010 Healthcare Communication and Leadership (4 Credits) This course focuses on the welfare of patient, family, and community in the context of medical team communication and leadership. Models for communicating highly technical medical information with patients and others involved in their care are examined. Students weigh and assess differences in personal and organizational cultures to optimize patient-centered outcomes. Students acquire a sound body of knowledge and terminology to facilitate communication and leadership across a multitude of disciplines essential in the delivery of healthcare. NOTE: This course is strongly recommended within the ﬁrst 3 terms of study. HC 4015 Healthcare Finance (4 Credits) This course presents an overview of ﬁnancial management in healthcare organizations operating in the United States. Students will gain a broad overview of the business of healthcare in the United States, including interpretation of ﬁnancial statements, budgeting, variance analysis, operational analysis, capital investment analysis, expense management issues, revenues, and payment systems used in the current United States healthcare system. The course will use a case-based approach where students will demonstrate mastery of ﬁnancial management skills through application of knowledge to real-life scenarios from the industry. HC 4100 Management Principles in Healthcare Systems (4 Credits) Healthcare systems are complex, dynamic, multilayered and unpredictable. They require constant situational awareness to maintain safety, efﬁciency, compliance, relevance and ﬁscal responsibility. Management and leadership need to have the vision to respond to changes and unexpected events. In this course, students encounter and explore the management functions required to lead and administer various types of healthcare systems. Students will engage in activities such as analyzing a healthcare system or organization's current level of performance or culture to inform ways to lead that organization toward excellence. HC 4110 Healthcare: Innovative Strategies and Change Management (4 Credits) Effective healthcare takes continual innovation to meet the ever-changing needs of the population. Through an examination of disruptions that create a catalyst for change, this course focuses on teaching students how innovative strategies can enable quality care and sustainability both within the healthcare delivery system and the health industry. Further, the drivers of innovation are explored from their use in grassroots efforts through regulatory reform through the lens of supply and demand. Finally, strategic planning for maximum use of ﬁnancial resources to meet stakeholder expectations is ventured into in this course. HC 4130 Organizational Behavior in Healthcare (4 Credits) Customer and employee satisfaction elements of healthcare management are often a result of how well the entire healthcare system functions. Students examine successful and less successful examples of cooperation, compatibility, and dedication within the workplace and explore what contributes to a harmonious and effective healthcare environment. Interpersonal skills are discussed, as are ethical guidelines and laws that deﬁne acceptable workplace behavior. HC 4200 Comparative Healthcare Systems (4 Credits) This course describes variations in healthcare delivery systems locally, nationally, and globally as they relate to policy, structure, and ﬁnance. Comparisons of systems are made relative to expenditure of resources and outcomes. Students learn about healthcare coverage, access to care, healthcare rationing, provider manpower distribution, and seeking healthcare in foreign countries (medical tourism). The discrepancy between the desirable and the practical is explored, and students are asked to outline and defend a system that they believe is both desirable and practical. HC 4210 Quality Improvement for HC Leaders (4 Credits) This course is designed to review the body of knowledge and core competencies needed to function at the level of Certiﬁed Professional in Healthcare Quality (CPHQ) in a healthcare organization. Skills gained are applicable to managers and administrators of hospitals, practices, and clinics. Course content is beneﬁcial to clinicians and others interested in quality and patient safety. This course facilitates the successful pursuit of the CPHQ certiﬁcation exam. Core competencies, aligned with the CPHQ certiﬁcation exam, to be explored in detail include: Leadership and Management; Quality and Performance Improvement; Healthcare Safety; Information Management and Regulation, Accreditation and Continuous Readiness. Students are strongly encouraged to complete HC4000 and HC4220 prior to registering for the course. 1 HC 4220 Ethical Considerations in Healthcare (4 Credits) This course explores ethical considerations encountered throughout the United States' healthcare industry as well as within the broader global environment. Both clinical and non-clinical scenarios will be examined. Students will learn to apply ethical principles, theories, and concepts to analyze and draw conclusions for a broad range of ethical dilemmas. Through readings, class discussions, and assignments, students will recognize how ethical considerations vary depending on the perspective of the stakeholder or assessor, a critcal step in making ethical decisions with no single right answer. HC 4225 Healthcare Public Policy and the Legislative Process (4 Credits) This class provides students with an understanding of the political and legislative procedures that lead to healthcare policy change and reform. Students examine the influences and functions of government agencies, legislative processes and procedures and executive branch rule-making. Students objectively evaluate how policy changes occur at the federal and state levels and subsequently affect the functioning as a citizen and a professional. Class lecture focuses on the legislative path of federal law and then follows it through to the outcomes at the state level. Students explore the importance of developing relationships, communication and advocacy strategies with elected ofﬁcials and various stakeholder groups that interact with the federal and state legislative processes. HC 4230 Implementation and Evaluation of Healthcare Public Policy (4 Credits) This course examines strategies for implementation and evaluation of healthcare public policy. Students develop skills in analyzing issues, considering and weighing pros and cons of proposed policy, and defending strategies for bringing about change. Beginning with the passage of a new law, policy, or regulation, students track the process to implement and evaluate new policy. Topics related to implementation of a new policy include funding the implementation, effect on constituents and the overall national economy, sustainability, and short- and long-term evaluation of the policy. At the conclusion of this course, students will prepare an implementation plan for selected recently passed state legislation. Students are strongly encouraged to complete HC 4000 prior to registering for this course. HC 4400 Legal Dynamics of Healthcare Leadership (4 Credits) This course is a primer on the legal and compliance considerations associated with organization, payment, and administration of facilities and provider groups. Topics will include the corporate and contract law, Stark and anti-kickback law, licensure and credentialing, professional liability, professional review and patient safety, HIPAA and patient privacy, and other laws affecting healthcare providers and organizations. HC 4410 Legal Frameworks of the Healthcare Industry (4 Credits) This course reviews the recent history of healthcare reform in the United States beginning with the 2010 Affordable Care Act (ACA) and moving to health reform since the ACA. Students examine the influences and functions of Medicare and Medicaid as well as the Department of Health and Human Services' (HHS) role in shaping beneﬁt coverage throughout the healthcare industry. Students will explore the importance of, and examine legal issues related to, public health and healthcare provided by entities within the Federal Government such as the Department of Veterans Affairs (VA), Department of Defense (DoD), and Indian Health Service (IHS). Students will objectively evaluate the legalities and ethical issues associated with clinical research as well as the Food and Drug Administration (FDA)'s involvement in the development of pharmaceutical agents and medical devices. The course concludes with students analyzing the future landscape of health reform and public sector influence in healthcare. HC 4420 Legal Fundamentals of Revenue in Healthcare (4 Credits) This course provides an understanding of the legal complexities of creating and managing delivery and payment models for healthcare services. Course content revolves around the current challenges of evolving from volume-based to value-based payment principles. Topics will include fraud and abuse and compliance, legal foundations of private and public payment systems, fee for service, managed care, value-based systems, and a review of current healthcare payment reform efforts. The course wraps up with the role of clinical health information and related data systems in healthcare delivery and payment. HC 4430 Signiﬁcant Healthcare Law (4 Credits) As a foundation, students begin with an overview of healthcare law and an analysis of the sources of law to include the Constitution, statutes, regulations, and case law. Throughout the course, students will objectively analyze constitutional issues and major federal healthcare laws and will further delve into regulations implementing statutes as well as cases interpreting them. Students will examine the intersection of traditional areas of law and healthcare to include torts, antitrust, contracts, and intellectual property. They will explore the contemporary and emerging areas of information and innovation in healthcare law as well as the Affordable Care Act, to include the Supreme Court's landmark decision. The course concludes with a consideration of the pervasive problem of fraud, waste, and abuse. This course is delivered in a seminar style with signiﬁcant independent work/research on the part of students and should be taken after introductory and concentration courses. HC 4500 Operational Challenges in Global Health Management (4 Credits) This course presents challenges in operations that are unique to healthcare services and products being delivered in the international market. Topics include international marketing of services and healthcare products, negotiation styles, ethical considerations, organizational structure, transporting of medical goods and personnel, individual travel health and medical tourism as a business model. Cultural and religious considerations in healthcare delivery are discussed. Grants and research management for global health are compared with domestic procedures. HC 4510 Legal and Employment Issues in Global Health Management (4 Credits) This course presents legal considerations involved in conducting global programs and business related to healthcare services and products. Employment and labor law are discussed in relationship to employment across international lines and within foreign countries. Intellectual property, patent and copyright of healthcare products, curriculum, and programs are examined. Customs laws, foreign trade, and other regulations such as healthcare licensing and credentialing of personnel are developed. Human resource challenges such as remote team management are discussed. HC 4520 Global Health NGO Management (4 Credits) Students will examine factors that impact organizational performance in the global nonproﬁt health sector. Students expore current challenges associated with Non-Government Organizations (NGOs) that operate in low-income and middle-income countries. Examples include Doctors Without Borders, Shoulder to Shoulder, and others. Students are empowered to research and compare different NGOs and analyze factors that impact organizational effectiveness. Key challenges facing NGO leaders are analyzed and students provide recommendations to improve organizational performance. Course topics include assessment of NGO strategies, organizational resources and ﬁnancing, and stakeholder relations. Other topics include analysis of countries' demographics, culture, healthcare delivery, policies, and external environment. It is recommended that students in the Global Health Program Management concentration or certiﬁcate complete HC4500 and HC4510 prior to registering for this course. Students in other concentrations or programs may take this course at any time as an elective. HC 4530 Regulatory Affairs in Global Health Management (4 Credits) This course discusses the various regulatory requirements of conducting healthcare related business from the perspective of research, development, and marketing of medical devices and pharmaceuticals. Both domestic and international requirements will be examined. Students will develop a template of skills for investigating healthcare related compliance issues that can be adapted to speciﬁc markets as needed. HC 4701 Topics in Healthcare Management (1-10 Credits) This is an advanced special topics seminar course. The focus is on specialized areas of interest. Topics courses may be used as electives within the Healthcare Leadership degree and certiﬁcates, and, with advance approval from Academic Director, may substitute for core courses in the degree or certiﬁcate programs. HC 4900 Experiential Learning in Healthcare (4 Credits) This course is for students who want to do independent research by completing an industry project and serves as a connector between research methods and a student's Capstone Project. The course will connect an academic research question with an experiential learning opportunity in healthcare for students as they prepare for their Capstone Project experience. Students will choose a Capstone Advisor, choose a topic, develop a thesis statement, explore project methodologies, write a proposal, and complete the necessary Institutional Review Board (IRB) requirements. Students will also agree to the structure and deliverables of their projects. There is an expectation for face to face (virtual is acceptable) meetings between students and their prospective Capstone Advisor during this course. This course is a prerequisite for any students planning to complete the Capstone Project (HC 4901) as it is the beginning of the Capstone Project process. Prerequisites: approval by Academic Director, acceptance as a degree candidate, and completion of between 30-40 quarter-hours. This course meets an elective option. HC 4901 Capstone Project (4 Credits) The Capstone Project provides students the opportunity to research a topic, problem, or issue within their ﬁeld of study, and work individually with a Capstone advisor. Similar in weight to a thesis, but more flexible, this ﬁnal project will synthesize and apply core concepts acquired from the program. The student will select an appropriate Capstone advisor who is knowledgeable in the ﬁeld of study to work closely with and whom can guide the research project. Evaluation will be focused on the quality and professionalism of applied research and writing; critical and creative thinking; problemsolving skills; knowledge of research design, method, and implementation; and contribution to the ﬁeld and topic of study. Please see the Capstone Guidelines for additional details. Prerequisites: A Capstone Proposal that has been approved by both the Capstone Advisor and the Academic Director, acceptance as a degree candidate, completion of at least 40 quarter-hours (including all core courses) with a cumulative GPA of 3.0 or better. A ﬁnal grade of a B- or better is required to pass. HC 4902 Capstone Seminar (4 Credits) The Capstone Seminar is a graduate seminar in which students utilize the knowledge and skills gained through the degree program to create a culminating work that critically addresses a problem in their degree ﬁeld of study. The students produce a Capstone of 7000-8000 words that presents a position on a relevant problem, supports the position with professional and academic literature, analyzes and tests the proposed solution, and discusses the ﬁndings as related to the ﬁeld of study. The seminar is dependent upon quality, collegial discussion, and feedback of students' research and work products, under the facilitation of a faculty member. The course structure guides the students through the process of independent, secondary research and writing of a Capstone. No primary research is allowed. Students generate the course content through ongoing discussion and peer feedback on the Capstone process and individual topic areas under investigation. Students professionally and academically communicate through written work and oral presentation. Students must have: Acceptance as a degree candidate, completion of at least 40 quarter-hours (including all core courses) with a cumulative GPA of 3.0 or better. A ﬁnal grade of B- or better is required in this course to meet degree requirements. Students must complete the Capstone Seminar in one quarter; no incomplete grades are assigned. HC 4904 Interdisciplinary Capstone Seminar (4 Credits) The Interdisciplinary Capstone Seminar is a graduate seminar in which students utilize the knowledge and skills gained through the degree program to create a culminating work that critically addresses a problem or issue in the degree ﬁeld of study. Members of the class will include students from various UCOL programs, representing multiple topics of study. On campus offerings of this course include required online components. The student produces a paper of 7000-8000 words that presents a position on a relevant problem or issue, supports the position with professional and academic work in the ﬁeld, analyzes and tests the paper position, and discusses the role of the ﬁndings within the ﬁeld of study. Students professionally and academically communicate their ﬁndings through written work and oral presentations. The seminar is dependent upon active and collegial discussion and critique of student research and work under the facilitation of a faculty member, and it is governed by the quality of participation and contributions of the students. Students must have: Acceptance as a degree candidate, completion of at least 40 quarter-hours (including all core courses) with a cumulative GPA of 3.0 or better. A ﬁnal grade of B- or better is required in this course to meet degree requirements. Students must complete the Capstone Seminar in one quarter; no incomplete grades are assigned. 3 4 HC 4910 Research Practices and Applications (4 Credits) This course develops competency in principles of research and measurement for use in the professional setting. As an initial course in the program of study, students will learn research methods to apply to program and systems design and evaluation to achieve successful measurement of outcomes and goals. Students will become critical consumers of pertinent literature to provide background and support for the choice and application of proper qualitative and quantitative research methods and data analysis for professional application. Critical thinking through comparing and contrasting cause and effect is used to build logic models. Research, design, and evaluation processes that address issues of implementation, feasibility, and sustainability are emphasized. At the conclusion of this course students will be prepared to apply and clearly communicate the practice of scientiﬁc research principles in the professional environment to ensure that the question being asked can be answered through rigorous research and the design and formative assessment of the program or system. Completion of Institutional Review Board (IRB) training via CITI Program is required as a basis for discussion of research ethics and IRB procedures. Competencies gained in this course, including practices of inquiry, self-analysis, and evaluation, will be applied and integrated throughout the course of study and demonstrated in the culminating capstone work of the master's degree. This course is required of all degree-seeking students and should be taken in the ﬁrst three quarters of enrollment. HC 4915 Experiential Learning in Business (4 Credits) This course is for learners who want to increase their range of business skills and industry experience. As learners navigate ten modules, they will walk through reflection on speciﬁc activities related to professional business skills. These skills include items such as building a personal brand, creating value add, informational interviewing, negotiating, and system evaluation. This course will use virtual reality to ensure an equitable experience for remote students. At the culmination of this course, learners will have a basic set of professional business skills they can use throughout their careers. HC 4980 Internship (0-10 Credits) The Healthcare Internship is designed to offer students a purposeful experience in a practical, industry related setting. The internship is an individualized learning experience. A training plan is created for each student in conjunction with the internship site supervisor to provide experiences related to the skills and knowledge covered in the certiﬁcate and master's programs as well as professional goals. Students are responsible for ﬁnding their own internship site and proposing their internship ideas<cursor_is_here> University College will send notiﬁcation to all Healthcare students if they hear of internship possibilities. Students may also work through the DU career center, to explore opportunities for internship experiences. HC 4991 Independent Study (1-8 Credits) This is an advanced course for students wishing to pursue an independent course of study. The student must be accepted in a degree program, have earned a grade point average of 3.0 or better, obtained the approval of the department director, and have completed the Independent Study form and ﬁled the form with all appropriate ofﬁces before registering for the independent study. Independent Study is offered only on a for-credit basis. </text>	[ { "content": "<url>\nhttp://bulletin.du.edu/graduate/coursedescriptions/hc/hc.pdf\n</url>\n<text>\nHEALTHCARE LEADERSHIP (HC)\n\nHC 4000 Healthcare Systems and Regulatory Environments (4 Credits)\n\nThis course opens with a comprehensive overview of the functions of various types of healthcare organizations: providers, insurance companies, government agencies, and professional associations. Alternative payment and provider models are reviewed, regulatory bodies and issues are explored, and healthcare reform efforts and proposals are discussed. Supply and demand projections for personnel are examined. The work of key federal agencies (NIH, National Center for Disease Control, and Food and Drug Administration) is reviewed as well as the activity of national and international non-governmental organizations. Major national and global public health challenges are introduced.\n\nHC 4005 Healthcare Macroeconomics (4 Credits)\n\nThis course focuses on macro analysis of the current ﬁnancial state of healthcare in the United States. The relationships of value, quality, and price are analyzed. Transparency related to price and quality is considered. Fundamental items such as balance sheets/income statements, accounting vs. ﬁnancial reporting, equity, cash flows, and debt ﬁnancing are covered in detail. Payment and incentive models are considered in connection with employer-furnished beneﬁts, private health insurance plans, Medicare and Medicaid. Current issues, such as pay for performance, shared savings, cost shifting, and healthcare for the aging, under and uninsured are discussed. Students will discuss variations in health policy related to payment and coverage systems.\n\nHC 4010 Healthcare Communication and Leadership (4 Credits)\n\nThis course focuses on the welfare of patient, family, and community in the context of medical team communication and leadership. Models for communicating highly technical medical information with patients and others involved in their care are examined. Students weigh and assess differences in personal and organizational cultures to optimize patient-centered outcomes. Students acquire a sound body of knowledge and terminology to facilitate communication and leadership across a multitude of disciplines essential in the delivery of healthcare. NOTE: This course is strongly recommended within the ﬁrst 3 terms of study.\n\nHC 4015 Healthcare Finance (4 Credits)\n\nThis course presents an overview of ﬁnancial management in healthcare organizations operating in the United States. Students will gain a broad overview of the business of healthcare in the United States, including interpretation of ﬁnancial statements, budgeting, variance analysis, operational analysis, capital investment analysis, expense management issues, revenues, and payment systems used in the current United States healthcare system. The course will use a case-based approach where students will demonstrate mastery of ﬁnancial management skills through application of knowledge to real-life scenarios from the industry.\n\nHC 4100 Management Principles in Healthcare Systems (4 Credits)\n\nHealthcare systems are complex, dynamic, multilayered and unpredictable. They require constant situational awareness to maintain safety, efﬁciency, compliance, relevance and ﬁscal responsibility. Management and leadership need to have the vision to respond to changes and unexpected events. In this course, students encounter and explore the management functions required to lead and administer various types of healthcare systems. Students will engage in activities such as analyzing a healthcare system or organization's current level of performance or culture to inform ways to lead that organization toward excellence.\n\nHC 4110 Healthcare: Innovative Strategies and Change Management (4 Credits)\n\nEffective healthcare takes continual innovation to meet the ever-changing needs of the population. Through an examination of disruptions that create a catalyst for change, this course focuses on teaching students how innovative strategies can enable quality care and sustainability both within the healthcare delivery system and the health industry. Further, the drivers of innovation are explored from their use in grassroots efforts through regulatory reform through the lens of supply and demand. Finally, strategic planning for maximum use of ﬁnancial resources to meet stakeholder expectations is ventured into in this course.\n\nHC 4130 Organizational Behavior in Healthcare (4 Credits)\n\nCustomer and employee satisfaction elements of healthcare management are often a result of how well the entire healthcare system functions. Students examine successful and less successful examples of cooperation, compatibility, and dedication within the workplace and explore what contributes to a harmonious and effective healthcare environment. Interpersonal skills are discussed, as are ethical guidelines and laws that deﬁne acceptable workplace behavior.\n\nHC 4200 Comparative Healthcare Systems (4 Credits)\n\nThis course describes variations in healthcare delivery systems locally, nationally, and globally as they relate to policy, structure, and ﬁnance. Comparisons of systems are made relative to expenditure of resources and outcomes. Students learn about healthcare coverage, access to care, healthcare rationing, provider manpower distribution, and seeking healthcare in foreign countries (medical tourism). The discrepancy between the desirable and the practical is explored, and students are asked to outline and defend a system that they believe is both desirable and practical.\n\nHC 4210 Quality Improvement for HC Leaders (4 Credits)\n\nThis course is designed to review the body of knowledge and core competencies needed to function at the level of Certiﬁed Professional in Healthcare Quality (CPHQ) in a healthcare organization. Skills gained are applicable to managers and administrators of hospitals, practices, and clinics. Course content is beneﬁcial to clinicians and others interested in quality and patient safety. This course facilitates the successful pursuit of the CPHQ certiﬁcation exam. Core competencies, aligned with the CPHQ certiﬁcation exam, to be explored in detail include: Leadership and Management; Quality and Performance Improvement; Healthcare Safety; Information Management and Regulation, Accreditation and Continuous Readiness. Students are strongly encouraged to complete HC4000 and HC4220 prior to registering for the course.\n\n1\n\nHC 4220 Ethical Considerations in Healthcare (4 Credits)\n\nThis course explores ethical considerations encountered throughout the United States' healthcare industry as well as within the broader global environment. Both clinical and non-clinical scenarios will be examined. Students will learn to apply ethical principles, theories, and concepts to analyze and draw conclusions for a broad range of ethical dilemmas. Through readings, class discussions, and assignments, students will recognize how ethical considerations vary depending on the perspective of the stakeholder or assessor, a critcal step in making ethical decisions with no single right answer.\n\nHC 4225 Healthcare Public Policy and the Legislative Process (4 Credits)\n\nThis class provides students with an understanding of the political and legislative procedures that lead to healthcare policy change and reform. Students examine the influences and functions of government agencies, legislative processes and procedures and executive branch rule-making. Students objectively evaluate how policy changes occur at the federal and state levels and subsequently affect the functioning as a citizen and a professional. Class lecture focuses on the legislative path of federal law and then follows it through to the outcomes at the state level. Students explore the importance of developing relationships, communication and advocacy strategies with elected ofﬁcials and various stakeholder groups that interact with the federal and state legislative processes.\n\nHC 4230 Implementation and Evaluation of Healthcare Public Policy (4 Credits)\n\nThis course examines strategies for implementation and evaluation of healthcare public policy. Students develop skills in analyzing issues, considering and weighing pros and cons of proposed policy, and defending strategies for bringing about change. Beginning with the passage of a new law, policy, or regulation, students track the process to implement and evaluate new policy. Topics related to implementation of a new policy include funding the implementation, effect on constituents and the overall national economy, sustainability, and short- and long-term evaluation of the policy. At the conclusion of this course, students will prepare an implementation plan for selected recently passed state legislation. Students are strongly encouraged to complete HC 4000 prior to registering for this course.\n\nHC 4400 Legal Dynamics of Healthcare Leadership (4 Credits)\n\nThis course is a primer on the legal and compliance considerations associated with organization, payment, and administration of facilities and provider groups. Topics will include the corporate and contract law, Stark and anti-kickback law, licensure and credentialing, professional liability, professional review and patient safety, HIPAA and patient privacy, and other laws affecting healthcare providers and organizations.\n\nHC 4410 Legal Frameworks of the Healthcare Industry (4 Credits)\n\nThis course reviews the recent history of healthcare reform in the United States beginning with the 2010 Affordable Care Act (ACA) and moving to health reform since the ACA. Students examine the influences and functions of Medicare and Medicaid as well as the Department of Health and Human Services' (HHS) role in shaping beneﬁt coverage throughout the healthcare industry. Students will explore the importance of, and examine legal issues related to, public health and healthcare provided by entities within the Federal Government such as the Department of Veterans Affairs (VA), Department of Defense (DoD), and Indian Health Service (IHS). Students will objectively evaluate the legalities and ethical issues associated with clinical research as well as the Food and Drug Administration (FDA)'s involvement in the development of pharmaceutical agents and medical devices. The course concludes with students analyzing the future landscape of health reform and public sector influence in healthcare.\n\nHC 4420 Legal Fundamentals of Revenue in Healthcare (4 Credits)\n\nThis course provides an understanding of the legal complexities of creating and managing delivery and payment models for healthcare services. Course content revolves around the current challenges of evolving from volume-based to value-based payment principles. Topics will include fraud and abuse and compliance, legal foundations of private and public payment systems, fee for service, managed care, value-based systems, and a review of current healthcare payment reform efforts. The course wraps up with the role of clinical health information and related data systems in healthcare delivery and payment.\n\nHC 4430 Signiﬁcant Healthcare Law (4 Credits)\n\nAs a foundation, students begin with an overview of healthcare law and an analysis of the sources of law to include the Constitution, statutes, regulations, and case law. Throughout the course, students will objectively analyze constitutional issues and major federal healthcare laws and will further delve into regulations implementing statutes as well as cases interpreting them. Students will examine the intersection of traditional areas of law and healthcare to include torts, antitrust, contracts, and intellectual property. They will explore the contemporary and emerging areas of information and innovation in healthcare law as well as the Affordable Care Act, to include the Supreme Court's landmark decision. The course concludes with a consideration of the pervasive problem of fraud, waste, and abuse. This course is delivered in a seminar style with signiﬁcant independent work/research on the part of students and should be taken after introductory and concentration courses.\n\nHC 4500 Operational Challenges in Global Health Management (4 Credits)\n\nThis course presents challenges in operations that are unique to healthcare services and products being delivered in the international market. Topics include international marketing of services and healthcare products, negotiation styles, ethical considerations, organizational structure, transporting of medical goods and personnel, individual travel health and medical tourism as a business model. Cultural and religious considerations in healthcare delivery are discussed. Grants and research management for global health are compared with domestic procedures.\n\nHC 4510 Legal and Employment Issues in Global Health Management (4 Credits)\n\nThis course presents legal considerations involved in conducting global programs and business related to healthcare services and products. Employment and labor law are discussed in relationship to employment across international lines and within foreign countries. Intellectual property, patent and copyright of healthcare products, curriculum, and programs are examined. Customs laws, foreign trade, and other regulations such as healthcare licensing and credentialing of personnel are developed. Human resource challenges such as remote team management are discussed.\n\nHC 4520 Global Health NGO Management (4 Credits)\n\nStudents will examine factors that impact organizational performance in the global nonproﬁt health sector. Students expore current challenges associated with Non-Government Organizations (NGOs) that operate in low-income and middle-income countries. Examples include Doctors Without Borders, Shoulder to Shoulder, and others. Students are empowered to research and compare different NGOs and analyze factors that impact organizational effectiveness. Key challenges facing NGO leaders are analyzed and students provide recommendations to improve organizational performance. Course topics include assessment of NGO strategies, organizational resources and ﬁnancing, and stakeholder relations. Other topics include analysis of countries' demographics, culture, healthcare delivery, policies, and external environment. It is recommended that students in the Global Health Program Management concentration or certiﬁcate complete HC4500 and HC4510 prior to registering for this course. Students in other concentrations or programs may take this course at any time as an elective.\n\nHC 4530 Regulatory Affairs in Global Health Management (4 Credits)\n\nThis course discusses the various regulatory requirements of conducting healthcare related business from the perspective of research, development, and marketing of medical devices and pharmaceuticals. Both domestic and international requirements will be examined. Students will develop a template of skills for investigating healthcare related compliance issues that can be adapted to speciﬁc markets as needed.\n\nHC 4701 Topics in Healthcare Management (1-10 Credits)\n\nThis is an advanced special topics seminar course. The focus is on specialized areas of interest. Topics courses may be used as electives within the Healthcare Leadership degree and certiﬁcates, and, with advance approval from Academic Director, may substitute for core courses in the degree or certiﬁcate programs.\n\nHC 4900 Experiential Learning in Healthcare (4 Credits)\n\nThis course is for students who want to do independent research by completing an industry project and serves as a connector between research methods and a student's Capstone Project. The course will connect an academic research question with an experiential learning opportunity in healthcare for students as they prepare for their Capstone Project experience. Students will choose a Capstone Advisor, choose a topic, develop a thesis statement, explore project methodologies, write a proposal, and complete the necessary Institutional Review Board (IRB) requirements. Students will also agree to the structure and deliverables of their projects. There is an expectation for face to face (virtual is acceptable) meetings between students and their prospective Capstone Advisor during this course. This course is a prerequisite for any students planning to complete the Capstone Project (HC 4901) as it is the beginning of the Capstone Project process. Prerequisites: approval by Academic Director, acceptance as a degree candidate, and completion of between 30-40 quarter-hours. This course meets an elective option.\n\nHC 4901 Capstone Project (4 Credits)\n\nThe Capstone Project provides students the opportunity to research a topic, problem, or issue within their ﬁeld of study, and work individually with a Capstone advisor. Similar in weight to a thesis, but more flexible, this ﬁnal project will synthesize and apply core concepts acquired from the program. The student will select an appropriate Capstone advisor who is knowledgeable in the ﬁeld of study to work closely with and whom can guide the research project. Evaluation will be focused on the quality and professionalism of applied research and writing; critical and creative thinking; problemsolving skills; knowledge of research design, method, and implementation; and contribution to the ﬁeld and topic of study. Please see the Capstone Guidelines for additional details. Prerequisites: A Capstone Proposal that has been approved by both the Capstone Advisor and the Academic Director, acceptance as a degree candidate, completion of at least 40 quarter-hours (including all core courses) with a cumulative GPA of 3.0 or better. A ﬁnal grade of a B- or better is required to pass.\n\nHC 4902 Capstone Seminar (4 Credits)\n\nThe Capstone Seminar is a graduate seminar in which students utilize the knowledge and skills gained through the degree program to create a culminating work that critically addresses a problem in their degree ﬁeld of study. The students produce a Capstone of 7000-8000 words that presents a position on a relevant problem, supports the position with professional and academic literature, analyzes and tests the proposed solution, and discusses the ﬁndings as related to the ﬁeld of study. The seminar is dependent upon quality, collegial discussion, and feedback of students' research and work products, under the facilitation of a faculty member. The course structure guides the students through the process of independent, secondary research and writing of a Capstone. No primary research is allowed. Students generate the course content through ongoing discussion and peer feedback on the Capstone process and individual topic areas under investigation. Students professionally and academically communicate through written work and oral presentation. Students must have: Acceptance as a degree candidate, completion of at least 40 quarter-hours (including all core courses) with a cumulative GPA of 3.0 or better. A ﬁnal grade of B- or better is required in this course to meet degree requirements. Students must complete the Capstone Seminar in one quarter; no incomplete grades are assigned.\n\nHC 4904 Interdisciplinary Capstone Seminar (4 Credits)\n\nThe Interdisciplinary Capstone Seminar is a graduate seminar in which students utilize the knowledge and skills gained through the degree program to create a culminating work that critically addresses a problem or issue in the degree ﬁeld of study. Members of the class will include students from various UCOL programs, representing multiple topics of study. On campus offerings of this course include required online components. The student produces a paper of 7000-8000 words that presents a position on a relevant problem or issue, supports the position with professional and academic work in the ﬁeld, analyzes and tests the paper position, and discusses the role of the ﬁndings within the ﬁeld of study. Students professionally and academically communicate their ﬁndings through written work and oral presentations. The seminar is dependent upon active and collegial discussion and critique of student research and work under the facilitation of a faculty member, and it is governed by the quality of participation and contributions of the students. Students must have: Acceptance as a degree candidate, completion of at least 40 quarter-hours (including all core courses) with a cumulative GPA of 3.0 or better. A ﬁnal grade of B- or better is required in this course to meet degree requirements. Students must complete the Capstone Seminar in one quarter; no incomplete grades are assigned.\n\n3\n\n4\n\nHC 4910 Research Practices and Applications (4 Credits)\n\nThis course develops competency in principles of research and measurement for use in the professional setting. As an initial course in the program of study, students will learn research methods to apply to program and systems design and evaluation to achieve successful measurement of outcomes and goals. Students will become critical consumers of pertinent literature to provide background and support for the choice and application of proper qualitative and quantitative research methods and data analysis for professional application. Critical thinking through comparing and contrasting cause and effect is used to build logic models. Research, design, and evaluation processes that address issues of implementation, feasibility, and sustainability are emphasized. At the conclusion of this course students will be prepared to apply and clearly communicate the practice of scientiﬁc research principles in the professional environment to ensure that the question being asked can be answered through rigorous research and the design and formative assessment of the program or system. Completion of Institutional Review Board (IRB) training via CITI Program is required as a basis for discussion of research ethics and IRB procedures. Competencies gained in this course, including practices of inquiry, self-analysis, and evaluation, will be applied and integrated throughout the course of study and demonstrated in the culminating capstone work of the master's degree. This course is required of all degree-seeking students and should be taken in the ﬁrst three quarters of enrollment.\n\nHC 4915 Experiential Learning in Business (4 Credits)\n\nThis course is for learners who want to increase their range of business skills and industry experience. As learners navigate ten modules, they will walk through reflection on speciﬁc activities related to professional business skills. These skills include items such as building a personal brand, creating value add, informational interviewing, negotiating, and system evaluation. This course will use virtual reality to ensure an equitable experience for remote students. At the culmination of this course, learners will have a basic set of professional business skills they can use throughout their careers.\n\nHC 4980 Internship (0-10 Credits)\n\nThe Healthcare Internship is designed to offer students a purposeful experience in a practical, industry related setting. The internship is an individualized learning experience. A training plan is created for each student in conjunction with the internship site supervisor to provide experiences related to the skills and knowledge covered in the certiﬁcate and master's programs as well as professional goals. Students are responsible for ﬁnding their own internship site and proposing their internship ideas<cursor_is_here> University College will send notiﬁcation to all Healthcare students if they hear of internship possibilities. Students may also work through the DU career center, to explore opportunities for internship experiences.\n\nHC 4991 Independent Study (1-8 Credits)\n\nThis is an advanced course for students wishing to pursue an independent course of study. The student must be accepted in a degree program, have earned a grade point average of 3.0 or better, obtained the approval of the department director, and have completed the Independent Study form and ﬁled the form with all appropriate ofﬁces before registering for the independent study. Independent Study is offered only on a for-credit basis.\n</text>\n", "role": "user" }, { "content": ".", "role": "assistant" } ]
Solution S1. Ans.(c) Sol. Replace „that‟ from part (C). That is conjunction, we do not repeat it while making two statements. "He wanted a room and his luggage would follow" are those statements here. S2. Ans.(c) Sol. Remove „in‟ from the (C) part. S3. Ans.(d) Sol. No error S4. Ans.(c) Sol. Replace „cause‟ by „causes‟- Rule of adjective says that with "the number of/ a number of/ one of/ some of takes plural noun with it because one or few is being selected from many. S7. Ans.(c) Sol. Use come‟ in place of „comes‟ S8. Ans.(c) Sol. Use „as‟ in place of „like‟. S9. Ans.(b) Sol. Replace „me‟ by „I‟ -Rule of pronoun says that predicate starts from a helping verb or a main verb. Before that we use subject and me is in objective form. So use "I" instead of "me" as „I‟ is in subjective form of me. S10. Ans.(d) Sol. No error S11. Ans.(b) Sol. Use „has‟ instead of „have‟. 1 www.bankersadda.com www.careerpower.in\| www. adda247.com \|www.sscadda.com \| S12. Ans.(c) Sol. Use „by‟ in place of „with‟. S13. Ans.(b) Sol. Use „have‟ in place of „has‟ –before relative pronoun „who‟ we are talking about players which is plural which will take plural verb. S14. Ans.(c) Sol. Use „further‟ in place of „farther‟. S15. Ans.(a) Sol. Remove „on‟ from the (A) part. S16. Ans.(b) Sol. The right expression is- board and lodging S17. Ans.(c) Sol. use „brings‟ in place of „bring(plural) – each/every takes singular noun and singular verb. S18. Ans.(a) Sol. Use „million‟ in place of „millions‟ – We don‟t add „s‟ when we give an exact number and we don‟t add „s‟ when we use a quantifier like several or a few. S19. Ans.(b) Sol. use „ would have passed‟ in place of „would pass‟ –Conditional „had‟ takes „would have‟ with it and conditional were takes „would‟. S20. Ans.(a) Sol. Insert „in‟ before „persuading‟. "succeed in" is correct phrasal verb. S21. Ans.(b) Sol. With „relived‟ we use "of", hence (B) is the correct choice. S22. Ans.(a) Sol. Left out means to go out of or away from. S23. Ans.(d) Sol. Yet is the most appropriate option because it means to up until the present or a specified or implied time; by now or then. S24. Ans.(c) Sol. Already is the correct choice because it is used after a word or phrase to express impatience. S25. Ans.(d) Sol. Just is the correct answer. S26. Ans.(d) Sol. Onslaught a fierce or destructive attack. Invasion an instance of invading a country or region with an armed force. S27. Ans.(b) Sol. Grotesque comically or repulsively ugly or distorted. Bizarre very strange or unusual. S28. Ans.(c) Sol. Ignominy public shame or disgrace. S29. Ans.(b) Sol. Fervent having or displaying a passionate intensity. Dispassionate not influenced by strong emotion, and so able to be rational and impartial. S30. Ans.(c) Sol. Garrulous excessively talkative, especially on trivial matters. Reticent not revealing one's thoughts or feelings readily. S31. Ans.(a) Sol. Scrupulous (of a person or process) diligent, thorough, and extremely attentive to details. S32. Ans.(a) Sol. Fervent having or displaying a passionate intensity. S33. Ans.(c) Sol. Incision a surgical cut made in skin or flesh. S34. Ans.(b) Sol. Virtuous having or showing high moral standards. S35. Ans.(b) Sol. at her beck and call ready to obey someone. S36. Ans.(b) Sol. at sixes and sevens lost in bewilderment; at loose ends S37. Ans.(c) Sol. has blue blood a person of aristocratic or wealthy ancestry S38. Ans.(d) Sol. hidden agenda- a secret plan; a concealed plan; a plan disguised as a plan with another purpose. S39. Ans.(d) Sol. the lion‟s share the biggest part of something 3 www.bankersadda.com\|www.sscadda.com \| www.careerpower.in\| www. adda247.com S40. Ans.(c) Sol. beaten black and blue bruised, physically or emotionally. S41. Ans.(c) Sol. To pull wool over someone‟s eyes to deceive someone S42. Ans.(d) Sol. between the devil and the deep blue sea if you are between the devil and the deep blue sea, you must choose between two equally unpleasant situations S43. Ans.(d) Sol. an apple of discord anything that causes discord or jealousy S44. Ans.(b) Sol. a hard nut to crack a difficult problem to solve Sol. Stoic a person who can endure pain or hardship without showing their feelings or complaining. S66. Ans.(d) Sol. herbivorous: feeding on plants; plant-eating. S67. Ans.(b) Sol. Stub the truncated remnant of a pencil, cigarette, or similar-shaped object after use. S68. Ans.(a) Sol. pragmatist a person who is oriented toward the success or failure of a particular line of action, thought, etc.; a practical person. S69. Ans.(b) Sol. ambidextrous: able to use the right and left hands equally well. S70. Ans.(c) Sol. Salvo a simultaneous discharge of artillery or other guns in a battle. S71. Ans.(c) Sol. Penology the study of the punishment of crime and of prison management. S72. Ans.(a) Sol. Euthanasia the painless killing of a patient suffering from an incurable and painful disease or in an irreversible coma. S73. Ans.(d) Sol. Invincible too powerful to be defeated or overcome. S74. Ans.(d) Sol. Octogenarian a person who is between 80 and 89 years old. S75. Ans.(c) Sol. Misanthrope a person who dislikes humankind and avoids human society. S76. Ans.(b) Sol. Philanderer a man who readily or frequently enters into casual sexual relationships with women; a womanizer. Sol. „was like that of Srinagar in winter‟ in this case we need to compare the climate. S98. Ans.(d) Sol. The given sentence is grammatically correct. S99. Ans.(c) Sol. Stand by- support or remain loyal to (someone), typically in a time of need. S100. Ans.(d) Sol. The given sentence is grammatically correct. S101. Ans.(b) Sol. so dejected. So-as is correlative conjunction and used in pairs. S102. Ans.(a) Sol. the greatest- article „the‟ is used with superlative degree. S103. Ans.(c) Sol. "am ready to announce who the winner is". In statement form of the sentence, we use verb after the subject. S104. Ans.(c) Sol. clamorous-making a loud and confused noise. S105. Ans.(a) Sol. No sooner is followed by „than‟ not when. S106. Ans.(b) Sol. Started- is correct word. S107. Ans.(b) Sol. „can scarcely see any valid reason for its‟ scarcely is an adverb and negative in meaning. S108. Ans.(d) Sol. pass over-to skip over someone or something; to fail to select someone or something. S109. Ans.(b) Sol. Going is mainly used to refer to our plans and intentions or to make predictions based on present evidence. S110. Ans.(d) Sol. The given sentence is grammatically correct. S111. Ans.(c) Sol. Too as an adverb meaning "excessively" goes before the adjective or adverb it modifies. It can be used in both affirmative and negative sentences. S112. Ans.(a) Sol. The government has no choice but to curtail the subsidies in order to contain the increasing fiscal deficit S113. Ans.(b) Sol. Here room is denoted as space. S114. Ans.(b) Sol. Would have forms the result clause of a past unreal conditional. S115. Ans.(b) Sol. „will be taking‟. Giving an exam is something a doctor does to a patient, or something a teacher does to her students. Taking an exam is something a student does to prove their knowledge. S116. Ans.(a) Sol. Demolishes. unless is already negative in meaning, hence not‟ is unnecessary. S117. Ans.(a) Sol. ON is use to express a surface of something and AT is used to point out specific time. S118. Ans.(c) Sol. Germany has more neighbors than any other European states. S171. Ans.(b) Sol. Refer to, "The flat-rule is employed only at education, torments to a young soul are devised in subtler forms progressively: admissions, textbooks and examinations are the triple weapons in the hands of an educator today." S172. Ans.(b) Sol. Refer to, "I notice nowadays a little girl at home always playing the school-game in a corner of the verandah but never without a flat, wooden foot rule in hand which she flourishes menacingly at the pupils assembled in her phantasmagoric class- room on investigation." S173. Ans.(a) Sol. Refer to, "I found that the cane being discredited, has yielded place to the foot rule, especially in, Convent‟ schools the flat-rule has the advantage over the primitive birch of mauling without marking" S174. Ans.(c) Sol. Refer to, "I found that the cane being discredited, has yielded place to the foot rule, especially in, Convent‟ schools the flat-rule has the advantage over the primitive birch of mauling without marking." S175. Ans.(a) Sol. Refer to, "I notice nowadays a little girl at home always playing the school-game in a corner of the verandah but never without a flat, wooden foot rule in hand which she flourishes menacingly at the pupils assembled in her phantasmagoric classroom on investigation." S176. Ans.(a) Sol. Best title for the given passage should be "Flat rule: the instrument of torture." S177. Ans.(d) Sol. phantasmagoric means having a fantastic or deceptive appearance, as something in a dream or created by the imagination. Hence option (d) is the correct choice. S178. Ans.(a) Sol. "Physical torture has been completely done away with" is the one which is not true according to the passage. S179. Ans.(b) Sol. "Flat-rule has some advantages over the cane" is the one which is true according to the passage. S180. Ans.(c) Sol. Pedagogic means something which relating to teaching. S181. Ans.(d) Sol. Antigone decide to defy the orders of Creon because she was to give an honorable burial to her brother S182. Ans.(b) Sol. According to the story, Antigone might have been executed for defying the order of the king." S183. Ans.(a) Sol. According to the passage, they were considered themselves inferior and subordinate to men. S184. Ans.(a) Sol. Refer to, "After the death of Oedipus, Civil war broke out and a battle was waged in front of the seventh gate of Thebes-his two sons led opposing factions and at the height of the battle fought and killed each other." S185. Ans.(d) Sol. Refer to, "Antigone was distraught. Polynices had been left unburied, unwept, a feast of flesh for keen eyed carrion birds." S186. Ans.(a) Sol. the main theme of the story of Antigone is that one must be true to one‟s Kin. S187. Ans.(d) Sol. Yes it does, because of the acts of Oedipus his children suffered. S188. Ans.(d) Sol. Refer to, "Creon resolved to make an example of the brother who had fought against him, Polynices, by refusing the right of honorable burial, the penalty of death was promulgated against any who should defy this order. Antigone was distraught." S189. Ans.(c) Sol. Refer to, "But Ismene responds, "How could you dare- When Creon has expressly forbidden it is not for us to fight against men" With a touch of bitterness." S190. Ans.(c) Sol. Refer to, "Antigone was one of the daughters of Oedipus, that tragic figure of male power who had been cursed by Gods for mistakenly killing his father and subsequently mistakenly his mother and assuming the throne of Thebes." S191. Ans.(c) Sol. Refer to, "He said he thought the student deserved to be ranked number one and that he would give him fill marks for the paper since the answer book did not bear the name of the examinee, Kishore, a curious youngster, memorized the seat number to cheek it up at a letter date when the results were published, Kishore looked for the name matching the seat number he found the name Nani Palkhivala." S192. Ans.(b) Sol. Nargesh had to write Nani‟s remaining paper because the writer given to Nani was not efficient enough to meet his requirement. S193. Ans.(d) Sol. Refer to, "Ardeshir, who wanted his son to be a lawyer Ardeshir, Who wanted his son to be a lawyer Ardeshir used to say: become a Layer, my son, you are cut out for law." S194. Ans.(a) S196. Ans.(c) Sol. Epidemic is the word which is most closest to the given sentence. S197. Ans.(b) Sol. Refer to, "It went well with his taste for literature, and his professors had given him all the encouragement he needed He even applied for a lecturer‟s post, but another lady candidate was equally well-qualified and had the teaching experience too, which Nani did not have so he did not get selected." S198. Ans.(d) Sol. None of the given options are justifying the sentence asked. S199. Ans.(d) Sol. Refer to, "He was disqualified in the preliminary physical test There upon he regularly did a lot of exercise to build upon his body Next time, he was declared physically fit." S200. Ans.(a) Sol. The passage gives an account of Nani‟s Establishment of career.	<urn:uuid:185f6592-7383-485b-b2cd-277c125b1eda>	CC-MAIN-2021-25	https://www.careerpower.in/ba/ssc_cgl_free_mock_test_3_english_Solutions.pdf	2021-06-18T02:30:26+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-25/subset=warc/part-00210-e638c5dd-3c3d-4738-8d52-dc1e9f44de3a.c000.gz.parquet	640,207,345	3,372	eng_Latn	eng_Latn	0.991084	eng_Latn	0.99536	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 975, 2328, 3740, 4905, 6029, 7469, 8930, 10802, 12600 ]	Solution S1. Ans.(c) Sol. Replace „that‟ from part (C). That is conjunction, we do not repeat it while making two statements. "He wanted a room and his luggage would follow" are those statements here. S2. Ans.(c) Sol. Remove „in‟ from the (C) part. S3. Ans.(d) Sol. No error S4. Ans.(c) Sol. Replace „cause‟ by „causes‟- Rule of adjective says that with "the number of/ a number of/ one of/ some of takes plural noun with it because one or few is being selected from many. S7. Ans.(c) Sol. Use come‟ in place of „comes‟ S8. Ans.(c) Sol. Use „as‟ in place of „like‟. S9. Ans.(b) Sol. Replace „me‟ by „I‟ -Rule of pronoun says that predicate starts from a helping verb or a main verb. Before that we use subject and me is in objective form. So use "I" instead of "me" as „I‟ is in subjective form of me. S10. Ans.(d) Sol. No error S11. Ans.(b) Sol. Use „has‟ instead of „have‟. 1 www.bankersadda.com www.careerpower.in\| www. adda247.com \|www.sscadda.com \| S12. Ans.(c) Sol. Use „by‟ in place of „with‟. S13. Ans.(b) Sol. Use „have‟ in place of „has‟ –before relative pronoun „who‟ we are talking about players which is plural which will take plural verb. S14. Ans.(c) Sol. Use „further‟ in place of „farther‟. S15. Ans.(a) Sol. Remove „on‟ from the (A) part. S16. Ans.(b) Sol. The right expression is- board and lodging S17. Ans.(c) Sol. use „brings‟ in place of „bring(plural) – each/every takes singular noun and singular verb. S18. Ans.(a) Sol. Use „million‟ in place of „millions‟ – We don‟t add „s‟ when we give an exact number and we don‟t add „s‟ when we use a quantifier like several or a few. S19. Ans.(b) Sol. use „ would have passed‟ in place of „would pass‟ –Conditional „had‟ takes „would have‟ with it and conditional were takes „would‟. S20. Ans.(a) Sol. Insert „in‟ before „persuading‟. "succeed in" is correct phrasal verb. S21. Ans.(b) Sol. With „relived‟ we use "of", hence (B) is the correct choice. S22. Ans.(a) Sol. Left out means to go out of or away from. S23. Ans.(d) Sol. Yet is the most appropriate option because it means to up until the present or a specified or implied time; by now or then. S24. Ans.(c) Sol. Already is the correct choice because it is used after a word or phrase to express impatience. S25. Ans.(d) Sol. Just is the correct answer. S26. Ans.(d) Sol. Onslaught a fierce or destructive attack. Invasion an instance of invading a country or region with an armed force. S27. Ans.(b) Sol. Grotesque comically or repulsively ugly or distorted. Bizarre very strange or unusual. S28. Ans.(c) Sol. Ignominy public shame or disgrace. S29. Ans.(b) Sol. Fervent having or displaying a passionate intensity. Dispassionate not influenced by strong emotion, and so able to be rational and impartial. S30. Ans.(c) Sol. Garrulous excessively talkative, especially on trivial matters. Reticent not revealing one's thoughts or feelings readily. S31. Ans.(a) Sol. Scrupulous (of a person or process) diligent, thorough, and extremely attentive to details. S32. Ans.(a) Sol. Fervent having or displaying a passionate intensity. S33. Ans.(c) Sol. Incision a surgical cut made in skin or flesh. S34. Ans.(b) Sol. Virtuous having or showing high moral standards. S35. Ans.(b) Sol. at her beck and call ready to obey someone. S36. Ans.(b) Sol. at sixes and sevens lost in bewilderment; at loose ends S37. Ans.(c) Sol. has blu	e blood a person of aristocratic or wealthy ancestry S38.		3,423	inside_word	blue	remove_all	<url> https://www.careerpower.in/ba/ssc_cgl_free_mock_test_3_english_Solutions.pdf </url> <text> Solution S1. Ans.(c) Sol. Replace „that‟ from part (C). That is conjunction, we do not repeat it while making two statements. "He wanted a room and his luggage would follow" are those statements here. S2. Ans.(c) Sol. Remove „in‟ from the (C) part. S3. Ans.(d) Sol. No error S4. Ans.(c) Sol. Replace „cause‟ by „causes‟- Rule of adjective says that with "the number of/ a number of/ one of/ some of takes plural noun with it because one or few is being selected from many. S7. Ans.(c) Sol. Use come‟ in place of „comes‟ S8. Ans.(c) Sol. Use „as‟ in place of „like‟. S9. Ans.(b) Sol. Replace „me‟ by „I‟ -Rule of pronoun says that predicate starts from a helping verb or a main verb. Before that we use subject and me is in objective form. So use "I" instead of "me" as „I‟ is in subjective form of me. S10. Ans.(d) Sol. No error S11. Ans.(b) Sol. Use „has‟ instead of „have‟. 1 www.bankersadda.com www.careerpower.in\| www. adda247.com \|www.sscadda.com \| S12. Ans.(c) Sol. Use „by‟ in place of „with‟. S13. Ans.(b) Sol. Use „have‟ in place of „has‟ –before relative pronoun „who‟ we are talking about players which is plural which will take plural verb. S14. Ans.(c) Sol. Use „further‟ in place of „farther‟. S15. Ans.(a) Sol. Remove „on‟ from the (A) part. S16. Ans.(b) Sol. The right expression is- board and lodging S17. Ans.(c) Sol. use „brings‟ in place of „bring(plural) – each/every takes singular noun and singular verb. S18. Ans.(a) Sol. Use „million‟ in place of „millions‟ – We don‟t add „s‟ when we give an exact number and we don‟t add „s‟ when we use a quantifier like several or a few. S19. Ans.(b) Sol. use „ would have passed‟ in place of „would pass‟ –Conditional „had‟ takes „would have‟ with it and conditional were takes „would‟. S20. Ans.(a) Sol. Insert „in‟ before „persuading‟. "succeed in" is correct phrasal verb. S21. Ans.(b) Sol. With „relived‟ we use "of", hence (B) is the correct choice. S22. Ans.(a) Sol. Left out means to go out of or away from. S23. Ans.(d) Sol. Yet is the most appropriate option because it means to up until the present or a specified or implied time; by now or then. S24. Ans.(c) Sol. Already is the correct choice because it is used after a word or phrase to express impatience. S25. Ans.(d) Sol. Just is the correct answer. S26. Ans.(d) Sol. Onslaught a fierce or destructive attack. Invasion an instance of invading a country or region with an armed force. S27. Ans.(b) Sol. Grotesque comically or repulsively ugly or distorted. Bizarre very strange or unusual. S28. Ans.(c) Sol. Ignominy public shame or disgrace. S29. Ans.(b) Sol. Fervent having or displaying a passionate intensity. Dispassionate not influenced by strong emotion, and so able to be rational and impartial. S30. Ans.(c) Sol. Garrulous excessively talkative, especially on trivial matters. Reticent not revealing one's thoughts or feelings readily. S31. Ans.(a) Sol. Scrupulous (of a person or process) diligent, thorough, and extremely attentive to details. S32. Ans.(a) Sol. Fervent having or displaying a passionate intensity. S33. Ans.(c) Sol. Incision a surgical cut made in skin or flesh. S34. Ans.(b) Sol. Virtuous having or showing high moral standards. S35. Ans.(b) Sol. at her beck and call ready to obey someone. S36. Ans.(b) Sol. at sixes and sevens lost in bewilderment; at loose ends S37. Ans.(c) Sol. has blu<cursor_is_here> </text>	[ { "content": "<url>\nhttps://www.careerpower.in/ba/ssc_cgl_free_mock_test_3_english_Solutions.pdf\n</url>\n<text>\nSolution\n\nS1. Ans.(c)\n\nSol. Replace „that‟ from part (C). That is conjunction, we do not repeat it while making two statements. \"He wanted a room and his luggage would follow\" are those statements here.\n\nS2. Ans.(c)\n\nSol. Remove „in‟ from the (C) part.\n\nS3. Ans.(d)\n\nSol. No error\n\nS4. Ans.(c)\n\nSol. Replace „cause‟ by „causes‟- Rule of adjective says that with \"the number of/ a number of/ one of/ some of takes plural noun with it because one or few is being selected from many.\n\nS7. Ans.(c)\n\nSol. Use come‟ in place of „comes‟\n\nS8. Ans.(c)\n\nSol. Use „as‟ in place of „like‟.\n\nS9. Ans.(b)\n\nSol. Replace „me‟ by „I‟ -Rule of pronoun says that predicate starts from a helping verb or a main verb. Before that we use subject and me is in objective form. So use \"I\" instead of \"me\" as „I‟ is in subjective form of me.\n\nS10. Ans.(d)\n\nSol. No error\n\nS11. Ans.(b)\n\nSol. Use „has‟ instead of „have‟.\n\n1\n\nwww.bankersadda.com\n\nwww.careerpower.in\| www. adda247.com\n\n\|www.sscadda.com \|\n\nS12. Ans.(c)\n\nSol. Use „by‟ in place of „with‟.\n\nS13. Ans.(b)\n\nSol. Use „have‟ in place of „has‟ –before relative pronoun „who‟ we are talking about players which is plural which will take plural verb.\n\nS14. Ans.(c)\n\nSol. Use „further‟ in place of „farther‟.\n\nS15. Ans.(a)\n\nSol. Remove „on‟ from the (A) part.\n\nS16. Ans.(b)\n\nSol. The right expression is- board and lodging\n\nS17. Ans.(c)\n\nSol. use „brings‟ in place of „bring(plural) – each/every takes singular noun and singular verb.\n\nS18. Ans.(a)\n\nSol. Use „million‟ in place of „millions‟ – We don‟t add „s‟ when we give an exact number and we don‟t add „s‟ when we use a quantifier like several or a few.\n\nS19. Ans.(b)\n\nSol. use „ would have passed‟ in place of „would pass‟ –Conditional „had‟ takes „would have‟ with it and conditional were takes „would‟.\n\nS20. Ans.(a)\n\nSol. Insert „in‟ before „persuading‟. \"succeed in\" is correct phrasal verb.\n\nS21. Ans.(b)\n\nSol. With „relived‟ we use \"of\", hence (B) is the correct choice.\n\nS22. Ans.(a)\n\nSol. Left out means to go out of or away from.\n\nS23. Ans.(d)\n\nSol. Yet is the most appropriate option because it means to up until the present or a specified or implied time; by now or then.\n\nS24. Ans.(c)\n\nSol. Already is the correct choice because it is used after a word or phrase to express impatience.\n\nS25. Ans.(d)\n\nSol. Just is the correct answer.\n\nS26. Ans.(d)\n\nSol. Onslaught a fierce or destructive attack. Invasion an instance of invading a country or region with an armed force.\n\nS27. Ans.(b)\n\nSol. Grotesque comically or repulsively ugly or distorted. Bizarre very strange or unusual.\n\nS28. Ans.(c)\n\nSol. Ignominy public shame or disgrace.\n\nS29. Ans.(b)\n\nSol. Fervent having or displaying a passionate intensity. Dispassionate not influenced by strong emotion, and so able to be rational and impartial.\n\nS30. Ans.(c)\n\nSol. Garrulous excessively talkative, especially on trivial matters. Reticent not revealing one's thoughts or feelings readily.\n\nS31. Ans.(a)\n\nSol. Scrupulous (of a person or process) diligent, thorough, and extremely attentive to details.\n\nS32. Ans.(a)\n\nSol. Fervent having or displaying a passionate intensity.\n\nS33. Ans.(c)\n\nSol. Incision a surgical cut made in skin or flesh.\n\nS34. Ans.(b)\n\nSol. Virtuous having or showing high moral standards.\n\nS35. Ans.(b)\n\nSol. at her beck and call ready to obey someone.\n\nS36. Ans.(b)\n\nSol. at sixes and sevens lost in bewilderment; at loose ends\n\nS37. Ans.(c)\n\nSol. has blu<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "e blood a person of aristocratic or wealthy ancestry\n\nS38.", "role": "assistant" } ]
Manchester Memorial Hospital & Rockville General Hospital Community Health Needs Assessment Final Report 2013 Overview Manchester Memorial Hospital (MMH) and Rockville General Hospital (RGH), as part of the Eastern Connecticut Health Network (ECHN), dedicate millions of dollars and thousands of staff hours to activities that enhance the overall health and wellness of their shared 19-town service area with special focus on the unmet needs of financially disadvantaged and underserved populations. In 2013, MMH & RGH collaborated to conduct a comprehensive community health needs assessment (CHNA). The goals of the assessment were: * To identify current and future healthcare needs in the community * To improve and strengthen programs and services provided to address them The Community Served The Community Served MMH & RGH share a 19-town primary and secondary service area located east of the Connecticut River in northern Connecticut with municipalities in Hartford, Tolland and Windham Counties. The primary service area, shaded in orange, includes any town where total inpatient and newborn discharges are ≥ 20 percent. The secondary service area, shaded in yellow, includes any town where total inpatient and newborn discharges are ≥ five percent and < 20 percent. The Community Served Demographic Profile: Population: 341,499 people Gender: 48.9% male 51.1% female Age: Median age 39.5 years 33.3% 50 years or older The Community Served Race The Community Served Ethnicity The Community Served Education: 91.5% High school graduates 35.6% Bachelor's degree or higher Average Household Size: 2.61 people Employment: 7.4% unemployment rate Median Household Income: $82,075 per year Poverty Rate: 7.6% Demographic Summary: * The total service area population has increased 4% in two years. * Gender, Age, and Household Size are all very similar to CT and US ratios. * Compared to CT and US rates, the service area has a higher White population and a lower Black population percentage. * The Hispanic/Latino population percentage is lower than CT and US percentages. * The median household income is well above the state ($67,034) and national ($50,502) annual figures. The unemployment rate is below that of the state (8.0%) and matches the nation. Higher percentage of high school college graduates than CT (88.6%) and US (85.9%). Percentage who've earned a bachelor's degree or higher matches the state's percentage and exceeds the nation's (28.5%). The Assessment Process The Process Oversight The CHNA initiative was steered by an Oversight Committee that included members of the ECHN organization, many who have established relationships with community groups and agencies. The Committee included: * Senior Vice President, Planning, Marketing, & Communications * President, Visiting Nurse & Health Services of Connecticut, Inc. * Vice President , Patient Care Services * Assistant Vice President, Patient Care Services * Executive Director, Woodlake at Tolland * Administrative Director, Women's Services * Administrative Director, Cancer Services * Regional Director, Eastern Connecticut Medical Professionals Foundation * Director, Patient Financial Services * Community Benefit & Education Manager * Quality Improvement Manager * Market Analyst The Process Secondary Data Profile Data from publicly available sources, including the US Census Bureau, Center for Disease Control and other community, civic and social service agencies, was collected to create a "secondary data profile," which provides a statistical snapshot of the service area: o Demographics o Disease state profiles o Mortality statistics o Infectious diseases o Maternal health statistics o Environmental health statistics The Process Community Health Survey A community health survey, modeled after the Center for Disease Control (CDC) Behavior Risk Factor Surveillance System (BRFSS) survey, was developed to gather information from service area residents on how lifestyle and behaviors affect health risks and outcomes. The survey was promoted and made available to residents in paper form and online. 1,047 responses received from service area residents 80% submitted on paper; 20% online The Process Community Stakeholder Survey In February 2013, community agencies and organizations throughout the service area, representing a variety of medically underserved, low-income and minority populations, were invited to participate in an online survey, which asked: * What is healthy about your community? * What is unhealthy about your community? * What is your perception of MMH/RGH and the programs and services it offers? * What can MMH/RGH do to improve the health and quality of life in the community? The Process Community Stakeholder Survey Responses received from: Key Findings Circulatory Disease Key Findings Circulatory Disease Heart disease remains the #1 cause of death in the state; Stroke ranks third. Incidence rates are all similar to national rates: Data Source: American Heart Association Key Findings Circulatory Disease Community Health Survey respondents: High Blood Pressure (44.2%) & High Cholesterol (43.2%) were the top two health conditions reported. 8.1% report having Angina/Coronary Heart Disease 3.2% report having had a Heart Attack 3.0% Stroke Within the past year: 94.8% had Blood Pressure checked 81.3% had Cholesterol checked Cancer Key Findings Cancer Second leading cause of death in the total service area, CT, & US. Data Source: National Cancer Institute SEER Database Key Findings Cancer Among All Cancer Sites: Incidence rate estimates above US, below CT rates Breast: Incidence rate above that of the nation but below CT rates Prostate: Incidence rate above CT and US Colon & Rectum: Incidence rate above CT and US 23.0% of community survey respondents reported never having had a colonoscopy Skin: 32.2% of survey respondents reported never having a skin cancer screening. Diabetes Key Findings Diabetes Total service area prevalence rate (per 100): 9.3 An estimated 60,000 to 93,000 adults have undiagnosed Diabetes. Higher incidence of Diabetes among Connecticut's Black and Hispanic populations. Diabetes Estimates Prevelance Rates (per 100) 2012 Rate vs 2017 Rate Key Findings Diabetes Survey respondents: 15.0% report having been told they have Diabetes 79.9% have had their Blood Sugar checked in the past year Musculoskeletal Disorders Key Findings Musculoskeletal Disorders Higher incidence in the service area when compared with national prevalence rates. Data Source: Burdon of Musculoskeletal Diseases in the United States Neurological Disease Key Findings Neurological Disease Higher incidence rates of Alzheimer's disease and Multiple Sclerosis compared to US Parkinson's Disease Data Source: Neuroepidemiology/Karger Alzheimer's Disease Data Source: The Alzheimer's Association Multiple Sclerosis Data Source: Neurology (Pub of the American Academy of Neurology) Prenatal Care Key Findings Prenatal Care The rate of "non-adequate" prenatal care is now similar to the state rate Data Source: Connecticut Department of Public Health Lyme Disease Key Findings Lyme Disease Data Source: CT DPH Rates in the service area have decreased significantly compared to data collected three years earlier. Childhood Lead Key Findings Childhood Lead Fewer children in the service area are being screened for lead compared to state percentages Percentage of children with elevated level levels in the service area remain lower than the state rate. Data Source: CT DPH Mental Health Key Findings Mental Health Among Community Stakeholder Survey respondents: * 60% feel Substance Abuse is a serious problem * 50% feel Mental Health is a serious problem Summary of Key Findings Summary of Key Findings Circulatory Disease: Heart disease remains the #1 cause of death in the state and Stroke ranks third. The incidence rate of Angina Pectoris, Cardiovascular Disease, Heart Failure, Myocardial Infarction and Stroke are all similar to national rates. Cancer: Cancer continues to be the second leading cause of death in the service area, Connecticut, and the United States. Incidence rate estimates for Cancer (All Sites) and Breast for the service area are above that of the nation but below Connecticut rates. Prostate and Colon & Rectum cancer rates for the service area are above both the state and the nation. Diabetes: Estimated diabetes prevalence rates for 2017 show an alarming increase in the service area, while state and national estimates remain at or near 2012 rates. Connecticut's Black and Hispanic populations suffer disproportionately from diabetes. Summary of Key Findings: Musculoskeletal Disorders: There is a higher incidence of arthritis, chronic lower back pain, lower back pain, and neck pain in the service area when compared with national prevalence rates among individuals over the age of 18 years of age. Neurological Disease: There is a higher incidence of Alzheimer's disease among service area residents over the age of 65 compared to national incident rate estimates. The incidence rate of Multiple Sclerosis is higher in the service area when compared to national figures. Prenatal Care: The rate of "non-adequate" prenatal care is now similar to the state rate, whereas the 2010 CHNA found it to be higher than state proportions. Summary of Key Findings Lyme Disease: Lyme disease rates in the service area and state have decreased significantly compared to data collected three years earlier. The 2010 CHNA found incidence rates of Lyme disease, particularly in the secondary service area, to be significantly higher than that of the state. Total, primary and secondary service are rates are all now below state rate. Childhood Lead: Fewer children in the service area are being screened for lead compared to state percentages but the percentage of children with elevated level levels in the service area remain lower than the state rate. Mental Health: Community stakeholders reported overall mental illness to be a serious problem in the service area, including drug and alcohol abuse. Identified Community Health Needs After reviewing the CHNA data, the Oversight Committee identified the following areas of need: * Heart Disease Incidence * Cancer Incidence * Diabetes Incidence * Arthritis Incidence * Alzheimer's Disease Incidence * Multiple Sclerosis Incidence * Substance Abuse * Childhood Lead Screening Priority Health Needs The Oversight Committee prioritized the CHNA's identified health needs based primarily on the size and severity of a particular need, and also took into account the hospital's ability to impact the need, and the availability of resources that exist to address it. Based on these criteria, the following health needs were given the highest priority: * Heart Disease Incidence * Cancer Incidence * Diabetes Incidence * Arthritis Incidence Implementation Plan Strategies to Address the Health Needs Strategies to Address Heart Disease Educate the public about managing lifestyle behaviors that impact diet, blood pressure, cholesterol, weight, physical activity, and stress. * Offer free community health educational programs * Provide education in Better Being, community free wellness magazine * Participate in community health fairs * Develop "Freedom from Smoking" smoking cessation program * Provide nutrition counseling services * Offer integrative medicine programs for stress reduction Strategies to Address Heart Disease Provide information and services to individuals diagnosed with heart disease to help them best manage their symptoms * Develop "Heart Talk" community program for people living with heart failure * Promote Cardiac Rehabilitation services Strategies to Address Cancer Monitor reports of newly- diagnosed cancer cases in the service area using the National Cancer Center Data Base (NCDB) to identify significant changes, trends or abnormal activity. Educate the public about managing lifestyle behaviors that impact cancer risks * Free community health educational programs * Articles in Better Being * Health fair participation * "Freedom from Smoking" smoking cessation program Strategies to Address Cancer Provide free screenings through the community and access to follow-up care Offer comprehensive support programs for cancer survivors and caregivers * Oncology Nurse Navigator and Survivorship Navigators services * Annual Cancer Survivors Day event * Regular support group meetings * Cancer Caregiver Workshops Strategies to Address Diabetes Raise awareness of diabetes preventable risk factors and educate the public on ways to manage lifestyle behaviors that affect them including diet, weight and physical activity * Free community health educational programs * Articles in Better Being * Health fair participation Offer Diabetes Self-Management Program and Nutrition Counseling for individuals already diagnosed with diabetes. Strategies to Address Arthritis Educate the public about ways to help prevent or slow the progression of arthritis and manage the symptoms of joint pain. * Free community health educational programs * Articles in Better Being * Health fair participation Strategies to Address Arthritis Offer free program to help individuals with arthritis prepare for hip or knee replacement surgery and achieve the best outcome. Develop a comprehensive surgical spine program to support individuals experiencing chronic neck and back pain including symptom management and perioperative care. Community Collaboration An important component of these strategies will be collaboration with community resources including those currently available to respond to the health needs including: * Cornerstone Foundation * Eastern Highlands Health District * Hockanum Valley Community Council, Inc. * Johnson Health Network * Manchester Area Conferences of Churches * MARC, Inc. of Manchester * Natchaug Hospital * North Central Health Department * Town Departments of Health & Human Services * Town Departments of Social Services * Tri-Town Shelter Services * United Way * Vernon Community Network * Visiting Nurse and Health Services of CT Measuring the Impact Measuring the Impact Measureable impact of the above strategies will take time to materialize, however ongoing analysis of hospital utilization data for specific diagnoses, enrollment in hospital-sponsored education or disease management programs, feedback from community partners and reassessing community health needs in three years will assist in the evaluation of strategy effectiveness. Approval Approval The Community Health Needs Assessment and the strategies to address the priority needs identified (Implementation Plan) were reviewed and approved by the ECHN Strategic Planning Committee on August 21, 2013. The ECHN Board of Trustees reviewed and approved the CHNA and Implementation Plan on September 25, 2013.	<urn:uuid:4d5d1ec5-27e1-46c3-bfe6-19a99a2eb796>	CC-MAIN-2015-18	http://www.echn.org/Files/Community-Benefits/MMH-and-RGH-CHNA-2013-Final-Report.aspx	2015-04-22T01:41:24Z	s3://commoncrawl/crawl-data/CC-MAIN-2015-18/segments/1429246644083.49/warc/CC-MAIN-20150417045724-00183-ip-10-235-10-82.ec2.internal.warc.gz	165,995,342	3,039	eng_Latn	eng_Latn	0.925182	eng_Latn	0.989007	[ "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "unknown", "unknown", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "unknown", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "unknown", "eng_Latn", "unknown", "eng_Latn", "unknown", "eng_Latn", "unknown", "eng_Latn", "unknown", "eng_Latn", "unknown", "eng_Latn", "unknown", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "unknown", "eng_Latn" ]	false	rolmOCR	[ 111, 782, 804, 1286, 1446, 1474, 1507, 1746, 2500, 2524, 3306, 3757, 4233, 4752, 4821, 4835, 4856, 5063, 5424, 5432, 5576, 5993, 6003, 6225, 6296, 6450, 6477, 6672, 6694, 7023, 7038, 7196, 7210, 7363, 7379, 7629, 7644, 7817, 7842, 8734, 9435, 10198, 10526, 10989, 11050, 11549, 11826, 12271, 12615, 13040, 13298, 13626, 14267, 14289, 14683, 14693, 15018 ]	Manchester Memorial Hospital & Rockville General Hospital Community Health Needs Assessment Final Report 2013 Overview Manchester Memorial Hospital (MMH) and Rockville General Hospital (RGH), as part of the Eastern Connecticut Health Network (ECHN), dedicate millions of dollars and thousands of staff hours to activities that enhance the overall health and wellness of their shared 19-town service area with special focus on the unmet needs of financially disadvantaged and underserved populations. In 2013, MMH & RGH collaborated to conduct a comprehensive community health needs assessment (CHNA). The goals of the assessment were: * To identify current and future healthcare needs in the community * To improve and strengthen programs and services provided to address them The Community Served The Community Served MMH & RGH share a 19-town primary and secondary service area located east of the Connecticut River in northern Connecticut with municipalities in Hartford, Tolland and Windham Counties. The primary service area, shaded in orange, includes any town where total inpatient and newborn discharges are ≥ 20 percent. The secondary service area, shaded in yellow, includes any town where total inpatient and newborn discharges are ≥ five percent and < 20 percent. The Community Served Demographic Profile: Population: 341,499 people Gender: 48.9% male 51.1% female Age: Median age 39.5 years 33.3% 50 years or older The Community Served Race The Community Served Ethnicity The Community Served Education: 91.5% High school graduates 35.6% Bachelor's degree or higher Average Household Size: 2.61 people Employment: 7.4% unemployment rate Median Household Income: $82,075 per year Poverty Rate: 7.6% Demographic Summary: * The total service area population has increased 4% in two years. * Gender, Age, and Household Size are all very similar to CT and US ratios. * Compared to CT and US rates, the service area has a higher White population and a lower Black population percentage. * The Hispanic/Latino population percentage is lower than CT and US percentages. * The median household income is well above the state ($67,034) and national ($50,502) annual figures. The unemployment rate is below that of the state (8.0%) and matches the nation. Higher percentage of high school college graduates than CT (88.6%) and US (85.9%). Percentage who've earned a bachelor's degree or higher matches the state's percentage and exceeds the nation's (28.5%). The Assessment Process The Process Oversight The CHNA initiative was steered by an Oversight Committee that included members of the ECHN organization, many who have established relationships with community groups and agencies. The Committee included: * Senior Vice President, Planning, Marketing, & Communications * President, Visiting Nurse & Health Services of Connecticut, Inc. * Vice President , Patient Care Services * Assistant Vice President, Patient Care Services * Executive Director, Woodlake at Tolland * Administrative Director, Women's Services * Administrative Director, Cancer Services * Regional Director, Eastern Connecticut Medical Professionals Foundation * Director, Patient Financial Services * Community Benefit & Education Manager * Quality Improvement Manager * Market Analyst The Process Secondary Data Profile Data from publicly available sources, including the US Census Bureau, Center for Disease Control and other community, civic and social service agencies, was collected to create a "secondary data profile," which provides a statistical snapshot of the service area: o Demographics o Disease state profiles o Mortality statistics o Infectious diseases o Maternal health statistics o Environmental health statistics The Process Community Health Survey A community health survey, modeled after the Center for Disease Control (CDC) Behavior Risk Factor Surveillance System (BRFSS) survey, was developed to gather information from service area residents on how lifestyle and behaviors affect health risks and outcomes. The survey was promoted and made available to residents in paper form and online. 1,047 responses received from service area residents 80% submitted on paper; 20% online The Process Community Stakeholder Survey In February 2013, community agencies and organizations throughout the service area, representing a var	iety of medically underserved, low-income and minority populations, were invited to participate in an online survey, which asked: * What is healthy about your community?		4,380	inside_word	variety	remove_all	<url> http://www.echn.org/Files/Community-Benefits/MMH-and-RGH-CHNA-2013-Final-Report.aspx </url> <text> Manchester Memorial Hospital & Rockville General Hospital Community Health Needs Assessment Final Report 2013 Overview Manchester Memorial Hospital (MMH) and Rockville General Hospital (RGH), as part of the Eastern Connecticut Health Network (ECHN), dedicate millions of dollars and thousands of staff hours to activities that enhance the overall health and wellness of their shared 19-town service area with special focus on the unmet needs of financially disadvantaged and underserved populations. In 2013, MMH & RGH collaborated to conduct a comprehensive community health needs assessment (CHNA). The goals of the assessment were: * To identify current and future healthcare needs in the community * To improve and strengthen programs and services provided to address them The Community Served The Community Served MMH & RGH share a 19-town primary and secondary service area located east of the Connecticut River in northern Connecticut with municipalities in Hartford, Tolland and Windham Counties. The primary service area, shaded in orange, includes any town where total inpatient and newborn discharges are ≥ 20 percent. The secondary service area, shaded in yellow, includes any town where total inpatient and newborn discharges are ≥ five percent and < 20 percent. The Community Served Demographic Profile: Population: 341,499 people Gender: 48.9% male 51.1% female Age: Median age 39.5 years 33.3% 50 years or older The Community Served Race The Community Served Ethnicity The Community Served Education: 91.5% High school graduates 35.6% Bachelor's degree or higher Average Household Size: 2.61 people Employment: 7.4% unemployment rate Median Household Income: $82,075 per year Poverty Rate: 7.6% Demographic Summary: * The total service area population has increased 4% in two years. * Gender, Age, and Household Size are all very similar to CT and US ratios. * Compared to CT and US rates, the service area has a higher White population and a lower Black population percentage. * The Hispanic/Latino population percentage is lower than CT and US percentages. * The median household income is well above the state ($67,034) and national ($50,502) annual figures. The unemployment rate is below that of the state (8.0%) and matches the nation. Higher percentage of high school college graduates than CT (88.6%) and US (85.9%). Percentage who've earned a bachelor's degree or higher matches the state's percentage and exceeds the nation's (28.5%). The Assessment Process The Process Oversight The CHNA initiative was steered by an Oversight Committee that included members of the ECHN organization, many who have established relationships with community groups and agencies. The Committee included: * Senior Vice President, Planning, Marketing, & Communications * President, Visiting Nurse & Health Services of Connecticut, Inc. * Vice President , Patient Care Services * Assistant Vice President, Patient Care Services * Executive Director, Woodlake at Tolland * Administrative Director, Women's Services * Administrative Director, Cancer Services * Regional Director, Eastern Connecticut Medical Professionals Foundation * Director, Patient Financial Services * Community Benefit & Education Manager * Quality Improvement Manager * Market Analyst The Process Secondary Data Profile Data from publicly available sources, including the US Census Bureau, Center for Disease Control and other community, civic and social service agencies, was collected to create a "secondary data profile," which provides a statistical snapshot of the service area: o Demographics o Disease state profiles o Mortality statistics o Infectious diseases o Maternal health statistics o Environmental health statistics The Process Community Health Survey A community health survey, modeled after the Center for Disease Control (CDC) Behavior Risk Factor Surveillance System (BRFSS) survey, was developed to gather information from service area residents on how lifestyle and behaviors affect health risks and outcomes. The survey was promoted and made available to residents in paper form and online. 1,047 responses received from service area residents 80% submitted on paper; 20% online The Process Community Stakeholder Survey In February 2013, community agencies and organizations throughout the service area, representing a var<cursor_is_here> </text>	[ { "content": "<url>\nhttp://www.echn.org/Files/Community-Benefits/MMH-and-RGH-CHNA-2013-Final-Report.aspx\n</url>\n<text>\nManchester Memorial Hospital & Rockville General Hospital\n\nCommunity Health Needs Assessment\n\nFinal Report 2013\n\nOverview\n\nManchester Memorial Hospital (MMH) and Rockville General Hospital (RGH), as part of the Eastern Connecticut Health Network (ECHN), dedicate millions of dollars and thousands of staff hours to activities that enhance the overall health and wellness of their shared 19-town service area with special focus on the unmet needs of financially disadvantaged and underserved populations.\n\nIn 2013, MMH & RGH collaborated to conduct a comprehensive community health needs assessment (CHNA). The goals of the assessment were:\n\n* To identify current and future healthcare needs in the community\n* To improve and strengthen programs and services provided to address them\n\nThe Community Served\n\nThe Community Served\n\nMMH & RGH share a 19-town primary and secondary service area located east of the Connecticut River in northern Connecticut with municipalities in Hartford, Tolland and Windham Counties.\n\nThe primary service area, shaded in orange, includes any town where total inpatient and newborn discharges are ≥ 20 percent.\n\nThe secondary service area, shaded in yellow, includes any town where total inpatient and newborn discharges are ≥ five percent and < 20 percent.\n\nThe Community Served\n\nDemographic Profile:\n\nPopulation: 341,499 people\n\nGender: 48.9% male\n\n51.1% female\n\nAge:\n\nMedian age 39.5 years\n\n33.3% 50 years or older\n\nThe Community Served\n\nRace\n\nThe Community Served\n\nEthnicity\n\nThe Community Served\n\nEducation:\n\n91.5% High school graduates\n\n35.6% Bachelor's degree or higher\n\nAverage\n\nHousehold\n\nSize:\n\n2.61 people\n\nEmployment: 7.4% unemployment rate\n\nMedian\n\nHousehold\n\nIncome: $82,075 per year\n\nPoverty Rate: 7.6%\n\nDemographic Summary:\n\n* The total service area population has increased 4% in two years.\n* Gender, Age, and Household Size are all very similar to CT and US ratios.\n* Compared to CT and US rates, the service area has a higher White population and a lower Black population percentage.\n* The Hispanic/Latino population percentage is lower than CT and US percentages.\n* The median household income is well above the state ($67,034) and national ($50,502) annual figures.\nThe unemployment rate is below that of the state (8.0%) and matches the nation.\nHigher percentage of high school college graduates than CT (88.6%) and US (85.9%). Percentage who've earned a bachelor's degree or higher matches the state's percentage and exceeds the nation's (28.5%).\n\nThe Assessment Process\n\nThe Process\n\nOversight\n\nThe CHNA initiative was steered by an Oversight Committee that included members of the ECHN organization, many who have established relationships with community groups and agencies. The Committee included:\n\n* Senior Vice President, Planning, Marketing, & Communications\n* President, Visiting Nurse & Health Services of Connecticut, Inc.\n* Vice President , Patient Care Services\n* Assistant Vice President, Patient Care Services\n* Executive Director, Woodlake at Tolland\n* Administrative Director, Women's Services\n* Administrative Director, Cancer Services\n* Regional Director, Eastern Connecticut Medical Professionals Foundation\n* Director, Patient Financial Services\n* Community Benefit & Education Manager\n* Quality Improvement Manager\n* Market Analyst\n\nThe Process\n\nSecondary Data Profile\n\nData from publicly available sources, including the US Census Bureau, Center for Disease Control and other community, civic and social service agencies, was collected to create a \"secondary data profile,\" which provides a statistical snapshot of the service area:\n\no Demographics\no Disease state profiles\no Mortality statistics\no Infectious diseases\no Maternal health statistics\no Environmental health statistics\n\nThe Process\n\nCommunity Health Survey\n\nA community health survey, modeled after the Center for Disease Control (CDC) Behavior Risk Factor Surveillance System (BRFSS) survey, was developed to gather information from service area residents on how lifestyle and behaviors affect health risks and outcomes.\n\nThe survey was promoted and made available to residents in paper form and online.\n\n1,047 responses received from service area residents\n\n80% submitted on paper; 20% online\n\nThe Process\n\nCommunity Stakeholder Survey\n\nIn February 2013, community agencies and organizations throughout the service area, representing a var<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "iety of medically underserved, low-income and minority populations, were invited to participate in an online survey, which asked:\n\n* What is healthy about your community?", "role": "assistant" } ]
Nestor and his Twin Françoise Letoublon To cite this version: Françoise Letoublon. Nestor and his Twin. Ioanna Papadopoulou. Interdisciplinary Uses of Homer: In Dialogue with Douglas Frame, Ioanna Papadopoulou ed., Washington, Center for Hellenic Studies, 2021 (online): https://chs.harvard.edu/read/interdisciplinary-uses-of-homer-indialogue-with-douglas-frame/, Center for Hellenic Studies, 2021. hal-04704791 HAL Id: hal-04704791 https://hal.univ-grenoble-alpes.fr/hal-04704791v1 Submitted on 21 Sep 2024 HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. L'archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d'enseignement et de recherche français ou étrangers, des laboratoires publics ou privés. * Nestor and his Twin Françoise Létoublon As its title suggests, Douglas Frame's Hippota Nestor is of course about Nestor, but the book covers a much larger scope that includes composition, performance, and the dissemination of Homeric poetry. Through a thorough analysis of Nestor as a character, many other subjects come into play, some of which have gone unnoticed even by experienced scholars. The book's structure is complex for reasons amply justified by the author. The text itself is divided into five well-balanced parts: Nestor's Indo-European Background, Nestor's Homeric Role, Athens, Ionia, and Pylos. Due to the breadth of topics covered, substantial content can also be found in the endnotes after each part, as well as in the extensive footnotes in each chapter. This dual set of notes is very helpful for readers that have further interest in any specific aspect of a given chapter. That is to say that nothing goes undocumented in this book. For all these reasons—the thorough research surrounding Nestor as a character, and the scale and complexity of its construction—this work is mainly intended for an audience of well-informed researchers in the field. Some Hellenists might feel surprised that the book begins with a comparative analysis, which, once again, the author's decidedly comparative perspective justifies. In chapter 1, Frame explicates the problem that gave birth to the book, the discrepancy as to the number and names of Neleus' sons in the tradition. Chapters 2 and 3, respectively, are about Greek Nestor and his Vedic equivalent. The problem arises from * This paper is a revision of my review of Hippota Nestor (published online at https://homerica.mshalpes.fr/agora/) adapted for the purposes of this volume. Thanks go to Stephen Rojcewicz for correcting my English, to Ioanna Papadopoulou for including it in the edition, and to Douglas Frame for his patience answering my questions. the fact that the Greek Nestor, Neleus' son, combines the characteristic features of the Vedic twins, the Aśvinā or Nāsatyā, who are—like Nestor—horsemen 1 . Therefore, Frame searches in Greek texts for traces of Nestor's lost or hidden twin. He finds him in the person of Periklymenos, among the twelve Neleids whose names are given in Hesiod's fr. 33a 8-15. It is the narrative that Nestor conveys to Patroclus in Iliad 11 that contains, according to Frame, the key to his interpretation: seeing the Achaeans' distress in battle, the old man recalls the glorious episode of his youth in which, after a raid against the Eleans, he won his title Hippota, "horseman" or "rider," even though he was fighting on foot. The Homeric formula associating the epithet Hippota with the proper name Nestor corresponds thus to the Vedic formula Aśvinā Nāsatyā. There is a clear connection between Hippota Nestor and a previous book published by Frame (The Myth of Return in Early Greek Epic, Newhaven, 1978), where he links νόος, νοῦς with νόστος and its etymological family, thus with the myth of return which lies at the center of the Odyssey. The second part is entirely devoted to Nestor's role in Homer, with a very careful and accurate analysis of all the episodes of the Iliad and the Odyssey where Nestor is mentioned, appropriately beginning with Iliad 11 in chapter 4, then dealing with Book 23 in chapter 5, Odyssey 3 and Iliad 8 in chapter 6, Odyssey 11 and the Phaeacians in chapter 7. Frame's sequence of presentation and analysis follows its own logical order rather than the chronology of the epic narration. Thus the succession of two episodes in the narrative of Iliad 11—a livestock raid and fighting—corresponds well to the twin myth structure featuring one brother focused on livestock and the other on war. This polarized structure is also found in Greek mythology in the Dioscuri myth. 2 Particularly 1 Skr. Aśvin- and Greek hippo- stem from the same I.-E. word ekwo- while Nāsatyā derives from nes- as does Nestor (p.15) but both sets of words were formed differently in these languages. 2 See the first part (1.56) on Castor and Polydeuces as horsemen saviors, 1.58 sq. on the distinction between Polydeuces, immortal son of Zeus, and Castor, mortal son of Tyndareus. interesting is the analysis of the relationship between Nestor and Patroclus: Nestor helps Machaon, while Patroclus assists Eurypylos, both injured by the arrows of Paris (2.11, p. 121). The detailed analysis leads us to see in Achilles a parallel to Nestor's missing brother in the old warrior's own narrative: just as the death of his missing brother Periklymenos places Pylos at the mercy of the Eleians, 3 Achilles being absent from the war puts the Achaeans in great danger. In chapter 4, the parallel between young Nestor and Patroclus is further illustrated by the fact that Patroclus acquires the formulaic epithets ἱππεῦ and ἱπποκέλευθε when he enters the battle wearing Achilles' arms. In Iliad 23 Nestor offers advice to his son Antilochos, who is about to take part in the chariot race during the funeral games in honor of Patroclus. According to Frame, this long speech to Antilochus is meant to evoke an old episode from his father's youth, so he begins his analysis from the end, with the speech that Nestor gives while receiving an honorary award from Achilles. Nestor recounts his defeat in a chariot race during the funeral games held in honor of king Amarynkeus: while he won all the other prizes, the chariot race went to the Epeian twins (identified through the dual form, Aktorione). Comparison with the narrative of Iliad 11 leads Frame to his central hypothesis: Iliad 23 alludes to the missed occasion to access the status of hippota. The victory in the chariot race went to the Epeian twins, because Nestor had not yet learned how to take the place of his own twin brother (2.19, p. 131). Frame pays great attention to the narration in Iliad 23 around the various competitors: Diomedes wins thanks to Athena's help (two against one), whereas Eumelos leads his team alone (2.32, p. 145); 4 3 It seems to me necessary to correct "at the mercy of the Epeians" (p. 125) to "Eleians." The typo mistake might arise from a confusion between the Eleians, enemies of the Pylians, and the Epeians of the following chapter, Nestor's competitors at Bouprasion. But see p. 48: "[The Pylians] prey to their hostile neighbors to the north, the Epeians, who are identified in the story with the historical Eleians." For the author, the names are interchangeable (per litteras). 4 Douglas Frame later remarks (2.54, p. 171, n. 69), that Achilles awards Eumelos a prize despite his the race both associates and opposes Antilochos and Menelaos (2.35-42). At the end of his instructions to his son, Nestor draws Antilochos' attention to the sêma, that is, the final turning post he has to round, using the phrase οὐδέ σε λήσει, echoed later as οὐδέ σε λήθω when Nestor receives his honorary award. Frame interprets this repetition as a mark of irony; it can be read as a reference to the danger of the tactic recommended to Nestor's son, which is the reason as well for Nestor's own failure in the Bouprasion race, where he crashed at the finish line (2.42-49, p. 156-166). Thus, Nestor's discourse to Antilochos about mêtis is in fact old Nestor's ironic introspection (p. 169, in particular, n. 63). Chapter 5 closes with the relationship between the chariot race and the nostoi, already noted by Whitman. 5 The following chapter specifies the key role of Nestor in the nostoi: the relationship between Iliad 8 and Odyssey reverse: Diomedes saves Nestor in Iliad in Odyssey 3. More important, though, and more complex is the relationship between Nestor and Odysseus. It includes a negative aspect: Odysseus does not save Nestor in Iliad 8, nor does Nestor ensure Odysseus' return in Odyssey 3 (particularly 2.74-75, p. and warriors, and for Frame, the episode of Iliad 8 constitutes a revival of the twin myth. The second mention of Nestor in the Odyssey , in the Nekuia , is the subject of chapter 7, " Odyssey 11 and the Phaeacians." This long chapter—102 pages—brilliantly elucidates the problems posed by the Catalogue of Heroines, whom Odysseus meets in 3 is analyzed as revolving around this role, which justifies the etymology of Nestor's name, both the "one who returns" and the "savior." Diomedes and Odysseus are the protagonists in the two cases, their actions mirrored in 8, and the reverse happens in the story narrated 199). The analogy between Nestor and Diomedes lies in the fact that both are horsemen failure, connecting this with the mention in the Epitome of the Library that Eumelos won the chariot race at the funeral games of Achilles himself. 5 C. H. Whitman, Homer and the Heroic Tradition, Cambridge MA, 1958. Hades. A very detailed analysis of the structure of the Catalogue demonstrates that Nestor stays at its center through his mother Chloris and Neleus' mother Tyro. The Catalogue, interrupted at verses 330-332 of Book 11 by Odysseus himself, indicates the deeper reason of the recitation of the mythical genealogy focused on Nestor, with the repetition of the formula in 11.330, ποµπὴ δὲ θεοῖσ᾽ ὑµῖν τε µελήσει, echoed again in 11. 352-3, ποµπὴ δ᾽ ἀνδρεσσι µελήσει πᾶσι, µάλιστα δ᾽ ἐµοί. Another revealing repetition is Odyssey 3.410 and 6.11, about Neleus and Nausithoos, respectively: ἀλλ᾽ὁ µὲν ἤδη κηρὶ δαµεὶς Ἄϊδόσδε βεβήκει. It provides the important key that Nestor, son of Neleus, and Alkinoos, son of Nausithoos, are similarly "homebringers" (p. 244); both of them have a name stemming from the Indo-European root nes-. 6 If the Catalogue is actually centered on Nestor, the aim of the narrative by Odysseus in Book 11 is to persuade Alkinoos to undertake the role of savior that Nestor did not play for him. From this perspective, Book 3 gives the point of view of Nestor on his parting from Odysseus during the return from Troy, whereas Odysseus provides Alkinoos with a personal, if elliptical and diverted version: according to Frame this constitutes the answer to a question that Alkinoos asked his anonymous guest at Odyssey 8.581-586 (2.129, p. 273): what companion, dear as a brother, did Odysseus lose in Troy? Why has all this not been understood prior to Frame's demonstration? The reason, according to the author, is that the Catalogue we read in Odyssey 11 has suffered various interpolations which hide the old structure by adding episodes and heroines who were not part of the original version. Frame does not make the assumption of interpolations lightly, as is well demonstrated by his interpretation of the episode of Tyro, Neleus' mother, the first heroine Odysseus meets in the Underworld (2. §135, p. 277 sq.). Odyssey 11.238-240 narrates that she was in love with the river Enipeus; verses 6 Of course, their linguistic structure is different: Nestor is a name of agent directly derived from nes-, while Alki-noos is a compound name in which the second term is the word noos. The specific meaning of the compound is not clear. 241-242 state that Poseidon took the form of Enipeus, while in the two following verses a wave as big as a mountain conceals their union. With the help of other sources, Frame shows that the text remains consistent even without the intrusion of Poseidon, which is due to the interpolation. Furthermore, he detects several other interpolations in this context and shows the ideological implications of these additions, always with the same deep insight: the ancient version gave Neleus a local origin, whereas the addition actually makes him a panhellenic hero (2. §141, p. 288). Among other additions to the ancient text, several are of Athenian origin. The ancient structure (clearly presented in a four-page table, including text and translation, p. 306-309) illuminates the construction and the parallels: <table><tr><td>Tyro (11 verses)<br />Antiope (6)<br />Alcmene (3)<br />Epikaste (2)</td><td> Chloris (10 verses) <br />Leda (7)<br />Iphimedea (4)<br />Maira, Clymene and Eriphyle (2)</td></tr></table> The interpolation, however, has sought to preserve the structure (Catalogue B, same presentation, p. 314-317). In its old form the Catalogue is characterized as Ionian, which is for Frame a synonym for Homeric. Here Frame faces an open question, already stated by ancient commentators: Odyssey 11 explicitly states that Chloris and Neleus had three sons, Nestor, Chromios, and Periklymenos, while in Iliad 11 Nestor mentions the twelve sons of Neleus without giving their mother(s)' names. The solution is announced on the last page of the chapter, and it relates to the hypothesis of the intentional silence about Nestor's twin brother. The third part of the book, appropriately entitled "Athens," begins in an intriguing way with "Arete and Nausicaa," the subject of chapter 8. The key here is the goddess Athena, whom we find again at the center of the following chapter, titled "the City Goddess of Athens." The main focus here is the city in the Geometric period, whose remains are actually very scarce. Frame's hypothesis is that Athena, disguised as a young Phaiakian maiden who is leaving for "Erechteus' palace" in Athens at the very moment that Odysseus will enter Alkinoos' palace, reveals the fact that Arete's hidden identity is Athena Polias, spouse of Alkinoos and Erectheus, respectively. That the name of Arete derives from the root of *araomai, to pray (3.11, p. 351), and that Odysseus addresses himself to her as a supplicant corroborate this hypothesis (3.12, p. 352). Thus, the Nausicaa-Arete pair is, according to Frame, the incarnation of the double identity of Athena as virgin warrior and mother goddess. Athena in Athens is no longer a mother goddess after the Homeric period. In chapter 9, Frame makes a point to show clearly the difference between the goddess protector of the city of Athens in the Homeric period and the one interpolated in the Catalogue of Ships—probably by Solon himself—according to the author, who believes that this is the period (around 600 BC) where the Athenian representation of Athena shifts. This transformation includes Erechtheus and the myth of the birth of Erichthonios: in the ancient version of the myth, Erechtheus was probably simultaneously the son and the consort of Athena Polias. According to Frame this evolution reflects Solon's intention to make of Athens a military force. From this perspective, the Homeric Catalogue of Ships is part of an ingenious propaganda attempt. The fourth part, titled "Ionia," brings us back to the heart of important Homeric questions, which the author views through the roles of Neleus, Nestor, the twin myth, and Neleus' twelve sons (explicitly mentioned in the foundational episode of the fight against the Eleians in Iliad 11). The analysis seeks to prove that, rather than each of the brothers being the hero of one of the Panionian cities, it is the group of the Neleids as a whole that symbolizes the Panionian League. This narrative, as well as the idea of Panionism, was promoted by Miletus, where the leading family, who presided over the feasts of the Panionia, was specifically named the Neleids. It is in this context that the Homeric poems were developed in the 8th century alongside the Panionian League. The fifth part, about Pylos, focuses as well on open Homeric questions, with chapter 12 on Iliad 11 and the location of the Homeric Pylos, and chapter 13 on the Homeric Hymn to Apollo and the text of Iliad 11. After reading parts 4 and 5, we understand better why the number of the sons of Neleus can lead to important insights about the birth of the poems and their historical context. So far, I have focused on the content and methods of Frame's book. Nothing is missing in it. If I may suggest a broadening of the questions presented, it seems to me that the issue of the status of twins in Antiquity is captivating because they manifest both identity and difference: twins are at the same time similar and different. Ancient myths seem to inventory the possibilities opened by these surprising similarities. Two books in French may contribute to such a broadening of perspective: Charles Malamoud's studies of Yama, the Vedic god of death, whose name means "twin" precisely. 7 His twin sister Yamī appears in the Vedas: one of the differences between the twins may be gender. They are born from Savarņyū and Vīvasvant, the Sun, and the Aśvin have the same parents in equine form. Yama is also associated with horses through several features. The twinship that defines Yama is reflected in the constant duality in the myths and rituals related to Yama. The second book pertinent to the subject is an extensive study of twins (male and female) in Greek and Roman Antiquity. 8 The author, Véronique Dasen, cleverly inserts mythical twins into a broader ancient context, including scientific theories of conception and medical knowledge going back to the Hippocratic school. Leto's wandering before the birth of Apollo and Artemis and her difficulty finding a place to give birth may give an idea of the fears related to the delivery of twins. Twins were often thought to be the 7 Charles Malamoud, Le Jumeau solaire, Paris, 2002 (La librairie du XXIe siècle, Éditions du Seuil). 8 Véronique Dasen, Jumeaux, jumelles dans l'Antiquité grecque et romaine, Zürich, 2005 (Akanthus). result of adultery, and were rejected by society. 9 Dasen convincingly highlights several features of twins: while Herakles and Iphikles symbolize difference without sharing, Castor and Polydeuces symbolize difference and sharing; Amphion and Zethos (the first is also a son of Zeus, the second is born from a mortal) symbolize compromise, together punishing Dirke, raising the walls of Thebes, and ruling, although their temperaments are opposite: Zethos carrying stone blocks with his bare hands, Amphion placing them by the magic of his music. However, twins most often present an example of turmoil: rivalry, violence, murder … Lykophron, for example, reports that Krisos and Panopeus were already struggling in their mother's womb. Pelias and Neleus, Acrisios and Proetos, Atreus and Thyestes, Eteokles and Polyneikes, and, of course, Romulus and Remus push the competition for power to its peak. Among the twins' skills: they can be distinguished horsemen, athletes, seamen; they foster abundance, fertility, and wealth. A relevant contemporary memoir addressing the sense of loss caused by the death of a twin is Jerôme Garcin's Olivier (Paris, Gallimard, 2011). In addition to describing the pain of losing his twin, Olivier, at age six, Garcin indicates assimilation of some of his twin's personality traits, so that "je" and "tu" eventually merge into "nous" ("we"). Returning to Hippota Nestor, the characteristic polarization of the twins is emphasized by the case of the Dioskouroi, one devoted to livestock, the other to fighting. As Nestor combines both aspects of his twin and himself, since his twin brother died long ago, it seems impossible to analyze further the relationship with his missing brother, be it competitive or close. Nestor may have kept silent on any struggle with his twin, even on the possibility of being responsible for his death. 9 See particularly the analysis of the scenes represented on the columns of the temple of Cyzicus, now destroyed but described in the Palatine Anthology (pp. 101-103). Most of the pictures show actions by twins in saving their mother, among them Neleus and Pelias in reference to their mother Tyro, whom her father Salmoneus kept chained.	<urn:uuid:20ddecaa-e437-4a6a-8fb8-b8ff96a4f8b4>	CC-MAIN-2024-42	https://hal.univ-grenoble-alpes.fr/hal-04704791v1/document	2024-10-08T18:28:33+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-42/subset=warc/part-00198-0c083cf2-c0ed-42ad-af5c-44f7548e96a0.c000.gz.parquet	229,918,649	5,059	eng_Latn	eng_Latn	0.958963	eng_Latn	0.996189	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1059, 2995, 5284, 7679, 9838, 12098, 14172, 16337, 18422, 20634 ]	Nestor and his Twin Françoise Letoublon To cite this version: Françoise Letoublon. Nestor and his Twin. Ioanna Papadopoulou. Interdisciplinary Uses of Homer: In Dialogue with Douglas Frame, Ioanna Papadopoulou ed., Washington, Center for Hellenic Studies, 2021 (online): https://chs.harvard.edu/read/interdisciplinary-uses-of-homer-indialogue-with-douglas-frame/, Center for Hellenic Studies, 2021. hal-04704791 HAL Id: hal-04704791 https://hal.univ-grenoble-alpes.fr/hal-04704791v1 Submitted on 21 Sep 2024 HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. L'archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d'enseignement et de recherche français ou étrangers, des laboratoires publics ou privés. * Nestor and his Twin Françoise Létoublon As its title suggests, Douglas Frame's Hippota Nestor is of course about Nestor, but the book covers a much larger scope that includes composition, performance, and the dissemination of Homeric poetry. Through a thorough analysis of Nestor as a character, many other subjects come into play, some of which have gone unnoticed even by experienced scholars. The book's structure is complex for reasons amply justified by the author. The text itself is divided into five well-balanced parts: Nestor's Indo-European Background, Nestor's Homeric Role, Athens, Ionia, and Pylos. Due to the breadth of topics covered, substantial content can also be found in the endnotes after each part, as well as in the extensive footnotes in each chapter. This dual set of notes is very helpful for readers that have further interest in any specific aspect of a given chapter. That is to say that nothing goes undocumented in this book. For all these reasons—the thorough research surrounding Nestor as a character, and the scale and complexity of its construction—this work is mainly intended for an audience of well-informed researchers in the field. Some Hellenists might feel surprised that the book begins with a comparative analysis, which, once again, the author's decidedly comparative perspective justifies. In chapter 1, Frame explicates the problem that gave birth to the book, the discrepancy as to the number and names of Neleus' sons in the tradition. Chapters 2 and 3, respectively, are about Greek Nestor and his Vedic equivalent. The problem arises from * This p	aper is a revision of my review of Hippota Nestor (published online at https://homerica.	mshalpes.fr/agora/) adapted for the purposes of this volume. Thanks go to Stephen Rojcewicz for correcting my English, to Ioanna Papadopoulou for including it in the edition, and to Douglas Frame for his patience answering my questions. the fact that the Greek Nestor, Neleus' son, combines the characteristic features of the Vedic twins, the Aśvinā or Nāsatyā, who are—like Nestor—horsemen 1 . Therefore, Frame searches in Greek texts for traces of Nestor's lost or hidden twin. He finds him in the person of Periklymenos, among the twelve Neleids whose names are given in Hesiod's fr. 33a 8-15. It is the narrative that Nestor conveys to Patroclus in Iliad 11 that contains, according to Frame, the key to his interpretation: seeing the Achaeans' distress in battle, the old man recalls the glorious episode of his youth in which, after a raid against the Eleans, he won his title Hippota, "horseman" or "rider," even though he was fighting on foot. The Homeric formula associating the epithet Hippota with the proper name Nestor corresponds thus to the Vedic formula Aśvinā Nāsatyā. There is a clear connection between Hippota Nestor and a previous book published by Frame (The Myth of Return in Early Greek Epic, Newhaven, 1978), where he links νόος, νοῦς with νόστος and its etymological family, thus with the myth of return which lies at the center of the Odyssey. The second part is entirely devoted to Nestor's role in Homer, with a very careful and accurate analysis of all the episodes of the Iliad and the Odyssey where Nestor is mentioned, appropriately beginning with Iliad 11 in chapter 4, then dealing with Book 23 in chapter 5, Odyssey 3 and Iliad 8 in chapter 6, Odyssey 11 and the Phaeacians in chapter 7. Frame's sequence of presentation and analysis follows its own logical order rather than the chronology of the epic narration. Thus the succession of two episodes in the narrative of Iliad 11—a livestock raid and fighting—corresponds well to the twin myth structure featuring one brother focused on livestock and the other on war. This polarized structure is also found in Greek mythology in the Dioscuri myth. 2 Particularly 1 Skr. Aśvin- and Greek hippo- stem from the same I.-E. word ekwo- while Nāsatyā derives from nes- as does Nestor (p.15) but both sets of words were formed differently in these languages. 2 See the first part (1.56) on Castor and Polydeuces as horsemen saviors, 1.58 sq. on the distinction between Polydeuces, immortal son of Zeus, and Castor, mortal son of Tyndareus. interesting is the analysis of the relationship between Nestor and Patroclus: Nestor helps Machaon, while Patroclus assists Eurypylos, both injured by the arrows of Paris (2.11, p. 121). The detailed analysis leads us to see in Achilles a parallel to Nestor's missing brother in the old warrior's own narrative: just as the death of his missing brother Periklymenos places Pylos at the mercy of the Eleians, 3 Achilles being absent from the war puts the Achaeans in great danger. In chapter 4, the parallel between young Nestor and Patroclus is further illustrated by the fact that Patroclus acquires the formulaic epithets ἱππεῦ and ἱπποκέλευθε when he enters the battle wearing Achilles' arms. In Iliad 23 Nestor offers advice to his son Antilochos, who is about to take part in the chariot race during the funeral games in honor of Patroclus. According to Frame, this long speech to Antilochus is meant to evoke an old episode from his father's youth, so he begins his analysis from the end, with the speech that Nestor gives while receiving an honorary award from Achilles. Nestor recounts his defeat in a chariot race during the funeral games held in honor of king Amarynkeus: while he won all the other prizes, the chariot race went to the Epeian twins (identified through the dual form, Aktorione). Comparison with the narrative of Iliad 11 leads Frame to his central hypothesis: Iliad 23 alludes to the missed occasion to access the status of hippota. The victory in the chariot race went to the Epeian twins, because Nestor had not yet learned how to take the place of his own twin brother (2.19, p. 131). Frame pays great attention to the narration in Iliad 23 around the various competitors: Diomedes wins thanks to Athena's help (two against one), whereas Eumelos leads his team alone (2.32, p. 145); 4 3 It seems to me necessary to correct "at the mercy of the Epeians" (p. 125) to "Eleians." The typo mistake might arise from a confusion between the Eleians, enemies of the Pylians, and the Epeians of the following chapter, Nestor's competitors at Bouprasion. But see p. 48: "[The Pylians] prey to their hostile neighbors to the north, the Epeians, who are identified in the story with the historical Eleians." For the author, the names are interchangeable (per litteras). 4 Douglas Frame later remarks (2.54, p. 171, n. 69), that Achilles awards Eumelos a prize despite his the race both associates and opposes Antilochos and Menelaos (2.35-42). At the end of his instructions to his son, Nestor draws Antilochos' attention to the sêma, that is, the final turning post he has to round, using the phrase οὐδέ σε λήσει, echoed later as οὐδέ σε λήθω when Nestor receives his honorary award. Frame interprets this repetition as a mark of irony; it can be read as a reference to the danger of the tactic recommended to Nestor's son, which is the reason as well for Nestor's own failure in the Bouprasion race, where he crashed at the finish line (2.42-49, p. 156-166). Thus, Nestor's discourse to Antilochos about mêtis is in fact old Nestor's ironic introspection (p. 169, in particular, n. 63). Chapter 5 closes with the relationship between the chariot race and the nostoi, already noted by Whitman. 5 The following chapter specifies the key role of Nestor in the nostoi: the relationship between Iliad 8 and Odyssey reverse: Diomedes saves Nestor in Iliad in Odyssey 3. More important, though, and more complex is the relationship between Nestor and Odysseus. It includes a negative aspect: Odysseus does not save Nestor in Iliad 8, nor does Nestor ensure Odysseus' return in Odyssey 3 (particularly 2.74-75, p. and warriors, and for Frame, the episode of Iliad 8 constitutes a revival of the twin myth. The second mention of Nestor in the Odyssey , in the Nekuia , is the subject of chapter 7, " Odyssey 11 and the Phaeacians." This long chapter—102 pages—brilliantly elucidates the problems posed by the Catalogue of Heroines, whom Odysseus meets in 3 is analyzed as revolving around this role, which justifies the etymology of Nestor's name, both the "one who returns" and the "savior." Diomedes and Odysseus are the protagonists in the two cases, their actions mirrored in 8, and the reverse happens in the story narrated 199). The analogy between Nestor and Diomedes lies in the fact that both are horsemen failure, connecting this with the mention in the Epitome of the Library that Eumelos won the chariot race at the funeral games of Achilles himself. 5 C. H. Whitman, Homer and the Heroic Tradition, Cambridge MA, 1958. Hades. A very detailed analysis of the structure of the Catalogue demonstrates that Nestor stays at its center through his mother Chloris and Neleus' mother Tyro. The Catalogue, interrupted at verses 330-332 of Book 11 by Odysseus himself, indicates the deeper reason of the recitation of the mythical genealogy focused on Nestor, with the repetition of the formula in 11.330, ποµπὴ δὲ θεοῖσ᾽ ὑµῖν τε µελήσει, echoed again in 11. 352-3, ποµπὴ δ᾽ ἀνδρεσσι µελήσει πᾶσι, µάλιστα δ᾽ ἐµοί. Another revealing repetition is Odyssey 3.410 and 6.11, about Neleus and Nausithoos, respectively: ἀλλ᾽ὁ µὲν ἤδη κηρὶ δαµεὶς Ἄϊδόσδε βεβήκει. It provides the important key that Nestor, son of Neleus, and Alkinoos, son of Nausithoos, are similarly "homebringers" (p. 244); both of them have a name stemming from the Indo-European root nes-. 6 If the Catalogue is actually centered on Nestor, the aim of the narrative by Odysseus in Book 11 is to persuade Alkinoos to undertake the role of savior that Nestor did not play for him. From this perspective, Book 3 gives the point of view of Nestor on his parting from Odysseus during the return from Troy, whereas Odysseus provides Alkinoos with a personal, if elliptical and diverted version: according to Frame this constitutes the answer to a question that Alkinoos asked his anonymous guest at Odyssey 8.581-586 (2.129, p. 273): what companion, dear as a brother, did Odysseus lose in Troy? Why has all this not been understood prior to Frame's demonstration? The reason, according to the author, is that the Catalogue we read in Odyssey 11 has suffered various interpolations which hide the old structure by adding episodes and heroines who were not part of the original version. Frame does not make the assumption of interpolations lightly, as is well demonstrated by his interpretation of the episode of Tyro, Neleus' mother, the first heroine Odysseus meets in the Underworld (2. §135, p. 277 sq.). Odyssey 11.238-240 narrates that she was in love with the river Enipeus; verses 6 Of course, their linguistic structure is different: Nestor is a name of agent directly derived from nes-, while Alki-noos is a compound name in which the second term is the word noos. The specific meaning of the compound is not clear. 241-242 state that Poseidon took the form of Enipeus, while in the two following verses a wave as big as a mountain conceals their union. With the help of other sources, Frame shows that the text remains consistent even without the intrusion of Poseidon, which is due to the interpolation. Furthermore, he detects several other interpolations in this context and shows the ideological implications of these additions, always with the same deep insight: the ancient version gave Neleus a local origin, whereas the addition actually makes him a panhellenic hero (2. §141, p. 288). Among other additions to the ancient text, several are of Athenian origin. The ancient structure (clearly presented in a four-page table, including text and translation, p. 306-309) illuminates the construction and the parallels: <table><tr><td>Tyro (11 verses)<br />Antiope (6)<br />Alcmene (3)<br />Epikaste (2)</td><td> Chloris (10 verses) <br />Leda (7)<br />Iphimedea (4)<br />Maira, Clymene and Eriphyle (2)</td></tr></table> The interpolation, however, has sought to preserve the structure (Catalogue B, same presentation, p. 314-317). In its old form the Catalogue is characterized as Ionian, which is for Frame a synonym for Homeric. Here Frame faces an open question, already stated by ancient commentators: Odyssey 11 explicitly states that Chloris and Neleus had three sons, Nestor, Chromios, and Periklymenos, while in Iliad 11 Nestor mentions the twelve sons of Neleus without giving their mother(s)' names. The solution is announced on the last page of the chapter, and it relates to the hypothesis of the intentional silence about Nestor's twin brother. The third part of the book, appropriately entitled "Athens," begins in an intriguing way with "Arete and Nausicaa," the subject of chapter 8. The key here is the goddess Athena, whom we find again at the center of the following chapter, titled "the City Goddess of Athens." The main focus here is the city in the Geometric period, whose remains are actually very scarce. Frame's hypothesis is that Athena, disguised as a young Phaiakian maiden who is leaving for "Erechteus' palace" in Athens at the very moment that Odysseus will enter Alkinoos' palace, reveals the fact that Arete's hidden identity is Athena Polias, spouse of Alkinoos and Erectheus, respectively. That the name of Arete derives from the root of *araomai, to pray (3.11, p. 351), and that Odysseus addresses himself to her as a supplicant corroborate this hypothesis (3.12, p. 352). Thus, the Nausicaa-Arete pair is, according to Frame, the incarnation of the double identity of Athena as virgin warrior and mother goddess. Athena in Athens is no longer a mother goddess after the Homeric period. In chapter 9, Frame makes a point to show clearly the difference between the goddess protector of the city of Athens in the Homeric period and the one interpolated in the Catalogue of Ships—probably by Solon himself—according to the author, who believes that this is the period (around 600 BC) where the Athenian representation of Athena shifts. This transformation includes Erechtheus and the myth of the birth of Erichthonios: in the ancient version of the myth, Erechtheus was probably simultaneously the son and the consort of Athena Polias. According to Frame this evolution reflects Solon's intention to make of Athens a military force. From this perspective, the Homeric Catalogue of Ships is part of an ingenious propaganda attempt. The fourth part, titled "Ionia," brings us back to the heart of important Homeric questions, which the author views through the roles of Neleus, Nestor, the twin myth, and Neleus' twelve sons (explicitly mentioned in the foundational episode of the fight against the Eleians in Iliad 11). The analysis seeks to prove that, rather than each of the brothers being the hero of one of the Panionian cities, it is the group of the Neleids as a whole that symbolizes the Panionian League. This narrative, as well as the idea of Panionism, was promoted by Miletus, where the leading family, who presided over the feasts of the Panionia, was specifically named the Neleids. It is in this context that the Homeric poems were developed in the 8th century alongside the Panionian League. The fifth part, about Pylos, focuses as well on open Homeric questions, with chapter 12 on Iliad 11 and the location of the Homeric Pylos, and chapter 13 on the Homeric Hymn to Apollo and the text of Iliad 11. After reading parts 4 and 5, we understand better why the number of the sons of Neleus can lead to important insights about the birth of the poems and their historical context. So far, I have focused on the content and methods of Frame's book. Nothing is missing in it. If I may suggest a broadening of the questions presented, it seems to me that the issue of the status of twins in Antiquity is captivating because they manifest both identity and difference: twins are at the same time similar and different. Ancient myths seem to inventory the possibilities opened by these surprising similarities. Two books in French may contribute to such a broadening of perspective: Charles Malamoud's studies of Yama, the Vedic god of death, whose name means "twin" precisely. 7 His twin sister Yamī appears in the Vedas: one of the differences between the twins may be gender. They are born from Savarņyū and Vīvasvant, the Sun, and the Aśvin have the same parents in equine form. Yama is also associated with horses through several features. The twinship that defines Yama is reflected in the constant duality in the myths and rituals related to Yama. The second book pertinent to the subject is an extensive study of twins (male and female) in Greek and Roman Antiquity. 8 The author, Véronique Dasen, cleverly inserts mythical twins into a broader ancient context, including scientific theories of conception and medical knowledge going back to the Hippocratic school. Leto's wandering before the birth of Apollo and Artemis and her difficulty finding a place to give birth may give an idea of the fears related to the delivery of twins. Twins were often thought to be the 7 Charles Malamoud, Le Jumeau solaire, Paris, 2002 (La librairie du XXIe siècle, Éditions du Seuil). 8 Véronique Dasen, Jumeaux, jumelles dans l'Antiquité grecque et romaine, Zürich, 2005 (Akanthus). result of adultery, and were rejected by society. 9 Dasen convincingly highlights several features of twins: while Herakles and Iphikles symbolize difference without sharing, Castor and Polydeuces symbolize difference and sharing; Amphion and Zethos (the first is also a son of Zeus, the second is born from a mortal) symbolize compromise, together punishing Dirke, raising the walls of Thebes, and ruling, although their temperaments are opposite: Zethos carrying stone blocks with his bare hands, Amphion placing them by the magic of his music. However, twins most often present an example of turmoil: rivalry, violence, murder … Lykophron, for example, reports that Krisos and Panopeus were already struggling in their mother's womb. Pelias and Neleus, Acrisios and Proetos, Atreus and Thyestes, Eteokles and Polyneikes, and, of course, Romulus and Remus push the competition for power to its peak. Among the twins' skills: they can be distinguished horsemen, athletes, seamen; they foster abundance, fertility, and wealth. A relevant contemporary memoir addressing the sense of loss caused by the death of a twin is Jerôme Garcin's Olivier (Paris, Gallimard, 2011). In addition to describing the pain of losing his twin, Olivier, at age six, Garcin indicates assimilation of some of his twin's personality traits, so that "je" and "tu" eventually merge into "nous" ("we"). Returning to Hippota Nestor, the characteristic polarization of the twins is emphasized by the case of the Dioskouroi, one devoted to livestock, the other to fighting. As Nestor combines both aspects of his twin and himself, since his twin brother died long ago, it seems impossible to analyze further the relationship with his missing brother, be it competitive or close. Nestor may have kept silent on any struggle with his twin, even on the possibility of being responsible for his death. 9 See particularly the analysis of the scenes represented on the columns of the temple of Cyzicus, now destroyed but described in the Palatine Anthology (pp. 101-103). Most of the pictures show actions by twins in saving their mother, among them Neleus and Pelias in reference to their mother Tyro, whom her father Salmoneus kept chained.	2,670	inside_word	paper	remove_one_sentence	<url> https://hal.univ-grenoble-alpes.fr/hal-04704791v1/document </url> <text> Nestor and his Twin Françoise Letoublon To cite this version: Françoise Letoublon. Nestor and his Twin. Ioanna Papadopoulou. Interdisciplinary Uses of Homer: In Dialogue with Douglas Frame, Ioanna Papadopoulou ed., Washington, Center for Hellenic Studies, 2021 (online): https://chs.harvard.edu/read/interdisciplinary-uses-of-homer-indialogue-with-douglas-frame/, Center for Hellenic Studies, 2021. hal-04704791 HAL Id: hal-04704791 https://hal.univ-grenoble-alpes.fr/hal-04704791v1 Submitted on 21 Sep 2024 HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. L'archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d'enseignement et de recherche français ou étrangers, des laboratoires publics ou privés. * Nestor and his Twin Françoise Létoublon As its title suggests, Douglas Frame's Hippota Nestor is of course about Nestor, but the book covers a much larger scope that includes composition, performance, and the dissemination of Homeric poetry. Through a thorough analysis of Nestor as a character, many other subjects come into play, some of which have gone unnoticed even by experienced scholars. The book's structure is complex for reasons amply justified by the author. The text itself is divided into five well-balanced parts: Nestor's Indo-European Background, Nestor's Homeric Role, Athens, Ionia, and Pylos. Due to the breadth of topics covered, substantial content can also be found in the endnotes after each part, as well as in the extensive footnotes in each chapter. This dual set of notes is very helpful for readers that have further interest in any specific aspect of a given chapter. That is to say that nothing goes undocumented in this book. For all these reasons—the thorough research surrounding Nestor as a character, and the scale and complexity of its construction—this work is mainly intended for an audience of well-informed researchers in the field. Some Hellenists might feel surprised that the book begins with a comparative analysis, which, once again, the author's decidedly comparative perspective justifies. In chapter 1, Frame explicates the problem that gave birth to the book, the discrepancy as to the number and names of Neleus' sons in the tradition. Chapters 2 and 3, respectively, are about Greek Nestor and his Vedic equivalent. The problem arises from * This p<cursor_is_here>mshalpes.fr/agora/) adapted for the purposes of this volume. Thanks go to Stephen Rojcewicz for correcting my English, to Ioanna Papadopoulou for including it in the edition, and to Douglas Frame for his patience answering my questions. the fact that the Greek Nestor, Neleus' son, combines the characteristic features of the Vedic twins, the Aśvinā or Nāsatyā, who are—like Nestor—horsemen 1 . Therefore, Frame searches in Greek texts for traces of Nestor's lost or hidden twin. He finds him in the person of Periklymenos, among the twelve Neleids whose names are given in Hesiod's fr. 33a 8-15. It is the narrative that Nestor conveys to Patroclus in Iliad 11 that contains, according to Frame, the key to his interpretation: seeing the Achaeans' distress in battle, the old man recalls the glorious episode of his youth in which, after a raid against the Eleans, he won his title Hippota, "horseman" or "rider," even though he was fighting on foot. The Homeric formula associating the epithet Hippota with the proper name Nestor corresponds thus to the Vedic formula Aśvinā Nāsatyā. There is a clear connection between Hippota Nestor and a previous book published by Frame (The Myth of Return in Early Greek Epic, Newhaven, 1978), where he links νόος, νοῦς with νόστος and its etymological family, thus with the myth of return which lies at the center of the Odyssey. The second part is entirely devoted to Nestor's role in Homer, with a very careful and accurate analysis of all the episodes of the Iliad and the Odyssey where Nestor is mentioned, appropriately beginning with Iliad 11 in chapter 4, then dealing with Book 23 in chapter 5, Odyssey 3 and Iliad 8 in chapter 6, Odyssey 11 and the Phaeacians in chapter 7. Frame's sequence of presentation and analysis follows its own logical order rather than the chronology of the epic narration. Thus the succession of two episodes in the narrative of Iliad 11—a livestock raid and fighting—corresponds well to the twin myth structure featuring one brother focused on livestock and the other on war. This polarized structure is also found in Greek mythology in the Dioscuri myth. 2 Particularly 1 Skr. Aśvin- and Greek hippo- stem from the same I.-E. word ekwo- while Nāsatyā derives from nes- as does Nestor (p.15) but both sets of words were formed differently in these languages. 2 See the first part (1.56) on Castor and Polydeuces as horsemen saviors, 1.58 sq. on the distinction between Polydeuces, immortal son of Zeus, and Castor, mortal son of Tyndareus. interesting is the analysis of the relationship between Nestor and Patroclus: Nestor helps Machaon, while Patroclus assists Eurypylos, both injured by the arrows of Paris (2.11, p. 121). The detailed analysis leads us to see in Achilles a parallel to Nestor's missing brother in the old warrior's own narrative: just as the death of his missing brother Periklymenos places Pylos at the mercy of the Eleians, 3 Achilles being absent from the war puts the Achaeans in great danger. In chapter 4, the parallel between young Nestor and Patroclus is further illustrated by the fact that Patroclus acquires the formulaic epithets ἱππεῦ and ἱπποκέλευθε when he enters the battle wearing Achilles' arms. In Iliad 23 Nestor offers advice to his son Antilochos, who is about to take part in the chariot race during the funeral games in honor of Patroclus. According to Frame, this long speech to Antilochus is meant to evoke an old episode from his father's youth, so he begins his analysis from the end, with the speech that Nestor gives while receiving an honorary award from Achilles. Nestor recounts his defeat in a chariot race during the funeral games held in honor of king Amarynkeus: while he won all the other prizes, the chariot race went to the Epeian twins (identified through the dual form, Aktorione). Comparison with the narrative of Iliad 11 leads Frame to his central hypothesis: Iliad 23 alludes to the missed occasion to access the status of hippota. The victory in the chariot race went to the Epeian twins, because Nestor had not yet learned how to take the place of his own twin brother (2.19, p. 131). Frame pays great attention to the narration in Iliad 23 around the various competitors: Diomedes wins thanks to Athena's help (two against one), whereas Eumelos leads his team alone (2.32, p. 145); 4 3 It seems to me necessary to correct "at the mercy of the Epeians" (p. 125) to "Eleians." The typo mistake might arise from a confusion between the Eleians, enemies of the Pylians, and the Epeians of the following chapter, Nestor's competitors at Bouprasion. But see p. 48: "[The Pylians] prey to their hostile neighbors to the north, the Epeians, who are identified in the story with the historical Eleians." For the author, the names are interchangeable (per litteras). 4 Douglas Frame later remarks (2.54, p. 171, n. 69), that Achilles awards Eumelos a prize despite his the race both associates and opposes Antilochos and Menelaos (2.35-42). At the end of his instructions to his son, Nestor draws Antilochos' attention to the sêma, that is, the final turning post he has to round, using the phrase οὐδέ σε λήσει, echoed later as οὐδέ σε λήθω when Nestor receives his honorary award. Frame interprets this repetition as a mark of irony; it can be read as a reference to the danger of the tactic recommended to Nestor's son, which is the reason as well for Nestor's own failure in the Bouprasion race, where he crashed at the finish line (2.42-49, p. 156-166). Thus, Nestor's discourse to Antilochos about mêtis is in fact old Nestor's ironic introspection (p. 169, in particular, n. 63). Chapter 5 closes with the relationship between the chariot race and the nostoi, already noted by Whitman. 5 The following chapter specifies the key role of Nestor in the nostoi: the relationship between Iliad 8 and Odyssey reverse: Diomedes saves Nestor in Iliad in Odyssey 3. More important, though, and more complex is the relationship between Nestor and Odysseus. It includes a negative aspect: Odysseus does not save Nestor in Iliad 8, nor does Nestor ensure Odysseus' return in Odyssey 3 (particularly 2.74-75, p. and warriors, and for Frame, the episode of Iliad 8 constitutes a revival of the twin myth. The second mention of Nestor in the Odyssey , in the Nekuia , is the subject of chapter 7, " Odyssey 11 and the Phaeacians." This long chapter—102 pages—brilliantly elucidates the problems posed by the Catalogue of Heroines, whom Odysseus meets in 3 is analyzed as revolving around this role, which justifies the etymology of Nestor's name, both the "one who returns" and the "savior." Diomedes and Odysseus are the protagonists in the two cases, their actions mirrored in 8, and the reverse happens in the story narrated 199). The analogy between Nestor and Diomedes lies in the fact that both are horsemen failure, connecting this with the mention in the Epitome of the Library that Eumelos won the chariot race at the funeral games of Achilles himself. 5 C. H. Whitman, Homer and the Heroic Tradition, Cambridge MA, 1958. Hades. A very detailed analysis of the structure of the Catalogue demonstrates that Nestor stays at its center through his mother Chloris and Neleus' mother Tyro. The Catalogue, interrupted at verses 330-332 of Book 11 by Odysseus himself, indicates the deeper reason of the recitation of the mythical genealogy focused on Nestor, with the repetition of the formula in 11.330, ποµπὴ δὲ θεοῖσ᾽ ὑµῖν τε µελήσει, echoed again in 11. 352-3, ποµπὴ δ᾽ ἀνδρεσσι µελήσει πᾶσι, µάλιστα δ᾽ ἐµοί. Another revealing repetition is Odyssey 3.410 and 6.11, about Neleus and Nausithoos, respectively: ἀλλ᾽ὁ µὲν ἤδη κηρὶ δαµεὶς Ἄϊδόσδε βεβήκει. It provides the important key that Nestor, son of Neleus, and Alkinoos, son of Nausithoos, are similarly "homebringers" (p. 244); both of them have a name stemming from the Indo-European root nes-. 6 If the Catalogue is actually centered on Nestor, the aim of the narrative by Odysseus in Book 11 is to persuade Alkinoos to undertake the role of savior that Nestor did not play for him. From this perspective, Book 3 gives the point of view of Nestor on his parting from Odysseus during the return from Troy, whereas Odysseus provides Alkinoos with a personal, if elliptical and diverted version: according to Frame this constitutes the answer to a question that Alkinoos asked his anonymous guest at Odyssey 8.581-586 (2.129, p. 273): what companion, dear as a brother, did Odysseus lose in Troy? Why has all this not been understood prior to Frame's demonstration? The reason, according to the author, is that the Catalogue we read in Odyssey 11 has suffered various interpolations which hide the old structure by adding episodes and heroines who were not part of the original version. Frame does not make the assumption of interpolations lightly, as is well demonstrated by his interpretation of the episode of Tyro, Neleus' mother, the first heroine Odysseus meets in the Underworld (2. §135, p. 277 sq.). Odyssey 11.238-240 narrates that she was in love with the river Enipeus; verses 6 Of course, their linguistic structure is different: Nestor is a name of agent directly derived from nes-, while Alki-noos is a compound name in which the second term is the word noos. The specific meaning of the compound is not clear. 241-242 state that Poseidon took the form of Enipeus, while in the two following verses a wave as big as a mountain conceals their union. With the help of other sources, Frame shows that the text remains consistent even without the intrusion of Poseidon, which is due to the interpolation. Furthermore, he detects several other interpolations in this context and shows the ideological implications of these additions, always with the same deep insight: the ancient version gave Neleus a local origin, whereas the addition actually makes him a panhellenic hero (2. §141, p. 288). Among other additions to the ancient text, several are of Athenian origin. The ancient structure (clearly presented in a four-page table, including text and translation, p. 306-309) illuminates the construction and the parallels: <table><tr><td>Tyro (11 verses)<br />Antiope (6)<br />Alcmene (3)<br />Epikaste (2)</td><td> Chloris (10 verses) <br />Leda (7)<br />Iphimedea (4)<br />Maira, Clymene and Eriphyle (2)</td></tr></table> The interpolation, however, has sought to preserve the structure (Catalogue B, same presentation, p. 314-317). In its old form the Catalogue is characterized as Ionian, which is for Frame a synonym for Homeric. Here Frame faces an open question, already stated by ancient commentators: Odyssey 11 explicitly states that Chloris and Neleus had three sons, Nestor, Chromios, and Periklymenos, while in Iliad 11 Nestor mentions the twelve sons of Neleus without giving their mother(s)' names. The solution is announced on the last page of the chapter, and it relates to the hypothesis of the intentional silence about Nestor's twin brother. The third part of the book, appropriately entitled "Athens," begins in an intriguing way with "Arete and Nausicaa," the subject of chapter 8. The key here is the goddess Athena, whom we find again at the center of the following chapter, titled "the City Goddess of Athens." The main focus here is the city in the Geometric period, whose remains are actually very scarce. Frame's hypothesis is that Athena, disguised as a young Phaiakian maiden who is leaving for "Erechteus' palace" in Athens at the very moment that Odysseus will enter Alkinoos' palace, reveals the fact that Arete's hidden identity is Athena Polias, spouse of Alkinoos and Erectheus, respectively. That the name of Arete derives from the root of *araomai, to pray (3.11, p. 351), and that Odysseus addresses himself to her as a supplicant corroborate this hypothesis (3.12, p. 352). Thus, the Nausicaa-Arete pair is, according to Frame, the incarnation of the double identity of Athena as virgin warrior and mother goddess. Athena in Athens is no longer a mother goddess after the Homeric period. In chapter 9, Frame makes a point to show clearly the difference between the goddess protector of the city of Athens in the Homeric period and the one interpolated in the Catalogue of Ships—probably by Solon himself—according to the author, who believes that this is the period (around 600 BC) where the Athenian representation of Athena shifts. This transformation includes Erechtheus and the myth of the birth of Erichthonios: in the ancient version of the myth, Erechtheus was probably simultaneously the son and the consort of Athena Polias. According to Frame this evolution reflects Solon's intention to make of Athens a military force. From this perspective, the Homeric Catalogue of Ships is part of an ingenious propaganda attempt. The fourth part, titled "Ionia," brings us back to the heart of important Homeric questions, which the author views through the roles of Neleus, Nestor, the twin myth, and Neleus' twelve sons (explicitly mentioned in the foundational episode of the fight against the Eleians in Iliad 11). The analysis seeks to prove that, rather than each of the brothers being the hero of one of the Panionian cities, it is the group of the Neleids as a whole that symbolizes the Panionian League. This narrative, as well as the idea of Panionism, was promoted by Miletus, where the leading family, who presided over the feasts of the Panionia, was specifically named the Neleids. It is in this context that the Homeric poems were developed in the 8th century alongside the Panionian League. The fifth part, about Pylos, focuses as well on open Homeric questions, with chapter 12 on Iliad 11 and the location of the Homeric Pylos, and chapter 13 on the Homeric Hymn to Apollo and the text of Iliad 11. After reading parts 4 and 5, we understand better why the number of the sons of Neleus can lead to important insights about the birth of the poems and their historical context. So far, I have focused on the content and methods of Frame's book. Nothing is missing in it. If I may suggest a broadening of the questions presented, it seems to me that the issue of the status of twins in Antiquity is captivating because they manifest both identity and difference: twins are at the same time similar and different. Ancient myths seem to inventory the possibilities opened by these surprising similarities. Two books in French may contribute to such a broadening of perspective: Charles Malamoud's studies of Yama, the Vedic god of death, whose name means "twin" precisely. 7 His twin sister Yamī appears in the Vedas: one of the differences between the twins may be gender. They are born from Savarņyū and Vīvasvant, the Sun, and the Aśvin have the same parents in equine form. Yama is also associated with horses through several features. The twinship that defines Yama is reflected in the constant duality in the myths and rituals related to Yama. The second book pertinent to the subject is an extensive study of twins (male and female) in Greek and Roman Antiquity. 8 The author, Véronique Dasen, cleverly inserts mythical twins into a broader ancient context, including scientific theories of conception and medical knowledge going back to the Hippocratic school. Leto's wandering before the birth of Apollo and Artemis and her difficulty finding a place to give birth may give an idea of the fears related to the delivery of twins. Twins were often thought to be the 7 Charles Malamoud, Le Jumeau solaire, Paris, 2002 (La librairie du XXIe siècle, Éditions du Seuil). 8 Véronique Dasen, Jumeaux, jumelles dans l'Antiquité grecque et romaine, Zürich, 2005 (Akanthus). result of adultery, and were rejected by society. 9 Dasen convincingly highlights several features of twins: while Herakles and Iphikles symbolize difference without sharing, Castor and Polydeuces symbolize difference and sharing; Amphion and Zethos (the first is also a son of Zeus, the second is born from a mortal) symbolize compromise, together punishing Dirke, raising the walls of Thebes, and ruling, although their temperaments are opposite: Zethos carrying stone blocks with his bare hands, Amphion placing them by the magic of his music. However, twins most often present an example of turmoil: rivalry, violence, murder … Lykophron, for example, reports that Krisos and Panopeus were already struggling in their mother's womb. Pelias and Neleus, Acrisios and Proetos, Atreus and Thyestes, Eteokles and Polyneikes, and, of course, Romulus and Remus push the competition for power to its peak. Among the twins' skills: they can be distinguished horsemen, athletes, seamen; they foster abundance, fertility, and wealth. A relevant contemporary memoir addressing the sense of loss caused by the death of a twin is Jerôme Garcin's Olivier (Paris, Gallimard, 2011). In addition to describing the pain of losing his twin, Olivier, at age six, Garcin indicates assimilation of some of his twin's personality traits, so that "je" and "tu" eventually merge into "nous" ("we"). Returning to Hippota Nestor, the characteristic polarization of the twins is emphasized by the case of the Dioskouroi, one devoted to livestock, the other to fighting. As Nestor combines both aspects of his twin and himself, since his twin brother died long ago, it seems impossible to analyze further the relationship with his missing brother, be it competitive or close. Nestor may have kept silent on any struggle with his twin, even on the possibility of being responsible for his death. 9 See particularly the analysis of the scenes represented on the columns of the temple of Cyzicus, now destroyed but described in the Palatine Anthology (pp. 101-103). Most of the pictures show actions by twins in saving their mother, among them Neleus and Pelias in reference to their mother Tyro, whom her father Salmoneus kept chained. </text>	[ { "content": "<url>\nhttps://hal.univ-grenoble-alpes.fr/hal-04704791v1/document\n</url>\n<text>\nNestor and his Twin\n\nFrançoise Letoublon\n\nTo cite this version:\n\nFrançoise Letoublon. Nestor and his Twin. Ioanna Papadopoulou. Interdisciplinary Uses of Homer: In Dialogue with Douglas Frame, Ioanna Papadopoulou ed., Washington, Center for Hellenic Studies, 2021 (online): https://chs.harvard.edu/read/interdisciplinary-uses-of-homer-indialogue-with-douglas-frame/, Center for Hellenic Studies, 2021. hal-04704791\n\nHAL Id: hal-04704791\n\nhttps://hal.univ-grenoble-alpes.fr/hal-04704791v1\n\nSubmitted on 21 Sep 2024\n\nHAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers.\n\nL'archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d'enseignement et de recherche français ou étrangers, des laboratoires publics ou privés.\n\n\n\nNestor and his Twin\n\nFrançoise Létoublon\n\nAs its title suggests, Douglas Frame's Hippota Nestor is of course about Nestor, but the book covers a much larger scope that includes composition, performance, and the dissemination of Homeric poetry. Through a thorough analysis of Nestor as a character, many other subjects come into play, some of which have gone unnoticed even by experienced scholars.\n\nThe book's structure is complex for reasons amply justified by the author. The text itself is divided into five well-balanced parts: Nestor's Indo-European Background, Nestor's Homeric Role, Athens, Ionia, and Pylos.\n\nDue to the breadth of topics covered, substantial content can also be found in the endnotes after each part, as well as in the extensive footnotes in each chapter. This dual set of notes is very helpful for readers that have further interest in any specific aspect of a given chapter. That is to say that nothing goes undocumented in this book. For all these reasons—the thorough research surrounding Nestor as a character, and the scale and complexity of its construction—this work is mainly intended for an audience of well-informed researchers in the field.\n\nSome Hellenists might feel surprised that the book begins with a comparative analysis, which, once again, the author's decidedly comparative perspective justifies. In chapter 1, Frame explicates the problem that gave birth to the book, the discrepancy as to the number and names of Neleus' sons in the tradition. Chapters 2 and 3, respectively, are about Greek Nestor and his Vedic equivalent. The problem arises from\n\n This p<cursor_is_here>mshalpes.fr/agora/) adapted for the purposes of this volume. Thanks go to Stephen Rojcewicz for correcting my English, to Ioanna Papadopoulou for including it in the edition, and to Douglas Frame for his patience answering my questions.\n\nthe fact that the Greek Nestor, Neleus' son, combines the characteristic features of the Vedic twins, the Aśvinā or Nāsatyā, who are—like Nestor—horsemen 1 . Therefore, Frame searches in Greek texts for traces of Nestor's lost or hidden twin. He finds him in the person of Periklymenos, among the twelve Neleids whose names are given in Hesiod's fr. 33a 8-15. It is the narrative that Nestor conveys to Patroclus in Iliad 11 that contains, according to Frame, the key to his interpretation: seeing the Achaeans' distress in battle, the old man recalls the glorious episode of his youth in which, after a raid against the Eleans, he won his title Hippota, \"horseman\" or \"rider,\" even though he was fighting on foot. The Homeric formula associating the epithet Hippota with the proper name Nestor corresponds thus to the Vedic formula Aśvinā Nāsatyā.\n\nThere is a clear connection between Hippota Nestor and a previous book published by Frame (The Myth of Return in Early Greek Epic, Newhaven, 1978), where he links νόος, νοῦς with νόστος and its etymological family, thus with the myth of return which lies at the center of the Odyssey.\n\nThe second part is entirely devoted to Nestor's role in Homer, with a very careful and accurate analysis of all the episodes of the Iliad and the Odyssey where Nestor is mentioned, appropriately beginning with Iliad 11 in chapter 4, then dealing with Book 23 in chapter 5, Odyssey 3 and Iliad 8 in chapter 6, Odyssey 11 and the Phaeacians in chapter 7. Frame's sequence of presentation and analysis follows its own logical order rather than the chronology of the epic narration. Thus the succession of two episodes in the narrative of Iliad 11—a livestock raid and fighting—corresponds well to the twin myth structure featuring one brother focused on livestock and the other on war. This polarized structure is also found in Greek mythology in the Dioscuri myth. 2 Particularly\n\n1 Skr. Aśvin- and Greek hippo- stem from the same I.-E. word ekwo- while Nāsatyā derives from nes- as does Nestor (p.15) but both sets of words were formed differently in these languages.\n\n2 See the first part (1.56) on Castor and Polydeuces as horsemen saviors, 1.58 sq. on the distinction between Polydeuces, immortal son of Zeus, and Castor, mortal son of Tyndareus.\n\ninteresting is the analysis of the relationship between Nestor and Patroclus: Nestor helps Machaon, while Patroclus assists Eurypylos, both injured by the arrows of Paris (2.11, p. 121). The detailed analysis leads us to see in Achilles a parallel to Nestor's missing brother in the old warrior's own narrative: just as the death of his missing brother Periklymenos places Pylos at the mercy of the Eleians, 3 Achilles being absent from the war puts the Achaeans in great danger. In chapter 4, the parallel between young Nestor and Patroclus is further illustrated by the fact that Patroclus acquires the formulaic epithets ἱππεῦ and ἱπποκέλευθε when he enters the battle wearing Achilles' arms.\n\nIn Iliad 23 Nestor offers advice to his son Antilochos, who is about to take part in the chariot race during the funeral games in honor of Patroclus. According to Frame, this long speech to Antilochus is meant to evoke an old episode from his father's youth, so he begins his analysis from the end, with the speech that Nestor gives while receiving an honorary award from Achilles. Nestor recounts his defeat in a chariot race during the funeral games held in honor of king Amarynkeus: while he won all the other prizes, the chariot race went to the Epeian twins (identified through the dual form, Aktorione). Comparison with the narrative of Iliad 11 leads Frame to his central hypothesis: Iliad 23 alludes to the missed occasion to access the status of hippota. The victory in the chariot race went to the Epeian twins, because Nestor had not yet learned how to take the place of his own twin brother (2.19, p. 131). Frame pays great attention to the narration in Iliad 23 around the various competitors: Diomedes wins thanks to Athena's help (two against one), whereas Eumelos leads his team alone (2.32, p. 145); 4\n\n3 It seems to me necessary to correct \"at the mercy of the Epeians\" (p. 125) to \"Eleians.\" The typo mistake might arise from a confusion between the Eleians, enemies of the Pylians, and the Epeians of the following chapter, Nestor's competitors at Bouprasion. But see p. 48: \"[The Pylians] prey to their hostile neighbors to the north, the Epeians, who are identified in the story with the historical Eleians.\" For the author, the names are interchangeable (per litteras).\n\n4 Douglas Frame later remarks (2.54, p. 171, n. 69), that Achilles awards Eumelos a prize despite his\n\nthe race both associates and opposes Antilochos and Menelaos (2.35-42). At the end of his instructions to his son, Nestor draws Antilochos' attention to the sêma, that is, the final turning post he has to round, using the phrase οὐδέ σε λήσει, echoed later as οὐδέ σε λήθω when Nestor receives his honorary award. Frame interprets this repetition as a mark of irony; it can be read as a reference to the danger of the tactic recommended to Nestor's son, which is the reason as well for Nestor's own failure in the Bouprasion race, where he crashed at the finish line (2.42-49, p. 156-166). Thus, Nestor's discourse to Antilochos about mêtis is in fact old Nestor's ironic introspection (p. 169, in particular, n. 63). Chapter 5 closes with the relationship between the chariot race and the nostoi, already noted by Whitman. 5\n\nThe following chapter specifies the key role of Nestor in the nostoi: the relationship between Iliad 8 and Odyssey reverse: Diomedes saves Nestor in Iliad in Odyssey 3. More important, though, and more complex is the relationship between Nestor and Odysseus. It includes a negative aspect: Odysseus does not save Nestor in Iliad 8, nor does Nestor ensure Odysseus' return in Odyssey 3 (particularly 2.74-75, p. and warriors, and for Frame, the episode of Iliad 8 constitutes a revival of the twin myth. The second mention of Nestor in the Odyssey , in the Nekuia , is the subject of chapter 7, \" Odyssey 11 and the Phaeacians.\" This long chapter—102 pages—brilliantly elucidates the problems posed by the Catalogue of Heroines, whom Odysseus meets in\n\n3 is analyzed as revolving around this role, which justifies the etymology of Nestor's name, both the \"one who returns\" and the \"savior.\" Diomedes and Odysseus are the protagonists in the two cases, their actions mirrored in 8, and the reverse happens in the story narrated 199). The analogy between Nestor and Diomedes lies in the fact that both are horsemen\n\nfailure, connecting this with the mention in the Epitome of the Library that Eumelos won the chariot race at the funeral games of Achilles himself.\n\n5 C. H. Whitman, Homer and the Heroic Tradition, Cambridge MA, 1958.\n\nHades. A very detailed analysis of the structure of the Catalogue demonstrates that Nestor stays at its center through his mother Chloris and Neleus' mother Tyro. The Catalogue, interrupted at verses 330-332 of Book 11 by Odysseus himself, indicates the deeper reason of the recitation of the mythical genealogy focused on Nestor, with the repetition of the formula in 11.330, ποµπὴ δὲ θεοῖσ᾽ ὑµῖν τε µελήσει, echoed again in 11. 352-3, ποµπὴ δ᾽ ἀνδρεσσι µελήσει πᾶσι, µάλιστα δ᾽ ἐµοί. Another revealing repetition is Odyssey 3.410 and 6.11, about Neleus and Nausithoos, respectively: ἀλλ᾽ὁ µὲν ἤδη κηρὶ δαµεὶς Ἄϊδόσδε βεβήκει. It provides the important key that Nestor, son of Neleus, and Alkinoos, son of Nausithoos, are similarly \"homebringers\" (p. 244); both of them have a name stemming from the Indo-European root nes-. 6 If the Catalogue is actually centered on Nestor, the aim of the narrative by Odysseus in Book 11 is to persuade Alkinoos to undertake the role of savior that Nestor did not play for him. From this perspective, Book 3 gives the point of view of Nestor on his parting from Odysseus during the return from Troy, whereas Odysseus provides Alkinoos with a personal, if elliptical and diverted version: according to Frame this constitutes the answer to a question that Alkinoos asked his anonymous guest at Odyssey 8.581-586 (2.129, p. 273): what companion, dear as a brother, did Odysseus lose in Troy?\n\nWhy has all this not been understood prior to Frame's demonstration? The reason, according to the author, is that the Catalogue we read in Odyssey 11 has suffered various interpolations which hide the old structure by adding episodes and heroines who were not part of the original version. Frame does not make the assumption of interpolations lightly, as is well demonstrated by his interpretation of the episode of Tyro, Neleus' mother, the first heroine Odysseus meets in the Underworld (2. §135, p. 277 sq.). Odyssey 11.238-240 narrates that she was in love with the river Enipeus; verses\n\n6 Of course, their linguistic structure is different: Nestor is a name of agent directly derived from nes-, while Alki-noos is a compound name in which the second term is the word noos. The specific meaning of the compound is not clear.\n\n241-242 state that Poseidon took the form of Enipeus, while in the two following verses a wave as big as a mountain conceals their union. With the help of other sources, Frame shows that the text remains consistent even without the intrusion of Poseidon, which is due to the interpolation. Furthermore, he detects several other interpolations in this context and shows the ideological implications of these additions, always with the same deep insight: the ancient version gave Neleus a local origin, whereas the addition actually makes him a panhellenic hero (2. §141, p. 288). Among other additions to the ancient text, several are of Athenian origin. The ancient structure (clearly presented in a four-page table, including text and translation, p. 306-309) illuminates the construction and the parallels:\n\n<table><tr><td>Tyro (11 verses)<br />Antiope (6)<br />Alcmene (3)<br />Epikaste (2)</td><td> Chloris (10 verses) <br />Leda (7)<br />Iphimedea (4)<br />Maira, Clymene and Eriphyle (2)</td></tr></table>\n\nThe interpolation, however, has sought to preserve the structure (Catalogue B, same presentation, p. 314-317). In its old form the Catalogue is characterized as Ionian, which is for Frame a synonym for Homeric. Here Frame faces an open question, already stated by ancient commentators: Odyssey 11 explicitly states that Chloris and Neleus had three sons, Nestor, Chromios, and Periklymenos, while in Iliad 11 Nestor mentions the twelve sons of Neleus without giving their mother(s)' names. The solution is announced on the last page of the chapter, and it relates to the hypothesis of the intentional silence about Nestor's twin brother.\n\nThe third part of the book, appropriately entitled \"Athens,\" begins in an intriguing way with \"Arete and Nausicaa,\" the subject of chapter 8. The key here is the goddess Athena, whom we find again at the center of the following chapter, titled \"the City Goddess of Athens.\" The main focus here is the city in the Geometric period, whose remains are actually very scarce. Frame's hypothesis is that Athena, disguised as a\n\nyoung Phaiakian maiden who is leaving for \"Erechteus' palace\" in Athens at the very moment that Odysseus will enter Alkinoos' palace, reveals the fact that Arete's hidden identity is Athena Polias, spouse of Alkinoos and Erectheus, respectively. That the name of Arete derives from the root of *araomai, to pray (3.11, p. 351), and that Odysseus addresses himself to her as a supplicant corroborate this hypothesis (3.12, p. 352). Thus, the Nausicaa-Arete pair is, according to Frame, the incarnation of the double identity of Athena as virgin warrior and mother goddess. Athena in Athens is no longer a mother goddess after the Homeric period. In chapter 9, Frame makes a point to show clearly the difference between the goddess protector of the city of Athens in the Homeric period and the one interpolated in the Catalogue of Ships—probably by Solon himself—according to the author, who believes that this is the period (around 600 BC) where the Athenian representation of Athena shifts. This transformation includes Erechtheus and the myth of the birth of Erichthonios: in the ancient version of the myth, Erechtheus was probably simultaneously the son and the consort of Athena Polias. According to Frame this evolution reflects Solon's intention to make of Athens a military force. From this perspective, the Homeric Catalogue of Ships is part of an ingenious propaganda attempt.\n\nThe fourth part, titled \"Ionia,\" brings us back to the heart of important Homeric questions, which the author views through the roles of Neleus, Nestor, the twin myth, and Neleus' twelve sons (explicitly mentioned in the foundational episode of the fight against the Eleians in Iliad 11). The analysis seeks to prove that, rather than each of the brothers being the hero of one of the Panionian cities, it is the group of the Neleids as a whole that symbolizes the Panionian League. This narrative, as well as the idea of Panionism, was promoted by Miletus, where the leading family, who presided over the feasts of the Panionia, was specifically named the Neleids. It is in this context that the Homeric poems were developed in the 8th century alongside the Panionian League.\n\nThe fifth part, about Pylos, focuses as well on open Homeric questions, with chapter 12 on Iliad 11 and the location of the Homeric Pylos, and chapter 13 on the Homeric Hymn to Apollo and the text of Iliad 11. After reading parts 4 and 5, we understand better why the number of the sons of Neleus can lead to important insights about the birth of the poems and their historical context.\n\nSo far, I have focused on the content and methods of Frame's book. Nothing is missing in it. If I may suggest a broadening of the questions presented, it seems to me that the issue of the status of twins in Antiquity is captivating because they manifest both identity and difference: twins are at the same time similar and different. Ancient myths seem to inventory the possibilities opened by these surprising similarities.\n\nTwo books in French may contribute to such a broadening of perspective: Charles Malamoud's studies of Yama, the Vedic god of death, whose name means \"twin\" precisely. 7 His twin sister Yamī appears in the Vedas: one of the differences between the twins may be gender. They are born from Savarņyū and Vīvasvant, the Sun, and the Aśvin have the same parents in equine form. Yama is also associated with horses through several features. The twinship that defines Yama is reflected in the constant duality in the myths and rituals related to Yama.\n\nThe second book pertinent to the subject is an extensive study of twins (male and female) in Greek and Roman Antiquity. 8 The author, Véronique Dasen, cleverly inserts mythical twins into a broader ancient context, including scientific theories of conception and medical knowledge going back to the Hippocratic school. Leto's wandering before the birth of Apollo and Artemis and her difficulty finding a place to give birth may give an idea of the fears related to the delivery of twins. Twins were often thought to be the\n\n7 Charles Malamoud, Le Jumeau solaire, Paris, 2002 (La librairie du XXIe siècle, Éditions du Seuil).\n\n8 Véronique Dasen, Jumeaux, jumelles dans l'Antiquité grecque et romaine, Zürich, 2005 (Akanthus).\n\nresult of adultery, and were rejected by society. 9 Dasen convincingly highlights several features of twins: while Herakles and Iphikles symbolize difference without sharing, Castor and Polydeuces symbolize difference and sharing; Amphion and Zethos (the first is also a son of Zeus, the second is born from a mortal) symbolize compromise, together punishing Dirke, raising the walls of Thebes, and ruling, although their temperaments are opposite: Zethos carrying stone blocks with his bare hands, Amphion placing them by the magic of his music. However, twins most often present an example of turmoil: rivalry, violence, murder … Lykophron, for example, reports that Krisos and Panopeus were already struggling in their mother's womb. Pelias and Neleus, Acrisios and Proetos, Atreus and Thyestes, Eteokles and Polyneikes, and, of course, Romulus and Remus push the competition for power to its peak. Among the twins' skills: they can be distinguished horsemen, athletes, seamen; they foster abundance, fertility, and wealth.\n\nA relevant contemporary memoir addressing the sense of loss caused by the death of a twin is Jerôme Garcin's Olivier (Paris, Gallimard, 2011). In addition to describing the pain of losing his twin, Olivier, at age six, Garcin indicates assimilation of some of his twin's personality traits, so that \"je\" and \"tu\" eventually merge into \"nous\" (\"we\").\n\nReturning to Hippota Nestor, the characteristic polarization of the twins is emphasized by the case of the Dioskouroi, one devoted to livestock, the other to fighting. As Nestor combines both aspects of his twin and himself, since his twin brother died long ago, it seems impossible to analyze further the relationship with his missing brother, be it competitive or close. Nestor may have kept silent on any struggle with his twin, even on the possibility of being responsible for his death.\n\n9 See particularly the analysis of the scenes represented on the columns of the temple of Cyzicus, now destroyed but described in the Palatine Anthology (pp. 101-103). Most of the pictures show actions by twins in saving their mother, among them Neleus and Pelias in reference to their mother Tyro, whom her father Salmoneus kept chained.\n</text>\n", "role": "user" }, { "content": "aper is a revision of my review of Hippota Nestor (published online at https://homerica.", "role": "assistant" } ]
Chapter 9 UTILITIES Introduction For this discussion, utilities include all public or private service lines or equipment and railroads. Highways and utilities share the common purpose of public service and in many cases they share the same corridor. Utilities can be a controlling factor in the design of an infrastructure project, and, therefore, are an important consideration. Utilities transport or deliver power, communications, gas or liquids, and rail (freight and passengers). Their size or load varies for long-distance transmission lines (service connections between Urban/Metropolitan areas) and shorter-distance distribution lines (locally controlled customer service). These facilities can also include substations, pumping stations, metering stations, siphons, and other appurtenances. It is usually much easier to deal with the rearrangement of a distribution facility than a transmission facility due to cost factors, massive structures affected, and potential for widespread service interruptions. The designer should consult with the Utilities Engineer/Coordinator and be aware of the differences early in project development. Long distance transmission lines are usually located within utility-owned easements, while shorter distance distribution facilities usually share highway rights-of-way or private property in densely developed locations with few options for rearrangement. The procedures for administering utility matters are outlined in the Utility Accommodation Manual [UAM (1)] published by the New Hampshire Department of Transportation (NHDOT). This guide applies to alterations, construction, and licensing of public or private utilities on any highway under the jurisdiction of the NHDOT Commissioner. The UAM (1) also applies to compact areas wherein local governments may grant the NHDOT temporary jurisdiction through agreement. The UAM (1) designates appropriate responsibility, minimum standards, reimbursement regulations, and licensing procedures for new or adjusted utilities. Utility work performed outside the timeframe of a State construction contract requires the utility to coordinate with, and obtain a permit from the Bureau of Highway Maintenance and/or Turnpikes. Relocated utility poles generally require a new pole license from the Bureau of Highway Maintenance and/or Turnpikes. This chapter will provide the designer with an overview of the utility coordination process. The UAM (1) describes the working procedures and details in accordance with the requirements of State Statue and Federal-aid regulations/laws. Title 23 Code of Federal Regulations (CFR) 645 – Utilities and 646 – Railroads (2) prescribes the policies, procedures, and reimbursement provisions for the adjustment, relocation, and accommodation of utility facilities on Federal-aid and direct Federal projects and the policies, and procedures for advancing Federal-aid projects involving railroad facilities. General Almost all projects will have utility facilities located within the project limits. Utility adjustments may not be necessary, but it is still necessary to show the utility on the plans and notify the utility owner of proposed work even if no adjustment is anticipated. Early coordination is crucial between the utility, the project designers, the Bureau of Construction, the Bureau of Right-of-Way, and Design Services - Utilities Section. The Utility Coordinator, in coordination with the project designers, will evaluate utility impacts and identify the extent of the work needed by the NHDOT or the utility. It is preferred to avoid impacts to utilities if possible. Jurisdiction Utility ownership varies with purpose and jurisdiction. Major utility companies extend across state lines, but they must comply with the regulations of the local jurisdiction. Utilities may also be wholly owned and administered by a municipality. Control of public utilities is exercised by the Public Utilities Commission (PUC) of the State of New Hampshire, exceptions being municipally-owned utilities within municipal boundaries or urban compacts, in accordance with RSA 362:4 and RSA 362:4-a, cable television facilities, and some minor privately owned utility facilities. The PUC regulates activities of utilities defined in RSA 362:2. Pursuant to RSA 363:17-a, the PUC acts as the arbitrator between the interests of the customer and the interests of the regulated utility. A utility that occupies State Rights-of-Way does so under sufferance with the expressed or implied permission of the State. Instances of prior ownership sometimes arise, but such conditions are rare. Locations of facilities within the State's Rights-of-Way are subject to Department approval, which provides the utility with assurance that its plan complies with highway standards. Information about programmed highway projects that may impact existing utilities and/or affect new utility work is provided by the NHDOT. Reimbursement Typically, the utility will be responsible for the costs of the relocation of their facilities. There are circumstances where the utility is eligible for reimbursement of relocation costs under State Statue and/or Federal-aid regulations/laws. The primary basis for the determination is for the first party to have a compensable interest in the area of concern, or to be the party that has the prior or senior right. If the utility has prior rights, it is eligible for compensation. Each case must also be evaluated to determine if either party has ever sold or relinquished their rights by some other means. Some companies have voluntarily relinquished easement rights and relocated their facilities out of their easements and into a highway Right-of-Way. In such cases, the NHDOT is not liable for any subsequent relocation costs. Where the circumstances are not clear regarding the eligibility for reimbursement of relocation costs, it may be necessary to seek evaluation and a legal opinion from the State's Attorney General's Office. Preliminary engineering, construction engineering and inspection for facilities eligible for the full reimbursement of relocation costs are also reimbursable. A. Typically, reimbursement for relocations is allowed under the following situations: 1. The facility occupies private property by rights granted to the owner of the utility by an easement; or the utility owns the property. 2. The facility occupies a highway Right-of-Way where the utility had the right of easement prior to the acquisition of the Right-of-Way by the State or Municipality or prior to 1905 when the Department was incorporated, and the utility has not been compensated for easement rights. 3. The facility occupies a highway Right-of-Way and the right of easement was reserved to the utility in the highway return of layout. 4. A municipally-owned utility is located within the Right-of-Way of a street or road owned by the municipality, provided that the utility is not required by law to relocate its facilities at its own expense. 5. The Attorney General's Office issues an opinion obligating the State to bear any or all costs of relocation. 6. The facility is located on US Government land such as Forest Service with a permit or lease. The Federal agency may participate - see - Title 23 CFR 660. 7. A utility other than power, telephone, railroad, or cable television claims rights by adverse possession (or prescriptive right) (this requires Attorney General's opinion). 8. Municipally-owned subterranean (underground) utility facilities that are required to be relocated on a project funded in whole or in part by state funds are eligible for partial reimbursement in accordance with RSA 228:22 (trenching and backfilling cost of relocated facility, and book value (original cost less allowable depreciation) of the retired facility). This applies to locations where a municipal utility does not qualify for full reimbursement under items 1 or 4 above. Note: Hydrants are not considered an underground facility; however plumbing to a hydrant can be included in the book value. If any portion of a service line is owned by the municipal utility, that portion would be eligible for participation by the State. 9. The structural framing for support of utility facilities on the construction and reconstruction of bridges are project costs (maximum spacing as required by the utility for their facility, with final spacing to be determined by the Department as appropriate for the particular bridge). Specifically, intermediate K-frames, holes through K-frames for hangers and rollers, blockouts through bridge backwalls, sleeves through the backwall and over or under approach slabs (and extending 5' beyond), and reinforcing steel modification for blockouts and sleeves through backwalls are included. B. Generally, other situations are not eligible for reimbursement and the utility will be responsible for costs of the relocations of their facilities if: 1. The facility, other than municipally-owned, is located in the highway Right-of-Way with or without permit or license. 2. Power, telephone, communications or cable television facilities are located on private property without easement or ownership of property. 3. A municipally owned above ground utility is located in the State owned Right-ofWay without: a) An easement, or b) Reservation of easement in return of layout. 4. A utility facility is located on private property with a lease or rental agreement and the property is acquired for highway Right-of-Way (some cases may require the opinion of the Attorney General). 5. The Attorney General's Office issues an opinion obligating the utility to bear all costs. 6. Conduits and/or pipe lines on bridges and supplemental supports, including supporting mechanisms, such as hangers, rollers, alignment guides, and inserts, are attached to structural framing of bridges, or within Department supplied sleeves (except as noted in part A-9 above). Also the access facilities (cat walks, ladders or special ramps) for conduits and/or utilities on bridges and all Preliminary and Construction Engineering. All designs are to be coordinated with the Department. 7. Inspection of all service connections where they are not impacted by the Department's required construction. Responsibility Utility The utility has the responsibility for complying with local, State and Federal laws and regulations of the USDOT (FHWA), PUC, the State, the NHDOT, and associations that sponsor national safety codes. Applicable codes or standards recognized by the State include, but are not limited to, the following: - National Electrical Safety Code; - American Water Works Association Standards and Specifications; - ANSI Standard Code for Pressure Piping of the American National Standards Institute: ANSI B 31.1, Power Piping; ANSI B 31.3, Petroleum Refinery Piping; ANSI B 31.4, Liquid Petroleum Transportation Piping Systems; ANSI B 31.8, Gas Transmission and Distribution Piping Systems; - Recommended Practice for Liquid Petroleum Pipelines Crossing Railroads and Highways by the American Petroleum Institute; - Natural Gas Pipeline Safety Act of 1968 as amended; and, - Title 23 (CFR) Part 645 for Utilities and Part 646 for Railroads (2), and Title 49 (CFR) as amended. The utility is obligated to provide plans, estimates, reviews, field locations, and liaison personnel to work with the Design Services - Utilities Section of the Bureau of Highway Design as noted in the Procedure Section, below. Design Coordination The Design Services - Utilities Section staff, or designated consultant, provides the coordination between the utility companies and designers within Project Development (including the Bureaus of Highway Design, Bridge Design, Rail & Transit, and Aeronautics),Operations (including Highway Maintenance, Bridge Maintenance, Traffic, and Transportation Systems Management and Operations), Turnpikes, and the Department of Administrative Services (Bureau of Public Works) which may deal with utility issues. The Design Services - Utilities Section maintains contact with affected utility companies. Information transfer, conferences, or other meetings should not be arranged without the presence or advice of one of the Utilities Engineers. The Design Services - Utilities Section is responsible for the following activities: - Obtaining utility information as needed; - Coordinating utility issues on infrastructure projects including all contacts with utility owners, railroads, and other involved government agencies and the project design team; - Designing temporary and permanent lighting; - Reviewing utility and railroad adjustment and/or relocation arrangements; - Determining liability for adjustment and/or relocation costs; - Preparing and/or reviewing estimates related to utilities or railroads; - Preparing Force Account agreements; - Preparing Use and Occupancy agreements; - Processing reimbursement invoices; - Construction coordination; and, - Modernization, reconstruction, or elimination of railroad at-grade crossings, bridges, sidings, corridors and signals. The designer is responsible for furnishing plans and project information to the Design Services - Utilities Section for coordination purposes as soon as plans are available. The scheduling guidelines and flow diagram in the appendices of this chapter show the coordination work necessary to properly process utility verifications, adjustments and relocations. Considerable lead-time is usually required to coordinate utility relocations, particularly when force account agreements are necessary (see the "Procedure" section below). The flow diagrams in Chapter 2, Project Development, show the integration of utility coordination into the project development process. Bureau of Construction Bureau of Construction involvement begins early in the project development utility and railroad coordination process, becoming the total responsibility of the Bureau of Construction at the preconstruction conference where the Contractor, the Contract Administrator, utilities, and/or railroad representatives, and Utility Coordinators meet with the District Construction Engineer to review project requirements and schedules of operation. In addition to construction inspections, the Construction Contract Administrator monitors utility force account work and receives periodic utility reports from the utility if the work is reimbursable. Bureau of Right-of-Way The relocation of utility facilities that exist on private property are reimbursed in accordance with Right-of-Way Relocation requirements. The Bureau of Right-of-Way is responsible for the relocation negotiation. The Utilities Section will assist in the coordination and will review cost estimates and agreements, as requested. See Chapter 10 – Right-Of-Way, for additional information. Procedure Highway Projects The flow diagram (Appendix 9-1) shows the related activities required for utility coordination. When the scope of work for a project has been defined (with or without conceptual design), the Designer must meet with the Utilities Engineer/Coordinator to discuss the utility concerns and determine the number of sets of plans needed to begin the coordination process. As the project develops, all known utilities must be shown on the plans and cross-sections. Refer to the UAM (1) and to Volume 2 of this Manual for the preferred symbols and plan format. As projects progress, it is the responsibility of the Design Team or the Consultant Design Reviewer to keep the Design Services - Utilities Section informed of progress. It is the responsibility of the Utilities Engineer, through the Utility Coordinator, to keep the Designer informed of utility involvement. When all existing utilities have been shown on the plans and cross sections, along with other design features such as drainage, pavement structure (top and bottom template), structure base courses, etc., the information should be reviewed with the Design Services - Utilities Section to determine conflicts and their potential resolutions. Changes from the original concepts should also be reviewed with the Design Services Utilities Section. The Designer, together with the Utility Coordinator, prepares the list of unresolved conflicts between the individual utility and the proposed design as shown on the approved Slope & Drain plans. Relocation request documents consisting of a letter describing the potential conflicts and reimbursement (if applicable) with a specific return date, and approved Slope & Drain plans and cross-sections with conflicts highlighted, are sent to individual utilities. Relocation plans are reviewed for conflict resolution in accordance with State policies in the UAM (1) and, when approved, are forwarded to the Designer for incorporation into the project documents. The project area will be reviewed for both permanent and temporary lighting needs and necessary lighting designed after receipt of approved aerial relocation plans, any signal designs, and traffic control plans. See "Lighting" below for more details. A Utility Agreement is required between the State and utilities affected by the proposed project that either receive or provide reimbursement for utility relocations or improvements. Each agreement describes the scope of the work involved, special handling required, and the method and extent of reimbursement for work performed (usually on a force account basis). On all projects, copies of executed Utility Agreements are provided to the Design Team or Consultant Design Reviewer, Bureau of Construction and Bureau of Finance & Contracts and attached to the project in the Department's Project Management Information System. Funding must be authorized by FHWA before the utility is authorized to perform work. On FHWA Oversight projects (see NHDOT and USDOT-FHWA Stewardship Agreement), all utility agreements must be reviewed, and approved before funding will be authorized by FHWA. The utility relocation work to be performed by the State's Contractor shall be shown on the design plans. In instances where the utility/municipality hires a separate engineering firm to complete the design of the relocated/new facility, the proposed utility work is shown on the project construction plans with separate utility construction plans and details attached to the back of the project plan set, after the cross-sections. A Use and Occupancy Agreement, or Amendment to a Use and Occupancy Agreement, may be required for utility relocations within the Limited Access Right-of-Way and Controlled Access Right-of-Way with freeway characteristics. Longitudinal facilities within the Limited Access Right-of-Way are not allowed unless an exception is granted by the Commissioner. On all projects, a Utility & Railroad Certificate is provided to the Design Team or Consultant Design Reviewer as an attachment to the Department's Project Management Information System. The Utility & Railroad Certificate lists all companies affected, whether the required work is to be reimbursable to the companies involved or not, and notes that all utility work will be coordinated with the physical construction of the project or it indicates no utility/railroad impacts are anticipated. On FHWA Oversight projects (see NHDOT and USDOT-FHWA Stewardship Agreement), the Utility & Railroad Certificate together with copies of the design plans, proposals, estimates, and required permits, is transmitted to FHWA at least two (2) weeks prior to the advertising of a project, for review, and documentation. Lighting The lighting design for a highway facility, either permanent or temporary, is the responsibility of the Design Services - Utilities Section with some standardized temporary lighting layouts. Lighting is designed in accordance with the Roadway Lighting Design Guide (3), and Roadway Lighting Handbook (4), and the NHDOT Highway Lighting Design Manual (5). Permanent Lighting installations are typically included with the highway contract, but in some cases there may be individual lighting projects. They may be built by contract, by utility forces, or in some instances by State forces. Municipalities may request individual lighting and/or have their lighting incorporated into the highway contract. In both cases all operating charges are the responsibility of the municipality. For individual lighting projects, associated materials and installation costs are the responsibility of the Municipality. For lighting projects incorporated into a highway contract, the Design Services - Utilities Section reviews the request containing plans, traffic volumes and accident histories and determines if the highway facility warrants lighting. If so, the State will participate in the lighting system up to the cost value of the NHDOT's standard highway lighting specifications except if a municipal lighting policy is in effect. Special lighting (ornamental) costs beyond that value, or costs for lighting that is not warranted, are borne by the Municipality. In most cases, for standard highway lighting, ownership and maintenance of the lighting system is turned over to the area's franchised power company with the operating costs paid by the State. For ornamental lighting, that responsibility and cost is borne by the Municipality and in some cases, the NHDOT's Highway Maintenance District or Turnpikes. Temporary Temporary lighting is designed or reviewed by the Design Services - Utilities Section on all highway projects to assist the motorists in safely navigating through the construction area. The design of temporary lighting is determined by the Traffic Control Plans (maintenance of traffic during construction) and construction phasing sequence considering alignment changes, lane widths, hazardous obstacles near the traveled ways and traffic volumes. The installation, maintenance, and removal of temporary lighting is included in the contract. State Force Account Projects Utility companies involved in projects constructed by State forces coordinate their work with the Highway Maintenance District Engineer or Turnpikes. The same laws and regulations apply to the procedure except that the highway work is performed by State forces and not by a contractor. Railway-Highway Grade Crossing Projects The Federally sponsored Railway-Highway Grade Crossing Program enables safety improvements to at-grade crossings. The State has an inventory of at-grade crossing locations listed by priority ranking as an aid to the selection of Federal-Aid projects. The priority ranking is established by combining information from the evaluation of field conditions, which includes drainage, rail and roadway surface conditions, sight distance, track geometry, roadway alignment, and ride quality with vehicle volumes, train frequency, and input from railroads, municipalities, State maintenance forces, police accident reports, and the public. All Railway-Highway at-grade-crossing safety improvements are coordinated by the Railroad Coordinator. Railway-highway sight distance problems are discussed in Chapters 3 and 4. In New Hampshire, it is frequently difficult to assure an adequate sight distance triangle, therefore the designer usually relies upon traffic control devices to provide adequate safety. Railway-highway at-grade crossing projects require the same plan development process and utility coordination efforts as the more common highway projects. Railroads prefer to have the road closed to traffic when at-grade crossings are reconstructed. This preference should be considered in the development of the Traffic Control Plan (TCP). Railway Grade Separation A grade separation is the safest method of accommodating both highway and railroad traffic movements. It is also the most expensive. Justification is based on warrants that take into account the traffic volumes, accident history, potential hazard of the location, and other factors. Arrangements for grade separations sometimes require an adjudicatory hearing to resolve issues between the NHDOT and the railroad. See Chapter 3 for vertical clearance to be maintained for grade separations. Utility or Railroad Force Account Projects These are projects where all construction is performed or contracted by the utility or railroad. A Force Account Agreement is a contract between the State and a utility or railroad for the utility or railroad to perform work using its own forces or its contractor's forces. The agreement describes the scope of the work involved, special handling required, and method and extent of reimbursement for the work performed. Location and Design Utility and railroad facilities are usually located and designed by the owners, subject to approval by the State and FHWA if they affect highway operations. Highway lighting and parking area lighting for State projects are usually designed by the Design Services - Utilities Section, coordinating with others in the NHDOT. The UAM (1) Sections IV through IX are the criteria to use in checking existing or proposed locations for compliance with the State requirements for utilities within the Right-of-Way. In addition to the material contained in the UAM (1), the following are useful designer references: - Title 23 (CFR) Part 645 - Utilities and Part 646 - Railroads (2) , - Roadway Lighting Design Guide (3) , - Roadway Lighting Handbook (4) , - NHDOT Highway Lighting Design Manual (5) , - Highway / Utility Guide (6), - Manual on Uniform Traffic Control Devices (MUTCD) (8), - Railroad-Highway Grade Crossing Handbook (9), and - Order 5060.1, FHWA Policy on Agency Force Account Use (10). Subsurface Utility Engineering (SUE) Design Services – Utilities Section administers a Subsurface Utility Engineering (SUE) program consistent with the "Standard Guideline for the Collection and Depiction of Existing Subsurface Utility Data" (7) intended to manage the risks associated with the reliability of information on existing subsurface utility facilities on active Department projects. NHDOT's SUE Program employs established procedures and engineering technologies to provide information as to the accuracy (quality) of the horizontal and vertical locations of existing underground utility infrastructure. The implementation of SUE may be appropriate for certain Department projects where enhanced location information of existing subsurface utility facilities are determined to be essential for the design and construction of road improvement and widening projects. The following Quality Levels for existing utility information can be found on Department project utility plans where SUE (see, Appendix 9-1, Utility/Railroad Coordination Process Flow Diagram for the phase to implement specific investigations) has been employed: a. Quality Level "D" (Records Research) Information – Information derived through existing records or oral recollections. This also includes an in-field visual site inspection to verify credibility of such records. Quality Level "D" is typically applied when it is necessary for the designer to make broad decisions about route selection, purchasing right-of-way, or producing/requesting a higher level of data. This level of information is typically recommended during a project's concept development phase. b. Quality Level "C" (Survey) Information – Information obtained to indicate the presence of approximate horizontal location of underground utilities by surveying visible above-ground utility features, such as manholes, valve boxes, posts, etc., and by using professional judgment, correlating this information with existing utility records (Quality Level "D"). Quality Level "C" is typically used on rural projects and is recommended when preliminary design begins and project mapping and survey control have been established. c. Quality Level "B" (Designating) Information – Information obtained to indicate the presence and approximate horizontal location of underground utilities using geophysical prospecting techniques, including electromagnetic, magnetic, sonic, or other energy fields. The data obtained from these methods should be reproducible by surface geophysics at any point of their depiction. This level of information is used by the designer to make educated decisions on where to place storm drainage systems, footings or foundations to avoid conflicts with existing utility facilities. Quality Level "B" is typically used on urban type projects and is recommended when preliminary design begins and project mapping and survey control have been established. d. Quality Level "A" (Locating) Information – Information to obtain the precise horizontal and vertical position of the utility line by excavating a test hole. The test holes shall be done using vacuum excavation or comparable nondestructive equipment in a manner as to cause no damage to the utility line. This level of information provides three-dimensional mapping of specific conflict areas needed for final design and utility placement decisions that could result in significant cost 9—10 savings for the project. Quality Level "A" is recommended after the Preliminary Field Plan Review, ideally following a Utility Impact Analysis. Traffic Control Public safety is a primary consideration in all highway operations. The utility companies and railroads are just as responsible for safe maintenance of traffic through their work areas, as roadway contractors are for maintenance of traffic through their work areas. Projects designed by the Design Services - Utilities Section, or designated consultant, will include a TCP developed by the Utilities Engineer and coordinated with the Chief of Final or Consultant Design. 9—11 References: 1. New Hampshire Department of Transportation (NHDOT), Utility Accommodation Manual, NHDOT, 7 Hazen Drive, Concord, NH, February 2010; 2. U.S. Government Printing Office, Code of Federal Regulations (CFR) Title 23, Highways, Part 645 - Utilities and Part 646 – Railroads, Washington, DC, (Latest Edition). 3. American Association of State Highway and Transportation Officials (AASHTO), Roadway Lighting Design Guide, AASHTO, 444 North Capitol Street, NW, Suite 249, Washington, DC, October 2005; 4. Federal Highway Administration (FHWA), Roadway Lighting Handbook, FHWA, Washington, DC, August 2012; 5. New Hampshire Department of Transportation (NHDOT), Highway Lighting Design Manual, NHDOT, 7 Hazen Drive, Concord, NH, December 2010; 6. Federal Highway Administration (FHWA), Highway / Utility Guide, FHWA, Washington, DC, June 1993; 7. American Society of Civil Engineers (ASCE), Standard Guidelines for the Collection and Depiction of Existing Subsurface Utility Data, ASCE, Reston, VA 8. Federal Highway Administration (FHWA), Manual on Uniform Traffic Control Devices (MUTCD,) FHWA, Washington, DC, May 2012; 9. Federal Highway Administration (FHWA), Railroad-Highway Grade Crossing Handbook, FHWA, Washington, DC, August 2007; and 10. Federal Highway Administration (FHWA),Order 5060.1,FHWA Policy on Agency Force Account Use FHWA, Washington, D.C., March 2012, APPENDICES 9-1 Utility (Including Railroad) Coordination Process Flow Diagram 9-2 Utility Coordination Process (Scheduling Guidelines) 9-3 Force Account Agreement Process Flow Diagram 9-4 Utility Request (Includes Lighting Design Request) 9-5 Utility & Railroad Certificate (template) 9—12	<urn:uuid:f68115f6-3b22-457e-bccb-a46ff315cc4c>	CC-MAIN-2022-27	https://www.nh.gov/dot/org/projectdevelopment/highwaydesign/designmanual/documents/ch09_00_chapter_2014.pdf	2022-06-30T06:50:08+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-27/subset=warc/part-00292-48f675b2-7fd4-43af-adb3-2a4ea7f82193.c000.gz.parquet	967,019,101	5,966	eng_Latn	eng_Latn	0.926036	eng_Latn	0.98989	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2950, 6179, 9231, 11130, 13656, 16593, 19994, 23109, 25673, 29170, 29813, 31490 ]	Chapter 9 UTILITIES Introduction For this discussion, utilities include all public or private service lines or equipment and railroads. Highways and utilities share the common purpose of public service and in many cases they share the same corridor. Utilities can be a controlling factor in the design of an infrastructure project, and, therefore, are an important consideration. Utilities transport or deliver power, communications, gas or liquids, and rail (freight and passengers). Their size or load varies for long-distance transmission lines (service connections between Urban/Metropolitan areas) and shorter-distance distribution lines (locally controlled customer service). These facilities can also include substations, pumping stations, metering stations, siphons, and other appurtenances. It is usually much easier to deal with the rearrangement of a distribution facility than a transmission facility due to cost factors, massive structures affected, and potential for widespread service interruptions. The designer should consult with the Utilities Engineer/Coordinator and be aware of the differences early in project development. Long distance transmission lines are usually located within utility-owned easements, while shorter distance distribution facilities usually share highway rights-of-way or private property in densely developed locations with few options for rearrangement. The procedures for administering utility matters are outlined in the Utility Accommodation Manual [UAM (1)] published by the New Hampshire Department of Transportation (NHDOT). This guide applies to alterations, construction, and licensing of public or private utilities on any highway under the jurisdiction of the NHDOT Commissioner. The UAM (1) also applies to compact areas wherein local governments may grant the NHDOT temporary jurisdiction through agreement. The UAM (1) designates appropriate responsibility, minimum standards, reimbursement regulations, and licensing procedures for new or adjusted utilities. Utility work performed outside the timeframe of a State construction contract requires the utility to coordinate with, and obtain a permit from the Bureau of Highway Maintenance and/or Turnpikes. Relocated utility poles generally require a new pole license from the Bureau of Highway Maintenance and/or Turnpikes. This chapter will provide the designer with an overview of the utility coordination process. The UAM (1) describes the working procedures and details in accordance with the requirements of State Statue and Federal-aid regulations/laws. Title 23 Code of Federal Regulations (CFR) 645 – Utilities and 646 – Railroads (2) prescribes the policies, procedures, and reimbursement provisions for the adjustment, relocation, and accommodation of utility facilities on Federal-aid and direct Federal projects and the policies, and procedures for advancing Federal-aid projects involving railroad facilities. General Almost all projects will have utility facilities located within the project limits. Utility adjustments may not be necessary, but it is still necessary to show the utility on the plans and notify the utility owner of proposed work even if no adjustment is anticipated. Early coordination is crucial between the utility, the project designers, the Bureau of Construction, the Bureau of Right-of-Way, and Design Services - Utilities Section. The Utility Coordinator, in coordination with the project designers, will evaluate utility impacts and identify the extent of the work needed by the NHDOT or the utility. It is preferred to avoid impacts to utilities if possible. Jurisdiction Utility ownership varies with purpose and jurisdiction. Major utility companies extend across state lines, but they must comply with the regulations of the local jurisdiction. Utilities may also be wholly owned and administered by a municipality. Control of public utilities is exercised	by the Public Utilities Commission (PUC) of the State of New Hampshire, exceptions being municipally-owned utilities within municipal boundaries or urban compacts, in accordance with RSA 362:4 and RSA 362:4-a, cable television facilities, and some minor privately owned utility facilities.	The PUC regulates activities of utilities defined in RSA 362:2. Pursuant to RSA 363:17-a, the PUC acts as the arbitrator between the interests of the customer and the interests of the regulated utility. A utility that occupies State Rights-of-Way does so under sufferance with the expressed or implied permission of the State. Instances of prior ownership sometimes arise, but such conditions are rare. Locations of facilities within the State's Rights-of-Way are subject to Department approval, which provides the utility with assurance that its plan complies with highway standards. Information about programmed highway projects that may impact existing utilities and/or affect new utility work is provided by the NHDOT. Reimbursement Typically, the utility will be responsible for the costs of the relocation of their facilities. There are circumstances where the utility is eligible for reimbursement of relocation costs under State Statue and/or Federal-aid regulations/laws. The primary basis for the determination is for the first party to have a compensable interest in the area of concern, or to be the party that has the prior or senior right. If the utility has prior rights, it is eligible for compensation. Each case must also be evaluated to determine if either party has ever sold or relinquished their rights by some other means. Some companies have voluntarily relinquished easement rights and relocated their facilities out of their easements and into a highway Right-of-Way. In such cases, the NHDOT is not liable for any subsequent relocation costs. Where the circumstances are not clear regarding the eligibility for reimbursement of relocation costs, it may be necessary to seek evaluation and a legal opinion from the State's Attorney General's Office. Preliminary engineering, construction engineering and inspection for facilities eligible for the full reimbursement of relocation costs are also reimbursable. A. Typically, reimbursement for relocations is allowed under the following situations: 1. The facility occupies private property by rights granted to the owner of the utility by an easement; or the utility owns the property. 2. The facility occupies a highway Right-of-Way where the utility had the right of easement prior to the acquisition of the Right-of-Way by the State or Municipality or prior to 1905 when the Department was incorporated, and the utility has not been compensated for easement rights. 3. The facility occupies a highway Right-of-Way and the right of easement was reserved to the utility in the highway return of layout. 4. A municipally-owned utility is located within the Right-of-Way of a street or road owned by the municipality, provided that the utility is not required by law to relocate its facilities at its own expense. 5. The Attorney General's Office issues an opinion obligating the State to bear any or all costs of relocation. 6. The facility is located on US Government land such as Forest Service with a permit or lease. The Federal agency may participate - see - Title 23 CFR 660. 7. A utility other than power, telephone, railroad, or cable television claims rights by adverse possession (or prescriptive right) (this requires Attorney General's opinion). 8. Municipally-owned subterranean (underground) utility facilities that are required to be relocated on a project funded in whole or in part by state funds are eligible for partial reimbursement in accordance with RSA 228:22 (trenching and backfilling cost of relocated facility, and book value (original cost less allowable depreciation) of the retired facility). This applies to locations where a municipal utility does not qualify for full reimbursement under items 1 or 4 above. Note: Hydrants are not considered an underground facility; however plumbing to a hydrant can be included in the book value. If any portion of a service line is owned by the municipal utility, that portion would be eligible for participation by the State. 9. The structural framing for support of utility facilities on the construction and reconstruction of bridges are project costs (maximum spacing as required by the utility for their facility, with final spacing to be determined by the Department as appropriate for the particular bridge). Specifically, intermediate K-frames, holes through K-frames for hangers and rollers, blockouts through bridge backwalls, sleeves through the backwall and over or under approach slabs (and extending 5' beyond), and reinforcing steel modification for blockouts and sleeves through backwalls are included. B. Generally, other situations are not eligible for reimbursement and the utility will be responsible for costs of the relocations of their facilities if: 1. The facility, other than municipally-owned, is located in the highway Right-of-Way with or without permit or license. 2. Power, telephone, communications or cable television facilities are located on private property without easement or ownership of property. 3. A municipally owned above ground utility is located in the State owned Right-ofWay without: a) An easement, or b) Reservation of easement in return of layout. 4. A utility facility is located on private property with a lease or rental agreement and the property is acquired for highway Right-of-Way (some cases may require the opinion of the Attorney General). 5. The Attorney General's Office issues an opinion obligating the utility to bear all costs. 6. Conduits and/or pipe lines on bridges and supplemental supports, including supporting mechanisms, such as hangers, rollers, alignment guides, and inserts, are attached to structural framing of bridges, or within Department supplied sleeves (except as noted in part A-9 above). Also the access facilities (cat walks, ladders or special ramps) for conduits and/or utilities on bridges and all Preliminary and Construction Engineering. All designs are to be coordinated with the Department. 7. Inspection of all service connections where they are not impacted by the Department's required construction. Responsibility Utility The utility has the responsibility for complying with local, State and Federal laws and regulations of the USDOT (FHWA), PUC, the State, the NHDOT, and associations that sponsor national safety codes. Applicable codes or standards recognized by the State include, but are not limited to, the following: - National Electrical Safety Code; - American Water Works Association Standards and Specifications; - ANSI Standard Code for Pressure Piping of the American National Standards Institute: ANSI B 31.1, Power Piping; ANSI B 31.3, Petroleum Refinery Piping; ANSI B 31.4, Liquid Petroleum Transportation Piping Systems; ANSI B 31.8, Gas Transmission and Distribution Piping Systems; - Recommended Practice for Liquid Petroleum Pipelines Crossing Railroads and Highways by the American Petroleum Institute; - Natural Gas Pipeline Safety Act of 1968 as amended; and, - Title 23 (CFR) Part 645 for Utilities and Part 646 for Railroads (2), and Title 49 (CFR) as amended. The utility is obligated to provide plans, estimates, reviews, field locations, and liaison personnel to work with the Design Services - Utilities Section of the Bureau of Highway Design as noted in the Procedure Section, below. Design Coordination The Design Services - Utilities Section staff, or designated consultant, provides the coordination between the utility companies and designers within Project Development (including the Bureaus of Highway Design, Bridge Design, Rail & Transit, and Aeronautics),Operations (including Highway Maintenance, Bridge Maintenance, Traffic, and Transportation Systems Management and Operations), Turnpikes, and the Department of Administrative Services (Bureau of Public Works) which may deal with utility issues. The Design Services - Utilities Section maintains contact with affected utility companies. Information transfer, conferences, or other meetings should not be arranged without the presence or advice of one of the Utilities Engineers. The Design Services - Utilities Section is responsible for the following activities: - Obtaining utility information as needed; - Coordinating utility issues on infrastructure projects including all contacts with utility owners, railroads, and other involved government agencies and the project design team; - Designing temporary and permanent lighting; - Reviewing utility and railroad adjustment and/or relocation arrangements; - Determining liability for adjustment and/or relocation costs; - Preparing and/or reviewing estimates related to utilities or railroads; - Preparing Force Account agreements; - Preparing Use and Occupancy agreements; - Processing reimbursement invoices; - Construction coordination; and, - Modernization, reconstruction, or elimination of railroad at-grade crossings, bridges, sidings, corridors and signals. The designer is responsible for furnishing plans and project information to the Design Services - Utilities Section for coordination purposes as soon as plans are available. The scheduling guidelines and flow diagram in the appendices of this chapter show the coordination work necessary to properly process utility verifications, adjustments and relocations. Considerable lead-time is usually required to coordinate utility relocations, particularly when force account agreements are necessary (see the "Procedure" section below). The flow diagrams in Chapter 2, Project Development, show the integration of utility coordination into the project development process. Bureau of Construction Bureau of Construction involvement begins early in the project development utility and railroad coordination process, becoming the total responsibility of the Bureau of Construction at the preconstruction conference where the Contractor, the Contract Administrator, utilities, and/or railroad representatives, and Utility Coordinators meet with the District Construction Engineer to review project requirements and schedules of operation. In addition to construction inspections, the Construction Contract Administrator monitors utility force account work and receives periodic utility reports from the utility if the work is reimbursable. Bureau of Right-of-Way The relocation of utility facilities that exist on private property are reimbursed in accordance with Right-of-Way Relocation requirements. The Bureau of Right-of-Way is responsible for the relocation negotiation. The Utilities Section will assist in the coordination and will review cost estimates and agreements, as requested. See Chapter 10 – Right-Of-Way, for additional information. Procedure Highway Projects The flow diagram (Appendix 9-1) shows the related activities required for utility coordination. When the scope of work for a project has been defined (with or without conceptual design), the Designer must meet with the Utilities Engineer/Coordinator to discuss the utility concerns and determine the number of sets of plans needed to begin the coordination process. As the project develops, all known utilities must be shown on the plans and cross-sections. Refer to the UAM (1) and to Volume 2 of this Manual for the preferred symbols and plan format. As projects progress, it is the responsibility of the Design Team or the Consultant Design Reviewer to keep the Design Services - Utilities Section informed of progress. It is the responsibility of the Utilities Engineer, through the Utility Coordinator, to keep the Designer informed of utility involvement. When all existing utilities have been shown on the plans and cross sections, along with other design features such as drainage, pavement structure (top and bottom template), structure base courses, etc., the information should be reviewed with the Design Services - Utilities Section to determine conflicts and their potential resolutions. Changes from the original concepts should also be reviewed with the Design Services Utilities Section. The Designer, together with the Utility Coordinator, prepares the list of unresolved conflicts between the individual utility and the proposed design as shown on the approved Slope & Drain plans. Relocation request documents consisting of a letter describing the potential conflicts and reimbursement (if applicable) with a specific return date, and approved Slope & Drain plans and cross-sections with conflicts highlighted, are sent to individual utilities. Relocation plans are reviewed for conflict resolution in accordance with State policies in the UAM (1) and, when approved, are forwarded to the Designer for incorporation into the project documents. The project area will be reviewed for both permanent and temporary lighting needs and necessary lighting designed after receipt of approved aerial relocation plans, any signal designs, and traffic control plans. See "Lighting" below for more details. A Utility Agreement is required between the State and utilities affected by the proposed project that either receive or provide reimbursement for utility relocations or improvements. Each agreement describes the scope of the work involved, special handling required, and the method and extent of reimbursement for work performed (usually on a force account basis). On all projects, copies of executed Utility Agreements are provided to the Design Team or Consultant Design Reviewer, Bureau of Construction and Bureau of Finance & Contracts and attached to the project in the Department's Project Management Information System. Funding must be authorized by FHWA before the utility is authorized to perform work. On FHWA Oversight projects (see NHDOT and USDOT-FHWA Stewardship Agreement), all utility agreements must be reviewed, and approved before funding will be authorized by FHWA. The utility relocation work to be performed by the State's Contractor shall be shown on the design plans. In instances where the utility/municipality hires a separate engineering firm to complete the design of the relocated/new facility, the proposed utility work is shown on the project construction plans with separate utility construction plans and details attached to the back of the project plan set, after the cross-sections. A Use and Occupancy Agreement, or Amendment to a Use and Occupancy Agreement, may be required for utility relocations within the Limited Access Right-of-Way and Controlled Access Right-of-Way with freeway characteristics. Longitudinal facilities within the Limited Access Right-of-Way are not allowed unless an exception is granted by the Commissioner. On all projects, a Utility & Railroad Certificate is provided to the Design Team or Consultant Design Reviewer as an attachment to the Department's Project Management Information System. The Utility & Railroad Certificate lists all companies affected, whether the required work is to be reimbursable to the companies involved or not, and notes that all utility work will be coordinated with the physical construction of the project or it indicates no utility/railroad impacts are anticipated. On FHWA Oversight projects (see NHDOT and USDOT-FHWA Stewardship Agreement), the Utility & Railroad Certificate together with copies of the design plans, proposals, estimates, and required permits, is transmitted to FHWA at least two (2) weeks prior to the advertising of a project, for review, and documentation. Lighting The lighting design for a highway facility, either permanent or temporary, is the responsibility of the Design Services - Utilities Section with some standardized temporary lighting layouts. Lighting is designed in accordance with the Roadway Lighting Design Guide (3), and Roadway Lighting Handbook (4), and the NHDOT Highway Lighting Design Manual (5). Permanent Lighting installations are typically included with the highway contract, but in some cases there may be individual lighting projects. They may be built by contract, by utility forces, or in some instances by State forces. Municipalities may request individual lighting and/or have their lighting incorporated into the highway contract. In both cases all operating charges are the responsibility of the municipality. For individual lighting projects, associated materials and installation costs are the responsibility of the Municipality. For lighting projects incorporated into a highway contract, the Design Services - Utilities Section reviews the request containing plans, traffic volumes and accident histories and determines if the highway facility warrants lighting. If so, the State will participate in the lighting system up to the cost value of the NHDOT's standard highway lighting specifications except if a municipal lighting policy is in effect. Special lighting (ornamental) costs beyond that value, or costs for lighting that is not warranted, are borne by the Municipality. In most cases, for standard highway lighting, ownership and maintenance of the lighting system is turned over to the area's franchised power company with the operating costs paid by the State. For ornamental lighting, that responsibility and cost is borne by the Municipality and in some cases, the NHDOT's Highway Maintenance District or Turnpikes. Temporary Temporary lighting is designed or reviewed by the Design Services - Utilities Section on all highway projects to assist the motorists in safely navigating through the construction area. The design of temporary lighting is determined by the Traffic Control Plans (maintenance of traffic during construction) and construction phasing sequence considering alignment changes, lane widths, hazardous obstacles near the traveled ways and traffic volumes. The installation, maintenance, and removal of temporary lighting is included in the contract. State Force Account Projects Utility companies involved in projects constructed by State forces coordinate their work with the Highway Maintenance District Engineer or Turnpikes. The same laws and regulations apply to the procedure except that the highway work is performed by State forces and not by a contractor. Railway-Highway Grade Crossing Projects The Federally sponsored Railway-Highway Grade Crossing Program enables safety improvements to at-grade crossings. The State has an inventory of at-grade crossing locations listed by priority ranking as an aid to the selection of Federal-Aid projects. The priority ranking is established by combining information from the evaluation of field conditions, which includes drainage, rail and roadway surface conditions, sight distance, track geometry, roadway alignment, and ride quality with vehicle volumes, train frequency, and input from railroads, municipalities, State maintenance forces, police accident reports, and the public. All Railway-Highway at-grade-crossing safety improvements are coordinated by the Railroad Coordinator. Railway-highway sight distance problems are discussed in Chapters 3 and 4. In New Hampshire, it is frequently difficult to assure an adequate sight distance triangle, therefore the designer usually relies upon traffic control devices to provide adequate safety. Railway-highway at-grade crossing projects require the same plan development process and utility coordination efforts as the more common highway projects. Railroads prefer to have the road closed to traffic when at-grade crossings are reconstructed. This preference should be considered in the development of the Traffic Control Plan (TCP). Railway Grade Separation A grade separation is the safest method of accommodating both highway and railroad traffic movements. It is also the most expensive. Justification is based on warrants that take into account the traffic volumes, accident history, potential hazard of the location, and other factors. Arrangements for grade separations sometimes require an adjudicatory hearing to resolve issues between the NHDOT and the railroad. See Chapter 3 for vertical clearance to be maintained for grade separations. Utility or Railroad Force Account Projects These are projects where all construction is performed or contracted by the utility or railroad. A Force Account Agreement is a contract between the State and a utility or railroad for the utility or railroad to perform work using its own forces or its contractor's forces. The agreement describes the scope of the work involved, special handling required, and method and extent of reimbursement for the work performed. Location and Design Utility and railroad facilities are usually located and designed by the owners, subject to approval by the State and FHWA if they affect highway operations. Highway lighting and parking area lighting for State projects are usually designed by the Design Services - Utilities Section, coordinating with others in the NHDOT. The UAM (1) Sections IV through IX are the criteria to use in checking existing or proposed locations for compliance with the State requirements for utilities within the Right-of-Way. In addition to the material contained in the UAM (1), the following are useful designer references: - Title 23 (CFR) Part 645 - Utilities and Part 646 - Railroads (2) , - Roadway Lighting Design Guide (3) , - Roadway Lighting Handbook (4) , - NHDOT Highway Lighting Design Manual (5) , - Highway / Utility Guide (6), - Manual on Uniform Traffic Control Devices (MUTCD) (8), - Railroad-Highway Grade Crossing Handbook (9), and - Order 5060.1, FHWA Policy on Agency Force Account Use (10). Subsurface Utility Engineering (SUE) Design Services – Utilities Section administers a Subsurface Utility Engineering (SUE) program consistent with the "Standard Guideline for the Collection and Depiction of Existing Subsurface Utility Data" (7) intended to manage the risks associated with the reliability of information on existing subsurface utility facilities on active Department projects. NHDOT's SUE Program employs established procedures and engineering technologies to provide information as to the accuracy (quality) of the horizontal and vertical locations of existing underground utility infrastructure. The implementation of SUE may be appropriate for certain Department projects where enhanced location information of existing subsurface utility facilities are determined to be essential for the design and construction of road improvement and widening projects. The following Quality Levels for existing utility information can be found on Department project utility plans where SUE (see, Appendix 9-1, Utility/Railroad Coordination Process Flow Diagram for the phase to implement specific investigations) has been employed: a. Quality Level "D" (Records Research) Information – Information derived through existing records or oral recollections. This also includes an in-field visual site inspection to verify credibility of such records. Quality Level "D" is typically applied when it is necessary for the designer to make broad decisions about route selection, purchasing right-of-way, or producing/requesting a higher level of data. This level of information is typically recommended during a project's concept development phase. b. Quality Level "C" (Survey) Information – Information obtained to indicate the presence of approximate horizontal location of underground utilities by surveying visible above-ground utility features, such as manholes, valve boxes, posts, etc., and by using professional judgment, correlating this information with existing utility records (Quality Level "D"). Quality Level "C" is typically used on rural projects and is recommended when preliminary design begins and project mapping and survey control have been established. c. Quality Level "B" (Designating) Information – Information obtained to indicate the presence and approximate horizontal location of underground utilities using geophysical prospecting techniques, including electromagnetic, magnetic, sonic, or other energy fields. The data obtained from these methods should be reproducible by surface geophysics at any point of their depiction. This level of information is used by the designer to make educated decisions on where to place storm drainage systems, footings or foundations to avoid conflicts with existing utility facilities. Quality Level "B" is typically used on urban type projects and is recommended when preliminary design begins and project mapping and survey control have been established. d. Quality Level "A" (Locating) Information – Information to obtain the precise horizontal and vertical position of the utility line by excavating a test hole. The test holes shall be done using vacuum excavation or comparable nondestructive equipment in a manner as to cause no damage to the utility line. This level of information provides three-dimensional mapping of specific conflict areas needed for final design and utility placement decisions that could result in significant cost 9—10 savings for the project. Quality Level "A" is recommended after the Preliminary Field Plan Review, ideally following a Utility Impact Analysis. Traffic Control Public safety is a primary consideration in all highway operations. The utility companies and railroads are just as responsible for safe maintenance of traffic through their work areas, as roadway contractors are for maintenance of traffic through their work areas. Projects designed by the Design Services - Utilities Section, or designated consultant, will include a TCP developed by the Utilities Engineer and coordinated with the Chief of Final or Consultant Design. 9—11 References: 1. New Hampshire Department of Transportation (NHDOT), Utility Accommodation Manual, NHDOT, 7 Hazen Drive, Concord, NH, February 2010; 2. U.S. Government Printing Office, Code of Federal Regulations (CFR) Title 23, Highways, Part 645 - Utilities and Part 646 – Railroads, Washington, DC, (Latest Edition). 3. American Association of State Highway and Transportation Officials (AASHTO), Roadway Lighting Design Guide, AASHTO, 444 North Capitol Street, NW, Suite 249, Washington, DC, October 2005; 4. Federal Highway Administration (FHWA), Roadway Lighting Handbook, FHWA, Washington, DC, August 2012; 5. New Hampshire Department of Transportation (NHDOT), Highway Lighting Design Manual, NHDOT, 7 Hazen Drive, Concord, NH, December 2010; 6. Federal Highway Administration (FHWA), Highway / Utility Guide, FHWA, Washington, DC, June 1993; 7. American Society of Civil Engineers (ASCE), Standard Guidelines for the Collection and Depiction of Existing Subsurface Utility Data, ASCE, Reston, VA 8. Federal Highway Administration (FHWA), Manual on Uniform Traffic Control Devices (MUTCD,) FHWA, Washington, DC, May 2012; 9. Federal Highway Administration (FHWA), Railroad-Highway Grade Crossing Handbook, FHWA, Washington, DC, August 2007; and 10. Federal Highway Administration (FHWA),Order 5060.1,FHWA Policy on Agency Force Account Use FHWA, Washington, D.C., March 2012, APPENDICES 9-1 Utility (Including Railroad) Coordination Process Flow Diagram 9-2 Utility Coordination Process (Scheduling Guidelines) 9-3 Force Account Agreement Process Flow Diagram 9-4 Utility Request (Includes Lighting Design Request) 9-5 Utility & Railroad Certificate (template) 9—12	3,940	inside_word	by	remove_one_sentence	<url> https://www.nh.gov/dot/org/projectdevelopment/highwaydesign/designmanual/documents/ch09_00_chapter_2014.pdf </url> <text> Chapter 9 UTILITIES Introduction For this discussion, utilities include all public or private service lines or equipment and railroads. Highways and utilities share the common purpose of public service and in many cases they share the same corridor. Utilities can be a controlling factor in the design of an infrastructure project, and, therefore, are an important consideration. Utilities transport or deliver power, communications, gas or liquids, and rail (freight and passengers). Their size or load varies for long-distance transmission lines (service connections between Urban/Metropolitan areas) and shorter-distance distribution lines (locally controlled customer service). These facilities can also include substations, pumping stations, metering stations, siphons, and other appurtenances. It is usually much easier to deal with the rearrangement of a distribution facility than a transmission facility due to cost factors, massive structures affected, and potential for widespread service interruptions. The designer should consult with the Utilities Engineer/Coordinator and be aware of the differences early in project development. Long distance transmission lines are usually located within utility-owned easements, while shorter distance distribution facilities usually share highway rights-of-way or private property in densely developed locations with few options for rearrangement. The procedures for administering utility matters are outlined in the Utility Accommodation Manual [UAM (1)] published by the New Hampshire Department of Transportation (NHDOT). This guide applies to alterations, construction, and licensing of public or private utilities on any highway under the jurisdiction of the NHDOT Commissioner. The UAM (1) also applies to compact areas wherein local governments may grant the NHDOT temporary jurisdiction through agreement. The UAM (1) designates appropriate responsibility, minimum standards, reimbursement regulations, and licensing procedures for new or adjusted utilities. Utility work performed outside the timeframe of a State construction contract requires the utility to coordinate with, and obtain a permit from the Bureau of Highway Maintenance and/or Turnpikes. Relocated utility poles generally require a new pole license from the Bureau of Highway Maintenance and/or Turnpikes. This chapter will provide the designer with an overview of the utility coordination process. The UAM (1) describes the working procedures and details in accordance with the requirements of State Statue and Federal-aid regulations/laws. Title 23 Code of Federal Regulations (CFR) 645 – Utilities and 646 – Railroads (2) prescribes the policies, procedures, and reimbursement provisions for the adjustment, relocation, and accommodation of utility facilities on Federal-aid and direct Federal projects and the policies, and procedures for advancing Federal-aid projects involving railroad facilities. General Almost all projects will have utility facilities located within the project limits. Utility adjustments may not be necessary, but it is still necessary to show the utility on the plans and notify the utility owner of proposed work even if no adjustment is anticipated. Early coordination is crucial between the utility, the project designers, the Bureau of Construction, the Bureau of Right-of-Way, and Design Services - Utilities Section. The Utility Coordinator, in coordination with the project designers, will evaluate utility impacts and identify the extent of the work needed by the NHDOT or the utility. It is preferred to avoid impacts to utilities if possible. Jurisdiction Utility ownership varies with purpose and jurisdiction. Major utility companies extend across state lines, but they must comply with the regulations of the local jurisdiction. Utilities may also be wholly owned and administered by a municipality. Control of public utilities is exercised <cursor_is_here> The PUC regulates activities of utilities defined in RSA 362:2. Pursuant to RSA 363:17-a, the PUC acts as the arbitrator between the interests of the customer and the interests of the regulated utility. A utility that occupies State Rights-of-Way does so under sufferance with the expressed or implied permission of the State. Instances of prior ownership sometimes arise, but such conditions are rare. Locations of facilities within the State's Rights-of-Way are subject to Department approval, which provides the utility with assurance that its plan complies with highway standards. Information about programmed highway projects that may impact existing utilities and/or affect new utility work is provided by the NHDOT. Reimbursement Typically, the utility will be responsible for the costs of the relocation of their facilities. There are circumstances where the utility is eligible for reimbursement of relocation costs under State Statue and/or Federal-aid regulations/laws. The primary basis for the determination is for the first party to have a compensable interest in the area of concern, or to be the party that has the prior or senior right. If the utility has prior rights, it is eligible for compensation. Each case must also be evaluated to determine if either party has ever sold or relinquished their rights by some other means. Some companies have voluntarily relinquished easement rights and relocated their facilities out of their easements and into a highway Right-of-Way. In such cases, the NHDOT is not liable for any subsequent relocation costs. Where the circumstances are not clear regarding the eligibility for reimbursement of relocation costs, it may be necessary to seek evaluation and a legal opinion from the State's Attorney General's Office. Preliminary engineering, construction engineering and inspection for facilities eligible for the full reimbursement of relocation costs are also reimbursable. A. Typically, reimbursement for relocations is allowed under the following situations: 1. The facility occupies private property by rights granted to the owner of the utility by an easement; or the utility owns the property. 2. The facility occupies a highway Right-of-Way where the utility had the right of easement prior to the acquisition of the Right-of-Way by the State or Municipality or prior to 1905 when the Department was incorporated, and the utility has not been compensated for easement rights. 3. The facility occupies a highway Right-of-Way and the right of easement was reserved to the utility in the highway return of layout. 4. A municipally-owned utility is located within the Right-of-Way of a street or road owned by the municipality, provided that the utility is not required by law to relocate its facilities at its own expense. 5. The Attorney General's Office issues an opinion obligating the State to bear any or all costs of relocation. 6. The facility is located on US Government land such as Forest Service with a permit or lease. The Federal agency may participate - see - Title 23 CFR 660. 7. A utility other than power, telephone, railroad, or cable television claims rights by adverse possession (or prescriptive right) (this requires Attorney General's opinion). 8. Municipally-owned subterranean (underground) utility facilities that are required to be relocated on a project funded in whole or in part by state funds are eligible for partial reimbursement in accordance with RSA 228:22 (trenching and backfilling cost of relocated facility, and book value (original cost less allowable depreciation) of the retired facility). This applies to locations where a municipal utility does not qualify for full reimbursement under items 1 or 4 above. Note: Hydrants are not considered an underground facility; however plumbing to a hydrant can be included in the book value. If any portion of a service line is owned by the municipal utility, that portion would be eligible for participation by the State. 9. The structural framing for support of utility facilities on the construction and reconstruction of bridges are project costs (maximum spacing as required by the utility for their facility, with final spacing to be determined by the Department as appropriate for the particular bridge). Specifically, intermediate K-frames, holes through K-frames for hangers and rollers, blockouts through bridge backwalls, sleeves through the backwall and over or under approach slabs (and extending 5' beyond), and reinforcing steel modification for blockouts and sleeves through backwalls are included. B. Generally, other situations are not eligible for reimbursement and the utility will be responsible for costs of the relocations of their facilities if: 1. The facility, other than municipally-owned, is located in the highway Right-of-Way with or without permit or license. 2. Power, telephone, communications or cable television facilities are located on private property without easement or ownership of property. 3. A municipally owned above ground utility is located in the State owned Right-ofWay without: a) An easement, or b) Reservation of easement in return of layout. 4. A utility facility is located on private property with a lease or rental agreement and the property is acquired for highway Right-of-Way (some cases may require the opinion of the Attorney General). 5. The Attorney General's Office issues an opinion obligating the utility to bear all costs. 6. Conduits and/or pipe lines on bridges and supplemental supports, including supporting mechanisms, such as hangers, rollers, alignment guides, and inserts, are attached to structural framing of bridges, or within Department supplied sleeves (except as noted in part A-9 above). Also the access facilities (cat walks, ladders or special ramps) for conduits and/or utilities on bridges and all Preliminary and Construction Engineering. All designs are to be coordinated with the Department. 7. Inspection of all service connections where they are not impacted by the Department's required construction. Responsibility Utility The utility has the responsibility for complying with local, State and Federal laws and regulations of the USDOT (FHWA), PUC, the State, the NHDOT, and associations that sponsor national safety codes. Applicable codes or standards recognized by the State include, but are not limited to, the following: - National Electrical Safety Code; - American Water Works Association Standards and Specifications; - ANSI Standard Code for Pressure Piping of the American National Standards Institute: ANSI B 31.1, Power Piping; ANSI B 31.3, Petroleum Refinery Piping; ANSI B 31.4, Liquid Petroleum Transportation Piping Systems; ANSI B 31.8, Gas Transmission and Distribution Piping Systems; - Recommended Practice for Liquid Petroleum Pipelines Crossing Railroads and Highways by the American Petroleum Institute; - Natural Gas Pipeline Safety Act of 1968 as amended; and, - Title 23 (CFR) Part 645 for Utilities and Part 646 for Railroads (2), and Title 49 (CFR) as amended. The utility is obligated to provide plans, estimates, reviews, field locations, and liaison personnel to work with the Design Services - Utilities Section of the Bureau of Highway Design as noted in the Procedure Section, below. Design Coordination The Design Services - Utilities Section staff, or designated consultant, provides the coordination between the utility companies and designers within Project Development (including the Bureaus of Highway Design, Bridge Design, Rail & Transit, and Aeronautics),Operations (including Highway Maintenance, Bridge Maintenance, Traffic, and Transportation Systems Management and Operations), Turnpikes, and the Department of Administrative Services (Bureau of Public Works) which may deal with utility issues. The Design Services - Utilities Section maintains contact with affected utility companies. Information transfer, conferences, or other meetings should not be arranged without the presence or advice of one of the Utilities Engineers. The Design Services - Utilities Section is responsible for the following activities: - Obtaining utility information as needed; - Coordinating utility issues on infrastructure projects including all contacts with utility owners, railroads, and other involved government agencies and the project design team; - Designing temporary and permanent lighting; - Reviewing utility and railroad adjustment and/or relocation arrangements; - Determining liability for adjustment and/or relocation costs; - Preparing and/or reviewing estimates related to utilities or railroads; - Preparing Force Account agreements; - Preparing Use and Occupancy agreements; - Processing reimbursement invoices; - Construction coordination; and, - Modernization, reconstruction, or elimination of railroad at-grade crossings, bridges, sidings, corridors and signals. The designer is responsible for furnishing plans and project information to the Design Services - Utilities Section for coordination purposes as soon as plans are available. The scheduling guidelines and flow diagram in the appendices of this chapter show the coordination work necessary to properly process utility verifications, adjustments and relocations. Considerable lead-time is usually required to coordinate utility relocations, particularly when force account agreements are necessary (see the "Procedure" section below). The flow diagrams in Chapter 2, Project Development, show the integration of utility coordination into the project development process. Bureau of Construction Bureau of Construction involvement begins early in the project development utility and railroad coordination process, becoming the total responsibility of the Bureau of Construction at the preconstruction conference where the Contractor, the Contract Administrator, utilities, and/or railroad representatives, and Utility Coordinators meet with the District Construction Engineer to review project requirements and schedules of operation. In addition to construction inspections, the Construction Contract Administrator monitors utility force account work and receives periodic utility reports from the utility if the work is reimbursable. Bureau of Right-of-Way The relocation of utility facilities that exist on private property are reimbursed in accordance with Right-of-Way Relocation requirements. The Bureau of Right-of-Way is responsible for the relocation negotiation. The Utilities Section will assist in the coordination and will review cost estimates and agreements, as requested. See Chapter 10 – Right-Of-Way, for additional information. Procedure Highway Projects The flow diagram (Appendix 9-1) shows the related activities required for utility coordination. When the scope of work for a project has been defined (with or without conceptual design), the Designer must meet with the Utilities Engineer/Coordinator to discuss the utility concerns and determine the number of sets of plans needed to begin the coordination process. As the project develops, all known utilities must be shown on the plans and cross-sections. Refer to the UAM (1) and to Volume 2 of this Manual for the preferred symbols and plan format. As projects progress, it is the responsibility of the Design Team or the Consultant Design Reviewer to keep the Design Services - Utilities Section informed of progress. It is the responsibility of the Utilities Engineer, through the Utility Coordinator, to keep the Designer informed of utility involvement. When all existing utilities have been shown on the plans and cross sections, along with other design features such as drainage, pavement structure (top and bottom template), structure base courses, etc., the information should be reviewed with the Design Services - Utilities Section to determine conflicts and their potential resolutions. Changes from the original concepts should also be reviewed with the Design Services Utilities Section. The Designer, together with the Utility Coordinator, prepares the list of unresolved conflicts between the individual utility and the proposed design as shown on the approved Slope & Drain plans. Relocation request documents consisting of a letter describing the potential conflicts and reimbursement (if applicable) with a specific return date, and approved Slope & Drain plans and cross-sections with conflicts highlighted, are sent to individual utilities. Relocation plans are reviewed for conflict resolution in accordance with State policies in the UAM (1) and, when approved, are forwarded to the Designer for incorporation into the project documents. The project area will be reviewed for both permanent and temporary lighting needs and necessary lighting designed after receipt of approved aerial relocation plans, any signal designs, and traffic control plans. See "Lighting" below for more details. A Utility Agreement is required between the State and utilities affected by the proposed project that either receive or provide reimbursement for utility relocations or improvements. Each agreement describes the scope of the work involved, special handling required, and the method and extent of reimbursement for work performed (usually on a force account basis). On all projects, copies of executed Utility Agreements are provided to the Design Team or Consultant Design Reviewer, Bureau of Construction and Bureau of Finance & Contracts and attached to the project in the Department's Project Management Information System. Funding must be authorized by FHWA before the utility is authorized to perform work. On FHWA Oversight projects (see NHDOT and USDOT-FHWA Stewardship Agreement), all utility agreements must be reviewed, and approved before funding will be authorized by FHWA. The utility relocation work to be performed by the State's Contractor shall be shown on the design plans. In instances where the utility/municipality hires a separate engineering firm to complete the design of the relocated/new facility, the proposed utility work is shown on the project construction plans with separate utility construction plans and details attached to the back of the project plan set, after the cross-sections. A Use and Occupancy Agreement, or Amendment to a Use and Occupancy Agreement, may be required for utility relocations within the Limited Access Right-of-Way and Controlled Access Right-of-Way with freeway characteristics. Longitudinal facilities within the Limited Access Right-of-Way are not allowed unless an exception is granted by the Commissioner. On all projects, a Utility & Railroad Certificate is provided to the Design Team or Consultant Design Reviewer as an attachment to the Department's Project Management Information System. The Utility & Railroad Certificate lists all companies affected, whether the required work is to be reimbursable to the companies involved or not, and notes that all utility work will be coordinated with the physical construction of the project or it indicates no utility/railroad impacts are anticipated. On FHWA Oversight projects (see NHDOT and USDOT-FHWA Stewardship Agreement), the Utility & Railroad Certificate together with copies of the design plans, proposals, estimates, and required permits, is transmitted to FHWA at least two (2) weeks prior to the advertising of a project, for review, and documentation. Lighting The lighting design for a highway facility, either permanent or temporary, is the responsibility of the Design Services - Utilities Section with some standardized temporary lighting layouts. Lighting is designed in accordance with the Roadway Lighting Design Guide (3), and Roadway Lighting Handbook (4), and the NHDOT Highway Lighting Design Manual (5). Permanent Lighting installations are typically included with the highway contract, but in some cases there may be individual lighting projects. They may be built by contract, by utility forces, or in some instances by State forces. Municipalities may request individual lighting and/or have their lighting incorporated into the highway contract. In both cases all operating charges are the responsibility of the municipality. For individual lighting projects, associated materials and installation costs are the responsibility of the Municipality. For lighting projects incorporated into a highway contract, the Design Services - Utilities Section reviews the request containing plans, traffic volumes and accident histories and determines if the highway facility warrants lighting. If so, the State will participate in the lighting system up to the cost value of the NHDOT's standard highway lighting specifications except if a municipal lighting policy is in effect. Special lighting (ornamental) costs beyond that value, or costs for lighting that is not warranted, are borne by the Municipality. In most cases, for standard highway lighting, ownership and maintenance of the lighting system is turned over to the area's franchised power company with the operating costs paid by the State. For ornamental lighting, that responsibility and cost is borne by the Municipality and in some cases, the NHDOT's Highway Maintenance District or Turnpikes. Temporary Temporary lighting is designed or reviewed by the Design Services - Utilities Section on all highway projects to assist the motorists in safely navigating through the construction area. The design of temporary lighting is determined by the Traffic Control Plans (maintenance of traffic during construction) and construction phasing sequence considering alignment changes, lane widths, hazardous obstacles near the traveled ways and traffic volumes. The installation, maintenance, and removal of temporary lighting is included in the contract. State Force Account Projects Utility companies involved in projects constructed by State forces coordinate their work with the Highway Maintenance District Engineer or Turnpikes. The same laws and regulations apply to the procedure except that the highway work is performed by State forces and not by a contractor. Railway-Highway Grade Crossing Projects The Federally sponsored Railway-Highway Grade Crossing Program enables safety improvements to at-grade crossings. The State has an inventory of at-grade crossing locations listed by priority ranking as an aid to the selection of Federal-Aid projects. The priority ranking is established by combining information from the evaluation of field conditions, which includes drainage, rail and roadway surface conditions, sight distance, track geometry, roadway alignment, and ride quality with vehicle volumes, train frequency, and input from railroads, municipalities, State maintenance forces, police accident reports, and the public. All Railway-Highway at-grade-crossing safety improvements are coordinated by the Railroad Coordinator. Railway-highway sight distance problems are discussed in Chapters 3 and 4. In New Hampshire, it is frequently difficult to assure an adequate sight distance triangle, therefore the designer usually relies upon traffic control devices to provide adequate safety. Railway-highway at-grade crossing projects require the same plan development process and utility coordination efforts as the more common highway projects. Railroads prefer to have the road closed to traffic when at-grade crossings are reconstructed. This preference should be considered in the development of the Traffic Control Plan (TCP). Railway Grade Separation A grade separation is the safest method of accommodating both highway and railroad traffic movements. It is also the most expensive. Justification is based on warrants that take into account the traffic volumes, accident history, potential hazard of the location, and other factors. Arrangements for grade separations sometimes require an adjudicatory hearing to resolve issues between the NHDOT and the railroad. See Chapter 3 for vertical clearance to be maintained for grade separations. Utility or Railroad Force Account Projects These are projects where all construction is performed or contracted by the utility or railroad. A Force Account Agreement is a contract between the State and a utility or railroad for the utility or railroad to perform work using its own forces or its contractor's forces. The agreement describes the scope of the work involved, special handling required, and method and extent of reimbursement for the work performed. Location and Design Utility and railroad facilities are usually located and designed by the owners, subject to approval by the State and FHWA if they affect highway operations. Highway lighting and parking area lighting for State projects are usually designed by the Design Services - Utilities Section, coordinating with others in the NHDOT. The UAM (1) Sections IV through IX are the criteria to use in checking existing or proposed locations for compliance with the State requirements for utilities within the Right-of-Way. In addition to the material contained in the UAM (1), the following are useful designer references: - Title 23 (CFR) Part 645 - Utilities and Part 646 - Railroads (2) , - Roadway Lighting Design Guide (3) , - Roadway Lighting Handbook (4) , - NHDOT Highway Lighting Design Manual (5) , - Highway / Utility Guide (6), - Manual on Uniform Traffic Control Devices (MUTCD) (8), - Railroad-Highway Grade Crossing Handbook (9), and - Order 5060.1, FHWA Policy on Agency Force Account Use (10). Subsurface Utility Engineering (SUE) Design Services – Utilities Section administers a Subsurface Utility Engineering (SUE) program consistent with the "Standard Guideline for the Collection and Depiction of Existing Subsurface Utility Data" (7) intended to manage the risks associated with the reliability of information on existing subsurface utility facilities on active Department projects. NHDOT's SUE Program employs established procedures and engineering technologies to provide information as to the accuracy (quality) of the horizontal and vertical locations of existing underground utility infrastructure. The implementation of SUE may be appropriate for certain Department projects where enhanced location information of existing subsurface utility facilities are determined to be essential for the design and construction of road improvement and widening projects. The following Quality Levels for existing utility information can be found on Department project utility plans where SUE (see, Appendix 9-1, Utility/Railroad Coordination Process Flow Diagram for the phase to implement specific investigations) has been employed: a. Quality Level "D" (Records Research) Information – Information derived through existing records or oral recollections. This also includes an in-field visual site inspection to verify credibility of such records. Quality Level "D" is typically applied when it is necessary for the designer to make broad decisions about route selection, purchasing right-of-way, or producing/requesting a higher level of data. This level of information is typically recommended during a project's concept development phase. b. Quality Level "C" (Survey) Information – Information obtained to indicate the presence of approximate horizontal location of underground utilities by surveying visible above-ground utility features, such as manholes, valve boxes, posts, etc., and by using professional judgment, correlating this information with existing utility records (Quality Level "D"). Quality Level "C" is typically used on rural projects and is recommended when preliminary design begins and project mapping and survey control have been established. c. Quality Level "B" (Designating) Information – Information obtained to indicate the presence and approximate horizontal location of underground utilities using geophysical prospecting techniques, including electromagnetic, magnetic, sonic, or other energy fields. The data obtained from these methods should be reproducible by surface geophysics at any point of their depiction. This level of information is used by the designer to make educated decisions on where to place storm drainage systems, footings or foundations to avoid conflicts with existing utility facilities. Quality Level "B" is typically used on urban type projects and is recommended when preliminary design begins and project mapping and survey control have been established. d. Quality Level "A" (Locating) Information – Information to obtain the precise horizontal and vertical position of the utility line by excavating a test hole. The test holes shall be done using vacuum excavation or comparable nondestructive equipment in a manner as to cause no damage to the utility line. This level of information provides three-dimensional mapping of specific conflict areas needed for final design and utility placement decisions that could result in significant cost 9—10 savings for the project. Quality Level "A" is recommended after the Preliminary Field Plan Review, ideally following a Utility Impact Analysis. Traffic Control Public safety is a primary consideration in all highway operations. The utility companies and railroads are just as responsible for safe maintenance of traffic through their work areas, as roadway contractors are for maintenance of traffic through their work areas. Projects designed by the Design Services - Utilities Section, or designated consultant, will include a TCP developed by the Utilities Engineer and coordinated with the Chief of Final or Consultant Design. 9—11 References: 1. New Hampshire Department of Transportation (NHDOT), Utility Accommodation Manual, NHDOT, 7 Hazen Drive, Concord, NH, February 2010; 2. U.S. Government Printing Office, Code of Federal Regulations (CFR) Title 23, Highways, Part 645 - Utilities and Part 646 – Railroads, Washington, DC, (Latest Edition). 3. American Association of State Highway and Transportation Officials (AASHTO), Roadway Lighting Design Guide, AASHTO, 444 North Capitol Street, NW, Suite 249, Washington, DC, October 2005; 4. Federal Highway Administration (FHWA), Roadway Lighting Handbook, FHWA, Washington, DC, August 2012; 5. New Hampshire Department of Transportation (NHDOT), Highway Lighting Design Manual, NHDOT, 7 Hazen Drive, Concord, NH, December 2010; 6. Federal Highway Administration (FHWA), Highway / Utility Guide, FHWA, Washington, DC, June 1993; 7. American Society of Civil Engineers (ASCE), Standard Guidelines for the Collection and Depiction of Existing Subsurface Utility Data, ASCE, Reston, VA 8. Federal Highway Administration (FHWA), Manual on Uniform Traffic Control Devices (MUTCD,) FHWA, Washington, DC, May 2012; 9. Federal Highway Administration (FHWA), Railroad-Highway Grade Crossing Handbook, FHWA, Washington, DC, August 2007; and 10. Federal Highway Administration (FHWA),Order 5060.1,FHWA Policy on Agency Force Account Use FHWA, Washington, D.C., March 2012, APPENDICES 9-1 Utility (Including Railroad) Coordination Process Flow Diagram 9-2 Utility Coordination Process (Scheduling Guidelines) 9-3 Force Account Agreement Process Flow Diagram 9-4 Utility Request (Includes Lighting Design Request) 9-5 Utility & Railroad Certificate (template) 9—12 </text>	[ { "content": "<url>\nhttps://www.nh.gov/dot/org/projectdevelopment/highwaydesign/designmanual/documents/ch09_00_chapter_2014.pdf\n</url>\n<text>\nChapter 9\n\nUTILITIES\n\nIntroduction\n\nFor this discussion, utilities include all public or private service lines or equipment and railroads. Highways and utilities share the common purpose of public service and in many cases they share the same corridor. Utilities can be a controlling factor in the design of an infrastructure project, and, therefore, are an important consideration.\n\nUtilities transport or deliver power, communications, gas or liquids, and rail (freight and passengers). Their size or load varies for long-distance transmission lines (service connections between Urban/Metropolitan areas) and shorter-distance distribution lines (locally controlled customer service). These facilities can also include substations, pumping stations, metering stations, siphons, and other appurtenances. It is usually much easier to deal with the rearrangement of a distribution facility than a transmission facility due to cost factors, massive structures affected, and potential for widespread service interruptions. The designer should consult with the Utilities Engineer/Coordinator and be aware of the differences early in project development. Long distance transmission lines are usually located within utility-owned easements, while shorter distance distribution facilities usually share highway rights-of-way or private property in densely developed locations with few options for rearrangement.\n\nThe procedures for administering utility matters are outlined in the Utility Accommodation Manual [UAM (1)] published by the New Hampshire Department of Transportation (NHDOT). This guide applies to alterations, construction, and licensing of public or private utilities on any highway under the jurisdiction of the NHDOT Commissioner. The UAM (1) also applies to compact areas wherein local governments may grant the NHDOT temporary jurisdiction through agreement.\n\nThe UAM (1) designates appropriate responsibility, minimum standards, reimbursement regulations, and licensing procedures for new or adjusted utilities. Utility work performed outside the timeframe of a State construction contract requires the utility to coordinate with, and obtain a permit from the Bureau of Highway Maintenance and/or Turnpikes. Relocated utility poles generally require a new pole license from the Bureau of Highway Maintenance and/or Turnpikes.\n\nThis chapter will provide the designer with an overview of the utility coordination process. The UAM (1) describes the working procedures and details in accordance with the requirements of State Statue and Federal-aid regulations/laws. Title 23 Code of Federal Regulations (CFR) 645 – Utilities and 646 – Railroads (2) prescribes the policies, procedures, and reimbursement provisions for the adjustment, relocation, and accommodation of utility facilities on Federal-aid and direct Federal projects and the policies, and procedures for advancing Federal-aid projects involving railroad facilities.\n\nGeneral\n\nAlmost all projects will have utility facilities located within the project limits. Utility adjustments may not be necessary, but it is still necessary to show the utility on the plans and notify the utility owner of proposed work even if no adjustment is anticipated. Early coordination is crucial between the utility, the project designers, the Bureau of Construction, the Bureau of Right-of-Way, and Design Services - Utilities Section. The Utility Coordinator, in coordination with the project designers, will evaluate utility impacts and identify the extent of the work needed by the NHDOT or the utility. It is preferred to avoid impacts to utilities if possible.\n\nJurisdiction\n\nUtility ownership varies with purpose and jurisdiction. Major utility companies extend across state lines, but they must comply with the regulations of the local jurisdiction. Utilities may also be wholly owned and administered by a municipality. Control of public utilities is exercised <cursor_is_here>\n\nThe PUC regulates activities of utilities defined in RSA 362:2. Pursuant to RSA 363:17-a, the PUC acts as the arbitrator between the interests of the customer and the interests of the regulated utility.\n\nA utility that occupies State Rights-of-Way does so under sufferance with the expressed or implied permission of the State. Instances of prior ownership sometimes arise, but such conditions are rare. Locations of facilities within the State's Rights-of-Way are subject to Department approval, which provides the utility with assurance that its plan complies with highway standards. Information about programmed highway projects that may impact existing utilities and/or affect new utility work is provided by the NHDOT.\n\nReimbursement\n\nTypically, the utility will be responsible for the costs of the relocation of their facilities. There are circumstances where the utility is eligible for reimbursement of relocation costs under State Statue and/or Federal-aid regulations/laws. The primary basis for the determination is for the first party to have a compensable interest in the area of concern, or to be the party that has the prior or senior right. If the utility has prior rights, it is eligible for compensation. Each case must also be evaluated to determine if either party has ever sold or relinquished their rights by some other means. Some companies have voluntarily relinquished easement rights and relocated their facilities out of their easements and into a highway Right-of-Way. In such cases, the NHDOT is not liable for any subsequent relocation costs. Where the circumstances are not clear regarding the eligibility for reimbursement of relocation costs, it may be necessary to seek evaluation and a legal opinion from the State's Attorney General's Office.\n\nPreliminary engineering, construction engineering and inspection for facilities eligible for the full reimbursement of relocation costs are also reimbursable.\n\nA. Typically, reimbursement for relocations is allowed under the following situations:\n1. The facility occupies private property by rights granted to the owner of the utility by an easement; or the utility owns the property.\n2. The facility occupies a highway Right-of-Way where the utility had the right of easement prior to the acquisition of the Right-of-Way by the State or Municipality or prior to 1905 when the Department was incorporated, and the utility has not been compensated for easement rights.\n3. The facility occupies a highway Right-of-Way and the right of easement was reserved to the utility in the highway return of layout.\n4. A municipally-owned utility is located within the Right-of-Way of a street or road owned by the municipality, provided that the utility is not required by law to relocate its facilities at its own expense.\n5. The Attorney General's Office issues an opinion obligating the State to bear any or all costs of relocation.\n6. The facility is located on US Government land such as Forest Service with a permit or lease. The Federal agency may participate - see - Title 23 CFR 660.\n7. A utility other than power, telephone, railroad, or cable television claims rights by adverse possession (or prescriptive right) (this requires Attorney General's opinion).\n8. Municipally-owned subterranean (underground) utility facilities that are required to be relocated on a project funded in whole or in part by state funds are eligible for partial reimbursement in accordance with RSA 228:22 (trenching and backfilling cost of relocated facility, and book value (original cost less allowable depreciation) of the retired facility). This applies to locations where a municipal utility does not qualify for full reimbursement under items 1 or 4 above. Note: Hydrants are not considered an underground facility; however plumbing to a hydrant can be included in the book value. If any portion of a service line is owned by the municipal utility, that portion would be eligible for participation by the State.\n9. The structural framing for support of utility facilities on the construction and reconstruction of bridges are project costs (maximum spacing as required by the utility for their facility, with final spacing to be determined by the Department as appropriate for the particular bridge). Specifically, intermediate K-frames, holes through K-frames for hangers and rollers, blockouts through bridge backwalls, sleeves through the backwall and over or under approach slabs (and extending 5' beyond), and reinforcing steel modification for blockouts and sleeves through backwalls are included.\nB. Generally, other situations are not eligible for reimbursement and the utility will be responsible for costs of the relocations of their facilities if:\n1. The facility, other than municipally-owned, is located in the highway Right-of-Way with or without permit or license.\n2. Power, telephone, communications or cable television facilities are located on private property without easement or ownership of property.\n\n3. A municipally owned above ground utility is located in the State owned Right-ofWay without:\na) An easement, or\nb) Reservation of easement in return of layout.\n4. A utility facility is located on private property with a lease or rental agreement and the property is acquired for highway Right-of-Way (some cases may require the opinion of the Attorney General).\n5. The Attorney General's Office issues an opinion obligating the utility to bear all costs.\n6. Conduits and/or pipe lines on bridges and supplemental supports, including supporting mechanisms, such as hangers, rollers, alignment guides, and inserts, are attached to structural framing of bridges, or within Department supplied sleeves (except as noted in part A-9 above). Also the access facilities (cat walks, ladders or special ramps) for conduits and/or utilities on bridges and all Preliminary and Construction Engineering. All designs are to be coordinated with the Department.\n7. Inspection of all service connections where they are not impacted by the Department's required construction.\n\nResponsibility\n\nUtility\n\nThe utility has the responsibility for complying with local, State and Federal laws and regulations of the USDOT (FHWA), PUC, the State, the NHDOT, and associations that sponsor national safety codes.\n\nApplicable codes or standards recognized by the State include, but are not limited to, the following:\n\n- National Electrical Safety Code;\n- American Water Works Association Standards and Specifications;\n- ANSI Standard Code for Pressure Piping of the American National Standards Institute:\n ANSI B 31.1, Power Piping;\n ANSI B 31.3, Petroleum Refinery Piping;\n ANSI B 31.4, Liquid Petroleum Transportation Piping Systems;\n ANSI B 31.8, Gas Transmission and Distribution Piping Systems;\n- Recommended Practice for Liquid Petroleum Pipelines Crossing Railroads and Highways by the American Petroleum Institute;\n\n- Natural Gas Pipeline Safety Act of 1968 as amended; and,\n- Title 23 (CFR) Part 645 for Utilities and Part 646 for Railroads (2), and Title 49 (CFR) as amended.\n\nThe utility is obligated to provide plans, estimates, reviews, field locations, and liaison personnel to work with the Design Services - Utilities Section of the Bureau of Highway Design as noted in the Procedure Section, below.\n\nDesign Coordination\n\nThe Design Services - Utilities Section staff, or designated consultant, provides the coordination between the utility companies and designers within Project Development (including the Bureaus of Highway Design, Bridge Design, Rail & Transit, and Aeronautics),Operations (including Highway Maintenance, Bridge Maintenance, Traffic, and Transportation Systems Management and Operations), Turnpikes, and the Department of Administrative Services (Bureau of Public Works) which may deal with utility issues.\n\nThe Design Services - Utilities Section maintains contact with affected utility companies. Information transfer, conferences, or other meetings should not be arranged without the presence or advice of one of the Utilities Engineers. The Design Services - Utilities Section is responsible for the following activities:\n\n- Obtaining utility information as needed;\n- Coordinating utility issues on infrastructure projects including all contacts with utility owners, railroads, and other involved government agencies and the project design team;\n- Designing temporary and permanent lighting;\n- Reviewing utility and railroad adjustment and/or relocation arrangements;\n\n-\n\nDetermining liability for adjustment and/or relocation costs;\n\n- Preparing and/or reviewing estimates related to utilities or railroads;\n- Preparing Force Account agreements;\n- Preparing Use and Occupancy agreements;\n- Processing reimbursement invoices;\n- Construction coordination; and,\n- Modernization, reconstruction, or elimination of railroad at-grade crossings, bridges, sidings, corridors and signals.\n\nThe designer is responsible for furnishing plans and project information to the Design Services - Utilities Section for coordination purposes as soon as plans are available. The scheduling guidelines and flow diagram in the appendices of this chapter show the coordination work necessary to properly process utility verifications, adjustments and relocations. Considerable lead-time is usually required to coordinate utility relocations, particularly when force account agreements are necessary (see the \"Procedure\" section\n\nbelow). The flow diagrams in Chapter 2, Project Development, show the integration of utility coordination into the project development process.\n\nBureau of Construction\n\nBureau of Construction involvement begins early in the project development utility and railroad coordination process, becoming the total responsibility of the Bureau of Construction at the preconstruction conference where the Contractor, the Contract Administrator, utilities, and/or railroad representatives, and Utility Coordinators meet with the District Construction Engineer to review project requirements and schedules of operation. In addition to construction inspections, the Construction Contract Administrator monitors utility force account work and receives periodic utility reports from the utility if the work is reimbursable.\n\nBureau of Right-of-Way\n\nThe relocation of utility facilities that exist on private property are reimbursed in accordance with Right-of-Way Relocation requirements. The Bureau of Right-of-Way is responsible for the relocation negotiation. The Utilities Section will assist in the coordination and will review cost estimates and agreements, as requested.\n\nSee Chapter 10 – Right-Of-Way, for additional information.\n\nProcedure\n\nHighway Projects\n\nThe flow diagram (Appendix 9-1) shows the related activities required for utility coordination.\n\nWhen the scope of work for a project has been defined (with or without conceptual design), the Designer must meet with the Utilities Engineer/Coordinator to discuss the utility concerns and determine the number of sets of plans needed to begin the coordination process.\n\nAs the project develops, all known utilities must be shown on the plans and cross-sections. Refer to the UAM (1) and to Volume 2 of this Manual for the preferred symbols and plan format.\n\nAs projects progress, it is the responsibility of the Design Team or the Consultant Design Reviewer to keep the Design Services - Utilities Section informed of progress. It is the responsibility of the Utilities Engineer, through the Utility Coordinator, to keep the Designer informed of utility involvement. When all existing utilities have been shown on the plans and cross sections, along with other design features such as drainage, pavement structure (top and bottom template), structure base courses, etc., the information should be reviewed with the Design Services - Utilities Section to determine conflicts and their potential resolutions. Changes from the original concepts should also be reviewed with the Design Services Utilities Section.\n\nThe Designer, together with the Utility Coordinator, prepares the list of unresolved conflicts between the individual utility and the proposed design as shown on the approved Slope & Drain plans. Relocation request documents consisting of a letter describing the potential conflicts and reimbursement (if applicable) with a specific return date, and approved Slope &\n\nDrain plans and cross-sections with conflicts highlighted, are sent to individual utilities. Relocation plans are reviewed for conflict resolution in accordance with State policies in the UAM (1) and, when approved, are forwarded to the Designer for incorporation into the project documents.\n\nThe project area will be reviewed for both permanent and temporary lighting needs and necessary lighting designed after receipt of approved aerial relocation plans, any signal designs, and traffic control plans. See \"Lighting\" below for more details.\n\nA Utility Agreement is required between the State and utilities affected by the proposed project that either receive or provide reimbursement for utility relocations or improvements. Each agreement describes the scope of the work involved, special handling required, and the method and extent of reimbursement for work performed (usually on a force account basis). On all projects, copies of executed Utility Agreements are provided to the Design Team or Consultant Design Reviewer, Bureau of Construction and Bureau of Finance & Contracts and attached to the project in the Department's Project Management Information System. Funding must be authorized by FHWA before the utility is authorized to perform work. On FHWA Oversight projects (see NHDOT and USDOT-FHWA Stewardship Agreement), all utility agreements must be reviewed, and approved before funding will be authorized by FHWA.\n\nThe utility relocation work to be performed by the State's Contractor shall be shown on the design plans. In instances where the utility/municipality hires a separate engineering firm to complete the design of the relocated/new facility, the proposed utility work is shown on the project construction plans with separate utility construction plans and details attached to the back of the project plan set, after the cross-sections.\n\nA Use and Occupancy Agreement, or Amendment to a Use and Occupancy Agreement, may be required for utility relocations within the Limited Access Right-of-Way and Controlled Access Right-of-Way with freeway characteristics. Longitudinal facilities within the Limited Access Right-of-Way are not allowed unless an exception is granted by the Commissioner.\n\nOn all projects, a Utility & Railroad Certificate is provided to the Design Team or Consultant Design Reviewer as an attachment to the Department's Project Management Information System. The Utility & Railroad Certificate lists all companies affected, whether the required work is to be reimbursable to the companies involved or not, and notes that all utility work will be coordinated with the physical construction of the project or it indicates no utility/railroad impacts are anticipated. On FHWA Oversight projects (see NHDOT and USDOT-FHWA Stewardship Agreement), the Utility & Railroad Certificate together with copies of the design plans, proposals, estimates, and required permits, is transmitted to FHWA at least two (2) weeks prior to the advertising of a project, for review, and documentation.\n\nLighting\n\nThe lighting design for a highway facility, either permanent or temporary, is the responsibility of the Design Services - Utilities Section with some standardized temporary lighting layouts. Lighting is designed in accordance with the Roadway Lighting Design Guide (3), and Roadway Lighting Handbook (4), and the NHDOT Highway Lighting Design Manual (5).\n\nPermanent\n\nLighting installations are typically included with the highway contract, but in some cases there may be individual lighting projects. They may be built by contract, by utility forces, or in some instances by State forces. Municipalities may request individual lighting and/or have their lighting incorporated into the highway contract. In both cases all operating charges are the responsibility of the municipality. For individual lighting projects, associated materials and installation costs are the responsibility of the Municipality. For lighting projects incorporated into a highway contract, the Design Services - Utilities Section reviews the request containing plans, traffic volumes and accident histories and determines if the highway facility warrants lighting. If so, the State will participate in the lighting system up to the cost value of the NHDOT's standard highway lighting specifications except if a municipal lighting policy is in effect. Special lighting (ornamental) costs beyond that value, or costs for lighting that is not warranted, are borne by the Municipality. In most cases, for standard highway lighting, ownership and maintenance of the lighting system is turned over to the area's franchised power company with the operating costs paid by the State. For ornamental lighting, that responsibility and cost is borne by the Municipality and in some cases, the NHDOT's Highway Maintenance District or Turnpikes.\n\nTemporary\n\nTemporary lighting is designed or reviewed by the Design Services - Utilities Section on all highway projects to assist the motorists in safely navigating through the construction area. The design of temporary lighting is determined by the Traffic Control Plans (maintenance of traffic during construction) and construction phasing sequence considering alignment changes, lane widths, hazardous obstacles near the traveled ways and traffic volumes. The installation, maintenance, and removal of temporary lighting is included in the contract.\n\nState Force Account Projects\n\nUtility companies involved in projects constructed by State forces coordinate their work with the Highway Maintenance District Engineer or Turnpikes. The same laws and regulations apply to the procedure except that the highway work is performed by State forces and not by a contractor.\n\nRailway-Highway Grade Crossing Projects\n\nThe Federally sponsored Railway-Highway Grade Crossing Program enables safety improvements to at-grade crossings. The State has an inventory of at-grade crossing locations listed by priority ranking as an aid to the selection of Federal-Aid projects. The priority ranking is established by combining information from the evaluation of field conditions, which includes drainage, rail and roadway surface conditions, sight distance, track geometry, roadway alignment, and ride quality with vehicle volumes, train frequency, and input from railroads, municipalities, State maintenance forces, police accident reports, and the public.\n\nAll Railway-Highway at-grade-crossing safety improvements are coordinated by the Railroad Coordinator.\n\nRailway-highway sight distance problems are discussed in Chapters 3 and 4. In New Hampshire, it is frequently difficult to assure an adequate sight distance triangle, therefore the designer usually relies upon traffic control devices to provide adequate safety.\n\nRailway-highway at-grade crossing projects require the same plan development process and utility coordination efforts as the more common highway projects. Railroads prefer to have the road closed to traffic when at-grade crossings are reconstructed. This preference should be considered in the development of the Traffic Control Plan (TCP).\n\nRailway Grade Separation\n\nA grade separation is the safest method of accommodating both highway and railroad traffic movements. It is also the most expensive. Justification is based on warrants that take into account the traffic volumes, accident history, potential hazard of the location, and other factors. Arrangements for grade separations sometimes require an adjudicatory hearing to resolve issues between the NHDOT and the railroad. See Chapter 3 for vertical clearance to be maintained for grade separations.\n\nUtility or Railroad Force Account Projects\n\nThese are projects where all construction is performed or contracted by the utility or railroad.\n\nA Force Account Agreement is a contract between the State and a utility or railroad for the utility or railroad to perform work using its own forces or its contractor's forces. The agreement describes the scope of the work involved, special handling required, and method and extent of reimbursement for the work performed.\n\nLocation and Design\n\nUtility and railroad facilities are usually located and designed by the owners, subject to approval by the State and FHWA if they affect highway operations. Highway lighting and parking area lighting for State projects are usually designed by the Design Services - Utilities Section, coordinating with others in the NHDOT.\n\nThe UAM (1) Sections IV through IX are the criteria to use in checking existing or proposed locations for compliance with the State requirements for utilities within the Right-of-Way.\n\nIn addition to the material contained in the UAM (1), the following are useful designer references:\n\n- Title 23 (CFR) Part 645 - Utilities and Part 646 - Railroads (2)\n\n,\n\n- Roadway Lighting Design Guide (3)\n\n,\n\n- Roadway Lighting Handbook (4)\n\n,\n\n- NHDOT Highway Lighting Design Manual (5)\n\n,\n\n- Highway / Utility Guide (6),\n- Manual on Uniform Traffic Control Devices (MUTCD) (8),\n- Railroad-Highway Grade Crossing Handbook (9), and\n\n- Order 5060.1, FHWA Policy on Agency Force Account Use (10).\n\nSubsurface Utility Engineering (SUE)\n\nDesign Services – Utilities Section administers a Subsurface Utility Engineering (SUE) program consistent with the \"Standard Guideline for the Collection and Depiction of Existing Subsurface Utility Data\" (7) intended to manage the risks associated with the reliability of information on existing subsurface utility facilities on active Department projects. NHDOT's SUE Program employs established procedures and engineering technologies to provide information as to the accuracy (quality) of the horizontal and vertical locations of existing underground utility infrastructure. The implementation of SUE may be appropriate for certain Department projects where enhanced location information of existing subsurface utility facilities are determined to be essential for the design and construction of road improvement and widening projects.\n\nThe following Quality Levels for existing utility information can be found on Department project utility plans where SUE (see, Appendix 9-1, Utility/Railroad Coordination Process Flow Diagram for the phase to implement specific investigations) has been employed:\n\na. Quality Level \"D\" (Records Research) Information – Information derived through existing records or oral recollections. This also includes an in-field visual site inspection to verify credibility of such records. Quality Level \"D\" is typically applied when it is necessary for the designer to make broad decisions about route selection, purchasing right-of-way, or producing/requesting a higher level of data. This level of information is typically recommended during a project's concept development phase.\nb. Quality Level \"C\" (Survey) Information – Information obtained to indicate the presence of approximate horizontal location of underground utilities by surveying visible above-ground utility features, such as manholes, valve boxes, posts, etc., and by using professional judgment, correlating this information with existing utility records (Quality Level \"D\"). Quality Level \"C\" is typically used on rural projects and is recommended when preliminary design begins and project mapping and survey control have been established.\nc. Quality Level \"B\" (Designating) Information – Information obtained to indicate the presence and approximate horizontal location of underground utilities using geophysical prospecting techniques, including electromagnetic, magnetic, sonic, or other energy fields. The data obtained from these methods should be reproducible by surface geophysics at any point of their depiction. This level of information is used by the designer to make educated decisions on where to place storm drainage systems, footings or foundations to avoid conflicts with existing utility facilities. Quality Level \"B\" is typically used on urban type projects and is recommended when preliminary design begins and project mapping and survey control have been established.\nd. Quality Level \"A\" (Locating) Information – Information to obtain the precise horizontal and vertical position of the utility line by excavating a test hole. The test holes shall be done using vacuum excavation or comparable nondestructive equipment in a manner as to cause no damage to the utility line. This level of information provides three-dimensional mapping of specific conflict areas needed for final design and utility placement decisions that could result in significant cost\n\n9—10\n\nsavings for the project. Quality Level \"A\" is recommended after the Preliminary Field Plan Review, ideally following a Utility Impact Analysis.\n\nTraffic Control\n\nPublic safety is a primary consideration in all highway operations. The utility companies and railroads are just as responsible for safe maintenance of traffic through their work areas, as roadway contractors are for maintenance of traffic through their work areas.\n\nProjects designed by the Design Services - Utilities Section, or designated consultant, will include a TCP developed by the Utilities Engineer and coordinated with the Chief of Final or Consultant Design.\n\n9—11\n\nReferences:\n\n1. New Hampshire Department of Transportation (NHDOT), Utility Accommodation Manual, NHDOT, 7 Hazen Drive, Concord, NH, February 2010;\n2. U.S. Government Printing Office, Code of Federal Regulations (CFR) Title 23, Highways, Part 645 - Utilities and Part 646 – Railroads, Washington, DC, (Latest Edition).\n3. American Association of State Highway and Transportation Officials (AASHTO), Roadway Lighting Design Guide, AASHTO, 444 North Capitol Street, NW, Suite 249, Washington, DC, October 2005;\n4. Federal Highway Administration (FHWA), Roadway Lighting Handbook, FHWA, Washington, DC, August 2012;\n5. New Hampshire Department of Transportation (NHDOT), Highway Lighting Design Manual, NHDOT, 7 Hazen Drive, Concord, NH, December 2010;\n6. Federal Highway Administration (FHWA), Highway / Utility Guide, FHWA, Washington, DC, June 1993;\n7. American Society of Civil Engineers (ASCE), Standard Guidelines for the Collection and Depiction of Existing Subsurface Utility Data, ASCE, Reston, VA\n8. Federal Highway Administration (FHWA), Manual on Uniform Traffic Control Devices (MUTCD,) FHWA, Washington, DC, May 2012;\n9. Federal Highway Administration (FHWA), Railroad-Highway Grade Crossing Handbook, FHWA, Washington, DC, August 2007; and\n10. Federal Highway Administration (FHWA),Order 5060.1,FHWA Policy on Agency Force Account Use FHWA, Washington, D.C., March 2012,\n\nAPPENDICES\n\n9-1 Utility (Including Railroad) Coordination Process Flow Diagram\n9-2 Utility Coordination Process (Scheduling Guidelines)\n9-3 Force Account Agreement Process Flow Diagram\n9-4 Utility Request (Includes Lighting Design Request)\n9-5 Utility & Railroad Certificate (template)\n\n9—12\n</text>\n", "role": "user" }, { "content": "by the Public Utilities Commission (PUC) of the State of New Hampshire, exceptions being municipally-owned utilities within municipal boundaries or urban compacts, in accordance with RSA 362:4 and RSA 362:4-a, cable television facilities, and some minor privately owned utility facilities.", "role": "assistant" } ]
Minutes of the Proceedings of the City Council of the City of Champlin in the County of Hennepin and the State of Minnesota Pursuant to Due Call and Notice Thereof Regular Session August 11, 2014 Municipal Center Call to Order Pledge of Allegiance Roll Call Approval of Agenda (August 11, 2014) Motion Approval of Minutes Motion Approval of Bills (August 11, 2014) Motion Announcements Presentation of Donation from the Champlin Dayton Athletic Association for the Crime Prevention Fund The Champlin City Council met in Regular Session and was called to order by Mayor ArMand Nelson at 7:06 p.m. The Pledge of Allegiance was recited. Present were Mayor ArMand Nelson and Councilmembers Ryan Karasek, Bruce Miller and Kara Terry. Excused Absent: Councilmember Eric Johnson. Also present were City Administrator Bret Heitkamp, Community Development Director John Cox, City Engineer Tim Hanson, Park Facilities Manager Charlie Lehn, Assistant City Engineer Todd Tuominen, Police Chief David Kolb, City Planner Scott Schulte, City Clerk Roberta Colotti and City Attorney Scott Lepak. Motion by Councilmember Karasek and seconded by Councilmember Miller to approve the agenda for the August 11, 2014 Regular Meeting as presented. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Motion by Councilmember Miller and seconded by Councilmember Karasek to approve the minutes of the July 28, 2014 Worksession and July 28, 2014 Regular Meetings as presented. Voting in favor were Mayor Nelson, Councilmembers Johnson, Karasek, Miller and Terry. Voting against: none. Motion carried. Motion by Councilmember Miller and seconded by Councilmember Karasek to approve the bills as submitted for payment on August 11, 2014. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Mayor Nelson made the following announcements: * Council Worksession – Monday, August 25 th at 5:45 p.m. in the Council Conference Room. * The Primary Election is tomorrow, August 12 th , from 7:00 a.m. to 8:00 p.m. For information on polling locations and a sample ballot, log onto the City's website. A sample ballot is also posted at City Hall. * City Council Meeting – Monday, August 25 th at 7:00 p.m. in the Council Chambers. * The Farmer's Market will be held every Wednesday through October 8 th from 9:00 a.m. to 1:00 p.m. at the Ice Forum parking lot. Wednesday, August 13 th is free bottled water day. * City Council Budget Worksession – Tuesday, September 2 nd at 6:00 p.m. in the Mayor and Council Conference Room. * Dinner & A Movie – Friday, August 15 th at Andrews Park from 6:00 to 8:00 p.m. There will be inflatable slides, carnival games and pizza/concessions for sale. The movie Despicable Me 2 will start at dusk. Special Presentations The Police Chief accepted a donation from the Champlin Dayton Athletic Association (CDAA) in the amount of $3,000 to the Champlin Police Crime Prevention Fund to be used to fund the DARE program. The Police Chief reported that the Crime Prevention Fund was created in 2012 to support crime prevention programs, public education and community outreach by the Champlin Police Department. He introduced Todd Hudson who will be taking over the leadership role on the Crime Prevention Fund Board. He noted that the newest member, Pam Riddle, was recruited at the August 5 th Night to Unite event. Overview of Worksession Discussion (August 11 th at 5:45 p.m.) Acceptance of Military Tank Donation from American Legion Post 600 to the City of Champlin Motion Cedars of Elm Creek (Project No. 2014-13) The City Administrator reported that the City Council reviewed the scope and timeline for the Elm Creek Dam Project. He noted that reconstruction efforts could begin in the fall of 2014 or spring of 2015 with completion in 2016. He noted that the Council discussed bid options and alternatives for the project. The City Administrator reported that the Council also discussed the Infrastructure Replacement Plan. Consent Agenda Mayor Nelson requested to pull Item #1, "Acceptance of Military Tank Donation from the American Legion Post 600 to the City of Champlin", from the Consent Agenda for further discussion. The Park Facilities Manager reported that American Legion Post 600 recently sold their property located at 12450 Business Park Boulevard North. There is a M60A3 Tank that exists at the location that the Legion is requesting permission from the City to move to Veteran's Memorial Park, located at 505 East Hayden Lake Road. He reported that the Legion is coordinating with the U.S. Army for official approval of the move and gifting to the City of Champlin. He stated that the Legion will pay for the cost of constructing a cement support slab for the tank. He stated that there would be no additional park maintenance cost related to this addition to the park. The City Administrator explained that under the terms of the Conditional Deed of Gift, the tank remains the property of the U.S. Army indefinitely. Mayor Nelson stated that even though the Legion building will not remain, the organization will still be active and he believed that the tank should remain in the City. Motion by Councilmember Miller and seconded by Councilmember Terry to approve the agreement from American Legion Post 600 and the U.S. Army to move the M60A3 Tank from the Legion building site at12450 Business Park Boulevard North, to Veterans Memorial Park, located at 505 East Hayden Lake Road in Champlin for the purpose of display on the City's property as a long-term display. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Open Forum No comments made. New Business The City Planner presented a development request for property located along Hayden Lake Road and Vera Street for 34 detached townhomes and five single family homes. He stated that the plans have been reviewed by an engineering consultant, because of the elevation issues, to determine the best options for layout, parcel size, architectural details and other amenities. The City Planner identified recommended trail connections and noted that the City would work with the Three Rivers Park District to connect to their new trail. He stated that the area would also be maintained by an association. He identified the proposed connection to Vera Street and advised that the staff report explains why this connection is important. He stated that the developer held an Open House for the neighborhood in early July and some residents expressed concern regarding the Vera Street connection. He advised that the Planning Commission held a public hearing on July 21 st and of the residents in attendance one resident opposed the Vera Street connection and another voiced his support for the connection. He advised that the Planning Commission recommended approval of the request, noting that the Commission drafted an additional condition regarding lighting which staff does not support. He explained that staff would instead recommend the City approved lighting policy be followed. Councilmember Karasek stated that he has followed this issue for some time and he believed that the design of the project is very nice and it is an attractive development. He stated that while he acknowledges that some residents would not like the Vera Street connection it would allow the neighborhoods to connect to each other and would also provide additional trail connections for the existing residents. He believed that the builder/developer has done a great job accommodating the requests of the City and would supply a quality product that is in demand. He referenced Outlot B, proposed to be dedicated to the City, and confirmed the location of the parcel. Page 2 of 6 Champlin City Council 8-11-14 Resolution No. 2014-64 Approving the Cedars of Elm Creek Preliminary Planned Unit Development Plan Resolution No. 2014-65 Approving the Preliminary Plat of the Cedars of Elm Creek Ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 17 through 23, Block 2) Motion Ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 1 through 19, Block 1; Lots 1 Through 15, Block 2; Outlot A and Outlot B) Motion The City Planner confirmed that the developer intends to dedicate Outlot B to the City, explaining that the City owns the neighboring parcel and advised that this would help the City to establish the goal of preservation along the corridor. He noted that the developer does intend to dedicate that land in lieu of park dedication and advised that the Parks and Recreation Commission will review that request at their next meeting. Councilmember Miller agreed with the comments of Councilmember Karasek and believed that this would be a quality development. He referenced the connection to Vera Street and believed that it was necessary. Councilmember Terry also agreed with the comments made by the other Councilmembers. She noted that most of her questions had been answered through review of the Planning Commission minutes. She asked for additional information regarding a proposed trail connection. The City Planner provided additional information on the trail extension between lots 11 and 12, explaining that the developer will construct their portion of the trail with Three Rivers Park District to fund the remaining portion of the trail connection on their property. He confirmed the price point for these homes is between $280,000 and $350,000. Mayor Nelson recognized the desire of the Vera Street neighborhood to refuse the street connection but believed that the connection would improve public safety. He also agreed with the comments of the Council regarding the expected high quality of the proposed project. Councilmember Terry introduced the following resolution and moved its adoption: A Resolution Approving the Cedars of Elm Creek Preliminary Planned Unit Development Plan The motion for the adoption of the resolution was duly seconded by Councilmember Miller, and upon vote being taken thereon, the following voted in favor thereof: Mayor Nelson, Councilmembers Karasek, Miller and Terry, and the following voted against the same: none, whereupon said resolution was passed this 11th day of August 2014. Mayor Nelson introduced the following resolution and moved its adoption: A Resolution Approving the Preliminary Plat of the Cedars of Elm Creek The motion for the adoption of the resolution was duly seconded by Councilmember Miller, and upon vote being taken thereon, the following voted in favor thereof: Mayor Nelson, Councilmembers Karasek, Miller and Terry, and the following voted against the same: none, whereupon said resolution was passed this 11th day of August 2014. Motion by Mayor Nelson and seconded by Councilmember Miller to give first reading to an ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 17 through 23, Block 2), as presented. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Motion by Mayor Nelson and seconded by Councilmember Miller to give first reading to an ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 1 through 19, Block 1; Lots 1 Through 15, Block 2; Outlot A and Outlot B), as presented. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Waiver of Plat/Lot Split at 11912 Mississippi Drive: Don Vry (Project 2014-14) The City Planner presented a request for a waiver of plat/lot split for the property located at 11912 Mississippi Drive, owned by Don and Teresa Vry. He provided background information including information on the recently passed ordinance amendment enabling the lot split. He stated that the existing home resides on lot 17, while lot 18 is vacant. The City Planner stated that staff is recommending that the property owner be required to pay park dedication fees in the amount of $8,740. He advised that the Planning Commission reviewed this issue at their July meeting and at the request of the property owner the Planning Commission recommended waiving the park dedication fees. He stated that staff continues to maintain that park dedication fees should be paid. The City Planner stated that on July 28 th two residents appeared before the City Council on this matter and stated that they had not been notified of the July 21 st Planning Commission Public Hearing. He recommended that the City Council allow time this evening for these residents to speak on the matter of the lot split. He also reviewed the proposed changes to the City's notification practices. James Busing, 11906 Mississippi Drive, stated that he appeared before the City Council two weeks ago on this issue. He stated that he purchased his property as a retirement home because of the open and expansive view. He expressed his concern and frustration that he was not notified and that due process was not followed. He stated that most of the decisions made thus far had been based on misinformation. He stated that this neighborhood is very unique and open and he does not believe that he should be penalized for misinformation by the other property owner. Mr. Busing stated that nothing prior to the purchase of the property in 2005 should matter, noting that the property owner purchased his property with one PID and was clear on his options, none of which were a lot split. Mr. Busing referenced the complexity of the issue and explained that the county identifies a "lot" as a location only and the City actually controls the use of the property. He stated that he has nothing against Mr. Vry and his predicament. He stated that within 30 minutes of speaking with the county he was able to determine when the lots were combined. He provided copies of paperwork showing the property owner of lot 17 combined the two lots the same day they purchased lot 18. He explained, that property owner was the only property owner previous to the Vrys and he believed that information would have been known through the purchase. He explained that the Vrys purchased only one lot, even though the legal description states lot 17 and lot 18. Mr. Busing stated that the adjacent properties would be burdened by the requested lot split, noting that they were clear as to what could happen with the lot even though the property owner does not appear to be. He stated that the applicant stands to receive a lot of money if this proceeds and he did not believe that any fees should be waived if this is approved. He noted that 90% of the discussion of this matter involved misinformation regarding the combination of the lots, noting that he believed it should have been clear that the previous owner combined the lots at their desire, and advised that the issue should only be reviewed from the property status in 2005 forward because that is when the Vrys purchased the property. He stated that the ordinance governing this issue references a portion of City Code that does not exist. He restated his points and noted that the neighboring lots are much larger than the 70 foot wide lot proposed. He stated that he has an amazing view, as do the other neighbors, and would hate to see that ruined. He explained that he and the adjacent property owner purchased their properties with the knowledge of what could be done, none of those options being to split the lot. Jason Kozlovski, 11911 Mississippi Drive, stated that he was made aware of the potential lot split two weeks ago and opposes the request. He stated that he purchased his property with the knowledge that the lot in discussion was a 70 foot non-conforming/unbuildable lot. He did not see any area in this neighborhood where you could use a 70 foot stretch of land, include the setbacks and tree preservation efforts, to build a house. He stated that he is accepting of the fact that the existing home could be demolished and a larger home could be constructed on the large existing lot. He believed that the requested lot split would take away from the character of the neighborhood and he opposes the request. Resolution 2014-66 He did not believe that the request was practical or reasonable and it would negatively affect the neighborhood. Don Vry, 11848 Mississippi Drive, stated that there has been a lot of information presented to the Council that has not been vetted. He stated that his lot has always been developable, in the past as one lot and now under City Code as two lots and that is what he is requesting. He believed that the Planning Commission members did an excellent job reviewing the matter and advised that nothing has been done to circumvent the ordinance and requested that this item continue to move forward. The City Planner identified 70 foot wide lots along the same stretch of Mississippi Drive and noted that staff did consider the neighborhood aesthetics when making their recommendation. Councilmember Miller stated that he has been involved with staff discussion and has walked the property. He stated that he wished he could un-ring the bell in terms of the ordinance, which was previously passed, but felt that the Council's hands were tied. He hoped that the issue could be tabled to review the information that was brought forward as he believed that Mr. Buesing's points were valid. He stated that in walking the property there is a 29 inch Oak tree, which the language states they will "strive to save". He did not believe that would be sufficient language. Councilmember Karasek confirmed that this is not a variance request and that this request is within the standards of the ordinance that was recently passed. He thanked the residents for their input and information presented tonight but did not believe there was much the Council could do at this time to deny the request. He referenced the issue of park dedication fees and stated that he was on the fence because the ordinance does state that improved lots shall pay park dedication fees. He believed that the Council could only discuss park dedication fees at this point because the lot split request fits within the ordinance. The City Attorney stated that for the Council's consideration in taking action this evening the notice that was provided meets the required legal notice requirements. He referenced the issue of the standard to apply to the request and noted that the ordinance amendment states that the variance standards do not apply in this situation. He stated that the Council already acted upon the ordinance amendment and therefore can only apply the ordinance as it stands to this request. Councilmember Terry recognized staff's presented plan to improve the notification process in the future. She stated that if she would have had the information presented tonight, in the past, she may have voted against the ordinance amendment but she agreed that at this point that matter has passed. She asked for additional information regarding the referenced City Code number that does not exist. The City Planner explained that a typo was included in that language that should have listed 126.33. Councilmember Terry stated that she did not see a reason to excuse the park dedication fees. Councilmember Karasek referenced the City's Tree Preservation ordinance and asked for additional information. The City Planner explained that the ordinance depends on the situation and advised that the requirement would focus on preserving the trees around the perimeter and replacement would be needed for any removed trees within the building pad. Mayor Nelson stated that given the ordinance that was already passed the City has no choice but to move forward. He also believed that the full park dedication fee should be charged. Mayor Nelson introduced the following resolution and moved its adoption: A Resolution Approving a Waiver of Plat/Lot Split at 11912 Mississippi Drive The motion for the adoption of the resolution was duly seconded by Councilmember Karasek, and upon vote being taken thereon, the following voted in favor thereof: Mayor Nelson, Councilmembers Karasek, Miller and Terry, and the following voted against the same: none, whereupon said resolution was passed this 11 th day of August 2014. Council Presentations Appointment to the Environmental Resources Commission The City Clerk advised that Rick Klemesrud was recently interviewed by the Mayor, for the vacant Ward 4 position on the Environmental Resources Commission (ERC) and it is recommended that he be appointed. She noted that with his appointment the Commission would be at full membership. Motion Motion by Mayor Nelson and seconded by Councilmember Miller to appoint Rick Klemesrud to serve on the ERC as a representative of Ward 4 with a term ending December 31, 2016. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Adjournment The Champlin City Council adjourned the regular meeting at 8:35 p.m. ________________________________ ArMand Nelson, Mayor Attest: ____________________________ Roberta Colotti, CMC, City Clerk	<urn:uuid:021dbb9e-c6a4-4f6b-9e3b-82d86639d569>	CC-MAIN-2017-17	http://ci.champlin.mn.us/wp-content/uploads/2015/01/cc08-11-14.pdf	2017-04-26T02:00:17Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-17/segments/1492917121121.5/warc/CC-MAIN-20170423031201-00389-ip-10-145-167-34.ec2.internal.warc.gz	72,367,464	4,383	eng_Latn	eng_Latn	0.99708	eng_Latn	0.998434	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3463, 7904, 11696, 16434, 20569, 21445 ]	Minutes of the Proceedings of the City Council of the City of Champlin in the County of Hennepin and the State of Minnesota Pursuant to Due Call and Notice Thereof Regular Session August 11, 2014 Municipal Center Call to Order Pledge of Allegiance Roll Call Approval of Agenda (August 11, 2014) Motion Approval of Minutes Motion Approval of Bills (August 11, 2014) Motion Announcements Presentation of Donation from the Champlin Dayton Athletic Association for the Crime Prevention Fund The Champlin City Council met in Regular Session and was called to order by Mayor ArMand Nelson at 7:06 p.m. The Pledge of Allegiance was recited. Present were Mayor ArMand Nelson and Councilmembers Ryan Karasek, Bruce Miller and Kara Terry. Excused Absent: Councilmember Eric Johnson. Also present were City Administrator Bret Heitkamp, Community Development Director John Cox, City Engineer Tim Hanson, Park Facilities Manager Charlie Lehn, Assistant City Engineer Todd Tuominen, Police Chief David Kolb, City Planner Scott Schulte, City Clerk Roberta Colotti and City Attorney Scott Lepak. Motion by Councilmember Karasek and seconded by Councilmember Miller to approve the agenda for the August 11, 2014 Regular Meeting as presented. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Motion by Councilmember Miller and seconded by Councilmember Karasek to approve the minutes of the July 28, 2014 Worksession and July 28, 2014 Regular Meetings as presented. Voting in favor were Mayor Nelson, Councilmembers Johnson, Karasek, Miller and Terry. Voting against: none. Motion carried. Motion by Councilmember Miller and seconded by Councilmember Karasek to approve the bills as submitted for payment on August 11, 2014. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Mayor Nelson made the following announcements: * Council Worksession – Monday, August 25 th at 5:45 p.m. in the Council Conference Room. * The Primary Election is tomorrow, August 12 th , from 7:00 a.m. to 8:00 p.m. For information on polling locations and a sample ballot, log onto the City's website. A sample ballot is also posted at City Hall. * City Council Meeting – Monday, August 25 th at 7:00 p.m. in the Council Chambers. * The Farmer's Market will be held every Wednesday through October 8 th from 9:00 a.m. to 1:00 p.m. at the Ice Forum parking lot. Wednesday, August 13 th is free bottled water day. * City Council Budget Worksession – Tuesday, September 2 nd at 6:00 p.m. in the Mayor and Council Conference Room. * Dinner & A Movie – Friday, August 15 th at Andrews Park from 6:00 to 8:00 p.m. There will be inflatable slides, carnival games and pizza/concessions for sale. The movie Despicable Me 2 will start at dusk. Special Presentations The Police Chief accepted a donation from the Champlin Dayton Athletic Association (CDAA) in the amount of $3,000 to the Champlin Police Crime Prevention Fund to be used to fund the DARE program. The Police Chief reported that the Crime Prevention Fund was created in 2012 to support crime prevention programs, public education and community outreach by the Champlin Police Department. He introduced Todd Hudson who will be taking over the leadership role on the Crime Prevention Fund Board. He noted that the newest member, Pam Riddle, was recruited at the August 5 th Night to Unite event. Overview of Worksession Discussion (August 11 th at 5:45 p.m.) Acceptance of Military Tank Donation from American Legion Post 600 to the City of Champlin Motion Cedars of Elm Creek (Project No. 2014-13) The City Administrator reported that the City Council reviewed the scope and timeline for the Elm Creek Dam Project. He noted that reconstruction efforts could begin in the fall of 2014 or spring of 2015 with completion in 2016. He noted that the Council discussed bid options and alternatives for the project. The City Administrator reported that the Council also discussed the Infrastructure Replacement Plan. Consent Agenda Mayor Nelson requested to pull Item #1, "Acceptance of Military Tank Donation from the American Legion Post 600 to the City of Champlin", from the Consent Agenda for further discussion. The Park Facilities Manager reported that American Legion Post 600 recently sold their property located at 12450 Business Park Boulevard North. There is a M60A3 Tank that exists at the location that the Legion is requesting permission from the City to move to Veteran's Memorial Park, located at 505 East Hayden Lake Road. He reported that the Legion is coordinating with the U.S. Army for official approval of the move and gifting to the City of Champlin. He stated that the Legion will pay for the cost of constructing a cement support slab for the tank. He stated that there would be no additional park maintenance cost related to this addition to the park. The City Administrator explained that under the terms of the Conditional Deed of Gift, the tank remains the property of the U.S. Army indefinitely. Mayor Nelson stated that even though the Legion building will not remain, the organization will still be active and he believed that the tank should remain in the City. Motion by Councilmember Miller and seconded by Councilmember Terry to approve the agreement from American Legion Post 600 and the U.S. Army to move the M60A3 Tank from the Legion building site at12450 Business Park Boulevard North, to Veterans Memorial Park, located at 505 East Hayden Lake Road in Champlin for the purpose of display on the City's property as a long-term display. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Open Forum No comments made. New Business The City Planner presented a development request for property located along Hayden Lake Road and Vera Street for 34 detached townhomes and five single family homes. He stated that the plans have been reviewed by an engineering consultant, because of the elevation issues, to determine the best options for layout, parcel size, architectural details and other amenities. The City Planner identified recommended trail connections and noted that the City would work with the Three Rivers Park District to connect to their new trail. He stated that the area would also be maintained by an association. He identified the proposed connection to Vera Street and advised that the staff report explains why this connection is important. He stated that the developer held an Open House for the neighborhood in early July and some residents expressed concern regarding the Vera Street connection. He advised that the Planning Commission held a public hearing on July 21 st and of the residents in attendance one resident opposed the Vera Street connection and another voiced his support for the connection. He advised that the Planning Commission recommended approval of the request, noting that the Commission drafted an additional condition regarding lighting which staff does not support. He explained that staff would instead recommend the City approved lighting policy be followed. Councilmember Karasek stated that he has followed this issue for some time and he believed that the design of the project is very nice and it is an attractive development. He stated that while he acknowledges that some residents would not like the Vera Street connection it would allow the neighborhoods to connect to each other and would also provide additional trail connections for the existing residents. He believed that the builder/developer has done a great job accommodating the requests of the City and would supply a quality product that is in demand. He referenced Outlot B, proposed to be dedicated to the City, and confirmed the location of the parcel. Page 2 of 6 Champlin City Council 8-11-14 Resolution No. 2014-64 Approving the Cedars of Elm Creek Preliminary Planned Unit Development Plan Resolution No. 2014-65 Approving the Preliminary Plat of the Cedars of Elm Creek Ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 17 through 23, Block 2) Motion Ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 1 through 19, Block 1; Lots 1 Through 15, Block 2; Outlot A and Outlot B) Motion The City Planner confirmed that the developer intends to dedicate Outlot B to the City, explaining that the City owns the neighboring parcel and advised that this would help the City to establish the goal of preservation along the corridor. He noted that the developer does intend to dedicate that land in lieu of park dedication and advised that the Parks and Recreation Commission will review that request at their next meeting. Councilmember Miller agreed with the comments of Councilmember Karasek and believed that this would be a quality development. He referenced the connection to Vera Street and believed that it was necessary. Councilmember Terry also agreed with the comments made by the other Councilmembers. She noted that most of her questions had been answered through review of the Planning Commission minutes. She asked for additional information regarding a proposed trail connection. The City Planner provided additional information on the trail extension between lots 11 and 12, explaining that the developer will construct their portion of the trail with Three Rivers Park District to fund the remaining portion of the trail connection on their property. He confirmed the price point for these homes is between $280,000 and $350,000. Mayor Nelson recognized the desire of the Vera Street neighborhood to refuse the street connection but believed that the connection would improve public safety. He also agreed with the comments of the Council regarding the expected high quality of the proposed project. Councilmember Terry introduced the following resolution and moved its adoption: A Resolution Approving the Cedars of Elm Creek Preliminary Planned Unit Development Plan The motion for the adoption of the resolution was duly seconded by Councilmember Miller, and upon vote being taken thereon, the following voted in favor thereof: Mayor Nelson, Councilmembers Karasek, Miller and Terry, and the following voted against the same: none, whereupon said resolution was passed this 11th day of August 2014. Mayor Nelson introduced the following resolution and moved its adoption: A Resolution Approving the Preliminary Plat of the Cedars of Elm Creek The motion for the adoption of the resolution was duly seconded by Councilmember Miller, and upon vote being taken thereon, the following voted in favor thereof: Mayor Nelson, Councilmembers Karasek, Miller and Terry, and the following voted against the same: none, whereupon said resolution was passed this 11th day of August 2014. Motion by Mayor Nelson and seconded by Councilmember Miller to give first reading to an ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 17 through 23, Block 2), as presented. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Motion by Mayor Nelson and seconded by Councilmember Miller to give first reading to an ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 1 through 19, Block 1; Lots 1 Through 15, Block 2; Outlot A and Outlot B), as presented. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Waiver of Plat/Lot Split at 11912 Mississippi Drive: Don Vry (Project 2014-14) The City Planner presented a request for a waiver of plat/lot split for the property located at 11912 Mississippi Drive, owned by Don and Teresa Vry. He provided background information including information on the recently passed ordinance amendment enabling the lot split. He stated that the existing home resides on lot 17, while lot 18 is vacant. The City Planner stated that staff is recommending that the property owner be required to pay park dedication fees in the amount of $8,740. He advised that the Planning Commission reviewed this issue at their July meeting and at the request of the property owner the Planning Commission recommended waiving the park dedication fees. He stated that staff continues to maintain that park dedication fees should be paid. The City Planner stated that on July 28 th two residents appeared before the City Council on this matter and stated that they had not been notified of the July 21 st Planning Commission Public Hearing. He recommended that the City Council allow time this evening for these residents to speak on the matter of the lot split. He also reviewed the proposed changes to the City's notification practices. James Busing, 11906 Mississippi Drive, stated that he appeared before the City Council two weeks ago on this issue. He stated that he purchased his property as a retirement home because of the open and expansive view. He expressed his concern and frustration that he was not notified and that due process was not followed. He stated that most of the decisions made thus far had been based on misinformation. He stated that this neighborhood is very unique and open and he does not believe that he should be penalized for misinformation by the other property owner. Mr. Busing stated that nothing prior to the purchase of the property in 2005 should matter, noting that the property owner purchased his property with one PID and was clear on his options, none of which were a lot split. Mr. Busing referenced the complexity of the issue and explained that the county identifies a "lot" as a location only and the City actually controls the use of the property. He stated that he has nothing against Mr. Vry and his predicament. He stated that within 30 minutes of speaking with the county he was able to determine when the lots were combined. He provided copies of paperwork showing the property owner of lot 17 combined the two lots the same day they purchased lot 18. He explained, that property owner was the only property owner previous to the Vrys and he believed that information would have been known through the purchase. He explained that the Vrys purchased only one lot, even though the legal description states lot 17 and lot 18. Mr. Busing stated that the adjacent properties would be burdened by the requested lot split, noting that they were clear as to what could happen with the lot even though the property owner does not appear to be. He stated that the applicant stands to receive a lot of money if this proceeds and he did not believe that any fees should be waived if this is approved. He noted that 90% of the discussion of this matter involved misinformation regarding the combination of the lots, noting that he believed it should have been clear that the previous owner combined the lots at their desire, and advised that the issue should only be reviewed from the property status in 2005 forward because that is when the Vrys purchased the property. He stated that the ordinance governing this issue references a portion of City Code that does not exist. He restated his points and noted that the neighboring lots are much larger than the 70 foot wide lot proposed. He stated that he has an amazing view, as do the other neighbors, and would hate to see that ruined. He explained that he and the adjacent property owner purchased their properties with the knowledge of what could be done, none of those options being to split the lot. Jason Kozlovski, 11911 Mississippi Drive, stated that he was made aware of the potential lot split two weeks ago and opposes the request. He stated that he purchased his property with the knowledge that the lot in discussion was a 70 foot non-conforming/unbuildable lot. He did not see any area in this neighborhood where you could use a 70 foot stretch of land, include the setbacks and tree preservation efforts, to build a house. He stated that he is accepting of the fact that the existing home could be demolished and a larger home could be constructed on the large existing lot. He believed that the requested lot split would take away from the character of the neighborhood and he opposes the request. Resolution 2014-66 He did not believe that the request was practical or reasonable and it would negatively affect the neighborhood. Don Vry, 11848 Mississippi Drive, stated that there has been a lot of information presented to the Council that has not been vetted. He stated that his lot has always been developable, in the past as one lot and now under City Code as two lots and that is what he is requesting. He believed that the Planning Commission members did an excellent job reviewing the matter and advised that nothing has been done to circumvent the ordinance and requested that this item continue to move forward. The City Planner identified 70 foot wide lots along the same stretch of Mississippi Drive and noted that staff did consider the neighborhood aesthetics when making their recommendation. Councilmember Miller stated that he has been involved with staff discussion and has walked the property. He stated that he wished he could un-ring the bell in terms of the ordinance, which was previously passed, but felt that the Council's hands were tied. He hoped that the issue could be tabled to review the information that was brought forward as he believed that Mr. Buesing's points were valid. He stated that in walking the property there is a 29 inch Oak tree, which the language states they will "strive to save". He did not believe that would be sufficient language. Councilmember Karasek confirmed that this is not a variance request and that this request is within the standards of the ordinance that was recently passed. He thanked the residents for their input and information presented tonight but did not believe there was much the Council could do at this time to deny the request. He referenced the issue of park dedication fees and stated that he was on the fence because the ordinance does state that improved lots shall pay park dedication fees. He believed that the Council could only discuss park dedication fees at this point because the lot split request fits within the ordinance. The City Attorney stated that for the Council's consideration in taking action this evening the notice that was provided meets the required legal notice requirements. He referenced the issue of the standard to apply to the request and noted that the ordinance amendment states that the variance standards do not apply in this situation. He stated that the Council already acted upon the ordinance amendment and therefore can on	ly apply the ordinance as it stands to this request.		18,893	inside_word	only	remove_all	<url> http://ci.champlin.mn.us/wp-content/uploads/2015/01/cc08-11-14.pdf </url> <text> Minutes of the Proceedings of the City Council of the City of Champlin in the County of Hennepin and the State of Minnesota Pursuant to Due Call and Notice Thereof Regular Session August 11, 2014 Municipal Center Call to Order Pledge of Allegiance Roll Call Approval of Agenda (August 11, 2014) Motion Approval of Minutes Motion Approval of Bills (August 11, 2014) Motion Announcements Presentation of Donation from the Champlin Dayton Athletic Association for the Crime Prevention Fund The Champlin City Council met in Regular Session and was called to order by Mayor ArMand Nelson at 7:06 p.m. The Pledge of Allegiance was recited. Present were Mayor ArMand Nelson and Councilmembers Ryan Karasek, Bruce Miller and Kara Terry. Excused Absent: Councilmember Eric Johnson. Also present were City Administrator Bret Heitkamp, Community Development Director John Cox, City Engineer Tim Hanson, Park Facilities Manager Charlie Lehn, Assistant City Engineer Todd Tuominen, Police Chief David Kolb, City Planner Scott Schulte, City Clerk Roberta Colotti and City Attorney Scott Lepak. Motion by Councilmember Karasek and seconded by Councilmember Miller to approve the agenda for the August 11, 2014 Regular Meeting as presented. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Motion by Councilmember Miller and seconded by Councilmember Karasek to approve the minutes of the July 28, 2014 Worksession and July 28, 2014 Regular Meetings as presented. Voting in favor were Mayor Nelson, Councilmembers Johnson, Karasek, Miller and Terry. Voting against: none. Motion carried. Motion by Councilmember Miller and seconded by Councilmember Karasek to approve the bills as submitted for payment on August 11, 2014. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Mayor Nelson made the following announcements: * Council Worksession – Monday, August 25 th at 5:45 p.m. in the Council Conference Room. * The Primary Election is tomorrow, August 12 th , from 7:00 a.m. to 8:00 p.m. For information on polling locations and a sample ballot, log onto the City's website. A sample ballot is also posted at City Hall. * City Council Meeting – Monday, August 25 th at 7:00 p.m. in the Council Chambers. * The Farmer's Market will be held every Wednesday through October 8 th from 9:00 a.m. to 1:00 p.m. at the Ice Forum parking lot. Wednesday, August 13 th is free bottled water day. * City Council Budget Worksession – Tuesday, September 2 nd at 6:00 p.m. in the Mayor and Council Conference Room. * Dinner & A Movie – Friday, August 15 th at Andrews Park from 6:00 to 8:00 p.m. There will be inflatable slides, carnival games and pizza/concessions for sale. The movie Despicable Me 2 will start at dusk. Special Presentations The Police Chief accepted a donation from the Champlin Dayton Athletic Association (CDAA) in the amount of $3,000 to the Champlin Police Crime Prevention Fund to be used to fund the DARE program. The Police Chief reported that the Crime Prevention Fund was created in 2012 to support crime prevention programs, public education and community outreach by the Champlin Police Department. He introduced Todd Hudson who will be taking over the leadership role on the Crime Prevention Fund Board. He noted that the newest member, Pam Riddle, was recruited at the August 5 th Night to Unite event. Overview of Worksession Discussion (August 11 th at 5:45 p.m.) Acceptance of Military Tank Donation from American Legion Post 600 to the City of Champlin Motion Cedars of Elm Creek (Project No. 2014-13) The City Administrator reported that the City Council reviewed the scope and timeline for the Elm Creek Dam Project. He noted that reconstruction efforts could begin in the fall of 2014 or spring of 2015 with completion in 2016. He noted that the Council discussed bid options and alternatives for the project. The City Administrator reported that the Council also discussed the Infrastructure Replacement Plan. Consent Agenda Mayor Nelson requested to pull Item #1, "Acceptance of Military Tank Donation from the American Legion Post 600 to the City of Champlin", from the Consent Agenda for further discussion. The Park Facilities Manager reported that American Legion Post 600 recently sold their property located at 12450 Business Park Boulevard North. There is a M60A3 Tank that exists at the location that the Legion is requesting permission from the City to move to Veteran's Memorial Park, located at 505 East Hayden Lake Road. He reported that the Legion is coordinating with the U.S. Army for official approval of the move and gifting to the City of Champlin. He stated that the Legion will pay for the cost of constructing a cement support slab for the tank. He stated that there would be no additional park maintenance cost related to this addition to the park. The City Administrator explained that under the terms of the Conditional Deed of Gift, the tank remains the property of the U.S. Army indefinitely. Mayor Nelson stated that even though the Legion building will not remain, the organization will still be active and he believed that the tank should remain in the City. Motion by Councilmember Miller and seconded by Councilmember Terry to approve the agreement from American Legion Post 600 and the U.S. Army to move the M60A3 Tank from the Legion building site at12450 Business Park Boulevard North, to Veterans Memorial Park, located at 505 East Hayden Lake Road in Champlin for the purpose of display on the City's property as a long-term display. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Open Forum No comments made. New Business The City Planner presented a development request for property located along Hayden Lake Road and Vera Street for 34 detached townhomes and five single family homes. He stated that the plans have been reviewed by an engineering consultant, because of the elevation issues, to determine the best options for layout, parcel size, architectural details and other amenities. The City Planner identified recommended trail connections and noted that the City would work with the Three Rivers Park District to connect to their new trail. He stated that the area would also be maintained by an association. He identified the proposed connection to Vera Street and advised that the staff report explains why this connection is important. He stated that the developer held an Open House for the neighborhood in early July and some residents expressed concern regarding the Vera Street connection. He advised that the Planning Commission held a public hearing on July 21 st and of the residents in attendance one resident opposed the Vera Street connection and another voiced his support for the connection. He advised that the Planning Commission recommended approval of the request, noting that the Commission drafted an additional condition regarding lighting which staff does not support. He explained that staff would instead recommend the City approved lighting policy be followed. Councilmember Karasek stated that he has followed this issue for some time and he believed that the design of the project is very nice and it is an attractive development. He stated that while he acknowledges that some residents would not like the Vera Street connection it would allow the neighborhoods to connect to each other and would also provide additional trail connections for the existing residents. He believed that the builder/developer has done a great job accommodating the requests of the City and would supply a quality product that is in demand. He referenced Outlot B, proposed to be dedicated to the City, and confirmed the location of the parcel. Page 2 of 6 Champlin City Council 8-11-14 Resolution No. 2014-64 Approving the Cedars of Elm Creek Preliminary Planned Unit Development Plan Resolution No. 2014-65 Approving the Preliminary Plat of the Cedars of Elm Creek Ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 17 through 23, Block 2) Motion Ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 1 through 19, Block 1; Lots 1 Through 15, Block 2; Outlot A and Outlot B) Motion The City Planner confirmed that the developer intends to dedicate Outlot B to the City, explaining that the City owns the neighboring parcel and advised that this would help the City to establish the goal of preservation along the corridor. He noted that the developer does intend to dedicate that land in lieu of park dedication and advised that the Parks and Recreation Commission will review that request at their next meeting. Councilmember Miller agreed with the comments of Councilmember Karasek and believed that this would be a quality development. He referenced the connection to Vera Street and believed that it was necessary. Councilmember Terry also agreed with the comments made by the other Councilmembers. She noted that most of her questions had been answered through review of the Planning Commission minutes. She asked for additional information regarding a proposed trail connection. The City Planner provided additional information on the trail extension between lots 11 and 12, explaining that the developer will construct their portion of the trail with Three Rivers Park District to fund the remaining portion of the trail connection on their property. He confirmed the price point for these homes is between $280,000 and $350,000. Mayor Nelson recognized the desire of the Vera Street neighborhood to refuse the street connection but believed that the connection would improve public safety. He also agreed with the comments of the Council regarding the expected high quality of the proposed project. Councilmember Terry introduced the following resolution and moved its adoption: A Resolution Approving the Cedars of Elm Creek Preliminary Planned Unit Development Plan The motion for the adoption of the resolution was duly seconded by Councilmember Miller, and upon vote being taken thereon, the following voted in favor thereof: Mayor Nelson, Councilmembers Karasek, Miller and Terry, and the following voted against the same: none, whereupon said resolution was passed this 11th day of August 2014. Mayor Nelson introduced the following resolution and moved its adoption: A Resolution Approving the Preliminary Plat of the Cedars of Elm Creek The motion for the adoption of the resolution was duly seconded by Councilmember Miller, and upon vote being taken thereon, the following voted in favor thereof: Mayor Nelson, Councilmembers Karasek, Miller and Terry, and the following voted against the same: none, whereupon said resolution was passed this 11th day of August 2014. Motion by Mayor Nelson and seconded by Councilmember Miller to give first reading to an ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 17 through 23, Block 2), as presented. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Motion by Mayor Nelson and seconded by Councilmember Miller to give first reading to an ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 1 through 19, Block 1; Lots 1 Through 15, Block 2; Outlot A and Outlot B), as presented. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried. Waiver of Plat/Lot Split at 11912 Mississippi Drive: Don Vry (Project 2014-14) The City Planner presented a request for a waiver of plat/lot split for the property located at 11912 Mississippi Drive, owned by Don and Teresa Vry. He provided background information including information on the recently passed ordinance amendment enabling the lot split. He stated that the existing home resides on lot 17, while lot 18 is vacant. The City Planner stated that staff is recommending that the property owner be required to pay park dedication fees in the amount of $8,740. He advised that the Planning Commission reviewed this issue at their July meeting and at the request of the property owner the Planning Commission recommended waiving the park dedication fees. He stated that staff continues to maintain that park dedication fees should be paid. The City Planner stated that on July 28 th two residents appeared before the City Council on this matter and stated that they had not been notified of the July 21 st Planning Commission Public Hearing. He recommended that the City Council allow time this evening for these residents to speak on the matter of the lot split. He also reviewed the proposed changes to the City's notification practices. James Busing, 11906 Mississippi Drive, stated that he appeared before the City Council two weeks ago on this issue. He stated that he purchased his property as a retirement home because of the open and expansive view. He expressed his concern and frustration that he was not notified and that due process was not followed. He stated that most of the decisions made thus far had been based on misinformation. He stated that this neighborhood is very unique and open and he does not believe that he should be penalized for misinformation by the other property owner. Mr. Busing stated that nothing prior to the purchase of the property in 2005 should matter, noting that the property owner purchased his property with one PID and was clear on his options, none of which were a lot split. Mr. Busing referenced the complexity of the issue and explained that the county identifies a "lot" as a location only and the City actually controls the use of the property. He stated that he has nothing against Mr. Vry and his predicament. He stated that within 30 minutes of speaking with the county he was able to determine when the lots were combined. He provided copies of paperwork showing the property owner of lot 17 combined the two lots the same day they purchased lot 18. He explained, that property owner was the only property owner previous to the Vrys and he believed that information would have been known through the purchase. He explained that the Vrys purchased only one lot, even though the legal description states lot 17 and lot 18. Mr. Busing stated that the adjacent properties would be burdened by the requested lot split, noting that they were clear as to what could happen with the lot even though the property owner does not appear to be. He stated that the applicant stands to receive a lot of money if this proceeds and he did not believe that any fees should be waived if this is approved. He noted that 90% of the discussion of this matter involved misinformation regarding the combination of the lots, noting that he believed it should have been clear that the previous owner combined the lots at their desire, and advised that the issue should only be reviewed from the property status in 2005 forward because that is when the Vrys purchased the property. He stated that the ordinance governing this issue references a portion of City Code that does not exist. He restated his points and noted that the neighboring lots are much larger than the 70 foot wide lot proposed. He stated that he has an amazing view, as do the other neighbors, and would hate to see that ruined. He explained that he and the adjacent property owner purchased their properties with the knowledge of what could be done, none of those options being to split the lot. Jason Kozlovski, 11911 Mississippi Drive, stated that he was made aware of the potential lot split two weeks ago and opposes the request. He stated that he purchased his property with the knowledge that the lot in discussion was a 70 foot non-conforming/unbuildable lot. He did not see any area in this neighborhood where you could use a 70 foot stretch of land, include the setbacks and tree preservation efforts, to build a house. He stated that he is accepting of the fact that the existing home could be demolished and a larger home could be constructed on the large existing lot. He believed that the requested lot split would take away from the character of the neighborhood and he opposes the request. Resolution 2014-66 He did not believe that the request was practical or reasonable and it would negatively affect the neighborhood. Don Vry, 11848 Mississippi Drive, stated that there has been a lot of information presented to the Council that has not been vetted. He stated that his lot has always been developable, in the past as one lot and now under City Code as two lots and that is what he is requesting. He believed that the Planning Commission members did an excellent job reviewing the matter and advised that nothing has been done to circumvent the ordinance and requested that this item continue to move forward. The City Planner identified 70 foot wide lots along the same stretch of Mississippi Drive and noted that staff did consider the neighborhood aesthetics when making their recommendation. Councilmember Miller stated that he has been involved with staff discussion and has walked the property. He stated that he wished he could un-ring the bell in terms of the ordinance, which was previously passed, but felt that the Council's hands were tied. He hoped that the issue could be tabled to review the information that was brought forward as he believed that Mr. Buesing's points were valid. He stated that in walking the property there is a 29 inch Oak tree, which the language states they will "strive to save". He did not believe that would be sufficient language. Councilmember Karasek confirmed that this is not a variance request and that this request is within the standards of the ordinance that was recently passed. He thanked the residents for their input and information presented tonight but did not believe there was much the Council could do at this time to deny the request. He referenced the issue of park dedication fees and stated that he was on the fence because the ordinance does state that improved lots shall pay park dedication fees. He believed that the Council could only discuss park dedication fees at this point because the lot split request fits within the ordinance. The City Attorney stated that for the Council's consideration in taking action this evening the notice that was provided meets the required legal notice requirements. He referenced the issue of the standard to apply to the request and noted that the ordinance amendment states that the variance standards do not apply in this situation. He stated that the Council already acted upon the ordinance amendment and therefore can on<cursor_is_here> </text>	[ { "content": "<url>\nhttp://ci.champlin.mn.us/wp-content/uploads/2015/01/cc08-11-14.pdf\n</url>\n<text>\nMinutes of the Proceedings of the City Council of the City of Champlin in the County of Hennepin and the State of Minnesota Pursuant to Due Call and Notice Thereof\n\nRegular Session August 11, 2014 Municipal Center\n\nCall to Order\n\nPledge of Allegiance\n\nRoll Call\n\nApproval of Agenda (August 11, 2014) Motion\n\nApproval of Minutes Motion\n\nApproval of Bills (August 11, 2014) Motion\n\nAnnouncements\n\nPresentation of Donation from the Champlin Dayton Athletic Association for the Crime Prevention Fund\n\nThe Champlin City Council met in Regular Session and was called to order by Mayor ArMand Nelson at 7:06 p.m.\n\nThe Pledge of Allegiance was recited.\n\nPresent were Mayor ArMand Nelson and Councilmembers Ryan Karasek, Bruce Miller and Kara Terry.\n\nExcused Absent: Councilmember Eric Johnson.\n\nAlso present were City Administrator Bret Heitkamp, Community Development Director John Cox, City Engineer Tim Hanson, Park Facilities Manager Charlie Lehn, Assistant City Engineer Todd Tuominen, Police Chief David Kolb, City Planner Scott Schulte, City Clerk Roberta Colotti and City Attorney Scott Lepak.\n\nMotion by Councilmember Karasek and seconded by Councilmember Miller to approve the agenda for the August 11, 2014 Regular Meeting as presented. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried.\n\nMotion by Councilmember Miller and seconded by Councilmember Karasek to approve the minutes of the July 28, 2014 Worksession and July 28, 2014 Regular Meetings as presented. Voting in favor were Mayor Nelson, Councilmembers Johnson, Karasek, Miller and Terry. Voting against: none. Motion carried.\n\nMotion by Councilmember Miller and seconded by Councilmember Karasek to approve the bills as submitted for payment on August 11, 2014. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried.\n\nMayor Nelson made the following announcements:\n\n* Council Worksession – Monday, August 25 th at 5:45 p.m. in the Council Conference Room.\n* The Primary Election is tomorrow, August 12 th , from 7:00 a.m. to 8:00 p.m. For information on polling locations and a sample ballot, log onto the City's website. A sample ballot is also posted at City Hall.\n* City Council Meeting – Monday, August 25 th at 7:00 p.m. in the Council Chambers.\n* The Farmer's Market will be held every Wednesday through October 8 th from 9:00 a.m. to 1:00 p.m. at the Ice Forum parking lot. Wednesday, August 13 th is free bottled water day.\n* City Council Budget Worksession – Tuesday, September 2 nd at 6:00 p.m. in the Mayor and Council Conference Room.\n* Dinner & A Movie – Friday, August 15 th at Andrews Park from 6:00 to 8:00 p.m. There will be inflatable slides, carnival games and pizza/concessions for sale. The movie Despicable Me 2 will start at dusk.\n\nSpecial Presentations\n\nThe Police Chief accepted a donation from the Champlin Dayton Athletic Association (CDAA) in the amount of $3,000 to the Champlin Police Crime Prevention Fund to be used to fund the DARE program. The Police Chief reported that the Crime Prevention Fund was created in 2012 to support crime prevention programs, public education and community outreach by the Champlin Police Department. He introduced Todd Hudson who will be taking over the leadership role on the Crime Prevention Fund Board. He noted that the newest member, Pam Riddle, was recruited at the August 5 th Night to Unite event.\n\nOverview of Worksession Discussion (August 11 th at 5:45 p.m.)\n\nAcceptance of Military Tank Donation from American Legion Post 600 to the City of Champlin Motion\n\nCedars of Elm Creek (Project No. 2014-13)\n\nThe City Administrator reported that the City Council reviewed the scope and timeline for the Elm Creek Dam Project. He noted that reconstruction efforts could begin in the fall of 2014 or spring of 2015 with completion in 2016. He noted that the Council discussed bid options and alternatives for the project.\n\nThe City Administrator reported that the Council also discussed the Infrastructure Replacement Plan.\n\nConsent Agenda\n\nMayor Nelson requested to pull Item #1, \"Acceptance of Military Tank Donation from the American Legion Post 600 to the City of Champlin\", from the Consent Agenda for further discussion.\n\nThe Park Facilities Manager reported that American Legion Post 600 recently sold their property located at 12450 Business Park Boulevard North. There is a M60A3 Tank that exists at the location that the Legion is requesting permission from the City to move to Veteran's Memorial Park, located at 505 East Hayden Lake Road. He reported that the Legion is coordinating with the U.S. Army for official approval of the move and gifting to the City of Champlin. He stated that the Legion will pay for the cost of constructing a cement support slab for the tank. He stated that there would be no additional park maintenance cost related to this addition to the park.\n\nThe City Administrator explained that under the terms of the Conditional Deed of Gift, the tank remains the property of the U.S. Army indefinitely.\n\nMayor Nelson stated that even though the Legion building will not remain, the organization will still be active and he believed that the tank should remain in the City.\n\nMotion by Councilmember Miller and seconded by Councilmember Terry to approve the agreement from American Legion Post 600 and the U.S. Army to move the M60A3 Tank from the Legion building site at12450 Business Park Boulevard North, to Veterans Memorial Park, located at 505 East Hayden Lake Road in Champlin for the purpose of display on the City's property as a long-term display. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried.\n\nOpen Forum\n\nNo comments made.\n\nNew Business\n\nThe City Planner presented a development request for property located along Hayden Lake Road and Vera Street for 34 detached townhomes and five single family homes. He stated that the plans have been reviewed by an engineering consultant, because of the elevation issues, to determine the best options for layout, parcel size, architectural details and other amenities.\n\nThe City Planner identified recommended trail connections and noted that the City would work with the Three Rivers Park District to connect to their new trail. He stated that the area would also be maintained by an association. He identified the proposed connection to Vera Street and advised that the staff report explains why this connection is important. He stated that the developer held an Open House for the neighborhood in early July and some residents expressed concern regarding the Vera Street connection. He advised that the Planning Commission held a public hearing on July 21 st and of the residents in attendance one resident opposed the Vera Street connection and another voiced his support for the connection. He advised that the Planning Commission recommended approval of the request, noting that the Commission drafted an additional condition regarding lighting which staff does not support. He explained that staff would instead recommend the City approved lighting policy be followed.\n\nCouncilmember Karasek stated that he has followed this issue for some time and he believed that the design of the project is very nice and it is an attractive development. He stated that while he acknowledges that some residents would not like the Vera Street connection it would allow the neighborhoods to connect to each other and would also provide additional trail connections for the existing residents. He believed that the builder/developer has done a great job accommodating the requests of the City and would supply a quality product that is in demand. He referenced Outlot B, proposed to be dedicated to the City, and confirmed the location of the parcel.\n\nPage 2 of 6 Champlin City Council 8-11-14\n\nResolution No. 2014-64 Approving the Cedars of Elm Creek Preliminary Planned Unit Development Plan\n\nResolution No. 2014-65 Approving the Preliminary Plat of the Cedars of Elm Creek\n\nOrdinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 17 through 23, Block 2) Motion\n\nOrdinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 1 through 19, Block 1; Lots 1 Through 15, Block 2; Outlot A and Outlot B) Motion\n\nThe City Planner confirmed that the developer intends to dedicate Outlot B to the City, explaining that the City owns the neighboring parcel and advised that this would help the City to establish the goal of preservation along the corridor. He noted that the developer does intend to dedicate that land in lieu of park dedication and advised that the Parks and Recreation Commission will review that request at their next meeting.\n\nCouncilmember Miller agreed with the comments of Councilmember Karasek and believed that this would be a quality development. He referenced the connection to Vera Street and believed that it was necessary.\n\nCouncilmember Terry also agreed with the comments made by the other Councilmembers. She noted that most of her questions had been answered through review of the Planning Commission minutes. She asked for additional information regarding a proposed trail connection.\n\nThe City Planner provided additional information on the trail extension between lots 11 and 12, explaining that the developer will construct their portion of the trail with Three Rivers Park District to fund the remaining portion of the trail connection on their property. He confirmed the price point for these homes is between $280,000 and $350,000.\n\nMayor Nelson recognized the desire of the Vera Street neighborhood to refuse the street connection but believed that the connection would improve public safety. He also agreed with the comments of the Council regarding the expected high quality of the proposed project.\n\nCouncilmember Terry introduced the following resolution and moved its adoption:\n\nA Resolution Approving the Cedars of Elm Creek Preliminary Planned Unit Development Plan\n\nThe motion for the adoption of the resolution was duly seconded by Councilmember Miller, and upon vote being taken thereon, the following voted in favor thereof: Mayor Nelson, Councilmembers Karasek, Miller and Terry, and the following voted against the same: none, whereupon said resolution was passed this 11th day of August 2014.\n\nMayor Nelson introduced the following resolution and moved its adoption:\n\nA Resolution Approving the Preliminary Plat of the Cedars of Elm Creek\n\nThe motion for the adoption of the resolution was duly seconded by Councilmember Miller, and upon vote being taken thereon, the following voted in favor thereof: Mayor Nelson, Councilmembers Karasek, Miller and Terry, and the following voted against the same: none, whereupon said resolution was passed this 11th day of August 2014.\n\nMotion by Mayor Nelson and seconded by Councilmember Miller to give first reading to an ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 17 through 23, Block 2), as presented. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried.\n\nMotion by Mayor Nelson and seconded by Councilmember Miller to give first reading to an ordinance Amending the City of Champlin Zoning Map Relative to Property Know as the Cedars of Elm Creek (Lots 1 through 19, Block 1; Lots 1 Through 15, Block 2; Outlot A and Outlot B), as presented. Voting in favor were Mayor Nelson, Councilmembers Karasek, Miller and Terry. Voting against: none. Motion carried.\n\nWaiver of Plat/Lot Split at 11912 Mississippi Drive: Don Vry (Project 2014-14)\n\nThe City Planner presented a request for a waiver of plat/lot split for the property located at 11912 Mississippi Drive, owned by Don and Teresa Vry. He provided background information including information on the recently passed ordinance amendment enabling the lot split. He stated that the existing home resides on lot 17, while lot 18 is vacant.\n\nThe City Planner stated that staff is recommending that the property owner be required to pay park dedication fees in the amount of $8,740. He advised that the Planning Commission reviewed this issue at their July meeting and at the request of the property owner the Planning Commission recommended waiving the park dedication fees. He stated that staff continues to maintain that park dedication fees should be paid.\n\nThe City Planner stated that on July 28 th two residents appeared before the City Council on this matter and stated that they had not been notified of the July 21 st Planning Commission Public Hearing. He recommended that the City Council allow time this evening for these residents to speak on the matter of the lot split. He also reviewed the proposed changes to the City's notification practices.\n\nJames Busing, 11906 Mississippi Drive, stated that he appeared before the City Council two weeks ago on this issue. He stated that he purchased his property as a retirement home because of the open and expansive view. He expressed his concern and frustration that he was not notified and that due process was not followed. He stated that most of the decisions made thus far had been based on misinformation. He stated that this neighborhood is very unique and open and he does not believe that he should be penalized for misinformation by the other property owner.\n\nMr. Busing stated that nothing prior to the purchase of the property in 2005 should matter, noting that the property owner purchased his property with one PID and was clear on his options, none of which were a lot split.\n\nMr. Busing referenced the complexity of the issue and explained that the county identifies a \"lot\" as a location only and the City actually controls the use of the property. He stated that he has nothing against Mr. Vry and his predicament. He stated that within 30 minutes of speaking with the county he was able to determine when the lots were combined. He provided copies of paperwork showing the property owner of lot 17 combined the two lots the same day they purchased lot 18. He explained, that property owner was the only property owner previous to the Vrys and he believed that information would have been known through the purchase. He explained that the Vrys purchased only one lot, even though the legal description states lot 17 and lot 18.\n\nMr. Busing stated that the adjacent properties would be burdened by the requested lot split, noting that they were clear as to what could happen with the lot even though the property owner does not appear to be. He stated that the applicant stands to receive a lot of money if this proceeds and he did not believe that any fees should be waived if this is approved. He noted that 90% of the discussion of this matter involved misinformation regarding the combination of the lots, noting that he believed it should have been clear that the previous owner combined the lots at their desire, and advised that the issue should only be reviewed from the property status in 2005 forward because that is when the Vrys purchased the property. He stated that the ordinance governing this issue references a portion of City Code that does not exist. He restated his points and noted that the neighboring lots are much larger than the 70 foot wide lot proposed. He stated that he has an amazing view, as do the other neighbors, and would hate to see that ruined. He explained that he and the adjacent property owner purchased their properties with the knowledge of what could be done, none of those options being to split the lot.\n\nJason Kozlovski, 11911 Mississippi Drive, stated that he was made aware of the potential lot split two weeks ago and opposes the request. He stated that he purchased his property with the knowledge that the lot in discussion was a 70 foot non-conforming/unbuildable lot. He did not see any area in this neighborhood where you could use a 70 foot stretch of land, include the setbacks and tree preservation efforts, to build a house. He stated that he is accepting of the fact that the existing home could be demolished and a larger home could be constructed on the large existing lot. He believed that the requested lot split would take away from the character of the neighborhood and he opposes the request.\n\nResolution 2014-66\n\nHe did not believe that the request was practical or reasonable and it would negatively affect the neighborhood.\n\nDon Vry, 11848 Mississippi Drive, stated that there has been a lot of information presented to the Council that has not been vetted. He stated that his lot has always been developable, in the past as one lot and now under City Code as two lots and that is what he is requesting. He believed that the Planning Commission members did an excellent job reviewing the matter and advised that nothing has been done to circumvent the ordinance and requested that this item continue to move forward.\n\nThe City Planner identified 70 foot wide lots along the same stretch of Mississippi Drive and noted that staff did consider the neighborhood aesthetics when making their recommendation.\n\nCouncilmember Miller stated that he has been involved with staff discussion and has walked the property. He stated that he wished he could un-ring the bell in terms of the ordinance, which was previously passed, but felt that the Council's hands were tied. He hoped that the issue could be tabled to review the information that was brought forward as he believed that Mr. Buesing's points were valid. He stated that in walking the property there is a 29 inch Oak tree, which the language states they will \"strive to save\". He did not believe that would be sufficient language.\n\nCouncilmember Karasek confirmed that this is not a variance request and that this request is within the standards of the ordinance that was recently passed. He thanked the residents for their input and information presented tonight but did not believe there was much the Council could do at this time to deny the request. He referenced the issue of park dedication fees and stated that he was on the fence because the ordinance does state that improved lots shall pay park dedication fees. He believed that the Council could only discuss park dedication fees at this point because the lot split request fits within the ordinance.\n\nThe City Attorney stated that for the Council's consideration in taking action this evening the notice that was provided meets the required legal notice requirements. He referenced the issue of the standard to apply to the request and noted that the ordinance amendment states that the variance standards do not apply in this situation. He stated that the Council already acted upon the ordinance amendment and therefore can on<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "ly apply the ordinance as it stands to this request.", "role": "assistant" } ]
No association of GSTM1 null polymorphism with endometriosis in women from central and southern Iran Seyed Morteza Seifati 1 Ph.D., Kazem Parivar 1 Ph.D., Abbas Aflatoonian 2 M.D., Razieh Dehghani Firouzabadi 2 M.D., Mohammad Hasan Sheikhha 2 M.D., Ph.D. 1 Department of Biology, Science and Research Branch, Islamic Azad University, Tehran, Iran. 2 Research and Clinical Center for Infertility, Shahid Sadoughi University of Medical Sciences, Yazd, Iran. Received: 20 April 2011; accepted: 15 June 2011 Abstract Background: Endometriosis is one of the most common gynecologic disorders. It is a complex trait and both genetic and environmental factors have been implicated in its pathogenesis. There is growing evidence indicating that exposure to environmental contaminants is a risk factor for endometriosis. Glutathione-S-Transferase M1 (GSTM1) is one of the genes involved in detoxification of endogenous and exogenous compounds. Objective: Several studies have indicated an association between GSTM1 null mutation and endometriosis. In this study, the possible association between the GSTM1 gene null genotype and susceptibility to endometriosis in woman from central and southern Iran was investigated. Materials and Methods: One hundred and one unrelated premenopausal women with endometriosis and 142 unrelated healthy premenopausal women without endometriosis were enrolled in the study. Genomic DNA was extracted from Peripheral blood in all subjects. GSTM1 null genotyping was performed by polymerase chain reaction (PCR). Results: There was no significant difference between frequencies of GSTM1 null genotype in case and control groups (50.5% Vs. 52.1%, p=0.804). Furthermore, this genotype was not associated with severity of endometriosis in our sample (p=0.77). Conclusion: further studies involving gene-environment and gene-gene interactions, particularly combination of GSTM1 and other GST gene family polymorphisms are needed. Key words: Endometriosis, Glutathione-S-Transferase M1, Null genotype. This article was extracted from Ph.D. thesis. Introduction infertile women (3). Endometriosis (MIM 131200) is one of the most common gynecologic disorders and a cause of infertility in women. It is characterized by ectopic growth of endometrial tissue outside uterus cavity (1). The disease has been reported in 2-22% of women of reproductive age (2) and in 5-50% of Corresponding Author: Seyed Morteza Seifati, Department of Biology, Science and Research Branch, Islamic Azad University, Tehran, Iran. Email: [email protected] In spite of decades of clinical and basic research on endometriosis, little is known about its etiology and pathogenesis (4). The most widely held theory postulates that viable endometrial cells are carried to peritoneal cavity through Fallopian tubes by retrograde menstruation and are implanted there, giving rise to endometriosis (5). The fact that menstrual debris are found in peritoneal cavity of up to 90% of menstruating women casts some doubt on this theory (6). Endometriosis is a complex trait and both genetic and environmental factors have been implicated in this disease (7). The role of genetic factors in endometriosis has been assessed and confirmed through numerous studies (8-13). These studies show a higher risk of endometriosis in first-degree relatives of endometriosis patients compared to general population (10, 11, 14). Twin studies provide further evidence of genetic propensity to endometriosis. These studies show a higher risk of endometriosis in monozygotic twins compared to dizygotic twins (15-17). Several studies have attempted to identify endometriosis susceptibility genes. Candidate genes studied thus far include genes involved in inflammation, steroid synthesis, and detoxification. Prominent among the latter are glutathione-S-transferases (GSTs) (7, 18). Numerous studies indicate a relation between environmental pollutants and endometriosis (1921). It has been postulated that variants of genes involved in detoxification of these pollutants may play a role in endometriosis (22). GSTs are phase II detoxifying enzymes, catalyzing conjugation of electrophilic and hydrophobic compounds to reduced glutathione, thereby eliminating their toxicity (23). These enzymes are involved in detoxification of a wide range of toxic and carcinogenic substrates (24). Many of the known substrates of GSTs are xenobiotic substances and environmental pollutants. Different classes of these enzymes are specific for different substrates (25). Compounds like dioxins, which are ubiquitously present as known environmental pollutants throughout the world and impinge upon the food chain, are among GST's substrates (22, 26). In humans, cytosolic GSTs comprise six classes of enzymes including Mu (µ), Omega (ω), Pi (π), Theta (θ), and Zeta (ζ). Each of these classes is coded by one gene or gene subfamily (27). Glutathione-S-transferase M (GSTM) exists in 5 isoforms (GSTM1-5) and belongs to µ class. A gene cluster on chromosome 1 encodes these isoforms (28). GSTM1 gene is located on chromosome 1p13.3 and has four different alleles. GSTM1A and GSTM1B alleles are functionally similar and differ in only one amino acid (p.K172N). GSTM11×2 allele comprises two tandemly located genes, both of which are active (29). GSTM10 allele contains a deletional mutation. Due to the extent of this deletion, no mRNA or protein product is coded by the allele (30). A/A, A/O, B/B, and B/O genotype are all active and produce functional enzyme but O/O genotype causes a complete lack of enzymatic activity and is therefore called the null genotype (30, 31). Frequency of the null genotype differs in different ethnicities. It is estimated at 50% among Caucasians, 67% in Australians and 22% in Nigerians (32). GSTM1 enzyme metabolizes and detoxifies many exogenous and endogenous substrates, including dioxins, and also oxidative stress products produced during repair of ovarian epithelium after follicle rupture such as lipid hydro-peroxides, alkanes, and DNA hydroperoxides (22, 26). Several studies have indicated an association between GSTM1 null mutation and endometriosis. GSTM1 null mutation has been associated with endometriosis in Russian, French, Indian, Chinese, Taiwanese, and Turkish women (33-40). No such association has been observed in English, Japanese, and Korean women (23, 26, 41, 42). To investigate the possible association between the GSTM1 gene null genotype and susceptibility to endometriosis and also its severity, we performed a case-control study in woman of central and southern Iran. Materials and methods Study population This case-control study was conducted between February 2009 and January 2011. On the whole, 101 unrelated premenopausal women with endometriosis were recruited at Yazd Mothers' Hospital and the Yazd Research and Clinical Center for Infertility, which are referral points for central and southern regions of Iran. Endometriosis was confirmed in subjects by laparoscopy after clinical examination. Laparoscopy was performed by an experienced gynecologist. Patients were staged (I-V) according to the guidelines of American Society for Reproductive Medicine (ASRM) classification system for endometriosis (1997). The control group consisted of 142 unrelated healthy premenopausal women undergoing Cesarean section or hysterectomy at the same centers with no history of endometriosis and without any lesion suggesting endometriosis during Cesarean section or hysterectomy. Age ranged from 20 to 43 years in endometriosis group and from 17 to 52 years in control group. The study was approved by the Ethics Committee and Research Committee of Yazd Research and Clinical Center for Infertility. Written informed consent was obtained from all participants. DNA analysis Peripheral blood from patients and controls was collected in EDTA-containing tubes. Genomic DNA extraction was performed using AccuPrep ® Genomic DNA Extraction Kit (Bioneer, South Korea) based on manufacturer's manual. GSTM1 genotyping for gene deletion was carried out by PCR. Part of the GSTM1 gene inside deletion area was amplified using primers 5'-GAACTCCCTGAAAAGCTAAAGC-3' (forward) and 5'- CTTGGGCTCAAATATACGGTGG-3' (reverse) (Cinnagen, Iran(. To check for the success of amplification, a set of β-globin gene primers [5'-GAAGAGCCAAGG ACAGGTAC-3' (forward) and 5'-CCACTTCATC CACGTTCACC-3' (reverse)] was added to each PCR tube which amplified a 268 base pair segment of this gene. Each amplification reaction contained 100ng genomic DNA, 1× PCR buffer [50 mM KCl, 10 mM tris-HCl (pH 8.4)], 1.5mM MgCl2 ، 200 μM dNTP, 10 pmol of each primers, and 1.5 U Taq DNA polymerase (Cinnagen, Iran( in a final volume of 25 μl. Amplification was performed with initial denaturation at 94ºC for 5 min, followed by 35 cycles of amplification which was performed at 94ºC for 1 min, 60ºC for 1 min and 72ºC for 1 min and a final extension at 72ºC for 10 min, using Mastercycler (Eppendorf, Germany). PCR products were detected by 1.5% (w/v) agarose gel electrophoresis. In homozygote non-null and heterozygote subjects a 219 base pair band is observed in agarose gel. The absence of this band (in the presence of β-globin PCR product) indicates the homozygote null genotype. Statistical analysis Fisher's exact test was used to compare genotype distributions between endometriosis and controls. Two-sample t-test was performed to compare age, Body Mass Index (BMI), age at menarche, parity and infertility between the endometriosis and control groups. P-value<0.05 was considered statistically significant. All analyses were conducted using the Statistical Package for Social Science version 11.5 (SPSS Inc., Chicago, IL). Results Of the total of 101 patients, 15 (14.8%) had stage I (minimal), 39 (38.6%) had stage II (mild), 24 (23.8%) had stage III (moderate) and 23 (22.8%) had stage IV (severe) endometriosis. 76 patients (75%) suffered from dysmenorrhea, 28 (27.7%) from dysparonhea and 9 (8.9%) from pelvic pain. In 25 (24.8%) patients neither of these symptoms was observed. No statistically significant difference was observed in the age and infertility of patient and control groups but there were significant differences in BMI, age at menarche, and parity between the two groups (Table I). GSTM1 null genotyping was carried out successfully for all patients and controls. In table 2, frequency of null genotype in GSTM1 gene has been shown for 101 endometriosis patients and 142 controls. There was no statistically significant difference in the frequency of GSTM1 null genotype between patient and control groups (p=0.804). The frequency of GSTM1 null genotype was 45% in patients with advanced stages of the diseases (stages III and IV) and 55% in patients with the early stages (stages I and II). This difference was not statistically significant (p=0.77). Table I. General characteristics of endometriosis patients and control group. b Fisher's exact test a t test Table 2. Frequencies of GSTM1 null and non-null genotypes in endometriosis patients and control group. a Fisher's exact test Discussion The role of genetic factors in endometriosis has been assessed and confirmed through numerous familial and twin studies in different populations (10, 11, 14-17) and several studies have implicated GSTM1 gene as a possible candidate gene for susceptibility to endometriosis (18). We performed a case-control study in woman of central and southern Iran to test the hypothesis that the GSTM1 gene null genotype is associated with susceptibility to endometriosis or severity of it. Our study showed no significant difference between the frequencies of GSTM1 null genotype in case and control groups (50.5% versus 52.1%, p=0.804). Also, this genotype was not associated with severity of endometriosis in our sample (p=0.77). This is in accordance with the OXEGENE Collaborative study in England (2001) (26), and studies performed by Baxter et al (2001) in Southern England (41), Morizane et al (2004) in Japanese women (23), and Hur et al (2005) in Korean women (42). These studies found no association between GSTM1 null genotype and endometriosis. On the other hand, Baranov et al (1996) and Ivashchenko et al (2003) reported such an association among Russian women (33, 43). Subsequent studies by Baranova et al (1999) in French women (44), Lin et al (2003) and Peng et al (2003) in Chinese women (37, 38), Hsieh et al (2004) in Taiwanese women (39), Babu et al (2005) and Roya et al (2009) in Indian women (35, 36), and Aban et al in Turkish women (40) yielded similar results. Recently, a study performed in Rasht in northern Iran also showed such an association (45).These different results in different populations are to be expected. Association between a gene variant and a disease might only be manifest in populations with a particular genetic and environment background. Circumstances like linkage disequilibrium, gene-gene interactions, and gene-environment interactions can lead to failure of replication of results in association studies in populations with different genetic and environment backgrounds (46). There is growing evidence indicating that interaction of xenobiotic compounds present in different environments with variants of genes involved in their detoxification may change the risk of endometriosis (47). For example, Roya et al (2009) studied polychlorinated biphenyls (PCBs) and GSTM1 polymorphism and their possible role in the pathogenesis of endometriosis in Indian women. They found that women with GSTM1 null phenotype and higher concentrations of PCBs might have an increased susceptibility to endometriosis (36). Taking these considerations into account, further studies in a variety of populations, involving gene-environment and gene-gene interactions, particularly combination of polymorphisms of GSTM1 and other types of GST gene family are needed to elucidate the relation of GSTM1 polymorphisms and endometriosis. Acknowledgements This study was supported by a grant from Yazd Research and Clinical Center for Infertility. References 1. Ozkan S, Murk W, Arici A. Endometriosis and infertility: epidemiology and evidence-based treatments. Ann N Y Acad Sci 2008; 1127: 92-100. 2. Mahmood TA, Templeton AA, Thomson L, Fraser C. Menstrual symptoms in women with pelvic endometriosis. Br J Obstet Gynaecol 1991; 98: 558-563. 3. Missmer SA, Cramer DW. The epidemiology of endometriosis. Obstet Gynecol Clin North Am 2003; 30: 119. 4. D'Hooghe TM, Debrock S, Hill JA, Meuleman C. Endometriosis and subfertility: is the relationship resolved? Semin Reprod Med 2003; 21: 243-254. 5. Sampson JA. Metastatic or Embolic Endometriosis, due to the Menstrual Dissemination of Endometrial Tissue into the Venous Circulation. Am J Pathol 1927; 3: 93-110. 6. Seli E, Arici A. Endometriosis: interaction of immune and endocrine systems. Semin Reprod Med 2003; 21: 135-144. 7. Montgomery GW, Nyholt DR, Zhao ZZ, Treloar SA, Painter JN, Missmer SA, et al. The search for genes contributing to endometriosis risk. Hum Reprod Update 2008; 14: 447-457. 8. Kennedy S. The genetics of endometriosis. J Reprod Med 1998; 43 (Suppl.): 263-268. 9. Zondervan KT, Cardon LR, Kennedy SH. The genetic basis of endometriosis. Curr Opin Obstet gynecol 2001; 13: 309-314. 10. Simpson JL, Bischoff FZ. Heritability and molecular genetic studies of endometriosis. Ann N Y Acad Sci 2002; 955: 239-251. 11. Stefansson H, Geirsson RT, Steinthorsdottir V, Jonsson H, Manolescu A, Kong A, et al. Genetic factors contribute to the risk of developing endometriosis. Hum Reprod 2002; 17: 555-559. 12. Treloar S, Hadfield R, Montgomery G, Lambert A, Wicks J, Barlow DH, et al. The International Endogene Study: a collection of families for genetic research in endometriosis. Fertil Steril 2002; 78: 679-685. 13. Vigano P, Infantino M, Lattuada D, Lauletta R, Ponti E, Somigliana E, et al. Intercellular adhesion molecule-1 (ICAM-1) gene polymorphisms in endometriosis. Mol Hum Reprod 2003; 9: 47-52. 14. Kennedy S, Mardon H, Barlow D. Familial endometriosis. J Assist Reprod Genet 1995; 12: 32-34. 15. Moen MH. Endometriosis in monozygotic twins. Acta Obstet Gynecol Scand 1994; 73: 59-62. 16. Hadfield RM, Mardon HJ, Barlow DH, Kennedy SH. Endometriosis in monozygotic twins. Fertil Steril 1997; 68: 941-942. 17. Treloar SA, O'Connor DT, O'Connor VM, Martin NG. Genetic influences on endometriosis in an Australian twin sample. Fertil Steril 1999; 71: 701-710. 18. Tempfer CB, Simoni M, Destenaves B, Fauser BC. Functional genetic polymorphisms and female reproductive disorders: part II-endometriosis. Hum Reprod Update 2009; 15: 97-118. 19. Rier SE, Martin DC, Bowman RE, Dmowski WP, Becker JL. Endometriosis in rhesus monkeys (Macaca mulatta) following chronic exposure to 2,3,7,8-tetrachlorodibenzop-dioxin. Fundam Appl Toxicol 1993; 21: 433-441. 20. Gibbons A. Dioxin tied to endometriosis. Science 1993; 262: 1373. 21. Holloway M. An epidemic ignored. Endometriosis linked to dioxin and immunologic dysfunction. Sci Am 1994; 270: 24-26. 22. Kim SH, Choi YM, Lee GH, Hong MA, Lee KS, Lee BS, et al. Association between susceptibility to advanced stage endometriosis and the genetic polymorphisms of aryl hydrocarbon receptor repressor and glutathione-Stransferase T1 genes. Hum Reprod 2007; 22: 1866-1870. 23. Morizane M, Yoshida S, Nakago S, Hamana S, Maruo T, Kennedy S. No association of endometriosis with glutathione S-transferase M1 and T1 null mutations in a Japanese population. J Soc Gynecol Invest 2004; 11: 118121. 24. Hayes JD, Pulford DJ. The glutathione S-transferase supergene family: regulation of GST and the contribution of the isoenzymes to cancer chemoprotection and drug resistance. Crit Rev Biochem Mol Biol 1995; 30: 445-600. 25. Board P, Coggan M, Johnston P, Ross V, Suzuki T, Webb G. Genetic heterogeneity of the human glutathione transferases: a complex of gene families. Pharmacol Ther 1990; 48: 357-369. 26. Hadfield RM, Manek S, Weeks DE, Mardon HJ, Barlow DH, Kennedy SH. Linkage and association studies of the relationship between endometriosis and genes encoding the detoxification enzymes GSTM1, GSTT1 and CYP1A1. Mol Hum Reprod 2001; 7: 1073-1078. 27. Nebert DW, Vasiliou V. Analysis of the glutathione Stransferase (GST) gene family. Hum Genomics 2004; 1: 460-464. 28. DeJong JL, Mohandas T, Tu CP. The human Hb (mu) class glutathione S-transferases are encoded by a dispersed gene family. Biochem Biophys Res Commun 1991; 180: 15-22. 29. McLellan RA, Oscarson M, Alexandrie AK, Seidegard J, Evans DA, Rannug A, et al. Characterization of a human glutathione S-transferase mu cluster containing a duplicated GSTM1 gene that causes ultrarapid enzyme activity. Mol Pharmacol 1997; 52: 958-965. 30. eidegard J, Vorachek WR, Pero RW, Pearson WR. Hereditary differences in the expression of the human glutathione transferase active on trans-stilbene oxide are due to a gene deletion. Proc Natl Acad Sci USA 1988; 85: 7293-7297. 31. Smith CM, Kelsey KT, Wiencke JK, Leyden K, Levin S, Christiani DC. Inherited glutathione-S-transferase deficiency is a risk factor for pulmonary asbestosis. Cancer Epidemiol Biomarkers Prev 1994; 3: 471-477. 32. Smith G, Stanley LA, Sim E, Strange RC, Wolf CR. Metabolic polymorphisms and cancer susceptibility. Cancer Surveys 1995; 25: 27-65. 33. Baranov VS, Ivaschenko T, Bakay B, Aseev M, Belotserkovskaya R, Baranova H, et al. Proportion of the GSTM1 0/0 genotype in some Slavic populations and its correlation with cystic fibrosis and some multifactorial diseases. Hum Genet 1996; 97: 516-520. 34. Baranova H, Bothorishvilli R, Canis M, Albuisson E, Perriot S, Glowaczower E, et al. Glutathione S-transferase M1 gene polymorphism and susceptibility to endometriosis in a French population. Mol Hum Reprod 1997; 3: 775-780. 35. Babu KA, Reddy NG, Deendayal M, Kennedy S, Shivaji S. GSTM1, GSTT1 and CYP1A1 detoxification gene polymorphisms and their relationship with advanced stages of endometriosis in South Indian women. Pharmacogenet Genomics 2005; 15: 167-172. 36. Roya R, Baludu GS, Reddy BS. Possible aggravating impact of gene polymorphism in women with endometriosis. Ind J Med Res 2009; 129: 395-400. 37. Lin J, Zhang X, Qian Y, Ye Y, Shi Y, Xu K, et al. Glutathione S-transferase M1 and T1 genotypes and endometriosis risk: a case-controlled study. Chin Med J (Engl) 2003; 116: 777-780. 38. Peng DX, He YL, Qiu LW, Yang F, Lin JM. Association between glutathione S-transferase M1 gene deletion and genetic susceptibility to endometriosis. Di 1 Jun Yi Da Xue Xue 2003; 23: 458-459. 39. Hsieh YY, Chang CC, Tsai FJ, Lin CC, Chen JM, Tsai CH. Glutathione S-transferase M1*null genotype but not myeloperoxidase promoter G-463A polymorphism is associated with higher susceptibility to endometriosis. Mol Hum Reprod 2004; 10: 713-717. 40. Aban M, Ertunc D, Tok EC, Tamer L, Arslan M, Dilek S. Modulating interaction of glutathione-S-transferase polymorphisms with smoking in endometriosis. J Reprod Med 2007; 52: 715-721. 41. Baxter SW, Thomas EJ, Campbell IG. GSTM1 null polymorphism and susceptibility to endometriosis and ovarian cancer. Carcinogenesis 2001; 22: 63-65. 42. Hur SE, Lee JY, Moon HS, Chung HW. Polymorphisms of the genes encoding the GSTM1, GSTT1 and GSTP1 in Korean women: no association with endometriosis. Mol Hum Reprod 2005; 11: 15-19. 43. Ivashchenko TE, Shved N, Kramareva NA, Ailamazian EK, Baranov VS. Analysis of the polymorphic alleles of genes encoding phase 1 and phase 2 detoxication enzymes in patients with endometriosis. Genetika 2003; 39: 525529. 44. Baranova H, Canis M, Ivaschenko T, Albuisson E, Bothorishvilli R, Baranov V, et al. Possible involvement of arylamine N-acetyltransferase 2, glutathione Stransferases M1 and T1 genes in the development of endometriosis. Mol Hum Reprod 1999; 5: 636-641. 45. Hosseinzadeh Z, Mashayekhi F, Sorouri ZZ. Association between GSTM1 gene polymorphism in Iranian patients with endometriosis. Gynecol Endocrinol 2011; 27: 185189. 46. Hirschhorn JN, Lohmueller K, Byrne E, Hirschhorn K. A comprehensive review of genetic association studies. Genet Med 2002; 4: 45-61. 47. Guo SW, Simsa P, Kyama CM, Mihalyi A, Fulop V, Othman EE, et al. Reassessing the evidence for the link between dioxin and endometriosis: from molecular biology to clinical epidemiology. Mol Hum Reprod 2009; 15: 609-624.	<urn:uuid:be6f3fbe-43e4-4cf6-b837-b587fe6822c6>	CC-MAIN-2020-24	http://bioline.cria.org.br/pdf?rm12004	2020-05-27T09:28:49+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2020-24/subset=warc/part-00011-b4a094ce-c3a1-4796-8c26-d927e48e4b4a.c000.gz.parquet	18,828,690	6,025	eng_Latn	eng_Latn	0.768786	eng_Latn	0.923676	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3155, 7744, 11006, 13915, 19846, 22401 ]	No association of GSTM1 null polymorphism with endometriosis in women from central and southern Iran Seyed Morteza Seifati 1 Ph.D., Kazem Parivar 1 Ph.D., Abbas Aflatoonian 2 M.D., Razieh Dehghani Firouzabadi 2 M.D., Mohammad Hasan Sheikhha 2 M.D., Ph.D. 1 Department of Biology, Science and Research Branch, Islamic Azad University, Tehran, Iran. 2 Research and Clinical Center for Infertility, Shahid Sadoughi University of Medical Sciences, Yazd, Iran. Received: 20 April 2011; accepted: 15 June 2011 Abstract Background: Endometriosis is one of the most common gynecologic disorders. It is a complex trait and both genetic and environmental factors have been implicated in its pathogenesis. There is growing evidence indicating that exposure to environmental contaminants is a risk factor for endometriosis. Glutathione-S-Transferase M1 (GSTM1) is one of the genes involved in detoxification of endogenous and exogenous compounds. Objective: Several studies have indicated an association between GSTM1 null mutation and endometriosis. In this study, the possible association between the GSTM1 gene null genotype and susceptibility to endometriosis in woman from central and southern Iran was investigated. Materials and Methods: One hundred and one unrelated premenopausal women with endometriosis and 142 unrelated healthy premenopausal women without endometriosis were enrolled in the study. Genomic DNA was extracted from Peripheral blood in all subjects. GSTM1 null genotyping was performed by polymerase chain reaction (PCR). Results: There was no significant difference between frequencies of GSTM1 null genotype in case and control groups (50.5% Vs. 52.1%, p=0.804). Furthermore, this genotype was not associated with severity of endometriosis in our sample (p=0.77). Conclusion: further studies involving gene-environment and gene-gene interactions, particularly combination of GSTM1 and other GST gene family polymorphisms are needed. Key words: Endometriosis, Glutathione-S-Transferase M1, Null genotype. This article was extracted from Ph.D. thesis. Introduction infertile women (3). Endometriosis (MIM 131200) is one of the most common gynecologic disorders and a cause of infertility in women. It is characterized by ectopic growth of endometrial tissue outside uterus cavity (1). The disease has been reported in 2-22% of women of reproductive age (2) and in 5-50% of Corresponding Author: Seyed Morteza Seifati, Department of Biology, Science and Research Branch, Islamic Azad University, Tehran, Iran. Email: [email protected] In spite of decades of clinical and basic research on endometriosis, little is known about its etiology and pathogenesis (4). The most widely held theory postulates that viable endometrial cells are carried to peritoneal cavity through Fallopian tubes by retrograde menstruation and are implanted there, giving rise to endometriosis (5). The fact that menstrual debris are found in peritoneal cavity of up to 90% of menstruating women casts some doubt on this theory (6). Endometriosis is a complex trait and both genetic and environmental factors have been implicated in this disease (7). The role of genetic factors in endometriosis has been assessed and confirmed through numerous studies (8-13). These studies show a higher risk of endometriosis in first-degree relatives of endometriosis patients compared to general population (10, 11, 14). Twin studies provide further evidence of genetic propensity to endometriosis. These studies show a higher risk of endometriosis in monozygotic twins compared to dizygotic twins (15-17). Several studies have attempted to identify endometriosis susceptibility genes. Candidate genes studied thus far include genes involved in inflammation, steroid synthesis, and detoxification. Prominent among the latter are glutathione-S-transferases (GSTs) (7, 18). Numerous studies indicate a relation between environmental pollutants and endometriosis (1921). It has been postulated that variants of genes involved in detoxification of these pollutants may play a role in endometriosis (22). GSTs are phase II detoxifying enzymes, catalyzing conjugation of electrophilic and hydrophobic compounds to reduced glutathione, thereby eliminating their toxicity (23). These enzymes are involved in detoxification of a wide range of toxic and carcinogenic substrates (24). Many of the known substrates of GSTs are xenobiotic substances and environmental pollutants. Different classes of these enzymes are specific for different substrates (25). Compounds like dioxins, which are ubiquitously present as known environmental pollutants throughout the world and impinge upon the food chain, are among GST's substrates (22, 26). In humans, cytosolic GSTs comprise six classes of enzymes including Mu (µ), Omega (ω), Pi (π), Theta (θ), and Zeta (ζ). Each of these classes is coded by one gene or gene subfamily (27). Glutathione-S-transferase M (GSTM) exists in 5 isoforms (GSTM1-5) and belongs to µ class. A gene cluster on chromosome 1 encodes these isoforms (28). GSTM1 gene is located on chromosome 1p13.3 and has four different alleles. GSTM1A and GSTM1B alleles are functionally similar and differ in only one amino acid (p.K172N). GSTM11×2 allele comprises two tandemly located genes, both of which are active (29). GSTM10 allele contains a deletional mutation. Due to the extent of this deletion, no mRNA or protein product is coded by the allele (30). A/A, A/O, B/B, and B/O genotype are all active and produce functional enzyme but O/O genotype causes a complete lack of enzymatic activity and is therefore called the null genotype (30, 31). Frequency of the null genotype differs in different ethnicities. It is estimated at 50% among Caucasians, 67% in Australians and 22% in Nigerians (32). GSTM1 enzyme metabolizes and detoxifies many exogenous and endogenous substrates, including dioxins, and also oxidative stress products produced during repair of ovarian epithelium after follicle rupture such as lipid hydro-peroxides, alkanes, and DNA hydroperoxides (22, 26). Several studies have indicated an association between GSTM1 null mutation and endometriosis. GSTM1 null mutation has been associated with endometriosis in Russian, French, Indian, Chinese, Taiwanese, and Turkish women (33-40). No such association has been observed in English, Japanese, and Korean women (23, 26, 41, 42). To investigate the possible association between the GSTM1 gene null genotype and susceptibility to endometriosis and also its severity, we performed a case-control study in woman of central and southern Iran. Materials and methods Study population This case-control study was conducted between February 2009 and January 2011. On the whole, 101 unrelated premenopausal women with endometriosis were recruited at Yazd Mothers' Hospital and the Yazd Research and Clinical Center for Infertility, which are referral points for central and southern regions of Iran. Endometriosis was confirmed in subjects by laparoscopy after clinical examination. Laparoscopy was performed by an experienced gynecologist. Patients were staged (I-V) according to the guidelines of American Society for Reproductive Medicine (ASRM) classification system for endometriosis (1997). The control group consisted of 142 unrelated healthy premenopausal women undergoing Cesarean section or hysterectomy at the same centers with no history of endometriosis and without any lesion suggesting endometriosis during Cesarean section or hysterectomy. Age ranged from 20 to 43 years in endometriosis group and from 17 to 52 years in control group. The study was approved by the Ethics Committee and Research Committee of Yazd Research and Clinical Center for Infertility. Written informed consent was obtained from all participants. DNA analysis Peripheral blood from patients and controls was collected in EDTA-containing tubes. Genomic DNA extraction was performed using AccuPrep ® Genomic DNA Extraction Kit (Bioneer, South Korea) based on manufacturer's manual. GSTM1 genotyping for gene deletion was carried out by PCR. Part of the GSTM1 gene inside deletion area was amplified using primers 5'-GAACTCCCTGAAAAGCTAAAGC-3' (forward) and 5'- CTTGGGCTCAAATATACGGTGG-3' (reverse) (Cinnagen, Iran(. To check for the success of amplification, a set of β-globin gene primers [5'-GAAGAGCCAAGG ACAGGTAC-3' (forward) and 5'-CCACTTCATC CACGTTCACC-3' (reverse)] was added to each PCR tube which amplified a 268 base pair segment of this gene. Each amplification reaction contained 100ng genomic DNA, 1× PCR buffer [50 mM KCl, 10 mM tris-HCl (pH 8.4)], 1.5mM MgCl2 ، 200 μM dNTP, 10 pmol of each primers, and 1.5 U Taq DNA polymerase (Cinnagen, Iran( in a final volume of 25 μl. Amplification was performed with initial denaturation at 94ºC for 5 min, followed by 35 cycles of amplification which was performed at 94ºC for 1 min, 60ºC for 1 min and 72ºC for 1 min and a final extension at 72ºC for 10 min, using Mastercycler (Eppendorf, Germany). PCR products were detected by 1.5% (w/v) agarose gel electrophoresis. In homozygote non-null and heterozygote subjects a 219 base pair band is observed in agarose gel. The absence of this band (in the presence of β-globin PCR product) indicates the homozygote null genotype. Statistical analysis Fisher's exact test was used to compare genotype distributions between endometriosis and controls. Two-sample t-test was performed to compare age, Body Mass Index (BMI), age at menarche, parity and infertility between the endometriosis and control groups. P-value<0.05 was considered statistically significant. All analyses were conducted using the Statistical Package for Social Science version 11.5 (SPSS Inc., Chicago, IL). Results Of the total of 101 patients, 15 (14.8%) had stage I (minimal), 39 (38.6%) had stage II (mild), 24 (23.8%) had stage III (moderate) and 23 (22.8%) had stage IV (severe) endometriosis. 76 patients (75%) suffered from dysmenorrhea, 28 (27.7%) from dysparonhea and 9 (8.9%) from pelvic pain. In 25 (24.8%) patients neither of these symptoms was observed. No statistically significant difference was observed in the age and infertility of patient and control groups but there were significant differences in BMI, age at menarche, and parity between the two groups (Table I). GSTM1 null genotyping was carried out successfully for all patients and controls. In table 2, frequency of null genotype in GSTM1 gene has been shown for 101 endometriosis patients and 142 controls. There was no statistically significant difference in the frequency of GSTM1 null genotype between patient and control groups (p=0.804). The frequency of GSTM1 null genotype was 45% in patients with advanced stages of the diseases (stages III and IV) and 55% in patients with the early stages (stages I and II). This difference was not statistically significant (p=0.77). Table I. General characteristics of endometriosis patients and control group. b Fisher's exact test a t test Table 2. Frequencies of GSTM1 null and non-null genotypes in endometriosis patients and control group. a Fisher's exact test Discussion The role of genetic factors in endometriosis has been assessed and confirmed through numerous familial and twin studies in different populations (10, 11, 14-17) and several studies have implicated GSTM1 gene as a possible candidate gene for susceptibility to endometriosis (18). We performed a case-control study in woman of central and southern Iran to test the hypothesis that the GSTM1 gene null genotype is associated with susceptibility to endometriosis or severity of it. Our study showed no significant difference between the frequencies of GSTM1 null genotype in case and control groups (50.5% versus 52.1%, p=0.804). Also, this genotype was not associated with severity of endometriosis in our sample (p=0.77). This is in accordance with the OXEGENE Collaborative study in England (2001) (26), and studies performed by Baxter et al (2001) in Southern England (41), Morizane et al (2004) in Japanese women (23), and Hur et al (2005) in Korean women (42). These studies found no association between GSTM1 null genotype and endometriosis. On the other hand, Baranov et al (1996) and Ivashchenko et al (2003) reported such an association among Russian women (33, 43). Subsequent studies by Baranova et al (1999) in French women (44), Lin et al (2003) and Peng et al (2003) in Chinese women (37, 38), Hsieh et al (2004) in Taiwanese women (39), Babu et al (2005) and Roya et al (2009) in Indian women (35, 36), and Aban et al in Turkish women (40) yielded similar results. Recently, a study performed in Rasht in northern Iran also showed such an association (45).These different results in different populations are to be expected. Association between a gene variant and a disease might only be manifest in populations with a particular genetic and environment background. Circumstances like linkage disequilibrium, gene-gene interactions, and gene-environment interactions can lead to failure of replication of results in association studies in populations with different genetic and environment backgrounds (46). There is growing evidence indicating that interaction of xenobiotic compounds present in different environments with variants of genes involved in their detoxification may change the risk of endometriosis (47). For example, Roya et al (2009) studied polychlorinated biphenyls (PCBs) and GSTM1 polymorphism and their possible role in the pathogenesis of endometriosis in Indian women. They found that women with GSTM1 null phenotype and higher concentrations of PCBs might have an increased susceptibility to endometriosis (36). Taking these considerations into account, further studies in a variety of populations, involving gene-environment and gene-gene interactions, particularly combination of polymorphisms of GSTM1 and other types of GST gene family are needed to elucidate the relation of GSTM1 polymorphisms and endometriosis. Acknowledgements This study was supported by a grant from Yazd Research and Clinical Center for Infertility. References 1. Ozkan S, Murk W, Arici A. Endometriosis and infertility: epidemiology and evidence-based treatments. Ann N Y Acad Sci 2008; 1127: 92-100. 2. Mahmood TA, Templeton AA, Thomson L, Fraser C. Menstrual symptoms in women with pelvic endometriosis. Br J Obstet Gynaecol 1991; 98: 558-563. 3. Missmer SA, Cramer DW. The epidemiology of endometriosis. Obstet Gynecol Clin North Am 2003; 30: 119. 4. D'Hooghe TM, Debrock S, Hill JA, Meuleman C. Endometriosis and subfertility: is the relationship resolved? Semin Reprod Med 2003; 21: 243-254. 5. Sampson JA. Metastatic or Embolic Endometriosis, due to the Menstrual Dissemination of Endometrial Tissue into the Venous Circulation. Am J Pathol 1927; 3: 93-110. 6. Seli E, Arici A. Endometriosis: interaction of immune and endocrine systems. Semin Reprod Med 2003; 21: 135-144. 7. Montgomery GW, Nyholt DR, Zhao ZZ, Treloar SA, Painter JN, Missmer SA, et al. The search for genes contributing to endometriosis risk. Hum Reprod Update 2008; 14: 447-457. 8. Kennedy S. The genetics of endometriosis. J Reprod Med 1998; 43 (Suppl.): 263-268. 9. Zondervan KT, Cardon LR, Kennedy SH. The genetic basis of endometriosis. Curr Opin Obstet gynecol 2001; 13: 309-314. 10. Simpson JL, Bischoff FZ. Heritability and molecular genetic studies of endometriosis. Ann N Y Acad Sci 2002; 955: 239-251. 11. Stefansson H, Geirsson RT, Steinthorsdottir V, Jonsson H, Manolescu A, Kong A, et al. Genetic factors contribute to the risk of developing endometriosis. Hum Reprod 2002; 17: 555-559. 12. Treloar S, Hadfield R, Montgomery G, Lambert A, Wicks J, Barlow DH, et al. The International Endogene Study: a collection of families for genetic research in endometriosis. Fertil Steril 2002; 78: 679-685. 13. Vigano P, Infantino M, Lattuada D, Lauletta R, Ponti E, Somigliana E, et al. Intercellular adhesion molecule-1 (ICAM-1) gene polymorphisms in endometriosis. Mol Hum Reprod 2003; 9: 47-52. 14. Kennedy S, Mardon H, Barlow D. Familial endometriosis. J Assist Reprod Genet 1995; 12: 32-34. 15. Moen MH. Endometriosis in monozygotic twins. Acta Obstet Gynecol Scand 1994; 73: 59-62. 16. Hadfield RM, Mardon HJ, Barlow DH, Kennedy SH. Endometriosis in monozygotic twins. Fertil Steril 1997; 68: 941-942. 17. Treloar SA, O'Connor DT, O'Connor VM, Martin NG. Genetic influences on endometriosis in an Australian twin sample. Fertil Steril 1999; 71: 701-710. 18. Tempfer CB, Simoni M, Destenaves B, Fauser BC. Functional genetic polymorphisms and female reproductive disorders: part II-endometriosis. Hum Reprod Update 2009; 15: 97-118. 19. Rier SE, Martin DC, Bowman RE, Dmowski WP, Becker JL. Endometriosis in rhesus monkeys (Macaca mulatta) following chronic exposure to 2,3,7,8-tetrachlorodibenzop-dioxin. Fundam Appl Toxicol 1993; 21: 433-441. 20. Gibbons A. Dioxin tied to endometriosis. Science 1993; 262: 1373. 21. Holloway M. An epidemic ignored. Endometriosis linked to dioxin and immunologic dysfunction. Sci Am 1994; 270: 24-26. 22. Kim SH, Choi YM, Lee GH, Hong MA, Lee KS, Lee BS, et al. Association between susceptibility to advanced stage endometriosis and the genetic polymorphisms of aryl hydrocarbon receptor repressor and glutathione-Stransferase T1 genes. Hum Reprod 2007; 22: 1866-1870. 23. Morizane M, Yoshida S, Nakago S, Hamana S, Maruo T, Kennedy S. No association of endometriosis with glutathione S-transferase M1 and T1 null mutations in a Japanese population. J Soc Gynecol Invest 2004; 11: 118121. 24. Hayes JD, Pulford DJ. The glutathione S-transferase supergene family: regulation of GST and the contribution of the isoenzymes to cancer chemoprotection and drug resistance. Crit Rev Biochem Mol Biol 1995; 30: 445-600. 25. Board P, Coggan M, Johnston P, Ross V, Suzuki T, Webb G. Genetic heterogeneity of the human glutathione transferases: a complex of gene families. Pharmacol Ther 1990; 48: 357-369. 26. Hadfield RM, Manek S, Weeks DE, Mardon HJ, Barlow DH, Kennedy SH. Linkage and association studies of the relationship between endometriosis and genes encoding the detoxification enzymes GSTM1, GSTT1 and CYP1A1. Mol Hum Reprod 2001; 7: 1073-1078. 27. Nebert DW, Vasiliou V. Analysis of the glutathione Stransferase (GST) gene family. Hum Genomics 2004; 1: 460-464. 28. DeJong JL, Mohandas T, Tu CP. The human Hb (mu) class glutathione S-transferases are encoded by a dispersed gene family. Biochem Biophys Res Commun 1991; 180: 15-22. 29. McLellan RA, Oscarson M, Alexandrie AK, Seidegard J, Evans DA, Rannug A, et al. Characterization of a human glutathione S-transferase mu cluster containing a duplicated GSTM1 gene that causes ultrarapid enzyme activity. Mol Pharmacol 1997; 52: 958-965. 30. eidegard J, Vorachek WR, Pero RW, Pearson WR. Hereditary differences in the expression of the human glutathione transferase active on trans-stilbene oxide are due to a gene deletion. Proc Natl Acad Sci USA 1988; 85: 7293-7297. 31. Smith CM, Kelsey KT, Wiencke JK, Leyden K, Levin S, Christiani DC. Inherited glutathione-S-transferase deficiency is a risk factor for pulmonary asbestosis. Cancer Epidemiol Biomarkers Prev 1994; 3: 471-477. 32. Smith G, Stanley LA, Sim E, Strange RC, Wolf CR. Metabolic polymorphisms and cancer susceptibility. Cancer Surveys 1995; 25: 27-65. 33. Baranov VS, Ivaschenko T, Bakay B, Aseev M, Belotserkovskaya R, Baranova H, et al. Proportion of the GSTM1 0/0 genotype in some Slavic populations and its correlation with cystic fibrosis and some multifactorial diseases. Hum Genet 1996; 97: 516-520. 34. Baranova H, Bothorishvilli R, Canis M, Albuisson E, Perriot S, Glowaczower E, et al. Glutathione S-transferase M1 gene polymorphism and susceptibility to endometriosis in a French population. Mol Hum Reprod 1997; 3: 775-780. 35. Babu KA, Reddy NG, Deendayal M, Kennedy S, Shivaji S. GSTM1, GSTT1 and CYP1A1 detoxification gene polymorphisms and their relationship with advanced stages of endometriosis in South Indian women. Pharmacogenet Genomics 2005; 15: 167-172. 36. Roya R, Baludu GS, Reddy BS. Possible aggravating impact of gene polymorphism in women with endometriosis. Ind J Me	d Res 2009; 129: 395-400.	37. Lin J, Zhang X, Qian Y, Ye Y, Shi Y, Xu K, et al. Glutathione S-transferase M1 and T1 genotypes and endometriosis risk: a case-controlled study. Chin Med J (Engl) 2003; 116: 777-780. 38. Peng DX, He YL, Qiu LW, Yang F, Lin JM. Association between glutathione S-transferase M1 gene deletion and genetic susceptibility to endometriosis. Di 1 Jun Yi Da Xue Xue 2003; 23: 458-459. 39. Hsieh YY, Chang CC, Tsai FJ, Lin CC, Chen JM, Tsai CH. Glutathione S-transferase M1*null genotype but not myeloperoxidase promoter G-463A polymorphism is associated with higher susceptibility to endometriosis. Mol Hum Reprod 2004; 10: 713-717. 40. Aban M, Ertunc D, Tok EC, Tamer L, Arslan M, Dilek S. Modulating interaction of glutathione-S-transferase polymorphisms with smoking in endometriosis. J Reprod Med 2007; 52: 715-721. 41. Baxter SW, Thomas EJ, Campbell IG. GSTM1 null polymorphism and susceptibility to endometriosis and ovarian cancer. Carcinogenesis 2001; 22: 63-65. 42. Hur SE, Lee JY, Moon HS, Chung HW. Polymorphisms of the genes encoding the GSTM1, GSTT1 and GSTP1 in Korean women: no association with endometriosis. Mol Hum Reprod 2005; 11: 15-19. 43. Ivashchenko TE, Shved N, Kramareva NA, Ailamazian EK, Baranov VS. Analysis of the polymorphic alleles of genes encoding phase 1 and phase 2 detoxication enzymes in patients with endometriosis. Genetika 2003; 39: 525529. 44. Baranova H, Canis M, Ivaschenko T, Albuisson E, Bothorishvilli R, Baranov V, et al. Possible involvement of arylamine N-acetyltransferase 2, glutathione Stransferases M1 and T1 genes in the development of endometriosis. Mol Hum Reprod 1999; 5: 636-641. 45. Hosseinzadeh Z, Mashayekhi F, Sorouri ZZ. Association between GSTM1 gene polymorphism in Iranian patients with endometriosis. Gynecol Endocrinol 2011; 27: 185189. 46. Hirschhorn JN, Lohmueller K, Byrne E, Hirschhorn K. A comprehensive review of genetic association studies. Genet Med 2002; 4: 45-61. 47. Guo SW, Simsa P, Kyama CM, Mihalyi A, Fulop V, Othman EE, et al. Reassessing the evidence for the link between dioxin and endometriosis: from molecular biology to clinical epidemiology. Mol Hum Reprod 2009; 15: 609-624.	20,209	inside_word	Med	remove_one_sentence	<url> http://bioline.cria.org.br/pdf?rm12004 </url> <text> No association of GSTM1 null polymorphism with endometriosis in women from central and southern Iran Seyed Morteza Seifati 1 Ph.D., Kazem Parivar 1 Ph.D., Abbas Aflatoonian 2 M.D., Razieh Dehghani Firouzabadi 2 M.D., Mohammad Hasan Sheikhha 2 M.D., Ph.D. 1 Department of Biology, Science and Research Branch, Islamic Azad University, Tehran, Iran. 2 Research and Clinical Center for Infertility, Shahid Sadoughi University of Medical Sciences, Yazd, Iran. Received: 20 April 2011; accepted: 15 June 2011 Abstract Background: Endometriosis is one of the most common gynecologic disorders. It is a complex trait and both genetic and environmental factors have been implicated in its pathogenesis. There is growing evidence indicating that exposure to environmental contaminants is a risk factor for endometriosis. Glutathione-S-Transferase M1 (GSTM1) is one of the genes involved in detoxification of endogenous and exogenous compounds. Objective: Several studies have indicated an association between GSTM1 null mutation and endometriosis. In this study, the possible association between the GSTM1 gene null genotype and susceptibility to endometriosis in woman from central and southern Iran was investigated. Materials and Methods: One hundred and one unrelated premenopausal women with endometriosis and 142 unrelated healthy premenopausal women without endometriosis were enrolled in the study. Genomic DNA was extracted from Peripheral blood in all subjects. GSTM1 null genotyping was performed by polymerase chain reaction (PCR). Results: There was no significant difference between frequencies of GSTM1 null genotype in case and control groups (50.5% Vs. 52.1%, p=0.804). Furthermore, this genotype was not associated with severity of endometriosis in our sample (p=0.77). Conclusion: further studies involving gene-environment and gene-gene interactions, particularly combination of GSTM1 and other GST gene family polymorphisms are needed. Key words: Endometriosis, Glutathione-S-Transferase M1, Null genotype. This article was extracted from Ph.D. thesis. Introduction infertile women (3). Endometriosis (MIM 131200) is one of the most common gynecologic disorders and a cause of infertility in women. It is characterized by ectopic growth of endometrial tissue outside uterus cavity (1). The disease has been reported in 2-22% of women of reproductive age (2) and in 5-50% of Corresponding Author: Seyed Morteza Seifati, Department of Biology, Science and Research Branch, Islamic Azad University, Tehran, Iran. Email: [email protected] In spite of decades of clinical and basic research on endometriosis, little is known about its etiology and pathogenesis (4). The most widely held theory postulates that viable endometrial cells are carried to peritoneal cavity through Fallopian tubes by retrograde menstruation and are implanted there, giving rise to endometriosis (5). The fact that menstrual debris are found in peritoneal cavity of up to 90% of menstruating women casts some doubt on this theory (6). Endometriosis is a complex trait and both genetic and environmental factors have been implicated in this disease (7). The role of genetic factors in endometriosis has been assessed and confirmed through numerous studies (8-13). These studies show a higher risk of endometriosis in first-degree relatives of endometriosis patients compared to general population (10, 11, 14). Twin studies provide further evidence of genetic propensity to endometriosis. These studies show a higher risk of endometriosis in monozygotic twins compared to dizygotic twins (15-17). Several studies have attempted to identify endometriosis susceptibility genes. Candidate genes studied thus far include genes involved in inflammation, steroid synthesis, and detoxification. Prominent among the latter are glutathione-S-transferases (GSTs) (7, 18). Numerous studies indicate a relation between environmental pollutants and endometriosis (1921). It has been postulated that variants of genes involved in detoxification of these pollutants may play a role in endometriosis (22). GSTs are phase II detoxifying enzymes, catalyzing conjugation of electrophilic and hydrophobic compounds to reduced glutathione, thereby eliminating their toxicity (23). These enzymes are involved in detoxification of a wide range of toxic and carcinogenic substrates (24). Many of the known substrates of GSTs are xenobiotic substances and environmental pollutants. Different classes of these enzymes are specific for different substrates (25). Compounds like dioxins, which are ubiquitously present as known environmental pollutants throughout the world and impinge upon the food chain, are among GST's substrates (22, 26). In humans, cytosolic GSTs comprise six classes of enzymes including Mu (µ), Omega (ω), Pi (π), Theta (θ), and Zeta (ζ). Each of these classes is coded by one gene or gene subfamily (27). Glutathione-S-transferase M (GSTM) exists in 5 isoforms (GSTM1-5) and belongs to µ class. A gene cluster on chromosome 1 encodes these isoforms (28). GSTM1 gene is located on chromosome 1p13.3 and has four different alleles. GSTM1A and GSTM1B alleles are functionally similar and differ in only one amino acid (p.K172N). GSTM11×2 allele comprises two tandemly located genes, both of which are active (29). GSTM10 allele contains a deletional mutation. Due to the extent of this deletion, no mRNA or protein product is coded by the allele (30). A/A, A/O, B/B, and B/O genotype are all active and produce functional enzyme but O/O genotype causes a complete lack of enzymatic activity and is therefore called the null genotype (30, 31). Frequency of the null genotype differs in different ethnicities. It is estimated at 50% among Caucasians, 67% in Australians and 22% in Nigerians (32). GSTM1 enzyme metabolizes and detoxifies many exogenous and endogenous substrates, including dioxins, and also oxidative stress products produced during repair of ovarian epithelium after follicle rupture such as lipid hydro-peroxides, alkanes, and DNA hydroperoxides (22, 26). Several studies have indicated an association between GSTM1 null mutation and endometriosis. GSTM1 null mutation has been associated with endometriosis in Russian, French, Indian, Chinese, Taiwanese, and Turkish women (33-40). No such association has been observed in English, Japanese, and Korean women (23, 26, 41, 42). To investigate the possible association between the GSTM1 gene null genotype and susceptibility to endometriosis and also its severity, we performed a case-control study in woman of central and southern Iran. Materials and methods Study population This case-control study was conducted between February 2009 and January 2011. On the whole, 101 unrelated premenopausal women with endometriosis were recruited at Yazd Mothers' Hospital and the Yazd Research and Clinical Center for Infertility, which are referral points for central and southern regions of Iran. Endometriosis was confirmed in subjects by laparoscopy after clinical examination. Laparoscopy was performed by an experienced gynecologist. Patients were staged (I-V) according to the guidelines of American Society for Reproductive Medicine (ASRM) classification system for endometriosis (1997). The control group consisted of 142 unrelated healthy premenopausal women undergoing Cesarean section or hysterectomy at the same centers with no history of endometriosis and without any lesion suggesting endometriosis during Cesarean section or hysterectomy. Age ranged from 20 to 43 years in endometriosis group and from 17 to 52 years in control group. The study was approved by the Ethics Committee and Research Committee of Yazd Research and Clinical Center for Infertility. Written informed consent was obtained from all participants. DNA analysis Peripheral blood from patients and controls was collected in EDTA-containing tubes. Genomic DNA extraction was performed using AccuPrep ® Genomic DNA Extraction Kit (Bioneer, South Korea) based on manufacturer's manual. GSTM1 genotyping for gene deletion was carried out by PCR. Part of the GSTM1 gene inside deletion area was amplified using primers 5'-GAACTCCCTGAAAAGCTAAAGC-3' (forward) and 5'- CTTGGGCTCAAATATACGGTGG-3' (reverse) (Cinnagen, Iran(. To check for the success of amplification, a set of β-globin gene primers [5'-GAAGAGCCAAGG ACAGGTAC-3' (forward) and 5'-CCACTTCATC CACGTTCACC-3' (reverse)] was added to each PCR tube which amplified a 268 base pair segment of this gene. Each amplification reaction contained 100ng genomic DNA, 1× PCR buffer [50 mM KCl, 10 mM tris-HCl (pH 8.4)], 1.5mM MgCl2 ، 200 μM dNTP, 10 pmol of each primers, and 1.5 U Taq DNA polymerase (Cinnagen, Iran( in a final volume of 25 μl. Amplification was performed with initial denaturation at 94ºC for 5 min, followed by 35 cycles of amplification which was performed at 94ºC for 1 min, 60ºC for 1 min and 72ºC for 1 min and a final extension at 72ºC for 10 min, using Mastercycler (Eppendorf, Germany). PCR products were detected by 1.5% (w/v) agarose gel electrophoresis. In homozygote non-null and heterozygote subjects a 219 base pair band is observed in agarose gel. The absence of this band (in the presence of β-globin PCR product) indicates the homozygote null genotype. Statistical analysis Fisher's exact test was used to compare genotype distributions between endometriosis and controls. Two-sample t-test was performed to compare age, Body Mass Index (BMI), age at menarche, parity and infertility between the endometriosis and control groups. P-value<0.05 was considered statistically significant. All analyses were conducted using the Statistical Package for Social Science version 11.5 (SPSS Inc., Chicago, IL). Results Of the total of 101 patients, 15 (14.8%) had stage I (minimal), 39 (38.6%) had stage II (mild), 24 (23.8%) had stage III (moderate) and 23 (22.8%) had stage IV (severe) endometriosis. 76 patients (75%) suffered from dysmenorrhea, 28 (27.7%) from dysparonhea and 9 (8.9%) from pelvic pain. In 25 (24.8%) patients neither of these symptoms was observed. No statistically significant difference was observed in the age and infertility of patient and control groups but there were significant differences in BMI, age at menarche, and parity between the two groups (Table I). GSTM1 null genotyping was carried out successfully for all patients and controls. In table 2, frequency of null genotype in GSTM1 gene has been shown for 101 endometriosis patients and 142 controls. There was no statistically significant difference in the frequency of GSTM1 null genotype between patient and control groups (p=0.804). The frequency of GSTM1 null genotype was 45% in patients with advanced stages of the diseases (stages III and IV) and 55% in patients with the early stages (stages I and II). This difference was not statistically significant (p=0.77). Table I. General characteristics of endometriosis patients and control group. b Fisher's exact test a t test Table 2. Frequencies of GSTM1 null and non-null genotypes in endometriosis patients and control group. a Fisher's exact test Discussion The role of genetic factors in endometriosis has been assessed and confirmed through numerous familial and twin studies in different populations (10, 11, 14-17) and several studies have implicated GSTM1 gene as a possible candidate gene for susceptibility to endometriosis (18). We performed a case-control study in woman of central and southern Iran to test the hypothesis that the GSTM1 gene null genotype is associated with susceptibility to endometriosis or severity of it. Our study showed no significant difference between the frequencies of GSTM1 null genotype in case and control groups (50.5% versus 52.1%, p=0.804). Also, this genotype was not associated with severity of endometriosis in our sample (p=0.77). This is in accordance with the OXEGENE Collaborative study in England (2001) (26), and studies performed by Baxter et al (2001) in Southern England (41), Morizane et al (2004) in Japanese women (23), and Hur et al (2005) in Korean women (42). These studies found no association between GSTM1 null genotype and endometriosis. On the other hand, Baranov et al (1996) and Ivashchenko et al (2003) reported such an association among Russian women (33, 43). Subsequent studies by Baranova et al (1999) in French women (44), Lin et al (2003) and Peng et al (2003) in Chinese women (37, 38), Hsieh et al (2004) in Taiwanese women (39), Babu et al (2005) and Roya et al (2009) in Indian women (35, 36), and Aban et al in Turkish women (40) yielded similar results. Recently, a study performed in Rasht in northern Iran also showed such an association (45).These different results in different populations are to be expected. Association between a gene variant and a disease might only be manifest in populations with a particular genetic and environment background. Circumstances like linkage disequilibrium, gene-gene interactions, and gene-environment interactions can lead to failure of replication of results in association studies in populations with different genetic and environment backgrounds (46). There is growing evidence indicating that interaction of xenobiotic compounds present in different environments with variants of genes involved in their detoxification may change the risk of endometriosis (47). For example, Roya et al (2009) studied polychlorinated biphenyls (PCBs) and GSTM1 polymorphism and their possible role in the pathogenesis of endometriosis in Indian women. They found that women with GSTM1 null phenotype and higher concentrations of PCBs might have an increased susceptibility to endometriosis (36). Taking these considerations into account, further studies in a variety of populations, involving gene-environment and gene-gene interactions, particularly combination of polymorphisms of GSTM1 and other types of GST gene family are needed to elucidate the relation of GSTM1 polymorphisms and endometriosis. Acknowledgements This study was supported by a grant from Yazd Research and Clinical Center for Infertility. References 1. Ozkan S, Murk W, Arici A. Endometriosis and infertility: epidemiology and evidence-based treatments. Ann N Y Acad Sci 2008; 1127: 92-100. 2. Mahmood TA, Templeton AA, Thomson L, Fraser C. Menstrual symptoms in women with pelvic endometriosis. Br J Obstet Gynaecol 1991; 98: 558-563. 3. Missmer SA, Cramer DW. The epidemiology of endometriosis. Obstet Gynecol Clin North Am 2003; 30: 119. 4. D'Hooghe TM, Debrock S, Hill JA, Meuleman C. Endometriosis and subfertility: is the relationship resolved? Semin Reprod Med 2003; 21: 243-254. 5. Sampson JA. Metastatic or Embolic Endometriosis, due to the Menstrual Dissemination of Endometrial Tissue into the Venous Circulation. Am J Pathol 1927; 3: 93-110. 6. Seli E, Arici A. Endometriosis: interaction of immune and endocrine systems. Semin Reprod Med 2003; 21: 135-144. 7. Montgomery GW, Nyholt DR, Zhao ZZ, Treloar SA, Painter JN, Missmer SA, et al. The search for genes contributing to endometriosis risk. Hum Reprod Update 2008; 14: 447-457. 8. Kennedy S. The genetics of endometriosis. J Reprod Med 1998; 43 (Suppl.): 263-268. 9. Zondervan KT, Cardon LR, Kennedy SH. The genetic basis of endometriosis. Curr Opin Obstet gynecol 2001; 13: 309-314. 10. Simpson JL, Bischoff FZ. Heritability and molecular genetic studies of endometriosis. Ann N Y Acad Sci 2002; 955: 239-251. 11. Stefansson H, Geirsson RT, Steinthorsdottir V, Jonsson H, Manolescu A, Kong A, et al. Genetic factors contribute to the risk of developing endometriosis. Hum Reprod 2002; 17: 555-559. 12. Treloar S, Hadfield R, Montgomery G, Lambert A, Wicks J, Barlow DH, et al. The International Endogene Study: a collection of families for genetic research in endometriosis. Fertil Steril 2002; 78: 679-685. 13. Vigano P, Infantino M, Lattuada D, Lauletta R, Ponti E, Somigliana E, et al. Intercellular adhesion molecule-1 (ICAM-1) gene polymorphisms in endometriosis. Mol Hum Reprod 2003; 9: 47-52. 14. Kennedy S, Mardon H, Barlow D. Familial endometriosis. J Assist Reprod Genet 1995; 12: 32-34. 15. Moen MH. Endometriosis in monozygotic twins. Acta Obstet Gynecol Scand 1994; 73: 59-62. 16. Hadfield RM, Mardon HJ, Barlow DH, Kennedy SH. Endometriosis in monozygotic twins. Fertil Steril 1997; 68: 941-942. 17. Treloar SA, O'Connor DT, O'Connor VM, Martin NG. Genetic influences on endometriosis in an Australian twin sample. Fertil Steril 1999; 71: 701-710. 18. Tempfer CB, Simoni M, Destenaves B, Fauser BC. Functional genetic polymorphisms and female reproductive disorders: part II-endometriosis. Hum Reprod Update 2009; 15: 97-118. 19. Rier SE, Martin DC, Bowman RE, Dmowski WP, Becker JL. Endometriosis in rhesus monkeys (Macaca mulatta) following chronic exposure to 2,3,7,8-tetrachlorodibenzop-dioxin. Fundam Appl Toxicol 1993; 21: 433-441. 20. Gibbons A. Dioxin tied to endometriosis. Science 1993; 262: 1373. 21. Holloway M. An epidemic ignored. Endometriosis linked to dioxin and immunologic dysfunction. Sci Am 1994; 270: 24-26. 22. Kim SH, Choi YM, Lee GH, Hong MA, Lee KS, Lee BS, et al. Association between susceptibility to advanced stage endometriosis and the genetic polymorphisms of aryl hydrocarbon receptor repressor and glutathione-Stransferase T1 genes. Hum Reprod 2007; 22: 1866-1870. 23. Morizane M, Yoshida S, Nakago S, Hamana S, Maruo T, Kennedy S. No association of endometriosis with glutathione S-transferase M1 and T1 null mutations in a Japanese population. J Soc Gynecol Invest 2004; 11: 118121. 24. Hayes JD, Pulford DJ. The glutathione S-transferase supergene family: regulation of GST and the contribution of the isoenzymes to cancer chemoprotection and drug resistance. Crit Rev Biochem Mol Biol 1995; 30: 445-600. 25. Board P, Coggan M, Johnston P, Ross V, Suzuki T, Webb G. Genetic heterogeneity of the human glutathione transferases: a complex of gene families. Pharmacol Ther 1990; 48: 357-369. 26. Hadfield RM, Manek S, Weeks DE, Mardon HJ, Barlow DH, Kennedy SH. Linkage and association studies of the relationship between endometriosis and genes encoding the detoxification enzymes GSTM1, GSTT1 and CYP1A1. Mol Hum Reprod 2001; 7: 1073-1078. 27. Nebert DW, Vasiliou V. Analysis of the glutathione Stransferase (GST) gene family. Hum Genomics 2004; 1: 460-464. 28. DeJong JL, Mohandas T, Tu CP. The human Hb (mu) class glutathione S-transferases are encoded by a dispersed gene family. Biochem Biophys Res Commun 1991; 180: 15-22. 29. McLellan RA, Oscarson M, Alexandrie AK, Seidegard J, Evans DA, Rannug A, et al. Characterization of a human glutathione S-transferase mu cluster containing a duplicated GSTM1 gene that causes ultrarapid enzyme activity. Mol Pharmacol 1997; 52: 958-965. 30. eidegard J, Vorachek WR, Pero RW, Pearson WR. Hereditary differences in the expression of the human glutathione transferase active on trans-stilbene oxide are due to a gene deletion. Proc Natl Acad Sci USA 1988; 85: 7293-7297. 31. Smith CM, Kelsey KT, Wiencke JK, Leyden K, Levin S, Christiani DC. Inherited glutathione-S-transferase deficiency is a risk factor for pulmonary asbestosis. Cancer Epidemiol Biomarkers Prev 1994; 3: 471-477. 32. Smith G, Stanley LA, Sim E, Strange RC, Wolf CR. Metabolic polymorphisms and cancer susceptibility. Cancer Surveys 1995; 25: 27-65. 33. Baranov VS, Ivaschenko T, Bakay B, Aseev M, Belotserkovskaya R, Baranova H, et al. Proportion of the GSTM1 0/0 genotype in some Slavic populations and its correlation with cystic fibrosis and some multifactorial diseases. Hum Genet 1996; 97: 516-520. 34. Baranova H, Bothorishvilli R, Canis M, Albuisson E, Perriot S, Glowaczower E, et al. Glutathione S-transferase M1 gene polymorphism and susceptibility to endometriosis in a French population. Mol Hum Reprod 1997; 3: 775-780. 35. Babu KA, Reddy NG, Deendayal M, Kennedy S, Shivaji S. GSTM1, GSTT1 and CYP1A1 detoxification gene polymorphisms and their relationship with advanced stages of endometriosis in South Indian women. Pharmacogenet Genomics 2005; 15: 167-172. 36. Roya R, Baludu GS, Reddy BS. Possible aggravating impact of gene polymorphism in women with endometriosis. Ind J Me<cursor_is_here> 37. Lin J, Zhang X, Qian Y, Ye Y, Shi Y, Xu K, et al. Glutathione S-transferase M1 and T1 genotypes and endometriosis risk: a case-controlled study. Chin Med J (Engl) 2003; 116: 777-780. 38. Peng DX, He YL, Qiu LW, Yang F, Lin JM. Association between glutathione S-transferase M1 gene deletion and genetic susceptibility to endometriosis. Di 1 Jun Yi Da Xue Xue 2003; 23: 458-459. 39. Hsieh YY, Chang CC, Tsai FJ, Lin CC, Chen JM, Tsai CH. Glutathione S-transferase M1*null genotype but not myeloperoxidase promoter G-463A polymorphism is associated with higher susceptibility to endometriosis. Mol Hum Reprod 2004; 10: 713-717. 40. Aban M, Ertunc D, Tok EC, Tamer L, Arslan M, Dilek S. Modulating interaction of glutathione-S-transferase polymorphisms with smoking in endometriosis. J Reprod Med 2007; 52: 715-721. 41. Baxter SW, Thomas EJ, Campbell IG. GSTM1 null polymorphism and susceptibility to endometriosis and ovarian cancer. Carcinogenesis 2001; 22: 63-65. 42. Hur SE, Lee JY, Moon HS, Chung HW. Polymorphisms of the genes encoding the GSTM1, GSTT1 and GSTP1 in Korean women: no association with endometriosis. Mol Hum Reprod 2005; 11: 15-19. 43. Ivashchenko TE, Shved N, Kramareva NA, Ailamazian EK, Baranov VS. Analysis of the polymorphic alleles of genes encoding phase 1 and phase 2 detoxication enzymes in patients with endometriosis. Genetika 2003; 39: 525529. 44. Baranova H, Canis M, Ivaschenko T, Albuisson E, Bothorishvilli R, Baranov V, et al. Possible involvement of arylamine N-acetyltransferase 2, glutathione Stransferases M1 and T1 genes in the development of endometriosis. Mol Hum Reprod 1999; 5: 636-641. 45. Hosseinzadeh Z, Mashayekhi F, Sorouri ZZ. Association between GSTM1 gene polymorphism in Iranian patients with endometriosis. Gynecol Endocrinol 2011; 27: 185189. 46. Hirschhorn JN, Lohmueller K, Byrne E, Hirschhorn K. A comprehensive review of genetic association studies. Genet Med 2002; 4: 45-61. 47. Guo SW, Simsa P, Kyama CM, Mihalyi A, Fulop V, Othman EE, et al. Reassessing the evidence for the link between dioxin and endometriosis: from molecular biology to clinical epidemiology. Mol Hum Reprod 2009; 15: 609-624. </text>	[ { "content": "<url>\nhttp://bioline.cria.org.br/pdf?rm12004\n</url>\n<text>\nNo association of GSTM1 null polymorphism with endometriosis in women from central and southern Iran\n\nSeyed Morteza Seifati 1 Ph.D., Kazem Parivar 1 Ph.D., Abbas Aflatoonian 2 M.D., Razieh Dehghani Firouzabadi 2 M.D., Mohammad Hasan Sheikhha 2 M.D., Ph.D.\n\n1 Department of Biology, Science and Research Branch, Islamic Azad University, Tehran, Iran.\n2 Research and Clinical Center for Infertility, Shahid Sadoughi University of Medical Sciences, Yazd, Iran.\n\nReceived: 20 April 2011; accepted: 15 June 2011\n\nAbstract\n\nBackground: Endometriosis is one of the most common gynecologic disorders. It is a complex trait and both genetic and environmental factors have been implicated in its pathogenesis. There is growing evidence indicating that exposure to environmental contaminants is a risk factor for endometriosis. Glutathione-S-Transferase M1 (GSTM1) is one of the genes involved in detoxification of endogenous and exogenous compounds.\n\nObjective: Several studies have indicated an association between GSTM1 null mutation and endometriosis. In this study, the possible association between the GSTM1 gene null genotype and susceptibility to endometriosis in woman from central and southern Iran was investigated.\n\nMaterials and Methods: One hundred and one unrelated premenopausal women with endometriosis and 142 unrelated healthy premenopausal women without endometriosis were enrolled in the study. Genomic DNA was extracted from Peripheral blood in all subjects. GSTM1 null genotyping was performed by polymerase chain reaction (PCR).\n\nResults: There was no significant difference between frequencies of GSTM1 null genotype in case and control groups (50.5% Vs. 52.1%, p=0.804). Furthermore, this genotype was not associated with severity of endometriosis in our sample (p=0.77).\n\nConclusion: further studies involving gene-environment and gene-gene interactions, particularly combination of GSTM1 and other GST gene family polymorphisms are needed.\n\nKey words: Endometriosis, Glutathione-S-Transferase M1, Null genotype.\n\nThis article was extracted from Ph.D. thesis.\n\nIntroduction\n\ninfertile women (3).\n\nEndometriosis (MIM 131200) is one of the most common gynecologic disorders and a cause of infertility in women. It is characterized by ectopic growth of endometrial tissue outside uterus cavity (1). The disease has been reported in 2-22% of women of reproductive age (2) and in 5-50% of\n\nCorresponding Author:\n\nSeyed Morteza Seifati, Department of Biology, Science and Research Branch, Islamic Azad University, Tehran,\n\nIran.\n\nEmail: [email protected]\n\nIn spite of decades of clinical and basic research on endometriosis, little is known about its etiology and pathogenesis (4). The most widely held theory postulates that viable endometrial cells are carried to peritoneal cavity through Fallopian tubes by retrograde menstruation and are implanted there, giving rise to endometriosis (5). The fact that menstrual debris are found in peritoneal cavity of up to 90% of menstruating women casts some doubt on this theory (6). Endometriosis is a complex trait and both genetic and environmental factors have been implicated in this disease (7).\n\nThe role of genetic factors in endometriosis has been assessed and confirmed through numerous studies (8-13). These studies show a higher risk of endometriosis in first-degree relatives of endometriosis patients compared to general population (10, 11, 14). Twin studies provide further evidence of genetic propensity to endometriosis. These studies show a higher risk of endometriosis in monozygotic twins compared to dizygotic twins (15-17). Several studies have attempted to identify endometriosis susceptibility genes. Candidate genes studied thus far include genes involved in inflammation, steroid synthesis, and detoxification. Prominent among the latter are glutathione-S-transferases (GSTs) (7, 18).\n\nNumerous studies indicate a relation between environmental pollutants and endometriosis (1921). It has been postulated that variants of genes involved in detoxification of these pollutants may play a role in endometriosis (22). GSTs are phase II detoxifying enzymes, catalyzing conjugation of electrophilic and hydrophobic compounds to reduced glutathione, thereby eliminating their toxicity (23). These enzymes are involved in detoxification of a wide range of toxic and carcinogenic substrates (24).\n\nMany of the known substrates of GSTs are xenobiotic substances and environmental pollutants. Different classes of these enzymes are specific for different substrates (25). Compounds like dioxins, which are ubiquitously present as known environmental pollutants throughout the world and impinge upon the food chain, are among GST's substrates (22, 26). In humans, cytosolic GSTs comprise six classes of enzymes including Mu (µ), Omega (ω), Pi (π), Theta (θ), and Zeta (ζ). Each of these classes is coded by one gene or gene subfamily (27). Glutathione-S-transferase M (GSTM) exists in 5 isoforms (GSTM1-5) and belongs to µ class.\n\nA gene cluster on chromosome 1 encodes these isoforms (28). GSTM1 gene is located on chromosome 1p13.3 and has four different alleles. GSTM1A and GSTM1B alleles are functionally similar and differ in only one amino acid (p.K172N). GSTM11×2 allele comprises two tandemly located genes, both of which are active (29). GSTM10 allele contains a deletional mutation.\n\nDue to the extent of this deletion, no mRNA or protein product is coded by the allele (30). A/A, A/O, B/B, and B/O genotype are all active and produce functional enzyme but O/O genotype causes a complete lack of enzymatic activity and is therefore called the null genotype (30, 31).\n\nFrequency of the null genotype differs in different ethnicities. It is estimated at 50% among Caucasians, 67% in Australians and 22% in Nigerians (32). GSTM1 enzyme metabolizes and detoxifies many exogenous and endogenous substrates, including dioxins, and also oxidative stress products produced during repair of ovarian epithelium after follicle rupture such as lipid hydro-peroxides, alkanes, and DNA hydroperoxides (22, 26). Several studies have indicated an association between GSTM1 null mutation and endometriosis.\n\nGSTM1 null mutation has been associated with endometriosis in Russian, French, Indian, Chinese, Taiwanese, and Turkish women (33-40). No such association has been observed in English, Japanese, and Korean women (23, 26, 41, 42). To investigate the possible association between the GSTM1 gene null genotype and susceptibility to endometriosis and also its severity, we performed a case-control study in woman of central and southern Iran.\n\nMaterials and methods\n\nStudy population\n\nThis case-control study was conducted between February 2009 and January 2011. On the whole, 101 unrelated premenopausal women with endometriosis were recruited at Yazd Mothers' Hospital and the Yazd Research and Clinical Center for Infertility, which are referral points for central and southern regions of Iran.\n\nEndometriosis was confirmed in subjects by laparoscopy after clinical examination. Laparoscopy was performed by an experienced gynecologist. Patients were staged (I-V) according to the guidelines of American Society for Reproductive Medicine (ASRM) classification system for endometriosis (1997).\n\nThe control group consisted of 142 unrelated healthy premenopausal women undergoing Cesarean section or hysterectomy at the same centers with no history of endometriosis and without any lesion suggesting endometriosis during Cesarean section or hysterectomy. Age ranged from 20 to 43 years in endometriosis group and from 17 to 52 years in control group.\n\nThe study was approved by the Ethics Committee and Research Committee of Yazd Research and Clinical Center for Infertility.\n\nWritten informed consent was obtained from all participants.\n\nDNA analysis\n\nPeripheral blood from patients and controls was collected in EDTA-containing tubes. Genomic DNA extraction was performed using AccuPrep ® Genomic DNA Extraction Kit (Bioneer, South Korea) based on manufacturer's manual. GSTM1 genotyping for gene deletion was carried out by PCR. Part of the GSTM1 gene inside deletion area was amplified using primers 5'-GAACTCCCTGAAAAGCTAAAGC-3' (forward) and 5'- CTTGGGCTCAAATATACGGTGG-3' (reverse) (Cinnagen, Iran(.\n\nTo check for the success of amplification, a set of β-globin gene primers [5'-GAAGAGCCAAGG ACAGGTAC-3' (forward) and 5'-CCACTTCATC CACGTTCACC-3' (reverse)] was added to each PCR tube which amplified a 268 base pair segment of this gene. Each amplification reaction contained 100ng genomic DNA, 1× PCR buffer [50 mM KCl, 10 mM tris-HCl (pH 8.4)], 1.5mM MgCl2 ، 200 μM dNTP, 10 pmol of each primers, and 1.5 U Taq DNA polymerase (Cinnagen, Iran( in a final volume of 25 μl.\n\nAmplification was performed with initial denaturation at 94ºC for 5 min, followed by 35 cycles of amplification which was performed at 94ºC for 1 min, 60ºC for 1 min and 72ºC for 1 min and a final extension at 72ºC for 10 min, using Mastercycler (Eppendorf, Germany). PCR products were detected by 1.5% (w/v) agarose gel electrophoresis.\n\nIn homozygote non-null and heterozygote subjects a 219 base pair band is observed in agarose gel. The absence of this band (in the presence of β-globin PCR product) indicates the homozygote null genotype.\n\nStatistical analysis\n\nFisher's exact test was used to compare genotype distributions between endometriosis and controls. Two-sample t-test was performed to compare age, Body Mass Index (BMI), age at menarche, parity and infertility between the endometriosis and control groups.\n\nP-value<0.05 was considered statistically significant. All analyses were conducted using the Statistical Package for Social Science version 11.5 (SPSS Inc., Chicago, IL).\n\nResults\n\nOf the total of 101 patients, 15 (14.8%) had stage I (minimal), 39 (38.6%) had stage II (mild), 24 (23.8%) had stage III (moderate) and 23 (22.8%) had stage IV (severe) endometriosis. 76 patients (75%) suffered from dysmenorrhea, 28 (27.7%) from dysparonhea and 9 (8.9%) from pelvic pain. In 25 (24.8%) patients neither of these symptoms was observed.\n\nNo statistically significant difference was observed in the age and infertility of patient and control groups but there were significant differences in BMI, age at menarche, and parity between the two groups (Table I). GSTM1 null genotyping was carried out successfully for all patients and controls. In table 2, frequency of null genotype in GSTM1 gene has been shown for 101 endometriosis patients and 142 controls. There was no statistically significant difference in the frequency of GSTM1 null genotype between patient and control groups (p=0.804). The frequency of GSTM1 null genotype was 45% in patients with advanced stages of the diseases (stages III and IV) and 55% in patients with the early stages (stages I and II). This difference was not statistically significant (p=0.77).\n\nTable I. General characteristics of endometriosis patients and control group.\n\nb Fisher's exact test\n\na t test\n\nTable 2. Frequencies of GSTM1 null and non-null genotypes in endometriosis patients and control group.\n\na Fisher's exact test\n\nDiscussion\n\nThe role of genetic factors in endometriosis has been assessed and confirmed through numerous familial and twin studies in different populations (10, 11, 14-17) and several studies have implicated GSTM1 gene as a possible candidate gene for susceptibility to endometriosis (18).\n\nWe performed a case-control study in woman of central and southern Iran to test the hypothesis that the GSTM1 gene null genotype is associated with susceptibility to endometriosis or severity of it. Our study showed no significant difference between the frequencies of GSTM1 null genotype in case and control groups (50.5% versus 52.1%, p=0.804). Also, this genotype was not associated with severity of endometriosis in our sample (p=0.77). This is in accordance with the OXEGENE Collaborative study in England (2001) (26), and studies performed by Baxter et al (2001) in Southern England (41), Morizane et al (2004) in Japanese women (23), and Hur et al (2005) in Korean women (42). These studies found no association between GSTM1 null genotype and endometriosis. On the other hand, Baranov et al (1996) and Ivashchenko et al (2003) reported such an association among Russian women (33, 43).\n\nSubsequent studies by Baranova et al (1999) in French women (44), Lin et al (2003) and Peng et al (2003) in Chinese women (37, 38), Hsieh et al (2004) in Taiwanese women (39), Babu et al\n\n(2005) and Roya et al (2009) in Indian women (35, 36), and Aban et al in Turkish women (40) yielded similar results. Recently, a study performed in Rasht in northern Iran also showed such an association (45).These different results in different populations are to be expected. Association between a gene variant and a disease might only be manifest in populations with a particular genetic and environment background.\n\nCircumstances like linkage disequilibrium, gene-gene interactions, and gene-environment interactions can lead to failure of replication of results in association studies in populations with different genetic and environment backgrounds (46). There is growing evidence indicating that interaction of xenobiotic compounds present in different environments with variants of genes involved in their detoxification may change the risk of endometriosis (47). For example, Roya et al (2009) studied polychlorinated biphenyls (PCBs) and GSTM1 polymorphism and their possible role in the pathogenesis of endometriosis in Indian women. They found that women with GSTM1 null phenotype and higher concentrations of PCBs might have an increased susceptibility to endometriosis (36).\n\nTaking these considerations into account, further studies in a variety of populations, involving gene-environment and gene-gene interactions, particularly combination of polymorphisms of GSTM1 and other types of GST\n\ngene family are needed to elucidate the relation of GSTM1 polymorphisms and endometriosis.\n\nAcknowledgements\n\nThis study was supported by a grant from Yazd Research and Clinical Center for Infertility.\n\nReferences\n\n1. Ozkan S, Murk W, Arici A. Endometriosis and infertility: epidemiology and evidence-based treatments. Ann N Y Acad Sci 2008; 1127: 92-100.\n2. Mahmood TA, Templeton AA, Thomson L, Fraser C. Menstrual symptoms in women with pelvic endometriosis. Br J Obstet Gynaecol 1991; 98: 558-563.\n3. Missmer SA, Cramer DW. The epidemiology of endometriosis. Obstet Gynecol Clin North Am 2003; 30: 119.\n4. D'Hooghe TM, Debrock S, Hill JA, Meuleman C. Endometriosis and subfertility: is the relationship resolved? Semin Reprod Med 2003; 21: 243-254.\n5. Sampson JA. Metastatic or Embolic Endometriosis, due to the Menstrual Dissemination of Endometrial Tissue into the Venous Circulation. Am J Pathol 1927; 3: 93-110.\n6. Seli E, Arici A. Endometriosis: interaction of immune and endocrine systems. Semin Reprod Med 2003; 21: 135-144.\n7. Montgomery GW, Nyholt DR, Zhao ZZ, Treloar SA, Painter JN, Missmer SA, et al. The search for genes contributing to endometriosis risk. Hum Reprod Update 2008; 14: 447-457.\n8. Kennedy S. The genetics of endometriosis. J Reprod Med 1998; 43 (Suppl.): 263-268.\n9. Zondervan KT, Cardon LR, Kennedy SH. The genetic basis of endometriosis. Curr Opin Obstet gynecol 2001; 13: 309-314.\n10. Simpson JL, Bischoff FZ. Heritability and molecular genetic studies of endometriosis. Ann N Y Acad Sci 2002; 955: 239-251.\n11. Stefansson H, Geirsson RT, Steinthorsdottir V, Jonsson H, Manolescu A, Kong A, et al. Genetic factors contribute to the risk of developing endometriosis. Hum Reprod 2002; 17: 555-559.\n12. Treloar S, Hadfield R, Montgomery G, Lambert A, Wicks J, Barlow DH, et al. The International Endogene Study: a collection of families for genetic research in endometriosis. Fertil Steril 2002; 78: 679-685.\n13. Vigano P, Infantino M, Lattuada D, Lauletta R, Ponti E, Somigliana E, et al. Intercellular adhesion molecule-1 (ICAM-1) gene polymorphisms in endometriosis. Mol Hum Reprod 2003; 9: 47-52.\n14. Kennedy S, Mardon H, Barlow D. Familial endometriosis. J Assist Reprod Genet 1995; 12: 32-34.\n15. Moen MH. Endometriosis in monozygotic twins. Acta Obstet Gynecol Scand 1994; 73: 59-62.\n16. Hadfield RM, Mardon HJ, Barlow DH, Kennedy SH. Endometriosis in monozygotic twins. Fertil Steril 1997; 68: 941-942.\n17. Treloar SA, O'Connor DT, O'Connor VM, Martin NG. Genetic influences on endometriosis in an Australian twin sample. Fertil Steril 1999; 71: 701-710.\n18. Tempfer CB, Simoni M, Destenaves B, Fauser BC. Functional genetic polymorphisms and female reproductive disorders: part II-endometriosis. Hum Reprod\nUpdate 2009; 15: 97-118.\n19. Rier SE, Martin DC, Bowman RE, Dmowski WP, Becker JL. Endometriosis in rhesus monkeys (Macaca mulatta) following chronic exposure to 2,3,7,8-tetrachlorodibenzop-dioxin. Fundam Appl Toxicol 1993; 21: 433-441.\n20. Gibbons A. Dioxin tied to endometriosis. Science 1993; 262: 1373.\n21. Holloway M. An epidemic ignored. Endometriosis linked to dioxin and immunologic dysfunction. Sci Am 1994; 270: 24-26.\n22. Kim SH, Choi YM, Lee GH, Hong MA, Lee KS, Lee BS, et al. Association between susceptibility to advanced stage endometriosis and the genetic polymorphisms of aryl hydrocarbon receptor repressor and glutathione-Stransferase T1 genes. Hum Reprod 2007; 22: 1866-1870.\n23. Morizane M, Yoshida S, Nakago S, Hamana S, Maruo T, Kennedy S. No association of endometriosis with glutathione S-transferase M1 and T1 null mutations in a Japanese population. J Soc Gynecol Invest 2004; 11: 118121.\n24. Hayes JD, Pulford DJ. The glutathione S-transferase supergene family: regulation of GST and the contribution of the isoenzymes to cancer chemoprotection and drug resistance. Crit Rev Biochem Mol Biol 1995; 30: 445-600.\n25. Board P, Coggan M, Johnston P, Ross V, Suzuki T, Webb G. Genetic heterogeneity of the human glutathione transferases: a complex of gene families. Pharmacol Ther 1990; 48: 357-369.\n26. Hadfield RM, Manek S, Weeks DE, Mardon HJ, Barlow DH, Kennedy SH. Linkage and association studies of the relationship between endometriosis and genes encoding the detoxification enzymes GSTM1, GSTT1 and CYP1A1. Mol Hum Reprod 2001; 7: 1073-1078.\n27. Nebert DW, Vasiliou V. Analysis of the glutathione Stransferase (GST) gene family. Hum Genomics 2004; 1: 460-464.\n28. DeJong JL, Mohandas T, Tu CP. The human Hb (mu) class glutathione S-transferases are encoded by a dispersed gene family. Biochem Biophys Res Commun 1991; 180: 15-22.\n29. McLellan RA, Oscarson M, Alexandrie AK, Seidegard J, Evans DA, Rannug A, et al. Characterization of a human glutathione S-transferase mu cluster containing a duplicated GSTM1 gene that causes ultrarapid enzyme activity. Mol Pharmacol 1997; 52: 958-965.\n30. eidegard J, Vorachek WR, Pero RW, Pearson WR. Hereditary differences in the expression of the human glutathione transferase active on trans-stilbene oxide are due to a gene deletion. Proc Natl Acad Sci USA 1988; 85: 7293-7297.\n31. Smith CM, Kelsey KT, Wiencke JK, Leyden K, Levin S, Christiani DC. Inherited glutathione-S-transferase deficiency is a risk factor for pulmonary asbestosis. Cancer Epidemiol Biomarkers Prev 1994; 3: 471-477.\n32. Smith G, Stanley LA, Sim E, Strange RC, Wolf CR. Metabolic polymorphisms and cancer susceptibility. Cancer Surveys 1995; 25: 27-65.\n33. Baranov VS, Ivaschenko T, Bakay B, Aseev M, Belotserkovskaya R, Baranova H, et al. Proportion of the GSTM1 0/0 genotype in some Slavic populations and its correlation with cystic fibrosis and some multifactorial diseases. Hum Genet 1996; 97: 516-520.\n34. Baranova H, Bothorishvilli R, Canis M, Albuisson E, Perriot S, Glowaczower E, et al. Glutathione S-transferase M1 gene polymorphism and susceptibility to endometriosis in a French population. Mol Hum Reprod 1997; 3: 775-780.\n\n35. Babu KA, Reddy NG, Deendayal M, Kennedy S, Shivaji S. GSTM1, GSTT1 and CYP1A1 detoxification gene polymorphisms and their relationship with advanced stages of endometriosis in South Indian women. Pharmacogenet Genomics 2005; 15: 167-172.\n36. Roya R, Baludu GS, Reddy BS. Possible aggravating impact of gene polymorphism in women with endometriosis. Ind J Me<cursor_is_here>\n37. Lin J, Zhang X, Qian Y, Ye Y, Shi Y, Xu K, et al. Glutathione S-transferase M1 and T1 genotypes and endometriosis risk: a case-controlled study. Chin Med J (Engl) 2003; 116: 777-780.\n38. Peng DX, He YL, Qiu LW, Yang F, Lin JM. Association between glutathione S-transferase M1 gene deletion and genetic susceptibility to endometriosis. Di 1 Jun Yi Da Xue Xue 2003; 23: 458-459.\n39. Hsieh YY, Chang CC, Tsai FJ, Lin CC, Chen JM, Tsai CH. Glutathione S-transferase M1*null genotype but not myeloperoxidase promoter G-463A polymorphism is associated with higher susceptibility to endometriosis. Mol Hum Reprod 2004; 10: 713-717.\n40. Aban M, Ertunc D, Tok EC, Tamer L, Arslan M, Dilek S. Modulating interaction of glutathione-S-transferase polymorphisms with smoking in endometriosis. J Reprod Med 2007; 52: 715-721.\n41. Baxter SW, Thomas EJ, Campbell IG. GSTM1 null polymorphism and susceptibility to endometriosis and\novarian cancer. Carcinogenesis 2001; 22: 63-65.\n42. Hur SE, Lee JY, Moon HS, Chung HW. Polymorphisms of the genes encoding the GSTM1, GSTT1 and GSTP1 in Korean women: no association with endometriosis. Mol Hum Reprod 2005; 11: 15-19.\n43. Ivashchenko TE, Shved N, Kramareva NA, Ailamazian EK, Baranov VS. Analysis of the polymorphic alleles of genes encoding phase 1 and phase 2 detoxication enzymes in patients with endometriosis. Genetika 2003; 39: 525529.\n44. Baranova H, Canis M, Ivaschenko T, Albuisson E, Bothorishvilli R, Baranov V, et al. Possible involvement of arylamine N-acetyltransferase 2, glutathione Stransferases M1 and T1 genes in the development of endometriosis. Mol Hum Reprod 1999; 5: 636-641.\n45. Hosseinzadeh Z, Mashayekhi F, Sorouri ZZ. Association between GSTM1 gene polymorphism in Iranian patients with endometriosis. Gynecol Endocrinol 2011; 27: 185189.\n46. Hirschhorn JN, Lohmueller K, Byrne E, Hirschhorn K. A comprehensive review of genetic association studies. Genet Med 2002; 4: 45-61.\n47. Guo SW, Simsa P, Kyama CM, Mihalyi A, Fulop V, Othman EE, et al. Reassessing the evidence for the link between dioxin and endometriosis: from molecular biology to clinical epidemiology. Mol Hum Reprod 2009; 15: 609-624.\n</text>\n", "role": "user" }, { "content": "d Res 2009; 129: 395-400.", "role": "assistant" } ]
Short Communication Molecular Characterization and Pathogenesis of Local Isolates of Clostridium perfringens Type D from Sheep in District Peshawar Saqib Nawaz 1 , Sher Bahadar Khan 1 , Umar Sadique 1 , Muhammad Israr 2 , Mumtaz Ali Khan 3 , Hameed Ullah Khan 4 , Muhammad Irshad 5 , Ihsan Ali 1 and Haq Aman Ullah 1 1 2 College of Veterinary Sciences, The University of Agriculture, Peshawar Article Information Received 03 February 2020 Revised 29 June 2020 Accepted 07 July 2020 Available online 26 October 2020 Authors' Contribution SN, SBK and US designed the idea, performed experiments and wrote the article. M Israr, MAK and HUK did analysis and reviewed the article. M Irshad, IA and HAU collected and processed the samples. Key words Clostridium perfringens, Enterotoxaemia, Pathogenesis, Pulpy kidney dissease, PCR C. perfringens is non motile, spore forming, large rod shaped gram-positive, catalase-negative, oxidase-negative and anaerobic bacteria with an abundant ecological spreading in soil, sewage, diet, feces, and in the normal gut ﬂora of humans and animals (McClane et al., 2013). C. perfringens produces 4 major toxins which is categorized into 5 toxino-types (A, B, C, D and E), namely alpha (α) (CPA), beta (β) (CPB), Epsilon (ε) (ETX), and iota (ITX). α toxin is produced by all 5 toxino-types while β toxin is produced by C. perfringens type B and C. ε toxin is produced by C. perfringens type B and D while iota toxin is produced by C. perfringens type E. C. perfringens also produces 15 other minor toxins including lethal toxins such as enterotoxin (CPE), perfringolysin O (PFO) and β2 toxin (CPB2) (Garmory et al., 2000). C. perfringens type A and B cause yellow lamb disease and lamb dysentery in sheep respectively, while C. perfringens type C causes haemorrhagic enteritis (struck in disease) and C. perfringens type D causes pulpy kidney disease. Online First Article 3Civil Veterinary Hospital, Takht Bhai, Mardan 4Veterinary Research Institute, Peshawar 5Livestock Research and Developmental Station, Surezi, Peshawar The main objective of this study was isolation and determination of changes caused by Clostridium perfringens type D from sheep. For this purpose, a total of 272 fecal samples were collected from sheep and lambs from four different zones of district Peshawar. Isolates were morphologically, biochemically and molecularly confirmed through Gram staining, gelatin liquefaction test (GLT) and polymerase chain reaction (PCR), respectively. Out of total, 85 (31.3%) were positive for C. perfringens type D on PCR. The results revealed 6-34% prevalence of C. perfringens type D in different regions. Similarly, significantly (P˂0.001) higher prevalence was observed in lambs (54%) as compared to sheep (23%). For gross and histopathological lesions a total of 50 animals were necropsied infected with C. perfringens type D. A total of 43 (86%) sheep were recorded having hemorrhages on serosa of intestine followed by gas filled small intestine in 41 sheep (82%), lesions in ileum and colon in 39 sheep (78%), soft kidney 27 (54%), dark congested liver 26 (52%), nephritis 23 (46%) and spleenitis 13 (26%). Microscopic lesions revealed a score of 10 of kidney tissue out of 15 while the lesion score of intestine revealed 08 out of lesion score of 15. Pulpy kidney disease (PKD) is one of the major endemic diseases of small ruminant. This disease mainly occurs in sheep in region where there is abundant availability of green fodder and is caused by different types of toxins of Clostridium perfringens with high case fatality rates leading to considerable economic losses to the farmers. The disease mostly transmitted through feces to sheep and rarely to large ruminants (McClane et al., 2006). A B S T R A C T In Pakistan, the prevalence of C. perfringens in small ruminants and sheep is 26% and 32.1%, respectively while some study reported 31% (Radad and Khalil, 2011). In Khartoum State, Iran and Al-Ahsa, Kingdom of Saudi Arabia the prevalence of C. perfringens in sheep was found to be 23.8% and 26.5%, respectively (Aschfalk et al., 2002). Alteration in the gastro intestinal tract (GIT) is the predisposing factor for C. perfringens type D due to which it starts proliferation and produces large number of copies of ε toxin in the form of inactive prototoxin which get activated by proteolytic degradation of C-terminal 14 amino acid which produces both local and systemic effects (Cheung et al., 2004). In kidney it lead to autolysis while in lungs it Pakistan Science Foundation, Islamabad 2 cause pulmonary edema and in brain it lead to perivascular edema and cerebral necrosis (Garmory et al., 2000). type D α/cpa and ε/etx in fecal samples are: Clinically in sheep pulpy kidney disease is mainly characterized by nervous signs like staggering and knuckling at fetlock in forelimbs, champing of jaws, teeth grinding, salivation, rapid shallow and irregular respiration along with sudden onset of death (Fernandez and Uzal, 2003). On postmortem examination, empty and gas filled small intestine, congested liver and dark, pulpy soft kidney, increased fluid in pericardial sac and petechial and ecchymotic hemorrhages in abdominal muscles and serosa of intestine in sheep are seen (Radad and Khalil, 2011). The main objectives of this study were isolation, histopathological and molecular identification of local isolates of C. perfringens type D from sheep and lambs to assess the prevailing situation of C. perfringens type D in district Peshawar, to reduce the economic losses and to make devise strategies for effective control of this fatal disease. Materials and methods Fecal sample were washed with phosphate buffer saline and culture in fluid thioglycollate broth (HI Media Laboratories Pvt. Ltd., India) for enrichment, followed by incubation at 37°C for 24h anaerobically using CO 2 incubator (Galaxy 48 S, New Brunswick an eppendorf Company) and observed for any growth. After obtaining mass turbidity in broth, the samples were subcultured on tryptose sulphite cycloserine (TSC) agar (HI Media Laboratories Pvt. Ltd., India) by taking 0.1ml of the inocula for obtaining suspected grayish black colonies having diameter of 3-5mm. The suspected isolates were initially confirmed through Gram staining and gelatin liquefaction test (Kalender et al., 2005). containing 10 μl of MasterMix, 1μl each of Forward Primer and Reverse Primer, 8 μl of PCR water and 5μl of DNA template using Bio-Rad thermal cycler. Amplification was done with initial denaturation at 94°C for 5 min followed by 30 cycles, each consisting of 60 sec of denaturation at 94°C, 60 sec of annealing at (α 55°C, ε 53.4°C), 60 sec of extension at 72°C and 10 min of final extension at 72°C. Two sets of primers used for the detection of C. perfringens a/cpa Primer F-5-TGC TAA TGTTAC TGC CGT TGA TAG-3 Primer R-5-TGC TAA TGTTAC TGC CGT TGA TAG-3 ε/etx Primer F-5-ATT AAA ATC ACA ATC ATT CAC TTG-3 Primer R-5-CTT GTG AAG GGA CAT TAT GAG TAA-3 with products of base pair 247 and 206, respectively as described by Garmory et al. (2000). For gross and histopathological lesion scoring of different organs was made on the basis of severity of lesion. The severity level was 0, 1, 2, 3 and 4 that represent normal, mild, moderate, severe and highly severe, respectively (Sadique et al., 2012). For histopathology a small crosssection were trimmed off from intestine and kidney. Then suitable sections were made by placing these samples in 10 % neutral buffered formalin for fixing of these samples. Then samples were further processed for histopathology and routine staining by following the method suggested by Bancroft et al. (2007). The data collected in the present study was analyzed through SPSS 8.1 using post Hoc and lesion scoring performed for evaluation of pathogenesis and severity of infection. Online First Article PCR products were run on 1.5% agarose gel with gel red (3μl) added along DNA ladder of 1 Kb (Genesta™) as a Marker and optimized positive and negative control product at 120 V, charge of 500 mA current for 35min. A total of 50 sheep were examined to study the gross and histopathological lesions. Similarly those sheep showing diarrhoea, staggering and knuckling at fetlock in forelimbs, champing of jaws and teeth grinding were suspected for Enterotoxaemia and were purchased and sacrificed for recording pathological lesions. On post mortem inspection, detailed lesions were recorded in small intestine, liver, kidney, pericardial sac and abdominal muscles. The detail lesions scoring were documented in different organs of each necropsied animal (Wesonga et al., 2004). Tissues samples were collected from kidney and intestine in aseptic condition in sterile container under refrigeration for histopathology and preserved in neutral buffered formalin (10%) for histopathological examinations. Samples were properly labelled and transported to the Microbiology laboratory, Department of Animal Health, the University of Agriculture, Peshawar for further processing. Fecal samples were randomly collected from sheep and lambs suspected on clinical signs and symptoms for C. perfringens type D infection present in four regions of District Peshawar, Khyber Pakhtunkhwa province, Pakistan. A total of 272 fecal samples were used in the study including 200 from sheep (50 from each region) and 72 from lambs (18 from each region). Region I consist of Pelosi, university dairy farm and adjacent areas. Region II consists of Tajabad and Achenai bala. Region III consists of Nasir Pur and Charsadda Road while Region IV consists of GT Road and adjacent area. Samples were labeled, transported in ice box and stored at 4 o C until use. A preformed questionnaire was developed to collect detail data of the animals. For PCR amplification of α and ε toxins, genomic DNA was extracted by using the commercially available DNA extraction kit (GeneAllBldg, 303-7 Dongnamro, Songpa-gu, Seoul, South Korea) according to the manufacturer's instructions. C. perfringens type D was confirmed on PCR that PCR was conducted in 25 µL reaction mixture Results and discussion 3 all 85 samples (46 from sheep and 39 from lambs) were positive for α and ε toxin gene (Table I). The maximum prevalence of C. perfringens type D in sheep and lambs was found in region III (34%) and (89%), respectively. On PCR analysis an amplicon size of 247 bp for α and 206 bp for ε was obtained that represents C. perfringens type D in sheep and lambs. Out of total 200 examined sheep, 123 (61.5%), 112 (56%), 105 (52.5%) and 81 (40.5%) showing diarrhoea, staggering and knuckling at fetlock in forelimbs, champing of jaws and teeth grinding, respectively. Along with these symptoms the frothing of mouth 75 (37.5%) and rapid shallow and irregular respiration 41 (20.5%) was also recorded. Most of the sheep's showing signs of mild fever 97 (48.5%) with anorexia, anemia and lethargy. Out of total 50 sheep died from pulpy kidney disease were examined for postmortem lesions, 43 (86%), 41(82%), 39(78%), 27(54%), 26(52%), 23(46%) and 13(26%) sheep showing hemorrhages on serosa of intestine, gas filled small intestine, lesions in ileum and colon, soft kidney, dark congested liver, nephritis and Spleenitis, respectively were recorded. gross lesion score was carried out to record and evaluate the severity of C. perfringens type D infection in kidney and intestine of sheep. Out of total lesion score of 15 the distribution of lesion score was 08 in kidney while the lesion score of intestine is 07. However, the microscopic lesions score revealed that out of total lesion score of 15, the kidney present a score of 10 while the lesion score of intestine was 08 (Table II). Table I. Incidence of C. Perfringens type D in sheep and lamb on PCR in Peshawar, KPK. The isolates were identified on the basis of their culture, morphological and biochemical characteristics and its gross and histopathological lesion in its predirection sites (kidney and intestine). The isolates show grayish black colonies on TSC agar while Gram staining were also performed for morphological identification and show purple rods having spore which agree with the result of (Cheung et al., 2004). During current study the prevalence rate in sheep Kidney and intestine were severely infected so the tissue sections were studied for histopathology. C. perfringens type D were confirmed that in kidney, it causes degenerative changes in the glomerulus, cast disposition, necrotic changes in tubular epithelium accompanied by congestion and leukocytic infiltration (Figs. 1A, B). The sections of intestine of sheep showed erosion of epithelium lining, sloughing of villi, leukocytic infiltration and aggregation of inflammatory cells (Figs. 1C, D). The Online First Article Fig. 1. Histological structure of sheep kidney (A, B) and intestine (C, D). Control kidney (A), sheep kidney infected with C. perfringens type D (B) showing leukocyte infiltration, cast deposition, tubular epithelial cells and severe degeneration in tubular epithelium. Control intestine (C), intestine of infected sheep (D) showing sloughing of villi and leukocytic infiltration (D). *Stain: H&E (Hematoxcillin and Eosin); Magnification: A, B, 100x; C, D, 400X. Table II. Gross and microscopic lesion score in sheep suspected for C. perfringens type D infection. 4 in region I, II, III and IV were (06%), (24%), (34%) and (28%) while the overall prevalence of enterotoxaemia in sheep is 23% which is in line with the finding of (Greco et al., 2005) from Italy who reported 25% prevalence of enterotoxaemia in sheep. These results are in contrast with the result of (Bachhil and Jaiswal, 1989) who reported less prevalence when compared with our findings. This high occurrence rate may be due to different climatic condition, breed, and poor farm management, system of rearing and lack of information about disease to farmer community. C. perfringens type D respectively while the gross and microscopic lesion scoring revealed that kidney is more severely infected then intestine. Statement of conflict of interest The authors have declared no conflict of interest. References The prevalence rate in lamb in region I, II, III and IV was 11%, 61%, 88% and 55% while the overall prevalence of enterotoxaemia in lambs is 54% which is in close accordance with the result of (Kalender et al., 2005) from turkey who reported 50% prevalence of enterotoxaemia in lambs. The results are in contrast with results of (Aschfalk et al., 2002) from West Africa who reported 71% prevalence of enterotoxaemia in lambs. The high occurrence rate of (Aschfalk et al., 2002) may be due to random selection of sheep, different climatic condition, breed and system of rearing. Beside it the histopathological changes in intestine are dependent on the involvement of C. perfringens type D that causes lesions in the form of hyperplasia, granuloma, enteritis, congestion and fibrosis. There was sloughing of villi, desquamation of epithelial cells, hyperplasia of serosa and scattered hemorrhages in serosa layer of intestine infiltrated with leukocytes. The lesions noted in the current study are in line with the findings of (Kalender et al., 2007). The section of kidney showed congestion, extensive degeneration in the glomeruli, and necrosisin tubular epithelium, urinary tubules filled with cast and loss of glomeruli. Aschfalk, A., Valentin-Weig, P., Muller, W. and Goethe, R., 2002. Vet. Rec., 151: 210–213. https://doi. org/10.1136/vr.151.7.210 Bancroft, J.M. and Gamble, M., 2007. Theory and practice of histopathological techniques. Churchill Livingstone, London. pp. 125-138. Bachhil, N. and Jaiswal, T.N., 1989. Indian Vet. Med. J., 13: 229–233. https://doi.org/10.17953/aicr.13.34.5613516316x12124 Cheung, J.K., Awad, M.M., McGowan, S.J. and Rood. I., 2004. J. Vet. Microbiol., 105: 130-136. Garmory, H.S., Chanter, N. and French, N.P., 2000. Epidemiol. Infect., 124: 61–67. https://doi. org/10.1017/S0950268899003295 Fernandez Miyakawa, M.E. and Uzal, F.A., 2003. Vet. Res. Commun., 27: 231-241. https://doi. org/10.1023/A:1023348708599 Greco, G., Madio, A., Buonavoglia, D., Totaro, M., Corrente, M., Martella, V. and Buonavoglia, C., 2005. Vet. J., 170: 346-350. https://doi. org/10.1016/j.tvjl.2004.08.001 Kelender, H., Kili, A. and Atil, E., 2007. Turk. J. Vet. Anim. Sci., 31: 83-84. Online First Article PCR is used for molecular identification of toxinotyping of C. perfringens type D due to its high efficiency and sensitivity. α and ε primers with an amplicon size of 247bp and 206bp respectively were used. As per PCR findings, out of 272 suspected fecal samples (200 from sheep and 72 from lamb), 85 samples were positive for α and ε toxin which confirmed that C. perfringens type D is the most predominant type of C. Perfringens in sheep and lamb. These results are in line with (Kalender et al., 2005). Conclusion Radad, K. and Khalil, S., 2011. Braz. J. Vet. Pathol., 4: 219-224. Kalender, H., Ertas, H.B., Cetinkaya, B., Muz, A., Arslan, N. and Kilic, A., 2005. Vet. Med. Czech., 50: 141-148. McClane, B.A., Uzal, F.A., Miyakawa, M.F., Lyerly, D. and Wilkins, T., 2006. The Enterotoxic Clostridia. In: The prokaryotes, Vol. 4 (eds. M. Dworkin, S. Falkow and E. Stackebrandt). Springer-Verlag, NY, pp. 698752. https://doi.org/10.1007/0-387-30744-3_22 The overall prevalence of enterotoxaemia in sheep and lamb population in study area was 23% and 54% respectively. The region wise prevalence of enterotoxaemia in sheep in region I, II, III and IV were 06%, 24%, 34% and 28% respectively while the region wise prevalence of enterotoxaemia in Lamb in region I, II, III and IV were 11%, 61%, 88% and 55% respectively. Region III showed the highest incidence rate of 34% and 88% in sheep and lamb respectively. PCR confirmed the α and ε toxin with an amplicon size of 247bp and 206bp for the presence of McClane, B.A., Robertson, S.L. and Chen, L.J., 2013. Clostridium perfringens. In: Food microbiology: Fundamentals and frontiers. (eds. R.L. Buchanan and M.P. Doyle). American Society for Mic, Washington, DC. pp. 465–489. https://doi. org/10.1128/9781555818463.ch18 Sadique, U., Zafer, R., Younas, Z.U., Hassan, M., Idrees, M., Mushtaq, A., Sajid, M. and Sabtain, M., 2012. Pak. J. Anim. Pl. Sci., 22: 33-37. Wesonga, H.O., Bolske, G., Thiaucourt, F., Wanjohi, C. and Lindberg, R., 2004. Acta Vet. Scand., 45: 167179. https://doi.org/10.1186/1751-0147-45-167	<urn:uuid:9ba76c87-5231-4ce6-85bb-e8b3dfbdeefc>	CC-MAIN-2021-17	https://researcherslinks.com/uploads/articles/1603710723PJZ_MH20200203170216-R3_Nawaz%20et%20al.pdf	2021-04-16T10:49:43+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-17/subset=warc/part-00095-74237c22-0523-49c6-9e5a-6b4aa471a042.c000.gz.parquet	587,646,572	4,961	eng_Latn	eng_Latn	0.932431	eng_Latn	0.957772	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 4566, 10144, 13372, 18498 ]	Short Communication Molecular Characterization and Pathogenesis of Local Isolates of Clostridium perfringens Type D from Sheep in District Peshawar Saqib Nawaz 1 , Sher Bahadar Khan 1 , Umar Sadique 1 , Muhammad Israr 2 , Mumtaz Ali Khan 3 , Hameed Ullah Khan 4 , Muhammad Irshad 5 , Ihsan Ali 1 and Haq Aman Ullah 1 1 2 College of Veterinary Sciences, The University of Agriculture, Peshawar Article Information Received 03 February 2020 Revised 29 June 2020 Accepted 07 July 2020 Available online 26 October 2020 Authors' Contribution SN, SBK and US designed the idea, performed experiments and wrote the article. M Israr, MAK and HUK did analysis and reviewed the article. M Irshad, IA and HAU collected and processed the samples. Key words Clostridium perfringens, Enterotoxaemia, Pathogenesis, Pulpy kidney dissease, PCR C. perfringens is non motile, spore forming, large rod shaped gram-positive, catalase-negative, oxidase-negative and anaerobic bacteria with an abundant ecological spreading in soil, sewage, diet, feces, and in the normal gut ﬂora of humans and animals (McClane et al., 2013). C. perfringens produces 4 major toxins which is categorized into 5 toxino-types (A, B, C, D and E), namely alpha (α) (CPA), beta (β) (CPB), Epsilon (ε) (ETX), and iota (ITX). α toxin is produced by all 5 toxino-types while β toxin is produced by C. perfringens type B and C. ε toxin is produced by C. perfringens type B and D while iota toxin is produced by C. perfringens type E. C. perfringens also produces 15 other minor toxins including lethal toxins such as enterotoxin (CPE), perfringolysin O (PFO) and β2 toxin (CPB2) (Garmory et al., 2000). C. perfringens type A and B cause yellow lamb disease and lamb dysentery in sheep respectively, while C. perfringens type C causes haemorrhagic enteritis (struck in disease) and C. perfringens type D causes pulpy kidney disease. Online First Article 3Civil Veterinary Hospital, Takht Bhai, Mardan 4Veterinary Research Institute, Peshawar 5Livestock Research and Developmental Station, Surezi, Peshawar The main objective of this study was isolation and determination of changes caused by Clostridium perfringens type D from sheep. For this purpose, a total of 272 fecal samples were collected from sheep and lambs from four different zones of district Peshawar. Isolates were morphologically, biochemically and molecularly confirmed through Gram staining, gelatin liquefaction test (GLT) and polymerase chain reaction (PCR), respectively. Out of total, 85 (31.3%) were positive for C. perfringens type D on PCR. The results revealed 6-34% prevalence of C. perfringens type D in different regions. Similarly, significantly (P˂0.001) higher prevalence was observed in lambs (54%) as compared to sheep (23%). For gross and histopathological lesions a total of 50 animals were necropsied infected with C. perfringens type D. A total of 43 (86%) sheep were recorded having hemorrhages on serosa of intestine followed by gas filled small intestine in 41 sheep (82%), lesions in ileum and colon in 39 sheep (78%), soft kidney 27 (54%), dark congested liver 26 (52%), nephritis 23 (46%) and spleenitis 13 (26%). Microscopic lesions revealed a score of 10 of kidney tissue out of 15 while the lesion score of intestine revealed 08 out of lesion score of 15. Pulpy kidney disease (PKD) is one of the major endemic diseases of small ruminant. This disease mainly occurs in sheep in region where there is abundant availability of green fodder and is caused by different types of toxins of Clostridium perfringens with high case fatality rates leading to considerable economic losses to the farmers. The disease mostly transmitted through feces to sheep and rarely to large ruminants (McClane et al., 2006). A B S T R A C T In Pakistan, the prevalence of C. perfringens in small ruminants and sheep is 26% and 32.1%, respectively while some study reported 31% (Radad and Khalil, 2011). In Khartoum State, Iran and Al-Ahsa, Kingdom of Saudi Arabia the prevalence of C. perfringens in sheep was found to be 23.8% and 26.5%, respectively (Aschfalk et al., 2002). Alteration in the gastro intestinal tract (GIT) is the predisposing factor for C. perfringens type D due to which it starts proliferation and produces large number of copies of ε toxin in the form of inactive prototoxin which get activated by proteolytic degradation of C-terminal 14 amino acid which produces both local and systemic effects (Cheung et al., 2004). In kidney it lead to autolysis while in lungs it Pakistan Science Foundation, Islamabad 2 cause pulmonary edema and in brain it lead to perivascular edema and cerebral necrosis (Garmory et al., 2000). type D α/cpa and ε/etx in fecal samples are: Clinically in sheep pulpy kidney disease is mainly characterized by nervous signs like staggering and knuckling at fetlock in forelimbs, champing of jaws, teeth grinding, salivation, rapid shallow and irregular respiration along with sudden onset of death (Fernandez and Uzal, 2003). On postmortem examination, empty and gas filled small intestine, congested liver and dark, pulpy soft kidney, increased fluid in pericardial sac and petechial and ecchymotic hemorrhages in abdominal muscles and serosa of intestine in sheep are seen (Radad and Khalil, 2011). The main objectives of this study were isolation, histopathological and molecular identification of local isolates of C. perfringens type D from sheep and lambs to assess the prevailing situation of C. perfringens type D in district Peshawar, to reduce the economic losses and to make devise strategies for effective control of this fatal disease. Materials and methods Fecal sample were washed with phosphate buffer saline and culture in fluid thioglycollate broth (HI Media Laboratories Pvt. Ltd., India) for enrichment, followed by incubation at 37°C for 24h anaerobically using CO 2 incubator (Galaxy 48 S, New Brunswick an eppendorf Company) and observed for any growth. After obtaining mass turbidity in broth, the samples were subcultured on tryptose sulphite cycloserine (TSC) agar (HI Media Laboratories Pvt. Ltd., India) by taking 0.1ml of the inocula for obtaining suspected grayish black colonies having diameter of 3-5mm. The suspected isolates were initially confirmed through Gram staining and gelatin liquefaction test (Kalender et al., 2005). containing 10 μl of MasterMix, 1μl each of Forward Primer and Reverse Primer, 8 μl of PCR water and 5μl of DNA template using Bio-Rad thermal cycler. Amplification was done with initial denaturation at 94°C for 5 min followed by 30 cycles, each consisting of 60 sec of denaturation at 94°C, 60 sec of annealing at (α 55°C, ε 53.4°C), 60 sec of extension at 72°C and 10 min of final extension at 72°C. Two sets of primers used for the detection of C. perfringens a/cpa Primer F-5-TGC TAA TGTTAC TGC CGT TGA TAG-3 Primer R-5-TGC TAA TGTTAC TGC CGT TGA TAG-3 ε/etx Primer F-5-ATT AAA ATC ACA ATC ATT CAC TTG-3 Primer R-5-CTT GTG AAG GGA CAT TAT GAG TAA-3 with products of base pair 247 and 206, respectively as described by Garmory et al. (2000). For gross and histopathological lesion scoring of different organs was made on the basis of severity of lesion. The severity level was 0, 1, 2, 3 and 4 that represent normal, mild, moderate, severe and highly severe, respectively (Sadique et al., 2012). For histopathology a small crosssection were trimmed off from intestine and kidney. Then suitable sections were made by placing these samples in 10 % neutral buffered formalin for fixing of these samples. Then samples were further processed for histopathology and routine staining by following the method suggested by Bancroft et al. (2007). The data collected in the present study was analyzed through SPSS 8.1 using post Hoc and lesion scoring performed for evaluation of pathogenesis and severity of infection. Online First Article PCR products were run on 1.5% agarose gel with gel red (3μl) added along DNA ladder of 1 Kb (Genesta™) as a Marker and optimized positive and negative control product at 120 V, charge of 500 mA current for 35min. A total of 50 sheep were examined to study the gross and histopathological lesions. Similarly those sheep showing diarrhoea, staggering and knuckling at fetlock in forelimbs, champing of jaws and teeth grinding were suspected for Enterotoxaemia and were purchased and sacrificed for recording pathological lesions. On post mortem inspection, detailed lesions were recorded in small intestine, liver, kidney, pericardial sac and abdominal muscles. The detail lesions scoring were documented in different organs of each necropsied animal (Wesonga et al., 2004). Tissues samples were collected from kidney and intestine in aseptic condition in sterile container under refrigeration for histopathology and preserved in neutral buffered formalin (10%) for histopathological examinations. Samples were properly labelled and transported to the Microbiology laboratory, Department of Animal Health, the University of Agriculture, Peshawar for further processing. Fecal samples were randomly collected from sheep and lambs suspected on clinical signs and symptoms for C. perfringens type D infection present in four regions of District Peshawar, Khyber Pakhtunkhwa province, Pakistan. A total of 272 fecal samples were used in the study including 200 from sheep (50 from each region) and 72 from lambs (18 from each region). Region I consist of Pelosi, university dairy farm and adjacent areas. Region II consists of Tajabad and Achenai bala. Region III consists of Nasir Pur and Charsadda Road while Region IV consists of GT Road and adjacent area. Samples were labeled, transported in ice box and stored at 4 o C until use. A preformed questionnaire was developed to collect detail data of the animals. For PCR amplification of α and ε toxins, genomic DNA was extracted by using the commercially available DNA extraction kit (GeneAllBldg, 303-7 Dongnamro, Songpa-gu, Seoul, South Korea) according to the manufacturer's instructions. C. perfringens type D was confirmed on PCR that PCR was conducted in 25 µL reaction mixture Results and discussion 3 all 85 samples (46 from sheep and 39 from lambs) were positive for α and ε toxin gene (Table I). The maximum prevalence of C. perfringens type D in sheep and lambs was found in region III (34%) and (89%), respectively. On PCR analysis an amplicon size of 247 bp for α and 206 bp for ε was obtained that represents C. perfringens type D in sheep and lambs. Out of total 200 examined sheep, 123 (61.5%), 112 (56%), 105 (52.5%) and 81 (40.5%) showing diarrhoea, staggering and knuckling at fetlock in forelimbs, champing of jaws and teeth grinding, respectively. Along with these symptoms the frothing of mouth 75 (37.5%) and rapid shallow and irregular respiration 41 (20.5%) was also recorded. Most of the sheep's showing signs of mild fever 97 (48.5%) with anorexia, anemia and lethargy. Out of total 50 sheep died from pulpy kidney disease were examined for postmortem lesions, 43 (86%), 41(82%), 39(78%), 27(54%), 26(52%), 23(46%) and 13(26%) sheep showing hemorrhages on serosa of intestine, gas filled small intestine, lesions in ileum and colon, soft kidney, dark congested liver, nephritis and Spleenitis, respectively were recorded. gross lesion score was carried out to record and evaluate the severity of C. perfringens type D infection in kidney and intestine of sheep. Out of total lesion score of 15 the distribution of lesion score was 08 in kidney while the lesion score of intestine is 07. However, the microscopic lesions score revealed that out of total lesion score of 15, the kidney present a score of 10 while the lesion score of intestine was 08 (Table II). Table I. Incidence of C. Perfringens type D in sheep and lamb on PCR in Peshawar, KPK. The isolates were identified on the basis of their culture, morphological and biochemical characteristics and its gross and histopathological lesion in its predirection sites (kidney and intestine). The isolates show grayish black colonies on TSC agar while Gram staining were also performed for morphological identification and show purple rods having spore which agree with the result of (Cheung et al., 2004). During current study the prevalence rate in sheep Kidney and intestine were severely infected so the tissue sections were studied for histopathology. C. perfringens type D were confirmed that in kidney, it causes degenerative changes in the glomerulus, cast disposition, necrotic changes in tubular epithelium accompanied by congestion and leukocytic infiltration (Figs. 1A, B). The sections of intestine of sheep showed erosion of epithelium lining, sloughing of villi, leukocytic infiltration and aggregation of inflammatory cells (Figs. 1C, D). The Online First Article Fig. 1. Histological structure of sheep kidney (A, B) and intestine (C, D). Control kidney (A), sheep kidney infected with C. perfringens type D (B) showing leukocyte infiltration, cast deposition, tubular epithelial cells and severe degeneration in tubular epithelium. Control intestine (C), intestine of infected sheep (D) showing sloughing of villi and leukocytic infiltration (D). *Stain: H&E (Hematoxcillin and Eosin); Magnification: A, B, 100x; C, D, 400X. Table II. Gross and microscopic lesion score in sheep suspected for C. perfringens type D infection. 4 in region I, II, III and IV were (06%), (24%), (34%) and (28%) while the overall prevalence of enterotoxaemia in sheep is 23% which is in line with the finding of (Greco et al., 2005) from Italy who reported 25% prevalence of enterotoxaemia in sheep. These results are in contrast with the result of (Bachhil and Jaiswal, 1989) who reported less prevalence when compared with our findings. This high occurrence rate may be due to different climatic condition, breed, and poor farm management, system of rearing and lack of information about disease to farmer community. C. perfringens type D respectively while the gross and microscopic lesion scoring revealed that kidney is more severely infected then intestine. Statement of conflict of interest The authors have declared no conflict of interest. References The prevalence rate in lamb in region I, II, III and IV was 11%, 61%, 88% and 55% while the overall prevalence of enterotoxaemia in lambs is 54% which is in close accordance with the result of (Kalender et al., 2005) from turkey who reported 50% prevalence of enterotoxaemia in lambs. The results are in contrast with results of (Aschfalk et al., 2002) from West Africa who reported 71% prevalence of enterotoxaemia in lambs. The high occurrence rate of (Aschfalk et al., 2002) may be due to random selection of sheep, different climatic condition, breed and system of rearing. Beside it the histopathological changes in intestine are dependent on the involvement of C. perfringens type D that causes lesions in the form of hyperplasia, granuloma, enteritis, congestion and fibrosis. There was sloughing of villi, desquamation of epithelial cells, hyperplasia of serosa and scattered hemorrhages in serosa layer of intestine infiltrated with leukocytes. The lesions noted in the current study are in line with the findings of (Kalender et al., 2007). The section of kidney showed congestion, extensive degeneration in the glomeruli, and necrosisin tubular epithelium, urinary tubules filled with cast and loss of glomeruli. Aschfalk, A., Valentin-Weig, P., Muller, W. and Goethe, R., 2002. Vet. Rec., 151: 210–213. https://doi. org/10.1136/vr.151.7.210 Bancroft, J.M. and Gamble, M., 2007. Theory and practice of histopathological techniques. Churchill Livingstone, London. pp. 125-138. Bachhil, N. and Jaiswal, T.N., 1989. Indian Vet. Med. J., 13: 229–233. https://doi.org/10.17953/aicr.13.34.5613516316x12124 Cheung, J.K., Awad, M.M., McGowan, S.J. and Rood. I., 2004. J. Vet. Microbiol., 105: 130-136. Garmory, H.S., Chanter, N. and French, N.P., 2000. Epidemiol. Infect., 124: 61–67. https://doi. org/10.1017/S0950268899003295 Fernandez Miyakawa, M.E. and Uzal, F.A., 2003. Vet. Res. Commun., 27: 231-241. https://doi. org/10.1023/A:1023348708599 Greco, G., Madio, A., Buonavoglia, D., Totaro, M., Cor	rente, M.		16,206	inside_word	Corrente,	remove_all	<url> https://researcherslinks.com/uploads/articles/1603710723PJZ_MH20200203170216-R3_Nawaz%20et%20al.pdf </url> <text> Short Communication Molecular Characterization and Pathogenesis of Local Isolates of Clostridium perfringens Type D from Sheep in District Peshawar Saqib Nawaz 1 , Sher Bahadar Khan 1 , Umar Sadique 1 , Muhammad Israr 2 , Mumtaz Ali Khan 3 , Hameed Ullah Khan 4 , Muhammad Irshad 5 , Ihsan Ali 1 and Haq Aman Ullah 1 1 2 College of Veterinary Sciences, The University of Agriculture, Peshawar Article Information Received 03 February 2020 Revised 29 June 2020 Accepted 07 July 2020 Available online 26 October 2020 Authors' Contribution SN, SBK and US designed the idea, performed experiments and wrote the article. M Israr, MAK and HUK did analysis and reviewed the article. M Irshad, IA and HAU collected and processed the samples. Key words Clostridium perfringens, Enterotoxaemia, Pathogenesis, Pulpy kidney dissease, PCR C. perfringens is non motile, spore forming, large rod shaped gram-positive, catalase-negative, oxidase-negative and anaerobic bacteria with an abundant ecological spreading in soil, sewage, diet, feces, and in the normal gut ﬂora of humans and animals (McClane et al., 2013). C. perfringens produces 4 major toxins which is categorized into 5 toxino-types (A, B, C, D and E), namely alpha (α) (CPA), beta (β) (CPB), Epsilon (ε) (ETX), and iota (ITX). α toxin is produced by all 5 toxino-types while β toxin is produced by C. perfringens type B and C. ε toxin is produced by C. perfringens type B and D while iota toxin is produced by C. perfringens type E. C. perfringens also produces 15 other minor toxins including lethal toxins such as enterotoxin (CPE), perfringolysin O (PFO) and β2 toxin (CPB2) (Garmory et al., 2000). C. perfringens type A and B cause yellow lamb disease and lamb dysentery in sheep respectively, while C. perfringens type C causes haemorrhagic enteritis (struck in disease) and C. perfringens type D causes pulpy kidney disease. Online First Article 3Civil Veterinary Hospital, Takht Bhai, Mardan 4Veterinary Research Institute, Peshawar 5Livestock Research and Developmental Station, Surezi, Peshawar The main objective of this study was isolation and determination of changes caused by Clostridium perfringens type D from sheep. For this purpose, a total of 272 fecal samples were collected from sheep and lambs from four different zones of district Peshawar. Isolates were morphologically, biochemically and molecularly confirmed through Gram staining, gelatin liquefaction test (GLT) and polymerase chain reaction (PCR), respectively. Out of total, 85 (31.3%) were positive for C. perfringens type D on PCR. The results revealed 6-34% prevalence of C. perfringens type D in different regions. Similarly, significantly (P˂0.001) higher prevalence was observed in lambs (54%) as compared to sheep (23%). For gross and histopathological lesions a total of 50 animals were necropsied infected with C. perfringens type D. A total of 43 (86%) sheep were recorded having hemorrhages on serosa of intestine followed by gas filled small intestine in 41 sheep (82%), lesions in ileum and colon in 39 sheep (78%), soft kidney 27 (54%), dark congested liver 26 (52%), nephritis 23 (46%) and spleenitis 13 (26%). Microscopic lesions revealed a score of 10 of kidney tissue out of 15 while the lesion score of intestine revealed 08 out of lesion score of 15. Pulpy kidney disease (PKD) is one of the major endemic diseases of small ruminant. This disease mainly occurs in sheep in region where there is abundant availability of green fodder and is caused by different types of toxins of Clostridium perfringens with high case fatality rates leading to considerable economic losses to the farmers. The disease mostly transmitted through feces to sheep and rarely to large ruminants (McClane et al., 2006). A B S T R A C T In Pakistan, the prevalence of C. perfringens in small ruminants and sheep is 26% and 32.1%, respectively while some study reported 31% (Radad and Khalil, 2011). In Khartoum State, Iran and Al-Ahsa, Kingdom of Saudi Arabia the prevalence of C. perfringens in sheep was found to be 23.8% and 26.5%, respectively (Aschfalk et al., 2002). Alteration in the gastro intestinal tract (GIT) is the predisposing factor for C. perfringens type D due to which it starts proliferation and produces large number of copies of ε toxin in the form of inactive prototoxin which get activated by proteolytic degradation of C-terminal 14 amino acid which produces both local and systemic effects (Cheung et al., 2004). In kidney it lead to autolysis while in lungs it Pakistan Science Foundation, Islamabad 2 cause pulmonary edema and in brain it lead to perivascular edema and cerebral necrosis (Garmory et al., 2000). type D α/cpa and ε/etx in fecal samples are: Clinically in sheep pulpy kidney disease is mainly characterized by nervous signs like staggering and knuckling at fetlock in forelimbs, champing of jaws, teeth grinding, salivation, rapid shallow and irregular respiration along with sudden onset of death (Fernandez and Uzal, 2003). On postmortem examination, empty and gas filled small intestine, congested liver and dark, pulpy soft kidney, increased fluid in pericardial sac and petechial and ecchymotic hemorrhages in abdominal muscles and serosa of intestine in sheep are seen (Radad and Khalil, 2011). The main objectives of this study were isolation, histopathological and molecular identification of local isolates of C. perfringens type D from sheep and lambs to assess the prevailing situation of C. perfringens type D in district Peshawar, to reduce the economic losses and to make devise strategies for effective control of this fatal disease. Materials and methods Fecal sample were washed with phosphate buffer saline and culture in fluid thioglycollate broth (HI Media Laboratories Pvt. Ltd., India) for enrichment, followed by incubation at 37°C for 24h anaerobically using CO 2 incubator (Galaxy 48 S, New Brunswick an eppendorf Company) and observed for any growth. After obtaining mass turbidity in broth, the samples were subcultured on tryptose sulphite cycloserine (TSC) agar (HI Media Laboratories Pvt. Ltd., India) by taking 0.1ml of the inocula for obtaining suspected grayish black colonies having diameter of 3-5mm. The suspected isolates were initially confirmed through Gram staining and gelatin liquefaction test (Kalender et al., 2005). containing 10 μl of MasterMix, 1μl each of Forward Primer and Reverse Primer, 8 μl of PCR water and 5μl of DNA template using Bio-Rad thermal cycler. Amplification was done with initial denaturation at 94°C for 5 min followed by 30 cycles, each consisting of 60 sec of denaturation at 94°C, 60 sec of annealing at (α 55°C, ε 53.4°C), 60 sec of extension at 72°C and 10 min of final extension at 72°C. Two sets of primers used for the detection of C. perfringens a/cpa Primer F-5-TGC TAA TGTTAC TGC CGT TGA TAG-3 Primer R-5-TGC TAA TGTTAC TGC CGT TGA TAG-3 ε/etx Primer F-5-ATT AAA ATC ACA ATC ATT CAC TTG-3 Primer R-5-CTT GTG AAG GGA CAT TAT GAG TAA-3 with products of base pair 247 and 206, respectively as described by Garmory et al. (2000). For gross and histopathological lesion scoring of different organs was made on the basis of severity of lesion. The severity level was 0, 1, 2, 3 and 4 that represent normal, mild, moderate, severe and highly severe, respectively (Sadique et al., 2012). For histopathology a small crosssection were trimmed off from intestine and kidney. Then suitable sections were made by placing these samples in 10 % neutral buffered formalin for fixing of these samples. Then samples were further processed for histopathology and routine staining by following the method suggested by Bancroft et al. (2007). The data collected in the present study was analyzed through SPSS 8.1 using post Hoc and lesion scoring performed for evaluation of pathogenesis and severity of infection. Online First Article PCR products were run on 1.5% agarose gel with gel red (3μl) added along DNA ladder of 1 Kb (Genesta™) as a Marker and optimized positive and negative control product at 120 V, charge of 500 mA current for 35min. A total of 50 sheep were examined to study the gross and histopathological lesions. Similarly those sheep showing diarrhoea, staggering and knuckling at fetlock in forelimbs, champing of jaws and teeth grinding were suspected for Enterotoxaemia and were purchased and sacrificed for recording pathological lesions. On post mortem inspection, detailed lesions were recorded in small intestine, liver, kidney, pericardial sac and abdominal muscles. The detail lesions scoring were documented in different organs of each necropsied animal (Wesonga et al., 2004). Tissues samples were collected from kidney and intestine in aseptic condition in sterile container under refrigeration for histopathology and preserved in neutral buffered formalin (10%) for histopathological examinations. Samples were properly labelled and transported to the Microbiology laboratory, Department of Animal Health, the University of Agriculture, Peshawar for further processing. Fecal samples were randomly collected from sheep and lambs suspected on clinical signs and symptoms for C. perfringens type D infection present in four regions of District Peshawar, Khyber Pakhtunkhwa province, Pakistan. A total of 272 fecal samples were used in the study including 200 from sheep (50 from each region) and 72 from lambs (18 from each region). Region I consist of Pelosi, university dairy farm and adjacent areas. Region II consists of Tajabad and Achenai bala. Region III consists of Nasir Pur and Charsadda Road while Region IV consists of GT Road and adjacent area. Samples were labeled, transported in ice box and stored at 4 o C until use. A preformed questionnaire was developed to collect detail data of the animals. For PCR amplification of α and ε toxins, genomic DNA was extracted by using the commercially available DNA extraction kit (GeneAllBldg, 303-7 Dongnamro, Songpa-gu, Seoul, South Korea) according to the manufacturer's instructions. C. perfringens type D was confirmed on PCR that PCR was conducted in 25 µL reaction mixture Results and discussion 3 all 85 samples (46 from sheep and 39 from lambs) were positive for α and ε toxin gene (Table I). The maximum prevalence of C. perfringens type D in sheep and lambs was found in region III (34%) and (89%), respectively. On PCR analysis an amplicon size of 247 bp for α and 206 bp for ε was obtained that represents C. perfringens type D in sheep and lambs. Out of total 200 examined sheep, 123 (61.5%), 112 (56%), 105 (52.5%) and 81 (40.5%) showing diarrhoea, staggering and knuckling at fetlock in forelimbs, champing of jaws and teeth grinding, respectively. Along with these symptoms the frothing of mouth 75 (37.5%) and rapid shallow and irregular respiration 41 (20.5%) was also recorded. Most of the sheep's showing signs of mild fever 97 (48.5%) with anorexia, anemia and lethargy. Out of total 50 sheep died from pulpy kidney disease were examined for postmortem lesions, 43 (86%), 41(82%), 39(78%), 27(54%), 26(52%), 23(46%) and 13(26%) sheep showing hemorrhages on serosa of intestine, gas filled small intestine, lesions in ileum and colon, soft kidney, dark congested liver, nephritis and Spleenitis, respectively were recorded. gross lesion score was carried out to record and evaluate the severity of C. perfringens type D infection in kidney and intestine of sheep. Out of total lesion score of 15 the distribution of lesion score was 08 in kidney while the lesion score of intestine is 07. However, the microscopic lesions score revealed that out of total lesion score of 15, the kidney present a score of 10 while the lesion score of intestine was 08 (Table II). Table I. Incidence of C. Perfringens type D in sheep and lamb on PCR in Peshawar, KPK. The isolates were identified on the basis of their culture, morphological and biochemical characteristics and its gross and histopathological lesion in its predirection sites (kidney and intestine). The isolates show grayish black colonies on TSC agar while Gram staining were also performed for morphological identification and show purple rods having spore which agree with the result of (Cheung et al., 2004). During current study the prevalence rate in sheep Kidney and intestine were severely infected so the tissue sections were studied for histopathology. C. perfringens type D were confirmed that in kidney, it causes degenerative changes in the glomerulus, cast disposition, necrotic changes in tubular epithelium accompanied by congestion and leukocytic infiltration (Figs. 1A, B). The sections of intestine of sheep showed erosion of epithelium lining, sloughing of villi, leukocytic infiltration and aggregation of inflammatory cells (Figs. 1C, D). The Online First Article Fig. 1. Histological structure of sheep kidney (A, B) and intestine (C, D). Control kidney (A), sheep kidney infected with C. perfringens type D (B) showing leukocyte infiltration, cast deposition, tubular epithelial cells and severe degeneration in tubular epithelium. Control intestine (C), intestine of infected sheep (D) showing sloughing of villi and leukocytic infiltration (D). *Stain: H&E (Hematoxcillin and Eosin); Magnification: A, B, 100x; C, D, 400X. Table II. Gross and microscopic lesion score in sheep suspected for C. perfringens type D infection. 4 in region I, II, III and IV were (06%), (24%), (34%) and (28%) while the overall prevalence of enterotoxaemia in sheep is 23% which is in line with the finding of (Greco et al., 2005) from Italy who reported 25% prevalence of enterotoxaemia in sheep. These results are in contrast with the result of (Bachhil and Jaiswal, 1989) who reported less prevalence when compared with our findings. This high occurrence rate may be due to different climatic condition, breed, and poor farm management, system of rearing and lack of information about disease to farmer community. C. perfringens type D respectively while the gross and microscopic lesion scoring revealed that kidney is more severely infected then intestine. Statement of conflict of interest The authors have declared no conflict of interest. References The prevalence rate in lamb in region I, II, III and IV was 11%, 61%, 88% and 55% while the overall prevalence of enterotoxaemia in lambs is 54% which is in close accordance with the result of (Kalender et al., 2005) from turkey who reported 50% prevalence of enterotoxaemia in lambs. The results are in contrast with results of (Aschfalk et al., 2002) from West Africa who reported 71% prevalence of enterotoxaemia in lambs. The high occurrence rate of (Aschfalk et al., 2002) may be due to random selection of sheep, different climatic condition, breed and system of rearing. Beside it the histopathological changes in intestine are dependent on the involvement of C. perfringens type D that causes lesions in the form of hyperplasia, granuloma, enteritis, congestion and fibrosis. There was sloughing of villi, desquamation of epithelial cells, hyperplasia of serosa and scattered hemorrhages in serosa layer of intestine infiltrated with leukocytes. The lesions noted in the current study are in line with the findings of (Kalender et al., 2007). The section of kidney showed congestion, extensive degeneration in the glomeruli, and necrosisin tubular epithelium, urinary tubules filled with cast and loss of glomeruli. Aschfalk, A., Valentin-Weig, P., Muller, W. and Goethe, R., 2002. Vet. Rec., 151: 210–213. https://doi. org/10.1136/vr.151.7.210 Bancroft, J.M. and Gamble, M., 2007. Theory and practice of histopathological techniques. Churchill Livingstone, London. pp. 125-138. Bachhil, N. and Jaiswal, T.N., 1989. Indian Vet. Med. J., 13: 229–233. https://doi.org/10.17953/aicr.13.34.5613516316x12124 Cheung, J.K., Awad, M.M., McGowan, S.J. and Rood. I., 2004. J. Vet. Microbiol., 105: 130-136. Garmory, H.S., Chanter, N. and French, N.P., 2000. Epidemiol. Infect., 124: 61–67. https://doi. org/10.1017/S0950268899003295 Fernandez Miyakawa, M.E. and Uzal, F.A., 2003. Vet. Res. Commun., 27: 231-241. https://doi. org/10.1023/A:1023348708599 Greco, G., Madio, A., Buonavoglia, D., Totaro, M., Cor<cursor_is_here> </text>	[ { "content": "<url>\nhttps://researcherslinks.com/uploads/articles/1603710723PJZ_MH20200203170216-R3_Nawaz%20et%20al.pdf\n</url>\n<text>\nShort Communication\n\nMolecular Characterization and Pathogenesis of Local Isolates of Clostridium perfringens Type D from Sheep in District Peshawar\n\nSaqib Nawaz 1 , Sher Bahadar Khan 1 , Umar Sadique 1 , Muhammad Israr 2 , Mumtaz Ali Khan 3 , Hameed Ullah Khan 4 , Muhammad Irshad 5 , Ihsan Ali 1 and Haq Aman Ullah 1\n\n1\n\n2\n\nCollege of Veterinary Sciences, The University of Agriculture, Peshawar\n\nArticle Information Received 03 February 2020 Revised 29 June 2020 Accepted 07 July 2020 Available online 26 October 2020\n\nAuthors' Contribution\n\nSN, SBK and US designed the idea, performed experiments and wrote the article. M Israr, MAK and HUK did analysis and reviewed the article. M Irshad, IA and HAU collected and processed the samples.\n\nKey words Clostridium perfringens, Enterotoxaemia, Pathogenesis, Pulpy kidney dissease, PCR\n\nC. perfringens is non motile, spore forming, large rod shaped gram-positive, catalase-negative, oxidase-negative and anaerobic bacteria with an abundant ecological spreading in soil, sewage, diet, feces, and in the normal gut ﬂora of humans and animals (McClane et al., 2013). C. perfringens produces 4 major toxins which is categorized into 5 toxino-types (A, B, C, D and E), namely alpha (α) (CPA), beta (β) (CPB), Epsilon (ε) (ETX), and iota (ITX). α toxin is produced by all 5 toxino-types while β toxin is produced by C. perfringens type B and C. ε toxin is produced by C. perfringens type B and D while iota toxin is produced by C. perfringens type E. C. perfringens also produces 15 other minor toxins including lethal toxins such as enterotoxin (CPE), perfringolysin O (PFO) and β2 toxin (CPB2) (Garmory et al., 2000). C. perfringens type A and B cause yellow lamb disease and lamb dysentery in sheep respectively, while C. perfringens type C causes haemorrhagic enteritis (struck in disease) and C. perfringens type D causes pulpy kidney disease.\n\nOnline First Article 3Civil Veterinary Hospital, Takht Bhai, Mardan 4Veterinary Research Institute, Peshawar 5Livestock Research and Developmental Station, Surezi, Peshawar The main objective of this study was isolation and determination of changes caused by Clostridium perfringens type D from sheep. For this purpose, a total of 272 fecal samples were collected from sheep and lambs from four different zones of district Peshawar. Isolates were morphologically, biochemically and molecularly confirmed through Gram staining, gelatin liquefaction test (GLT) and polymerase chain reaction (PCR), respectively. Out of total, 85 (31.3%) were positive for C. perfringens type D on PCR. The results revealed 6-34% prevalence of C. perfringens type D in different regions. Similarly, significantly (P˂0.001) higher prevalence was observed in lambs (54%) as compared to sheep (23%). For gross and histopathological lesions a total of 50 animals were necropsied infected with C. perfringens type D. A total of 43 (86%) sheep were recorded having hemorrhages on serosa of intestine followed by gas filled small intestine in 41 sheep (82%), lesions in ileum and colon in 39 sheep (78%), soft kidney 27 (54%), dark congested liver 26 (52%), nephritis 23 (46%) and spleenitis 13 (26%). Microscopic lesions revealed a score of 10 of kidney tissue out of 15 while the lesion score of intestine revealed 08 out of lesion score of 15. Pulpy kidney disease (PKD) is one of the major endemic diseases of small ruminant. This disease mainly occurs in sheep in region where there is abundant availability of green fodder and is caused by different types of toxins of Clostridium perfringens with high case fatality rates leading to considerable economic losses to the farmers. The disease mostly transmitted through feces to sheep and rarely to large ruminants (McClane et al., 2006). A B S T R A C T\n\nIn Pakistan, the prevalence of C. perfringens in small ruminants and sheep is 26% and 32.1%, respectively while some study reported 31% (Radad and Khalil, 2011). In Khartoum State, Iran and Al-Ahsa, Kingdom of Saudi Arabia the prevalence of C. perfringens in sheep was found to be 23.8% and 26.5%, respectively (Aschfalk et al., 2002). Alteration in the gastro intestinal tract (GIT) is the predisposing factor for C. perfringens type D due to which it starts proliferation and produces large number of copies of ε toxin in the form of inactive prototoxin which get activated by proteolytic degradation of C-terminal 14 amino acid which produces both local and systemic effects (Cheung et al., 2004). In kidney it lead to autolysis while in lungs it\n\nPakistan Science Foundation, Islamabad\n\n2\n\ncause pulmonary edema and in brain it lead to perivascular edema and cerebral necrosis (Garmory et al., 2000).\n\ntype D α/cpa and ε/etx in fecal samples are:\n\nClinically in sheep pulpy kidney disease is mainly characterized by nervous signs like staggering and knuckling at fetlock in forelimbs, champing of jaws, teeth grinding, salivation, rapid shallow and irregular respiration along with sudden onset of death (Fernandez and Uzal, 2003). On postmortem examination, empty and gas filled small intestine, congested liver and dark, pulpy soft kidney, increased fluid in pericardial sac and petechial and ecchymotic hemorrhages in abdominal muscles and serosa of intestine in sheep are seen (Radad and Khalil, 2011). The main objectives of this study were isolation, histopathological and molecular identification of local isolates of C. perfringens type D from sheep and lambs to assess the prevailing situation of C. perfringens type D in district Peshawar, to reduce the economic losses and to make devise strategies for effective control of this fatal disease.\n\nMaterials and methods\n\nFecal sample were washed with phosphate buffer saline and culture in fluid thioglycollate broth (HI Media Laboratories Pvt. Ltd., India) for enrichment, followed by incubation at 37°C for 24h anaerobically using CO 2 incubator (Galaxy 48 S, New Brunswick an eppendorf Company) and observed for any growth. After obtaining mass turbidity in broth, the samples were subcultured on tryptose sulphite cycloserine (TSC) agar (HI Media Laboratories Pvt. Ltd., India) by taking 0.1ml of the inocula for obtaining suspected grayish black colonies having diameter of 3-5mm. The suspected isolates were initially confirmed through Gram staining and gelatin liquefaction test (Kalender et al., 2005).\n\ncontaining 10 μl of MasterMix, 1μl each of Forward Primer and Reverse Primer, 8 μl of PCR water and 5μl of DNA template using Bio-Rad thermal cycler. Amplification was done with initial denaturation at 94°C for 5 min followed by 30 cycles, each consisting of 60 sec of denaturation at 94°C, 60 sec of annealing at (α 55°C, ε 53.4°C), 60 sec of extension at 72°C and 10 min of final extension at 72°C. Two sets of primers used for the detection of C. perfringens a/cpa Primer F-5-TGC TAA TGTTAC TGC CGT TGA TAG-3 Primer R-5-TGC TAA TGTTAC TGC CGT TGA TAG-3 ε/etx Primer F-5-ATT AAA ATC ACA ATC ATT CAC TTG-3 Primer R-5-CTT GTG AAG GGA CAT TAT GAG TAA-3 with products of base pair 247 and 206, respectively as described by Garmory et al. (2000).\n\nFor gross and histopathological lesion scoring of different organs was made on the basis of severity of lesion. The severity level was 0, 1, 2, 3 and 4 that represent normal, mild, moderate, severe and highly severe, respectively (Sadique et al., 2012). For histopathology a small crosssection were trimmed off from intestine and kidney. Then suitable sections were made by placing these samples in 10 % neutral buffered formalin for fixing of these samples. Then samples were further processed for histopathology and routine staining by following the method suggested by Bancroft et al. (2007). The data collected in the present study was analyzed through SPSS 8.1 using post Hoc and lesion scoring performed for evaluation of pathogenesis and severity of infection.\n\nOnline First Article PCR products were run on 1.5% agarose gel with gel red (3μl) added along DNA ladder of 1 Kb (Genesta™) as a Marker and optimized positive and negative control product at 120 V, charge of 500 mA current for 35min. A total of 50 sheep were examined to study the gross and histopathological lesions. Similarly those sheep showing diarrhoea, staggering and knuckling at fetlock in forelimbs, champing of jaws and teeth grinding were suspected for Enterotoxaemia and were purchased and sacrificed for recording pathological lesions. On post mortem inspection, detailed lesions were recorded in small intestine, liver, kidney, pericardial sac and abdominal muscles. The detail lesions scoring were documented in different organs of each necropsied animal (Wesonga et al., 2004). Tissues samples were collected from kidney and intestine in aseptic condition in sterile container under refrigeration for histopathology and preserved in neutral buffered formalin (10%) for histopathological examinations. Samples were properly labelled and transported to the Microbiology laboratory, Department of Animal Health, the University of Agriculture, Peshawar for further processing.\n\nFecal samples were randomly collected from sheep and lambs suspected on clinical signs and symptoms for C. perfringens type D infection present in four regions of District Peshawar, Khyber Pakhtunkhwa province, Pakistan. A total of 272 fecal samples were used in the study including 200 from sheep (50 from each region) and 72 from lambs (18 from each region). Region I consist of Pelosi, university dairy farm and adjacent areas. Region II consists of Tajabad and Achenai bala. Region III consists of Nasir Pur and Charsadda Road while Region IV consists of GT Road and adjacent area. Samples were labeled, transported in ice box and stored at 4 o C until use. A preformed questionnaire was developed to collect detail data of the animals.\n\nFor PCR amplification of α and ε toxins, genomic DNA was extracted by using the commercially available DNA extraction kit (GeneAllBldg, 303-7 Dongnamro, Songpa-gu, Seoul, South Korea) according to the manufacturer's instructions.\n\nC. perfringens type D was confirmed on PCR that\n\nPCR was conducted in 25 µL reaction mixture\n\nResults and discussion\n\n3\n\nall 85 samples (46 from sheep and 39 from lambs) were positive for α and ε toxin gene (Table I). The maximum prevalence of C. perfringens type D in sheep and lambs was found in region III (34%) and (89%), respectively. On PCR analysis an amplicon size of 247 bp for α and 206 bp for ε was obtained that represents C. perfringens type D in sheep and lambs. Out of total 200 examined sheep, 123 (61.5%), 112 (56%), 105 (52.5%) and 81 (40.5%) showing diarrhoea, staggering and knuckling at fetlock in forelimbs, champing of jaws and teeth grinding, respectively. Along with these symptoms the frothing of mouth 75 (37.5%) and rapid shallow and irregular respiration 41 (20.5%) was also recorded. Most of the sheep's showing signs of mild fever 97 (48.5%) with anorexia, anemia and lethargy. Out of total 50 sheep died from pulpy kidney disease were examined for postmortem lesions, 43 (86%), 41(82%), 39(78%), 27(54%), 26(52%), 23(46%) and 13(26%) sheep showing hemorrhages on serosa of intestine, gas filled small intestine, lesions in ileum and colon, soft kidney, dark congested liver, nephritis and Spleenitis, respectively were recorded.\n\ngross lesion score was carried out to record and evaluate the severity of C. perfringens type D infection in kidney and intestine of sheep. Out of total lesion score of 15 the distribution of lesion score was 08 in kidney while the lesion score of intestine is 07. However, the microscopic lesions score revealed that out of total lesion score of 15, the kidney present a score of 10 while the lesion score of intestine was 08 (Table II).\n\nTable I. Incidence of C. Perfringens type D in sheep and lamb on PCR in Peshawar, KPK.\n\nThe isolates were identified on the basis of their culture, morphological and biochemical characteristics and its gross and histopathological lesion in its predirection sites (kidney and intestine). The isolates show grayish black colonies on TSC agar while Gram staining were also performed for morphological identification and show purple rods having spore which agree with the result of (Cheung et al., 2004). During current study the prevalence rate in sheep\n\nKidney and intestine were severely infected so the tissue sections were studied for histopathology. C. perfringens type D were confirmed that in kidney, it causes degenerative changes in the glomerulus, cast disposition, necrotic changes in tubular epithelium accompanied by congestion and leukocytic infiltration (Figs. 1A, B). The sections of intestine of sheep showed erosion of epithelium lining, sloughing of villi, leukocytic infiltration and aggregation of inflammatory cells (Figs. 1C, D). The\n\nOnline First Article\n\nFig. 1. Histological structure of sheep kidney (A, B) and intestine (C, D). Control kidney (A), sheep kidney infected with C. perfringens type D (B) showing leukocyte infiltration, cast deposition, tubular epithelial cells and severe degeneration in tubular epithelium. Control intestine (C), intestine of infected sheep (D) showing sloughing of villi and leukocytic infiltration (D). *Stain: H&E (Hematoxcillin and Eosin); Magnification: A, B, 100x; C, D, 400X.\n\nTable II. Gross and microscopic lesion score in sheep suspected for C. perfringens type D infection.\n\n4\n\nin region I, II, III and IV were (06%), (24%), (34%) and (28%) while the overall prevalence of enterotoxaemia in sheep is 23% which is in line with the finding of (Greco et al., 2005) from Italy who reported 25% prevalence of enterotoxaemia in sheep. These results are in contrast with the result of (Bachhil and Jaiswal, 1989) who reported less prevalence when compared with our findings. This high occurrence rate may be due to different climatic condition, breed, and poor farm management, system of rearing and lack of information about disease to farmer community.\n\nC. perfringens type D respectively while the gross and microscopic lesion scoring revealed that kidney is more severely infected then intestine.\n\nStatement of conflict of interest\n\nThe authors have declared no conflict of interest.\n\nReferences\n\nThe prevalence rate in lamb in region I, II, III and IV was 11%, 61%, 88% and 55% while the overall prevalence of enterotoxaemia in lambs is 54% which is in close accordance with the result of (Kalender et al., 2005) from turkey who reported 50% prevalence of enterotoxaemia in lambs. The results are in contrast with results of (Aschfalk et al., 2002) from West Africa who reported 71% prevalence of enterotoxaemia in lambs. The high occurrence rate of (Aschfalk et al., 2002) may be due to random selection of sheep, different climatic condition, breed and system of rearing.\n\nBeside it the histopathological changes in intestine are dependent on the involvement of C. perfringens type D that causes lesions in the form of hyperplasia, granuloma, enteritis, congestion and fibrosis. There was sloughing of villi, desquamation of epithelial cells, hyperplasia of serosa and scattered hemorrhages in serosa layer of intestine infiltrated with leukocytes. The lesions noted in the current study are in line with the findings of (Kalender et al., 2007). The section of kidney showed congestion, extensive degeneration in the glomeruli, and necrosisin tubular epithelium, urinary tubules filled with cast and loss of glomeruli.\n\nAschfalk, A., Valentin-Weig, P., Muller, W. and Goethe, R., 2002. Vet. Rec., 151: 210–213. https://doi. org/10.1136/vr.151.7.210\n\nBancroft, J.M. and Gamble, M., 2007. Theory and practice of histopathological techniques. Churchill Livingstone, London. pp. 125-138.\n\nBachhil, N. and Jaiswal, T.N., 1989. Indian Vet. Med. J., 13: 229–233. https://doi.org/10.17953/aicr.13.34.5613516316x12124\n\nCheung, J.K., Awad, M.M., McGowan, S.J. and Rood. I., 2004. J. Vet. Microbiol., 105: 130-136.\n\nGarmory, H.S., Chanter, N. and French, N.P., 2000. Epidemiol. Infect., 124: 61–67. https://doi. org/10.1017/S0950268899003295\n\nFernandez Miyakawa, M.E. and Uzal, F.A., 2003. Vet. Res. Commun., 27: 231-241. https://doi. org/10.1023/A:1023348708599\n\nGreco, G., Madio, A., Buonavoglia, D., Totaro, M., Cor<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "rente, M.", "role": "assistant" } ]
Community Investment Coalition (CIC) newsletter, June 2016 Contents Campaign update News Parliamentary activity EU Referendum News Reports Events Campaign update Without wishing to state the obvious, following the EU referendum, British politics and Westminster remain in a state of flux with limited attention on bread and butter issues, such as financial inclusion. Nevertheless we continue to promote our key campaign themes as and when we can. If you want to find out more about our campaign themes, do visit our website and follow us on Twitter. News In response to the publication of the Bank of England's Money and Credit statistics for April 2016, Peter Tutton, Head of Policy at StepChange Debt Charity, said: Creditors must ensure they are lending responsibly, with thorough and robust affordability checks. If they do not, and consumer credit continues to rise, not only could it increase the vulnerability of those already struggling, it could also see a whole new group of people dragged into the nightmare of problem debt. The Money Charity also updated their 'Money Statistics' for June 2016. Significantly, the numbers indicate that unsecured debt is currently growing at a faster rate than at any other point in the past decade. The Money Advice Trust published a 12-step guide to providing financial advice to vulnerable people. The guide aims to address common deficiencies, build a base of best-practice and embed this across the sector. Caroline Siarkiewicz, Head of UK Debt Advice for the Money Advice Service, commented: Debt advisers see people displaying a range of vulnerabilities. For example; over 52% of clients who have received debt advice from Money Advice Service funded organisations display a mental health condition, 27% are unemployed and 16% are permanently sick or disabled. Following a survey of 1800 members, StepChange Debt Charity have called for a 'breathing space' scheme which would freeze interest, charges and enforcement action for a period of 6-12 months allow those with debt problems to seek advice on recovering their finances. The survey found that methods of seeking repayment actually made it more difficult for many borrowers to repay. Steve Pateman, Chief Executive of Shawbrook Bank, said: This research underlines the fact that people in temporary financial difficulties have no guarantee that creditors will call off interest and charges or accept affordable repayments. Undoubtedly this puts people off seeking assistance. New evidence from Citizens Advice has shown that many struggling with debt would put themselves at greater risk by choosing to address consumer debts before other debt which should be regarded as higher priority. The key statistics are: - 3.6 million people (15%) would stop paying their rent or mortgage before their credit card repayments - 6.5 million people (27%) would stop paying their council tax before their credit card repayments - 1.2 million people (5%) would stop paying their gas bill before a store card In its response to the Government's consultation on public financial guidance, the Financial Services Consumer Panel has raised concerns that the abolition of Money Advice Service (MAS) could leave consumers without a source of impartial financial guidance, and slow down progress on the UK's financial capability strategy. Sue Lewis, Chair of the Financial Services Consumer Panel, said: The Government appears to expect the MAS successor body to take responsibility for improving financial capability, but without saying where leadership for the UK strategy should lie, or what the governance arrangements should be. There are real risks for consumers in these proposals and we hope the government will consider the evidence carefully, including experience from overseas, before taking hasty and damaging action. The British Business Bank launched the updated version of their Business Finance Guide, which sets out the main things to consider and outlines sources of finance available to businesses – ranging from start-ups to SMEs and growing mid-sized companies. Published by the ICAEW's Corporate Finance Faculty and the British Business Bank, with contributions and endorsement from 21 major professional, membership and representative organisations, including Responsible Finance, it features several tools and ideas, as well as explanatory videos, to help businesses consider their options, make decisions and plan how they will finance expansion. The Bank of England launched a FinTech accelerator, prompting Hannah Nixon, Managing Director of the Payments System Regulator to state that her department "will be working closely with the Bank, the FCA and our stakeholders" to open settlements access for all payment and e-money institutions and expand competition in the area, claiming: If you can open settlement access, organisations will have greater choice in access to payments systems. The wider ripple effect is that with greater access, more companies may innovate and both consumers and businesses will have a greater choice of payment services available to them. The FCA have established a Financial Advice Working Group in response to the recommendations of the Financial Advice Market Review (FAMR). Find out more here. Parliamentary activity The post-Brexit reshuffle of the Labour shadow cabinet has included the following changes: This year's Private Members Bills have been announced, the 8 th on the list being the Families with Children and Young People in Debt (Respite) Bill put forward by Kelly Tolhurst of the Conservatives. The bill calls for a duty on lenders and creditors to provide periods of financial respite for families with children and young people in debt in certain circumstances; to place a duty on public authorities to provide access to related advice, guidance and support in those circumstances; and for connected purposes. Adam Afriyie, Conservative, asked HM Treasury: What assessment has been made of the role of financial technology in encouraging consumers to switch their current account? Economic Secretary to the Treasury, Harriett Baldwin, answered: The Government is committed to increasing competition in banking to improve outcomes for consumers. This includes delivering the Current Account Switch Service (CASS)… Financial technology is an important part of this. In its recent provisional decision on remedies, the Competition and Markets Authority (CMA) proposed requiring the largest retail banks in Great Britain and Northern Ireland to develop and adopt an open API banking standard by early 2018. The Government stands ready to take action as necessary once the CMA publishes its final report in the summer. Andrew Rosindell, Conservative, asked HM Treasury: What assessment has been made of the effect on competition between banks of the adoption of the recent recommendations of the Competition and Markets Authority on the capping of unarranged overdraft fees? Harriett Baldwin, answered: We support the CMA's ambition to increase competition through its retail banking market investigation, including helping overdraft users understand the fees associated with overdrafts and mitigating the adverse effects of unarranged overdraft fees. The CMA's investigation is ongoing and it is currently consulting on the provisional decision on remedies. The government welcomes the CMA's work as a crucial step towards the goal of a highly competitive banking system, and stands ready to take action as necessary once the CMA publishes its final report in the summer. Gill Furniss, Labour asked HM Treasury: What recent assessment has been made of the adequacy of regulation of banking sector? Harriett Baldwin answered: Since 2010 the Government has: legislated for the ring-fencing of large banks' retail arms from their investment banking arms; ensured that the senior managers of banks are held accountable for their decisions; and put the Bank of England back in charge of bank prudential regulation. The IMF noted in its recent Article IV concluding statement that "owing to a large extent to a wave of welcome regulatory reforms since the crisis, the main parts of the UK financial system appear resilient". The Government agrees with the IMF's assessment. Jim Shannon of the Democratic Unionist Party asked HM Treasury what steps have been taken to regulate the level of bank account charges in the last 12 months. Harriett Baldwin replied: Following extensive government negotiations with the banking industry on basic bank accounts, in January 2016 the UK's nine largest banks and building societies implemented an agreement to end bank charges on those accounts when a direct debit or standing order fails. Basic bank accounts are now truly fee-free, helping people to manage their money without fear of running up an overdraft. Baldwin also referenced the ongoing CMA investigation into the retail banking market. Owen Smith of Labour asked the Department of Work and Pensions: How many referrals to debt advice services have been made by jobcentre staff in each of the last five years? Minister of State for Employment, Priti Patel, responded that the information is not held. Andrew Tyrie, Chairman of the Treasury Select Committee, was active in correspondence to regulators. He wrote to Tracey McDermott, Chief Executive of the FCA to raise concerns that bank de-risking in response to new rules on anti-money laundering means many pawnbrokers are becoming locked out of access to credit and current accounts. The knock-on effect is that some pawnbrokers cannot continue as an alternative provider of financial services leaving consumers to face a more limited market. See initial correspondence here: Chair to Tracey McDermott: http://bit.ly/1sGczn1 Response: http://bit.ly/1WGzU4t Tyrie also contacted Andrew Bailey, Chief Executive of the Prudential Regulation Authority, to highlight the Treasury Committee's concerns about whether the right balance is being struck in terms of the amount of public disclosure of supervisory information. Tyrie commented on the correspondence: Effective market discipline should be a priority for regulators. For this a high degree of transparency is required. Risks on bank balance sheets need to be visible. Regulators collect a great deal of information valuable to an effective assessment of these risks. But it is not available to shareholders, creditors and depositors, the people with most 'skin in the game'. Lastly, Tyrie wrote to both McDermott and Bailey about whether consumers would benefit from further regulation of the peer-to-peer lending market. Tyrie commented on this correspondence: Government policy – letting peer-to-peer investments form part of an ISA allowance, for instance – represents a form of official support for investments that may be inherently higher risk. Whether and, if so, to what extent investors would benefit from stronger consumer protection now needs careful thought. The prudential impact of the financial sector's increasing exposure to unsecured loans through crowdfunding platforms also warrants closer scrutiny. In a busy month, Treasury Committee Chair, Andrew Tyrie, also found time to engage the Chancellor of the Exchequer, George Osborne, questioning whether peer-to-peer lending on ISAs (for which the Treasury introduced tax relief subsidies for to increase competition in the SME lending market) were being marketed to people who can least afford to lose the money and cannot reasonably be expected to understand the risks. Osborne, replied: At its own request, the peer-to-peer lending industry is now regulated by the Financial Conduct Authority, which is alert to the risks that my right hon. Friend identifies, but I wish to make a broader observation. In the financial crash, we saw the limitations of the UK's credit system, where many companies were reliant on bank finance. In the last few years, we have tried to broaden the range of financing options for small and medium-sized businesses, in terms of not just capital markets but innovative new products such as peer-to-peer lending. Using things such as ISA wrappers to encourage this new form of finance for small businesses is a good thing for our economy. The Treasury Select Committee discussed the progress of the Competition and Markets Authority's (CMA) Retail Banking and Market Review following the publication of the Provisional Decision on Remedies last month. The following were invited to attend as witnesses: - Professor Diane Coyle, founder, Enlightenment Economics - Paul Lynam, chief executive officer, Secure Trust Bank - Caroline Barr, member, Financial Services Consumer Panel The main topics of discussion were: - State of retail banking - Free-in-credit banking - CMA Report - Reforming retail banking - Account number portability - Unarranged overdrafts - Small businesses - New customers - Too big to fail - Capital requirements - FCA EU Referendum News In the wake of the referendum, Bank of England (BoE) Governor, Mark Carney, emphasised banks' liquid capital reserves and £250 billion of additional BoE funds as a means for the banking sector to continue lending to UK individuals and businesses. The FCA stated that, until specific changes to legislation are made, UK regulations derived from EU law would remain in place, regardless of the political backdrop. The FCA would work with the government to work through relevant arrangements for the UK's future relationship with the EU. Peter Holbrook, Chief Executive of Social Enterprise UK stated his concern regarding "a combination of delays on public sector contracts, banks using the decision as an excuse not to defer lending money, and for-private profit businesses seeking to keep their balance sheets looking good by squeezing their suppliers". Holbrook also called for the Government to ensure replacement funds for the EU Social Fund and to sort out public sector procurement policy and competition law, much of which is derived from EU legislation. The Charity Bank reaffirmed its commitment to using savings deposits to make loans to charities and social enterprises. Triodos Bank admitted there will be a period of uncertainty with an unclear outcome, but that appetite for sustainable banking remains strong. Nationwide highlighted high levels of capitalisation which will allow them to remain stable. As a "strong, low-risk, UK-only retail bank", Virgin Money are confident that little will change for their model going forward. The Payment System Regulator stressed that no changes were to be anticipated on regulation applicable to UK payment regulation. Santander, Lloyd's Banking Group, RBS and Barclays all released statements stressing continuity in terms of services and forward planning. HSBC was the most circumspect, with Chairman Douglas Flint stating that the result marked the beginning of "a new era for Britain and British business." Reports Co-operatives UK released their Co-operative Economy 2016 report accompanied by the headline takeaways: - 17.5 million people (a record) are co-operative members – up 2.3 million over five years - The sector's 7000 independent businesses are worth £34 billion a year and account for 223,000 jobs across the UK - Retail and agriculture are leading the charge, with credit unions playing an important role in boosting the membership figures Payments UK released a report on open access payment systems. A vision for World Class Payments in the UK outlines the payments industry in the UK and the steps that have been taken already to support open access, and identifies the four main challenges to creating a truly open access ecosystem. Events The Cabinet Office is running a series of roundtables to coincide with their review of mission-led businesses. The dates and times are as follows:	<urn:uuid:be6cb253-333c-456f-9629-f8074c679144>	CC-MAIN-2017-30	http://responsiblefinance.org.uk/wp-content/uploads/2016/05/Jun-16-Newsletter.pdf	2017-07-24T10:35:21Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-30/segments/1500549424846.81/warc/CC-MAIN-20170724102308-20170724122308-00380.warc.gz	267,688,250	3,019	eng_Latn	eng_Latn	0.998132	eng_Latn	0.998139	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1260, 3844, 6084, 8724, 11344, 13239, 15710, 15866 ]	Community Investment Coalition (CIC) newsletter, June 2016 Contents Campaign update News Parliamentary activity EU Referendum News Reports Events Campaign update Without wishing to state the obvious, following the EU referendum, British politics and Westminster remain in a state of flux with limited attention on bread and butter issues, such as financial inclusion. Nevertheless we continue to promote our key campaign themes as and when we can. If you want to find out more about our campaign themes, do visit our website and follow us on Twitter. News In response to the publication of the Bank of England's Money and Credit statistics for April 2016, Peter Tutton, Head of Policy at StepChange Debt Charity, said: Creditors must ensure they are lending responsibly, with thorough and robust affordability checks. If they do not, and consumer credit continues to rise, not only could it increase the vulnerability of those already struggling, it could also see a whole new group of people dragged into the nightmare of problem debt. The Money Charity also updated their 'Money Statistics' for June 2016. Significantly, the numbers indicate that unsecured debt is currently growing at a faster rate than at any other point in the past decade. The Money Advice Trust published a 12-step guide to providing financial advice to vulnerable people. The guide aims to address common deficiencies, build a base of best-practice and embed this across the sector. Caroline Siarkiewicz, Head of UK Debt Advice for the Money Advice Service, commented: Debt advisers see people displaying a range of vulnerabilities. For example; over 52% of clients who have received debt advice from Money Advice Service funded organisations display a mental health condition, 27% are unemployed and 16% are permanently sick or disabled. Following a survey of 1800 members, StepChange Debt Charity have called for a 'breathing space' scheme which would freeze interest, charges and enforcement action for a period of 6-12 months allow those with debt problems to seek advice on recovering their finances. The survey found that methods of seeking repayment actually made it more difficult for many borrowers to repay. Steve Pateman, Chief Executive of Shawbrook Bank, said: This research underlines the fact that people in temporary financial difficulties have no guarantee that creditors will call off interest and charges or accept affordable repayments. Undoubtedly this puts people off seeking assistance. New evidence from Citizens Advice has shown that many struggling with debt would put themselves at greater risk by choosing to address consumer debts before other debt which should be regarded as higher priority. The key statistics are: - 3.6 million people (15%) would stop paying their rent or mortgage before their credit card repayments - 6.5 million people (27%) would stop paying their council tax before their credit card repayments - 1.2 million people (5%) would stop paying their gas bill before a store card In its response to the Government's consultation on public financial guidance, the Financial Services Consumer Panel has raised concerns that the abolition of Money Advice Service (MAS) could leave consumers without a source of impartial financial guidance, and slow down progress on the UK's financial capability strategy. Sue Lewis, Chair of the Financial Services Consumer Panel, said: The Government appears to expect the MAS successor body to take responsibility for improving financial capability, but without saying where leadership for the UK strategy should lie, or what the governance arrangements should be. There are real risks for consumers in these proposals and we hope the government will consider the evidence carefully, including experience from overseas, before taking hasty and damaging action. The British Business Bank launched the updated version of their Business Finance Guide, which sets out the main things to consider and outlines sources of finance available to businesses – ranging from start-ups to SMEs and growing mid-sized companies. Published by the ICAEW's Corporate Finance Faculty and the British Business Bank, with contributions and endorsement from 21 major professional, membership and representative organisations, including Responsible Finance, it features several tools and ideas, as well as explanatory videos, to help businesses consider their options, make decisions and plan how they will finance expansion. The Bank of England launched a FinTech accelerator, prompting Hannah Nixon, Managing Director of the Payments System Regulator to state that her department "will be working closely with the Bank, the FCA and our stakeholders" to open settlements access for all payment and e-money institutions and expand competition in the area, claiming: If you can open settlement access, organisations will have greater choice in access to payments systems. The wider ripple effect is that with greater access, more companies may innovate and both consumers and businesses will have a greater choice of payment services available to them. The FCA have established a Financial Advice Working Group in response to the recommendations of the Financial Advice Market Review (FAMR). Find out more here. Parliamentary activity The post-Brexit reshuffle of the Labour shadow cabinet has included the following changes: This year's Private Members Bills have been announced, the 8 th on the list being the Families with Children and Young People in Debt (Respite) Bill put forward by Kelly Tolhurst of the Conservatives. The bill calls for a duty on lenders and creditors to provide periods of financial respite for families with children and young people in debt in certain circumstances; to place a duty on public authorities to provide access to related advice, guidance and support in those circumstances; and for connected purposes. Adam Afriyie, Conservative, asked HM Treasury: What assessment has been made of the role of financial technology in encouraging consumers to switch their current account? Economic Secretary to the Treasury, Harriett Baldwin, answered: The Government is committed to increasing competition in banking to improve outcomes for consumers. This includes delivering the Current Account Switch Service (CASS)… Financial technology is an important part of this. In its recent provisional decision on remedies, the Competition and Markets Authority (CMA) proposed requiring the largest retail banks in Great Britain and Northern Ireland to develop and adopt an open API banking standard by early 2018. The Government stands ready to take action as necessary once the CMA publishes its final report in the summer. Andrew Rosindell, Conservative, asked HM Treasury: What assessment has been made of the effect on competition between banks of the adoption of the recent recommendations of the Competition and Markets Authority on the capping of unarranged overdraft fees? Harriett Baldwin, answered: We support the CMA's ambition to increase competition through its retail banking market investigation, including helping overdraft users understand the fees associated with overdrafts and mitigating the adverse effects of unarranged overdraft fees. The CMA's investigation is ongoing and it is currently consulting on the provisional decision on remedies. The government welcomes the CMA's work as a crucial step towards the goal of a highly competitive banking system, and stands ready to take action as necessary once the CMA publishes its final report in the summer. Gill Furniss, Labour asked HM Treasury: What recent assessment has been made of the adequacy of regulation of banking sector? Harriett Baldwin answered: Since 2010 the Government has: legislated for the ring-fencing of large banks' retail arms from their investment banking arms; ensured that the senior managers of banks are held accountable for their decisions; and put the Bank of England back in charge of bank prudential regulation. The IMF noted in its recent Article IV concluding statement that "owing to a large extent to a wave of welcome regulatory reforms since the crisis, the main parts of the UK financial system appear resilient". The Government agrees with the IMF's assessment. Jim Shannon of the Democratic Unionist Party asked HM Treasury what steps have been taken to regulate the level of bank account charges in the last 12 months. Harriett Baldwin replied: Following extensive government negotiations with the banking industry on basic bank accounts, in January 2016 the UK's nine largest banks and building societies implemented an agreement to end bank charges on those accounts when a direct debit or standing order fails. Basic bank accounts are now truly fee-free, helping people to manage their money without fear of running up an overdraft. Baldwin also referenced the ongoing CMA investigation into the retail banking market. Owen Smith of Labour asked the Department of Work and Pensions: How many referrals to debt advice services have been made by jobcentre staff in each of the last five years? Minister of State for Employment, Priti Patel, responded that the information is not held. Andrew Tyrie, Chairman of the Treasury Select Committee, was active in correspondence to regulators. He wrote to Tracey McDermott, Chief Executive of the FCA to raise concerns that bank de-risking in response to new rules on anti-money laundering means many pawnbrokers are becoming locked out of access to credit and current accounts. The knock-on effect is that some pawnbrokers cannot continue as an alternative provider of financial services leaving consumers to face a more limited market. See initial correspondence here: Chair to Tracey McDermott: http://bit.ly/1sGczn1 Response: http://bit.ly/1WGzU4t Tyrie also contacted Andrew Bailey, Chief Executive of the Prudential Regulation Authority, to highlight the Treasury Committee's concerns about whether the right balance is being struck in terms of the amount of public disclosure of supervisory information. Tyrie commented on the correspondence: Effective market discipline should be a priority for regulators. For this a high degree of transparency is required. Risks on bank balance sheets need to be visible. Regulators collect a great deal of information valuable to an effective assessment of these risks. But it is not available to shareholders, creditors and depositors, the people with most 'skin in the game'. Lastly, Tyrie wrote to both McDermott and Bailey about whether consumers would benefit from further regulation of the peer-to-peer lending market. Tyrie commented on this correspondence: Government policy – letting peer-to-peer investments form part of an ISA allowance, for instance – represents a form of official support for investments that may be inherently higher risk. Whether and, if so, to what extent investors would benefit from stronger consumer protection now needs careful thought. The prudential impact of the financial sector's increasing exposure to unsecured loans through crowdfunding platforms also warrants closer scrutiny. In a busy month, Treasury Committee Chair, Andrew Tyrie, also found time to engage the Chancellor of the Exchequer, George Osborne, questioning whether peer-to-peer lending on ISAs (for which the Treasury introduced tax relief subsidies for to increase competition in the SME lending market) were being marketed to people who can least afford to lose the money and cannot reasonably be expected to understand the risks. Osborne, replied: At its own request, the peer-to-peer lending industry is now regulated by the Financial Conduct Authority, which is alert to the risks that my right hon. Friend identifies, but I wish to make a broader observation. In the financial crash, we saw the limitations of the UK's credit system, where many companies were reliant on bank finance. In the last few years, we have tried to broaden the range of financing options for small and medium-sized businesses, in terms of not just capital markets but innovative new products such as peer-to-peer lending. Using things such as ISA wrappers to encourage this new form of finance for small businesses is a good thing for our economy. The Treasury Select Committee discussed the progress of the Competition and Markets Authority's (CMA) Retail Banking and Market Review following the publication of the Provisional Decision on Remedies last month. The following were invited to attend as witnesses: - Professor Diane Coyle, founder, Enlightenment Economics - Paul Lynam, chief executive officer, Secure Trust Bank - Caroline Barr, member, Financial Services Consumer Panel The main topics of discussion were: - State of retail banking - Free-in-credit banking - CMA Report - Reforming retail banking - Account number portability - Unarranged overdrafts - Small businesses - New customers - Too big to fail - Capital requirements - FCA EU Referendum News In the wake of the referendum, Bank of England (BoE) Governor, Mark Carney, emphasised banks' liquid capital reserves and £250 billion of additional BoE funds as a means for the banking sector to continue lending to UK individuals and businesses. The FCA stated that, until specific changes to legislation are made, UK regulations derived from EU law would remain in place, regardless of the political backdrop. The FCA would work with the government to work through relevant arrangements for the UK's future relationship with the EU. Peter Holbrook, Chief Executive of Social Enterprise UK stated his concern regarding "a combination of delays on public sector contracts, banks using the decision as an excuse not to defer lending money, and for-private profit businesses seeking to keep their balance sheets looking good by squeezing their suppliers". Holbrook also called for the Government to ensure replacement funds for the EU Social Fund and to sort out public sector procurement policy and competition law, much of which is derived from EU legislation. The Charity Bank reaffirmed its commitment to using savings deposits to make loans to charities and social enterprises. Triodos Bank admitted there will be a period of uncertainty with an unclear outcome, but that appetite for sustainable banking remains strong. Nationwide highlighted high levels of capitalisation which will allow them to remain stable. As a "strong, low-risk, UK-only retail bank", Virgin Money are confident that little will change for their model going forward. The Payment System Regulator stressed that	no changes were to be anticipated on regulation applicable to UK payment regulation.		14,584	end_of_word	that	remove_all	<url> http://responsiblefinance.org.uk/wp-content/uploads/2016/05/Jun-16-Newsletter.pdf </url> <text> Community Investment Coalition (CIC) newsletter, June 2016 Contents Campaign update News Parliamentary activity EU Referendum News Reports Events Campaign update Without wishing to state the obvious, following the EU referendum, British politics and Westminster remain in a state of flux with limited attention on bread and butter issues, such as financial inclusion. Nevertheless we continue to promote our key campaign themes as and when we can. If you want to find out more about our campaign themes, do visit our website and follow us on Twitter. News In response to the publication of the Bank of England's Money and Credit statistics for April 2016, Peter Tutton, Head of Policy at StepChange Debt Charity, said: Creditors must ensure they are lending responsibly, with thorough and robust affordability checks. If they do not, and consumer credit continues to rise, not only could it increase the vulnerability of those already struggling, it could also see a whole new group of people dragged into the nightmare of problem debt. The Money Charity also updated their 'Money Statistics' for June 2016. Significantly, the numbers indicate that unsecured debt is currently growing at a faster rate than at any other point in the past decade. The Money Advice Trust published a 12-step guide to providing financial advice to vulnerable people. The guide aims to address common deficiencies, build a base of best-practice and embed this across the sector. Caroline Siarkiewicz, Head of UK Debt Advice for the Money Advice Service, commented: Debt advisers see people displaying a range of vulnerabilities. For example; over 52% of clients who have received debt advice from Money Advice Service funded organisations display a mental health condition, 27% are unemployed and 16% are permanently sick or disabled. Following a survey of 1800 members, StepChange Debt Charity have called for a 'breathing space' scheme which would freeze interest, charges and enforcement action for a period of 6-12 months allow those with debt problems to seek advice on recovering their finances. The survey found that methods of seeking repayment actually made it more difficult for many borrowers to repay. Steve Pateman, Chief Executive of Shawbrook Bank, said: This research underlines the fact that people in temporary financial difficulties have no guarantee that creditors will call off interest and charges or accept affordable repayments. Undoubtedly this puts people off seeking assistance. New evidence from Citizens Advice has shown that many struggling with debt would put themselves at greater risk by choosing to address consumer debts before other debt which should be regarded as higher priority. The key statistics are: - 3.6 million people (15%) would stop paying their rent or mortgage before their credit card repayments - 6.5 million people (27%) would stop paying their council tax before their credit card repayments - 1.2 million people (5%) would stop paying their gas bill before a store card In its response to the Government's consultation on public financial guidance, the Financial Services Consumer Panel has raised concerns that the abolition of Money Advice Service (MAS) could leave consumers without a source of impartial financial guidance, and slow down progress on the UK's financial capability strategy. Sue Lewis, Chair of the Financial Services Consumer Panel, said: The Government appears to expect the MAS successor body to take responsibility for improving financial capability, but without saying where leadership for the UK strategy should lie, or what the governance arrangements should be. There are real risks for consumers in these proposals and we hope the government will consider the evidence carefully, including experience from overseas, before taking hasty and damaging action. The British Business Bank launched the updated version of their Business Finance Guide, which sets out the main things to consider and outlines sources of finance available to businesses – ranging from start-ups to SMEs and growing mid-sized companies. Published by the ICAEW's Corporate Finance Faculty and the British Business Bank, with contributions and endorsement from 21 major professional, membership and representative organisations, including Responsible Finance, it features several tools and ideas, as well as explanatory videos, to help businesses consider their options, make decisions and plan how they will finance expansion. The Bank of England launched a FinTech accelerator, prompting Hannah Nixon, Managing Director of the Payments System Regulator to state that her department "will be working closely with the Bank, the FCA and our stakeholders" to open settlements access for all payment and e-money institutions and expand competition in the area, claiming: If you can open settlement access, organisations will have greater choice in access to payments systems. The wider ripple effect is that with greater access, more companies may innovate and both consumers and businesses will have a greater choice of payment services available to them. The FCA have established a Financial Advice Working Group in response to the recommendations of the Financial Advice Market Review (FAMR). Find out more here. Parliamentary activity The post-Brexit reshuffle of the Labour shadow cabinet has included the following changes: This year's Private Members Bills have been announced, the 8 th on the list being the Families with Children and Young People in Debt (Respite) Bill put forward by Kelly Tolhurst of the Conservatives. The bill calls for a duty on lenders and creditors to provide periods of financial respite for families with children and young people in debt in certain circumstances; to place a duty on public authorities to provide access to related advice, guidance and support in those circumstances; and for connected purposes. Adam Afriyie, Conservative, asked HM Treasury: What assessment has been made of the role of financial technology in encouraging consumers to switch their current account? Economic Secretary to the Treasury, Harriett Baldwin, answered: The Government is committed to increasing competition in banking to improve outcomes for consumers. This includes delivering the Current Account Switch Service (CASS)… Financial technology is an important part of this. In its recent provisional decision on remedies, the Competition and Markets Authority (CMA) proposed requiring the largest retail banks in Great Britain and Northern Ireland to develop and adopt an open API banking standard by early 2018. The Government stands ready to take action as necessary once the CMA publishes its final report in the summer. Andrew Rosindell, Conservative, asked HM Treasury: What assessment has been made of the effect on competition between banks of the adoption of the recent recommendations of the Competition and Markets Authority on the capping of unarranged overdraft fees? Harriett Baldwin, answered: We support the CMA's ambition to increase competition through its retail banking market investigation, including helping overdraft users understand the fees associated with overdrafts and mitigating the adverse effects of unarranged overdraft fees. The CMA's investigation is ongoing and it is currently consulting on the provisional decision on remedies. The government welcomes the CMA's work as a crucial step towards the goal of a highly competitive banking system, and stands ready to take action as necessary once the CMA publishes its final report in the summer. Gill Furniss, Labour asked HM Treasury: What recent assessment has been made of the adequacy of regulation of banking sector? Harriett Baldwin answered: Since 2010 the Government has: legislated for the ring-fencing of large banks' retail arms from their investment banking arms; ensured that the senior managers of banks are held accountable for their decisions; and put the Bank of England back in charge of bank prudential regulation. The IMF noted in its recent Article IV concluding statement that "owing to a large extent to a wave of welcome regulatory reforms since the crisis, the main parts of the UK financial system appear resilient". The Government agrees with the IMF's assessment. Jim Shannon of the Democratic Unionist Party asked HM Treasury what steps have been taken to regulate the level of bank account charges in the last 12 months. Harriett Baldwin replied: Following extensive government negotiations with the banking industry on basic bank accounts, in January 2016 the UK's nine largest banks and building societies implemented an agreement to end bank charges on those accounts when a direct debit or standing order fails. Basic bank accounts are now truly fee-free, helping people to manage their money without fear of running up an overdraft. Baldwin also referenced the ongoing CMA investigation into the retail banking market. Owen Smith of Labour asked the Department of Work and Pensions: How many referrals to debt advice services have been made by jobcentre staff in each of the last five years? Minister of State for Employment, Priti Patel, responded that the information is not held. Andrew Tyrie, Chairman of the Treasury Select Committee, was active in correspondence to regulators. He wrote to Tracey McDermott, Chief Executive of the FCA to raise concerns that bank de-risking in response to new rules on anti-money laundering means many pawnbrokers are becoming locked out of access to credit and current accounts. The knock-on effect is that some pawnbrokers cannot continue as an alternative provider of financial services leaving consumers to face a more limited market. See initial correspondence here: Chair to Tracey McDermott: http://bit.ly/1sGczn1 Response: http://bit.ly/1WGzU4t Tyrie also contacted Andrew Bailey, Chief Executive of the Prudential Regulation Authority, to highlight the Treasury Committee's concerns about whether the right balance is being struck in terms of the amount of public disclosure of supervisory information. Tyrie commented on the correspondence: Effective market discipline should be a priority for regulators. For this a high degree of transparency is required. Risks on bank balance sheets need to be visible. Regulators collect a great deal of information valuable to an effective assessment of these risks. But it is not available to shareholders, creditors and depositors, the people with most 'skin in the game'. Lastly, Tyrie wrote to both McDermott and Bailey about whether consumers would benefit from further regulation of the peer-to-peer lending market. Tyrie commented on this correspondence: Government policy – letting peer-to-peer investments form part of an ISA allowance, for instance – represents a form of official support for investments that may be inherently higher risk. Whether and, if so, to what extent investors would benefit from stronger consumer protection now needs careful thought. The prudential impact of the financial sector's increasing exposure to unsecured loans through crowdfunding platforms also warrants closer scrutiny. In a busy month, Treasury Committee Chair, Andrew Tyrie, also found time to engage the Chancellor of the Exchequer, George Osborne, questioning whether peer-to-peer lending on ISAs (for which the Treasury introduced tax relief subsidies for to increase competition in the SME lending market) were being marketed to people who can least afford to lose the money and cannot reasonably be expected to understand the risks. Osborne, replied: At its own request, the peer-to-peer lending industry is now regulated by the Financial Conduct Authority, which is alert to the risks that my right hon. Friend identifies, but I wish to make a broader observation. In the financial crash, we saw the limitations of the UK's credit system, where many companies were reliant on bank finance. In the last few years, we have tried to broaden the range of financing options for small and medium-sized businesses, in terms of not just capital markets but innovative new products such as peer-to-peer lending. Using things such as ISA wrappers to encourage this new form of finance for small businesses is a good thing for our economy. The Treasury Select Committee discussed the progress of the Competition and Markets Authority's (CMA) Retail Banking and Market Review following the publication of the Provisional Decision on Remedies last month. The following were invited to attend as witnesses: - Professor Diane Coyle, founder, Enlightenment Economics - Paul Lynam, chief executive officer, Secure Trust Bank - Caroline Barr, member, Financial Services Consumer Panel The main topics of discussion were: - State of retail banking - Free-in-credit banking - CMA Report - Reforming retail banking - Account number portability - Unarranged overdrafts - Small businesses - New customers - Too big to fail - Capital requirements - FCA EU Referendum News In the wake of the referendum, Bank of England (BoE) Governor, Mark Carney, emphasised banks' liquid capital reserves and £250 billion of additional BoE funds as a means for the banking sector to continue lending to UK individuals and businesses. The FCA stated that, until specific changes to legislation are made, UK regulations derived from EU law would remain in place, regardless of the political backdrop. The FCA would work with the government to work through relevant arrangements for the UK's future relationship with the EU. Peter Holbrook, Chief Executive of Social Enterprise UK stated his concern regarding "a combination of delays on public sector contracts, banks using the decision as an excuse not to defer lending money, and for-private profit businesses seeking to keep their balance sheets looking good by squeezing their suppliers". Holbrook also called for the Government to ensure replacement funds for the EU Social Fund and to sort out public sector procurement policy and competition law, much of which is derived from EU legislation. The Charity Bank reaffirmed its commitment to using savings deposits to make loans to charities and social enterprises. Triodos Bank admitted there will be a period of uncertainty with an unclear outcome, but that appetite for sustainable banking remains strong. Nationwide highlighted high levels of capitalisation which will allow them to remain stable. As a "strong, low-risk, UK-only retail bank", Virgin Money are confident that little will change for their model going forward. The Payment System Regulator stressed that<cursor_is_here> </text>	[ { "content": "<url>\nhttp://responsiblefinance.org.uk/wp-content/uploads/2016/05/Jun-16-Newsletter.pdf\n</url>\n<text>\nCommunity Investment Coalition (CIC) newsletter, June 2016\n\nContents\n\nCampaign update\n\nNews\n\nParliamentary activity\n\nEU Referendum News\n\nReports\n\nEvents\n\nCampaign update\n\nWithout wishing to state the obvious, following the EU referendum, British politics and Westminster remain in a state of flux with limited attention on bread and butter issues, such as financial inclusion. Nevertheless we continue to promote our key campaign themes as and when we can. If you want to find out more about our campaign themes, do visit our website and follow us on Twitter.\n\nNews\n\nIn response to the publication of the Bank of England's Money and Credit statistics for April 2016, Peter Tutton, Head of Policy at StepChange Debt Charity, said:\n\nCreditors must ensure they are lending responsibly, with thorough and robust affordability checks. If they do not, and consumer credit continues to rise, not only could it increase the vulnerability of those already struggling, it could also see a whole new group of people dragged into the nightmare of problem debt.\n\nThe Money Charity also updated their 'Money Statistics' for June 2016. Significantly, the numbers indicate that unsecured debt is currently growing at a faster rate than at any other point in the past decade.\n\nThe Money Advice Trust published a 12-step guide to providing financial advice to vulnerable people. The guide aims to address common deficiencies, build a base of best-practice and embed this across the sector.\n\nCaroline Siarkiewicz, Head of UK Debt Advice for the Money Advice Service, commented:\n\nDebt advisers see people displaying a range of vulnerabilities. For example; over 52% of clients who have received debt advice from Money Advice Service funded organisations display a mental health condition, 27% are unemployed and 16% are permanently sick or disabled.\n\nFollowing a survey of 1800 members, StepChange Debt Charity have called for a 'breathing space' scheme which would freeze interest, charges and enforcement action for a period of 6-12 months allow those with debt problems to seek advice on recovering their finances. The survey found that methods of seeking repayment actually made it more difficult for many borrowers to repay.\n\nSteve Pateman, Chief Executive of Shawbrook Bank, said:\n\nThis research underlines the fact that people in temporary financial difficulties have no guarantee that creditors will call off interest and charges or accept affordable repayments. Undoubtedly this puts people off seeking assistance.\n\nNew evidence from Citizens Advice has shown that many struggling with debt would put themselves at greater risk by choosing to address consumer debts before other debt which should be regarded as higher priority. The key statistics are:\n\n- 3.6 million people (15%) would stop paying their rent or mortgage before their credit card repayments\n- 6.5 million people (27%) would stop paying their council tax before their credit card repayments\n- 1.2 million people (5%) would stop paying their gas bill before a store card\n\nIn its response to the Government's consultation on public financial guidance, the Financial Services Consumer Panel has raised concerns that the abolition of Money Advice Service (MAS) could leave consumers without a source of impartial financial guidance, and slow down progress on the UK's financial capability strategy.\n\nSue Lewis, Chair of the Financial Services Consumer Panel, said:\n\nThe Government appears to expect the MAS successor body to take responsibility for improving financial capability, but without saying where leadership for the UK strategy should lie, or what the governance arrangements should be. There are real risks for consumers in these proposals and we hope the government will consider the evidence carefully, including experience from overseas, before taking hasty and damaging action.\n\nThe British Business Bank launched the updated version of their Business Finance Guide, which sets out the main things to consider and outlines sources of finance available to businesses – ranging from start-ups to SMEs and growing mid-sized companies.\n\nPublished by the ICAEW's Corporate Finance Faculty and the British Business Bank, with contributions and endorsement from 21 major professional, membership and representative organisations, including Responsible Finance, it features several tools and ideas, as well as explanatory videos, to help businesses consider their options, make decisions and plan how they will finance expansion.\n\nThe Bank of England launched a FinTech accelerator, prompting Hannah Nixon, Managing Director of the Payments System Regulator to state that her department \"will be working closely with the Bank, the FCA and our stakeholders\" to open settlements access for all payment and e-money institutions and expand competition in the area, claiming:\n\nIf you can open settlement access, organisations will have greater choice in access to payments systems. The wider ripple effect is that with greater access, more companies may innovate and both consumers and businesses will have a greater choice of payment services available to them.\n\nThe FCA have established a Financial Advice Working Group in response to the recommendations of the Financial Advice Market Review (FAMR). Find out more here.\n\nParliamentary activity\n\nThe post-Brexit reshuffle of the Labour shadow cabinet has included the following changes:\n\nThis year's Private Members Bills have been announced, the 8 th on the list being the Families with Children and Young People in Debt (Respite) Bill put forward by Kelly Tolhurst of the Conservatives. The bill calls for a duty on lenders and creditors to provide periods of financial respite for families with children and young people in debt in certain circumstances; to place a duty on public authorities to provide access to related advice, guidance and support in those circumstances; and for connected purposes.\n\nAdam Afriyie, Conservative, asked HM Treasury:\n\nWhat assessment has been made of the role of financial technology in encouraging consumers to switch their current account?\n\nEconomic Secretary to the Treasury, Harriett Baldwin, answered:\n\nThe Government is committed to increasing competition in banking to improve outcomes for consumers. This includes delivering the Current Account Switch Service (CASS)…\n\nFinancial technology is an important part of this. In its recent provisional decision on remedies, the Competition and Markets Authority (CMA) proposed requiring the largest retail banks in Great Britain and Northern Ireland to develop and adopt an open API banking standard by early 2018. The Government stands ready to take action as necessary once the CMA publishes its final report in the summer.\n\nAndrew Rosindell, Conservative, asked HM Treasury:\n\nWhat assessment has been made of the effect on competition between banks of the adoption of the recent recommendations of the Competition and Markets Authority on the capping of unarranged overdraft fees?\n\nHarriett Baldwin, answered:\n\nWe support the CMA's ambition to increase competition through its retail banking market investigation, including helping overdraft users understand the fees associated with overdrafts and mitigating the adverse effects of unarranged overdraft fees.\n\nThe CMA's investigation is ongoing and it is currently consulting on the provisional decision on remedies. The government welcomes the CMA's work as a crucial step towards the goal of a highly competitive banking system, and stands ready to take action as necessary once the CMA publishes its final report in the summer.\n\nGill Furniss, Labour asked HM Treasury:\n\nWhat recent assessment has been made of the adequacy of regulation of banking sector?\n\nHarriett Baldwin answered:\n\nSince 2010 the Government has: legislated for the ring-fencing of large banks' retail arms from their investment banking arms; ensured that the senior managers of banks are held accountable for their decisions; and put the Bank of England back in charge of bank prudential regulation.\n\nThe IMF noted in its recent Article IV concluding statement that \"owing to a large extent to a wave of welcome regulatory reforms since the crisis, the main parts of the UK financial system appear resilient\". The Government agrees with the IMF's assessment.\n\nJim Shannon of the Democratic Unionist Party asked HM Treasury what steps have been taken to regulate the level of bank account charges in the last 12 months.\n\nHarriett Baldwin replied:\n\nFollowing extensive government negotiations with the banking industry on basic bank accounts, in January 2016 the UK's nine largest banks and building societies implemented an agreement to end bank charges on those accounts when a direct debit or standing\n\norder fails. Basic bank accounts are now truly fee-free, helping people to manage their money without fear of running up an overdraft.\n\nBaldwin also referenced the ongoing CMA investigation into the retail banking market.\n\nOwen Smith of Labour asked the Department of Work and Pensions:\n\nHow many referrals to debt advice services have been made by jobcentre staff in each of the last five years?\n\nMinister of State for Employment, Priti Patel, responded that the information is not held.\n\nAndrew Tyrie, Chairman of the Treasury Select Committee, was active in correspondence to regulators. He wrote to Tracey McDermott, Chief Executive of the FCA to raise concerns that bank de-risking in response to new rules on anti-money laundering means many pawnbrokers are becoming locked out of access to credit and current accounts. The knock-on effect is that some pawnbrokers cannot continue as an alternative provider of financial services leaving consumers to face a more limited market.\n\nSee initial correspondence here:\n\nChair to Tracey McDermott: http://bit.ly/1sGczn1\n\nResponse: http://bit.ly/1WGzU4t\n\nTyrie also contacted Andrew Bailey, Chief Executive of the Prudential Regulation Authority, to highlight the Treasury Committee's concerns about whether the right balance is being struck in terms of the amount of public disclosure of supervisory information. Tyrie commented on the correspondence:\n\nEffective market discipline should be a priority for regulators. For this a high degree of transparency is required. Risks on bank balance sheets need to be visible. Regulators collect a great deal of information valuable to an effective assessment of these risks. But it is not available to shareholders, creditors and depositors, the people with most 'skin in the game'.\n\nLastly, Tyrie wrote to both McDermott and Bailey about whether consumers would benefit from further regulation of the peer-to-peer lending market. Tyrie commented on this correspondence:\n\nGovernment policy – letting peer-to-peer investments form part of an ISA allowance, for instance – represents a form of official support for investments that may be inherently higher risk. Whether and, if so, to what extent investors would benefit from stronger consumer protection now needs careful thought. The prudential impact of the financial sector's increasing exposure to unsecured loans through crowdfunding platforms also warrants closer scrutiny.\n\nIn a busy month, Treasury Committee Chair, Andrew Tyrie, also found time to engage the Chancellor of the Exchequer, George Osborne, questioning whether peer-to-peer lending on ISAs (for which the\n\nTreasury introduced tax relief subsidies for to increase competition in the SME lending market) were being marketed to people who can least afford to lose the money and cannot reasonably be expected to understand the risks. Osborne, replied:\n\nAt its own request, the peer-to-peer lending industry is now regulated by the Financial Conduct Authority, which is alert to the risks that my right hon. Friend identifies, but I wish to make a broader observation. In the financial crash, we saw the limitations of the UK's credit system, where many companies were reliant on bank finance. In the last few years, we have tried to broaden the range of financing options for small and medium-sized businesses, in terms of not just capital markets but innovative new products such as peer-to-peer lending. Using things such as ISA wrappers to encourage this new form of finance for small businesses is a good thing for our economy.\n\nThe Treasury Select Committee discussed the progress of the Competition and Markets Authority's (CMA) Retail Banking and Market Review following the publication of the Provisional Decision on Remedies last month. The following were invited to attend as witnesses:\n\n- Professor Diane Coyle, founder, Enlightenment Economics\n- Paul Lynam, chief executive officer, Secure Trust Bank\n- Caroline Barr, member, Financial Services Consumer Panel\n\nThe main topics of discussion were:\n\n- State of retail banking\n- Free-in-credit banking\n- CMA Report\n- Reforming retail banking\n- Account number portability\n- Unarranged overdrafts\n- Small businesses\n- New customers\n- Too big to fail\n- Capital requirements\n- FCA\n\nEU Referendum News\n\nIn the wake of the referendum, Bank of England (BoE) Governor, Mark Carney, emphasised banks' liquid capital reserves and £250 billion of additional BoE funds as a means for the banking sector to continue lending to UK individuals and businesses.\n\nThe FCA stated that, until specific changes to legislation are made, UK regulations derived from EU law would remain in place, regardless of the political backdrop. The FCA would work with the government to work through relevant arrangements for the UK's future relationship with the EU.\n\nPeter Holbrook, Chief Executive of Social Enterprise UK stated his concern regarding \"a combination of delays on public sector contracts, banks using the decision as an excuse not to defer lending money, and for-private profit businesses seeking to keep their balance sheets looking good by squeezing their suppliers\". Holbrook also called for the Government to ensure replacement funds for the EU Social Fund and to sort out public sector procurement policy and competition law, much of which is derived from EU legislation.\n\nThe Charity Bank reaffirmed its commitment to using savings deposits to make loans to charities and social enterprises. Triodos Bank admitted there will be a period of uncertainty with an unclear outcome, but that appetite for sustainable banking remains strong. Nationwide highlighted high levels of capitalisation which will allow them to remain stable. As a \"strong, low-risk, UK-only retail bank\", Virgin Money are confident that little will change for their model going forward.\n\nThe Payment System Regulator stressed that<cursor_is_here>\n</text>\n", "role": "user" }, { "content": " no changes were to be anticipated on regulation applicable to UK payment regulation.", "role": "assistant" } ]
` Coeur d'Alene Chapter of the National Audubon Society October 2003 VOLUME 13 ISSUE 2 COMING EVENTS AUDUBON'S ADOPT-A-HIGHWAY PROJECT DATE: October 11, Saturday TIME: 8:00 a.m. MEET: Fairmont Loop and Highway 95 ACTIVITY: OK, let's try it again. The highway department has completed (more or less) the construction on the section of Highway 95 that our Audubon chapter has contracted to clean. Our two-mile stretch is the south (downhill) side of Mica grade, mile 421 to mile 423, ending at the turn into Mica Bay. We have agreed to tidy it up twice a year, spring and fall. At the meeting point we will review instructions over muffins and juice. Wear long pants and long sleeves. The clean up should be over in one or two hours. When the job is done, plan to bird at Mica Bay if you have time. Please contact Judy Waring at 765-5378 to sign up or for more information. BOARD MEETING DATE: October 14, Tuesday PLACE: Mountain West Bank TIME: 4:30 p.m. 125 Ironwood Dr. OCTOBER PROGRAM DATE: October 20, Monday TIME: 7:00 p.m. PLACE: First Presbyterian Church, 521 Lakeside PROGRAM: Program information was not available in time for this newsletter. Check our website for our October program or look for it in the paper. Visit our website: www.cdaaudubon.org THE BIG SIT "If you sit in one place long enough, eventually every species of bird will pass by." We are participating in the Eleventh Annual New Haven Bird Club's, "The Big Sit!"- co-sponsored by SWAROVSKI OPTIK! Sunday, October 12, 2003. This is our third year to participate in this event. See the field trip page for how to participate. The BIG SIT! is like a Big Day, or a Bird-a-thon in that the object is to tally as many bird species as can be seen or heard within 24 hours. The difference lies in the area limitation (17 foot circle) from which you'll be allowed to observe. This free event is open to all individuals & every club in every state in every country. There are 3 categories: 1) Best Overall Count (Most species seen by a single circle wins our commemorative T-shirt) 2) Best State Count (Highest combined total from circles within a state - wins state pride. 3) The Big Prize!: Swarovski Optik is offering $500 to the circle who finds the "Golden Bird". (A random drawing-we could win!) RULES: 1) Observations can be made from any area within the state/country you live, or wish to represent. 2) Observations can only be made from within a 17-foot diameter circle. 3) There's no limit to how many people can occupy the area (other than the obvious spatial limitations). Bring some chairs. Have a picnic or barbecue. Welcome passers-by and their contributions to your list. 4) If a bird is seen or heard from within the circle but is too distant to identify, the circle can be left to get a closer look for confirmation. However, any new bird seen or heard while confirming the original can't be counted unless it's seen from an "anchor" who stayed behind in your circle, or when you return to your spot. 5) The participants can work in shifts. No one person needs to be there throughout the whole Big Sit! The area can be left and returned to as frequently as desired, but you must be sure to return to the exact spot each time. 6) The same circle must be used for the entire Big Sit! 7) The Big Sit! Will begin at 12:00am midnight on October 12 and ends in 24 hours. (Unless there is a volunteer for night duty, we will do dawn to dusk) BIRD TRACKS Audubon Members make a difference BLUEBIRD TRAIL REPORT Shirley Sturts - Theresa Potts Roland Craft (Bluebird Committee) Our chapter is responsible for monitoring 3 bluebird trails: The Gertie Hanson Blue Bird Trail in the Hoo Doo Valley along Kelso Lake Road containing 50 boxes, The Mica Bay Trail containing 8 boxes, and the Mica Flats Trail containing 12 boxes. Gertie Hanson established the Hoo Doo Bluebird Trail in 1983. It was a project sponsored by the Idaho Department of Fish and Game Nongame Advisory Committee. Gertie monitored and managed the trail until her death in 1998. Since that time our chapter has continued to keep the trail in good condition and has continued to monitor nesting success. In the summer of 2000 we joined "The Birdhouse Network", a Citizen Science Project of the Cornell Laboratory of Ornithology. We check the boxes about every 10 days and record information such as bird species, date of the first egg, number of eggs, date hatched, and date fledged for each nesting attempt. This information is then reported to Cornell on their website (www.cornell.edu) In 2000 we also paired most of our boxes, putting two boxes about 10 feet apart. The idea is that Tree Swallows will use one and bluebirds will use the other. We feel this pairing has been successful to some extent. This summer 8 of our paired boxes THE FISH HAWK HERALD had swallows in one and bluebirds in the other. One pair of boxes had Western Bluebirds in one, Mountain Bluebirds in the other and after the baby Mountain Bluebirds fledged a Tree Swallow pair successfully fledged young from the same box. Another paired box set had a Western Bluebird in one box and the other remained empty. The best news is, we had more Western Bluebirds fledge this year than ever before: 15 boxes were used, 13 of 23 nest attempts were successful and 67 fledged of which 59 were banded. Six adult Western Bluebirds were also banded. Mountain Chickadee nested successfully in two of the boxes. The Tree Swallow nested in 27 boxes of which 21 were successful and 105 young swallows fledged. I didn't band the young swallows this year but I did band 5 adults. We only had one Mountain Bluebird pair. They successfully fledged 5 young. A visiting birder from Montana, with experience in bluebird trails, told us we should enlarge the holes to accommodate the slightly larger Mountain Bluebird. We plan to do this for a few of the boxes before the next nesting season. At Mica Bay, 6 Western Bluebirds were fledged out of one box and Mica Flats had 2 boxes used by Western Bluebirds with 3 nest attempts 2 successful. For some reason there was high nest failure for the Tree Swallow on Mica Flats. Of the 9 boxes used only 2 were successful. BANDING RESULTS Tree Swallow 6+ Years Old We have been banding adults and young from these three trails for several years. 2 This information is sent into the U.S. Fish and Wildlife Bird Banding Laboratory. This year we found a female Tree Swallow sitting on eggs in box 6 (Mica Flats) that was banded as an adult on June 25, 1998 in box 11 (Mica Flats). That means this bird is at least 6 years old. According to information found in The Birds of North America, "swallows show an average life span of 2.7 years and a maximum life span of 8 years. Based on band recoveries of birds banded as nestlings, mortality in first year of life is estimated at 79%, indicating that only about 20% of birds leaving the nest survive their first year. Annual survival rate thereafter ranges from 40% to 60%." This high mortality for birds in their first year is probably why I have never had a recovery from any nestling I have banded. Another recovery this year was a female Tree Swallow in box 4 that had been banded in the same box on June 3, 2002. We found a Western Bluebird in box 26 that we had banded as an adult from this same box on July 8, 2001, making this bird at least 3 years old. The committee wishes to thank all those who have helped with building, repairing and monitoring the boxes along the bluebird trail. Special thanks goes to Roger Young for providing the wood shop, lumber, tools, and expertise in building the bird boxes and in helping put them up. Henry David Thoreau . OCTOBER FIELD TRIPS FIELD TRIP INFORMATION 1. Please register with the leader ahead of time. a. It helps the leader plan the trip. Continued on Page 4 b. You will be informed if the trip time or location is changed or if the trip is canceled. 2. Fees: (to be paid to the driver of the car) $5.00 - all day trips $3.00 - 1/2 day trips. 3. We sometimes use radios to communicate between cars. If the radios are used we are asking participants to contribute $1.00 toward batteries. MICA BAY SURVEY DATES: October 6 and 20, Monday TIME: 8:00 a.m. MEET: carpool @ Fairmont Loop and Highway 95 LEADERS: Shirley Sturts, 664-5318 - Kris Buchler, 664-4739 ACTIVITY: We spend about 3 hours twice a month counting birds in the Mica Bay area. Beginner birders are encouraged and welcome to join us. BROWN BAG BIRDING TRIP DATE: October 21, Tuesday TIME: 12:00 noon - 1:00 p.m. MEET: Fernan Lake Boat Dock, west end LEADER: Lynn Sheridan (leave messages for Lynn with Kris Buchler 664-4739) ACTIVITY: We will walk around the area of the boat dock looking for both waterfowl and songbirds. If time permits we will drive down the east end of the lake THE BIG SIT DATE/TIME: October 12, Sunday / sign up for a sit time LOCATION: Mica Bay Platform LEADER: Shirley Sturts, 664-5318 ACTIVITY: As a group effort we are counting birds at Mica Bay from dawn to dusk. Contact Shirley to sign up for a time. You can sign up for 2 hour shift or (shorter-longer time period). There is no limit to the number of people we can have at one time. We would like to spread participants out over the entire day to get as much coverage as possible. Bring a chair, binoculars, bird book, scope (if you have one), water, food and your enthusiasm. See the article on page 1 or more information. HIDDEN LAKE CRANBERRY BOG DATE: October 19, Sunday TIME: 7:00 a.m. MEET: carpool @ Fernan Ranger Station at 7:00 a.m. Or 7:25 a.m. at Rose Lake Junction (Café) LEADER: Lisa Hardy, 682-4808 or [email protected] ACTIVITY: This will be a full day canoe trip to the cranberry bog near Killarney Lake. Please call leader ahead of time so we will know how many canoes we will have, and how many canoeless trippers we can accommodate. Bring lunch and water, and buckets or bags for your cranberry harvest. SANDPOINT AND PEND OREILLE LAKE DATE: October 25, Saturday TIME: 7:30 a.m. MEET: carpool @ K-mart parking lot, behind Fast Burger LEADER: Lisa Hardy, 682-4808 or [email protected] ACTIVITY: We will look for fall birds, especially rare gulls and early winter visitors. Plan for a full day, bring lunch and water. We will stop for coffee by request 3 THE TOUGHEST BIRDING YOU'LL EVER DO Kris Buchler On a foggy pre-dawn September 20 th , five Coeur d'Alene landlubbers boarded Westport Seabirds' Monte Carlo for a day of pelagic birding. There were twenty birders in all plus the captain and first mate, as well as our "spotters", Bruce and Ryan. A trip like this would not be successful for novices without the spotters' experience in the body language and field marks of seabirds on the wing. Forget your spotting scope and high-powered binoculars. The naked eye is one of the best tools on a moving boat dipping and rolling with the ocean swells. Optics could be used but the glimpses were brief of birds soaring by us. Bruce greeted the group with "pelagic birding is the toughest birding you will ever do!" Pelagic birds are seabirds that spend their lives on the oceans except to breed on various islands. Many are found far offshore. They alight on the water to rest or feed and can be found like this in large groups. Many of the areas of the oceans are virtual deserts without birds while others are teaming with activity. It is easy to guess where the schools of fish are found as well as the fishing boats. Within an hour we had left the harbor behind with the Brown Pelicans, cormorants and usual gulls. We saw our first shearwater, a graceful Sooty with long narrow wings. Heerman's Gulls were mixed in with Western and Glaucouswinged which were far outnumbered by their hybrids which seem to populate that area of coast. Common Murres became – well, common. They were already in winter plumage. About 20 miles offshore we encountered two more shearwaters, the Pink-footed and Buller's. By mid-morning, good instruction from Bruce and Ryan enabled our CDA birders to distinguish the 3 species of shearwaters from gulls, identify the gull-like but chunky Northern Fulmar in two plumages and gasp with delight at the first encounter with a Black-footed Albatross. This bird stands out with its large size, distinguished bill, straight board-like narrow wings and effortless flight over the waves. By noon, Roland Craft, Lisa Hardy, Shirley Sturts and Ed and Kris Buchler had added other smaller seabirds to their life lists. Cassin's and Rhinocerous Auklets skittered over the water. Fork-tailed Storm Petrels fluttered by and a Sabine's gull was spotted far off but recognized by its tern-like flight and dramatic black and white wing pattern. Overhead flew Pomarine Jaeger and Blacklegged Kittiwake, easily mistaken for a gull. South Polar Skua was spotted by one of our leaders but few got great looks 4 at it. We did have terrific views of Red and Red-necked Phalaropes in winter plumage resting on the water and in flight. "Chumming" gave us a chance to observe some species up close on the water. The birds gather near the boat to snap up "chum", a mixture of suet, vegetable oil and cod liver oil. Many of these birds follow the fishing fleets to scavenge the rewards of the harvest. We learned a lot about these birds we seldom see – how shearwaters gracefully glide over the waves at a steep angle with the lowered wing "shearing" the water, - how Buller's Shearwater appears bright white underneath while Sooty is sooty with beige underwings and Pink-footed has light underwings with very dark edges and wingtips. The Northern Fulmar flaps with stiff wings then glides, exhibiting its tubenose. A day trip like this is certainly recommended if you want to challenge yourself. Prepare. It is much more fun if you aren't green around the gills or bending over the back of the boat. Many products, from tablets to patches, are available to prevent seasickness. Bonine seemed to be a favorite and does not make you sleepy. Bring layers of clothing and waterproof footwear if you want to stay up near the bow. Saltines are great to munch and the crew provides ginger snaps, a home remedy for queasiness. An added bonus to bird sightings was the whale watching. As we traveled 40 miles offshore, we had at least eight good sightings of Humpbacked whales with many near the boat. Dolphins followed us and Harbor Seals were a fixture of the harbor. Scott Rea, our summer flycatcher expert, is spending several months at Ocean Shores, Washington. Lisa arranged for us to meet Scott the following day so we could benefit from his knowledge of the area's shorebirds. Scott led us to a bayside marsh known for migrating Pectoral and Sharptailed Sandpipers. After an hour or two of scouting the area, we paused to discuss our strategy while Roland spotted the Pectorals right in front of us. They were amazingly tolerant of us and allowed us to get great looks. We had other good observations of American Golden-Plover and Pacific Golden-Plover, with flyovers by Peregrine Falcon, Merlin and Northern Harrier. Scott increased our knowledge of cormorants, helping us distinguish Double-crested, Pelagic and Brandt's while in flight. Other sightings for the weekend included Whimbrel, Marbled Godwit, common Loon, Surfbird, White-winged and Surf Scoter and Mallard. It was a great trip full of new sights and birding education. Lisa, Shirley and Roland checked out the Grays Harbor National Wildlife Refuge near Hoquiam before heading home. Ed and Kris made a stop at Nisqually Wildlife Refuge on the way west. In 45 minutes they observed Green Heron, Brown Creeper, various migrating warbler, Great Blue Heron, Great Egret, three species of woodpecker as well as numerous River Otter tracks. It looks as though one could spend more than a day exploring the trails and lands of this refuge. Morro Bay Winter Bird Festival, January 16-19, 2004 Migrate to one of the country's pre-eminent birding spots and join the Morro Coast Audubon Society (MCAS) for the 8th Annual Morro Bay Winter Bird Festival. Morro Bay -located on California's scenic Central Coast -- is an important stop on the Pacific Flyway, and is recognized worldwide for its diversity of both resident and wintering birds. Over 200 species of birds have been identified during past Festivals. The Morro Bay Winter Bird Festival is sponsored by MCAS and gives you the chance to join local and national birding experts on a variety of field trips and workshops. Field trip group sizes are limited to maximize spotting and identification opportunities. The Festival also offers workshops aimed at sharpening your birding skills, as well as evening programs with outstanding speakers. Please note that the Morro Bay State Park campground will be closed during this year's festival; however, the area offers a number of other nearby campgrounds, such as Montana de Oro State Park and Atascadero State Beach. For more information about the Festival, check out our website at www.morrobay.net/birds, where you can request that your name be added to the mailing list for our 2004 brochure, due out in October. Registration deadline is December 31, 2003 and early signups are encouraged as the most popular events fill up quickly. BIRDING WITH A BROWN BAG Lynn Sheridan May 20, 2003 Winter Wren Photographed by Wayne Tree On this sunny day, ten of us walked around Tubbs Hill from the 10 th Street entrance, to enjoy the sights and sounds of the many birds migrating through and residing there. With the help of Kris and Bill, three warblers were heard and identified: Nashville, Yellowrumped and Orange-Crowned Spotted Towhee were seen and heard several times. A few California Quail scurried off the trail. As Roland joined us from a lower trail, a Steller's Jay was heard. Resident American Robin, Pine Siskin, Chickadee, Song Sparrow, Pygmy and Redbreasted Nuthatch made themselves known. Our best bird was a Winter Wren, which Sarah was able to photograph. Will we all remember its tinkly song? Overhead were 3 Osprey cavorting, a Great Blue Heron flew by, and Violet-Green Swallow swooped over the water. Continued on Page 6 5 BIRDING WITH A BROWN BAG Continued from Page 5 Flowers were not overlooked. Twenty-five varieties were identified. Some of the best were: mitre-wort, chocolate lily, phlox, larkspur, columbine, shooting stars, calypso orchids, arrowleaf balsam root, prairie smoke and false solomon seal. Thank you everyone who contributed what they knew and had experienced, and helped us all learn a bit more. Participants: Pat Bearman, Ruthie Arbuckle, Robert and Jean Imperatrice, Roland Craft, Bill Gundlach, Sarah and Karen Read, Kris Buchler and Lynn Sheridan September 16, 2003 It was a cool breezy day as 5 of us started up Tubbs Hill: Mary Beth Sokolik from Harrison, Sarah and Karen Reed, Roland Craft and myself. With patience we saw Black-capped Chickadee, Pygmy Nuthatch and a chipmunk. Flying aloft, an Osprey called attention to itself. We noted some plants: serviceberry, wild rosehips, Oregon grape, snowberry, ocean spray, ninebark, and red false solomon seal berries. Darkening skies urged us homeward, when near the trail head, we saw, close by 2 male American Goldfinch in wintry plumage--wonderful. Ringbilled Gulls, about 15, dotted the parking lot, and a lone male Mallard hopped up to a dock. Quick farewells as the cloudburst came. Thanks everyone!! FARMER'S MARKET AUGUST 30, 2003 Janet Callen . Lynn Sheridan and I represented Coeur d' Alene Audubon at the Farmer's Market this year. All day long market shoppers stopped by our display to talk about birds and all things related. We sold a few items and again Lynn's beautiful pressed flower and feather cards were a hit. Many people signed up for a complimentary newsletter and expressed interest in our activities. The courtesy booth extended to us each year by the Farmer's Market is a great way to inform the public about our Audubon chapter. This year's event seemed a great success. RAINFOREST ALLIANCE HONORS SUSTAINABLE COFFEE LEADERS At its 13th annual gala next month, the Rainforest Alliance will be honoring seven outstanding leaders in the coffee industry, leaders who have been instrumental in guiding the sustainable coffee movement (encompassing shade-coffee, 6 organic coffee, and fair-trade coffee). As the coffee industry suffers from a deep crisis brought on by a glut in the coffee market affecting the livelihoods of thousands of coffee workers and millions of acres of coffee production worldwide, these visionary individuals and companies have been committed to making coffee production environ-mentally, socially, and econom-ically sound. Those honored will include: Green Mountain Coffee Roasters, Mary Williams of Starbucks, Hans Jöhr of Nestle, Volcafe Ltd., Balzac Brothers and Co., DR Wakefield and Co., and Thanksgiving Coffee Co. A number of farmers and cooperative leaders will also be recognized. The social and ecological benefits of sustainably managed coffee extend far beyond the farms in prosperous rural communities, cleaner rivers, increased bird and wildlife populations, reliable water supplies, sanitary systems, collaborations between farm managers, and neighboring parks, protected watersheds, and decent pay for workers. The Thanksgiving Coffee Company, producers of ABA's Song Bird Coffee will be among those recognized by the Rainforest Alliance. Paul and Joan Katzeff will be honored for Thanksgiving's outstanding leadership in promoting environmentally friendly, sustainable, economic development. From leading by example in the birdcompatible shade-coffee scene, to establishing "cupping labs" in Nicaragua that enable small farms to be more competitive in the larger marketplace, Thanksgiving has initiated creative sustainable development initiatives. For a good article on birds and shade-grown coffee see the recent February BIRDING: "Shade-grown Coffee and Northwest Migratory Birds" by Jennifer Seavey. For more details on the Rainforest Alliance event see: http://www.rainforest- alliance.org/news/gala2003/inde x.html For particulars on ABA's connection with Song Bird Coffee see: http://www.americanbirding.org/p rograms/conssbcof1.htm Editors Note: Green Mountain Coffee is available at Fred Meyer WILD BIRDS UNLIMITED (A REMINDER) Wild Birds Unlimited is donating 10% of their sales from Audubon members to our Audubon Chapter. This is a "win-win" situation. It benefits our Audubon Chapter and it encourages members to try the Wild Birds Unlimited products. If you have been in the store you know their products are all first class. There are some great gift items as well as good quality seed, feeders, birdbaths and other useful items for backyard bird watching. The Wild Birds Unlimited store is at 296 W. Sunset Ave. #22, Coeur d'Alene. When you go there be sure to identify yourself as an Audubon member so that our chapter gets credit. Thank you Irv and Helen Stephenson, owners of Wild Birds Unlimited, for your contribution to our chapter and for providing quality bird products and friendly service. OBSERVATION POST Kootenai County Big Year Additions since the September 2003 Newsletter (see February-September Newsletters or go to our Website to see bird species seen so far this year in Kootenai County - Current total 186 Cooper's Hawk 1 Mica Bay Survey Sept. 5 (KBUC, CCAM, BRET, JRET) Ferruginous Hawk 1 Rathdrum Prairie Aug. 19 (JTAG) Semipalmated Plover 1 Saw Mill Pond near Cataldo Sept; 28 (LHAR) Lesser Yellowlegs 1 Lane Marsh (CDA River drainage) Aug. 24 (LHAR, SREA) and 4 Sept. 28 Saw Mill Pond - Cataldo area (LHAR) Western Sandpiper 1+ Lane Marsh (CDA River drainage) August 24 (LHAR,SREA) Baird's Sandpiper 2 Rathdrum Prairie Sept. 23 (LHAR, RCRA) 15 Kootenai NWR and 12 Boundary Creek WMA) Aug. 31 (LHAR,SSTU) Least Sandpiper 1+ Lane Marsh (CDA River drainage) Aug. 24 (LHAR, SREA) Short -billed Dowitcher 1+ Lane Marsh (CDA River drainage) August 24 (LHAR,SREA) Saw Mill Pond near Cataldo September Wilson's Phalarope 2 Boundary Creek WMA Aug 31 (SSTU,LHAR) Red-necked Phalarope 1 Saw Mill Pond, Cataldo area Sept. 12 (LHAR) Common Tern 17 Harlow Point Rd, Harrison, 12 Anderson Lake, 32 Cave Lake Aug. 24 (LHAR,SREA) ==================================== Long-billed Dowitcher 2, 11 and 23 23 & 25 & 28 (LHAR) Other Sightings of Interest ==================================== American White Pelican 1 immature Thompson Lake Aug. 24 (LHAR,SREA), 7 4 Boundary Creek WMA Aug. 31 (SSTU,LHAR) Slough, 2 Harrison and 2 Thompson Double-crested Cormorant 14 Mission Lake Aug. 24 (LHAR,SREA) Aug. 31 (KBUC,EBUC,JRET) Merlin 1 Ball Creek Ranch Survey Semipalmated Plover 3 Kootenai NWA Greater Yellowlegs 4 Saw Mill Pond, near Cataldo Sept. 12 & 28 (LHAR); 4 Boundary Creek WMA Aug. 31 (LHAR,SSTU) Aug. 31 (LHAR, SSTU) Solitary Sandpiper 1 Lane Marsh Aug. 24 (LHAR,SREA) Wilson's Snipe 1 Lane Marsh 1 Harlow Point Road, Harrison Aug. 24 and 3 Saw Mill Pond near Cataldo Sept. 12 (LHAR) Blue Jay and Blue XSteller Jay (Hybrid) 1 of each still coming to feeder September (NMER) in Coeur d'Alene - Pine Ave. during White-breasted Nuthatch1 Mica Bay Survey Sept. 5 (KBUC,CCAM,BRET, JRET Brown Creeper 1 Mica Bay Survey Sept. 5 (KBUC,CCAM,BRET, JRET Western Tanager 6-8 Ball Creek Survey Aug. 31 (EBUC,KBUC, JRET) American Pipit 3 Burnt Cabin Summit, CDA National Forest Sept. 10 (LHAR) Observers: Ed and Kris Buchler (EBUC,KBUC), Corinne Cameron (CCAM), Roland Craft (RCRA), Lisa Hardy (LHAR), Nancy Mertz (NMER), Bob and Jean Retzler (BRET,JRET), Scott Rea (SREA), Shirley Sturts (SSTU), Joe Taggert (JTAG) Editors Note: I would like to hear from you, our readers! This is your Chapter Newsletter and you are welcome to be a part of it. Please feel free to send me articles, stories about bird or wildlife experiences you have had, poems, observations, book reviews, letters to the editor, pictures, etc. Send by email to Shirley Sturts [email protected]	<urn:uuid:f9382241-1786-4d3a-8c74-b906776b5af1>	CC-MAIN-2017-17	http://cdaaudubon.org/Newsletter_Archive/October_2003.pdf	2017-04-26T02:13:51Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-17/segments/1492917121121.5/warc/CC-MAIN-20170423031201-00386-ip-10-145-167-34.ec2.internal.warc.gz	69,234,892	6,520	eng_Latn	eng_Latn	0.962915	eng_Latn	0.99655	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3515, 7777, 10448, 14594, 18354, 22053, 26254 ]	` Coeur d'Alene Chapter of the National Audubon Society October 2003 VOLUME 13 ISSUE 2 COMING EVENTS AUDUBON'S ADOPT-A-HIGHWAY PROJECT DATE: October 11, Saturday TIME: 8:00 a.m. MEET: Fairmont Loop and Highway 95 ACTIVITY: OK, let's try it again. The highway department has completed (more or less) the construction on the section of Highway 95 that our Audubon chapter has contracted to clean. Our two-mile stretch is the south (downhill) side of Mica grade, mile 421 to mile 423, ending at the turn into Mica Bay. We have agreed to tidy it up twice a year, spring and fall. At the meeting point we will review instructions over muffins and juice. Wear long pants and long sleeves. The clean up should be over in one or two hours. When the job is done, plan to bird at Mica Bay if you have time. Please contact Judy Waring at 765-5378 to sign up or for more information. BOARD MEETING DATE: October 14, Tuesday PLACE: Mountain West Bank TIME: 4:30 p.m. 125 Ironwood Dr. OCTOBER PROGRAM DATE: October 20, Monday TIME: 7:00 p.m. PLACE: First Presbyterian Church, 521 Lakeside PROGRAM: Program information was not available in time for this newsletter. Check our website for our October program or look for it in the paper. Visit our website: www.cdaaudubon.org THE BIG SIT "If you sit in one place long enough, eventually every species of bird will pass by." We are participating in the Eleventh Annual New Haven Bird Club's, "The Big Sit!"- co-sponsored by SWAROVSKI OPTIK! Sunday, October 12, 2003. This is our third year to participate in this event. See the field trip page for how to participate. The BIG SIT! is like a Big Day, or a Bird-a-thon in that the object is to tally as many bird species as can be seen or heard within 24 hours. The difference lies in the area limitation (17 foot circle) from which you'll be allowed to observe. This free event is open to all individuals & every club in every state in every country. There are 3 categories: 1) Best Overall Count (Most species seen by a single circle wins our commemorative T-shirt) 2) Best State Count (Highest combined total from circles within a state - wins state pride. 3) The Big Prize!: Swarovski Optik is offering $500 to the circle who finds the "Golden Bird". (A random drawing-we could win!) RULES: 1) Observations can be made from any area within the state/country you live, or wish to represent. 2) Observations can only be made from within a 17-foot diameter circle. 3) There's no limit to how many people can occupy the area (other than the obvious spatial limitations). Bring some chairs. Have a picnic or barbecue. Welcome passers-by and their contributions to your list. 4) If a bird is seen or heard from within the circle but is too distant to identify, the circle can be left to get a closer look for confirmation. However, any new bird seen or heard while confirming the original can't be counted unless it's seen from an "anchor" who stayed behind in your circle, or when you return to your spot. 5) The participants can work in shifts. No one person needs to be there throughout the whole Big Sit! The area can be left and returned to as frequently as desired, but you must be sure to return to the exact spot each time. 6) The same circle must be used for the entire Big Sit! 7) The Big Sit! Will begin at 12:00am midnight on October 12 and ends in 24 hours. (Unless there is a volunteer for night duty, we will do dawn to dusk) BIRD TRACKS Audubon Members make a difference BLUEBIRD TRAIL REPORT Shirley Sturts - Theresa Potts Roland Craft (Bluebird Committee) Our chapter is responsible for monitoring 3 bluebird trails: The Gertie Hanson Blue Bird Trail in the Hoo Doo Valley along Kelso Lake Road containing 50 boxes, The Mica Bay Trail containing 8 boxes, and the Mica Flats Trail containing 12 boxes. Gertie Hanson established the Hoo Doo Bluebird Trail in 1983. It was a project sponsored by the Idaho Department of Fish and Game Nongame Advisory Committee. Gertie monitored and managed the trail until her death in 1998. Since that time our chapter has continued to keep the trail in good condition and has continued to monitor nesting success. In the summer of 2000 we joined "The Birdhouse Network", a Citizen Science Project of the Cornell Laboratory of Ornithology. We check the boxes about every 10 days and record information such as bird species, date of the first egg, number of eggs, date hatched, and date fledged for each nesting attempt. This information is then reported to Cornell on their website (www.cornell.edu) In 2000 we also paired most of our boxes, putting two boxes about 10 feet apart. The idea is that Tree Swallows will use one and bluebirds will use the other. We feel this pairing has been successful to some extent. This summer 8 of our paired boxes THE FISH HAWK HERALD had swallows in one and bluebirds in the other. One pair of boxes had Western Bluebirds in one, Mountain Bluebirds in the other and after the baby Mountain Bluebirds fledged a Tree Swallow pair successfully fledged young from the same box. Another paired box set had a Western Bluebird in one box and the other remained empty. The best news is, we had more Western Bluebirds fledge this year than ever before: 15 boxes were used, 13 of 23 nest attempts were successful and 67 fledged of which 59 were banded. Six adult Western Bluebirds were also banded. Mountain Chickadee nested successfully in two of the boxes. The Tree Swallow nested in 27 boxes of which 21 were successful and 105 young swallows fledged. I didn't band the young swallows this year but I did band 5 adults. We only had one Mountain Bluebird pair. They successfully fledged 5 young. A visiting birder from Montana, with experience in bluebird trails, told us we should enlarge the holes to accommodate the slightly larger Mountain Bluebird. We plan to do this for a few of the boxes before the next nesting season. At Mica Bay, 6 Western Bluebirds were fledged out of one box and Mica Flats had 2 boxes used by Western Bluebirds with 3 nest attempts 2 successful. For some reason there was high nest failure for the Tree Swallow on Mica Flats. Of the 9 boxes used only 2 were successful. BANDING RESULTS Tree Swallow 6+ Years Old We have been banding adults and young from these three trails for several years. 2 This information is sent into the U.S. Fish and Wildlife Bird Banding Laboratory. This year we found a female Tree Swallow sitting on eggs in box 6 (Mica Flats) that was banded as an adult on June 25, 1998 in box 11 (Mica Flats). That means this bird is at least 6 years old. According to information found in The Birds of North America, "swallows show an average life span of 2.7 years and a maximum life span of 8 years. Based on band recoveries of birds banded as nestlings, mortality in first year of life is estimated at 79%, indicating that only about 20% of birds leaving the nest survive their first year. Annual survival rate thereafter ranges from 40% to 60%." This high mortality for birds in their first year is probably why I have never had a recovery from any	nestling I have banded.	Another recovery this year was a female Tree Swallow in box 4 that had been banded in the same box on June 3, 2002. We found a Western Bluebird in box 26 that we had banded as an adult from this same box on July 8, 2001, making this bird at least 3 years old. The committee wishes to thank all those who have helped with building, repairing and monitoring the boxes along the bluebird trail. Special thanks goes to Roger Young for providing the wood shop, lumber, tools, and expertise in building the bird boxes and in helping put them up. Henry David Thoreau . OCTOBER FIELD TRIPS FIELD TRIP INFORMATION 1. Please register with the leader ahead of time. a. It helps the leader plan the trip. Continued on Page 4 b. You will be informed if the trip time or location is changed or if the trip is canceled. 2. Fees: (to be paid to the driver of the car) $5.00 - all day trips $3.00 - 1/2 day trips. 3. We sometimes use radios to communicate between cars. If the radios are used we are asking participants to contribute $1.00 toward batteries. MICA BAY SURVEY DATES: October 6 and 20, Monday TIME: 8:00 a.m. MEET: carpool @ Fairmont Loop and Highway 95 LEADERS: Shirley Sturts, 664-5318 - Kris Buchler, 664-4739 ACTIVITY: We spend about 3 hours twice a month counting birds in the Mica Bay area. Beginner birders are encouraged and welcome to join us. BROWN BAG BIRDING TRIP DATE: October 21, Tuesday TIME: 12:00 noon - 1:00 p.m. MEET: Fernan Lake Boat Dock, west end LEADER: Lynn Sheridan (leave messages for Lynn with Kris Buchler 664-4739) ACTIVITY: We will walk around the area of the boat dock looking for both waterfowl and songbirds. If time permits we will drive down the east end of the lake THE BIG SIT DATE/TIME: October 12, Sunday / sign up for a sit time LOCATION: Mica Bay Platform LEADER: Shirley Sturts, 664-5318 ACTIVITY: As a group effort we are counting birds at Mica Bay from dawn to dusk. Contact Shirley to sign up for a time. You can sign up for 2 hour shift or (shorter-longer time period). There is no limit to the number of people we can have at one time. We would like to spread participants out over the entire day to get as much coverage as possible. Bring a chair, binoculars, bird book, scope (if you have one), water, food and your enthusiasm. See the article on page 1 or more information. HIDDEN LAKE CRANBERRY BOG DATE: October 19, Sunday TIME: 7:00 a.m. MEET: carpool @ Fernan Ranger Station at 7:00 a.m. Or 7:25 a.m. at Rose Lake Junction (Café) LEADER: Lisa Hardy, 682-4808 or [email protected] ACTIVITY: This will be a full day canoe trip to the cranberry bog near Killarney Lake. Please call leader ahead of time so we will know how many canoes we will have, and how many canoeless trippers we can accommodate. Bring lunch and water, and buckets or bags for your cranberry harvest. SANDPOINT AND PEND OREILLE LAKE DATE: October 25, Saturday TIME: 7:30 a.m. MEET: carpool @ K-mart parking lot, behind Fast Burger LEADER: Lisa Hardy, 682-4808 or [email protected] ACTIVITY: We will look for fall birds, especially rare gulls and early winter visitors. Plan for a full day, bring lunch and water. We will stop for coffee by request 3 THE TOUGHEST BIRDING YOU'LL EVER DO Kris Buchler On a foggy pre-dawn September 20 th , five Coeur d'Alene landlubbers boarded Westport Seabirds' Monte Carlo for a day of pelagic birding. There were twenty birders in all plus the captain and first mate, as well as our "spotters", Bruce and Ryan. A trip like this would not be successful for novices without the spotters' experience in the body language and field marks of seabirds on the wing. Forget your spotting scope and high-powered binoculars. The naked eye is one of the best tools on a moving boat dipping and rolling with the ocean swells. Optics could be used but the glimpses were brief of birds soaring by us. Bruce greeted the group with "pelagic birding is the toughest birding you will ever do!" Pelagic birds are seabirds that spend their lives on the oceans except to breed on various islands. Many are found far offshore. They alight on the water to rest or feed and can be found like this in large groups. Many of the areas of the oceans are virtual deserts without birds while others are teaming with activity. It is easy to guess where the schools of fish are found as well as the fishing boats. Within an hour we had left the harbor behind with the Brown Pelicans, cormorants and usual gulls. We saw our first shearwater, a graceful Sooty with long narrow wings. Heerman's Gulls were mixed in with Western and Glaucouswinged which were far outnumbered by their hybrids which seem to populate that area of coast. Common Murres became – well, common. They were already in winter plumage. About 20 miles offshore we encountered two more shearwaters, the Pink-footed and Buller's. By mid-morning, good instruction from Bruce and Ryan enabled our CDA birders to distinguish the 3 species of shearwaters from gulls, identify the gull-like but chunky Northern Fulmar in two plumages and gasp with delight at the first encounter with a Black-footed Albatross. This bird stands out with its large size, distinguished bill, straight board-like narrow wings and effortless flight over the waves. By noon, Roland Craft, Lisa Hardy, Shirley Sturts and Ed and Kris Buchler had added other smaller seabirds to their life lists. Cassin's and Rhinocerous Auklets skittered over the water. Fork-tailed Storm Petrels fluttered by and a Sabine's gull was spotted far off but recognized by its tern-like flight and dramatic black and white wing pattern. Overhead flew Pomarine Jaeger and Blacklegged Kittiwake, easily mistaken for a gull. South Polar Skua was spotted by one of our leaders but few got great looks 4 at it. We did have terrific views of Red and Red-necked Phalaropes in winter plumage resting on the water and in flight. "Chumming" gave us a chance to observe some species up close on the water. The birds gather near the boat to snap up "chum", a mixture of suet, vegetable oil and cod liver oil. Many of these birds follow the fishing fleets to scavenge the rewards of the harvest. We learned a lot about these birds we seldom see – how shearwaters gracefully glide over the waves at a steep angle with the lowered wing "shearing" the water, - how Buller's Shearwater appears bright white underneath while Sooty is sooty with beige underwings and Pink-footed has light underwings with very dark edges and wingtips. The Northern Fulmar flaps with stiff wings then glides, exhibiting its tubenose. A day trip like this is certainly recommended if you want to challenge yourself. Prepare. It is much more fun if you aren't green around the gills or bending over the back of the boat. Many products, from tablets to patches, are available to prevent seasickness. Bonine seemed to be a favorite and does not make you sleepy. Bring layers of clothing and waterproof footwear if you want to stay up near the bow. Saltines are great to munch and the crew provides ginger snaps, a home remedy for queasiness. An added bonus to bird sightings was the whale watching. As we traveled 40 miles offshore, we had at least eight good sightings of Humpbacked whales with many near the boat. Dolphins followed us and Harbor Seals were a fixture of the harbor. Scott Rea, our summer flycatcher expert, is spending several months at Ocean Shores, Washington. Lisa arranged for us to meet Scott the following day so we could benefit from his knowledge of the area's shorebirds. Scott led us to a bayside marsh known for migrating Pectoral and Sharptailed Sandpipers. After an hour or two of scouting the area, we paused to discuss our strategy while Roland spotted the Pectorals right in front of us. They were amazingly tolerant of us and allowed us to get great looks. We had other good observations of American Golden-Plover and Pacific Golden-Plover, with flyovers by Peregrine Falcon, Merlin and Northern Harrier. Scott increased our knowledge of cormorants, helping us distinguish Double-crested, Pelagic and Brandt's while in flight. Other sightings for the weekend included Whimbrel, Marbled Godwit, common Loon, Surfbird, White-winged and Surf Scoter and Mallard. It was a great trip full of new sights and birding education. Lisa, Shirley and Roland checked out the Grays Harbor National Wildlife Refuge near Hoquiam before heading home. Ed and Kris made a stop at Nisqually Wildlife Refuge on the way west. In 45 minutes they observed Green Heron, Brown Creeper, various migrating warbler, Great Blue Heron, Great Egret, three species of woodpecker as well as numerous River Otter tracks. It looks as though one could spend more than a day exploring the trails and lands of this refuge. Morro Bay Winter Bird Festival, January 16-19, 2004 Migrate to one of the country's pre-eminent birding spots and join the Morro Coast Audubon Society (MCAS) for the 8th Annual Morro Bay Winter Bird Festival. Morro Bay -located on California's scenic Central Coast -- is an important stop on the Pacific Flyway, and is recognized worldwide for its diversity of both resident and wintering birds. Over 200 species of birds have been identified during past Festivals. The Morro Bay Winter Bird Festival is sponsored by MCAS and gives you the chance to join local and national birding experts on a variety of field trips and workshops. Field trip group sizes are limited to maximize spotting and identification opportunities. The Festival also offers workshops aimed at sharpening your birding skills, as well as evening programs with outstanding speakers. Please note that the Morro Bay State Park campground will be closed during this year's festival; however, the area offers a number of other nearby campgrounds, such as Montana de Oro State Park and Atascadero State Beach. For more information about the Festival, check out our website at www.morrobay.net/birds, where you can request that your name be added to the mailing list for our 2004 brochure, due out in October. Registration deadline is December 31, 2003 and early signups are encouraged as the most popular events fill up quickly. BIRDING WITH A BROWN BAG Lynn Sheridan May 20, 2003 Winter Wren Photographed by Wayne Tree On this sunny day, ten of us walked around Tubbs Hill from the 10 th Street entrance, to enjoy the sights and sounds of the many birds migrating through and residing there. With the help of Kris and Bill, three warblers were heard and identified: Nashville, Yellowrumped and Orange-Crowned Spotted Towhee were seen and heard several times. A few California Quail scurried off the trail. As Roland joined us from a lower trail, a Steller's Jay was heard. Resident American Robin, Pine Siskin, Chickadee, Song Sparrow, Pygmy and Redbreasted Nuthatch made themselves known. Our best bird was a Winter Wren, which Sarah was able to photograph. Will we all remember its tinkly song? Overhead were 3 Osprey cavorting, a Great Blue Heron flew by, and Violet-Green Swallow swooped over the water. Continued on Page 6 5 BIRDING WITH A BROWN BAG Continued from Page 5 Flowers were not overlooked. Twenty-five varieties were identified. Some of the best were: mitre-wort, chocolate lily, phlox, larkspur, columbine, shooting stars, calypso orchids, arrowleaf balsam root, prairie smoke and false solomon seal. Thank you everyone who contributed what they knew and had experienced, and helped us all learn a bit more. Participants: Pat Bearman, Ruthie Arbuckle, Robert and Jean Imperatrice, Roland Craft, Bill Gundlach, Sarah and Karen Read, Kris Buchler and Lynn Sheridan September 16, 2003 It was a cool breezy day as 5 of us started up Tubbs Hill: Mary Beth Sokolik from Harrison, Sarah and Karen Reed, Roland Craft and myself. With patience we saw Black-capped Chickadee, Pygmy Nuthatch and a chipmunk. Flying aloft, an Osprey called attention to itself. We noted some plants: serviceberry, wild rosehips, Oregon grape, snowberry, ocean spray, ninebark, and red false solomon seal berries. Darkening skies urged us homeward, when near the trail head, we saw, close by 2 male American Goldfinch in wintry plumage--wonderful. Ringbilled Gulls, about 15, dotted the parking lot, and a lone male Mallard hopped up to a dock. Quick farewells as the cloudburst came. Thanks everyone!! FARMER'S MARKET AUGUST 30, 2003 Janet Callen . Lynn Sheridan and I represented Coeur d' Alene Audubon at the Farmer's Market this year. All day long market shoppers stopped by our display to talk about birds and all things related. We sold a few items and again Lynn's beautiful pressed flower and feather cards were a hit. Many people signed up for a complimentary newsletter and expressed interest in our activities. The courtesy booth extended to us each year by the Farmer's Market is a great way to inform the public about our Audubon chapter. This year's event seemed a great success. RAINFOREST ALLIANCE HONORS SUSTAINABLE COFFEE LEADERS At its 13th annual gala next month, the Rainforest Alliance will be honoring seven outstanding leaders in the coffee industry, leaders who have been instrumental in guiding the sustainable coffee movement (encompassing shade-coffee, 6 organic coffee, and fair-trade coffee). As the coffee industry suffers from a deep crisis brought on by a glut in the coffee market affecting the livelihoods of thousands of coffee workers and millions of acres of coffee production worldwide, these visionary individuals and companies have been committed to making coffee production environ-mentally, socially, and econom-ically sound. Those honored will include: Green Mountain Coffee Roasters, Mary Williams of Starbucks, Hans Jöhr of Nestle, Volcafe Ltd., Balzac Brothers and Co., DR Wakefield and Co., and Thanksgiving Coffee Co. A number of farmers and cooperative leaders will also be recognized. The social and ecological benefits of sustainably managed coffee extend far beyond the farms in prosperous rural communities, cleaner rivers, increased bird and wildlife populations, reliable water supplies, sanitary systems, collaborations between farm managers, and neighboring parks, protected watersheds, and decent pay for workers. The Thanksgiving Coffee Company, producers of ABA's Song Bird Coffee will be among those recognized by the Rainforest Alliance. Paul and Joan Katzeff will be honored for Thanksgiving's outstanding leadership in promoting environmentally friendly, sustainable, economic development. From leading by example in the birdcompatible shade-coffee scene, to establishing "cupping labs" in Nicaragua that enable small farms to be more competitive in the larger marketplace, Thanksgiving has initiated creative sustainable development initiatives. For a good article on birds and shade-grown coffee see the recent February BIRDING: "Shade-grown Coffee and Northwest Migratory Birds" by Jennifer Seavey. For more details on the Rainforest Alliance event see: http://www.rainforest- alliance.org/news/gala2003/inde x.html For particulars on ABA's connection with Song Bird Coffee see: http://www.americanbirding.org/p rograms/conssbcof1.htm Editors Note: Green Mountain Coffee is available at Fred Meyer WILD BIRDS UNLIMITED (A REMINDER) Wild Birds Unlimited is donating 10% of their sales from Audubon members to our Audubon Chapter. This is a "win-win" situation. It benefits our Audubon Chapter and it encourages members to try the Wild Birds Unlimited products. If you have been in the store you know their products are all first class. There are some great gift items as well as good quality seed, feeders, birdbaths and other useful items for backyard bird watching. The Wild Birds Unlimited store is at 296 W. Sunset Ave. #22, Coeur d'Alene. When you go there be sure to identify yourself as an Audubon member so that our chapter gets credit. Thank you Irv and Helen Stephenson, owners of Wild Birds Unlimited, for your contribution to our chapter and for providing quality bird products and friendly service. OBSERVATION POST Kootenai County Big Year Additions since the September 2003 Newsletter (see February-September Newsletters or go to our Website to see bird species seen so far this year in Kootenai County - Current total 186 Cooper's Hawk 1 Mica Bay Survey Sept. 5 (KBUC, CCAM, BRET, JRET) Ferruginous Hawk 1 Rathdrum Prairie Aug. 19 (JTAG) Semipalmated Plover 1 Saw Mill Pond near Cataldo Sept; 28 (LHAR) Lesser Yellowlegs 1 Lane Marsh (CDA River drainage) Aug. 24 (LHAR, SREA) and 4 Sept. 28 Saw Mill Pond - Cataldo area (LHAR) Western Sandpiper 1+ Lane Marsh (CDA River drainage) August 24 (LHAR,SREA) Baird's Sandpiper 2 Rathdrum Prairie Sept. 23 (LHAR, RCRA) 15 Kootenai NWR and 12 Boundary Creek WMA) Aug. 31 (LHAR,SSTU) Least Sandpiper 1+ Lane Marsh (CDA River drainage) Aug. 24 (LHAR, SREA) Short -billed Dowitcher 1+ Lane Marsh (CDA River drainage) August 24 (LHAR,SREA) Saw Mill Pond near Cataldo September Wilson's Phalarope 2 Boundary Creek WMA Aug 31 (SSTU,LHAR) Red-necked Phalarope 1 Saw Mill Pond, Cataldo area Sept. 12 (LHAR) Common Tern 17 Harlow Point Rd, Harrison, 12 Anderson Lake, 32 Cave Lake Aug. 24 (LHAR,SREA) ==================================== Long-billed Dowitcher 2, 11 and 23 23 & 25 & 28 (LHAR) Other Sightings of Interest ==================================== American White Pelican 1 immature Thompson Lake Aug. 24 (LHAR,SREA), 7 4 Boundary Creek WMA Aug. 31 (SSTU,LHAR) Slough, 2 Harrison and 2 Thompson Double-crested Cormorant 14 Mission Lake Aug. 24 (LHAR,SREA) Aug. 31 (KBUC,EBUC,JRET) Merlin 1 Ball Creek Ranch Survey Semipalmated Plover 3 Kootenai NWA Greater Yellowlegs 4 Saw Mill Pond, near Cataldo Sept. 12 & 28 (LHAR); 4 Boundary Creek WMA Aug. 31 (LHAR,SSTU) Aug. 31 (LHAR, SSTU) Solitary Sandpiper 1 Lane Marsh Aug. 24 (LHAR,SREA) Wilson's Snipe 1 Lane Marsh 1 Harlow Point Road, Harrison Aug. 24 and 3 Saw Mill Pond near Cataldo Sept. 12 (LHAR) Blue Jay and Blue XSteller Jay (Hybrid) 1 of each still coming to feeder September (NMER) in Coeur d'Alene - Pine Ave. during White-breasted Nuthatch1 Mica Bay Survey Sept. 5 (KBUC,CCAM,BRET, JRET Brown Creeper 1 Mica Bay Survey Sept. 5 (KBUC,CCAM,BRET, JRET Western Tanager 6-8 Ball Creek Survey Aug. 31 (EBUC,KBUC, JRET) American Pipit 3 Burnt Cabin Summit, CDA National Forest Sept. 10 (LHAR) Observers: Ed and Kris Buchler (EBUC,KBUC), Corinne Cameron (CCAM), Roland Craft (RCRA), Lisa Hardy (LHAR), Nancy Mertz (NMER), Bob and Jean Retzler (BRET,JRET), Scott Rea (SREA), Shirley Sturts (SSTU), Joe Taggert (JTAG) Editors Note: I would like to hear from you, our readers! This is your Chapter Newsletter and you are welcome to be a part of it. Please feel free to send me articles, stories about bird or wildlife experiences you have had, poems, observations, book reviews, letters to the editor, pictures, etc. Send by email to Shirley Sturts [email protected]	7,190	beginning_of_word	nestling	remove_one_sentence	<url> http://cdaaudubon.org/Newsletter_Archive/October_2003.pdf </url> <text> ` Coeur d'Alene Chapter of the National Audubon Society October 2003 VOLUME 13 ISSUE 2 COMING EVENTS AUDUBON'S ADOPT-A-HIGHWAY PROJECT DATE: October 11, Saturday TIME: 8:00 a.m. MEET: Fairmont Loop and Highway 95 ACTIVITY: OK, let's try it again. The highway department has completed (more or less) the construction on the section of Highway 95 that our Audubon chapter has contracted to clean. Our two-mile stretch is the south (downhill) side of Mica grade, mile 421 to mile 423, ending at the turn into Mica Bay. We have agreed to tidy it up twice a year, spring and fall. At the meeting point we will review instructions over muffins and juice. Wear long pants and long sleeves. The clean up should be over in one or two hours. When the job is done, plan to bird at Mica Bay if you have time. Please contact Judy Waring at 765-5378 to sign up or for more information. BOARD MEETING DATE: October 14, Tuesday PLACE: Mountain West Bank TIME: 4:30 p.m. 125 Ironwood Dr. OCTOBER PROGRAM DATE: October 20, Monday TIME: 7:00 p.m. PLACE: First Presbyterian Church, 521 Lakeside PROGRAM: Program information was not available in time for this newsletter. Check our website for our October program or look for it in the paper. Visit our website: www.cdaaudubon.org THE BIG SIT "If you sit in one place long enough, eventually every species of bird will pass by." We are participating in the Eleventh Annual New Haven Bird Club's, "The Big Sit!"- co-sponsored by SWAROVSKI OPTIK! Sunday, October 12, 2003. This is our third year to participate in this event. See the field trip page for how to participate. The BIG SIT! is like a Big Day, or a Bird-a-thon in that the object is to tally as many bird species as can be seen or heard within 24 hours. The difference lies in the area limitation (17 foot circle) from which you'll be allowed to observe. This free event is open to all individuals & every club in every state in every country. There are 3 categories: 1) Best Overall Count (Most species seen by a single circle wins our commemorative T-shirt) 2) Best State Count (Highest combined total from circles within a state - wins state pride. 3) The Big Prize!: Swarovski Optik is offering $500 to the circle who finds the "Golden Bird". (A random drawing-we could win!) RULES: 1) Observations can be made from any area within the state/country you live, or wish to represent. 2) Observations can only be made from within a 17-foot diameter circle. 3) There's no limit to how many people can occupy the area (other than the obvious spatial limitations). Bring some chairs. Have a picnic or barbecue. Welcome passers-by and their contributions to your list. 4) If a bird is seen or heard from within the circle but is too distant to identify, the circle can be left to get a closer look for confirmation. However, any new bird seen or heard while confirming the original can't be counted unless it's seen from an "anchor" who stayed behind in your circle, or when you return to your spot. 5) The participants can work in shifts. No one person needs to be there throughout the whole Big Sit! The area can be left and returned to as frequently as desired, but you must be sure to return to the exact spot each time. 6) The same circle must be used for the entire Big Sit! 7) The Big Sit! Will begin at 12:00am midnight on October 12 and ends in 24 hours. (Unless there is a volunteer for night duty, we will do dawn to dusk) BIRD TRACKS Audubon Members make a difference BLUEBIRD TRAIL REPORT Shirley Sturts - Theresa Potts Roland Craft (Bluebird Committee) Our chapter is responsible for monitoring 3 bluebird trails: The Gertie Hanson Blue Bird Trail in the Hoo Doo Valley along Kelso Lake Road containing 50 boxes, The Mica Bay Trail containing 8 boxes, and the Mica Flats Trail containing 12 boxes. Gertie Hanson established the Hoo Doo Bluebird Trail in 1983. It was a project sponsored by the Idaho Department of Fish and Game Nongame Advisory Committee. Gertie monitored and managed the trail until her death in 1998. Since that time our chapter has continued to keep the trail in good condition and has continued to monitor nesting success. In the summer of 2000 we joined "The Birdhouse Network", a Citizen Science Project of the Cornell Laboratory of Ornithology. We check the boxes about every 10 days and record information such as bird species, date of the first egg, number of eggs, date hatched, and date fledged for each nesting attempt. This information is then reported to Cornell on their website (www.cornell.edu) In 2000 we also paired most of our boxes, putting two boxes about 10 feet apart. The idea is that Tree Swallows will use one and bluebirds will use the other. We feel this pairing has been successful to some extent. This summer 8 of our paired boxes THE FISH HAWK HERALD had swallows in one and bluebirds in the other. One pair of boxes had Western Bluebirds in one, Mountain Bluebirds in the other and after the baby Mountain Bluebirds fledged a Tree Swallow pair successfully fledged young from the same box. Another paired box set had a Western Bluebird in one box and the other remained empty. The best news is, we had more Western Bluebirds fledge this year than ever before: 15 boxes were used, 13 of 23 nest attempts were successful and 67 fledged of which 59 were banded. Six adult Western Bluebirds were also banded. Mountain Chickadee nested successfully in two of the boxes. The Tree Swallow nested in 27 boxes of which 21 were successful and 105 young swallows fledged. I didn't band the young swallows this year but I did band 5 adults. We only had one Mountain Bluebird pair. They successfully fledged 5 young. A visiting birder from Montana, with experience in bluebird trails, told us we should enlarge the holes to accommodate the slightly larger Mountain Bluebird. We plan to do this for a few of the boxes before the next nesting season. At Mica Bay, 6 Western Bluebirds were fledged out of one box and Mica Flats had 2 boxes used by Western Bluebirds with 3 nest attempts 2 successful. For some reason there was high nest failure for the Tree Swallow on Mica Flats. Of the 9 boxes used only 2 were successful. BANDING RESULTS Tree Swallow 6+ Years Old We have been banding adults and young from these three trails for several years. 2 This information is sent into the U.S. Fish and Wildlife Bird Banding Laboratory. This year we found a female Tree Swallow sitting on eggs in box 6 (Mica Flats) that was banded as an adult on June 25, 1998 in box 11 (Mica Flats). That means this bird is at least 6 years old. According to information found in The Birds of North America, "swallows show an average life span of 2.7 years and a maximum life span of 8 years. Based on band recoveries of birds banded as nestlings, mortality in first year of life is estimated at 79%, indicating that only about 20% of birds leaving the nest survive their first year. Annual survival rate thereafter ranges from 40% to 60%." This high mortality for birds in their first year is probably why I have never had a recovery from any <cursor_is_here> Another recovery this year was a female Tree Swallow in box 4 that had been banded in the same box on June 3, 2002. We found a Western Bluebird in box 26 that we had banded as an adult from this same box on July 8, 2001, making this bird at least 3 years old. The committee wishes to thank all those who have helped with building, repairing and monitoring the boxes along the bluebird trail. Special thanks goes to Roger Young for providing the wood shop, lumber, tools, and expertise in building the bird boxes and in helping put them up. Henry David Thoreau . OCTOBER FIELD TRIPS FIELD TRIP INFORMATION 1. Please register with the leader ahead of time. a. It helps the leader plan the trip. Continued on Page 4 b. You will be informed if the trip time or location is changed or if the trip is canceled. 2. Fees: (to be paid to the driver of the car) $5.00 - all day trips $3.00 - 1/2 day trips. 3. We sometimes use radios to communicate between cars. If the radios are used we are asking participants to contribute $1.00 toward batteries. MICA BAY SURVEY DATES: October 6 and 20, Monday TIME: 8:00 a.m. MEET: carpool @ Fairmont Loop and Highway 95 LEADERS: Shirley Sturts, 664-5318 - Kris Buchler, 664-4739 ACTIVITY: We spend about 3 hours twice a month counting birds in the Mica Bay area. Beginner birders are encouraged and welcome to join us. BROWN BAG BIRDING TRIP DATE: October 21, Tuesday TIME: 12:00 noon - 1:00 p.m. MEET: Fernan Lake Boat Dock, west end LEADER: Lynn Sheridan (leave messages for Lynn with Kris Buchler 664-4739) ACTIVITY: We will walk around the area of the boat dock looking for both waterfowl and songbirds. If time permits we will drive down the east end of the lake THE BIG SIT DATE/TIME: October 12, Sunday / sign up for a sit time LOCATION: Mica Bay Platform LEADER: Shirley Sturts, 664-5318 ACTIVITY: As a group effort we are counting birds at Mica Bay from dawn to dusk. Contact Shirley to sign up for a time. You can sign up for 2 hour shift or (shorter-longer time period). There is no limit to the number of people we can have at one time. We would like to spread participants out over the entire day to get as much coverage as possible. Bring a chair, binoculars, bird book, scope (if you have one), water, food and your enthusiasm. See the article on page 1 or more information. HIDDEN LAKE CRANBERRY BOG DATE: October 19, Sunday TIME: 7:00 a.m. MEET: carpool @ Fernan Ranger Station at 7:00 a.m. Or 7:25 a.m. at Rose Lake Junction (Café) LEADER: Lisa Hardy, 682-4808 or [email protected] ACTIVITY: This will be a full day canoe trip to the cranberry bog near Killarney Lake. Please call leader ahead of time so we will know how many canoes we will have, and how many canoeless trippers we can accommodate. Bring lunch and water, and buckets or bags for your cranberry harvest. SANDPOINT AND PEND OREILLE LAKE DATE: October 25, Saturday TIME: 7:30 a.m. MEET: carpool @ K-mart parking lot, behind Fast Burger LEADER: Lisa Hardy, 682-4808 or [email protected] ACTIVITY: We will look for fall birds, especially rare gulls and early winter visitors. Plan for a full day, bring lunch and water. We will stop for coffee by request 3 THE TOUGHEST BIRDING YOU'LL EVER DO Kris Buchler On a foggy pre-dawn September 20 th , five Coeur d'Alene landlubbers boarded Westport Seabirds' Monte Carlo for a day of pelagic birding. There were twenty birders in all plus the captain and first mate, as well as our "spotters", Bruce and Ryan. A trip like this would not be successful for novices without the spotters' experience in the body language and field marks of seabirds on the wing. Forget your spotting scope and high-powered binoculars. The naked eye is one of the best tools on a moving boat dipping and rolling with the ocean swells. Optics could be used but the glimpses were brief of birds soaring by us. Bruce greeted the group with "pelagic birding is the toughest birding you will ever do!" Pelagic birds are seabirds that spend their lives on the oceans except to breed on various islands. Many are found far offshore. They alight on the water to rest or feed and can be found like this in large groups. Many of the areas of the oceans are virtual deserts without birds while others are teaming with activity. It is easy to guess where the schools of fish are found as well as the fishing boats. Within an hour we had left the harbor behind with the Brown Pelicans, cormorants and usual gulls. We saw our first shearwater, a graceful Sooty with long narrow wings. Heerman's Gulls were mixed in with Western and Glaucouswinged which were far outnumbered by their hybrids which seem to populate that area of coast. Common Murres became – well, common. They were already in winter plumage. About 20 miles offshore we encountered two more shearwaters, the Pink-footed and Buller's. By mid-morning, good instruction from Bruce and Ryan enabled our CDA birders to distinguish the 3 species of shearwaters from gulls, identify the gull-like but chunky Northern Fulmar in two plumages and gasp with delight at the first encounter with a Black-footed Albatross. This bird stands out with its large size, distinguished bill, straight board-like narrow wings and effortless flight over the waves. By noon, Roland Craft, Lisa Hardy, Shirley Sturts and Ed and Kris Buchler had added other smaller seabirds to their life lists. Cassin's and Rhinocerous Auklets skittered over the water. Fork-tailed Storm Petrels fluttered by and a Sabine's gull was spotted far off but recognized by its tern-like flight and dramatic black and white wing pattern. Overhead flew Pomarine Jaeger and Blacklegged Kittiwake, easily mistaken for a gull. South Polar Skua was spotted by one of our leaders but few got great looks 4 at it. We did have terrific views of Red and Red-necked Phalaropes in winter plumage resting on the water and in flight. "Chumming" gave us a chance to observe some species up close on the water. The birds gather near the boat to snap up "chum", a mixture of suet, vegetable oil and cod liver oil. Many of these birds follow the fishing fleets to scavenge the rewards of the harvest. We learned a lot about these birds we seldom see – how shearwaters gracefully glide over the waves at a steep angle with the lowered wing "shearing" the water, - how Buller's Shearwater appears bright white underneath while Sooty is sooty with beige underwings and Pink-footed has light underwings with very dark edges and wingtips. The Northern Fulmar flaps with stiff wings then glides, exhibiting its tubenose. A day trip like this is certainly recommended if you want to challenge yourself. Prepare. It is much more fun if you aren't green around the gills or bending over the back of the boat. Many products, from tablets to patches, are available to prevent seasickness. Bonine seemed to be a favorite and does not make you sleepy. Bring layers of clothing and waterproof footwear if you want to stay up near the bow. Saltines are great to munch and the crew provides ginger snaps, a home remedy for queasiness. An added bonus to bird sightings was the whale watching. As we traveled 40 miles offshore, we had at least eight good sightings of Humpbacked whales with many near the boat. Dolphins followed us and Harbor Seals were a fixture of the harbor. Scott Rea, our summer flycatcher expert, is spending several months at Ocean Shores, Washington. Lisa arranged for us to meet Scott the following day so we could benefit from his knowledge of the area's shorebirds. Scott led us to a bayside marsh known for migrating Pectoral and Sharptailed Sandpipers. After an hour or two of scouting the area, we paused to discuss our strategy while Roland spotted the Pectorals right in front of us. They were amazingly tolerant of us and allowed us to get great looks. We had other good observations of American Golden-Plover and Pacific Golden-Plover, with flyovers by Peregrine Falcon, Merlin and Northern Harrier. Scott increased our knowledge of cormorants, helping us distinguish Double-crested, Pelagic and Brandt's while in flight. Other sightings for the weekend included Whimbrel, Marbled Godwit, common Loon, Surfbird, White-winged and Surf Scoter and Mallard. It was a great trip full of new sights and birding education. Lisa, Shirley and Roland checked out the Grays Harbor National Wildlife Refuge near Hoquiam before heading home. Ed and Kris made a stop at Nisqually Wildlife Refuge on the way west. In 45 minutes they observed Green Heron, Brown Creeper, various migrating warbler, Great Blue Heron, Great Egret, three species of woodpecker as well as numerous River Otter tracks. It looks as though one could spend more than a day exploring the trails and lands of this refuge. Morro Bay Winter Bird Festival, January 16-19, 2004 Migrate to one of the country's pre-eminent birding spots and join the Morro Coast Audubon Society (MCAS) for the 8th Annual Morro Bay Winter Bird Festival. Morro Bay -located on California's scenic Central Coast -- is an important stop on the Pacific Flyway, and is recognized worldwide for its diversity of both resident and wintering birds. Over 200 species of birds have been identified during past Festivals. The Morro Bay Winter Bird Festival is sponsored by MCAS and gives you the chance to join local and national birding experts on a variety of field trips and workshops. Field trip group sizes are limited to maximize spotting and identification opportunities. The Festival also offers workshops aimed at sharpening your birding skills, as well as evening programs with outstanding speakers. Please note that the Morro Bay State Park campground will be closed during this year's festival; however, the area offers a number of other nearby campgrounds, such as Montana de Oro State Park and Atascadero State Beach. For more information about the Festival, check out our website at www.morrobay.net/birds, where you can request that your name be added to the mailing list for our 2004 brochure, due out in October. Registration deadline is December 31, 2003 and early signups are encouraged as the most popular events fill up quickly. BIRDING WITH A BROWN BAG Lynn Sheridan May 20, 2003 Winter Wren Photographed by Wayne Tree On this sunny day, ten of us walked around Tubbs Hill from the 10 th Street entrance, to enjoy the sights and sounds of the many birds migrating through and residing there. With the help of Kris and Bill, three warblers were heard and identified: Nashville, Yellowrumped and Orange-Crowned Spotted Towhee were seen and heard several times. A few California Quail scurried off the trail. As Roland joined us from a lower trail, a Steller's Jay was heard. Resident American Robin, Pine Siskin, Chickadee, Song Sparrow, Pygmy and Redbreasted Nuthatch made themselves known. Our best bird was a Winter Wren, which Sarah was able to photograph. Will we all remember its tinkly song? Overhead were 3 Osprey cavorting, a Great Blue Heron flew by, and Violet-Green Swallow swooped over the water. Continued on Page 6 5 BIRDING WITH A BROWN BAG Continued from Page 5 Flowers were not overlooked. Twenty-five varieties were identified. Some of the best were: mitre-wort, chocolate lily, phlox, larkspur, columbine, shooting stars, calypso orchids, arrowleaf balsam root, prairie smoke and false solomon seal. Thank you everyone who contributed what they knew and had experienced, and helped us all learn a bit more. Participants: Pat Bearman, Ruthie Arbuckle, Robert and Jean Imperatrice, Roland Craft, Bill Gundlach, Sarah and Karen Read, Kris Buchler and Lynn Sheridan September 16, 2003 It was a cool breezy day as 5 of us started up Tubbs Hill: Mary Beth Sokolik from Harrison, Sarah and Karen Reed, Roland Craft and myself. With patience we saw Black-capped Chickadee, Pygmy Nuthatch and a chipmunk. Flying aloft, an Osprey called attention to itself. We noted some plants: serviceberry, wild rosehips, Oregon grape, snowberry, ocean spray, ninebark, and red false solomon seal berries. Darkening skies urged us homeward, when near the trail head, we saw, close by 2 male American Goldfinch in wintry plumage--wonderful. Ringbilled Gulls, about 15, dotted the parking lot, and a lone male Mallard hopped up to a dock. Quick farewells as the cloudburst came. Thanks everyone!! FARMER'S MARKET AUGUST 30, 2003 Janet Callen . Lynn Sheridan and I represented Coeur d' Alene Audubon at the Farmer's Market this year. All day long market shoppers stopped by our display to talk about birds and all things related. We sold a few items and again Lynn's beautiful pressed flower and feather cards were a hit. Many people signed up for a complimentary newsletter and expressed interest in our activities. The courtesy booth extended to us each year by the Farmer's Market is a great way to inform the public about our Audubon chapter. This year's event seemed a great success. RAINFOREST ALLIANCE HONORS SUSTAINABLE COFFEE LEADERS At its 13th annual gala next month, the Rainforest Alliance will be honoring seven outstanding leaders in the coffee industry, leaders who have been instrumental in guiding the sustainable coffee movement (encompassing shade-coffee, 6 organic coffee, and fair-trade coffee). As the coffee industry suffers from a deep crisis brought on by a glut in the coffee market affecting the livelihoods of thousands of coffee workers and millions of acres of coffee production worldwide, these visionary individuals and companies have been committed to making coffee production environ-mentally, socially, and econom-ically sound. Those honored will include: Green Mountain Coffee Roasters, Mary Williams of Starbucks, Hans Jöhr of Nestle, Volcafe Ltd., Balzac Brothers and Co., DR Wakefield and Co., and Thanksgiving Coffee Co. A number of farmers and cooperative leaders will also be recognized. The social and ecological benefits of sustainably managed coffee extend far beyond the farms in prosperous rural communities, cleaner rivers, increased bird and wildlife populations, reliable water supplies, sanitary systems, collaborations between farm managers, and neighboring parks, protected watersheds, and decent pay for workers. The Thanksgiving Coffee Company, producers of ABA's Song Bird Coffee will be among those recognized by the Rainforest Alliance. Paul and Joan Katzeff will be honored for Thanksgiving's outstanding leadership in promoting environmentally friendly, sustainable, economic development. From leading by example in the birdcompatible shade-coffee scene, to establishing "cupping labs" in Nicaragua that enable small farms to be more competitive in the larger marketplace, Thanksgiving has initiated creative sustainable development initiatives. For a good article on birds and shade-grown coffee see the recent February BIRDING: "Shade-grown Coffee and Northwest Migratory Birds" by Jennifer Seavey. For more details on the Rainforest Alliance event see: http://www.rainforest- alliance.org/news/gala2003/inde x.html For particulars on ABA's connection with Song Bird Coffee see: http://www.americanbirding.org/p rograms/conssbcof1.htm Editors Note: Green Mountain Coffee is available at Fred Meyer WILD BIRDS UNLIMITED (A REMINDER) Wild Birds Unlimited is donating 10% of their sales from Audubon members to our Audubon Chapter. This is a "win-win" situation. It benefits our Audubon Chapter and it encourages members to try the Wild Birds Unlimited products. If you have been in the store you know their products are all first class. There are some great gift items as well as good quality seed, feeders, birdbaths and other useful items for backyard bird watching. The Wild Birds Unlimited store is at 296 W. Sunset Ave. #22, Coeur d'Alene. When you go there be sure to identify yourself as an Audubon member so that our chapter gets credit. Thank you Irv and Helen Stephenson, owners of Wild Birds Unlimited, for your contribution to our chapter and for providing quality bird products and friendly service. OBSERVATION POST Kootenai County Big Year Additions since the September 2003 Newsletter (see February-September Newsletters or go to our Website to see bird species seen so far this year in Kootenai County - Current total 186 Cooper's Hawk 1 Mica Bay Survey Sept. 5 (KBUC, CCAM, BRET, JRET) Ferruginous Hawk 1 Rathdrum Prairie Aug. 19 (JTAG) Semipalmated Plover 1 Saw Mill Pond near Cataldo Sept; 28 (LHAR) Lesser Yellowlegs 1 Lane Marsh (CDA River drainage) Aug. 24 (LHAR, SREA) and 4 Sept. 28 Saw Mill Pond - Cataldo area (LHAR) Western Sandpiper 1+ Lane Marsh (CDA River drainage) August 24 (LHAR,SREA) Baird's Sandpiper 2 Rathdrum Prairie Sept. 23 (LHAR, RCRA) 15 Kootenai NWR and 12 Boundary Creek WMA) Aug. 31 (LHAR,SSTU) Least Sandpiper 1+ Lane Marsh (CDA River drainage) Aug. 24 (LHAR, SREA) Short -billed Dowitcher 1+ Lane Marsh (CDA River drainage) August 24 (LHAR,SREA) Saw Mill Pond near Cataldo September Wilson's Phalarope 2 Boundary Creek WMA Aug 31 (SSTU,LHAR) Red-necked Phalarope 1 Saw Mill Pond, Cataldo area Sept. 12 (LHAR) Common Tern 17 Harlow Point Rd, Harrison, 12 Anderson Lake, 32 Cave Lake Aug. 24 (LHAR,SREA) ==================================== Long-billed Dowitcher 2, 11 and 23 23 & 25 & 28 (LHAR) Other Sightings of Interest ==================================== American White Pelican 1 immature Thompson Lake Aug. 24 (LHAR,SREA), 7 4 Boundary Creek WMA Aug. 31 (SSTU,LHAR) Slough, 2 Harrison and 2 Thompson Double-crested Cormorant 14 Mission Lake Aug. 24 (LHAR,SREA) Aug. 31 (KBUC,EBUC,JRET) Merlin 1 Ball Creek Ranch Survey Semipalmated Plover 3 Kootenai NWA Greater Yellowlegs 4 Saw Mill Pond, near Cataldo Sept. 12 & 28 (LHAR); 4 Boundary Creek WMA Aug. 31 (LHAR,SSTU) Aug. 31 (LHAR, SSTU) Solitary Sandpiper 1 Lane Marsh Aug. 24 (LHAR,SREA) Wilson's Snipe 1 Lane Marsh 1 Harlow Point Road, Harrison Aug. 24 and 3 Saw Mill Pond near Cataldo Sept. 12 (LHAR) Blue Jay and Blue XSteller Jay (Hybrid) 1 of each still coming to feeder September (NMER) in Coeur d'Alene - Pine Ave. during White-breasted Nuthatch1 Mica Bay Survey Sept. 5 (KBUC,CCAM,BRET, JRET Brown Creeper 1 Mica Bay Survey Sept. 5 (KBUC,CCAM,BRET, JRET Western Tanager 6-8 Ball Creek Survey Aug. 31 (EBUC,KBUC, JRET) American Pipit 3 Burnt Cabin Summit, CDA National Forest Sept. 10 (LHAR) Observers: Ed and Kris Buchler (EBUC,KBUC), Corinne Cameron (CCAM), Roland Craft (RCRA), Lisa Hardy (LHAR), Nancy Mertz (NMER), Bob and Jean Retzler (BRET,JRET), Scott Rea (SREA), Shirley Sturts (SSTU), Joe Taggert (JTAG) Editors Note: I would like to hear from you, our readers! This is your Chapter Newsletter and you are welcome to be a part of it. Please feel free to send me articles, stories about bird or wildlife experiences you have had, poems, observations, book reviews, letters to the editor, pictures, etc. Send by email to Shirley Sturts [email protected] </text>	[ { "content": "<url>\nhttp://cdaaudubon.org/Newsletter_Archive/October_2003.pdf\n</url>\n<text>\n`\n\nCoeur d'Alene Chapter of the National Audubon Society\n\nOctober 2003 VOLUME 13 ISSUE 2\n\nCOMING EVENTS\n\nAUDUBON'S ADOPT-A-HIGHWAY\n\nPROJECT\n\nDATE: October 11, Saturday\n\nTIME: 8:00 a.m.\n\nMEET: Fairmont Loop and Highway 95 ACTIVITY: OK, let's try it again. The highway department has completed (more or less) the construction on the section of Highway 95 that our Audubon chapter has contracted to clean. Our two-mile stretch is the south (downhill) side of Mica grade, mile 421 to mile 423, ending at the turn into Mica Bay. We have agreed to tidy it up twice a year, spring and fall. At the meeting point we will review instructions over muffins and juice. Wear long pants and long sleeves. The clean up should be over in one or two hours. When the job is done, plan to bird at Mica Bay if you have time. Please contact Judy Waring at 765-5378 to sign up or for more information.\n\nBOARD MEETING\n\nDATE: October 14, Tuesday\n\nPLACE: Mountain West Bank\n\nTIME: 4:30 p.m.\n\n125 Ironwood Dr.\n\nOCTOBER PROGRAM\n\nDATE: October 20, Monday\n\nTIME: 7:00 p.m.\n\nPLACE: First Presbyterian Church,\n\n521 Lakeside\n\nPROGRAM: Program information was not available in time for this newsletter. Check our website for our October program or look for it in the paper.\n\nVisit our website: www.cdaaudubon.org\n\nTHE BIG SIT\n\n\"If you sit in one place long enough, eventually every species of bird will pass by.\"\n\nWe are participating in the Eleventh Annual New Haven Bird Club's, \"The Big Sit!\"- co-sponsored by SWAROVSKI OPTIK! Sunday, October 12, 2003. This is our third year to participate in this event. See the field trip page for how to participate.\n\nThe BIG SIT! is like a Big Day, or a Bird-a-thon in that the object is to tally as many bird species as can be seen or heard within 24 hours. The difference lies in the area limitation (17 foot circle) from which you'll be allowed to observe. This free event is open to all individuals & every club in every state in every country.\n\nThere are 3 categories:\n\n1) Best Overall Count (Most species seen by a single circle wins our commemorative T-shirt)\n2) Best State Count (Highest combined total from circles within a state - wins state pride.\n3) The Big Prize!: Swarovski Optik is offering $500 to the circle who finds the \"Golden Bird\". (A random drawing-we could win!)\n\nRULES:\n\n1) Observations can be made from any area within the state/country you live, or wish to represent.\n2) Observations can only be made from within a 17-foot diameter circle.\n3) There's no limit to how many people can occupy the area (other than the obvious spatial limitations). Bring some chairs. Have a picnic or barbecue. Welcome passers-by and their contributions to your list.\n4) If a bird is seen or heard from within the circle but is too distant to identify, the circle can be left to get a closer look for confirmation. However, any new bird seen or heard while confirming the original can't be counted unless it's seen from an \"anchor\" who stayed behind in your circle, or when you return to your spot.\n5) The participants can work in shifts. No one person needs to be there throughout the whole Big Sit! The area can be left and returned to as frequently as desired, but you must be sure to return to the exact spot each time.\n6) The same circle must be used for the entire Big Sit!\n7) The Big Sit! Will begin at 12:00am midnight on October 12 and ends in 24 hours. (Unless there is a volunteer for night duty, we will do dawn to dusk)\n\nBIRD TRACKS\n\nAudubon Members make a difference\n\nBLUEBIRD TRAIL REPORT\n\nShirley Sturts - Theresa Potts Roland Craft (Bluebird Committee)\n\nOur chapter is responsible for monitoring 3 bluebird trails: The Gertie Hanson Blue Bird Trail in the Hoo Doo Valley along Kelso Lake Road containing 50 boxes, The Mica Bay Trail containing 8 boxes, and the Mica Flats Trail containing 12 boxes.\n\nGertie Hanson established the Hoo Doo Bluebird Trail in 1983. It was a project sponsored by the Idaho Department of Fish and Game Nongame Advisory Committee. Gertie monitored and managed the trail until her death in 1998. Since that time our chapter has continued to keep the trail in good condition and has continued to monitor nesting success.\n\nIn the summer of 2000 we joined \"The Birdhouse Network\", a Citizen Science Project of the Cornell Laboratory of Ornithology. We check the boxes about every 10 days and record information such as bird species, date of the first egg, number of eggs, date hatched, and date fledged for each nesting attempt. This information is then reported to Cornell on their website (www.cornell.edu)\n\nIn 2000 we also paired most of our boxes, putting two boxes about 10 feet apart. The idea is that Tree Swallows will use one and bluebirds will use the other. We feel this pairing has been successful to some extent. This summer 8 of our paired boxes\n\nTHE FISH HAWK HERALD\n\nhad swallows in one and bluebirds in the other. One pair of boxes had Western Bluebirds in one, Mountain Bluebirds in the other and after the baby Mountain Bluebirds fledged a Tree Swallow pair successfully fledged young from the same box. Another paired box set had a Western Bluebird in one box and the other remained empty. The best news is, we had more Western Bluebirds fledge this year than ever before: 15 boxes were used, 13 of 23 nest attempts were successful and 67 fledged of which 59 were banded. Six adult Western Bluebirds were also banded. Mountain Chickadee nested successfully in two of the boxes. The Tree Swallow nested in 27 boxes of which 21 were successful and 105 young swallows fledged. I didn't band the young swallows this year but I did band 5 adults.\n\nWe only had one Mountain Bluebird pair. They successfully fledged 5 young. A visiting birder from Montana, with experience in bluebird trails, told us we should enlarge the holes to accommodate the slightly larger Mountain Bluebird. We plan to do this for a few of the boxes before the next nesting season.\n\nAt Mica Bay, 6 Western Bluebirds were fledged out of one box and Mica Flats had 2 boxes used by Western Bluebirds with 3 nest attempts 2 successful. For some reason there was high nest failure for the Tree Swallow on Mica Flats. Of the 9 boxes used only 2 were successful.\n\nBANDING RESULTS\n\nTree Swallow 6+ Years Old\n\nWe have been banding adults and young from these three trails for several years.\n\n2\n\nThis information is sent into the U.S. Fish and Wildlife Bird Banding Laboratory.\n\nThis year we found a female Tree Swallow sitting on eggs in box 6 (Mica Flats) that was banded as an adult on June 25, 1998 in box 11 (Mica Flats). That means this bird is at least 6 years old. According to information found in The Birds of North America, \"swallows show an average life span of 2.7 years and a maximum life span of 8 years. Based on band recoveries of birds banded as nestlings, mortality in first year of life is estimated at 79%, indicating that only about 20% of birds leaving the nest survive their first year. Annual survival rate thereafter ranges from 40% to 60%.\" This high mortality for birds in their first year is probably why I have never had a recovery from any <cursor_is_here>\n\nAnother recovery this year was a female Tree Swallow in box 4 that had been banded in the same box on June 3, 2002. We found a Western Bluebird in box 26 that we had banded as an adult from this same box on July 8, 2001, making this bird at least 3 years old.\n\nThe committee wishes to thank all those who have helped with building, repairing and monitoring the boxes along the bluebird trail. Special thanks goes to Roger Young for providing the wood shop, lumber, tools, and expertise in building the bird boxes and in helping put them up.\n\nHenry David Thoreau\n\n.\n\nOCTOBER FIELD TRIPS\n\nFIELD TRIP INFORMATION\n\n1. Please register with the leader ahead of time.\n\na. It helps the leader plan the trip.\n\nContinued on Page 4 b. You will be informed if the trip time or location is changed or if the trip is canceled.\n2. Fees: (to be paid to the driver of the car) $5.00 - all day trips $3.00 - 1/2 day trips.\n3. We sometimes use radios to communicate between cars. If the radios are used we are asking participants to contribute $1.00 toward batteries.\n\nMICA BAY SURVEY\n\nDATES: October 6 and 20, Monday\n\nTIME: 8:00 a.m.\n\nMEET: carpool @ Fairmont Loop and Highway 95\n\nLEADERS: Shirley Sturts, 664-5318 - Kris Buchler, 664-4739\n\nACTIVITY: We spend about 3 hours twice a month counting birds in the Mica Bay area. Beginner birders are encouraged and welcome to join us.\n\nBROWN BAG BIRDING TRIP\n\nDATE: October 21, Tuesday\n\nTIME: 12:00 noon - 1:00 p.m.\n\nMEET: Fernan Lake Boat Dock, west end\n\nLEADER: Lynn Sheridan (leave messages for Lynn with Kris Buchler 664-4739)\n\nACTIVITY: We will walk around the area of the boat dock looking for both waterfowl and songbirds.\n\nIf time permits we will drive down the east end of the lake\n\nTHE BIG SIT\n\nDATE/TIME: October 12, Sunday / sign up for a sit time\n\nLOCATION: Mica Bay Platform\n\nLEADER: Shirley Sturts, 664-5318\n\nACTIVITY: As a group effort we are counting birds at Mica Bay from dawn to dusk. Contact Shirley to sign up for a time. You can sign up for 2 hour shift or (shorter-longer time period). There is no limit to the number of people we can have at one time. We would like to spread participants out over the entire day to get as much coverage as possible.\n\nBring a chair, binoculars, bird book, scope (if you have one), water, food and your enthusiasm. See the article on page 1 or more information.\n\nHIDDEN LAKE CRANBERRY BOG\n\nDATE: October 19, Sunday\n\nTIME: 7:00 a.m.\n\nMEET: carpool @ Fernan Ranger Station at 7:00 a.m. Or 7:25 a.m. at Rose Lake Junction (Café)\n\nLEADER: Lisa Hardy, 682-4808 or [email protected]\n\nACTIVITY: This will be a full day canoe trip to the cranberry bog near Killarney Lake. Please call leader ahead of time so we will know how many canoes we will have, and how many canoeless trippers we can accommodate. Bring lunch and water, and buckets or bags for your cranberry harvest.\n\nSANDPOINT AND PEND OREILLE LAKE\n\nDATE: October 25, Saturday\n\nTIME: 7:30 a.m.\n\nMEET: carpool @ K-mart parking lot, behind Fast Burger\n\nLEADER: Lisa Hardy, 682-4808 or [email protected]\n\nACTIVITY: We will look for fall birds, especially rare gulls and early winter visitors. Plan for a full\n\nday, bring lunch and water. We will stop for coffee by request \n\n3\n\nTHE TOUGHEST BIRDING YOU'LL EVER DO\n\nKris Buchler\n\nOn a foggy pre-dawn September 20 th , five Coeur d'Alene landlubbers boarded Westport Seabirds' Monte Carlo for a day of pelagic birding. There were twenty birders in all plus the captain and first mate, as well as our \"spotters\", Bruce and Ryan. A trip like this would not be successful for novices without the spotters' experience in the body language and field marks of seabirds on the wing. Forget your spotting scope and high-powered binoculars. The naked eye is one of the best tools on a moving boat dipping and rolling with the ocean swells. Optics could be used but the glimpses were brief of birds soaring by us. Bruce greeted the group with \"pelagic birding is the toughest birding you will ever do!\"\n\nPelagic birds are seabirds that spend their lives on the oceans except to breed on various islands. Many are found far offshore. They alight on the water to rest or feed and can be found like this in large groups.\n\nMany of the areas of the oceans are virtual deserts without birds while others are teaming with activity. It is easy to guess where the schools of fish are found as well as the fishing boats.\n\nWithin an hour we had left the harbor behind with the Brown Pelicans, cormorants and usual gulls. We saw our first shearwater, a graceful Sooty with long narrow wings. Heerman's Gulls were mixed in with Western and Glaucouswinged which were far outnumbered by their hybrids which seem to populate that area of coast. Common Murres became – well, common. They were already in winter plumage.\n\nAbout 20 miles offshore we encountered two more shearwaters, the Pink-footed and Buller's. By mid-morning, good instruction from Bruce and Ryan enabled our CDA birders to distinguish the 3 species of shearwaters from gulls, identify the gull-like but chunky Northern Fulmar in two plumages and gasp with delight at the first encounter with a Black-footed Albatross. This bird stands out with its large size, distinguished bill, straight board-like narrow wings and effortless flight over the waves.\n\nBy noon, Roland Craft, Lisa Hardy, Shirley Sturts and Ed and Kris Buchler had added other smaller seabirds to their life lists. Cassin's and Rhinocerous Auklets skittered over the water. Fork-tailed Storm Petrels fluttered by and a Sabine's gull was spotted far off but recognized by its tern-like flight and dramatic black and white wing pattern. Overhead flew Pomarine Jaeger and Blacklegged Kittiwake, easily mistaken for a gull. South Polar Skua was spotted by one of our leaders but few got great looks\n\n4\n\nat it. We did have terrific views of Red and Red-necked Phalaropes in winter plumage resting on the water and in flight.\n\n\"Chumming\" gave us a chance to observe some species up close on the water. The birds gather near the boat to snap up \"chum\", a mixture of suet, vegetable oil and cod liver oil. Many of these birds follow the fishing fleets to scavenge the rewards of the harvest.\n\nWe learned a lot about these birds we seldom see – how shearwaters gracefully glide over the waves at a steep angle with the lowered wing \"shearing\" the water, - how Buller's Shearwater appears bright white underneath while Sooty is sooty with beige underwings and Pink-footed has light underwings with very dark edges and wingtips. The Northern Fulmar flaps with stiff wings then glides, exhibiting its tubenose.\n\nA day trip like this is certainly recommended if you want to challenge yourself. Prepare. It is much more fun if you aren't green around the gills or bending over the back of the boat. Many products, from tablets to patches, are available to prevent seasickness. Bonine seemed to be a favorite and does not make you sleepy. Bring layers of clothing and waterproof footwear if you want to stay up near the bow. Saltines are great to munch and the crew provides ginger snaps, a home remedy for queasiness.\n\nAn added bonus to bird sightings was the whale watching. As we traveled 40 miles offshore, we had at least eight good sightings of Humpbacked whales with many near the boat. Dolphins followed us and Harbor Seals were a fixture of the harbor.\n\nScott Rea, our summer flycatcher expert, is spending several months at Ocean Shores, Washington. Lisa arranged for us to meet Scott the following day so we could benefit from his knowledge of the area's shorebirds. Scott led us to a bayside marsh known for migrating Pectoral and Sharptailed Sandpipers. After an hour or two of scouting the area, we paused to discuss our strategy while Roland spotted the Pectorals right in front of us. They were amazingly tolerant of us and allowed us to get great looks. We had other good observations of American Golden-Plover and Pacific Golden-Plover, with flyovers by Peregrine Falcon, Merlin and Northern Harrier. Scott increased our knowledge of cormorants, helping us distinguish Double-crested, Pelagic and Brandt's while in flight. Other sightings for the weekend included Whimbrel, Marbled Godwit, common Loon, Surfbird, White-winged and Surf Scoter and Mallard.\n\nIt was a great trip full of new sights and birding education. Lisa, Shirley and Roland checked out the Grays Harbor National Wildlife Refuge near Hoquiam before heading home. Ed and Kris made a stop at Nisqually Wildlife Refuge on the way west. In 45 minutes they observed Green Heron, Brown Creeper, various migrating warbler, Great Blue Heron, Great Egret, three species of woodpecker as well as numerous River Otter tracks. It looks as though one could spend more than a day exploring the trails and lands of this refuge.\n\nMorro Bay Winter Bird Festival,\n\nJanuary 16-19, 2004\n\nMigrate to one of the country's pre-eminent birding spots and join the Morro Coast Audubon Society (MCAS) for the 8th Annual Morro Bay Winter Bird Festival. Morro Bay -located on California's scenic Central Coast -- is an important stop on the Pacific Flyway, and is recognized worldwide for its diversity of both resident and wintering birds. Over 200 species of birds have been identified during past Festivals.\n\nThe Morro Bay Winter Bird Festival is sponsored by MCAS and gives you the chance to join local and national birding experts on a variety of field trips and workshops. Field trip group sizes are limited to maximize spotting and identification opportunities. The Festival also offers workshops aimed at sharpening your birding skills, as well as evening programs with outstanding speakers.\n\nPlease note that the Morro Bay State Park campground will be closed during this year's festival; however, the area offers a number of other nearby campgrounds, such as Montana de Oro State Park and Atascadero State Beach.\n\nFor more information about the Festival, check out our website at www.morrobay.net/birds, where you can request that your name be added to the mailing list for our 2004 brochure, due out in October. Registration deadline is December 31, 2003 and early signups are encouraged as the most popular events fill up quickly.\n\nBIRDING WITH A BROWN BAG\n\nLynn Sheridan\n\nMay 20, 2003\n\nWinter Wren Photographed by Wayne Tree\n\nOn this sunny day, ten of us walked around Tubbs Hill from the 10 th Street entrance, to enjoy the sights and sounds of the many birds migrating through and residing there.\n\nWith the help of Kris and Bill, three warblers were heard and identified: Nashville, Yellowrumped and Orange-Crowned Spotted Towhee were seen and heard several times. A few California Quail scurried off the trail.\n\nAs Roland joined us from a lower trail, a Steller's Jay was heard. Resident American Robin, Pine Siskin, Chickadee, Song Sparrow, Pygmy and Redbreasted Nuthatch made themselves known.\n\nOur best bird was a Winter Wren, which Sarah was able to photograph. Will we all remember its tinkly song?\n\nOverhead were 3 Osprey cavorting, a Great Blue Heron flew by, and Violet-Green Swallow swooped over the water.\n\nContinued on Page 6\n\n5\n\nBIRDING WITH A BROWN BAG\n\nContinued from Page 5\n\nFlowers were not overlooked. Twenty-five varieties were identified. Some of the best were: mitre-wort, chocolate lily, phlox, larkspur, columbine, shooting stars, calypso orchids, arrowleaf balsam root, prairie smoke and false solomon seal.\n\nThank you everyone who contributed what they knew and had experienced, and helped us all learn a bit more.\n\nParticipants: Pat Bearman, Ruthie Arbuckle, Robert and Jean Imperatrice, Roland Craft, Bill Gundlach, Sarah and Karen Read, Kris Buchler and Lynn Sheridan\n\nSeptember 16, 2003\n\nIt was a cool breezy day as 5 of us started up Tubbs Hill: Mary Beth Sokolik from Harrison, Sarah and Karen Reed, Roland Craft and myself. With patience we saw Black-capped Chickadee, Pygmy Nuthatch and a chipmunk. Flying aloft, an Osprey called attention to itself.\n\nWe noted some plants: serviceberry, wild rosehips, Oregon grape, snowberry, ocean spray, ninebark, and red false solomon seal berries.\n\nDarkening skies urged us homeward, when near the trail head, we saw, close by 2 male American Goldfinch in wintry plumage--wonderful. Ringbilled Gulls, about 15, dotted the parking lot, and a lone male Mallard hopped up to a dock. Quick farewells as the cloudburst came.\n\nThanks everyone!!\n\nFARMER'S MARKET\n\nAUGUST 30, 2003\n\nJanet Callen\n\n. Lynn Sheridan and I represented Coeur d' Alene Audubon at the Farmer's Market this year. All day long market shoppers stopped by our display to talk about birds and all things related. We sold a few items and again Lynn's beautiful pressed flower and feather cards were a hit.\n\nMany people signed up for a complimentary newsletter and expressed interest in our activities. The courtesy booth extended to us each year by the Farmer's Market is a great way to inform the public about our Audubon chapter. This year's event seemed a great success.\n\nRAINFOREST ALLIANCE\n\nHONORS SUSTAINABLE COFFEE LEADERS\n\nAt its 13th annual gala next month, the Rainforest Alliance will be honoring seven outstanding leaders in the coffee industry, leaders who have been instrumental in guiding the sustainable coffee movement (encompassing shade-coffee,\n\n6\n\norganic coffee, and fair-trade coffee). As the coffee industry suffers from a deep crisis brought on by a glut in the coffee market affecting the livelihoods of thousands of coffee workers and millions of acres of coffee production worldwide, these visionary individuals and companies have been committed to making coffee production environ-mentally, socially, and econom-ically sound.\n\nThose honored will include: Green Mountain Coffee Roasters, Mary Williams of Starbucks, Hans Jöhr of Nestle, Volcafe Ltd., Balzac Brothers and Co., DR Wakefield and Co., and Thanksgiving Coffee Co. A number of farmers and cooperative leaders will also be recognized.\n\nThe social and ecological benefits of sustainably managed coffee extend far beyond the farms in prosperous rural communities, cleaner rivers, increased bird and wildlife populations, reliable water supplies, sanitary systems, collaborations between farm managers, and neighboring parks, protected watersheds, and decent pay for workers.\n\nThe Thanksgiving Coffee Company, producers of ABA's Song Bird Coffee will be among those recognized by the Rainforest Alliance. Paul and Joan Katzeff will be honored for Thanksgiving's outstanding leadership in promoting environmentally friendly, sustainable, economic development. From leading by example in the birdcompatible shade-coffee scene, to establishing \"cupping labs\" in Nicaragua that enable small farms to be more competitive in the larger marketplace, Thanksgiving has initiated creative sustainable development initiatives.\n\nFor a good article on birds and shade-grown coffee see the recent February BIRDING: \"Shade-grown Coffee and Northwest Migratory Birds\" by Jennifer Seavey.\n\nFor more details on the Rainforest Alliance event see:\n\nhttp://www.rainforest- alliance.org/news/gala2003/inde x.html\n\nFor particulars on ABA's connection with Song Bird Coffee see:\n\nhttp://www.americanbirding.org/p rograms/conssbcof1.htm\n\nEditors Note: Green Mountain Coffee is available at Fred Meyer\n\nWILD BIRDS UNLIMITED\n\n(A REMINDER)\n\nWild Birds Unlimited is donating 10% of their sales from Audubon members to our Audubon Chapter. This is a \"win-win\" situation. It benefits our Audubon Chapter and it encourages members to try the Wild Birds Unlimited products.\n\nIf you have been in the store you know their products are all first class. There are some great gift items as well as good quality seed, feeders, birdbaths and other useful items for backyard bird watching.\n\nThe Wild Birds Unlimited store is at 296 W. Sunset Ave. #22, Coeur d'Alene. When you go there be sure to identify yourself as an Audubon member so that our chapter gets credit.\n\nThank you Irv and Helen Stephenson, owners of Wild Birds Unlimited, for your contribution to our chapter and for providing quality bird products and friendly service.\n\nOBSERVATION POST\n\nKootenai County Big Year Additions since the September 2003 Newsletter (see\n\nFebruary-September Newsletters or go to our Website to see bird species seen so far this year in Kootenai County - Current total 186\n\nCooper's Hawk 1 Mica Bay Survey Sept. 5 (KBUC, CCAM, BRET, JRET) Ferruginous Hawk 1 Rathdrum Prairie Aug. 19 (JTAG) Semipalmated Plover 1 Saw Mill Pond near Cataldo Sept; 28 (LHAR) Lesser Yellowlegs 1 Lane Marsh (CDA River drainage) Aug. 24 (LHAR, SREA) and 4 Sept. 28 Saw Mill Pond - Cataldo area (LHAR)\n\nWestern Sandpiper 1+ Lane Marsh (CDA River drainage) August 24 (LHAR,SREA)\n\nBaird's Sandpiper 2 Rathdrum Prairie Sept. 23 (LHAR, RCRA) 15 Kootenai NWR and 12 Boundary Creek WMA) Aug. 31 (LHAR,SSTU)\n\nLeast Sandpiper 1+ Lane Marsh (CDA River drainage) Aug. 24 (LHAR, SREA) Short -billed Dowitcher 1+ Lane Marsh (CDA River drainage) August 24 (LHAR,SREA)\n\nSaw Mill Pond near Cataldo September Wilson's Phalarope 2 Boundary Creek WMA Aug 31 (SSTU,LHAR) Red-necked Phalarope 1 Saw Mill Pond, Cataldo area Sept. 12 (LHAR) Common Tern 17 Harlow Point Rd, Harrison, 12 Anderson Lake, 32 Cave Lake Aug. 24 (LHAR,SREA) ====================================\n\nLong-billed Dowitcher 2, 11 and 23 23 & 25 & 28 (LHAR)\n\nOther Sightings of Interest\n\n====================================\n\nAmerican White Pelican 1 immature Thompson Lake Aug. 24 (LHAR,SREA),\n\n7\n\n4 Boundary Creek WMA Aug. 31 (SSTU,LHAR)\n\nSlough, 2 Harrison and 2 Thompson\n\nDouble-crested Cormorant\n\n14 Mission\n\nLake Aug. 24 (LHAR,SREA)\n\nAug. 31 (KBUC,EBUC,JRET)\n\nMerlin\n\n1 Ball Creek Ranch Survey\n\nSemipalmated Plover\n\n3 Kootenai NWA\n\nGreater Yellowlegs 4 Saw Mill Pond, near Cataldo Sept. 12 & 28 (LHAR); 4 Boundary Creek WMA Aug. 31 (LHAR,SSTU)\n\nAug. 31 (LHAR, SSTU)\n\nSolitary Sandpiper\n\n1 Lane Marsh Aug.\n\n24 (LHAR,SREA)\n\nWilson's Snipe 1 Lane Marsh 1 Harlow Point Road, Harrison Aug. 24 and 3 Saw Mill Pond near Cataldo Sept. 12 (LHAR)\n\nBlue Jay and Blue XSteller Jay\n\n(Hybrid) 1 of each still coming to feeder\n\nSeptember (NMER)\n\nin Coeur d'Alene - Pine Ave. during\n\nWhite-breasted Nuthatch1 Mica Bay Survey Sept. 5 (KBUC,CCAM,BRET, JRET\n\nBrown Creeper 1 Mica Bay Survey Sept. 5 (KBUC,CCAM,BRET, JRET Western Tanager 6-8 Ball Creek Survey Aug. 31 (EBUC,KBUC, JRET) American Pipit 3 Burnt Cabin Summit, CDA National Forest Sept. 10 (LHAR)\n\nObservers: Ed and Kris Buchler (EBUC,KBUC), Corinne Cameron (CCAM), Roland Craft (RCRA), Lisa Hardy (LHAR), Nancy Mertz (NMER), Bob and Jean Retzler (BRET,JRET), Scott Rea (SREA), Shirley Sturts (SSTU), Joe Taggert (JTAG)\n\nEditors Note:\n\nI would like to hear from you, our readers! This is your Chapter Newsletter and you are welcome to be a part of it. Please feel free to send me articles, stories about bird or wildlife experiences you have had, poems, observations, book reviews, letters to the editor, pictures, etc. Send by email to Shirley Sturts [email protected]\n</text>\n", "role": "user" }, { "content": "nestling I have banded.", "role": "assistant" } ]
The importance of legislative drafters to legislative scrutiny by parliamentary committees – Challenges presented by recent developments in the (Australian) Commonwealth jurisdiction Stephen Argument Potted history of legislative scrutiny in Australia Long history of legislative scrutiny in As Peter Bernhardt's paper notes, Senate Standing Committee on Regulations and Ordinances established in 1932 Australia Terms of reference of Regulations and Ordinances Committee Regulations and Ordinances Committee examines each regulation, etc to ensure: (a) that it is in accordance with the statute; (b) that it does not trespass unduly on personal rights and liberties; (c) that it does not unduly make the rights and liberties of citizens dependent upon administrative decisions which are not subject to review of their merits by a judicial or other independent tribunal; and (d) that it does not contain matter more appropriate for parliamentary enactment Other Australian jurisdictions established similar committees * South Australia – 1938 * Victoria – 1956 Tasmania – 1969 New South Wales – 1960 * Northern Territory – 1974 * Western Australia – 1976 * Queensland – 1975 * Australian Capital Territory – 1989 Scrutiny of Bills * Senate Standing Committee for the Scrutiny of Bills established in 1981 * Similar role to Regulations and Ordinances Committee – using similar terms of reference – but in relation to Bills Scrutiny of Bills committees established in other jurisdictions Queensland situation changed in 2011, however * Role of Scrutiny of Legislation Committee replaced in 2011, as part of reforms to the Queensland Parliament's committee system, by scrutiny by subject-matter committees (ie rather than a specialist legislative scrutiny committee) (Commonwealth) Parliamentary Joint Committee on Human Rights * Established by Human Rights (Parliamentary Scrutiny) Act 2011 * Committee examines Bills for Acts, and legislative instruments, that come before either House of the Parliament for compatibility with human rights and reports to both Houses of the Parliament Parliamentary Joint Committee on Human Rights (cont'd) * Committee also examines Bills for Acts, and legislative instruments, that come before either House of the Parliament for compatibility with human rights and reports to both Houses of the Parliament * Committee also inquires into any matter relating to human rights that is referred to it by the Attorney-General and reports to both Houses of the Parliament Unseen influence of legislative scrutiny committees in Australia * Over a long history, legislative scrutiny committees have had a direct influence on the content of legislation in various Australian jurisdictions * Also have unseen influence, including through their influence on legislative drafters Statements from the 1990s * (Then) First Parliamentary Counsel, Ian Turnbull QC (in 1991) and (then) Victorian Chief Parliamentary Counsel, Rowena Armstrong QC (in 1993) have said …. * "We draft with the scrutiny committees in mind" * But is this still the case? Walter Munyard, Parliamentary Counsel for Western Australia (2011) Clearly drafters wishing to dissuade instructors from requiring them to write law that offends against legal principle will often resort to the threat of unfavourable comment when the legislation comes before parliament. Queensland Parliamentary Counsel, Theresa Johnson (2011) The information and approach of the committee then informs our advice to drafting clients throughout the drafting process and our briefing notes to the Department of the Premier and Cabinet in relation to Cabinet Submissions. At all times, drafters strive to avoid or ameliorate potential breaches of fundamental legislative principles. Commonwealth First Parliamentary Counsel, Peter Quiggin PSM (2011) * A practical point ... ... there are 19 references to the Senate Scrutiny of Bills Committee in our Drafting Directions and most of these are alerting drafters to issues that the Committee is likely to raise. Peter Quiggin We also get copies of the Alert Digests and the Reports loaded on to our internal network so that drafters have access to them. When they arrive in the office, one of our staff sends an email that lists the Bills that have been commented upon. Peter Quiggin also says .... I think that it is hard to untangle the policy of the Government and the approach of the Scrutiny of Bills Committee on many issues. By this I mean that the policies of the Government on review of decisions, protections where powers are granted and other issues (mainly administered by [the Attorney-General's Department]) often mirror those of the Committee. Peter Quiggin also says ... Consequently, when we draft with "one eye to the relevant committee", we also are drafting with one eye to the relevant Department responsible for the whole of Government policy. This point is echoed by Victoria's Chief Parliamentary Counsel, Gemma Varley (among others) This does not mean that provisions that impact adversely on rights and freedoms will never be drafted. It means that if a provision is to have an adverse impact it should be the result of informed policymaking, taking into account the Charter and the concerns that [the Victorian Committee] is likely to raise. (2011) However, drafters ultimately do what they are told * But they will, at least, warn you of the possible consequences * In my view, the role of drafters as a kind-of filter for legislative "nasties" cannot (and should not) be underestimated * Reference in the paper to an indication that the Federal Court also doesn't underestimate the role of drafters A new threat to the role of drafters, in the Commonwealth jurisdiction in Australia * First, some background * In 1904, a definition of "prescribed" was introduced into the Acts Interpretation Act 1901 * After that, Australian legislation operated on the basis that Acts allowed for certain things to be "prescribed" by regulations made under the Act "Prescribed" * Though the definition of "prescribed" is "prescribed by the Act or by regulations under the Act", I've always read "prescribed" as meaning "prescribed by the regulations" * That is, the use of "prescribed" means that there will be regulations made, to give effect to the relevant legislative provision Regulations made by the Governor-General * Governor-General Acts with the advice of the Executive Council (ExCo) * ExCo supported by a Secretariat * Regulations drafted by the Office of Parliamentary Counsel (OPC) * Important to note that regulations drafted at no cost to relevant Government department Australian Jobs (Australian Industry Participation) Rule 2014 * Early in 2014, the Minister for Industry made the Australian Jobs (Australian Industry Participation) Rule 2014 * Rule made under section 128 of the Australian Jobs Act 2013 which provides ... Section 128 of the Australian Jobs Act 128 Legislative rules The Minister may, by legislative instrument, make rules (legislative rules) prescribing matters: (a) required or permitted by this Act to be prescribed by the legislative rules; or (b) necessary or convenient to be prescribed for carrying out or giving effect to this Act. No regulation-making power in the Australian Jobs Act * As a result, whatever was to be "prescribed" for the Act would be prescribed by the legislative rules, rather than by regulation * Important to note that the explanatory memorandum for the relevant Bill contained no substantive discussion of the new provision, or the thinking behind it Issue raised with Minister by the Senate Standing Committee on Regulations and Ordinances * Senate Committee noted that this was a "novel" approach * Noted that the making of regulations is subject to the drafting and approval requirements of OPC and ExCo * Senate Committee suggested that this was "an additional layer of scrutiny" Senate Committee's questions * Would the OPC and ExCo requirements also apply to legislative rules? * If not, what would be the ramifications for both the quality of, and level of scrutiny applied to, such instruments.? An exchange of letters followed * Minister for Industry provided various responses to the Senate Committee's concerns * Responses attached letters from the First Parliamentary Counsel, addressing issues raised by the Senate Committee * Responses prompted further questions from the Senate Committee Exchange of letters discussed in my paper * I won't go through all of them here * But I note the following … Why are you asking these questions? * Minister's second response contained the following … I am concerned that the Rule, which serves an essential function has become the vehicle by which the Committee is exploring OPC's drafting practice of including a rule-making power in primary legislation as opposed to the more traditional regulation-making power. Minister went on … In particular, I note that the Committee has taken the step of having moved a notice of motion to disallow the Rule, notwithstanding the Committee's queries do not relate to the substance of the Rule itself, but rather to the underlying power authorising the making of the instrument. Senate Committee's response to this …. … the committee notes that the question of whether the Parliament regards the new general rule-making power as appropriate to the exercise of the Parliament's delegated legislative powers goes fundamentally to the committee's institutional role and the principles which inform its operation. Senate Committee's response (cont'd) The delegation of the Parliament's legislative power to executive government involves a 'considerable violation of the principle of separation of powers, the principle that laws should be made by the elected representatives of the people in Parliament and not by the executive government'. Senate Committee's response (cont'd) This principle is effectively preserved through the committee's work scrutinising delegated legislation, and the power of the Parliament to disallow delegated legislation. In accordance with this critical role, the committee's scrutiny principles are 'interpreted broadly to include every possible deficiency in delegated legislation affecting parliamentary propriety and personal rights'. What was behind the new approach? * OPC (in its first response) advised … OPC does not have the resources to draft all Commonwealth subordinate legislation, nor is it appropriate to do so. …. … OPC's view is that it should use its limited resources to best effect and focus its resources in drafting subordinate legislation that would most benefit from its drafting expertise. What is the effect of this? Over a series of responses, OPC advised that: * certain provisions (offence provisions, search and seizure provisions, etc) would only appear in regulations; * within its resource limitations, OPC would be available to draft other-than-regulations, for a fee; and * OPC would be taking steps to improve nonOPC drafting Section 16 of the Legislative Instruments Act 2003 * The taking of steps to improve the quality of drafting involves section 16 of the Legislative Instruments Act 2003 …. (1) To encourage high standards in the drafting of legislative instruments, the First Parliamentary Counsel must cause steps to be taken to promote the legal effectiveness, clarity, and intelligibility to anticipated users, of legislative instruments. Section 16 (cont'd) (2) The steps referred to in subsection (1) may include, but are not limited to: (a) undertaking or supervising the drafting of legislative instruments; and (b) scrutinising preliminary drafts of legislative instruments; and (c) providing advice concerning the drafting of legislative instruments; and Subsection 16(2) (cont'd) (d) providing training in drafting and matters related to drafting to officers and employees of Departments or other agencies; and (e) arranging the temporary secondment to Departments or other agencies of APS employees performing duties in the Office of Parliamentary Counsel; and Subsection 16(2) (cont'd) (f) providing drafting precedents to officers and employees of Departments or other agencies. It would be good to see these things actually happen * I worked in OPC (and its predecessor) for over 6 years and saw no evidence of anyone doing any of the things listed in subsection these things 16(2) of the Legislative Instruments Act • But OPC says that they will start doing * No detail yet, however Letter from OPC published after my paper was submitted * In letter to the Senate Committee dated 6 August 2014, OPC refers to a "broad range of measures [that OPC has taken] to promote high drafting standards for all legislative instruments", "other strategies to promote high drafting standards that OPC is already pursuing" and "the other measures that OPC is already pursuing" But no detail is provided in the letter as to the actual strategies * See http://www.aph.gov.au/~/media/Committee s/Senate/committee/regord_ctte/mon2014/p df/no10.pdf * Senate committee met with OPC on 2 September 2014 * However, what came out of the meeting not yet published Other issues * The OPC letters contain all sorts of things that are curious to me * There's the proposition that the introduction of the "legislative rules" mechanism will result in OPC drafting more instruments, rather than less * I can't see how this will happen Proportion of legislative instruments drafted by OPC * I did some rough calculations for a paper I presented in November 2013 * Calculations were based on figures provided to me by OPC 2011 * In 2011, 1,471 legislative instruments were registered on the Federal Register of Legislative Instruments (FRLI) * Of those legislative instruments, 286 were "Select Legislative Instruments" or SLIs • Regulations are SLIs 2011 (cont'd) * In simple terms, it can safely be assumed that most SLIs were drafted by OPC * This being so, for 2011, just over 19% of legislative instruments registered on FRLI were drafted by OPC 2012 * For 2012, 2,591 legislative instruments were registered on FRLI * 331 were SLIs * That means that, for 2012, just under 13% of legislative instruments registered on FRLI were drafted by OPC 2013 * As of November 2013, 1,832 legislative instruments were registered on FRLI * 235 were SLIs * That means that, to that point, for 2013, just under 13% of legislative instruments registered on FRLI were drafted by OPC 2014 * I can be more confident about the 2014 figures, because I have been keeping a count * I have scrutinised 1,161 instruments in 2014, in my role as Legal Adviser to the Senate Committee. Of that number, 186 have been drafted by OPC * That's just over 16% of the total 16% is clearly better than 13% * But I'm still a little shocked that the figure is so low What's the problem with that? * Non-OPC drafting is, at best, variable * In the paper, I give one of the worst examples – an instrument that (in my view) simply does not work (Designated Persons and Entities and Declared Persons – Zimbabwe) Amendment List 2014 * Made by the Minister for Foreign Affairs on 8 April 2014 * Amends the Autonomous Sanctions (Designated Persons and Entities and Declared Persons - Zimbabwe) List 2012 Section 3 of Amendment instrument 3 Amendment of the Autonomous Sanctions (Designated Persons and Entities and Declared Persons – Zimbabwe) List 2012 Schedule 1 amends the Autonomous Sanctions (Designated Persons and Entities and Declared Persons – Zimbabwe) List 2012. Schedule 1 of the Amendment instrument Schedule 1 Designated persons and entities and declared persons (section 3) Part 1 Designated and declared persons Item Description 1 Name of Individual: Augustine CHIHURI Additional Information: Police Commissioner-General Date of Birth: 10/03/1953 Listing Information: Formerly listed on the RBA Consolidated as 2002ZIM0015 2 Name of Individual: Constantine CHIWENGA Additional Information: Lt Gen, Commander Zimbabwe Defence Forces Date of Birth: 25/08/1956 Listing Information: Formerly listed on the RBA Consolidated as 2002ZIM0025 …………… Schedule 1 then goes on for another page or so * Issue (for me) is that there are no "amendment instructions" * Section 3 tells us that Schedule 1 amends the principal instrument but Schedule 1 does not tell us how * It's clearly intended to replace the existing Schedule 1 but it doesn't say that Senate Committee raised this issue with the Minister for Foreign Affairs * Minister said … the Instrument … was drafted in accordance with standard drafting practice for these types of instruments under the Autonomous Sanctions Regulations 2011. Minister went on to say …. On the basis of recent advice from the Office of Parliamentary Counsel and the comments of the Committee in the [Delegated Legislation] Monitor, DFAT has updated its drafting practices to ensure that future instruments include an express amendment instruction to indicate how the Principal Instrument will be amended. However …. * Senate Committee first raised this issue, in relation to a similar instrument, on 27 June 2013 * The (then) Minister for Foreign Affairs advised the Senate Committee that future amending instruments would address this issue * Despite this, there have been at least 2 or 3 instances of this issue since the original comment So, it's a slow, learning process * And most Australian lawyers seem to think that they can draft * Or, perhaps, just the ones that I come across * Seems to be underpinned by a belief that all a drafter of legislation needs to do is take an existing OPC document and change a few of the words to suit the particular case I see this all the time * I see instruments that are clearly based on an OPC document but drafted without an understanding of the OPC template, or the OPC style, or the OPC format, or specific issues such as the correct OPC amending words * Also presumably drafted without an understanding of changes to drafting style, reflected in updating of drafting directions These are things that legislative drafters bring to their work * Many instructors simply have no appreciation of this * Likewise, legislative drafters bring to their work an appreciation of the work of legislative scrutiny committees * Drafters know what committees don't like And then there's the role of settlers and editors * Non-OPC drafting unlikely to be subject to the same sorts of rigorous processes of settling and editing as OPC drafting * I've worked with some very good settlers and some very good editors * I'm a better drafter for this So ….. * If less instruments are drafted by OPC then, surely, there can only be more problems with drafting and more issues that will attract the attention of legislative scrutiny committees * I'm yet to see any evidence to the contrary * And who knows what the judges will make of all this? Section 16 of the Legislative Instruments Act becomes even more important * It is important (in my view) that OPC does all that it can to fulfil its obligations under section 16 of the Legislative Instruments Act Lessons from all this? * The importance of legislative drafters to the legislative process (including the legislative scrutiny process) * Discussion of "legislative rules" issue demonstrates (I hope) both a challenge to the important role of legislative drafters and the importance of the engagement of a legislative scrutiny committee in the issue Thank you!!	<urn:uuid:a9084f08-73a6-4252-880e-249a6635775b>	CC-MAIN-2024-42	https://ciaj-icaj.ca/wp-content/uploads/documents/import/LD/LD2014/LD202.pdf?id=502&1726682762	2024-10-08T19:11:16+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-42/subset=warc/part-00104-0c083cf2-c0ed-42ad-af5c-44f7548e96a0.c000.gz.parquet	142,844,322	4,037	eng_Latn	eng_Latn	0.959975	eng_Latn	0.99638	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown" ]	false	rolmOCR	[ 199, 418, 964, 1231, 1442, 1507, 1787, 2109, 2526, 2832, 3099, 3389, 3786, 4066, 4326, 4717, 4926, 5339, 5695, 6050, 6371, 6679, 6938, 7277, 7622, 7957, 8179, 8480, 8591, 8949, 9255, 9588, 9917, 10347, 10727, 11078, 11503, 11828, 12139, 12262, 12570, 12952, 13233, 13500, 13687, 13918, 14121, 14320, 14545, 14821, 14913, 15090, 15347, 15628, 16243, 16543, 16792, 17139, 17477, 17800, 18167, 18446, 18722, 19016, 19231, 19582, 19595 ]	The importance of legislative drafters to legislative scrutiny by parliamentary committees – Challenges presented by recent developments in the (Australian) Commonwealth jurisdiction Stephen Argument Potted history of legislative scrutiny in Australia Long history of legislative scrutiny in As Peter Bernhardt's paper notes	, Senate Standing Committee on Regulations and Ordinances established in 1932 Australia Terms of reference of Regulations and Ordinances Committee Regulations and Ordinances Committee examines each regulation, etc to ensure: (a) that it is in accordance with the statute; (b) that it does not trespass unduly on personal rights and liberties; (c) that it does not unduly make the rights and liberties of citizens dependent upon administrative decisions which are not subject to review of their merits by a judicial or other independent tribunal; and (d) that it does not contain matter more appropriate for parliamentary enactment Other Australian jurisdictions established similar committees * South Australia – 1938 * Victoria – 1956 Tasmania – 1969 New South Wales – 1960 * Northern Territory – 1974 * Western Australia – 1976 * Queensland – 1975 * Australian Capital Territory – 1989 Scrutiny of Bills * Senate Standing Committee for the Scrutiny of Bills established in 1981 * Similar role to Regulations and Ordinances Committee – using similar terms of reference – but in relation to Bills Scrutiny of Bills committees established in other jurisdictions Queensland situation changed in 2011, however * Role of Scrutiny of Legislation Committee replaced in 2011, as part of reforms to the Queensland Parliament's committee system, by scrutiny by subject-matter committees (ie rather than a specialist legislative scrutiny committee) (Commonwealth) Parliamentary Joint Committee on Human Rights * Established by Human Rights (Parliamentary Scrutiny) Act 2011 * Committee examines Bills for Acts, and legislative instruments, that come before either House of the Parliament for compatibility with human rights and reports to both Houses of the Parliament Parliamentary Joint Committee on Human Rights (cont'd) * Committee also examines Bills for Acts, and legislative instruments, that come before either House of the Parliament for compatibility with human rights and reports to both Houses of the Parliament * Committee also inquires into any matter relating to human rights that is referred to it by the Attorney-General and reports to both Houses of the Parliament Unseen influence of legislative scrutiny committees in Australia * Over a long history, legislative scrutiny committees have had a direct influence on the content of legislation in various Australian jurisdictions * Also have unseen influence, including through their influence on legislative drafters Statements from the 1990s * (Then) First Parliamentary Counsel, Ian Turnbull QC (in 1991) and (then) Victorian Chief Parliamentary Counsel, Rowena Armstrong QC (in 1993) have said ….		330	inside_word	notes,	remove_all	<url> https://ciaj-icaj.ca/wp-content/uploads/documents/import/LD/LD2014/LD202.pdf?id=502&1726682762 </url> <text> The importance of legislative drafters to legislative scrutiny by parliamentary committees – Challenges presented by recent developments in the (Australian) Commonwealth jurisdiction Stephen Argument Potted history of legislative scrutiny in Australia Long history of legislative scrutiny in As Peter Bernhardt's paper notes<cursor_is_here> </text>	[ { "content": "<url>\nhttps://ciaj-icaj.ca/wp-content/uploads/documents/import/LD/LD2014/LD202.pdf?id=502&1726682762\n</url>\n<text>\nThe importance of legislative drafters to legislative scrutiny by parliamentary committees – Challenges presented by recent developments in the (Australian) Commonwealth jurisdiction\nStephen Argument\n\nPotted history of legislative scrutiny in Australia\n\nLong history of legislative scrutiny in\n\n As Peter Bernhardt's paper notes<cursor_is_here>\n</text>\n", "role": "user" }, { "content": ", Senate Standing Committee on Regulations and Ordinances established in 1932\n\nAustralia\n\nTerms of reference of Regulations and Ordinances Committee\n\nRegulations and Ordinances Committee examines each regulation, etc to ensure:\n\n(a) that it is in accordance with the statute; (b) that it does not trespass unduly on personal rights and liberties; (c) that it does not unduly make the rights and liberties of citizens dependent upon administrative decisions which are not subject to review of their merits by a judicial or other independent tribunal; and (d) that it does not contain matter more appropriate for parliamentary enactment\n\nOther Australian jurisdictions established similar committees\n\n* South Australia – 1938\n\n\n\nVictoria – 1956\n\n* Tasmania – 1969\n\nNew South Wales – 1960\n\n* Northern Territory – 1974\n* Western Australia – 1976\n* Queensland – 1975\n* Australian Capital Territory – 1989\n\nScrutiny of Bills\n\n* Senate Standing Committee for the Scrutiny of Bills established in 1981\n* Similar role to Regulations and Ordinances Committee – using similar terms of reference – but in relation to Bills\n\nScrutiny of Bills committees established in other jurisdictions\n\nQueensland situation changed in 2011, however\n\n* Role of Scrutiny of Legislation Committee replaced in 2011, as part of reforms to the Queensland Parliament's committee system, by scrutiny by subject-matter committees (ie rather than a specialist legislative scrutiny committee)\n\n(Commonwealth) Parliamentary Joint Committee on Human Rights\n\n* Established by Human Rights (Parliamentary Scrutiny) Act 2011\n* Committee examines Bills for Acts, and legislative instruments, that come before either House of the Parliament for compatibility with human rights and reports to both Houses of the Parliament\n\nParliamentary Joint Committee on Human Rights (cont'd)\n\n* Committee also examines Bills for Acts, and legislative instruments, that come before either House of the Parliament for compatibility with human rights and reports to both Houses of the Parliament\n* Committee also inquires into any matter relating to human rights that is referred to it by the Attorney-General and reports to both Houses of the Parliament\n\nUnseen influence of legislative scrutiny committees in Australia\n\n* Over a long history, legislative scrutiny committees have had a direct influence on the content of legislation in various Australian jurisdictions\n\n\n\nAlso have unseen influence, including through their influence on legislative drafters\n\nStatements from the 1990s\n\n (Then) First Parliamentary Counsel, Ian Turnbull QC (in 1991) and (then) Victorian Chief Parliamentary Counsel, Rowena Armstrong QC (in 1993) have said ….", "role": "assistant" } ]
Confucius Institutes in the US that Are Closing Rachelle Peterson, National Association of Scholars, [email protected] August 2020 \| \| Institution \| State \| Date of Decision \| Stated Reason for Closing \| Source \| Other Background Info \| \|---\|---\|---\|---\|---\|---\|---\| \| 1 \| University of Chicago \| IL \| September 2014 \| The university said that offensive comments from Xu Lin, director- general of the Hanban, led the university to close its Confucius Institute: An official "Statement on the Confucius Institute at the University of Chicago" said that “recently published comments about UChicago in an article about the director-general of Hanban are incompatible with a continued equal partnership.” \| https://news.uchicago.edu/article/2 014/09/25/statement-confucius- institute-university-chicago \| In April 2014, 108 faculty members signed a petition calling for the Confucius Institute to close. Hanban director-general Xu Lin challenged the university to maintain its Confucius Institute, and a Chinese paper, the Jiefang Daily, praised Xu for her “toughness” and crowed that “Her attitude made the other side anxious. The school quickly responded that it will continue to properly manage the Confucius Institute.” https://sinosphere.blogs.nytimes.co m/2014/09/26/university-of- chicagos-relations-with-confucius- institute-sour/?_r=0 \| \| 2 \| Pennsylvani a State University \| PA \| September 2014 \| Dean Susan Welch told Inside Higher Ed that "several of our goals are not consistent with those of the Office of Chinese Languages Council International, known as the Hanban, which provides support to Confucius Institutes throughout the world.” \| https://www.insidehighered.com/qu icktakes/2014/10/01/another- confucius-institute-close \| Penn State's decision came within a week of the University of Chicago's decision to close its Confucius Institute. \| \| 3 \| Pfeiffer University \| NC \| May 2016 \| Moved to University of North Carolina at Charlotte \| Email from Colleen Keith \| \|---\|---\|---\|---\|---\|---\| \| 4 \| Tulane University \| LA \| 2017 \| No stated reason \| NAS phone call with the School of Liberal Arts. \| \| 5 \| University of Illinois- Urbana Champaign \| IL \| September 2017, reported March 2018 \| Daily Illini reported in March 2018 that according to Interim University Provost John Wilkin, "The institute was shut down when the University’s funding was not substantial enough to maintain it, but the University is exploring the opportunity to reestablish the institute on campus." \| https://dailyillini.com/news/2018/03 /03/university-confucius-institute- closed-months-fbi-monitoring/ \| \| 6 \| University of West Florida \| FL \| Fall 2017, announced February 2018 \| February 2018 Pensacola News Journal reported that according to George Ellenberg, senior vice president and provost, a "lack of student interest" led the university to decide in fall 2017 not to renew the contract when it expired in May 2018. Ellenberg said, “We determined that we weren’t really getting adequate return in terms of student interest and decided to discontinue it.” \| https://www.pnj.com/story/money/ business/2018/02/07/uwf-cuts-ties- chinese-run-confucius-institute- criticized-controversial-chinese- government-affiliated/312966002/ \| \| 7 \| Texas A&M University \| TX \| April 2018 \| Texas A&M University System Chancellor John Shields cited a letter from two Congressmen as the key reason for the university system's decision: "They have access to classified information we do not have. We are terminating the contract as they suggested." \| https://www.dallasnews.com/news/ higher- education/2018/04/05/congressmen- urge-ut-dallas-texas-universities-cut- ties-chinas-confucius-institute \| \|---\|---\|---\|---\|---\|---\| \| 8 \| Prairie View A&M University \| TX \| April 2018 \| Texas A&M University System Chancellor John Shields cited a letter from two Congressmen as the key reason for the university system's decision: "They have access to classified information we do not have. We are terminating the contract as they suggested." \| https://www.dallasnews.com/news/ higher- education/2018/04/05/congressmen- urge-ut-dallas-texas-universities-cut- ties-chinas-confucius-institute \| \| 9 \| University of Iowa \| IA \| July 2018 \| The University of Iowa announced its plans to close seven centers due to cuts in state funding. The contract for the Confucius Institute will not be renewed upon its expiration on July 31, 2019. \| https://now.uiowa.edu/2018/07/ui- forced-make-difficult-budget- decisions-following-state-funding- cuts \| \| 10 \| University of North Florida \| FL \| August 2018 \| The University of North Florida announced its plans to close the Confucius Institute in six months (February 2019). A statement on the university's website says, "After reviewing the classes, activities and events sponsored over the past four years and comparing them with the mission and goals of the University, it was determined that they weren't aligned." \| http://www.unf.edu/publicrelations/ ospreyupdate/submissions/2018-08- 14_UNFs_Confucius_Institute_Closes .aspx \| In February, Senator Marco Rubio sent a letter to all Confucius Institutes in Florida, urging them to close. \| \|---\|---\|---\|---\|---\|---\|---\| \| 11 \| North Carolina State University \| NC \| November 2018 \| North Carolina State University announced it intends to close its Confucius Institute in June 2019, as part of a project to "restructure" its Asia programming. A statement from University Communications on the university's website says, "After June 2019, NC State will no longer offer academic and cultural programs through the Confucius Institute (CI). This transition is part of NC State’s efforts to create a more comprehensive Asia strategy led by the Office of Global Engagement, of which Chinese language and culture programs will continue to play a significant role." \| https://news.ncsu.edu/2018/11/nc- state-will-restructure-asia- programming-in-2019/ \| \| \| 12 \| University of Michigan \| MI \| December 2018 \| James Holloway, vice provost for global engagement and interdisciplinary academic affairs, said the university would bring more of its China studies programs in- house: “This transition is driven by a desire to more broadly include the work of exploring and studying Chinese visual and performing arts within U-M’s regular academic and cultural units.” However, the university announced that it remains open to working with the Hanban in other ways: "Meanwhile, U-M is in communication with Hanban, exploring alternative ways to support the greater U-M community to continuously engage with Chinese artistic culture." \| https://record.umich.edu/articles/u- m-end-agreement-confucius- institute-next-year \| \| \|---\|---\|---\|---\|---\|---\|---\| \| 13 \| University of South Florida \| FL \| December 2018 \| USF cited the national security concerns that members of Congress have raised, along with falling student enrollment. Only 65 students enrolling in Confucius Institute classes in fall 2018. \| https://www.tampabay.com/breakin g-news/usf-shutters-controversial- confucius-institute-on-new-years-eve 20190102/ \| In February, Senator Marco Rubio sent a letter to all Confucius -Institutes in Florida, urging them to close. \| \| 14 \| University of Rhode Island \| RI \| December 2018 \| A spokeswoman told WPRI 12 that the university was concerned the Confucius Institute could jeopardize federal funding to the university. \| https://www.wpri.com/news/top- video/uri-ending-relationship-with- controversial-confucius- institute_20181217234023/1663688 481 \| \|---\|---\|---\|---\|---\|---\| \| 15 \| Purdue University \| IN \| 2018 \| "Purdue terminated its relationship with the Confucius Institute." \| Email from Kim Weldy, Executive Assistant, Board of Trustees \| \| 16 \| University of Massachus etts Boston \| MA \| January 2019 \| Katherine Newman, the interim chancellor at UMass Boston, declined to give a specific reason in an interview with Boston's Commonwealth Magazine, but said the university will pursue new negotiations with Renmin University of China to develop other ways to promote Chinese language and culture. \| https://commonwealthmagazine.org /education/umass-boston-severs- ties-with-confucius-institute/ \| \| 18 \| University of Minnesota \| MN \| February 2019 \| Meredith McQuaid, associate vice president and dean of international programs, said the university would have lost federal funding as a result of the NDAA ban on Pentagon funding to Confucius Institute-linked programs. McQuaid also said “The Chinese language teaching community in greater Minnesota … has definitely grown and matured over the last decade. Their needs have evolved,” such that the CI is no longer needed. \| https://www.mndaily.com/article/20 19/02/n-china-funded-institute-set- to-close \| State Sen. Jim Abeler, R-Anoka, sent a letter to the Confucius Institutes at the University and St. Cloud State University in 2018 expressing his concerns with the programs \| \|---\|---\|---\|---\|---\|---\|---\| \| 19 \| University of Texas - San Antonio \| TX \| February 2019 \| "When the current grant concludes this summer, UTSA will use the opportunity to graduate its programs into a more robust environment for students studying Eastern Asian cultures by integrating them into the UTSA East Asia Institute." - Lisa Montoya, Vice Provost for Global Initiatives & Senior International Officer \| https://provost.utsa.edu/news/2019 /02/story/2019-02-28-east-asia- institute.html \| \| \| 20 \| University of Montana \| MT \| March 2019 \| According to The Missoulian, Deena Mansour, director of the Mansfield Center where the Confucius Institute was based, "Identifying alternate funding sources will allow us the freedom to assess the best way to support mutual relations between the U.S. and China within the Priorities for Action framework," referencing UM's plan to set priorities. \| https://missoulian.com/news/local/u \| \|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| niversity-of-montana-shutters- confucius-institute/article_218eb6a5- \| \| \| \| \| \| \| 2c0e-56e9-a920-10fe4eec3a2f.html \| \| 21 \| Indiana University- Purdue University \| IN \| April 2019 \| “This decision ensures ongoing operations of some programs within IU impacted by federal changes surrounding Chinese language programs,” university spokesman Chuck Carney told the Washington Post. \| https://www.washingtonpost.com/o pinions/global-opinions/americas- universities-are-finally-waking-up-to- the-china- threat/2019/04/04/1b21e616-5716- 11e9-9136- f8e636f1f6df_story.html?noredirect =on&utm_term=.43b5cbe638e0 \| \| 22 \| Western Kentucky University \| KY \| April 2019 \| "The decision to close the CI, which has operated at WKU since 2010, came when the University could not secure a waiver from the Department of Defense that would allow WKU to operate both the CI and the Chinese Flagship Program." \| https://www.wku.edu/news/articles /index.php?view=article&articleid=7 622 \| \| 23 \| University of Oregon \| OR \| April 2019 \| "The University of Oregon is closing its Confucius Institute because a new law approved by Congress last year prohibits academic institutions from running such a program if they receive U.S. Department of Defense funding for Chinese language programs." \| https://around.uoregon.edu/content \| \|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| /uo-confucius-institute-close \| \| 24 \| Northern State University \| SD \| May 2019 \| "The decision was made after a thorough review of Northern’s international programs and activities. The university seeks to shift resources strategically toward services more aligned with its mission, including study abroad programs." \| https://www.northern.edu/news/co nfucius-institute-northern-state- university-close-2020 \| \| 25 \| San Francisco State University \| CA \| May 2019 \| "As of Monday, May 6, 2019 the Confucius Institute at the San Francisco State University campus is closed." \| http://www.sfsu.edu/ci/ \| \| 26 \| University of Hawaii Manoa \| HI \| May 2019 \| "The University of Hawai’i at Mānoa closed its Confucius Institute effective May 31, 2019, in order to maintain federally funded research and educational opportunities for its faculty and students. " \| http://manoa.hawaii.edu/confuciusi nstitute/ \| \| 27 \| Arizona State University \| AZ \| May 2019 \| "As of May 31, 2019, the Confucius Institute at Arizona State University is closed." \| https://web.archive.org/web/20190 530012459/https://confuciusinstitut e.asu.edu/ \| \|---\|---\|---\|---\|---\|---\| \| 28 \| Kansas State University \| KS \| June 2019 \| "Kansas State University (K-State) has decided not to renew the contract with the Confucius Institute as of June 2019. The decision to move forward without a Confucius Institute does not reflect an end to our engagement and mutually beneficial partnerships with China and other parts of the world....The dedicated work of the Confucius Institute staff and Director, Max Lu, is greatly appreciated." \| https://www.k-state.edu/confucius/ \| \| 29 \| San Diego State University \| CA \| June 2019 \| "SDSU closed and transferred the [Confucius Institute] on June 30, 2019 to San Diego Global Knowledge University. " Instead, the university is "launching a new Chinese Cultural Center." \| https://newscenter.sdsu.edu/sdsu_n ewscenter/news_story.aspx?sid=777 14 \| The 2019 NDAA forbade Pentagon funding to universities with Confucius Institutes, unless the university receives a waiver."SDSU ... had submitted a waiver to keep its Confucius Institute and still receive federal funding. But Everett- Haynes said that waiver was denied." https://thedailyaztec.com/94940/n ews/sdsu-launches-new-chinese- cultural-center-as-confucius- institute-closes/ \| \|---\|---\|---\|---\|---\|---\|---\| \| 30 \| Auburn University at Montgome ry \| AL \| June 2019 \| "Auburn University at Montgomery’s agreement to host a Confucius Institute expired in June 2019. AUM did not renew the agreement." \| Email from Troy Johnson, Executive Director, Office of University Communications, Auburn University at Montgomery \| \| \| 31 \| University of Texas - Dallas \| TX \| August 2019 \| "The University of Texas at Dallas has established the Center for Asian Studies, which expands its commitment to programs that previously were components of the University’s earlier initiatives, the Confucius Institute and the Asia Center. " \| https://www.utdallas.edu/news/cam \| \| \| \| \| \| \| \| pus-community/center-for-asian- studies-2019/ \| \| \| 32 \| Miami Dade College \| FL \| Announced Sept. 2019, will close Dec. 2019 \| The college said in a statement to Politico that the decision was “due to low and declining enrollment that does not justify the operational cost.” \| https://www.politico.com/states/flo rida/story/2019/09/06/miami-dade- college-is-shutting-down-its- confucius-institute-1174166 \| In February 2018, Senator Marco Rubio sent a letter to all Confucius Institutes in Florida, urging them to close. Miami Young Republicans also lobbied against the Confucius Institute. \| \| 33 \| Kennesaw State University \| GA \| 10/3/2019 \| "Kennesaw State University made the decision to close the CI affiliated with the institution in July of 2019 and notified the Confucius Institute Headquarters that KSU would not be renewing our memorandum of understanding. The institute closed on October 3, 2019." \| Email from Alex McGee, Chief of Staff and Vice President for External Affairs, Kennesaw State Univeristy \| \|---\|---\|---\|---\|---\|---\| \| 34 \| University of Delaware \| DE \| Announced Oct. 2019, will close February 2020. \| Associate Deputy Provost Ravi Ammigan said “It was simply a decision made due to decreased activity.” \| http://udreview.com/confucius- institute-set-to-close-in-early-2020/ \| \| 35 \| Pace University \| NY \| December 13, 2019 \| "As of December 14, 2019, Pace University’s contract to host the Confucius Institute at Pace will end. ...Going forward, we are pleased to be launching the new Global Asia Institute (GAI)….GAI staff members working with Professor Lee include Qiqi Wang, program manager, and Ansel Lurio, program coordinator, who bring their valuable experience from their work with the Confucius Institute on our campus to this new Institute." \| https://www.pace.edu/dyson/center \| \| \| \| \| \| \| s/global-asia- institute/welcome/confucius- institute-closure-GAI-announcement \| \| \| \| \| \| \| 2019/dec/17/ku-will-close- controversial-confucius-institute-in- january/ \| \|---\|---\|---\|---\|---\|---\| \| 37 \| University of Missouri \| MO \| Announced January 2020 will close August 2020 \| “We were notified by the U.S. Department of State’s Bureau of Educational and Cultural Affairs this past July that due to changes in State Department guidance, we would now be required to have a certified Mandarin Chinese language teacher in every classroom with a Confucius Institute staff member,” which the university found cost-prohibitive, said Mary Stegmaier, interim vice provost for international programs. \| https://news.missouri.edu/2020/mu- \| \| \| \| \| \| \| to-terminate-confucius-institute- partnership-due-to-changes-in- federal-guidance/ \| \| 38 \| University of Maryland \| MD \| Announced January 2020 will close at the end of the spring 2020 semester. \| President Wallace Loh said the National Defense Authorization Act for 2019 “includes language that prevents organizations that host a [Confucius Institute] from participating in certain federally funded programs.” \| https://www.baltimoresun.com/edu cation/bs-md-confucius-institute- umd-20200123- 3sb7hhbyq5cn7pfl7n55edtlaq- story.html \| \| 39 \| University of Alaska, Anchorage \| AK \| January 2020 \| "Because of budget pressures, UAA was not in a position to renew the MOA." \| Email \| \| 40 \| New Mexico State University \| NM \| Announced February 2020 \| "NMSU cited low enrollment and "funding issues" with the Office of Chinese Language Council International, the institute's headquarters in Beijing (commonly referred to as "Hanban"), in its decision to close the institute." \| https://www.lcsun- news.com/story/news/education/n msu/2020/02/07/nmsu-shuttering- their-confucius-institute-programs- chinese-instruction/4670853002/ \| \|---\|---\|---\|---\|---\|---\| \| 41 \| University of Arizona \| AZ \| Announced February 2020; will close July 31, 2020 \| “changes in federal laws and policy” \| https://tucson.com/news/local/conf ucius-institute-at-university-of- arizona-closing/article_134fca9c- 5905-11ea-8358-97f08dbd363c.html \| \| 42 \| Miami University \| OH \| Announced March 2020, will close June 30, 2020 \| "Miami’s Global Initiatives program believes it can more effectively provide cultural, intercultural and global learning programming and support through an international student center. This will be administered through the office of International Student and Scholar Services (ISSS) in the space where the CIMU now resides." \| https://www.miamioh.edu/news/ca mpus-news/2020/03/confucius- institute-to-close.html \| \| 43 \| University of California- Davis \| CA \| Announced April 28, 2020, will close August 15 2020. \| "UC Davis is separating from the Hanban division of China’s Ministry of Education — which has sponsored hundreds of institutes around the world — after the organization recently announced the institutes’ renewed focus on language instruction. The UC Davis institute never offered language instruction" but had focused on "food and beverage science and technology." \| https://www.ucdavis.edu/news/cam pus-close-confucius-institute-seek- new-opportunities \| \| \|---\|---\|---\|---\|---\|---\|---\| \| 44 \| University of Pittsburgh \| PA \| Will close June 2020 \| "the CI-Pitt program has experienced increasing scrutiny by U.S. federal agencies. And, notwithstanding our best efforts in political and legal circles, restrictions have impeded the University’s capacity to effectively maintain our role in this partnership. Therefore, we will be closing the CI- Pitt, effective June 30, 2020." \| https://www.ucis.pitt.edu/cipitt/ \| In 2019, the university had to pause all Confucius Institute programming after the State Department found that incoming Confucius Institute teachers failed to qualify for the visas they had applied for. https://www.ucis.pitt.edu/cipitt/Vic eProvostMessage \| \| 45 \| California State University - Long Beach \| CA \| 2020 \| "The Confucius Institute (CI) at CSULB is no longer in operation. " \| https://www.cpie.csulb.edu/Continui \| \| \| \| \| \| \| \| ngEd/about.aspx?pID=177 \| \| \| 46 \| University of Oklahoma \| OK \| Reported June 2020, will close October 2020 \| "In March 2019, the U. S. Department of State conducted an inquiry into the Confucius Institute housed at OU and made certain operational recommendations. In that context, and against the backdrop of evolving programmatic, budgetary and managerial needs, and after requesting faculty input, the university took the necessary steps to begin closing the Confucius Institute." - OU spokesperson Kesha Keith. \| https://www.grandlakenews.com/ne \| \|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| ws/20200623/chinese-espionage-at- oklahoma-university-sen-james- lankford-wants-transparency \| \| 47 \| University of Memphis \| TN \| June 30, 2020 \| "Blackburn, a Tennessee Republican and strong critic of the Chinese government’s failure to alert the United States about the coronavirus believed to have started there, announced Tuesday that June 30 would be the Confucius Institute’s last day at University of Memphis." \| https://dailymemphian.com/section/ \| \| \| \| \| \| \| metro/article/15185/blackburn- lauds-closing-of-university-of- memphis \| \| 48 \| George Mason University \| VA \| June 30, 2020 \| "The Confucius Institute at Mason completed all programming and closed on June 30, 2020." \| https://confucius.gmu.edu/ \| \| 49 \| Savannah State University \| GA \| July 2020 \| "The Savannah State University’s Confucius Institute (SSU/CI) has closed after six years of serving the community." \| https://www.savannahstate.edu/con \| \| \| \| \| \| \| fucius/ \| \| 50 \| University of North Carolina Charlotte \| NC \| Announced July 2020, will close December 2020 \| "UNC Charlotte will transition the Chinese language and culture programs of its Confucius Institute to the Department of Languages and Culture Studies in the College of Liberal Arts & Sciences on Dec. 31, 2020. ...Although the Confucius Institute will be ending, Chinese language and culture programs will continue to play an important role at the University." \| https://inside.uncc.edu/news- features/2020-07-01/confucius- institute-programs-transition-part- strategic-planning-effort \| \|---\|---\|---\|---\|---\|---\| \| 51 \| University of Idaho \| ID \| August 2020 \| \| Email \| \| 52 \| Community College of Denver \| CO \| September 30, 2020 \| "The Community College of Denver (CCD) will be closing the Confucius Institute effective September 30, 2020 due to budgetary and environmental circumstances." \| https://www.ccd.edu/org/confucius- institute#:~:text=The%20Community %20College%20of%20Denver,to%20 budgetary%20and%20environmental \| \| \| \| \| \| \| %20circumstances. \| \| 53 \| Emory University \| GA \| Announced August 18, 2020, will close November 2021. \| "Emory University has decided not to renew its Memorandum of Understanding (MOU) for the Confucius Institute in Atlanta when it expires in November 2021." \| https://news.emory.edu/stories/202 0/08/upress_confucius_institute/ind ex.html \|	<urn:uuid:2f1630c6-aff4-4aa9-95c1-b3c58d26b4c7>	CC-MAIN-2021-21	https://www.nas.org/storage/app/media/Reports/Outsourced%20to%20China/confucius-institutes-that-closed-updated-august-26-2020.pdf	2021-05-11T01:54:44+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-21/subset=warc/part-00202-2bb1ba05-1421-4b90-a3f4-bbc46b4a29a5.c000.gz.parquet	886,102,993	5,919	eng_Latn	eng_Latn	0.691755	eng_Latn	0.691755	[ "eng_Latn", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown", "unknown" ]	false	rolmOCR	[ 1859, 3232, 4519, 5920, 7192, 8176, 9411, 10866, 12154, 12889, 14885, 16212, 17570, 18804, 20301, 21826, 23220 ]	Confucius Institutes in the US that Are Closing Rachelle Peterson, National Association of Scholars, [email protected] August 2020 \| \| Institution \| State \| Date of Decision \| Stated Reason for Closing \| Source \| Other Background Info \| \|---\|---\|---\|---\|---\|---\|---\| \| 1 \| University of Chicago \| IL \| September 2014 \| The university said that offensive comments from Xu Lin, director- general of the Hanban, led the university to close its Confucius Ins	titute: An official "Statement on the Confucius Institute at the University of Chicago" said that “recently published comments about UChicago in an article about the director-general of Hanban are incompatible with a continued equal partnership.		457	inside_word	Institute:	remove_all	<url> https://www.nas.org/storage/app/media/Reports/Outsourced%20to%20China/confucius-institutes-that-closed-updated-august-26-2020.pdf </url> <text> Confucius Institutes in the US that Are Closing Rachelle Peterson, National Association of Scholars, [email protected] August 2020 \| \| Institution \| State \| Date of Decision \| Stated Reason for Closing \| Source \| Other Background Info \| \|---\|---\|---\|---\|---\|---\|---\| \| 1 \| University of Chicago \| IL \| September 2014 \| The university said that offensive comments from Xu Lin, director- general of the Hanban, led the university to close its Confucius Ins<cursor_is_here> </text>	[ { "content": "<url>\nhttps://www.nas.org/storage/app/media/Reports/Outsourced%20to%20China/confucius-institutes-that-closed-updated-august-26-2020.pdf\n</url>\n<text>\nConfucius Institutes in the US that Are Closing\n\nRachelle Peterson, National Association of Scholars, [email protected] August 2020\n\n\| \| Institution \| State \| Date of Decision \| Stated Reason for Closing \| Source \| Other Background Info \|\n\|---\|---\|---\|---\|---\|---\|---\|\n\| 1 \| University of Chicago \| IL \| September 2014 \| The university said that offensive comments from Xu Lin, director- general of the Hanban, led the university to close its Confucius Ins<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "titute: An official \"Statement on the Confucius Institute at the University of Chicago\" said that “recently 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Skechers tones up its Paul Galliher, senior vice president of global distribution, stands in front of packing chutes serviced by a cross-belt unit sorter. Skechers USA, the No. 2 footwear company, is known for its Shape-ups line of fitness shoes that are designed to “change your life by changing the way you walk.” The idea is that a good design can make us more efficient and effective in the things we do every day. Skechers took a similar approach in the design of its new 1.82-million-square-foot, $225 million distribution center in Rancho Belago, an inland community about 80 miles west of the port in Long Beach, Calif., where Skechers imports all of its footwear and athletic gear. The DC consists of three distinct areas of work, each measuring about 600,000 square feet. Two areas are devoted to receiving with about 400,000 square feet of reserve storage in each; the space in the middle is dedicated to order fulfillment and shipping. The new facility shapes up distribution processes by consolidating activities that were once spread across 1.7 million square feet and five leased facilities in southern California into one highly automated DC to handle all of the footwear company’s North American distribution. “Each of those buildings had different equipment and each handled a different piece of the order fulfillment process,” says Paul Galliher, senior vice president of global distribution. “We spent a lot of money due to the additional handling required to move product between buildings for the order fulfillment processes.” The new facility is not only one of the largest distribution centers in California, it was designed to be one of the most efficient. Although the facility is just now going live, Skechers worked with a systems integrator (Wynright, wynright.com) to design an automated materials handling system that not only minimizes the number of times a pair of shoes is handled between receiving and shipping, but is capable of managing an inventory of 70,000 stock keeping units (SKUs) and processing approximately 17,000 pairs of shoes per hour. That’s more than double the 7,000 pairs per hour handled in its old buildings. The number of times a product is touched between receiving and shipping has been reduced by at least 50%. Similarly, the new facility requires about 300 employees for average volumes and an estimated 500 during peak periods. That is less than half of the 1,200 associates used during peak periods when Skechers was operating five DCs. At the heart of the system are two mini-load automated storage and retrieval systems (AS/RS; Daifuku Webb, daifukuamerica.com): - One is a 12-aisle system with 58,000 square feet of storage space and nearly 106,000 storage positions. This system was implemented to store partially filled master cartons, known as loose picks in the Skechers facility. Skechers’ new facility features two mini-load AS/RS systems (left) and a narrow-belt shipping sorter (right). • The other is a 44-aisle system with 150,000 square feet of space and more than 257,000 storage positions. This system holds packed orders until they are ready to ship. Both mini-load AS/RS units are able to accommodate a random range of carton and box sizes, from 34 x 24 inches to 10 x 10 inches. Both also use motor driven roller conveyor and transfer stations to sort cartons rather than conventional sortation technology. In addition to the two mini-loads, Skechers installed a cross-belt sortation system to feed the facility’s packing stations; energy-saving motor driven roller conveyor; a narrow-belt shipping sorter servicing 26 shipping door accumulation lanes; an estimated 800,000 square feet of very narrow aisle reserve storage area; and a 135,000-square-foot mezzanine that was the winner of the 2011 design award from the Steel Joist Institute. The mezzanine is used for value-added services, print and apply, and taping prior to shipping. The facility allows Skechers to meet two important strategic goals: It consolidates operations, and it sets the stage for continued growth. “This is the first time since 1995 that we have had all of our North American distribution under one roof, and back then we were a much smaller company,” Galliher says. “We also have options on the adjacent property. That will allow us to expand in the same area if we outgrow this facility.” And while it is one of the largest distribution centers in California and the largest LEED-certified building in North America, 1.82 million square feet under-represents just how big the facility really is. “We have 45-foot ceilings and use all very narrow aisle racking for reserve storage in addition to the two AS/RS,” says Galliher. “If this were a traditional DC with 30-foot ceilings and conventional pallet rack, we would need significantly more space.” Running at full speed Skechers was founded in California in 1992 to import Doc Martens into the United States. Today, the company is now the No. 2 footwear company in North America with just more than $2 billion in sales in 2010. The company focuses on designing and marketing its line of shoes while working with contractors in China and other emerging markets to manufacture its lines. The Skechers story is about more than just sales growth. Over the past 19 years, Skechers has broadened its product line to encompass nearly all of the categories of footwear, from athletic shoes to casual shoes to sandals to kids shoes—a total of some 70,000 SKUs. The company is also a multi-channel marketer. In addition to 300 retail and outlet stores around the world, Skechers sells to wholesalers, to other retailers and directly to consumers. “One of the things that makes us unique is that we don’t have a direct competitor,” says Galliher. “We compete with every other shoe company and on a different level with each.” Growth across those different lines and channels was a key factor in the decision to build a new DC. Between 1997 and 2007, Skechers added DCs to its network like adding charms to a bracelet. “We were growing quickly and gobbling up additional space to get product out the door,” Galliher says. For instance, after outgrowing its original DC in Compton, the company took over a facility when LA Gear went out of business, then took over a second nearby building with a tilt tray sorter when it outgrew the first building. Other facilities were added on an as-needed basis. Those buildings varied in ceiling height and in equipment, with some buildings sporting conventional aisle storage, some with narrow aisle storage and some with very narrow aisle storage. What’s more, product was received from the ports in one building, picked and packed in another and potentially picked up in a third. “We were constantly shipping product from one building to the next until it got to the right place,” Galliher explains. “We were our best transportation customer.” Growth-driven design Skechers began the design process for the new facility just ahead of the financial meltdown, signing a lease for the building in 2007. After an extended permitting process, Skechers broke ground in June of 2010. According to Galliher, there were several key goals that resulted in the final design of the system. One roof: Yes, Skechers wanted to consolidate a hodge-podge of operations under one roof, but it also wanted to maintain one central point for North American distribution rather than develop a distribution network. “Our belief is that when you have regional DCs, you end up with inventory on the East Coast that you need on the West Coast and vice versa,” Galliher says. “There are challenges to positioning the right inventory in the right places.” Just as important, he adds, Skechers still operates a close-knit operation. “We’re a public corporation, but we still think of our associates as family,” Galliher says. “That would have been lost if we developed a regional model.” Skechers does work with two 3PLs to distribute to Canada. Keep it scalable: The buildings and the automation systems were designed so that Skechers could put in a piece of equipment and generate savings now and still add on to those systems at a later point as the business grows. For instance, both AS/RS units are expandable. Moreover, Skechers purchased an adjacent lot big enough for another facility should it outgrow this one. Automate with a purpose Automation, including the two mini-load AS/RS units and the cross-belt sorter, were central to controlling labor in the new facility. For instance, packing and shipping were two areas that required a large labor component under the old model. Shoes are shipped to Skechers in master packs of six pairs of adult shoes or 12 pairs of children’s shoes in a solid color. Most customers, however, order an assortment of styles, sizes and colors. To fill those orders required breaking down the pre-packs, picking and re-packing the number of “loose pairs” required for an order, and returning the partially depleted carton to storage. All that processing required a lot of hands and touches. Similarly, Skechers often packed orders and staged them on the shipping dock for customers who did their own pick ups. The process not only required labor, it consumed valuable real estate in the shipping area. The mini-loads addressed both of those issues. One system is designated to store and deliver partially depleted loose pick cartons to an induction platform for the cross-belt sorter. “It took a lot of people to pull those pairs from the shelves and repack them,” says Galliher. “Now, the mini-load delivers a carton to the induction station, an associate picks the pairs needed for an order, and the carton is automatically returned to storage.” Similarly, items for a pack-and-hold order are prepared for the customer and then automatically delivered to the other mini-load, where they are held in very dense storage until a customer is ready to pick them up. While this is a highly automated facility, it was automated with a purpose. The idea was to get the benefit from automation without being bound by automation. “We were very sensitive to cost,” Galliher says. “Every time we added a component, we weighed what we were trying to achieve against the return on investment to decide where we could get value from automation compared to a conventional solution.” For example, the mini-load in the loose pick area is designed to handle the facility’s normal capacity. A conventional process was designed for the spikes in demand that occur on one or two days at the end of each quarter. At those times, the system diverts some of the loose-pick cartons to a conventional palletizing station early in the shift. The pallets are then staged in lanes until the items are required at the induction area for an order wave. Yes, it’s manual, but it was a more cost-effective solution than sizing the automation to handle volumes that might only occur four to eight days a year. Skechers also relies on conventional processes in the value-added services area located on the mezzanine. “We have customers who do pre-orders and give us their packaging and labeling requirements,” says Galliher. “Those used to be processed in a different building from our other orders. Now, we do everything out of one facility. That means that the look of the packaging, the paperwork and the product will be the same.” The new facility has only recently gone live, so hard metrics on the performance of the new facility are not yet available. But, Skechers is optimistic. “We designed the facility to deliver a five-year ROI,” says Galliher. “If we do that, we will have achieved what we set out to do.” Optimized case handling Skechers’ new facility brings together automated storage, cross-belt sortation and conveyor to handle multi-channel order fulfillment from one system. By Bob Trebilcock, Executive Editor Through the consolidation of five facilities into one, large and highly automated facility, Skechers is able to fill orders for its own retail stores, other retail and wholesale customers as well as direct-to-consumer Web orders. Receiving: Located about 80 miles from Long Beach, Calif., the facility Skechers USA Rancho Belago, Calif. SIZE: 1.82 million square feet PRODUCTS HANDLED: footwear STOCK KEEPING UNITS: 70,000 THROUGHPUT: 17,000 pairs of shoes per hour through pick and pack operations EMPLOYEES: 300 in operations SHIFTS/DAYS: 2 shifts/5 days receives an advanced ship notification (ASN) detailing the contents of a shipment prior to the arrival of a container at the receiving dock (1). The contents of the floor-loaded containers are put on a belt conveyor (2) and a license plate label on the carton is read by a stationary scanner. Inbound product can be handled in several ways. Some items will be automatically conveyed to a palletizing area (3) where the cartons are sorted by style, color and size. Preprinted pallet labels are applied to a pallet. An associate scans the pallet label and the product label to associate the products on the pallet with that license plate in the warehouse management system (WMS). Other items will go through a preliminary step before they are sent to the palletizing area. For instance, items that are new to the facility are routed first to an inbound quality assurance area (4). In either case, after that preliminary process is completed, the cartons will be conveyed to the palletizing area. Pallets are then staged for pick up by a lift truck operator. Putaway: Once a pallet is staged for pick up, a task is sent to a lift truck operator. The WMS uses task interleaving to optimize processes, so a lift truck driver assigned to the task may also be doing replenishment activities. Pallets are delivered to a drop off location in the very narrow aisle rack reserve storage area (5). Turret truck operators are typically assigned to one, two or three aisles. The operator scans the pallet and is directed to a putaway location. Once there, he scans a location bar code to confirm the putaway and is then assigned another task by the WMS. Picking: Skechers fills orders from several different retail channels. To the automated system, however, the process is the same. Depending on the order, product can be pulled from reserve storage (5) or from the mini-load AS/RS used to store loose picks (6). A loose pick is a partially full open carton that has already been used in part to fill other orders. - Mini-load picks: Loose pick cartons are conveyed from the mini-load to an induction station (7) for the cross-belt sortation system (8). The license plate bar code label on the carton is scanned by a stationary scanner in route. The SKUs and the number of shoes to be pulled from that master carton are displayed on a monitor. Shoe boxes are placed on an induction conveyor, where they enter the sortation system. The shoes are then sorted to a packing chute and delivered to the packing area (9). If the order doesn’t require all of the contents of the master carton, it will be conveyed back to the mini-load (6) for storage. - Storage area picks: Items that can’t be filled from the mini-load are retrieved from the reserve storage (5) area. The WMS assigns the task to an order picker who will pick the cartons to a pallet. Once all of the cartons for that task have been picked, the pallet is delivered to a case induction area (7) adjacent to the pallet building area. Once the pallet is scanned, the cartons are placed on an induction conveyor and are sorted to a packing chute area (9). - Packing and shipping: Pairs coming down a packing chute into the packing area (9) have already been cubed by the WMS, which determines what size shipping case to use for an order. That information is sent to the handheld scanner used by packers. The right size carton is removed from an overhead conveyor. Once the contents for that order are loaded into the shipping container, the associate scans a license plate bar code label on the container, the bar code label on the chute and then seals the container with tape. The outbound shipping label is automatically applied at a print-and-apply station. At that point, the carton will be handled in one of three ways. - Direct to shipping: Cartons that are ready to ship as is are conveyed directly to the shipping area (10) where they will be palletized and stretch-wrapped for Skechers stores or wholesale customers that order by the pallet. Everything else will be floor-loaded in an outbound trailer. The order is now ready to ship. - Value-added services: Other cartons will be sent to a value-added services area (11) on the mezzanine level where special labeling will be applied. From the value-added services area, the cartons will be conveyed to the shipping area (10) for palletizing or floor loading into a trailer. - Buffer storage in the mini-load AS/RS: Remaining cartons will be stored temporarily in the facility’s second mini-load AS/RS (12) which provides temporary buffer storage for orders that are ready to ship before the customer is ready to pick them up. Once those orders have been cleared for pickup and delivery, they are conveyed to the shipping area (10) and loaded onto a trailer.	add6db4e-6716-4a91-b90e-306f1b4cc3bc	CC-MAIN-2023-40	https://www.mmh.com/images/site/MMH1112_SysReport_Skechers.pdf	2023-09-29T15:58:42+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-40/subset=warc/part-00016-7aa0a1e5-33a6-434b-89a2-950f294b40c1.c000.gz.parquet	972,959,327	3,663	eng_Latn	eng_Latn	0.997763	eng_Latn	0.999034	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	true	docling	[ 155, 2859, 6379, 9693, 12472, 17275 ]	Skechers tones up its Paul Galliher, senior vice president of global distribution, stands in front of packing chutes serviced by a cross-belt unit sorter. Skechers USA, the No. 2 footwear company, is known for its Shape-ups line of fitness shoes that are designed to “change your life by changing the way you walk.” The idea is that a good design can make us more efficient and effective in the things we do every day. Skechers took a similar approach in the design of its new 1.82-million-square-foot, $225 million distribution center in Rancho Belago, an inland community about 80 miles west of the port in Long Beach, Calif., where Skechers imports all of its footwear and athletic gear. The DC consists of three distinct areas of work, each measuring about 600,000 square feet. Two areas are devoted to receiving with about 400,000 square feet of reserve storage in each; the space in the middle is dedicated to order fulfillment and shipping. The new facility shapes up distribution processes by consolidating activities that were once spread across 1.7 million square feet and five leased facilities in southern California into one highly automated DC to handle all of the footwear company’s North American distribution. “Each of those buildings had different equipment and each handled a different piece of the order fulfillment process,” says Paul Galliher, senior vice president of global distribution. “We spent a lot of money due to the additional handling required to move product between buildings for the order fulfillment processes.” The new facility is not only one of the largest distribution centers in California, it was designed to be one of the most efficient. Although the facility is just now going live, Skechers worked with a systems integrator (Wynright, wynright.com) to design an automated materials handling system that not only minimizes the number of times a pair of shoes is handled between receiving and shipping, but is capable of managing an inventory of 70,000 stock keeping units (SKUs) and processing approximately 17,000 pairs of shoes per hour. That’s more than double the 7,000 pairs per hour handled in its old buildings. The number of times a product is touched between receiving and shipping has been reduced by at least 50%. Similarly, the new facility requires about 300 employees for average volumes and an estimated 500 during peak periods. That is less than half of the 1,200 associates used during peak periods when Skechers was operating five DCs. At the heart of the system are two mini-load automated storage and retrieval systems (AS/RS; Daifuku Webb, daifukuamerica.com): - One is a 12-aisle system with 58,000 square feet of storage space and nearly 106,000 storage positions. This system was implemented to store partially filled master cartons, known as loose picks in the Skechers facility. Skechers’ new facility features two mini-load AS/RS systems (left) and a narrow-belt shipping sorter (right). • The other is a 44-aisle system with 150,000 square feet of space and more than 257,000 storage positions. This system holds packed orders until they are ready to ship. Both mini-load AS/RS units are able to accommodate a random range of carton and box sizes, from 34 x 24 inches to 10 x 10 inches. Both also use motor driven roller conveyor and transfer stations to sort cartons rather than conventional sortation technology. In addition to the two mini-loads, Skechers installed a cross-belt sortation system to feed the facility’s packing stations; energy-saving motor driven roller conveyor; a narrow-belt shipping sorter servicing 26 shipping door accumulation lanes; an estimated 800,000 square feet of very narrow aisle reserve storage area; and a 135,000-square-foot mezzanine that was the winner of the 2011 design award from the Steel Joist Institute. The mezzanine is used for value-added services, print and apply, and taping prior to shipping. The facility allows Skechers to meet two important strategic goals: It consolidates operations, and it sets the stage for continued growth. “This is the first time since 1995 that we have had all of our North American distribution under one roof, and back then we were a much smaller company,” Galliher says. “We also have options on the adjacent property. That will allow us to expand in the same area if we outgrow this facility.” And while it is one of the largest distribution centers in California and the largest LEED-certified building in North America, 1.82 million square feet under-represents just how big the facility really is. “We have 45-foot ceilings and use all very narrow aisle racking for reserve storage in addition to the two AS/RS,” says Galliher. “If this were a traditional DC with 30-foot ceilings and conventional pallet rack, we would need significantly more space.” Running at full speed Skechers was founded in California in 1992 to import Doc Martens into the United States. Today, the company is now the No. 2 footwear company in North America with just more than $2 billion in sales in 2010. The company	focuses on designing and marketing its line of shoes while working with contractors in China and other emerging markets to manufacture its lines.	The Skechers story is about more than just sales growth. Over the past 19 years, Skechers has broadened its product line to encompass nearly all of the categories of footwear, from athletic shoes to casual shoes to sandals to kids shoes—a total of some 70,000 SKUs. The company is also a multi-channel marketer. In addition to 300 retail and outlet stores around the world, Skechers sells to wholesalers, to other retailers and directly to consumers. “One of the things that makes us unique is that we don’t have a direct competitor,” says Galliher. “We compete with every other shoe company and on a different level with each.” Growth across those different lines and channels was a key factor in the decision to build a new DC. Between 1997 and 2007, Skechers added DCs to its network like adding charms to a bracelet. “We were growing quickly and gobbling up additional space to get product out the door,” Galliher says. For instance, after outgrowing its original DC in Compton, the company took over a facility when LA Gear went out of business, then took over a second nearby building with a tilt tray sorter when it outgrew the first building. Other facilities were added on an as-needed basis. Those buildings varied in ceiling height and in equipment, with some buildings sporting conventional aisle storage, some with narrow aisle storage and some with very narrow aisle storage. What’s more, product was received from the ports in one building, picked and packed in another and potentially picked up in a third. “We were constantly shipping product from one building to the next until it got to the right place,” Galliher explains. “We were our best transportation customer.” Growth-driven design Skechers began the design process for the new facility just ahead of the financial meltdown, signing a lease for the building in 2007. After an extended permitting process, Skechers broke ground in June of 2010. According to Galliher, there were several key goals that resulted in the final design of the system. One roof: Yes, Skechers wanted to consolidate a hodge-podge of operations under one roof, but it also wanted to maintain one central point for North American distribution rather than develop a distribution network. “Our belief is that when you have regional DCs, you end up with inventory on the East Coast that you need on the West Coast and vice versa,” Galliher says. “There are challenges to positioning the right inventory in the right places.” Just as important, he adds, Skechers still operates a close-knit operation. “We’re a public corporation, but we still think of our associates as family,” Galliher says. “That would have been lost if we developed a regional model.” Skechers does work with two 3PLs to distribute to Canada. Keep it scalable: The buildings and the automation systems were designed so that Skechers could put in a piece of equipment and generate savings now and still add on to those systems at a later point as the business grows. For instance, both AS/RS units are expandable. Moreover, Skechers purchased an adjacent lot big enough for another facility should it outgrow this one. Automate with a purpose Automation, including the two mini-load AS/RS units and the cross-belt sorter, were central to controlling labor in the new facility. For instance, packing and shipping were two areas that required a large labor component under the old model. Shoes are shipped to Skechers in master packs of six pairs of adult shoes or 12 pairs of children’s shoes in a solid color. Most customers, however, order an assortment of styles, sizes and colors. To fill those orders required breaking down the pre-packs, picking and re-packing the number of “loose pairs” required for an order, and returning the partially depleted carton to storage. All that processing required a lot of hands and touches. Similarly, Skechers often packed orders and staged them on the shipping dock for customers who did their own pick ups. The process not only required labor, it consumed valuable real estate in the shipping area. The mini-loads addressed both of those issues. One system is designated to store and deliver partially depleted loose pick cartons to an induction platform for the cross-belt sorter. “It took a lot of people to pull those pairs from the shelves and repack them,” says Galliher. “Now, the mini-load delivers a carton to the induction station, an associate picks the pairs needed for an order, and the carton is automatically returned to storage.” Similarly, items for a pack-and-hold order are prepared for the customer and then automatically delivered to the other mini-load, where they are held in very dense storage until a customer is ready to pick them up. While this is a highly automated facility, it was automated with a purpose. The idea was to get the benefit from automation without being bound by automation. “We were very sensitive to cost,” Galliher says. “Every time we added a component, we weighed what we were trying to achieve against the return on investment to decide where we could get value from automation compared to a conventional solution.” For example, the mini-load in the loose pick area is designed to handle the facility’s normal capacity. A conventional process was designed for the spikes in demand that occur on one or two days at the end of each quarter. At those times, the system diverts some of the loose-pick cartons to a conventional palletizing station early in the shift. The pallets are then staged in lanes until the items are required at the induction area for an order wave. Yes, it’s manual, but it was a more cost-effective solution than sizing the automation to handle volumes that might only occur four to eight days a year. Skechers also relies on conventional processes in the value-added services area located on the mezzanine. “We have customers who do pre-orders and give us their packaging and labeling requirements,” says Galliher. “Those used to be processed in a different building from our other orders. Now, we do everything out of one facility. That means that the look of the packaging, the paperwork and the product will be the same.” The new facility has only recently gone live, so hard metrics on the performance of the new facility are not yet available. But, Skechers is optimistic. “We designed the facility to deliver a five-year ROI,” says Galliher. “If we do that, we will have achieved what we set out to do.” Optimized case handling Skechers’ new facility brings together automated storage, cross-belt sortation and conveyor to handle multi-channel order fulfillment from one system. By Bob Trebilcock, Executive Editor Through the consolidation of five facilities into one, large and highly automated facility, Skechers is able to fill orders for its own retail stores, other retail and wholesale customers as well as direct-to-consumer Web orders. Receiving: Located about 80 miles from Long Beach, Calif., the facility Skechers USA Rancho Belago, Calif. SIZE: 1.82 million square feet PRODUCTS HANDLED: footwear STOCK KEEPING UNITS: 70,000 THROUGHPUT: 17,000 pairs of shoes per hour through pick and pack operations EMPLOYEES: 300 in operations SHIFTS/DAYS: 2 shifts/5 days receives an advanced ship notification (ASN) detailing the contents of a shipment prior to the arrival of a container at the receiving dock (1). The contents of the floor-loaded containers are put on a belt conveyor (2) and a license plate label on the carton is read by a stationary scanner. Inbound product can be handled in several ways. Some items will be automatically conveyed to a palletizing area (3) where the cartons are sorted by style, color and size. Preprinted pallet labels are applied to a pallet. An associate scans the pallet label and the product label to associate the products on the pallet with that license plate in the warehouse management system (WMS). Other items will go through a preliminary step before they are sent to the palletizing area. For instance, items that are new to the facility are routed first to an inbound quality assurance area (4). In either case, after that preliminary process is completed, the cartons will be conveyed to the palletizing area. Pallets are then staged for pick up by a lift truck operator. Putaway: Once a pallet is staged for pick up, a task is sent to a lift truck operator. The WMS uses task interleaving to optimize processes, so a lift truck driver assigned to the task may also be doing replenishment activities. Pallets are delivered to a drop off location in the very narrow aisle rack reserve storage area (5). Turret truck operators are typically assigned to one, two or three aisles. The operator scans the pallet and is directed to a putaway location. Once there, he scans a location bar code to confirm the putaway and is then assigned another task by the WMS. Picking: Skechers fills orders from several different retail channels. To the automated system, however, the process is the same. Depending on the order, product can be pulled from reserve storage (5) or from the mini-load AS/RS used to store loose picks (6). A loose pick is a partially full open carton that has already been used in part to fill other orders. - Mini-load picks: Loose pick cartons are conveyed from the mini-load to an induction station (7) for the cross-belt sortation system (8). The license plate bar code label on the carton is scanned by a stationary scanner in route. The SKUs and the number of shoes to be pulled from that master carton are displayed on a monitor. Shoe boxes are placed on an induction conveyor, where they enter the sortation system. The shoes are then sorted to a packing chute and delivered to the packing area (9). If the order doesn’t require all of the contents of the master carton, it will be conveyed back to the mini-load (6) for storage. - Storage area picks: Items that can’t be filled from the mini-load are retrieved from the reserve storage (5) area. The WMS assigns the task to an order picker who will pick the cartons to a pallet. Once all of the cartons for that task have been picked, the pallet is delivered to a case induction area (7) adjacent to the pallet building area. Once the pallet is scanned, the cartons are placed on an induction conveyor and are sorted to a packing chute area (9). - Packing and shipping: Pairs coming down a packing chute into the packing area (9) have already been cubed by the WMS, which determines what size shipping case to use for an order. That information is sent to the handheld scanner used by packers. The right size carton is removed from an overhead conveyor. Once the contents for that order are loaded into the shipping container, the associate scans a license plate bar code label on the container, the bar code label on the chute and then seals the container with tape. The outbound shipping label is automatically applied at a print-and-apply station. At that point, the carton will be handled in one of three ways. - Direct to shipping: Cartons that are ready to ship as is are conveyed directly to the shipping area (10) where they will be palletized and stretch-wrapped for Skechers stores or wholesale customers that order by the pallet. Everything else will be floor-loaded in an outbound trailer. The order is now ready to ship. - Value-added services: Other cartons will be sent to a value-added services area (11) on the mezzanine level where special labeling will be applied. From the value-added services area, the cartons will be conveyed to the shipping area (10) for palletizing or floor loading into a trailer. - Buffer storage in the mini-load AS/RS: Remaining cartons will be stored temporarily in the facility’s second mini-load AS/RS (12) which provides temporary buffer storage for orders that are ready to ship before the customer is ready to pick them up. Once those orders have been cleared for pickup and delivery, they are conveyed to the shipping area (10) and loaded onto a trailer.	5,072	end_of_word	company	remove_one_sentence	<url> https://www.mmh.com/images/site/MMH1112_SysReport_Skechers.pdf </url> <text> Skechers tones up its Paul Galliher, senior vice president of global distribution, stands in front of packing chutes serviced by a cross-belt unit sorter. Skechers USA, the No. 2 footwear company, is known for its Shape-ups line of fitness shoes that are designed to “change your life by changing the way you walk.” The idea is that a good design can make us more efficient and effective in the things we do every day. Skechers took a similar approach in the design of its new 1.82-million-square-foot, $225 million distribution center in Rancho Belago, an inland community about 80 miles west of the port in Long Beach, Calif., where Skechers imports all of its footwear and athletic gear. The DC consists of three distinct areas of work, each measuring about 600,000 square feet. Two areas are devoted to receiving with about 400,000 square feet of reserve storage in each; the space in the middle is dedicated to order fulfillment and shipping. The new facility shapes up distribution processes by consolidating activities that were once spread across 1.7 million square feet and five leased facilities in southern California into one highly automated DC to handle all of the footwear company’s North American distribution. “Each of those buildings had different equipment and each handled a different piece of the order fulfillment process,” says Paul Galliher, senior vice president of global distribution. “We spent a lot of money due to the additional handling required to move product between buildings for the order fulfillment processes.” The new facility is not only one of the largest distribution centers in California, it was designed to be one of the most efficient. Although the facility is just now going live, Skechers worked with a systems integrator (Wynright, wynright.com) to design an automated materials handling system that not only minimizes the number of times a pair of shoes is handled between receiving and shipping, but is capable of managing an inventory of 70,000 stock keeping units (SKUs) and processing approximately 17,000 pairs of shoes per hour. That’s more than double the 7,000 pairs per hour handled in its old buildings. The number of times a product is touched between receiving and shipping has been reduced by at least 50%. Similarly, the new facility requires about 300 employees for average volumes and an estimated 500 during peak periods. That is less than half of the 1,200 associates used during peak periods when Skechers was operating five DCs. At the heart of the system are two mini-load automated storage and retrieval systems (AS/RS; Daifuku Webb, daifukuamerica.com): - One is a 12-aisle system with 58,000 square feet of storage space and nearly 106,000 storage positions. This system was implemented to store partially filled master cartons, known as loose picks in the Skechers facility. Skechers’ new facility features two mini-load AS/RS systems (left) and a narrow-belt shipping sorter (right). • The other is a 44-aisle system with 150,000 square feet of space and more than 257,000 storage positions. This system holds packed orders until they are ready to ship. Both mini-load AS/RS units are able to accommodate a random range of carton and box sizes, from 34 x 24 inches to 10 x 10 inches. Both also use motor driven roller conveyor and transfer stations to sort cartons rather than conventional sortation technology. In addition to the two mini-loads, Skechers installed a cross-belt sortation system to feed the facility’s packing stations; energy-saving motor driven roller conveyor; a narrow-belt shipping sorter servicing 26 shipping door accumulation lanes; an estimated 800,000 square feet of very narrow aisle reserve storage area; and a 135,000-square-foot mezzanine that was the winner of the 2011 design award from the Steel Joist Institute. The mezzanine is used for value-added services, print and apply, and taping prior to shipping. The facility allows Skechers to meet two important strategic goals: It consolidates operations, and it sets the stage for continued growth. “This is the first time since 1995 that we have had all of our North American distribution under one roof, and back then we were a much smaller company,” Galliher says. “We also have options on the adjacent property. That will allow us to expand in the same area if we outgrow this facility.” And while it is one of the largest distribution centers in California and the largest LEED-certified building in North America, 1.82 million square feet under-represents just how big the facility really is. “We have 45-foot ceilings and use all very narrow aisle racking for reserve storage in addition to the two AS/RS,” says Galliher. “If this were a traditional DC with 30-foot ceilings and conventional pallet rack, we would need significantly more space.” Running at full speed Skechers was founded in California in 1992 to import Doc Martens into the United States. Today, the company is now the No. 2 footwear company in North America with just more than $2 billion in sales in 2010. The company<cursor_is_here> The Skechers story is about more than just sales growth. Over the past 19 years, Skechers has broadened its product line to encompass nearly all of the categories of footwear, from athletic shoes to casual shoes to sandals to kids shoes—a total of some 70,000 SKUs. The company is also a multi-channel marketer. In addition to 300 retail and outlet stores around the world, Skechers sells to wholesalers, to other retailers and directly to consumers. “One of the things that makes us unique is that we don’t have a direct competitor,” says Galliher. “We compete with every other shoe company and on a different level with each.” Growth across those different lines and channels was a key factor in the decision to build a new DC. Between 1997 and 2007, Skechers added DCs to its network like adding charms to a bracelet. “We were growing quickly and gobbling up additional space to get product out the door,” Galliher says. For instance, after outgrowing its original DC in Compton, the company took over a facility when LA Gear went out of business, then took over a second nearby building with a tilt tray sorter when it outgrew the first building. Other facilities were added on an as-needed basis. Those buildings varied in ceiling height and in equipment, with some buildings sporting conventional aisle storage, some with narrow aisle storage and some with very narrow aisle storage. What’s more, product was received from the ports in one building, picked and packed in another and potentially picked up in a third. “We were constantly shipping product from one building to the next until it got to the right place,” Galliher explains. “We were our best transportation customer.” Growth-driven design Skechers began the design process for the new facility just ahead of the financial meltdown, signing a lease for the building in 2007. After an extended permitting process, Skechers broke ground in June of 2010. According to Galliher, there were several key goals that resulted in the final design of the system. One roof: Yes, Skechers wanted to consolidate a hodge-podge of operations under one roof, but it also wanted to maintain one central point for North American distribution rather than develop a distribution network. “Our belief is that when you have regional DCs, you end up with inventory on the East Coast that you need on the West Coast and vice versa,” Galliher says. “There are challenges to positioning the right inventory in the right places.” Just as important, he adds, Skechers still operates a close-knit operation. “We’re a public corporation, but we still think of our associates as family,” Galliher says. “That would have been lost if we developed a regional model.” Skechers does work with two 3PLs to distribute to Canada. Keep it scalable: The buildings and the automation systems were designed so that Skechers could put in a piece of equipment and generate savings now and still add on to those systems at a later point as the business grows. For instance, both AS/RS units are expandable. Moreover, Skechers purchased an adjacent lot big enough for another facility should it outgrow this one. Automate with a purpose Automation, including the two mini-load AS/RS units and the cross-belt sorter, were central to controlling labor in the new facility. For instance, packing and shipping were two areas that required a large labor component under the old model. Shoes are shipped to Skechers in master packs of six pairs of adult shoes or 12 pairs of children’s shoes in a solid color. Most customers, however, order an assortment of styles, sizes and colors. To fill those orders required breaking down the pre-packs, picking and re-packing the number of “loose pairs” required for an order, and returning the partially depleted carton to storage. All that processing required a lot of hands and touches. Similarly, Skechers often packed orders and staged them on the shipping dock for customers who did their own pick ups. The process not only required labor, it consumed valuable real estate in the shipping area. The mini-loads addressed both of those issues. One system is designated to store and deliver partially depleted loose pick cartons to an induction platform for the cross-belt sorter. “It took a lot of people to pull those pairs from the shelves and repack them,” says Galliher. “Now, the mini-load delivers a carton to the induction station, an associate picks the pairs needed for an order, and the carton is automatically returned to storage.” Similarly, items for a pack-and-hold order are prepared for the customer and then automatically delivered to the other mini-load, where they are held in very dense storage until a customer is ready to pick them up. While this is a highly automated facility, it was automated with a purpose. The idea was to get the benefit from automation without being bound by automation. “We were very sensitive to cost,” Galliher says. “Every time we added a component, we weighed what we were trying to achieve against the return on investment to decide where we could get value from automation compared to a conventional solution.” For example, the mini-load in the loose pick area is designed to handle the facility’s normal capacity. A conventional process was designed for the spikes in demand that occur on one or two days at the end of each quarter. At those times, the system diverts some of the loose-pick cartons to a conventional palletizing station early in the shift. The pallets are then staged in lanes until the items are required at the induction area for an order wave. Yes, it’s manual, but it was a more cost-effective solution than sizing the automation to handle volumes that might only occur four to eight days a year. Skechers also relies on conventional processes in the value-added services area located on the mezzanine. “We have customers who do pre-orders and give us their packaging and labeling requirements,” says Galliher. “Those used to be processed in a different building from our other orders. Now, we do everything out of one facility. That means that the look of the packaging, the paperwork and the product will be the same.” The new facility has only recently gone live, so hard metrics on the performance of the new facility are not yet available. But, Skechers is optimistic. “We designed the facility to deliver a five-year ROI,” says Galliher. “If we do that, we will have achieved what we set out to do.” Optimized case handling Skechers’ new facility brings together automated storage, cross-belt sortation and conveyor to handle multi-channel order fulfillment from one system. By Bob Trebilcock, Executive Editor Through the consolidation of five facilities into one, large and highly automated facility, Skechers is able to fill orders for its own retail stores, other retail and wholesale customers as well as direct-to-consumer Web orders. Receiving: Located about 80 miles from Long Beach, Calif., the facility Skechers USA Rancho Belago, Calif. SIZE: 1.82 million square feet PRODUCTS HANDLED: footwear STOCK KEEPING UNITS: 70,000 THROUGHPUT: 17,000 pairs of shoes per hour through pick and pack operations EMPLOYEES: 300 in operations SHIFTS/DAYS: 2 shifts/5 days receives an advanced ship notification (ASN) detailing the contents of a shipment prior to the arrival of a container at the receiving dock (1). The contents of the floor-loaded containers are put on a belt conveyor (2) and a license plate label on the carton is read by a stationary scanner. Inbound product can be handled in several ways. Some items will be automatically conveyed to a palletizing area (3) where the cartons are sorted by style, color and size. Preprinted pallet labels are applied to a pallet. An associate scans the pallet label and the product label to associate the products on the pallet with that license plate in the warehouse management system (WMS). Other items will go through a preliminary step before they are sent to the palletizing area. For instance, items that are new to the facility are routed first to an inbound quality assurance area (4). In either case, after that preliminary process is completed, the cartons will be conveyed to the palletizing area. Pallets are then staged for pick up by a lift truck operator. Putaway: Once a pallet is staged for pick up, a task is sent to a lift truck operator. The WMS uses task interleaving to optimize processes, so a lift truck driver assigned to the task may also be doing replenishment activities. Pallets are delivered to a drop off location in the very narrow aisle rack reserve storage area (5). Turret truck operators are typically assigned to one, two or three aisles. The operator scans the pallet and is directed to a putaway location. Once there, he scans a location bar code to confirm the putaway and is then assigned another task by the WMS. Picking: Skechers fills orders from several different retail channels. To the automated system, however, the process is the same. Depending on the order, product can be pulled from reserve storage (5) or from the mini-load AS/RS used to store loose picks (6). A loose pick is a partially full open carton that has already been used in part to fill other orders. - Mini-load picks: Loose pick cartons are conveyed from the mini-load to an induction station (7) for the cross-belt sortation system (8). The license plate bar code label on the carton is scanned by a stationary scanner in route. The SKUs and the number of shoes to be pulled from that master carton are displayed on a monitor. Shoe boxes are placed on an induction conveyor, where they enter the sortation system. The shoes are then sorted to a packing chute and delivered to the packing area (9). If the order doesn’t require all of the contents of the master carton, it will be conveyed back to the mini-load (6) for storage. - Storage area picks: Items that can’t be filled from the mini-load are retrieved from the reserve storage (5) area. The WMS assigns the task to an order picker who will pick the cartons to a pallet. Once all of the cartons for that task have been picked, the pallet is delivered to a case induction area (7) adjacent to the pallet building area. Once the pallet is scanned, the cartons are placed on an induction conveyor and are sorted to a packing chute area (9). - Packing and shipping: Pairs coming down a packing chute into the packing area (9) have already been cubed by the WMS, which determines what size shipping case to use for an order. That information is sent to the handheld scanner used by packers. The right size carton is removed from an overhead conveyor. Once the contents for that order are loaded into the shipping container, the associate scans a license plate bar code label on the container, the bar code label on the chute and then seals the container with tape. The outbound shipping label is automatically applied at a print-and-apply station. At that point, the carton will be handled in one of three ways. - Direct to shipping: Cartons that are ready to ship as is are conveyed directly to the shipping area (10) where they will be palletized and stretch-wrapped for Skechers stores or wholesale customers that order by the pallet. Everything else will be floor-loaded in an outbound trailer. The order is now ready to ship. - Value-added services: Other cartons will be sent to a value-added services area (11) on the mezzanine level where special labeling will be applied. From the value-added services area, the cartons will be conveyed to the shipping area (10) for palletizing or floor loading into a trailer. - Buffer storage in the mini-load AS/RS: Remaining cartons will be stored temporarily in the facility’s second mini-load AS/RS (12) which provides temporary buffer storage for orders that are ready to ship before the customer is ready to pick them up. Once those orders have been cleared for pickup and delivery, they are conveyed to the shipping area (10) and loaded onto a trailer. </text>	[ { "content": "<url>\nhttps://www.mmh.com/images/site/MMH1112_SysReport_Skechers.pdf\n</url>\n<text>\nSkechers tones up its\n\nPaul Galliher, senior vice president of global distribution, stands in front of packing chutes serviced by a cross-belt unit sorter.\n\nSkechers USA, the No. 2 footwear company, is known for its Shape-ups line of fitness shoes that are designed to “change your life by changing the way you walk.” The idea is that a good design can make us more efficient and effective in the things we do every day.\n\nSkechers took a similar approach in the design of its new 1.82-million-square-foot, $225 million distribution center in Rancho Belago, an inland community about 80 miles west of the port in Long Beach, Calif., where Skechers imports all of its footwear and athletic gear.\n\nThe DC consists of three distinct areas of work, each measuring about 600,000 square feet. Two areas are devoted to receiving with about 400,000 square feet of reserve storage in each; the space in the middle is dedicated to order fulfillment and shipping.\n\nThe new facility shapes up distribution processes by consolidating activities that were once spread across 1.7 million square feet and five leased facilities in southern California into one highly automated DC to handle all of the footwear company’s North American distribution.\n\n“Each of those buildings had different equipment and each handled a different piece of the order fulfillment process,” says Paul Galliher, senior vice president of global distribution. “We spent a lot of money due to the additional handling required to move product between buildings for the order fulfillment processes.”\n\nThe new facility is not only one of the largest distribution centers in California, it was designed to be one of the most efficient. Although the facility is just now going live, Skechers worked with a systems integrator (Wynright, wynright.com) to design an automated materials handling system that not only minimizes the number of times a pair of shoes is handled between receiving and shipping, but is capable of managing an inventory of 70,000 stock keeping units (SKUs) and processing approximately 17,000 pairs of shoes per hour. That’s more than double the 7,000 pairs per hour handled in its old buildings.\n\nThe number of times a product is touched between receiving and shipping has been reduced by at least 50%. Similarly, the new facility requires about 300 employees for average volumes and an estimated 500 during peak periods. That is less than half of the 1,200 associates used during peak periods when Skechers was operating five DCs.\n\nAt the heart of the system are two mini-load automated storage and retrieval systems (AS/RS; Daifuku Webb, daifukuamerica.com):\n\n- One is a 12-aisle system with 58,000 square feet of storage space and nearly 106,000 storage positions. This system was implemented to store partially filled master cartons, known as loose picks in the Skechers facility.\n\nSkechers’ new facility features two mini-load AS/RS systems (left) and a narrow-belt shipping sorter (right).\n\n• The other is a 44-aisle system with 150,000 square feet of space and more than 257,000 storage positions. This system holds packed orders until they are ready to ship.\n\nBoth mini-load AS/RS units are able to accommodate a random range of carton and box sizes, from 34 x 24 inches to 10 x 10 inches. Both also use motor driven roller conveyor and transfer stations to sort cartons rather than conventional sortation technology.\n\nIn addition to the two mini-loads, Skechers installed a cross-belt sortation system to feed the facility’s packing stations; energy-saving motor driven roller conveyor; a narrow-belt shipping sorter servicing 26 shipping door accumulation lanes; an estimated 800,000 square feet of very narrow aisle reserve storage area; and a 135,000-square-foot mezzanine that was the winner of the 2011 design award from the Steel Joist Institute. The mezzanine is used for value-added services, print and apply, and taping prior to shipping.\n\nThe facility allows Skechers to meet two important strategic goals: It consolidates operations, and it sets the stage for continued growth.\n\n“This is the first time since 1995 that we have had all of our North American distribution under one roof, and back then we were a much smaller company,” Galliher says. “We also have options on the adjacent property. That will allow us to expand in the same area if we outgrow this facility.”\n\nAnd while it is one of the largest distribution centers in California and the largest LEED-certified building in North America, 1.82 million square feet under-represents just how big the facility really is. “We have 45-foot ceilings and use all very narrow aisle racking for reserve storage in addition to the two AS/RS,” says Galliher. “If this were a traditional DC with 30-foot ceilings and conventional pallet rack, we would need significantly more space.”\n\nRunning at full speed\n\nSkechers was founded in California in 1992 to import Doc Martens into the United States. Today, the company is now the No. 2 footwear company in North America with just more than $2 billion in sales in 2010. The company<cursor_is_here>\n\nThe Skechers story is about more than just sales growth. Over the past 19 years, Skechers has broadened its product line to encompass nearly all of the categories of footwear, from athletic shoes to casual shoes to sandals to kids shoes—a total of some 70,000 SKUs.\n\nThe company is also a multi-channel marketer. In addition to 300 retail and outlet stores around the world, Skechers sells to wholesalers, to other retailers and directly to consumers. “One of the things that makes us unique is that we don’t have a direct competitor,” says Galliher. “We compete with every other shoe company and on a different level with each.”\n\nGrowth across those different lines and channels was a key factor in the decision to build a new DC. Between 1997 and 2007, Skechers added DCs to its network like adding charms to a bracelet. “We were growing quickly and gobbling up additional space to get product out the door,” Galliher says.\n\nFor instance, after outgrowing its original DC in Compton, the company took over a facility when LA Gear went out of business, then took over a second nearby building with a tilt tray sorter when it outgrew the first building. Other\n\nfacilities were added on an as-needed basis. Those buildings varied in ceiling height and in equipment, with some buildings sporting conventional aisle storage, some with narrow aisle storage and some with very narrow aisle storage.\n\nWhat’s more, product was received from the ports in one building, picked and packed in another and potentially picked up in a third. “We were constantly shipping product from one building to the next until it got to the right place,” Galliher explains. “We were our best transportation customer.”\n\nGrowth-driven design\n\nSkechers began the design process for the new facility just ahead of the financial meltdown, signing a lease for the building in 2007. After an extended permitting process, Skechers broke ground in June of 2010.\n\nAccording to Galliher, there were several key goals that resulted in the final design of the system.\n\nOne roof: Yes, Skechers wanted to consolidate a hodge-podge of operations under one roof, but it also wanted to maintain one central point for North American distribution rather than develop a distribution network. “Our belief is that when you have regional DCs, you end up with inventory on the East Coast that you need on the West Coast and vice versa,” Galliher says. “There are challenges to positioning the right inventory in the right places.”\n\nJust as important, he adds, Skechers still operates a close-knit operation. “We’re a public corporation, but we still think of our associates as family,” Galliher says. “That would have been lost if we developed a regional model.” Skechers does work with two 3PLs to distribute to Canada.\n\nKeep it scalable: The buildings and the automation systems were designed so that Skechers could put in a piece of equipment and generate savings now and still add on to those systems at a later point as the business grows. For instance, both AS/RS units are expandable. Moreover, Skechers purchased an adjacent lot big enough for another facility should it outgrow this one.\n\nAutomate with a purpose\n\nAutomation, including the two mini-load AS/RS units and the cross-belt sorter, were central to controlling labor in the new facility.\n\nFor instance, packing and shipping were two areas that required a large labor component under the old model. Shoes are shipped to Skechers in master packs of six pairs of adult shoes or 12 pairs of children’s shoes in a solid color. Most customers, however, order an assortment of styles, sizes and colors. To fill those orders required breaking down the pre-packs, picking and re-packing the number of “loose pairs” required for an order, and returning the partially depleted carton to storage. All that processing required a lot of hands and touches.\n\nSimilarly, Skechers often packed orders and staged them on the shipping dock for customers who did their own pick ups. The process not only required labor, it consumed valuable real estate in the shipping area.\n\nThe mini-loads addressed both of those issues. One system is designated to store and deliver partially depleted loose pick cartons to an induction platform for the cross-belt sorter. “It took a lot of people to pull those pairs from the shelves and repack them,” says Galliher. “Now, the mini-load delivers a carton to the induction station, an associate picks the pairs needed for an\n\norder, and the carton is automatically returned to storage.”\n\nSimilarly, items for a pack-and-hold order are prepared for the customer and then automatically delivered to the other mini-load, where they are held in very dense storage until a customer is ready to pick them up.\n\nWhile this is a highly automated facility, it was automated with a purpose. The idea was to get the benefit from automation without being bound by automation. “We were very sensitive to cost,” Galliher says. “Every time we added a component, we weighed what we were trying to achieve against the return on investment to decide where we could get value from automation compared to a conventional solution.”\n\nFor example, the mini-load in the loose pick area is designed to handle the facility’s normal capacity. A conventional process was designed for the spikes in demand that occur on one or two days at the end of each quarter. At those times, the system diverts some of the loose-pick cartons to a conventional palletizing station early in the shift. The pallets are then staged in lanes until the items are required at the induction area for an order wave. Yes, it’s manual, but it was a more cost-effective solution than sizing the automation to handle volumes that might only occur four to eight days a year.\n\nSkechers also relies on conventional processes in the value-added services area located on the mezzanine. “We have customers who do pre-orders and give us their packaging and labeling requirements,” says Galliher. “Those used to be processed in a different building from our other orders. Now, we do everything out of one facility. That means that the look of the packaging, the paperwork and the product will be the same.”\n\nThe new facility has only recently gone live, so hard metrics on the performance of the new facility are not yet available. But, Skechers is optimistic. “We designed the facility to deliver a five-year ROI,” says Galliher. “If we do that, we will have achieved what we set out to do.”\n\nOptimized case handling\n\nSkechers’ new facility brings together automated storage, cross-belt sortation and conveyor to handle multi-channel order fulfillment from one system.\n\nBy Bob Trebilcock, Executive Editor\n\nThrough the consolidation of five facilities into one, large and highly automated facility, Skechers is able to fill orders for its own retail stores, other retail and wholesale customers as well as direct-to-consumer Web orders.\n\nReceiving: Located about 80 miles from Long Beach, Calif., the facility\n\nSkechers USA\nRancho Belago, Calif.\nSIZE: 1.82 million square feet\nPRODUCTS HANDLED: footwear\nSTOCK KEEPING UNITS: 70,000\nTHROUGHPUT: 17,000 pairs of shoes per hour through pick and pack operations\nEMPLOYEES: 300 in operations\nSHIFTS/DAYS: 2 shifts/5 days\n\nreceives an advanced ship notification (ASN) detailing the contents of a shipment prior to the arrival of a container at the receiving dock (1). The contents of the floor-loaded containers are put on a belt conveyor (2) and a license plate label on the carton is read by a stationary scanner.\n\nInbound product can be handled in several ways. Some items will be automatically conveyed to a palletizing area (3) where the cartons are sorted by style, color and size. Preprinted pallet labels are applied to a pallet. An associate scans the pallet label and the product label to associate the products on the pallet with that license plate in the warehouse management system (WMS). Other items will go through a preliminary step before they are sent to the palletizing area. For instance, items that are new to the facility are routed first to an inbound quality assurance area (4). In either case, after that preliminary process is completed, the cartons will be conveyed to the palletizing area. Pallets are then staged for pick up by a lift truck operator.\n\nPutaway: Once a pallet is staged for pick up, a task is sent to a lift truck operator. The WMS uses task interleaving to optimize processes, so a lift truck driver assigned to the task may also be doing replenishment activities. Pallets are delivered to a drop off location in the very narrow aisle rack reserve storage area (5). Turret truck operators are typically assigned to one, two or three aisles. The operator scans the pallet and is directed to a putaway location. Once there, he scans a location bar code to confirm the putaway and is then assigned another task by the WMS.\n\nPicking: Skechers fills orders from several different retail channels. To the automated system, however, the process is the same. Depending on the order, product can be pulled from reserve storage (5) or from the mini-load AS/RS used to store loose picks (6). A loose pick is a partially full open carton that has already been used in part to fill other orders.\n\n- Mini-load picks: Loose pick cartons are conveyed from the mini-load to an induction station (7) for the cross-belt sortation system (8). The license plate bar code label on the carton is scanned by a stationary scanner in route. The SKUs and the number of shoes to be pulled from that master carton are displayed on a monitor. Shoe boxes are placed on an induction conveyor, where they enter the sortation system. The shoes are then sorted to a packing chute and delivered to the packing area (9). If the order doesn’t require all of the contents of the master carton, it will be conveyed back to the mini-load (6) for storage.\n\n- Storage area picks: Items that can’t be filled from the mini-load are retrieved from the reserve storage (5) area. The WMS assigns the task to an order picker who will pick the cartons to a pallet. Once all of the cartons for that task have been picked, the pallet is delivered to a case induction area (7) adjacent to the pallet building area. Once the pallet is scanned, the cartons are placed on an induction conveyor and are sorted to a packing chute area (9).\n\n- Packing and shipping: Pairs coming down a packing chute into the packing area (9) have already been cubed by the WMS, which determines what size shipping case to use for an order. That information is sent to the handheld scanner used by packers. The right size carton is removed from an overhead conveyor. Once the contents for that order are loaded into the shipping container, the associate scans a license plate bar code label on the container, the bar code label on the chute and then seals the container with tape. The outbound shipping label is automatically applied at a print-and-apply station. At that point, the carton will be handled in one of three ways.\n\n- Direct to shipping: Cartons that are ready to ship as is are conveyed directly to the shipping area (10) where they will be palletized and stretch-wrapped for Skechers stores or wholesale customers that order by the pallet. Everything else will be floor-loaded in an outbound trailer. The order is now ready to ship.\n\n- Value-added services: Other cartons will be sent to a value-added services area (11) on the mezzanine level where special labeling will be applied. From the value-added services area, the cartons will be conveyed to the shipping area (10) for palletizing or floor loading into a trailer.\n\n- Buffer storage in the mini-load AS/RS: Remaining cartons will be stored temporarily in the facility’s second mini-load AS/RS (12) which provides temporary buffer storage for orders that are ready to ship before the customer is ready to pick them up. Once those orders have been cleared for pickup and delivery, they are conveyed to the shipping area (10) and loaded onto a trailer.\n</text>\n", "role": "user" }, { "content": " focuses on designing and marketing its line of shoes while working with contractors in China and other emerging markets to manufacture its lines.", "role": "assistant" } ]
University of Nebraska - Lincoln DigitalCommons@University of Nebraska - Lincoln Honors in Practice -- Online Archive National Collegiate Honors Council 2018 Editor's Introduction: Editor's Introduction: Hip Hip Now, Now, Hip Hip Then Then Ada Long University of Alabama, Birmingham Follow this and additional works at: https://digitalcommons.unl.edu/nchchip Long, Ada, "Editor's Introduction: Hip Now, Hip Then" (2018). Honors in Practice -- Online Archive. 278. https://digitalcommons.unl.edu/nchchip/278 This Article is brought to you for free and open access by the National Collegiate Honors Council at DigitalCommons@University of Nebraska - Lincoln. It has been accepted for inclusion in Honors in Practice -Online Archive by an authorized administrator of DigitalCommons@University of Nebraska - Lincoln. editor's introduction: hip now, hip then Ada Long University of Alabama at Birmingham This volume of Honors in Practice contains essays both new and old, demonstrating the variety of subjects and approaches that have characterized the journal since its outset and also suggesting some realignment over time toward a greater focus on research and objective analysis. This trend perhaps reflects the increasing professionalization of honors since the inaugural volume of HIP in 2005. HIP Now The volume begins with four new essays that spotlight curricular innovations, study abroad, and interactions between honors administrators and students' families. All offer practical ideas in the context of previous literature and current realities. The other three new essays focus on improving the honors experience for students. In "Hearing the Marginalized Voice in the Great Books Curriculum," Jennie Woodard describes diversifying a Great Books curriculum at the University of Maine, constructing "a set of pedagogical tools that encourage students to hear voices in the texts that otherwise might be silenced." This initiative resulted from students' observations in their end-of-semester reflective essays that they "wanted more women, more texts produced by people of color, more non-European narratives, more attention paid to class systems." In the first essay, "Including Families in the Honors Experience," Melissa L. Johnson of the University of Florida makes a persuasive case for developing formal structures to connect families with honors programs. Acknowledging that most honors administrators complain about helicopter parents, Johnson cites research showing that family involvement—"family" being a broadly inclusive term here—has a positive impact on the social wellbeing and academic performance of students. She describes various kinds of family-oriented initiatives currently in practice before describing such programs at the University of Florida, which include, for instance, family weekends, Facebook groups, annual giving campaigns, and orientation break-out groups. Johnson describes the benefits that these activities have had for students, families, and the honors program at the University of Florida and suggests ways to implement them in other honors programs. In addition to adding and contextualizing new texts, Woodard describes deploying an intersectional lens so that students "see beyond a monolithic oppression against an identity population or a particular -ism (sexism, racism, etc.) and understand that oppression is increasingly complex the more identity markers are included in a social issue." She provides detailed instructions and an illustration of how to provide an intersectional approach to redeem and enrich a Great Books curriculum. The last of the current essays is "A Structured Course for Personal and Professional Development," in which Deirdre D. Ragan describes the attempt "to intertwine career exploration and academic advising within a defined curriculum" at The Citadel. After summarizing best practices for career readiness, academic advising, and career counseling, Ragan argues that "college students are well-served by a mandatory, credit-bearing, four-year course of study that synthesizes key aspects of academic and career counseling into one setting" and describes in detail what such a curriculum might look like. She then describes the implementation of such a curriculum in The Citadel Honors Program's Personal and Professional Development plan. She outlines components of the plan, describes the success of the course model, provides student testimonials, and contends that "combined with a rigorous undergraduate curriculum, [the plan] produces a mature, critical thinker who is poised for a successful career." In "Student Preferences for Faculty-Led Honors Study Abroad Experiences," Nicholas R. Arens, Hanna Holmquist, and Rebecca C. Bott-Knutson describe the interdisciplinary model for study abroad in the Fishback Honors College at South Dakota State University (SDSU). After a literature survey on the models and benefits of study abroad, the authors present the results of their recent study of the effectiveness of the SDSU model in terms of location, cost, length, and outcomes. Their findings indicate, for instance, that the most important factor for students was cost and the least was the faculty leaders. The survey also showed "a positive correlation between our program's interdisciplinary focus and students' desires for an interdisciplinary study abroad experience in honors." The results generally reinforced other research on study abroad, such as the preference for Europe as a destination, and it confirmed the desirability for their students of the model they had developed at SDSU. HIP Then While the current essays generally look ahead to suggested improvements in honors education, we now take the opportunity to look backward at some of the finest examples of essays from the first ten years of Honors in Practice. These essays, too, suggest improvements for honors, representing some of the journal's best ideas and insights. The essays also combine to form a retrospective panorama of national and international thinking about careers, curricula, technology, philosophy, experiential learning, STEM disciplines, arts, and humanities. The second essay (2006) is one of HIP's first international publications: "Honors in Chile: New Engagements in the Higher Education System" by Juan Carlos Skewes, then of the Universidad Austral de Chile, Carlos Alberto Cioce Sampaio of the Universidade Regional de Blumenau, and Frederick J. Conway of San Diego State University. The authors developed an honors program at the Universidad Austral de Chile (UACh) that was adapted to the challenges of a rural setting, rainy weather, and poorly prepared students. Funded by the Chilean Ministry of Education, the program addressed national concerns about inequities in education in a setting that provided a living laboratory for environmental studies. The honors program was part of a larger agenda "to bring together faculty from the natural and social sciences to study environmental problems and contribute to policy making at the national and local levels." This innovative, context-based program should still be an inspiration for new honors programs elsewhere, including the United States. The essays appear in chronological order, starting with the inaugural issue in 2005. The author of the first essay, Rosalie Otero, represents her own kind of inauguration as the first faculty member in the country to be tenured in honors, a distinction that has become far more common in the world of honors today. Her essay, "Tenure and Promotion in Honors," describes the value of an interdisciplinary faculty that has the legitimacy and self-sufficiency enjoyed in the traditional academic disciplines. Based on her experience at the University of New Mexico, she argues that granting tenure and promotion in honors represents a serious commitment to interdisciplinary teaching in an educational climate that, in 2005, undervalued both teaching and interdisciplinarity. As a pioneer in this rare new kind of honors environment, Otero provides advice for others following this path. The next essay (2007) is the earliest—and still one of too few—descriptions of integrating honors into a professional school. As honors administrators know, the accreditation requirements of professional schools present often insurmountable obstacles to student participation in honors programs, and engineering is typically the most challenging of all. One of several options for honors students in engineering at the University of Pittsburgh was created in 1980 and is described by Michael Giazzoni in "The Fessenden Honors in Engineering Program." This program was an outstanding model for meeting the challenge of integrating honors and engineering successfully but was, alas, phased out in 2012 when Giazzoni left the honors college. Nevertheless, honors administrators might do well to forward copies of this essay to their deans of engineering. Samuel Schuman's 2009 essay "Ending in Honors" addresses the fundamental questions of whether, when, how, and why an honors director or dean can best leave honors behind. With his usual civility and humor, Schuman speaks to those who plan, sooner or later, to retire from honors and gives sound advice on how to depart with good will toward and from their academic communities. As I noted in that issue of HIP, "A reader who is not yet far enough along to consider retirement would be wise to file this essay in a safe place; those who are about to retire should study it line by line; those who have already retired can discover what they did wrong and maybe even right." Characteristically, Sam's observations about retiring with grace can be extrapolated to insights about living graciously. Sam led the way for all of us by exemplifying grace and wisdom—even, alas, in endings. Honors in Practice has from time to time published especially memorable speeches or conference presentations, and the next three essays are examples written by three of the most influential figures in the history of honors. The first is Bernice Braid's "Majoring in the Minor: A Closer Look at Experiential Learning" in 2008. For those unfamiliar with Braid's work, or for those who have taken part in some of the many City as Text™ experiences, honors semesters, or honors institutes she has organized over the past five decades, this essay provides a compact introduction to her theoretical perspective and an overview of experiential learning as Braid has developed and promulgated it throughout her career. She argues here and always that "explorers who see themselves as natives in a new land are engaged. . . . [E]verywhere they go, even to books they have read before or hometowns they thought they wanted to escape, they have what it takes to see more than they did before and to feel the power of being able to create their own new pathways in any setting." Providing what might be a fitting companion piece to Schuman's essay, Ted L. Estess—Sam's close companion and fellow leader of Beginning in Honors—contributes his own grace and wisdom in "Becoming Part of a Story" (2010). In a moving contemplation of his long (at that time, thirtyone years) and distinguished career in honors, Estess tells a story about the pattern of his life and all our lives, in which a future that seems random and risky produces a past both coherent and meaningful. In Ted's case, the story was far from over, and his future has contained many more years of teaching in the University of Houston Honors College, even unto this day. At any stage of our own stories and careers in honors, we can find wisdom in Ted's story as it mirrors the confusion and clarity of all our lives. Above all, the essay is great fun to read; Ted always spins a fine yarn. A recent innovation in the NCHC's longtime commitment to experiential education has been the very popular and successful Partners in the Parks program, which was created in 2008 as a brainchild of Joan Digby. In "Honoring the National Parks: A Local Adaptation of a Partners in the Parks Adventure" (2012), Digby and Kathleen Nolan describe an NCHC Partners in the Parks program hosted by LIU Post—"From Fire Island to Ellis Island"—and the spinoff from it of a course called "Honoring the Parks" at St. Francis College. As the authors explain, "Like NCHC's City as Text™, Partners in the Parks appears to be developing a life of its own generating creative permutations that evolve naturally from local sites and participating institutions." The essay illustrates the way that NCHC-sponsored programs can spread from a single experience into multiple innovations at local and national levels. The authors also reveal the new energy to be gained by partnering with professionals outside of academia, in this case National Park Services rangers. As honors has moved into the tech world, submissions to HIP have increasingly focused on using online resources to enhance not just the classroom experience but all components of college life. In "Designing a Collaborative Blog about Student Success" (2011), Melissa L. Johnson, Alexander S. Plattner, and Lauren Hundley describe a strategy for facilitating student collaboration in honors. In the third semester of a four-course sequence at the University of Florida called Honors Professional Development, the students design, implement, and maintain an ongoing blog and vblog (video blog) to facilitate first-year students' successful involvement in campus and community life. In addition to individual blogs set up by each of the students throughout the course sequence, these blogs are a collaborative project to help first-year students succeed in college by, for instance, finding places to study, communicating with their professors, writing résumés, and managing their time effectively. The blogs helped new students and, perhaps even more, the students who created them, who learned about online skills, research, and teamwork. Over the years, HIP essays have inspired us to create new active learning experiences nationally and internationally, to develop new classroom strategies, to try new technologies, and to find new ways to improve honors education. From time to time we also publish essays that inspire us to be the best students, teachers, administrators, and people that we can be. Such an essay is "'In Landlessness Alone Resides the Highest Truth'; or, At Sea with Honors" (2013) by Don Dingledine of the University of Wisconsin Oshkosh. This eloquent, intricate, allusive, and ingenious essay likens the risky adventure of honors education to the dangerous quest for truth undertaken by Ishmael in Moby-Dick. Honors programs, like the Pequod, propel students beyond the familiar lands of their majors and professional goals, sending them out to sea where, like Ishmael, they examine that big whale of Truth from all angles, traditions, and disciplines, always seeking but never quite grasping the unknown and the unknowable. Dingledine describes models of honors education that exemplify the highest ideals of community, interdisciplinarity, integrity, and truth-seeking, connecting these ideals to our individual and collective survival. He inspires us to practice and cherish honors "not by clinging to the 'slavish shore' but by heading out to sea." The first decade of Honors in Practice reveals the truth of a passage written by Proust and quoted by Don Dingledine: "The only true voyage would be found not in traveling to strange lands but in having different eyes, in seeing the universe with the eyes of another person, of a hundred others, and seeing We conclude our celebration of the first ten years of Honors in Practice with a focus on the sciences. In "Ask Me about ISON: The Risks and Rewards of Teaching an Interdisciplinary Honors Course on a Scientific Event Unfolding in Real Time" (2014), William L. Vanderburgh and Martin Ratcliffe describe an honors course they taught at Wichita State University on the comet ISON. Ratcliffe, a planetarium astronomer, and Vanderburgh, a philosopher of science, gambled that ISON would be a major astronomical event of the twenty-first century and designed a course for the fall of 2013 that they could make up as they went along while following the progress of the comet. When the comet fizzled toward the end of the semester, they and their students learned that failure can be as interesting as success in studying an ongoing event in astronomy or in any other field; the unfolding narrative and the kinds of resources that lead to a thorough study of an event-in-progress lend excitement and drama to a course no matter what the outcome. The authors offer many good ideas, projects, models, and resources for generating such an interdisciplinary course. the hundred universes each of them sees, which each of them is." Each of the essays included here gives the reader new eyes, and collectively they suggest hundreds of ways of seeing, hundreds of universes to see—and this is what honors education is all about.	<urn:uuid:f1784d41-b83d-45fa-b58d-c549c0847384>	CC-MAIN-2023-23	https://digitalcommons.unl.edu/cgi/viewcontent.cgi?article=1279&context=nchchip	2023-05-28T09:48:57+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00031-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet	244,418,511	3,342	eng_Latn	eng_Latn	0.983158	eng_Latn	0.997774	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 821, 3116, 5762, 8486, 11269, 13972, 16775, 17036 ]	University of Nebraska - Lincoln DigitalCommons@University of Nebraska - Lincoln Honors in Practice -- Online Archive National Collegiate Honors Council 2018 Editor's Introduction: Editor's Introduction: Hip Hip Now, Now, Hip Hip Then Then Ada Long University of Alabama, Birmingham Follow this and additional works at: https://digitalcommons.unl.edu/nchchip Long, Ada, "Editor's Introduction: Hip Now, Hip Then" (2018). Honors in Practice -- Online Archive. 278. https://digitalcommons.unl.edu/nchchip/278 This Article is brought to you for free and open access by the National Collegiate Honors Council at DigitalCommons@University of Nebraska - Lincoln. It has been accepted for inclusion in Honors in Practice -Online Archive by an authorized administrator of DigitalCommons@University of Nebraska - Lincoln. editor's introduction: hip now, hip then Ada Long University of Alabama at Birmingham This volume of Honors in Practice contains essays both new and old, demonstrating the variety of subjects and approaches that have characterized the journal since its outset and also suggesting some realignment over time toward a greater focus on research and objective analysis. This trend perhaps reflects the increasing professionalization of honors since the inaugural volume of HIP in 2005. HIP Now The volume begins with four new essays that spotlight curricular innovations, study abroad, and interactions between honors administrators and students' families. All offer practical ideas in the context of previous literature and current realities. The other three new essays focus on improving the honors experience for students. In "Hearing the Marginalized Voice in the Great Books Curriculum," Jennie Woodard describes diversifying a Great Books curriculum at the University of Maine, constructing "a set of pedagogical tools that encourage students to hear voices in the texts that otherwise might be silenced." This initiative resulted from students' observations in their end-of-semester reflective essays that they "wanted more women, more texts produced by people of color, more non-European narratives, more attention paid to class systems." In the first essay, "Including Families in the Honors Experience," Melissa L. Johnson of the University of Florida makes a persuasive case for developing formal structures to connect families with honors programs. Acknowledging that most honors administrators complain about helicopter parents, Johnson cites research showing that family involvement—"family" being a broadly inclusive term here—has a positive impact on the social wellbeing and academic performance of students. She describes various kinds of family-oriented initiatives currently in practice before describing such programs at the University of Florida, which include, for instance, family weekends, Facebook groups, annual giving campaigns, and orientation break-out groups. Johnson describes the benefits that these activities have had for students, families, and the honors program at the University of Florida and suggests ways to implement them in other honors programs. In addition to adding and contextualizing new texts, Woodard describes deploying an intersectional lens so that students "see beyond a monolithic oppression against an identity population or a particular -ism (sexism, racism, etc.) and understand that oppression is increasingly complex the more identity markers are included in a social issue." She provides detailed instructions and an illustration of how to provide an intersectional approach to redeem and enrich a Great Books curriculum. The last of the current essays is "A Structured Course for Personal and Professional Development," in which Deirdre D. Ragan describes the attempt "to intertwine career exploration and academic advising within a defined curriculum" at The Citadel. After summarizing best practices for career readiness, academic advising, and career counseling, Ragan argues that "college students are well-served by a mandatory, credit-bearing, four-year course of study that synthesizes key aspects of academic and career counseling into one setting" and describes in detail what such a curriculum might look like. She then describes the implementation of such a curriculum in The Citadel Honors Program's Personal and Professional Development plan. She outlines components of the plan, describes the success of the course model, provides student testimonials, and contends that "combined with a rigorous undergraduate curriculum, [the plan] produces a mature, critical thinker who is poised for a successful career." In "Student Preferences for Faculty-Led Honors Study Abroad Experiences," Nicholas R. Arens, Hanna Holmquist, and Rebecca C. Bott-Knutson describe the interdisciplinary model for study abroad in the Fishback Honors College at South Dakota State University (SDSU). After a literature survey on the models and benefits of study abroad, the authors present the results of their recent study of the effectiveness of the SDSU model in terms of location, cost, length, and outcomes. Their findings indicate, for instance, that the most important factor for students was cost and the least was the faculty leaders. The survey also showed "a positive correlation between our program's interdisciplinary focus and students' desires for an interdisciplinary study abroad experience in honors." The results generally reinforced other research on study abroad, such as the preference for Europe as a destination, and it confirmed the desirability for their students of the model they had developed at SDSU. HIP Then While the current essays generally look ahead to suggested improvements in honors education, we now take the opportunity to look backward at some of the finest examples of essays from the first ten years of Honors in Practice. These essays, too, suggest improvements for honors, representing some of the journal's best ideas and insights. The essays also combine to form a retrospective panorama of national and international thinking about careers, curricula, technology, philosophy, experiential learning, STEM disciplines, arts, and humanities. The second essay (2006) is one of HIP's first international publications: "Honors in Chile: New Engagements in the Higher Education System" by Juan Carlos Skewes, then of the Universidad Austral de Chile, Carlos Alberto Cioce Sampaio of the Universidade Regional de Blumenau, and Frederick J. Conway of San Diego State University. The authors developed an honors program at the Universidad Austral de Chile (UACh) that was adapted to the challenges of a rural setting, rainy weather, and poorly prepared students. Funded by the Chilean Ministry of Education, the program addressed national concerns about inequities in education in a setting that provided a living laboratory for environmental studies. The honors program was part of a larger agenda "to bring together faculty from the natural and social sciences to study environmental problems and contribute to policy making at the national and local levels." This innovative, context-based program should still be an inspiration for new honors programs elsewhere, including the United States. The essays appear in chronological order, starting with the inaugural issue in 2005. The author of the first essay, Rosalie Otero, represents her own kind of inauguration as the first faculty member in the country to be tenured in honors, a distinction that has become far more common in the world of honors today. Her essay, "Tenure and Promotion in Honors," describes the value of an interdisciplinary faculty that has the legitimacy and self-sufficiency enjoyed in the traditional academic disciplines. Based on her experience at the University of New Mexico, she argues that granting tenure and promotion in honors represents a serious commitment to interdisciplinary teaching in an educational climate that, in 2005, undervalued both teaching and interdisciplinarity. As a pioneer in this rare new kind of honors environment, Otero provides advice for others following this path. The next essay (2007) is the earliest—and still one of too few—descriptions of integrating honors into a professional school. As honors administrators know, the accreditation requirements of professional schools present often insurmountable obstacles to student participation in honors programs, and engineering is typically the most challenging of all. One of several options for honors students in engineering at the University of Pittsburgh was created in 1980 and is described by Michael Giazzoni in "The Fessenden Honors in Engineering Program." This program was an outstanding model for meeting the challenge of integrating honors and engineering successfully but was, alas, phased out in 2012 when Giazzoni left the honors college. Nevertheless, honors administrators might do well to forward copies of this essay to their deans of engineering. Samuel Schuman's 2009 essay "Ending in Honors" addresses the fundamental questions of whether, when, how, and why an honors director or dean can best leave honors behind. With his usual civility and humor, Schuman speaks to those who plan, sooner or later, to retire from honors and gives sound advice on how to depart with good will toward and from their academic communities. As I noted in that issue of HIP, "A reader who is not yet far enough along to consider retirement would be wise to file this essay in a safe place; those who are about to retire should study it line by line; those who have already retired can discover what they did wrong and maybe even right." Characteristically, Sam's observations about retiring with grace can be extrapolated to insights about living graciously. Sam led the way for all of us by exemplifying grace and wisdom—even, alas, in endings. Honors in Practice has from time to time published especially memorable speeches or conference presentations, and the next three essays are examples written by three of the most influential figures in the history of honors. The first is Bernice Braid's "Majoring in the Minor: A Closer Look at Experiential Learning" in 2008. For those unfamiliar with Braid's work, or for those who have taken part in some of the many City as Text™ experiences, honors semesters, or honors institutes she has organized over the past five decades, this essay provides a compact introduction to her theoretical perspective and an overview of experiential learning as Braid has developed and promulgated it throughout her career. She argues here and always that "explorers who see themselves as natives in a new land are engaged. . . . [E]verywhere they go, even to books they have read before or hometowns they thought they wanted to escape, they have what it takes to see more than they did before and to feel the power of being able to create their own new pathways in any setting." Providing what might be a fitting companion piece to Schuman's essay, Ted L. Estess—Sam's close companion and fellow leader of Beginning in Honors—contributes his own grace and wisdom in "Becoming Part of a Story" (2010). In a moving contemplation of his long (at that time, thirtyone years) and distinguished career in honors, Estess tells a story about the pattern of his life and all our lives, in which a future that seems random and risky produces a past both coherent and meaningful. In Ted's case, the story was far from over, and his future has contained many more years of teaching in the University of Houston Honors College, even unto this day. At any stage of our own stories and careers in honors, we can find wisdom in Ted's story as it mirrors the confusion and clarity of all our lives. Above all, the essay is great fun to read; Ted always spins a fine yarn. A recent innovation in the NCHC's longtime commitment to experiential education has been the very popular and successful Partners in the Parks program, which was created in 2008 as a brainchild of Joan Digby. In "Honoring the National Parks: A Local Adaptation of a Partners in the Parks Adventure" (2012), Digby and Kathleen Nolan describe an NCHC Partners in the Parks program hosted by LIU Post—"From Fire Island to Ellis Island"—and the spinoff from it of a course called "Honoring the Parks" at St. Francis College. As the authors explain, "Like NCHC's City as Text™, Partners in the Parks appears to be developing a life of its own generating creative permutations that evolve naturally from local sites and participating institutions." The essay illustrates the way that NCHC-sponsored programs can spread from a single experience into multiple innovations at local and national levels. The authors also reveal the new energy to be gained by partnering with professionals outside of academia, in this case National Park Services rangers. As honors has moved into the tech world, submissions to HIP have increasingly focused on using online resources to enhance not just the classroom experience but all components of college life. In "Designing a Collaborative Blog about Student Success" (2011), Melissa L. Johnson, Alexander S. Plattner, and Lauren Hundley describe a strategy for facilitating student collaboration in honors. In the third semester of a four-course sequence at the University of Florida called Honors Professional Development, the students design, implement, and maintain an ongoing blog and vblog (video blog) to facilitate first-year students' successful involvement in campus and community life. In addition to individual blogs set up by each of the students throughout the course sequence, these blogs are a collaborative project to help first-year students succeed in college by, for instance, finding places to study, communicating with their professors, writing résumés, and managing their time effectively. The blogs helped new students and, perhaps even more, the students who created them, who learned about online skills, research, and teamwork. Over the years, HIP essays have inspired us to create new active learning experiences nationally and internationally, to develop new classroom strategies, to try new technologies, and to find new ways to improve honors education. From time to time we also publish essays that inspire us to be the best students, teachers, administrators, and people that we can be. Such an essay is "'In Landlessness Alone Resides the Highest Truth'; or, At Sea with Honors" (2013) by Don Dingledine of the University of Wisconsin Oshkosh. This eloquent, intricate, allusive, and ingenious essay likens the risky adventure of honors education to the dangerous quest for truth undertaken by Ishmael in Moby-Dick. Honors programs, like the Pequod, propel students beyond the familiar lands of their majors and professional goals, sending them out to sea where, like Ishmael, they examine that big whale of Truth from all angles, traditions, and disciplines, always seeking but never quite grasping the unknown and the unknowable. Dingledine describes models of honors education that exemplify the highest ideals of community, interdisciplinarity, integrity, and truth-seeking, connecting these ideals to ou	r individual and collective survival.	He inspires us to practice and cherish honors "not by clinging to the 'slavish shore' but by heading out to sea." The first decade of Honors in Practice reveals the truth of a passage written by Proust and quoted by Don Dingledine: "The only true voyage would be found not in traveling to strange lands but in having different eyes, in seeing the universe with the eyes of another person, of a hundred others, and seeing We conclude our celebration of the first ten years of Honors in Practice with a focus on the sciences. In "Ask Me about ISON: The Risks and Rewards of Teaching an Interdisciplinary Honors Course on a Scientific Event Unfolding in Real Time" (2014), William L. Vanderburgh and Martin Ratcliffe describe an honors course they taught at Wichita State University on the comet ISON. Ratcliffe, a planetarium astronomer, and Vanderburgh, a philosopher of science, gambled that ISON would be a major astronomical event of the twenty-first century and designed a course for the fall of 2013 that they could make up as they went along while following the progress of the comet. When the comet fizzled toward the end of the semester, they and their students learned that failure can be as interesting as success in studying an ongoing event in astronomy or in any other field; the unfolding narrative and the kinds of resources that lead to a thorough study of an event-in-progress lend excitement and drama to a course no matter what the outcome. The authors offer many good ideas, projects, models, and resources for generating such an interdisciplinary course. the hundred universes each of them sees, which each of them is." Each of the essays included here gives the reader new eyes, and collectively they suggest hundreds of ways of seeing, hundreds of universes to see—and this is what honors education is all about.	15,161	inside_word	our	remove_one_sentence	<url> https://digitalcommons.unl.edu/cgi/viewcontent.cgi?article=1279&context=nchchip </url> <text> University of Nebraska - Lincoln DigitalCommons@University of Nebraska - Lincoln Honors in Practice -- Online Archive National Collegiate Honors Council 2018 Editor's Introduction: Editor's Introduction: Hip Hip Now, Now, Hip Hip Then Then Ada Long University of Alabama, Birmingham Follow this and additional works at: https://digitalcommons.unl.edu/nchchip Long, Ada, "Editor's Introduction: Hip Now, Hip Then" (2018). Honors in Practice -- Online Archive. 278. https://digitalcommons.unl.edu/nchchip/278 This Article is brought to you for free and open access by the National Collegiate Honors Council at DigitalCommons@University of Nebraska - Lincoln. It has been accepted for inclusion in Honors in Practice -Online Archive by an authorized administrator of DigitalCommons@University of Nebraska - Lincoln. editor's introduction: hip now, hip then Ada Long University of Alabama at Birmingham This volume of Honors in Practice contains essays both new and old, demonstrating the variety of subjects and approaches that have characterized the journal since its outset and also suggesting some realignment over time toward a greater focus on research and objective analysis. This trend perhaps reflects the increasing professionalization of honors since the inaugural volume of HIP in 2005. HIP Now The volume begins with four new essays that spotlight curricular innovations, study abroad, and interactions between honors administrators and students' families. All offer practical ideas in the context of previous literature and current realities. The other three new essays focus on improving the honors experience for students. In "Hearing the Marginalized Voice in the Great Books Curriculum," Jennie Woodard describes diversifying a Great Books curriculum at the University of Maine, constructing "a set of pedagogical tools that encourage students to hear voices in the texts that otherwise might be silenced." This initiative resulted from students' observations in their end-of-semester reflective essays that they "wanted more women, more texts produced by people of color, more non-European narratives, more attention paid to class systems." In the first essay, "Including Families in the Honors Experience," Melissa L. Johnson of the University of Florida makes a persuasive case for developing formal structures to connect families with honors programs. Acknowledging that most honors administrators complain about helicopter parents, Johnson cites research showing that family involvement—"family" being a broadly inclusive term here—has a positive impact on the social wellbeing and academic performance of students. She describes various kinds of family-oriented initiatives currently in practice before describing such programs at the University of Florida, which include, for instance, family weekends, Facebook groups, annual giving campaigns, and orientation break-out groups. Johnson describes the benefits that these activities have had for students, families, and the honors program at the University of Florida and suggests ways to implement them in other honors programs. In addition to adding and contextualizing new texts, Woodard describes deploying an intersectional lens so that students "see beyond a monolithic oppression against an identity population or a particular -ism (sexism, racism, etc.) and understand that oppression is increasingly complex the more identity markers are included in a social issue." She provides detailed instructions and an illustration of how to provide an intersectional approach to redeem and enrich a Great Books curriculum. The last of the current essays is "A Structured Course for Personal and Professional Development," in which Deirdre D. Ragan describes the attempt "to intertwine career exploration and academic advising within a defined curriculum" at The Citadel. After summarizing best practices for career readiness, academic advising, and career counseling, Ragan argues that "college students are well-served by a mandatory, credit-bearing, four-year course of study that synthesizes key aspects of academic and career counseling into one setting" and describes in detail what such a curriculum might look like. She then describes the implementation of such a curriculum in The Citadel Honors Program's Personal and Professional Development plan. She outlines components of the plan, describes the success of the course model, provides student testimonials, and contends that "combined with a rigorous undergraduate curriculum, [the plan] produces a mature, critical thinker who is poised for a successful career." In "Student Preferences for Faculty-Led Honors Study Abroad Experiences," Nicholas R. Arens, Hanna Holmquist, and Rebecca C. Bott-Knutson describe the interdisciplinary model for study abroad in the Fishback Honors College at South Dakota State University (SDSU). After a literature survey on the models and benefits of study abroad, the authors present the results of their recent study of the effectiveness of the SDSU model in terms of location, cost, length, and outcomes. Their findings indicate, for instance, that the most important factor for students was cost and the least was the faculty leaders. The survey also showed "a positive correlation between our program's interdisciplinary focus and students' desires for an interdisciplinary study abroad experience in honors." The results generally reinforced other research on study abroad, such as the preference for Europe as a destination, and it confirmed the desirability for their students of the model they had developed at SDSU. HIP Then While the current essays generally look ahead to suggested improvements in honors education, we now take the opportunity to look backward at some of the finest examples of essays from the first ten years of Honors in Practice. These essays, too, suggest improvements for honors, representing some of the journal's best ideas and insights. The essays also combine to form a retrospective panorama of national and international thinking about careers, curricula, technology, philosophy, experiential learning, STEM disciplines, arts, and humanities. The second essay (2006) is one of HIP's first international publications: "Honors in Chile: New Engagements in the Higher Education System" by Juan Carlos Skewes, then of the Universidad Austral de Chile, Carlos Alberto Cioce Sampaio of the Universidade Regional de Blumenau, and Frederick J. Conway of San Diego State University. The authors developed an honors program at the Universidad Austral de Chile (UACh) that was adapted to the challenges of a rural setting, rainy weather, and poorly prepared students. Funded by the Chilean Ministry of Education, the program addressed national concerns about inequities in education in a setting that provided a living laboratory for environmental studies. The honors program was part of a larger agenda "to bring together faculty from the natural and social sciences to study environmental problems and contribute to policy making at the national and local levels." This innovative, context-based program should still be an inspiration for new honors programs elsewhere, including the United States. The essays appear in chronological order, starting with the inaugural issue in 2005. The author of the first essay, Rosalie Otero, represents her own kind of inauguration as the first faculty member in the country to be tenured in honors, a distinction that has become far more common in the world of honors today. Her essay, "Tenure and Promotion in Honors," describes the value of an interdisciplinary faculty that has the legitimacy and self-sufficiency enjoyed in the traditional academic disciplines. Based on her experience at the University of New Mexico, she argues that granting tenure and promotion in honors represents a serious commitment to interdisciplinary teaching in an educational climate that, in 2005, undervalued both teaching and interdisciplinarity. As a pioneer in this rare new kind of honors environment, Otero provides advice for others following this path. The next essay (2007) is the earliest—and still one of too few—descriptions of integrating honors into a professional school. As honors administrators know, the accreditation requirements of professional schools present often insurmountable obstacles to student participation in honors programs, and engineering is typically the most challenging of all. One of several options for honors students in engineering at the University of Pittsburgh was created in 1980 and is described by Michael Giazzoni in "The Fessenden Honors in Engineering Program." This program was an outstanding model for meeting the challenge of integrating honors and engineering successfully but was, alas, phased out in 2012 when Giazzoni left the honors college. Nevertheless, honors administrators might do well to forward copies of this essay to their deans of engineering. Samuel Schuman's 2009 essay "Ending in Honors" addresses the fundamental questions of whether, when, how, and why an honors director or dean can best leave honors behind. With his usual civility and humor, Schuman speaks to those who plan, sooner or later, to retire from honors and gives sound advice on how to depart with good will toward and from their academic communities. As I noted in that issue of HIP, "A reader who is not yet far enough along to consider retirement would be wise to file this essay in a safe place; those who are about to retire should study it line by line; those who have already retired can discover what they did wrong and maybe even right." Characteristically, Sam's observations about retiring with grace can be extrapolated to insights about living graciously. Sam led the way for all of us by exemplifying grace and wisdom—even, alas, in endings. Honors in Practice has from time to time published especially memorable speeches or conference presentations, and the next three essays are examples written by three of the most influential figures in the history of honors. The first is Bernice Braid's "Majoring in the Minor: A Closer Look at Experiential Learning" in 2008. For those unfamiliar with Braid's work, or for those who have taken part in some of the many City as Text™ experiences, honors semesters, or honors institutes she has organized over the past five decades, this essay provides a compact introduction to her theoretical perspective and an overview of experiential learning as Braid has developed and promulgated it throughout her career. She argues here and always that "explorers who see themselves as natives in a new land are engaged. . . . [E]verywhere they go, even to books they have read before or hometowns they thought they wanted to escape, they have what it takes to see more than they did before and to feel the power of being able to create their own new pathways in any setting." Providing what might be a fitting companion piece to Schuman's essay, Ted L. Estess—Sam's close companion and fellow leader of Beginning in Honors—contributes his own grace and wisdom in "Becoming Part of a Story" (2010). In a moving contemplation of his long (at that time, thirtyone years) and distinguished career in honors, Estess tells a story about the pattern of his life and all our lives, in which a future that seems random and risky produces a past both coherent and meaningful. In Ted's case, the story was far from over, and his future has contained many more years of teaching in the University of Houston Honors College, even unto this day. At any stage of our own stories and careers in honors, we can find wisdom in Ted's story as it mirrors the confusion and clarity of all our lives. Above all, the essay is great fun to read; Ted always spins a fine yarn. A recent innovation in the NCHC's longtime commitment to experiential education has been the very popular and successful Partners in the Parks program, which was created in 2008 as a brainchild of Joan Digby. In "Honoring the National Parks: A Local Adaptation of a Partners in the Parks Adventure" (2012), Digby and Kathleen Nolan describe an NCHC Partners in the Parks program hosted by LIU Post—"From Fire Island to Ellis Island"—and the spinoff from it of a course called "Honoring the Parks" at St. Francis College. As the authors explain, "Like NCHC's City as Text™, Partners in the Parks appears to be developing a life of its own generating creative permutations that evolve naturally from local sites and participating institutions." The essay illustrates the way that NCHC-sponsored programs can spread from a single experience into multiple innovations at local and national levels. The authors also reveal the new energy to be gained by partnering with professionals outside of academia, in this case National Park Services rangers. As honors has moved into the tech world, submissions to HIP have increasingly focused on using online resources to enhance not just the classroom experience but all components of college life. In "Designing a Collaborative Blog about Student Success" (2011), Melissa L. Johnson, Alexander S. Plattner, and Lauren Hundley describe a strategy for facilitating student collaboration in honors. In the third semester of a four-course sequence at the University of Florida called Honors Professional Development, the students design, implement, and maintain an ongoing blog and vblog (video blog) to facilitate first-year students' successful involvement in campus and community life. In addition to individual blogs set up by each of the students throughout the course sequence, these blogs are a collaborative project to help first-year students succeed in college by, for instance, finding places to study, communicating with their professors, writing résumés, and managing their time effectively. The blogs helped new students and, perhaps even more, the students who created them, who learned about online skills, research, and teamwork. Over the years, HIP essays have inspired us to create new active learning experiences nationally and internationally, to develop new classroom strategies, to try new technologies, and to find new ways to improve honors education. From time to time we also publish essays that inspire us to be the best students, teachers, administrators, and people that we can be. Such an essay is "'In Landlessness Alone Resides the Highest Truth'; or, At Sea with Honors" (2013) by Don Dingledine of the University of Wisconsin Oshkosh. This eloquent, intricate, allusive, and ingenious essay likens the risky adventure of honors education to the dangerous quest for truth undertaken by Ishmael in Moby-Dick. Honors programs, like the Pequod, propel students beyond the familiar lands of their majors and professional goals, sending them out to sea where, like Ishmael, they examine that big whale of Truth from all angles, traditions, and disciplines, always seeking but never quite grasping the unknown and the unknowable. Dingledine describes models of honors education that exemplify the highest ideals of community, interdisciplinarity, integrity, and truth-seeking, connecting these ideals to ou<cursor_is_here> He inspires us to practice and cherish honors "not by clinging to the 'slavish shore' but by heading out to sea." The first decade of Honors in Practice reveals the truth of a passage written by Proust and quoted by Don Dingledine: "The only true voyage would be found not in traveling to strange lands but in having different eyes, in seeing the universe with the eyes of another person, of a hundred others, and seeing We conclude our celebration of the first ten years of Honors in Practice with a focus on the sciences. In "Ask Me about ISON: The Risks and Rewards of Teaching an Interdisciplinary Honors Course on a Scientific Event Unfolding in Real Time" (2014), William L. Vanderburgh and Martin Ratcliffe describe an honors course they taught at Wichita State University on the comet ISON. Ratcliffe, a planetarium astronomer, and Vanderburgh, a philosopher of science, gambled that ISON would be a major astronomical event of the twenty-first century and designed a course for the fall of 2013 that they could make up as they went along while following the progress of the comet. When the comet fizzled toward the end of the semester, they and their students learned that failure can be as interesting as success in studying an ongoing event in astronomy or in any other field; the unfolding narrative and the kinds of resources that lead to a thorough study of an event-in-progress lend excitement and drama to a course no matter what the outcome. The authors offer many good ideas, projects, models, and resources for generating such an interdisciplinary course. the hundred universes each of them sees, which each of them is." Each of the essays included here gives the reader new eyes, and collectively they suggest hundreds of ways of seeing, hundreds of universes to see—and this is what honors education is all about. </text>	[ { "content": "<url>\nhttps://digitalcommons.unl.edu/cgi/viewcontent.cgi?article=1279&context=nchchip\n</url>\n<text>\nUniversity of Nebraska - Lincoln\n\nDigitalCommons@University of Nebraska - Lincoln\n\nHonors in Practice -- Online Archive\n\nNational Collegiate Honors Council\n\n2018\n\nEditor's Introduction: Editor's Introduction: Hip Hip Now, Now, Hip Hip Then Then\n\nAda Long University of Alabama, Birmingham\n\nFollow this and additional works at: https://digitalcommons.unl.edu/nchchip\n\nLong, Ada, \"Editor's Introduction: Hip Now, Hip Then\" (2018). Honors in Practice -- Online Archive. 278. https://digitalcommons.unl.edu/nchchip/278\n\nThis Article is brought to you for free and open access by the National Collegiate Honors Council at DigitalCommons@University of Nebraska - Lincoln. It has been accepted for inclusion in Honors in Practice -Online Archive by an authorized administrator of DigitalCommons@University of Nebraska - Lincoln.\n\neditor's introduction: hip now, hip then\n\nAda Long\n\nUniversity of Alabama at Birmingham\n\nThis volume of Honors in Practice contains essays both new and old, demonstrating the variety of subjects and approaches that have characterized the journal since its outset and also suggesting some realignment over time toward a greater focus on research and objective analysis. This trend perhaps reflects the increasing professionalization of honors since the inaugural volume of HIP in 2005.\n\nHIP Now\n\nThe volume begins with four new essays that spotlight curricular innovations, study abroad, and interactions between honors administrators and students' families. All offer practical ideas in the context of previous literature and current realities.\n\nThe other three new essays focus on improving the honors experience for students. In \"Hearing the Marginalized Voice in the Great Books Curriculum,\" Jennie Woodard describes diversifying a Great Books curriculum at the University of Maine, constructing \"a set of pedagogical tools that encourage students to hear voices in the texts that otherwise might be silenced.\" This initiative resulted from students' observations in their end-of-semester reflective essays that they \"wanted more women, more texts produced by people of color, more non-European narratives, more attention paid to class systems.\"\n\nIn the first essay, \"Including Families in the Honors Experience,\" Melissa L. Johnson of the University of Florida makes a persuasive case for developing formal structures to connect families with honors programs. Acknowledging that most honors administrators complain about helicopter parents, Johnson cites research showing that family involvement—\"family\" being a broadly inclusive term here—has a positive impact on the social wellbeing and academic performance of students. She describes various kinds of family-oriented initiatives currently in practice before describing such programs at the University of Florida, which include, for instance, family weekends, Facebook groups, annual giving campaigns, and orientation break-out groups. Johnson describes the benefits that these activities have had for students, families, and the honors program at the University of Florida and suggests ways to implement them in other honors programs.\n\nIn addition to adding and contextualizing new texts, Woodard describes deploying an intersectional lens so that students \"see beyond a monolithic oppression against an identity population or a particular -ism (sexism, racism, etc.) and understand that oppression is increasingly complex the more identity markers are included in a social issue.\" She provides detailed instructions and an illustration of how to provide an intersectional approach to redeem and enrich a Great Books curriculum.\n\nThe last of the current essays is \"A Structured Course for Personal and Professional Development,\" in which Deirdre D. Ragan describes the attempt \"to intertwine career exploration and academic advising within a defined curriculum\" at The Citadel. After summarizing best practices for career readiness, academic advising, and career counseling, Ragan argues that \"college students are well-served by a mandatory, credit-bearing, four-year course of study that synthesizes key aspects of academic and career counseling into one setting\" and describes in detail what such a curriculum might look like. She then describes the implementation of such a curriculum in The Citadel Honors Program's Personal and Professional Development plan. She outlines components of the plan, describes the success of the course model, provides student testimonials, and contends that \"combined with a rigorous undergraduate curriculum, [the plan] produces a mature, critical thinker who is poised for a successful career.\"\n\nIn \"Student Preferences for Faculty-Led Honors Study Abroad Experiences,\" Nicholas R. Arens, Hanna Holmquist, and Rebecca C. Bott-Knutson describe the interdisciplinary model for study abroad in the Fishback Honors College at South Dakota State University (SDSU). After a literature survey on the models and benefits of study abroad, the authors present the results of their recent study of the effectiveness of the SDSU model in terms of location, cost, length, and outcomes. Their findings indicate, for instance, that the most important factor for students was cost and the least was the faculty leaders. The survey also showed \"a positive correlation between our program's interdisciplinary focus and students' desires for an interdisciplinary study abroad experience in honors.\" The results generally reinforced other research on study abroad, such as the preference for Europe as a destination, and it confirmed the desirability for their students of the model they had developed at SDSU.\n\nHIP Then\n\nWhile the current essays generally look ahead to suggested improvements in honors education, we now take the opportunity to look backward at\n\nsome of the finest examples of essays from the first ten years of Honors in Practice. These essays, too, suggest improvements for honors, representing some of the journal's best ideas and insights. The essays also combine to form a retrospective panorama of national and international thinking about careers, curricula, technology, philosophy, experiential learning, STEM disciplines, arts, and humanities.\n\nThe second essay (2006) is one of HIP's first international publications: \"Honors in Chile: New Engagements in the Higher Education System\" by Juan Carlos Skewes, then of the Universidad Austral de Chile, Carlos Alberto Cioce Sampaio of the Universidade Regional de Blumenau, and Frederick J. Conway of San Diego State University. The authors developed an honors program at the Universidad Austral de Chile (UACh) that was adapted to the challenges of a rural setting, rainy weather, and poorly prepared students. Funded by the Chilean Ministry of Education, the program addressed national concerns about inequities in education in a setting that provided a living laboratory for environmental studies. The honors program was part of a larger agenda \"to bring together faculty from the natural and social sciences to study environmental problems and contribute to policy making at the national and local levels.\" This innovative, context-based program should still be an inspiration for new honors programs elsewhere, including the United States.\n\nThe essays appear in chronological order, starting with the inaugural issue in 2005. The author of the first essay, Rosalie Otero, represents her own kind of inauguration as the first faculty member in the country to be tenured in honors, a distinction that has become far more common in the world of honors today. Her essay, \"Tenure and Promotion in Honors,\" describes the value of an interdisciplinary faculty that has the legitimacy and self-sufficiency enjoyed in the traditional academic disciplines. Based on her experience at the University of New Mexico, she argues that granting tenure and promotion in honors represents a serious commitment to interdisciplinary teaching in an educational climate that, in 2005, undervalued both teaching and interdisciplinarity. As a pioneer in this rare new kind of honors environment, Otero provides advice for others following this path.\n\nThe next essay (2007) is the earliest—and still one of too few—descriptions of integrating honors into a professional school. As honors administrators know, the accreditation requirements of professional schools present often insurmountable obstacles to student participation in honors programs, and engineering is typically the most challenging of all. One of several options for\n\nhonors students in engineering at the University of Pittsburgh was created in 1980 and is described by Michael Giazzoni in \"The Fessenden Honors in Engineering Program.\" This program was an outstanding model for meeting the challenge of integrating honors and engineering successfully but was, alas, phased out in 2012 when Giazzoni left the honors college. Nevertheless, honors administrators might do well to forward copies of this essay to their deans of engineering.\n\nSamuel Schuman's 2009 essay \"Ending in Honors\" addresses the fundamental questions of whether, when, how, and why an honors director or dean can best leave honors behind. With his usual civility and humor, Schuman speaks to those who plan, sooner or later, to retire from honors and gives sound advice on how to depart with good will toward and from their academic communities. As I noted in that issue of HIP, \"A reader who is not yet far enough along to consider retirement would be wise to file this essay in a safe place; those who are about to retire should study it line by line; those who have already retired can discover what they did wrong and maybe even right.\" Characteristically, Sam's observations about retiring with grace can be extrapolated to insights about living graciously. Sam led the way for all of us by exemplifying grace and wisdom—even, alas, in endings.\n\nHonors in Practice has from time to time published especially memorable speeches or conference presentations, and the next three essays are examples written by three of the most influential figures in the history of honors. The first is Bernice Braid's \"Majoring in the Minor: A Closer Look at Experiential Learning\" in 2008. For those unfamiliar with Braid's work, or for those who have taken part in some of the many City as Text™ experiences, honors semesters, or honors institutes she has organized over the past five decades, this essay provides a compact introduction to her theoretical perspective and an overview of experiential learning as Braid has developed and promulgated it throughout her career. She argues here and always that \"explorers who see themselves as natives in a new land are engaged. . . . [E]verywhere they go, even to books they have read before or hometowns they thought they wanted to escape, they have what it takes to see more than they did before and to feel the power of being able to create their own new pathways in any setting.\"\n\nProviding what might be a fitting companion piece to Schuman's essay, Ted L. Estess—Sam's close companion and fellow leader of Beginning in Honors—contributes his own grace and wisdom in \"Becoming Part of a Story\" (2010). In a moving contemplation of his long (at that time, thirtyone years) and distinguished career in honors, Estess tells a story about the\n\npattern of his life and all our lives, in which a future that seems random and risky produces a past both coherent and meaningful. In Ted's case, the story was far from over, and his future has contained many more years of teaching in the University of Houston Honors College, even unto this day. At any stage of our own stories and careers in honors, we can find wisdom in Ted's story as it mirrors the confusion and clarity of all our lives. Above all, the essay is great fun to read; Ted always spins a fine yarn.\n\nA recent innovation in the NCHC's longtime commitment to experiential education has been the very popular and successful Partners in the Parks program, which was created in 2008 as a brainchild of Joan Digby. In \"Honoring the National Parks: A Local Adaptation of a Partners in the Parks Adventure\" (2012), Digby and Kathleen Nolan describe an NCHC Partners in the Parks program hosted by LIU Post—\"From Fire Island to Ellis Island\"—and the spinoff from it of a course called \"Honoring the Parks\" at St. Francis College. As the authors explain, \"Like NCHC's City as Text™, Partners in the Parks appears to be developing a life of its own generating creative permutations that evolve naturally from local sites and participating institutions.\" The essay illustrates the way that NCHC-sponsored programs can spread from a single experience into multiple innovations at local and national levels. The authors also reveal the new energy to be gained by partnering with professionals outside of academia, in this case National Park Services rangers.\n\nAs honors has moved into the tech world, submissions to HIP have increasingly focused on using online resources to enhance not just the classroom experience but all components of college life. In \"Designing a Collaborative Blog about Student Success\" (2011), Melissa L. Johnson, Alexander S. Plattner, and Lauren Hundley describe a strategy for facilitating student collaboration in honors. In the third semester of a four-course sequence at the University of Florida called Honors Professional Development, the students design, implement, and maintain an ongoing blog and vblog (video blog) to facilitate first-year students' successful involvement in campus and community life. In addition to individual blogs set up by each of the students throughout the course sequence, these blogs are a collaborative project to help first-year students succeed in college by, for instance, finding places to study, communicating with their professors, writing résumés, and managing their time effectively. The blogs helped new students and, perhaps even more, the students who created them, who learned about online skills, research, and teamwork.\n\nOver the years, HIP essays have inspired us to create new active learning experiences nationally and internationally, to develop new classroom strategies, to try new technologies, and to find new ways to improve honors education. From time to time we also publish essays that inspire us to be the best students, teachers, administrators, and people that we can be. Such an essay is \"'In Landlessness Alone Resides the Highest Truth'; or, At Sea with Honors\" (2013) by Don Dingledine of the University of Wisconsin Oshkosh. This eloquent, intricate, allusive, and ingenious essay likens the risky adventure of honors education to the dangerous quest for truth undertaken by Ishmael in Moby-Dick. Honors programs, like the Pequod, propel students beyond the familiar lands of their majors and professional goals, sending them out to sea where, like Ishmael, they examine that big whale of Truth from all angles, traditions, and disciplines, always seeking but never quite grasping the unknown and the unknowable. Dingledine describes models of honors education that exemplify the highest ideals of community, interdisciplinarity, integrity, and truth-seeking, connecting these ideals to ou<cursor_is_here> He inspires us to practice and cherish honors \"not by clinging to the 'slavish shore' but by heading out to sea.\"\n\nThe first decade of Honors in Practice reveals the truth of a passage written by Proust and quoted by Don Dingledine: \"The only true voyage would be found not in traveling to strange lands but in having different eyes, in seeing the universe with the eyes of another person, of a hundred others, and seeing\n\nWe conclude our celebration of the first ten years of Honors in Practice with a focus on the sciences. In \"Ask Me about ISON: The Risks and Rewards of Teaching an Interdisciplinary Honors Course on a Scientific Event Unfolding in Real Time\" (2014), William L. Vanderburgh and Martin Ratcliffe describe an honors course they taught at Wichita State University on the comet ISON. Ratcliffe, a planetarium astronomer, and Vanderburgh, a philosopher of science, gambled that ISON would be a major astronomical event of the twenty-first century and designed a course for the fall of 2013 that they could make up as they went along while following the progress of the comet. When the comet fizzled toward the end of the semester, they and their students learned that failure can be as interesting as success in studying an ongoing event in astronomy or in any other field; the unfolding narrative and the kinds of resources that lead to a thorough study of an event-in-progress lend excitement and drama to a course no matter what the outcome. The authors offer many good ideas, projects, models, and resources for generating such an interdisciplinary course.\n\nthe hundred universes each of them sees, which each of them is.\" Each of the essays included here gives the reader new eyes, and collectively they suggest hundreds of ways of seeing, hundreds of universes to see—and this is what honors education is all about.\n</text>\n", "role": "user" }, { "content": "r individual and collective survival.", "role": "assistant" } ]
R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET INTERNATIONAL JOURNAL OF PURE AND APPLIED RESEARCH IN ENGINEERING AND TECHNOLOGY A PATH FOR HORIZING YOUR INNOVATIVE WORK DESIGN OF A LOW-POWER EFFICIENT DOUBLE EDGE TRIGGER FLIP FLOP R SIVA KUMAR 1 , T SRINIVASA PADMAJA 2 1. M. Tech Student, Embedded systems, Department of ECE, Siddhartha Institute of Engineering & Technology, A.P., India, 2. Assistant Professor, Department of ECE, Siddhartha Institute of Engineering & Technology, A.P., India, Accepted Date: 24/07/2015; Published Date: 01/08/2015 \ Abstract: - The data signal changes in Double-edge triggered Flip-Flops on both the rising and falling clock edges. Thus, results in low clock swing and it leads to lower power consumption and the data throughout are preserved. The leakage current has become a most dominant problem in VLSI system design, because it leads to more power consumption. Some of the methods have been presented in this paper to control the leakage current. The proposed design successfully solves the long discharging path problem in conventional explicit type pulse-triggered FF (P-FF) designs and achieves better speed and power performance. Also, DDFF and P-FF are compared with other state-of-the-art designs and DD-FF design is implemented in a 4-b ring counter. The performance improvements indicate that the proposed designs are well suited for modern high-performance designs where power dissipation and latching overhead are of major concern. The proposed circuit is simulated using Tanner EDA tool. The simulations are carried out by applying T-SPICE software. The number of clock transistors decrease which in turn results in lower leakage current, hence the power consumption reduces. Keywords: P-FF, DDFF, Ring Counter Corresponding Author: MR. R. SIVA KUMAR Access Online On: www.ijpret.com How to Cite This Article: R. Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET INTRODUCTION Most of the Flip-flops (FFs) are the memory storage elements extensively used in many digital designs. In particular, digital designs consisting of a intensive pipelining techniques and employ many FF-rich modules such as register file, shift register, and counters. It is also calculated that the power consumption of the clock system, which consists of clock distribution networks and storage elements, which consumes 50% of the total system power. FFs thus contribute a major portion of the chip area and power consumption to the overall system design. The power dissipation is an important factor for the low power applications. The power optimization techniques are used at different levels of a digital design. The optimization at the logic level is one of the most necessary tasks for minimizing the power consumption. The latches and flip flops are viewed as the critical logic components for the effectiveness of the digital circuits. They are widely used in the memory design, test applications and pipelines implementations. Since the power consumption depends on several parameters, different methods have been applied to reduce each of them. The processing speed of the system is doubled, if both clock edges have been used or the processing speed is preserved, if the circuit frequency becomes half. As the frequency becomes half it implies that the dynamic power of flip-flop and clock distribution network are half. The circuit uses flip-flop with both clock edges. In this design the dynamic power consumption and the leakage current have been decreased and components related to the leakage current are considered. Fig. 1depicts the proposed static flip-flop circuit with double triggered pulse edges. Pulse-triggered FF (P-FF), because of its single-latch structure, is more popular than the transmission gate (TG) and master–slave based FFs in higher speed applications. Apart from the speed advantage, its circuit simplicity lowers the power consumption of the clock tree system. A P-FF consists of a pulse generator for strobe signals and a latch is for data storage. If the triggering pulses are narrow, the latch acts like an edge-triggered FF. Since only one latch, as opposed to two in the conventional master–slave configuration, is needed, a P-FF is simpler in circuit complexity. In this existing P-FF the load capacitance has been reduced and the ground bounce noise to be reduced. The pass transistor has been to be added in the circuit to control by the clock pulse signal to reduce the switching power. The pull up and the pull down transistor are also used to enable the clock pulses for the input of the data and the clock. This scheme actually improves the logic "0" to logic "1" delay and thus reduces the comparison between the rise time and the fall time delays. By reducing the time and the switching delay it automatically reduces the switching power in the circuit. The pulse-triggered means that data are entered into the flipflop on the rising edge of the clock pulse, but the output does not reflect the input state until the falling edge of the clock pulse. And these kind of flip-flops are sensitive to any change of the input levels during the clock pulse is still HIGH, the inputs must be set up prior to the clock pulse's rising edge and must not be changed before the falling edge. R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET 2. PROPOSED SYSTEM Figure3 shows the proposed DDFF architecture. Node X1 is pseudo-dynamic, with a weak inverter acting as a keeper, whereas, compared to the P-FF, in the new architecture node X2 is purely dynamic. An unconditional shutoff mechanism is provided at the frontend instead of the Conditional one in P-FF. The operation of the flip-flop can be divided into two phases: 1) the evaluation phase, when CLK is high, and 2) the pre-charge phase, when CLK is low The actual latching occurs during the one-to-one overlap of CLK and CLKB during the evaluation phase. If D is high prior to this overlap period, node X1 is discharged through NM0-NM2. This switches the state of the cross coupled inverter pair INV1-INV2 causing node X1B to go high and output QB to discharge through NM4 transistor. The low level at the node X1 is retained by the inverter pair INV1-INV2 for the rest of the evaluation phase where no latching occurs. Thus, node X2 is kept at high throughout the evaluation period by the PM1. When CLK goes to low, the circuit enters the pre-charge phase and node X1 is pulled high through pmos transistor PM0, switching the state of INV1-2. During this period node X2 is not properly driven by any transistor, it stores the charge dynamically. The outputs at node QB and maintain their voltage levels through INV3-4. If D is zero prior to the overlap period, node X1 remains high and node X2 is pulled low through NM3 as the CLK goes high. Thus, node QB is charged high through PM2 and NM4 is kept at off. At the end of the evaluation phase, as the CLK goes to low, node X1 remains high and X2 stores the charge dynamically. The architecture exhibits negative setup time since the short transparency period defined by the 1–1 overlap CLK and CLKB allows the data to be sampled even after the rising edge of the CLK before CLKB falls low in fig -4 shows the post-layout timing diagram of the flip-flop at 2-GHz CLK frequency and 1.2 V supply in 90- nm UMC process technology. Node X1 undergoes charge sharing when the CLK makes a low to high transition while D is held at low logic level. The timing diagram shows that node X2 retains the charge level during the pre-charge phase when it is not driven by any transistor. Note that the temporary pull down at node X2 when sampling a "one" is due to the delay between X1 and X1B. The setup time and hold time of a flip-flop refers to the minimum time period before and after the CLK edge, respectively where the data should be stable so that proper sampling is possible. Here setup time and the hold time depend on the CLK overlap period. 3. PERFOMANCE ANALASIS IN RING COUNTER To analyze the performance of DDFF, other designs were also simulated under similar conditions. Since the D-Q delay reflects the actual portion of the time period consumed by the latching device. Optimum setup-time is the data-to-CLK delay when D-Q is at its minimum. The power is divided into three parts–the latching power, the local CLK driving power, and the local data driving power, to accurately analyze the power-performance of various designs. The simulations are carried out at various data activities to obtain a realistic performance comparison of various designs. A data activity of 100% represents an output data transition at every positive CLK edge and 0% represents no data transition. Since the performance of the proposed flipflops depends on the CLK overlap period, a detailed analysis at various process and temperature corners is carried out. Since static leakage power is one of the major sources of power dissipation at scaled down technology nodes, comparison of the leakage performance of various designs has been carried out. The leakage currents for different input and output conditions are measured to find the reason for leakage power. In addition, all the designs were analyzed at different voltage points to understand the impact of supply voltage fluctuation in the functionality of the flip-flops. Finally, a 4-b ring counter is designed to highlight the performance of the proposed flip-flop architecture. The reason for considering a ring counter is that the data activity at each bit position is known. The most significant bit (MSB) has the least data activity (12.5%), whereas the least significant bit (LSB) has the maximum (100%). 4. OBSERVATIONS The performance of the proposed DD-FF design is evaluated against existing designs through post-layout simulations. The compared designs include four explicit type P-FF designs shown in Fig. 2, an Pulse triggered flip flop design shown in fig. 1 A conventional CMOS NAND-logicbased pulse generator design with a three-stage inverter chain is used for DDFF designs, which employs its own pulse generation circuitry. Table -1: Performance Analysis Table for various types of FFs 4. CONCLUSION In this paper, a new low power DDFF was proposed. An analysis of the overlap period required to select proper pulse width was provided in order to make the design process simpler. The proposed DDFF eliminates the redundant power dissipation present in the pulse triggered FF. A comparison of the proposed DD flip-flop with the conventional flip-flops showed that it exhibits lower power dissipation along with comparable speed performances. The post-layout simulation results showed an improvement in PDP by about 10% compared to the P-FF at 25% data activity. By eliminating the charge sharing problem, the revised structure of the proposed flip-flop, The efficiency of the flip-flop is highlighted using a 4-b ring counter. It was proven that the proposed architectures are well suited for modern high performance designs where area, delay-overhead, and power dissipation are of major concern ACKNOWLEDGEMENT I would like to express my gratitude to the following people for their support and guidance for the success of this paper. First & foremost we would like to thank our mentor & guide Mrs. T Srinivasa Padmaja Associate Professor of ECE, SIETK, Puttur, for his constant support & guidance. His active cooperation & involvement have helped us through the various stages of project development. R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET REFERENCES 1. "Low-Power Pulse-Triggered Flip-Flop Design Based on a Signal Feed-Through Scheme", JinFa Lin, IEEE TRANSACTIONS ON VERY LARGE SCALE INTEGRATION (VLSI) SYSTEMS, VOL. 22, NO. 1, JANUARY 2014 2. H. Kawaguchi and T. Sakurai, "A reduced clock-swing flip-flop (RCSFF) for 63% power reduction", IEEE J. Solid-State Circuits, vol. 33, no. 5, pp. 807–811, May 1998. 3. K. Chen, "A 77% energy saving 22-transistor single phase clocking D-flip-flop with adoptivecoupling configuration in 40 nm CMOS", in Proc. IEEE Int. Solid-State Circuits Conf., Nov. 2011, pp. 338–339. 4. E. Consoli, M. Alioto, G. Palumbo, and J. Rabaey, "Conditional push pull pulsed latch with 726 fJops energy delay product in 65 nm MOS", in Proc. IEEE Int. Solid-State Circuits Conf., Feb. 2012, pp. 482–483. 5. H. Partovi, R. Burd, U. Salim, F.Weber, L. DiGregorio, and D. Draper, "Flow-through latch and edge-triggered flip-flop hybrid elements", in Proc. IEEE Int. Solid-State Circuits Conf., Feb. 1996, pp. 138–139. 6. F. Klass, C. Amir, A. Das, K. Aingaran, C. Truong, R. Wang, A. Mehta, R. Heald, and G. Yee, "A new family of semi-dynamic and dynamic flip-flops with embedded logic for high-performance processors", IEEE J. Solid-State Circuits, vol. 34, no. 5, pp. 712–716, May 1999 7. Low-Power Dual Dynamic Node Pulsed Hybrid Flip-Flop Featuring Efficient Embedded Logic", Kalarikkal Absel, Lijo Manuel, and R. K. Kavitha, Member, IEEE, IEEE TRANSACTIONS ON VERY LARGE SCALE INTEGRATION (VLSI) SYSTEMS, VOL. 21, NO. 9, SEPTEMBER 2013. 8. B.-S. Kong, S.-S. Kim, and Y.-H. Jun, "Conditional-capture flip-flop for statistical power reduction", IEEE J. Solid-State Circuits, vol. 36, no. 8, pp. 1263–1271, Aug. 2001. 9. Stojanovic and V. Oklobdzija, "Comparative analysis of masterslave latches and flip-flops for high-performance and low-power systems", IEEE J. Solid-State Circuits, vol. 34, no. 4, pp. 536– 548, Apr. 1999. 10. Nedovic, M. Aleksic, and V. G. Oklobdzija, "Conditional pre-charge techniques for powerefficient dual-edge clocking", in Proc. Int. Symp. Low-Power Electron. Design, 2002, pp. 56–59. \| Research Article Impact Factor: 4.226 ISSN: 2319-507X \| \|---\| \| R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET \| 11. C. K. Teh, M. Hamada, T. Fujita, H. Hara, N. Ikumi, and Y. Oowaki, "Conditional data applying flip-flops for low-power and high performance systems", IEEE Trans. Very Large Scale Integer. (VLSI) Syst., vol. 14, no. 12, pp. 1379–1383, Dec. 2006. 12. S. H. Rasouli, A. Khademzadeh, A. Afzali-Kusha, and M. Nourani, "Low-power single- and double-edge-triggered flip-flops for high-speed applications", Proc. Inst. Elect. Eng. Circuits Devices Syst., vol. 152, no. 2, pp. 118–122, Apr. 2005	<urn:uuid:17947a23-1e25-41f1-8be2-d70cb9860f41>	CC-MAIN-2017-34	http://ijpret.com/publishedarticle/2015/7/IJPRET%20-%20420.pdf	2017-08-21T15:34:47Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-34/segments/1502886109157.57/warc/CC-MAIN-20170821152953-20170821172953-00086.warc.gz	186,908,916	3,487	eng_Latn	eng_Latn	0.929638	eng_Latn	0.995108	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1992, 3840, 5455, 7536, 8873, 10389, 11709, 13922, 14546 ]	R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET INTERNATIONAL JOURNAL OF PURE AND APPLIED RESEARCH IN ENGINEERING AND TECHNOLOGY A PATH FOR HORIZING YOUR INNOVATIVE WORK DESIGN OF A LOW-POWER EFFICIENT DOUBLE EDGE TRIGGER FLIP FLOP R SIVA KUMAR 1 , T SRINIVASA PADMAJA 2 1. M. Tech Student, Embedded systems, Department of ECE, Siddhartha Institute of Engineering & Technology, A.P., India, 2. Assistant Professor, Department of ECE, Siddhartha Institute of Engineering & Technology, A.P., India, Accepted Date: 24/07/2015; Published Date: 01/08/2015 \ Abstract: - The data signal changes in Double-edge triggered Flip-Flops on both the rising and falling clock edges. Thus, results in low clock swing and it leads to lower power consumption and the data throughout are preserved. The leakage current has become a most dominant problem in VLSI system design, because it leads to more power consumption. Some of the methods have been presented in this paper to control the leakage current. The proposed design successfully solves the long discharging path problem in conventional explicit type pulse-triggered FF (P-FF) designs and achieves better speed and power performance. Also, DDFF and P-FF are compared with other state-of-the-art designs and DD-FF design is implemented in a 4-b ring counter. The performance improvements indicate that the proposed designs are well suited for modern high-performance designs where power dissipation and latching overhead are of major concern. The proposed circuit is simulated using Tanner EDA tool. The simulations are carried out by applying T-SPICE software. The number of clock transistors decrease which in turn results in lower leakage current, hence the power consumption reduces. Keywords: P-FF, DDFF, Ring Counter Corresponding Author: MR. R. SIVA KUMAR Access Online On: www.ijpret.com How to Cite This Article: R. Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET INTRODUCTION Most of the Flip-flops (FFs) are the memory storage elements extensively used in many digital designs. In particular, digital designs consisting of a intensive pipelining techniques and employ many FF-rich modules such as register file, shift register, and counters. It is also calculated that the power consumption of the clock system, which consists of clock distribution networks and storage elements, which consumes 50% of the total system power. FFs thus contribute a major portion of the chip area and power consumption to the overall system design. The power dissipation is an important factor for the low power applications. The power optimization techniques are used at different levels of a digital design. The optimization at the logic level is one of the most necessary tasks for minimizing the power consumption. The latches and flip flops are viewed as the critical logic components for the effectiveness of the digital circuits. They are widely used in the memory design, test applications and pipelines implementations. Since the power consumption depends on several parameters, different methods have been applied to reduce each of them. The processing speed of the system is doubled, if both clock edges have been used or the processing speed is preserved, if the circuit frequency becomes half. As the frequency becomes half it implies that the dynamic power of flip-flop and clock distribution network are half. The circuit uses flip-flop with both clock edges. In this design the dynamic power consumption and the leakage current have been decreased and components related to the leakage current are considered. Fig. 1depicts the proposed static flip-flop circuit with double triggered pulse edges. Pulse-triggered FF (P-FF), because of its single-latch structure, is more popular than the transmission gate (TG) and master–slave based FFs in higher speed applications. Apart from the speed advantage, its circuit simplicity lowers the power consumption of the clock tree system. A P-FF consists of a pulse generator for strobe signals and a latch is for data storage. If the triggering pulses are narrow, the latch acts like an edge-triggered FF. Since only one latch, as opposed to two in the conventional master–slave configuration, is needed, a P-FF is simpler in circuit complexity. In this existing P-FF the load capacitance has been reduced and the ground bounce noise to be reduced. The pass transistor has been to be added in the circuit to control by the clock pulse signal to reduce the switching power. The pull up and the pull down transistor are also used to enable the clock pulses for the input of the data and the clock. This scheme actually improves the logic "0" to logic "1" delay and thus reduces the comparison between the rise time and the fall time delays. By reducing the time and the switching delay it automatically reduces the switching power in the circuit. The pulse-triggered means that data are entered into the flipflop on the rising edge of the clock pulse, but the output does not reflect the input state until the falling edge of the clock pulse. And these kind of flip-flops are sensitive to any change of the input levels during the clock pulse is still HIGH, the inputs must be set up prior to the clock pulse's rising edge and must not be changed before the falling edge. R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET 2. PROPOSED SYSTEM Figure3 shows the proposed DDFF architecture. Node X1 is pseudo-dynamic, with a weak inverter acting as a keeper, whereas, compared to the P-FF, in the new architecture node X2 is purely dynamic. An unconditional shutoff mechanism is provided at the frontend instead of the Conditional one in P-FF. The operation of the flip-flop can be divided into two phases: 1) the evaluation phase, when CLK is high, and 2) the pre-charge phase, when CLK is low The actual latching occurs during the one-to-one overlap of CLK and CLKB during the evaluation phase. If D is high prior to this overlap period, node X1 is discharged through NM0-NM2. This switches the state of the cross coupled inverter pair INV1-INV2 causing node X1B to go high and output QB to discharge through NM4 transistor. The low level at the node X1 is retained by the inverter pair INV1-INV2 for the rest of the evaluation phase where no latching occurs. Thus, node X2 is kept at high throughout the evaluation period by the PM1. When CLK goes to low, the circuit enters the pre-charge phase and node X1 is pulled high through pmos transistor PM0, switching the state of INV1-2. During this period node X2 is not properly driven by any transistor, it stores the charge dynamically. The outputs at node QB and maintain their voltage levels through INV3-4. If D is zero prior to the overlap period, node X1 remains high and node X2 is pulled low through NM3 as the CLK goes high. Thus, node QB is charged high through PM2 and NM4 is kept at off. At the end of the evaluation phase, as the CLK goes to low, node X1 remains high and X2 stores the charge dynamically. The architecture exhibits negative setup time since the short transparency period defined by the 1–1 overlap CLK and CLKB allows the data to be sampled even after the rising edge of the CLK before CLKB falls low in fig -4 shows the post-layout timing diagram of the flip-flop at 2-GHz CLK frequency and 1.2 V supply in 90- nm UMC process technology. Node X1 undergoes charge sharing when the CLK makes a low to high transition while D is held at low logic level. The timing diagram shows that node X2 retains the charge level during the pre-charge phase when it is not driven by any transistor. Note that the temporary pull down at node X2 when sampling a "one" is due to the delay between X1 and X1B. The setup time and hold time of a flip-flop refers to the minimum time period before and after the CLK edge, respectively where the data should be stable so that proper sampling is possible. Here setup time and the hold time depend on the CLK overlap period. 3. PERFOMANCE ANALASIS IN RING COUNTER To analyze the performance of DDFF, other designs were also simulated under similar conditions. Since the D-Q delay reflects the actual portion of the time period consumed by the latching device. Optimum setup-time is the data-to-CLK delay when D-Q is at its minimum. The power is divided into three parts–the latching power, the local CLK driving power, and the local data driving power, to accurately analyze the power-performance of various designs. The simulations are carried out at various data activities to obtain a realistic performance comparison of various designs. A data activity of 100% represents an output data transition at every positive CLK edge and 0% represents no data transition. Since the performance of the proposed flipflops depends on the CLK overlap period, a detailed analysis at various process and temperature corners is carried out. Since static leakage power is one of the major sources of power dissipation at scaled down technology nodes, comparison of the leakage performance of various designs has been carried out. The leakage currents for different input and output conditions are measured to find the reason for leakage power. In addition, all the designs were analyzed at different voltage points to understand the impact of supply voltage fluctuation in the functionality of the flip-flops. Finally, a 4-b ring counter is designed to highlight the performance of the proposed flip-flop architecture. The reason for considering a ring counter is that the data activity at each bit position is known. The most significant bit (MSB) has the least data activity (12.5%), whereas the least significant bit (LSB) has the maximum (100%). 4. OBSERVATIONS The performance of the proposed DD-FF design is evaluated against existing designs through post-layout simulations. The compared designs include four explicit type P-FF designs shown in Fig. 2, an Pulse triggered flip flop design shown in fig. 1 A conventional CMOS NAND-logicbased pulse generator design with a three-stage inverter chain is used for DDFF designs, which employs its own pulse generation circuitry. Table -1: Performance Analysis Table for various types of FFs 4. CONCLUSION In this paper, a new low power DDFF was proposed. An analysis of the overlap period required to select proper pulse width was provided in order to make the design process simpler. The proposed DDFF eliminates the redundant power dissipation present in the pulse triggered FF. A comparison of the proposed DD flip-flop with the conventional flip-flops showed that it exhibits lower power dissipation along with comparable speed performances. The post-layout simulation results showed an improvement in PDP by about 10% compared to the P-FF at 25% data activity. By eliminating the charge sharing problem, the revised structure of the proposed flip-flop, The efficiency of the flip-flop is highlighted using a 4-b ring counter. It was proven that the proposed architectures are well suited for modern high performance designs where area, delay-overhead, and power dissipation are of major concern ACKNOWLEDGEMENT I would like to express my gratitude to the following people for their support and guidance for the success of this paper. First & foremost we would like to thank our mentor & guide Mrs. T Srinivasa Padmaja Associate Professor of ECE, SIETK, Puttur, for his constant support & guidance. His active cooperation & involvement have helped us through the various stages of project development. R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET REFERENCES 1. "Low-Power Pulse-Triggered Flip-Flop Design Based on a Signal Feed-Through Scheme", JinFa Lin, IEEE TRANSACTIONS ON VERY LARGE SCALE INTEGRATION (VLSI) SYSTEMS, VOL. 22, NO. 1, JANUARY 2014 2. H. Kawaguchi and T. Sakurai, "A reduced clock-swing flip-flop (RCSFF) for 63% power reduction", IEEE J. Solid-State Circuits, vol. 33, no. 5, pp. 807–811, May 1998. 3. K. Chen, "A 77% energy saving 22-transistor single phase clocking D-flip-flop with adoptivecoupling configuration in 40 nm CMOS", in Proc. IEEE Int. Solid-State Circuits Conf., Nov. 2011, pp. 338–339. 4. E. Consoli, M. Alioto, G. Palumbo, and J. Rabaey, "Conditional push pull pulsed latch with 726 fJops energy delay product in 65	nm MOS", in Proc.	IEEE Int. Solid-State Circuits Conf., Feb. 2012, pp. 482–483. 5. H. Partovi, R. Burd, U. Salim, F.Weber, L. DiGregorio, and D. Draper, "Flow-through latch and edge-triggered flip-flop hybrid elements", in Proc. IEEE Int. Solid-State Circuits Conf., Feb. 1996, pp. 138–139. 6. F. Klass, C. Amir, A. Das, K. Aingaran, C. Truong, R. Wang, A. Mehta, R. Heald, and G. Yee, "A new family of semi-dynamic and dynamic flip-flops with embedded logic for high-performance processors", IEEE J. Solid-State Circuits, vol. 34, no. 5, pp. 712–716, May 1999 7. Low-Power Dual Dynamic Node Pulsed Hybrid Flip-Flop Featuring Efficient Embedded Logic", Kalarikkal Absel, Lijo Manuel, and R. K. Kavitha, Member, IEEE, IEEE TRANSACTIONS ON VERY LARGE SCALE INTEGRATION (VLSI) SYSTEMS, VOL. 21, NO. 9, SEPTEMBER 2013. 8. B.-S. Kong, S.-S. Kim, and Y.-H. Jun, "Conditional-capture flip-flop for statistical power reduction", IEEE J. Solid-State Circuits, vol. 36, no. 8, pp. 1263–1271, Aug. 2001. 9. Stojanovic and V. Oklobdzija, "Comparative analysis of masterslave latches and flip-flops for high-performance and low-power systems", IEEE J. Solid-State Circuits, vol. 34, no. 4, pp. 536– 548, Apr. 1999. 10. Nedovic, M. Aleksic, and V. G. Oklobdzija, "Conditional pre-charge techniques for powerefficient dual-edge clocking", in Proc. Int. Symp. Low-Power Electron. Design, 2002, pp. 56–59. \| Research Article Impact Factor: 4.226 ISSN: 2319-507X \| \|---\| \| R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET \| 11. C. K. Teh, M. Hamada, T. Fujita, H. Hara, N. Ikumi, and Y. Oowaki, "Conditional data applying flip-flops for low-power and high performance systems", IEEE Trans. Very Large Scale Integer. (VLSI) Syst., vol. 14, no. 12, pp. 1379–1383, Dec. 2006. 12. S. H. Rasouli, A. Khademzadeh, A. Afzali-Kusha, and M. Nourani, "Low-power single- and double-edge-triggered flip-flops for high-speed applications", Proc. Inst. Elect. Eng. Circuits Devices Syst., vol. 152, no. 2, pp. 118–122, Apr. 2005	12,531	end_of_word	65	remove_one_sentence	<url> http://ijpret.com/publishedarticle/2015/7/IJPRET%20-%20420.pdf </url> <text> R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET INTERNATIONAL JOURNAL OF PURE AND APPLIED RESEARCH IN ENGINEERING AND TECHNOLOGY A PATH FOR HORIZING YOUR INNOVATIVE WORK DESIGN OF A LOW-POWER EFFICIENT DOUBLE EDGE TRIGGER FLIP FLOP R SIVA KUMAR 1 , T SRINIVASA PADMAJA 2 1. M. Tech Student, Embedded systems, Department of ECE, Siddhartha Institute of Engineering & Technology, A.P., India, 2. Assistant Professor, Department of ECE, Siddhartha Institute of Engineering & Technology, A.P., India, Accepted Date: 24/07/2015; Published Date: 01/08/2015 \ Abstract: - The data signal changes in Double-edge triggered Flip-Flops on both the rising and falling clock edges. Thus, results in low clock swing and it leads to lower power consumption and the data throughout are preserved. The leakage current has become a most dominant problem in VLSI system design, because it leads to more power consumption. Some of the methods have been presented in this paper to control the leakage current. The proposed design successfully solves the long discharging path problem in conventional explicit type pulse-triggered FF (P-FF) designs and achieves better speed and power performance. Also, DDFF and P-FF are compared with other state-of-the-art designs and DD-FF design is implemented in a 4-b ring counter. The performance improvements indicate that the proposed designs are well suited for modern high-performance designs where power dissipation and latching overhead are of major concern. The proposed circuit is simulated using Tanner EDA tool. The simulations are carried out by applying T-SPICE software. The number of clock transistors decrease which in turn results in lower leakage current, hence the power consumption reduces. Keywords: P-FF, DDFF, Ring Counter Corresponding Author: MR. R. SIVA KUMAR Access Online On: www.ijpret.com How to Cite This Article: R. Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET INTRODUCTION Most of the Flip-flops (FFs) are the memory storage elements extensively used in many digital designs. In particular, digital designs consisting of a intensive pipelining techniques and employ many FF-rich modules such as register file, shift register, and counters. It is also calculated that the power consumption of the clock system, which consists of clock distribution networks and storage elements, which consumes 50% of the total system power. FFs thus contribute a major portion of the chip area and power consumption to the overall system design. The power dissipation is an important factor for the low power applications. The power optimization techniques are used at different levels of a digital design. The optimization at the logic level is one of the most necessary tasks for minimizing the power consumption. The latches and flip flops are viewed as the critical logic components for the effectiveness of the digital circuits. They are widely used in the memory design, test applications and pipelines implementations. Since the power consumption depends on several parameters, different methods have been applied to reduce each of them. The processing speed of the system is doubled, if both clock edges have been used or the processing speed is preserved, if the circuit frequency becomes half. As the frequency becomes half it implies that the dynamic power of flip-flop and clock distribution network are half. The circuit uses flip-flop with both clock edges. In this design the dynamic power consumption and the leakage current have been decreased and components related to the leakage current are considered. Fig. 1depicts the proposed static flip-flop circuit with double triggered pulse edges. Pulse-triggered FF (P-FF), because of its single-latch structure, is more popular than the transmission gate (TG) and master–slave based FFs in higher speed applications. Apart from the speed advantage, its circuit simplicity lowers the power consumption of the clock tree system. A P-FF consists of a pulse generator for strobe signals and a latch is for data storage. If the triggering pulses are narrow, the latch acts like an edge-triggered FF. Since only one latch, as opposed to two in the conventional master–slave configuration, is needed, a P-FF is simpler in circuit complexity. In this existing P-FF the load capacitance has been reduced and the ground bounce noise to be reduced. The pass transistor has been to be added in the circuit to control by the clock pulse signal to reduce the switching power. The pull up and the pull down transistor are also used to enable the clock pulses for the input of the data and the clock. This scheme actually improves the logic "0" to logic "1" delay and thus reduces the comparison between the rise time and the fall time delays. By reducing the time and the switching delay it automatically reduces the switching power in the circuit. The pulse-triggered means that data are entered into the flipflop on the rising edge of the clock pulse, but the output does not reflect the input state until the falling edge of the clock pulse. And these kind of flip-flops are sensitive to any change of the input levels during the clock pulse is still HIGH, the inputs must be set up prior to the clock pulse's rising edge and must not be changed before the falling edge. R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET 2. PROPOSED SYSTEM Figure3 shows the proposed DDFF architecture. Node X1 is pseudo-dynamic, with a weak inverter acting as a keeper, whereas, compared to the P-FF, in the new architecture node X2 is purely dynamic. An unconditional shutoff mechanism is provided at the frontend instead of the Conditional one in P-FF. The operation of the flip-flop can be divided into two phases: 1) the evaluation phase, when CLK is high, and 2) the pre-charge phase, when CLK is low The actual latching occurs during the one-to-one overlap of CLK and CLKB during the evaluation phase. If D is high prior to this overlap period, node X1 is discharged through NM0-NM2. This switches the state of the cross coupled inverter pair INV1-INV2 causing node X1B to go high and output QB to discharge through NM4 transistor. The low level at the node X1 is retained by the inverter pair INV1-INV2 for the rest of the evaluation phase where no latching occurs. Thus, node X2 is kept at high throughout the evaluation period by the PM1. When CLK goes to low, the circuit enters the pre-charge phase and node X1 is pulled high through pmos transistor PM0, switching the state of INV1-2. During this period node X2 is not properly driven by any transistor, it stores the charge dynamically. The outputs at node QB and maintain their voltage levels through INV3-4. If D is zero prior to the overlap period, node X1 remains high and node X2 is pulled low through NM3 as the CLK goes high. Thus, node QB is charged high through PM2 and NM4 is kept at off. At the end of the evaluation phase, as the CLK goes to low, node X1 remains high and X2 stores the charge dynamically. The architecture exhibits negative setup time since the short transparency period defined by the 1–1 overlap CLK and CLKB allows the data to be sampled even after the rising edge of the CLK before CLKB falls low in fig -4 shows the post-layout timing diagram of the flip-flop at 2-GHz CLK frequency and 1.2 V supply in 90- nm UMC process technology. Node X1 undergoes charge sharing when the CLK makes a low to high transition while D is held at low logic level. The timing diagram shows that node X2 retains the charge level during the pre-charge phase when it is not driven by any transistor. Note that the temporary pull down at node X2 when sampling a "one" is due to the delay between X1 and X1B. The setup time and hold time of a flip-flop refers to the minimum time period before and after the CLK edge, respectively where the data should be stable so that proper sampling is possible. Here setup time and the hold time depend on the CLK overlap period. 3. PERFOMANCE ANALASIS IN RING COUNTER To analyze the performance of DDFF, other designs were also simulated under similar conditions. Since the D-Q delay reflects the actual portion of the time period consumed by the latching device. Optimum setup-time is the data-to-CLK delay when D-Q is at its minimum. The power is divided into three parts–the latching power, the local CLK driving power, and the local data driving power, to accurately analyze the power-performance of various designs. The simulations are carried out at various data activities to obtain a realistic performance comparison of various designs. A data activity of 100% represents an output data transition at every positive CLK edge and 0% represents no data transition. Since the performance of the proposed flipflops depends on the CLK overlap period, a detailed analysis at various process and temperature corners is carried out. Since static leakage power is one of the major sources of power dissipation at scaled down technology nodes, comparison of the leakage performance of various designs has been carried out. The leakage currents for different input and output conditions are measured to find the reason for leakage power. In addition, all the designs were analyzed at different voltage points to understand the impact of supply voltage fluctuation in the functionality of the flip-flops. Finally, a 4-b ring counter is designed to highlight the performance of the proposed flip-flop architecture. The reason for considering a ring counter is that the data activity at each bit position is known. The most significant bit (MSB) has the least data activity (12.5%), whereas the least significant bit (LSB) has the maximum (100%). 4. OBSERVATIONS The performance of the proposed DD-FF design is evaluated against existing designs through post-layout simulations. The compared designs include four explicit type P-FF designs shown in Fig. 2, an Pulse triggered flip flop design shown in fig. 1 A conventional CMOS NAND-logicbased pulse generator design with a three-stage inverter chain is used for DDFF designs, which employs its own pulse generation circuitry. Table -1: Performance Analysis Table for various types of FFs 4. CONCLUSION In this paper, a new low power DDFF was proposed. An analysis of the overlap period required to select proper pulse width was provided in order to make the design process simpler. The proposed DDFF eliminates the redundant power dissipation present in the pulse triggered FF. A comparison of the proposed DD flip-flop with the conventional flip-flops showed that it exhibits lower power dissipation along with comparable speed performances. The post-layout simulation results showed an improvement in PDP by about 10% compared to the P-FF at 25% data activity. By eliminating the charge sharing problem, the revised structure of the proposed flip-flop, The efficiency of the flip-flop is highlighted using a 4-b ring counter. It was proven that the proposed architectures are well suited for modern high performance designs where area, delay-overhead, and power dissipation are of major concern ACKNOWLEDGEMENT I would like to express my gratitude to the following people for their support and guidance for the success of this paper. First & foremost we would like to thank our mentor & guide Mrs. T Srinivasa Padmaja Associate Professor of ECE, SIETK, Puttur, for his constant support & guidance. His active cooperation & involvement have helped us through the various stages of project development. R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET REFERENCES 1. "Low-Power Pulse-Triggered Flip-Flop Design Based on a Signal Feed-Through Scheme", JinFa Lin, IEEE TRANSACTIONS ON VERY LARGE SCALE INTEGRATION (VLSI) SYSTEMS, VOL. 22, NO. 1, JANUARY 2014 2. H. Kawaguchi and T. Sakurai, "A reduced clock-swing flip-flop (RCSFF) for 63% power reduction", IEEE J. Solid-State Circuits, vol. 33, no. 5, pp. 807–811, May 1998. 3. K. Chen, "A 77% energy saving 22-transistor single phase clocking D-flip-flop with adoptivecoupling configuration in 40 nm CMOS", in Proc. IEEE Int. Solid-State Circuits Conf., Nov. 2011, pp. 338–339. 4. E. Consoli, M. Alioto, G. Palumbo, and J. Rabaey, "Conditional push pull pulsed latch with 726 fJops energy delay product in 65<cursor_is_here> IEEE Int. Solid-State Circuits Conf., Feb. 2012, pp. 482–483. 5. H. Partovi, R. Burd, U. Salim, F.Weber, L. DiGregorio, and D. Draper, "Flow-through latch and edge-triggered flip-flop hybrid elements", in Proc. IEEE Int. Solid-State Circuits Conf., Feb. 1996, pp. 138–139. 6. F. Klass, C. Amir, A. Das, K. Aingaran, C. Truong, R. Wang, A. Mehta, R. Heald, and G. Yee, "A new family of semi-dynamic and dynamic flip-flops with embedded logic for high-performance processors", IEEE J. Solid-State Circuits, vol. 34, no. 5, pp. 712–716, May 1999 7. Low-Power Dual Dynamic Node Pulsed Hybrid Flip-Flop Featuring Efficient Embedded Logic", Kalarikkal Absel, Lijo Manuel, and R. K. Kavitha, Member, IEEE, IEEE TRANSACTIONS ON VERY LARGE SCALE INTEGRATION (VLSI) SYSTEMS, VOL. 21, NO. 9, SEPTEMBER 2013. 8. B.-S. Kong, S.-S. Kim, and Y.-H. Jun, "Conditional-capture flip-flop for statistical power reduction", IEEE J. Solid-State Circuits, vol. 36, no. 8, pp. 1263–1271, Aug. 2001. 9. Stojanovic and V. Oklobdzija, "Comparative analysis of masterslave latches and flip-flops for high-performance and low-power systems", IEEE J. Solid-State Circuits, vol. 34, no. 4, pp. 536– 548, Apr. 1999. 10. Nedovic, M. Aleksic, and V. G. Oklobdzija, "Conditional pre-charge techniques for powerefficient dual-edge clocking", in Proc. Int. Symp. Low-Power Electron. Design, 2002, pp. 56–59. \| Research Article Impact Factor: 4.226 ISSN: 2319-507X \| \|---\| \| R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET \| 11. C. K. Teh, M. Hamada, T. Fujita, H. Hara, N. Ikumi, and Y. Oowaki, "Conditional data applying flip-flops for low-power and high performance systems", IEEE Trans. Very Large Scale Integer. (VLSI) Syst., vol. 14, no. 12, pp. 1379–1383, Dec. 2006. 12. S. H. Rasouli, A. Khademzadeh, A. Afzali-Kusha, and M. Nourani, "Low-power single- and double-edge-triggered flip-flops for high-speed applications", Proc. Inst. Elect. Eng. Circuits Devices Syst., vol. 152, no. 2, pp. 118–122, Apr. 2005 </text>	[ { "content": "<url>\nhttp://ijpret.com/publishedarticle/2015/7/IJPRET%20-%20420.pdf\n</url>\n<text>\nR Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET\n\nINTERNATIONAL JOURNAL OF PURE AND APPLIED RESEARCH IN ENGINEERING AND TECHNOLOGY\n\nA PATH FOR HORIZING YOUR INNOVATIVE WORK\n\nDESIGN OF A LOW-POWER EFFICIENT DOUBLE EDGE TRIGGER FLIP FLOP\n\nR SIVA KUMAR\n\n1\n\n, T SRINIVASA PADMAJA\n\n2\n\n1. M. Tech Student, Embedded systems, Department of ECE, Siddhartha Institute of Engineering & Technology, A.P., India,\n2. Assistant Professor, Department of ECE, Siddhartha Institute of Engineering & Technology, A.P., India,\n\nAccepted Date: 24/07/2015; Published Date: 01/08/2015\n\n\\ Abstract: - The data signal changes in Double-edge triggered Flip-Flops on both the rising and falling clock edges. Thus, results in low clock swing and it leads to lower power consumption and the data throughout are preserved. The leakage current has become a most dominant problem in VLSI system design, because it leads to more power consumption. Some of the methods have been presented in this paper to control the leakage current. The proposed design successfully solves the long discharging path problem in conventional explicit type pulse-triggered FF (P-FF) designs and achieves better speed and power performance. Also, DDFF and P-FF are compared with other state-of-the-art designs and DD-FF design is implemented in a 4-b ring counter. The performance improvements indicate that the proposed designs are well suited for modern high-performance designs where power dissipation and latching overhead are of major concern. The proposed circuit is simulated using Tanner EDA tool. The simulations are carried out by applying T-SPICE software. The number of clock transistors decrease which in turn results in lower leakage current, hence the power consumption reduces.\n\nKeywords: P-FF, DDFF, Ring Counter\n\nCorresponding Author: MR. R. SIVA KUMAR\n\nAccess Online On:\n\nwww.ijpret.com\n\nHow to Cite This Article:\n\nR. Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199\n\nR Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET\n\nINTRODUCTION\n\nMost of the Flip-flops (FFs) are the memory storage elements extensively used in many digital designs. In particular, digital designs consisting of a intensive pipelining techniques and employ many FF-rich modules such as register file, shift register, and counters. It is also calculated that the power consumption of the clock system, which consists of clock distribution networks and storage elements, which consumes 50% of the total system power. FFs thus contribute a major portion of the chip area and power consumption to the overall system design.\n\nThe power dissipation is an important factor for the low power applications. The power optimization techniques are used at different levels of a digital design. The optimization at the logic level is one of the most necessary tasks for minimizing the power consumption. The latches and flip flops are viewed as the critical logic components for the effectiveness of the digital circuits. They are widely used in the memory design, test applications and pipelines implementations. Since the power consumption depends on several parameters, different methods have been applied to reduce each of them. The processing speed of the system is doubled, if both clock edges have been used or the processing speed is preserved, if the circuit frequency becomes half. As the frequency becomes half it implies that the dynamic power of flip-flop and clock distribution network are half. The circuit uses flip-flop with both clock edges.\n\nIn this design the dynamic power consumption and the leakage current have been decreased and components related to the leakage current are considered. Fig. 1depicts the proposed static flip-flop circuit with double triggered pulse edges.\n\nPulse-triggered FF (P-FF), because of its single-latch structure, is more popular than the transmission gate (TG) and master–slave based FFs in higher speed applications. Apart from the speed advantage, its circuit simplicity lowers the power consumption of the clock tree system. A P-FF consists of a pulse generator for strobe signals and a latch is for data storage. If the triggering pulses are narrow, the latch acts like an edge-triggered FF. Since only one latch, as opposed to two in the conventional master–slave configuration, is needed, a P-FF is simpler in circuit complexity.\n\nIn this existing P-FF the load capacitance has been reduced and the ground bounce noise to be reduced. The pass transistor has been to be added in the circuit to control by the clock pulse signal to reduce the switching power. The pull up and the pull down transistor are also used to enable the clock pulses for the input of the data and the clock. This scheme actually improves the logic \"0\" to logic \"1\" delay and thus reduces the comparison between the rise time and the fall time delays. By reducing the time and the switching delay it automatically reduces the switching power in the circuit. The pulse-triggered means that data are entered into the flipflop on the rising edge of the clock pulse, but the output does not reflect the input state until the falling edge of the clock pulse. And these kind of flip-flops are sensitive to any change of the input levels during the clock pulse is still HIGH, the inputs must be set up prior to the clock pulse's rising edge and must not be changed before the falling edge.\n\nR Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET\n\n2. PROPOSED SYSTEM\n\nFigure3 shows the proposed DDFF architecture. Node X1 is pseudo-dynamic, with a weak inverter acting as a keeper, whereas, compared to the P-FF, in the new architecture node X2 is purely dynamic. An unconditional shutoff mechanism is provided at the frontend instead of the Conditional one in P-FF. The operation of the flip-flop can be divided into two phases: 1) the evaluation phase, when CLK is high, and 2) the pre-charge phase, when CLK is low\n\nThe actual latching occurs during the one-to-one overlap of CLK and CLKB during the evaluation phase. If D is high prior to this overlap period, node X1 is discharged through NM0-NM2. This switches the state of the cross coupled inverter pair INV1-INV2 causing node X1B to go high and output QB to discharge through NM4 transistor. The low level at the node X1 is retained by the inverter pair INV1-INV2 for the rest of the evaluation phase where no latching occurs. Thus, node X2 is kept at high throughout the evaluation period by the PM1. When CLK goes to low, the circuit enters the pre-charge phase and node X1 is pulled high through pmos transistor PM0, switching the state of INV1-2. During this period node X2 is not properly driven by any transistor, it stores the charge dynamically. The outputs at node QB and maintain their voltage levels through INV3-4. If D is zero prior to the overlap period, node X1 remains high and node X2 is pulled low through NM3 as the CLK goes high. Thus, node QB is charged high through PM2 and NM4 is kept at off. At the end of the evaluation phase, as the CLK goes to low, node X1 remains high and X2 stores the charge dynamically. The architecture exhibits negative setup time since the short transparency period defined by the 1–1 overlap CLK and CLKB allows the data to be sampled even after the rising edge of the CLK before CLKB falls low in fig -4 shows the post-layout timing diagram of the flip-flop at 2-GHz CLK frequency and 1.2 V supply in 90-\n\nnm UMC process technology. Node X1 undergoes charge sharing when the CLK makes a low to high transition while D is held at low logic level.\n\nThe timing diagram shows that node X2 retains the charge level during the pre-charge phase when it is not driven by any transistor. Note that the temporary pull down at node X2 when sampling a \"one\" is due to the delay between X1 and X1B. The setup time and hold time of a flip-flop refers to the minimum time period before and after the CLK edge, respectively where the data should be stable so that proper sampling is possible. Here setup time and the hold time depend on the CLK overlap period.\n\n3. PERFOMANCE ANALASIS IN RING COUNTER\n\nTo analyze the performance of DDFF, other designs were also simulated under similar conditions. Since the D-Q delay reflects the actual portion of the time period consumed by the latching device. Optimum setup-time is the data-to-CLK delay when D-Q is at its minimum. The power is divided into three parts–the latching power, the local CLK driving power, and the local data driving power, to accurately analyze the power-performance of various designs. The simulations are carried out at various data activities to obtain a realistic performance comparison of various designs. A data activity of 100% represents an output data transition at every positive\n\nCLK edge and 0% represents no data transition. Since the performance of the proposed flipflops depends on the CLK overlap period, a detailed analysis at various process and temperature corners is carried out.\n\nSince static leakage power is one of the major sources of power dissipation at scaled down technology nodes, comparison of the leakage performance of various designs has been carried out. The leakage currents for different input and output conditions are measured to find the reason for leakage power. In addition, all the designs were analyzed at different voltage points to understand the impact of supply voltage fluctuation in the functionality of the flip-flops. Finally, a 4-b ring counter is designed to highlight the performance of the proposed flip-flop architecture. The reason for considering a ring counter is that the data activity at each bit position is known. The most significant bit (MSB) has the least data activity (12.5%), whereas the least significant bit (LSB) has the maximum (100%).\n\n4. OBSERVATIONS\n\nThe performance of the proposed DD-FF design is evaluated against existing designs through post-layout simulations. The compared designs include four explicit type P-FF designs shown in Fig. 2, an Pulse triggered flip flop design shown in fig. 1 A conventional CMOS NAND-logicbased pulse generator design with a three-stage inverter chain is used for DDFF designs, which employs its own pulse generation circuitry.\n\nTable -1: Performance Analysis Table for various types of FFs\n\n4. CONCLUSION\n\nIn this paper, a new low power DDFF was proposed. An analysis of the overlap period required to select proper pulse width was provided in order to make the design process simpler. The proposed DDFF eliminates the redundant power dissipation present in the pulse triggered FF. A comparison of the proposed DD flip-flop with the conventional flip-flops showed that it exhibits lower power dissipation along with comparable speed performances. The post-layout simulation results showed an improvement in PDP by about 10% compared to the P-FF at 25% data activity. By eliminating the charge sharing problem, the revised structure of the proposed flip-flop, The efficiency of the flip-flop is highlighted using a 4-b ring counter. It was proven that the proposed architectures are well suited for modern high performance designs where area, delay-overhead, and power dissipation are of major concern\n\nACKNOWLEDGEMENT\n\nI would like to express my gratitude to the following people for their support and guidance for the success of this paper.\n\nFirst & foremost we would like to thank our mentor & guide Mrs. T Srinivasa Padmaja Associate Professor of ECE, SIETK, Puttur, for his constant support & guidance. His active cooperation & involvement have helped us through the various stages of project development.\n\nR Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET\n\nREFERENCES\n\n1. \"Low-Power Pulse-Triggered Flip-Flop Design Based on a Signal Feed-Through Scheme\", JinFa Lin, IEEE TRANSACTIONS ON VERY LARGE SCALE INTEGRATION (VLSI) SYSTEMS, VOL. 22, NO. 1, JANUARY 2014\n2. H. Kawaguchi and T. Sakurai, \"A reduced clock-swing flip-flop (RCSFF) for 63% power reduction\", IEEE J. Solid-State Circuits, vol. 33, no. 5, pp. 807–811, May 1998.\n3. K. Chen, \"A 77% energy saving 22-transistor single phase clocking D-flip-flop with adoptivecoupling configuration in 40 nm CMOS\", in Proc. IEEE Int. Solid-State Circuits Conf., Nov. 2011, pp. 338–339.\n4. E. Consoli, M. Alioto, G. Palumbo, and J. Rabaey, \"Conditional push pull pulsed latch with 726 fJops energy delay product in 65<cursor_is_here> IEEE Int. Solid-State Circuits Conf., Feb. 2012, pp. 482–483.\n5. H. Partovi, R. Burd, U. Salim, F.Weber, L. DiGregorio, and D. Draper, \"Flow-through latch and edge-triggered flip-flop hybrid elements\", in Proc. IEEE Int. Solid-State Circuits Conf., Feb. 1996, pp. 138–139.\n6. F. Klass, C. Amir, A. Das, K. Aingaran, C. Truong, R. Wang, A. Mehta, R. Heald, and G. Yee, \"A new family of semi-dynamic and dynamic flip-flops with embedded logic for high-performance processors\", IEEE J. Solid-State Circuits, vol. 34, no. 5, pp. 712–716, May 1999\n7. Low-Power Dual Dynamic Node Pulsed Hybrid Flip-Flop Featuring Efficient Embedded Logic\", Kalarikkal Absel, Lijo Manuel, and R. K. Kavitha, Member, IEEE, IEEE TRANSACTIONS ON VERY LARGE SCALE INTEGRATION (VLSI) SYSTEMS, VOL. 21, NO. 9, SEPTEMBER 2013.\n8. B.-S. Kong, S.-S. Kim, and Y.-H. Jun, \"Conditional-capture flip-flop for statistical power reduction\", IEEE J. Solid-State Circuits, vol. 36, no. 8, pp. 1263–1271, Aug. 2001.\n9. Stojanovic and V. Oklobdzija, \"Comparative analysis of masterslave latches and flip-flops for high-performance and low-power systems\", IEEE J. Solid-State Circuits, vol. 34, no. 4, pp. 536– 548, Apr. 1999.\n10. Nedovic, M. Aleksic, and V. G. Oklobdzija, \"Conditional pre-charge techniques for powerefficient dual-edge clocking\", in Proc. Int. Symp. Low-Power Electron. Design, 2002, pp. 56–59.\n\n\| Research Article Impact Factor: 4.226 ISSN: 2319-507X \|\n\|---\|\n\| R Siva Kumar, IJPRET, 2015; Volume 3 (12): 191-199 IJPRET \|\n\n11. C. K. Teh, M. Hamada, T. Fujita, H. Hara, N. Ikumi, and Y. Oowaki, \"Conditional data applying flip-flops for low-power and high performance systems\", IEEE Trans. Very Large Scale Integer. (VLSI) Syst., vol. 14, no. 12, pp. 1379–1383, Dec. 2006.\n12. S. H. Rasouli, A. Khademzadeh, A. Afzali-Kusha, and M. Nourani, \"Low-power single- and double-edge-triggered flip-flops for high-speed applications\", Proc. Inst. Elect. Eng. Circuits Devices Syst., vol. 152, no. 2, pp. 118–122, Apr. 2005\n</text>\n", "role": "user" }, { "content": " nm MOS\", in Proc.", "role": "assistant" } ]
ORLEANS COUNTY DEPARTMENT OF MENTAL HEALTH CORPORATE COMPLIANCE PLAN OCTOBER 2011 Revised: 10/11 – Revision of December 2009 Corporate Compliance Plan Approved: By: James F. Graziano, LCSW, ACSW – 10/20/11 Director of Mental Health and Community Services By: Community Services Board – 10/25/11 Table of Contents ORLEANS COUNTY DEPARTMENT OF MENTAL HEALTH CORPORATE COMPLIANCE POLICY I. Policy It has been and continues to be the policy of the Department to comply with all applicable federal, state and local laws and regulations, and payor requirements. It is also the Department's policy to adhere to the Code of Ethics that is adopted by the Community Services Board and Orleans County. II. Commitment The Department always has been and remains committed to its responsibility to conduct its business affairs with integrity, based on sound ethical and moral standards. The Department holds its employees, contracted practitioners, student interns, volunteers and vendors to these same standards. The Department is committed to maintaining and measuring the effectiveness of its Compliance policies and procedures, and standards through monitoring and auditing systems reasonably designed to detect noncompliance by its employees, contracted practitioners, student interns and volunteers. It shall require the performance of regular, periodic compliance audits by internal and/or external auditors who have expertise in federal and state mental health care statutes, regulations and mental health care program, and payor requirements. III. Responsibility All employees, contracted practitioners, student interns, volunteers and vendors will acknowledge that it is their responsibility to report any suspected instances of suspected or known noncompliance to their immediate supervisor, the Director of Mental Health and Community Services or the Compliance Officer. Reports may be made anonymously without fear of retaliation or retribution. Failure to report known noncompliance or making reports which are not in good faith will be grounds for disciplinary action, up to and including termination or other association with the Department. Reports related to harassment or other workplace-oriented issues will be referred to the appropriate management personnel. Disciplinary actions are subject to County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. IV. Policies and Procedures The Department will communicate its compliance standards and policies and procedures through required training initiatives to all employees, contracted practitioners, student interns, volunteers, vendors and Community Services Board members. The Department is - 1 - committed to these efforts through distribution of this Compliance Policy and its Code of Conduct and Philosophy. V. Enforcement This Compliance Policy will be consistently enforced through appropriate disciplinary mechanisms including, if appropriate, discipline of individuals responsible for failure to detect and/or report noncompliance. These mechanisms will be in compliance with County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. VI. Department Response Detected noncompliance, through any mechanism, i.e. compliance auditing procedures, confidential reporting, will be responded to in an expedient manner. The Department is dedicated to the resolution of such matters and will take all reasonable steps to prevent further similar violations, including any necessary modifications to the Compliance Plan. VII. Due Diligence The Department will, at all times, exercise due diligence with regard to background, exclusion and professional license investigations for all prospective employees, contracted practitioners, student interns, volunteers, vendors and members of the Community Services Board. - 2 - Code of Ethics and Philosophy I. Philosophy and Principles - Community service and support systems must be responsive to individual needs. - Individuals with severe and persistent mental illness, and their families should have options, within a flexible system, as to service and provider type. - Members of minority and ethnic groups, the elderly and those with multiple disabilities must have access to community service and support systems responsive to their individual needs. - The public mental health system should have the capacity to treat the vast majority of persons who are severely and acutely mentally ill, and can be effectively treated in their home communities if the range and mix of services are consistent with their needs. - Local government and local providers must be supported and assisted in their development of responsive and needs-based community systems for severely and persistently mentally ill persons. - For individuals who are severely and persistently mentally ill, mental health services must be effectively integrated with health, social services and other common community services at the local level. - The vast majority of persons with long-term mental illness can live meaningful and productive lives in community settings when given flexible support. - Clients must have access to services and opportunities for education within a system that promotes their participation. - Research, staff development, training and new technologies which promote improvements in services and treatment of those who experience long-term severe mental illness must be supported II. Mission The Orleans County Department of Mental Health promotes mental wellness and resiliency, recovery, self-sufficiency and an enhanced quality of life for residents of Orleans County with mental health disorders by providing effective, accessible behavioral health services. III. Core Values - We are responsible for providing the most effective services, achieving outcomes and maintaining fidelity to the expectations and requirements of our stakeholders. - We are committed to diversity as a way of enriching our ability to fulfill our Mission. - 3 - - We will incorporate those whose behavioral health is affected into decisions related to their care and treatment. - Honest, fairness, transparency and integrity will define our actions - We are committed to providing the highest quality services to our consumers. - Working as a team with our families, consumers and collaborating stakeholders will yield the greatest returns. - We will always treat others with courtesy, dignity and unconditional regard. - The behavioral health and recovery of the individual is the prime focus of our efforts. IV. Expectations The Department ensures that all aspects of consumer care and business conduct are performed in compliance with its mission statement, policies and procedures, and professional standards; applicable governmental laws, rules and regulations; and other payor standards. The Department also wishes to facilitate and encourage a healthy corporate environment in which sound therapeutic practices can thrive. The Department expects every person who provides services to its clients to adhere to the highest ethical standards and to promote ethical behavior. Any person whose behavior is found to violate ethical standards will be disciplined appropriately, in accordance with County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. Employees, contracted practitioners and student interns may not engage in any conduct that conflicts, or is perceived to conflict, with the best interest of the Department. Employees, contracted practitioners and student interns must disclose any circumstances where they or any immediate family member of theirs is an employee, Board member, consultant, owner, contractor or investor in any entity that (i) engages in any business or maintains any relationship with the Department; (ii) provides to, or receives from, the Department any referrals; or (iii) competes with the Department. Employees may not without permission of the Director of Mental Health and Community Services and the Compliance Officer accept, solicit or offer anything of value from anyone doing business with the Department. Employees, contracted practitioners and student interns are expected to maintain complete, accurate and contemporaneous records as required by the Department. The term "records" includes all documents, both written and electronic, that are related to the provision of Departmental services or provide support for the billing of Departmental services. Records must reflect the actual service provided. Any records to be appropriately altered must reflect the date of the alteration; the name, signature and title of the person altering the document; and the reason for the alteration if not apparent. No person shall ever sign the name of another person to any document. Signature stamps shall not be used. Backdating and predating documents is unacceptable and will lead to discipline up to and including - 4 - termination. Discipline will be in compliance with County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. When any person knows or reasonably suspects that the expectations above have not been met, this must be reported to immediate supervisors, the Compliance Officer (CO) or the Director of Mental Health and Community Services, in order to deal with each situation in an appropriate manner. The CO may be reached at (585) 589-3289. - 5 - I. Compliance Officer The Director of Mental Health and Community Services and the Community Services Board designate Lynn R. Fearby as the Compliance Officer (CO). If the Compliance Officer is incapacitated or unable to perform his or her duties for any reason, the position shall be promptly filled either with a temporary or permanent replacement depending upon the nature of the Compliance Officer's incapacity. The Compliance Officer reports to and has direct lines of communication to the Director of Mental Health and Community Services and the Compliance Committee. The Director of Mental Health and Community Services, in the normal course of conducting business, has direct access to the Community Services Board, Mental Health Legislative Committee, Chief Administrative Officer and County Attorney. In the event that circumstances require the exclusion of the Director of Mental Health and Community Services, the Compliance Officer will consult with the Compliance Committee and may have direct access to the Community Services Board after seeking input of the County Attorney. If the County Attorney concurs that the Community Services Board should be contacted without the Director of Mental Health and Community Services, the Compliance Officer may proceed with direct contact with the Community Services Board, Mental Health Legislative Committee, and Chief Administrative Officer, as needed. II. Responsibilities The CO is directly obligated to serve the best interests of the Department, consumers and employees. Responsibilities of the CO include, but are not limited to: - Developing and implementing compliance policies and procedures. The Director of Mental Health and Community Services and Community Services Board must approve all Department policies and procedures. - Overseeing and monitoring the implementation of the Compliance Program. - Directing internal audits of the Department that are established to monitor the effectiveness of compliance standards. - Providing guidance to management, medical/clinical program personnel and individual programs regarding policies and procedures, and governmental laws, rules and regulations. - Updating, periodically, the Compliance Plan as changes occur within the Department, and/or in the law and regulations or the requirements of governmental, and/or third party payors. - Overseeing efforts to communicate awareness of the existence and contents of the Compliance Plan. - Coordinating, developing and participating in the educational and training program. - 6 - - Guaranteeing independent contractors (consumer care, vendors, billing services, etc.) are aware of the requirements of the Department's Compliance Plan. - Actively seeking up-to-date material and releases regarding regulatory compliance. - Maintaining a reporting system (Hotline) and responding to concerns, complaints and questions related to the Compliance Plan. - Acting as a resourceful leader regarding regulatory compliance issues. - Investigating and acting on issues related to compliance. If there is a perceived or actual conflict of interest with the Corporate Compliance Officer's conducting a particular investigation, the Director of Mental Health and Community Services, in consultation with the Corporate Compliance Committee, will select another individual to conduct the investigation. - Coordinating internal investigations and implementing corrective action. If there is a perceived or actual conflict of interest with the Corporate Compliance Officer's conducting a particular investigation, the Director of Mental Health and Community Services, in consultation with the Corporate Compliance Committee, will select another individual to conduct the investigation. - Serving as a member of the Corporate Compliance Committee and appearing as needed but, at least quarterly, before the Community Services Board and the Mental Health Legislative Committee to report on activities of the Compliance Plan. - 7 - The Structure, Duties and Role of the Compliance Committee I. Reporting Structure and Purpose Compliance Committee (CC) members are appointed by the Director of Mental Health and Community Services and approved by the Community Services Board. Compliance issues are reported by the CC to the Director of Mental Health and Community Services who, with the Compliance Officer, provides at least quarterly reports to the Community Services Board and the Metal Health Legislative Committee. The purpose of the CC is to advise and assist the CO with implementation of the Compliance Plan. II. Function The roles of the Compliance Committee include: - Analyzing the environment where the Department does business, including legal requirements with which it must comply. - Reviewing and assessing existing policies and procedures that address these risk areas for possible incorporation into the Compliance Plan. - Working with the Department programs to develop standards and policies and procedures that address specific risk areas, and require compliance according to legal and ethical requirements. - Advising and monitoring appropriate Department programs relative to compliance matters. - Developing internal systems and controls to carry out compliance standards and policies and procedures. - Monitoring internal and external audits to identify potential non-compliant issues. - Implementing corrective and preventive action plans. - Developing a process to solicit, evaluate and respond to complaints and problems. - 8 - Delegation of Substantial Discretionary Authority I. Requirement Any employee or prospective employee of the Department is required to disclose any name changes and any involvement in non-compliant activities, including health care related crimes. In addition, the Department is required to perform reasonable inquiries into the background of applicants for employment, contractors, student interns, volunteers, vendors and members of the Community Services Board. The County maintains an agreement for a web application that allows the Department to verify that an employee, vendor, contractor, student intern, volunteer, and Community Services Board member are not excluded from Medicaid, Medicare or other federal program participation. This web application will be queried upon the hire of all Department employees and the appointment of all Community Services Board members and monthly thereafter. Likewise all Department vendors, contractors, student interns and volunteers will be queried upon engagement and monthly thereafter. The County's Director of Personnel and Self Insurance will conduct the query of Department staffs upon hire. All other queries will be done by the Department's Compliance Officer. - 9 - Education and Training I. Expectations Education and training are critical elements of the Compliance Plan. All employees, contractors that provide professional services, members of the Community Services Board, student interns and volunteers are expected to be familiar and knowledgeable about the Department's Compliance Plan and have a solid working knowledge of his or her responsibilities under the Plan. Compliance policies and procedures, and standards will be communicated to all these individuals through required participation in training programs. II. Training Topics - General All employees, contractors that provide professional services, student interns, volunteers and members of the Community Services Board shall participate in training on the topics identified below: - Government and private payor reimbursement principles - Government initiatives - History and background of Corporate Compliance - Legal principles regarding compliance and Community Services Board responsibilities related thereto - The False Claims Act - General prohibitions on paying or receiving remuneration to induce referrals and the importance of fair market value - Prohibitions against submitting a claim for services when documentation of the service does not exist to the extent required - Prohibitions against signing for the work of another individual providing services - Prohibitions against alterations to medical records and appropriate methods of alteration - Prohibitions against rendering services without a signed physician's order or other prescription, if applicable - Proper documentation of services rendered - Duty to report misconduct. III. Training Topics - Targeted In addition to the above, targeted training will be provided to all managers and other individuals whose job responsibilities include activities related to compliance topics, such as coding, billing and documentation. Managers shall assist the CO in identifying areas that require specific training and are responsible for communication of the terms of this Compliance Plan to all independent contractors doing business with the Department. IV. Orientation As part of their orientation, each employee, contractor, student intern and volunteer shall receive a copy (written or electronic) of the Compliance Plan, related policies and procedures, and specific standards of conduct that affect their position. All members of the Community Services Board shall receive a copy (written or electronic) of the Compliance Plan and related polices and procedures as part of their Board Member orientation. V. Attendance All education and training relating to the Compliance Plan will be verified by attendance records and a signed acknowledgement of receipt of the Compliance Plan and standards. Attendance at compliance training sessions is mandatory and is a condition of continued employment and/or other association with the Department. Training updates occur at least annually and periodically, as needed. All appropriate staffs (given the compliance topic) are required to attend as directed by the Director of Mental Health and Community Services. Effective Confidential Communication________________________________________ I. Expectations Open lines of communication between the CO and every employee, contracted practitioner, student intern, volunteer and member of the Community Services Board subject to this Plan are essential to the success of the Department's Compliance Program. Every individual associated with the Department has an obligation to refuse to participate in non-compliant behavior; to refrain from encouraging, directing, facilitating or permitting non-compliant behavior; and to report the actions according to the procedure listed below. II. Reporting Procedure If an employee, contractor, student intern, volunteer or member of the Community Services Board witnesses, learns of or is asked to participate in potential non-compliant activities, in violation of this Compliance Plan, he or she should contact the CO, his or her immediate supervisor or the Director of Mental Health and Community Services. Reports may be made in person or by calling the telephone line (Hotline) dedicated for the purpose of receiving such notification or mailing information to any of these parties. Upon receipt of a question or concern, any supervisor, coordinator or the Director of Mental Health and Community Services shall document the issue at hand and report it to the CO. Any questions or concerns relating to potential non-compliance by the CO should be reported immediately to the Director of Mental Health and Community Services. The CO or designee shall record the information necessary to conduct an appropriate investigation of all complaints. If the individual was seeking information concerning the Code of Ethics, Compliance Plan or its application, the CO or designee shall record the facts of the call, the nature of the information sought and respond, as appropriate. The Department shall, as much as is possible, protect the anonymity of the individual who reports any complaint or question. If there is a perceived or actual conflict of interest with the Corporate Compliance Officer's conducting a particular investigation, the Director of Mental Health and Community Services, in consultation with the Corporate Compliance Committee, will select another individual to conduct the investigation. III. Protections The identity of reporters will be safeguarded to the fullest extent possible and will be protected against retribution. Good faith reporting of any suspected violation of this Plan by following the above shall not result in any retribution. Any threat of reprisal against a person who acts in good faith pursuant to his or her responsibilities under the Plan (including reporting; participating in an investigation; and assisting in a self-evaluation, audit or remedial action) is acting against the Department's compliance policy. Discipline, up to and including termination of employment or other association with the Department, will result if such reprisal is proven. Disciplinary actions are governed by County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. IV. Guidance Any individual associated with the Department may seek guidance with respect to the Compliance Plan or Code of Conduct at any time by following the reporting mechanisms outlined above. Enforcement of Compliance Standards I. Disciplinary Action - General Individuals associated with the Department who fail to comply with the Department's compliance policy and procedures, and standards or who have engaged in conduct that has the potential of impairing the Department's status as a reliable, honest and trustworthy service provider will be subject to disciplinary action, up to and including termination of employment or other association with the Department. Those associated with the Department may be subject to discipline for the following infractions: - Failure to report suspected compliance issues - Encouraging, directing, facilitating or permitting either activity or passively non-compliant behavior - Participating in non-compliant behavior Any discipline will be appropriately documented. All facets of discipline and documenting same will be subject to County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. The CO shall maintain a record of all disciplinary actions involving the Compliance Plan and submit a written report at least quarterly to the Community Services Board and the Mental Health Legislative Committee regarding such actions. II. Performance Evaluation - Supervisory The Department's Compliance Program requires that the promotion of, and adherence to, the elements of the Compliance Program be a factor in evaluating the performance of the Department's employees, contractors, student interns and volunteers. They periodically will be trained in new compliance policies and procedures. In addition, all managers and supervisors will: a. Discuss with all supervised employees, student interns and volunteers the compliance policies and procedures, and legal requirements applicable to their function b. Inform all supervised personnel that strict compliance with these policies and procedures, and requirements is a condition of employment or other association with the Department c. Disclose to all supervised personnel that the Department will take disciplinary action up to and including termination of employment or other association with the Department for violation of these policies and requirements. All facets of discipline and documenting same will be subject to County rules, policies and procedures; the County Employee Handbook; the union contract; contracts with contractors; or Board by-laws, as applicable d. Immediately inform the CO of any issues brought to his or her attention. III. Disciplinary Action - Supervisory Managers and supervisors will be sanctioned for failure to adequately instruct their subordinates, failing to notify the CO of any compliance issues, or for failing to detect noncompliance with applicable policies and procedures, and legal requirements, where reasonable diligence on the part of the manager or supervisor would have led to the earlier discovery of any problems or violations and would have provided the Department with the opportunity to correct them. Disciplinary actions will be subject to County rules, policies and procedures; the County Employee Handbook; and the County Management Compensation Plan, as applicable. Auditing and Monitoring of Compliance Activities I. Internal Audits Ongoing evaluation is critical in detecting non-compliance and will help ensure the success of the Department's Compliance Program. An ongoing auditing and monitoring system, implemented by the CO, in consultation with the CC, is an integral component of the Department's auditing and monitoring systems. This ongoing evaluation shall include the following: - Review of relationships with third-party contractors, specifically those with substantive exposure to government enforcement actions - Compliance audits of compliance policies and procedures, and standards - Review of documentation and billing relating to claims made to federal, state and private payors for reimbursement performed internally or by an external consultant, as determined by the CO and CC - Review of quality assurance and incident reports to determine whether they impact the Compliance Plan, particularly regarding the reimbursement of services. The audits and reviews will examine the Department's compliance with specific rules and policies and procedures through on-site visits, personnel interviews, general questionnaires (submitted to employees and contractors) and consumer record documentation reviews. All of these reviews will be tracked by the CO and CC. The CO and CC will review the audits and reviews; changes in law, regulation and payor requirements; and the Department's risk areas to prioritize, on a minimum of a quarterly basis, compliance oversight activities that are the most serious and should be addressed first. II. Plan Integrity Additional steps to ensure the integrity of the Compliance Plan will include: - Annual review with the County Attorney of all records of communications and reports by all individuals kept in accordance with this Plan - The CO immediately will be notified in the event of any visits, audits, investigations or surveys by any federal or state agency or authority or other third party payor. He or she immediately shall receive a photocopy of any correspondence from any regulatory agency, authority or payor, particularly those charged with licensing or approving participation in any federal or state-funded program which the Department operates and/or administers, or a County-funded program in which the Department participates. - Establishment of a process detailing ongoing notification by the CO to all appropriate personnel of any changes in laws, regulations or policies and procedures, as well as appropriate training to assure continuous compliance. Detection and Response I. Violation Detection The CO, Director of Mental Health and Community Services, and the CC shall determine whether there is any basis to suspect that a violation of the Compliance Plan has occurred. The Director of Mental Health and Community Services will consult with the County Attorney and Chief Administrative Officer, as necessary. If it is determined that a violation of any criminal, civil or administrative law may have occurred, the matter shall be referred to the County Attorney who, with the assistance of the CO, shall conduct a more detailed investigation. This investigation may include, but is not limited to, the following: - Interviews with individuals having knowledge of the alleged violation - Legal research and contact with governmental agencies for the purpose of clarification - A review of documents If advice is sought from a governmental agency or fiscal intermediary or carrier, the request and any written or oral response shall be fully documented. Please refer to the policy on Investigation of Compliance Issues for more details. II. Reporting At the conclusion of an investigation involving the County Attorney, he/she shall issue a report to the CO, Director of Mental Health and Community Services and CC summarizing his or her findings, conclusions and recommendations, and will render advice as to whether a violation of the law has occurred and if further action needs to occur. The report will be reviewed with legal counsel, if in attendance. Any additional action will be on the advice of counsel, either the County Attorney or outside legal counsel. The CO shall report to the CC regarding each investigation conducted. Please refer to the policy on Investigation of Compliance Issues for more details. III. Rectification If the Department identifies that an overpayment was received from any third party payor, the appropriate regulatory (funder) and/or prosecutorial (attorney general/police) authority will be appropriately notified with the advice and assistance of the County Attorney and/or outside counsel. It is the Department's policy to not retain any funds which are received as a result of overpayments. In instances where it appears an affirmative fraud may have occurred, appropriate amounts shall be returned after consultation and approval by involved regulatory and/or prosecutorial authorities. Systems shall also be put in place to prevent such overpayments in the future. IV. Record Keeping Regardless of whether a report is made to a governmental agency or prosecutorial authority, the CO shall maintain a record of the investigation, including copies of all pertinent documentation. This record will be considered confidential and privileged, and will not be released without the approval of the County Attorney and the Director of Mental Health and Community Services.	<urn:uuid:bbe256c0-d8a0-4d84-aa22-1c9ae81447c6>	CC-MAIN-2017-26	http://orleansny.com/Portals/0/Departments/MentalHealth/Corporate%20Compliance%20Plan%20-%20OCMH-10-11.pdf	2017-06-29T03:48:08Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-26/segments/1498128323864.76/warc/CC-MAIN-20170629033356-20170629053356-00055.warc.gz	297,528,764	5,584	eng_Latn	eng_Latn	0.975411	eng_Latn	0.992063	[ "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 303, 322, 2921, 4059, 6232, 9511, 9849, 12401, 13836, 15368, 16600, 18259, 19747, 22955, 23155, 25741, 26421, 28995, 31474, 31877 ]	ORLEANS COUNTY DEPARTMENT OF MENTAL HEALTH CORPORATE COMPLIANCE PLAN OCTOBER 2011 Revised: 10/11 – Revision of December 2009 Corporate Compliance Plan Approved: By: James F. Graziano, LCSW, ACSW – 10/20/11 Director of Mental Health and Community Services By: Community Services Board – 10/25/11 Table of Contents ORLEANS COUNTY DEPARTMENT OF MENTAL HEALTH CORPORATE COMPLIANCE POLICY I. Policy It has been and continues to be the policy of the Department to comply with all applicable federal, state and local laws and regulations, and payor requirements. It is also the Department's policy to adhere to the Code of Ethics that is adopted by the Community Services Board and Orleans County. II. Commitment The Department always has been and remains committed to its responsibility to conduct its business affairs with integrity, based on sound ethical and moral standards. The Department holds its employees, contracted practitioners, student interns, volunteers and vendors to these same standards. The Department is committed to maintaining and measuring the effectiveness of its Compliance policies and procedures, and standards through monitoring and auditing systems reasonably designed to detect noncompliance by its employees, contracted practitioners, student interns and volunteers. It shall require the performance of regular, periodic compliance audits by internal and/or external auditors who have expertise in federal and state mental health care statutes, regulations and mental health care program, and payor requirements. III. Responsibility All employees, contracted practitioners, student interns, volunteers and vendors will acknowledge that it is their responsibility to report any suspected instances of suspected or known noncompliance to their immediate supervisor, the Director of Mental Health and Community Services or the Compliance Officer. Reports may be made anonymously without fear of retaliation or retribution. Failure to report known noncompliance or making reports which are not in good faith will be grounds for disciplinary action, up to and including termination or other association with the Department. Reports related to harassment or other workplace-oriented issues will be referred to the appropriate management personnel. Disciplinary actions are subject to County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. IV. Policies and Procedures The Department will communicate its compliance standards and policies and procedures through required training initiatives to all employees, contracted practitioners, student interns, volunteers, vendors and Community Services Board members. The Department is - 1 - committed to these efforts through distribution of this Compliance Policy and its Code of Conduct and Philosophy. V. Enforcement This Compliance Policy will be consistently enforced through appropriate disciplinary mechanisms including, if appropriate, discipline of individuals responsible for failure to detect and/or report noncompliance. These mechanisms will be in compliance with County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. VI. Department Response Detected noncompliance, through any mechanism, i.e. compliance auditing procedures, confidential reporting, will be responded to in an expedient manner. The Department is dedicated to the resolution of such matters and will take all reasonable steps to prevent further similar violations, including any necessary modifications to the Compliance Plan. VII. Due Diligence The Department will, at all times, exercise due diligence with regard to background, exclusion and professional license investigations for all prospective employees, contracted practitioners, student interns, volunteers, vendors and members of the Community Services Board. - 2 - Code of Ethics and Philosophy I. Philosophy and Principles - Community service and support systems must be responsive to individual needs. - Individuals with severe and persistent mental illness, and their families should have options, within a flexible system, as to service and provider type. - Members of minority and ethnic groups, the elderly and those with multiple disabilities must have access to community service and support systems responsive to their individual needs. - The public mental health system should have the capacity to treat the vast majority of persons who are severely and acutely mentally ill, and can be effectively treated in their home communities if the range and mix of services are consistent with their needs. - Local government and local providers must be supported and assisted in their development of responsive and needs-based community systems for severely and persistently mentally ill persons. - For individuals who are severely and persistently mentally ill, mental health services must be effectively integrated with health, social services and other common community services at the local level. - The vast majority of persons with long-term mental illness can live meaningful and productive lives in community settings when given flexible support. - Clients must have access to services and opportunities for education within a system that promotes their participation. - Research, staff development, training and new technologies which promote improvements in services and treatment of those who experience long-term severe mental illness must be supported II. Mission The Orleans County Department of Mental Health promotes mental wellness and resiliency, recovery, self-sufficiency and an enhanced quality of life for residents of Orleans County with mental health disorders by providing effective, accessible behavioral health services. III. Core Values - We are responsible for providing the most effective services, achieving outcomes and maintaining fidelity to the expectations and requirements of our stakeholders. - We are committed to diversity as a way of enriching our ability to fulfill our Mission. - 3 - - We will incorporate those whose behavioral health is affected into decisions related to their care and treatment. - Honest, fairness, transparency and integrity will define our actions - We are committed to providing the highest quality services to our consumers. - Working as a team with our families, consumers and collaborating stakeholders will yield the greatest returns. - We will always treat others with courtesy, dignity and unconditional regard. - The behavioral health and recovery of the individual is the prime focus of our efforts. IV. Expectations The Department ensures that all aspects of consumer care and business conduct are performed in compliance with its mission statement, policies and procedures, and professional standards; applicable governmental laws, rules and regulations; and other payor standards. The Department also wishes to facilitate and encourage a healthy corporate environment in which sound therapeutic practices can thrive. The Department expects every person who provides services to its clients to adhere to the highest ethical standards and to promote ethical behavior. Any person whose behavior is found to violate ethical standards will be disciplined appropriately, in accordance with County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. Employees, contracted practitioners and student interns may not engage in any conduct that conflicts, or is perceived to conflict, with the best interest of the Department. Employees, contracted practitioners and student interns must disclose any circumstances where they or any immediate family member of theirs is an employee, Board member, consultant, owner, contractor or investor in any entity that (i) engages in any business or maintains any relationship with the Department; (ii) provides to, or receives from, the Department any referrals; or (iii) competes with the Department. Employees may not without permission of the Director of Mental Health and Community Services and the Compliance Officer accept, solicit or offer anything of value from anyone doing business with the Department. Employees, contracted practitioners and student interns are expected to maintain complete, accurate and contemporaneous records as required by the Department. The term "records" includes all documents, both written and electronic, that are related to the provision of Departmental services or provide support for the billing of Departmental services. Records must reflect the actual service provided. Any records to be appropriately altered must reflect the date of the alteration; the name, signature and title of the person altering the document; and the reason for the alteration if not apparent. No person shall ever sign the name of another person to any document. Signature stamps shall not be used. Backdating and predating documents is unacceptable and will lead to discipline up to and including - 4 - termination. Discipline will be in compliance with County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. When any person knows or reasonably suspects that the expectations above have not been met, this must be reported to immediate supervisors, the Compliance Officer (CO) or the Director of Mental Health and Community Services, in order to deal with each situation in an appropriate manner. The CO may be reached at (585) 589-3289. - 5 - I. Compliance Officer The Director of Mental Health and Community Services and the Community Services Board designate Lynn R. Fearby as the Compliance Officer (CO). If the Compliance Officer is incapacitated or unable to perform his or her duties for any reason, the position shall be promptly filled either with a temporary or permanent replacement depending upon the nature of the Compliance Officer's incapacity. The Compliance Officer reports to and has direct lines of communication to the Director of Mental Health and Community Services and the Compliance Committee. The Director of Mental Health and Community Services, in the normal course of conducting business, has direct access to the Community Services Board, Mental Health Legislative Committee, Chief Administrative Officer and County Attorney. In the event that circumstances require the exclusion of the Director of Mental Health and Community Services, the Compliance Officer will consult with the Compliance Committee and may have direct access to the Community Services Board after seeking input of the County Attorney. If the County Attorney concurs that the Community Services Board should be contacted without the Director of Mental Health and Community Services, the Compliance Officer may proceed with direct contact with the Community Services Board, Mental Health Legislative Committee, and Chief Administrative Officer, as needed. II. Responsibilities The CO is directly obligated to serve the best interests of the Department, consumers and employees. Responsibilities of the CO include, but are not limited to: - Developing and implementing compliance policies and procedures. The Director of Mental Health and Community Services and Community Services Board must approve all Department policies and procedures. - Overseeing and monitoring the implementation of the Compliance Program. - Directing internal audits of the Department that are established to monitor the effectiveness of compliance standards. - Providing guidance to management, medical/clinical program personnel and individual programs regarding policies and procedures, and governmental laws, rules and regulations. - Updating, periodically, the Compliance Plan as changes occur within the Department, and/or in the law and regulations or the requirements of governmental, and/or third party payors. - Overseeing efforts to communicate awareness of the existence and contents of the Compliance Plan. - Coordinating, developing and participating in the educational and training program. - 6 - - Guaranteeing independent contractors (consumer care, vendors, billing services, etc.) are aware of the requirements of the Department's Compliance Plan. - Actively seeking up-to-date material and releases regarding regulatory compliance. - Maintaining a reporting system (Hotline) and responding to concerns, complaints and questions related to the Compliance Plan. - Acting as a resourceful leader regarding regulatory compliance issues. - Investigating and acting on issues related to compliance. If there is a perceived or actual conflict of interest with the Corporate Compliance Officer's conducting a particular investigation, the Director of Mental Health and Community Services, in consultation with the Corporate Compliance Committee, will select another individual to conduct the investigation. - Coordinating internal investigations and implementing corrective action. If there is a perceived or actual conflict of interest with the Corporate Compliance Officer's conducting a particular investigation, the Director of Mental Health and Community Services, in consultation with the Corporate Compliance Committee, will select another individual to conduct the investigation. - Serving as a member of the Corporate Compliance Committee and appearing as needed but, at least quarterly, before the Community Services Board and the Mental Health Legislative Committee to report on activities of the Compliance Plan. - 7 - The Structure, Duties and Role of the Compliance Committee I. Reporting Structure and Purpose Compliance Committee (CC) members are appointed by the Director of Mental Health and Community Services and approved by the Community Services Board. Compliance issues are reported by the CC to the Director of Mental Health and Community Services who, with the Compliance Officer, provides at least quarterly reports to the Community Services Board and the Metal Health Legislative Committee. The purpose of the CC is to advise and assist the CO with implementation of the Compliance Plan. II. Function The roles of the Compliance Committee include: - Analyzing the environment where the Department does business, including legal requirements with which it must comply. - Reviewing an	d assessing existing policies and procedures that address these risk areas for possible incorporation into the Compliance Plan.	- Working with the Department programs to develop standards and policies and procedures that address specific risk areas, and require compliance according to legal and ethical requirements. - Advising and monitoring appropriate Department programs relative to compliance matters. - Developing internal systems and controls to carry out compliance standards and policies and procedures. - Monitoring internal and external audits to identify potential non-compliant issues. - Implementing corrective and preventive action plans. - Developing a process to solicit, evaluate and respond to complaints and problems. - 8 - Delegation of Substantial Discretionary Authority I. Requirement Any employee or prospective employee of the Department is required to disclose any name changes and any involvement in non-compliant activities, including health care related crimes. In addition, the Department is required to perform reasonable inquiries into the background of applicants for employment, contractors, student interns, volunteers, vendors and members of the Community Services Board. The County maintains an agreement for a web application that allows the Department to verify that an employee, vendor, contractor, student intern, volunteer, and Community Services Board member are not excluded from Medicaid, Medicare or other federal program participation. This web application will be queried upon the hire of all Department employees and the appointment of all Community Services Board members and monthly thereafter. Likewise all Department vendors, contractors, student interns and volunteers will be queried upon engagement and monthly thereafter. The County's Director of Personnel and Self Insurance will conduct the query of Department staffs upon hire. All other queries will be done by the Department's Compliance Officer. - 9 - Education and Training I. Expectations Education and training are critical elements of the Compliance Plan. All employees, contractors that provide professional services, members of the Community Services Board, student interns and volunteers are expected to be familiar and knowledgeable about the Department's Compliance Plan and have a solid working knowledge of his or her responsibilities under the Plan. Compliance policies and procedures, and standards will be communicated to all these individuals through required participation in training programs. II. Training Topics - General All employees, contractors that provide professional services, student interns, volunteers and members of the Community Services Board shall participate in training on the topics identified below: - Government and private payor reimbursement principles - Government initiatives - History and background of Corporate Compliance - Legal principles regarding compliance and Community Services Board responsibilities related thereto - The False Claims Act - General prohibitions on paying or receiving remuneration to induce referrals and the importance of fair market value - Prohibitions against submitting a claim for services when documentation of the service does not exist to the extent required - Prohibitions against signing for the work of another individual providing services - Prohibitions against alterations to medical records and appropriate methods of alteration - Prohibitions against rendering services without a signed physician's order or other prescription, if applicable - Proper documentation of services rendered - Duty to report misconduct. III. Training Topics - Targeted In addition to the above, targeted training will be provided to all managers and other individuals whose job responsibilities include activities related to compliance topics, such as coding, billing and documentation. Managers shall assist the CO in identifying areas that require specific training and are responsible for communication of the terms of this Compliance Plan to all independent contractors doing business with the Department. IV. Orientation As part of their orientation, each employee, contractor, student intern and volunteer shall receive a copy (written or electronic) of the Compliance Plan, related policies and procedures, and specific standards of conduct that affect their position. All members of the Community Services Board shall receive a copy (written or electronic) of the Compliance Plan and related polices and procedures as part of their Board Member orientation. V. Attendance All education and training relating to the Compliance Plan will be verified by attendance records and a signed acknowledgement of receipt of the Compliance Plan and standards. Attendance at compliance training sessions is mandatory and is a condition of continued employment and/or other association with the Department. Training updates occur at least annually and periodically, as needed. All appropriate staffs (given the compliance topic) are required to attend as directed by the Director of Mental Health and Community Services. Effective Confidential Communication________________________________________ I. Expectations Open lines of communication between the CO and every employee, contracted practitioner, student intern, volunteer and member of the Community Services Board subject to this Plan are essential to the success of the Department's Compliance Program. Every individual associated with the Department has an obligation to refuse to participate in non-compliant behavior; to refrain from encouraging, directing, facilitating or permitting non-compliant behavior; and to report the actions according to the procedure listed below. II. Reporting Procedure If an employee, contractor, student intern, volunteer or member of the Community Services Board witnesses, learns of or is asked to participate in potential non-compliant activities, in violation of this Compliance Plan, he or she should contact the CO, his or her immediate supervisor or the Director of Mental Health and Community Services. Reports may be made in person or by calling the telephone line (Hotline) dedicated for the purpose of receiving such notification or mailing information to any of these parties. Upon receipt of a question or concern, any supervisor, coordinator or the Director of Mental Health and Community Services shall document the issue at hand and report it to the CO. Any questions or concerns relating to potential non-compliance by the CO should be reported immediately to the Director of Mental Health and Community Services. The CO or designee shall record the information necessary to conduct an appropriate investigation of all complaints. If the individual was seeking information concerning the Code of Ethics, Compliance Plan or its application, the CO or designee shall record the facts of the call, the nature of the information sought and respond, as appropriate. The Department shall, as much as is possible, protect the anonymity of the individual who reports any complaint or question. If there is a perceived or actual conflict of interest with the Corporate Compliance Officer's conducting a particular investigation, the Director of Mental Health and Community Services, in consultation with the Corporate Compliance Committee, will select another individual to conduct the investigation. III. Protections The identity of reporters will be safeguarded to the fullest extent possible and will be protected against retribution. Good faith reporting of any suspected violation of this Plan by following the above shall not result in any retribution. Any threat of reprisal against a person who acts in good faith pursuant to his or her responsibilities under the Plan (including reporting; participating in an investigation; and assisting in a self-evaluation, audit or remedial action) is acting against the Department's compliance policy. Discipline, up to and including termination of employment or other association with the Department, will result if such reprisal is proven. Disciplinary actions are governed by County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. IV. Guidance Any individual associated with the Department may seek guidance with respect to the Compliance Plan or Code of Conduct at any time by following the reporting mechanisms outlined above. Enforcement of Compliance Standards I. Disciplinary Action - General Individuals associated with the Department who fail to comply with the Department's compliance policy and procedures, and standards or who have engaged in conduct that has the potential of impairing the Department's status as a reliable, honest and trustworthy service provider will be subject to disciplinary action, up to and including termination of employment or other association with the Department. Those associated with the Department may be subject to discipline for the following infractions: - Failure to report suspected compliance issues - Encouraging, directing, facilitating or permitting either activity or passively non-compliant behavior - Participating in non-compliant behavior Any discipline will be appropriately documented. All facets of discipline and documenting same will be subject to County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. The CO shall maintain a record of all disciplinary actions involving the Compliance Plan and submit a written report at least quarterly to the Community Services Board and the Mental Health Legislative Committee regarding such actions. II. Performance Evaluation - Supervisory The Department's Compliance Program requires that the promotion of, and adherence to, the elements of the Compliance Program be a factor in evaluating the performance of the Department's employees, contractors, student interns and volunteers. They periodically will be trained in new compliance policies and procedures. In addition, all managers and supervisors will: a. Discuss with all supervised employees, student interns and volunteers the compliance policies and procedures, and legal requirements applicable to their function b. Inform all supervised personnel that strict compliance with these policies and procedures, and requirements is a condition of employment or other association with the Department c. Disclose to all supervised personnel that the Department will take disciplinary action up to and including termination of employment or other association with the Department for violation of these policies and requirements. All facets of discipline and documenting same will be subject to County rules, policies and procedures; the County Employee Handbook; the union contract; contracts with contractors; or Board by-laws, as applicable d. Immediately inform the CO of any issues brought to his or her attention. III. Disciplinary Action - Supervisory Managers and supervisors will be sanctioned for failure to adequately instruct their subordinates, failing to notify the CO of any compliance issues, or for failing to detect noncompliance with applicable policies and procedures, and legal requirements, where reasonable diligence on the part of the manager or supervisor would have led to the earlier discovery of any problems or violations and would have provided the Department with the opportunity to correct them. Disciplinary actions will be subject to County rules, policies and procedures; the County Employee Handbook; and the County Management Compensation Plan, as applicable. Auditing and Monitoring of Compliance Activities I. Internal Audits Ongoing evaluation is critical in detecting non-compliance and will help ensure the success of the Department's Compliance Program. An ongoing auditing and monitoring system, implemented by the CO, in consultation with the CC, is an integral component of the Department's auditing and monitoring systems. This ongoing evaluation shall include the following: - Review of relationships with third-party contractors, specifically those with substantive exposure to government enforcement actions - Compliance audits of compliance policies and procedures, and standards - Review of documentation and billing relating to claims made to federal, state and private payors for reimbursement performed internally or by an external consultant, as determined by the CO and CC - Review of quality assurance and incident reports to determine whether they impact the Compliance Plan, particularly regarding the reimbursement of services. The audits and reviews will examine the Department's compliance with specific rules and policies and procedures through on-site visits, personnel interviews, general questionnaires (submitted to employees and contractors) and consumer record documentation reviews. All of these reviews will be tracked by the CO and CC. The CO and CC will review the audits and reviews; changes in law, regulation and payor requirements; and the Department's risk areas to prioritize, on a minimum of a quarterly basis, compliance oversight activities that are the most serious and should be addressed first. II. Plan Integrity Additional steps to ensure the integrity of the Compliance Plan will include: - Annual review with the County Attorney of all records of communications and reports by all individuals kept in accordance with this Plan - The CO immediately will be notified in the event of any visits, audits, investigations or surveys by any federal or state agency or authority or other third party payor. He or she immediately shall receive a photocopy of any correspondence from any regulatory agency, authority or payor, particularly those charged with licensing or approving participation in any federal or state-funded program which the Department operates and/or administers, or a County-funded program in which the Department participates. - Establishment of a process detailing ongoing notification by the CO to all appropriate personnel of any changes in laws, regulations or policies and procedures, as well as appropriate training to assure continuous compliance. Detection and Response I. Violation Detection The CO, Director of Mental Health and Community Services, and the CC shall determine whether there is any basis to suspect that a violation of the Compliance Plan has occurred. The Director of Mental Health and Community Services will consult with the County Attorney and Chief Administrative Officer, as necessary. If it is determined that a violation of any criminal, civil or administrative law may have occurred, the matter shall be referred to the County Attorney who, with the assistance of the CO, shall conduct a more detailed investigation. This investigation may include, but is not limited to, the following: - Interviews with individuals having knowledge of the alleged violation - Legal research and contact with governmental agencies for the purpose of clarification - A review of documents If advice is sought from a governmental agency or fiscal intermediary or carrier, the request and any written or oral response shall be fully documented. Please refer to the policy on Investigation of Compliance Issues for more details. II. Reporting At the conclusion of an investigation involving the County Attorney, he/she shall issue a report to the CO, Director of Mental Health and Community Services and CC summarizing his or her findings, conclusions and recommendations, and will render advice as to whether a violation of the law has occurred and if further action needs to occur. The report will be reviewed with legal counsel, if in attendance. Any additional action will be on the advice of counsel, either the County Attorney or outside legal counsel. The CO shall report to the CC regarding each investigation conducted. Please refer to the policy on Investigation of Compliance Issues for more details. III. Rectification If the Department identifies that an overpayment was received from any third party payor, the appropriate regulatory (funder) and/or prosecutorial (attorney general/police) authority will be appropriately notified with the advice and assistance of the County Attorney and/or outside counsel. It is the Department's policy to not retain any funds which are received as a result of overpayments. In instances where it appears an affirmative fraud may have occurred, appropriate amounts shall be returned after consultation and approval by involved regulatory and/or prosecutorial authorities. Systems shall also be put in place to prevent such overpayments in the future. IV. Record Keeping Regardless of whether a report is made to a governmental agency or prosecutorial authority, the CO shall maintain a record of the investigation, including copies of all pertinent documentation. This record will be considered confidential and privileged, and will not be released without the approval of the County Attorney and the Director of Mental Health and Community Services.	14,623	inside_word	and	remove_one_sentence	<url> http://orleansny.com/Portals/0/Departments/MentalHealth/Corporate%20Compliance%20Plan%20-%20OCMH-10-11.pdf </url> <text> ORLEANS COUNTY DEPARTMENT OF MENTAL HEALTH CORPORATE COMPLIANCE PLAN OCTOBER 2011 Revised: 10/11 – Revision of December 2009 Corporate Compliance Plan Approved: By: James F. Graziano, LCSW, ACSW – 10/20/11 Director of Mental Health and Community Services By: Community Services Board – 10/25/11 Table of Contents ORLEANS COUNTY DEPARTMENT OF MENTAL HEALTH CORPORATE COMPLIANCE POLICY I. Policy It has been and continues to be the policy of the Department to comply with all applicable federal, state and local laws and regulations, and payor requirements. It is also the Department's policy to adhere to the Code of Ethics that is adopted by the Community Services Board and Orleans County. II. Commitment The Department always has been and remains committed to its responsibility to conduct its business affairs with integrity, based on sound ethical and moral standards. The Department holds its employees, contracted practitioners, student interns, volunteers and vendors to these same standards. The Department is committed to maintaining and measuring the effectiveness of its Compliance policies and procedures, and standards through monitoring and auditing systems reasonably designed to detect noncompliance by its employees, contracted practitioners, student interns and volunteers. It shall require the performance of regular, periodic compliance audits by internal and/or external auditors who have expertise in federal and state mental health care statutes, regulations and mental health care program, and payor requirements. III. Responsibility All employees, contracted practitioners, student interns, volunteers and vendors will acknowledge that it is their responsibility to report any suspected instances of suspected or known noncompliance to their immediate supervisor, the Director of Mental Health and Community Services or the Compliance Officer. Reports may be made anonymously without fear of retaliation or retribution. Failure to report known noncompliance or making reports which are not in good faith will be grounds for disciplinary action, up to and including termination or other association with the Department. Reports related to harassment or other workplace-oriented issues will be referred to the appropriate management personnel. Disciplinary actions are subject to County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. IV. Policies and Procedures The Department will communicate its compliance standards and policies and procedures through required training initiatives to all employees, contracted practitioners, student interns, volunteers, vendors and Community Services Board members. The Department is - 1 - committed to these efforts through distribution of this Compliance Policy and its Code of Conduct and Philosophy. V. Enforcement This Compliance Policy will be consistently enforced through appropriate disciplinary mechanisms including, if appropriate, discipline of individuals responsible for failure to detect and/or report noncompliance. These mechanisms will be in compliance with County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. VI. Department Response Detected noncompliance, through any mechanism, i.e. compliance auditing procedures, confidential reporting, will be responded to in an expedient manner. The Department is dedicated to the resolution of such matters and will take all reasonable steps to prevent further similar violations, including any necessary modifications to the Compliance Plan. VII. Due Diligence The Department will, at all times, exercise due diligence with regard to background, exclusion and professional license investigations for all prospective employees, contracted practitioners, student interns, volunteers, vendors and members of the Community Services Board. - 2 - Code of Ethics and Philosophy I. Philosophy and Principles - Community service and support systems must be responsive to individual needs. - Individuals with severe and persistent mental illness, and their families should have options, within a flexible system, as to service and provider type. - Members of minority and ethnic groups, the elderly and those with multiple disabilities must have access to community service and support systems responsive to their individual needs. - The public mental health system should have the capacity to treat the vast majority of persons who are severely and acutely mentally ill, and can be effectively treated in their home communities if the range and mix of services are consistent with their needs. - Local government and local providers must be supported and assisted in their development of responsive and needs-based community systems for severely and persistently mentally ill persons. - For individuals who are severely and persistently mentally ill, mental health services must be effectively integrated with health, social services and other common community services at the local level. - The vast majority of persons with long-term mental illness can live meaningful and productive lives in community settings when given flexible support. - Clients must have access to services and opportunities for education within a system that promotes their participation. - Research, staff development, training and new technologies which promote improvements in services and treatment of those who experience long-term severe mental illness must be supported II. Mission The Orleans County Department of Mental Health promotes mental wellness and resiliency, recovery, self-sufficiency and an enhanced quality of life for residents of Orleans County with mental health disorders by providing effective, accessible behavioral health services. III. Core Values - We are responsible for providing the most effective services, achieving outcomes and maintaining fidelity to the expectations and requirements of our stakeholders. - We are committed to diversity as a way of enriching our ability to fulfill our Mission. - 3 - - We will incorporate those whose behavioral health is affected into decisions related to their care and treatment. - Honest, fairness, transparency and integrity will define our actions - We are committed to providing the highest quality services to our consumers. - Working as a team with our families, consumers and collaborating stakeholders will yield the greatest returns. - We will always treat others with courtesy, dignity and unconditional regard. - The behavioral health and recovery of the individual is the prime focus of our efforts. IV. Expectations The Department ensures that all aspects of consumer care and business conduct are performed in compliance with its mission statement, policies and procedures, and professional standards; applicable governmental laws, rules and regulations; and other payor standards. The Department also wishes to facilitate and encourage a healthy corporate environment in which sound therapeutic practices can thrive. The Department expects every person who provides services to its clients to adhere to the highest ethical standards and to promote ethical behavior. Any person whose behavior is found to violate ethical standards will be disciplined appropriately, in accordance with County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. Employees, contracted practitioners and student interns may not engage in any conduct that conflicts, or is perceived to conflict, with the best interest of the Department. Employees, contracted practitioners and student interns must disclose any circumstances where they or any immediate family member of theirs is an employee, Board member, consultant, owner, contractor or investor in any entity that (i) engages in any business or maintains any relationship with the Department; (ii) provides to, or receives from, the Department any referrals; or (iii) competes with the Department. Employees may not without permission of the Director of Mental Health and Community Services and the Compliance Officer accept, solicit or offer anything of value from anyone doing business with the Department. Employees, contracted practitioners and student interns are expected to maintain complete, accurate and contemporaneous records as required by the Department. The term "records" includes all documents, both written and electronic, that are related to the provision of Departmental services or provide support for the billing of Departmental services. Records must reflect the actual service provided. Any records to be appropriately altered must reflect the date of the alteration; the name, signature and title of the person altering the document; and the reason for the alteration if not apparent. No person shall ever sign the name of another person to any document. Signature stamps shall not be used. Backdating and predating documents is unacceptable and will lead to discipline up to and including - 4 - termination. Discipline will be in compliance with County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. When any person knows or reasonably suspects that the expectations above have not been met, this must be reported to immediate supervisors, the Compliance Officer (CO) or the Director of Mental Health and Community Services, in order to deal with each situation in an appropriate manner. The CO may be reached at (585) 589-3289. - 5 - I. Compliance Officer The Director of Mental Health and Community Services and the Community Services Board designate Lynn R. Fearby as the Compliance Officer (CO). If the Compliance Officer is incapacitated or unable to perform his or her duties for any reason, the position shall be promptly filled either with a temporary or permanent replacement depending upon the nature of the Compliance Officer's incapacity. The Compliance Officer reports to and has direct lines of communication to the Director of Mental Health and Community Services and the Compliance Committee. The Director of Mental Health and Community Services, in the normal course of conducting business, has direct access to the Community Services Board, Mental Health Legislative Committee, Chief Administrative Officer and County Attorney. In the event that circumstances require the exclusion of the Director of Mental Health and Community Services, the Compliance Officer will consult with the Compliance Committee and may have direct access to the Community Services Board after seeking input of the County Attorney. If the County Attorney concurs that the Community Services Board should be contacted without the Director of Mental Health and Community Services, the Compliance Officer may proceed with direct contact with the Community Services Board, Mental Health Legislative Committee, and Chief Administrative Officer, as needed. II. Responsibilities The CO is directly obligated to serve the best interests of the Department, consumers and employees. Responsibilities of the CO include, but are not limited to: - Developing and implementing compliance policies and procedures. The Director of Mental Health and Community Services and Community Services Board must approve all Department policies and procedures. - Overseeing and monitoring the implementation of the Compliance Program. - Directing internal audits of the Department that are established to monitor the effectiveness of compliance standards. - Providing guidance to management, medical/clinical program personnel and individual programs regarding policies and procedures, and governmental laws, rules and regulations. - Updating, periodically, the Compliance Plan as changes occur within the Department, and/or in the law and regulations or the requirements of governmental, and/or third party payors. - Overseeing efforts to communicate awareness of the existence and contents of the Compliance Plan. - Coordinating, developing and participating in the educational and training program. - 6 - - Guaranteeing independent contractors (consumer care, vendors, billing services, etc.) are aware of the requirements of the Department's Compliance Plan. - Actively seeking up-to-date material and releases regarding regulatory compliance. - Maintaining a reporting system (Hotline) and responding to concerns, complaints and questions related to the Compliance Plan. - Acting as a resourceful leader regarding regulatory compliance issues. - Investigating and acting on issues related to compliance. If there is a perceived or actual conflict of interest with the Corporate Compliance Officer's conducting a particular investigation, the Director of Mental Health and Community Services, in consultation with the Corporate Compliance Committee, will select another individual to conduct the investigation. - Coordinating internal investigations and implementing corrective action. If there is a perceived or actual conflict of interest with the Corporate Compliance Officer's conducting a particular investigation, the Director of Mental Health and Community Services, in consultation with the Corporate Compliance Committee, will select another individual to conduct the investigation. - Serving as a member of the Corporate Compliance Committee and appearing as needed but, at least quarterly, before the Community Services Board and the Mental Health Legislative Committee to report on activities of the Compliance Plan. - 7 - The Structure, Duties and Role of the Compliance Committee I. Reporting Structure and Purpose Compliance Committee (CC) members are appointed by the Director of Mental Health and Community Services and approved by the Community Services Board. Compliance issues are reported by the CC to the Director of Mental Health and Community Services who, with the Compliance Officer, provides at least quarterly reports to the Community Services Board and the Metal Health Legislative Committee. The purpose of the CC is to advise and assist the CO with implementation of the Compliance Plan. II. Function The roles of the Compliance Committee include: - Analyzing the environment where the Department does business, including legal requirements with which it must comply. - Reviewing an<cursor_is_here> - Working with the Department programs to develop standards and policies and procedures that address specific risk areas, and require compliance according to legal and ethical requirements. - Advising and monitoring appropriate Department programs relative to compliance matters. - Developing internal systems and controls to carry out compliance standards and policies and procedures. - Monitoring internal and external audits to identify potential non-compliant issues. - Implementing corrective and preventive action plans. - Developing a process to solicit, evaluate and respond to complaints and problems. - 8 - Delegation of Substantial Discretionary Authority I. Requirement Any employee or prospective employee of the Department is required to disclose any name changes and any involvement in non-compliant activities, including health care related crimes. In addition, the Department is required to perform reasonable inquiries into the background of applicants for employment, contractors, student interns, volunteers, vendors and members of the Community Services Board. The County maintains an agreement for a web application that allows the Department to verify that an employee, vendor, contractor, student intern, volunteer, and Community Services Board member are not excluded from Medicaid, Medicare or other federal program participation. This web application will be queried upon the hire of all Department employees and the appointment of all Community Services Board members and monthly thereafter. Likewise all Department vendors, contractors, student interns and volunteers will be queried upon engagement and monthly thereafter. The County's Director of Personnel and Self Insurance will conduct the query of Department staffs upon hire. All other queries will be done by the Department's Compliance Officer. - 9 - Education and Training I. Expectations Education and training are critical elements of the Compliance Plan. All employees, contractors that provide professional services, members of the Community Services Board, student interns and volunteers are expected to be familiar and knowledgeable about the Department's Compliance Plan and have a solid working knowledge of his or her responsibilities under the Plan. Compliance policies and procedures, and standards will be communicated to all these individuals through required participation in training programs. II. Training Topics - General All employees, contractors that provide professional services, student interns, volunteers and members of the Community Services Board shall participate in training on the topics identified below: - Government and private payor reimbursement principles - Government initiatives - History and background of Corporate Compliance - Legal principles regarding compliance and Community Services Board responsibilities related thereto - The False Claims Act - General prohibitions on paying or receiving remuneration to induce referrals and the importance of fair market value - Prohibitions against submitting a claim for services when documentation of the service does not exist to the extent required - Prohibitions against signing for the work of another individual providing services - Prohibitions against alterations to medical records and appropriate methods of alteration - Prohibitions against rendering services without a signed physician's order or other prescription, if applicable - Proper documentation of services rendered - Duty to report misconduct. III. Training Topics - Targeted In addition to the above, targeted training will be provided to all managers and other individuals whose job responsibilities include activities related to compliance topics, such as coding, billing and documentation. Managers shall assist the CO in identifying areas that require specific training and are responsible for communication of the terms of this Compliance Plan to all independent contractors doing business with the Department. IV. Orientation As part of their orientation, each employee, contractor, student intern and volunteer shall receive a copy (written or electronic) of the Compliance Plan, related policies and procedures, and specific standards of conduct that affect their position. All members of the Community Services Board shall receive a copy (written or electronic) of the Compliance Plan and related polices and procedures as part of their Board Member orientation. V. Attendance All education and training relating to the Compliance Plan will be verified by attendance records and a signed acknowledgement of receipt of the Compliance Plan and standards. Attendance at compliance training sessions is mandatory and is a condition of continued employment and/or other association with the Department. Training updates occur at least annually and periodically, as needed. All appropriate staffs (given the compliance topic) are required to attend as directed by the Director of Mental Health and Community Services. Effective Confidential Communication________________________________________ I. Expectations Open lines of communication between the CO and every employee, contracted practitioner, student intern, volunteer and member of the Community Services Board subject to this Plan are essential to the success of the Department's Compliance Program. Every individual associated with the Department has an obligation to refuse to participate in non-compliant behavior; to refrain from encouraging, directing, facilitating or permitting non-compliant behavior; and to report the actions according to the procedure listed below. II. Reporting Procedure If an employee, contractor, student intern, volunteer or member of the Community Services Board witnesses, learns of or is asked to participate in potential non-compliant activities, in violation of this Compliance Plan, he or she should contact the CO, his or her immediate supervisor or the Director of Mental Health and Community Services. Reports may be made in person or by calling the telephone line (Hotline) dedicated for the purpose of receiving such notification or mailing information to any of these parties. Upon receipt of a question or concern, any supervisor, coordinator or the Director of Mental Health and Community Services shall document the issue at hand and report it to the CO. Any questions or concerns relating to potential non-compliance by the CO should be reported immediately to the Director of Mental Health and Community Services. The CO or designee shall record the information necessary to conduct an appropriate investigation of all complaints. If the individual was seeking information concerning the Code of Ethics, Compliance Plan or its application, the CO or designee shall record the facts of the call, the nature of the information sought and respond, as appropriate. The Department shall, as much as is possible, protect the anonymity of the individual who reports any complaint or question. If there is a perceived or actual conflict of interest with the Corporate Compliance Officer's conducting a particular investigation, the Director of Mental Health and Community Services, in consultation with the Corporate Compliance Committee, will select another individual to conduct the investigation. III. Protections The identity of reporters will be safeguarded to the fullest extent possible and will be protected against retribution. Good faith reporting of any suspected violation of this Plan by following the above shall not result in any retribution. Any threat of reprisal against a person who acts in good faith pursuant to his or her responsibilities under the Plan (including reporting; participating in an investigation; and assisting in a self-evaluation, audit or remedial action) is acting against the Department's compliance policy. Discipline, up to and including termination of employment or other association with the Department, will result if such reprisal is proven. Disciplinary actions are governed by County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. IV. Guidance Any individual associated with the Department may seek guidance with respect to the Compliance Plan or Code of Conduct at any time by following the reporting mechanisms outlined above. Enforcement of Compliance Standards I. Disciplinary Action - General Individuals associated with the Department who fail to comply with the Department's compliance policy and procedures, and standards or who have engaged in conduct that has the potential of impairing the Department's status as a reliable, honest and trustworthy service provider will be subject to disciplinary action, up to and including termination of employment or other association with the Department. Those associated with the Department may be subject to discipline for the following infractions: - Failure to report suspected compliance issues - Encouraging, directing, facilitating or permitting either activity or passively non-compliant behavior - Participating in non-compliant behavior Any discipline will be appropriately documented. All facets of discipline and documenting same will be subject to County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. The CO shall maintain a record of all disciplinary actions involving the Compliance Plan and submit a written report at least quarterly to the Community Services Board and the Mental Health Legislative Committee regarding such actions. II. Performance Evaluation - Supervisory The Department's Compliance Program requires that the promotion of, and adherence to, the elements of the Compliance Program be a factor in evaluating the performance of the Department's employees, contractors, student interns and volunteers. They periodically will be trained in new compliance policies and procedures. In addition, all managers and supervisors will: a. Discuss with all supervised employees, student interns and volunteers the compliance policies and procedures, and legal requirements applicable to their function b. Inform all supervised personnel that strict compliance with these policies and procedures, and requirements is a condition of employment or other association with the Department c. Disclose to all supervised personnel that the Department will take disciplinary action up to and including termination of employment or other association with the Department for violation of these policies and requirements. All facets of discipline and documenting same will be subject to County rules, policies and procedures; the County Employee Handbook; the union contract; contracts with contractors; or Board by-laws, as applicable d. Immediately inform the CO of any issues brought to his or her attention. III. Disciplinary Action - Supervisory Managers and supervisors will be sanctioned for failure to adequately instruct their subordinates, failing to notify the CO of any compliance issues, or for failing to detect noncompliance with applicable policies and procedures, and legal requirements, where reasonable diligence on the part of the manager or supervisor would have led to the earlier discovery of any problems or violations and would have provided the Department with the opportunity to correct them. Disciplinary actions will be subject to County rules, policies and procedures; the County Employee Handbook; and the County Management Compensation Plan, as applicable. Auditing and Monitoring of Compliance Activities I. Internal Audits Ongoing evaluation is critical in detecting non-compliance and will help ensure the success of the Department's Compliance Program. An ongoing auditing and monitoring system, implemented by the CO, in consultation with the CC, is an integral component of the Department's auditing and monitoring systems. This ongoing evaluation shall include the following: - Review of relationships with third-party contractors, specifically those with substantive exposure to government enforcement actions - Compliance audits of compliance policies and procedures, and standards - Review of documentation and billing relating to claims made to federal, state and private payors for reimbursement performed internally or by an external consultant, as determined by the CO and CC - Review of quality assurance and incident reports to determine whether they impact the Compliance Plan, particularly regarding the reimbursement of services. The audits and reviews will examine the Department's compliance with specific rules and policies and procedures through on-site visits, personnel interviews, general questionnaires (submitted to employees and contractors) and consumer record documentation reviews. All of these reviews will be tracked by the CO and CC. The CO and CC will review the audits and reviews; changes in law, regulation and payor requirements; and the Department's risk areas to prioritize, on a minimum of a quarterly basis, compliance oversight activities that are the most serious and should be addressed first. II. Plan Integrity Additional steps to ensure the integrity of the Compliance Plan will include: - Annual review with the County Attorney of all records of communications and reports by all individuals kept in accordance with this Plan - The CO immediately will be notified in the event of any visits, audits, investigations or surveys by any federal or state agency or authority or other third party payor. He or she immediately shall receive a photocopy of any correspondence from any regulatory agency, authority or payor, particularly those charged with licensing or approving participation in any federal or state-funded program which the Department operates and/or administers, or a County-funded program in which the Department participates. - Establishment of a process detailing ongoing notification by the CO to all appropriate personnel of any changes in laws, regulations or policies and procedures, as well as appropriate training to assure continuous compliance. Detection and Response I. Violation Detection The CO, Director of Mental Health and Community Services, and the CC shall determine whether there is any basis to suspect that a violation of the Compliance Plan has occurred. The Director of Mental Health and Community Services will consult with the County Attorney and Chief Administrative Officer, as necessary. If it is determined that a violation of any criminal, civil or administrative law may have occurred, the matter shall be referred to the County Attorney who, with the assistance of the CO, shall conduct a more detailed investigation. This investigation may include, but is not limited to, the following: - Interviews with individuals having knowledge of the alleged violation - Legal research and contact with governmental agencies for the purpose of clarification - A review of documents If advice is sought from a governmental agency or fiscal intermediary or carrier, the request and any written or oral response shall be fully documented. Please refer to the policy on Investigation of Compliance Issues for more details. II. Reporting At the conclusion of an investigation involving the County Attorney, he/she shall issue a report to the CO, Director of Mental Health and Community Services and CC summarizing his or her findings, conclusions and recommendations, and will render advice as to whether a violation of the law has occurred and if further action needs to occur. The report will be reviewed with legal counsel, if in attendance. Any additional action will be on the advice of counsel, either the County Attorney or outside legal counsel. The CO shall report to the CC regarding each investigation conducted. Please refer to the policy on Investigation of Compliance Issues for more details. III. Rectification If the Department identifies that an overpayment was received from any third party payor, the appropriate regulatory (funder) and/or prosecutorial (attorney general/police) authority will be appropriately notified with the advice and assistance of the County Attorney and/or outside counsel. It is the Department's policy to not retain any funds which are received as a result of overpayments. In instances where it appears an affirmative fraud may have occurred, appropriate amounts shall be returned after consultation and approval by involved regulatory and/or prosecutorial authorities. Systems shall also be put in place to prevent such overpayments in the future. IV. Record Keeping Regardless of whether a report is made to a governmental agency or prosecutorial authority, the CO shall maintain a record of the investigation, including copies of all pertinent documentation. This record will be considered confidential and privileged, and will not be released without the approval of the County Attorney and the Director of Mental Health and Community Services. </text>	[ { "content": "<url>\nhttp://orleansny.com/Portals/0/Departments/MentalHealth/Corporate%20Compliance%20Plan%20-%20OCMH-10-11.pdf\n</url>\n<text>\nORLEANS COUNTY DEPARTMENT OF MENTAL HEALTH\n\nCORPORATE COMPLIANCE PLAN\n\nOCTOBER 2011\n\nRevised: 10/11 – Revision of December 2009 Corporate Compliance Plan\n\nApproved:\n\nBy: James F. Graziano, LCSW, ACSW – 10/20/11\n\nDirector of Mental Health and Community Services\n\nBy: Community Services Board – 10/25/11\n\nTable of Contents\n\nORLEANS COUNTY DEPARTMENT OF MENTAL HEALTH CORPORATE COMPLIANCE POLICY\n\nI. Policy\n\nIt has been and continues to be the policy of the Department to comply with all applicable federal, state and local laws and regulations, and payor requirements. It is also the Department's policy to adhere to the Code of Ethics that is adopted by the Community Services Board and Orleans County.\n\nII. Commitment\n\nThe Department always has been and remains committed to its responsibility to conduct its business affairs with integrity, based on sound ethical and moral standards. The Department holds its employees, contracted practitioners, student interns, volunteers and vendors to these same standards.\n\nThe Department is committed to maintaining and measuring the effectiveness of its Compliance policies and procedures, and standards through monitoring and auditing systems reasonably designed to detect noncompliance by its employees, contracted practitioners, student interns and volunteers. It shall require the performance of regular, periodic compliance audits by internal and/or external auditors who have expertise in federal and state mental health care statutes, regulations and mental health care program, and payor requirements.\n\nIII. Responsibility\n\nAll employees, contracted practitioners, student interns, volunteers and vendors will acknowledge that it is their responsibility to report any suspected instances of suspected or known noncompliance to their immediate supervisor, the Director of Mental Health and Community Services or the Compliance Officer. Reports may be made anonymously without fear of retaliation or retribution. Failure to report known noncompliance or making reports which are not in good faith will be grounds for disciplinary action, up to and including termination or other association with the Department. Reports related to harassment or other workplace-oriented issues will be referred to the appropriate management personnel. Disciplinary actions are subject to County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable.\n\nIV. Policies and Procedures\n\nThe Department will communicate its compliance standards and policies and procedures through required training initiatives to all employees, contracted practitioners, student interns, volunteers, vendors and Community Services Board members. The Department is\n\n- 1 - committed to these efforts through distribution of this Compliance Policy and its Code of Conduct and Philosophy.\n\nV. Enforcement\n\nThis Compliance Policy will be consistently enforced through appropriate disciplinary mechanisms including, if appropriate, discipline of individuals responsible for failure to detect and/or report noncompliance. These mechanisms will be in compliance with County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable.\n\nVI. Department Response\n\nDetected noncompliance, through any mechanism, i.e. compliance auditing procedures, confidential reporting, will be responded to in an expedient manner. The Department is dedicated to the resolution of such matters and will take all reasonable steps to prevent further similar violations, including any necessary modifications to the Compliance Plan.\n\nVII. Due Diligence\n\nThe Department will, at all times, exercise due diligence with regard to background, exclusion and professional license investigations for all prospective employees, contracted practitioners, student interns, volunteers, vendors and members of the Community Services Board.\n\n- 2 -\n\nCode of Ethics and Philosophy\n\nI. Philosophy and Principles\n\n- Community service and support systems must be responsive to individual needs.\n- Individuals with severe and persistent mental illness, and their families should have options, within a flexible system, as to service and provider type.\n- Members of minority and ethnic groups, the elderly and those with multiple disabilities must have access to community service and support systems responsive to their individual needs.\n- The public mental health system should have the capacity to treat the vast majority of persons who are severely and acutely mentally ill, and can be effectively treated in their home communities if the range and mix of services are consistent with their needs.\n- Local government and local providers must be supported and assisted in their development of responsive and needs-based community systems for severely and persistently mentally ill persons.\n- For individuals who are severely and persistently mentally ill, mental health services must be effectively integrated with health, social services and other common community services at the local level.\n- The vast majority of persons with long-term mental illness can live meaningful and productive lives in community settings when given flexible support.\n- Clients must have access to services and opportunities for education within a system that promotes their participation.\n- Research, staff development, training and new technologies which promote improvements in services and treatment of those who experience long-term severe mental illness must be supported\n\nII. Mission\n\nThe Orleans County Department of Mental Health promotes mental wellness and resiliency, recovery, self-sufficiency and an enhanced quality of life for residents of Orleans County with mental health disorders by providing effective, accessible behavioral health services.\n\nIII. Core Values\n\n- We are responsible for providing the most effective services, achieving outcomes and maintaining fidelity to the expectations and requirements of our stakeholders.\n- We are committed to diversity as a way of enriching our ability to fulfill our Mission.\n\n- 3 -\n\n- We will incorporate those whose behavioral health is affected into decisions related to their care and treatment.\n- Honest, fairness, transparency and integrity will define our actions\n- We are committed to providing the highest quality services to our consumers.\n- Working as a team with our families, consumers and collaborating stakeholders will yield the greatest returns.\n- We will always treat others with courtesy, dignity and unconditional regard.\n- The behavioral health and recovery of the individual is the prime focus of our efforts.\n\nIV. Expectations\n\nThe Department ensures that all aspects of consumer care and business conduct are performed in compliance with its mission statement, policies and procedures, and professional standards; applicable governmental laws, rules and regulations; and other payor standards. The Department also wishes to facilitate and encourage a healthy corporate environment in which sound therapeutic practices can thrive. The Department expects every person who provides services to its clients to adhere to the highest ethical standards and to promote ethical behavior. Any person whose behavior is found to violate ethical standards will be disciplined appropriately, in accordance with County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable.\n\nEmployees, contracted practitioners and student interns may not engage in any conduct that conflicts, or is perceived to conflict, with the best interest of the Department. Employees, contracted practitioners and student interns must disclose any circumstances where they or any immediate family member of theirs is an employee, Board member, consultant, owner, contractor or investor in any entity that (i) engages in any business or maintains any relationship with the Department; (ii) provides to, or receives from, the Department any referrals; or (iii) competes with the Department. Employees may not without permission of the Director of Mental Health and Community Services and the Compliance Officer accept, solicit or offer anything of value from anyone doing business with the Department.\n\nEmployees, contracted practitioners and student interns are expected to maintain complete, accurate and contemporaneous records as required by the Department. The term \"records\" includes all documents, both written and electronic, that are related to the provision of Departmental services or provide support for the billing of Departmental services. Records must reflect the actual service provided. Any records to be appropriately altered must reflect the date of the alteration; the name, signature and title of the person altering the document; and the reason for the alteration if not apparent. No person shall ever sign the name of another person to any document. Signature stamps shall not be used. Backdating and predating documents is unacceptable and will lead to discipline up to and including\n\n- 4 - termination. Discipline will be in compliance with County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable.\n\nWhen any person knows or reasonably suspects that the expectations above have not been met, this must be reported to immediate supervisors, the Compliance Officer (CO) or the Director of Mental Health and Community Services, in order to deal with each situation in an appropriate manner. The CO may be reached at (585) 589-3289.\n\n- 5 -\n\nI. Compliance Officer\n\nThe Director of Mental Health and Community Services and the Community Services Board designate Lynn R. Fearby as the Compliance Officer (CO). If the Compliance Officer is incapacitated or unable to perform his or her duties for any reason, the position shall be promptly filled either with a temporary or permanent replacement depending upon the nature of the Compliance Officer's incapacity. The Compliance Officer reports to and has direct lines of communication to the Director of Mental Health and Community Services and the Compliance Committee. The Director of Mental Health and Community Services, in the normal course of conducting business, has direct access to the Community Services Board, Mental Health Legislative Committee, Chief Administrative Officer and County Attorney. In the event that circumstances require the exclusion of the Director of Mental Health and Community Services, the Compliance Officer will consult with the Compliance Committee and may have direct access to the Community Services Board after seeking input of the County Attorney. If the County Attorney concurs that the Community Services Board should be contacted without the Director of Mental Health and Community Services, the Compliance Officer may proceed with direct contact with the Community Services Board, Mental Health Legislative Committee, and Chief Administrative Officer, as needed.\n\nII. Responsibilities\n\nThe CO is directly obligated to serve the best interests of the Department, consumers and employees. Responsibilities of the CO include, but are not limited to:\n\n- Developing and implementing compliance policies and procedures. The Director of Mental Health and Community Services and Community Services Board must approve all Department policies and procedures.\n- Overseeing and monitoring the implementation of the Compliance Program.\n- Directing internal audits of the Department that are established to monitor the effectiveness of compliance standards.\n- Providing guidance to management, medical/clinical program personnel and individual programs regarding policies and procedures, and governmental laws, rules and regulations.\n- Updating, periodically, the Compliance Plan as changes occur within the Department, and/or in the law and regulations or the requirements of governmental, and/or third party payors.\n- Overseeing efforts to communicate awareness of the existence and contents of the Compliance Plan.\n- Coordinating, developing and participating in the educational and training program.\n\n- 6 -\n\n- Guaranteeing independent contractors (consumer care, vendors, billing services, etc.) are aware of the requirements of the Department's Compliance Plan.\n- Actively seeking up-to-date material and releases regarding regulatory compliance.\n- Maintaining a reporting system (Hotline) and responding to concerns, complaints and questions related to the Compliance Plan.\n- Acting as a resourceful leader regarding regulatory compliance issues.\n- Investigating and acting on issues related to compliance. If there is a perceived or actual conflict of interest with the Corporate Compliance Officer's conducting a particular investigation, the Director of Mental Health and Community Services, in consultation with the Corporate Compliance Committee, will select another individual to conduct the investigation.\n- Coordinating internal investigations and implementing corrective action. If there is a perceived or actual conflict of interest with the Corporate Compliance Officer's conducting a particular investigation, the Director of Mental Health and Community Services, in consultation with the Corporate Compliance Committee, will select another individual to conduct the investigation.\n- Serving as a member of the Corporate Compliance Committee and appearing as needed but, at least quarterly, before the Community Services Board and the Mental Health Legislative Committee to report on activities of the Compliance Plan.\n\n- 7 -\n\nThe Structure, Duties and Role of the Compliance Committee\n\nI. Reporting Structure and Purpose\n\nCompliance Committee (CC) members are appointed by the Director of Mental Health and Community Services and approved by the Community Services Board. Compliance issues are reported by the CC to the Director of Mental Health and Community Services who, with the Compliance Officer, provides at least quarterly reports to the Community Services Board and the Metal Health Legislative Committee. The purpose of the CC is to advise and assist the CO with implementation of the Compliance Plan.\n\nII. Function\n\nThe roles of the Compliance Committee include:\n\n- Analyzing the environment where the Department does business, including legal requirements with which it must comply.\n- Reviewing an<cursor_is_here>\n- Working with the Department programs to develop standards and policies and procedures that address specific risk areas, and require compliance according to legal and ethical requirements.\n- Advising and monitoring appropriate Department programs relative to compliance matters.\n- Developing internal systems and controls to carry out compliance standards and policies and procedures.\n- Monitoring internal and external audits to identify potential non-compliant issues.\n- Implementing corrective and preventive action plans.\n- Developing a process to solicit, evaluate and respond to complaints and problems.\n\n- 8 -\n\nDelegation of Substantial Discretionary Authority\n\nI. Requirement\n\nAny employee or prospective employee of the Department is required to disclose any name changes and any involvement in non-compliant activities, including health care related crimes. In addition, the Department is required to perform reasonable inquiries into the background of applicants for employment, contractors, student interns, volunteers, vendors and members of the Community Services Board.\n\nThe County maintains an agreement for a web application that allows the Department to verify that an employee, vendor, contractor, student intern, volunteer, and Community Services Board member are not excluded from Medicaid, Medicare or other federal program participation. This web application will be queried upon the hire of all Department employees and the appointment of all Community Services Board members and monthly thereafter. Likewise all Department vendors, contractors, student interns and volunteers will be queried upon engagement and monthly thereafter. The County's Director of Personnel and Self Insurance will conduct the query of Department staffs upon hire. All other queries will be done by the Department's Compliance Officer.\n\n- 9 -\n\nEducation and Training\n\nI. Expectations\n\nEducation and training are critical elements of the Compliance Plan. All employees, contractors that provide professional services, members of the Community Services Board, student interns and volunteers are expected to be familiar and knowledgeable about the Department's Compliance Plan and have a solid working knowledge of his or her responsibilities under the Plan. Compliance policies and procedures, and standards will be communicated to all these individuals through required participation in training programs.\n\nII. Training Topics - General\n\nAll employees, contractors that provide professional services, student interns, volunteers and members of the Community Services Board shall participate in training on the topics identified below:\n\n- Government and private payor reimbursement principles\n- Government initiatives\n- History and background of Corporate Compliance\n- Legal principles regarding compliance and Community Services Board responsibilities related thereto\n- The False Claims Act\n- General prohibitions on paying or receiving remuneration to induce referrals and the importance of fair market value\n- Prohibitions against submitting a claim for services when documentation of the service does not exist to the extent required\n- Prohibitions against signing for the work of another individual providing services\n- Prohibitions against alterations to medical records and appropriate methods of alteration\n- Prohibitions against rendering services without a signed physician's order or other prescription, if applicable\n- Proper documentation of services rendered\n- Duty to report misconduct.\n\nIII. Training Topics - Targeted\n\nIn addition to the above, targeted training will be provided to all managers and other individuals whose job responsibilities include activities related to compliance topics, such as coding, billing and documentation. Managers shall assist the CO in identifying areas that require specific training and are responsible for communication of the terms of this Compliance Plan to all independent contractors doing business with the Department.\n\nIV. Orientation\n\nAs part of their orientation, each employee, contractor, student intern and volunteer shall receive a copy (written or electronic) of the Compliance Plan, related policies and procedures, and specific standards of conduct that affect their position. All members of the Community Services Board shall receive a copy (written or electronic) of the Compliance Plan and related polices and procedures as part of their Board Member orientation.\n\nV. Attendance\n\nAll education and training relating to the Compliance Plan will be verified by attendance records and a signed acknowledgement of receipt of the Compliance Plan and standards. Attendance at compliance training sessions is mandatory and is a condition of continued employment and/or other association with the Department. Training updates occur at least annually and periodically, as needed. All appropriate staffs (given the compliance topic) are required to attend as directed by the Director of Mental Health and Community Services.\n\nEffective Confidential Communication________________________________________\n\nI. Expectations\n\nOpen lines of communication between the CO and every employee, contracted practitioner, student intern, volunteer and member of the Community Services Board subject to this Plan are essential to the success of the Department's Compliance Program. Every individual associated with the Department has an obligation to refuse to participate in non-compliant behavior; to refrain from encouraging, directing, facilitating or permitting non-compliant behavior; and to report the actions according to the procedure listed below.\n\nII. Reporting Procedure\n\nIf an employee, contractor, student intern, volunteer or member of the Community Services Board witnesses, learns of or is asked to participate in potential non-compliant activities, in violation of this Compliance Plan, he or she should contact the CO, his or her immediate supervisor or the Director of Mental Health and Community Services. Reports may be made in person or by calling the telephone line (Hotline) dedicated for the purpose of receiving such notification or mailing information to any of these parties.\n\nUpon receipt of a question or concern, any supervisor, coordinator or the Director of Mental Health and Community Services shall document the issue at hand and report it to the CO. Any questions or concerns relating to potential non-compliance by the CO should be reported immediately to the Director of Mental Health and Community Services.\n\nThe CO or designee shall record the information necessary to conduct an appropriate investigation of all complaints. If the individual was seeking information concerning the Code of Ethics, Compliance Plan or its application, the CO or designee shall record the facts of the call, the nature of the information sought and respond, as appropriate. The Department shall, as much as is possible, protect the anonymity of the individual who reports any complaint or question. If there is a perceived or actual conflict of interest with the Corporate Compliance Officer's conducting a particular investigation, the Director of Mental Health and Community Services, in consultation with the Corporate Compliance Committee, will select another individual to conduct the investigation.\n\nIII. Protections\n\nThe identity of reporters will be safeguarded to the fullest extent possible and will be protected against retribution. Good faith reporting of any suspected violation of this Plan by following the above shall not result in any retribution. Any threat of reprisal against a person who acts in good faith pursuant to his or her responsibilities under the Plan (including reporting; participating in an investigation; and assisting in a self-evaluation, audit or remedial action) is acting against the Department's compliance policy. Discipline, up to and including termination of employment or other association with the Department, will result if such reprisal is proven. Disciplinary actions are governed by County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable.\n\nIV. Guidance\n\nAny individual associated with the Department may seek guidance with respect to the Compliance Plan or Code of Conduct at any time by following the reporting mechanisms outlined above.\n\nEnforcement of Compliance Standards\n\nI. Disciplinary Action - General\n\nIndividuals associated with the Department who fail to comply with the Department's compliance policy and procedures, and standards or who have engaged in conduct that has the potential of impairing the Department's status as a reliable, honest and trustworthy service provider will be subject to disciplinary action, up to and including termination of employment or other association with the Department. Those associated with the Department may be subject to discipline for the following infractions:\n\n- Failure to report suspected compliance issues\n- Encouraging, directing, facilitating or permitting either activity or passively non-compliant behavior\n- Participating in non-compliant behavior\n\nAny discipline will be appropriately documented. All facets of discipline and documenting same will be subject to County rules, policies and procedures; the County Employee Handbook and Management Compensation Plan; the union contract; contracts with contractors; or Board by-laws, as applicable. The CO shall maintain a record of all disciplinary actions involving the Compliance Plan and submit a written report at least quarterly to the Community Services Board and the Mental Health Legislative Committee regarding such actions.\n\nII. Performance Evaluation - Supervisory\n\nThe Department's Compliance Program requires that the promotion of, and adherence to, the elements of the Compliance Program be a factor in evaluating the performance of the Department's employees, contractors, student interns and volunteers. They periodically will be trained in new compliance policies and procedures. In addition, all managers and supervisors will:\n\na. Discuss with all supervised employees, student interns and volunteers the compliance policies and procedures, and legal requirements applicable to their function\nb. Inform all supervised personnel that strict compliance with these policies and procedures, and requirements is a condition of employment or other association with the Department\nc. Disclose to all supervised personnel that the Department will take disciplinary action up to and including termination of employment or other association with the Department for violation of these policies and requirements. All facets of discipline and documenting same will be subject to County rules, policies and procedures; the County Employee Handbook; the union contract; contracts with contractors; or Board by-laws, as applicable\nd. Immediately inform the CO of any issues brought to his or her attention.\n\nIII. Disciplinary Action - Supervisory\n\nManagers and supervisors will be sanctioned for failure to adequately instruct their subordinates, failing to notify the CO of any compliance issues, or for failing to detect noncompliance with applicable policies and procedures, and legal requirements, where reasonable diligence on the part of the manager or supervisor would have led to the earlier discovery of any problems or violations and would have provided the Department with the opportunity to correct them. Disciplinary actions will be subject to County rules, policies and procedures; the County Employee Handbook; and the County Management Compensation Plan, as applicable.\n\nAuditing and Monitoring of Compliance Activities\n\nI. Internal Audits\n\nOngoing evaluation is critical in detecting non-compliance and will help ensure the success of the Department's Compliance Program. An ongoing auditing and monitoring system, implemented by the CO, in consultation with the CC, is an integral component of the Department's auditing and monitoring systems. This ongoing evaluation shall include the following:\n\n- Review of relationships with third-party contractors, specifically those with substantive exposure to government enforcement actions\n- Compliance audits of compliance policies and procedures, and standards\n- Review of documentation and billing relating to claims made to federal, state and private payors for reimbursement performed internally or by an external consultant, as determined by the CO and CC\n- Review of quality assurance and incident reports to determine whether they impact the Compliance Plan, particularly regarding the reimbursement of services.\n\nThe audits and reviews will examine the Department's compliance with specific rules and policies and procedures through on-site visits, personnel interviews, general questionnaires (submitted to employees and contractors) and consumer record documentation reviews. All of these reviews will be tracked by the CO and CC. The CO and CC will review the audits and reviews; changes in law, regulation and payor requirements; and the Department's risk areas to prioritize, on a minimum of a quarterly basis, compliance oversight activities that are the most serious and should be addressed first.\n\nII. Plan Integrity\n\nAdditional steps to ensure the integrity of the Compliance Plan will include:\n\n- Annual review with the County Attorney of all records of communications and reports by all individuals kept in accordance with this Plan\n- The CO immediately will be notified in the event of any visits, audits, investigations or surveys by any federal or state agency or authority or other third party payor. He or she immediately shall receive a photocopy of any correspondence from any regulatory agency, authority or payor, particularly those charged with licensing or approving participation in any federal or state-funded program which the Department operates and/or administers, or a County-funded program in which the Department participates.\n- Establishment of a process detailing ongoing notification by the CO to all appropriate personnel of any changes in laws, regulations or policies and procedures, as well as appropriate training to assure continuous compliance.\n\nDetection and Response\n\nI. Violation Detection\n\nThe CO, Director of Mental Health and Community Services, and the CC shall determine whether there is any basis to suspect that a violation of the Compliance Plan has occurred. The Director of Mental Health and Community Services will consult with the County Attorney and Chief Administrative Officer, as necessary.\n\nIf it is determined that a violation of any criminal, civil or administrative law may have occurred, the matter shall be referred to the County Attorney who, with the assistance of the CO, shall conduct a more detailed investigation. This investigation may include, but is not limited to, the following:\n\n- Interviews with individuals having knowledge of the alleged violation\n- Legal research and contact with governmental agencies for the purpose of clarification\n- A review of documents\n\nIf advice is sought from a governmental agency or fiscal intermediary or carrier, the request and any written or oral response shall be fully documented.\n\nPlease refer to the policy on Investigation of Compliance Issues for more details.\n\nII. Reporting\n\nAt the conclusion of an investigation involving the County Attorney, he/she shall issue a report to the CO, Director of Mental Health and Community Services and CC summarizing his or her findings, conclusions and recommendations, and will render advice as to whether a violation of the law has occurred and if further action needs to occur. The report will be reviewed with legal counsel, if in attendance. Any additional action will be on the advice of counsel, either the County Attorney or outside legal counsel.\n\nThe CO shall report to the CC regarding each investigation conducted. Please refer to the policy on Investigation of Compliance Issues for more details.\n\nIII. Rectification\n\nIf the Department identifies that an overpayment was received from any third party payor, the appropriate regulatory (funder) and/or prosecutorial (attorney general/police) authority will be appropriately notified with the advice and assistance of the County Attorney and/or outside counsel. It is the Department's policy to not retain any funds which are received as a result of overpayments. In instances where it appears an affirmative fraud may have occurred, appropriate amounts shall be returned after consultation and approval by involved regulatory and/or prosecutorial authorities. Systems shall also be put in place to prevent such overpayments in the future.\n\nIV. Record Keeping\n\nRegardless of whether a report is made to a governmental agency or prosecutorial authority, the CO shall maintain a record of the investigation, including copies of all pertinent documentation. This record will be considered confidential and privileged, and will not be released without the approval of the County Attorney and the Director of Mental Health and Community Services.\n</text>\n", "role": "user" }, { "content": "d assessing existing policies and procedures that address these risk areas for possible incorporation into the Compliance Plan.", "role": "assistant" } ]
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Building Peace Sustainable Reconciliation In Divided Societies Downloaded from www.marketspot.uccs.edu by guest JERAMIAH BAILEE Peacebuilding and the Arts Routledge Since the onset of the troubles in the late 1960s, people in Northern Ireland have been working together to bring about a peaceful, non-violent end to the conﬂict. In doing so, they have used their eﬀorts as a means to support the transition to a post-conﬂict society in the wake of the ceaseﬁres and the Good Friday Agreement. This collection is the ﬁrst to examine the diﬀerent forms of peace and reconciliation work that have taken place. It brings together an international group of scholars to examine initiatives such as integrated education, faith-based peace building, cross-border cooperation and womens activism as well as the impact that government policy and European funding have had upon the development of peace and reconciliation organisations. This unique collection of essays demonstrates the contribution that such schemes have made to the peace process and the part that they can play in Northern Irelands future. Peacebuilding, Memory and Reconciliation Emerald Group Publishing This clearly articulated statement oﬀers a hopeful and workable approach to conﬂict—that eternally beleaguering human situation. John Paul Lederach is internationally recognized for his breakthrough thinking and action related to conﬂict on all levels—person-to-person, factions within communities, warring nations. He explores why "conﬂict transformation" is more appropriate than "conﬂict resolution" or "management." But he refuses to be drawn into impractical idealism. Conﬂict Transformation is an idea with a deep reach. Its practice, says Lederach, requires "both solutions and social change." It asks not simply "How do we end something not desired?", but "How do we end something destructive and build something desired?" How do we deal with the immediate crisis, as well as the long-term situation? What disciplines make such thinking and practices possible? A title in The Little Books of Justice and Peacebuilding Series. From Research to Action Oxford University Press How and why do women's contributions matter in peace and security processes? Why should women's activities in this sphere be explored separately from peacebuilding eﬀorts in general? Decisively answering these questions, Sanam Anderlini oﬀers a comprehensive, crossregional analysis of women's peacebuilding initiatives around the world. and highlights the endemic problems that stunt progress. Her astute analysis, based on extensive research and ﬁeld experience, demonstrates how gender sensitivity in programming can be a catalytic component in the complex task of building sustainable peace and provides concrete examples of how to draw on women's untapped potential. Bridging Top-Down and Bottom-Up Approaches Routledge This open access book brings together discourse on children and peace from the 15th International Symposium on the Contributions of Psychology to Peace, covering issues pertinent to children and peace and approaches to making their world safer, fairer and more sustainable. The book is divided into nine sections that examine traditional themes (social construction and deconstruction of diversity, intergenerational transitions and memories of war, and multiculturalism), as well as contemporary issues such as Europe's "migration crisis", radicalization and violent extremism, and violence in families, schools and communities. Chapters contextualize each issue within speciﬁc social ecological frameworks in order to reﬂect on the multiplicity of inﬂuences that aﬀect diﬀerent outcomes and to discuss how the ﬁndings can be applied in diﬀerent contexts. The volume also provides solutions and hope through its focus on youth empowerment and peacebuilding programs for children and families. This forward-thinking volume oﬀers a multitude of views, approaches, and strategies for research and activism drawn from peace psychology scholars and United Nations researchers and practitioners. This book's multi-layered emphasis on context, structural determinants of peace and conﬂict, and use of research for action towards social cohesion for children and youth has not been brought together in other peace psychology literature to the same extent. Children and Peace: From Research to Action will be a useful resource for peace psychology academics and students, as well as social and developmental psychology academics and students, peace and development practitioners and activists, policy makers who need to make decisions about the matters covered in the book, child rights advocates and members of multilateral organizations such as the UN. Clear Articulation Of The Guiding Principles By A Pioneer In The Field Rowman & Littleﬁeld Publishers This book aims to bridge the gap between what are generally referred to as 'top-down' and 'bottomup' approaches to peacebuilding. After the experience of a physical and psychological trauma, 2 Building Peace Sustainable Reconciliation In Divided Societies 2020-06-24 the period of individual healing and recovery is intertwined with political and social reconciliation. The prospects for social and political reconciliation are undermined when a 'top-down' approach is favoured over the 'bottom-up strategy'- the prioritization of structural stability over societal well-being. Peacebuilding, Memory and Reconciliation explores the inextricable link between psychological recovery and sociopolitical reconciliation, and the political issues that dominate this relationship. Through an examination of the construction of social narratives about or for peace, the text oﬀers a new perspective on peacebuilding, which challenges and questions the very nature of the dichotomy between 'topdown' and 'bottom-up' approaches. This book will be of much interest to students of peacebuilding, peace and conﬂict studies, social psychology, political science and IR in general. Atone Lexington Books Since the end of the Cold War, conﬂict prevention and resolution, peacekeeping and peacebuilding have risen to the top of the international agenda. The third edition of this hugely popular text explains the key concepts, charts the development of the ﬁeld, evaluates successes and failures, and assesses the main current challenges and debates in the second decade of the twenty-ﬁrst century. Existing material has been thoroughly updated and seven new chapters added, on conﬂict resolution in a changing international order; environmental conﬂict resolution; conﬂict resolution in the arts and popular culture; conﬂict resolution, the media and the communications revolution; managing radical disagreement in intractable conﬂict; theories and critiques of the ﬁeld; and upcoming challenges and tasks for the next generation. The authors argue that a new form of cosmopolitan conﬂict resolution is emerging, which oﬀers a hopeful means for human societies to handle their conﬂicts non-violently and eventually to transcend and celebrate their diﬀerences. Part I oﬀers a comprehensive survey of the theory and practice of conﬂict resolution. Part II sets the ﬁeld within the context of rapid global change and addresses the controversies that have 3 surrounded conﬂict resolution as it has entered the mainstream. Contemporary Conﬂict Resolution is essential reading for students of peace and security studies, conﬂict management and international politics, as well as for those working in non-governmental organizations and thinktanks. Building Peace in America Lexington Books Since the end of the Cold War several political agreements have been signed in attempts to resolve longstanding conﬂicts in such volatile regions as Northern Ireland, Israel-Palestine, South Africa, and Rwanda. This is the ﬁrst comprehensive volume that examines reconciliation, justice, and coexistence in the postsettlement context from the levels of both theory and practice. Mohammed Abu-Nimer has brought together scholars and practitioners who discuss questions such as: Do truth commissions work? What are the necessary conditions for reconciliation? Can political agreements bring reconciliation? How can indigenous approaches be utilized in the process of reconciliation? In addition to enhancing the developing ﬁeld of peacebuilding by engaging new research questions, this book will give lessons and insights to policy makers and anyone interested in postsettlement issues. Contexts, Practices and Multidimensional Models Syracuse University Press "We genuinely believe that any action in or around existing or potential conﬂict areas has an inﬂuence on war and peace. Building sustainable peace is not just a matter of direct intervention through mediation. It also requires indirect intervention through development and relief aid, media coverage, or any other activity relating to existing or potential violent conﬂicts. Peacebuilding: A Field Guide therefore aims at making the reader aware of the bigger picture involved in the building of sustainable peace, while also providing some real guidelines on how to maximize all contributions to peacebuilding."-Preface. Women in International Perspective Bloomsbury Publishing This edited volume examines the group dynamics of social reconciliation in conﬂictaﬀected societies by adopting ideas developed in social psychology and the everyday peace discourse in peace and conﬂict studies. The book revisits the intra- and inter-group dynamics of social reconciliation in conﬂict-aﬀected societies, which have been largely marginalised in mainstream peacebuilding debates. By applying social psychological perspectives and the discourse of everyday peace, the chapters explore the everyday experience of community actors engaged in social and political reconciliation. The ﬁrst part of the volume introduces conceptual and theoretical studies that focus on the pros and cons of state-level reconciliation and their outcomes, while presenting theoretical insights into dialogical processes upon which reconciliation studies can develop further. The second part presents a series of empirical case studies from around the world, which examine the process of social reconciliation at community levels through the lens of social psychology and discourse analysis. This book will be of much interest to students of peacebuilding, conﬂict resolution, social psychology, discourse analysis and international relations in general. NATO's Balancing Act Routledge Moving seamlessly from the global to the local, from the politics of institutions to the theoretical apparatus through which we analyse peace and security governance, the contributions to this volume draw attention to the operations of gendered power in peacebuilding across diverse contexts and explore the possibilities of gender-sensitive, sustainable peace. The authors have wideranging expertise in gendered analysis of the peacebuilding practices of international and national organisation, detailed and complex qualitative analysis of the gendered politics of peacebuilding in speciﬁc country contexts, and feminist analysis of the tools we use to think with when approaching contemporary debates about peacebuilding. The volume thus serves not only as a useful marker of the development of feminist encounters with 4 Building Peace Sustainable Reconciliation In Divided Societies 2020-06-24 peacebuilding but also as a foundation for future scholarship in this area. This book was originally published as a special issue of the journal Peacebuilding. Culture & Conﬂict Resolution US Institute of Peace Press This book oﬀers a distinctive perspective on peace processes by comparatively analysing two cases which have rarely been studied in tandem, Ireland and Korea. The volume examines and compares Ireland and Korea as two peace/conﬂict areas. Despite their diﬀerences, both places are marked by a number of overlaid states of division: a political border in a geographical unit (an island and a peninsula); an antagonistic relationship within the population of those territories; an international relationship recovering from past asymmetry and colonialism; and divisions within the main groupings over how to address these relationships. Written by academics and practitioners from Europe and East Asia, and guided by the concepts of peacebuilding and reconciliation, the chapters assess peace eﬀorts at all levels, from the elite to grassroot organisations. Topics discussed include: historical parallels; modern debates over the legacy of the past; contemporary constitutional and security issues; civil society peacebuilding in relation to faith, sport, and women's activism; and the role of economic assistance. The book brings Ireland and Korea into a rich dialogue which highlights the successes and shortcomings of both peace processes This book will be of interest to students of Peace and Conﬂict Studies, Irish Politics, Korean Politics, and International Relations. Engineering Peace Oxford University Press Since the early 1980s John Paul Lederach has traveled worldwide as a mediation trainer and conﬂict resolution consultant. Currently the director of the International Conciliation Committee, he has worked with governments, justice departments, youth programs, and other groups in Latin America, the Philippines, Cambodia, as well as Asia and Africa. Lederach blends a special training method in 5 mediation with a tradition derived from his work in development. Throughout the book, he uses anecdote and pertinent experiences to demonstrate his resolution techniques. With an emphasis on the exchange involved in negotiation, Lederach conveys the key to successful conﬂict resolution: understanding how to guide disputants, transform their conﬂicts, and launch a process that empowers them. The Handbook of Interethnic Coexistence University of Pennsylvania Press "As nations struggling to heal wounds of civil war and atrocity turn toward the model of reconciliation, Reconciliation in Divided Societies takes a systematic look at the political dimensions of this international phenomenon. . . . The book shows us how this transformation happens so that we can all gain a better understanding of how, and why, reconciliation really works. It is an almost indispensable tool for those who want to engage in reconciliation"—from the foreword by Archbishop Emeritus Desmond Tutu As societies emerge from oppression, war, or genocide, their most important task is to create a civil society strong and stable enough to support democratic governance. More and more conﬂicttorn countries throughout the world are promoting reconciliation as central to their new social order as they move toward peace and stability. Scores of truth and reconciliation commissions are helping bring people together and heal the wounds of deeply divided societies. Since the South African transition, countries as diverse as Timor Leste, Sierra Leone, Fiji, Morocco, and Peru have placed reconciliation at the center of their reconstruction and development programs. Other eﬀorts to promote reconciliation—including trials and governmental programs—are also becoming more prominent in transitional times. But until now there has been no real eﬀort to understand exactly what reconciliation could mean in these diﬀerent situations. What does true reconciliation entail? How can it be achieved? How can its achievement be assessed? This book digs beneath the surface to answer these questions and explain what the concepts of truth, justice, forgiveness, and reconciliation really involve in societies that are recovering from internecine strife. Looking to the future as much as to the past, Erin Daly and Jeremy Sarkin maintain that reconciliation requires fundamental political and economic reform along with personal healing if it is to be eﬀective in establishing lasting peace and stability. Reconciliation, they argue, is best thought of as a means for transformation. It is the engine that enables victims to become survivors and divided societies to transform themselves into communities where people work together to raise children and live productive, hopeful lives. Reconciliation in Divided Societies shows us how this transformation happens so that we can all gain a better understanding of how and why reconciliation is actually accomplished. Journeys through the Soundscape of Healing and Reconciliation SAGE Johan Galtung, one of the founders of modern peace studies, provides a wide- ranging panorama of the ideas, theories and assumptions on which the study of peace is based. The book is organized in four parts, each examining the one of the four major theoretical approaches to peace. The ﬁrst part covers peace theory, exploring the epistemological assumptions of peace. In Part Two conﬂict theory is examined with an exploration of nonviolent and creative handling of conﬂict. Developmental theory is discussed in Part Three, exploring structural violence, particularly in the economic ﬁeld, together with a consideration of the ways of overcoming that violence. The fourth part is devoted to civilization theory. This involves an Peace by Peaceful Means Oxford University Press, USA Bringing together leading scholars and practitioners from the worlds of leadership, followership, transitional justice, and international law, this research provides a blueprint of how peopleled, bottom-up, grassroots eﬀorts can foster reconciliation and a more peaceful world. Reconciliation, Justice, and Coexistence Cambridge Scholars 6 Building Peace Sustainable Reconciliation In Divided Societies 2020-06-24 Publishing Cultivating Peace: Contexts, Practices and Multidimensional Models moves away from negative connotations associated with the concept of post-conﬂict peacebuilding. It embraces a multiplicity of trans-disciplinary approaches to peacebuilding, mostly coinciding with the ecohorticultural metaphor of peace cultivation. Ultimately, the idea of cultivating peace embodies love and compassion, while utilising local knowledge, expertise and wisdom to do no harm. Using various case studies from across the world, the narratives and insights in this book present diverse facets of peacebuilding, yet all contribute constructive lessons. The chapters cover three general themes. Some examine the structural and discursive causes of violence and how to improve situations where violence is evident, or to prevent it from breaking out. Others deal with the aftermath of violence and how to reconcile and restore shattered lives and societies. The third group deals with positive social change by nonviolent means, which is much more constructive than the "negative peace" of ceaseﬁres and peace enforcement used to manage direct violence. Promoting the ideal of peace cultivation, this volume emphasises ways to improve things, to suggest alternatives, and to employ initiatives to plant and grow positive changes both during the ﬁghting and in the aftermath of violent conﬂicts. Building Peace in Northern Ireland United States Inst of Peace Press "Ending violent conﬂict requires societies to take leaps of political imagination. Artistic communities are often uniquely placed to help promote new thinking by enabling people to see things diﬀerently. In place of conﬂict's binary divisions, artists are often charged with exploring the ambiguities and possibilities of the excluded middle. Yet, their role in peacebuilding remains little explored. This excellent and agenda-setting volume provides a groundbreaking look at a range of artistic practices, and the ways in which they have attempted to support peacebuilding – a must-read for all practitioners and policy- 7 makers, and indeed other peacemakers looking for inspiration."Professor Christine Bell, FBA, Professor of Constitutional Law, Assistant Principal (Global Justice), and codirector of the Global Justice Academy, The University of Edinburgh, UK "Peacebuilding and the Arts oﬀers an impressive and impressively comprehensive engagement with the role that visual art, music, literature, ﬁlm and theatre play in building peaceful and just societies. Without idealizing the role of the arts, the authors explore their potential and limits in a wide range of cases, from Korea, Cambodia, Colombia and Northern Ireland to Uganda, Rwanda, South Africa and Israel-Palestine."Roland Bleiker, Professor of International Relations, University of Queensland, Australia, and author of Aesthetics and World Politics and Visual Global Politics "Peacebuilding and the Arts is the ﬁrst publication to focus critically and comprehensively on the relations between the creative arts and peacebuilding, expanding the conventional boundaries of peacebuilding and conﬂict transformation to include the artist, actor, poet, novelist, dramatist, musician, dancer and ﬁlm director. The sections on the visual arts, music, literature, ﬁlm and theatre, include case studies from very diﬀerent cultures, contexts and settings but a central theme is that the creative arts can play a unique and crucial role in the building of peaceful and just societies, with the power to transform relationships, heal wounds, and nurture compassion and empathy. Peacebuilding and the Arts is a vital and unique resource which will stimulate critical discussion and further research, but it will also help to reﬁne and reframe our understanding of peacebuilding. While it will undoubtedly become mandatory reading for students of peacebuilding and the arts, its original approach and dynamic exploratory style should attract a much wider interdisciplinary audience."Professor Anna King, Professor of Religious Studies and Social Anthropology and Director of Research, Centre of Religion, Reconciliation and Peace (WCRRP), University of Winchester, UK This volume explores the relationship between peacebuilding and the arts. Through a series of original essays, authors consider some of the ways that diﬀerent art forms (including ﬁlm, theatre, music, literature, dance, and other forms of visual art) can contribute to the processes and practices of building peace. This book breaks new ground, by setting out fresh ways of analysing the relationship between peacebuilding and the arts. Divided into ﬁve sections on the Visual Arts, Music, Literature, Film and Theatre/Dance, over 20 authors oﬀer conceptual overviews of each art form as well as new case studies from around the globe and critical reﬂections on how the arts can contribute to peacebuilding. As interest in the topic increases, no other book approaches this complex relationship in the way that Peacebuilding and the Arts does. By bringing together the insights of scholars and practitioners working at the intersection of the arts and peacebuilding, this book develops a series of unique, critical perspectives on the interaction of diverse art forms with a range of peacebuilding endeavours. Children and Peace Routledge This volume examines the role and contributions of art, music and ﬁlm in peace-building and reconciliation, oﬀering a distinctive approach in various forms of art in peace-building in a wide range of conﬂict situations, particularly in religiously plural contexts. As such, it provides readers with a comprehensive perspective on the subject. The contributors are composed of prominent scholars and artists who examine theoretical, professional and practical perspectives and debates, and address three central research questions, which form the theoretical basis of this project: namely, 'In what way have particular forms of art enhanced peacebuilding in conﬂict situations?', 'How do artistic forms become a public demonstration and expression of a particular socio-political context?', and 'In what way have the arts played the role of catalyst for peacebuilding, and, if not, why not?' This volume demonstrates that art contributes in conﬂict and post-conﬂict situations in three main ways: 8 Building Peace Sustainable Reconciliation In Divided Societies 2020-06-24 transformation at an individual level; peacebuilding between communities; and bridging justice and peace for sustainable reconciliation. Timing and Sequencing of Post-Conﬂict Reconstruction and Peacebuilding Springer Nature * Serves as a guide to using ritual acts in peacebuilding eﬀorts * Abundant with examples of symbolic acts that aided the peace process Conﬂict is dramatic. In theater, literature, story telling, and news reporting, it is a powerful mechanism that draws attention, heightens the senses and evokes emotion. Schirch argues that peacebuilding has the potential to do just the same. Examples of peacebuilding often center on the serious, rational negotiations and formal problem-solving eﬀorts in conﬂict situations. Schirch argues, though, that what truly bonds adversaries and helps achieve peace are the symbolic, non-verbal ritual acts--shaking hands, sharing a meal, showing a photograph of a loved one. Yet these are often overlooked as deliberate components of peace negotiations. Ritual and Symbol in Peacebuilding underscores the importance of incorporating symbolic tools, including ritual, into traditional approaches to conﬂict. Ritual assists in solving complex, deeprooted conﬂicts, and helps to conﬁrm and transform worldviews, identities, and relationships. With theories and language to explain the symbolic dimensions of conﬂict, this text will be useful to scholars and practitioners active in the diverse ﬁeld of peacebuilding. The Oxford Handbook of Religion, Conﬂict, and Peacebuilding Cambridge Scholars Publishing This book critically examines the relationship between protecting human rights and building peace in post-violence societies. It explores the conditions that must be present, and strategies that should be adopted, for the former to contribute to the latter. 9 The author argues that human rights can aid peacebuilding eﬀorts by helping victims of past violence to articulate their grievance, and by encouraging the state to respond to and provide them with a meaningful remedy. This usually happens either through a process of adjudication, whereby human rights can oﬀer guidance to the judiciary as to the best way to address such grievances, or through the passing and implementation of human rights laws and policies that seek to promote peace. However, this positive relationship between human rights and peace is both qualiﬁed and context speciﬁc. Through an interdisciplinary and comparative analysis of four case studies, the book identiﬁes the conditions that can support the eﬀective use of human rights as peacebuilding tools. Developing these, the book recommends a series of strategies that peacebuilders should adopt and rely on.	<urn:uuid:5a730868-7fab-4f64-a288-6547827daf48>	CC-MAIN-2024-18	https://www.marketspot.uccs.edu/locs?idshelves=F95g175&FilesData=Building-Peace-Sustainable-Reconciliation-In-Divided-Societies.pdf	2024-04-15T00:13:54+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-18/subset=warc/part-00200-29538f81-5664-4df2-acb6-7d8ba3d2a1aa.c000.gz.parquet	812,046,400	5,296	eng_Latn	eng_Latn	0.996439	eng_Latn	0.99669	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2670, 5787, 8984, 12117, 15135, 18358, 21509, 24758, 27470 ]	Building Peace Sustainable Reconciliation In Divided Societies Eventually, you will extremely discover a extra experience and ﬁnishing by spending more cash. nevertheless when? reach you say you will that you require to acquire those every needs like having signiﬁcantly cash? Why dont you attempt to acquire something basic in the beginning? Thats something that will lead you to understand even more roughly the globe, experience, some places, taking into consideration history, amusement, and a lot more? It is your no question own times to achievement reviewing habit. along with guides you could enjoy now is Building Peace Sustainable Reconciliation In Divided Societies below. Building Peace Sustainable Reconciliation In Divided Societies Downloaded from www.marketspot.uccs.edu by guest JERAMIAH BAILEE Peacebuilding and the Arts Routledge Since the onset of the troubles in the late 1960s, people in Northern Ireland have been working together to bring about a peaceful, non-violent end to the conﬂict. In doing so, they have used their eﬀorts as a means to support the transition to a post-conﬂict society in the wake of the ceaseﬁres and the Good Friday Agreement. This collection is the ﬁrst to examine the diﬀerent forms of peace and reconciliation work that have taken place. It brings together an international group of scholars to examine initiatives such as integrated education, faith-based peace building, cross-border cooperation and womens activism as well as the impact that government policy and European funding have had upon the development of peace and reconciliation organisations. This unique collection of essays demonstrates the contribution that such schemes have made to the peace process and the part that they can play in Northern Irelands future. Peacebuilding, Memory and Reconciliation Emerald Group Publishing This clearly articulated statement oﬀers a hopeful and workable approach to conﬂict—that eternally beleaguering human situation. John Paul Lederach is internationally recognized for his breakthrough thinking and action related to conﬂict on all levels—person-to-person, factions within communities, warring nations. He explores why "conﬂict transformation" is more appropriate than "conﬂict resolution" or "management." But he refuses to be drawn into impractical idealism. Conﬂict Transformation is an idea with a deep reach. Its practice, says Lederach, requires "both solutions and social change." It asks not simply "How do we end something not desired?", but "How do we end something destructive and build something desired?" How do we deal with the immediate crisis, as well as the long-term situation? What disciplines make such thinking and practices possible? A title in The Little Books of Justice and Peacebuilding Series. From Research to Action Oxford University Press How and why do women's contributions matter in peace and security processes? Why should women's activities in this sphere be explored separately from peacebuilding eﬀorts in general? Decisively answering these questions, Sanam Anderlini oﬀers a comprehensive, crossregional analysis of women's peacebuilding initiatives around the world. and highlights the endemic problems that stunt progress. Her astute analysis, based on extensive research and ﬁeld experience, demonstrates how gender sensitivity in programming can be a catalytic component in the complex task of building sustainable peace and provides concrete examples of how to draw on women's untapped potential. Bridging Top-Down and Bottom-Up Approaches Routledge This open access book brings together discourse on children and peace from the 15th International Symposium on the Contributions of Psychology to Peace, covering issues pertinent to children and peace and approaches to making their world safer, fairer and more sustainable. The book is divided into nine sections that examine traditional themes (social construction and deconstruction of diversity, intergenerational transitions and memories of war, and multiculturalism), as well as contemporary issues such as Europe's "migration crisis", radicalization and violent extremism, and violence in families, schools and communities. Chapters contextualize each issue within speciﬁc social ecological frameworks in order to reﬂect on the multiplicity of inﬂuences that aﬀect diﬀerent outcomes and to discuss how the ﬁndings can be applied in diﬀerent contexts. The volume also provides solutions and hope through its focus on youth empowerment and peacebuilding programs for children and families. This forward-thinking volume oﬀers a multitude of views, approaches, and strategies for research and activism drawn from peace psychology scholars and United Nations researchers and practitioners. This book's multi-layered emphasis on context, structural determinants of peace and conﬂict, and use of research for action towards social cohesion for children and youth has not been brought together in other peace psychology literature to the same extent. Children and Peace: From Research to Action will be a useful resource for peace psychology academics and students, as well as social and developmental psychology academics and students, peace and development practitioners and activists, policy makers who need to make decisions about the matters covered in the book, child rights advocates and members of multilateral organizations such as the UN. Clear Articulation Of The Guiding Principles By A Pioneer In The Field Rowman & Littleﬁeld Publishers This book aims to bridge the gap between what are generally referred to as 'top-down' and 'bottomup' approaches to peacebuilding. After the experience of a physical and psychological trauma, 2 Building Peace Sustainable Reconciliation In Divided Societies 2020-06-24 the period of individual healing and recovery is intertwined with political and social reconciliation. The prospects for social and political reconciliation are undermined when a 'top-down' approach is favoured over the 'bottom-up strategy'- the prioritization of structural stability over societal well-being. Peacebuilding, Memory and Reconciliation explores the inextricable link between psychological recovery and sociopolitical reconciliation, and the political issues that dominate this relationship. Through an examination of the construction of social narratives about or for peace, the text oﬀers a new perspective on peacebuilding, which challenges and questions the very nature of the dichotomy between 'topdown' and 'bottom-up' approaches. This book will be of much interest to students of peacebuilding, peace and conﬂict studies, social psychology, political science and IR in general. Atone Lexington Books Since the end of the Cold War, conﬂict prevention and resolution, peacekeeping and peacebuilding have risen to the top of the international agenda. The third edition of this hugely popular text explains the key concepts, charts the development of the ﬁeld, evaluates successes and failures, and assesses the main current challenges and debates in the second decade of the twenty-ﬁrst century. Existing material has been thoroughly updated and seven new chapters added, on conﬂict resolution in a changing international order; environmental conﬂict resolution; conﬂict resolution in the arts and popular culture; conﬂict resolution, the media and the communications revolution; managing radical disagreement in intractable conﬂict; theories and critiques of the ﬁeld; and upcoming challenges and tasks for the next generation. The authors argue that a new form of cosmopolitan conﬂict resolution is emerging, which oﬀers a hopeful means for human societies to handle their conﬂicts non-violently and eventually to transcend and celebrate their diﬀerences. Part I oﬀers a comprehensive survey of the theory and practice of conﬂict resolution. Part II sets the ﬁeld within the context of rapid global change and addresses the controversies that have 3 surrounded conﬂict resolution as it has entered the mainstream. Contemporary Conﬂict Resolution is essential reading for students of peace and security studies, conﬂict management and international politics, as well as for those working in non-governmental organizations and thinktanks. Building Peace in America Lexington Books Since the end of the Cold War several political agreements have been signed in attempts to resolve longstanding conﬂicts in such volatile regions as Northern Ireland, Israel-Palestine, South Africa, and Rwanda. This is the ﬁrst comprehensive volume that examines reconciliation, justice, and coexistence in the postsettlement context from the levels of both theory and practice. Mohammed Abu-Nimer has brought together scholars and practitioners who discuss questions such as: Do truth commissions work? What are the necessary conditions for reconciliation? Can political agreements bring reconciliation? How can indigenous approaches be utilized in the process of reconciliation? In addition to enhancing the developing ﬁeld of peacebuilding by engaging new research questions, this book will give lessons and insights to policy makers and anyone interested in postsettlement issues. Contexts, Practices and Multidimensional Models Syracuse University Press "We genuinely believe that any action in or around existing or potential conﬂict areas has an inﬂuence on war and peace. Building sustainable peace is not just a matter of direct intervention through mediation. It also requires indirect intervention through development and relief aid, media coverage, or any other activity relating to existing or potential violent conﬂicts. Peacebuilding: A Field Guide therefore aims at making the reader aware of the bigger picture involved in the building of sustainable peace, while also providing some real guidelines on how to maximize all contributions to peacebuilding."-Preface. Women in International Perspective Bloomsbury Publishing This edited volume examines the group dynamics of social reconciliation in conﬂictaﬀected societies by adopting ideas developed in social psychology and the everyday peace discourse in peace and conﬂict studies. The book revisits the intra- and inter-group dynamics of social reconciliation in conﬂict-aﬀected societies, which have been largely marginalised in mainstream peacebuilding debates. By applying social psychological perspectives and the discourse of everyday peace, the chapters explore the everyday experience of community actors engaged in social and political reconciliation. The ﬁrst part of the volume introduces conceptual and theoretical studies that focus on the pros and cons of state-level reconciliation and their outcomes, while presenting theoretical insights into dialogical processes upon which reconciliation studies can develop further. The second part presents a series of empirical case studies from around the world, which examine the process of social reconciliation at community levels through the lens of social psychology and discourse analysis. This book will be of much interest to students of peacebuilding, conﬂict resolution, social psychology, discourse analysis and international relations in general. NATO's Balancing Act Routledge Moving seamlessly from the global to the local, from the politics of institutions to the theoretical apparatus through which we analyse peace and security governance, the contributions to this volume draw attention to the operations of gendered power in peacebuilding across diverse contexts and explore the possibilities of gender-sensitive, sustainable peace. The authors have wideranging expertise in gendered analysis of the peacebuilding practices of international and national organisation, detailed and complex qualitative analysis of the gendered politics of peacebuilding in speciﬁc country contexts, and feminist analysis of the tools we use to think with when approaching contemporary debates about peacebuilding. The volume thus serves not only as a useful marker of the development of feminist encounters with 4 Building Peace Sustainable Reconciliation In Divided Societies 2020-06-24 peacebuilding but also as a foundation for future scholarship in this area. This book was originally published as a special issue of the journal Peacebuilding. Culture & Conﬂict Resolution US Institute of Peace Press This book oﬀers a distinctive perspective on peace processes by comparatively analysing two cases which have rarely been studied in tandem, Ireland and Korea. The volume examines and compares Ireland and Korea as two peace/conﬂict areas. Despite their diﬀerences, both places are marked by a number of overlaid states of division: a political border in a geographical unit (an island and a peninsula); an antagonistic relationship within the population of those territories; an international relationship recovering from past asymmetry and colonialism; and divisions within the main groupings over how to address these relationships. Written by academics and practitioners from Europe and East Asia, and guided by the concepts of peacebuilding and reconciliation, the chapters assess peace eﬀorts at all levels, from the elite to grassroot organisations. Topics discussed include: historical parallels; modern debates over the legacy of the past; contemporary constitutional and security issues; civil society peacebuilding in relation to faith, sport, and women's activism; and the role of economic assistance. The book brings Ireland and Korea into a rich dialogue which highlights the successes and shortcomings of both peace processes This book will be of interest to students of Peace and Conﬂict Studies, Irish Politics, Korean Politics, and International Relations. Engineering Peace Oxford University Press Since the early 1980s John Paul Lederach has traveled worldwide as a mediation trainer and conﬂict resolution consultant. Currently the director of the International Conciliation Committee, he has worked with governments, justice departments, youth programs, and other groups in Latin America, the Philippines, Cambodia, as well as Asia and Africa. Lederach blends a special training method in 5 mediation with a tradition derived from his work in development. Throughout the book, he uses anecdote and pertinent experiences to demonstrate his resolution techniques. With an emphasis on the exchange involved in negotiation, Lederach conveys the key to successful conﬂict resolution: understanding how to guide disputants, transform their conﬂicts, and launch a process that empowers them. The Handbook of Interethnic Coexistence University of Pennsylvania Press "As nations struggling to heal wounds of civil war and atrocity turn toward the model of reconciliation, Reconciliation in Divided Societies takes a systematic look at the political dimensions of this international phenomenon. . . . The book shows us how this transformation happens so that we can all gain a better understanding of how, and why, reconciliation really works. It is an almost indispensable tool for those who want to engage in reconciliation"—from the foreword by Archbishop Emeritus Desmond Tutu As societies emerge from oppression, war, or genocide, their most important task is to create a civil society strong and stable enough to support democratic governance. More and more conﬂicttorn countries throughout the world are promoting reconciliation as central to their new social order as they move toward peace and stability. Scores of truth and reconciliation commissions are helping bring people together and heal the wounds of deeply divided societies. Since the South African transition, countries as diverse as Timor Leste, Sierra Leone, Fiji, Morocco, and Peru have placed reconciliation at the center of their reconstruction and development programs. Other eﬀorts to promote reconciliation—including trials and governmental programs—are also becoming more prominent in transitional times. But until now there has been no real eﬀort to understand exactly what reconciliation could mean in these diﬀerent situations. What does true reconciliation entail? How can it be achieved? How can its achievement be assessed? This book digs beneath the surface to answer these questions and explain what the concepts of truth, justice, forgiveness, and reconciliation really involve in societies that are recovering from internecine strife. Looking to the future as much as to the past, Erin Daly and Jeremy Sarkin maintain that reconciliation requires fundamental political and economic reform along with personal healing if it is to be eﬀective in establishing lasting peace and stability. Reconciliation, they argue, is best thought of as a means for transformation. It is the engine that enables victims to become survivors and divided societies to transform themselves into communities where people work together to raise children and live productive, hopeful lives. Reconciliation in Divided Societies shows us how this transformation happens so that we can all gain a better understanding of how and why reconciliation is actually accomplished. Journeys through the Soundscape of Healing and Reconciliation SAGE Johan Galtung, one of the founders of modern peace studies, provides a wide- ranging panorama of the ideas, theories and assumptions on which the study of peace is based. The book is organized in four parts, each examining the one of the four major theoretical approaches to peace. The ﬁrst part covers peace theory, exploring the epistemological assumptions of peace. In Part Two conﬂict theory is examined with an exploration of nonviolent and creative handling of conﬂict. Developmental theory is discussed in Part Three, exploring structural violence, particularly in the economic ﬁeld, together with a consideration of the ways of overcoming that violence. The fourth part is devoted to civilization theory. This involves an Peace by Peaceful Means Oxford University Press, USA Bringing together leading scholars and practitioners from the worlds of leadership, followership, transitional justice, and international law, this research provides a blueprint of how peopleled, bottom-up, grassroots eﬀorts can foster reconciliation and a more peaceful world. Reconciliation, Justice, and Coexistence Cambridge Scholars 6 Building Peace Sustainable Reconciliation In Divided Societies 2020-06-24 Publishing Cultivating Peace: Contexts, Practices and Multidimensional Models moves away from negative connotations associated with the concept of post-conﬂict peacebuilding. It embraces a multiplicity of trans-disciplinary approaches to peacebuilding, mostly coinciding with the ecohorticultural metaphor of peace cultivation. Ultimately, the idea of cultivating peace embodies love and compassion, while utilising local knowledge, expertise and wisdom to do no harm. Using various case studies from across the world, the narratives and insights in this book present diverse facets of peacebuilding, yet all contribute constructive lessons. The chapters cover three general themes. Some examine the structural and discursive causes of violence and how to improve situations where violence is evident, or to prevent it from breaking out. Others deal with the aftermath of violence and how to reconcile and restore shattered lives and societies. The third group deals with positive social change by nonviolent means, which is much more constructive than the "negative peace" of ceaseﬁres and peace enforcement used to manage direct violence. Promoting the ideal of peace cultivation, this volume emphasises ways to improve things, to suggest alternatives, and to employ initiatives to plant and grow positive changes both during the ﬁghting and in the aftermath of violent conﬂicts. Building Peace in Northern Ireland United States Inst of Peace Press "Ending violent conﬂict requires societies to take leaps of political imagination. Artistic communities are often uniquely placed to help promote new thinking by enabling people to see things diﬀerently. In place of conﬂict's binary divisions, artists are often charged with exploring the ambiguities and possibilities of the excluded middle. Yet, their role in peacebuilding remains little explored. This excellent and agenda-setting volume provides a groundbreaking look at a range of artistic practices, and the ways in which they have attempted to support peacebuilding – a must-read for all practitioners and policy- 7 makers, and indeed other peacemakers looking for inspiration."Professor Christine Bell, FBA, Professor of Constitutional Law, Assistant Principal (Global Justice), and codirector of the Global Justice Academy, The University of Edinburgh, UK "Peacebuilding and the Arts oﬀers an impressive and impressively comprehensive engagement with the role that visual art, music, literature, ﬁlm and theatre play in building peaceful and just societies. Without idealizing the role of the arts, the authors explore their potential and limits in a wide range of cases, from Korea, Cambodia, Colombia and Northern Ireland to Uganda, Rwanda, South Africa and Israel-Palestine."Roland Bleiker, Professor of International Relations, University of Queensland, Australia, and author of Aesthetics and World Politics and Visual Global Politics "Peacebuilding and the Arts is the ﬁrst publication to focus critically and comprehensively on the relations between the creative arts and peacebuilding, expanding the conventional boundaries of peacebuilding and conﬂict transformation to include the artist, actor, poet, novelist, dramatist, musician, dancer and ﬁlm director. The sections on the visual arts, music, literature, ﬁlm and theatre, include case studies from very diﬀerent cultures, contexts and settings but a central theme is that the creative arts can play a unique and crucial role in the building of peaceful and just societies, with the power to transform relationships, heal wounds, and nurture compassion and empathy. Peacebuilding and the Arts is a vital and unique resource which will stimulate critical discussion and further research, but it will also help to reﬁne and reframe our understanding of peacebuilding. While it will undoubtedly become mandatory reading for students of peacebuilding and the arts, its original approach and dynamic exploratory style should attract a much wider interdisciplinary audience."Professor Anna King, Professor of Religious Studies and Social Anthropology and Director of Research, Centre of Religion, Reconciliation and Peace (WCRRP), University of Winchester, UK This volume explores the relationship between peacebuilding and the arts. Through a series of original essays, authors consider some of the ways that diﬀerent art forms (including ﬁlm, theatre, music, literature, dance, and other forms of visual art) can contribute to the processes and practices of building peace. This book breaks new ground, by setting out fresh ways of analysing the relationship between peacebuilding and the arts. Divided into ﬁve sections on the Visual Arts, Music, Literature, Film and Theatre/Dance, over 20 authors oﬀer conceptual overviews of each art form as well as new case studies from around the globe and critical reﬂections on how the arts can contribute to peacebuilding. As interest in the topic increases, no other book approaches this complex relationship in the way that Peacebuilding and the Arts does. By bringing together the insights of scholars and practitioners working at the intersection of the arts and peacebuilding, this book develops a series of unique, critical perspectives on the interaction of diverse art forms with a range of peacebuilding endeavours. Children and Peace Routledge This volume examines the role and contributions of art, music and ﬁlm in peace-building and reconciliation, oﬀering a distinctive approach in various forms of art in peace-building in a wide range of conﬂict situations, particularly in religiously plural contexts. As such, it provides readers with a comprehensive perspective on the subject. The contributors are composed of prominent scholars and artists who examine theoretical, professional and practical perspectives and debates, and address three central research questions, which form the theoretical basis of this project: namely, 'In what way have particular forms of art enhanced peacebuilding in conﬂict situations?', 'How do artistic forms become a public demonstration and expression of a particular socio-political context?', and 'In what way have the arts played the role of catalyst for peacebuilding, and, if not, why not?' This volume demonstrates that art contributes in conﬂict and post-conﬂict situations in three main ways: 8 Building Peace Sustainable Reconciliation In Divided Societies 2020-06-24 transformation at an individual level; peacebuilding between communities; and bridging justice and peace for sustainable reconciliation. Timing and Sequencing of Post-Conﬂict Reconstruction a	nd Peacebuilding Springer Nature * Serves as a guide to using ritual acts in peacebuilding eﬀorts * Abundant with examples of symbolic acts that aided the peace process Conﬂict is dramatic.		24,954	inside_word	and	remove_all	<url> https://www.marketspot.uccs.edu/locs?idshelves=F95g175&FilesData=Building-Peace-Sustainable-Reconciliation-In-Divided-Societies.pdf </url> <text> Building Peace Sustainable Reconciliation In Divided Societies Eventually, you will extremely discover a extra experience and ﬁnishing by spending more cash. nevertheless when? reach you say you will that you require to acquire those every needs like having signiﬁcantly cash? Why dont you attempt to acquire something basic in the beginning? Thats something that will lead you to understand even more roughly the globe, experience, some places, taking into consideration history, amusement, and a lot more? It is your no question own times to achievement reviewing habit. along with guides you could enjoy now is Building Peace Sustainable Reconciliation In Divided Societies below. Building Peace Sustainable Reconciliation In Divided Societies Downloaded from www.marketspot.uccs.edu by guest JERAMIAH BAILEE Peacebuilding and the Arts Routledge Since the onset of the troubles in the late 1960s, people in Northern Ireland have been working together to bring about a peaceful, non-violent end to the conﬂict. In doing so, they have used their eﬀorts as a means to support the transition to a post-conﬂict society in the wake of the ceaseﬁres and the Good Friday Agreement. This collection is the ﬁrst to examine the diﬀerent forms of peace and reconciliation work that have taken place. It brings together an international group of scholars to examine initiatives such as integrated education, faith-based peace building, cross-border cooperation and womens activism as well as the impact that government policy and European funding have had upon the development of peace and reconciliation organisations. This unique collection of essays demonstrates the contribution that such schemes have made to the peace process and the part that they can play in Northern Irelands future. Peacebuilding, Memory and Reconciliation Emerald Group Publishing This clearly articulated statement oﬀers a hopeful and workable approach to conﬂict—that eternally beleaguering human situation. John Paul Lederach is internationally recognized for his breakthrough thinking and action related to conﬂict on all levels—person-to-person, factions within communities, warring nations. He explores why "conﬂict transformation" is more appropriate than "conﬂict resolution" or "management." But he refuses to be drawn into impractical idealism. Conﬂict Transformation is an idea with a deep reach. Its practice, says Lederach, requires "both solutions and social change." It asks not simply "How do we end something not desired?", but "How do we end something destructive and build something desired?" How do we deal with the immediate crisis, as well as the long-term situation? What disciplines make such thinking and practices possible? A title in The Little Books of Justice and Peacebuilding Series. From Research to Action Oxford University Press How and why do women's contributions matter in peace and security processes? Why should women's activities in this sphere be explored separately from peacebuilding eﬀorts in general? Decisively answering these questions, Sanam Anderlini oﬀers a comprehensive, crossregional analysis of women's peacebuilding initiatives around the world. and highlights the endemic problems that stunt progress. Her astute analysis, based on extensive research and ﬁeld experience, demonstrates how gender sensitivity in programming can be a catalytic component in the complex task of building sustainable peace and provides concrete examples of how to draw on women's untapped potential. Bridging Top-Down and Bottom-Up Approaches Routledge This open access book brings together discourse on children and peace from the 15th International Symposium on the Contributions of Psychology to Peace, covering issues pertinent to children and peace and approaches to making their world safer, fairer and more sustainable. The book is divided into nine sections that examine traditional themes (social construction and deconstruction of diversity, intergenerational transitions and memories of war, and multiculturalism), as well as contemporary issues such as Europe's "migration crisis", radicalization and violent extremism, and violence in families, schools and communities. Chapters contextualize each issue within speciﬁc social ecological frameworks in order to reﬂect on the multiplicity of inﬂuences that aﬀect diﬀerent outcomes and to discuss how the ﬁndings can be applied in diﬀerent contexts. The volume also provides solutions and hope through its focus on youth empowerment and peacebuilding programs for children and families. This forward-thinking volume oﬀers a multitude of views, approaches, and strategies for research and activism drawn from peace psychology scholars and United Nations researchers and practitioners. This book's multi-layered emphasis on context, structural determinants of peace and conﬂict, and use of research for action towards social cohesion for children and youth has not been brought together in other peace psychology literature to the same extent. Children and Peace: From Research to Action will be a useful resource for peace psychology academics and students, as well as social and developmental psychology academics and students, peace and development practitioners and activists, policy makers who need to make decisions about the matters covered in the book, child rights advocates and members of multilateral organizations such as the UN. Clear Articulation Of The Guiding Principles By A Pioneer In The Field Rowman & Littleﬁeld Publishers This book aims to bridge the gap between what are generally referred to as 'top-down' and 'bottomup' approaches to peacebuilding. After the experience of a physical and psychological trauma, 2 Building Peace Sustainable Reconciliation In Divided Societies 2020-06-24 the period of individual healing and recovery is intertwined with political and social reconciliation. The prospects for social and political reconciliation are undermined when a 'top-down' approach is favoured over the 'bottom-up strategy'- the prioritization of structural stability over societal well-being. Peacebuilding, Memory and Reconciliation explores the inextricable link between psychological recovery and sociopolitical reconciliation, and the political issues that dominate this relationship. Through an examination of the construction of social narratives about or for peace, the text oﬀers a new perspective on peacebuilding, which challenges and questions the very nature of the dichotomy between 'topdown' and 'bottom-up' approaches. This book will be of much interest to students of peacebuilding, peace and conﬂict studies, social psychology, political science and IR in general. Atone Lexington Books Since the end of the Cold War, conﬂict prevention and resolution, peacekeeping and peacebuilding have risen to the top of the international agenda. The third edition of this hugely popular text explains the key concepts, charts the development of the ﬁeld, evaluates successes and failures, and assesses the main current challenges and debates in the second decade of the twenty-ﬁrst century. Existing material has been thoroughly updated and seven new chapters added, on conﬂict resolution in a changing international order; environmental conﬂict resolution; conﬂict resolution in the arts and popular culture; conﬂict resolution, the media and the communications revolution; managing radical disagreement in intractable conﬂict; theories and critiques of the ﬁeld; and upcoming challenges and tasks for the next generation. The authors argue that a new form of cosmopolitan conﬂict resolution is emerging, which oﬀers a hopeful means for human societies to handle their conﬂicts non-violently and eventually to transcend and celebrate their diﬀerences. Part I oﬀers a comprehensive survey of the theory and practice of conﬂict resolution. Part II sets the ﬁeld within the context of rapid global change and addresses the controversies that have 3 surrounded conﬂict resolution as it has entered the mainstream. Contemporary Conﬂict Resolution is essential reading for students of peace and security studies, conﬂict management and international politics, as well as for those working in non-governmental organizations and thinktanks. Building Peace in America Lexington Books Since the end of the Cold War several political agreements have been signed in attempts to resolve longstanding conﬂicts in such volatile regions as Northern Ireland, Israel-Palestine, South Africa, and Rwanda. This is the ﬁrst comprehensive volume that examines reconciliation, justice, and coexistence in the postsettlement context from the levels of both theory and practice. Mohammed Abu-Nimer has brought together scholars and practitioners who discuss questions such as: Do truth commissions work? What are the necessary conditions for reconciliation? Can political agreements bring reconciliation? How can indigenous approaches be utilized in the process of reconciliation? In addition to enhancing the developing ﬁeld of peacebuilding by engaging new research questions, this book will give lessons and insights to policy makers and anyone interested in postsettlement issues. Contexts, Practices and Multidimensional Models Syracuse University Press "We genuinely believe that any action in or around existing or potential conﬂict areas has an inﬂuence on war and peace. Building sustainable peace is not just a matter of direct intervention through mediation. It also requires indirect intervention through development and relief aid, media coverage, or any other activity relating to existing or potential violent conﬂicts. Peacebuilding: A Field Guide therefore aims at making the reader aware of the bigger picture involved in the building of sustainable peace, while also providing some real guidelines on how to maximize all contributions to peacebuilding."-Preface. Women in International Perspective Bloomsbury Publishing This edited volume examines the group dynamics of social reconciliation in conﬂictaﬀected societies by adopting ideas developed in social psychology and the everyday peace discourse in peace and conﬂict studies. The book revisits the intra- and inter-group dynamics of social reconciliation in conﬂict-aﬀected societies, which have been largely marginalised in mainstream peacebuilding debates. By applying social psychological perspectives and the discourse of everyday peace, the chapters explore the everyday experience of community actors engaged in social and political reconciliation. The ﬁrst part of the volume introduces conceptual and theoretical studies that focus on the pros and cons of state-level reconciliation and their outcomes, while presenting theoretical insights into dialogical processes upon which reconciliation studies can develop further. The second part presents a series of empirical case studies from around the world, which examine the process of social reconciliation at community levels through the lens of social psychology and discourse analysis. This book will be of much interest to students of peacebuilding, conﬂict resolution, social psychology, discourse analysis and international relations in general. NATO's Balancing Act Routledge Moving seamlessly from the global to the local, from the politics of institutions to the theoretical apparatus through which we analyse peace and security governance, the contributions to this volume draw attention to the operations of gendered power in peacebuilding across diverse contexts and explore the possibilities of gender-sensitive, sustainable peace. The authors have wideranging expertise in gendered analysis of the peacebuilding practices of international and national organisation, detailed and complex qualitative analysis of the gendered politics of peacebuilding in speciﬁc country contexts, and feminist analysis of the tools we use to think with when approaching contemporary debates about peacebuilding. The volume thus serves not only as a useful marker of the development of feminist encounters with 4 Building Peace Sustainable Reconciliation In Divided Societies 2020-06-24 peacebuilding but also as a foundation for future scholarship in this area. This book was originally published as a special issue of the journal Peacebuilding. Culture & Conﬂict Resolution US Institute of Peace Press This book oﬀers a distinctive perspective on peace processes by comparatively analysing two cases which have rarely been studied in tandem, Ireland and Korea. The volume examines and compares Ireland and Korea as two peace/conﬂict areas. Despite their diﬀerences, both places are marked by a number of overlaid states of division: a political border in a geographical unit (an island and a peninsula); an antagonistic relationship within the population of those territories; an international relationship recovering from past asymmetry and colonialism; and divisions within the main groupings over how to address these relationships. Written by academics and practitioners from Europe and East Asia, and guided by the concepts of peacebuilding and reconciliation, the chapters assess peace eﬀorts at all levels, from the elite to grassroot organisations. Topics discussed include: historical parallels; modern debates over the legacy of the past; contemporary constitutional and security issues; civil society peacebuilding in relation to faith, sport, and women's activism; and the role of economic assistance. The book brings Ireland and Korea into a rich dialogue which highlights the successes and shortcomings of both peace processes This book will be of interest to students of Peace and Conﬂict Studies, Irish Politics, Korean Politics, and International Relations. Engineering Peace Oxford University Press Since the early 1980s John Paul Lederach has traveled worldwide as a mediation trainer and conﬂict resolution consultant. Currently the director of the International Conciliation Committee, he has worked with governments, justice departments, youth programs, and other groups in Latin America, the Philippines, Cambodia, as well as Asia and Africa. Lederach blends a special training method in 5 mediation with a tradition derived from his work in development. Throughout the book, he uses anecdote and pertinent experiences to demonstrate his resolution techniques. With an emphasis on the exchange involved in negotiation, Lederach conveys the key to successful conﬂict resolution: understanding how to guide disputants, transform their conﬂicts, and launch a process that empowers them. The Handbook of Interethnic Coexistence University of Pennsylvania Press "As nations struggling to heal wounds of civil war and atrocity turn toward the model of reconciliation, Reconciliation in Divided Societies takes a systematic look at the political dimensions of this international phenomenon. . . . The book shows us how this transformation happens so that we can all gain a better understanding of how, and why, reconciliation really works. It is an almost indispensable tool for those who want to engage in reconciliation"—from the foreword by Archbishop Emeritus Desmond Tutu As societies emerge from oppression, war, or genocide, their most important task is to create a civil society strong and stable enough to support democratic governance. More and more conﬂicttorn countries throughout the world are promoting reconciliation as central to their new social order as they move toward peace and stability. Scores of truth and reconciliation commissions are helping bring people together and heal the wounds of deeply divided societies. Since the South African transition, countries as diverse as Timor Leste, Sierra Leone, Fiji, Morocco, and Peru have placed reconciliation at the center of their reconstruction and development programs. Other eﬀorts to promote reconciliation—including trials and governmental programs—are also becoming more prominent in transitional times. But until now there has been no real eﬀort to understand exactly what reconciliation could mean in these diﬀerent situations. What does true reconciliation entail? How can it be achieved? How can its achievement be assessed? This book digs beneath the surface to answer these questions and explain what the concepts of truth, justice, forgiveness, and reconciliation really involve in societies that are recovering from internecine strife. Looking to the future as much as to the past, Erin Daly and Jeremy Sarkin maintain that reconciliation requires fundamental political and economic reform along with personal healing if it is to be eﬀective in establishing lasting peace and stability. Reconciliation, they argue, is best thought of as a means for transformation. It is the engine that enables victims to become survivors and divided societies to transform themselves into communities where people work together to raise children and live productive, hopeful lives. Reconciliation in Divided Societies shows us how this transformation happens so that we can all gain a better understanding of how and why reconciliation is actually accomplished. Journeys through the Soundscape of Healing and Reconciliation SAGE Johan Galtung, one of the founders of modern peace studies, provides a wide- ranging panorama of the ideas, theories and assumptions on which the study of peace is based. The book is organized in four parts, each examining the one of the four major theoretical approaches to peace. The ﬁrst part covers peace theory, exploring the epistemological assumptions of peace. In Part Two conﬂict theory is examined with an exploration of nonviolent and creative handling of conﬂict. Developmental theory is discussed in Part Three, exploring structural violence, particularly in the economic ﬁeld, together with a consideration of the ways of overcoming that violence. The fourth part is devoted to civilization theory. This involves an Peace by Peaceful Means Oxford University Press, USA Bringing together leading scholars and practitioners from the worlds of leadership, followership, transitional justice, and international law, this research provides a blueprint of how peopleled, bottom-up, grassroots eﬀorts can foster reconciliation and a more peaceful world. Reconciliation, Justice, and Coexistence Cambridge Scholars 6 Building Peace Sustainable Reconciliation In Divided Societies 2020-06-24 Publishing Cultivating Peace: Contexts, Practices and Multidimensional Models moves away from negative connotations associated with the concept of post-conﬂict peacebuilding. It embraces a multiplicity of trans-disciplinary approaches to peacebuilding, mostly coinciding with the ecohorticultural metaphor of peace cultivation. Ultimately, the idea of cultivating peace embodies love and compassion, while utilising local knowledge, expertise and wisdom to do no harm. Using various case studies from across the world, the narratives and insights in this book present diverse facets of peacebuilding, yet all contribute constructive lessons. The chapters cover three general themes. Some examine the structural and discursive causes of violence and how to improve situations where violence is evident, or to prevent it from breaking out. Others deal with the aftermath of violence and how to reconcile and restore shattered lives and societies. The third group deals with positive social change by nonviolent means, which is much more constructive than the "negative peace" of ceaseﬁres and peace enforcement used to manage direct violence. Promoting the ideal of peace cultivation, this volume emphasises ways to improve things, to suggest alternatives, and to employ initiatives to plant and grow positive changes both during the ﬁghting and in the aftermath of violent conﬂicts. Building Peace in Northern Ireland United States Inst of Peace Press "Ending violent conﬂict requires societies to take leaps of political imagination. Artistic communities are often uniquely placed to help promote new thinking by enabling people to see things diﬀerently. In place of conﬂict's binary divisions, artists are often charged with exploring the ambiguities and possibilities of the excluded middle. Yet, their role in peacebuilding remains little explored. This excellent and agenda-setting volume provides a groundbreaking look at a range of artistic practices, and the ways in which they have attempted to support peacebuilding – a must-read for all practitioners and policy- 7 makers, and indeed other peacemakers looking for inspiration."Professor Christine Bell, FBA, Professor of Constitutional Law, Assistant Principal (Global Justice), and codirector of the Global Justice Academy, The University of Edinburgh, UK "Peacebuilding and the Arts oﬀers an impressive and impressively comprehensive engagement with the role that visual art, music, literature, ﬁlm and theatre play in building peaceful and just societies. Without idealizing the role of the arts, the authors explore their potential and limits in a wide range of cases, from Korea, Cambodia, Colombia and Northern Ireland to Uganda, Rwanda, South Africa and Israel-Palestine."Roland Bleiker, Professor of International Relations, University of Queensland, Australia, and author of Aesthetics and World Politics and Visual Global Politics "Peacebuilding and the Arts is the ﬁrst publication to focus critically and comprehensively on the relations between the creative arts and peacebuilding, expanding the conventional boundaries of peacebuilding and conﬂict transformation to include the artist, actor, poet, novelist, dramatist, musician, dancer and ﬁlm director. The sections on the visual arts, music, literature, ﬁlm and theatre, include case studies from very diﬀerent cultures, contexts and settings but a central theme is that the creative arts can play a unique and crucial role in the building of peaceful and just societies, with the power to transform relationships, heal wounds, and nurture compassion and empathy. Peacebuilding and the Arts is a vital and unique resource which will stimulate critical discussion and further research, but it will also help to reﬁne and reframe our understanding of peacebuilding. While it will undoubtedly become mandatory reading for students of peacebuilding and the arts, its original approach and dynamic exploratory style should attract a much wider interdisciplinary audience."Professor Anna King, Professor of Religious Studies and Social Anthropology and Director of Research, Centre of Religion, Reconciliation and Peace (WCRRP), University of Winchester, UK This volume explores the relationship between peacebuilding and the arts. Through a series of original essays, authors consider some of the ways that diﬀerent art forms (including ﬁlm, theatre, music, literature, dance, and other forms of visual art) can contribute to the processes and practices of building peace. This book breaks new ground, by setting out fresh ways of analysing the relationship between peacebuilding and the arts. Divided into ﬁve sections on the Visual Arts, Music, Literature, Film and Theatre/Dance, over 20 authors oﬀer conceptual overviews of each art form as well as new case studies from around the globe and critical reﬂections on how the arts can contribute to peacebuilding. As interest in the topic increases, no other book approaches this complex relationship in the way that Peacebuilding and the Arts does. By bringing together the insights of scholars and practitioners working at the intersection of the arts and peacebuilding, this book develops a series of unique, critical perspectives on the interaction of diverse art forms with a range of peacebuilding endeavours. Children and Peace Routledge This volume examines the role and contributions of art, music and ﬁlm in peace-building and reconciliation, oﬀering a distinctive approach in various forms of art in peace-building in a wide range of conﬂict situations, particularly in religiously plural contexts. As such, it provides readers with a comprehensive perspective on the subject. The contributors are composed of prominent scholars and artists who examine theoretical, professional and practical perspectives and debates, and address three central research questions, which form the theoretical basis of this project: namely, 'In what way have particular forms of art enhanced peacebuilding in conﬂict situations?', 'How do artistic forms become a public demonstration and expression of a particular socio-political context?', and 'In what way have the arts played the role of catalyst for peacebuilding, and, if not, why not?' This volume demonstrates that art contributes in conﬂict and post-conﬂict situations in three main ways: 8 Building Peace Sustainable Reconciliation In Divided Societies 2020-06-24 transformation at an individual level; peacebuilding between communities; and bridging justice and peace for sustainable reconciliation. Timing and Sequencing of Post-Conﬂict Reconstruction a<cursor_is_here> </text>	[ { "content": "<url>\nhttps://www.marketspot.uccs.edu/locs?idshelves=F95g175&FilesData=Building-Peace-Sustainable-Reconciliation-In-Divided-Societies.pdf\n</url>\n<text>\nBuilding Peace Sustainable Reconciliation In Divided Societies\n\nEventually, you will extremely discover a extra experience and ﬁnishing by spending more cash. nevertheless when? reach you say you will that you require to acquire those every needs like having signiﬁcantly cash? Why dont you attempt to acquire something basic in the beginning? Thats something that will lead you to understand even more roughly the globe, experience, some places, taking into consideration history, amusement, and a lot more?\n\nIt is your no question own times to achievement reviewing habit. along with guides you could enjoy now is Building Peace Sustainable Reconciliation In Divided Societies below.\n\nBuilding Peace Sustainable Reconciliation In Divided Societies\n\nDownloaded from www.marketspot.uccs.edu by guest\n\nJERAMIAH BAILEE\n\nPeacebuilding and the\n\nArts Routledge Since the onset of the troubles in the late 1960s, people in Northern Ireland have been working together to bring about a peaceful, non-violent end to the conﬂict. In doing so, they have used their eﬀorts as a means to support the transition to a post-conﬂict society in the wake of the ceaseﬁres and the Good Friday Agreement. This collection is the ﬁrst to examine the diﬀerent forms of peace and reconciliation work that have taken place. It brings together an international group of scholars to examine initiatives such as integrated education, faith-based peace building, cross-border cooperation and womens activism as well as the impact that government policy and European funding have had upon the development of peace and reconciliation organisations. This unique collection of essays demonstrates the contribution that such schemes have made to the peace process and the part that they can play in Northern Irelands future.\n\nPeacebuilding, Memory and Reconciliation Emerald Group Publishing This clearly articulated statement oﬀers a hopeful and workable approach to conﬂict—that eternally beleaguering human situation. John Paul Lederach is internationally recognized for his breakthrough thinking and action related to conﬂict on all levels—person-to-person, factions within communities, warring nations. He explores why \"conﬂict transformation\" is more appropriate than \"conﬂict resolution\" or \"management.\" But he refuses to be drawn into impractical idealism. Conﬂict Transformation is an idea with a deep reach. Its practice, says Lederach, requires \"both solutions and social change.\" It asks not simply \"How do we end something not desired?\", but \"How do we end something destructive and build something desired?\" How do we deal with the immediate crisis, as well as the long-term situation? What\n\ndisciplines make such thinking and practices possible? A title in The Little Books of Justice and Peacebuilding Series.\n\nFrom Research to Action Oxford University Press\n\nHow and why do women's contributions matter in peace and security processes? Why should women's activities in this sphere be explored separately from peacebuilding eﬀorts in general? Decisively answering these questions, Sanam Anderlini oﬀers a comprehensive, crossregional analysis of women's peacebuilding initiatives around the world. and highlights the endemic problems that stunt progress. Her astute analysis, based on extensive research and ﬁeld experience, demonstrates how gender sensitivity in programming can be a catalytic component in the complex task of building sustainable peace and provides concrete examples of how to draw on women's untapped potential. Bridging Top-Down and Bottom-Up Approaches Routledge This open access book brings together discourse on children and peace from the 15th International Symposium on the Contributions of Psychology to Peace, covering issues pertinent to children and peace and approaches to making their world safer, fairer and more sustainable. The book is divided into nine sections that examine traditional themes (social construction and deconstruction of diversity, intergenerational transitions and memories of war, and multiculturalism), as well as contemporary issues such as Europe's \"migration crisis\", radicalization and violent extremism, and violence in families, schools and communities. Chapters contextualize each issue within speciﬁc social ecological frameworks in order to reﬂect on the multiplicity of inﬂuences that aﬀect diﬀerent outcomes and to discuss how the ﬁndings can be applied in diﬀerent contexts. The volume also provides solutions and hope through its focus on youth empowerment and peacebuilding programs for children and families. This forward-thinking volume oﬀers a multitude of views, approaches, and strategies for research and activism drawn from\n\npeace psychology scholars and United Nations researchers and practitioners. This book's multi-layered emphasis on context, structural determinants of peace and conﬂict, and use of research for action towards social cohesion for children and youth has not been brought together in other peace psychology literature to the same extent. Children and Peace: From Research to Action will be a useful resource for peace psychology academics and students, as well as social and developmental psychology academics and students, peace and development practitioners and activists, policy makers who need to make decisions about the matters covered in the book, child rights advocates and members of multilateral organizations such as the UN.\n\nClear Articulation Of The Guiding Principles By A Pioneer In The Field Rowman & Littleﬁeld Publishers This book aims to bridge the gap between what are generally referred to as 'top-down' and 'bottomup' approaches to peacebuilding. After the experience of a physical and psychological trauma,\n\n2\n\nBuilding Peace Sustainable Reconciliation In Divided Societies\n\n2020-06-24\n\nthe period of individual healing and recovery is intertwined with political and social reconciliation. The prospects for social and political reconciliation are undermined when a 'top-down' approach is favoured over the 'bottom-up strategy'- the prioritization of structural stability over societal well-being. Peacebuilding, Memory and Reconciliation explores the inextricable link between psychological recovery and sociopolitical reconciliation, and the political issues that dominate this relationship. Through an examination of the construction of social narratives about or for peace, the text oﬀers a new perspective on peacebuilding, which challenges and questions the very nature of the dichotomy between 'topdown' and 'bottom-up' approaches. This book will be of much interest to students of peacebuilding, peace and conﬂict studies, social psychology, political science and IR in general. Atone Lexington Books Since the end of the Cold War, conﬂict prevention and resolution, peacekeeping and peacebuilding have risen to the top of the international agenda. The third edition of this hugely popular text explains the key concepts, charts the development of the ﬁeld, evaluates successes and failures, and assesses the main current challenges and debates in the second decade of the twenty-ﬁrst century. Existing material has been thoroughly updated and seven new chapters added, on conﬂict resolution in a changing international order; environmental conﬂict resolution; conﬂict resolution in the arts and popular culture; conﬂict resolution, the media and the communications revolution; managing radical disagreement in intractable conﬂict; theories and critiques of the ﬁeld; and upcoming challenges and tasks for the next generation. The authors argue that a new form of cosmopolitan conﬂict resolution is emerging, which oﬀers a hopeful means for human societies to handle their conﬂicts non-violently and eventually to transcend and celebrate their diﬀerences. Part I oﬀers a comprehensive survey of the theory and practice of conﬂict resolution. Part II sets the ﬁeld within the context of rapid global change and addresses the controversies that have\n\n3\n\nsurrounded conﬂict resolution as it has entered the mainstream. Contemporary Conﬂict Resolution is essential reading for students of peace and security studies, conﬂict management and international politics, as well as for those working in non-governmental organizations and thinktanks.\n\nBuilding Peace in America Lexington Books Since the end of the Cold War several political agreements have been signed in attempts to resolve longstanding conﬂicts in such volatile regions as Northern Ireland, Israel-Palestine, South Africa, and Rwanda. This is the ﬁrst comprehensive volume that examines reconciliation, justice, and coexistence in the postsettlement context from the levels of both theory and practice. Mohammed Abu-Nimer has brought together scholars and practitioners who discuss questions such as: Do truth commissions work? What are the necessary conditions for reconciliation? Can political agreements bring reconciliation? How can indigenous approaches be utilized in the process of reconciliation? In addition\n\nto enhancing the developing ﬁeld of peacebuilding by engaging new research questions, this book will give lessons and insights to policy makers and anyone interested in postsettlement issues.\n\nContexts, Practices and Multidimensional Models Syracuse University Press \"We genuinely believe that any action in or around existing or potential conﬂict areas has an inﬂuence on war and peace. Building sustainable peace is not just a matter of direct intervention through mediation. It also requires indirect intervention through development and relief aid, media coverage, or any other activity relating to existing or potential violent conﬂicts. Peacebuilding: A Field Guide therefore aims at making the reader aware of the bigger picture involved in the building of sustainable peace, while also providing some real guidelines on how to maximize all contributions to peacebuilding.\"-Preface.\n\nWomen in International\n\nPerspective\n\nBloomsbury\n\nPublishing\n\nThis edited volume examines the group\n\ndynamics of social reconciliation in conﬂictaﬀected societies by adopting ideas developed in social psychology and the everyday peace discourse in peace and conﬂict studies. The book revisits the intra- and inter-group dynamics of social reconciliation in conﬂict-aﬀected societies, which have been largely marginalised in mainstream peacebuilding debates. By applying social psychological perspectives and the discourse of everyday peace, the chapters explore the everyday experience of community actors engaged in social and political reconciliation. The ﬁrst part of the volume introduces conceptual and theoretical studies that focus on the pros and cons of state-level reconciliation and their outcomes, while presenting theoretical insights into dialogical processes upon which reconciliation studies can develop further. The second part presents a series of empirical case studies from around the world, which examine the process of social reconciliation at community levels through the lens of social psychology and discourse\n\nanalysis. This book will be of much interest to students of peacebuilding, conﬂict resolution, social psychology, discourse analysis and international relations in general. NATO's Balancing Act Routledge Moving seamlessly from the global to the local, from the politics of institutions to the theoretical apparatus through which we analyse peace and security governance, the contributions to this volume draw attention to the operations of gendered power in peacebuilding across diverse contexts and explore the possibilities of gender-sensitive, sustainable peace. The authors have wideranging expertise in gendered analysis of the peacebuilding practices of international and national organisation, detailed and complex qualitative analysis of the gendered politics of peacebuilding in speciﬁc country contexts, and feminist analysis of the tools we use to think with when approaching contemporary debates about peacebuilding. The volume thus serves not only as a useful marker of the development of feminist encounters with\n\n4\n\nBuilding Peace Sustainable Reconciliation In Divided Societies\n\n2020-06-24\n\npeacebuilding but also as a foundation for future scholarship in this area. This book was originally published as a special issue of the journal Peacebuilding.\n\nCulture & Conﬂict Resolution US Institute of Peace Press This book oﬀers a distinctive perspective on peace processes by comparatively analysing two cases which have rarely been studied in tandem, Ireland and Korea. The volume examines and compares Ireland and Korea as two peace/conﬂict areas. Despite their diﬀerences, both places are marked by a number of overlaid states of division: a political border in a geographical unit (an island and a peninsula); an antagonistic relationship within the population of those territories; an international relationship recovering from past asymmetry and colonialism; and divisions within the main groupings over how to address these relationships. Written by academics and practitioners from Europe and East Asia, and guided by the concepts of peacebuilding and reconciliation, the chapters assess peace eﬀorts at all levels, from the elite to grassroot organisations. Topics discussed include: historical parallels; modern debates over the legacy of the past; contemporary constitutional and security issues; civil society peacebuilding in relation to faith, sport, and women's activism; and the role of economic assistance. The book brings Ireland and Korea into a rich dialogue which highlights the successes and shortcomings of both peace processes This book will be of interest to students of Peace and Conﬂict Studies, Irish Politics, Korean Politics, and International Relations.\n\nEngineering Peace Oxford University Press Since the early 1980s John Paul Lederach has traveled worldwide as a mediation trainer and conﬂict resolution consultant. Currently the director of the International Conciliation Committee, he has worked with governments, justice departments, youth programs, and other groups in Latin America, the Philippines, Cambodia, as well as Asia and Africa. Lederach blends a special training method in\n\n5\n\nmediation with a tradition derived from his work in development. Throughout the book, he uses anecdote and pertinent experiences to demonstrate his resolution techniques. With an emphasis on the exchange involved in negotiation, Lederach conveys the key to successful conﬂict resolution: understanding how to guide disputants, transform their conﬂicts, and launch a process that empowers them.\n\nThe Handbook of\n\nInterethnic Coexistence University of Pennsylvania Press \"As nations struggling to heal wounds of civil war and atrocity turn toward the model of reconciliation, Reconciliation in Divided Societies takes a systematic look at the political dimensions of this international phenomenon. . . . The book shows us how this transformation happens so that we can all gain a better understanding of how, and why, reconciliation really works. It is an almost indispensable tool for those who want to engage in reconciliation\"—from the foreword by Archbishop Emeritus Desmond Tutu As\n\nsocieties emerge from oppression, war, or genocide, their most important task is to create a civil society strong and stable enough to support democratic governance. More and more conﬂicttorn countries throughout the world are promoting reconciliation as central to their new social order as they move toward peace and stability. Scores of truth and reconciliation commissions are helping bring people together and heal the wounds of deeply divided societies. Since the South African transition, countries as diverse as Timor Leste, Sierra Leone, Fiji, Morocco, and Peru have placed reconciliation at the center of their reconstruction and development programs. Other eﬀorts to promote reconciliation—including trials and governmental programs—are also becoming more prominent in transitional times. But until now there has been no real eﬀort to understand exactly what reconciliation could mean in these diﬀerent situations. What does true reconciliation entail? How can it be achieved? How can its achievement be assessed? This book digs beneath the surface to answer these questions and explain what the concepts of truth, justice, forgiveness, and reconciliation really involve in societies that are recovering from internecine strife. Looking to the future as much as to the past, Erin Daly and Jeremy Sarkin maintain that reconciliation requires fundamental political and economic reform along with personal healing if it is to be eﬀective in establishing lasting peace and stability. Reconciliation, they argue, is best thought of as a means for transformation. It is the engine that enables victims to become survivors and divided societies to transform themselves into communities where people work together to raise children and live productive, hopeful lives. Reconciliation in Divided Societies shows us how this transformation happens so that we can all gain a better understanding of how and why reconciliation is\n\nactually accomplished.\n\nJourneys through the Soundscape of Healing and Reconciliation SAGE\n\nJohan Galtung, one of the founders of modern peace studies, provides a wide- ranging panorama of the ideas, theories and assumptions on which the study of peace is based. The book is organized in four parts, each examining the one of the four major theoretical approaches to peace. The ﬁrst part covers peace theory, exploring the epistemological assumptions of peace. In Part Two conﬂict theory is examined with an exploration of nonviolent and creative handling of conﬂict. Developmental theory is discussed in Part Three, exploring structural violence, particularly in the economic ﬁeld, together with a consideration of the ways of overcoming that violence. The fourth part is devoted to civilization theory. This involves an Peace by Peaceful Means Oxford University Press, USA\n\nBringing together leading scholars and practitioners from the worlds of leadership, followership, transitional justice, and international law, this research provides a blueprint of how peopleled, bottom-up, grassroots eﬀorts can foster reconciliation and a more peaceful world. Reconciliation, Justice, and Coexistence Cambridge Scholars\n\n6\n\nBuilding Peace Sustainable Reconciliation In Divided Societies\n\n2020-06-24\n\nPublishing Cultivating Peace: Contexts, Practices and Multidimensional Models moves away from negative connotations associated with the concept of post-conﬂict peacebuilding. It embraces a multiplicity of trans-disciplinary approaches to peacebuilding, mostly coinciding with the ecohorticultural metaphor of peace cultivation. Ultimately, the idea of cultivating peace embodies love and compassion, while utilising local knowledge, expertise and wisdom to do no harm. Using various case studies from across the world, the narratives and insights in this book present diverse facets of peacebuilding, yet all contribute constructive lessons. The chapters cover three general themes. Some examine the structural and discursive causes of violence and how to improve situations where violence is evident, or to prevent it from breaking out. Others deal with the aftermath of violence and how to reconcile and restore shattered lives and societies. The third group deals with positive social change by nonviolent means, which is much more constructive than the \"negative peace\" of ceaseﬁres and peace enforcement used to manage direct violence. Promoting the ideal of peace cultivation, this volume emphasises ways to improve things, to suggest alternatives, and to employ initiatives to plant and grow positive changes both during the ﬁghting and in the aftermath of violent conﬂicts. Building Peace in Northern Ireland United States Inst of Peace Press \"Ending violent conﬂict requires societies to take leaps of political imagination. Artistic communities are often uniquely placed to help promote new thinking by enabling people to see things diﬀerently. In place of conﬂict's binary divisions, artists are often charged with exploring the ambiguities and possibilities of the excluded middle. Yet, their role in peacebuilding remains little explored. This excellent and agenda-setting volume provides a groundbreaking look at a range of artistic practices, and the ways in which they have attempted to support peacebuilding – a must-read for all practitioners and policy-\n\n7\n\nmakers, and indeed other peacemakers looking for inspiration.\"Professor Christine Bell, FBA, Professor of Constitutional Law, Assistant Principal (Global Justice), and codirector of the Global Justice Academy, The University of Edinburgh, UK \"Peacebuilding and the Arts oﬀers an impressive and impressively comprehensive engagement with the role that visual art, music, literature, ﬁlm and theatre play in building peaceful and just societies. Without idealizing the role of the arts, the authors explore their potential and limits in a wide range of cases, from Korea, Cambodia, Colombia and Northern Ireland to Uganda, Rwanda, South Africa and Israel-Palestine.\"Roland Bleiker, Professor of International Relations, University of Queensland, Australia, and author of Aesthetics and World Politics and Visual Global Politics \"Peacebuilding and the Arts is the ﬁrst publication to focus critically and comprehensively on the relations between the creative arts and peacebuilding, expanding the conventional boundaries of peacebuilding and conﬂict transformation to include\n\nthe artist, actor, poet, novelist, dramatist, musician, dancer and ﬁlm director. The sections on the visual arts, music, literature, ﬁlm and theatre, include case studies from very diﬀerent cultures, contexts and settings but a central theme is that the creative arts can play a unique and crucial role in the building of peaceful and just societies, with the power to transform relationships, heal wounds, and nurture compassion and empathy. Peacebuilding and the Arts is a vital and unique resource which will stimulate critical discussion and further research, but it will also help to reﬁne and reframe our understanding of peacebuilding. While it will undoubtedly become mandatory reading for students of peacebuilding and the arts, its original approach and dynamic exploratory style should attract a much wider interdisciplinary audience.\"Professor Anna King, Professor of Religious Studies and Social Anthropology and Director of Research, Centre of Religion, Reconciliation and Peace (WCRRP), University of Winchester, UK This volume explores the relationship between peacebuilding and the arts. Through a series of original essays, authors consider some of the ways that diﬀerent art forms (including ﬁlm, theatre, music, literature, dance, and other forms of visual art) can contribute to the processes and practices of building peace. This book breaks new ground, by setting out fresh ways of analysing the relationship between peacebuilding and the arts. Divided into ﬁve sections on the Visual Arts, Music, Literature, Film and Theatre/Dance, over 20 authors oﬀer conceptual overviews of each art form as well as new case studies from around the globe and critical reﬂections on how the arts can contribute to peacebuilding. As interest in the topic increases, no other book approaches this complex relationship in the way that Peacebuilding and the Arts does. By bringing together the insights of scholars and practitioners working at the intersection of the arts and peacebuilding, this book develops a series of unique, critical perspectives on the interaction of diverse art forms with a range of peacebuilding\n\nendeavours.\n\nChildren and Peace Routledge\n\nThis volume examines the role and contributions of art, music and ﬁlm in peace-building and reconciliation, oﬀering a distinctive approach in various forms of art in peace-building in a wide range of conﬂict situations, particularly in religiously plural contexts. As such, it provides readers with a comprehensive perspective on the subject. The contributors are composed of prominent scholars and artists who examine theoretical, professional and practical perspectives and debates, and address three central research questions, which form the theoretical basis of this project: namely, 'In what way have particular forms of art enhanced peacebuilding in conﬂict situations?', 'How do artistic forms become a public demonstration and expression of a particular socio-political context?', and 'In what way have the arts played the role of catalyst for peacebuilding, and, if not, why not?' This volume demonstrates that art contributes in conﬂict and post-conﬂict situations in three main ways:\n\n8\n\nBuilding Peace Sustainable Reconciliation In Divided Societies\n\n2020-06-24\n\ntransformation at an individual level; peacebuilding between communities; and bridging justice and peace for sustainable reconciliation.\n\nTiming and Sequencing of\n\nPost-Conﬂict\n\nReconstruction a<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "nd\n\nPeacebuilding Springer\n\nNature\n\n* Serves as a guide to using ritual acts in peacebuilding eﬀorts * Abundant with examples of symbolic acts that aided the peace process Conﬂict is dramatic.", "role": "assistant" } ]
Standardization of optimum conditions for cyclodextrin glycosyltransferase production Nallusamy Sivakumar 1 + and Shakila Banu 2 1 Department of Biology, College of Science, Sultan Qaboos University, Muscat, Sultanate of Oman 2 Department of Microbiology, J. J. College of Arts and Science, Pudukkottai, India Abstract. The cyclodextrin glucosyltransferase producing bacteria were isolated from soil. The efficient strain was isolated and identified as Bacillus licheniformis. Fermentation conditions for CGTase production by B. licheniformis were standardized. Maximum CGTase production was obtained at 37°C at pH 8. CGTase production was significantly high when the medium was supplemented with soluble starch. Glucose and cassava supplementation in the media resulted in low level of CGTase production. Yeast extract was found as the best nitrogen source. The enzyme production was inhibited by Mg 2+ , Ca 2+ , Mn 2+ , Fe 2+ and Zn 2+ . Key words: CGTase, B. licheniformis, optimum conditions, metal ions 1. Introduction The enzyme cyclodextrin glycosyl transferase (CGTase E.C 184.108.40.206) is a bacterial enzyme which converts starch into cyclic maltooligosaccharides known as cyclodextrins which are non-reducing, cyclic oligosaccharides composed of D-glucose units linked by α-1,4 glycosidic bonds. CGTase can synthesis all forms of cyclodextrins which are cyclomaltohexaose (α-CD), cyclomaltoheptaose (β-CD) and cyclomaltooctaose (γ-CD) consisting of six, seven and eight glucose molecules respectively (Illias et al., 2003). Among the three types of CDs, β-CD is more suitable for practical use. The main difference among them is the apolar cavity size and solubility in water (Allegre et al., 1994). Due to their apolar cavity they are able to form complexes with molecules and change the physico-chemical properties such as solubility and stability of guest compounds. Cyclodextrins have the ability to form inclusion complexes with organic and inorganic compounds, which have numerous applications in agricultural, food, cosmetics, chemical and pharmaceutical industries (Pszczola, 1998; Szejtli, 2004). In food industry, cyclodextrins are used for the production of low-cholesterol butter, where the cyclodextrin is used to specifically remove the cholesterol from the milk fat. They are utilized for flavour stabilization and delivery in chewing gum, flavored tea, cinnamon flavored apples, lemon and grapes fruit candies, mints and lemon flavored sugar (Pszczola, 1998). Cyclodextrin is used in fruit juice beverages to mask vitamin odor and to mask bitterness in alone containing beverages. It is used to convert acetic acid to powder. It also increases the solubility of mustard sauce. The main objective of this work was to isolate CGTase producing Bacillus sp. from soil and standardization of its production conditions. 2. Materials and methods 2.1 Isolation of CGTase producing organisms 1 g of soil sample was suspended in 50 ml of sterile water and plated on a medium containing soluble starch 2%, peptone 0.5%, yeast extract 0.5%, K 2 HPO 4 0.1%, MgSO 4 .7H 2 O 0.02%, Na 2 CO 3 1%, phenolphthalein 0.03%, methyl orange 0.01% and agar 2% and incubated at 37°C. CGTase positive colonies were identified by a clearing zone around them in the phenolphthalein containing media. Colony with a higher zone diameter was selected as an efficient strain and used for further studies. 2.2 CGTase production The inoculum prepared using the isolated culture was inoculated in to production medium containing 1.5% soluble starch, 0.4% yeast extract, 0.15g of KH2PO4, MgSO4.7H2O, FeSO4.7H2O, 0.12g of 20% KCl, and 0.9% NaCl and incubated at 37°C. Samples were withdrawn at specific intervals of time and analyzed for CGTase activity. 2.3 Enzyme assay (Goel and Nene, 1995) To measure the enzyme activity cell free culture medium was centrifuged at 10000 rpm for 20 minutes at room temperature and supernatant containing cyclodextrin glycosyltransferase was collected. 5ml of the supernatant and 5ml of 1% starch solution (0.1g of soluble starch, 1ml of 0.05mM CaCl2 and pure water for a total volume of 10 ml) were mixed in a thermostatic reactor at 50°C. Samples were taken periodically from the reactors and inactivated in water at 100°C for 5 minutes. The concentration of cyclodextrin was measured by the addition of 2.5ml of 3mM phenolphthalein solution (5ml of 0.6mM Na2CO3 buffer, pH 10.5 and the volume completed with 2.5ml of distilled water in a volumetric flask) to 0.5ml of inactivated samples. The absorbance of the final solution was analyzed in spectrophotometer at 550nm. A unit of enzymatic activity was defined as the quantity of enzyme that produces one µmol of cyclodextrin per minute under standard conditions. 2.4 Standardization of optimum conditions for CGTase production Factors like carbon, nitrogen sources, microelements, temperature and pH affecting the production of CGTase were optimized by adopting the search technique by varying one factor at a time. The experiments were conducted in 500ml Erlenmeyer flasks. All the experiments were carried out in three sets with a control. The optimum temperature and pH for the CGTase production were standardized. Different carbon sources like cassava, starch, maltose and glucose were tried to increase the enzyme production. Different nitrogen sources such as ammonium salts, tryptone, urea and yeast extract was supplemented in the production media to analyze their influence on enzyme production. Effect of cation concentration on CGTase production was carried out by the addition of CaSO4, MgSO4, MnSO4, FeSO4 and ZnSO4 to the production media. 2.5 Statistical analysis The mean values and standard deviations were calculated from the data obtained from three different experiments. Analysis of variance was performed by one way ANOVA procedures followed by Tukey HSD Post Hoc tests using SPSS 11.5. Statistical differences at p < 0.05 were considered to be significant 3. Results and discussion Ten CGTase positive bacteria (BS 1-BS 10) were isolated from soil sample (Fig. 1). Among them one bacteria showing highest activity (BS 7) was selected and identified as Bacillus licheniformis. At 37°C the CGTase activity was significantly higher than 47 & 27°C during 16 to 36 h of incubation. At 47°C the CGTase activity was significantly less than 37 & 27°C. pH 8 showed maximum CGTase activity at 24h of incubation. But the difference in CGTase activity among the different pH ranges is insignificant (Fig. 2&3). The CGTase activity of Bacillus sp G1 was found to be optimal at pH 6 (Illias et al., 2003). Larsen et al., (1998) observed that the pH optima of the enzyme were 7.5 for the cyclisation activity and 8.0 for the hydrolysis activity. The temperature optima for the cyclisation and hydrolysis activity were 50°C and 60°C respectively. Single optimum pH range for CGtase activity suggests a different degree of ionization of the enzyme catalytic site in order to produce different types of cyclodextrins. A broad range of temperature between 45°C and 70°C was already reported (Salva et al., 1997; Yim et al., 1997; Higuti et al., 2003). 6 27°C 37°C 47°C pH 6 pH 7 pH 8 pH 9 Figure 3. Effect of different pH ranges on CGTase activity Significantly high CGTase activity was observed at 32 h of incubation when soluble starch was supplemented as a carbon source. But with maltose significantly less activity was obtained (Fig. 4). Although cassava supplementation produces a high growth rate for B. licheniformis, it induces low CGTase activity. The supplemented starch in the medium serves as an inducer for CGTase production. Soluble starch was found as a best carbon source for B. firmus and B. macerans ( Posci et al., 1998). Glucose supplementation has given only low yields of CGTase production. Varavinit et al., (1998) reported that the production of CGTase by Bacillus sp. MP 523 was repressed significantly by glucose. However studies carried out by Stefanova et al., (1999) showed that 0.5% (w/v) glucose was found to be the most suitable substrate for CGTase production. cassava Soluble starch Maltose Glucose Figure 4. Influence of different carbon sources on CGTase production Among the four different nitrogen sources tested yeast extract influenced significantly the productivity of CGTase than urea, tryptone and ammonium salt (Fig. 5). Maximum growth of B. licheniformis was also observed in yeast extract containing media. CGTase production was higher when an organic nitrogen source was present in the medium. Enzyme production using inorganic nitrogen sources was found to be low when compared with organic nitrogen source. It was reported that the best nitrogen source for the production of CGTase was peptone (Illias et al., 2002). But Mahat et al (2004) observed that sago starch and yeast extract have a significant effect on CGTase production. Tryptone Urea Ammonium Yeast extract Figure 5. Influence of different nitrogen sources on CGTase production The effect of cations on the production of CGTase was studied by substituting different metal ions in the media (Fig. 6). All metal ions inhibited the activity of CGTase. Mg 2+ showed moderate inhibition but Fe 2+ and Zn 2+ were the strong inhibitors of CGTase activity (Table 1). This is in accordance with Higuti et al.,(2003). But it was also reported that Mg 2+ and Ca 2+ showed little activation on CGTase activity (Freitas et al., 2004). The effect of metal ions on enzyme activity seems to depend on the enzyme source (Higuti et al., 2003). 4 Table 1: Effect of metal ions on the activity of CGTase \| Metal ions \| Relative activity (%) \| \|---\|---\| \| Control \| 100 \| \| Ca2+ \| 55.3 \| \| Mg2+ \| 75.5 \| \| Mn2+ \| 60.2 \| \| Fe2+ \| 17 \| 4. References [1] A. Goel and S. N. Nene. Modifications in the phenolphthalein method for spectrophotometric estimation of βcyclodextrin, Starch/ Starke. 1995, 47 (10) : 339 - 400. [2] D. G. Yim, H. H. Sato, Y. H. Park and Y. K. Park. Production of cyclodextrin from starch by cyclodextrin glycosyltransferase from Bacillus firmusand characterization of purified enzyme. J. Ind. Microbiol. Biotechnol., 1997, 18, 402-405. [3] D.E. Pszczola. Production and Potential food application of cyclodextrins, Food Tech. 1998, 42: 96 – 100. [4] I. H. Higuti, S. W. Grande, R. Sacco and A. J. Nascimento.Isolation of Alkalophilic CGTase-Producing Bacteria and Characterization of Cyclodextrin-Glycosyltransferase Braz. Arch. Boil. Technol., 2003, 46(2) : 183-186. [5] J. Posci, N. Nogyrady, A. Liptak, and A. Szentiramai. Cyclodextrins are likely to induced cyclodextrin glycosyl transferase production in Bacillus macerans, Folia Microbiol. 1998, 43: 71 – 74. [6] J. Szejtli. Past, Present and future of cyclodextrin research, Pure Appl. Chem. 2004, 76(10): 1825 – 1845. K. I. Larsen, L. H. Duedahl and W. Zimmermann. Purification and characterization of cyclodextrin glycosyltransferase from Paenibacillus sp. F. 8, Carbohydr. Res. 1998, 310: 211-219. [7] M. Allegre and A. Deratani. Cyclodextrin uses: from concept to industrial reality, Agro Food Industry Hitech. 1994, pp 9 – 17. [8] M. K. Mahat, R. M. Illias, R. A. Rahman, N. A. A. Rashid, N. Mahmood, O. Hassan, S. A. Aziz and K. Kamaruddin. Production of cyclodextrin glucanotransferase (CGTase) from alkalophilic Bacillus sp. TS1-1: media optimization using experinmental design. Enz. Microbial. Technol.,2004, 35: 467-473. : [9] M. R. Illias, T. S. Fen, N. A. Abdul Rashid, M. W. Yusoff, A. A. Hamid, O. Hassan and K. Kamaruddin. Application of factorial design to study the effect of temperature, initial PH and agitation on the production of cyclodextrin glucosyl tranferase from alkalophilic Bacillus spp. GI. Science Asia. 2003, 29 135 – 140. [10] S. Varavint, V. Sanguanpong and S. Shobsngob. Isolation from starch waste and partial characterization of a new cyclodextrin glycosyl transferase producing Bacillus sp, foods Food Ingred J. Jap. 1997, 173: 84 – 89. [11] T. J. G. Salva, V. B. Lima and A. P. Pagan. Screening of alkalophilic bacteria for cyclodextrin glycosyltransferase production. Rev.Microbiol., 1997, 28, 157-164. [12] T. L. Freitas, R. Monti and J. Contiero. Production of CGTase by a Bacillus Alkalophilic CGII strain isolated from waste water of a manioc flour industry. Braz. J. Microbiol., 2004, 35: 255-260.	<urn:uuid:9a63bdbb-e87e-4135-b808-54756c39619f>	CC-MAIN-2018-26	http://www.ipcbee.com/vol9/20-B048.pdf	2018-06-22T05:17:52Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-26/segments/1529267864354.27/warc/CC-MAIN-20180622045658-20180622065658-00266.warc.gz	447,318,038	3,390	eng_Latn	eng_Latn	0.836664	eng_Latn	0.959732	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3139, 6408, 8110, 9565, 12343 ]	Standardization of optimum conditions for cyclodextrin glycosyltransferase production Nallusamy Sivakumar 1 + and Shakila Banu 2 1 Department of Biology, College of Science, Sultan Qaboos University, Muscat, Sultanate of Oman 2 Department of Microbiology, J. J. College of Arts and Science, Pudukkottai, India Abstract. The cyclodextrin glucosyltransferase producing bacteria were isolated from soil. The efficient strain was isolated and identified as Bacillus licheniformis. Fermentation conditions for CGTase production by B. licheniformis were standardized. Maximum CGTase production was obtained at 37°C at pH 8. CGTase production was significantly high when the medium was supplemented with soluble starch. Glucose and cassava supplementation in the media resulted in low level of CGTase production. Yeast extract was found as the best nitrogen source. The enzyme production was inhibited by Mg 2+ , Ca 2+ , Mn 2+ , Fe 2+ and Zn 2+ . Key words: CGTase, B. licheniformis, optimum conditions, metal ions 1. Introduction The enzyme cyclodextrin glycosyl transferase (CGTase E.C 184.108.40.206) is a bacterial enzyme which converts starch into cyclic maltooligosaccharides known as cyclodextrins which are non-reducing, cyclic oligosaccharides composed of D-glucose units linked by α-1,4 glycosidic bonds. CGTase can synthesis all forms of cyclodextrins which are cyclomaltohexaose (α-CD), cyclomaltoheptaose (β-CD) and cyclomaltooctaose (γ-CD) consisting of six, seven and eight glucose molecules respectively (Illias et al., 2003). Among the three types of CDs, β-CD is more suitable for practical use. The main difference among them is the apolar cavity size and solubility in water (Allegre et al., 1994). Due to their apolar cavity they are able to form complexes with molecules and change the physico-chemical properties such as solubility and stability of guest compounds. Cyclodextrins have the ability to form inclusion complexes with organic and inorganic compounds, which have numerous applications in agricultural, food, cosmetics, chemical and pharmaceutical industries (Pszczola, 1998; Szejtli, 2004). In food industry, cyclodextrins are used for the production of low-cholesterol butter, where the cyclodextrin is used to specifically remove the cholesterol from the milk fat. They are utilized for flavour stabilization and delivery in chewing gum, flavored tea, cinnamon flavored apples, lemon and grapes fruit candies, mints and lemon flavored sugar (Pszczola, 1998). Cyclodextrin is used in fruit juice beverages to mask vitamin odor and to mask bitterness in alone containing beverages. It is used to convert acetic acid to powder. It also increases the solubility of mustard sauce. The main objective of this work was to isolate CGTase producing Bacillus sp. from soil and standardization of its production conditions. 2. Materials and methods 2.1 Isolation of CGTase producing organisms 1 g of soil sample was suspended in 50 ml of sterile water and plated on a medium containing soluble starch 2%, peptone 0.5%, yeast extract 0.5%, K 2 HPO 4 0.1%, MgSO 4 .7H 2 O 0.02%, Na 2 CO 3 1%, phenolphthalein 0.03%, methyl orange 0.01% and agar 2% and incubated at 37°C. CGTase positive colonies were identified by a clearing zone around them in the phenolphthalein containing media. Colony with a higher zone diameter was selected as an efficient strain and used for further studies. 2.2 CGTase production The inoculum prepared using the isolated culture was inoculated in to production medium containing 1.5% soluble starch, 0.4% yeast extract, 0.15g of KH2PO4, MgSO4.7H2O, FeSO4.7H2O, 0.12g of 20% KCl, and 0.9% NaCl and incubated at 37°C. Samples were withdrawn at specific intervals of time and analyzed for CGTase activity. 2.3 Enzyme assay (Goel and Nene, 1995) To measure the enzyme activity cell free culture medium was centrifuged at 10000 rpm for 20 minutes at room temperature and supernatant containing cyclodextrin glycosyltransferase was collected. 5ml of the supernatant and 5ml of 1% starch solution (0.1g of soluble starch, 1ml of 0.05mM CaCl2 and pure water for a total volume of 10 ml) were mixed in a thermostatic reactor at 50°C. Samples were taken periodically from the reactors and inactivated in water at 100°C for 5 minutes. The concentration of cyclodextrin was measured by the addition of 2.5ml of 3mM phenolphthalein solution (5ml of 0.6mM Na2CO3 buffer, pH 10.5 and the volume completed with 2.5ml of distilled water in a volumetric flask) to 0.5ml of inactivated samples. The absorbance of the final solution was analyzed in spectrophotometer at 550nm. A unit of enzymatic activity was defined as the quantity of enzyme that produces one µmol of cyclodextrin per minute under standard conditions. 2.4 Standardization of optimum conditions for CGTase production Factors like carbon, nitrogen sources, microelements, temperature and pH affecting the production of CGTase were optimized by adopting the search technique by varying one factor at a time. The experiments were conducted in 500ml Erlenmeyer flasks. All the experiments were carried out in three sets with a control. The optimum temperature and pH for the CGTase production were standardized. Different carbon sources like cassava, starch, maltose and glucose were tried to increase the enzyme production. Different nitrogen sources such as ammonium salts, tryptone, urea and yeast extract was supplemented in the production media to analyze their influence on enzyme production. Effect of cation concentration on CGTase production was carried out by the addition of CaSO4, MgSO4, MnSO4, FeSO4 and ZnSO4 to the production media. 2.5 Statistical analysis The mean values and standard deviations were calculated from the data obtained from three different experiments. Analysis of variance was performed by one way ANOVA procedures followed by Tukey HSD Post Hoc tests using SPSS 11.5. Statistical differences at p < 0.05 were considered to be significant 3. Results and discussion Ten CGTase positive bacteria (BS 1-BS 10) were isolated from soil sample (Fig. 1). Among them one bacteria showing highest activity (BS 7) was selected and identified as Bacillus licheniformis. At 37°C the CGTase activity was significantly higher than 47 & 27°C during 16 to 36 h of incubation. At 47°C the CGTase activity was significantly le	ss than 37 & 27°C.		6,357	inside_word	less	remove_all	<url> http://www.ipcbee.com/vol9/20-B048.pdf </url> <text> Standardization of optimum conditions for cyclodextrin glycosyltransferase production Nallusamy Sivakumar 1 + and Shakila Banu 2 1 Department of Biology, College of Science, Sultan Qaboos University, Muscat, Sultanate of Oman 2 Department of Microbiology, J. J. College of Arts and Science, Pudukkottai, India Abstract. The cyclodextrin glucosyltransferase producing bacteria were isolated from soil. The efficient strain was isolated and identified as Bacillus licheniformis. Fermentation conditions for CGTase production by B. licheniformis were standardized. Maximum CGTase production was obtained at 37°C at pH 8. CGTase production was significantly high when the medium was supplemented with soluble starch. Glucose and cassava supplementation in the media resulted in low level of CGTase production. Yeast extract was found as the best nitrogen source. The enzyme production was inhibited by Mg 2+ , Ca 2+ , Mn 2+ , Fe 2+ and Zn 2+ . Key words: CGTase, B. licheniformis, optimum conditions, metal ions 1. Introduction The enzyme cyclodextrin glycosyl transferase (CGTase E.C 184.108.40.206) is a bacterial enzyme which converts starch into cyclic maltooligosaccharides known as cyclodextrins which are non-reducing, cyclic oligosaccharides composed of D-glucose units linked by α-1,4 glycosidic bonds. CGTase can synthesis all forms of cyclodextrins which are cyclomaltohexaose (α-CD), cyclomaltoheptaose (β-CD) and cyclomaltooctaose (γ-CD) consisting of six, seven and eight glucose molecules respectively (Illias et al., 2003). Among the three types of CDs, β-CD is more suitable for practical use. The main difference among them is the apolar cavity size and solubility in water (Allegre et al., 1994). Due to their apolar cavity they are able to form complexes with molecules and change the physico-chemical properties such as solubility and stability of guest compounds. Cyclodextrins have the ability to form inclusion complexes with organic and inorganic compounds, which have numerous applications in agricultural, food, cosmetics, chemical and pharmaceutical industries (Pszczola, 1998; Szejtli, 2004). In food industry, cyclodextrins are used for the production of low-cholesterol butter, where the cyclodextrin is used to specifically remove the cholesterol from the milk fat. They are utilized for flavour stabilization and delivery in chewing gum, flavored tea, cinnamon flavored apples, lemon and grapes fruit candies, mints and lemon flavored sugar (Pszczola, 1998). Cyclodextrin is used in fruit juice beverages to mask vitamin odor and to mask bitterness in alone containing beverages. It is used to convert acetic acid to powder. It also increases the solubility of mustard sauce. The main objective of this work was to isolate CGTase producing Bacillus sp. from soil and standardization of its production conditions. 2. Materials and methods 2.1 Isolation of CGTase producing organisms 1 g of soil sample was suspended in 50 ml of sterile water and plated on a medium containing soluble starch 2%, peptone 0.5%, yeast extract 0.5%, K 2 HPO 4 0.1%, MgSO 4 .7H 2 O 0.02%, Na 2 CO 3 1%, phenolphthalein 0.03%, methyl orange 0.01% and agar 2% and incubated at 37°C. CGTase positive colonies were identified by a clearing zone around them in the phenolphthalein containing media. Colony with a higher zone diameter was selected as an efficient strain and used for further studies. 2.2 CGTase production The inoculum prepared using the isolated culture was inoculated in to production medium containing 1.5% soluble starch, 0.4% yeast extract, 0.15g of KH2PO4, MgSO4.7H2O, FeSO4.7H2O, 0.12g of 20% KCl, and 0.9% NaCl and incubated at 37°C. Samples were withdrawn at specific intervals of time and analyzed for CGTase activity. 2.3 Enzyme assay (Goel and Nene, 1995) To measure the enzyme activity cell free culture medium was centrifuged at 10000 rpm for 20 minutes at room temperature and supernatant containing cyclodextrin glycosyltransferase was collected. 5ml of the supernatant and 5ml of 1% starch solution (0.1g of soluble starch, 1ml of 0.05mM CaCl2 and pure water for a total volume of 10 ml) were mixed in a thermostatic reactor at 50°C. Samples were taken periodically from the reactors and inactivated in water at 100°C for 5 minutes. The concentration of cyclodextrin was measured by the addition of 2.5ml of 3mM phenolphthalein solution (5ml of 0.6mM Na2CO3 buffer, pH 10.5 and the volume completed with 2.5ml of distilled water in a volumetric flask) to 0.5ml of inactivated samples. The absorbance of the final solution was analyzed in spectrophotometer at 550nm. A unit of enzymatic activity was defined as the quantity of enzyme that produces one µmol of cyclodextrin per minute under standard conditions. 2.4 Standardization of optimum conditions for CGTase production Factors like carbon, nitrogen sources, microelements, temperature and pH affecting the production of CGTase were optimized by adopting the search technique by varying one factor at a time. The experiments were conducted in 500ml Erlenmeyer flasks. All the experiments were carried out in three sets with a control. The optimum temperature and pH for the CGTase production were standardized. Different carbon sources like cassava, starch, maltose and glucose were tried to increase the enzyme production. Different nitrogen sources such as ammonium salts, tryptone, urea and yeast extract was supplemented in the production media to analyze their influence on enzyme production. Effect of cation concentration on CGTase production was carried out by the addition of CaSO4, MgSO4, MnSO4, FeSO4 and ZnSO4 to the production media. 2.5 Statistical analysis The mean values and standard deviations were calculated from the data obtained from three different experiments. Analysis of variance was performed by one way ANOVA procedures followed by Tukey HSD Post Hoc tests using SPSS 11.5. Statistical differences at p < 0.05 were considered to be significant 3. Results and discussion Ten CGTase positive bacteria (BS 1-BS 10) were isolated from soil sample (Fig. 1). Among them one bacteria showing highest activity (BS 7) was selected and identified as Bacillus licheniformis. At 37°C the CGTase activity was significantly higher than 47 & 27°C during 16 to 36 h of incubation. At 47°C the CGTase activity was significantly le<cursor_is_here> </text>	[ { "content": "<url>\nhttp://www.ipcbee.com/vol9/20-B048.pdf\n</url>\n<text>\nStandardization of optimum conditions for cyclodextrin glycosyltransferase production\n\nNallusamy Sivakumar 1 + and Shakila Banu 2\n\n1 Department of Biology, College of Science, Sultan Qaboos University, Muscat, Sultanate of Oman 2 Department of Microbiology, J. J. College of Arts and Science, Pudukkottai, India\n\nAbstract. The cyclodextrin glucosyltransferase producing bacteria were isolated from soil. The efficient strain was isolated and identified as Bacillus licheniformis. Fermentation conditions for CGTase production by B. licheniformis were standardized. Maximum CGTase production was obtained at 37°C at pH 8. CGTase production was significantly high when the medium was supplemented with soluble starch. Glucose and cassava supplementation in the media resulted in low level of CGTase production. Yeast extract was found as the best nitrogen source. The enzyme production was inhibited by Mg 2+ , Ca 2+ , Mn 2+ , Fe 2+ and Zn 2+ .\n\nKey words: CGTase, B. licheniformis, optimum conditions, metal ions\n\n1. Introduction\n\nThe enzyme cyclodextrin glycosyl transferase (CGTase E.C 184.108.40.206) is a bacterial enzyme which converts starch into cyclic maltooligosaccharides known as cyclodextrins which are non-reducing, cyclic oligosaccharides composed of D-glucose units linked by α-1,4 glycosidic bonds. CGTase can synthesis all forms of cyclodextrins which are cyclomaltohexaose (α-CD), cyclomaltoheptaose (β-CD) and cyclomaltooctaose (γ-CD) consisting of six, seven and eight glucose molecules respectively (Illias et al., 2003). Among the three types of CDs, β-CD is more suitable for practical use. The main difference among them is the apolar cavity size and solubility in water (Allegre et al., 1994). Due to their apolar cavity they are able to form complexes with molecules and change the physico-chemical properties such as solubility and stability of guest compounds. Cyclodextrins have the ability to form inclusion complexes with organic and inorganic compounds, which have numerous applications in agricultural, food, cosmetics, chemical and pharmaceutical industries (Pszczola, 1998; Szejtli, 2004).\n\nIn food industry, cyclodextrins are used for the production of low-cholesterol butter, where the cyclodextrin is used to specifically remove the cholesterol from the milk fat. They are utilized for flavour stabilization and delivery in chewing gum, flavored tea, cinnamon flavored apples, lemon and grapes fruit candies, mints and lemon flavored sugar (Pszczola, 1998). Cyclodextrin is used in fruit juice beverages to mask vitamin odor and to mask bitterness in alone containing beverages. It is used to convert acetic acid to powder. It also increases the solubility of mustard sauce. The main objective of this work was to isolate CGTase producing Bacillus sp. from soil and standardization of its production conditions.\n\n2. Materials and methods\n\n2.1 Isolation of CGTase producing organisms\n\n1 g of soil sample was suspended in 50 ml of sterile water and plated on a medium containing soluble starch 2%, peptone 0.5%, yeast extract 0.5%, K 2 HPO 4 0.1%, MgSO 4 .7H 2 O 0.02%, Na 2 CO 3 1%, phenolphthalein 0.03%,\n\nmethyl orange 0.01% and agar 2% and incubated at 37°C. CGTase positive colonies were identified by a clearing zone around them in the phenolphthalein containing media. Colony with a higher zone diameter was selected as an efficient strain and used for further studies.\n\n2.2 CGTase production\n\nThe inoculum prepared using the isolated culture was inoculated in to production medium containing 1.5% soluble starch, 0.4% yeast extract, 0.15g of KH2PO4, MgSO4.7H2O, FeSO4.7H2O, 0.12g of 20% KCl, and 0.9% NaCl and incubated at 37°C. Samples were withdrawn at specific intervals of time and analyzed for CGTase activity.\n\n2.3 Enzyme assay (Goel and Nene, 1995)\n\nTo measure the enzyme activity cell free culture medium was centrifuged at 10000 rpm for 20 minutes at room temperature and supernatant containing cyclodextrin glycosyltransferase was collected. 5ml of the supernatant and 5ml of 1% starch solution (0.1g of soluble starch, 1ml of 0.05mM CaCl2 and pure water for a total volume of 10 ml) were mixed in a thermostatic reactor at 50°C. Samples were taken periodically from the reactors and inactivated in water at 100°C for 5 minutes. The concentration of cyclodextrin was measured by the addition of 2.5ml of 3mM phenolphthalein solution (5ml of 0.6mM Na2CO3 buffer, pH 10.5 and the volume completed with 2.5ml of distilled water in a volumetric flask) to 0.5ml of inactivated samples. The absorbance of the final solution was analyzed in spectrophotometer at 550nm. A unit of enzymatic activity was defined as the quantity of enzyme that produces one µmol of cyclodextrin per minute under standard conditions.\n\n2.4 Standardization of optimum conditions for CGTase production\n\nFactors like carbon, nitrogen sources, microelements, temperature and pH affecting the production of CGTase were optimized by adopting the search technique by varying one factor at a time. The experiments were conducted in 500ml Erlenmeyer flasks. All the experiments were carried out in three sets with a control.\n\nThe optimum temperature and pH for the CGTase production were standardized. Different carbon sources like cassava, starch, maltose and glucose were tried to increase the enzyme production. Different nitrogen sources such as ammonium salts, tryptone, urea and yeast extract was supplemented in the production media to analyze their influence on enzyme production. Effect of cation concentration on CGTase production was carried out by the addition of CaSO4, MgSO4, MnSO4, FeSO4 and ZnSO4 to the production media.\n\n2.5 Statistical analysis\n\nThe mean values and standard deviations were calculated from the data obtained from three different experiments. Analysis of variance was performed by one way ANOVA procedures followed by Tukey HSD Post Hoc tests using SPSS 11.5. Statistical differences at p < 0.05 were considered to be significant\n\n3. Results and discussion\n\nTen CGTase positive bacteria (BS 1-BS 10) were isolated from soil sample (Fig. 1). Among them one bacteria showing highest activity (BS 7) was selected and identified as Bacillus licheniformis.\n\nAt 37°C the CGTase activity was significantly higher than 47 & 27°C during 16 to 36 h of incubation. At 47°C the CGTase activity was significantly le<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "ss than 37 & 27°C.", "role": "assistant" } ]
VOX CEPR Policy Portal Research-based policy analysis and commentary from leading economists Columns Video Vox VoxTalks Publications Blogs&Reviews People Debates By Topic By Date By Reads By Tag To adjust or not to adjust: The optimal inflation target in the face of a lower r-star Philippe Andrade, Jordi Galí, Hervé Le Bihan, Julien Matheron 01 October 2019 How to adjust to structurally lower real natural rates of interest is a challenging but inescapable issue for central bankers. Using simulation and US data, this column studies how changes in the steady-state natural interest rate affect the optimal inﬂation target. It finds that starting from pre-crisis values, a 1 percentage point decline in the natural rate should be accommodated by an increase in the optimal inﬂation target of about 0.9 to 1 percentage point. It also discusses alternatives to adjusting the target, such as non-conventional monetary policies. 4 A The Federal Reserve is currently in the process of reviewing "the strategies, tools, and communication practices it uses to pursue its congressionallyassigned mandate of maximum employment and price stability". 1 A review of strategy is also conducted every five years in Canada. The euro area had its last review as far back as 2003, but President Draghi just hinted that a new review will be conducted under his successor's tenure. Related In many central banks, a salient feature of the strategy is the reference to an explicit long-run inflation target which defines price stability. For instance, on January Optimal inflation and the identification of the Phillips curve Michael McLeay, Silvana Tenreyro Price-level targeting to escape the zero lower bound Seppo Honkapohja, Kaushik Mitra How firm productivity impacts the optimal inflation rate Klaus Adam, Henning Weber Animal spirits and the optimal level of the inflation target Paul De Grauwe, Yuemei Ji 2012, the Federal Open Market Committee (FOMC) stated that an "inflation at the rate of 2% as measured by the annual change in the price index for personal consumption expenditure is most consistent over the longer run with the Federal Reserve's statutory mandate." 2 There are several reasons for having a positive inflation target, including the tendency of price indices to overstate inflation, downward nominal wage rigidities, and the probability of hitting the zero lower bound constraint on nominal interest rates. 3 These structural features may vary over time. It therefore makes sense for central banks to review their inflation target periodically. 4 Low interest rates and more frequent zero lower bound episodes: A new normal? A recent literature suggests that the average natural real rate of interest (commonly known as r), which is a key structural factor underlying the optimal choice of an inflation target, has experienced a significant decline in advanced economies (e.g. Laubach and Williams 2016, Holston et al. 2017, Del Negro et al. 2018). This is likely a result of several forces at work – a lower trend growth rate of productivity (Gordon 2015), demographic factors (Eggertsson et al. 2017), and an enhanced preference for safe assets (Summers 2014, Caballero and Farhi 2015). Other things equal, a lower r should lead to structurally lower nominal interest rates and, hence, more frequent episodes at the zero lower bound hampering the ability of monetary policy to stabilise the economy, and bringing about more frequent (and potentially protracted) episodes of recessions and below-target inflation (e.g. Kiley and Roberts 2017). The strikingly low level of nominal interest rates in economies which have already exited the trap gives some support to this lower r* story. As an illustration, almost four years after its initial lift-off from the zero lower bound, the effective Fed Fund rate peaked at a mere 2.4% in 2019. This is about 275 basis points (bps) below its previous peak in 2006-07. 5 Looking ahead, FOMC members report a median long-term Fed Funds rate estimate of 2.5% in the September 2019 Survey of Economic Projections, about 160 bps below its pre-crisis average. 6 It is thus not surprising that the evidence of a lower r* is a key motivation for the Fed's current strategy review (Clarida 2019). https://voxeu.org/article/optimal-inflation-target-face-lower-r-star Create account\| Login Search Events About Philippe Andrade Senior Economist in the Research Department, Federal Reserve Bank of Boston Jordi Galí Snior Researcher, CREI, Professor, Universitat Pompeu Fabra; research Professor, Barcelona GSE; Research Fellow, CEPR Hervé Le Bihan Deputy Director of Monetary and Financial Studies Directorate, Banque de France Julien Matheron Senior Research Advisor, Banque de France Don't Miss Banking, FinTech, Big Tech: Emerging challenges for financial policymakers Petralia, Philippon, Rice, Véron Challenges in the digital age Labhard, McAdam, Petroulakis, Vivian The parliamentary Brexit endgame Tyson Events Valuation in Derivative Markets \| Subscribe Several prominent scholars have argued in favour of raising the long-run inflation target in the face of a lower r* (e.g. Blanchard et al. 2010, Ball 2014, Williams 2016). In so doing, central banks would tend to increase the average nominal interest rate and, everything else being constant, would buy a larger buffer against the zero lower bound constraint and its associated welfare costs. However, this policy option is controversial as a higher average inflation also induces some permanent welfare losses due to costly price adjustment and distorted relative prices (e.g. Bernanke 2016). Is it worth raising the inflation target? In a recent paper (Andrade et al. 2019b), we quantify this trade-off using an estimated mediumscale New Keynesian dynamic stochastic general equilibrium (DSGE) model. Our analysis suggests that, at the margin, the costs of an upward adjustment in the inflation target in response to a lower r* are more than compensated by the benefits from a lower incidence of zero lower bound episodes. Our conclusions are based on extensive simulations of a model estimated using US data over a Great Moderation sample. 7 The framework features: (i) price stickiness, and partial indexation of prices to non-zero trend inflation, (ii) wage stickiness, and partial indexation of wages to both inflation and technical progress, and (iii) a zero lower bound constraint on the nominal interest rate. The first two features imply the presence of potentially substantial costs associated with non-zero inflation. The third feature warrants a strictly positive inflation rate, in order to mitigate the incidence and adverse effects of the zero lower bound. Simulating the model, we compute the optimal inflation target (π) for various steady-state real interest rates (r) keeping other parameters unchanged. 8 The latter may vary because of either a change in productivity growth (the secular stagnation hypothesis) or a change in the discount rate (the demographics or safe assets hypotheses). Figure 1 presents the resulting (r, π) relation. Notes: Figure 1 depicts the (r, π) relations for the US economy. The blue dots correspond to the case when the real steady-state interest rate r* varies with productivity growth (µ_z). The red dots correspond to the case when the real steady-state interest rate r* varies with the discount rate (ρ). The dashed grey lines indicate the estimated benchmark pre-crisis optimal inflation targets. The relation is decreasing – as r* increases, the probability of hitting the zero lower bound becomes smaller and smaller, and this calls for a lower π. For large, and empirically irrelevant values of r (say above 6%), the zero lower bound probability approaches zero and π* becomes even slightly negative for reasons related to productivity growth that we detail in our paper. For such large values of r, the relation is in addition flat. By contrast, when r is low and the probability of the zero lower bound significant, increasing π* to compensate for a drop in r* and more frequent zero lower bound episodes becomes desirable. By how much? https://voxeu.org/article/optimal-inflation-target-face-lower-r-star 9 - 11 October 2019 / Florence, Italy / Florence School of Banking and Finance, European University Institute Prudential Risks and Policies in the European Insurance Sector 17 - 18 October 2019 / Florence, Italy / Florence School of Banking and Finance, European University Institute Second conference on Gender and career progression 21 - 21 October 2019 / Frankfurt am Main / The Bank of England, the Board of Governors of the Federal Reserve System and the European Central Bank Climate Change Risks Hidden Within Financial Institutions' Balance Sheets 28 - 30 October 2019 / Florence, Italy / Florence School of Banking and Finance, European University Institute Own Funds, MREL and TLAC 4 - 6 November 2019 / Florence, Italy / Florence School of Banking and Finance, European University Institute CEPR Policy Research Discussion Papers Insights Homeownership of immigrants in France: selection effects related to international migration flows Gobillon, Solignac Climate Change and LongRun Discount Rates: Evidence from Real Estate Giglio, Maggiori, Stroebel, Weber The Permanent Effects of Fiscal Consolidations Summers, Fatás Demographics and the Secular Stagnation Hypothesis in Europe Favero, Galasso QE and the Bank Lending Channel in the United Kingdom Butt, Churm, McMahon, Morotz, Schanz Subscribe @VoxEU RSS Feeds Weekly Digest Our results suggest that the Fed should consider raising its inflation target in response to a lower r. But can we be more specific? Suppose, for example, that the US experienced a permanent drop of 100 basis points in r compared to its pre-crisis level. 9 By how much should the Fed adjust its target? According to our simulations, it should increase its long-term inflation goal by 90 to 100 basis points – that is, almost one-for-one. As detailed in our paper, the adjustment of π* in response to a drop in r* from its pre-crisis level does not depend on the cause (productivity, demography or safe assets) underlying the structural decline in r. It also remains close to one-for-one under alternative values of key parameters driving the costs of inflation and the incidence of the zero lower bound (such as the degree of indexation, the elasticity across varieties, or the variance of the shocks). It also holds when considering a central bank that is uncertain about the parameters describing the economy, in particular the exact value of the steady state real interest rate. Beyond specific parameter values, one may also question the assumptions underlying our model and their implications for the trade-off between the costs of inflation and those of the zero lower bound. Figure 1 illustrates that, for the pre-crisis value of the steady state real interest rate, our quantitative model delivers an optimal inflation target of 2.2% – very close to the current 2% target. The quantification of the inflation-zero lower bound trade-off implied by our model does not seem to be much different from the one that led the Fed (and other central banks) to choose a 2% target. Alternatives to adjusting the target What would happen in the absence of an upward adjustment in the inflation target? According to our estimates, the probability of hitting the zero lower bound would nearly double in the US (from 5.5 to 11%). In our model, this is quite costly because short-term interest rates – both current and expected – are the only policy instrument available to stabilise the economy. But more frequent zero lower bound episodes may be much less of an issue in reality. Indeed, there is evidence that despite the zero lower bound constraint, central banks in advanced economies managed to stabilise – at least partially – the economy (e.g. Chung et al 2019, Debortoli et al. 2019, or Eberly et al. 2019). Non-conventional monetary policies such as forward guidance and large-scale asset purchase programs have helped overcome the constraint on their conventional instrument. In addition, stabilising fiscal expansions – with potentially larger multiplier at the zero lower bound – took over constrained monetary authorities. In a way, every major central bank already adjusted to the post-crisis world by making clear that they would rely on these unconventional instruments should they need them in the future. However, there are limits and risks attached to these alternative policies, especially if they have to be implemented frequently. Risks to financial stability may arise if interest rates are kept at very low levels for long. There are also limits on the assets eligible for central bank purchase programmes and/or risks of potential large losses incurred by a central bank in the case of recurrent large asset purchases – with their associated risks to central bank credibility and independence. And risks to public debt sustainability if too frequent fiscal expansions are needed. In sum, no matter how effective these alternative policies were over the last decade, it is unclear that they will provide enough room for manoeuvre to prevent a new long lasting zero lower bound episode when the next recession hits. An alternative policy would be to change the central bank reaction function and to adopt strategies through which the monetary authority commits to making up for the inflation foregone during the zero lower bound episode. Simulations reported in our paper illustrate that indeed rules with a strong 'making-up' component – such as price level targeting – would significantly reduce the need to increase the inflation target in response to a drop in r from its pre-crisis level. The optimal inflation target could actually be lower than 2% under such rules. However, this adjustment of the monetary policy strategy would require that the monetary authority convince the private sector of its willingness to significantly and persistently overshoot its inflation target for (potentially) protracted periods. Andrade et al. (2019a) show that such announcements are often not credible, which undermines the effectiveness of such strategies. In sum, how to adjust to structurally lower real natural rates of interest is a challenging but inescapable issue for central bankers. To address that question, they would ideally need a ranking of all the policy options discussed above. This goes beyond what our work can provide. That caveat notwithstanding, our results stress that raising the inflation target is an option that should be part of the menu of policies that monetary authorities consider. They also highlight the costs of lowering the https://voxeu.org/article/optimal-inflation-target-face-lower-r-star inflation target while keeping the reaction function unchanged as is sometimes advocated instead.10 Disclaimer: The views expressed here are those of the authors and do not necessarily represent those of the institutions with which they are affiliated. References Andrade, P, G Gaballo, E Mengus and B Mojon (2019a), "Forward guidance and heterogenous beliefs", American Economic Journal: Macroeconomics 11(3): 1-29. Andrade, P, J Galí, H Le Bihan and J Matheron (2019b), "The optimal inflation target and the natural rate of Interest", Brookings Papers on Economic Activity, Fall. Andrade, P, H Le Bihan and J Matheron (2017), "What would be wrong with lowering the inflation target?", Banque de France Eco Notepad, 19 December. Ball, L M (2014), "The case for a long-run inflation target of four percent", IMF working paper 14/92. Blanchard, O, G Dell'Ariccia and P Mauro (2010), "Rethinking macroeconomic policy", Journal of Money, Credit and Banking 42: 199-215. Caballero, R and E Farhi (2015), "The safety trap," Review of Economic Studies 85(1): 223-274. Chung, H, E Gagnon, T Nakata, M Paustian, B Schlusche, J Trevino, D Vilan and W Zheng (2019), "Monetary policy options at the effective lower bound : Assessing the Federal Reserve's current policy toolkit", Finance and Economics discussion series 2019-003, Board of Governors of the Federal Reserve System. Clarida, R H (2019), "The Federal Reserve's review of its monetary policy: Strategy, tools, and communication practices", speech at the 2019 US Monetary Policy Forum, sponsored by the Initiative on Global Markets at the University of Chicago Booth School of Business, New York. Coibion, O, Y Gorodnichenko and J Wieland (2012), "The optimal inflation rate in new Keynesian models: Should central banks raise their inflation targets in light of the zero lower bound?", Review of Economic Studies 79(4): 1371-1406. Coenen, G (2003), "Zero lower bound: Is it a problem in the Euro area?", working paper series 269, European Central Bank. Debortoli, D, J Galí and L Gambetti (2019), "On the empirical (ir)relevance of the zero lower bound constraint", NBER Macroeconomics Annuals, vol. 34. Del Negro, M, D Giannone, M P Giannoni and A Tambalotti (2018), "Global trends in interest rates", NBER working paper 25039. Eberly, J C, J H Stock and J H Wright (2019), "The Federal Reserve's current framework for monetary policy: A review and assessment", NBER working paper 26002. Eggertsson, G B, N R Mehrotra and J A Robbins (2017), "A model of secular stagnation: Theory and quantitative evaluation", American Economic Journal: Macroeconomics 11(1): 1-48. Fuhrer, J C, G Olivei, E S Rosengren and G Tootell (2018), "Should the Fed regularly evaluate its monetary policy framework?", Brookings Papers on Economic Activity, Fall. Gordon, R J (2015), "Secular stagnation: A supply-side view", American Economic Review 105(5): 54-59. Holston, K, T Laubach and J C Williams (2017), "Measuring the natural rate of interest: International trends and determinants", Journal of International Economics 108: 59-75. Kiley, M T and J M Roberts (2017), "Monetary policy in a low interest world", Brookings Papers on Economic Activity, Spring. Schmitt-Grohe, S and M Uribe (2010), "The optimal rate of inflation", in Friedman, B M and M Woodford (eds), Handbook of Monetary Economics, Ch.13, 653-722, Amsterdam: Elsevier. Summers, L (2014), "US economic prospects: Secular stagnation, hysteresis, and the zero lower bound", Business Economics 49: 65-73. Williams, J C (2016), "Monetary policy in a low r-star world," Federal Reserve Bank of San Francisco Economic Letter, 15 August. https://voxeu.org/article/optimal-inflation-target-face-lower-r-star Endnotes [1] See https://www.federalreserve.gov/newsevents/pressreleases/monetary20181115a.htm. [2] See https://www.federalreserve.gov/newsevents/pressreleases/monetary20120125c.htm. [3] Or the 'effective lower bound', since there are some jurisdictions that have adopted slightly negative interest rates. [4] Furher et al. (2018) recently make the case for regular reviews. [5] For instance, the average of monthly Fed fund rates is 4.13% over the July 1993-July 2007, a period that includes two interest rates cycles. [6] Comparable figures are obtained in private sector forecasts. The median Fed fund rate long-term forecast was 2.8% in the May Blue Chip Financial Forecasts Survey, or 2.5% in the July NY Fed Survey of Primary Dealers. [7] Our setup is close to the one of Coibion et al. (2012). [8] We assume the central bank maximises the welfare of a representative household. [9] This is a relatively conservative scenario compared to estimates provided in recent work. [10] Andrade et al. (2017) discuss in more details why lowering the inflation target would be a bad idea at the current juncture. 4 A A Topics: Financial regulation and banking Macroeconomic policy Monetary policy Tags: natural rate of interest, Central Banks, zero lower bound, inflation, inflation target Related Optimal inflation and the identification of the Phillips curve Michael McLeay, Silvana Tenreyro Price-level targeting to escape the zero lower bound Seppo Honkapohja, Kaushik Mitra How firm productivity impacts the optimal inflation rate Klaus Adam, Henning Weber Animal spirits and the optimal level of the inflation target Paul De Grauwe, Yuemei Ji Printer-friendly version https://voxeu.org/article/optimal-inflation-target-face-lower-r-star	<urn:uuid:e6afde90-7193-4697-8cb5-31c42af2f294>	CC-MAIN-2021-04	https://crei.cat/wp-content/uploads/2016/07/The-optimal-inflation-target-in-the-face-of-a-lower-r-star-_-VOX-CEPR-Policy-Portal.pdf	2021-01-22T00:31:20+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-04/subset=warc/part-00004-364a895c-5e5c-46bb-846e-75ec7de82b3b.c000.gz.parquet	282,563,836	4,501	eng_Latn	eng_Latn	0.978769	eng_Latn	0.993455	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 5045, 9599, 14855, 18580, 20335 ]	VOX CEPR Policy Portal Research-based policy analysis and commentary from leading economists Columns Video Vox VoxTalks Publications Blogs&Reviews People Debates By Topic By Date By Reads By Tag To adjust or not to adjust: The optimal inflation target in the face of a lower r-star Philippe Andrade, Jordi Galí, Hervé Le Bihan, Julien Matheron 01 October 2019 How to adjust to structurally lower real natural rates of interest is a challenging but inescapable issue for central bankers. Using simulation and US data, this column studies how changes in the steady-state natural interest rate affect the optimal inﬂation target. It finds that starting from pre-crisis values, a 1 percentage point decline in the natural rate should be accommodated by an increase in the optimal inﬂation target of about 0.9 to 1 percentage point. It also discusses alternatives to adjusting the target, such as non-conventional monetary policies. 4 A The Federal Reserve is currently in the process of reviewing "the strategies, tools, and communication practices it uses to pursue its congressionallyassigned mandate of maximum employment and price stability". 1 A review of strategy is also conducted every five years in Canada. The euro area had its last review as far back as 2003, but President Draghi just hinted that a new review will be conducted under his successor's tenure. Related In many central banks, a salient feature of the strategy is the reference to an explicit long-run inflation target which defines price stability. For instance, on January Optimal inflation and the identification of the Phillips curve Michael McLeay, Silvana Tenreyro Price-level targeting to escape the zero lower bound Seppo Honkapohja, Kaushik Mitra How firm productivity impacts the optimal inflation rate Klaus Adam, Henning Weber Animal spirits and the optimal level of the inflation target Paul De Grauwe, Yuemei Ji 2012, the Federal Open Market Committee (FOMC) stated that an "inflation at the rate of 2% as measured by the annual change in the price index for personal consumption expenditure is most consistent over the longer run with the Federal Reserve's statutory mandate." 2 There are several reasons for having a positive inflation target, including the tendency of price indices to overstate inflation, downward nominal wage rigidities, and the probability of hitting the zero lower bound constraint on nominal interest rates. 3 These structural features may vary over time. It therefore makes sense for central banks to review their inflation target periodically. 4 Low interest rates and more frequent zero lower bound episodes: A new normal? A recent literature suggests that the average natural real rate of interest (commonly known as r), which is a key structural factor underlying the optimal choice of an inflation target, has experienced a significant decline in advanced economies (e.g. Laubach and Williams 2016, Holston et al. 2017, Del Negro et al. 2018). This is likely a result of several forces at work – a lower trend growth rate of productivity (Gordon 2015), demographic factors (Eggertsson et al. 2017), and an enhanced preference for safe assets (Summers 2014, Caballero and Farhi 2015). Other things equal, a lower r should lead to structurally lower nominal interest rates and, hence, more frequent episodes at the zero lower bound hampering the ability of monetary policy to stabilise the economy, and bringing about more frequent (and potentially protracted) episodes of recessions and below-target inflation (e.g. Kiley and Roberts 2017). The strikingly low level of nominal interest rates in economies which have already exited the trap gives some support to this lower r* story. As an illustration, almost four years after its initial lift-off from the zero lower bound, the effective Fed Fund rate peaked at a mere 2.4% in 2019. This is about 275 basis points (bps) below its previous peak in 2006-07. 5 Looking ahead, FOMC members report a median long-term Fed Funds rate estimate of 2.5% in the September 2019 Survey of Economic Projections, about 160 bps below its pre-crisis average. 6 It is thus not surprising that the evidence of a lower r* is a key motivation for the Fed's current strategy review (Clarida 2019). https://voxeu.org/article/optimal-inflation-target-face-lower-r-star Create account\| Login Search Events About Philippe Andrade Senior Economist in the Research Department, Federal Reserve Bank of Boston Jordi Galí Snior Researcher, CREI, Professor, Universitat Pompeu Fabra; research Professor, Barcelona GSE; Research Fellow, CEPR Hervé Le Bihan Deputy Director of Monetary and Financial Studies Directorate, Banque de France Julien Matheron Senior Research Advisor, Banque de France Don't Miss Banking, FinTech, Big Tech: Emerging challenges for financial policymakers Petralia, Philippon, Rice, Véron Challenges in the digital age Labhard, McAdam, Petroulakis, Vivian The parliamentary Brexit endgame Tyson Events Valuation in Derivative Markets \| Subscribe Several prominent scholars have argued in favour of raising the long-run inflation target in the face of a lower r* (e.g. Blanchard et al. 2010, Ball 2014, Williams 2016). In so doing, central banks would tend to increase the average nominal interest rate and, everything else being constant, would buy a larger buffer against the zero lower bound constraint and its associated welfare costs. However, this policy option is controversial as a higher average inflation also induces some permanent welfare losses due to costly price adjustment and distorted relative prices (e.g. Bernanke 2016). Is it worth raising the inflation target? In a recent paper (Andrade et al. 2019b), we quantify this trade-off using an estimated mediumscale New Keynesian dynamic stochastic general equilibrium (DSGE) model. Our analysis suggests that, at the margin, the costs of an upward adjustment in the inflation target in response to a lower r* are more than compensated by the benefits from a lower incidence of zero lower bound episodes. Our conclusions are based on extensive simulations of a model estimated using US data over a Great Moderation sample. 7 The framework features: (i) price stickiness, and partial indexation of prices to non-zero trend inflation, (ii) wage stickiness, and partial indexation of wages to both inflation and technical progress, and (iii) a zero lower bound constraint on the nominal interest rate. The first two features imply the presence of potentially substantial costs associated with non-zero inflation. The third feature warrants a strictly positive inflation rate, in order to mitigate the incidence and adverse effects of the zero lower bound. Simulating the model, we compute the optimal inflation target (π) for various steady-state real interest rates (r) keeping other parameters unchanged. 8 The latter may vary because of either a change in productivity growth (the secular stagnation hypothesis) or a change in the discount rate (the demographics or safe assets hypotheses). Figure 1 presents the resulting (r, π) relation. Notes: Figure 1 depicts the (r, π) relations for the US economy. The blue dots correspond to the case when the real steady-state interest rate r* varies with productivity growth (µ_z). The red dots correspond to the case when the real steady-state interest rate r* varies with the discount rate (ρ). The dashed grey lines indicate the estimated benchmark pre-crisis optimal inflation targets. The relation is decreasing – as r* increases, the probability of hitting the zero lower bound becomes smaller and smaller, and this calls for a lower π. For large, and empirically irrelevant values of r (say above 6%), the zero lower bound probability approaches zero and π* becomes even slightly negative for reasons related to productivity growth that we detail in our paper. For such large valu	es of r*, the relation is in addition flat.		7,911	inside_word	values	remove_all	<url> https://crei.cat/wp-content/uploads/2016/07/The-optimal-inflation-target-in-the-face-of-a-lower-r-star-_-VOX-CEPR-Policy-Portal.pdf </url> <text> VOX CEPR Policy Portal Research-based policy analysis and commentary from leading economists Columns Video Vox VoxTalks Publications Blogs&Reviews People Debates By Topic By Date By Reads By Tag To adjust or not to adjust: The optimal inflation target in the face of a lower r-star Philippe Andrade, Jordi Galí, Hervé Le Bihan, Julien Matheron 01 October 2019 How to adjust to structurally lower real natural rates of interest is a challenging but inescapable issue for central bankers. Using simulation and US data, this column studies how changes in the steady-state natural interest rate affect the optimal inﬂation target. It finds that starting from pre-crisis values, a 1 percentage point decline in the natural rate should be accommodated by an increase in the optimal inﬂation target of about 0.9 to 1 percentage point. It also discusses alternatives to adjusting the target, such as non-conventional monetary policies. 4 A The Federal Reserve is currently in the process of reviewing "the strategies, tools, and communication practices it uses to pursue its congressionallyassigned mandate of maximum employment and price stability". 1 A review of strategy is also conducted every five years in Canada. The euro area had its last review as far back as 2003, but President Draghi just hinted that a new review will be conducted under his successor's tenure. Related In many central banks, a salient feature of the strategy is the reference to an explicit long-run inflation target which defines price stability. For instance, on January Optimal inflation and the identification of the Phillips curve Michael McLeay, Silvana Tenreyro Price-level targeting to escape the zero lower bound Seppo Honkapohja, Kaushik Mitra How firm productivity impacts the optimal inflation rate Klaus Adam, Henning Weber Animal spirits and the optimal level of the inflation target Paul De Grauwe, Yuemei Ji 2012, the Federal Open Market Committee (FOMC) stated that an "inflation at the rate of 2% as measured by the annual change in the price index for personal consumption expenditure is most consistent over the longer run with the Federal Reserve's statutory mandate." 2 There are several reasons for having a positive inflation target, including the tendency of price indices to overstate inflation, downward nominal wage rigidities, and the probability of hitting the zero lower bound constraint on nominal interest rates. 3 These structural features may vary over time. It therefore makes sense for central banks to review their inflation target periodically. 4 Low interest rates and more frequent zero lower bound episodes: A new normal? A recent literature suggests that the average natural real rate of interest (commonly known as r), which is a key structural factor underlying the optimal choice of an inflation target, has experienced a significant decline in advanced economies (e.g. Laubach and Williams 2016, Holston et al. 2017, Del Negro et al. 2018). This is likely a result of several forces at work – a lower trend growth rate of productivity (Gordon 2015), demographic factors (Eggertsson et al. 2017), and an enhanced preference for safe assets (Summers 2014, Caballero and Farhi 2015). Other things equal, a lower r should lead to structurally lower nominal interest rates and, hence, more frequent episodes at the zero lower bound hampering the ability of monetary policy to stabilise the economy, and bringing about more frequent (and potentially protracted) episodes of recessions and below-target inflation (e.g. Kiley and Roberts 2017). The strikingly low level of nominal interest rates in economies which have already exited the trap gives some support to this lower r* story. As an illustration, almost four years after its initial lift-off from the zero lower bound, the effective Fed Fund rate peaked at a mere 2.4% in 2019. This is about 275 basis points (bps) below its previous peak in 2006-07. 5 Looking ahead, FOMC members report a median long-term Fed Funds rate estimate of 2.5% in the September 2019 Survey of Economic Projections, about 160 bps below its pre-crisis average. 6 It is thus not surprising that the evidence of a lower r* is a key motivation for the Fed's current strategy review (Clarida 2019). https://voxeu.org/article/optimal-inflation-target-face-lower-r-star Create account\| Login Search Events About Philippe Andrade Senior Economist in the Research Department, Federal Reserve Bank of Boston Jordi Galí Snior Researcher, CREI, Professor, Universitat Pompeu Fabra; research Professor, Barcelona GSE; Research Fellow, CEPR Hervé Le Bihan Deputy Director of Monetary and Financial Studies Directorate, Banque de France Julien Matheron Senior Research Advisor, Banque de France Don't Miss Banking, FinTech, Big Tech: Emerging challenges for financial policymakers Petralia, Philippon, Rice, Véron Challenges in the digital age Labhard, McAdam, Petroulakis, Vivian The parliamentary Brexit endgame Tyson Events Valuation in Derivative Markets \| Subscribe Several prominent scholars have argued in favour of raising the long-run inflation target in the face of a lower r* (e.g. Blanchard et al. 2010, Ball 2014, Williams 2016). In so doing, central banks would tend to increase the average nominal interest rate and, everything else being constant, would buy a larger buffer against the zero lower bound constraint and its associated welfare costs. However, this policy option is controversial as a higher average inflation also induces some permanent welfare losses due to costly price adjustment and distorted relative prices (e.g. Bernanke 2016). Is it worth raising the inflation target? In a recent paper (Andrade et al. 2019b), we quantify this trade-off using an estimated mediumscale New Keynesian dynamic stochastic general equilibrium (DSGE) model. Our analysis suggests that, at the margin, the costs of an upward adjustment in the inflation target in response to a lower r* are more than compensated by the benefits from a lower incidence of zero lower bound episodes. Our conclusions are based on extensive simulations of a model estimated using US data over a Great Moderation sample. 7 The framework features: (i) price stickiness, and partial indexation of prices to non-zero trend inflation, (ii) wage stickiness, and partial indexation of wages to both inflation and technical progress, and (iii) a zero lower bound constraint on the nominal interest rate. The first two features imply the presence of potentially substantial costs associated with non-zero inflation. The third feature warrants a strictly positive inflation rate, in order to mitigate the incidence and adverse effects of the zero lower bound. Simulating the model, we compute the optimal inflation target (π) for various steady-state real interest rates (r) keeping other parameters unchanged. 8 The latter may vary because of either a change in productivity growth (the secular stagnation hypothesis) or a change in the discount rate (the demographics or safe assets hypotheses). Figure 1 presents the resulting (r, π) relation. Notes: Figure 1 depicts the (r, π) relations for the US economy. The blue dots correspond to the case when the real steady-state interest rate r* varies with productivity growth (µ_z). The red dots correspond to the case when the real steady-state interest rate r* varies with the discount rate (ρ). The dashed grey lines indicate the estimated benchmark pre-crisis optimal inflation targets. The relation is decreasing – as r* increases, the probability of hitting the zero lower bound becomes smaller and smaller, and this calls for a lower π. For large, and empirically irrelevant values of r (say above 6%), the zero lower bound probability approaches zero and π* becomes even slightly negative for reasons related to productivity growth that we detail in our paper. For such large valu<cursor_is_here> </text>	[ { "content": "<url>\nhttps://crei.cat/wp-content/uploads/2016/07/The-optimal-inflation-target-in-the-face-of-a-lower-r-star-_-VOX-CEPR-Policy-Portal.pdf\n</url>\n<text>\nVOX\n\nCEPR Policy Portal\n\nResearch-based policy analysis and commentary from leading economists\n\nColumns Video Vox VoxTalks Publications Blogs&Reviews People Debates\n\nBy Topic By Date By Reads By Tag\n\nTo adjust or not to adjust: The optimal inflation target in the face of a lower r-star\n\nPhilippe Andrade, Jordi Galí, Hervé Le Bihan, Julien Matheron 01 October 2019\n\nHow to adjust to structurally lower real natural rates of interest is a challenging but inescapable issue for central bankers. Using simulation and US data, this column studies how changes in the steady-state natural interest rate affect the optimal inﬂation target. It finds that starting from pre-crisis values, a 1 percentage point decline in the natural rate should be accommodated by an increase in the optimal inﬂation target of about 0.9 to 1 percentage point. It also discusses alternatives to adjusting the target, such as non-conventional monetary policies.\n\n4\n\nA\n\nThe Federal Reserve is currently in the process of reviewing \"the strategies, tools, and communication practices it uses to pursue its congressionallyassigned mandate of maximum employment and price stability\". 1 A review of strategy is also conducted every five years in Canada. The euro area had its last review as far back as 2003, but President Draghi just hinted that a new review will be conducted under his successor's tenure.\n\nRelated\n\nIn many central banks, a salient feature of the strategy is the reference to an explicit long-run inflation target which defines price stability. For instance, on January\n\nOptimal inflation and the identification of the Phillips curve\n\nMichael McLeay, Silvana Tenreyro\n\nPrice-level targeting to escape the zero lower bound\n\nSeppo Honkapohja, Kaushik Mitra\n\nHow firm productivity impacts the optimal inflation rate Klaus Adam, Henning Weber\n\nAnimal spirits and the optimal level of the\n\ninflation target\n\nPaul De Grauwe, Yuemei Ji\n\n2012, the Federal Open Market Committee (FOMC) stated that an \"inflation at the rate of 2% as measured by the annual change in the price index for personal consumption expenditure is most consistent over the longer run with the Federal Reserve's statutory mandate.\" 2 There are several reasons for having a positive inflation target, including the tendency of price indices to overstate inflation, downward nominal wage rigidities, and the probability of hitting the zero lower bound constraint on nominal interest rates. 3 These structural features may vary over time. It therefore makes sense for central banks to review their inflation target periodically. 4\n\nLow interest rates and more frequent zero lower bound episodes: A new normal?\n\nA recent literature suggests that the average natural real rate of interest (commonly known as r), which is a key structural factor underlying the optimal choice of an inflation target, has experienced a significant decline in advanced economies (e.g. Laubach and Williams 2016, Holston et al. 2017, Del Negro et al. 2018). This is likely a result of several forces at work – a lower trend growth rate of productivity (Gordon 2015), demographic factors (Eggertsson et al. 2017), and an enhanced preference for safe assets (Summers 2014, Caballero and Farhi 2015). Other things equal, a lower r should lead to structurally lower nominal interest rates and, hence, more frequent episodes at the zero lower bound hampering the ability of monetary policy to stabilise the economy, and bringing about more frequent (and potentially protracted) episodes of recessions and below-target inflation (e.g. Kiley and Roberts 2017).\n\nThe strikingly low level of nominal interest rates in economies which have already exited the trap gives some support to this lower r* story. As an illustration, almost four years after its initial lift-off from the zero lower bound, the effective Fed Fund rate peaked at a mere 2.4% in 2019. This is about 275 basis points (bps) below its previous peak in 2006-07. 5 Looking ahead, FOMC members report a median long-term Fed Funds rate estimate of 2.5% in the September 2019 Survey of Economic Projections, about 160 bps below its pre-crisis average. 6 It is thus not surprising that the evidence of a lower r* is a key motivation for the Fed's current strategy review (Clarida 2019).\n\nhttps://voxeu.org/article/optimal-inflation-target-face-lower-r-star\n\nCreate account\| Login\n\nSearch\n\nEvents About\n\nPhilippe Andrade Senior Economist in the Research Department, Federal Reserve Bank of Boston\n\nJordi Galí Snior Researcher, CREI, Professor, Universitat Pompeu Fabra; research Professor, Barcelona GSE; Research Fellow, CEPR\n\nHervé Le Bihan Deputy Director of Monetary and Financial Studies Directorate, Banque de France Julien Matheron Senior Research Advisor, Banque de France\n\nDon't Miss\n\nBanking, FinTech, Big Tech: Emerging challenges for financial policymakers\n\nPetralia, Philippon, Rice, Véron\n\nChallenges in the digital age Labhard, McAdam, Petroulakis, Vivian\n\nThe parliamentary Brexit endgame\n\nTyson\n\nEvents\n\nValuation in Derivative Markets\n\n\| Subscribe\n\nSeveral prominent scholars have argued in favour of raising the long-run inflation target in the face of a lower r* (e.g. Blanchard et al. 2010, Ball 2014, Williams 2016). In so doing, central banks would tend to increase the average nominal interest rate and, everything else being constant, would buy a larger buffer against the zero lower bound constraint and its associated welfare costs. However, this policy option is controversial as a higher average inflation also induces some permanent welfare losses due to costly price adjustment and distorted relative prices (e.g. Bernanke 2016).\n\nIs it worth raising the inflation target?\n\nIn a recent paper (Andrade et al. 2019b), we quantify this trade-off using an estimated mediumscale New Keynesian dynamic stochastic general equilibrium (DSGE) model.\n\nOur analysis suggests that, at the margin, the costs of an upward adjustment in the inflation target in response to a lower r* are more than compensated by the benefits from a lower incidence of zero lower bound episodes. Our conclusions are based on extensive simulations of a model estimated using US data over a Great Moderation sample. 7 The framework features: (i) price stickiness, and partial indexation of prices to non-zero trend inflation, (ii) wage stickiness, and partial indexation of wages to both inflation and technical progress, and (iii) a zero lower bound constraint on the nominal interest rate. The first two features imply the presence of potentially substantial costs associated with non-zero inflation. The third feature warrants a strictly positive inflation rate, in order to mitigate the incidence and adverse effects of the zero lower bound.\n\nSimulating the model, we compute the optimal inflation target (π) for various steady-state real interest rates (r) keeping other parameters unchanged. 8 The latter may vary because of either a change in productivity growth (the secular stagnation hypothesis) or a change in the discount rate (the demographics or safe assets hypotheses). Figure 1 presents the resulting (r, π) relation.\n\nNotes: Figure 1 depicts the (r, π) relations for the US economy. The blue dots correspond to the case when the real steady-state interest rate r* varies with productivity growth (µ_z). The red dots correspond to the case when the real steady-state interest rate r* varies with the discount rate (ρ). The dashed grey lines indicate the estimated benchmark pre-crisis optimal inflation targets.\n\nThe relation is decreasing – as r* increases, the probability of hitting the zero lower bound becomes smaller and smaller, and this calls for a lower π. For large, and empirically irrelevant values of r (say above 6%), the zero lower bound probability approaches zero and π* becomes even slightly negative for reasons related to productivity growth that we detail in our paper. For such large valu<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "es of r*, the relation is in addition flat.", "role": "assistant" } ]
Girton Parish Council Susan Cumming Clerk to the Parish Council Telephone: (01223) 472181 Email: [email protected] The Pavilion Girton Recreation Ground Cambridge Road, Girton Cambridge CB3 0FH Minutes of the Meeting of Girton Parish Council held on Wednesday 16th July, 2014 at St Vincent's Close Community Centre, Girton, at 7.30 p.m. To: Councillors de Lacey, Williams, Barnes, Buckler, Bygott, Cockley, Godby, Gordon, Noble, Simpson, L Taylor, M Taylor and Whittle Residents in the parish were invited to attend this meeting and to speak at Item 14/83.1 Present: Cllrs; de Lacey (Chairman), Williams, Barnes, Cockley, Godby, Gordon, Noble, L Taylor, Whittle. PCSO Mani (until end of item 14/83.4), Mr D Whitehouse (East of England Ambulance Service) In attendance: S Cumming (Clerk), N Stone (RFO) 14/80 Welcome from the Chairman The Chairman welcomed everyone to the meeting, especially PCSO Mani and Mr Whitehouse. 14/81 Apologies and reasons for absence Apologies had been received from Cllrs Reynolds, Simpson and M Taylor, and the Chairman accepted their reasons for absence. 14/82 Members' declarations of interest for items on the agenda None. 14/83 Public Participation session on agenda items and matters of mutual interest: The following item was brought forward to allow PCSO Mani to return to his policing duties. 4. Police Report (Appendix C) PCSO Mani reported that Girton is relatively low on crime. In the last month, there has been criminal damage to a car in Wellbrook Way , a theft from a jet wash machine on the A14, and a lorry was broken into on the A14. Complaints have been received on parking issues on Cambridge Road by Girton Glebe School, by the Co-Op store on Girton Road, at the junction with Weavers Field. PCSO Mani is continuing his patrols. Cllr de Lacey suggested that it would be good to outline how the force might change over the next year for the forthcoming Annual Parish Meeting. The Chairman thanked PCSO Mani, who left the meeting at this point. 1. Members of the Public. David Whitehouse of the East of England Ambulance Service spoke about the provision of defibrillators. The budget to provide defibrillators has now run its timescale but they have been offered to Girton and Bar Hill. Milton and Waterbeach also have them. The Ambulance Service is giving free of charge defibrillators and cabinets to set up community public access defibrillators. The cabinet is stainless steel, and has a code on the latch – 999 having been dialled, the ambulance operator will decide if the defibrillator is necessary, with mapping showing where the defibrillator is. The defibrillator is very safe and easy to use – the person using it is told what to do so there is no need for training. The ambulance aims to be at the scene within 8 minutes but it depends where the vehicle is, so the defibrillator increases the chances of survival in the minutes before the ambulance can get there. Sometimes the defibrillator will re-set the heart and will analyse if the patient needs a shock or not. The batteries are guaranteed for 5 years. The batteries are guaranteed for 5 years. The 12v device only uses electricity as frost protection at an estimated cost of £3/year. The device will need mains power and it is recommended that an electrician installs a box to fit the power pack in and a switch. It will be a self-test unit and someone will need to check either weekly or fortnightly. The device has a seven-year manufacturers' guarantee and the Ambulance Service provides a support team. There have been a couple of cardiac arrests a year in Girton and the defibrillator could be a life-saver. After only a couple of months of installation, the defibrillator in Newmarket had been used. The pack containing scissors and face mask is £10, and replacement pads for the device are £25. The second person on the scene would be asked to run and fetch the defibrillator. There is a 10% per minute drop in the chance for life after a cardiac arrest. Young people playing football are often victims, but it mostly affects the elderly. The external wall of the Recreation Ground Pavilion would be a good site as it is next to the church and primary school, and near to the language school and allotments site. If the village wanted a second or third defibrillator, the cost would be £1,000 for the defibrillator and £1,000 for the cabinet. The Chairman thanked Mr Whitehouse for his informative talk and there were lots of positive comments. Mr Whitehouse is also prepared to give working demonstrations to groups etc. 2. County Councillor's Report (Appendix A) Cllr Reynolds had sent his apologies as he had two other meetings to attend. He has raised the issue of Girton's pavements and will talk to officers. Any questions arising from his report will be forwarded by the Clerk. 3. District Councillors' Reports (Appendix B). There were no questions arising from Cllr de Lacey's report. 14/84 To confirm the Minutes of the Parish Council Meeting held on Wednesday 4th June, and of the Extraordinary Parish Council Meeting held on Wednesday 18th June, 2014 (previously circulated). The Minutes of the parish council's Annual General Meeting, held on 4th June, were proposed as a true record by Cllr Gordon, seconded by Cllr Godby, and approved unanimously. The Minutes of the Extraordinary Meeting held on 18th June were proposed as a true record by Cllr Whittle, seconded by Cllr Williams and approved unanimously. The Chairman signed both sets of Minutes. 14/85 Matters arising from the Minutes (for information only) 14/79.1 The Annual Return and Annual Governance Statement have been sent to the External Auditors. Noted by the Council. 14/86 Business items requiring a decision, or consideration by the Council. 1. To accept the generous offer from the East of England Ambulance Service NHS Trust to provide a defibrillator to be located at a suitable point on the Pavilion external wall, to agree to accept the cost of fixing and maintaining the device (Appendix D) Proposed by Cllr de Lacey, and seconded by Cllr Cockley. A reserve of £40/year would be adequate for maintenance. The Health and Safety Officer could be asked to check the device, or Cllr L Taylor. Unanimously approved. Mr Whitehouse was thanked for the offer and will be contacted regarding fitting etc. Mr Whitehouse left the meeting at this point. 2. To authorise the Chairman, Vice-Chairman and Chairman of the Wellbrook Way Development Committee to negotiate with the Abbeyfield Society and bring to this council a proposal concerning the land to the north-west of the Abbeyfield building between Abbeyfield's fence and the footpath. Misinformed by the surveyor, the fence is only 1m away from residents' windows. The Council didn't own the land when the fence was put in. Cllrs de Lacey, Williams and Gordon would meet with Abbeyfield regarding the arrangements, and bring this back to the Council. Proposed by Cllr de Lacey, seconded by Cllr Godby. The land would need to be valued, and an amicable solution is sought. Cllr de Lacey agreed to circulate the plan and Cllr Gordon offered to show people round. Unanimously approved. 3. To approve the purchase of hardware and the employment of a consultant up to a maximum of £3,000 to create a network for the Parish Office which will serve files from a central server and provide secure access from home for the Clerk and Finance Officer when necessary (Appendix E) The current system is not a sensible one and it is the ideal time to do this, with the appointment of a new RFO. The consultant was recommended by Rupert Moss-Eckhart and Cllr de Lacey would be happy to get more opinions. Proposed by Cllr de Lacey, seconded by Cllr Gordon. One new computer is needed and this would be included in the £3,000. Cllr de Lacey would like to look at products other than QuickBooks. Windows XP is no longer supported by Microsoft. A virtual machine would be accessible via the computers. It offers the opportunity to update the system – Centos would be running Linux underneath and would run much faster. The upgrade is not in the budget, but could come from unallocated reserves. Cllr Barnes proposed an amendment that a budget of £3,000-£4,000 be agreed. Seconded by Cllr L Taylor. Approved with one abstention. Best value is needed. It was queried whether other councils use this system. Cllr Williams proposed that more than one quotation be received for hiring a consultant, seconded by Cllr Cockley. Cllr de Lacey agreed to try to find a second opinion – there were four votes in favour, and five against getting a second opinion. Cllr de Lacey will ask former councillor Mrs Garner for her comments. There were eight votes in favour and 1 abstention , for networking the Parish Office. 4. Girton Parish Council was surprised to learn that the area of the NW Cambridge development which lies within Girton Parish is to be named "Ridgeway Village". Contrary to claims made in the official press announcement this does not appear to have been brought to our attention in any consultation. We object to the use of the term 'village' to describe a part of our Parish which is clearly not a village in its own right. It is our understanding that this area will be a part of Girton Village and to call it otherwise will be confusing and inaccurate. We urge the University to reconsider this proposal therefore. Proposed by Cllr Williams. Calling the area a village is not correct as it is part of Girton parish. As there is no criteria for the naming of areas, councils won't intervene. Concern was expressed that parts of Girton will be lost and it was suggested that Girton could be indicated on street signs. The Council unanimously agreed to propose a name such as Girton Ridgeway and to demand that the university reconsider, and drop the epithet 'village'. 14/87 Finance and Resource Management This was Mrs Stone's last Parish Council meeting before her retirement. The Chairman thanked her for staying on and for all she has done as RFO. 1. To approve payments for the previous month. Proposed by Cllr Cockley, seconded by Cllr Barnes. Approved unanimously. 2. To approve the balance sheet. Proposed by Cllr Williams, seconded by Cllr L Taylor. Approved unanimously. 3. To receive the Finance Report from 1st April, 2014 to date. Received by the Council. The RFO spoke regarding reclaiming VAT. VAT-registered numbers are needed and there are three years in which to claim back VAT. 14/88 Correspondence (to be received) 1. 19 June 2014: Empowering parish councils to sell electricity 2. 20 June 2014: Correspondence regarding village flower tubs. 3. 1 July 2014: Correspondence from Girton Tennis Club regarding surfaces 4. 1 July 2014: Annual Report for Cambs Campaign to Protect Rural England 5. 4 July 2014: Correspondence about nature in Girton 6. 8 July 2014: Correspondence regarding play equipment at Recreation Ground 7. 9 July 2014: Invitation to IVC 75 year anniversary weekend, 13-14 September 8. 10 July 2014: Darwin Green 1 Art Project 9. 15 July 2014: Proposed pharmacy application The Chairman noted that there were two extra items of correspondence received since the agenda was published – the NIAB art project and the pharmacy application. Received by the Council. 14/89 To receive reports 1. Chairman's Report (Appendix F) There were no questions arising from Cllr de Lacey's report. 2. Girton Town Charity. The trustees had not met since the last meeting. 3. Girton Youth Project (Appendix G) GYP had been present at the Feast. 4. Footpaths. Footpath 4 is very much in need to cutting back. The appointment of a new Footpaths Officer will be discussed at the Environment Committee Meeting. 5. Water Management (Appendix H) Regarding funding flood defences, funding is being sought and Girton Parish Council is on the list. A funding information pack has not yet been sent by the Environment Agency. The next meeting with the Environment Agency is on 31 st July, with Cllrs Whittle and de Lacey attending. It was queried whether those on the Somerset Levels are being asked to contribute to flood defences, as Girton is. 6. Wellbrook Way Development Committee. To reduce ongoing costs, the portable toilet has been removed and it is hoped to remove some security fencing soon. Not much progress has been made regarding the Community Hall. 14/90 To receive unconfirmed Committee Minutes 1. Planning Committee Meeting of 18th June, 2014 (previously circulated) Received by the Council. 14/91 Matters raised by Members (for information only) Concerns were raised over the commercial pharmacy application. The village is wellserved by the current dispensary. A similar application was received four years ago. However, residents on the other side of theA14 bridge cannot get prescriptions from the surgery's dispensary. Two man-hole covers in St Vincent's Close have been damaged by grass-cutting contractors. There is graffiti on the Oakington Road bridge. Cllrs Noble and Barnes were thanked for organising a successful Girton Feast as part of the Girton Village Celebrations Committee. More people need to be encouraged to help with next year's Feast. The grass ridge next to the Pavilion needs building up to avoid a trip hazard. The Parish Planning Forum offers the District Council the chance to update parish councils – next meeting is to be held at Cambourne on 22 nd July. NW Cambridge Development are actively consulting on street names. Regarding the Community Infrastructure Levy, small changes have been made. The consultation continues for three weeks, to respond to the latest version.	<urn:uuid:238d13f0-eb35-4eb9-a537-02eca606c8f2>	CC-MAIN-2017-17	http://girton-cambs.org.uk/council/2014/mins_20140716.pdf	2017-04-26T02:09:57Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-17/segments/1492917121121.5/warc/CC-MAIN-20170423031201-00385-ip-10-145-167-34.ec2.internal.warc.gz	162,025,827	3,160	eng_Latn	eng_Latn	0.998905	eng_Latn	0.999173	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3333, 7303, 11178, 13729 ]	Girton Parish Council Susan Cumming Clerk to the Parish Council Telephone: (01223) 472181 Email: [email protected] The Pavilion Girton Recreation Ground Cambridge Road, Girton Cambridge CB3 0FH Minutes	of the Meeting of Girton Parish Council held on Wednesday 16th July, 2014 at St Vincent's Close Community Centre, Girton, at 7.		220	end_of_word	Minutes	remove_all	<url> http://girton-cambs.org.uk/council/2014/mins_20140716.pdf </url> <text> Girton Parish Council Susan Cumming Clerk to the Parish Council Telephone: (01223) 472181 Email: [email protected] The Pavilion Girton Recreation Ground Cambridge Road, Girton Cambridge CB3 0FH Minutes<cursor_is_here> </text>	[ { "content": "<url>\nhttp://girton-cambs.org.uk/council/2014/mins_20140716.pdf\n</url>\n<text>\nGirton Parish Council\n\nSusan Cumming\n\nClerk to the Parish Council\n\nTelephone: (01223) 472181\n\nEmail: [email protected]\n\nThe Pavilion Girton Recreation Ground Cambridge Road, Girton Cambridge CB3 0FH\n\nMinutes<cursor_is_here>\n</text>\n", "role": "user" }, { "content": " of the Meeting of Girton Parish Council held on Wednesday 16th July, 2014 at St Vincent's Close Community Centre, Girton, at 7.", "role": "assistant" } ]
Are rapidly growing cancers more lethal? Hans-Olov Adami 1,2,3 , Peter Csermely 4 , Daniel V. Veres 4,5 , Louise Emilsson 1,3,6 , Magnus Løberg 1,7 , Michael Bretthauer 1,7* , Mette Kalager 1,7* * These authors contributed equally. Author affiliations: 1 Clinical Effectiveness Research Group, Institute of Health and Society, University of Oslo, Oslo, Norway 2 Department of Medical Epidemiology and Biostatistics, Karolinska Institutet, Stockholm, Sweden 3 Department of Epidemiology, Harvard T.H. Chan School of Public Health, Boston, MA, USA 4 Department of Medical Chemistry, Semmelweis University, Budapest, Hungary 5 Turbine Ltd., Budapest, Hungary 6 Primary care research unit, Vårdcentralen Värmlands Nysäter, Värmland County, Sweden. 7 Oslo University Hospital, Department of Transplantation Medicine and K. G. Jebsen Center for Colorectal Cancer Research, Oslo, Norway Running head: Growth rate and prognosis Key words: breast cancer; cancer stem-like cells; cervical cancer; colorectal cancer; dormancy; metastasis; lethality; signaling networks; tumor growth Corresponding author: 1 Hans-Olov Adami, Department of Epidemiology, Harvard T.H. Chan School of Public Health, Huntington Avenue 677, Boston, MA 02115, USA, e-mail: [email protected] Word count: Abstract: 170 Text: 1,617 Acknowledgement: We thank Professor Georg Klein at Karolinska Institutet for valuable advice. Karolinska Institutet Distinguished Professor Award to Prof. Hans-Olov Adami (Dnr: 2368/10-221). Research in the lab of Peter Csermely and Daniel V. Veres was supported by the Hungarian National Research, Development and Innovation Office (K115378). Louise Emilsson was funded by the Norwegian research council and Foundation Blanceflor. 2 Abstract The view that rapidly growing tumors, compared to those who grow slowly, are more likely to metastasize and become lethal has remained almost axiomatic for decades. Unaware of any solid evidence supporting this view, we undertook an exhaustive system-level analysis of intra- and intercellular signaling networks. This analysis indicate that rapid growth and metastases formation often are different outcomes of complex integrated molecular events. Evidence from humans can be derived chiefly from screening interventions because interval cancers that surface clinically shortly after a negative screening test are, on average, more rapidly growing than cancers detected unaffected by screening. We reviewed all available data which are limited to cancers of the breast, cervix, and large bowel. And the human evidence provides no support for the theory that rapidly growing cancers are more prone to metastasize. These findings indicate that the prevailing view should be reconsidered as well as the impact of length biased sampling in cancer screening and they provide no support for treating interval cancers more aggressively than non-interval cancers. Introduction Cancer screening has been described as a clash of science and intuition. [1] The same might hold for the almost axiomatic long-lasting view that rapidly growing tumors, compared to those who grow slowly, are more likely to metastasize and become lethal. [2-4] This view seems integrated to the daily thinking among doctors treating cancer patients, but is also conveyed in the scholarly literature (e.g.: [5-7]). Evidence to support or refute this theory may come from molecular biology, because cancer is a system-level disease and somatic mutations and signaling pathways that entail accelerated tumor growth would also promote dissemination of malignant cells that create distant metastases. But the ultimate proof must come from human studies investigating the prognosis of individuals with cancer. There is now compelling knowledge to believe that cancer growth rate and metastases are not related phenomena. This challenges the assessment of screening interventions [2-4] and possibly the management of cancer patients. Evidence from tumor biology Already in 1958, in an exhaustive review of the natural history of cancer, Foulds discussed growth rate and metastatic potential as separate, distinct features of a malignant tumor.[8] Foulds emphasized "that growth rate, local invasion, spread to regional lymph nodes, and dissemination to the blood stream are independently variable characteristics". He concluded that "A survey of varied types of neoplasia reveals patterns of development common to all of them" suggesting that the evidence from one or a few cancer sites might be generalizable to others. The explosive expansion of knowledge from molecular biology may now allow a deeper understanding of the signaling complexity that governs growth rate and the metastatic process. Tumor growth and metastasis were defined as separate hallmarks of cancer implying that their molecular background is different. However, somatic mutations occurring in related genes often have overlapping functions. [9] In addition, cross-talk between various signaling pathways make a clear dissection of 'tumor growth pathways' versus 'metastasis pathways' difficult. However, an increasing number of recent scientific evidence demonstrates that the development of the rapid growth versus metastatic phenotypes can be discriminated as separate, context-dependent outcomes of the whole signaling network. [10-12] Cancer stem-like cells and cancer cell dormancy give special examples of this contextdependent duality. Cancer stem-like cells may reside in one of the two basic states of their signaling network, namely either in a rapidly proliferating state or in a quiescent, metastasisinducing state. [13] Rapid proliferation or metastasis-prone phenotypes of both states develop as a result of a fine-tuned balance between signaling pathways. Primary tumors have an extremely large cellular heterogeneity. [14, 15] In addition to the various mutational, DNA-rearrangement, DNA-copy number, gene expression, proteome, phosphoproteome and other 'omic' differences of individual cancer cells, they display different signaling (and metabolomic) activation patterns and are surrounded by different stromal cells. [14] The behavior as either rapid tumor growth or metastasis formation depends on the inter-cellular signaling network of the cancer cell community. In the rapidly proliferating state of individual cancer cells, stable inter-cellular interactions are less likely to develop. Thus, ongoing rapid proliferation can be described as a more-less cellular contextindependent growth. On the contrary, the development of the metastasis state requires a stabilizing niche even during cell migration, thus the metastatic switch is promoted by the development of a robust and resilient network of inter-cellular signaling cooperation. [13, 1619] Metastasis is the cause of nine out of ten deaths in cancer patients. The system-level analyses of intra- and inter-cellular signaling networks indicate that rapid growth and metastasis formation often are different outcomes of complex integrated molecular events. Evidence from human studies The theory that patients with a rapidly growing cancer have a poor prognostic outlook may have remained so long-lived not only because it makes intuitive sense. A more important reason may be that empirical evidence to refute the theory is so hard to generate. Indeed, in an individual patient, the growth rate of the primary tumor is usually impossible to measure. And indirect estimates, such as time between onset of symptoms and diagnosis, are notoriously difficult to retrieve and interpret. The only valid scenario that allows the identification of groups of cancers with different growth rates is in cancer screening: One group comprises patients who surface clinically as interval cancers between two screening examinations or shortly after a negative screening (socalled interval cancers). Interval cancers have, by definition, a detectable preclinical phase (sojourn time) which is shorter than the interval between two screening examinations. [20] And the preclinical phase, as a measure of growth rate, would be shorter the sooner the cancer is detected after a negative screening. The valid comparison group comprises patients unaffected by screening, diagnosed in routine clinical practice due to symptomatic disease (due to length-bias sampling and overdiagnosis bias, and thus overrepresentation of slowly growing tumors, screen-detected cancer patients are not a valid comparison group). [20] Hence, valid assessment of the theory that rapidly growing tumors are more lethal can be undertaken only within populations where interval cancers can be compared with cancers detected unaffected by prior or ongoing screening. To prevent confounding, a valid study also requires that interval cancers have been treated according to the same principles as noninterval cancers. All these methodologic challenges limit the number of informative studies substantially. Below, we provide an overview of evidence from high-quality studies for different cancer types. Cervical cancer We are aware of only one informative study based on an audit of the National Swedish Screening Program. [21] To eliminate lead-time and length-bias sampling, the investigators analyzed symptomatic cervical cancers diagnosed following a negative smear. These case patients were divided into those who progressed rapidly and were detected before the next scheduled screening (interval cancer); and those who were overdue and detected after the recommended screening interval. As shown in Figure 1, those who surfaced clinically during the screening interval had a higher (rather than lower as the prevailing theory predicts) disease specific survival than women diagnosed after the recommended screening interval. The difference in cure proportion was 14%. [21] The investigators also compared cancers detected at screening within the recommended interval with those detected later, but found no appreciable difference in the overall excellent prognostic outlook (Figure 1). Thus, this large, population-based study provided no evidence that rapidly growing cervical cancers have a poor prognosis. Breast cancer A few small studies with suboptimal design have analyzed prognosis of interval cancer (cf. ref [22]). An early study with an ideal (randomized) design but low statistical power provided no support for the theory of a worse prognostic outlook among interval cancers. [23] A more recent and much larger observational study took advantage of the stepwise introduction of the nation-wide mammography screening program in Norway. [22] Authors compared prognosis among 1,816 women with interval cancers and 5,300 diagnosed before they had been invited to mammography screening. After ten years of follow-up, survival was virtually identical in women with interval cancer (79.1%) and women in the non-screened group (76.8%) (p=0.53) (Figure 2). Colorectal cancer We found no data in the published literature that could elucidate, whether patients with rapidly growing colorectal cancers (CRC) had a different prognostic outlook than those with slowly growing cancers. We therefore used existing, population-based databases in Sweden, to identify individuals with a negative colonoscopy. We included colonoscopies performed between 1997 and 2013. We excluded individuals with earlier CRC and those with CRC diagnosed within six months from colonoscopy, assuming that they were overlooked at the colonoscopy (false negative) or underwent a lengthy diagnostic work-up. During follow-up through 2013, we identified 1,957 eligible individuals with a CRC diagnosed more than 6 months after the first negative colonoscopy of whom 426 died from colorectal cancer. We fitted a multivariate Cox regression model with time since colonoscopy to CRC detection as a continuous determinant of CRC death, adjusting for age, sex, calendar time, interaction terms between the covariates and quadratic terms for age and continuous interaction terms. The hazard ratio for time from negative colonoscopy to cancer detection was 1.00 (95% confidence interval 0.999-1.002, p=0.65). In another Cox regression, where time since negative examination was categorized in yearly intervals and outcome was set to CRC death within five years (restricted to colonoscopies performed in 1997-2008 to allow for at least five years of follow-up), HR was 0.95 (p=0.68). Hence, our analyses do not support the theory that growth rate and prognosis are related phenomena. Other cancers The clinical landscape of prostate cancer has changed more dramatically than that of any other malignancy following introduction of screening. Yet, a valid comparison of the prognosis among men with interval cancers and those unaffected by screening is difficult because opportunistic PSA-testing with overdiagnosis of non-lethal cancer has profoundly influenced the recorded incidence at the population level. [24] Even in randomized trials, contamination due to PSA-testing among those assigned to no screening, would bias prognostic analyses. For other cancer sites, data are sparse and confounded by opportunistic screening and overdiagnosis, and available screening modalities have too poor performance to allow informative analyses. Conclusion The theory that rapidly growing cancers are more lethal than those who grow slowly cannot be definitely dismissed, because the null hypothesis can never be proven scientifically, only refuted. With this caveat, our summary of the human evidence shows a lack of support for the prevailing idea that rapidly growing cancers are more prone to metastasize. These data are consistent with almost 70 year old evidence from tumor biology, as well as with recent system-level analyses of intra- and inter-cellular signaling networks. Our findings might have at least two practical consequences. Firstly, the concern that lengthbias sampling influence survival analyses when screened- and non-screened detected cancers are compared [3, 4] may be unfounded although bias can arise due to lead-time and overdiagnosis of non-lethal cancer. Secondly, the empirical support for treating interval cancers more aggressively than non-interval cancers is currently lacking. Conflict of interest: None declared. References 1. Kramer BS, Croswell JM. Cancer screening: the clash of science and intuition. Ann Rev Med 2009;60:125-37. 2. Zelen M, Feinleib M. On theory of screening for chronic disease. Biometrika 1969; 56(3):601. 3. Duffy SW, Nagtegaal ID, Wallis M, Cafferty FH, Houssami N, Warwick J, et al. Correcting for lead time and length bias in estimating the effect of screen detection on cancer survival. Am J Epidemiol 2008;168(1):98-104. 4. Rothman K. Epidemiology - an introduction, 2nd edn. NY: Oxford University Press; 2012. 5. DeGroote R, Rush BF, Jr., Milazzo J, Warden MJ, Rocko JM. Interval breast cancer: a more aggressive subset of breast neoplasias. Surgery 1983;94(4):543-47. 6. Sihto H, Lundin J, Lehtimaki T, Sarlomo-Rikala M, Butzow R, Holli K, et al. Molecular subtypes of breast cancers detected in mammography screening and outside of screening. Clin Cancer Res 2008;14(13):4103-10. 7. Strum WB. Colorectal Adenomas. N Engl J Med 2016;374(11):1065-75. 8. Foulds L. The natural history of cancer. J Chron Dis 1958;8(1):2-37. 9. Vogelstein B, Papadopoulos N, Velculescu VE, Zhou S, Diaz LA, Jr., Kinzler KW. Cancer genome landscapes. Science 2013;339(6127):1546-58. 10. Huang S, Ingber DE. A non-genetic basis for cancer progression and metastasis: selforganizing attractors in cell regulatory networks. Breast Dis 2006;26:27-54. 11. Huang S, Ernberg I, Kauffman S. Cancer attractors: a systems view of tumors from a gene network dynamics and developmental perspective. Sem Cell Dev Biol 2009; 20(7):869-76. 12. Coghlin C, Murray GI. The role of gene regulatory networks in promoting cancer progression and metastasis. Future Oncol 2014;10(5):735-48. 13. Csermely P, Hodsagi J, Korcsmaros T, Modos D, Perez-Lopez AR, Szalay K, et al. Cancer stem cells display extremely large evolvability: alternating plastic and rigid networks as a potential Mechanism: network models, novel therapeutic target strategies, and the contributions of hypoxia, inflammation and cellular senescence. Sem Cancer Biol 2015;30:42-51. 14. Burrell RA, McGranahan N, Bartek J, Swanton C. The causes and consequences of genetic heterogeneity in cancer evolution. Nature 2013;501:338-45. 15. Meacham CE, Morrison SJ. Tumour heterogeneity and cancer cell plasticity. Nature 2013;501:328-37. 16. Duda DG, Duyverman AM, Kohno M, Snuderl M, Steller EJ, Fukumura D, Jain RK. Malignant cells facilitate lung metastasis by bringing their own soil. Proc Natl Aca Sci U S A 2010;107(50):21677-682. 17. Jolly MK, Boareto M, Huang B, Jia D, Lu M, Ben-Jacob E, et al. Implications of the Hybrid Epithelial/Mesenchymal Phenotype in Metastasis. Front Oncol 2015;5:155. 18. Gonzalez-Zubeldia I, Dotor J, Redrado M, Bleau AM, Manrique I, de Aberasturi AL, et al. Co-migration of colon cancer cells and CAFs induced by TGFbeta(1) enhances liver metastasis. Cell Tiss Res 2015;359(3):829-39. 19. Csermely P, Korcsmaros T, Nussinov R. Intracellular and inter-cellular signaling networks in cancer initiation, development and precision anti-cancer therapy. Ras acts as contextual signaling hub. Sem Cell Dev Biol 2016;58:55-9. 20. Bretthauer M, Kalager M, Adami HO. Do's and don'ts in evaluation of endoscopic screening for gastrointestinal cancers. Endoscopy 2016;48(1):75-80. 21. Andrae B, Andersson TM, Lambert PC, Kemetli L, Silfverdal L, Strander B, et al. Screening and cervical cancer cure: population based cohort study. BMJ 2012;344:e900. 22. Kalager M, Tamimi RM, Bretthauer M, Adami HO. Prognosis in women with interval breast cancer: population based observational cohort study. BMJ 2012;345:e7536. 23. Holmberg LH, Tabar L, Adami HO, Bergstrom R. Survival in breast cancer diagnosed between mammographic screening examinations. Lancet 1986;2(8497):27-30. 24. Kvale R, Auvinen A, Adami HO, Klint A, Hernes E, Moller B, et al. Interpreting trends in prostate cancer incidence and mortality in the five Nordic countries. J Natl Cancer Inst 2007;99(24):1881-87. Figure legends: Figure 1: Relative survival ratios of cervical cancer in Sweden for women diagnosed 1999- 2001 (all histological types and all ages), by screening history and mode of detection. Reproduced from "Screening and cervical cancer cure: population based cohort study. Andrae B, Andersson TM, Lambert PC, Kemetli L, Silfverdal L, Strander B, Ryd W, Dillner J, Törnberg S, Sparén P, 2012;344:e900", with permission from BMJ Publishing Group Ltd., 2016". Figure 2: Cumulative breast cancer survival plot for women with breast cancer by group. Reproduced from "Prognosis of interval breast cancer: population-based observational cohort study, Kalager M, Tamimi R, Bretthauer M, Adami HO, 2012;345;e7536", with permission from BMJ Publishing Group Ltd., 2016".	<urn:uuid:ae4c5210-1cb6-4c7f-b094-7f51dfc9aee3>	CC-MAIN-2018-47	http://petercsermely.linkgroup.hu/docs/16EJC.pdf	2018-11-14T00:27:18Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-47/segments/1542039741569.29/warc/CC-MAIN-20181114000002-20181114022002-00289.warc.gz	262,511,117	4,206	eng_Latn	eng_Latn	0.840623	eng_Latn	0.986071	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1117, 1767, 2935, 4743, 6793, 8770, 10931, 12272, 13817, 14287, 15811, 17534, 18228, 18998 ]	Are rapidly growing cancers more lethal? Hans-Olov Adami 1,2,3 , Peter Csermely 4 , Daniel V. Veres 4,5 , Louise Emilsson 1,3,6 , Magnus Løberg 1,7 , Michael Bretthauer 1,7* , Mette Kalager 1,7* * These authors contributed equally. Author affiliations: 1 Clinical Effectiveness Research Group, Institute of Health and Society, University of Oslo, Oslo, Norway 2 Department of Medical Epidemiology and Biostatistics, Karolinska Institutet, Stockholm, Sweden 3 Department of Epidemiology, Harvard T.H. Chan School of Public Health, Boston, MA, USA 4 Department of Medical Chemistry, Semmelweis University, Budapest, Hungary 5 Turbine Ltd., Budapest, Hungary 6 Primary care research unit, Vårdcentralen Värmlands Nysäter, Värmland County, Sweden. 7 Oslo University Hospital, Department of Transplantation Medicine and K. G. Jebsen Center for Colorectal Cancer Research, Oslo, Norway Running head: Growth rate and prognosis Key words: breast cancer; cancer stem-like cells; cervical cancer; colorectal cancer; dormancy; metastasis; lethality; signaling networks; tumor growth Corresponding author: 1 Hans-Olov Adami, Department of Epidemiology, Harvard T.H. Chan School of Public Health, Huntington Avenue 677, Boston, MA 02115, USA, e-mail: [email protected] Word count: Abstract: 170 Text: 1,617 Acknowledgement: We thank Professor Georg Klein at Karolinska Institutet for valuable advice. Karolinska Institutet Distinguished Professor Award to Prof. Hans-Olov Adami (Dnr: 2368/10-221). Research in the lab of Peter Csermely and Daniel V. Veres was supported by the Hungarian National Research, Development and Innovation Office (K115378). Louise Emilsson was funded by the Norwegian research council and Foundation Blanceflor. 2 Abstract The view that rapidly growing tumors, compared to those who grow slowly, are more likely to metastasize and become lethal has remained almost axiomatic for decades. Unaware of any solid evidence supporting this view, we undertook an exhaustive system-level analysis of intra- and intercellular signaling networks. This analysis indicate that rapid growth and metastases formation often are different outcomes of complex integrated molecular events. Evidence from humans can be derived chiefly from screening interventions because interval cancers that surface clinically shortly after a negative screening test are, on average, more rapidly growing than cancers detected unaffected by screening. We reviewed all available data which are limited to cancers of the breast, cervix, and large bowel. And the human evidence provides no support for the theory that rapidly growing cancers are more prone to metastasize. These findings indicate that the prevailing view should be reconsidered as well as the impact of length biased sampling in cancer screening and they provide no support for treating interval cancers more aggressively than non-interval cancers. Introduction Cancer screening has been described as a clash of science and intuition. [1] The same might hold for the almost axiomatic long-lasting view that rapidly growing tumors, compared to those who grow slowly, are more likely to metastasize and become lethal. [2-4] This view seems integrated to the daily thinking among doctors treating cancer patients, but is also conveyed in the scholarly literature (e.g.: [5-7]). Evidence to support or refute this theory may come from molecular biology, because cancer is a system-level disease and somatic mutations and signaling pathways that entail accelerated tumor growth would also promote dissemination of malignant cells that create distant metastases. But the ultimate proof must come from human studies investigating the prognosis of individuals with cancer. There is now compelling knowledge to believe that cancer growth rate and metastases are not related phenomena. This challenges the assessment of screening interventions [2-4] and possibly the management of cancer patients. Evidence from tumor biology Already in 1958, in an exhaustive review of the natural history of cancer, Foulds discussed growth rate and metastatic potential as separate, distinct features of a malignant tumor.[8] Foulds emphasized "that growth rate, local invasion, spread to regional lymph nodes, and dissemination to the blood stream are independently variable characteristics". He concluded that "A survey of varied types of neoplasia reveals patterns of development common to all of them" suggesting that the evidence from one or a few cancer sites might be generalizable to others. The explosive expansion of knowledge from molecular biology may now allow a deeper understanding of the signaling complexity that governs growth rate and the metastatic process. Tumor growth and metastasis were defined as separate hallmarks of cancer implying that their molecular background is different. However, somatic mutations occurring in related genes often have overlapping functions. [9] In addition, cross-talk between various signaling pathways make a clear dissection of 'tumor growth pathways' versus 'metastasis pathways' difficult. However, an increasing number of recent scientific evidence demonstrates that the development of the rapid growth versus metastatic phenotypes can be discriminated as separate, context-dependent outcomes of the whole signaling network. [10-12] Cancer stem-like cells and cancer cell dormancy give special examples of this contextdependent duality. Cancer stem-like cells may reside in one of the two basic states of their signaling network, namely either in a rapidly proliferating state or in a quiescent, metastasisinducing state. [13] Rapid proliferation or metastasis-prone phenotypes of both states develop as a result of a fine-tuned balance between signaling pathways. Primary tumors have an extremely large cellular heterogeneity. [14, 15] In addition to the various mutational, DNA-rearrangement, DNA-copy number, gene expression, proteome, phosphoproteome and other 'omic' differences of individual cancer cells, they display different signaling (and metabolomic) activation patterns and are surrounded by different stromal cells. [14] The behavior as either rapid tumor growth or metastasis formation depends on the inter-cellular signaling network of the cancer cell community. In the rapidly proliferating state of individual cancer cells, stable inter-cellular interactions are less likely to develop. Thus, ongoing rapid proliferation can be described as a more-less cellular contextindependent growth. On the contrary, the development of the metastasis state requires a stabilizing niche even during cell migration, thus the metastatic switch is promoted by the development of a robust and resilient network of inter-cellular signaling cooperation. [13, 1619] Metastasis is the cause of nine out of ten deaths in cancer patients. The system-level analyses of intra- and inter-cellular signaling networks indicate that rapid growth and metastasis formation often are different outcomes of complex integrated molecular events. Evidence from human studies The theory that patients with a rapidly growing cancer have a poor prognostic outlook may have remained so long-lived not only because it makes intuitive sense. A more important reason may be that empirical evidence to refute the theory is so hard to generate. Indeed, in an individual patient, the growth rate of the primary tumor is usually impossible to measure. And indirect estimates, such as time between onset of symptoms and diagnosis, are notoriously difficult to retrieve and interpret. The only valid scenario that allows the identification of groups of cancers with different growth rates is in cancer screening: One group comprises patients who surface clinically as interval cancers between two screening examinations or shortly after a negative screening (socalled interval cancers). Interval cancers have, by definition, a detectable preclinical phase (sojourn time) which is shorter than the interval between tw	o screening examinations.	[20] And the preclinical phase, as a measure of growth rate, would be shorter the sooner the cancer is detected after a negative screening. The valid comparison group comprises patients unaffected by screening, diagnosed in routine clinical practice due to symptomatic disease (due to length-bias sampling and overdiagnosis bias, and thus overrepresentation of slowly growing tumors, screen-detected cancer patients are not a valid comparison group). [20] Hence, valid assessment of the theory that rapidly growing tumors are more lethal can be undertaken only within populations where interval cancers can be compared with cancers detected unaffected by prior or ongoing screening. To prevent confounding, a valid study also requires that interval cancers have been treated according to the same principles as noninterval cancers. All these methodologic challenges limit the number of informative studies substantially. Below, we provide an overview of evidence from high-quality studies for different cancer types. Cervical cancer We are aware of only one informative study based on an audit of the National Swedish Screening Program. [21] To eliminate lead-time and length-bias sampling, the investigators analyzed symptomatic cervical cancers diagnosed following a negative smear. These case patients were divided into those who progressed rapidly and were detected before the next scheduled screening (interval cancer); and those who were overdue and detected after the recommended screening interval. As shown in Figure 1, those who surfaced clinically during the screening interval had a higher (rather than lower as the prevailing theory predicts) disease specific survival than women diagnosed after the recommended screening interval. The difference in cure proportion was 14%. [21] The investigators also compared cancers detected at screening within the recommended interval with those detected later, but found no appreciable difference in the overall excellent prognostic outlook (Figure 1). Thus, this large, population-based study provided no evidence that rapidly growing cervical cancers have a poor prognosis. Breast cancer A few small studies with suboptimal design have analyzed prognosis of interval cancer (cf. ref [22]). An early study with an ideal (randomized) design but low statistical power provided no support for the theory of a worse prognostic outlook among interval cancers. [23] A more recent and much larger observational study took advantage of the stepwise introduction of the nation-wide mammography screening program in Norway. [22] Authors compared prognosis among 1,816 women with interval cancers and 5,300 diagnosed before they had been invited to mammography screening. After ten years of follow-up, survival was virtually identical in women with interval cancer (79.1%) and women in the non-screened group (76.8%) (p=0.53) (Figure 2). Colorectal cancer We found no data in the published literature that could elucidate, whether patients with rapidly growing colorectal cancers (CRC) had a different prognostic outlook than those with slowly growing cancers. We therefore used existing, population-based databases in Sweden, to identify individuals with a negative colonoscopy. We included colonoscopies performed between 1997 and 2013. We excluded individuals with earlier CRC and those with CRC diagnosed within six months from colonoscopy, assuming that they were overlooked at the colonoscopy (false negative) or underwent a lengthy diagnostic work-up. During follow-up through 2013, we identified 1,957 eligible individuals with a CRC diagnosed more than 6 months after the first negative colonoscopy of whom 426 died from colorectal cancer. We fitted a multivariate Cox regression model with time since colonoscopy to CRC detection as a continuous determinant of CRC death, adjusting for age, sex, calendar time, interaction terms between the covariates and quadratic terms for age and continuous interaction terms. The hazard ratio for time from negative colonoscopy to cancer detection was 1.00 (95% confidence interval 0.999-1.002, p=0.65). In another Cox regression, where time since negative examination was categorized in yearly intervals and outcome was set to CRC death within five years (restricted to colonoscopies performed in 1997-2008 to allow for at least five years of follow-up), HR was 0.95 (p=0.68). Hence, our analyses do not support the theory that growth rate and prognosis are related phenomena. Other cancers The clinical landscape of prostate cancer has changed more dramatically than that of any other malignancy following introduction of screening. Yet, a valid comparison of the prognosis among men with interval cancers and those unaffected by screening is difficult because opportunistic PSA-testing with overdiagnosis of non-lethal cancer has profoundly influenced the recorded incidence at the population level. [24] Even in randomized trials, contamination due to PSA-testing among those assigned to no screening, would bias prognostic analyses. For other cancer sites, data are sparse and confounded by opportunistic screening and overdiagnosis, and available screening modalities have too poor performance to allow informative analyses. Conclusion The theory that rapidly growing cancers are more lethal than those who grow slowly cannot be definitely dismissed, because the null hypothesis can never be proven scientifically, only refuted. With this caveat, our summary of the human evidence shows a lack of support for the prevailing idea that rapidly growing cancers are more prone to metastasize. These data are consistent with almost 70 year old evidence from tumor biology, as well as with recent system-level analyses of intra- and inter-cellular signaling networks. Our findings might have at least two practical consequences. Firstly, the concern that lengthbias sampling influence survival analyses when screened- and non-screened detected cancers are compared [3, 4] may be unfounded although bias can arise due to lead-time and overdiagnosis of non-lethal cancer. Secondly, the empirical support for treating interval cancers more aggressively than non-interval cancers is currently lacking. Conflict of interest: None declared. References 1. Kramer BS, Croswell JM. Cancer screening: the clash of science and intuition. Ann Rev Med 2009;60:125-37. 2. Zelen M, Feinleib M. On theory of screening for chronic disease. Biometrika 1969; 56(3):601. 3. Duffy SW, Nagtegaal ID, Wallis M, Cafferty FH, Houssami N, Warwick J, et al. Correcting for lead time and length bias in estimating the effect of screen detection on cancer survival. Am J Epidemiol 2008;168(1):98-104. 4. Rothman K. Epidemiology - an introduction, 2nd edn. NY: Oxford University Press; 2012. 5. DeGroote R, Rush BF, Jr., Milazzo J, Warden MJ, Rocko JM. Interval breast cancer: a more aggressive subset of breast neoplasias. Surgery 1983;94(4):543-47. 6. Sihto H, Lundin J, Lehtimaki T, Sarlomo-Rikala M, Butzow R, Holli K, et al. Molecular subtypes of breast cancers detected in mammography screening and outside of screening. Clin Cancer Res 2008;14(13):4103-10. 7. Strum WB. Colorectal Adenomas. N Engl J Med 2016;374(11):1065-75. 8. Foulds L. The natural history of cancer. J Chron Dis 1958;8(1):2-37. 9. Vogelstein B, Papadopoulos N, Velculescu VE, Zhou S, Diaz LA, Jr., Kinzler KW. Cancer genome landscapes. Science 2013;339(6127):1546-58. 10. Huang S, Ingber DE. A non-genetic basis for cancer progression and metastasis: selforganizing attractors in cell regulatory networks. Breast Dis 2006;26:27-54. 11. Huang S, Ernberg I, Kauffman S. Cancer attractors: a systems view of tumors from a gene network dynamics and developmental perspective. Sem Cell Dev Biol 2009; 20(7):869-76. 12. Coghlin C, Murray GI. The role of gene regulatory networks in promoting cancer progression and metastasis. Future Oncol 2014;10(5):735-48. 13. Csermely P, Hodsagi J, Korcsmaros T, Modos D, Perez-Lopez AR, Szalay K, et al. Cancer stem cells display extremely large evolvability: alternating plastic and rigid networks as a potential Mechanism: network models, novel therapeutic target strategies, and the contributions of hypoxia, inflammation and cellular senescence. Sem Cancer Biol 2015;30:42-51. 14. Burrell RA, McGranahan N, Bartek J, Swanton C. The causes and consequences of genetic heterogeneity in cancer evolution. Nature 2013;501:338-45. 15. Meacham CE, Morrison SJ. Tumour heterogeneity and cancer cell plasticity. Nature 2013;501:328-37. 16. Duda DG, Duyverman AM, Kohno M, Snuderl M, Steller EJ, Fukumura D, Jain RK. Malignant cells facilitate lung metastasis by bringing their own soil. Proc Natl Aca Sci U S A 2010;107(50):21677-682. 17. Jolly MK, Boareto M, Huang B, Jia D, Lu M, Ben-Jacob E, et al. Implications of the Hybrid Epithelial/Mesenchymal Phenotype in Metastasis. Front Oncol 2015;5:155. 18. Gonzalez-Zubeldia I, Dotor J, Redrado M, Bleau AM, Manrique I, de Aberasturi AL, et al. Co-migration of colon cancer cells and CAFs induced by TGFbeta(1) enhances liver metastasis. Cell Tiss Res 2015;359(3):829-39. 19. Csermely P, Korcsmaros T, Nussinov R. Intracellular and inter-cellular signaling networks in cancer initiation, development and precision anti-cancer therapy. Ras acts as contextual signaling hub. Sem Cell Dev Biol 2016;58:55-9. 20. Bretthauer M, Kalager M, Adami HO. Do's and don'ts in evaluation of endoscopic screening for gastrointestinal cancers. Endoscopy 2016;48(1):75-80. 21. Andrae B, Andersson TM, Lambert PC, Kemetli L, Silfverdal L, Strander B, et al. Screening and cervical cancer cure: population based cohort study. BMJ 2012;344:e900. 22. Kalager M, Tamimi RM, Bretthauer M, Adami HO. Prognosis in women with interval breast cancer: population based observational cohort study. BMJ 2012;345:e7536. 23. Holmberg LH, Tabar L, Adami HO, Bergstrom R. Survival in breast cancer diagnosed between mammographic screening examinations. Lancet 1986;2(8497):27-30. 24. Kvale R, Auvinen A, Adami HO, Klint A, Hernes E, Moller B, et al. Interpreting trends in prostate cancer incidence and mortality in the five Nordic countries. J Natl Cancer Inst 2007;99(24):1881-87. Figure legends: Figure 1: Relative survival ratios of cervical cancer in Sweden for women diagnosed 1999- 2001 (all histological types and all ages), by screening history and mode of detection. Reproduced from "Screening and cervical cancer cure: population based cohort study. Andrae B, Andersson TM, Lambert PC, Kemetli L, Silfverdal L, Strander B, Ryd W, Dillner J, Törnberg S, Sparén P, 2012;344:e900", with permission from BMJ Publishing Group Ltd., 2016". Figure 2: Cumulative breast cancer survival plot for women with breast cancer by group. Reproduced from "Prognosis of interval breast cancer: population-based observational cohort study, Kalager M, Tamimi R, Bretthauer M, Adami HO, 2012;345;e7536", with permission from BMJ Publishing Group Ltd., 2016".	8,026	inside_word	two	remove_one_sentence	<url> http://petercsermely.linkgroup.hu/docs/16EJC.pdf </url> <text> Are rapidly growing cancers more lethal? Hans-Olov Adami 1,2,3 , Peter Csermely 4 , Daniel V. Veres 4,5 , Louise Emilsson 1,3,6 , Magnus Løberg 1,7 , Michael Bretthauer 1,7* , Mette Kalager 1,7* * These authors contributed equally. Author affiliations: 1 Clinical Effectiveness Research Group, Institute of Health and Society, University of Oslo, Oslo, Norway 2 Department of Medical Epidemiology and Biostatistics, Karolinska Institutet, Stockholm, Sweden 3 Department of Epidemiology, Harvard T.H. Chan School of Public Health, Boston, MA, USA 4 Department of Medical Chemistry, Semmelweis University, Budapest, Hungary 5 Turbine Ltd., Budapest, Hungary 6 Primary care research unit, Vårdcentralen Värmlands Nysäter, Värmland County, Sweden. 7 Oslo University Hospital, Department of Transplantation Medicine and K. G. Jebsen Center for Colorectal Cancer Research, Oslo, Norway Running head: Growth rate and prognosis Key words: breast cancer; cancer stem-like cells; cervical cancer; colorectal cancer; dormancy; metastasis; lethality; signaling networks; tumor growth Corresponding author: 1 Hans-Olov Adami, Department of Epidemiology, Harvard T.H. Chan School of Public Health, Huntington Avenue 677, Boston, MA 02115, USA, e-mail: [email protected] Word count: Abstract: 170 Text: 1,617 Acknowledgement: We thank Professor Georg Klein at Karolinska Institutet for valuable advice. Karolinska Institutet Distinguished Professor Award to Prof. Hans-Olov Adami (Dnr: 2368/10-221). Research in the lab of Peter Csermely and Daniel V. Veres was supported by the Hungarian National Research, Development and Innovation Office (K115378). Louise Emilsson was funded by the Norwegian research council and Foundation Blanceflor. 2 Abstract The view that rapidly growing tumors, compared to those who grow slowly, are more likely to metastasize and become lethal has remained almost axiomatic for decades. Unaware of any solid evidence supporting this view, we undertook an exhaustive system-level analysis of intra- and intercellular signaling networks. This analysis indicate that rapid growth and metastases formation often are different outcomes of complex integrated molecular events. Evidence from humans can be derived chiefly from screening interventions because interval cancers that surface clinically shortly after a negative screening test are, on average, more rapidly growing than cancers detected unaffected by screening. We reviewed all available data which are limited to cancers of the breast, cervix, and large bowel. And the human evidence provides no support for the theory that rapidly growing cancers are more prone to metastasize. These findings indicate that the prevailing view should be reconsidered as well as the impact of length biased sampling in cancer screening and they provide no support for treating interval cancers more aggressively than non-interval cancers. Introduction Cancer screening has been described as a clash of science and intuition. [1] The same might hold for the almost axiomatic long-lasting view that rapidly growing tumors, compared to those who grow slowly, are more likely to metastasize and become lethal. [2-4] This view seems integrated to the daily thinking among doctors treating cancer patients, but is also conveyed in the scholarly literature (e.g.: [5-7]). Evidence to support or refute this theory may come from molecular biology, because cancer is a system-level disease and somatic mutations and signaling pathways that entail accelerated tumor growth would also promote dissemination of malignant cells that create distant metastases. But the ultimate proof must come from human studies investigating the prognosis of individuals with cancer. There is now compelling knowledge to believe that cancer growth rate and metastases are not related phenomena. This challenges the assessment of screening interventions [2-4] and possibly the management of cancer patients. Evidence from tumor biology Already in 1958, in an exhaustive review of the natural history of cancer, Foulds discussed growth rate and metastatic potential as separate, distinct features of a malignant tumor.[8] Foulds emphasized "that growth rate, local invasion, spread to regional lymph nodes, and dissemination to the blood stream are independently variable characteristics". He concluded that "A survey of varied types of neoplasia reveals patterns of development common to all of them" suggesting that the evidence from one or a few cancer sites might be generalizable to others. The explosive expansion of knowledge from molecular biology may now allow a deeper understanding of the signaling complexity that governs growth rate and the metastatic process. Tumor growth and metastasis were defined as separate hallmarks of cancer implying that their molecular background is different. However, somatic mutations occurring in related genes often have overlapping functions. [9] In addition, cross-talk between various signaling pathways make a clear dissection of 'tumor growth pathways' versus 'metastasis pathways' difficult. However, an increasing number of recent scientific evidence demonstrates that the development of the rapid growth versus metastatic phenotypes can be discriminated as separate, context-dependent outcomes of the whole signaling network. [10-12] Cancer stem-like cells and cancer cell dormancy give special examples of this contextdependent duality. Cancer stem-like cells may reside in one of the two basic states of their signaling network, namely either in a rapidly proliferating state or in a quiescent, metastasisinducing state. [13] Rapid proliferation or metastasis-prone phenotypes of both states develop as a result of a fine-tuned balance between signaling pathways. Primary tumors have an extremely large cellular heterogeneity. [14, 15] In addition to the various mutational, DNA-rearrangement, DNA-copy number, gene expression, proteome, phosphoproteome and other 'omic' differences of individual cancer cells, they display different signaling (and metabolomic) activation patterns and are surrounded by different stromal cells. [14] The behavior as either rapid tumor growth or metastasis formation depends on the inter-cellular signaling network of the cancer cell community. In the rapidly proliferating state of individual cancer cells, stable inter-cellular interactions are less likely to develop. Thus, ongoing rapid proliferation can be described as a more-less cellular contextindependent growth. On the contrary, the development of the metastasis state requires a stabilizing niche even during cell migration, thus the metastatic switch is promoted by the development of a robust and resilient network of inter-cellular signaling cooperation. [13, 1619] Metastasis is the cause of nine out of ten deaths in cancer patients. The system-level analyses of intra- and inter-cellular signaling networks indicate that rapid growth and metastasis formation often are different outcomes of complex integrated molecular events. Evidence from human studies The theory that patients with a rapidly growing cancer have a poor prognostic outlook may have remained so long-lived not only because it makes intuitive sense. A more important reason may be that empirical evidence to refute the theory is so hard to generate. Indeed, in an individual patient, the growth rate of the primary tumor is usually impossible to measure. And indirect estimates, such as time between onset of symptoms and diagnosis, are notoriously difficult to retrieve and interpret. The only valid scenario that allows the identification of groups of cancers with different growth rates is in cancer screening: One group comprises patients who surface clinically as interval cancers between two screening examinations or shortly after a negative screening (socalled interval cancers). Interval cancers have, by definition, a detectable preclinical phase (sojourn time) which is shorter than the interval between tw<cursor_is_here> [20] And the preclinical phase, as a measure of growth rate, would be shorter the sooner the cancer is detected after a negative screening. The valid comparison group comprises patients unaffected by screening, diagnosed in routine clinical practice due to symptomatic disease (due to length-bias sampling and overdiagnosis bias, and thus overrepresentation of slowly growing tumors, screen-detected cancer patients are not a valid comparison group). [20] Hence, valid assessment of the theory that rapidly growing tumors are more lethal can be undertaken only within populations where interval cancers can be compared with cancers detected unaffected by prior or ongoing screening. To prevent confounding, a valid study also requires that interval cancers have been treated according to the same principles as noninterval cancers. All these methodologic challenges limit the number of informative studies substantially. Below, we provide an overview of evidence from high-quality studies for different cancer types. Cervical cancer We are aware of only one informative study based on an audit of the National Swedish Screening Program. [21] To eliminate lead-time and length-bias sampling, the investigators analyzed symptomatic cervical cancers diagnosed following a negative smear. These case patients were divided into those who progressed rapidly and were detected before the next scheduled screening (interval cancer); and those who were overdue and detected after the recommended screening interval. As shown in Figure 1, those who surfaced clinically during the screening interval had a higher (rather than lower as the prevailing theory predicts) disease specific survival than women diagnosed after the recommended screening interval. The difference in cure proportion was 14%. [21] The investigators also compared cancers detected at screening within the recommended interval with those detected later, but found no appreciable difference in the overall excellent prognostic outlook (Figure 1). Thus, this large, population-based study provided no evidence that rapidly growing cervical cancers have a poor prognosis. Breast cancer A few small studies with suboptimal design have analyzed prognosis of interval cancer (cf. ref [22]). An early study with an ideal (randomized) design but low statistical power provided no support for the theory of a worse prognostic outlook among interval cancers. [23] A more recent and much larger observational study took advantage of the stepwise introduction of the nation-wide mammography screening program in Norway. [22] Authors compared prognosis among 1,816 women with interval cancers and 5,300 diagnosed before they had been invited to mammography screening. After ten years of follow-up, survival was virtually identical in women with interval cancer (79.1%) and women in the non-screened group (76.8%) (p=0.53) (Figure 2). Colorectal cancer We found no data in the published literature that could elucidate, whether patients with rapidly growing colorectal cancers (CRC) had a different prognostic outlook than those with slowly growing cancers. We therefore used existing, population-based databases in Sweden, to identify individuals with a negative colonoscopy. We included colonoscopies performed between 1997 and 2013. We excluded individuals with earlier CRC and those with CRC diagnosed within six months from colonoscopy, assuming that they were overlooked at the colonoscopy (false negative) or underwent a lengthy diagnostic work-up. During follow-up through 2013, we identified 1,957 eligible individuals with a CRC diagnosed more than 6 months after the first negative colonoscopy of whom 426 died from colorectal cancer. We fitted a multivariate Cox regression model with time since colonoscopy to CRC detection as a continuous determinant of CRC death, adjusting for age, sex, calendar time, interaction terms between the covariates and quadratic terms for age and continuous interaction terms. The hazard ratio for time from negative colonoscopy to cancer detection was 1.00 (95% confidence interval 0.999-1.002, p=0.65). In another Cox regression, where time since negative examination was categorized in yearly intervals and outcome was set to CRC death within five years (restricted to colonoscopies performed in 1997-2008 to allow for at least five years of follow-up), HR was 0.95 (p=0.68). Hence, our analyses do not support the theory that growth rate and prognosis are related phenomena. Other cancers The clinical landscape of prostate cancer has changed more dramatically than that of any other malignancy following introduction of screening. Yet, a valid comparison of the prognosis among men with interval cancers and those unaffected by screening is difficult because opportunistic PSA-testing with overdiagnosis of non-lethal cancer has profoundly influenced the recorded incidence at the population level. [24] Even in randomized trials, contamination due to PSA-testing among those assigned to no screening, would bias prognostic analyses. For other cancer sites, data are sparse and confounded by opportunistic screening and overdiagnosis, and available screening modalities have too poor performance to allow informative analyses. Conclusion The theory that rapidly growing cancers are more lethal than those who grow slowly cannot be definitely dismissed, because the null hypothesis can never be proven scientifically, only refuted. With this caveat, our summary of the human evidence shows a lack of support for the prevailing idea that rapidly growing cancers are more prone to metastasize. These data are consistent with almost 70 year old evidence from tumor biology, as well as with recent system-level analyses of intra- and inter-cellular signaling networks. Our findings might have at least two practical consequences. Firstly, the concern that lengthbias sampling influence survival analyses when screened- and non-screened detected cancers are compared [3, 4] may be unfounded although bias can arise due to lead-time and overdiagnosis of non-lethal cancer. Secondly, the empirical support for treating interval cancers more aggressively than non-interval cancers is currently lacking. Conflict of interest: None declared. References 1. Kramer BS, Croswell JM. Cancer screening: the clash of science and intuition. Ann Rev Med 2009;60:125-37. 2. Zelen M, Feinleib M. On theory of screening for chronic disease. Biometrika 1969; 56(3):601. 3. Duffy SW, Nagtegaal ID, Wallis M, Cafferty FH, Houssami N, Warwick J, et al. Correcting for lead time and length bias in estimating the effect of screen detection on cancer survival. Am J Epidemiol 2008;168(1):98-104. 4. Rothman K. Epidemiology - an introduction, 2nd edn. NY: Oxford University Press; 2012. 5. DeGroote R, Rush BF, Jr., Milazzo J, Warden MJ, Rocko JM. Interval breast cancer: a more aggressive subset of breast neoplasias. Surgery 1983;94(4):543-47. 6. Sihto H, Lundin J, Lehtimaki T, Sarlomo-Rikala M, Butzow R, Holli K, et al. Molecular subtypes of breast cancers detected in mammography screening and outside of screening. Clin Cancer Res 2008;14(13):4103-10. 7. Strum WB. Colorectal Adenomas. N Engl J Med 2016;374(11):1065-75. 8. Foulds L. The natural history of cancer. J Chron Dis 1958;8(1):2-37. 9. Vogelstein B, Papadopoulos N, Velculescu VE, Zhou S, Diaz LA, Jr., Kinzler KW. Cancer genome landscapes. Science 2013;339(6127):1546-58. 10. Huang S, Ingber DE. A non-genetic basis for cancer progression and metastasis: selforganizing attractors in cell regulatory networks. Breast Dis 2006;26:27-54. 11. Huang S, Ernberg I, Kauffman S. Cancer attractors: a systems view of tumors from a gene network dynamics and developmental perspective. Sem Cell Dev Biol 2009; 20(7):869-76. 12. Coghlin C, Murray GI. The role of gene regulatory networks in promoting cancer progression and metastasis. Future Oncol 2014;10(5):735-48. 13. Csermely P, Hodsagi J, Korcsmaros T, Modos D, Perez-Lopez AR, Szalay K, et al. Cancer stem cells display extremely large evolvability: alternating plastic and rigid networks as a potential Mechanism: network models, novel therapeutic target strategies, and the contributions of hypoxia, inflammation and cellular senescence. Sem Cancer Biol 2015;30:42-51. 14. Burrell RA, McGranahan N, Bartek J, Swanton C. The causes and consequences of genetic heterogeneity in cancer evolution. Nature 2013;501:338-45. 15. Meacham CE, Morrison SJ. Tumour heterogeneity and cancer cell plasticity. Nature 2013;501:328-37. 16. Duda DG, Duyverman AM, Kohno M, Snuderl M, Steller EJ, Fukumura D, Jain RK. Malignant cells facilitate lung metastasis by bringing their own soil. Proc Natl Aca Sci U S A 2010;107(50):21677-682. 17. Jolly MK, Boareto M, Huang B, Jia D, Lu M, Ben-Jacob E, et al. Implications of the Hybrid Epithelial/Mesenchymal Phenotype in Metastasis. Front Oncol 2015;5:155. 18. Gonzalez-Zubeldia I, Dotor J, Redrado M, Bleau AM, Manrique I, de Aberasturi AL, et al. Co-migration of colon cancer cells and CAFs induced by TGFbeta(1) enhances liver metastasis. Cell Tiss Res 2015;359(3):829-39. 19. Csermely P, Korcsmaros T, Nussinov R. Intracellular and inter-cellular signaling networks in cancer initiation, development and precision anti-cancer therapy. Ras acts as contextual signaling hub. Sem Cell Dev Biol 2016;58:55-9. 20. Bretthauer M, Kalager M, Adami HO. Do's and don'ts in evaluation of endoscopic screening for gastrointestinal cancers. Endoscopy 2016;48(1):75-80. 21. Andrae B, Andersson TM, Lambert PC, Kemetli L, Silfverdal L, Strander B, et al. Screening and cervical cancer cure: population based cohort study. BMJ 2012;344:e900. 22. Kalager M, Tamimi RM, Bretthauer M, Adami HO. Prognosis in women with interval breast cancer: population based observational cohort study. BMJ 2012;345:e7536. 23. Holmberg LH, Tabar L, Adami HO, Bergstrom R. Survival in breast cancer diagnosed between mammographic screening examinations. Lancet 1986;2(8497):27-30. 24. Kvale R, Auvinen A, Adami HO, Klint A, Hernes E, Moller B, et al. Interpreting trends in prostate cancer incidence and mortality in the five Nordic countries. J Natl Cancer Inst 2007;99(24):1881-87. Figure legends: Figure 1: Relative survival ratios of cervical cancer in Sweden for women diagnosed 1999- 2001 (all histological types and all ages), by screening history and mode of detection. Reproduced from "Screening and cervical cancer cure: population based cohort study. Andrae B, Andersson TM, Lambert PC, Kemetli L, Silfverdal L, Strander B, Ryd W, Dillner J, Törnberg S, Sparén P, 2012;344:e900", with permission from BMJ Publishing Group Ltd., 2016". Figure 2: Cumulative breast cancer survival plot for women with breast cancer by group. Reproduced from "Prognosis of interval breast cancer: population-based observational cohort study, Kalager M, Tamimi R, Bretthauer M, Adami HO, 2012;345;e7536", with permission from BMJ Publishing Group Ltd., 2016". </text>	[ { "content": "<url>\nhttp://petercsermely.linkgroup.hu/docs/16EJC.pdf\n</url>\n<text>\nAre rapidly growing cancers more lethal?\n\nHans-Olov Adami 1,2,3 , Peter Csermely 4 , Daniel V. Veres 4,5 , Louise Emilsson 1,3,6 , Magnus Løberg 1,7 , Michael Bretthauer 1,7* , Mette Kalager 1,7\n\n\n\nThese authors contributed equally.\n\nAuthor affiliations:\n\n1 Clinical Effectiveness Research Group, Institute of Health and Society, University of Oslo, Oslo, Norway\n\n2 Department of Medical Epidemiology and Biostatistics, Karolinska Institutet, Stockholm, Sweden\n\n3\n\nDepartment of Epidemiology, Harvard T.H. Chan School of Public Health, Boston, MA,\n\nUSA\n\n4\n\nDepartment of Medical Chemistry, Semmelweis University, Budapest, Hungary\n\n5\n\nTurbine Ltd., Budapest, Hungary\n\n6\n\nPrimary care research unit, Vårdcentralen Värmlands Nysäter, Värmland County, Sweden.\n\n7\n\nOslo University Hospital, Department of Transplantation Medicine and K. G. Jebsen Center for Colorectal Cancer Research, Oslo, Norway\n\nRunning head: Growth rate and prognosis\n\nKey words: breast cancer; cancer stem-like cells; cervical cancer; colorectal cancer;\n\ndormancy; metastasis; lethality; signaling networks; tumor growth\n\nCorresponding author:\n\n1\n\nHans-Olov Adami, Department of Epidemiology, Harvard T.H. Chan School of Public\n\nHealth, Huntington Avenue 677, Boston, MA 02115, USA, e-mail:\n\[email protected]\n\nWord count:\n\nAbstract: 170\n\nText: 1,617\n\nAcknowledgement:\n\nWe thank Professor Georg Klein at Karolinska Institutet for valuable advice.\n\nKarolinska Institutet Distinguished Professor Award to Prof. Hans-Olov Adami (Dnr:\n\n2368/10-221). Research in the lab of Peter Csermely and Daniel V. Veres was supported by the Hungarian National Research, Development and Innovation Office (K115378). Louise\n\nEmilsson was funded by the Norwegian research council and Foundation Blanceflor.\n\n2\n\nAbstract\n\nThe view that rapidly growing tumors, compared to those who grow slowly, are more likely to metastasize and become lethal has remained almost axiomatic for decades. Unaware of any solid evidence supporting this view, we undertook an exhaustive system-level analysis of intra- and intercellular signaling networks. This analysis indicate that rapid growth and metastases formation often are different outcomes of complex integrated molecular events. Evidence from humans can be derived chiefly from screening interventions because interval cancers that surface clinically shortly after a negative screening test are, on average, more rapidly growing than cancers detected unaffected by screening. We reviewed all available data which are limited to cancers of the breast, cervix, and large bowel. And the human evidence provides no support for the theory that rapidly growing cancers are more prone to metastasize. These findings indicate that the prevailing view should be reconsidered as well as the impact of length biased sampling in cancer screening and they provide no support for treating interval cancers more aggressively than non-interval cancers.\n\nIntroduction\n\nCancer screening has been described as a clash of science and intuition. [1] The same might hold for the almost axiomatic long-lasting view that rapidly growing tumors, compared to those who grow slowly, are more likely to metastasize and become lethal. [2-4] This view seems integrated to the daily thinking among doctors treating cancer patients, but is also conveyed in the scholarly literature (e.g.: [5-7]). Evidence to support or refute this theory may come from molecular biology, because cancer is a system-level disease and somatic mutations and signaling pathways that entail accelerated tumor growth would also promote dissemination of malignant cells that create distant metastases. But the ultimate proof must come from human studies investigating the prognosis of individuals with cancer. There is now compelling knowledge to believe that cancer growth rate and metastases are not related phenomena. This challenges the assessment of screening interventions [2-4] and possibly the management of cancer patients.\n\nEvidence from tumor biology\n\nAlready in 1958, in an exhaustive review of the natural history of cancer, Foulds discussed growth rate and metastatic potential as separate, distinct features of a malignant tumor.[8] Foulds emphasized \"that growth rate, local invasion, spread to regional lymph nodes, and dissemination to the blood stream are independently variable characteristics\". He concluded that \"A survey of varied types of neoplasia reveals patterns of development common to all of them\" suggesting that the evidence from one or a few cancer sites might be generalizable to others. The explosive expansion of knowledge from molecular biology may now allow a deeper understanding of the signaling complexity that governs growth rate and the metastatic process.\n\nTumor growth and metastasis were defined as separate hallmarks of cancer implying that their molecular background is different. However, somatic mutations occurring in related genes often have overlapping functions. [9] In addition, cross-talk between various signaling pathways make a clear dissection of 'tumor growth pathways' versus 'metastasis pathways' difficult. However, an increasing number of recent scientific evidence demonstrates that the development of the rapid growth versus metastatic phenotypes can be discriminated as separate, context-dependent outcomes of the whole signaling network. [10-12]\n\nCancer stem-like cells and cancer cell dormancy give special examples of this contextdependent duality. Cancer stem-like cells may reside in one of the two basic states of their signaling network, namely either in a rapidly proliferating state or in a quiescent, metastasisinducing state. [13] Rapid proliferation or metastasis-prone phenotypes of both states develop as a result of a fine-tuned balance between signaling pathways.\n\nPrimary tumors have an extremely large cellular heterogeneity. [14, 15] In addition to the various mutational, DNA-rearrangement, DNA-copy number, gene expression, proteome, phosphoproteome and other 'omic' differences of individual cancer cells, they display different signaling (and metabolomic) activation patterns and are surrounded by different stromal cells. [14] The behavior as either rapid tumor growth or metastasis formation depends on the inter-cellular signaling network of the cancer cell community. In the rapidly proliferating state of individual cancer cells, stable inter-cellular interactions are less likely to develop. Thus, ongoing rapid proliferation can be described as a more-less cellular contextindependent growth. On the contrary, the development of the metastasis state requires a stabilizing niche even during cell migration, thus the metastatic switch is promoted by the development of a robust and resilient network of inter-cellular signaling cooperation. [13, 1619]\n\nMetastasis is the cause of nine out of ten deaths in cancer patients. The system-level analyses of intra- and inter-cellular signaling networks indicate that rapid growth and metastasis formation often are different outcomes of complex integrated molecular events.\n\nEvidence from human studies\n\nThe theory that patients with a rapidly growing cancer have a poor prognostic outlook may have remained so long-lived not only because it makes intuitive sense. A more important reason may be that empirical evidence to refute the theory is so hard to generate. Indeed, in an individual patient, the growth rate of the primary tumor is usually impossible to measure. And indirect estimates, such as time between onset of symptoms and diagnosis, are notoriously difficult to retrieve and interpret.\n\nThe only valid scenario that allows the identification of groups of cancers with different growth rates is in cancer screening: One group comprises patients who surface clinically as interval cancers between two screening examinations or shortly after a negative screening (socalled interval cancers). Interval cancers have, by definition, a detectable preclinical phase (sojourn time) which is shorter than the interval between tw<cursor_is_here> [20] And the preclinical phase, as a measure of growth rate, would be shorter the sooner the cancer is detected after a negative screening. The valid comparison group comprises patients unaffected by screening, diagnosed in routine clinical practice due to symptomatic disease (due to length-bias sampling and overdiagnosis bias, and thus overrepresentation of slowly growing tumors, screen-detected cancer patients are not a valid comparison group). [20] Hence, valid assessment of the theory that rapidly growing tumors are more lethal can be undertaken only within populations where interval cancers can be compared with cancers detected unaffected by prior or ongoing screening. To prevent confounding, a valid study also\n\nrequires that interval cancers have been treated according to the same principles as noninterval cancers. All these methodologic challenges limit the number of informative studies substantially. Below, we provide an overview of evidence from high-quality studies for different cancer types.\n\nCervical cancer\n\nWe are aware of only one informative study based on an audit of the National Swedish Screening Program. [21] To eliminate lead-time and length-bias sampling, the investigators analyzed symptomatic cervical cancers diagnosed following a negative smear. These case patients were divided into those who progressed rapidly and were detected before the next scheduled screening (interval cancer); and those who were overdue and detected after the recommended screening interval.\n\nAs shown in Figure 1, those who surfaced clinically during the screening interval had a higher (rather than lower as the prevailing theory predicts) disease specific survival than women diagnosed after the recommended screening interval. The difference in cure proportion was 14%. [21] The investigators also compared cancers detected at screening within the recommended interval with those detected later, but found no appreciable difference in the overall excellent prognostic outlook (Figure 1). Thus, this large, population-based study provided no evidence that rapidly growing cervical cancers have a poor prognosis.\n\nBreast cancer\n\nA few small studies with suboptimal design have analyzed prognosis of interval cancer (cf. ref [22]). An early study with an ideal (randomized) design but low statistical power provided no support for the theory of a worse prognostic outlook among interval cancers. [23] A more recent and much larger observational study took advantage of the stepwise introduction of the nation-wide mammography screening program in Norway. [22] Authors compared prognosis among 1,816 women with interval cancers and 5,300 diagnosed before they had been invited to mammography screening. After ten years of follow-up, survival was virtually identical in women with interval cancer (79.1%) and women in the non-screened group (76.8%) (p=0.53) (Figure 2).\n\nColorectal cancer\n\nWe found no data in the published literature that could elucidate, whether patients with rapidly growing colorectal cancers (CRC) had a different prognostic outlook than those with slowly growing cancers. We therefore used existing, population-based databases in Sweden, to identify individuals with a negative colonoscopy. We included colonoscopies performed between 1997 and 2013. We excluded individuals with earlier CRC and those with CRC diagnosed within six months from colonoscopy, assuming that they were overlooked at the colonoscopy (false negative) or underwent a lengthy diagnostic work-up.\n\nDuring follow-up through 2013, we identified 1,957 eligible individuals with a CRC diagnosed more than 6 months after the first negative colonoscopy of whom 426 died from colorectal cancer. We fitted a multivariate Cox regression model with time since colonoscopy to CRC detection as a continuous determinant of CRC death, adjusting for age, sex, calendar time, interaction terms between the covariates and quadratic terms for age and continuous interaction terms. The hazard ratio for time from negative colonoscopy to cancer detection was 1.00 (95% confidence interval 0.999-1.002, p=0.65). In another Cox regression, where time since negative examination was categorized in yearly intervals and outcome was set to\n\nCRC death within five years (restricted to colonoscopies performed in 1997-2008 to allow for at least five years of follow-up), HR was 0.95 (p=0.68). Hence, our analyses do not support the theory that growth rate and prognosis are related phenomena.\n\nOther cancers\n\nThe clinical landscape of prostate cancer has changed more dramatically than that of any other malignancy following introduction of screening. Yet, a valid comparison of the prognosis among men with interval cancers and those unaffected by screening is difficult because opportunistic PSA-testing with overdiagnosis of non-lethal cancer has profoundly influenced the recorded incidence at the population level. [24] Even in randomized trials, contamination due to PSA-testing among those assigned to no screening, would bias prognostic analyses. For other cancer sites, data are sparse and confounded by opportunistic screening and overdiagnosis, and available screening modalities have too poor performance to allow informative analyses.\n\nConclusion\n\nThe theory that rapidly growing cancers are more lethal than those who grow slowly cannot be definitely dismissed, because the null hypothesis can never be proven scientifically, only refuted. With this caveat, our summary of the human evidence shows a lack of support for the prevailing idea that rapidly growing cancers are more prone to metastasize. These data are consistent with almost 70 year old evidence from tumor biology, as well as with recent system-level analyses of intra- and inter-cellular signaling networks.\n\nOur findings might have at least two practical consequences. Firstly, the concern that lengthbias sampling influence survival analyses when screened- and non-screened detected cancers are compared [3, 4] may be unfounded although bias can arise due to lead-time and overdiagnosis of non-lethal cancer. Secondly, the empirical support for treating interval cancers more aggressively than non-interval cancers is currently lacking.\n\nConflict of interest:\n\nNone declared.\n\nReferences\n\n1. Kramer BS, Croswell JM. Cancer screening: the clash of science and intuition. Ann Rev Med 2009;60:125-37.\n2. Zelen M, Feinleib M. On theory of screening for chronic disease. Biometrika 1969; 56(3):601.\n3. Duffy SW, Nagtegaal ID, Wallis M, Cafferty FH, Houssami N, Warwick J, et al. Correcting for lead time and length bias in estimating the effect of screen detection on cancer survival. Am J Epidemiol 2008;168(1):98-104.\n4. Rothman K. Epidemiology - an introduction, 2nd edn. NY: Oxford University Press; 2012.\n5. DeGroote R, Rush BF, Jr., Milazzo J, Warden MJ, Rocko JM. Interval breast cancer: a more aggressive subset of breast neoplasias. Surgery 1983;94(4):543-47.\n6. Sihto H, Lundin J, Lehtimaki T, Sarlomo-Rikala M, Butzow R, Holli K, et al. Molecular subtypes of breast cancers detected in mammography screening and outside of screening. Clin Cancer Res 2008;14(13):4103-10.\n7. Strum WB. Colorectal Adenomas. N Engl J Med 2016;374(11):1065-75.\n8. Foulds L. The natural history of cancer. J Chron Dis 1958;8(1):2-37.\n9. Vogelstein B, Papadopoulos N, Velculescu VE, Zhou S, Diaz LA, Jr., Kinzler KW. Cancer genome landscapes. Science 2013;339(6127):1546-58.\n10. Huang S, Ingber DE. A non-genetic basis for cancer progression and metastasis: selforganizing attractors in cell regulatory networks. Breast Dis 2006;26:27-54.\n11. Huang S, Ernberg I, Kauffman S. Cancer attractors: a systems view of tumors from a gene network dynamics and developmental perspective. Sem Cell Dev Biol 2009; 20(7):869-76.\n\n12. Coghlin C, Murray GI. The role of gene regulatory networks in promoting cancer progression and metastasis. Future Oncol 2014;10(5):735-48.\n13. Csermely P, Hodsagi J, Korcsmaros T, Modos D, Perez-Lopez AR, Szalay K, et al. Cancer stem cells display extremely large evolvability: alternating plastic and rigid networks as a potential Mechanism: network models, novel therapeutic target strategies, and the contributions of hypoxia, inflammation and cellular senescence. Sem Cancer Biol 2015;30:42-51.\n14. Burrell RA, McGranahan N, Bartek J, Swanton C. The causes and consequences of genetic heterogeneity in cancer evolution. Nature 2013;501:338-45.\n15. Meacham CE, Morrison SJ. Tumour heterogeneity and cancer cell plasticity. Nature 2013;501:328-37.\n16. Duda DG, Duyverman AM, Kohno M, Snuderl M, Steller EJ, Fukumura D, Jain RK. Malignant cells facilitate lung metastasis by bringing their own soil. Proc Natl Aca Sci U S A 2010;107(50):21677-682.\n17. Jolly MK, Boareto M, Huang B, Jia D, Lu M, Ben-Jacob E, et al. Implications of the Hybrid Epithelial/Mesenchymal Phenotype in Metastasis. Front Oncol 2015;5:155.\n18. Gonzalez-Zubeldia I, Dotor J, Redrado M, Bleau AM, Manrique I, de Aberasturi AL, et al. Co-migration of colon cancer cells and CAFs induced by TGFbeta(1) enhances liver metastasis. Cell Tiss Res 2015;359(3):829-39.\n19. Csermely P, Korcsmaros T, Nussinov R. Intracellular and inter-cellular signaling networks in cancer initiation, development and precision anti-cancer therapy. Ras acts as contextual signaling hub. Sem Cell Dev Biol 2016;58:55-9.\n20. Bretthauer M, Kalager M, Adami HO. Do's and don'ts in evaluation of endoscopic screening for gastrointestinal cancers. Endoscopy 2016;48(1):75-80.\n\n21. Andrae B, Andersson TM, Lambert PC, Kemetli L, Silfverdal L, Strander B, et al. Screening and cervical cancer cure: population based cohort study. BMJ 2012;344:e900.\n22. Kalager M, Tamimi RM, Bretthauer M, Adami HO. Prognosis in women with interval breast cancer: population based observational cohort study. BMJ 2012;345:e7536.\n23. Holmberg LH, Tabar L, Adami HO, Bergstrom R. Survival in breast cancer diagnosed between mammographic screening examinations. Lancet 1986;2(8497):27-30.\n24. Kvale R, Auvinen A, Adami HO, Klint A, Hernes E, Moller B, et al. Interpreting trends in prostate cancer incidence and mortality in the five Nordic countries. J Natl Cancer Inst 2007;99(24):1881-87.\n\nFigure legends:\n\nFigure 1: Relative survival ratios of cervical cancer in Sweden for women diagnosed 1999-\n\n2001 (all histological types and all ages), by screening history and mode of detection. Reproduced from \"Screening and cervical cancer cure: population based cohort study. Andrae B, Andersson TM, Lambert PC, Kemetli L, Silfverdal L, Strander B, Ryd W, Dillner J, Törnberg S, Sparén P, 2012;344:e900\", with permission from BMJ Publishing Group Ltd., 2016\".\n\nFigure 2: Cumulative breast cancer survival plot for women with breast cancer by group. Reproduced from \"Prognosis of interval breast cancer: population-based observational cohort study, Kalager M, Tamimi R, Bretthauer M, Adami HO, 2012;345;e7536\", with permission from BMJ Publishing Group Ltd., 2016\".\n</text>\n", "role": "user" }, { "content": "o screening examinations.", "role": "assistant" } ]
America's Affordable Housing Crisis: Challenges and Solutions Katherine M. O'Regan Professor of Public Policy and Planning, NYU's Robert F. Wagner Graduate School Faculty Director, NYU Furman Center for Real Estate and Urban Policy Before the Committee on Finance United States Senate Tuesday, August 1, 2017 Chairman Hatch, Ranking Member Wyden, and Members of the Committee, thank you for inviting me to appear today to discuss America's affordable housing crisis, challenges and solutions. I am speaking today from my perspective as a researcher, particularly on affordable housing policy, and from my experience at the Department of Housing and Urban Development, where I chaired the cross-agency Rental Policy Working Group (RPWG) which specifically focused on alignment of federal rental programs and rental affordability. American's Affordable Housing Crisis As has been reported widely and frequently in the press, and documented well by the researchers at Harvard's Joint Center, the Furman Center and many others, we have a housing affordability crisis in this country that is not going away. Let me start with just some facts. - Housing cost burdens are extremely high, particularly for renters Using the affordability standard of spending no more than 30 percent of income on housing, in 2015 nearly 39 million households were 'cost burdened.' 1 This is about a third of all households in America. And renters are much more likely to face cost burdens. Nearly half (48.3 percent) of all renters were cost burdened in 2015. More than a quarter (25.6 percent) face severe cost burdens, spending at least half of their income on housing. - These rates remain far above pre-housing crisis levels While rent cost burdens have declined slightly since their peak in 2011, they remain considerably above pre-housing crisis levels. Focusing on those most burdened, 11.1 million renter households were severely cost burdened in 2015, nearly 4 million more than in 2001. Source: Joint Center for Housing Studies, The State of the Nation's Housing 2017. 1 Joint Center for Housing Studies. The State of the Nation's Housing 2017. - Affordability challenges are widespread – beyond highest cost cities and lowest income households Affordability issues are not limited to highest-cost markets or a handful of states. With more than 30 percent of its renters experiencing severe cost burdens, Augusta, GA is among the ten metropolitan areas with the highest rates of severe burdens for renters, for example. 2 While Florida, California and Hawaii had the highest shares of renters facing cost burdens, at least 37% of renter households in every state across the nation were cost burdened in 2014. 3 High levels of cost burdens are also not confined to larger metropolitan areas. Almost 12 million households living outside the top 100 metropolitan areas are cost burdened, about half of whom are severely burdened. 4 The sharpest growth in cost-burdened shares over the past decade and a half has been among middle-income households: burdened households within the middle quintile of the income distribution increased from 13 percent in 2001 to 25 percent in 2014. 5 Looking specifically at cost burdens for renters by their income levels, in 2015: 6 - For renter households with incomes below $15,000 – comparable to full-time work at the federal minimum wage – more than 80 percent were cost-burdened in 2015, with 70 percent facing severe cost burdens (spending more than half of income on housing). - 64 percent of renters with incomes between $15,000 and $30,000 were cost-burdened in 2015, 32 percent severely so. - Over 40 percent of renters earning between $30,000 and $45,000 were cost-burdened in 2015. - Housing supply is not keeping up with demand The country has experienced seven consecutive years of growth in new construction, with 1.17 million housing units added to the national stock in 2016. 7 Even with this, construction is well below the historical annual rates of 1.4 to 1.5 million experienced during the 1980s and 1990s. Housing completions in the last 10 years are lower than any other 10-year period since the late 1970s. Despite the gains in multifamily construction, rental markets remain extremely tight. Based on the Housing Vacancy survey, the Joint Center reports that rental vacancy rates continued to decline for the seventh year in a row. 8 In 2016, the rental vacancy rate fell to its lowest level in 30 years, 6.9 percent. Throughout the country, rent increases continue to far exceed inflation. 2 Joint Center for Housing Studies, The State of the Nations Housing 2017. 4 3 Joint Center for Housing Studies. Rental Housing Affordability 2015, Appendix Tables &Additional Web-only Tables, A-5. Smaller metro and non metro areas. Joint Center for Housing Studies, The State of the Nation's Housing 2017. 6 Joint Center for Housing Studies, The State of the Nation's Housing 2017. Chapter 7-Appendix Tables. 5 Joint Center for Housing Studies. Rental Housing Affordability 2015. 7 8 Joint Center for Housing Studies, The State of the Nation's Housing 2017. Joint Center for Housing Studies, The State of the Nation's Housing 2017. Meanwhile, over the past 15 years, there has been a shift in the rental stock toward the higher end. Nearly half of the 100 largest metropolitan areas reported absolute declines in the number of low rent units, even as their housing stocks increased. 9 Consequences of high housing costs There are obvious reasons to be concerned about the escalating costs of housing and the myriad of ways it affects people. Households spending large portions, even half or more of their incomes on housing, face difficult tradeoffs in how to meet their basic needs with what remains. For example, severely cost-burdened families with children who are in the bottom quartile of income spend 75 percent less on healthcare than non-burdened families in the same income quartile. Low-income and severely burdened seniors also cut back drastically on healthcare, spending 60 percent less than other low-income seniors. High housing costs affect where people live, and may constrain families with children to neighborhoods and locations that do not support healthy child development, or upward economic mobility. There may also be aggregate consequences if people are priced out of a high cost but highly productive markets, and choose to live in another area altogether. This affects the wages of that worker, and overall productivity in the nation. Recent work by Berkeley economists estimates that had higher housing costs not inhibited the movement of workers and capital over the past four decades, national output would have been 10 percent higher in 2009. 10 Higher cost housing may be a greater obstacle for low-wage earners, exacerbating inequality and locking in economic differences across states. 11 The differential mobility also may have very long term effects on inequality, because many of the areas to which more highly educated workers may move have higher levels of intergenerational mobility than the areas in which less educated workers remain. 12 The Federal Role: Low Income Housing Tax Credit In terms of Federal response, Tax Policy plays a key role in housing markets. For affordable rental housing, this is primarily through the Low Income Housing Tax Credit (LIHTC), the largest source of federal financing for the private production and rehabilitation of affordable rental housing in the country. 13 I will focus my policy comments on LIHTC. 9 Joint Center for Housing Studies, The State of the Nation's Housing 2017. 11 Ganong, P., & Shoag, D. (2015). Why Has Regional Income Convergence in the U.S. Declined? (Working Paper). Cambridge, MA: Harvard Kennedy School. 10 Hsieh, C., & Moretti, E. (2017). Housing Constraints and Spatial Misallocation (Working Paper). Berkeley, CA: National Bureau of Economic Research (NBER). 12 Schleicher, D. (2017). Stuck! The Law and Economics of Residential Stability. Yale Law Journal, 127 (forthcoming). 13 https://www.huduser.gov/portal/datasets/lihtc.html Reforming and Streamlining LIHTC We now have more than thirty years of LIHTC experience to inform reforms – to increase the credit's flexibility and feasibility in a broader set of market conditions, to streamline, and to more effectively meet key policy goals. I would like to highlight three areas for improvement that are also part of S.548 (the Affordable Housing Credit Improvement Act of 2017). (1) Working in a broader set of markets, across a broader set of incomes LIHTC's federal income and associated rent limits are tied to either 50 or 60 percent of area median income during the application process. Since 2000, states are to prioritize developments reaching lowest income tenants, and indeed, nearly half (47.5 percent) of LIHTC tenants have incomes below 30 percent of Area Median Income (AMI), and 58 percent have annual incomes below $20,000. 14 Serving such households with extremely low incomes (ELI) generally requires some form of additional rental assistance, such as project-based or tenantbased vouchers, or other development-level subsidies. Without those additional subsidies, reaching lowest income households is not economically feasible in most markets. Yet those additional subsidies are in decreasing supply, may not be within the control of the HFA or developer, and even if available require coordination and layering across funding streams. Income Averaging (Section 201) can help address these challenges as well as improve economic feasibility in different market settings. Income averaging permits developments to employ an 'average income' cap of 60 percent of AMI, with no household's income exceeding 80 percent of AMI. Rents set for 80 percent of AMI can be used to offset the lower rents for those at 30 (or 40) percent of AMI. This means a broader set of incomes can be served in a development, where the additional resources needed to reach lower income households comes from within the finances of the development itself. This 'cross-subsidy' will be useful in high-cost markets, as well as for developments that are part of mixed-income community revitalization plans. It also addresses some of the issues in rural markets, where it may be necessary to serve a broader set of income ranges to be economically feasible. This greater flexibility is one of the most important LIHTC reforms. Permitting states to increase the maximum basis boost for serving ELI tenants (Section 309) adds a similar flexibility in terms of identifying resources within LIHTC for reaching lowest income households, avoiding additional layering of financing and the associated complexities. Finally, broadening the definition of Difficult Development Areas (DDAs, Section 402) to automatically include Indian areas (along with the increased DDA cap, Section 311) also enable the credit to work in a different, high need environment that it has historically underserved. 14 "Understanding Whom the LIHTC Program Serves: Data on Tenants in LIHTC Units as of December 31, 2014. HUD USER." 2017. Accessed April 19. https://www.huduser.gov/portal/publications/ LIHTCTenantReport-2014.html. (2) Achieving Locational Goals Over time and in practice, at least two (potentially conflicting) locational goals have emerged. On the one hand, there is a desire to avoid locating subsidized housing in neighborhoods in which poverty rates are already high, as this may further concentrate poverty. An additional concern is that high poverty neighborhoods may lack conditions conducive to self-sufficiency and economic mobility. Recent work by Raj Chetty and his co-authors, looking at the adult outcomes for children in assisted housing affirms that neighborhoods matter; children provided access to lower poverty neighborhoods were more likely to go to college and had higher earnings as adults. 15 On the other hand, the desire to preserve existing affordable housing might drive investments to higher poverty neighborhood, and it is argued that such investments might spur broader community revitalization. This community reinvestment goal was made explicit in 2000, when the Community Renewal Tax Relief Act of 2000 required states to give preference to applications for LIHTC developments in area of lower income/higher poverty (Qualified Census Tracts or QCTs) with concerted community revitalization plans. Recent research provides compelling evidence that LIHTC developments in low-income neighborhoods do indeed have positive effects on the surrounding neighborhood, increasing property values, lowering crime, and attracting a more racially and economically diverse population. 16 How states are to balance these competing goals remains a live debate. To achieve either locational goal, however – siting LIHTC in higher income/higher opportunity neighborhoods or contributing to neighborhood improvement through LIHTC investments, requires two reforms contained in S548. In terms of accessing higher income neighborhoods, Section 308 would prohibit local approval and contribution requirements. Beyond the federal requirement that agencies provide notice to local government and a reasonable opportunity to comment on planned LIHTC developments, 17 some states also require proof of local support or provide other competitive points for such support. Such local approvals can, in essence, give jurisdictions the ability to veto developments. Considerable anecdotal evidence from developers and states suggest such 'veto power' creates sizable location barriers in some states. In terms of prioritizing developments in QCTs with concerted community revitalization plans, no guidance has been provided on who is to define what constitutes such a plan. In the absence of clarity, some states have provided the same prioritization to all developments proposed in QCTs, regardless of evidence of a plan. Clarification that states have the authority to determine the definition of community revitalization plan (Section 307) would encourage states to employ prioritization that is consistent with federal intent. 15 Chetty, R., Hendren, N., & Katz, L. F. (2016). The Effects of Exposure to Better Neighborhoods on Children: New Evidence from the Moving to Opportunity Experiment. American Economic Review, 106(4), 855-902. 17 26 U.S.C. § 42(m)(1)(A)(ii). 16 Diamond, R & McQuade, T. 2016. Who Wants Affordable Housing in Their Backyard? An Equilibrium Analysis of Low Income Property Developments. Preservation of existing affordable housing LIHTC is also used for the preservation of existing affordable housing, primarily through the so-called 4 percent credit. Preserving existing affordable housing is a key (and potentially cost-effective) strategy for narrowing the gap between demand and supply. Due to how the credit formula is calculated, its value actually fluctuates, adding uncertainty to credit deals. While a permanent minimum has been established for the 9 percent credit 18 , Section 301 would establish a permanent minimum for the 4 percent credit. Along with modifying building repurchase rights (Section 303), this would improve the ability of the tax credit to be used for preserving existing affordable housing. Additional Reform Housing markets and needs vary greatly across jurisdictions and states. LIHTC is a federal credit, but implemented by states to permit tailoring to local conditions. It is possible to add additional flexibility to the credit that could improve cost-effectiveness by permitting a portion of the value of the credits, or of any credit expansion, to finance state (HFA)-issued vouchers. Perhaps modeled on the Tax Credit Assistance Program (TCAP) 19 in which states could apply to provide grants in lieu of credits, the funding in this case would support a set of state-issued vouchers, likely time limited to match the timing of the funding. For those markets in which there is an adequate supply of quality housing across a range of price points, it may be more cost effective to permit states to utilize tenant-based vouchers. LIHTC Resources Finally, I want to end by making a point about the level of resources for LIHTC. Due to the nature of how investors in LIHTC properties receive tax benefits -- through both the credit and through losses, any decrease in corporate tax rates also lowers the amount of equity raised by the credit. LIHTC funding is predicted to decline by up to 17 percent under expected decreases in the corporate tax rate if per-capita allocations are not increased to keep pace. 20 Uncertainty over future corporate rates has already led to delays in deal closing and decreases in the price investors are willing to pay for the credit. 21 This means failure to increase the per-capita allocation is equivalent to cutting LIHTC resources relative to its funding in recent years. This also means that some amount of increase in the per-capita allocation is budget neutral relative to past years. Given the 18 Protecting Americans from Tax Hikes Act of 2015 (PATH). 20 https://www.novoco.com/notes-from-novogradac/how-congress-could-offset-effects-affordable-housingproduction-reduced-corporate-rate 19 The American Recovery and Reinvestment Act of 2009. 21 Capps, Kriston. 2017. "Tax Reform Hasn't Started Yet, but Affordable Housing Is Already Taking a Hit." CityLab. Accessed May 1. http://www.citylab.com/housing/2017/01/uncertainty-over-taxreform-is-already-hurting-affordable-housing/514235/. breadth and depth of affordability issues in the country, now does not seem a time to withdraw federal resources for affordable housing, particularly for LIHTC. It is, however, an opportune time to make substantive improvements in LIHTC, making it a more effective and efficient program as the nation grapples with a serious and persistent rental affordability crisis.	<urn:uuid:7459d68b-490d-47d5-afbf-65256676b165>	CC-MAIN-2017-34	http://furmancenter.org/files/NYUFurmanCenter_KOREGAN_TestimonySenateFinanceCommittee_1AUG2017.pdf	2017-08-22T12:47:13Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-34/segments/1502886110774.86/warc/CC-MAIN-20170822123737-20170822143737-00315.warc.gz	167,598,521	3,748	eng_Latn	eng_Latn	0.983387	eng_Latn	0.997601	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 311, 2147, 5201, 8126, 11252, 14572, 17568, 17939 ]	America's Affordable Housing Crisis: Challenges and Solutions Katherine M. O'Regan Professor of Public Policy and Planning, NYU's Robert F. Wagner Graduate School Faculty Director, NYU Furman Center for Real Estate and Urban Policy Before the Committee on Finance United States Senate Tuesday, August 1, 2017 Chairman Hatch, Ranking Member Wyden, and Members of the Committee, thank you for inviting me to appear today to discuss America's affordable housing crisis, challenges and solutions. I am speaking today from my perspective as a researcher, particularly on affordable housing policy, and from my experience at the Department of Housing and Urban Development, where I chaired the cross-agency Rental Policy Working Group (RPWG) which specifically focused on alignment of federal rental programs and rental affordability. American's Affordable Housing Crisis As has been reported widely and frequently in the press, and documented well by the researchers at Harvard's Joint Center, the Furman Center and many others, we have a housing affordability crisis in this country that is not going away. Let me start with just some facts. - Housing cost burdens are extremely high, particularly for renters Using the affordability standard of spending no more than 30 percent of income on housing, in 2015 nearly 39 million households were 'cost burdened.' 1 This is about a third of all households in America. And renters are much more likely to face cost burdens. Nearly half (48.3 percent) of all renters were cost burdened in 2015. More than a quarter (25.6 percent) face severe cost burdens, spending at least half of their income on housing. - These rates remain far above pre-housing crisis levels While rent cost burdens have declined slightly since their peak in 2011, they remain considerably above pre-housing crisis levels. Focusing on those most burdened, 11.1 million renter households were severely cost burdened in 2015, nearly 4 million more than in 2001. Source: Joint Center for Housing Studies, The State of the Nation's Housing 2017. 1 Joint Center for Housing Studies. The State of the Nation's Housing 2017. - Affordability challenges are widespread – beyond highest cost cities and lowest income households Affordability issues are not limited to highest-cost markets or a handful of states. With more than 30 percent of its renters experiencing severe cost burdens, Augusta, GA is among the ten metropolitan areas with the highest rates of severe burdens for renters, for example. 2 While Florida, California and Hawaii had the highest shares of renters facing cost burdens, at least 37% of renter households in every state across the nation were cost burdened in 2014. 3 High levels of cost burdens are also not confined to larger metropolitan areas. Almost 12 million households living outside the top 100 metropolitan areas are cost burdened, about half of whom are severely burdened. 4 The sharpest growth in cost-burdened shares over the past decade and a half has been among middle-income households: burdened households within the middle quintile of the income distribution increased from 13 percent in 2001 to 25 percent in 2014. 5 Looking specifically at cost burdens for renters by their income levels, in 2015: 6 - For renter households with incomes below $15,000 – comparable to full-time work at the federal minimum wage – more than 80 percent were cost-burdened in 2015, with 70 percent facing severe cost burdens (spending more than half of income on housing). - 64 percent of renters with incomes between $15,000 and $30,000 were cost-burdened in 2015, 32 percent severely so. - Over 40 percent of renters earning between $30,000 and $45,000 were cost-burdened in 2015. - Housing supply is not keeping up with demand The country has experienced seven consecutive years of growth in new construction, with 1.17 million housing units added to the national stock in 2016. 7 Even with this, construction is well below the historical annual rates of 1.4 to 1.5 million experienced during the 1980s and 1990s. Housing completions in the last 10 years are lower than any other 10-year period since the late 1970s. Despite the gains in multifamily construction, rental markets remain extremely tight. Based on the Housing Vacancy survey, the Joint Center reports that rental vacancy rates continued to decline for the seventh year in a row. 8 In 2016, the rental vacancy rate fell to its lowest level in 30 years, 6.9 percent. Throughout the country, rent increases continue to far exceed inflation. 2 Joint Center for Housing Studies, The State of the Nations Housing 2017. 4 3 Joint Center for Housing Studies. Rental Housing Affordability 2015, Appendix Tables &Additional Web-only Tables, A-5. Smaller metro and non metro areas. Joint Center for Housing Studies, The State of the Nation's Housing 2017. 6 Joint Center for Housing Studies, The State of the Nation's Housing 2017. Chapter 7-Appendix Tables. 5 Joint Center for Housing Studies. Rental Housing Affordability 2015. 7 8 Joint Center for Housing Studies, The State of the Nation's Housing 2017. Joint Center for Housing Studies, The State of the Nation's Housing 2017. Meanwhile, over the past 15 years, there has been a shift in the rental stock toward the higher end. Nearly half of the 100 largest metropolitan areas reported absolute declines in the number of low rent units, even as their housing stocks increased. 9 Consequences of high housing costs There are obvious reasons to be concerned about the escalating costs of housing and the myriad of ways it affects people. Households spending large portions, even half or more of their incomes on housing, face difficult tradeoffs in how to meet their basic needs with what remains. For example, severely cost-burdened families with children who are in the bottom quartile of income spend 75 percent less on healthcare than non-burdened families in the same income quartile. Low-income and severely burdened seniors also cut back drastically on healthcare, spending 60 percent less than other low-income seniors. High housing costs affect where people live, and may constrain families with children to neighborhoods and locations that do not support healthy child development, or upward economic mobility. There may also be aggregate consequences if people are priced out of a high cost but highly productive markets, and choose to live in another area altogether. This affects the wages of that worker, and overall productivity in the nation. Recent work by Berkeley economists estimates that had higher housing costs not inhibited the movement of workers and capital over the past four decades, national output would have been 10 percent higher in 2009. 10 Higher cost housing may be a greater obstacle for low-wage earners, exacerbating inequality and locking in economic differences across states. 11 The differential mobility also may have very long term effects on inequality, because many of the areas to which more highly educated workers may move have higher levels of intergenerational mobility than the areas in which less educated workers remain. 12 The Federal Role: Low Income Housing Tax Credit In terms of Federal response, Tax Policy plays a key role in housing markets. For affordable rental housing, this is primarily through the Low Income Housing Tax Credit (LIHTC), the largest source of federal financing for the private production and rehabilitation of affordable rental housing in the country. 13 I will focus my policy comments on LIHTC. 9 Joint Center for Housing Studies, The State of the Nation's Housing 2017. 11 Ganong, P., & Shoag, D. (2015). Why Has Regional Income Convergence in the U.S. Declined? (Working Paper). Cambridge, MA: Harvard Kennedy School. 10 Hsieh, C., & Moretti, E. (2017). Housing Constraints and Spatial Misallocation (Working Paper). Berkeley, CA: National Bureau of Economic Research (NBER). 12 Schleicher, D. (2017). Stuck! The Law and Economics of Residential Stability. Yale Law Journal, 127 (forthcoming). 13 https://www.huduser.gov/portal/datasets/lihtc.html Reforming and Streamlining LIHTC We now have more than thirty years of LIHTC experience to inform reforms – to increase the credit's flexibility and feasibility in a broader set of market conditions, to streamline, and to more effectively meet key policy goals. I would like to highlight three areas for improvement that are also part of S.548 (the Affordable Housing Credit Improvement Act of 2017). (1) Working in a broader set of markets, across a broader set of incomes LIHTC's federal income and associated rent limits are tied to either 50 or 60 percent of area median income during the application process. Since 2000, states are to prioritize developments reaching lowest income tenants, and indeed, nearly half (47.5 percent) of LIHTC tenants have incomes below 30 percent of Area Median Income (AMI), and 58 percent have annual incomes below $20,000. 14 Serving such households with extremely low incomes (ELI) generally requires some form of additional rental assistance, such as project-based or tenantbased vouchers, or other development-level subsidies. Without those additional subsidies, reaching lowest income households is not economically feasible in most markets. Yet those additional subsidies are in decreasing supply, may not be within the control of the HFA or developer, and even if available require coordination and layering across funding streams. Income Averaging (Section 201) can help address these challenges as well as improve economic feasibility in different market settings. Income averaging permits developments to employ an 'average income' cap of 60 percent of AMI, with no household's income exceeding 80 percent of AMI. Rents set for 80 percent of AMI can be used to offset the lower rents for those at 30 (or 40) percent of AMI. This means a broader set of incomes can be served in a development, where the additional resources needed to reach lower income households comes from within the finances of the development itself. This 'cross-subsidy' will be useful in high-cost markets, as well as for developments that are part of mixed-income community revitalization plans. It also addresses some of the issues in rural markets, where it may be necessary to serve a broader set of income ranges to be economically feasible. This greater flexibility is one of the most important LIHTC reforms. Permitting states to increase the maximum basis boost for serving ELI tenants (Section 309) adds a similar flexibility in terms of identifying resources within LIHTC for reaching lowest income households, avoiding additional layering of financing and the associated complexities. Finally, broadening the definition of Difficult Development Areas (DDAs, Section 402) to automatically include Indian areas (along with the increased DDA cap, Section 311) also enable the credit to work in a different, high need environment that it has historically underserved. 14 "Understanding Whom the LIHTC Program Serves: Data on Tenants in LIHTC Units as of December 31, 2014. HUD USER." 2017. Accessed April 19. https://www.huduser.gov/portal/publications/ LIHTCTenantReport-2014.html. (2) Achieving Locational Goals Over time and in practice, at least two (potentially conflicting) locational goals have emerged. On the one hand, there is a desire to avoid locating subsidized housing in neighborhoods in which poverty rates are already high, as this may further concentrate poverty. An additional concern is that high poverty neighborhoods may lack conditions conducive to self-sufficiency and economic mobility. Recent work by Raj Chetty and his co-authors, looking at the adult outcomes for children in assisted housing affirms that neighborhoods matter; children provided access to lower poverty neighborhoods were more likely to go to college and had higher earnings as adults. 15 On the other hand, the desire to preserve existing affordable housing might drive investments to higher poverty neighborhood, and it is argued that such investments might spur broader community revitalization. This community reinvestment goal was made explicit in 2000, when the Community Renewal Tax Relief Act of 2000 required states to give preference to applications for LIHTC developments in area of lower income/higher poverty (Qualified Census Tracts or QCTs) with concerted community revitalization plans. Recent research provides compelling evidence that LIHTC developments in low-income neighborhoods do indeed have positive effects on the surrounding neighborhood, increasing property values, lowering crime, and attracting a more racially and economically diverse population. 16 How states are to balance these competing goals remains a live debate. To achieve either locational goal, however – siting LIHTC in higher income/higher opportunity neighborhoods or contributing to neighborhood improvement through LIHTC investments, requires two reforms contained in S548. In terms of accessing higher income neighborhoods, Section 308 would prohibit local approval and contribution requirements. Beyond the federal requirement that agencies provide notice to local government and a reasonable opportunity to comment on planned LIHTC developments, 17 some states also require proof of local support or provide other competitive points for such support. Such local approvals can, in essence, give jurisdictions the ability to veto developments. Considerable anecdotal evidence from developers and states suggest such 'veto power' creates sizable location barriers in some states. In terms of prioritizing developments in QCTs with concerted community revitalization plans, no guidance has been provided on who is to define what constitutes such a plan. In the absence of clarity, some states have provided the same prioritization to all developments proposed in QCTs, regardless of evidence of a plan. Clarification that states have the authority to determine the definition of community revitalization plan (Section 307) would encourage states to employ prioritization that is consistent with federal intent. 15 Chetty, R., Hendren, N., & Katz, L. F. (2016). The Effects of Exposure to Better Neighborhoods on Children: New Evidence from the Moving to Opportunity Experiment. American Economic Review, 106(4), 855-902. 17 26 U.S.C. § 42(m)(1)(A)(ii). 16 Diamond, R & McQuade, T. 2016. Who Wants Affordable Housing in Their Backyard? An Equilibrium Analysis of Low Income Property Developments. Preservation of existing affordable housing LIHTC is also used for the preservation of existing affordable housing, primarily through the so-called 4 percent credit. Preserving existing affordable housing is a key (and potentially cost-effective) strategy for narrowing the gap between demand and supply. Due to how the credit formula is calculated, its value actually fluctuates, adding uncertainty to credit deals. While a permanent minimum has been established for the 9 percent credit 18 , Section 301 would establish a permanent minimum for the 4 percent credit. Along with modifying building repurchase rights (Section 303), this would improve the ability of the tax credit to be used for preserving existing affordable housing. Additional Reform Housing markets and needs vary greatly across jurisdictions and states. LIHTC is a federal credit, but implemented by states to permit tailoring to local conditions. It is possible to add additional flexibility to the credit that could improve cost-effectiveness by permitting a portion of the value of the credits, or of any credit expansion, to finance state (HFA)-issued vouchers. Perhaps modeled on the Tax Credit Assistance Program (TCAP) 19 in which states could apply to provide grants in lieu of credits, the funding in this case would support a set of state-issued vouchers, likely time limited to match the timing of the funding. For those markets in which there is an adequate supply of quality housing across a range of price points, it may be more cost effective to permit states to utilize tenant-based vouchers. LIHTC Resources Finally, I want to end by making a point about the level of resources for LIHTC. Due to the nature of how investors in LIHTC properties receive tax benefits -- through both the credit and through losses, any decrease in corporate tax rates also lowers the amount of equity raised by the credit. LIHTC funding is predicted to decline by up to 17 percent under expected decreases in the corporate tax rate if per-capita allocations are not increased to keep pace. 20 Uncertainty over future corporate rates has already led to delays in deal closing and decreases in the price investors are willing to pay for the credit. 21 This means failure to increase the per-capita allocation is equivalent to cutting LIHTC resources relative to its funding in recent years. This also means that some amount of increase in the per-capita allocation is budget neutral relative to past years. Given the 18 Protecting Americans from Tax Hikes Act of 2015 (PATH). 20 https://www.novoco.com/notes-from-novogradac/how-congress-could-offset-effects-affordable-housingproduction-reduced-corporate-rate 19 The American Recovery and Reinvestment Act of 2009. 21 Capps, Kriston. 2017. "Tax Reform Hasn't Started Yet, but Affordable Housing Is Already Taking a Hit." CityLab. Accessed May 1. http://www.citylab.com/housing/2017/01/uncertainty-over-taxreform-is-already-hurting-affordable-housing/514235/. breadth and depth of affordability issues in the country, now does not seem a time to withdraw federal resources for affordable housing, particularly for LIHTC. It is, however, an opportune time to make substant	ive improvements in LIHTC, making it a more effective and efficient program as the nation grapples with a serious and persistent rental affordability crisis.		17,782	inside_word	substantive	remove_one_sentence	<url> http://furmancenter.org/files/NYUFurmanCenter_KOREGAN_TestimonySenateFinanceCommittee_1AUG2017.pdf </url> <text> America's Affordable Housing Crisis: Challenges and Solutions Katherine M. O'Regan Professor of Public Policy and Planning, NYU's Robert F. Wagner Graduate School Faculty Director, NYU Furman Center for Real Estate and Urban Policy Before the Committee on Finance United States Senate Tuesday, August 1, 2017 Chairman Hatch, Ranking Member Wyden, and Members of the Committee, thank you for inviting me to appear today to discuss America's affordable housing crisis, challenges and solutions. I am speaking today from my perspective as a researcher, particularly on affordable housing policy, and from my experience at the Department of Housing and Urban Development, where I chaired the cross-agency Rental Policy Working Group (RPWG) which specifically focused on alignment of federal rental programs and rental affordability. American's Affordable Housing Crisis As has been reported widely and frequently in the press, and documented well by the researchers at Harvard's Joint Center, the Furman Center and many others, we have a housing affordability crisis in this country that is not going away. Let me start with just some facts. - Housing cost burdens are extremely high, particularly for renters Using the affordability standard of spending no more than 30 percent of income on housing, in 2015 nearly 39 million households were 'cost burdened.' 1 This is about a third of all households in America. And renters are much more likely to face cost burdens. Nearly half (48.3 percent) of all renters were cost burdened in 2015. More than a quarter (25.6 percent) face severe cost burdens, spending at least half of their income on housing. - These rates remain far above pre-housing crisis levels While rent cost burdens have declined slightly since their peak in 2011, they remain considerably above pre-housing crisis levels. Focusing on those most burdened, 11.1 million renter households were severely cost burdened in 2015, nearly 4 million more than in 2001. Source: Joint Center for Housing Studies, The State of the Nation's Housing 2017. 1 Joint Center for Housing Studies. The State of the Nation's Housing 2017. - Affordability challenges are widespread – beyond highest cost cities and lowest income households Affordability issues are not limited to highest-cost markets or a handful of states. With more than 30 percent of its renters experiencing severe cost burdens, Augusta, GA is among the ten metropolitan areas with the highest rates of severe burdens for renters, for example. 2 While Florida, California and Hawaii had the highest shares of renters facing cost burdens, at least 37% of renter households in every state across the nation were cost burdened in 2014. 3 High levels of cost burdens are also not confined to larger metropolitan areas. Almost 12 million households living outside the top 100 metropolitan areas are cost burdened, about half of whom are severely burdened. 4 The sharpest growth in cost-burdened shares over the past decade and a half has been among middle-income households: burdened households within the middle quintile of the income distribution increased from 13 percent in 2001 to 25 percent in 2014. 5 Looking specifically at cost burdens for renters by their income levels, in 2015: 6 - For renter households with incomes below $15,000 – comparable to full-time work at the federal minimum wage – more than 80 percent were cost-burdened in 2015, with 70 percent facing severe cost burdens (spending more than half of income on housing). - 64 percent of renters with incomes between $15,000 and $30,000 were cost-burdened in 2015, 32 percent severely so. - Over 40 percent of renters earning between $30,000 and $45,000 were cost-burdened in 2015. - Housing supply is not keeping up with demand The country has experienced seven consecutive years of growth in new construction, with 1.17 million housing units added to the national stock in 2016. 7 Even with this, construction is well below the historical annual rates of 1.4 to 1.5 million experienced during the 1980s and 1990s. Housing completions in the last 10 years are lower than any other 10-year period since the late 1970s. Despite the gains in multifamily construction, rental markets remain extremely tight. Based on the Housing Vacancy survey, the Joint Center reports that rental vacancy rates continued to decline for the seventh year in a row. 8 In 2016, the rental vacancy rate fell to its lowest level in 30 years, 6.9 percent. Throughout the country, rent increases continue to far exceed inflation. 2 Joint Center for Housing Studies, The State of the Nations Housing 2017. 4 3 Joint Center for Housing Studies. Rental Housing Affordability 2015, Appendix Tables &Additional Web-only Tables, A-5. Smaller metro and non metro areas. Joint Center for Housing Studies, The State of the Nation's Housing 2017. 6 Joint Center for Housing Studies, The State of the Nation's Housing 2017. Chapter 7-Appendix Tables. 5 Joint Center for Housing Studies. Rental Housing Affordability 2015. 7 8 Joint Center for Housing Studies, The State of the Nation's Housing 2017. Joint Center for Housing Studies, The State of the Nation's Housing 2017. Meanwhile, over the past 15 years, there has been a shift in the rental stock toward the higher end. Nearly half of the 100 largest metropolitan areas reported absolute declines in the number of low rent units, even as their housing stocks increased. 9 Consequences of high housing costs There are obvious reasons to be concerned about the escalating costs of housing and the myriad of ways it affects people. Households spending large portions, even half or more of their incomes on housing, face difficult tradeoffs in how to meet their basic needs with what remains. For example, severely cost-burdened families with children who are in the bottom quartile of income spend 75 percent less on healthcare than non-burdened families in the same income quartile. Low-income and severely burdened seniors also cut back drastically on healthcare, spending 60 percent less than other low-income seniors. High housing costs affect where people live, and may constrain families with children to neighborhoods and locations that do not support healthy child development, or upward economic mobility. There may also be aggregate consequences if people are priced out of a high cost but highly productive markets, and choose to live in another area altogether. This affects the wages of that worker, and overall productivity in the nation. Recent work by Berkeley economists estimates that had higher housing costs not inhibited the movement of workers and capital over the past four decades, national output would have been 10 percent higher in 2009. 10 Higher cost housing may be a greater obstacle for low-wage earners, exacerbating inequality and locking in economic differences across states. 11 The differential mobility also may have very long term effects on inequality, because many of the areas to which more highly educated workers may move have higher levels of intergenerational mobility than the areas in which less educated workers remain. 12 The Federal Role: Low Income Housing Tax Credit In terms of Federal response, Tax Policy plays a key role in housing markets. For affordable rental housing, this is primarily through the Low Income Housing Tax Credit (LIHTC), the largest source of federal financing for the private production and rehabilitation of affordable rental housing in the country. 13 I will focus my policy comments on LIHTC. 9 Joint Center for Housing Studies, The State of the Nation's Housing 2017. 11 Ganong, P., & Shoag, D. (2015). Why Has Regional Income Convergence in the U.S. Declined? (Working Paper). Cambridge, MA: Harvard Kennedy School. 10 Hsieh, C., & Moretti, E. (2017). Housing Constraints and Spatial Misallocation (Working Paper). Berkeley, CA: National Bureau of Economic Research (NBER). 12 Schleicher, D. (2017). Stuck! The Law and Economics of Residential Stability. Yale Law Journal, 127 (forthcoming). 13 https://www.huduser.gov/portal/datasets/lihtc.html Reforming and Streamlining LIHTC We now have more than thirty years of LIHTC experience to inform reforms – to increase the credit's flexibility and feasibility in a broader set of market conditions, to streamline, and to more effectively meet key policy goals. I would like to highlight three areas for improvement that are also part of S.548 (the Affordable Housing Credit Improvement Act of 2017). (1) Working in a broader set of markets, across a broader set of incomes LIHTC's federal income and associated rent limits are tied to either 50 or 60 percent of area median income during the application process. Since 2000, states are to prioritize developments reaching lowest income tenants, and indeed, nearly half (47.5 percent) of LIHTC tenants have incomes below 30 percent of Area Median Income (AMI), and 58 percent have annual incomes below $20,000. 14 Serving such households with extremely low incomes (ELI) generally requires some form of additional rental assistance, such as project-based or tenantbased vouchers, or other development-level subsidies. Without those additional subsidies, reaching lowest income households is not economically feasible in most markets. Yet those additional subsidies are in decreasing supply, may not be within the control of the HFA or developer, and even if available require coordination and layering across funding streams. Income Averaging (Section 201) can help address these challenges as well as improve economic feasibility in different market settings. Income averaging permits developments to employ an 'average income' cap of 60 percent of AMI, with no household's income exceeding 80 percent of AMI. Rents set for 80 percent of AMI can be used to offset the lower rents for those at 30 (or 40) percent of AMI. This means a broader set of incomes can be served in a development, where the additional resources needed to reach lower income households comes from within the finances of the development itself. This 'cross-subsidy' will be useful in high-cost markets, as well as for developments that are part of mixed-income community revitalization plans. It also addresses some of the issues in rural markets, where it may be necessary to serve a broader set of income ranges to be economically feasible. This greater flexibility is one of the most important LIHTC reforms. Permitting states to increase the maximum basis boost for serving ELI tenants (Section 309) adds a similar flexibility in terms of identifying resources within LIHTC for reaching lowest income households, avoiding additional layering of financing and the associated complexities. Finally, broadening the definition of Difficult Development Areas (DDAs, Section 402) to automatically include Indian areas (along with the increased DDA cap, Section 311) also enable the credit to work in a different, high need environment that it has historically underserved. 14 "Understanding Whom the LIHTC Program Serves: Data on Tenants in LIHTC Units as of December 31, 2014. HUD USER." 2017. Accessed April 19. https://www.huduser.gov/portal/publications/ LIHTCTenantReport-2014.html. (2) Achieving Locational Goals Over time and in practice, at least two (potentially conflicting) locational goals have emerged. On the one hand, there is a desire to avoid locating subsidized housing in neighborhoods in which poverty rates are already high, as this may further concentrate poverty. An additional concern is that high poverty neighborhoods may lack conditions conducive to self-sufficiency and economic mobility. Recent work by Raj Chetty and his co-authors, looking at the adult outcomes for children in assisted housing affirms that neighborhoods matter; children provided access to lower poverty neighborhoods were more likely to go to college and had higher earnings as adults. 15 On the other hand, the desire to preserve existing affordable housing might drive investments to higher poverty neighborhood, and it is argued that such investments might spur broader community revitalization. This community reinvestment goal was made explicit in 2000, when the Community Renewal Tax Relief Act of 2000 required states to give preference to applications for LIHTC developments in area of lower income/higher poverty (Qualified Census Tracts or QCTs) with concerted community revitalization plans. Recent research provides compelling evidence that LIHTC developments in low-income neighborhoods do indeed have positive effects on the surrounding neighborhood, increasing property values, lowering crime, and attracting a more racially and economically diverse population. 16 How states are to balance these competing goals remains a live debate. To achieve either locational goal, however – siting LIHTC in higher income/higher opportunity neighborhoods or contributing to neighborhood improvement through LIHTC investments, requires two reforms contained in S548. In terms of accessing higher income neighborhoods, Section 308 would prohibit local approval and contribution requirements. Beyond the federal requirement that agencies provide notice to local government and a reasonable opportunity to comment on planned LIHTC developments, 17 some states also require proof of local support or provide other competitive points for such support. Such local approvals can, in essence, give jurisdictions the ability to veto developments. Considerable anecdotal evidence from developers and states suggest such 'veto power' creates sizable location barriers in some states. In terms of prioritizing developments in QCTs with concerted community revitalization plans, no guidance has been provided on who is to define what constitutes such a plan. In the absence of clarity, some states have provided the same prioritization to all developments proposed in QCTs, regardless of evidence of a plan. Clarification that states have the authority to determine the definition of community revitalization plan (Section 307) would encourage states to employ prioritization that is consistent with federal intent. 15 Chetty, R., Hendren, N., & Katz, L. F. (2016). The Effects of Exposure to Better Neighborhoods on Children: New Evidence from the Moving to Opportunity Experiment. American Economic Review, 106(4), 855-902. 17 26 U.S.C. § 42(m)(1)(A)(ii). 16 Diamond, R & McQuade, T. 2016. Who Wants Affordable Housing in Their Backyard? An Equilibrium Analysis of Low Income Property Developments. Preservation of existing affordable housing LIHTC is also used for the preservation of existing affordable housing, primarily through the so-called 4 percent credit. Preserving existing affordable housing is a key (and potentially cost-effective) strategy for narrowing the gap between demand and supply. Due to how the credit formula is calculated, its value actually fluctuates, adding uncertainty to credit deals. While a permanent minimum has been established for the 9 percent credit 18 , Section 301 would establish a permanent minimum for the 4 percent credit. Along with modifying building repurchase rights (Section 303), this would improve the ability of the tax credit to be used for preserving existing affordable housing. Additional Reform Housing markets and needs vary greatly across jurisdictions and states. LIHTC is a federal credit, but implemented by states to permit tailoring to local conditions. It is possible to add additional flexibility to the credit that could improve cost-effectiveness by permitting a portion of the value of the credits, or of any credit expansion, to finance state (HFA)-issued vouchers. Perhaps modeled on the Tax Credit Assistance Program (TCAP) 19 in which states could apply to provide grants in lieu of credits, the funding in this case would support a set of state-issued vouchers, likely time limited to match the timing of the funding. For those markets in which there is an adequate supply of quality housing across a range of price points, it may be more cost effective to permit states to utilize tenant-based vouchers. LIHTC Resources Finally, I want to end by making a point about the level of resources for LIHTC. Due to the nature of how investors in LIHTC properties receive tax benefits -- through both the credit and through losses, any decrease in corporate tax rates also lowers the amount of equity raised by the credit. LIHTC funding is predicted to decline by up to 17 percent under expected decreases in the corporate tax rate if per-capita allocations are not increased to keep pace. 20 Uncertainty over future corporate rates has already led to delays in deal closing and decreases in the price investors are willing to pay for the credit. 21 This means failure to increase the per-capita allocation is equivalent to cutting LIHTC resources relative to its funding in recent years. This also means that some amount of increase in the per-capita allocation is budget neutral relative to past years. Given the 18 Protecting Americans from Tax Hikes Act of 2015 (PATH). 20 https://www.novoco.com/notes-from-novogradac/how-congress-could-offset-effects-affordable-housingproduction-reduced-corporate-rate 19 The American Recovery and Reinvestment Act of 2009. 21 Capps, Kriston. 2017. "Tax Reform Hasn't Started Yet, but Affordable Housing Is Already Taking a Hit." CityLab. Accessed May 1. http://www.citylab.com/housing/2017/01/uncertainty-over-taxreform-is-already-hurting-affordable-housing/514235/. breadth and depth of affordability issues in the country, now does not seem a time to withdraw federal resources for affordable housing, particularly for LIHTC. It is, however, an opportune time to make substant<cursor_is_here> </text>	[ { "content": "<url>\nhttp://furmancenter.org/files/NYUFurmanCenter_KOREGAN_TestimonySenateFinanceCommittee_1AUG2017.pdf\n</url>\n<text>\nAmerica's Affordable Housing Crisis: Challenges and Solutions\n\nKatherine M. O'Regan Professor of Public Policy and Planning, NYU's Robert F. Wagner Graduate School Faculty Director, NYU Furman Center for Real Estate and Urban Policy\n\nBefore the Committee on Finance United States Senate\n\nTuesday, August 1, 2017\n\nChairman Hatch, Ranking Member Wyden, and Members of the Committee, thank you for inviting me to appear today to discuss America's affordable housing crisis, challenges and solutions. I am speaking today from my perspective as a researcher, particularly on affordable housing policy, and from my experience at the Department of Housing and Urban Development, where I chaired the cross-agency Rental Policy Working Group (RPWG) which specifically focused on alignment of federal rental programs and rental affordability.\n\nAmerican's Affordable Housing Crisis\n\nAs has been reported widely and frequently in the press, and documented well by the researchers at Harvard's Joint Center, the Furman Center and many others, we have a housing affordability crisis in this country that is not going away. Let me start with just some facts.\n\n- Housing cost burdens are extremely high, particularly for renters\n\nUsing the affordability standard of spending no more than 30 percent of income on housing, in 2015 nearly 39 million households were 'cost burdened.' 1 This is about a third of all households in America. And renters are much more likely to face cost burdens. Nearly half (48.3 percent) of all renters were cost burdened in 2015. More than a quarter (25.6 percent) face severe cost burdens, spending at least half of their income on housing.\n\n- These rates remain far above pre-housing crisis levels\n\nWhile rent cost burdens have declined slightly since their peak in 2011, they remain considerably above pre-housing crisis levels. Focusing on those most burdened, 11.1 million renter households were severely cost burdened in 2015, nearly 4 million more than in 2001.\n\nSource: Joint Center for Housing Studies, The State of the Nation's Housing 2017.\n\n1 Joint Center for Housing Studies. The State of the Nation's Housing 2017.\n\n- Affordability challenges are widespread – beyond highest cost cities and lowest income households\n\nAffordability issues are not limited to highest-cost markets or a handful of states. With more than 30 percent of its renters experiencing severe cost burdens, Augusta, GA is among the ten metropolitan areas with the highest rates of severe burdens for renters, for example. 2 While Florida, California and Hawaii had the highest shares of renters facing cost burdens, at least 37% of renter households in every state across the nation were cost burdened in 2014. 3 High levels of cost burdens are also not confined to larger metropolitan areas. Almost 12 million households living outside the top 100 metropolitan areas are cost burdened, about half of whom are severely burdened. 4\n\nThe sharpest growth in cost-burdened shares over the past decade and a half has been among middle-income households: burdened households within the middle quintile of the income distribution increased from 13 percent in 2001 to 25 percent in 2014. 5\n\nLooking specifically at cost burdens for renters by their income levels, in 2015: 6\n\n- For renter households with incomes below $15,000 – comparable to full-time work at the federal minimum wage – more than 80 percent were cost-burdened in 2015, with 70 percent facing severe cost burdens (spending more than half of income on housing).\n- 64 percent of renters with incomes between $15,000 and $30,000 were cost-burdened in 2015, 32 percent severely so.\n- Over 40 percent of renters earning between $30,000 and $45,000 were cost-burdened in 2015.\n\n- Housing supply is not keeping up with demand\n\nThe country has experienced seven consecutive years of growth in new construction, with 1.17 million housing units added to the national stock in 2016. 7 Even with this, construction is well below the historical annual rates of 1.4 to 1.5 million experienced during the 1980s and 1990s. Housing completions in the last 10 years are lower than any other 10-year period since the late 1970s.\n\nDespite the gains in multifamily construction, rental markets remain extremely tight. Based on the Housing Vacancy survey, the Joint Center reports that rental vacancy rates continued to decline for the seventh year in a row. 8 In 2016, the rental vacancy rate fell to its lowest level in 30 years, 6.9 percent. Throughout the country, rent increases continue to far exceed inflation.\n\n2 Joint Center for Housing Studies, The State of the Nations Housing 2017.\n\n4\n\n3 Joint Center for Housing Studies. Rental Housing Affordability 2015, Appendix Tables &Additional Web-only Tables, A-5.\n\nSmaller metro and non metro areas. Joint Center for Housing Studies, The State of the Nation's Housing 2017.\n\n6 Joint Center for Housing Studies, The State of the Nation's Housing 2017. Chapter 7-Appendix Tables.\n\n5 Joint Center for Housing Studies. Rental Housing Affordability 2015.\n\n7\n\n8 Joint Center for Housing Studies, The State of the Nation's Housing 2017.\n\nJoint Center for Housing Studies, The State of the Nation's Housing 2017.\n\nMeanwhile, over the past 15 years, there has been a shift in the rental stock toward the higher end. Nearly half of the 100 largest metropolitan areas reported absolute declines in the number of low rent units, even as their housing stocks increased. 9\n\nConsequences of high housing costs\n\nThere are obvious reasons to be concerned about the escalating costs of housing and the myriad of ways it affects people. Households spending large portions, even half or more of their incomes on housing, face difficult tradeoffs in how to meet their basic needs with what remains. For example, severely cost-burdened families with children who are in the bottom quartile of income spend 75 percent less on healthcare than non-burdened families in the same income quartile. Low-income and severely burdened seniors also cut back drastically on healthcare, spending 60 percent less than other low-income seniors.\n\nHigh housing costs affect where people live, and may constrain families with children to neighborhoods and locations that do not support healthy child development, or upward economic mobility.\n\nThere may also be aggregate consequences if people are priced out of a high cost but highly productive markets, and choose to live in another area altogether. This affects the wages of that worker, and overall productivity in the nation. Recent work by Berkeley economists estimates that had higher housing costs not inhibited the movement of workers and capital over the past four decades, national output would have been 10 percent higher in 2009. 10 Higher cost housing may be a greater obstacle for low-wage earners, exacerbating inequality and locking in economic differences across states. 11 The differential mobility also may have very long term effects on inequality, because many of the areas to which more highly educated workers may move have higher levels of intergenerational mobility than the areas in which less educated workers remain. 12\n\nThe Federal Role: Low Income Housing Tax Credit\n\nIn terms of Federal response, Tax Policy plays a key role in housing markets. For affordable rental housing, this is primarily through the Low Income Housing Tax Credit (LIHTC), the largest source of federal financing for the private production and rehabilitation of affordable rental housing in the country. 13 I will focus my policy comments on LIHTC.\n\n9 Joint Center for Housing Studies, The State of the Nation's Housing 2017.\n\n11 Ganong, P., & Shoag, D. (2015). Why Has Regional Income Convergence in the U.S. Declined? (Working Paper). Cambridge, MA: Harvard Kennedy School.\n\n10 Hsieh, C., & Moretti, E. (2017). Housing Constraints and Spatial Misallocation (Working Paper). Berkeley, CA: National Bureau of Economic Research (NBER).\n\n12 Schleicher, D. (2017). Stuck! The Law and Economics of Residential Stability. Yale Law Journal, 127 (forthcoming).\n\n13 https://www.huduser.gov/portal/datasets/lihtc.html\n\nReforming and Streamlining LIHTC\n\nWe now have more than thirty years of LIHTC experience to inform reforms – to increase the credit's flexibility and feasibility in a broader set of market conditions, to streamline, and to more effectively meet key policy goals. I would like to highlight three areas for improvement that are also part of S.548 (the Affordable Housing Credit Improvement Act of 2017).\n\n(1) Working in a broader set of markets, across a broader set of incomes\n\nLIHTC's federal income and associated rent limits are tied to either 50 or 60 percent of area median income during the application process. Since 2000, states are to prioritize developments reaching lowest income tenants, and indeed, nearly half (47.5 percent) of LIHTC tenants have incomes below 30 percent of Area Median Income (AMI), and 58 percent have annual incomes below $20,000. 14 Serving such households with extremely low incomes (ELI) generally requires some form of additional rental assistance, such as project-based or tenantbased vouchers, or other development-level subsidies. Without those additional subsidies, reaching lowest income households is not economically feasible in most markets. Yet those additional subsidies are in decreasing supply, may not be within the control of the HFA or developer, and even if available require coordination and layering across funding streams.\n\nIncome Averaging (Section 201) can help address these challenges as well as improve economic feasibility in different market settings.\n\nIncome averaging permits developments to employ an 'average income' cap of 60 percent of AMI, with no household's income exceeding 80 percent of AMI. Rents set for 80 percent of AMI can be used to offset the lower rents for those at 30 (or 40) percent of AMI. This means a broader set of incomes can be served in a development, where the additional resources needed to reach lower income households comes from within the finances of the development itself. This 'cross-subsidy' will be useful in high-cost markets, as well as for developments that are part of mixed-income community revitalization plans. It also addresses some of the issues in rural markets, where it may be necessary to serve a broader set of income ranges to be economically feasible. This greater flexibility is one of the most important LIHTC reforms.\n\nPermitting states to increase the maximum basis boost for serving ELI tenants (Section 309) adds a similar flexibility in terms of identifying resources within LIHTC for reaching lowest income households, avoiding additional layering of financing and the associated complexities. Finally, broadening the definition of Difficult Development Areas (DDAs, Section 402) to automatically include Indian areas (along with the increased DDA cap, Section 311) also enable the credit to work in a different, high need environment that it has historically underserved.\n\n14 \"Understanding Whom the LIHTC Program Serves: Data on Tenants in LIHTC Units as of December 31, 2014. HUD USER.\" 2017. Accessed April 19. https://www.huduser.gov/portal/publications/ LIHTCTenantReport-2014.html.\n\n(2) Achieving Locational Goals\n\nOver time and in practice, at least two (potentially conflicting) locational goals have emerged. On the one hand, there is a desire to avoid locating subsidized housing in neighborhoods in which poverty rates are already high, as this may further concentrate poverty. An additional concern is that high poverty neighborhoods may lack conditions conducive to self-sufficiency and economic mobility. Recent work by Raj Chetty and his co-authors, looking at the adult outcomes for children in assisted housing affirms that neighborhoods matter; children provided access to lower poverty neighborhoods were more likely to go to college and had higher earnings as adults. 15\n\nOn the other hand, the desire to preserve existing affordable housing might drive investments to higher poverty neighborhood, and it is argued that such investments might spur broader community revitalization. This community reinvestment goal was made explicit in 2000, when the Community Renewal Tax Relief Act of 2000 required states to give preference to applications for LIHTC developments in area of lower income/higher poverty (Qualified Census Tracts or QCTs) with concerted community revitalization plans. Recent research provides compelling evidence that LIHTC developments in low-income neighborhoods do indeed have positive effects on the surrounding neighborhood, increasing property values, lowering crime, and attracting a more racially and economically diverse population. 16\n\nHow states are to balance these competing goals remains a live debate. To achieve either locational goal, however – siting LIHTC in higher income/higher opportunity neighborhoods or contributing to neighborhood improvement through LIHTC investments, requires two reforms contained in S548.\n\nIn terms of accessing higher income neighborhoods, Section 308 would prohibit local approval and contribution requirements. Beyond the federal requirement that agencies provide notice to local government and a reasonable opportunity to comment on planned LIHTC developments, 17 some states also require proof of local support or provide other competitive points for such support. Such local approvals can, in essence, give jurisdictions the ability to veto developments. Considerable anecdotal evidence from developers and states suggest such 'veto power' creates sizable location barriers in some states.\n\nIn terms of prioritizing developments in QCTs with concerted community revitalization plans, no guidance has been provided on who is to define what constitutes such a plan. In the absence of clarity, some states have provided the same prioritization to all developments proposed in QCTs, regardless of evidence of a plan. Clarification that states have the authority to determine the definition of community revitalization plan (Section 307) would encourage states to employ prioritization that is consistent with federal intent.\n\n15 Chetty, R., Hendren, N., & Katz, L. F. (2016). The Effects of Exposure to Better Neighborhoods on Children: New Evidence from the Moving to Opportunity Experiment. American Economic Review, 106(4), 855-902.\n\n17 26 U.S.C. § 42(m)(1)(A)(ii).\n\n16 Diamond, R & McQuade, T. 2016. Who Wants Affordable Housing in Their Backyard? An Equilibrium Analysis of Low Income Property Developments.\n\nPreservation of existing affordable housing\n\nLIHTC is also used for the preservation of existing affordable housing, primarily through the so-called 4 percent credit. Preserving existing affordable housing is a key (and potentially cost-effective) strategy for narrowing the gap between demand and supply. Due to how the credit formula is calculated, its value actually fluctuates, adding uncertainty to credit deals. While a permanent minimum has been established for the 9 percent credit 18 , Section 301 would establish a permanent minimum for the 4 percent credit. Along with modifying building repurchase rights (Section 303), this would improve the ability of the tax credit to be used for preserving existing affordable housing.\n\nAdditional Reform\n\nHousing markets and needs vary greatly across jurisdictions and states. LIHTC is a federal credit, but implemented by states to permit tailoring to local conditions. It is possible to add additional flexibility to the credit that could improve cost-effectiveness by permitting a portion of the value of the credits, or of any credit expansion, to finance state (HFA)-issued vouchers. Perhaps modeled on the Tax Credit Assistance Program (TCAP) 19 in which states could apply to provide grants in lieu of credits, the funding in this case would support a set of state-issued vouchers, likely time limited to match the timing of the funding. For those markets in which there is an adequate supply of quality housing across a range of price points, it may be more cost effective to permit states to utilize tenant-based vouchers.\n\nLIHTC Resources\n\nFinally, I want to end by making a point about the level of resources for LIHTC. Due to the nature of how investors in LIHTC properties receive tax benefits -- through both the credit and through losses, any decrease in corporate tax rates also lowers the amount of equity raised by the credit. LIHTC funding is predicted to decline by up to 17 percent under expected decreases in the corporate tax rate if per-capita allocations are not increased to keep pace. 20 Uncertainty over future corporate rates has already led to delays in deal closing and decreases in the price investors are willing to pay for the credit. 21\n\nThis means failure to increase the per-capita allocation is equivalent to cutting LIHTC resources relative to its funding in recent years. This also means that some amount of increase in the per-capita allocation is budget neutral relative to past years. Given the\n\n18 Protecting Americans from Tax Hikes Act of 2015 (PATH).\n\n20 https://www.novoco.com/notes-from-novogradac/how-congress-could-offset-effects-affordable-housingproduction-reduced-corporate-rate\n\n19 The American Recovery and Reinvestment Act of 2009.\n\n21 Capps, Kriston. 2017. \"Tax Reform Hasn't Started Yet, but Affordable Housing Is Already Taking a Hit.\" CityLab. Accessed May 1. http://www.citylab.com/housing/2017/01/uncertainty-over-taxreform-is-already-hurting-affordable-housing/514235/.\n\nbreadth and depth of affordability issues in the country, now does not seem a time to withdraw federal resources for affordable housing, particularly for LIHTC.\n\nIt is, however, an opportune time to make substant<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "ive improvements in LIHTC, making it a more effective and efficient program as the nation grapples with a serious and persistent rental affordability crisis.", "role": "assistant" } ]
Asia-Europe Museum Network (ASEMUS) 7 th ASEMUS General Conference ENGAGED MUSEUMS: TECHNOLOGY, ACCESS AND NEW AUDIENCES 15-17 March 2017 National Museum, New Delhi, India "National Museum is the premier museum of India housing over 200,000 objects of art representing 5000 years of Indian art. I am indeed happy that we are hosting the 7 th Annual General Assembly of the Asia Europe Museum Network which aims at focusing on audience engagement. As the National Museum, it is very much our duty to set examples and undertake initiatives that inspire not only other national museums but also our regional museums. We do hope that through this innovative conference which also comprises hands-on workshops for participants, we will be able to begin a dialogue with the network of Indian museums with museums of Asia and Europe. I do hope participants will enjoy their stay in New Delhi and have a chance to explore the National Museum collection and departments." Dr. B R Mani, Director General, National Museum, Delhi, India ~~~ "I am delighted that the 2017 ASEMUS General Conference will, for the first time, be held at the National Museum, Delhi. Given the rich fabric of national, regional and local museums in India, it is fitting that this year's theme will focus on audience engagement and access, and the potential of technological advances to assist in this. It is seventeen years since ASEMUS was established at a meeting in Stockholm, Sweden. The network has grown significantly and now numbers over 140 member museums from 41 countries. It is timely that we devote part of the programme to an evaluation of past achievements and to setting the future direction of the network." Ms Fionnuala CROKE, Director, Chester Beatty Library (Dublin, Ireland) & Chair, ASEMUS Executive Committee ~~~ About the Asia-Europe Museum Network (ASEMUS) Set up in 2001, the Asia-Europe Museum Network (ASEMUS) is a cross-cultural network of museums with Asian collections. It now gathers over 140 museums in 41 countries in Asia and Europe. A full list of members is available at http://asemus.museum/asemus-members/ The Secretariat of the Network is currently located at Asian Civilisations Museum, Singapore. Currently, Ms Fionnuala CROKE, Director, Chester Beatty Library (Dublin, Ireland) is the Chair of the Executive Committee of ASEMUS and Mr Kennie TING, Director, Asian Civilisations Museum (Singapore) is Vice Chair. ASEMUS is supported by the Asia-Europe Foundation (ASEF). 1 The 7 th General Conference of the ASEMUS network takes place in New Delhi, India. General Conferences take place once in two years and usually rotate between Asia and Europe. The last General Conference took place at the Weltmuseum Wien (24-27 September 2014, Vienna, Austria). Read the report of that Conference at: http://asemus.museum/meetings/exploring-borders-2014-general-conference-vienna/ More about the network at the ASEMUS website: http://asemus.culture360.asef.org PROGRAMME (As of 9 March 2017) Wednesday, 15 March 2017: Welcome Dinner & Training Sessions Closed-door sessions (by registration) 9:00 – 10.00 am Registration Venue: Registration Desk in front of Auditorium, Ground Floor, National Museum Coffee Break Venue: Rotunda, Ground Floor, National Museum 1 The Asia-Europe Foundation (ASEF) facilitates cooperation among the people, institutions and organisations of Asia and Europe. ASEF enhances dialogue and encourages collaboration across the thematic areas of culture, economy, education, governance, public health and sustainable development. ASEF is an intergovernmental not-for-profit organisation located in Singapore. Founded in 1997, it is the only institution of the Asia-Europe Meeting (ASEM), an intergovernmental process fostering dialogue among 53 partners (30 European and 21 Asian countries, the European Union, and the ASEAN Secretariat). Together with about 750 partner organisations, ASEF has run more than 700 projects, mainly conferences, seminars and workshops. Over 20,000 Asians and Europeans have actively participated in its activities and it has reached much wider audiences through its networks, web-portals, publications, exhibitions and lectures. For more information, please visit www.ASEF.org 10:00 am – 12:30 noon Training Workshop for Young Museum Professionals: Developing Curatorial Concepts By Prof. Amareswar GALLA, Executive Director, International Institute for the Inclusive Museum Venue: Auditorium, Ground Floor, National Museum 12:30 – 2:00 pm Lunch Venue: Rotunda, Ground Floor, National Museum 2:00 – 4:00 pm Training Workshop for Young Museum Professionals: Social Media 101 for Museum Professionals Venue: National Museum Institute – Conference Room By Jordi Balta PORTOLES, Consultant, Researcher & Trainer in the areas of cultural policy and international affairs & Editor, asemus.culture360.asef.org 4:00 – 4:30 pm Coffee Break Venue: Rotunda, Ground Floor, National Museum Parallel Session from 2:00 – 6:00 pm for ASEMUS Executive Committee (ExCo) members only ASEMUS Executive Committee (ExCo) Meeting Venue: The Seminar Room, 1st Floor, National Museum Institute, National Museum Open to all 7:00 pm Welcome dinner for all General Conference delegates Venue: Indian International Centre, 40, Max Mueller Marg, New Delhi, Delhi 110003 Thursday, 16 March 2017: ASEMUS General Conference Venue: Auditorium, Ground Floor, National Museum 09:00 – 10:00 am Registration Venue: Registration Desk in front of Auditorium, Ground Floor, National Museum Morning coffee Venue: Rotunda, Ground Floor, National Museum 10: 00 – 10:30 am Opening Ceremony - Welcome remarks By Dr. B.R. Mani, Director General, National Museum, Delhi - Introducing ASEMUS By Ms Fionnuala CROKE, Director, Chester Beatty Library (Dublin, Ireland) & Chair, ASEMUS Executive Committee Mr Kennie TING, Director, Asian Civilisations Museum (Singapore) & Vice Chair, ASEMUS Executive Committee Ms Anupama SEKHAR, Director, Culture, Asia-Europe Foundation (ASEF) 10: 30 - 11.45 am Engaging with Regional Culture & Heritage: What Role for Regional Museums? Regional museums are among the most numerous in the world, dedicated to maintaining collective memories of communities. This plenary will address the following questions: - What role for regional museums in their community with respect to culture, local history, social development and language? - What are key challenges faced by such museums in terms of access to funding, audience development, staff training, technology and networking? - How could regional museums benefit from international co-operation? Speakers: - Prof Amareshwar GALLA, Executive Director, International Institute of Inclusive Museum - Prof Charu SMITA GUPTA, Director, Mekong Ganga Cooperation Asian Traditional Textiles Museum, Siem Reap, Cambodia - Ms Nalina GOPAL, Curator, Indian Heritage Centre, Singapore - Dr. Irene ZMUC, City Museum of Ljubljana & Chair of the ICOM Committee on Regional Museums Respondent: Sarawak State Museum, Kuching, Malaysia Moderated by: Ms Anupama SEKHAR, Director, Culture, Asia-Europe Foundation (ASEF) 11:45 am – 12:30 pm Connecting with Collections India Foundation for the Arts (IFA), Bangalore – a national, not-for-profit, grantmaking organisation that supports practice, research and education in the arts in India - presents case studies of two exhibitions that received support from their Archival and Museum Fellowships initiative. This panel will discuss the curatorial process and the strategies the curators, Ms Latika GUPTA and Mr Abeer GUPTA used to contextualise and „make accessible‟ the collections at the Munshi Aziz Bhat Museum of Central Asian & Kargil Trade Artifacts, Kargil, India and the National Museum, New Delhi, India respectively. Speakers: - Ms Latika GUPTA, curator & Associate Editor, Marg magazine - Mr Abeer GUPTA, visual anthropologist & Assistant Professor, School of Design, Ambedkar University Delhi Moderated by: Ms Suman GOPINATH, curator and currently manages the Archival and Museum Fellowships at India Foundation for the Arts (IFA), Bangalore 12:30 – 1:30 pm Lunch at Rotunda, Ground Floor, National Museum 1:30 – 1:45 pm Film Screening: The Day I Lost My Shadow - Syed Alwi Road The Day I Lost My Shadow is a trilogy set in three iconic locations within Singapore‟s Little India district: Race Course Road, Campbell Lane and Syed Alwi Road. The notion of re-examining history by truth and myth through visual storytelling serves as the inter-connecting thread between the three short films, and the films offer glimpses of Little India through the 19 th and 20 th centuries. The Day I Lost My Shadow was commissioned by the Indian Heritage Centre, Singapore and made by acclaimed Singaporean filmmaker, K.Rajagopal, who is known for his sensitive and evocative films, often dealing with the trajectory of Singapore‟s Indian community. 1:45 – 2:15 pm Local Heritage & Histories on Film: Conversation with filmmaker, Mr K. Rajagopal on The Day I Lost My Shadow Discussion led by Ms Nalina GOPAL, Indian Heritage Centre, Singapore 2:15 – 3:30 pm Towards a Culture of Accessibility in our Museums: Good Practices & Challenges "Improving access in museums, while incorporating inclusion and diversity, involves using creative ideas to tackle physical, intellectual and social barriers that prevent people from taking advantage of services," writes Loretta MORDI of Museums Galleries Scotland (UK) in Why Museums Need to Embrace a Culture of Accessibility. This panel will discuss innovative ways in which museums in Asia & Europe are widening engagement vis-à-vis technology, education & outreach and access for people with disabilities and special needs. It will also discuss the accessibility issue in the framework of UNESCO‟s Recommendation on the Protection and Promotion of Museums and Collections (2015). Speakers: - Ms Kristine MILERE, Curator of Foreign Decorative and Applied Arts Collection, Art Museum RIGA BOURSE, Latvia - Ms Jenny SIUNG, Head of Education, Chester Beatty Library, Ireland - Ms Shivani GUPTA, Founder & Chief Consultant, AccessAbility, India - Mr KIM Jongsok, Curator, National Museum of Korea (NMK), Seoul - Ms Nao HAYASHI, Museums Programme Coordinator, World Heritage Centre, UNESCO Moderated by: Ms Fionnuala CROKE, Director, Chester Beatty Library (Dublin, Ireland) & Chair, ASEMUS Executive Committee 3:30 – 4:00 pm Coffee break Venue: Rotunda, Ground Floor, National Museum & Parallel Session: Film Screening: The Day I Lost My Shadow - Campbell Lane Venue: Auditorium, Ground Floor, National Museum 4:00 – 5:15 pm Museums in the City Interactive session on the role of museums in the lives of cities in terms of urban regeneration, social inclusion, community engagement & place making Discussion led by: Mr Kennie TING, Director, Asian Civilisations Museum (Singapore) With: - Dr Philippe PEYCAM, Executive Director, International Institute for Asian Studies Netherlands, - Dr Surajit SARKAR, Associate Professor & Coordinator, Centre for Community Knowledge, Ambedkar University Delhi - Mr Raghavendra TENKAYALA, lawyer and author of the cultural policy profile of India for the WorldCP-International Database of Cultural Policies (the profile is available at: http://www.worldcp.org/india.php) 5:15 – 6:00 pm Asia-Europe Museum Network (ASEMUS): A Conversation on Future Directions - The story so far: ASEMUS and the Virtual Collection of Masterpieces (http://masterpieces.asemus.museum/index.nhn) - Future directions: A conversation with ASEMUS Executive Committee Members 6:00 – 6:15 pm Key Messages from the Conference With Dr. B.R. Mani, Director General, National Museum, Delhi, Ms Fionnuala CROKE, Director, Chester Beatty Library (Dublin, Ireland) & Mr Kennie TING, Director, Asian Civilisations Museum (Singapore) 6:30 – 7:30 pm Tour of the National Museum, Delhi (for all delegates) Meeting point: Entrance of Auditorium, Ground Floor, National Museum Friday, 17 March 2017: Cultural Visits Visit to Humanyun‟s Tomb, a UNESCO World Heritage Site, followed by lunch (at own cost) at Sanskriti Foundation ~~~ Interested museum, heritage and cultural professionals, especially in New Delhi and from across India, are welcome to register to attend this conference at: http://asemus.museum/event/7th-asemus-general-conf er ence-india/ Registration is free. Team at National Museum - New Delhi - Dr B R Mani, Director General - Mr P K NAGTA, Director (Collections and Administration) - Mr K.K SHARMA, Deputy Curator Exhibitions and In-charge PR - Mr Mohan PRATAP, In-charge Lecturing and Education - Ms Rige SHIBA, Assistant Curator, Education - Ms Joyoti ROY, Outreach Consultant - Ms Vasundhra SANGWAN, Outreach Officer - Ms Ridham SETH, Volunteer - Ms Karishma AGGARWAL, Volunteer Team Asia-Europe Museum Network (ASEMUS) - Ms Fionnuala CROKE, Director, Chester Beatty Library (Dublin, Ireland) & Chair, ASEMUS Executive Committee - Mr Kennie TING, Director, Asian Civilisations Museum (Singapore) & Vice Chair, ASEMUS Executive Committee - ASEMUS Executive Committee - Mr Jordi BALTA PORTOLES, Editor, asemus.culture360.asef.org - Mr David HENKEL, Curator, Asian Civilisations Museum – ASEMUS Secretariat - Mr KIM Jongsok, National Museum of Korea – In charge of Virtual Collection of Masterpieces project - Ms KONG Hyun-Ji, National Museum of Korea - – In charge of Virtual Collection of Masterpieces project Team at the Asia-Europe Foundation (ASEF) Culture Department: - Ms Anupama SEKHAR, Director, Culture Department - Ms Valentina RICCARDI, Project Manager, Culture Department & in charge of asemus.culture360.asef.org - Ms Patricia D‟COTTA, Admin/Project Manager, Culture Department - Ms Andrea ABELLON, Volunteer, Culture Department - Ms Fatima AVILA, Project Executive, Culture Department Finance & Administration Department: - Ms Crystal KOH, Director, Finance & Administration Department - Ms Irene YAP, Accounts Executive, Finance & Administration Department - Ms LIM Bee Gnoh, Finance Manager, Finance & Administration Department - Ms TAN Chin Chin, Accounts Executive, Finance & Administration Department ~~~ Contact: Ms Patricia D‟COTTA, Admin/Project Manager, Culture Department, Asia-Europe Foundation (ASEF) E: [email protected] ~~~ Organisers	<urn:uuid:a4c35cf4-e2ed-4162-8a47-4a4abd451ebf>	CC-MAIN-2018-13	http://asef.org/images/docs/2017%20ASEMUS%20GC7%20Program%20090317public.pdf	2018-03-21T20:17:12Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-13/segments/1521257647692.51/warc/CC-MAIN-20180321195830-20180321215830-00548.warc.gz	22,179,452	3,362	eng_Latn	eng_Latn	0.837804	eng_Latn	0.935891	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1810, 4253, 5862, 8142, 10522, 12435, 14366 ]	Asia-Europe Museum Network (ASEMUS) 7 th ASEMUS General Conference ENGAGED MUSEUMS: TECHNOLOGY, ACCESS AND NEW AUDIENCES 15-17 March 2017 National Museum, New Delhi, India "National Museum is the premier museum of India housing over 200,000 objects of art representing 5000 years of Indian art. I am indeed happy that we are hosting the 7 th Annual General Assembly of the Asia Europe Museum Network which aims at focusing on audience engagement. As the National Museum, it is very much our duty to set examples and undertake initiatives that inspire not only other national museums but also our regional museums. We do hope that through this innovative conference which also comprises hands-on workshops for participants, we will be able to begin a dialogue with the network of Indian museums with museums of Asia and Europe. I do hope participants will enjoy their stay in New Delhi and have a chance to explore the National Museum collection and departments." Dr. B R Mani, Director General, National Museum, Delhi, India ~~~ "I am delighted that the 2017 ASEMUS General Conference will, for the first time, be held at the National Museum, Delhi. Given the rich fabric of national, regional and local museums in India, it is fitting that this year's theme will focus on audience engagement and access, and the potential of technological advances to assist in this. It is seventeen years since ASEMUS was established at a meeting in Stockholm, Sweden. The network has grown significantly and now numbers over 140 member museums from 41 countries. It is timely that we devote part of the programme to an evaluation of past achievements and to setting the future direction of the network." Ms Fionnuala CROKE, Director, Chester Beatty Library (Dublin, Ireland) & Chair, ASEMUS Executive Committee ~~~ About the Asia-Europe Museum Network (ASEMUS) Set up in 2001, the Asia-Europe Museum Network (ASEMUS) is a cross-cultural network of museums with Asian collections. It now gathers over 140 museums in 41 countries in Asia and Europe. A full list of members is available at http://asemus.museum/asemus-members/ The Secretariat of the Network is currently located at Asian Civilisations Museum, Singapore. Currently, Ms Fionnuala CROKE, Director, Chester Beatty Library (Dublin, Ireland) is the Chair of the Executive Committee of ASEMUS and Mr Kennie TING, Director, Asian Civilisations Museum (Singapore) is Vice Chair. ASEMUS is supported by the Asia-Europe Foundation (ASEF). 1 The 7 th General Conference of the ASEMUS network takes place in New Delhi, India. General Conferences take place once in two years and usually rotate between Asia and Europe. The last General Conference took place at the Weltmuseum Wien (24-27 September 2014, Vienna, Austria). Read the report of that Conference at: http://asemus.museum/meetings/exploring-borders-2014-general-conference-vienna/ More about the network at the ASEMUS website: http://asemus.culture360.asef.org PROGRAMME (As of 9 March 2017) Wednesday, 15 March 2017: Welcome Dinner & Training Sessions Closed-door sessions (by registration) 9:00 – 10.00 am Registration Venue: Registration Desk in front of Auditorium, Ground Floor, National Museum Coffee Break Venue: Rotunda, Ground Floor, National Museum 1 The Asia-Europe Foundation (ASEF) facilitates cooperation among the people, institutions and organisations of Asia and Europe. ASEF enhances dialogue and encourages collaboration across the thematic areas of culture, economy, education, governance, public health and sustainable development. ASEF is an intergovernmental not-for-profit organisation located in Singapore. Founded in 1997, it is the only institution of the Asia-Europe Meeting (ASEM), an intergovernmental process fostering dialogue among 53 partners (30 European and 21 Asian countries, the European Union, and the ASEAN Secretariat). Together with about 750 partner organisations, ASEF has run more than 700 projects, mainly conferences, seminars and workshops. Over 20,000 Asians and Europeans have actively participated in its activities and it has reached much wider audiences through its networks, web-portals, publications, exhibitions and lectures. For more information, please visit www.ASEF.org 10:00 am – 12:30 noon Training Workshop for Young Museum Professionals: Developing Curatorial Concepts By Prof. Amareswar GALLA, Executive Director, International Institute for the Inclusive Museum Venue: Auditorium, Ground Floor, National Museum 12:30 – 2:00 pm Lun	ch Venue: Rotunda, Ground Floor, National Museum 2:00 – 4:00 pm Training Workshop for Young Museum Professionals: Social Media 101 for Museum Professionals Venue: National Museum Institute – Conference Room By Jordi Balta PORTOLES, Consultant, Researcher & Trainer in the areas of cultural policy and international affairs & Editor, asemus.		4,525	inside_word	Lunch	remove_all	<url> http://asef.org/images/docs/2017%20ASEMUS%20GC7%20Program%20090317public.pdf </url> <text> Asia-Europe Museum Network (ASEMUS) 7 th ASEMUS General Conference ENGAGED MUSEUMS: TECHNOLOGY, ACCESS AND NEW AUDIENCES 15-17 March 2017 National Museum, New Delhi, India "National Museum is the premier museum of India housing over 200,000 objects of art representing 5000 years of Indian art. I am indeed happy that we are hosting the 7 th Annual General Assembly of the Asia Europe Museum Network which aims at focusing on audience engagement. As the National Museum, it is very much our duty to set examples and undertake initiatives that inspire not only other national museums but also our regional museums. We do hope that through this innovative conference which also comprises hands-on workshops for participants, we will be able to begin a dialogue with the network of Indian museums with museums of Asia and Europe. I do hope participants will enjoy their stay in New Delhi and have a chance to explore the National Museum collection and departments." Dr. B R Mani, Director General, National Museum, Delhi, India ~~~ "I am delighted that the 2017 ASEMUS General Conference will, for the first time, be held at the National Museum, Delhi. Given the rich fabric of national, regional and local museums in India, it is fitting that this year's theme will focus on audience engagement and access, and the potential of technological advances to assist in this. It is seventeen years since ASEMUS was established at a meeting in Stockholm, Sweden. The network has grown significantly and now numbers over 140 member museums from 41 countries. It is timely that we devote part of the programme to an evaluation of past achievements and to setting the future direction of the network." Ms Fionnuala CROKE, Director, Chester Beatty Library (Dublin, Ireland) & Chair, ASEMUS Executive Committee ~~~ About the Asia-Europe Museum Network (ASEMUS) Set up in 2001, the Asia-Europe Museum Network (ASEMUS) is a cross-cultural network of museums with Asian collections. It now gathers over 140 museums in 41 countries in Asia and Europe. A full list of members is available at http://asemus.museum/asemus-members/ The Secretariat of the Network is currently located at Asian Civilisations Museum, Singapore. Currently, Ms Fionnuala CROKE, Director, Chester Beatty Library (Dublin, Ireland) is the Chair of the Executive Committee of ASEMUS and Mr Kennie TING, Director, Asian Civilisations Museum (Singapore) is Vice Chair. ASEMUS is supported by the Asia-Europe Foundation (ASEF). 1 The 7 th General Conference of the ASEMUS network takes place in New Delhi, India. General Conferences take place once in two years and usually rotate between Asia and Europe. The last General Conference took place at the Weltmuseum Wien (24-27 September 2014, Vienna, Austria). Read the report of that Conference at: http://asemus.museum/meetings/exploring-borders-2014-general-conference-vienna/ More about the network at the ASEMUS website: http://asemus.culture360.asef.org PROGRAMME (As of 9 March 2017) Wednesday, 15 March 2017: Welcome Dinner & Training Sessions Closed-door sessions (by registration) 9:00 – 10.00 am Registration Venue: Registration Desk in front of Auditorium, Ground Floor, National Museum Coffee Break Venue: Rotunda, Ground Floor, National Museum 1 The Asia-Europe Foundation (ASEF) facilitates cooperation among the people, institutions and organisations of Asia and Europe. ASEF enhances dialogue and encourages collaboration across the thematic areas of culture, economy, education, governance, public health and sustainable development. ASEF is an intergovernmental not-for-profit organisation located in Singapore. Founded in 1997, it is the only institution of the Asia-Europe Meeting (ASEM), an intergovernmental process fostering dialogue among 53 partners (30 European and 21 Asian countries, the European Union, and the ASEAN Secretariat). Together with about 750 partner organisations, ASEF has run more than 700 projects, mainly conferences, seminars and workshops. Over 20,000 Asians and Europeans have actively participated in its activities and it has reached much wider audiences through its networks, web-portals, publications, exhibitions and lectures. For more information, please visit www.ASEF.org 10:00 am – 12:30 noon Training Workshop for Young Museum Professionals: Developing Curatorial Concepts By Prof. Amareswar GALLA, Executive Director, International Institute for the Inclusive Museum Venue: Auditorium, Ground Floor, National Museum 12:30 – 2:00 pm Lun<cursor_is_here> </text>	[ { "content": "<url>\nhttp://asef.org/images/docs/2017%20ASEMUS%20GC7%20Program%20090317public.pdf\n</url>\n<text>\nAsia-Europe Museum Network (ASEMUS) 7 th ASEMUS General Conference\n\nENGAGED MUSEUMS: TECHNOLOGY, ACCESS AND NEW AUDIENCES\n\n15-17 March 2017 National Museum, New Delhi, India\n\n\"National Museum is the premier museum of India housing over 200,000 objects of art representing 5000 years of Indian art. I am indeed happy that we are hosting the 7 th Annual General Assembly of the Asia Europe Museum Network which aims at focusing on audience engagement. As the National Museum, it is very much our duty to set examples and undertake initiatives that inspire not only other national museums but also our regional museums. We do hope that through this innovative conference which also comprises hands-on workshops for participants, we will be able to begin a dialogue with the network of Indian museums with museums of Asia and Europe. I do hope participants will enjoy their stay in New Delhi and have a chance to explore the National Museum collection and departments.\"\n\nDr. B R Mani, Director General, National Museum, Delhi, India\n\n~~~\n\n\"I am delighted that the 2017 ASEMUS General Conference will, for the first time, be held at the\n\nNational Museum, Delhi. Given the rich fabric of national, regional and local museums in India, it is fitting that this year's theme will focus on audience engagement and access, and the potential of technological advances to assist in this.\n\nIt is seventeen years since ASEMUS was established at a meeting in Stockholm, Sweden. The network has grown significantly and now numbers over 140 member museums from 41 countries. It is timely that we devote part of the programme to an evaluation of past achievements and to setting the future direction of the network.\"\n\nMs Fionnuala CROKE, Director, Chester Beatty Library (Dublin, Ireland) & Chair, ASEMUS Executive Committee\n\n~~~\n\nAbout the Asia-Europe Museum Network (ASEMUS)\n\nSet up in 2001, the Asia-Europe Museum Network (ASEMUS) is a cross-cultural network of museums with Asian collections. It now gathers over 140 museums in 41 countries in Asia and Europe. A full list of members is available at http://asemus.museum/asemus-members/\n\nThe Secretariat of the Network is currently located at Asian Civilisations Museum, Singapore. Currently, Ms Fionnuala CROKE, Director, Chester Beatty Library (Dublin, Ireland) is the Chair of the Executive Committee of ASEMUS and Mr Kennie TING, Director, Asian Civilisations Museum (Singapore) is Vice Chair. ASEMUS is supported by the Asia-Europe Foundation (ASEF). 1\n\nThe 7 th General Conference of the ASEMUS network takes place in New Delhi, India. General Conferences take place once in two years and usually rotate between Asia and Europe. The last General Conference took place at the Weltmuseum Wien (24-27 September 2014, Vienna, Austria). Read the report of that Conference at:\n\nhttp://asemus.museum/meetings/exploring-borders-2014-general-conference-vienna/\n\nMore about the network at the ASEMUS website: http://asemus.culture360.asef.org\n\nPROGRAMME\n\n(As of 9 March 2017)\n\nWednesday, 15 March 2017: Welcome Dinner & Training Sessions\n\nClosed-door sessions (by registration)\n\n9:00 – 10.00 am\n\nRegistration\n\nVenue: Registration Desk in front of Auditorium, Ground Floor, National Museum\n\nCoffee Break\n\nVenue: Rotunda, Ground Floor, National Museum\n\n1 The Asia-Europe Foundation (ASEF) facilitates cooperation among the people, institutions and organisations of Asia and Europe. ASEF enhances dialogue and encourages collaboration across the thematic areas of culture, economy, education, governance, public health and sustainable development. ASEF is an intergovernmental not-for-profit organisation located in Singapore. Founded in 1997, it is the only institution of the Asia-Europe Meeting (ASEM), an intergovernmental process fostering dialogue among 53 partners (30 European and 21 Asian countries, the European Union, and the ASEAN Secretariat). Together with about 750 partner organisations, ASEF has run more than 700 projects, mainly conferences, seminars and workshops. Over 20,000 Asians and Europeans have actively participated in its activities and it has reached much wider audiences through its networks, web-portals, publications, exhibitions and lectures. For more information, please visit www.ASEF.org\n\n10:00 am – 12:30 noon\n\nTraining Workshop for Young Museum Professionals: Developing Curatorial Concepts\n\nBy Prof. Amareswar GALLA, Executive Director, International Institute for the Inclusive Museum Venue: Auditorium, Ground Floor, National Museum\n\n12:30 – 2:00 pm\n\nLun<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "ch\n\nVenue: Rotunda, Ground Floor, National Museum\n\n2:00 – 4:00 pm\n\nTraining Workshop for Young Museum Professionals: Social Media 101 for Museum Professionals\n\nVenue: National Museum Institute – Conference Room\n\nBy Jordi Balta PORTOLES, Consultant, Researcher & Trainer in the areas of cultural policy and international affairs & Editor,\n\nasemus.", "role": "assistant" } ]
Process Modeling for Internet Scale Virtual Enterprise Collaborations Chong Wang, Lai Xu, Paul Vrieze, Peng Liang To cite this version: Chong Wang, Lai Xu, Paul Vrieze, Peng Liang. Process Modeling for Internet Scale Virtual Enterprise Collaborations. Luis M. Camarinha-Matos; Alexandra Pereira-Klen; Hamideh Afsarmanesh. 12th Working Conference on Virtual Enterprises (PROVE), Oct 2011, São Paulo, Brazil. Springer, IFIP Advances in Information and Communication Technology, AICT-362, pp.325-332, 2011, Adaptation and Value Creating Collaborative Networks. <10.1007/978-3-642-23330-2_36>. <hal-01569994> HAL Id: hal-01569994 https://hal.inria.fr/hal-01569994 Submitted on 28 Jul 2017 HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. L'archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d'enseignement et de recherche français ou étrangers, des laboratoires publics ou privés. Process Modeling for Internet Scale Virtual Enterprise Collaborations Chong Wang 1 , Lai Xu 2 , Paul de Vrieze 2 and Peng Liang 1 , 1 State Key Lab. of Software Engineering, Wuhan University, China {cwang,[email protected] 2 Software Systems Research Centre, Bournemouth University, UK {lxu, [email protected] Abstract. The ever-increasing need for flexibility of business collaborations that ultimately involve a large number of virtual enterprises puts demands on their design. Competitive markets require the collaborations to be highly agile, effective, and efficient. This paper defines Internet scale virtual enterprise collaborations (ISVECs) as well as their characteristics. We further present a process modeling method for Internet-based virtual enterprise collaborations. An end user process modeling language of ISVECs and a meta-model of the language are provided. Finally, we demonstrate how the method and language are used. Keywords: Internet scale business process, Business process modeling, Virtual enterprise process collaboration, Web-scale workflow. 1 Introduction In recent years, the service-oriented architecture paradigm has provided an easy approach to software development. Virtual enterprise systems are increasingly depending on and functioning as driver for the development of large scale distributed applications by reusing services [5]. Internet scale virtual enterprise collaborations (ISVECs) are business collaborations among virtual enterprises. This normally involves great numbers of services available through the Internet. These services should be annotated with semantic descriptions enabling dynamic selection, resource binding, and verification. As the services are provided by different providers, there is a strong likelihood that some of these services are modified, substituted, or disappear. Different versions of the services may include different features or have incompatible semantics. The services can be invoked from outside their own infrastructure, i.e. from a business partner's site. The semantic annotations can help detecting these changes and provide an early warning when the changes are incompatible. Internet scale virtual enterprise collaborations are possible due to service that exist both inside and outside a virtual enterprise. Any ISVEC architecture should be a service-based development approach with a range of services that represent capabilities across a wide variety of domains. As a business environment changes rapidly, the ability to set up a collaborative business process in a virtual enterprise is desirable [8]. Collaborative business processes are increasingly driven by business agility, adaptability, and flexibility, particularly in a virtual enterprise environment. There is increased pressure to build enterprise applications quickly in order to respond to situational needs of the business. In this paper, we deal with lightweight business process modeling issues. We start with a motivating example. We define a lightweight business process modeling language and provide its meta-model. The paper also uses the lightweight business process modeling language to model a motivating example. Finally, conclusions and future research are presented. 2 Motivating Example: Internet Moving Services (IMS) As a motivating example we introduce a hypothetical international moving service. An international moving service aims to facilitate international relocations in various ways. These services go beyond moving items and can include things such as visa applications and assistance in finding a new residence. In brief, the goal of international moving services starts with helping customers to find moving companies and request quotes, but extends to many aspect of managing an international relocation. A very brief, incomplete and abstract description of the various services offered by an international moving service includes: * Travel arrangements: find cheapest tickets and/or car renting in both places of departure and destination if needed. * Find moving companies: compare the services of international movers by requesting free quotes for the customer; provide moving tips, and information documents needed for international moving such as official government customs, visa and immigration, health, weather, etc. * Temporary stay arrangement: find hotels or holiday/serviced apartments in both the departure location and the destination if needed. * School/childcare search: provide explanation of the local education system, options including public, private and international schools, provide information on preschool options including nurseries, toddler groups and other childcare facilities, provide list of possible schools, childcare or other facilities relating to the home search area. * Home search: pre-select properties according to client requirements such as proximity to a childcare centre and provide neighborhood guide which contains information on doctors, shopping, schools, leisure activities etc. * Settling-in services: advice on banking systems, provide information on insurance of health, home, car etc., and advise on importing a car into the destination if applicable. * Leaving assistance: arrange property hand-back or sale, close utility accounts and arrange final bills, and manage property if client leaves before end of tenancy. We have found the following available Web services, feeds, widgets, and mashups from websites like syndic8.com and programmableweb.com. A list of available feeds, Web services, widgets, gadgets, mashups that can be used as components in implementing the example: 1. Moving company feeds from 123movers. 2. Moving tip feeds from 123movers. Both Feeds 1 and 2 can support the service of "find moving companies" 3. SmartTravelDeals: publishes the best travel deals on the web. It publishes current travel offers to worldwide destinations and connects users to the direct booking path. 4. Hotwire Travel-Ticker Deals: connect with more than 10,000 travel companies. The deals can be sceached by destination, theme, dates, or price. Both API 3 and 4 sustain the service of "travel arrangements" 5. Cleartrip Hotel API: provides booking for flights, hotels and trains, as well as other travel services across the world. 6. Active.com Camping API: provides access to campground data for 97% of the US and Canada's national and state/provincial parks. 7. HomeFinder.com connects home buyers, sellers and real estate professionals through local newspapers' online real estate section. 8. ImmobilienScout24 API provides rental listings, house listings, and building construction information from Germany. 9. PeekaCity API: using google street view for neighborhood amenities which is used primarily by real estate agents as a service to their customers (currently in Chicago and Dallas/Fort Worth). 10. Easy one loan and home values: mashup of zillow and yahoo maps as supplement to online mortgage service. Above five APIs can be included to implement the service of "temporary stay arrangement"; API 5,7,8, 9 and 10 can be used for the service of "home search". 11. Child care finder mashup: find babysitters, nannies, and other care options visually with google maps 12. California school finder mashup provides information such as, the school rankings, course offerings, and other details. 13. Feed Childcare position offered in France. 14. Feed Childcare position wanted in France Above API 9, Mashup 11 and 12, and Feed 13 and 14 can be applied to implement the services of "school/childcare search". 15. NHS Choices has created a set of web services to allow approved partners to interact with the service, free of charge. 16. Patient Opinion is a UK organization that collects patients' opinions about heath care and treatments they have recently received. 17. Hospital Compare API allows developers to get various hospital information like addresses, mortality rates, prices for operations and other hospital-related data. 18. Monster Web Services Toolkit API allows users to publish job ads to the Monster.com job search and placement service. Monster service includes job seeking, career management, recruitment and talent management products and services. Above APIs and Mashups are useful for the "settling in service". 19. Home value calculator: uses zillow data to calculate the value of single family homes in the U.S. Small widget suitable for placing on your google home page. It is a useful mashup for the service of "leaving assistance" In this example case, it will be expensive and difficult to build a traditional workflow system to support the business process. Doing so would mean that either all information would have to be known in advance or an interface would need to be provided to add information to the traditional workflow solution. Few relocations would be exactly alike even though aspects could be shared. The dependences are various, such as finding a home close to the best school or the available childcare, find the good schools close to the home address. It would however be handy for a business process mashup solution, specially, if automatically invocation of needed feeds, Web services, etc. and execution processes are supported. The different processes of IMS can be implemented by different process instances. Users (i.e. owner of IMS) may only need to edit the certain processes to be able to meet all requirements from new customers. 3 Meta-model of the ISVECs Language In this section, we introduce the meta-model of the ISVEC language which the end users can use it to establish the business processes mentioned in Section 2. The notations of the ISVEC language are presented in Figure 1. Eight symbols are adopted from BPMN [1]. The choice of BPMN as basis is motivated by its wide acceptance within the business world. Other alternatives may offer different advantages for different user groups. The ISVEC language is based on workflow patterns [8]. Adoption of different notations should not change the semantic of the languages. start end activity parallel multiple sequence inclusive composite goal gateway instances flow exclusive gateway gateway Figure 1: Notations of Lightweight Process Modeling Language atomic goal Since the process model is finally mapped into concrete services, we introduce new notations in the form of goals, which will allow business users to define abstract and user-friendly processes. Goals are the representation of an objective in which fulfillment is sought through the execution of a possibly complex service. The goals are always associated with an activity or process. We define two types of goals: atomic goals and composite goals. Atomic goals are associated with a single concrete Web service or computing resource, involving just one step of computation. Composite goals involve other simpler subgoals for fulfillment. In practice, if a process or activity is a process associated with a complex goal then the process or activity is fulfilled by achieving other goals, or invoking composite concrete Web services or computing resources. Hence, there are, in total, ten notational symbols within our lightweight process modeling language. This minimal subset of notation means a user will have reduced learning, whilst, we contend, still providing sufficient expressive power. Figure 2 provides a meta-model for the control flow of the lightweight process modeling language. The meta-model describes the relationships among all elements within the process model, namely 'start', 'end', 'activity', 'sequence flow', 'exclusive gateway', 'parallel gateway', 'inclusive gateway', 'atomic goal', and 'composite goal'. An abstract concept 'gateway' is used as a super set of three gateways. An 'atomic activity' is the smallest unit of activity, e.g., a concrete Web service or a computing resource. A 'composite activity' consists of several other activities, either atomic or composite. An 'activity' is either an 'atomic activity' or 'composite activity'. The terms 'process pattern' and 'process template' are explained [8], and 'flow object' in the figure represents a process model. We separate 'non sequence flow object' from 'sequence flow', to ensure the alternating ordering of 'sequence flow,' i.e., arrows and other objects, and thus avoid the situation where two 'sequence flow' elements link directly to each other. 4 Model of the motivating example An overview of the services for Virtual Enterprise-Internet Moving Services (VEIMS) can be found from Figure 3. Being a VE-IMS, the payment, CRM, and bookkeeping functions that should be included for being a normal business are sourced from third parties. However, we only concentrate here on the VE's core business processes. General business related processes are not discussed here. Because of the various requirements from its customers, the services provided by a VE-IMS are dependent on the particular situation of its customers. Different customers require a different process. This process is supported by a special-purpose piece of software, which we call an business process mashup, with particular services, processes or activities. In addition to the added capability, new business process mashup can modify, enhance, customize or extend an existing service mashup, or include and combine parts or components (or both) from multiple existing service mashups. A preliminary service of the VE-IMS is to help customers to find a moving company for shipping their household effects to the new place of residence. Figure 4 shows the process of the finding a moving company. First, the VE-IMS will request free quotes from moving companies according to the customer's place of departure and destination, and if needed, arrange for visits, and provide a list of competent movers with their quotes. Another, extended, service the VE-IMS may provide is finding an international mover and arranging temporary places of residence at both the locations of departure and destination, based on the dates of moving, travel, and the arrival of the household effects. The temporary place of residence at the destination should be close to a certain address such as the customer's working place. Customer can also ask for travel arrangements to be made. The time to fly and time of staying at the temporary address should be worked out to minimize the total costs. Further, the customer may want the VE-IMS to find an available childcare place for the children of the customer as soon as possible, then find a rental home close by around the time that the household effects arrive. The second extended international moving service is shown in Figure 5. 5 Related Work The concept of Internet scale workflows is sometimes used interchangeably with that of Web-scale workflows. Both Internet and Web scale workflows involve great number of internet based services and adopt a service-oriented paradigm [2, 4]. However, not all service-based workflows are Internet scale workflows or Web scale workflows. Internet or Web scale workflows involve services distributed though the Internet. There are many open issues related to Internet or Web scale workflows. Lightweight and user friendly process modeling is one of information issues at a design stage. Process modeling further effect to service description and process execution. Lightweight process modeling language is designed for process oriented business [3]. The language is designed for business users who do not have deep business process design knowledge. It requires the process mashup engineer who could map the abstract activities into the concrete services. Our modeling language for ISVECs is based on the lightweight business process modeling language [3] and lightweight process modeling for virtual enterprise process collaboration language [8]. It provides strong end user aspects on business flexibility, adapbility and agility. The Internetscale virtual enterprise collaboration is therefore different with an approach mentioned in Internet-scale workflow [2]. The process mashup engineer will discover services and map abstract process activities into concrete services [7]. Similarly, the concept of instant virtual enterprises (IVEs) is introduced in [6] to dynamically select collaborating partners and weave the interorganisational links between their local processes. Moreover, CrossWork system is developed to create and operate IVEs by decomposing high-level goal into a set of operational business goals, identifying collaboration partners that can fulfill the goals, retrieving the external specifications of selected local process, and finally mapping the composed global business process onto the IVE's distributed infrastructure and executes it there. Different from creating IVEs, our approach concentrates on the business collaborations among virtual enterprises. Particularly, it proposes a lightweight process modeling language and the corresponding metamodel to create the Internet scale virtual enterprises collaborations, and introduces goals to help business users define abstract processes and finally map them into concrete services available on the Internet. 6 Conclusions Internet scale workflows put more demands on process modeling. Multiple service providers are generally involved, and their actions are largely independent and outside control of the process owner, services can suddenly change because of new versions. Networking issues can make services temporarily unavailable or have unacceptable latencies. Virtual enterprises have a strong advantage in business agility. Their small size and loose ties with partners make that they are not held back by large bureaucracies. They depend on tight integration with suppliers of various services. Internet and automation enable this integration. Automation of business processes is generally provided by business process management systems. For virtual enterprises to be able to quickly respond to changing business environments they therefore need agile business process support. Agile business process support has two parts. The first part is run-time support for change on-the-fly, a topic not discussed in this paper. The second part is to make it easy to change business processes. To enable business process agility modification of processes should be possible by a broad set of stakeholders, not only by business process specialists as an extra link in the chain. Business process mashups [7] are designed to provide agility, resilience and end user modifiability. Therefore, they are a good candidate to support internet scale virtual enterprise collaborations. 7 Acknowledgement This research project is supported by the National Basic Research Program of China (973) under Grant 2007CB310801, the National Natural Science Foundation of China under Grant No. 60970017, and the Fundamental Research Funds for the Central Universities under Grant No. 3101032. The authors would like to thank the EU SOA4All and FAST projects. Part of work by Dr. Lai Xu and Dr. Paul de Vrieze was performed at the SAP Research, Switzerland. 8 References 1. BPMN, http://www.bpmn.org/ 2. Giancarlo Tretola and Eugenio Zimeo. 2010. Autonomic internet-scale workflows. In Proceedings of the 3rd International Workshop on Monitoring, Adaptation and Beyond (MONA '10). ACM, New York, NY, USA, 48-56 3. L. Xie, L. Xu and P. de Vrieze. Lightweight Business Process Modelling, 2010 International Conference on E-Business and E-Government (ICEE 2010), Guangzhou, China. 7-9, May, 2010. 4. M. Brian Blake and Michael N. Huhns. "Web-Scale Workflow: Integrating Distributed Services" IEEE Internet Computing 12.1 (2008): 55-59. 5. Papazoglou, M. P., Georgakopoulos, D. (2003). Service-oriented Computing. Communications of the ACM, 46 (10), 24-28. 2003. 6. Paul Grefen, Rik Eshuis, Nikolay Mehandjiev, Giorgos Kouvas, Georg Weichhart, 2009. IEEE Internet Computing. 2009;13(6):65-73. 7. de Vrieze, P. T., Xu, L., Bouguettaya, A., Yang, J. and Chen, J., 2011. Building enterprise mashups. Future Generation Computer Systems, 27 (5), 637-642. 8. Xu, L., de Vrieze, P. T., Phalp, K. T., Jeary, S. and Liang, P., 2010. Lightweight Process Modelling for Virtual Enterprise Process Collaboration. In: PRO-VE'2010: 11th IFIP Working Conference on Virtual Enterprises, 11-13 October 2010, Saint-Etienne, France, pp. 501-508.	<urn:uuid:30599008-73eb-47df-afc8-2bf7297b0639>	CC-MAIN-2019-09	https://hal.inria.fr/hal-01569994/document	2019-02-18T19:08:37Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-09/segments/1550247487624.32/warc/CC-MAIN-20190218175932-20190218201932-00164.warc.gz	596,265,546	4,278	eng_Latn	eng_Latn	0.917098	eng_Latn	0.994215	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1234, 3709, 6780, 10710, 13663, 14085, 15949, 19333, 21654 ]	Process Modeling for Internet Scale Virtual Enterprise Collaborations Chong Wang, Lai Xu, Paul Vrieze, Peng Liang To cite this version: Chong Wang, Lai Xu, Paul Vrieze, Peng Liang. Process Modeling for Internet Scale Virtual Enterprise Collaborations. Luis M. Camarinha-Matos; Alexandra Pereira-Klen; Hamideh Afsarmanesh. 12th Working Conference on Virtual Enterprises (PROVE), Oct 2011, São Paulo, Brazil. Springer, IFIP Advances in Information and Communication Technology, AICT-362, pp.325-332, 2011, Adaptation and Value Creating Collaborative Networks. <10.1007/978-3-642-23330-2_36>. <hal-01569994> HAL Id: hal-01569994 https://hal.inria.fr/hal-01569994 Submitted on 28 Jul 2017 HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. L'archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d'enseignement et de recherche français ou étrangers, des laboratoires publics ou privés. Process Modeling for Internet Scale Virtual Enterprise Collaborations Chong Wang 1 , Lai Xu 2 , Paul de Vrieze 2 and Peng Liang 1 , 1 State Key Lab. of Software Engineering, Wuhan University, China {cwang,[email protected] 2 Software Systems Research Centre, Bournemouth University, UK {lxu, [email protected] Abstract. The ever-increasing need for flexibility of business collaborations that ultimately involve a large number of virtual enterprises puts demands on their design. Competitive markets require the collaborations to be highly agile, effective, and efficient. This paper defines Internet scale virtual enterprise collaborations (ISVECs) as well as their characteristics. We further present a process modeling method for Internet-based virtual enterprise collaborations. An end user process modeling language of ISVECs and a meta-model of the language are provided. Finally, we demonstrate how the method and language are used. Keywords: Internet scale business process, Business process modeling, Virtual enterprise process collaboration, Web-scale workflow. 1 Introduction In recent years, the service-oriented architecture paradigm has provided an easy approach to software development. Virtual enterprise systems are increasingly depending on and functioning as driver for the development of large scale distributed applications by reusing services [5]. Internet scale virtual enterprise collaborations (ISVECs) are business collaborations among virtual enterprises. This normally involves great numbers of services available through the Internet. These services should be annotated with semantic descriptions enabling dynamic selection, resource binding, and verification. As the services are provided by different providers, there is a strong likelihood that some of these services are modified, substituted, or disappear. Different versions of the services may include different features or have incompatible semantics. The services can be invoked from outside their own infrastructure, i.e. from a business partner's site. The semantic annotations can help detecting these changes and provide an early warning when the changes are incompatible. Internet scale virtual enterprise collaborations are possible due to service that exist both inside and outside a virtual enterprise. Any ISVEC architecture should be a service-based development approach with a range of services that represent capabilities across a wide variety of domains. As a business environment changes rapidly, the ability to set up a collaborative business process in a virtual enterprise is desirable [8]. Collaborative business processes are increasingly driven by business agility, adaptability, and flexibility, particularly in a virtual enterprise environment. There is increased pressure to build enterprise applications quickly in order to respond to situational needs of the business. In this paper, we deal with lightweight business process modeling issues. We start with a motivating example. We define a lightweight business process modeling language and provide its meta-model. The paper also uses the lightweight business process modeling language to model a motivating example. Finally, conclusions and future research are presented. 2 Motivating Example: Internet Moving Services (IMS) As a motivating example we introduce a hypothetical international moving service. An international moving service aims to facilitate international relocations in various ways. These services go beyond moving items and can include things such as visa applications and assistance in finding a new residence. In brief, the goal of international moving services starts with helping customers to find moving companies and request quotes, but extends to many aspect of managing an international relocation. A very brief, incomplete and abstract description of the various services offered by an international moving service includes: * Travel arrangements: find cheapest tickets and/or car renting in both places of departure and destination if needed. * Find moving companies: compare the services of international movers by requesting free quotes for the customer; provide moving tips, and information documents needed for international moving such as official government customs, visa and immigration, health, weather, etc. * Temporary stay arrangement: find hotels or holiday/serviced apartments in both the departure location and the destination if needed. * School/childcare search: provide explanation of the local education system, options including public, private and international schools, provide information on preschool options including nurseries, toddler groups and other childcare facilities, provide list of possible schools, childcare or other facilities relating to the home search area. * Home search: pre-select properties according to client requirements such as proximity to a childcare centre and provide neighborhood guide which contains information on doctors, shopping, schools, leisure activities etc. * Settling-in services: advice on banking systems, provide information on insurance of health, home, car etc., and advise on importing a car into the destination if applicable. * Leaving assistance: arrange property hand-back or sale, close utility accounts and arrange final bills, and manage property if client leaves before end of tenancy. We have found the following available Web services, feeds, widgets, and mashups from websites like syndic8.com and programmableweb.com. A list of available feeds, Web services, widgets, gadgets, mashups that can be used as components in implementing the example: 1. Moving company feeds from 123movers. 2. Moving tip feeds from 123movers. Both Feeds 1 and 2 can support the service of "find moving companies" 3. SmartTravelDeals: publishes the best travel deals on the web. It publishes current travel offers to worldwide destinations and connects users to the direct booking path. 4. Hotwire Travel-Ticker Deals: connect with more than 10,000 travel companies. The deals can be sceached by destination, theme, dates, or price. Both API 3 and 4 sustain the service of "travel arrangements" 5. Cleartrip Hotel API: provides booking for flights, hotels and trains, as well as other travel services across the world. 6. Active.com Camping API: provides access to campground data for 97% of the US and Canada's national and state/provincial parks. 7. HomeFinder.com connects home buyers, sellers and real estate professionals through local newspapers' online real estate section. 8. ImmobilienScout24 API provides rental listings, house listings, and building construction information from Germany. 9. PeekaCity API: using google street view for neighborhood amenities which is used primarily by real estate agents as a service to their customers (currently in Chicago and Dallas/Fort Worth). 10. Easy one loan and home values: mashup of zillow and yahoo maps as supplement to online mortgage service. Above five APIs can be included to implement the service of "temporary stay arrangement"; API 5,7,8, 9 and 10 can be used for the service of "home search". 11. Child care finder mashup: find babysitters, nannies, and other care options visually with google maps 12. California school finder mashup provides information such as, the school rankings, course offerings, and other details. 13. Feed Childcare position offered in France. 14. Feed Childcare position wanted in France Above API 9, Mashup 11 and 12, and Feed 13 and 14 can be applied to implement the services of "school/childcare search". 15. NHS Choices has created a set of web services to allow approved partners to interact with the service, free of charge. 16. Patient Opinion is a UK organization that collects patients' opinions about heath care and treatments they have recently received. 17. Hospital Compare API allows developers to get various hospital information like addresses, mortality rates, prices for operations and other hospital-related data. 18. Monster Web Services Toolkit API allows users to publish job ads to the Monster.com job search and placement service. Monster service includes job seeking, career management, recruitment and talent management products and services. Above APIs and Mashups are useful for the "settling in service". 19. Home value calculator: uses zillow data to calculate th	e value of single family homes in the U.	S. Small widget suitable for placing on your google home page. It is a useful mashup for the service of "leaving assistance" In this example case, it will be expensive and difficult to build a traditional workflow system to support the business process. Doing so would mean that either all information would have to be known in advance or an interface would need to be provided to add information to the traditional workflow solution. Few relocations would be exactly alike even though aspects could be shared. The dependences are various, such as finding a home close to the best school or the available childcare, find the good schools close to the home address. It would however be handy for a business process mashup solution, specially, if automatically invocation of needed feeds, Web services, etc. and execution processes are supported. The different processes of IMS can be implemented by different process instances. Users (i.e. owner of IMS) may only need to edit the certain processes to be able to meet all requirements from new customers. 3 Meta-model of the ISVECs Language In this section, we introduce the meta-model of the ISVEC language which the end users can use it to establish the business processes mentioned in Section 2. The notations of the ISVEC language are presented in Figure 1. Eight symbols are adopted from BPMN [1]. The choice of BPMN as basis is motivated by its wide acceptance within the business world. Other alternatives may offer different advantages for different user groups. The ISVEC language is based on workflow patterns [8]. Adoption of different notations should not change the semantic of the languages. start end activity parallel multiple sequence inclusive composite goal gateway instances flow exclusive gateway gateway Figure 1: Notations of Lightweight Process Modeling Language atomic goal Since the process model is finally mapped into concrete services, we introduce new notations in the form of goals, which will allow business users to define abstract and user-friendly processes. Goals are the representation of an objective in which fulfillment is sought through the execution of a possibly complex service. The goals are always associated with an activity or process. We define two types of goals: atomic goals and composite goals. Atomic goals are associated with a single concrete Web service or computing resource, involving just one step of computation. Composite goals involve other simpler subgoals for fulfillment. In practice, if a process or activity is a process associated with a complex goal then the process or activity is fulfilled by achieving other goals, or invoking composite concrete Web services or computing resources. Hence, there are, in total, ten notational symbols within our lightweight process modeling language. This minimal subset of notation means a user will have reduced learning, whilst, we contend, still providing sufficient expressive power. Figure 2 provides a meta-model for the control flow of the lightweight process modeling language. The meta-model describes the relationships among all elements within the process model, namely 'start', 'end', 'activity', 'sequence flow', 'exclusive gateway', 'parallel gateway', 'inclusive gateway', 'atomic goal', and 'composite goal'. An abstract concept 'gateway' is used as a super set of three gateways. An 'atomic activity' is the smallest unit of activity, e.g., a concrete Web service or a computing resource. A 'composite activity' consists of several other activities, either atomic or composite. An 'activity' is either an 'atomic activity' or 'composite activity'. The terms 'process pattern' and 'process template' are explained [8], and 'flow object' in the figure represents a process model. We separate 'non sequence flow object' from 'sequence flow', to ensure the alternating ordering of 'sequence flow,' i.e., arrows and other objects, and thus avoid the situation where two 'sequence flow' elements link directly to each other. 4 Model of the motivating example An overview of the services for Virtual Enterprise-Internet Moving Services (VEIMS) can be found from Figure 3. Being a VE-IMS, the payment, CRM, and bookkeeping functions that should be included for being a normal business are sourced from third parties. However, we only concentrate here on the VE's core business processes. General business related processes are not discussed here. Because of the various requirements from its customers, the services provided by a VE-IMS are dependent on the particular situation of its customers. Different customers require a different process. This process is supported by a special-purpose piece of software, which we call an business process mashup, with particular services, processes or activities. In addition to the added capability, new business process mashup can modify, enhance, customize or extend an existing service mashup, or include and combine parts or components (or both) from multiple existing service mashups. A preliminary service of the VE-IMS is to help customers to find a moving company for shipping their household effects to the new place of residence. Figure 4 shows the process of the finding a moving company. First, the VE-IMS will request free quotes from moving companies according to the customer's place of departure and destination, and if needed, arrange for visits, and provide a list of competent movers with their quotes. Another, extended, service the VE-IMS may provide is finding an international mover and arranging temporary places of residence at both the locations of departure and destination, based on the dates of moving, travel, and the arrival of the household effects. The temporary place of residence at the destination should be close to a certain address such as the customer's working place. Customer can also ask for travel arrangements to be made. The time to fly and time of staying at the temporary address should be worked out to minimize the total costs. Further, the customer may want the VE-IMS to find an available childcare place for the children of the customer as soon as possible, then find a rental home close by around the time that the household effects arrive. The second extended international moving service is shown in Figure 5. 5 Related Work The concept of Internet scale workflows is sometimes used interchangeably with that of Web-scale workflows. Both Internet and Web scale workflows involve great number of internet based services and adopt a service-oriented paradigm [2, 4]. However, not all service-based workflows are Internet scale workflows or Web scale workflows. Internet or Web scale workflows involve services distributed though the Internet. There are many open issues related to Internet or Web scale workflows. Lightweight and user friendly process modeling is one of information issues at a design stage. Process modeling further effect to service description and process execution. Lightweight process modeling language is designed for process oriented business [3]. The language is designed for business users who do not have deep business process design knowledge. It requires the process mashup engineer who could map the abstract activities into the concrete services. Our modeling language for ISVECs is based on the lightweight business process modeling language [3] and lightweight process modeling for virtual enterprise process collaboration language [8]. It provides strong end user aspects on business flexibility, adapbility and agility. The Internetscale virtual enterprise collaboration is therefore different with an approach mentioned in Internet-scale workflow [2]. The process mashup engineer will discover services and map abstract process activities into concrete services [7]. Similarly, the concept of instant virtual enterprises (IVEs) is introduced in [6] to dynamically select collaborating partners and weave the interorganisational links between their local processes. Moreover, CrossWork system is developed to create and operate IVEs by decomposing high-level goal into a set of operational business goals, identifying collaboration partners that can fulfill the goals, retrieving the external specifications of selected local process, and finally mapping the composed global business process onto the IVE's distributed infrastructure and executes it there. Different from creating IVEs, our approach concentrates on the business collaborations among virtual enterprises. Particularly, it proposes a lightweight process modeling language and the corresponding metamodel to create the Internet scale virtual enterprises collaborations, and introduces goals to help business users define abstract processes and finally map them into concrete services available on the Internet. 6 Conclusions Internet scale workflows put more demands on process modeling. Multiple service providers are generally involved, and their actions are largely independent and outside control of the process owner, services can suddenly change because of new versions. Networking issues can make services temporarily unavailable or have unacceptable latencies. Virtual enterprises have a strong advantage in business agility. Their small size and loose ties with partners make that they are not held back by large bureaucracies. They depend on tight integration with suppliers of various services. Internet and automation enable this integration. Automation of business processes is generally provided by business process management systems. For virtual enterprises to be able to quickly respond to changing business environments they therefore need agile business process support. Agile business process support has two parts. The first part is run-time support for change on-the-fly, a topic not discussed in this paper. The second part is to make it easy to change business processes. To enable business process agility modification of processes should be possible by a broad set of stakeholders, not only by business process specialists as an extra link in the chain. Business process mashups [7] are designed to provide agility, resilience and end user modifiability. Therefore, they are a good candidate to support internet scale virtual enterprise collaborations. 7 Acknowledgement This research project is supported by the National Basic Research Program of China (973) under Grant 2007CB310801, the National Natural Science Foundation of China under Grant No. 60970017, and the Fundamental Research Funds for the Central Universities under Grant No. 3101032. The authors would like to thank the EU SOA4All and FAST projects. Part of work by Dr. Lai Xu and Dr. Paul de Vrieze was performed at the SAP Research, Switzerland. 8 References 1. BPMN, http://www.bpmn.org/ 2. Giancarlo Tretola and Eugenio Zimeo. 2010. Autonomic internet-scale workflows. In Proceedings of the 3rd International Workshop on Monitoring, Adaptation and Beyond (MONA '10). ACM, New York, NY, USA, 48-56 3. L. Xie, L. Xu and P. de Vrieze. Lightweight Business Process Modelling, 2010 International Conference on E-Business and E-Government (ICEE 2010), Guangzhou, China. 7-9, May, 2010. 4. M. Brian Blake and Michael N. Huhns. "Web-Scale Workflow: Integrating Distributed Services" IEEE Internet Computing 12.1 (2008): 55-59. 5. Papazoglou, M. P., Georgakopoulos, D. (2003). Service-oriented Computing. Communications of the ACM, 46 (10), 24-28. 2003. 6. Paul Grefen, Rik Eshuis, Nikolay Mehandjiev, Giorgos Kouvas, Georg Weichhart, 2009. IEEE Internet Computing. 2009;13(6):65-73. 7. de Vrieze, P. T., Xu, L., Bouguettaya, A., Yang, J. and Chen, J., 2011. Building enterprise mashups. Future Generation Computer Systems, 27 (5), 637-642. 8. Xu, L., de Vrieze, P. T., Phalp, K. T., Jeary, S. and Liang, P., 2010. Lightweight Process Modelling for Virtual Enterprise Process Collaboration. In: PRO-VE'2010: 11th IFIP Working Conference on Virtual Enterprises, 11-13 October 2010, Saint-Etienne, France, pp. 501-508.	9,620	inside_word	the	remove_one_sentence	<url> https://hal.inria.fr/hal-01569994/document </url> <text> Process Modeling for Internet Scale Virtual Enterprise Collaborations Chong Wang, Lai Xu, Paul Vrieze, Peng Liang To cite this version: Chong Wang, Lai Xu, Paul Vrieze, Peng Liang. Process Modeling for Internet Scale Virtual Enterprise Collaborations. Luis M. Camarinha-Matos; Alexandra Pereira-Klen; Hamideh Afsarmanesh. 12th Working Conference on Virtual Enterprises (PROVE), Oct 2011, São Paulo, Brazil. Springer, IFIP Advances in Information and Communication Technology, AICT-362, pp.325-332, 2011, Adaptation and Value Creating Collaborative Networks. <10.1007/978-3-642-23330-2_36>. <hal-01569994> HAL Id: hal-01569994 https://hal.inria.fr/hal-01569994 Submitted on 28 Jul 2017 HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. L'archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d'enseignement et de recherche français ou étrangers, des laboratoires publics ou privés. Process Modeling for Internet Scale Virtual Enterprise Collaborations Chong Wang 1 , Lai Xu 2 , Paul de Vrieze 2 and Peng Liang 1 , 1 State Key Lab. of Software Engineering, Wuhan University, China {cwang,[email protected] 2 Software Systems Research Centre, Bournemouth University, UK {lxu, [email protected] Abstract. The ever-increasing need for flexibility of business collaborations that ultimately involve a large number of virtual enterprises puts demands on their design. Competitive markets require the collaborations to be highly agile, effective, and efficient. This paper defines Internet scale virtual enterprise collaborations (ISVECs) as well as their characteristics. We further present a process modeling method for Internet-based virtual enterprise collaborations. An end user process modeling language of ISVECs and a meta-model of the language are provided. Finally, we demonstrate how the method and language are used. Keywords: Internet scale business process, Business process modeling, Virtual enterprise process collaboration, Web-scale workflow. 1 Introduction In recent years, the service-oriented architecture paradigm has provided an easy approach to software development. Virtual enterprise systems are increasingly depending on and functioning as driver for the development of large scale distributed applications by reusing services [5]. Internet scale virtual enterprise collaborations (ISVECs) are business collaborations among virtual enterprises. This normally involves great numbers of services available through the Internet. These services should be annotated with semantic descriptions enabling dynamic selection, resource binding, and verification. As the services are provided by different providers, there is a strong likelihood that some of these services are modified, substituted, or disappear. Different versions of the services may include different features or have incompatible semantics. The services can be invoked from outside their own infrastructure, i.e. from a business partner's site. The semantic annotations can help detecting these changes and provide an early warning when the changes are incompatible. Internet scale virtual enterprise collaborations are possible due to service that exist both inside and outside a virtual enterprise. Any ISVEC architecture should be a service-based development approach with a range of services that represent capabilities across a wide variety of domains. As a business environment changes rapidly, the ability to set up a collaborative business process in a virtual enterprise is desirable [8]. Collaborative business processes are increasingly driven by business agility, adaptability, and flexibility, particularly in a virtual enterprise environment. There is increased pressure to build enterprise applications quickly in order to respond to situational needs of the business. In this paper, we deal with lightweight business process modeling issues. We start with a motivating example. We define a lightweight business process modeling language and provide its meta-model. The paper also uses the lightweight business process modeling language to model a motivating example. Finally, conclusions and future research are presented. 2 Motivating Example: Internet Moving Services (IMS) As a motivating example we introduce a hypothetical international moving service. An international moving service aims to facilitate international relocations in various ways. These services go beyond moving items and can include things such as visa applications and assistance in finding a new residence. In brief, the goal of international moving services starts with helping customers to find moving companies and request quotes, but extends to many aspect of managing an international relocation. A very brief, incomplete and abstract description of the various services offered by an international moving service includes: * Travel arrangements: find cheapest tickets and/or car renting in both places of departure and destination if needed. * Find moving companies: compare the services of international movers by requesting free quotes for the customer; provide moving tips, and information documents needed for international moving such as official government customs, visa and immigration, health, weather, etc. * Temporary stay arrangement: find hotels or holiday/serviced apartments in both the departure location and the destination if needed. * School/childcare search: provide explanation of the local education system, options including public, private and international schools, provide information on preschool options including nurseries, toddler groups and other childcare facilities, provide list of possible schools, childcare or other facilities relating to the home search area. * Home search: pre-select properties according to client requirements such as proximity to a childcare centre and provide neighborhood guide which contains information on doctors, shopping, schools, leisure activities etc. * Settling-in services: advice on banking systems, provide information on insurance of health, home, car etc., and advise on importing a car into the destination if applicable. * Leaving assistance: arrange property hand-back or sale, close utility accounts and arrange final bills, and manage property if client leaves before end of tenancy. We have found the following available Web services, feeds, widgets, and mashups from websites like syndic8.com and programmableweb.com. A list of available feeds, Web services, widgets, gadgets, mashups that can be used as components in implementing the example: 1. Moving company feeds from 123movers. 2. Moving tip feeds from 123movers. Both Feeds 1 and 2 can support the service of "find moving companies" 3. SmartTravelDeals: publishes the best travel deals on the web. It publishes current travel offers to worldwide destinations and connects users to the direct booking path. 4. Hotwire Travel-Ticker Deals: connect with more than 10,000 travel companies. The deals can be sceached by destination, theme, dates, or price. Both API 3 and 4 sustain the service of "travel arrangements" 5. Cleartrip Hotel API: provides booking for flights, hotels and trains, as well as other travel services across the world. 6. Active.com Camping API: provides access to campground data for 97% of the US and Canada's national and state/provincial parks. 7. HomeFinder.com connects home buyers, sellers and real estate professionals through local newspapers' online real estate section. 8. ImmobilienScout24 API provides rental listings, house listings, and building construction information from Germany. 9. PeekaCity API: using google street view for neighborhood amenities which is used primarily by real estate agents as a service to their customers (currently in Chicago and Dallas/Fort Worth). 10. Easy one loan and home values: mashup of zillow and yahoo maps as supplement to online mortgage service. Above five APIs can be included to implement the service of "temporary stay arrangement"; API 5,7,8, 9 and 10 can be used for the service of "home search". 11. Child care finder mashup: find babysitters, nannies, and other care options visually with google maps 12. California school finder mashup provides information such as, the school rankings, course offerings, and other details. 13. Feed Childcare position offered in France. 14. Feed Childcare position wanted in France Above API 9, Mashup 11 and 12, and Feed 13 and 14 can be applied to implement the services of "school/childcare search". 15. NHS Choices has created a set of web services to allow approved partners to interact with the service, free of charge. 16. Patient Opinion is a UK organization that collects patients' opinions about heath care and treatments they have recently received. 17. Hospital Compare API allows developers to get various hospital information like addresses, mortality rates, prices for operations and other hospital-related data. 18. Monster Web Services Toolkit API allows users to publish job ads to the Monster.com job search and placement service. Monster service includes job seeking, career management, recruitment and talent management products and services. Above APIs and Mashups are useful for the "settling in service". 19. Home value calculator: uses zillow data to calculate th<cursor_is_here>S. Small widget suitable for placing on your google home page. It is a useful mashup for the service of "leaving assistance" In this example case, it will be expensive and difficult to build a traditional workflow system to support the business process. Doing so would mean that either all information would have to be known in advance or an interface would need to be provided to add information to the traditional workflow solution. Few relocations would be exactly alike even though aspects could be shared. The dependences are various, such as finding a home close to the best school or the available childcare, find the good schools close to the home address. It would however be handy for a business process mashup solution, specially, if automatically invocation of needed feeds, Web services, etc. and execution processes are supported. The different processes of IMS can be implemented by different process instances. Users (i.e. owner of IMS) may only need to edit the certain processes to be able to meet all requirements from new customers. 3 Meta-model of the ISVECs Language In this section, we introduce the meta-model of the ISVEC language which the end users can use it to establish the business processes mentioned in Section 2. The notations of the ISVEC language are presented in Figure 1. Eight symbols are adopted from BPMN [1]. The choice of BPMN as basis is motivated by its wide acceptance within the business world. Other alternatives may offer different advantages for different user groups. The ISVEC language is based on workflow patterns [8]. Adoption of different notations should not change the semantic of the languages. start end activity parallel multiple sequence inclusive composite goal gateway instances flow exclusive gateway gateway Figure 1: Notations of Lightweight Process Modeling Language atomic goal Since the process model is finally mapped into concrete services, we introduce new notations in the form of goals, which will allow business users to define abstract and user-friendly processes. Goals are the representation of an objective in which fulfillment is sought through the execution of a possibly complex service. The goals are always associated with an activity or process. We define two types of goals: atomic goals and composite goals. Atomic goals are associated with a single concrete Web service or computing resource, involving just one step of computation. Composite goals involve other simpler subgoals for fulfillment. In practice, if a process or activity is a process associated with a complex goal then the process or activity is fulfilled by achieving other goals, or invoking composite concrete Web services or computing resources. Hence, there are, in total, ten notational symbols within our lightweight process modeling language. This minimal subset of notation means a user will have reduced learning, whilst, we contend, still providing sufficient expressive power. Figure 2 provides a meta-model for the control flow of the lightweight process modeling language. The meta-model describes the relationships among all elements within the process model, namely 'start', 'end', 'activity', 'sequence flow', 'exclusive gateway', 'parallel gateway', 'inclusive gateway', 'atomic goal', and 'composite goal'. An abstract concept 'gateway' is used as a super set of three gateways. An 'atomic activity' is the smallest unit of activity, e.g., a concrete Web service or a computing resource. A 'composite activity' consists of several other activities, either atomic or composite. An 'activity' is either an 'atomic activity' or 'composite activity'. The terms 'process pattern' and 'process template' are explained [8], and 'flow object' in the figure represents a process model. We separate 'non sequence flow object' from 'sequence flow', to ensure the alternating ordering of 'sequence flow,' i.e., arrows and other objects, and thus avoid the situation where two 'sequence flow' elements link directly to each other. 4 Model of the motivating example An overview of the services for Virtual Enterprise-Internet Moving Services (VEIMS) can be found from Figure 3. Being a VE-IMS, the payment, CRM, and bookkeeping functions that should be included for being a normal business are sourced from third parties. However, we only concentrate here on the VE's core business processes. General business related processes are not discussed here. Because of the various requirements from its customers, the services provided by a VE-IMS are dependent on the particular situation of its customers. Different customers require a different process. This process is supported by a special-purpose piece of software, which we call an business process mashup, with particular services, processes or activities. In addition to the added capability, new business process mashup can modify, enhance, customize or extend an existing service mashup, or include and combine parts or components (or both) from multiple existing service mashups. A preliminary service of the VE-IMS is to help customers to find a moving company for shipping their household effects to the new place of residence. Figure 4 shows the process of the finding a moving company. First, the VE-IMS will request free quotes from moving companies according to the customer's place of departure and destination, and if needed, arrange for visits, and provide a list of competent movers with their quotes. Another, extended, service the VE-IMS may provide is finding an international mover and arranging temporary places of residence at both the locations of departure and destination, based on the dates of moving, travel, and the arrival of the household effects. The temporary place of residence at the destination should be close to a certain address such as the customer's working place. Customer can also ask for travel arrangements to be made. The time to fly and time of staying at the temporary address should be worked out to minimize the total costs. Further, the customer may want the VE-IMS to find an available childcare place for the children of the customer as soon as possible, then find a rental home close by around the time that the household effects arrive. The second extended international moving service is shown in Figure 5. 5 Related Work The concept of Internet scale workflows is sometimes used interchangeably with that of Web-scale workflows. Both Internet and Web scale workflows involve great number of internet based services and adopt a service-oriented paradigm [2, 4]. However, not all service-based workflows are Internet scale workflows or Web scale workflows. Internet or Web scale workflows involve services distributed though the Internet. There are many open issues related to Internet or Web scale workflows. Lightweight and user friendly process modeling is one of information issues at a design stage. Process modeling further effect to service description and process execution. Lightweight process modeling language is designed for process oriented business [3]. The language is designed for business users who do not have deep business process design knowledge. It requires the process mashup engineer who could map the abstract activities into the concrete services. Our modeling language for ISVECs is based on the lightweight business process modeling language [3] and lightweight process modeling for virtual enterprise process collaboration language [8]. It provides strong end user aspects on business flexibility, adapbility and agility. The Internetscale virtual enterprise collaboration is therefore different with an approach mentioned in Internet-scale workflow [2]. The process mashup engineer will discover services and map abstract process activities into concrete services [7]. Similarly, the concept of instant virtual enterprises (IVEs) is introduced in [6] to dynamically select collaborating partners and weave the interorganisational links between their local processes. Moreover, CrossWork system is developed to create and operate IVEs by decomposing high-level goal into a set of operational business goals, identifying collaboration partners that can fulfill the goals, retrieving the external specifications of selected local process, and finally mapping the composed global business process onto the IVE's distributed infrastructure and executes it there. Different from creating IVEs, our approach concentrates on the business collaborations among virtual enterprises. Particularly, it proposes a lightweight process modeling language and the corresponding metamodel to create the Internet scale virtual enterprises collaborations, and introduces goals to help business users define abstract processes and finally map them into concrete services available on the Internet. 6 Conclusions Internet scale workflows put more demands on process modeling. Multiple service providers are generally involved, and their actions are largely independent and outside control of the process owner, services can suddenly change because of new versions. Networking issues can make services temporarily unavailable or have unacceptable latencies. Virtual enterprises have a strong advantage in business agility. Their small size and loose ties with partners make that they are not held back by large bureaucracies. They depend on tight integration with suppliers of various services. Internet and automation enable this integration. Automation of business processes is generally provided by business process management systems. For virtual enterprises to be able to quickly respond to changing business environments they therefore need agile business process support. Agile business process support has two parts. The first part is run-time support for change on-the-fly, a topic not discussed in this paper. The second part is to make it easy to change business processes. To enable business process agility modification of processes should be possible by a broad set of stakeholders, not only by business process specialists as an extra link in the chain. Business process mashups [7] are designed to provide agility, resilience and end user modifiability. Therefore, they are a good candidate to support internet scale virtual enterprise collaborations. 7 Acknowledgement This research project is supported by the National Basic Research Program of China (973) under Grant 2007CB310801, the National Natural Science Foundation of China under Grant No. 60970017, and the Fundamental Research Funds for the Central Universities under Grant No. 3101032. The authors would like to thank the EU SOA4All and FAST projects. Part of work by Dr. Lai Xu and Dr. Paul de Vrieze was performed at the SAP Research, Switzerland. 8 References 1. BPMN, http://www.bpmn.org/ 2. Giancarlo Tretola and Eugenio Zimeo. 2010. Autonomic internet-scale workflows. In Proceedings of the 3rd International Workshop on Monitoring, Adaptation and Beyond (MONA '10). ACM, New York, NY, USA, 48-56 3. L. Xie, L. Xu and P. de Vrieze. Lightweight Business Process Modelling, 2010 International Conference on E-Business and E-Government (ICEE 2010), Guangzhou, China. 7-9, May, 2010. 4. M. Brian Blake and Michael N. Huhns. "Web-Scale Workflow: Integrating Distributed Services" IEEE Internet Computing 12.1 (2008): 55-59. 5. Papazoglou, M. P., Georgakopoulos, D. (2003). Service-oriented Computing. Communications of the ACM, 46 (10), 24-28. 2003. 6. Paul Grefen, Rik Eshuis, Nikolay Mehandjiev, Giorgos Kouvas, Georg Weichhart, 2009. IEEE Internet Computing. 2009;13(6):65-73. 7. de Vrieze, P. T., Xu, L., Bouguettaya, A., Yang, J. and Chen, J., 2011. Building enterprise mashups. Future Generation Computer Systems, 27 (5), 637-642. 8. Xu, L., de Vrieze, P. T., Phalp, K. T., Jeary, S. and Liang, P., 2010. Lightweight Process Modelling for Virtual Enterprise Process Collaboration. In: PRO-VE'2010: 11th IFIP Working Conference on Virtual Enterprises, 11-13 October 2010, Saint-Etienne, France, pp. 501-508. </text>	[ { "content": "<url>\nhttps://hal.inria.fr/hal-01569994/document\n</url>\n<text>\nProcess Modeling for Internet Scale Virtual Enterprise Collaborations\n\nChong Wang, Lai Xu, Paul Vrieze, Peng Liang\n\nTo cite this version:\n\nChong Wang, Lai Xu, Paul Vrieze, Peng Liang. Process Modeling for Internet Scale Virtual Enterprise Collaborations. Luis M. Camarinha-Matos; Alexandra Pereira-Klen; Hamideh Afsarmanesh. 12th Working Conference on Virtual Enterprises (PROVE), Oct 2011, São Paulo, Brazil. Springer, IFIP Advances in Information and Communication Technology, AICT-362, pp.325-332, 2011, Adaptation and Value Creating Collaborative Networks. <10.1007/978-3-642-23330-2_36>. <hal-01569994>\n\nHAL Id: hal-01569994\n\nhttps://hal.inria.fr/hal-01569994\n\nSubmitted on 28 Jul 2017\n\nHAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers.\n\nL'archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d'enseignement et de recherche français ou étrangers, des laboratoires publics ou privés.\n\nProcess Modeling for Internet Scale Virtual Enterprise Collaborations\n\nChong Wang 1 , Lai Xu 2 , Paul de Vrieze 2 and Peng Liang 1 ,\n\n1 State Key Lab. of Software Engineering, Wuhan University, China {cwang,[email protected]\n2 Software Systems Research Centre, Bournemouth University, UK {lxu, [email protected]\n\nAbstract. The ever-increasing need for flexibility of business collaborations that ultimately involve a large number of virtual enterprises puts demands on their design. Competitive markets require the collaborations to be highly agile, effective, and efficient. This paper defines Internet scale virtual enterprise collaborations (ISVECs) as well as their characteristics. We further present a process modeling method for Internet-based virtual enterprise collaborations. An end user process modeling language of ISVECs and a meta-model of the language are provided. Finally, we demonstrate how the method and language are used.\n\nKeywords: Internet scale business process, Business process modeling, Virtual enterprise process collaboration, Web-scale workflow.\n\n1 Introduction\n\nIn recent years, the service-oriented architecture paradigm has provided an easy approach to software development. Virtual enterprise systems are increasingly depending on and functioning as driver for the development of large scale distributed applications by reusing services [5].\n\nInternet scale virtual enterprise collaborations (ISVECs) are business collaborations among virtual enterprises. This normally involves great numbers of services available through the Internet. These services should be annotated with semantic descriptions enabling dynamic selection, resource binding, and verification. As the services are provided by different providers, there is a strong likelihood that some of these services are modified, substituted, or disappear. Different versions of the services may include different features or have incompatible semantics. The services can be invoked from outside their own infrastructure, i.e. from a business partner's site. The semantic annotations can help detecting these changes and provide an early warning when the changes are incompatible.\n\nInternet scale virtual enterprise collaborations are possible due to service that exist both inside and outside a virtual enterprise. Any ISVEC architecture should be a service-based development approach with a range of services that represent capabilities across a wide variety of domains.\n\nAs a business environment changes rapidly, the ability to set up a collaborative business process in a virtual enterprise is desirable [8]. Collaborative business processes are increasingly driven by business agility, adaptability, and flexibility, particularly in a virtual enterprise environment. There is increased pressure to build enterprise applications quickly in order to respond to situational needs of the business.\n\nIn this paper, we deal with lightweight business process modeling issues. We start with a motivating example. We define a lightweight business process modeling language and provide its meta-model. The paper also uses the lightweight business process modeling language to model a motivating example. Finally, conclusions and future research are presented.\n\n2 Motivating Example: Internet Moving Services (IMS)\n\nAs a motivating example we introduce a hypothetical international moving service. An international moving service aims to facilitate international relocations in various ways. These services go beyond moving items and can include things such as visa applications and assistance in finding a new residence. In brief, the goal of international moving services starts with helping customers to find moving companies and request quotes, but extends to many aspect of managing an international relocation. A very brief, incomplete and abstract description of the various services offered by an international moving service includes:\n\n* Travel arrangements: find cheapest tickets and/or car renting in both places of departure and destination if needed.\n* Find moving companies: compare the services of international movers by requesting free quotes for the customer; provide moving tips, and information documents needed for international moving such as official government customs, visa and immigration, health, weather, etc.\n* Temporary stay arrangement: find hotels or holiday/serviced apartments in both the departure location and the destination if needed.\n* School/childcare search: provide explanation of the local education system, options including public, private and international schools, provide information on preschool options including nurseries, toddler groups and other childcare facilities, provide list of possible schools, childcare or other facilities relating to the home search area.\n* Home search: pre-select properties according to client requirements such as proximity to a childcare centre and provide neighborhood guide which contains information on doctors, shopping, schools, leisure activities etc.\n* Settling-in services: advice on banking systems, provide information on insurance of health, home, car etc., and advise on importing a car into the destination if applicable.\n* Leaving assistance: arrange property hand-back or sale, close utility accounts and arrange final bills, and manage property if client leaves before end of tenancy.\n\nWe have found the following available Web services, feeds, widgets, and mashups from websites like syndic8.com and programmableweb.com. A list of available feeds,\n\nWeb services, widgets, gadgets, mashups that can be used as components in implementing the example:\n\n1. Moving company feeds from 123movers.\n2. Moving tip feeds from 123movers.\n\nBoth Feeds 1 and 2 can support the service of \"find moving companies\"\n\n3. SmartTravelDeals: publishes the best travel deals on the web. It publishes current travel offers to worldwide destinations and connects users to the direct booking path.\n4. Hotwire Travel-Ticker Deals: connect with more than 10,000 travel companies. The deals can be sceached by destination, theme, dates, or price.\n\nBoth API 3 and 4 sustain the service of \"travel arrangements\"\n\n5. Cleartrip Hotel API: provides booking for flights, hotels and trains, as well as other travel services across the world.\n6. Active.com Camping API: provides access to campground data for 97% of the US and Canada's national and state/provincial parks.\n7. HomeFinder.com connects home buyers, sellers and real estate professionals through local newspapers' online real estate section.\n8. ImmobilienScout24 API provides rental listings, house listings, and building construction information from Germany.\n9. PeekaCity API: using google street view for neighborhood amenities which is used primarily by real estate agents as a service to their customers (currently in Chicago and Dallas/Fort Worth).\n10. Easy one loan and home values: mashup of zillow and yahoo maps as supplement to online mortgage service.\n\nAbove five APIs can be included to implement the service of \"temporary stay arrangement\"; API 5,7,8, 9 and 10 can be used for the service of \"home search\".\n\n11. Child care finder mashup: find babysitters, nannies, and other care options visually with google maps\n12. California school finder mashup provides information such as, the school rankings, course offerings, and other details.\n13. Feed Childcare position offered in France.\n14. Feed Childcare position wanted in France\n\nAbove API 9, Mashup 11 and 12, and Feed 13 and 14 can be applied to implement the services of \"school/childcare search\".\n\n15. NHS Choices has created a set of web services to allow approved partners to interact with the service, free of charge.\n\n16.\n\nPatient Opinion is a UK organization that collects patients' opinions about heath care and treatments they have recently received.\n\n17. Hospital Compare API allows developers to get various hospital information like addresses, mortality rates, prices for operations and other hospital-related data.\n18. Monster Web Services Toolkit API allows users to publish job ads to the Monster.com job search and placement service. Monster service includes job seeking, career management, recruitment and talent management products and services.\n\nAbove APIs and Mashups are useful for the \"settling in service\".\n\n19. Home value calculator: uses zillow data to calculate th<cursor_is_here>S. Small widget suitable for placing on your google home page. It is a useful mashup for the service of \"leaving assistance\"\n\nIn this example case, it will be expensive and difficult to build a traditional workflow system to support the business process. Doing so would mean that either all information would have to be known in advance or an interface would need to be provided to add information to the traditional workflow solution. Few relocations would be exactly alike even though aspects could be shared. The dependences are various, such as finding a home close to the best school or the available childcare, find the good schools close to the home address. It would however be handy for a business process mashup solution, specially, if automatically invocation of needed feeds, Web services, etc. and execution processes are supported. The different processes of IMS can be implemented by different process instances. Users (i.e. owner of IMS) may only need to edit the certain processes to be able to meet all requirements from new customers.\n\n3 Meta-model of the ISVECs Language\n\nIn this section, we introduce the meta-model of the ISVEC language which the end users can use it to establish the business processes mentioned in Section 2. The notations of the ISVEC language are presented in Figure 1. Eight symbols are adopted from BPMN [1]. The choice of BPMN as basis is motivated by its wide acceptance within the business world. Other alternatives may offer different advantages for different user groups. The ISVEC language is based on workflow patterns [8]. Adoption of different notations should not change the semantic of the languages.\n\nstart\n\nend activity\n\nparallel multiple\n\nsequence inclusive\n\ncomposite goal\n\ngateway instances\n\nflow\n\nexclusive gateway\n\ngateway\n\nFigure 1: Notations of Lightweight Process Modeling Language\n\natomic\ngoal\n\nSince the process model is finally mapped into concrete services, we introduce new notations in the form of goals, which will allow business users to define abstract and user-friendly processes. Goals are the representation of an objective in which fulfillment is sought through the execution of a possibly complex service. The goals are always associated with an activity or process. We define two types of goals: atomic goals and composite goals. Atomic goals are associated with a single concrete Web service or computing resource, involving just one step of computation. Composite goals involve other simpler subgoals for fulfillment. In practice, if a process or activity is a process associated with a complex goal then the process or activity is fulfilled by achieving other goals, or invoking composite concrete Web services or computing resources. Hence, there are, in total, ten notational symbols within our lightweight process modeling language. This minimal subset of notation means a user will have reduced learning, whilst, we contend, still providing sufficient expressive power.\n\nFigure 2 provides a meta-model for the control flow of the lightweight process modeling language. The meta-model describes the relationships among all elements within the process model, namely 'start', 'end', 'activity', 'sequence flow', 'exclusive gateway', 'parallel gateway', 'inclusive gateway', 'atomic goal', and 'composite goal'. An abstract concept 'gateway' is used as a super set of three gateways. An 'atomic activity' is the smallest unit of activity, e.g., a concrete Web service or a computing resource. A 'composite activity' consists of several other activities, either atomic or composite. An 'activity' is either an 'atomic activity' or 'composite activity'. The terms 'process pattern' and 'process template' are explained [8], and 'flow object' in the figure represents a process model. We separate 'non sequence flow object' from 'sequence flow', to ensure the alternating ordering of 'sequence flow,' i.e., arrows and other objects, and thus avoid the situation where two 'sequence flow' elements link directly to each other.\n\n4 Model of the motivating example\n\nAn overview of the services for Virtual Enterprise-Internet Moving Services (VEIMS) can be found from Figure 3. Being a VE-IMS, the payment, CRM, and bookkeeping functions that should be included for being a normal business are sourced from third parties. However, we only concentrate here on the VE's core business processes. General business related processes are not discussed here.\n\nBecause of the various requirements from its customers, the services provided by a VE-IMS are dependent on the particular situation of its customers. Different customers require a different process. This process is supported by a special-purpose piece of software, which we call an business process mashup, with particular services, processes or activities. In addition to the added capability, new business process mashup can modify, enhance, customize or extend an existing service mashup, or include and combine parts or components (or both) from multiple existing service mashups.\n\nA preliminary service of the VE-IMS is to help customers to find a moving company for shipping their household effects to the new place of residence. Figure 4 shows the process of the finding a moving company. First, the VE-IMS will request free quotes from moving companies according to the customer's place of departure and destination, and if needed, arrange for visits, and provide a list of competent movers with their quotes.\n\nAnother, extended, service the VE-IMS may provide is finding an international mover and arranging temporary places of residence at both the locations of departure and destination, based on the dates of moving, travel, and the arrival of the household effects. The temporary place of residence at the destination should be close to a certain address such as the customer's working place. Customer can also ask for travel arrangements to be made. The time to fly and time of staying at the temporary address should be worked out to minimize the total costs. Further, the customer may want the VE-IMS to find an available childcare place for the children of the customer as soon as possible, then find a rental home close by around the time that the household effects arrive. The second extended international moving service is shown in Figure 5.\n\n5 Related Work\n\nThe concept of Internet scale workflows is sometimes used interchangeably with that of Web-scale workflows. Both Internet and Web scale workflows involve great number of internet based services and adopt a service-oriented paradigm [2, 4]. However, not all service-based workflows are Internet scale workflows or Web scale workflows. Internet or Web scale workflows involve services distributed though the Internet. There are many open issues related to Internet or Web scale workflows. Lightweight and user friendly process modeling is one of information issues at a design stage. Process modeling further effect to service description and process execution.\n\nLightweight process modeling language is designed for process oriented business [3]. The language is designed for business users who do not have deep business process design knowledge. It requires the process mashup engineer who could map the abstract activities into the concrete services. Our modeling language for ISVECs is based on the lightweight business process modeling language [3] and lightweight process modeling for virtual enterprise process collaboration language [8]. It provides strong end user aspects on business flexibility, adapbility and agility. The Internetscale virtual enterprise collaboration is therefore different with an approach mentioned in Internet-scale workflow [2]. The process mashup engineer will discover services and map abstract process activities into concrete services [7].\n\nSimilarly, the concept of instant virtual enterprises (IVEs) is introduced in [6] to dynamically select collaborating partners and weave the interorganisational links between their local processes. Moreover, CrossWork system is developed to create and operate IVEs by decomposing high-level goal into a set of operational business goals, identifying collaboration partners that can fulfill the goals, retrieving the external specifications of selected local process, and finally mapping the composed global business process onto the IVE's distributed infrastructure and executes it there. Different from creating IVEs, our approach concentrates on the business collaborations among virtual enterprises. Particularly, it proposes a lightweight process modeling language and the corresponding metamodel to create the Internet scale virtual enterprises collaborations, and introduces goals to help business users define abstract processes and finally map them into concrete services available on the Internet.\n\n6 Conclusions\n\nInternet scale workflows put more demands on process modeling. Multiple service providers are generally involved, and their actions are largely independent and outside control of the process owner, services can suddenly change because of new versions. Networking issues can make services temporarily unavailable or have unacceptable latencies.\n\nVirtual enterprises have a strong advantage in business agility. Their small size and loose ties with partners make that they are not held back by large bureaucracies. They depend on tight integration with suppliers of various services. Internet and automation enable this integration. Automation of business processes is generally provided by business process management systems. For virtual enterprises to be able to quickly respond to changing business environments they therefore need agile business process support.\n\nAgile business process support has two parts. The first part is run-time support for change on-the-fly, a topic not discussed in this paper. The second part is to make it easy to change business processes. To enable business process agility modification of processes should be possible by a broad set of stakeholders, not only by business process specialists as an extra link in the chain.\n\nBusiness process mashups [7] are designed to provide agility, resilience and end user modifiability. Therefore, they are a good candidate to support internet scale virtual enterprise collaborations.\n\n7 Acknowledgement\n\nThis research project is supported by the National Basic Research Program of China (973) under Grant 2007CB310801, the National Natural Science Foundation of China under Grant No. 60970017, and the Fundamental Research Funds for the Central Universities under Grant No. 3101032.\n\nThe authors would like to thank the EU SOA4All and FAST projects. Part of work by Dr. Lai Xu and Dr. Paul de Vrieze was performed at the SAP Research, Switzerland.\n\n8 References\n\n1. BPMN, http://www.bpmn.org/\n2. Giancarlo Tretola and Eugenio Zimeo. 2010. Autonomic internet-scale workflows. In Proceedings of the 3rd International Workshop on Monitoring, Adaptation and Beyond (MONA '10). ACM, New York, NY, USA, 48-56\n3. L. Xie, L. Xu and P. de Vrieze. Lightweight Business Process Modelling, 2010 International Conference on E-Business and E-Government (ICEE 2010), Guangzhou, China. 7-9, May, 2010.\n4. M. Brian Blake and Michael N. Huhns. \"Web-Scale Workflow: Integrating Distributed Services\" IEEE Internet Computing 12.1 (2008): 55-59.\n5. Papazoglou, M. P., Georgakopoulos, D. (2003). Service-oriented Computing. Communications of the ACM, 46 (10), 24-28. 2003.\n6. Paul Grefen, Rik Eshuis, Nikolay Mehandjiev, Giorgos Kouvas, Georg Weichhart, 2009. IEEE Internet Computing. 2009;13(6):65-73.\n7. de Vrieze, P. T., Xu, L., Bouguettaya, A., Yang, J. and Chen, J., 2011. Building enterprise mashups. Future Generation Computer Systems, 27 (5), 637-642.\n8. Xu, L., de Vrieze, P. T., Phalp, K. T., Jeary, S. and Liang, P., 2010. Lightweight Process Modelling for Virtual Enterprise Process Collaboration. In: PRO-VE'2010: 11th IFIP Working Conference on Virtual Enterprises, 11-13 October 2010, Saint-Etienne, France, pp. 501-508.\n</text>\n", "role": "user" }, { "content": "e value of single family homes in the U.", "role": "assistant" } ]
Bright and dark vector rogue waves Sergey V. Sergeyev 1 , Chengbo Mou 1,2* , Stanislav Kolpakov 1 , Vladimir Kalashnikov 1 1 Aston Institute of Photonic Technologies, Aston University, Aston Triangle, B4 7ET, Birmingham, UK 2 The Key Laboratory of Specialty Fiber Optics and Optical Access Network, Shanghai University, 200072, Shanghai, China * Tel: +44 (0)1212043504 , e-mail: [email protected] ABSTRACT For an Erbium-doped mode locked fibre laser, we demonstrate experimentally a new type of vector rogue waves (RWs) emergence of which is caused by the coherent coupling of the orthogonal states of polarisation (SOPs). Unlike weak interaction between neighbouring dissipative solitons for the soliton rain, this creates a new type of the energy landscape where the interaction of the orthogonal SOPs leads to polarisation trapping or escapes from the trapping triggered by polarisation instabilities and so results in the pulse dynamics satisfying criteria of the "dark" and "bright" RWs. The obtained results, apart from the fundamental interest, can provide a base for development of the rogue waves mitigation techniques in the context of the applications in photonics and beyond. Keywords : mode locked lasers, rogue waves, polarisation 1. INTRODUCTION The femtosecond/picosecond pulsewidth and MHz repetition rate of mode locked fibre lasers (MLFLs) provide an opportunity to observe more data on rogue waves in the form of the chaotic bunches of pulses (soliton rain [1]-[5]) in the short time (compared to the time scale of RWs in other systems, such as in the ocean [6]-[8]) and under controlled conditions. This makes such lasers perfect test bed systems to study RWs in the context of origin and mitigation with further results application in numerous disciplines – social sciences, natural sciences and technology & engineering [1-5]. In MLFLs, adjacent pulses interact through their tails overlapping or through the dispersive waves. Such interaction can be controlled by the pump power modulation or/and by injection of a weak seeding signal and noise that is similar to the fluctuation induced escape (FIE) phenomena in an energy landscape (EL) (set of equilibrium minima and saddle points, i.e. unstable maxima in the potential) of the multistate or excitable systems [9]-[10]. Based on the weak interaction model (WIM), such scenario of RWs emergence has been recently outlined theoretically based on the nonlinear Schrödinger (NLS) equation [11]. We support the concept in this paper by providing an experimental evidence of a new type of the energy landscape created by the interaction of the orthogonal states of polarisation (SOPs) and leading to the polarisation trapping or escape from the trapping which is triggered by polarisation instabilities [12]-[13]. We demonstrate that tuning the in-cavity and the pump polarisation controllers, i.e. cavity birefringence and the ellipticity of the pump wave, enable transitions between two orthogonal states of polarisation which leads to output power distribution satisfying the rogue wave's criteria. 2. RESULTS AND DISCUSSION The laser (Fig. 1) consists of 1.1m long erbium doped fibre (EDF) with a nominal absorption ratio of 80dB/m at 1530nm. The group velocity dispersion of the EDF is ~ +59 ps 2 /km. A fibre pigtailed optical isolator (OISO) is used to provide a unidirectional operation of the laser. A 975nm laser diode (LD) with the output power of 67 mW is employed to pump the laser via a 980/1550 wavelength division multiplexer (WDM). This power is 10 times less than the pump power used by many authors for the experimental and theoretical study of the soliton rain [1]-[5]. A standard 70:30 fused coupler is used to extract 30% of the laser light out of the cavity. The rest of the laser cavity contains 1.22m OFS980 fibre and 4.4m SMF 28 fibre. The CNT mode-locker is a piece of the carbon nanotube polymer composite film sandwiched between two standard fibre connectors. The index matching gel was used to minimise the insertion losses. The total cavity GVD is ~ -0.04 ps 2 /nm. Two polarisation controllers (POC1 and POC2) were used to adjust the SOP of the pump wave and the in-cavity birefringence. The polarimeter (Thorlabs IPM5300) was mounted on a chassis (Thorlabs TXP – 5016) and tuned to have a 1 µs resolution and a total temporal length of the sample of 1 ms (1024 points per measurement). This polarimeter was used to measure the normalised Stokes parameters s1, s2, s3, the degree of polarisation (DOP) and the power of the signal. The laser signal was measured using a UDP–15 –IR–2FC detector with a bandwidth of 17 GHz; the electric signal from the detector was recorded with a Tektronix DPO7254 – 2.5 GHz oscilloscope. The POC1 and POC2 have been adjusted to find conditions for RWs emergence. The optical spectrum was measured with the optical spectrum analyser (ANDO AQ6317B) and the pulse width – with the help of the auto-correlator (Pulsecheck). The results of measurements are shown in Figs.2 and 3. The oscillogram comprises 20 slices of the pulse dynamics with 20K points in each slice, autocorrelation trace consists of 8 slices, and polarimeter trace includes 20 slices. As follows from Fig. 2 (a), multi-pulse dynamics is stable during each slice (16 roundtrips) and is changing from slice to slice. Detailed auto-correlation analysis (Fig. 2 (b)) and the shape of optical spectrum (Fig. 2 (c)) reveal soliton rain similar to the observed in literature [1-5]. The main difference is in low pump power of 67 mW used here vs 800 mW used by the other authors [1-5]. The pulse width is about 700 fs and the distance between the main pulse and satellites fluctuates between 1 to 7 ps. The presence of the pedestal in autocorrelation trace and the absence of the pronounced spectral fringes indicate the presence of loosely bound solitons moving in the range of 1ps - 10 ns delays with respect to the main pulse. Probability distribution histogram and RW criteria (more than eight standard deviations from the mean value, i.e. mean(I)+8 (I) where I is an output power signal) are shown in Fig. 2 (d). As follows from this figure, our case corresponds to the presence of the rogue waves. To get insight ino the mechanism of the RW emergence we used the polarimeter with 1 µs resolution and interval of 1 ms (aprox 30 – 30000 round trips range) to measure the normalized Stokes parameters s1, s2, s3 which are related to the output powers of two linearly cross-polarized SOPs Ix and Iy, and phase difference between them as follows: Results are shown in Fig. 3 (a-c). As follows from Fig. 3 (a), the anomalous spikes in the output power corresponds to the phase difference jumps in π, i.e. transitions between orthogonally polarised SOPs as follows from Fig. 3 (b). The probability distribution histogram is shown in Fig. 3 (c) along with RW criteria (red and blue lines) indicate the presence of so-called "bright" (spikes in Fig.3 (a)) and "dark" (dips in Fig. 3 (a)) RWs (Fig3 (c)). As follows from Figs. 2 and 3, slow evolution of the soliton rain is accompanied by the random polarisation switching between orthogonal SOPs. As a result, averaging over the 30 roundtrips provide almost constant output power (Fig.3 (a)) for different structures of the soliton rain (Fig. 2 (a)) whereas it is likely that spikes and dips appear when the type of the structure changes (Fig. 3 (a)) as result of the abrupt switching. The mechanism of such vector rogue waves emergence can be caused by the chaotic phase drift considered by Ansmann and co-workers for the system of two coupled oscillators [14]. Models of networks of coupled oscillators are widely used to study different synchronisation scenarios from the phase locking to the phase drift in the context of applications from biomedicine to the laser physics [15]. For the phase couple oscillators, evolution can be considered based on Kuramoto equations: Here ϕi and Ωi are the phase and the frequency of the oscillator, K is the coupling strength and G is the coupling function [15]. In the simplest case of two coupled oscillators with G=sin(ϕi- ϕj) , Eq. (2) is called Adler equation [15]. For a comprehensive study of the synchronisation in lasers leading to complex dynamics along with conditions for RWs emergence, the amplitude dynamics along with dynamics of the population inversion have to be included into consideration that results in a new class of coupled system, i.e. coupled oscillators with the dynamic coupling strength [15]. With accounting for the SOP, orthogonally polarised SOPs can be treated as coupled oscillators as well [12, 13]. This provided a very good test bed for study synchronisation regimes of the orthogonal SOPs in a mode-locked fibre laser with a saturable absorber as a function of the laser parameters (power and ellipticity of the pump wave, and in-cavity birefringence) tunable by the pump laser current driver, polarisation controller for pump wave and in-cavity polarisation controller [5-8]. The result of the laser parameter tuning shown in Fig. 3 (a) leads to chaotic phase jumps of the phase difference between the orthogonal SOPs which coincide with the anomalous spikes and dips in the output power. Thus, the observed in Fig. 3 rare events taking the form of the "dark" and "bright" vector RWs along with quite long time intervals with the constant output power can be explained in terms of the spontaneous desynchronization of the cross polarised SOPs. The desynchronization can be caused by the decreased coupling between SOPs allowing the polarisation instabilities-driven chaotic transitions. 3. CONCLUSIONS We have demonstrated experimentally a new class of the vector rogue waves taking the form of the rare anomalous switching between different types of the soliton rain. This type of switching has a time scale of tenths-hundreds roundtrips and can take a form of the "dark" and "bright" vector rogue waves. We show that tuning in-cavity and the pump polarisation controllers, i.e. the cavity birefringence and the ellipticity of the pump wave, enable, in terms of the theory of the coupled oscillators, changing the coupling strength between two orthogonal SOPs and detuning between their oscillation frequencies that is finally result in polarisation trapping or escape from the trapping triggered by polarisation instabilities [12]-[13]. The revealed conditions for emergence of new class of the rogue waves can potentially find applications for controlling synchronisation scenarios along with rogue wave emergence in the ensemble of coupled oscillators that mimic a wide range of the coupled systems such as multimode and coupled lasers, electrical power grids, communication networks, human brain, and financial markets. ACKNOWLEDGEMENTS This work was financed by the Leverhulme Trust (Grant ref: RPG – 2014 – 304) and the FP7-PEOPLE-2012IAPP (project GRIFFON, No. 324391). REFERENCES [1] C. Lecaplain, Ph. Grelu, J.M. Soto-Crespo, and N. Akhmediev: Dissipative Rogue Waves Generated by Chaotic Pulse Bunching in a Mode-Locked Laser, Phys. Rev. Lett., vol. 108 , p. 233901 , Jun. 2012. [2] C. Lecaplain, Ph. Grelu, J.M. Soto-Crespo, and N. Akhmediev: Dissipative rogue wave generation in multiple-pulsing mode-locked fiber laser, J. Optics, vol. 15, p. 064005, Jun. 2013. [3] A. Zavialov, O. Egorov, R. Iliev, and F. Lederer: Rogue waves in mode-locked fiber lasers, Phys. Rev. A vol. 85, pp. 013828, Jan. 2012. [4] A. Niang, et.al.: Rains of solitons in a figure-of-eight passively mode-locked fibre laser, Appl. Phys. B, vol. 116, pp. 771-775, Jan. 2014. [5] F. Sanchez, et al.: Manipulating dissipative soliton ensembles in passively mode-locked fiber lasers. Opt. Fiber Techn., vol. 20, pp.562-574, Dec. 2014 [6] C. Kharif, E. Pelinovsky, A. and Slunyaev: Rogue Waves in the Ocean, Heidelberg, Springer, 2009. [7] A. Slunyaev et al.: Super-rogue waves in simulations based on weakly nonlinear and fully nonlinear hydrodynamic equations, Phys. Rev. E, vol. 8, p. 012909, Jul. 2013. [8] A. R. Osborne: Nonlinear Ocean Waves and the Inverse Scattering Transform , Academic Press, 2010. [9] B. Lindner, J. Garsia-Ojalvo, A. Neiman, L. Schimansky-Greif: Effects of noise in excitable systems, Phys. Reports, vol. 392, pp.321-424, Mar. 2004. [10] L. Gammaitoni, P. Hänggi, P. Jung, and F. Marchesoni: Stochastic resonance, Rev. Mod. Phys., vol. 70, pp. 223-287, Jan. 1998. [11] A. Armaroli, C. Conti, and F. Biancalana: Rogue solitons in optical fibers: a dynamical process in a complex energy landscape, Optica, vol. 2, pp. 497-503, May 2015. [12] S. V. Sergeyev et al.: Spiral attractors created by vector soliton, Light: Science & Appl., vol. 3, p. e131, Jan. 2014. [13] S. V. Sergeyev: Fast and slowly evolving vector solitons in mode locked fibre laser, Phil. Trans. R. Soc. A vol. 372, p. 20140006, Oct. 2014. [14] G. Ansmann, R. Karnatak, K. Lehnertz, and U. Feudel: Extreme events in excitable systems and mechanisms of their generation, Phys. Rev. E, vol.88, p. 052911, Nov. 2013. [15] A. Arenas et al.: Synchronization in complex networks, Phys. Rep., vol.469, pp.93-153, Sep.2008.	<urn:uuid:b2427889-fe69-421f-ac5b-ac05c9e9cbaa>	CC-MAIN-2019-26	https://research.aston.ac.uk/portal/files/20817297/Bright_and_dark_vector_rogue_waves.pdf	2019-06-27T08:04:57Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-26/segments/1560628001014.85/warc/CC-MAIN-20190627075525-20190627101525-00522.warc.gz	548,491,791	3,340	eng_Latn	eng_Latn	0.97076	eng_Latn	0.987667	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 5197, 6557, 9631, 13148 ]	Bright and dark vector rogue waves Sergey V. Sergeyev 1 , Chengbo Mou 1,2* , Stanislav Kolpakov 1 , Vladimir Kalashnikov 1 1 Aston Institute of Photonic Technologies, Aston University, Aston Triangle, B4 7ET, Birmingham, UK 2 The Key Laboratory of Specialty Fiber Optics and Optical Access Network, Shanghai University, 200072, Shanghai, China * Tel: +44 (0)1212043504 , e-mail: [email protected] ABSTRACT For an Erbium-doped mode locked fibre laser, we demonstrate experimentally a new type of vector rogue waves (RWs) emergence of which is caused by the coherent coupling of the orthogonal states of polarisation (SOPs). Unlike weak interaction between neighbouring dissipative solitons for the soliton rain, this creates a new type of the energy landscape where the interaction of the orthogonal SOPs leads to polarisation trapping or escapes from the trapping triggered by polarisation instabilities and so results in the pulse dynamics satisfying criteria of the "dark" and "bright" RWs. The obtained results, apart from the fundamental interest, can provide a base for development of the rogue waves mitigation techniques in the context of the applications in photonics a	nd beyond.	Keywords : mode locked lasers, rogue waves, polarisation 1. INTRODUCTION The femtosecond/picosecond pulsewidth and MHz repetition rate of mode locked fibre lasers (MLFLs) provide an opportunity to observe more data on rogue waves in the form of the chaotic bunches of pulses (soliton rain [1]-[5]) in the short time (compared to the time scale of RWs in other systems, such as in the ocean [6]-[8]) and under controlled conditions. This makes such lasers perfect test bed systems to study RWs in the context of origin and mitigation with further results application in numerous disciplines – social sciences, natural sciences and technology & engineering [1-5]. In MLFLs, adjacent pulses interact through their tails overlapping or through the dispersive waves. Such interaction can be controlled by the pump power modulation or/and by injection of a weak seeding signal and noise that is similar to the fluctuation induced escape (FIE) phenomena in an energy landscape (EL) (set of equilibrium minima and saddle points, i.e. unstable maxima in the potential) of the multistate or excitable systems [9]-[10]. Based on the weak interaction model (WIM), such scenario of RWs emergence has been recently outlined theoretically based on the nonlinear Schrödinger (NLS) equation [11]. We support the concept in this paper by providing an experimental evidence of a new type of the energy landscape created by the interaction of the orthogonal states of polarisation (SOPs) and leading to the polarisation trapping or escape from the trapping which is triggered by polarisation instabilities [12]-[13]. We demonstrate that tuning the in-cavity and the pump polarisation controllers, i.e. cavity birefringence and the ellipticity of the pump wave, enable transitions between two orthogonal states of polarisation which leads to output power distribution satisfying the rogue wave's criteria. 2. RESULTS AND DISCUSSION The laser (Fig. 1) consists of 1.1m long erbium doped fibre (EDF) with a nominal absorption ratio of 80dB/m at 1530nm. The group velocity dispersion of the EDF is ~ +59 ps 2 /km. A fibre pigtailed optical isolator (OISO) is used to provide a unidirectional operation of the laser. A 975nm laser diode (LD) with the output power of 67 mW is employed to pump the laser via a 980/1550 wavelength division multiplexer (WDM). This power is 10 times less than the pump power used by many authors for the experimental and theoretical study of the soliton rain [1]-[5]. A standard 70:30 fused coupler is used to extract 30% of the laser light out of the cavity. The rest of the laser cavity contains 1.22m OFS980 fibre and 4.4m SMF 28 fibre. The CNT mode-locker is a piece of the carbon nanotube polymer composite film sandwiched between two standard fibre connectors. The index matching gel was used to minimise the insertion losses. The total cavity GVD is ~ -0.04 ps 2 /nm. Two polarisation controllers (POC1 and POC2) were used to adjust the SOP of the pump wave and the in-cavity birefringence. The polarimeter (Thorlabs IPM5300) was mounted on a chassis (Thorlabs TXP – 5016) and tuned to have a 1 µs resolution and a total temporal length of the sample of 1 ms (1024 points per measurement). This polarimeter was used to measure the normalised Stokes parameters s1, s2, s3, the degree of polarisation (DOP) and the power of the signal. The laser signal was measured using a UDP–15 –IR–2FC detector with a bandwidth of 17 GHz; the electric signal from the detector was recorded with a Tektronix DPO7254 – 2.5 GHz oscilloscope. The POC1 and POC2 have been adjusted to find conditions for RWs emergence. The optical spectrum was measured with the optical spectrum analyser (ANDO AQ6317B) and the pulse width – with the help of the auto-correlator (Pulsecheck). The results of measurements are shown in Figs.2 and 3. The oscillogram comprises 20 slices of the pulse dynamics with 20K points in each slice, autocorrelation trace consists of 8 slices, and polarimeter trace includes 20 slices. As follows from Fig. 2 (a), multi-pulse dynamics is stable during each slice (16 roundtrips) and is changing from slice to slice. Detailed auto-correlation analysis (Fig. 2 (b)) and the shape of optical spectrum (Fig. 2 (c)) reveal soliton rain similar to the observed in literature [1-5]. The main difference is in low pump power of 67 mW used here vs 800 mW used by the other authors [1-5]. The pulse width is about 700 fs and the distance between the main pulse and satellites fluctuates between 1 to 7 ps. The presence of the pedestal in autocorrelation trace and the absence of the pronounced spectral fringes indicate the presence of loosely bound solitons moving in the range of 1ps - 10 ns delays with respect to the main pulse. Probability distribution histogram and RW criteria (more than eight standard deviations from the mean value, i.e. mean(I)+8 (I) where I is an output power signal) are shown in Fig. 2 (d). As follows from this figure, our case corresponds to the presence of the rogue waves. To get insight ino the mechanism of the RW emergence we used the polarimeter with 1 µs resolution and interval of 1 ms (aprox 30 – 30000 round trips range) to measure the normalized Stokes parameters s1, s2, s3 which are related to the output powers of two linearly cross-polarized SOPs Ix and Iy, and phase difference between them as follows: Results are shown in Fig. 3 (a-c). As follows from Fig. 3 (a), the anomalous spikes in the output power corresponds to the phase difference jumps in π, i.e. transitions between orthogonally polarised SOPs as follows from Fig. 3 (b). The probability distribution histogram is shown in Fig. 3 (c) along with RW criteria (red and blue lines) indicate the presence of so-called "bright" (spikes in Fig.3 (a)) and "dark" (dips in Fig. 3 (a)) RWs (Fig3 (c)). As follows from Figs. 2 and 3, slow evolution of the soliton rain is accompanied by the random polarisation switching between orthogonal SOPs. As a result, averaging over the 30 roundtrips provide almost constant output power (Fig.3 (a)) for different structures of the soliton rain (Fig. 2 (a)) whereas it is likely that spikes and dips appear when the type of the structure changes (Fig. 3 (a)) as result of the abrupt switching. The mechanism of such vector rogue waves emergence can be caused by the chaotic phase drift considered by Ansmann and co-workers for the system of two coupled oscillators [14]. Models of networks of coupled oscillators are widely used to study different synchronisation scenarios from the phase locking to the phase drift in the context of applications from biomedicine to the laser physics [15]. For the phase couple oscillators, evolution can be considered based on Kuramoto equations: Here ϕi and Ωi are the phase and the frequency of the oscillator, K is the coupling strength and G is the coupling function [15]. In the simplest case of two coupled oscillators with G=sin(ϕi- ϕj) , Eq. (2) is called Adler equation [15]. For a comprehensive study of the synchronisation in lasers leading to complex dynamics along with conditions for RWs emergence, the amplitude dynamics along with dynamics of the population inversion have to be included into consideration that results in a new class of coupled system, i.e. coupled oscillators with the dynamic coupling strength [15]. With accounting for the SOP, orthogonally polarised SOPs can be treated as coupled oscillators as well [12, 13]. This provided a very good test bed for study synchronisation regimes of the orthogonal SOPs in a mode-locked fibre laser with a saturable absorber as a function of the laser parameters (power and ellipticity of the pump wave, and in-cavity birefringence) tunable by the pump laser current driver, polarisation controller for pump wave and in-cavity polarisation controller [5-8]. The result of the laser parameter tuning shown in Fig. 3 (a) leads to chaotic phase jumps of the phase difference between the orthogonal SOPs which coincide with the anomalous spikes and dips in the output power. Thus, the observed in Fig. 3 rare events taking the form of the "dark" and "bright" vector RWs along with quite long time intervals with the constant output power can be explained in terms of the spontaneous desynchronization of the cross polarised SOPs. The desynchronization can be caused by the decreased coupling between SOPs allowing the polarisation instabilities-driven chaotic transitions. 3. CONCLUSIONS We have demonstrated experimentally a new class of the vector rogue waves taking the form of the rare anomalous switching between different types of the soliton rain. This type of switching has a time scale of tenths-hundreds roundtrips and can take a form of the "dark" and "bright" vector rogue waves. We show that tuning in-cavity and the pump polarisation controllers, i.e. the cavity birefringence and the ellipticity of the pump wave, enable, in terms of the theory of the coupled oscillators, changing the coupling strength between two orthogonal SOPs and detuning between their oscillation frequencies that is finally result in polarisation trapping or escape from the trapping triggered by polarisation instabilities [12]-[13]. The revealed conditions for emergence of new class of the rogue waves can potentially find applications for controlling synchronisation scenarios along with rogue wave emergence in the ensemble of coupled oscillators that mimic a wide range of the coupled systems such as multimode and coupled lasers, electrical power grids, communication networks, human brain, and financial markets. ACKNOWLEDGEMENTS This work was financed by the Leverhulme Trust (Grant ref: RPG – 2014 – 304) and the FP7-PEOPLE-2012IAPP (project GRIFFON, No. 324391). REFERENCES [1] C. Lecaplain, Ph. Grelu, J.M. Soto-Crespo, and N. Akhmediev: Dissipative Rogue Waves Generated by Chaotic Pulse Bunching in a Mode-Locked Laser, Phys. Rev. Lett., vol. 108 , p. 233901 , Jun. 2012. [2] C. Lecaplain, Ph. Grelu, J.M. Soto-Crespo, and N. Akhmediev: Dissipative rogue wave generation in multiple-pulsing mode-locked fiber laser, J. Optics, vol. 15, p. 064005, Jun. 2013. [3] A. Zavialov, O. Egorov, R. Iliev, and F. Lederer: Rogue waves in mode-locked fiber lasers, Phys. Rev. A vol. 85, pp. 013828, Jan. 2012. [4] A. Niang, et.al.: Rains of solitons in a figure-of-eight passively mode-locked fibre laser, Appl. Phys. B, vol. 116, pp. 771-775, Jan. 2014. [5] F. Sanchez, et al.: Manipulating dissipative soliton ensembles in passively mode-locked fiber lasers. Opt. Fiber Techn., vol. 20, pp.562-574, Dec. 2014 [6] C. Kharif, E. Pelinovsky, A. and Slunyaev: Rogue Waves in the Ocean, Heidelberg, Springer, 2009. [7] A. Slunyaev et al.: Super-rogue waves in simulations based on weakly nonlinear and fully nonlinear hydrodynamic equations, Phys. Rev. E, vol. 8, p. 012909, Jul. 2013. [8] A. R. Osborne: Nonlinear Ocean Waves and the Inverse Scattering Transform , Academic Press, 2010. [9] B. Lindner, J. Garsia-Ojalvo, A. Neiman, L. Schimansky-Greif: Effects of noise in excitable systems, Phys. Reports, vol. 392, pp.321-424, Mar. 2004. [10] L. Gammaitoni, P. Hänggi, P. Jung, and F. Marchesoni: Stochastic resonance, Rev. Mod. Phys., vol. 70, pp. 223-287, Jan. 1998. [11] A. Armaroli, C. Conti, and F. Biancalana: Rogue solitons in optical fibers: a dynamical process in a complex energy landscape, Optica, vol. 2, pp. 497-503, May 2015. [12] S. V. Sergeyev et al.: Spiral attractors created by vector soliton, Light: Science & Appl., vol. 3, p. e131, Jan. 2014. [13] S. V. Sergeyev: Fast and slowly evolving vector solitons in mode locked fibre laser, Phil. Trans. R. Soc. A vol. 372, p. 20140006, Oct. 2014. [14] G. Ansmann, R. Karnatak, K. Lehnertz, and U. Feudel: Extreme events in excitable systems and mechanisms of their generation, Phys. Rev. E, vol.88, p. 052911, Nov. 2013. [15] A. Arenas et al.: Synchronization in complex networks, Phys. Rep., vol.469, pp.93-153, Sep.2008.	1,183	inside_word	and	remove_one_sentence	<url> https://research.aston.ac.uk/portal/files/20817297/Bright_and_dark_vector_rogue_waves.pdf </url> <text> Bright and dark vector rogue waves Sergey V. Sergeyev 1 , Chengbo Mou 1,2* , Stanislav Kolpakov 1 , Vladimir Kalashnikov 1 1 Aston Institute of Photonic Technologies, Aston University, Aston Triangle, B4 7ET, Birmingham, UK 2 The Key Laboratory of Specialty Fiber Optics and Optical Access Network, Shanghai University, 200072, Shanghai, China * Tel: +44 (0)1212043504 , e-mail: [email protected] ABSTRACT For an Erbium-doped mode locked fibre laser, we demonstrate experimentally a new type of vector rogue waves (RWs) emergence of which is caused by the coherent coupling of the orthogonal states of polarisation (SOPs). Unlike weak interaction between neighbouring dissipative solitons for the soliton rain, this creates a new type of the energy landscape where the interaction of the orthogonal SOPs leads to polarisation trapping or escapes from the trapping triggered by polarisation instabilities and so results in the pulse dynamics satisfying criteria of the "dark" and "bright" RWs. The obtained results, apart from the fundamental interest, can provide a base for development of the rogue waves mitigation techniques in the context of the applications in photonics a<cursor_is_here> Keywords : mode locked lasers, rogue waves, polarisation 1. INTRODUCTION The femtosecond/picosecond pulsewidth and MHz repetition rate of mode locked fibre lasers (MLFLs) provide an opportunity to observe more data on rogue waves in the form of the chaotic bunches of pulses (soliton rain [1]-[5]) in the short time (compared to the time scale of RWs in other systems, such as in the ocean [6]-[8]) and under controlled conditions. This makes such lasers perfect test bed systems to study RWs in the context of origin and mitigation with further results application in numerous disciplines – social sciences, natural sciences and technology & engineering [1-5]. In MLFLs, adjacent pulses interact through their tails overlapping or through the dispersive waves. Such interaction can be controlled by the pump power modulation or/and by injection of a weak seeding signal and noise that is similar to the fluctuation induced escape (FIE) phenomena in an energy landscape (EL) (set of equilibrium minima and saddle points, i.e. unstable maxima in the potential) of the multistate or excitable systems [9]-[10]. Based on the weak interaction model (WIM), such scenario of RWs emergence has been recently outlined theoretically based on the nonlinear Schrödinger (NLS) equation [11]. We support the concept in this paper by providing an experimental evidence of a new type of the energy landscape created by the interaction of the orthogonal states of polarisation (SOPs) and leading to the polarisation trapping or escape from the trapping which is triggered by polarisation instabilities [12]-[13]. We demonstrate that tuning the in-cavity and the pump polarisation controllers, i.e. cavity birefringence and the ellipticity of the pump wave, enable transitions between two orthogonal states of polarisation which leads to output power distribution satisfying the rogue wave's criteria. 2. RESULTS AND DISCUSSION The laser (Fig. 1) consists of 1.1m long erbium doped fibre (EDF) with a nominal absorption ratio of 80dB/m at 1530nm. The group velocity dispersion of the EDF is ~ +59 ps 2 /km. A fibre pigtailed optical isolator (OISO) is used to provide a unidirectional operation of the laser. A 975nm laser diode (LD) with the output power of 67 mW is employed to pump the laser via a 980/1550 wavelength division multiplexer (WDM). This power is 10 times less than the pump power used by many authors for the experimental and theoretical study of the soliton rain [1]-[5]. A standard 70:30 fused coupler is used to extract 30% of the laser light out of the cavity. The rest of the laser cavity contains 1.22m OFS980 fibre and 4.4m SMF 28 fibre. The CNT mode-locker is a piece of the carbon nanotube polymer composite film sandwiched between two standard fibre connectors. The index matching gel was used to minimise the insertion losses. The total cavity GVD is ~ -0.04 ps 2 /nm. Two polarisation controllers (POC1 and POC2) were used to adjust the SOP of the pump wave and the in-cavity birefringence. The polarimeter (Thorlabs IPM5300) was mounted on a chassis (Thorlabs TXP – 5016) and tuned to have a 1 µs resolution and a total temporal length of the sample of 1 ms (1024 points per measurement). This polarimeter was used to measure the normalised Stokes parameters s1, s2, s3, the degree of polarisation (DOP) and the power of the signal. The laser signal was measured using a UDP–15 –IR–2FC detector with a bandwidth of 17 GHz; the electric signal from the detector was recorded with a Tektronix DPO7254 – 2.5 GHz oscilloscope. The POC1 and POC2 have been adjusted to find conditions for RWs emergence. The optical spectrum was measured with the optical spectrum analyser (ANDO AQ6317B) and the pulse width – with the help of the auto-correlator (Pulsecheck). The results of measurements are shown in Figs.2 and 3. The oscillogram comprises 20 slices of the pulse dynamics with 20K points in each slice, autocorrelation trace consists of 8 slices, and polarimeter trace includes 20 slices. As follows from Fig. 2 (a), multi-pulse dynamics is stable during each slice (16 roundtrips) and is changing from slice to slice. Detailed auto-correlation analysis (Fig. 2 (b)) and the shape of optical spectrum (Fig. 2 (c)) reveal soliton rain similar to the observed in literature [1-5]. The main difference is in low pump power of 67 mW used here vs 800 mW used by the other authors [1-5]. The pulse width is about 700 fs and the distance between the main pulse and satellites fluctuates between 1 to 7 ps. The presence of the pedestal in autocorrelation trace and the absence of the pronounced spectral fringes indicate the presence of loosely bound solitons moving in the range of 1ps - 10 ns delays with respect to the main pulse. Probability distribution histogram and RW criteria (more than eight standard deviations from the mean value, i.e. mean(I)+8 (I) where I is an output power signal) are shown in Fig. 2 (d). As follows from this figure, our case corresponds to the presence of the rogue waves. To get insight ino the mechanism of the RW emergence we used the polarimeter with 1 µs resolution and interval of 1 ms (aprox 30 – 30000 round trips range) to measure the normalized Stokes parameters s1, s2, s3 which are related to the output powers of two linearly cross-polarized SOPs Ix and Iy, and phase difference between them as follows: Results are shown in Fig. 3 (a-c). As follows from Fig. 3 (a), the anomalous spikes in the output power corresponds to the phase difference jumps in π, i.e. transitions between orthogonally polarised SOPs as follows from Fig. 3 (b). The probability distribution histogram is shown in Fig. 3 (c) along with RW criteria (red and blue lines) indicate the presence of so-called "bright" (spikes in Fig.3 (a)) and "dark" (dips in Fig. 3 (a)) RWs (Fig3 (c)). As follows from Figs. 2 and 3, slow evolution of the soliton rain is accompanied by the random polarisation switching between orthogonal SOPs. As a result, averaging over the 30 roundtrips provide almost constant output power (Fig.3 (a)) for different structures of the soliton rain (Fig. 2 (a)) whereas it is likely that spikes and dips appear when the type of the structure changes (Fig. 3 (a)) as result of the abrupt switching. The mechanism of such vector rogue waves emergence can be caused by the chaotic phase drift considered by Ansmann and co-workers for the system of two coupled oscillators [14]. Models of networks of coupled oscillators are widely used to study different synchronisation scenarios from the phase locking to the phase drift in the context of applications from biomedicine to the laser physics [15]. For the phase couple oscillators, evolution can be considered based on Kuramoto equations: Here ϕi and Ωi are the phase and the frequency of the oscillator, K is the coupling strength and G is the coupling function [15]. In the simplest case of two coupled oscillators with G=sin(ϕi- ϕj) , Eq. (2) is called Adler equation [15]. For a comprehensive study of the synchronisation in lasers leading to complex dynamics along with conditions for RWs emergence, the amplitude dynamics along with dynamics of the population inversion have to be included into consideration that results in a new class of coupled system, i.e. coupled oscillators with the dynamic coupling strength [15]. With accounting for the SOP, orthogonally polarised SOPs can be treated as coupled oscillators as well [12, 13]. This provided a very good test bed for study synchronisation regimes of the orthogonal SOPs in a mode-locked fibre laser with a saturable absorber as a function of the laser parameters (power and ellipticity of the pump wave, and in-cavity birefringence) tunable by the pump laser current driver, polarisation controller for pump wave and in-cavity polarisation controller [5-8]. The result of the laser parameter tuning shown in Fig. 3 (a) leads to chaotic phase jumps of the phase difference between the orthogonal SOPs which coincide with the anomalous spikes and dips in the output power. Thus, the observed in Fig. 3 rare events taking the form of the "dark" and "bright" vector RWs along with quite long time intervals with the constant output power can be explained in terms of the spontaneous desynchronization of the cross polarised SOPs. The desynchronization can be caused by the decreased coupling between SOPs allowing the polarisation instabilities-driven chaotic transitions. 3. CONCLUSIONS We have demonstrated experimentally a new class of the vector rogue waves taking the form of the rare anomalous switching between different types of the soliton rain. This type of switching has a time scale of tenths-hundreds roundtrips and can take a form of the "dark" and "bright" vector rogue waves. We show that tuning in-cavity and the pump polarisation controllers, i.e. the cavity birefringence and the ellipticity of the pump wave, enable, in terms of the theory of the coupled oscillators, changing the coupling strength between two orthogonal SOPs and detuning between their oscillation frequencies that is finally result in polarisation trapping or escape from the trapping triggered by polarisation instabilities [12]-[13]. The revealed conditions for emergence of new class of the rogue waves can potentially find applications for controlling synchronisation scenarios along with rogue wave emergence in the ensemble of coupled oscillators that mimic a wide range of the coupled systems such as multimode and coupled lasers, electrical power grids, communication networks, human brain, and financial markets. ACKNOWLEDGEMENTS This work was financed by the Leverhulme Trust (Grant ref: RPG – 2014 – 304) and the FP7-PEOPLE-2012IAPP (project GRIFFON, No. 324391). REFERENCES [1] C. Lecaplain, Ph. Grelu, J.M. Soto-Crespo, and N. Akhmediev: Dissipative Rogue Waves Generated by Chaotic Pulse Bunching in a Mode-Locked Laser, Phys. Rev. Lett., vol. 108 , p. 233901 , Jun. 2012. [2] C. Lecaplain, Ph. Grelu, J.M. Soto-Crespo, and N. Akhmediev: Dissipative rogue wave generation in multiple-pulsing mode-locked fiber laser, J. Optics, vol. 15, p. 064005, Jun. 2013. [3] A. Zavialov, O. Egorov, R. Iliev, and F. Lederer: Rogue waves in mode-locked fiber lasers, Phys. Rev. A vol. 85, pp. 013828, Jan. 2012. [4] A. Niang, et.al.: Rains of solitons in a figure-of-eight passively mode-locked fibre laser, Appl. Phys. B, vol. 116, pp. 771-775, Jan. 2014. [5] F. Sanchez, et al.: Manipulating dissipative soliton ensembles in passively mode-locked fiber lasers. Opt. Fiber Techn., vol. 20, pp.562-574, Dec. 2014 [6] C. Kharif, E. Pelinovsky, A. and Slunyaev: Rogue Waves in the Ocean, Heidelberg, Springer, 2009. [7] A. Slunyaev et al.: Super-rogue waves in simulations based on weakly nonlinear and fully nonlinear hydrodynamic equations, Phys. Rev. E, vol. 8, p. 012909, Jul. 2013. [8] A. R. Osborne: Nonlinear Ocean Waves and the Inverse Scattering Transform , Academic Press, 2010. [9] B. Lindner, J. Garsia-Ojalvo, A. Neiman, L. Schimansky-Greif: Effects of noise in excitable systems, Phys. Reports, vol. 392, pp.321-424, Mar. 2004. [10] L. Gammaitoni, P. Hänggi, P. Jung, and F. Marchesoni: Stochastic resonance, Rev. Mod. Phys., vol. 70, pp. 223-287, Jan. 1998. [11] A. Armaroli, C. Conti, and F. Biancalana: Rogue solitons in optical fibers: a dynamical process in a complex energy landscape, Optica, vol. 2, pp. 497-503, May 2015. [12] S. V. Sergeyev et al.: Spiral attractors created by vector soliton, Light: Science & Appl., vol. 3, p. e131, Jan. 2014. [13] S. V. Sergeyev: Fast and slowly evolving vector solitons in mode locked fibre laser, Phil. Trans. R. Soc. A vol. 372, p. 20140006, Oct. 2014. [14] G. Ansmann, R. Karnatak, K. Lehnertz, and U. Feudel: Extreme events in excitable systems and mechanisms of their generation, Phys. Rev. E, vol.88, p. 052911, Nov. 2013. [15] A. Arenas et al.: Synchronization in complex networks, Phys. Rep., vol.469, pp.93-153, Sep.2008. </text>	[ { "content": "<url>\nhttps://research.aston.ac.uk/portal/files/20817297/Bright_and_dark_vector_rogue_waves.pdf\n</url>\n<text>\nBright and dark vector rogue waves\n\nSergey V. Sergeyev 1 , Chengbo Mou 1,2* , Stanislav Kolpakov 1 , Vladimir Kalashnikov\n\n1\n\n1 Aston Institute of Photonic Technologies, Aston University, Aston Triangle, B4 7ET, Birmingham, UK 2 The Key Laboratory of Specialty Fiber Optics and Optical Access Network, Shanghai University, 200072, Shanghai, China\n\n* Tel: +44 (0)1212043504 , e-mail: [email protected]\n\nABSTRACT\n\nFor an Erbium-doped mode locked fibre laser, we demonstrate experimentally a new type of vector rogue waves (RWs) emergence of which is caused by the coherent coupling of the orthogonal states of polarisation (SOPs). Unlike weak interaction between neighbouring dissipative solitons for the soliton rain, this creates a new type of the energy landscape where the interaction of the orthogonal SOPs leads to polarisation trapping or escapes from the trapping triggered by polarisation instabilities and so results in the pulse dynamics satisfying criteria of the \"dark\" and \"bright\" RWs. The obtained results, apart from the fundamental interest, can provide a base for development of the rogue waves mitigation techniques in the context of the applications in photonics a<cursor_is_here>\n\nKeywords\n\n: mode locked lasers, rogue waves, polarisation\n\n1. INTRODUCTION\n\nThe femtosecond/picosecond pulsewidth and MHz repetition rate of mode locked fibre lasers (MLFLs) provide an opportunity to observe more data on rogue waves in the form of the chaotic bunches of pulses (soliton rain [1]-[5]) in the short time (compared to the time scale of RWs in other systems, such as in the ocean [6]-[8]) and under controlled conditions. This makes such lasers perfect test bed systems to study RWs in the context of origin and mitigation with further results application in numerous disciplines – social sciences, natural sciences and technology & engineering [1-5]. In MLFLs, adjacent pulses interact through their tails overlapping or through the dispersive waves. Such interaction can be controlled by the pump power modulation or/and by injection of a weak seeding signal and noise that is similar to the fluctuation induced escape (FIE) phenomena in an energy landscape (EL) (set of equilibrium minima and saddle points, i.e. unstable maxima in the potential) of the multistate or excitable systems [9]-[10]. Based on the weak interaction model (WIM), such scenario of RWs emergence has been recently outlined theoretically based on the nonlinear Schrödinger (NLS) equation [11]. We support the concept in this paper by providing an experimental evidence of a new type of the energy landscape created by the interaction of the orthogonal states of polarisation (SOPs) and leading to the polarisation trapping or escape from the trapping which is triggered by polarisation instabilities [12]-[13]. We demonstrate that tuning the in-cavity and the pump polarisation controllers, i.e. cavity birefringence and the ellipticity of the pump wave, enable transitions between two orthogonal states of polarisation which leads to output power distribution satisfying the rogue wave's criteria.\n\n2. RESULTS AND DISCUSSION\n\nThe laser (Fig. 1) consists of 1.1m long erbium doped fibre (EDF) with a nominal absorption ratio of 80dB/m at 1530nm. The group velocity dispersion of the EDF is ~ +59 ps 2 /km. A fibre pigtailed optical isolator (OISO) is used to provide a unidirectional operation of the laser. A 975nm laser diode (LD) with the output power of 67 mW is employed to pump the laser via a 980/1550 wavelength division multiplexer (WDM). This power is 10 times less than the pump power used by many authors for the experimental and theoretical study of the soliton rain [1]-[5]. A standard 70:30 fused coupler is used to extract 30% of the laser light out of the cavity. The rest of the laser cavity contains 1.22m OFS980 fibre and 4.4m SMF 28 fibre. The CNT mode-locker is a piece of the carbon nanotube polymer composite film sandwiched between two standard fibre connectors. The index matching gel was used to minimise the insertion losses. The total cavity GVD is ~ -0.04 ps 2 /nm. Two polarisation controllers (POC1 and POC2) were used to adjust the SOP of the pump wave and the in-cavity birefringence. The polarimeter (Thorlabs IPM5300) was mounted on a chassis (Thorlabs TXP – 5016) and tuned to have a 1 µs resolution and a total temporal length of the sample of 1 ms (1024 points per measurement). This polarimeter was used to measure the normalised Stokes parameters s1, s2, s3, the degree of polarisation (DOP) and the power of the signal. The laser signal was measured using a UDP–15 –IR–2FC detector with a bandwidth of 17 GHz; the electric signal from the detector was recorded with a Tektronix DPO7254 – 2.5 GHz oscilloscope. The POC1 and POC2 have been adjusted to find conditions for RWs emergence. The optical spectrum was measured with the optical spectrum analyser (ANDO AQ6317B) and the pulse width – with the help of the auto-correlator (Pulsecheck). The results of measurements are shown in Figs.2 and 3. The oscillogram comprises 20 slices of the pulse dynamics with 20K points in each slice, autocorrelation trace consists of 8 slices, and polarimeter trace includes 20 slices.\n\nAs follows from Fig. 2 (a), multi-pulse dynamics is stable during each slice (16 roundtrips) and is changing from slice to slice. Detailed auto-correlation analysis (Fig. 2 (b)) and the shape of optical spectrum (Fig. 2 (c)) reveal soliton rain similar to the observed in literature [1-5]. The main difference is in low pump power of 67 mW used here vs 800 mW used by the other authors [1-5]. The pulse width is about 700 fs and the distance between the main pulse and satellites fluctuates between 1 to 7 ps. The presence of the pedestal in autocorrelation trace and the absence of the pronounced spectral fringes indicate the presence of loosely bound solitons moving in the range of 1ps - 10 ns delays with respect to the main pulse. Probability distribution histogram and RW criteria (more than eight standard deviations from the mean value, i.e. mean(I)+8 (I) where I is an output power signal) are shown in Fig. 2 (d). As follows from this figure, our case corresponds to the presence of the rogue waves.\n\nTo get insight ino the mechanism of the RW emergence we used the polarimeter with 1 µs resolution and interval of 1 ms (aprox 30 – 30000 round trips range) to measure the normalized Stokes parameters s1, s2, s3 which are related to the output powers of two linearly cross-polarized SOPs Ix and Iy, and phase difference between them as follows:\n\nResults are shown in Fig. 3 (a-c). As follows from Fig. 3 (a), the anomalous spikes in the output power corresponds to the phase difference jumps in π, i.e. transitions between orthogonally polarised SOPs as follows from Fig. 3 (b). The probability distribution histogram is shown in Fig. 3 (c) along with RW criteria (red and blue lines) indicate the presence of so-called \"bright\" (spikes in Fig.3 (a)) and \"dark\" (dips in Fig. 3 (a)) RWs (Fig3 (c)). As follows from Figs. 2 and 3, slow evolution of the soliton rain is accompanied by the random polarisation switching between orthogonal SOPs. As a result, averaging over the 30 roundtrips provide almost constant output power (Fig.3 (a)) for different structures of the soliton rain (Fig. 2 (a)) whereas it is likely that spikes and dips appear when the type of the structure changes (Fig. 3 (a)) as result of the abrupt switching. The mechanism of such vector rogue waves emergence can be caused by the chaotic phase drift considered by Ansmann and co-workers for the system of two coupled oscillators [14].\n\nModels of networks of coupled oscillators are widely used to study different synchronisation scenarios from the phase locking to the phase drift in the context of applications from biomedicine to the laser physics [15]. For the phase couple oscillators, evolution can be considered based on Kuramoto equations:\n\nHere ϕi and Ωi are the phase and the frequency of the oscillator, K is the coupling strength and G is the coupling function [15]. In the simplest case of two coupled oscillators with G=sin(ϕi- ϕj) , Eq. (2) is called Adler equation [15]. For a comprehensive study of the synchronisation in lasers leading to complex dynamics along with conditions for RWs emergence, the amplitude dynamics along with dynamics of the population inversion have to be included into consideration that results in a new class of coupled system, i.e. coupled oscillators with the dynamic coupling strength [15]. With accounting for the SOP, orthogonally polarised SOPs can be treated as coupled oscillators as well [12, 13]. This provided a very good test bed for study synchronisation regimes of the orthogonal SOPs in a mode-locked fibre laser with a saturable absorber as a function of the laser parameters (power and ellipticity of the pump wave, and in-cavity birefringence) tunable by the pump laser current driver, polarisation controller for pump wave and in-cavity polarisation controller [5-8]. The result of the laser parameter tuning shown in Fig. 3 (a) leads to chaotic phase jumps of the phase difference between the orthogonal SOPs which coincide with the anomalous spikes and dips in the output power. Thus, the observed in Fig. 3 rare events taking the form of the \"dark\" and \"bright\" vector RWs along with quite long time intervals with the constant output power can be explained in terms of the spontaneous desynchronization of the cross polarised SOPs. The desynchronization can be caused by the decreased coupling between SOPs allowing the polarisation instabilities-driven chaotic transitions.\n\n3. CONCLUSIONS\n\nWe have demonstrated experimentally a new class of the vector rogue waves taking the form of the rare anomalous switching between different types of the soliton rain. This type of switching has a time scale of tenths-hundreds roundtrips and can take a form of the \"dark\" and \"bright\" vector rogue waves. We show that tuning in-cavity and the pump polarisation controllers, i.e. the cavity birefringence and the ellipticity of the pump wave, enable, in terms of the theory of the coupled oscillators, changing the coupling strength between two orthogonal SOPs and detuning between their oscillation frequencies that is finally result in polarisation trapping or escape from the trapping triggered by polarisation instabilities [12]-[13]. The revealed conditions for emergence of new class of the rogue waves can potentially find applications for controlling synchronisation scenarios along with rogue wave emergence in the ensemble of coupled oscillators that mimic a wide range of the coupled systems such as multimode and coupled lasers, electrical power grids, communication networks, human brain, and financial markets.\n\nACKNOWLEDGEMENTS\n\nThis work was financed by the Leverhulme Trust (Grant ref: RPG – 2014 – 304) and the FP7-PEOPLE-2012IAPP (project GRIFFON, No. 324391).\n\nREFERENCES\n\n[1] C. Lecaplain, Ph. Grelu, J.M. Soto-Crespo, and N. Akhmediev: Dissipative Rogue Waves Generated by Chaotic Pulse Bunching in a Mode-Locked Laser, Phys. Rev. Lett., vol. 108 , p. 233901 , Jun. 2012.\n[2] C. Lecaplain, Ph. Grelu, J.M. Soto-Crespo, and N. Akhmediev: Dissipative rogue wave generation in multiple-pulsing mode-locked fiber laser, J. Optics, vol. 15, p. 064005, Jun. 2013.\n[3] A. Zavialov, O. Egorov, R. Iliev, and F. Lederer: Rogue waves in mode-locked fiber lasers, Phys. Rev. A vol. 85, pp. 013828, Jan. 2012.\n[4] A. Niang, et.al.: Rains of solitons in a figure-of-eight passively mode-locked fibre laser, Appl. Phys. B, vol. 116, pp. 771-775, Jan. 2014.\n[5] F. Sanchez, et al.: Manipulating dissipative soliton ensembles in passively mode-locked fiber lasers. Opt. Fiber Techn., vol. 20, pp.562-574, Dec. 2014\n[6] C. Kharif, E. Pelinovsky, A. and Slunyaev: Rogue Waves in the Ocean, Heidelberg, Springer, 2009.\n[7] A. Slunyaev et al.: Super-rogue waves in simulations based on weakly nonlinear and fully nonlinear hydrodynamic equations, Phys. Rev. E, vol. 8, p. 012909, Jul. 2013.\n[8] A. R. Osborne: Nonlinear Ocean Waves and the Inverse Scattering Transform , Academic Press, 2010.\n[9] B. Lindner, J. Garsia-Ojalvo, A. Neiman, L. Schimansky-Greif: Effects of noise in excitable systems, Phys. Reports, vol. 392, pp.321-424, Mar. 2004.\n[10] L. Gammaitoni, P. Hänggi, P. Jung, and F. Marchesoni: Stochastic resonance, Rev. Mod. Phys., vol. 70, pp. 223-287, Jan. 1998.\n[11] A. Armaroli, C. Conti, and F. Biancalana: Rogue solitons in optical fibers: a dynamical process in a complex energy landscape, Optica, vol. 2, pp. 497-503, May 2015.\n[12] S. V. Sergeyev et al.: Spiral attractors created by vector soliton, Light: Science & Appl., vol. 3, p. e131, Jan. 2014.\n[13] S. V. Sergeyev: Fast and slowly evolving vector solitons in mode locked fibre laser, Phil. Trans. R. Soc. A vol. 372, p. 20140006, Oct. 2014.\n[14] G. Ansmann, R. Karnatak, K. Lehnertz, and U. Feudel: Extreme events in excitable systems and mechanisms of their generation, Phys. Rev. E, vol.88, p. 052911, Nov. 2013.\n[15] A. Arenas et al.: Synchronization in complex networks, Phys. Rep.,\nvol.469, pp.93-153, Sep.2008.\n</text>\n", "role": "user" }, { "content": "nd beyond.", "role": "assistant" } ]
PUBLIC RISKS, PRIVATE PROFITS BLACK & VEATCH Profiles of Canada's public-private partnership industry JULY 2014 INTRODUCTION This corporate profile is part of a series on the primary private water and wastewater services providers involved in the publicprivate partnership (P3) market in Canada. The companies profiled are identified by PPP Canada Inc. – the federal crown corporation created to promote P3s across the country – as likely market participants in Canadian water and wastewater P3 projects. The corporations offer a diverse set of capabilities. Some would be part of the design and build phase of a P3, others would participate in financing and operating water or wastewater infrastructure. Some of the companies are specialty water and wastewater services firms, while others are P3 financiers. The common thread is their desire to participate in and benefit from water and wastewater P3 projects in Canada. Given the success of efforts to oppose water and wastewater P3s in communities like Abbotsford, Whistler, and Metro Vancouver B.C., public opposition is a key concern for the P3 industry in Canada. 1 One way of protecting publicly-owned and operated water and wastewater services is to educate the public about the track records of private water services companies vying for contracts to design, build, finance, operate and maintain water and wastewater infrastructure. With intimate knowledge of these companies, municipal officials, city councillors and local supporters of publicly owned and operated water and wastewater services will gain important tools to challenge P3s in their communities. OVERVIEW2 Black & Veatch is a privately-owned global infrastructure company based in the United States. The company specializes in infrastructure development for numerous sectors including energy, water, environment, and telecommunications. Black & Veatch designs, builds and maintains water treatment plants. The company also provides consultant services to small- and medium-sized municipalities. One of the company's primary clients since 1916 has been the United States Armed Forces. Black & Veatch has been criticized for profiting from conflicts in both Iraq and Afghanistan. 3 Black & Veatch's activities in the water and wastewater sector are primarily carried out in the United States, the United Kingdom and Asia, where the company has numerous large-scale contracts to design and build water and wastewater treatment plants. In Canada, the company has been involved in the energy sector through the construction of power plants. The company has provided consulting services to municipalities about biosolids management, and to the oil and gas industry regarding the transportation of hydrocarbons. Although Black & Veatch has yet to win a large-scale water or wastewater P3 in Canada, in 2010 it was one of three shortlisted companies vying for a consulting services contract for the City of Winnipeg's wastewater treatment facility. 4 Black & Veatch has more than 110 offices around the world and is ranked in the top 175 of Forbes magazine's list of the 500 largest private companies in the United States. The company has approximately 10,000 employees worldwide, working on more than 7,000 projects in over 100 countries. 5 HEADQUARTERS Black & Veatch World Headquarters 11401 Lamar Avenue Overland Park, KS 66211 United States of America Phone: (913) 458-2000 [email protected] www.bv.com The company also has offices in Burnaby, British Columbia; Edmonton, Alberta; and Markham, Ontario. FINANCIAL INDICATORS6 Annual revenue (all figures throughout in USD): 2013 – $3.60 billion 2012 – $3.30 billion EXECUTIVE COMMITTEE7 Steven L. Edwards – Chairman, President and CEO Karen L. Daniel – Chief Financial Officer O.H. Oskvig – CEO Energy Business Timothy W. Triplett – General Counsel Martin G. Travers – President, Telecommunications Cindy Wallis-Lage – President, Water Business William R. Van Dyke – President, Federal Services James R. Lewis – Chief Administrative Officer John Chevrette – President, Management Consulting John E. Murphy – President, Construction & Procurement Lori Kelleher – Chief Human Resources Officer BOARD OF DIRECTORS8 Steven L. Edwards – Chairman, President and CEO Karen L. Daniel – Executive Director, Chief Financial Officer O.H. Oskvig – Executive Director, CEO Energy Business T.M. Buck – Independent Director, former head of Fluor Daniel construction company W.P. Campbell – Independent Director, former president of RCA/Columbia Pictures International and Columbia TriStar Home Video Anthony G. Fernandes – Independent Director, former chairman, president and CEO of Philips Services Corporation Martha W. Gilliland – Independent Director, Compensation and Development Committee chair, former chancellor of the University of Missouri-Kansas City. Served on the President of the United States' Council of Advisors for Science and Technology (appointed by George W. Bush) H.P. Goldfield – Independent Director, Governance and Nominating Committee chair, Vice Chair of Albright Stonebridge Group and former associate counsel to U.S. President Ronald Reagan, former assistant U.S. secretary of commerce for trade development, and former member of the board of directors of the U.S. Government's Overseas Private Investment Corporation Timothy W. Triplett – Board Secretary, General Counsel Steven H. Wunning – Independent Lead Director, group president and executive office member of Caterpillar Inc. Martin G. Travers – Executive Director, Telecommunications President Cindy Wallis-Lage – Executive Director, Water Business President Randy G. Woelfel – Independent Director, Chief Executive Officer of NOVA Chemicals OPERATIONS9 Black & Veatch divides its business into the following segments: WATER/WASTEWATER CONTRACTS Black & Veatch is well-positioned globally to undertake large-scale projects including the design, construction, operation and maintenance of water, wastewater and bio solids facilities. While the company is not involved in any Canadian P3s, based on its attempt to gain the consulting services contract for the City of Winnipeg's wastewater treatment facility, the company will not shy away from opportunities in Canada. Despite its lack of activity in the Canadian water and wastewater sector, Black & Veatch has been identified as a likely water and wastewater P3 participant by PPP Canada Inc. 11 P3 definition: P3s can come in many different forms. For the purposes of this profile, a P3 will be defined as a project that fulfills two prerequisites. First, the project must have private sector involvement in at least two of the following structural elements: * design, where the private sector is responsible for all or almost all of the project's design activities; * build, where the private sector is responsible for all or almost all construction activities; * operate, where the private sector is responsible for all or almost all activities related to the operation of the project; * maintain, where the private sector is responsible for all or almost all maintenance of the project; or * finance, where the private sector is responsible for arranging private financing that will be used to ensure performance during the construction and/or the maintaining and operating period of the project. Second, at least one of the two structural elements must include operate, maintain or finance. 12 The following is a snapshot of the company's operations in Canada and the United States in the water and wastewater sector (Black & Veatch's long list of water and wastewater projects and contracts around the world are listed on the company's website, bv.com/Projects. LOBBYING There is no official record of Black & Veatch lobbying at any level of government in Canada. However, since 2009, the company has spent $1,076,091 lobbying the United States government. During the 2012 American elections, the company donated $56,723 to political candidates; $44,000 of this total went to Republican candidates, $10,000 of which was donated to the campaign of Republican presidential hopeful Mitt Romney. 22 CONTROVERSIES Tarakhil Power plant, Afghanistan – In 2007, Black & Veatch and its joint venture partner the Louis Berger Group were awarded a $257.8 million contract by the United States Agency for International Development (USAID) to construct a power plant near the Afghan capital Kabul. 23 The project was plagued with delays, mismanagement and rising costs which peaked at over $300 million. 24 According to a U.S. government audit,the project went over budget and was delayed for one year because of missteps by Black & Veatch, Louis Berger and the U.S. government. 25 In order to end a United States Justice Department investigation into the project, the joint venture partners agreed to pay back approximately $65 million they had overcharged the U.S. government. 26 Another federal audit, published in December 2012, determined that Black & Veatch had failed to provide an installation plan for millions of dollars in equipment that sat unused for months in a warehouse near the city of Kandahar. The audit recommended that USAID hold the company accountable by seeking reimbursement from Black & Veatch. 27 Despite the controversy surrounding the power plant, USAID awarded Black & Veatch a $266 million sole-source contract to refurbish the Kajaki dam in Southern Afghanistan. 28 Antioch, California – The City of Antioch sued Black & Veatch in early 2013 over a wastewater treatment system the city says is underperforming. The company was hired in 2004 to design a wastewater treatment plant expansion.The city claims that Black & Veatch underestimated the amount of dry solids that would be generated by the plant. Antioch is seeking damages for the purchase of the system, the construction of infra structure, the costs of finding a solution, as well as legal costs. 29 Pinellas County, Florida – In 2009, Black & Veatch was ordered to pay $22.9 million to Progress Energy after the company lost a breach of contract lawsuit brought against it by Progress. The lawsuit stemmed from Black & Veatch's refusal to honour a fixed-priced contract with Florida Power Corp (now Progress Energy) for the construction of a gas-fired power plant. 30 Milford, Connecticut – The family of Kevin Winslow sued Black & Veatch in 2002 after he was killed while working for the company on a power plant construction project. A United States Occupational Safety and Health Administration (OSHA) investigation found that a support brace had been removed too soon leading to the incident. Black & Veatch was fined $7,000 by OSHA, 31 but the lawsuit was dismissed after a judge ruled that the person who had removed the support brace was not connected with the company. 32 ENDNOTES 1. "Water/Wastewater Sector Study: PPP Canada," Deloitte, October 4, 2011, Obtained under the Government of Canada's Access to Information Act. 2. Forbes Magazine. http://www.forbes.com/lists/2011/21/private-companies-11_Black-Veatch_YFKJ.html 3. "The Corporate Invasion of Iraq," U.S. Labor Against the War (USLAW), http://www.uslaboragainstwar.org/downloads/ CorpInvasionofIraq.complete.pdf, p. 19. 4. Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/reports-studies/black-veatch_2011annualreview.pdf 5. "About Black & Veatch," http://bv.com/docs/corporate-brochures/about-black-veatch.pdf 6. Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/reports-studies/black-veatch_2011annualreview.pdf 7. Executive committee information taken from Black & Veatch website, http://bv.com/home/company/people/ Executive-Committee 8. Board information taken from Black & Veatch website, http://bv.com/home/company/people/Board-of-Directors 9. All information on the company's operations is from Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/ reports-studies/black-veatch_2011annualreview.pdf 10. Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/reports-studies/black-veatch_2011annualreview.pdf 11. "Water/Wastewater Sector Study: PPP Canada," Deloitte, October 4, 2011, Obtained under the Government of Canada's Access to Information Act. 12. This definition is based on PPP Canada Inc.'s definition of a public-private partnership, http://www.p3canada.ca/ p3-canada-fund-is-project-p3.php 13. Unless otherwise noted contract information can be found here: http://bv.com/Projects 14. City of Toronto, http://www.toronto.ca/legdocs/mmis/2007/pw/bgrd/backgroundfile-5593.pdf 15. City of Hamilton, http://www.hamilton.ca/NR/rdonlyres/EBDF2263-BD1A-4039-93E0-73A912894C69/0/Apr19EDRMS_ n86764_v1_7_4__PW07047c.pdf 16. Region of Peel, http://www.peelregion.ca/council/agendas/pdf/gc-20100325/report-pw-c2.pdf 17. Town of Innisfil, http://www.innisfil.ca/sites/all/files/uploads/Engineering/3.%20Lakeshore%20WPCP%20EA%20%20Phosphorus%20Removal%20Pilot%20Study%20(Dec%2020%202009)_0.pdf 18. Water Mark, British Columbia Water & Waste Association, Summer 2010, https://bcwwa.org/resourcelibrary/ 1296441101-Watermark%20Magazine,%20Vol%2019%20No%202,%20Summer%202010.pdf 19. "Seymour-Capilano Filtration Plant opens," Canadian Union of Public Employees press release, May 10, 2010, http://archive.cupe.ca/privatization-watch-may-2010/seymour-capilano-filtration-plant 20. For information on other UK and international contracts visit http://bv.com/Projects 21. Black & Veatch press release, "Black & Veatch completes Glencorse on time and under budget," March 7, 2012, http://bv.com/home/news/news-releases/black-veatch-completes-glencorse-on-time-and-under-budget 22. Centre for Responsive Politics, http://www.opensecrets.org/ 23. Pratap Chatterjee, "Black & Veatch's Tarakhil Power Plant: White Elephant in Kabul," CorpWatch, November 19, 2009, http://www.corpwatch.org/article.php?id=15472 24. Marisa Taylor, "Cost of Afghanistan project soars, benefits exaggerated," McClatchy Newspapers, October 25, 2009. 25. Marisa Taylor, "Report slams U.S. for building power plant Afghans can't run," McClatchy Newspapers, January 21, 2010. 26. Warren P. Strobel, Marisa Taylor, "Contractor Louis Berger settles in Afghan overbilling probe," McClatchy Newspapers, November 4 th , 2010 27. Lindsay Wise, "Kansas' Black & Veatch, with history of problems in Afghanistan, now has another," McClatchy Newspapers, January 19, 2013. 28. Lindsay Wise, "Audit criticizes USAID on power project in Afghanistan," McClatchy Newspapers, April 18, 2013. 29. Paul Burgarino, "Antioch sues contractors over wastewater upgrades," Contra Costa Times, February 15, 2013. 30. Lynn Doan, "Progress Energy awarded nearly $23M in lawsuit against Black & Veatch," SNL Power Week Southeast, September 29, 2009. 31. "Family of worker killed in construction accident sues builder," Associated Press, January 9, 2002. 32. Deborah S. Winslow, Executrix et al. v. Milford Power Co. et al., Superior Court of Connecticut, Judicial District of Tolland.	<urn:uuid:64659e90-7fa6-4bb2-93b0-2a9256c4cdd2>	CC-MAIN-2022-40	https://cupe.ca/sites/default/files/black_veatch_e.pdf	2022-10-02T07:25:58+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2022-40/subset=warc/part-00137-26160df0-1827-4787-a515-95ecaa2c9688.c000.gz.parquet	225,272,307	3,421	eng_Latn	eng_Latn	0.916338	eng_Latn	0.985664	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 114, 1628, 3542, 5401, 5812, 7451, 7721, 10830, 14992 ]	PUBLIC RISKS, PRIVATE PROFITS BLACK & VEATCH Profiles of Canada's public-private partnership industry JULY 2014 INTRODUCTION This corporate profile is part of a series on the primary private water and wastewater services providers involved in the publicprivate partnership (P3) market in Canada. The companies profiled are identified by PPP Canada Inc. – the federal crown corporation created to promote P3s across the country – as likely market participants in Canadian water and wastewater P3 projects. The corporations offer a diverse set of capabilities. Some would be part of the design and build phase of a P3, others would participate in financing and operating water or wastewater infrastructure. Some of the companies are specialty water and wastewater services firms, while others are P3 financiers. The common thread is their desire to participate in and benefit from water and wastewater P3 projects in Canada. Given the success of efforts to oppose water and wastewater P3s in communities like Abbotsford, Whistler, and Metro Vancouver B.C., public opposition is a key concern for the P3 industry in Canada. 1 One way of protecting publicly-owned and operated water and wastewater services is to educate the public about the track records of private water services companies vying for contracts to design, build, finance, operate and maintain water and wastewater infrastructure. With intimate knowledge of these companies, municipal officials, city councillors and local supporters of publicly owned and operated water and wastewater services will gain important tools to challenge P3s in their communities. OVERVIEW2 Black & Veatch is a privately-owned global infrastructure company based in the United States. The company specializes in infrastructure development for numerous sectors including energy, water, environment, and telecommunications. Black & Veatch designs, builds and maintains water treatment plants. The company also provides consultant services to small- and medium-sized municipalities. One of the company's primary clients since 1916 has been the United States Armed Forces. Black & Veatch has been criticized for profiting from conflicts in both Iraq and Afghanistan. 3 Black & Veatch's activities in the water and wastewater sector are primarily carried out in the United States, the United Kingdom and Asia, where the company has numerous large-scale contracts to design and build water and wastewater treatment plants. In Canada, the company has been involved in the energy sector through the construction of power plants. The company has provided consulting services to municipalities about biosolids management, and to the oil and gas industry regarding the transportation of hydrocarbons. Although Black & Veatch has yet to win a large-scale water or wastewater P3 in Canada, in 2010 it was one of three shortlisted companies vying for a consulting services contract for the City of Winnipeg's wastewater treatment facility. 4 Black & Veatch has more than 110 offices around the world and is ranked in the top 175 of Forbes magazine's list of the 500 largest private companies in the United States. The company has approximately 10,000 employees worldwide, working on more than 7,000 projects in over 100 countries. 5 HEADQUARTERS Black & Veatch World Headquarters 11401 Lamar Avenue Overland Park, KS 66211 United States of America Phone: (913) 458-2000 [email protected] www.bv.com The company also has offices in Burnaby, British Columbia; Edmonton, Alberta; and Markham, Ontario. FINANCIAL INDICATORS6 Annual revenue (all figures throughout in USD): 2013 – $3.60 billion 2012 – $3.30 billion EXECUTIVE COMMITTEE7 Steven L. Edwards – Chairman, President and CEO Karen L. Daniel – Chief Financial Officer O.H. Oskvig – CEO Energy Business Timothy W. Triplett – General Counsel Martin G. Travers – President, Telecommunications Cindy Wallis-Lage – President, Water Business William R. Van Dyke – President, Federal Services James R. Lewis – Chief Administrative Officer John Chevrette – President, Management Consulting John E. Murphy – President, Construction & Procurement Lori Kelleher – Chief Human Resources Officer BOARD OF DIRECTORS8 Steven L. Edwards – Chairman, President and CEO Karen L. Daniel – Executive Director, Chief Financial Officer O.H. Oskvig – Executive Director, CEO Energy Business T.M. Buck – Independent Director, former head of Fluor Daniel construction company W.P. Campbell – Independent Director, former president of RCA/Columbia Pictures International and Columbia TriStar Home Video Anthony G. Fernandes – Independent Director, former chairman, president and CEO of Philips Services Corporation Martha W. Gilliland – Independent Director, Compensation and Development Committee chair, former chancellor of the University of Missouri-Kansas City. Served on the President of the United States' Council of Advisors for Science and Technology (appointed by George W. Bush) H.P. Goldfield – Independent Director, Governance and Nominating Committee chair, Vice Chair of Albright Stonebridge Group and former associate counsel to U.S. President Ronald Reagan, former assistant U.S. secretary of commerce for trade development, and former member of the board of directors of the U.S. Government's Overseas Private Investment Corporation Timothy W. Triplett – Board Secretary, General Counsel Steven H. Wunning – Independent Lead Director, group president and executive office member of Caterpillar Inc. Martin G. Travers – Executive Director, Telecommunications President Cindy Wallis-Lage – Executive Director, Water Business President Randy G. Woelfel – Independent Director, Chief Executive Officer of NOVA Chemicals OPERATIONS9 Black & Veatch divides its business into the following segments: WATER/WASTEWATER CONTRACTS Black & Veatch is well-positioned globally to undertake large-scale projects including the design, construction, operation and maintenance of water, wastewater and bio solids facilities. While the company is not involved in any Canadian P3s, based on its attempt to gain the consulting services contract for the City of Winnipeg's wastewater treatment facility, the company will not shy away from opportunities in Canada. Despite its lack of activity in the Canadian water and wastewater sector, Black & Veatch has been identified as a likely water and wastewater P3 participant by PPP Canada Inc. 11 P3 definition: P3s can come in many different forms. For the purposes of this profile, a P3 will be defined as a project that fulfills two prerequisites. First, the project must have private sector involvement in at least two of the following structural elements: * design, where the private sector is responsible for all or almost all of the project's design activities; * build, where the private sector is responsible for all or almost all construction activities; * operate, where the private sector is responsible for all or almost all activities related to the operation of the project; * maintain, where the private sector is responsible for all or almost all maintenance of the project; or * finance, where the private sector is responsible for arranging private financing that will be used to ensure performance during the construction and/or the maintaining and operating period of the project. Second, at least one of the two structural elements must include operate, maintain or finance. 12 The following is a snapshot of the company's operations in Canada and the United States in the water and wastewater sector (Black & Veatch's long list of water and wastewater projects and contracts around the world are listed on the company's website, bv.com/Projects. LOBBYING There is no official record of Black & Veatch lobbying at any level of government in Canada. However, since 2009, the company has spent $1,076,091 lobbying the United States government. During the 2012 American elections, the company donated $56,723 to political candidates; $44,000 of this total went to Republican candidates, $10,000 of which was donated to the campaign of Republican presidential hopeful Mitt Romney. 22 CONTROVERSIES Tarakhil Power plant, Afghanistan – In 2007, Black & Veatch and its joint venture partner the Louis Berger Group were awarded a $257.8 million contract by the United States Agency for International Development (USAID) to construct a power plant near the Afghan capital Kabul. 23 The project was plagued with delays, mismanagement and rising costs which peaked at over $300 million. 24 According to a U.S. government audit,the project went over budget and was delayed for one year because of missteps by Black & Veatch, Louis Berger and the U.S. government. 25 In order to end a United States Justice Department investigation into the project, the joint venture partners agreed to pay back approximately $65 million they had overcharged the U.S. government. 26 Another federal audit, published in December 2012, determined that Black & Veatch had failed to provide an installation plan for millions of dollars in equipment that sat unused for months in a warehouse near the city of Kandahar. The audit recommended that USAID hold the company accountable by seeking reimbursement from Black & Veatch. 27 Despite the controversy surrounding the power plant, USAID awarded Black & Veatch a $266 million sole-source contract to refurbish the Kajaki dam in Southern Afghanistan. 28 Antioch, California – The City of Antioch sued Black & Veatch in early 2013 over a wastewater treatment system the city says is underperforming. The company was hired in 2004 to design a wastewater treatment plant expansion.The city claims that Black & Veatch underestimated the amount of dry solids that would be generated by the plant. Antioch is seeking damages for the purchase of the system, the construction of infra structure, the costs of finding a solution, as well as legal costs. 29 Pinellas County, Florida – In 2009, Black & Veatch was ordered to pay $22.9 million to Progress Energy after the company lost a breach of contract lawsuit brought against it by Progress. The lawsuit stemmed from Black & Veatch's refusal to honour a fixed-priced contract with Florida Power Corp (now Progress Energy) for the construction of a gas-fired power plant. 30 Milford, Connecticut – The family of Kevin Winslow sued Black & Veatch in 2002 after he was killed while working for the company on a power plant construction project. A United States Occupational Safety and Health Administration (OSHA) investigation found that a support brace had been removed too soon leading to the incident. Black & Veatch was fined $7,000 by OSHA, 31 but the lawsuit was dismissed after a judge ruled that the person who had removed the support brace was not connected with the company. 32 ENDNOTES 1. "Water/Wastewater Sector Study: PPP Canada," Deloitte, October 4, 2011, Obtained under the Government of Canada's Access to Information Act. 2. Forbes Magazine. http://www.forbes.com/lists/2011/21/private-companies-11_Black-Veatch_YFKJ.html 3. "The Corporate Invasion of Iraq," U.S. Labor Against the War (USLAW), http://www.uslaboragainstwar.org/downloads/ CorpInvasionofIraq.complete.pdf, p. 19. 4. Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/reports-studies/black-veatch_2011annualreview.pdf 5. "About Black & Veatch," http://bv.com/docs/corporate-brochures/about-black-veatch.pdf 6. Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/reports-studies/black-veatch_2011annualreview.pdf 7. Executive committee information taken from Black & Veatch website, http://bv.com/home/company/people/ Executive-Committee 8. Board information taken from Black & Veatch website, http://bv.com/home/company/people/Board-of-Directors 9. All information on the company's operations is from Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/ reports-studies/black-veatch_2011annualreview.pdf 10. Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/reports-studies/black-veatch_2011annualreview.pdf 11. "Water/Wastewater Sector Study: PPP Canada," Deloitte, October 4, 2011, Obtained under the Government of Canada's Access to Information Act. 12. This definition is based on PPP Canada Inc.'s definition of a public-private partnership, http://www.p3canada.ca/ p3-canada-fund-is-project-p3.php 13. Unless otherwise noted contract information can be found here: http://bv.com/Projects 14. City of Toronto, http://www.toronto.ca/legdocs/mmis/2007/pw/bgrd/backgroundfile-5593.pdf 15. City of Hamilton, http://www.hamilton.ca/NR/rdonlyres/EBDF2263-BD1A-4039-93E0-73A912894C69/0/Apr19EDRMS_ n86764_v1_7_4__PW07047c.pdf 16. Region of Peel, http://www.peelregion.ca/council/agendas/pdf/gc-20100325/report-pw-c2.pdf 17. Town of Innisfil, http://www.innisfil.ca/sites/all/files/uploads/Engineering/3.%20Lakeshore%20WPCP%20EA%20%20Phosphorus%20Removal%20Pilot%20Study%20(Dec%2020%202009)_0.pdf 18. Water Mark, British Columbia Water & Waste Association, Summer 2010, https://bcwwa.org/resourcelibrary/ 1296441101-Watermark%20Magazine,%20Vol%2019%20No%202,%20Summer%202010.pdf 19. "Seymour-Capilano Filtration Plant opens," Canadian Union of Public Employees press release, May 10, 2010, http://archive.cupe.ca/privatization-watch-may-2010/seymour-capilano-filtration-plant 20. For information on other UK and international contracts visit http://bv.com/Projects 21. Black & Veatch press release, "Black & Veatch completes Glencorse on time and under budget," March 7, 2012, http://bv.com/home/news/news-releases/black-veatch-completes-glencorse-on-time-and-under-budget 22. Centre for Responsive Politics, http://www.opensecrets.org/ 23. Pratap Chatterjee, "Black & Veatch's Tarakhil Power Plant: White Elephant in Kabul," CorpWatch, November 19, 2009, http://www.corpwatch.org/article.php?id=15472 24. Marisa Taylor, "Cost of Afghanistan project soars, benefits exaggerated," McClatchy Newspapers, October 25, 2009. 25. Marisa Taylor, "Report slams U.S. for building power plant Afghans can't run," McClatchy Newspapers, January 21, 2010. 26. Warren P. Strobel, Marisa Taylor, "Contractor Louis Berger settles in Afghan overbilling probe," McClatchy Newspapers, November 4 th , 2010 27. Lindsay Wise, "Kansas' Black & Veatch, with history of problems in Afghanistan, now has another," McClatchy Newspapers, January 19, 2013. 28. Lindsay Wise, "Audit criticizes USAID on power project in Afghanist	an," McClatchy Newspapers, April 18, 2013.		14,479	inside_word	Afghanistan,"	remove_all	<url> https://cupe.ca/sites/default/files/black_veatch_e.pdf </url> <text> PUBLIC RISKS, PRIVATE PROFITS BLACK & VEATCH Profiles of Canada's public-private partnership industry JULY 2014 INTRODUCTION This corporate profile is part of a series on the primary private water and wastewater services providers involved in the publicprivate partnership (P3) market in Canada. The companies profiled are identified by PPP Canada Inc. – the federal crown corporation created to promote P3s across the country – as likely market participants in Canadian water and wastewater P3 projects. The corporations offer a diverse set of capabilities. Some would be part of the design and build phase of a P3, others would participate in financing and operating water or wastewater infrastructure. Some of the companies are specialty water and wastewater services firms, while others are P3 financiers. The common thread is their desire to participate in and benefit from water and wastewater P3 projects in Canada. Given the success of efforts to oppose water and wastewater P3s in communities like Abbotsford, Whistler, and Metro Vancouver B.C., public opposition is a key concern for the P3 industry in Canada. 1 One way of protecting publicly-owned and operated water and wastewater services is to educate the public about the track records of private water services companies vying for contracts to design, build, finance, operate and maintain water and wastewater infrastructure. With intimate knowledge of these companies, municipal officials, city councillors and local supporters of publicly owned and operated water and wastewater services will gain important tools to challenge P3s in their communities. OVERVIEW2 Black & Veatch is a privately-owned global infrastructure company based in the United States. The company specializes in infrastructure development for numerous sectors including energy, water, environment, and telecommunications. Black & Veatch designs, builds and maintains water treatment plants. The company also provides consultant services to small- and medium-sized municipalities. One of the company's primary clients since 1916 has been the United States Armed Forces. Black & Veatch has been criticized for profiting from conflicts in both Iraq and Afghanistan. 3 Black & Veatch's activities in the water and wastewater sector are primarily carried out in the United States, the United Kingdom and Asia, where the company has numerous large-scale contracts to design and build water and wastewater treatment plants. In Canada, the company has been involved in the energy sector through the construction of power plants. The company has provided consulting services to municipalities about biosolids management, and to the oil and gas industry regarding the transportation of hydrocarbons. Although Black & Veatch has yet to win a large-scale water or wastewater P3 in Canada, in 2010 it was one of three shortlisted companies vying for a consulting services contract for the City of Winnipeg's wastewater treatment facility. 4 Black & Veatch has more than 110 offices around the world and is ranked in the top 175 of Forbes magazine's list of the 500 largest private companies in the United States. The company has approximately 10,000 employees worldwide, working on more than 7,000 projects in over 100 countries. 5 HEADQUARTERS Black & Veatch World Headquarters 11401 Lamar Avenue Overland Park, KS 66211 United States of America Phone: (913) 458-2000 [email protected] www.bv.com The company also has offices in Burnaby, British Columbia; Edmonton, Alberta; and Markham, Ontario. FINANCIAL INDICATORS6 Annual revenue (all figures throughout in USD): 2013 – $3.60 billion 2012 – $3.30 billion EXECUTIVE COMMITTEE7 Steven L. Edwards – Chairman, President and CEO Karen L. Daniel – Chief Financial Officer O.H. Oskvig – CEO Energy Business Timothy W. Triplett – General Counsel Martin G. Travers – President, Telecommunications Cindy Wallis-Lage – President, Water Business William R. Van Dyke – President, Federal Services James R. Lewis – Chief Administrative Officer John Chevrette – President, Management Consulting John E. Murphy – President, Construction & Procurement Lori Kelleher – Chief Human Resources Officer BOARD OF DIRECTORS8 Steven L. Edwards – Chairman, President and CEO Karen L. Daniel – Executive Director, Chief Financial Officer O.H. Oskvig – Executive Director, CEO Energy Business T.M. Buck – Independent Director, former head of Fluor Daniel construction company W.P. Campbell – Independent Director, former president of RCA/Columbia Pictures International and Columbia TriStar Home Video Anthony G. Fernandes – Independent Director, former chairman, president and CEO of Philips Services Corporation Martha W. Gilliland – Independent Director, Compensation and Development Committee chair, former chancellor of the University of Missouri-Kansas City. Served on the President of the United States' Council of Advisors for Science and Technology (appointed by George W. Bush) H.P. Goldfield – Independent Director, Governance and Nominating Committee chair, Vice Chair of Albright Stonebridge Group and former associate counsel to U.S. President Ronald Reagan, former assistant U.S. secretary of commerce for trade development, and former member of the board of directors of the U.S. Government's Overseas Private Investment Corporation Timothy W. Triplett – Board Secretary, General Counsel Steven H. Wunning – Independent Lead Director, group president and executive office member of Caterpillar Inc. Martin G. Travers – Executive Director, Telecommunications President Cindy Wallis-Lage – Executive Director, Water Business President Randy G. Woelfel – Independent Director, Chief Executive Officer of NOVA Chemicals OPERATIONS9 Black & Veatch divides its business into the following segments: WATER/WASTEWATER CONTRACTS Black & Veatch is well-positioned globally to undertake large-scale projects including the design, construction, operation and maintenance of water, wastewater and bio solids facilities. While the company is not involved in any Canadian P3s, based on its attempt to gain the consulting services contract for the City of Winnipeg's wastewater treatment facility, the company will not shy away from opportunities in Canada. Despite its lack of activity in the Canadian water and wastewater sector, Black & Veatch has been identified as a likely water and wastewater P3 participant by PPP Canada Inc. 11 P3 definition: P3s can come in many different forms. For the purposes of this profile, a P3 will be defined as a project that fulfills two prerequisites. First, the project must have private sector involvement in at least two of the following structural elements: * design, where the private sector is responsible for all or almost all of the project's design activities; * build, where the private sector is responsible for all or almost all construction activities; * operate, where the private sector is responsible for all or almost all activities related to the operation of the project; * maintain, where the private sector is responsible for all or almost all maintenance of the project; or * finance, where the private sector is responsible for arranging private financing that will be used to ensure performance during the construction and/or the maintaining and operating period of the project. Second, at least one of the two structural elements must include operate, maintain or finance. 12 The following is a snapshot of the company's operations in Canada and the United States in the water and wastewater sector (Black & Veatch's long list of water and wastewater projects and contracts around the world are listed on the company's website, bv.com/Projects. LOBBYING There is no official record of Black & Veatch lobbying at any level of government in Canada. However, since 2009, the company has spent $1,076,091 lobbying the United States government. During the 2012 American elections, the company donated $56,723 to political candidates; $44,000 of this total went to Republican candidates, $10,000 of which was donated to the campaign of Republican presidential hopeful Mitt Romney. 22 CONTROVERSIES Tarakhil Power plant, Afghanistan – In 2007, Black & Veatch and its joint venture partner the Louis Berger Group were awarded a $257.8 million contract by the United States Agency for International Development (USAID) to construct a power plant near the Afghan capital Kabul. 23 The project was plagued with delays, mismanagement and rising costs which peaked at over $300 million. 24 According to a U.S. government audit,the project went over budget and was delayed for one year because of missteps by Black & Veatch, Louis Berger and the U.S. government. 25 In order to end a United States Justice Department investigation into the project, the joint venture partners agreed to pay back approximately $65 million they had overcharged the U.S. government. 26 Another federal audit, published in December 2012, determined that Black & Veatch had failed to provide an installation plan for millions of dollars in equipment that sat unused for months in a warehouse near the city of Kandahar. The audit recommended that USAID hold the company accountable by seeking reimbursement from Black & Veatch. 27 Despite the controversy surrounding the power plant, USAID awarded Black & Veatch a $266 million sole-source contract to refurbish the Kajaki dam in Southern Afghanistan. 28 Antioch, California – The City of Antioch sued Black & Veatch in early 2013 over a wastewater treatment system the city says is underperforming. The company was hired in 2004 to design a wastewater treatment plant expansion.The city claims that Black & Veatch underestimated the amount of dry solids that would be generated by the plant. Antioch is seeking damages for the purchase of the system, the construction of infra structure, the costs of finding a solution, as well as legal costs. 29 Pinellas County, Florida – In 2009, Black & Veatch was ordered to pay $22.9 million to Progress Energy after the company lost a breach of contract lawsuit brought against it by Progress. The lawsuit stemmed from Black & Veatch's refusal to honour a fixed-priced contract with Florida Power Corp (now Progress Energy) for the construction of a gas-fired power plant. 30 Milford, Connecticut – The family of Kevin Winslow sued Black & Veatch in 2002 after he was killed while working for the company on a power plant construction project. A United States Occupational Safety and Health Administration (OSHA) investigation found that a support brace had been removed too soon leading to the incident. Black & Veatch was fined $7,000 by OSHA, 31 but the lawsuit was dismissed after a judge ruled that the person who had removed the support brace was not connected with the company. 32 ENDNOTES 1. "Water/Wastewater Sector Study: PPP Canada," Deloitte, October 4, 2011, Obtained under the Government of Canada's Access to Information Act. 2. Forbes Magazine. http://www.forbes.com/lists/2011/21/private-companies-11_Black-Veatch_YFKJ.html 3. "The Corporate Invasion of Iraq," U.S. Labor Against the War (USLAW), http://www.uslaboragainstwar.org/downloads/ CorpInvasionofIraq.complete.pdf, p. 19. 4. Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/reports-studies/black-veatch_2011annualreview.pdf 5. "About Black & Veatch," http://bv.com/docs/corporate-brochures/about-black-veatch.pdf 6. Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/reports-studies/black-veatch_2011annualreview.pdf 7. Executive committee information taken from Black & Veatch website, http://bv.com/home/company/people/ Executive-Committee 8. Board information taken from Black & Veatch website, http://bv.com/home/company/people/Board-of-Directors 9. All information on the company's operations is from Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/ reports-studies/black-veatch_2011annualreview.pdf 10. Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/reports-studies/black-veatch_2011annualreview.pdf 11. "Water/Wastewater Sector Study: PPP Canada," Deloitte, October 4, 2011, Obtained under the Government of Canada's Access to Information Act. 12. This definition is based on PPP Canada Inc.'s definition of a public-private partnership, http://www.p3canada.ca/ p3-canada-fund-is-project-p3.php 13. Unless otherwise noted contract information can be found here: http://bv.com/Projects 14. City of Toronto, http://www.toronto.ca/legdocs/mmis/2007/pw/bgrd/backgroundfile-5593.pdf 15. City of Hamilton, http://www.hamilton.ca/NR/rdonlyres/EBDF2263-BD1A-4039-93E0-73A912894C69/0/Apr19EDRMS_ n86764_v1_7_4__PW07047c.pdf 16. Region of Peel, http://www.peelregion.ca/council/agendas/pdf/gc-20100325/report-pw-c2.pdf 17. Town of Innisfil, http://www.innisfil.ca/sites/all/files/uploads/Engineering/3.%20Lakeshore%20WPCP%20EA%20%20Phosphorus%20Removal%20Pilot%20Study%20(Dec%2020%202009)_0.pdf 18. Water Mark, British Columbia Water & Waste Association, Summer 2010, https://bcwwa.org/resourcelibrary/ 1296441101-Watermark%20Magazine,%20Vol%2019%20No%202,%20Summer%202010.pdf 19. "Seymour-Capilano Filtration Plant opens," Canadian Union of Public Employees press release, May 10, 2010, http://archive.cupe.ca/privatization-watch-may-2010/seymour-capilano-filtration-plant 20. For information on other UK and international contracts visit http://bv.com/Projects 21. Black & Veatch press release, "Black & Veatch completes Glencorse on time and under budget," March 7, 2012, http://bv.com/home/news/news-releases/black-veatch-completes-glencorse-on-time-and-under-budget 22. Centre for Responsive Politics, http://www.opensecrets.org/ 23. Pratap Chatterjee, "Black & Veatch's Tarakhil Power Plant: White Elephant in Kabul," CorpWatch, November 19, 2009, http://www.corpwatch.org/article.php?id=15472 24. Marisa Taylor, "Cost of Afghanistan project soars, benefits exaggerated," McClatchy Newspapers, October 25, 2009. 25. Marisa Taylor, "Report slams U.S. for building power plant Afghans can't run," McClatchy Newspapers, January 21, 2010. 26. Warren P. Strobel, Marisa Taylor, "Contractor Louis Berger settles in Afghan overbilling probe," McClatchy Newspapers, November 4 th , 2010 27. Lindsay Wise, "Kansas' Black & Veatch, with history of problems in Afghanistan, now has another," McClatchy Newspapers, January 19, 2013. 28. Lindsay Wise, "Audit criticizes USAID on power project in Afghanist<cursor_is_here> </text>	[ { "content": "<url>\nhttps://cupe.ca/sites/default/files/black_veatch_e.pdf\n</url>\n<text>\nPUBLIC RISKS, PRIVATE PROFITS\n\nBLACK & VEATCH\n\nProfiles of Canada's public-private partnership industry\n\nJULY 2014\n\nINTRODUCTION\n\nThis corporate profile is part of a series on the primary private water and wastewater services providers involved in the publicprivate partnership (P3) market in Canada.\n\nThe companies profiled are identified by PPP Canada Inc. – the federal crown corporation created to promote P3s across the country – as likely market participants in Canadian water and wastewater P3 projects. The corporations offer a diverse set of capabilities. Some would be part of the design and build phase of a P3, others would participate in financing and operating water or wastewater infrastructure. Some of the companies are specialty water and wastewater services firms, while others are P3 financiers. The common thread is their desire to participate in and benefit from water and wastewater P3 projects in Canada.\n\nGiven the success of efforts to oppose water and wastewater P3s in communities like Abbotsford, Whistler, and Metro Vancouver B.C., public opposition is a key concern for the P3 industry in Canada. 1 One way of protecting publicly-owned and operated water and wastewater services is to educate the public about the track records of private water services companies vying for contracts to design, build, finance, operate and maintain water and wastewater infrastructure. With intimate knowledge of these companies, municipal officials, city councillors and local supporters of publicly owned and operated water and wastewater services will gain important tools to challenge P3s in their communities.\n\nOVERVIEW2\n\nBlack & Veatch is a privately-owned global infrastructure company based in the United States. The company specializes in infrastructure development for numerous sectors including energy, water, environment, and telecommunications. Black & Veatch designs, builds and maintains water treatment plants. The company also provides consultant services to small- and medium-sized municipalities. One of the company's primary clients since 1916 has been the United States Armed Forces. Black & Veatch has been criticized for profiting from conflicts in both Iraq and Afghanistan. 3\n\nBlack & Veatch's activities in the water and wastewater sector are primarily carried out in the United States, the United Kingdom and Asia, where the company has numerous large-scale contracts to design and build water and wastewater treatment plants. In Canada, the company has been involved in the energy sector through the construction of power plants. The company has provided consulting services to municipalities about biosolids management, and to the oil and gas industry regarding the transportation of hydrocarbons. Although Black & Veatch has yet to win a large-scale water or wastewater P3 in Canada, in 2010 it was one of three shortlisted companies vying for a consulting services contract for the City of Winnipeg's wastewater treatment facility. 4\n\nBlack & Veatch has more than 110 offices around the world and is ranked in the top 175 of Forbes magazine's list of the 500 largest private companies in the United States. The company has approximately 10,000 employees worldwide, working on more than 7,000 projects in over 100 countries. 5\n\nHEADQUARTERS\n\nBlack & Veatch World Headquarters 11401 Lamar Avenue Overland Park, KS 66211 United States of America Phone: (913) 458-2000 [email protected] www.bv.com\n\nThe company also has offices in Burnaby, British Columbia; Edmonton, Alberta; and Markham, Ontario.\n\nFINANCIAL INDICATORS6\n\nAnnual revenue (all figures throughout in USD):\n\n2013 – $3.60 billion\n\n2012 – $3.30 billion\n\nEXECUTIVE COMMITTEE7\n\nSteven L. Edwards – Chairman, President and CEO\n\nKaren L. Daniel – Chief Financial Officer\n\nO.H. Oskvig – CEO Energy Business\n\nTimothy W. Triplett – General Counsel\n\nMartin G. Travers – President, Telecommunications\n\nCindy Wallis-Lage – President, Water Business\n\nWilliam R. Van Dyke – President, Federal Services\n\nJames R. Lewis – Chief Administrative Officer\n\nJohn Chevrette – President, Management Consulting\n\nJohn E. Murphy – President, Construction & Procurement\n\nLori Kelleher – Chief Human Resources Officer\n\nBOARD OF DIRECTORS8\n\nSteven L. Edwards – Chairman, President and CEO\n\nKaren L. Daniel – Executive Director, Chief Financial Officer\n\nO.H. Oskvig – Executive Director, CEO Energy Business\n\nT.M. Buck – Independent Director, former head of Fluor Daniel construction company\n\nW.P. Campbell – Independent Director, former president of RCA/Columbia Pictures International and Columbia TriStar Home Video\n\nAnthony G. Fernandes – Independent Director, former chairman, president and CEO of Philips Services Corporation\n\nMartha W. Gilliland – Independent Director, Compensation and Development Committee chair, former chancellor of the University of Missouri-Kansas City. Served on the President of the United States' Council of Advisors for Science and Technology (appointed by George W. Bush)\n\nH.P. Goldfield – Independent Director, Governance and Nominating Committee chair, Vice Chair of Albright Stonebridge Group and former associate counsel to U.S. President Ronald Reagan, former assistant U.S. secretary of commerce for trade development, and former member of the board of directors of the U.S. Government's Overseas Private Investment Corporation\n\nTimothy W. Triplett – Board Secretary, General Counsel\n\nSteven H. Wunning – Independent Lead Director, group president and executive office member of Caterpillar Inc.\n\nMartin G. Travers – Executive Director, Telecommunications President\n\nCindy Wallis-Lage – Executive Director, Water Business President\n\nRandy G. Woelfel – Independent Director, Chief Executive Officer of NOVA Chemicals\n\nOPERATIONS9\n\nBlack & Veatch divides its business into the following segments:\n\nWATER/WASTEWATER CONTRACTS\n\nBlack & Veatch is well-positioned globally to undertake large-scale projects including the design, construction, operation and maintenance of water, wastewater and bio solids facilities. While the company is not involved in any Canadian P3s, based on its attempt to gain the consulting services contract for the City of Winnipeg's wastewater treatment facility, the company will not shy away from opportunities in Canada. Despite its lack of activity in the Canadian water and wastewater sector, Black & Veatch has been identified as a likely water and wastewater P3 participant by PPP Canada Inc. 11\n\nP3 definition:\n\nP3s can come in many different forms. For the purposes of this profile, a P3 will be defined as a project that fulfills two prerequisites.\n\nFirst, the project must have private sector involvement in at least two of the following structural elements:\n\n* design, where the private sector is responsible for all or almost all of the project's design activities;\n* build, where the private sector is responsible for all or almost all construction activities;\n* operate, where the private sector is responsible for all or almost all activities related to the operation of the project;\n* maintain, where the private sector is responsible for all or almost all maintenance of the project; or\n* finance, where the private sector is responsible for arranging private financing that will be used to ensure performance during the construction and/or the maintaining and operating period of the project.\n\nSecond, at least one of the two structural elements must include operate, maintain or finance. 12\n\nThe following is a snapshot of the company's operations in Canada and the United States in the water and wastewater sector (Black & Veatch's long list of water and wastewater projects and contracts around the world are listed on the company's website, bv.com/Projects.\n\nLOBBYING\n\nThere is no official record of Black & Veatch lobbying at any level of government in Canada. However, since 2009, the company has spent $1,076,091 lobbying the United States government.\n\nDuring the 2012 American elections, the company donated $56,723 to political candidates; $44,000 of this total went to Republican candidates, $10,000 of which was donated to the campaign of Republican presidential hopeful Mitt Romney. 22\n\nCONTROVERSIES\n\nTarakhil Power plant, Afghanistan – In 2007, Black & Veatch and its joint venture partner the Louis Berger Group were awarded a $257.8 million contract by the United States Agency for International Development (USAID) to construct a power plant near the Afghan capital Kabul. 23 The project was plagued with delays, mismanagement and rising costs which peaked at over $300 million. 24 According to a U.S. government audit,the project went over budget and was delayed for one year because of missteps by Black & Veatch, Louis Berger and the U.S. government. 25 In order to end a United States Justice Department investigation into the project, the joint venture partners agreed to pay back approximately $65 million they had overcharged the U.S. government. 26\n\nAnother federal audit, published in December 2012, determined that Black & Veatch had failed to provide an installation plan for millions of dollars in equipment that sat unused for months in a warehouse near the city of Kandahar. The audit recommended that USAID hold the company accountable by seeking reimbursement from Black & Veatch. 27 Despite the controversy surrounding the power plant, USAID awarded Black & Veatch a $266 million sole-source contract to refurbish the Kajaki dam in Southern Afghanistan. 28\n\nAntioch, California – The City of Antioch sued Black & Veatch in early 2013 over a wastewater treatment system the city says is underperforming. The company was hired in 2004 to design a wastewater treatment plant expansion.The city claims that Black & Veatch underestimated the amount of dry solids that would be generated by the plant. Antioch is seeking damages for the purchase of the system, the construction of infra structure, the costs of finding a solution, as well as legal costs. 29\n\nPinellas County, Florida – In 2009, Black & Veatch was ordered to pay $22.9 million to Progress Energy after the company lost a breach of contract lawsuit brought against it by Progress. The lawsuit stemmed from Black & Veatch's refusal to honour a fixed-priced contract with Florida Power Corp (now Progress Energy) for the construction of a gas-fired power plant. 30\n\nMilford, Connecticut – The family of Kevin Winslow sued Black & Veatch in 2002 after he was killed while working for the company on a power plant construction project. A United States Occupational Safety and Health Administration (OSHA) investigation found that a support brace had been removed too soon leading to the incident. Black & Veatch was fined $7,000 by OSHA, 31 but the lawsuit was dismissed after a judge ruled that the person who had removed the support brace was not connected with the company. 32\n\nENDNOTES\n\n1. \"Water/Wastewater Sector Study: PPP Canada,\" Deloitte, October 4, 2011, Obtained under the Government of Canada's Access to Information Act.\n2. Forbes Magazine. http://www.forbes.com/lists/2011/21/private-companies-11_Black-Veatch_YFKJ.html\n3. \"The Corporate Invasion of Iraq,\" U.S. Labor Against the War (USLAW), http://www.uslaboragainstwar.org/downloads/ CorpInvasionofIraq.complete.pdf, p. 19.\n4. Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/reports-studies/black-veatch_2011annualreview.pdf\n5. \"About Black & Veatch,\" http://bv.com/docs/corporate-brochures/about-black-veatch.pdf\n6. Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/reports-studies/black-veatch_2011annualreview.pdf\n7. Executive committee information taken from Black & Veatch website, http://bv.com/home/company/people/ Executive-Committee\n8. Board information taken from Black & Veatch website, http://bv.com/home/company/people/Board-of-Directors\n9. All information on the company's operations is from Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/ reports-studies/black-veatch_2011annualreview.pdf\n10. Black & Veatch 2011 Annual Review, http://brstage.bv.com/docs/reports-studies/black-veatch_2011annualreview.pdf\n11. \"Water/Wastewater Sector Study: PPP Canada,\" Deloitte, October 4, 2011, Obtained under the Government of Canada's Access to Information Act.\n12. This definition is based on PPP Canada Inc.'s definition of a public-private partnership, http://www.p3canada.ca/ p3-canada-fund-is-project-p3.php\n13. Unless otherwise noted contract information can be found here: http://bv.com/Projects\n14. City of Toronto, http://www.toronto.ca/legdocs/mmis/2007/pw/bgrd/backgroundfile-5593.pdf\n15. City of Hamilton, http://www.hamilton.ca/NR/rdonlyres/EBDF2263-BD1A-4039-93E0-73A912894C69/0/Apr19EDRMS_ n86764_v1_7_4__PW07047c.pdf\n16.\nRegion of Peel, http://www.peelregion.ca/council/agendas/pdf/gc-20100325/report-pw-c2.pdf\n17. Town of Innisfil, http://www.innisfil.ca/sites/all/files/uploads/Engineering/3.%20Lakeshore%20WPCP%20EA%20%20Phosphorus%20Removal%20Pilot%20Study%20(Dec%2020%202009)_0.pdf\n18. Water Mark, British Columbia Water & Waste Association, Summer 2010, https://bcwwa.org/resourcelibrary/ 1296441101-Watermark%20Magazine,%20Vol%2019%20No%202,%20Summer%202010.pdf\n19. \"Seymour-Capilano Filtration Plant opens,\" Canadian Union of Public Employees press release, May 10, 2010, http://archive.cupe.ca/privatization-watch-may-2010/seymour-capilano-filtration-plant\n20. For information on other UK and international contracts visit http://bv.com/Projects\n21. Black & Veatch press release, \"Black & Veatch completes Glencorse on time and under budget,\" March 7, 2012, http://bv.com/home/news/news-releases/black-veatch-completes-glencorse-on-time-and-under-budget\n22. Centre for Responsive Politics, http://www.opensecrets.org/\n23. Pratap Chatterjee, \"Black & Veatch's Tarakhil Power Plant: White Elephant in Kabul,\" CorpWatch, November 19, 2009, http://www.corpwatch.org/article.php?id=15472\n24. Marisa Taylor, \"Cost of Afghanistan project soars, benefits exaggerated,\" McClatchy Newspapers, October 25, 2009.\n25. Marisa Taylor, \"Report slams U.S. for building power plant Afghans can't run,\" McClatchy Newspapers, January 21, 2010.\n26. Warren P. Strobel, Marisa Taylor, \"Contractor Louis Berger settles in Afghan overbilling probe,\" McClatchy Newspapers, November 4 th , 2010\n27. Lindsay Wise, \"Kansas' Black & Veatch, with history of problems in Afghanistan, now has another,\" McClatchy Newspapers, January 19, 2013.\n28. Lindsay Wise, \"Audit criticizes USAID on power project in Afghanist<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "an,\" McClatchy Newspapers, April 18, 2013.", "role": "assistant" } ]
Embargoed for 7:00am release @UK PLC ("@UK" or the "Company") Unaudited Interim Results for the six months ended 30 June 2012 @UK PLC (AIM:ATUK.L), the cloud ecommerce marketplace, today announces its unaudited interim results for the six months ended 30 June 2012. Financial - Revenues decreased by 13% to £1.095m (2011: £1.255m) due to a slow-down in company formations - High gross margin ecommerce revenues increased by 13.5% to £563k (2011: £496k) - Loss before tax increased to £363k (2011: £222k) - Net Assets increased to £416k (2011: (£138k)) - Strong set of cash generating renewals for H2 Operational - New UK sales force generated over £3.5m of proposals being submitted in H1 (2011: £0.3 m) and 77% organic growth in ecommerce revenues - Indian office launched and profitable - Visa collaboration progressing well, currently in discussions on two significant international customer opportunities - First implementation of Care Marketplace has completed user acceptance testing and is proceeding into pilot - @UK named as approved supplier within two UK public sector frameworks o UK Government's G-Cloud framework o Four year national eCommerce framework agreement for all UK public bodies Ronald Duncan, Executive Chairman, commented, "Our new sales force is delivering a significant number of low value analysis proposals. These should convert over time into higher value marketplace implementations. Thus we expect significantly higher future revenues as these progress through the sales and implementation cycle. "Our international expansion is progressing well, and we have two high value opportunities where we have identified tens of millions of dollars in savings. "Last year we had a strong second half, which means that we have a strong set of cash generating renewals to fund the second half of this year. This along with expected new sales gives us confidence in our ability to deliver full year results in line with expectations." Enquiries: @UK PLC Ronald Duncan, Chairman Westhouse Securities Limited Tel: 0118 963 7000 Tel: 020 7601 6100 10 August 2012 Tom Griffiths Newgate Threadneedle Caroline Evans-Jones/Alex White Tel 020 7653 9850 @UK PLC @UK is Europe's leading Cloud Platform with over 1 million users, which is used for University and Colleges' procurement along with local authority, schools and other Government and private sector procurement. The GeM marketplace for Universities and Colleges which launched on 1 st August 2011 is the only card-based national marketplace in the world. It was successfully delivered for the 800 Universities and Colleges in the UK and the 680 National Suppliers, proving that Cloud Ecommerce delivers large complex projects for Government on time and on budget. Richard Benyon MP Minster for the Natural Environment, launched the @UK Green Ecommerce Marketplace in October 2010, which is now the largest repository of product carbon footprints in the world. @UK was used by the National Audit Office to identify over £500 million in savings for 25% of NHS spend. The ground breaking SpendInsight system used to identify the savings resulted in the award of 2 PhDs in artificial intelligence. @UK delivers key Government commitments of Savings Sustainability and SME Inclusion along with support for start-ups. @UK PLC has now created over 200,000 start up businesses and launched a new Cloud-Start-Up.com service to provide a complete suite of cloud business software to start-ups along with the essentials of limited company, bank account, domain name, email, ecommerce, accounting system and membership of the @UK business club. This has been followed by the announcement of the 2012StartUp.com campaign, which is supported by the AIM market of the London Stock Exchange, the Forum of Private Business, and BASDA, the software industry association. The campaign aims for a 27% growth of 100,000 start up companies and growth for existing businesses. It is a practical campaign that will result in companies being formed and growing through @UK's technology. CHAIRMAN'S STATEMENT Summary Both our new sales team and international expansion are progressing well. Our UK sales delivered 77% organic growth in ecommerce revenues after taking out the effects of the major GeM contract win last year. We have continued to increase the volume of proposals from 67 with a combined value of £1m, which were announced on 30 March 2012, to 140 with a value of £2.3m, which were announced on 24 May 2012, to 180 proposals with a value of £3.5m by the end of June. The proposals are converting to purchase orders and invoices and were a key element of the £212k of increased underlying ecommerce sales in the period. Given the team started in February it is still too early to determine the rate of conversion of proposals into cash, but we are continuing to build up the pipeline and refine the conversion. As we move through the second half we anticipate a significant increase in conversion and by 2013 we hope to be in a position to accurately forecast from sales activity to delivery. We have two significant overseas opportunities. The first is in the target Asia Pacific region and the other is a US State. In both cases we have analysed billions of the organisation's spend and identified tens of millions of dollars of potential benefits through the implementation of an @UK Marketplace, demonstrating the global relevance of our system. We do not yet know how long these will take to convert into sales however the customer benefits are significant, and we would hope that they deliver in the next year. In addition to this, our Indian office is now profitable and growing and while still early days, the signs are positive and our learning is very valuable for further roll out. Financial results Revenue for the six months to 30 June 2012 was £1,095,000, a decrease of 13% from £1,255,000 in the same period in 2011. This resulted in a decrease in gross profit to £841,000 (2011: £915,000). Ecommerce revenues increased by 13.5% to £563,000 (2011 £496,000), delivering a gross profit of £510,000 (2011 £440,000) an increase of 16%. The comparable period is affected by the GeM contract win and after stripping out the effects of this significant contract win the underlying organic growth was 77% to £488,000 (2011 £276,000), resulting in an increase of 98% in gross profit to £435,000 (2011 £220,000). Operating costs were £1,194,000 (2011: £1,122,000). After deduction of a charge for share based payments of £8,000 (2011: £9,000) the operating loss increased by 67% to £361,000 (2011: £216,000). After finance costs of £2,000 (2011: £6,000), the loss before tax was £363,000, compared to £222,000 in 2011. Cash increased to £94,000 (2011:£15,000). Net Assets increased to £416,000 from the previous interim position of negative assets of £138,000. Operational and Performance Review The focus in the first half of the year has been in two key areas – the development of our overseas capabilities, in particular via our agreement with Visa, and the development of our UK sales team. UK opportunities The increased strength of our UK sales team has begun to deliver results. We now have 6 people in the team, increasing from 1 at this time last year. We have seen a significant increase in the number of SpendAnalysis and GreenAnalysis proposals being sent to NHS organisations and other public sector bodies, and we are making significant inroads into the 10,000 opportunities that we have identified. There is a growing awareness of the need to implement Carbon Accounting across organisations, being driven by actions such as the UK Government's announcement that all companies listed on the London Stock Exchange shall be required to report their greenhouse gas (GHG) emissions from April next year. We have established ourselves as the market leader in product level carbon footprinting, and this has been an important factor in contract wins across public and private sector as organisations move from scope 1 (electric bills) to scope 3 (the entire carbon footprint of the organisation), and we believe will be a driver for future growth. The UK private sector represents a growing area of opportunity for @UK and we are using our unique carbon reporting solution, alongside our global ecommerce solutions to help develop our presence in private sector procurement. Another area being targetted by our UK sales team is the Social Care Marketplaces, building on the success of our leading early adopter client. There are approximately 160 local Government organisations who are required to implement individual budgets for citizens receiving care in the community and we have a lot of interest in our pilot site which is the first system to have citizens purchasing their own care. GeM, our marketplace for all the UK's higher education sector, is progressing well, passing 10,000 users on its first anniversary. The focus for the next year is very much around growing transactions through the marketplace and ensuring that suppliers maximise their revenue generative opportunities across all of our customers. GeM suppliers are provided with a free @UK website for trading on GeM only, once they broaden out these websites across all of our buying communities they pay an annual licence fee. There are around 800 suppliers on GeM representing a significant up-sell opportunity for eCommerce and product level carbon coding. We have delivered BASDA Utilities and Green XML and are now working on commercial pilots with the leading utility companies in preparation for rollout to their major customers. The pilots are due to complete by October 2012 followed by rollout in 2013. The period has also seen @UK be named as an approved supplier under two UK public sector framework agreements. In February we were delighted to be named as an approved supplier for the UK government's G-Cloud framework in each of the four lots of the framework. The G-Cloud is an initiative designed to consolidate cloud-based IT services into a shared framework for use by public authorities. Access to this framework will enable public sector IT services to be increasingly innovative, versatile and cost effective, through the ability to rent IT services on a pay per usage basis. The framework was tendered with an estimated value of £60 million. @UK believes it has a strong competitive position within the framework since it has the largest UK user base on its Platform as a Service offering, and believes it is the most efficient and greenest cloud provider. In May, @UK was awarded a four year national eCommerce framework agreement for all UK public bodies. @UK was the only organisation named in all three lots of the framework, being Catalogue Solution, Spend Analysis and P2P Transaction Exchange and is therefore the only organisation that can provide a complete solution under the framework.The framework covers all UK public bodies, comprising the NHS, local authorities, educational establishments, police and emergency services, central Government departments and their agencies, registered charities, housing authorities and social landlords. The Board believes both frameworks have the potential to be significant drivers of new business in future periods. International opportunities It is evident that our products are relevant in many markets outside the UK. While no significant revenues were derived in the period from international markets, we believe they have the potential to be significantly larger than the UK. Our initial focus is on markets that are culturally straightforward for us to do business in, with Australia and New Zealand representing significant opportunities. Whilst it is early days, we have interest in our entire product suite and in particular the combined proposition with Visa to embed electronic payment within the marketplace. In South East Asia in particular there is a real appetite for leading edge technology solutions and we hope to have live pilots up and running during 2013. Outlook Overall we are satisfied with progress in the first half, where we have put significant investment into building a pipeline across a wide range of opportunities. Last year we had a strong second half, which means that we have a strong set of cash generating renewals to fund the second half of this year. This along with expected new sales gives us confidence in our ability to deliver full year results in line with expectations. Ronald Duncan Executive Chairman CONSOLIDATED STATEMENT OF COMPREHENSIVE INCOME (UNAUDITED) Revenue and operating loss all derive from continuing operations. CONSOLIDATED STATEMENT OF FINANCIAL POSITION (UNAUDITED) CONSOLIDATED STATEMENT OF CASH FLOWS (UNAUDITED) CONSOLIDATED STATEMENT OF CHANGES IN SHAREHOLDERS' EQUITY (UNAUDITED) NOTES TO THE FINANCIAL STATEMENTS 1. Basis of preparation These interim financial statements have been prepared in accordance with the accounting policies set out in the Annual Report and Accounts for the year ended 31 December 2011 and the interpretation of those accounting standards underlying the accounting policies. IAS 34, Interim Financial Reporting, has not been applied. The interim financial statements have been issued in accordance with the AIM Rules of the London Stock Exchange and are unaudited. The financial information set out does not constitute statutory accounts for the purposes of section 434 of the Companies Act 2006. The auditors' report on the statutory accounts for the year ended 31 December 2011 which have been filed with the Registrar of Companies was unqualified, did not draw attention to any matters by way of emphasis, and did not contain a statement under 498(2) or 498(3) of the Companies Act 2006. The preparation of financial statements requires estimates and assumptions that affect the reported amounts of assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Although the estimates are based on management's best knowledge of the amounts, events or actions, actual results may differ from those estimates. The interim statements for the six months ended 30 June 2012 will be published on the Company's website at www.ukplc.net. This announcement was approved by the board of @UK PLC on • August 2012. 2. Revenue (unaudited) Set out below is an analysis of revenue recognised and gross profit attributable between reportable segments: 3. Loss per share (unaudited) The calculations for loss per share are based on the weighted average number of shares in issue during the period 76,662,757 (6 months to 30 June 2011: 69,870,284; year ended 31 December 2011: 70,172,119) and the following losses: The share options and warrants are not dilutive as they would not increase the loss per share in the year. The basic and diluted loss per share calculated on the adjusted earnings is 0.4p (6 months to 30 June 2011: 0.3p; year ended 31 December 2011: 0.1p). 4. Post Balance Sheet Events There are no post balance sheet events requiring disclosure.	<urn:uuid:6095088a-d9c9-46ef-973d-599c6af6d382>	CC-MAIN-2017-34	http://static.uk-plc.net/library/ukplc-investor-relations/documents/Reports/ukplc-interim-results-2012-final.pdf	2017-08-24T06:44:13Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-34/segments/1502886133042.90/warc/CC-MAIN-20170824062820-20170824082820-00671.warc.gz	399,252,629	3,181	eng_Latn	eng_Latn	0.87188	eng_Latn	0.998763	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown", "unknown", "nld_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2098, 4060, 7528, 12064, 12541, 12668, 12726, 12776, 12847, 14922, 15175 ]	Embargoed for 7:00am release @UK PLC ("@UK" or the "Company") Unaudited Interim Results for the six months ended 30 June 2012 @UK PLC (AIM:ATUK.L), the cloud ecommerce marketplace, today announces its unaudited interim results for the six months ended 30 June 2012. Financial - Revenues decreased by 13% to £1.095m (2011: £1.255m) due to a slow-down in company formations - High gross margin ecommerce revenues increased by 13.5% to £563k (2011: £496k) - Loss before tax increased to £363k (2011: £222k) - Net Assets increased to £416k (2011: (£138k)) - Strong set of cash generating renewals for H2 Operational - New UK sales force generated over £3.5m of proposals being submitted in H1 (2011: £0.3 m) and 77% organic growth in ecommerce revenues - Indian office launched and profitable - Visa collaboration progressing well, currently in discussions on two significant international customer opportunities - First implementation of Care Marketplace has completed user acceptance testing and is proceeding into pilot - @UK named as approved supplier within two UK public sector frameworks o UK Government's G-Cloud framework o Four year national eCommerce framework agreement for all UK public bodies Ronald Duncan, Executive Chairman, commented, "Our new sales force is delivering a significant number of low value analysis proposals. These should convert over time into higher value marketplace implementations. Thus we expect significantly higher future revenues as these progress through the sales and implementation cycle. "Our international expansion is progressing well, and we have two high value opportunities where we have identified tens of millions of dollars in savings. "Last year we had a strong second half, which means that we have a strong set of cash generating renewals to fund the second half of this year. This along with expected new sales gives us confidence in our ability to deliver full year results in line with expectations." Enquiries: @UK PLC Ronald Duncan, Chairman Westhouse Securities Limited Tel: 0118 963 7000 Tel: 020 7601 6100 10 August 2012 Tom Griffiths Newgate Threadneedle Caroline Evans-Jones/Alex White Tel 020 7653 9850 @UK PLC @UK is Europe's leading Cloud Platform with over 1 million users, which is used for University and Colleges' procurement along with local authority, schools and other Government and private sector procurement. The GeM marketplace for Universities and Colleges which launched on 1 st August 2011 is the only card-based national marketplace in the world. It was successfully delivered for the 800 Universities and Colleges in the UK and the 680 National Suppliers, proving that Cloud Ecommerce delivers large complex projects for Government on time and on budget. Richard Benyon MP Minster for the Natural Environment, launched the @UK Green Ecommerce Marketplace in October 2010, which is now the largest repository of product carbon footprints in the world. @UK was used by the National Audit Office to identify over £500 million in savings for 25% of NHS spend. The ground breaking SpendInsight system used to identify the savings resulted in the award of 2 PhDs in artificial intelligence. @UK delivers key Government commitments of Savings Sustainability and SME Inclusion along with support for start-ups. @UK PLC has now created over 200,000 start up businesses and launched a new Cloud-Start-Up.com service to provide a complete suite of cloud business software to start-ups along with the essentials of limited company, bank account, domain name, email, ecommerce, accounting system and membership of the @UK business club. This has been followed by the announcement of the 2012StartUp.com campaign, which is supported by the AIM market of the London Stock Exchange, the Forum of Private Business, and BASDA, the software industry association. The campaign aims for a 27% growth of 100,000 start up companies and growth for existing businesses. It is a practical campaign that will result in companies being formed and growing through @UK's technology. CHAIRMAN'S STATEMENT Summary Both our new sales team and international expansion are progressing well. Our UK sales delivered 77% organic growth in ecommerce revenues after taking out the effects of the major GeM contract win last year. We have continued to increase the volume of proposals from 67 with a combined value of £1m, which were announced on 30 March 2012, to 140 with a value of £2.3m, which were announced on 24 May 2012, to 180 proposals with a value of £3.5m by the end of June. The proposals are converting to purchase orders and invoices and were a key element of the £212k of increased underlying ecommerce sales in the period. Given the team started in February it is still too early to determine the rate of conversion of proposals into cash, but we are continuing to build up the pipeline and refine the conversion. As we move through the second half we anticipate a significant increase in conversion and by 2013 we hope to be in a position to accurately forecast from sales activity to delivery. We have two significant overseas opportunities. The first is in the target Asia Pacific region and the other is a US State. In both cases we have analysed billions of the organisation's spend and identified tens of millions of dollars of potential benefits through the implementation of an @UK Marketplace, demonstrating the global relevance of our system. We do not yet know how long these will take to convert into sales however the customer benefits are significant, and we would hope that they deliver in the next year. In addition to this, our Indian office is now profitable and growing and while still early days, the signs are positive and our learning is very valuable for further roll out. Financial results Revenue for the six months to 30 June 2012 was £1,095,000, a decrease of 13% from £1,255,000 in the same period in 2011. This resulted in a decrease in gross profit to £841,000 (2011: £915,000). Ecommerce revenues increased by 13.5% to £563,000 (2011 £496,000), delivering a gross profit of £510,000 (2011 £440,000) an increase of 16%. The comparable period is affected by the GeM contract win and after stripping out the effects of this significant contract win the underlying organic growth was 77% to £488,000 (2011 £276,000), resulting in an increase of 98% in gross profit to £435,000 (2011 £220,000). Operating costs were £1,194,000 (2011: £1,122,000). After deduction of a charge for share based payments of £8,000 (2011: £9,000) the operating loss increased by 67% to £361,000 (2011: £216,000). After finance costs of £2,000 (2011: £6,000), the loss before tax was £363,000, compared to £222,000 in 2011. Cash increased to £94,000 (2011:£15,000). Net Assets increased to £416,000 from the previous interim position of negative assets of £138,000. Operational and Performance Review The focus in the first half of the year has been in two key areas – the development of our overseas capabilities, in particular via our agreement with Visa, and the development of our UK sales team. UK opportunities The increased strength of our UK sales team has begun to deliver results. We now have 6 people in the team, increasing from 1 at this time last year. We have seen a significant increase in the number of SpendAnalysis and GreenAnalysis proposals being sent to NHS organisations and other public sector bodies, and we are making significant inroads into the 10,000 opportunities that we have identified. There is a growing awareness of the need to implement Carbon Accounting across organisations, being driven by actions such as the UK Government's announcement that all companies listed on the London Stock Exchange shall be required to report their greenhouse gas (GHG) emissions from April next year. We have established ourselves as the market leader in product level carbon footprinting, and this has been an important factor in contract wins across public and private sector as organisations move from scope 1 (electric bills) to scope 3 (the entire carbon footprint of the organisation), and we believe will be a driver for future growth. The UK private sector represents a growing area of opportunity for @UK and we are using our unique carbon reporting solution, alongside our global ecommerce solutions to help develop our presence in private sector procurement. Another area being targetted by our UK sales team is the Social Care Marketplaces, building on the success of our leading early adopter client. There are approximately 160 local Government organisations who are required to implement individual budgets for citizens receiving care in the community and we have a lot of interest in our pilot site which is the first system to have citizens purchasing their own care. GeM, our marketplace for all the UK's higher education sector, is progressing well, passing 10,000 users on its first anniversary. The focus for the next year is very much around growing transactions through the marketplace and ensuring that suppliers maximise their revenue generative opportunities across all of our customers. GeM suppliers are provided with a free @UK website for trading on GeM only, once they broaden out these websites across all of our buying communities they pay an annual licence fee. There are around 800 suppliers on GeM representing a significant up-sell opportunity for eCommerce and product level carbon coding. We have delivered BASDA Utilities and Green XML and are now working on commercial pilots with the leading utility companies in preparation for rollout to their major customers. The pilots are due to complete by October 2012 followed by rollout in 2013. The period has also seen @UK be named as an approved supplier under two UK public sector framework agreements. In February we were delighted to be named as an approved supplier for the UK government's G-Cloud framework in each of the four lots of the framework. The G-Cloud is an initiative designed to consolidate cloud-based IT services into a shared framework for use by public authorities. Access to this framework will enable public sector IT services to be increasingly innovative, versatile and cost effective, through the ability to rent IT services on a pay per usage basis. The framework was tendered with an estimated value of £60 million. @UK believes it has a strong competitive position within the framework since it has the largest UK user base on its Platform as a Service offering, and believes it is the most efficient and greenest cloud provider. In May, @UK was awarded a four year national eCommerce framework agreement for all UK public bodies. @UK was the only organisation named in all three lots of the framework, being Catalogue Solution, Spend Analysis and P2P Transaction Exchange and is therefore the only organisation that can provide a complete solution under the framework.The framework covers all UK public bodies, comprising the NHS, local authorities, educational establishments, police and emergency services, central Government departments and their agencies, registered charities, housing authorities and social landlords. The Board believes both frameworks have the potential to be significant drivers of new business in future periods. International opportunities It is evident that our products are relevant in many markets outside the UK. While no significant revenues were derived in the period from international mark	ets, we believe they have the potential to be significantly larger than the UK.	Our initial focus is on markets that are culturally straightforward for us to do business in, with Australia and New Zealand representing significant opportunities. Whilst it is early days, we have interest in our entire product suite and in particular the combined proposition with Visa to embed electronic payment within the marketplace. In South East Asia in particular there is a real appetite for leading edge technology solutions and we hope to have live pilots up and running during 2013. Outlook Overall we are satisfied with progress in the first half, where we have put significant investment into building a pipeline across a wide range of opportunities. Last year we had a strong second half, which means that we have a strong set of cash generating renewals to fund the second half of this year. This along with expected new sales gives us confidence in our ability to deliver full year results in line with expectations. Ronald Duncan Executive Chairman CONSOLIDATED STATEMENT OF COMPREHENSIVE INCOME (UNAUDITED) Revenue and operating loss all derive from continuing operations. CONSOLIDATED STATEMENT OF FINANCIAL POSITION (UNAUDITED) CONSOLIDATED STATEMENT OF CASH FLOWS (UNAUDITED) CONSOLIDATED STATEMENT OF CHANGES IN SHAREHOLDERS' EQUITY (UNAUDITED) NOTES TO THE FINANCIAL STATEMENTS 1. Basis of preparation These interim financial statements have been prepared in accordance with the accounting policies set out in the Annual Report and Accounts for the year ended 31 December 2011 and the interpretation of those accounting standards underlying the accounting policies. IAS 34, Interim Financial Reporting, has not been applied. The interim financial statements have been issued in accordance with the AIM Rules of the London Stock Exchange and are unaudited. The financial information set out does not constitute statutory accounts for the purposes of section 434 of the Companies Act 2006. The auditors' report on the statutory accounts for the year ended 31 December 2011 which have been filed with the Registrar of Companies was unqualified, did not draw attention to any matters by way of emphasis, and did not contain a statement under 498(2) or 498(3) of the Companies Act 2006. The preparation of financial statements requires estimates and assumptions that affect the reported amounts of assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Although the estimates are based on management's best knowledge of the amounts, events or actions, actual results may differ from those estimates. The interim statements for the six months ended 30 June 2012 will be published on the Company's website at www.ukplc.net. This announcement was approved by the board of @UK PLC on • August 2012. 2. Revenue (unaudited) Set out below is an analysis of revenue recognised and gross profit attributable between reportable segments: 3. Loss per share (unaudited) The calculations for loss per share are based on the weighted average number of shares in issue during the period 76,662,757 (6 months to 30 June 2011: 69,870,284; year ended 31 December 2011: 70,172,119) and the following losses: The share options and warrants are not dilutive as they would not increase the loss per share in the year. The basic and diluted loss per share calculated on the adjusted earnings is 0.4p (6 months to 30 June 2011: 0.3p; year ended 31 December 2011: 0.1p). 4. Post Balance Sheet Events There are no post balance sheet events requiring disclosure.	11,487	inside_word	markets,	remove_one_sentence	<url> http://static.uk-plc.net/library/ukplc-investor-relations/documents/Reports/ukplc-interim-results-2012-final.pdf </url> <text> Embargoed for 7:00am release @UK PLC ("@UK" or the "Company") Unaudited Interim Results for the six months ended 30 June 2012 @UK PLC (AIM:ATUK.L), the cloud ecommerce marketplace, today announces its unaudited interim results for the six months ended 30 June 2012. Financial - Revenues decreased by 13% to £1.095m (2011: £1.255m) due to a slow-down in company formations - High gross margin ecommerce revenues increased by 13.5% to £563k (2011: £496k) - Loss before tax increased to £363k (2011: £222k) - Net Assets increased to £416k (2011: (£138k)) - Strong set of cash generating renewals for H2 Operational - New UK sales force generated over £3.5m of proposals being submitted in H1 (2011: £0.3 m) and 77% organic growth in ecommerce revenues - Indian office launched and profitable - Visa collaboration progressing well, currently in discussions on two significant international customer opportunities - First implementation of Care Marketplace has completed user acceptance testing and is proceeding into pilot - @UK named as approved supplier within two UK public sector frameworks o UK Government's G-Cloud framework o Four year national eCommerce framework agreement for all UK public bodies Ronald Duncan, Executive Chairman, commented, "Our new sales force is delivering a significant number of low value analysis proposals. These should convert over time into higher value marketplace implementations. Thus we expect significantly higher future revenues as these progress through the sales and implementation cycle. "Our international expansion is progressing well, and we have two high value opportunities where we have identified tens of millions of dollars in savings. "Last year we had a strong second half, which means that we have a strong set of cash generating renewals to fund the second half of this year. This along with expected new sales gives us confidence in our ability to deliver full year results in line with expectations." Enquiries: @UK PLC Ronald Duncan, Chairman Westhouse Securities Limited Tel: 0118 963 7000 Tel: 020 7601 6100 10 August 2012 Tom Griffiths Newgate Threadneedle Caroline Evans-Jones/Alex White Tel 020 7653 9850 @UK PLC @UK is Europe's leading Cloud Platform with over 1 million users, which is used for University and Colleges' procurement along with local authority, schools and other Government and private sector procurement. The GeM marketplace for Universities and Colleges which launched on 1 st August 2011 is the only card-based national marketplace in the world. It was successfully delivered for the 800 Universities and Colleges in the UK and the 680 National Suppliers, proving that Cloud Ecommerce delivers large complex projects for Government on time and on budget. Richard Benyon MP Minster for the Natural Environment, launched the @UK Green Ecommerce Marketplace in October 2010, which is now the largest repository of product carbon footprints in the world. @UK was used by the National Audit Office to identify over £500 million in savings for 25% of NHS spend. The ground breaking SpendInsight system used to identify the savings resulted in the award of 2 PhDs in artificial intelligence. @UK delivers key Government commitments of Savings Sustainability and SME Inclusion along with support for start-ups. @UK PLC has now created over 200,000 start up businesses and launched a new Cloud-Start-Up.com service to provide a complete suite of cloud business software to start-ups along with the essentials of limited company, bank account, domain name, email, ecommerce, accounting system and membership of the @UK business club. This has been followed by the announcement of the 2012StartUp.com campaign, which is supported by the AIM market of the London Stock Exchange, the Forum of Private Business, and BASDA, the software industry association. The campaign aims for a 27% growth of 100,000 start up companies and growth for existing businesses. It is a practical campaign that will result in companies being formed and growing through @UK's technology. CHAIRMAN'S STATEMENT Summary Both our new sales team and international expansion are progressing well. Our UK sales delivered 77% organic growth in ecommerce revenues after taking out the effects of the major GeM contract win last year. We have continued to increase the volume of proposals from 67 with a combined value of £1m, which were announced on 30 March 2012, to 140 with a value of £2.3m, which were announced on 24 May 2012, to 180 proposals with a value of £3.5m by the end of June. The proposals are converting to purchase orders and invoices and were a key element of the £212k of increased underlying ecommerce sales in the period. Given the team started in February it is still too early to determine the rate of conversion of proposals into cash, but we are continuing to build up the pipeline and refine the conversion. As we move through the second half we anticipate a significant increase in conversion and by 2013 we hope to be in a position to accurately forecast from sales activity to delivery. We have two significant overseas opportunities. The first is in the target Asia Pacific region and the other is a US State. In both cases we have analysed billions of the organisation's spend and identified tens of millions of dollars of potential benefits through the implementation of an @UK Marketplace, demonstrating the global relevance of our system. We do not yet know how long these will take to convert into sales however the customer benefits are significant, and we would hope that they deliver in the next year. In addition to this, our Indian office is now profitable and growing and while still early days, the signs are positive and our learning is very valuable for further roll out. Financial results Revenue for the six months to 30 June 2012 was £1,095,000, a decrease of 13% from £1,255,000 in the same period in 2011. This resulted in a decrease in gross profit to £841,000 (2011: £915,000). Ecommerce revenues increased by 13.5% to £563,000 (2011 £496,000), delivering a gross profit of £510,000 (2011 £440,000) an increase of 16%. The comparable period is affected by the GeM contract win and after stripping out the effects of this significant contract win the underlying organic growth was 77% to £488,000 (2011 £276,000), resulting in an increase of 98% in gross profit to £435,000 (2011 £220,000). Operating costs were £1,194,000 (2011: £1,122,000). After deduction of a charge for share based payments of £8,000 (2011: £9,000) the operating loss increased by 67% to £361,000 (2011: £216,000). After finance costs of £2,000 (2011: £6,000), the loss before tax was £363,000, compared to £222,000 in 2011. Cash increased to £94,000 (2011:£15,000). Net Assets increased to £416,000 from the previous interim position of negative assets of £138,000. Operational and Performance Review The focus in the first half of the year has been in two key areas – the development of our overseas capabilities, in particular via our agreement with Visa, and the development of our UK sales team. UK opportunities The increased strength of our UK sales team has begun to deliver results. We now have 6 people in the team, increasing from 1 at this time last year. We have seen a significant increase in the number of SpendAnalysis and GreenAnalysis proposals being sent to NHS organisations and other public sector bodies, and we are making significant inroads into the 10,000 opportunities that we have identified. There is a growing awareness of the need to implement Carbon Accounting across organisations, being driven by actions such as the UK Government's announcement that all companies listed on the London Stock Exchange shall be required to report their greenhouse gas (GHG) emissions from April next year. We have established ourselves as the market leader in product level carbon footprinting, and this has been an important factor in contract wins across public and private sector as organisations move from scope 1 (electric bills) to scope 3 (the entire carbon footprint of the organisation), and we believe will be a driver for future growth. The UK private sector represents a growing area of opportunity for @UK and we are using our unique carbon reporting solution, alongside our global ecommerce solutions to help develop our presence in private sector procurement. Another area being targetted by our UK sales team is the Social Care Marketplaces, building on the success of our leading early adopter client. There are approximately 160 local Government organisations who are required to implement individual budgets for citizens receiving care in the community and we have a lot of interest in our pilot site which is the first system to have citizens purchasing their own care. GeM, our marketplace for all the UK's higher education sector, is progressing well, passing 10,000 users on its first anniversary. The focus for the next year is very much around growing transactions through the marketplace and ensuring that suppliers maximise their revenue generative opportunities across all of our customers. GeM suppliers are provided with a free @UK website for trading on GeM only, once they broaden out these websites across all of our buying communities they pay an annual licence fee. There are around 800 suppliers on GeM representing a significant up-sell opportunity for eCommerce and product level carbon coding. We have delivered BASDA Utilities and Green XML and are now working on commercial pilots with the leading utility companies in preparation for rollout to their major customers. The pilots are due to complete by October 2012 followed by rollout in 2013. The period has also seen @UK be named as an approved supplier under two UK public sector framework agreements. In February we were delighted to be named as an approved supplier for the UK government's G-Cloud framework in each of the four lots of the framework. The G-Cloud is an initiative designed to consolidate cloud-based IT services into a shared framework for use by public authorities. Access to this framework will enable public sector IT services to be increasingly innovative, versatile and cost effective, through the ability to rent IT services on a pay per usage basis. The framework was tendered with an estimated value of £60 million. @UK believes it has a strong competitive position within the framework since it has the largest UK user base on its Platform as a Service offering, and believes it is the most efficient and greenest cloud provider. In May, @UK was awarded a four year national eCommerce framework agreement for all UK public bodies. @UK was the only organisation named in all three lots of the framework, being Catalogue Solution, Spend Analysis and P2P Transaction Exchange and is therefore the only organisation that can provide a complete solution under the framework.The framework covers all UK public bodies, comprising the NHS, local authorities, educational establishments, police and emergency services, central Government departments and their agencies, registered charities, housing authorities and social landlords. The Board believes both frameworks have the potential to be significant drivers of new business in future periods. International opportunities It is evident that our products are relevant in many markets outside the UK. While no significant revenues were derived in the period from international mark<cursor_is_here> Our initial focus is on markets that are culturally straightforward for us to do business in, with Australia and New Zealand representing significant opportunities. Whilst it is early days, we have interest in our entire product suite and in particular the combined proposition with Visa to embed electronic payment within the marketplace. In South East Asia in particular there is a real appetite for leading edge technology solutions and we hope to have live pilots up and running during 2013. Outlook Overall we are satisfied with progress in the first half, where we have put significant investment into building a pipeline across a wide range of opportunities. Last year we had a strong second half, which means that we have a strong set of cash generating renewals to fund the second half of this year. This along with expected new sales gives us confidence in our ability to deliver full year results in line with expectations. Ronald Duncan Executive Chairman CONSOLIDATED STATEMENT OF COMPREHENSIVE INCOME (UNAUDITED) Revenue and operating loss all derive from continuing operations. CONSOLIDATED STATEMENT OF FINANCIAL POSITION (UNAUDITED) CONSOLIDATED STATEMENT OF CASH FLOWS (UNAUDITED) CONSOLIDATED STATEMENT OF CHANGES IN SHAREHOLDERS' EQUITY (UNAUDITED) NOTES TO THE FINANCIAL STATEMENTS 1. Basis of preparation These interim financial statements have been prepared in accordance with the accounting policies set out in the Annual Report and Accounts for the year ended 31 December 2011 and the interpretation of those accounting standards underlying the accounting policies. IAS 34, Interim Financial Reporting, has not been applied. The interim financial statements have been issued in accordance with the AIM Rules of the London Stock Exchange and are unaudited. The financial information set out does not constitute statutory accounts for the purposes of section 434 of the Companies Act 2006. The auditors' report on the statutory accounts for the year ended 31 December 2011 which have been filed with the Registrar of Companies was unqualified, did not draw attention to any matters by way of emphasis, and did not contain a statement under 498(2) or 498(3) of the Companies Act 2006. The preparation of financial statements requires estimates and assumptions that affect the reported amounts of assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Although the estimates are based on management's best knowledge of the amounts, events or actions, actual results may differ from those estimates. The interim statements for the six months ended 30 June 2012 will be published on the Company's website at www.ukplc.net. This announcement was approved by the board of @UK PLC on • August 2012. 2. Revenue (unaudited) Set out below is an analysis of revenue recognised and gross profit attributable between reportable segments: 3. Loss per share (unaudited) The calculations for loss per share are based on the weighted average number of shares in issue during the period 76,662,757 (6 months to 30 June 2011: 69,870,284; year ended 31 December 2011: 70,172,119) and the following losses: The share options and warrants are not dilutive as they would not increase the loss per share in the year. The basic and diluted loss per share calculated on the adjusted earnings is 0.4p (6 months to 30 June 2011: 0.3p; year ended 31 December 2011: 0.1p). 4. Post Balance Sheet Events There are no post balance sheet events requiring disclosure. </text>	[ { "content": "<url>\nhttp://static.uk-plc.net/library/ukplc-investor-relations/documents/Reports/ukplc-interim-results-2012-final.pdf\n</url>\n<text>\nEmbargoed for 7:00am release\n\n@UK PLC (\"@UK\" or the \"Company\")\n\nUnaudited Interim Results for the six months ended 30 June 2012\n\n@UK PLC (AIM:ATUK.L), the cloud ecommerce marketplace, today announces its unaudited interim results for the six months ended 30 June 2012.\n\nFinancial\n\n- Revenues decreased by 13% to £1.095m (2011: £1.255m) due to a slow-down in company formations\n- High gross margin ecommerce revenues increased by 13.5% to £563k (2011: £496k)\n- Loss before tax increased to £363k (2011: £222k)\n- Net Assets increased to £416k (2011: (£138k))\n- Strong set of cash generating renewals for H2\n\nOperational\n\n- New UK sales force generated over £3.5m of proposals being submitted in H1 (2011: £0.3 m) and 77% organic growth in ecommerce revenues\n- Indian office launched and profitable\n- Visa collaboration progressing well, currently in discussions on two significant international customer opportunities\n- First implementation of Care Marketplace has completed user acceptance testing and is proceeding into pilot\n- @UK named as approved supplier within two UK public sector frameworks\no UK Government's G-Cloud framework\no Four year national eCommerce framework agreement for all UK public bodies\n\nRonald Duncan, Executive Chairman, commented, \"Our new sales force is delivering a significant number of low value analysis proposals. These should convert over time into higher value marketplace implementations. Thus we expect significantly higher future revenues as these progress through the sales and implementation cycle.\n\n\"Our international expansion is progressing well, and we have two high value opportunities where we have identified tens of millions of dollars in savings.\n\n\"Last year we had a strong second half, which means that we have a strong set of cash generating renewals to fund the second half of this year. This along with expected new sales gives us confidence in our ability to deliver full year results in line with expectations.\"\n\nEnquiries:\n\n@UK PLC Ronald Duncan, Chairman Westhouse Securities Limited\n\nTel: 0118 963 7000\n\nTel: 020 7601 6100\n\n10 August 2012\n\nTom Griffiths Newgate Threadneedle Caroline Evans-Jones/Alex White\n\nTel 020 7653 9850\n\n@UK PLC\n\n@UK is Europe's leading Cloud Platform with over 1 million users, which is used for University and Colleges' procurement along with local authority, schools and other Government and private sector procurement.\n\nThe GeM marketplace for Universities and Colleges which launched on 1 st August 2011 is the only card-based national marketplace in the world. It was successfully delivered for the 800 Universities and Colleges in the UK and the 680 National Suppliers, proving that Cloud Ecommerce delivers large complex projects for Government on time and on budget.\n\nRichard Benyon MP Minster for the Natural Environment, launched the @UK Green Ecommerce Marketplace in October 2010, which is now the largest repository of product carbon footprints in the world.\n\n@UK was used by the National Audit Office to identify over £500 million in savings for 25% of NHS spend. The ground breaking SpendInsight system used to identify the savings resulted in the award of 2 PhDs in artificial intelligence.\n\n@UK delivers key Government commitments of Savings Sustainability and SME Inclusion along with support for start-ups. @UK PLC has now created over 200,000 start up businesses and launched a new Cloud-Start-Up.com service to provide a complete suite of cloud business software to start-ups along with the essentials of limited company, bank account, domain name, email, ecommerce, accounting system and membership of the @UK business club.\n\nThis has been followed by the announcement of the 2012StartUp.com campaign, which is supported by the AIM market of the London Stock Exchange, the Forum of Private Business, and BASDA, the software industry association. The campaign aims for a 27% growth of 100,000 start up companies and growth for existing businesses. It is a practical campaign that will result in companies being formed and growing through @UK's technology.\n\nCHAIRMAN'S STATEMENT\n\nSummary\n\nBoth our new sales team and international expansion are progressing well. Our UK sales delivered 77% organic growth in ecommerce revenues after taking out the effects of the major GeM contract win last year.\n\nWe have continued to increase the volume of proposals from 67 with a combined value of £1m, which were announced on 30 March 2012, to 140 with a value of £2.3m, which were announced on 24 May 2012, to 180 proposals with a value of £3.5m by the end of June. The proposals are converting to purchase orders and invoices and were a key element of the £212k of increased underlying ecommerce sales in the period. Given the team started in February it is still too early to determine the rate of conversion of proposals into cash, but we are continuing to build up the pipeline and refine the conversion. As we move through the second half we anticipate a significant increase in conversion and by 2013 we hope to be in a position to accurately forecast from sales activity to delivery.\n\nWe have two significant overseas opportunities. The first is in the target Asia Pacific region and the other is a US State. In both cases we have analysed billions of the organisation's spend and identified tens of millions of dollars of potential benefits through the implementation of an @UK Marketplace, demonstrating the global relevance of our system. We do not yet know how long these will take to convert into sales however the customer benefits are significant, and we would hope that they deliver in the next year.\n\nIn addition to this, our Indian office is now profitable and growing and while still early days, the signs are positive and our learning is very valuable for further roll out.\n\nFinancial results\n\nRevenue for the six months to 30 June 2012 was £1,095,000, a decrease of 13% from £1,255,000 in the same period in 2011. This resulted in a decrease in gross profit to £841,000 (2011: £915,000).\n\nEcommerce revenues increased by 13.5% to £563,000 (2011 £496,000), delivering a gross profit of £510,000 (2011 £440,000) an increase of 16%. The comparable period is affected by the GeM contract win and after stripping out the effects of this significant contract win the underlying organic growth was 77% to £488,000 (2011 £276,000), resulting in an increase of 98% in gross profit to £435,000 (2011 £220,000).\n\nOperating costs were £1,194,000 (2011: £1,122,000). After deduction of a charge for share based payments of £8,000 (2011: £9,000) the operating loss increased by 67% to £361,000 (2011: £216,000).\n\nAfter finance costs of £2,000 (2011: £6,000), the loss before tax was £363,000, compared to £222,000\n\nin 2011.\n\nCash increased to £94,000 (2011:£15,000).\n\nNet Assets increased to £416,000 from the previous interim position of negative assets of £138,000.\n\nOperational and Performance Review\n\nThe focus in the first half of the year has been in two key areas – the development of our overseas capabilities, in particular via our agreement with Visa, and the development of our UK sales team.\n\nUK opportunities\n\nThe increased strength of our UK sales team has begun to deliver results. We now have 6 people in the team, increasing from 1 at this time last year. We have seen a significant increase in the number of SpendAnalysis and GreenAnalysis proposals being sent to NHS organisations and other public sector bodies, and we are making significant inroads into the 10,000 opportunities that we have identified.\n\nThere is a growing awareness of the need to implement Carbon Accounting across organisations, being driven by actions such as the UK Government's announcement that all companies listed on the London Stock Exchange shall be required to report their greenhouse gas (GHG) emissions from April next year. We have established ourselves as the market leader in product level carbon footprinting, and this has been an important factor in contract wins across public and private sector as organisations move from scope 1 (electric bills) to scope 3 (the entire carbon footprint of the organisation), and we believe will be a driver for future growth.\n\nThe UK private sector represents a growing area of opportunity for @UK and we are using our unique carbon reporting solution, alongside our global ecommerce solutions to help develop our presence in private sector procurement.\n\nAnother area being targetted by our UK sales team is the Social Care Marketplaces, building on the success of our leading early adopter client. There are approximately 160 local Government organisations who are required to implement individual budgets for citizens receiving care in the community and we have a lot of interest in our pilot site which is the first system to have citizens purchasing their own care.\n\nGeM, our marketplace for all the UK's higher education sector, is progressing well, passing 10,000 users on its first anniversary. The focus for the next year is very much around growing transactions through the marketplace and ensuring that suppliers maximise their revenue generative opportunities across all of our customers. GeM suppliers are provided with a free @UK website for trading on GeM only, once they broaden out these websites across all of our buying communities they pay an annual licence fee. There are around 800 suppliers on GeM representing a significant up-sell opportunity for eCommerce and product level carbon coding.\n\nWe have delivered BASDA Utilities and Green XML and are now working on commercial pilots with the leading utility companies in preparation for rollout to their major customers. The pilots are due to complete by October 2012 followed by rollout in 2013.\n\nThe period has also seen @UK be named as an approved supplier under two UK public sector framework agreements.\n\nIn February we were delighted to be named as an approved supplier for the UK government's G-Cloud framework in each of the four lots of the framework. The G-Cloud is an initiative designed to consolidate cloud-based IT services into a shared framework for use by public authorities. Access to this framework will enable public sector IT services to be increasingly innovative, versatile and cost effective, through the ability to rent IT services on a pay per usage basis. The framework was tendered with an estimated value of £60 million. @UK believes it has a strong competitive position within the framework since it has the largest UK user base on its Platform as a Service offering, and believes it is the most efficient and greenest cloud provider.\n\nIn May, @UK was awarded a four year national eCommerce framework agreement for all UK public bodies. @UK was the only organisation named in all three lots of the framework, being Catalogue Solution, Spend Analysis and P2P Transaction Exchange and is therefore the only organisation that can provide a complete solution under the framework.The framework covers all UK public bodies, comprising the NHS, local authorities, educational establishments, police and emergency services, central Government departments and their agencies, registered charities, housing authorities and social landlords.\n\nThe Board believes both frameworks have the potential to be significant drivers of new business in future periods.\n\nInternational opportunities\n\nIt is evident that our products are relevant in many markets outside the UK. While no significant revenues were derived in the period from international mark<cursor_is_here> Our initial focus is on markets that are culturally straightforward for us to do business in, with Australia and New Zealand representing significant opportunities. Whilst it is early days, we have interest in our entire product suite and in particular the combined proposition with Visa to embed electronic payment within the marketplace. In South East Asia in particular there is a real appetite for leading edge technology solutions and we hope to have live pilots up and running during 2013.\n\nOutlook\n\nOverall we are satisfied with progress in the first half, where we have put significant investment into building a pipeline across a wide range of opportunities.\n\nLast year we had a strong second half, which means that we have a strong set of cash generating renewals to fund the second half of this year. This along with expected new sales gives us confidence in our ability to deliver full year results in line with expectations.\n\nRonald Duncan\n\nExecutive Chairman\n\nCONSOLIDATED STATEMENT OF COMPREHENSIVE INCOME (UNAUDITED)\n\nRevenue and operating loss all derive from continuing operations.\n\nCONSOLIDATED STATEMENT OF FINANCIAL POSITION (UNAUDITED)\n\nCONSOLIDATED STATEMENT OF CASH FLOWS (UNAUDITED)\n\nCONSOLIDATED STATEMENT OF CHANGES IN SHAREHOLDERS' EQUITY (UNAUDITED)\n\nNOTES TO THE FINANCIAL STATEMENTS\n\n1. Basis of preparation\n\nThese interim financial statements have been prepared in accordance with the accounting policies set out in the Annual Report and Accounts for the year ended 31 December 2011 and the interpretation of those accounting standards underlying the accounting policies. IAS 34, Interim Financial Reporting, has not been applied. The interim financial statements have been issued in accordance with the AIM Rules of the London Stock Exchange and are unaudited. The financial information set out does not constitute statutory accounts for the purposes of section 434 of the Companies Act 2006. The auditors' report on the statutory accounts for the year ended 31 December 2011 which have been filed with the Registrar of Companies was unqualified, did not draw attention to any matters by way of emphasis, and did not contain a statement under 498(2) or 498(3) of the Companies Act 2006.\n\nThe preparation of financial statements requires estimates and assumptions that affect the reported amounts of assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Although the estimates are based on management's best knowledge of the amounts, events or actions, actual results may differ from those estimates.\n\nThe interim statements for the six months ended 30 June 2012 will be published on the Company's website at www.ukplc.net.\n\nThis announcement was approved by the board of @UK PLC on • August 2012.\n\n2. Revenue (unaudited)\n\nSet out below is an analysis of revenue recognised and gross profit attributable between reportable segments:\n\n3. Loss per share (unaudited)\n\nThe calculations for loss per share are based on the weighted average number of shares in issue during the period 76,662,757 (6 months to 30 June 2011: 69,870,284; year ended 31 December 2011: 70,172,119) and the following losses:\n\nThe share options and warrants are not dilutive as they would not increase the loss per share in the year.\n\nThe basic and diluted loss per share calculated on the adjusted earnings is 0.4p (6 months to 30 June 2011: 0.3p; year ended 31 December 2011: 0.1p).\n\n4. Post Balance Sheet Events\n\nThere are no post balance sheet events requiring disclosure.\n</text>\n", "role": "user" }, { "content": "ets, we believe they have the potential to be significantly larger than the UK.", "role": "assistant" } ]
In the Supreme Court of the United States ESTHER KIOBEL, ET AL., PETITIONERS v. R OYAL D UTCH P ETROLEUM C O ., ET AL. ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT BRIEF FOR ENGILITY CORPORATION AS AMICUS CURIAE SUPPORTING RESPONDENTS ARI S. ZYMELMAN Counsel of Record F. WHITTEN PETERS F. GREG BOWMAN WILLIAMS & CONNOLLY LLP 725 Twelfth Street, N.W. Washington, DC 20005 (202) 434-5000 [email protected] TABLE OF CONTENTS Page Page IV In the Supreme Court of the United States No. 10-1491 ESTHER KIOBEL, ET AL., PETITIONERS v. ROYAL DUTCH PETROLEUM CO., ET AL. ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT BRIEF FOR ENGILITY CORPORATION AS AMICUS CURIAE SUPPORTING RESPONDENTS INTEREST OF AMICUS CURIAE Engility Corporation is a United States-based publicly held corporation with extensive worldwide operations. 1 Engility provides government services in engineering, professional support, and mission support to the Department of Defense and other agencies of the American 1 Written consents from both parties to the filing of amicus briefs in support of either party are on file with the Clerk. No counsel for any party authored this brief in whole or in part, and no person or entity other than amicus curiae or its counsel contributed money to the preparation or submission of this brief. government, as well its allies. 2 Engility is committed to conducting its business in a lawful and responsible manner in compliance with international law and with respect for human rights. Nevertheless, Engility has been subject to numerous claims arising in foreign sovereign territory brought under the Alien Tort Statute (ATS), 28 U.S.C. § 1350, including claims brought by battlefield detainees based upon Engility's provision of linguists and interrogators to the U.S. military—claims that well illustrate the difficulties raised by extraterritorial ATS claims. See, e.g., Al Shimari v. CACI Int'l, Inc., 679 F.3d 205 (4th Cir. 2012) (en banc); Saleh v. Titan Corp., 580 F.3d 1 (D.C. Cir. 2009), cert. denied, 131 S. Ct. 3055 (2011). News media publication in 2004 of pictures depicting apparent abuse of Iraqis detained by the U.S. military at Abu Ghraib prompted civil suits by hundreds of Iraqis detained by the U.S. military across Iraq during a period spanning more than five years. Plaintiffs alleged that contractors aided and abetted or conspired with military personnel to mistreat them in violation of state law and international law. In the first set of such cases, after 21 depositions of contractor and military personnel, the D.C. Circuit properly rejected common law torts, including claims under the ATS, as an appropriate means of regulating such battlefield conduct. See Saleh, 580 F.3d at 2-16. In May and June of 2008, a second wave of actions was filed by scores of former Iraqi detainees. Two district courts within the Fourth Circuit declined to follow 2 Engility, formerly L-3 Services, Inc., was spun off from L-3 Communications in July 2012. the D.C. Circuit's decision in Saleh. In Al-Quraishi v. Nakhla, for example, the district court refused to dismiss any claims because defendants were not soldiers and discovery would be required to rule on the defenses asserted. 728 F. Supp. 2d 702 (D. Md. 2010). A panel of the Fourth Circuit adopted the rationale of the D.C. Circuit and ordered all claims dismissed, Al-Quraishi v. L-3 Services, Inc., 657 F.3d 201 (4th Cir. 2011), but the en banc court dismissed the appeal for lack of interlocutory appellate jurisdiction and remanded to the district court for discovery and trial, Al Shimari, 679 F.3d 205. Engility therefore has a strong interest in the proper interpretation of the ATS and in particular clarifying whether it applies extraterritorially. If the Court adopts the extraterritorial application urged by petitioners and their amici here, ATS claims against American companies providing services in support of U.S. military operations abroad, like those asserted against Engility in Al-Quraishi and Saleh, would be allowed to proceed. Even the qualified approach of the United States would leave open the question of whether the ATS applies to the conduct of U.S. companies in support of U.S. military operations abroad. These claims implicate serious separation-of-powers concerns and may lead to intrusive discovery against contractors and the military. SUMMARY OF ARGUMENT This Court should affirm the judgment below and hold that the ATS does not allow courts to recognize a cause of action for violations of the law of nations occurring within the territory of a sovereign other than the United States. In the alternative, the Court should affirm on the ground that corporations are not subject to ATS claims for the reasons previously set forth by respondents and by the Second Circuit in the decision below. It is well established that when a statute gives no clear indication that Congress intended it to have extraterritorial reach, it has none. Petitioners and their amici attempt to locate such a clear indication in the text and history of the ATS, but these sources are at best inconclusive and fall well short of providing the clear indication necessary to overcome the presumption against extraterritoriality. The United States agrees with respondents that the Court should not recognize the extraterritorial ATS claims asserted here, but urges a case-by-case approach. That approach is at odds with its position in several previous cases in this Court and the lower courts, and conflicts with this Court's analysis of the extraterritorial reach of other statutes. The parties and the United States focus their analysis on whether such claims would entail adverse consequences for U.S. foreign policy where the defendants are not present in the United States. Extraterritorial ATS claims, however, may also raise other concerns of similar magnitude, as demonstrated by ongoing efforts to use the ATS against American corporations as a vehicle to challenge U.S. military operations abroad. Those claims raise serious separation-of-powers concerns—concerns that provide an additional reason why this Court should avoid a construction of the ATS that recognizes extraterritorial claims absent a clear indication to the contrary from Congress. Indeed, the United States has in the past argued that the ATS should not be construed as extending to such matters. This Court should adopt a categorical rule against extraterritorial application of the ATS. Such an approach would allow Congress the opportunity to clarify its intent before the Judiciary is thrust into the forefront of foreign affairs and required to confront difficult separation-of-powers issues underlying ATS claims in the context of U.S. military operations abroad. ARGUMENT THE COURT SHOULD RULE CATEGORICALLY THAT THE ATS DOES NOT ALLOW COURTS TO RECOGNIZE CAUSES OF ACTION BASED ON CONDUCT OCCURRING IN TERRITORY OF FOREIGN SOVEREIGNS A. The Presumption Against Extraterritoriality Applies Categorically In All Circumstances 1. It is a "longstanding principle of American law 'that legislation of Congress, unless a contrary intent appears, is meant to apply only within the territorial jurisdiction of the United States.'" EEOC v. Arabian Am. Oil Co., 499 U.S. 244, 248 (1991) (Aramco) (quoting Foley Bros., Inc. v. Filardo, 336 U.S. 281, 285 (1949)). Unless there is "the affirmative intention of the Congress clearly expressed" to give a statute extraterritorial effect, the Court "must presume it is primarily concerned with domestic conditions." Id. (internal quotation marks omitted). In addition, absent a clear indication of congressional intent, statutes should be construed so that constitutional issues are not "needlessly confronted." Edward J. DeBartolo Corp. v. Fla. Gulf Coast Bldg. & Constr. Trades Council, 485 U.S. 568, 575 (1988). These cannons of statutory construction apply with particular force where military affairs are implicated. See Sale v. Haitian Ctrs. Council, Inc., 509 U.S. 155, 188 (1993). This Court has consistently applied the presumption against extraterritorial application categorically to "all cases," Morrison v. Nat'l Austl. Bank Ltd., 130 S. Ct. 2869, 2881 (2010)—not to particular "circumstances," as 6 the United States argues, see U.S. Supp. Br. 2. Courts are not to attempt to divine "what Congress would have wanted if it had thought of the situation before the court." Morrison, 130 S. Ct. at 2881. And for good reason. If the courts were to "guess anew" in each case what Congress intended, the presumption would fail to preserve "a stable background against which Congress can legislate with predictable effects." Id. It also would require lower courts to determine the effect of each case on foreign affairs and confront difficult separation-ofpowers issues without a clear mandate from Congress or any indication of how Congress would resolve such questions. Moreover, this Court has observed in the past that the complexities of diplomatic relations might prevent the United States from expressing its views on such issues "at a moment that would be dictated by the development of private litigation but might be inopportune diplomatically." Banco Nacional de Cuba v. Sabbatino, 376 U.S. 398, 436 (1964). In circumstances where this is the case, the Judiciary would be left to make such difficult judgments without meaningful input from the Executive. 2. Contrary to the position it takes here, the United States previously argued that the Court should take a categorical approach and deny extraterritorial application to the ATS in all circumstances. While the United States has changed its conclusion, it has not disavowed or refuted the reasons that supported its advocacy of a categorical rule. In particular, the United States correctly recognized that case-specific deference to the Executive Branch would not sufficiently alleviate the ATS's potential adverse impact on foreign affairs. See U.S. Br. at 21, Am. Isuzu Motors, Inc. v. Ntsebeza, 553 U.S. 1028 (2008) (No. 07-919). The lack of a clear rule against extraterritorial application would predictably discourage "U.S. and foreign corporations from investing in precisely the areas of the world where economic development may have the most positive impact on economic and political conditions." U.S. Br. at 44-45, Sosa v. Alvarez-Machain, 542 U.S. 692 (2004) (No. 03-339); see also U.S. Br. at 21-22, Am. Isuzu Motors, supra (explaining "case-by-case approach could complicate the Nation's foreign relations still further and exacerbate the . . . deterrent effect on international trade and investment"). This would reduce the effectiveness of certain foreign policy tools available to the United States. See id. The United States has not addressed these arguments here much less refuted them, and its previous rationale remains valid and undermines the persuasiveness of its current position. Cf. Zschernig v. Miller, 389 U.S. 429, 443 (1968) (Stewart, J., concurring). B. Extraterritorial ATS Claims Are An Inappropriate Vehicle For U.S. Courts To Adjudicate Claims Arising In The Military Context Without Clear Congressional Direction Extraterritorial ATS claims raise important and difficult issues beyond the adverse consequences for U.S. foreign policy upon which the parties and the United States focus. Ongoing efforts to use the ATS against American corporations as a vehicle to challenge U.S. military operations abroad are one such example. The separation-of-powers concerns implicated by such claims provide an additional reason this Court should not construe the ATS to recognize extraterritorial claims absent a clear indication to the contrary from Congress. 1. Aliens have used the ATS as a vehicle for bringing human-rights lawsuits against foreign multinational corporations in U.S. courts. These cases often allege corporate complicity in human-rights abuses allegedly committed by foreign government officials against foreign citizens in foreign countries. Because this case involves such facts, the parties focus their arguments on these circumstances and the serious foreign-policy implications of such suits. Regardless of the citizenship of the parties, however, cases involving extraterritorial ATS claims repeatedly raise additional difficult questions of constitutional and international law. These questions include, for example, whether and to what extent U.S. courts are empowered to: (a) export rules of decision for cases arising in sovereign territory of other nations, (b) sit in judgment of acts undertaken on behalf of a foreign sovereign in its own territory, and (c) fashion common-law causes of action for claims brought by those against whom U.S. military force has been directed upon foreign battlefields. 2. The difficulties presented by extraterritorial ATS claims are well illustrated by Saleh and Al-Quraishi, supra. These cases involve claims brought by Iraqi detainees of the U.S. military against contractors who were called upon by the U.S. military to address shortfalls in the military ranks. Such contractor personnel were integrated into the military chain of command, supervised by military personnel, and essential to the military mission. See Saleh, 580 F.3d at 2; see also Allegations of Mistreatment of Iraqi Prisoners: Hearing Before the U.S. Senate Committee on Armed Services, 108th Congress 22-24, 42-45 (May 7, 2004); The Department of the Army Inspector General Report on Detention Operation Doctrine and Training: Hearing Before the U.S. Senate Committee on Armed Services, 108th Congress 675, 1020-23 (July 22, 2004). The government conducted extensive investigations into the allegations of abuse, resulting in the courtmartial of eleven soldiers. See Ibrahim v. Titan Corp., 391 F. Supp. 2d 10, 16 (D.D.C. 2005), aff'd in part, Saleh, supra. No contractor employees were criminally charged, though some were investigated, and the government did not pursue available contractual remedies against the contractors. See Saleh, 580 F.3d at 2. In Saleh, the district court ordered discovery into the nature and extent of the military's supervision of the contract employees. This discovery included 21 depositions of contractor and military personnel. In light of the criminal jurisdiction and administrative remedies available, the potential interference with U.S. military operations, and Congress's apparently purposeful failure to provide a civil cause of action, the D.C. Circuit ordered all claims dismissed. It held that "where a private service contractor is integrated into combatant activities over which the military retains command authority," id. at 9, "all of the traditional rationales for tort law— deterrence of risk-taking behavior, compensation of victims, and punishment of tortfeasors—are singularly out of place," id. at 7. The Solicitor General opposed certiorari, noting that "[t]he United States has at its disposal a variety of tools, enhanced in the wake of events at Abu Ghraib, to punish the perpetrators of acts of torture, to prevent acts of abuse and mistreatment, and to compensate individuals who were subject to abusive treatment while detained by the United States military." U.S. Br. (May 27, 2011) at 8, Saleh v. Titan Corp., 131 S. Ct. 3055 (2011) (No. 091313). This Court denied certiorari. 131 S. Ct. 3055 (2011). 3. Two district courts in the Fourth Circuit subsequently declined to follow the D.C. Circuit's rationale, and the en banc Fourth Circuit held that it lacked interlocutory appellate jurisdiction to review the district courts' orders. See Al Shimari, 679 F.3d 205. Those cases—Al Shimari and Al-Quraishi—have been remanded for discovery and trial, which will be expensive and burdensome for the parties and the military. Al-Quraishi in particular is illustrative of the expense and burden of discovery in such cases. See 728 F. Supp. 2d 702. The 72 plaintiffs were detained at 26 different detention facilities across Iraq during a period spanning more than five years. The plaintiffs and defendants' employees in these facilities interacted with scores of military personnel and personnel from intelligence agencies (including the CIA according to plaintiffs' allegations that some were held as "ghost" detainees) whose testimony will be sought by both sides. Military policies and the actions of military and intelligence personnel will be central to the litigation. Discovery will include requests to produce voluminous sensitive documents such as interrogation and detention policies, records of detainee status board hearings, medical records, interrogation plans, interrogation logs, and recordings of interrogations. Should these cases proceed under the framework embodied by the district courts' decisions, the government will face the prospect of high-ranking officials being subject to discovery and ultimately summoned to court. To fully explore whether U.S. contractors committed violations of international law in support of U.S. military operations, discovery would include subpoenas, numerous requests to produce, Rule 30(b)(6) depositions of document custodians at various intelligence and defense agencies, and lengthy and probing depositions of high-ranking government officials with national security clearances and personal knowledge of some of the Nation's most sensitive information. This would distract the affected officials from their normal defense- and intelligence-related duties. A trial on the merits would be a spectacle with Iraqi detainees summoning America's present and former military leaders to a federal courthouse to answer their charges and putting U.S. military operations on trial. This massive litigation would have been authorized not by a congressionally established statutory cause of action, but under implied federal common law pursuant to the ATS, passed in 1789 in response to ambassadorial assaults committed in the territorial United States. 4. A case-by-case approach to extraterritorial jurisdiction would allow lower courts to permit cases like AlQuraishi and Saleh to go forward, which would distract the military and burden its personnel, increase the cost of contracting for such critical battlefield support, and chill contractors from providing battlefield services. These concerns are heightened for ATS claims because its prolonged statute of limitations results in a lingering threat of litigation. This continued threat of such litigation would force military commanders to choose between doing without such contractors to aid core functions or subjecting the battlefield to tort regulation and the intrusion of civil suits. Cf. United States v. Stanley, 483 U.S. 669, 682-83 (1987). And as this Court recognized in adopting a categorical rule against Bivens claims in the military context, "[e]ven putting aside the risk of erroneous judicial conclusions (which would becloud military decisionmaking), the mere process of arriving at correct conclusions would disrupt the military regime." Id. at 683. Evaluating and weighing the degree of intrusion and interference, including whether case management tools sufficiently mitigate such risks, is for Congress, not the Judiciary. See id. at 682; Lebron v. Rumsfeld, 670 F.3d 540, 555 (4th Cir. 2012), cert. denied, 2012 WL 1425145 (June 11, 2012). Requiring district courts to make this assessment on a case-by-case basis, as would occur if the Court were to adopt the approach urged by the United States here, would usurp the role of Congress in making such determinations. 5. The separation-of-powers concerns implicated by such claims are of similar magnitude to the adverse consequences for U.S. foreign policy that respondents and the United States correctly identify in this case. Like foreign affairs, war powers are uniquely committed by the Constitution to the political branches. 3 This Court has long recognized that permitting tort claims in the context of U.S. military operations in the absence of guidance from Congress is problematic. Civil litigation arising out of U.S. military operations is inconsistent with military efficiency, Dow v. Johnson, 100 U.S. 158, 165 (1880); hampers battlefield operations, Johnson v. Eisentrager, 339 U.S. 763, 779 (1950); interferes with 3 See U.S. Const. art. II, § 2, cl. 1 (making President Commanderin-Chief); id. cl. 2 (authorizing President to make treaties with advice and consent of Senate); id. art. I, § 8, cl. 1 (authorizing Congress to "provide for the common Defence"); id. cl. 11 (authorizing Congress to "declare War"); id. cl. 12 (authorizing Congress to "raise and support Armies"); id. cl. 13 (authorizing Congress to "provide and maintain a Navy"); id. cl. 14 (authorizing Congress to regulate "the land and naval Forces"). Executive authority, Dep't of Navy v. Egan, 484 U.S. 518, 530 (1988); and fetters military discipline and command, Chappell v. Wallace, 462 U.S. 296, 304 (1983). Congress recognized as much in retaining the United States' sovereign immunity for "[a]ny claim arising out of the combatant activities of the military or naval forces . . . during time of war." 28 U.S.C. § 2680(j). And this Court, based on separation-of-powers concerns, has been appropriately reluctant to infer a cause of action in the military context because "congressionally uninvited intrusion into military affairs by the judiciary is inappropriate." Stanley, 483 U.S. at 683; see also Al Shimari, 679 F.3d at 225-48 (Wilkinson, J., dissenting). 7. Construing the ATS not to extend extraterritorially does not leave U.S. contractors supporting U.S. military operations abroad unregulated or victims of substantiated abuse uncompensated. Congress has passed comprehensive legislation dealing with the subject of war crimes, torture, and the conduct of U.S. citizens acting in connection with military activities abroad through the Military Commissions Act, 10 U.S.C. § 948a et seq., the federal criminal torture statute, 18 U.S.C. § 2340-2340A, the War Crimes Act, 18 U.S.C. § 2441, the 6. Consistent with such concerns, the United States previously argued that the ATS "is not intended as a vehicle for U.S. courts to judge the lawfulness of U.S. government actions abroad in defense of national security." U.S. Br. at 7, Alvarez-Machain v. Sosa, 266 F.3d 1045 (9th Cir. 2001) (No. 99-56880). The United States expressed concern that allowing ATS claims in the context of U.S. military operations might make attacks on al Qaeda facilities actionable. See id. at 14. Any remedies for such actions "are appropriately matters for resolution by the political branches, not the courts." Id. Foreign Claims Act, 10 U.S.C. § 2734, and the Uniform Code of Military Justice, 10 U.S.C. § 801 et seq. In doing so, Congress clearly has preferred criminal statutes and Executive-administered compensation over civil liability in the context of U.S. military operations abroad. For example, Congress enacted criminal statutes that apply to U.S. contractors accompanying military forces overseas. See, e.g., 18 U.S.C. §§ 2340A, 2441, 3261. And the Executive has not hesitated to use such authority to prosecute and punish U.S. contractors in appropriate cases. See United States v. Passaro, 577 F.3d 207 (4th Cir. 2009), cert. denied, 130 S. Ct. 1551 (2010); United States v. Ali, 71 M.J. 256 (C.A.A.F. 2012). Congress also has provided authority that the Executive has used to compensate detainees who establish legitimate claims for relief. See 10 U.S.C. § 2734; Saleh, 580 F.3d at 2-3. Congress has declined, however, to create a civil cause of action in connection with U.S. military operations. In the TVPA, Congress exempted American government officers and private persons supporting the U.S. government from suit by restricting the cause of action whereby U.S. residents could sue for torture to conduct in connection with foreign state action. See 28 U.S.C. § 1350 note (TVPA); Statement by President George [H.W.] Bush Upon Signing H.R. 2092, 1992 U.S.C.C.A.N. 91 (Mar. 12, 1992) ("I am signing the bill based on my understanding that the Act does not permit suits for alleged human rights violations in the context of United States military operations abroad . . . ."). In response to the Abu Ghraib incident, Congress extended the Uniform Code of Military Justice to cover military contractors; it did not enact a civil cause of action. See 10 U.S.C. § 802; Saleh, 580 F.3d at 13 n.9; Ali, 71 M.J. 256. It would be incongruous to construe the ATS as permitting recognition of a civil cause of action arising out of U.S. military operations overseas given Congress's frequent activity in the field and its choices to exclude U.S. military operations from the sweep of the TVPA and to opt for extending military criminal jurisdiction to contractors in lieu of creating a private cause of action. C. A Categorical Rule Against Extraterritorial Application Of The ATS Is Consistent With The Obligations Of The United States To The International Community The parties debate whether extraterritorial application of the ATS to the non-resident parties in this case is consistent with international law, while the United States argues for a case-by-case approach to allow for a case in which the defendant was located in the United States. See U.S. Supp. Br. 4 (discussing Filartiga v. Pena-Irala, 630 F.2d 876 (2d Cir. 1980)). To the extent that the position of the petitioners and the United States imply that the categorical rule advocated by respondents is inconsistent with international law, that position is incorrect. International law requires only that states criminally prosecute (or extradite) persons accused of extraterritorial torture (even when such conduct occurs beyond sovereign territory). See Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, art. 4, Dec. 10, 1984, 1465 U.N.T.S. 85. There is no obligation to provide a civil cause of action for such extraterritorial conduct. See id. arts. 13, 14. The United States has enacted criminal legislation to fulfill its international obligation in this regard. See 18 U.S.C. § 2340A. And, although it was not obligated to do so, Congress has gone further and supplied an express statutory cause of action for the conduct at issue in Filartiga in the Torture Victim Protection Act. Cf. Sosa v. Alvarez-Machain, 542 U.S. 692, 749 (2004) (Scalia, J., concurring in part and concurring in the judgment). Petitioners and their amici similarly argue that the Court should recognize a federal common-law cause of action whenever the circumstances of a particular case fall within the scope of Congress's legislative jurisdiction. The question is not whether Congress has authority to enforce laws beyond its territorial boundaries in particular circumstances, but whether "Congress has in fact exercised [its] authority" to do so. Aramco, 499 U.S. at 248. Petitioners' and their amici's arguments concerning the scope of Congress's prescriptive jurisdiction— and the extent to which universal jurisdiction may augment this authority—concern the former issue rather than the latter. Accordingly, these concepts cannot overcome the presumption against extraterritoriality or justify a case-by-case approach to jurisdiction under the ATS. Indeed, this Court has consistently applied the presumption categorically in circumstances in which Congress's legislative authority is clear. See, e.g., Morrison, 130 S. Ct. at 2875-76 (defendants included executives of a Florida-based mortgage servicing company); Aramco, 499 U.S. at 247 (defendants were "two Delaware corporations"); N.Y. Cent. R.R. v. Chisholm, 268 U.S. 29, 31 (1925). Regardless of whether international law prohibits extraterritorial application of the ATS under certain circumstances, as respondents and their amici argue, it is clear that international law does not require it under any circumstances and the ATS should be interpreted not to apply extraterritorially as a categorical matter. AUGUST 2012 CONCLUSION The judgment of the court of appeals should be affirmed. Respectfully submitted. ARI S. ZYMELMAN F. WHITTEN PETERS F. GREG BOWMAN WILLIAMS & CONNOLLY LLP 725 Twelfth Street, N.W. 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ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT BRIEF FOR ENGILITY CORPORATION AS AMICUS CURIAE SUPPORTING RESPONDENTS ARI S. ZYMELMAN Counsel of Record F. WHITTEN PETERS F. GREG BOWMAN WILLIAMS & CONNOLLY LLP 725 Twelfth Street, N.W. Washington, DC 20005 (202) 434-5000 [email protected] TABLE OF CONTENTS Page Page IV In the Supreme Court of the United States No. 10-1491 ESTHER KIOBEL, ET AL., PETITIONERS v. ROYAL DUTCH PETROLEUM CO., ET AL. ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT BRIEF FOR ENGILITY CORPORATION AS AMICUS CURIAE SUPPORTING RESPONDENTS INTEREST OF AMICUS CURIAE Engility Corporation is a United States-based publicly held corporation with extensive worldwide operations. 1 Engility provides government services in engineering, professional support, and mission support to the Department of Defense and other agencies of the American 1 Written consents from both parties to the filing of amicus briefs in support of either party are on file with the Clerk. No counsel for any party authored this brief in whole or in part, and no person or entity other than amicus curiae or its counsel contributed money to the preparation or submission of this brief. government, as well its allies. 2 Engility is committed to conducting its business in a lawful and responsible manner in compliance with international law and with respect for human rights. Nevertheless, Engility has been subject to numerous claims arising in foreign sovereign territory brought under the Alien Tort Statute (ATS), 28 U.S.C. § 1350, including claims brought by battlefield detainees based upon Engility's provision of linguists and interrogators to the U.S. military—claims that well illustrate the difficulties raised by extraterritorial ATS claims. See, e.g., Al Shimari v. CACI Int'l, Inc., 679 F.3d 205 (4th Cir. 2012) (en banc); Saleh v. Titan Corp., 580 F.3d 1 (D.C. Cir. 2009), cert. denied, 131 S. Ct. 3055 (2011). News media publication in 2004 of pictures depicting apparent abuse of Iraqis detained by the U.S. military at Abu Ghraib prompted civil suits by hundreds of Iraqis detained by the U.S. military across Iraq during a period spanning more than five years. Plaintiffs alleged that contractors aided and abetted or conspired with military personnel to mistreat them in violation of state law and international law. In the first set of such cases, after 21 depositions of contractor and military personnel, the D.C. Circuit properly rejected common law torts, including claims under the ATS, as an appropriate means of regulating such battlefield conduct. See Saleh, 580 F.3d at 2-16. In May and June of 2008, a second wave of actions was filed by scores of former Iraqi detainees. Two district courts within the Fourth Circuit declined to follow 2 Engility, formerly L-3 Services, Inc., was spun off from L-3 Communications in July 2012. the D.C. Circuit's decision in Saleh. In Al-Quraishi v. Nakhla, for example, the district court refused to dismiss any claims because defendants were not soldiers and discovery would be required to rule on the defenses asserted. 728 F. Supp. 2d 702 (D. Md. 2010). A panel of the Fourth Circuit adopted the rationale of the D.C. Circuit and ordered all claims dismissed, Al-Quraishi v. L-3 Services, Inc., 657 F.3d 201 (4th Cir. 2011), but the en banc court dismissed the appeal for lack of interlocutory appellate jurisdiction and remanded to the district court for discovery and trial, Al Shimari, 679 F.3d 205. Engility therefore has a strong interest in the proper interpretation of the ATS and in particular clarifying whether it applies extraterritorially. If the Court adopts the extraterritorial application urged by petitioners and their amici here, ATS claims against American companies providing services in support of U.S. military operations abroad, like those asserted against Engility in Al-Quraishi and Saleh, would be allowed to proceed. Even the qualified approach of the United States would leave open the question of whether the ATS applies to the conduct of U.S. companies in support of U.S. military operations abroad. These claims implicate serious separation-of-powers concerns and may lead to intrusive discovery against contractors and the military. SUMMARY OF ARGUMENT This Court should affirm the judgment below and hold that the ATS does not allow courts to recognize a cause of action for violations of the law of nations occurring within the territory of a sovereign other than the United States. In the alternative, the Court should affirm on the ground that corporations are not subject to ATS claims for the reasons previously set forth by respondents and by the Second Circuit in the decision below. It is well established that when a statute gives no clear indication that Congress intended it to have extraterritorial reach, it has none. Petitioners and their amici attempt to locate such a clear indication in the text and history of the ATS, but these sources are at best inconclusive and fall well short of providing the clear indication necessary to overcome the presumption against extraterritoriality. The United States agrees with respondents that the Court should not recognize the extraterritorial ATS claims asserted here, but urges a case-by-case approach. That approach is at odds with its position in several previous cases in this Court and the lower courts, and conflicts with this Court's analysis of the extraterritorial reach of other statutes. The parties and the United States focus their analysis on whether such claims would entail adverse consequences for U.S. foreign policy where the defendants are not present in the United States. Extraterritorial ATS claims, however, may also raise other concerns of similar magnitude, as demonstrated by ongoing efforts to use the ATS against American corporations as a vehicle to challenge U.S. military operations abroad. Those claims raise serious separation-of-powers concerns—concerns that provide an additional reason why this Court should avoid a construction of the ATS that recognizes extraterritorial claims absent a clear indication to the contrary from Congress. Indeed, the United States has in the past argued that the ATS should not be construed as extending to such matters. This Court should adopt a categorical rule against extraterritorial application of the ATS. Such an approach would allow Congress the opportunity to clarify its intent before the Judiciary is thrust into the forefront of foreign affairs and required to confront difficult separation-of-powers issues underlying ATS claims in the context of U.S. military operations abroad. ARGUMENT THE COURT SHOULD RULE CATEGORICALLY THAT THE ATS DOES NOT ALLOW COURTS TO RECOGNIZE CAUSES OF ACTION BASED ON CONDUCT OCCURRING IN TERRITORY OF FOREIGN SOVEREIGNS A. The Presumption Against Extraterritoriality Applies Categorically In All Circumstances 1. It is a "longstanding principle of American law 'that legislation of Congress, unless a contrary intent appears, is meant to apply only within the territorial jurisdiction of the United States.'" EEOC v. Arabian Am. Oil Co., 499 U.S. 244, 248 (1991) (Aramco) (quoting Foley Bros., Inc. v. Filardo, 336 U.S. 281, 285 (1949)). Unless there is "the affirmative intention of the Congress clearly expressed" to give a statute extraterritorial effect, the Court "must presume it is primarily concerned with domestic conditions." Id. (internal quotation marks omitted). In addition, absent a clear indication of congressional intent, statutes should be construed so that constitutional issues are not "needlessly confronted." Edward J. DeBartolo Corp. v. Fla. Gulf Coast Bldg. & Constr. Trades Council, 485 U.S. 568, 575 (1988). These cannons of statutory construction apply with particular force where military affairs are implicated. See Sale v. Haitian Ctrs. Council, Inc., 509 U.S. 155, 188 (1993). This Court has consistently applied the presumption against extraterritorial application categorically to "all cases," Morrison v. Nat'l Austl. Bank Ltd., 130 S. Ct. 2869, 2881 (2010)—not to particular "circumstances," as 6 the United States argues, see U.S. Supp. Br. 2. Courts are not to attempt to divine "what Congress would have wanted if it had thought of the situation before the court." Morrison, 130 S. Ct. at 2881. And for good reason. If the courts were to "guess anew" in each case what Congress intended, the presumption would fail to preserve "a stable background against which Congress can legislate with predictable effects." Id. It also would require lower courts to determine the effect of each case on foreign affairs and confront difficult separation-ofpowers issues without a clear mandate from Congress or any indication of how Congress would resolve such questions. Moreover, this Court has observed in the past that the complexities of diplomatic relations might prevent the United States from expressing its views on such issues "at a moment that would be dictated by the development of private litigation but might be inopportune diplomatically." Banco Nacional de Cuba v. Sabbatino, 376 U.S. 398, 436 (1964). In circumstances where this is the case, the Judiciary would be left to make such difficult judgments without meaningful input from the Executive. 2. Contrary to the position it takes here, the United States previously argued that the Court should take a categorical approach and deny extraterritorial application to the ATS in all circumstances. While the United States has changed its conclusion, it has not disavowed or refuted the reasons that supported its advocacy of a categorical rule. In particular, the United States correctly recognized that case-specific deference to the Executive Branch would not sufficiently alleviate the ATS's potential adverse impact on foreign affairs. See U.S. Br. at 21, Am. Isuzu Motors, Inc. v. Ntsebeza, 553 U.S. 1028 (2008) (No. 07-919). The lack of a clear rule against extraterritorial application would predictably discourage "U.S. and foreign corporations from investing in precisely the areas of the world where economic development may have the most positive impact on economic and political conditions." U.S. Br. at 44-45, Sosa v. Alvarez-Machain, 542 U.S. 692 (2004) (No. 03-339); see also U.S. Br. at 21-22, Am. Isuzu Motors, supra (explaining "case-by-case approach could complicate the Nation's foreign relations still further and exacerbate the . . . deterrent effect on international trade and investment"). This would reduce the effectiveness of certain foreign policy tools available to the United States. See id. The United States has not addressed these arguments here much less refuted them, and its previous rationale remains valid and undermines the persuasiveness of its current position. Cf. Zschernig v. Miller, 389 U.S. 429, 443 (1968) (Stewart, J., concurring). B. Extraterritorial ATS Claims Are An Inappropriate Vehicle For U.S. Courts To Adjudicate Claims Arising In The Military Context Without Clear Congressional Direction Extraterritorial ATS claims raise important and difficult issues beyond the adverse consequences for U.S. foreign policy upon which the parties and the United States focus. Ongoing efforts to use the ATS against American corporations as a vehicle to challenge U.S. military operations abroad are one such example. The separation-of-powers concerns implicated by such claims provide an additional reason this Court should not construe the ATS to recognize extraterritorial claims absent a clear indication to the contrary from Congress. 1. Aliens have used the ATS as a vehicle for bringing human-rights lawsuits against foreign multinational corporations in U.S. courts. These cases often allege corporate complicity in human-rights abuses allegedly committed by foreign government officials against foreign citizens in foreign countries. Because this case involves such facts, the parties focus their arguments on these circumstances and the serious foreign-policy implications of such suits. Regardless of the citizenship of the parties, however, cases involving extraterritorial ATS claims repeatedly raise additional difficult questions of constitutional and international law. These questions include, for example, whether and to what extent U.S. courts are empowered to: (a) export rules of decision for cases arising in sovereign territory of other nations, (b) sit in judgment of acts undertaken on behalf of a foreign sovereign in its own territory, and (c) fashion common-law causes of action for claims brought by those against whom U.S. military force has been directed upon foreign battlefields. 2. The difficulties presented by extraterritorial ATS claims are well illustrated by Saleh and Al-Quraishi, supra. These cases involve claims brought by Iraqi detainees of the U.S. military against contractors who were called upon by the U.S. military to address shortfalls in the military ranks. Such contractor personnel were integrated into the military chain of command, supervised by military personnel, and essential to the military mission. See Saleh, 580 F.3d at 2; see also Allegations of Mistreatment of Iraqi Prisoners: Hearing Before the U.S. Senate Committee on Armed Services, 108th Congress 22-24, 42-45 (May 7, 2004); The Department of the Army Inspector General Report on Detention Operation Doctrine and Training: Hearing Before the U.S. Senate Committee on Armed Services, 108th Congress 675, 1020-23 (July 22, 2004). The government conducted extensive investigations into the allegations of abuse, resulting in the courtmartial of eleven soldiers. See Ibrahim v. Titan Corp., 391 F. Supp. 2d 10, 16 (D.D.C. 2005), aff'd in part, Saleh, supra. No contractor employees were criminally charged, though some were investigated, and the government did not pursue available contractual remedies against the contractors. See Saleh, 580 F.3d at 2. In Saleh, the district court ordered discovery into the nature and extent of the military's supervision of the contract employees. This discovery included 21 depositions of contractor and military personnel. In light of the criminal jurisdiction and administrative remedies available, the potential interference with U.S. military operations, and Congress's apparently purposeful failure to provide a civil cause of action, the D.C. Circuit ordered all claims dismissed. It held that "where a private service contractor is integrated into combatant activities over which the military retains command authority," id. at 9, "all of the traditional rationales for tort law— deterrence of risk-taking behavior, compensation of victims, and punishment of tortfeasors—are singularly out of place," id. at 7. The Solicitor General opposed certiorari, noting that "[t]he United States has at its disposal a variety of tools, enhanced in the wake of events at Abu Ghraib, to punish the perpetrators of acts of torture, to prevent acts of abuse and mistreatment, and to compensate individuals who were subject to abusive treatment while detained by the United States military." U.S. Br. (May 27, 2011) at 8, Saleh v. Titan Corp., 131 S. Ct. 3055 (2011) (No. 091313). This Court denied certiorari. 131 S. Ct. 3055 (2011). 3. Two district courts in the Fourth Circuit subsequently declined to follow the D.C. Circuit's rationale, and the en banc Fourth Circuit held that it lacked interlocutory appellate jurisdiction to review the district courts' orders. See Al Shimari, 679 F.3d 205. Those cases—Al Shimari and Al-Quraishi—have been remanded for discovery and trial, which will be expensive and burdensome for the parties and the military. Al-Quraishi in particular is illustrative of the expense and burden of discovery in such cases. See 728 F. Supp. 2d 702. The 72 plaintiffs were detained at 26 different detention facilities across Iraq during a period spanning more than five years. The plaintiffs and defendants' employees in these facilities interacted with scores of military personnel and personnel from intelligence agencies (including the CIA according to plaintiffs' allegations that some were held as "ghost" detainees) whose testimony will be sought by both sides. Military policies and the actions of military and intelligence personnel will be central to the litigation. Discovery will include requests to produce voluminous sensitive documents such as interrogation and detention policies, records of detainee status board hearings, medical records, interrogation plans, interrogation logs, and recordings of interrogations. Should these cases proceed under the framework embodied by the district courts' decisions, the government will face the prospect of high-ranking officials being subject to discovery and ultimately summoned to court. To fully explore whether U.S. contractors committed violations of international law in support of U.S. military operations, discovery would include subpoenas, numerous requests to produce, Rule 30(b)(6) depositions of document custodians at various intelligence and defense agencies, and lengthy and probing depositions of high-ranking government officials with national security clearances and personal knowledge of some of the Nation's most sensitive information. This would distract the affected officials from their normal defense- and intelligence-related duties. A trial on the merits would be a spectacle with Iraqi detainees summoning America's present and former military leaders to a federal courthouse to answer their charges and putting U.S. military operations on trial. This massive litigation would have been authorized not by a congressionally established statutory cause of action, but under implied federal common law pursuant to the ATS, passed in 1789 in response to ambassadorial assaults committed in the territorial United States. 4. A case-by-case approach to extraterritorial jurisdiction would allow lower courts to permit cases like AlQuraishi and Saleh to go forward, which would distract the military and burden its personnel, increase the cost of contracting for such critical battlefield support, and chill contractors from providing battlefield services. These concerns are heightened for ATS claims because its prolonged statute of limitations results in a lingering threat of litigation. This continued threat of such litigation would force military commanders to choose between doing without such contractors to aid core functions or subjecting the battlefield to tort regulation and the intrusion of civil suits. Cf. United States v. Stanley, 483 U.S. 669, 682-83 (1987). And as this Court recognized in adopting a categorical rule against Bivens claims in the military context, "[e]ven putting aside the risk of erroneous judicial conclusions (which would becloud military decisionmaking), the mere process of arriving at correct conclusions would disrupt the military regime." Id. at 683. Evaluating and weighing the degree of intrusion and interference, including whether case management tools sufficiently mitigate such risks, is for Congress, not the Judiciary. See id. at 682; Lebron v. Rumsfeld, 670 F.3d 540, 555 (4th Cir. 2012), cert. denied, 2012 WL 1425145 (June 11, 2012). Requiring district courts to make this assessment on a case-by-case basis, as would occur if the Court were to adopt the approach urged by the United States here, would usurp the role of Congress in making such determinations. 5. The separation-of-powers concerns implicated by such claims are of similar magnitude to the adverse consequences for U.S. foreign policy that respondents and the United States correctly identify in this case. Like foreign affairs, war powers are uniquely committed by the Constitution to the political branches. 3 This Court has long recognized that permitting tort claims in the context of U.S. military operations in the absence of guidance from Congress is problematic. Civil litigation arising out of U.S. military operations is inconsistent with military efficiency, Dow v. Johnson, 100 U.S. 158, 165 (1880); hampers battlefield operations, Johnson v. Eisentrager, 339 U.S. 763, 779 (1950); interferes with 3 See U.S. Const. art. II, § 2, cl. 1 (making President Commanderin-Chief); id. cl. 2 (authorizing President to make treaties with advice and consent of Senate); id. art. I, § 8, cl. 1 (authorizing Congress to "provide for the common Defence"); id. cl. 11 (authorizing Congress to "declare War"); id. cl. 12 (authorizing Congress to "raise and support Armies"); id. cl. 13 (authorizing Congress to "provide and maintain a Navy"); id. cl. 14 (authorizing Congress to regulate "the land and naval Forces"). Executive authority, Dep't of Navy v. Egan, 484 U.S. 518, 530 (1988); and fetters military discipline and command, Chappell v. Wallace, 462 U.S. 296, 304 (1983). Congress recognized as much in retaining the United States' sovereign immunity for "[a]ny claim arising out of the combatant activities of the military or naval forces . . . during time of war." 28 U.S.C. § 2680(j). And this Court, based on separation-of-powers concerns, has been appropriately reluctant to infer a cause of action in the military context because "congressionally uninvited intrusion into military affairs by the judiciary is inappropriate." Stanley, 483 U.S. at 683; see also Al Shimari, 679 F.3d at 225-48 (Wilkinson, J., dissenting). 7. Construing the ATS not to extend extraterritorially does not leave U.S. contractors supporting U.S. military operations abroad unregulated or victims of substantiated abuse uncompensated. Congress has passed comprehensive legislation dealing with the subject of war crimes, torture, and the conduct of U.S. citizens acting in connection with military activities abroad through the Military Commissions Act, 10 U.S.C. § 948a et seq., the federal criminal torture statute, 18 U.S.C. § 2340-2340A, the War Crimes Act, 18 U.S.C. § 2441, the 6. Consistent with such concerns, the United States previously argued that the ATS "is not intended as a vehicle for U.S. courts to judge the lawfulness of U.S. government actions abroad in defense of national security." U.S. Br. at 7, Alvarez-Machain v. Sosa, 266 F.3d 1045 (9th Cir. 2001) (No. 99-56880). The United States expressed concern that allowing ATS claims in the context of U.S. military operations might make attacks on al Qaeda facilities actionable. See id. at 14. Any remedies for such actions "are appropriately matters for resolution by the political branches, not the courts." Id. Foreign Claims Act, 10 U.S.C. § 2734, and the Uniform Code of Military Justice, 10 U.S.C. § 801 et seq. In doing so, Congress clearly has preferred criminal statutes and Executive-administered compensation over civil liability in the context of U.S. military operations abroad. For example, Congress enacted criminal statutes that apply to U.S. contractors accompanying military forces overseas. See, e.g., 18 U.S.C. §§ 2340A, 2441, 3261. And the Executive has not hesitated to use such authority to prosecute and punish U.S. contractors in appropriate cases. See United States v. Passaro, 577 F.3d 207 (4th Cir. 2009), cert. denied, 130 S. Ct. 1551 (2010); United States v. Ali, 71 M.J. 256 (C.A.A.F. 2012). Congress also has provided authority that the Executive has used to compensate detainees who establish legitimate claims for relief. See 10 U.S.C. § 2734; Saleh, 580 F.3d at 2-3. Congress has declined, however, to create a civil cause of action in connection with U.S. military operations. In the TVPA, Congress exempted American government officers and private persons supporting the U.S. government from suit by restricting the cause of action whereby U.S. residents could sue for torture to conduct in connection with foreign state action. See 28 U.S.C. § 1350 note (TVPA); Statement by President George [H.W.] Bush Upon Signing H.R. 2092, 1992 U.S.C.C.A.N. 91 (Mar. 12, 1992) ("I am signing the bill based on my understanding that the Act does not permit suits for alleged human rights violations in the context of United States military operations abroad . . . ."). In response to the Abu Ghraib incident, Congress extended the Uniform Code of Military Justice to cover military contractors; it did not enact a civil cause of action. See 10 U.S.C. § 802; Saleh, 580 F.3d at 13 n.9; Ali, 71 M.J. 256. It would be incongruous to construe the ATS as permitting recognition of a civil cause of action arising out of U.S. military operations overseas given Congress's frequent activity in the field and its choices to exclude U.S. military operations from the sweep of the TVPA and to opt for extending military criminal jurisdiction to contractors in lieu of creating a private cause of action. C. A Categorical Rule Against Extraterritorial Application Of The ATS Is Consistent With The Obligations Of The United States To The International Community The parties debate whether extraterritorial application of the ATS to the non-resident parties in this case is consistent with international law, while the United States argues for a case-by-case approach to allow for a case in which the defendant was located in the United States. See U.S. Supp. Br. 4 (discussing Filartiga v. Pena-Irala, 630 F.2d 876 (2d Cir. 1980)). To the extent that the position of the petitioners and the United States imply that the categorical rule advocated by respondents is inconsistent with international law, that position is incorrect. International law requires only that states criminally prosecute (or extradite) persons accused of extraterritorial torture (even when such conduct occurs beyond sovereign territory). See Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, art. 4, Dec. 10, 1984, 1465 U.N.T.S. 85. There is no obligation to provide a civil cause of action for such extraterritorial conduct. See id. arts. 13, 14. The United States has enacted criminal legislation to fulfill its international obligation in this regard. See 18 U.S.C. § 2340A. And, although it was not obligated to do so, Congress has gone further and supplied an express statutory cause of action for the conduct at issue in Filartiga in the Torture Victim Protection Act. Cf. Sosa v. Alvarez-Machain, 542 U.S. 692, 749 (2004) (Scalia, J., concurring in part and concurring in the judgment). Petitioners and their amici similarly argue that the Court should recognize a federal common-law cause of action whenever the circumstances of a particular case fall within the scope of Congress's legislative jurisdiction. The question is not whether Congress has authority to enforce laws beyond its territorial boundaries in particular circumstances, but whether "Congress has in fact exercised [its] authority" to do so. Aramco, 499 U.S. at 248. Petitioners' and their amici's arguments concerning the scope of Congress's prescriptive jurisdiction— and the extent to which universal jurisdiction may augment this authority—concern the former issue rather than the latter. Accordingly, these concepts cannot overcome the presumption against extraterritoriality or justify a case-by-case approach to jurisdiction under the ATS. Indeed, this Court has consistently applie	d the presumption categorically in circumstances in which Congress's legislative authority is clear.		27,477	inside_word	applied	remove_all	<url> https://harvardhumanrights.files.wordpress.com/2012/08/engilitycorpinsupportofrespondents.pdf </url> <text> In the Supreme Court of the United States ESTHER KIOBEL, ET AL., PETITIONERS v. R OYAL D UTCH P ETROLEUM C O ., ET AL. ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT BRIEF FOR ENGILITY CORPORATION AS AMICUS CURIAE SUPPORTING RESPONDENTS ARI S. ZYMELMAN Counsel of Record F. WHITTEN PETERS F. GREG BOWMAN WILLIAMS & CONNOLLY LLP 725 Twelfth Street, N.W. Washington, DC 20005 (202) 434-5000 [email protected] TABLE OF CONTENTS Page Page IV In the Supreme Court of the United States No. 10-1491 ESTHER KIOBEL, ET AL., PETITIONERS v. ROYAL DUTCH PETROLEUM CO., ET AL. ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT BRIEF FOR ENGILITY CORPORATION AS AMICUS CURIAE SUPPORTING RESPONDENTS INTEREST OF AMICUS CURIAE Engility Corporation is a United States-based publicly held corporation with extensive worldwide operations. 1 Engility provides government services in engineering, professional support, and mission support to the Department of Defense and other agencies of the American 1 Written consents from both parties to the filing of amicus briefs in support of either party are on file with the Clerk. No counsel for any party authored this brief in whole or in part, and no person or entity other than amicus curiae or its counsel contributed money to the preparation or submission of this brief. government, as well its allies. 2 Engility is committed to conducting its business in a lawful and responsible manner in compliance with international law and with respect for human rights. Nevertheless, Engility has been subject to numerous claims arising in foreign sovereign territory brought under the Alien Tort Statute (ATS), 28 U.S.C. § 1350, including claims brought by battlefield detainees based upon Engility's provision of linguists and interrogators to the U.S. military—claims that well illustrate the difficulties raised by extraterritorial ATS claims. See, e.g., Al Shimari v. CACI Int'l, Inc., 679 F.3d 205 (4th Cir. 2012) (en banc); Saleh v. Titan Corp., 580 F.3d 1 (D.C. Cir. 2009), cert. denied, 131 S. Ct. 3055 (2011). News media publication in 2004 of pictures depicting apparent abuse of Iraqis detained by the U.S. military at Abu Ghraib prompted civil suits by hundreds of Iraqis detained by the U.S. military across Iraq during a period spanning more than five years. Plaintiffs alleged that contractors aided and abetted or conspired with military personnel to mistreat them in violation of state law and international law. In the first set of such cases, after 21 depositions of contractor and military personnel, the D.C. Circuit properly rejected common law torts, including claims under the ATS, as an appropriate means of regulating such battlefield conduct. See Saleh, 580 F.3d at 2-16. In May and June of 2008, a second wave of actions was filed by scores of former Iraqi detainees. Two district courts within the Fourth Circuit declined to follow 2 Engility, formerly L-3 Services, Inc., was spun off from L-3 Communications in July 2012. the D.C. Circuit's decision in Saleh. In Al-Quraishi v. Nakhla, for example, the district court refused to dismiss any claims because defendants were not soldiers and discovery would be required to rule on the defenses asserted. 728 F. Supp. 2d 702 (D. Md. 2010). A panel of the Fourth Circuit adopted the rationale of the D.C. Circuit and ordered all claims dismissed, Al-Quraishi v. L-3 Services, Inc., 657 F.3d 201 (4th Cir. 2011), but the en banc court dismissed the appeal for lack of interlocutory appellate jurisdiction and remanded to the district court for discovery and trial, Al Shimari, 679 F.3d 205. Engility therefore has a strong interest in the proper interpretation of the ATS and in particular clarifying whether it applies extraterritorially. If the Court adopts the extraterritorial application urged by petitioners and their amici here, ATS claims against American companies providing services in support of U.S. military operations abroad, like those asserted against Engility in Al-Quraishi and Saleh, would be allowed to proceed. Even the qualified approach of the United States would leave open the question of whether the ATS applies to the conduct of U.S. companies in support of U.S. military operations abroad. These claims implicate serious separation-of-powers concerns and may lead to intrusive discovery against contractors and the military. SUMMARY OF ARGUMENT This Court should affirm the judgment below and hold that the ATS does not allow courts to recognize a cause of action for violations of the law of nations occurring within the territory of a sovereign other than the United States. In the alternative, the Court should affirm on the ground that corporations are not subject to ATS claims for the reasons previously set forth by respondents and by the Second Circuit in the decision below. It is well established that when a statute gives no clear indication that Congress intended it to have extraterritorial reach, it has none. Petitioners and their amici attempt to locate such a clear indication in the text and history of the ATS, but these sources are at best inconclusive and fall well short of providing the clear indication necessary to overcome the presumption against extraterritoriality. The United States agrees with respondents that the Court should not recognize the extraterritorial ATS claims asserted here, but urges a case-by-case approach. That approach is at odds with its position in several previous cases in this Court and the lower courts, and conflicts with this Court's analysis of the extraterritorial reach of other statutes. The parties and the United States focus their analysis on whether such claims would entail adverse consequences for U.S. foreign policy where the defendants are not present in the United States. Extraterritorial ATS claims, however, may also raise other concerns of similar magnitude, as demonstrated by ongoing efforts to use the ATS against American corporations as a vehicle to challenge U.S. military operations abroad. Those claims raise serious separation-of-powers concerns—concerns that provide an additional reason why this Court should avoid a construction of the ATS that recognizes extraterritorial claims absent a clear indication to the contrary from Congress. Indeed, the United States has in the past argued that the ATS should not be construed as extending to such matters. This Court should adopt a categorical rule against extraterritorial application of the ATS. Such an approach would allow Congress the opportunity to clarify its intent before the Judiciary is thrust into the forefront of foreign affairs and required to confront difficult separation-of-powers issues underlying ATS claims in the context of U.S. military operations abroad. ARGUMENT THE COURT SHOULD RULE CATEGORICALLY THAT THE ATS DOES NOT ALLOW COURTS TO RECOGNIZE CAUSES OF ACTION BASED ON CONDUCT OCCURRING IN TERRITORY OF FOREIGN SOVEREIGNS A. The Presumption Against Extraterritoriality Applies Categorically In All Circumstances 1. It is a "longstanding principle of American law 'that legislation of Congress, unless a contrary intent appears, is meant to apply only within the territorial jurisdiction of the United States.'" EEOC v. Arabian Am. Oil Co., 499 U.S. 244, 248 (1991) (Aramco) (quoting Foley Bros., Inc. v. Filardo, 336 U.S. 281, 285 (1949)). Unless there is "the affirmative intention of the Congress clearly expressed" to give a statute extraterritorial effect, the Court "must presume it is primarily concerned with domestic conditions." Id. (internal quotation marks omitted). In addition, absent a clear indication of congressional intent, statutes should be construed so that constitutional issues are not "needlessly confronted." Edward J. DeBartolo Corp. v. Fla. Gulf Coast Bldg. & Constr. Trades Council, 485 U.S. 568, 575 (1988). These cannons of statutory construction apply with particular force where military affairs are implicated. See Sale v. Haitian Ctrs. Council, Inc., 509 U.S. 155, 188 (1993). This Court has consistently applied the presumption against extraterritorial application categorically to "all cases," Morrison v. Nat'l Austl. Bank Ltd., 130 S. Ct. 2869, 2881 (2010)—not to particular "circumstances," as 6 the United States argues, see U.S. Supp. Br. 2. Courts are not to attempt to divine "what Congress would have wanted if it had thought of the situation before the court." Morrison, 130 S. Ct. at 2881. And for good reason. If the courts were to "guess anew" in each case what Congress intended, the presumption would fail to preserve "a stable background against which Congress can legislate with predictable effects." Id. It also would require lower courts to determine the effect of each case on foreign affairs and confront difficult separation-ofpowers issues without a clear mandate from Congress or any indication of how Congress would resolve such questions. Moreover, this Court has observed in the past that the complexities of diplomatic relations might prevent the United States from expressing its views on such issues "at a moment that would be dictated by the development of private litigation but might be inopportune diplomatically." Banco Nacional de Cuba v. Sabbatino, 376 U.S. 398, 436 (1964). In circumstances where this is the case, the Judiciary would be left to make such difficult judgments without meaningful input from the Executive. 2. Contrary to the position it takes here, the United States previously argued that the Court should take a categorical approach and deny extraterritorial application to the ATS in all circumstances. While the United States has changed its conclusion, it has not disavowed or refuted the reasons that supported its advocacy of a categorical rule. In particular, the United States correctly recognized that case-specific deference to the Executive Branch would not sufficiently alleviate the ATS's potential adverse impact on foreign affairs. See U.S. Br. at 21, Am. Isuzu Motors, Inc. v. Ntsebeza, 553 U.S. 1028 (2008) (No. 07-919). The lack of a clear rule against extraterritorial application would predictably discourage "U.S. and foreign corporations from investing in precisely the areas of the world where economic development may have the most positive impact on economic and political conditions." U.S. Br. at 44-45, Sosa v. Alvarez-Machain, 542 U.S. 692 (2004) (No. 03-339); see also U.S. Br. at 21-22, Am. Isuzu Motors, supra (explaining "case-by-case approach could complicate the Nation's foreign relations still further and exacerbate the . . . deterrent effect on international trade and investment"). This would reduce the effectiveness of certain foreign policy tools available to the United States. See id. The United States has not addressed these arguments here much less refuted them, and its previous rationale remains valid and undermines the persuasiveness of its current position. Cf. Zschernig v. Miller, 389 U.S. 429, 443 (1968) (Stewart, J., concurring). B. Extraterritorial ATS Claims Are An Inappropriate Vehicle For U.S. Courts To Adjudicate Claims Arising In The Military Context Without Clear Congressional Direction Extraterritorial ATS claims raise important and difficult issues beyond the adverse consequences for U.S. foreign policy upon which the parties and the United States focus. Ongoing efforts to use the ATS against American corporations as a vehicle to challenge U.S. military operations abroad are one such example. The separation-of-powers concerns implicated by such claims provide an additional reason this Court should not construe the ATS to recognize extraterritorial claims absent a clear indication to the contrary from Congress. 1. Aliens have used the ATS as a vehicle for bringing human-rights lawsuits against foreign multinational corporations in U.S. courts. These cases often allege corporate complicity in human-rights abuses allegedly committed by foreign government officials against foreign citizens in foreign countries. Because this case involves such facts, the parties focus their arguments on these circumstances and the serious foreign-policy implications of such suits. Regardless of the citizenship of the parties, however, cases involving extraterritorial ATS claims repeatedly raise additional difficult questions of constitutional and international law. These questions include, for example, whether and to what extent U.S. courts are empowered to: (a) export rules of decision for cases arising in sovereign territory of other nations, (b) sit in judgment of acts undertaken on behalf of a foreign sovereign in its own territory, and (c) fashion common-law causes of action for claims brought by those against whom U.S. military force has been directed upon foreign battlefields. 2. The difficulties presented by extraterritorial ATS claims are well illustrated by Saleh and Al-Quraishi, supra. These cases involve claims brought by Iraqi detainees of the U.S. military against contractors who were called upon by the U.S. military to address shortfalls in the military ranks. Such contractor personnel were integrated into the military chain of command, supervised by military personnel, and essential to the military mission. See Saleh, 580 F.3d at 2; see also Allegations of Mistreatment of Iraqi Prisoners: Hearing Before the U.S. Senate Committee on Armed Services, 108th Congress 22-24, 42-45 (May 7, 2004); The Department of the Army Inspector General Report on Detention Operation Doctrine and Training: Hearing Before the U.S. Senate Committee on Armed Services, 108th Congress 675, 1020-23 (July 22, 2004). The government conducted extensive investigations into the allegations of abuse, resulting in the courtmartial of eleven soldiers. See Ibrahim v. Titan Corp., 391 F. Supp. 2d 10, 16 (D.D.C. 2005), aff'd in part, Saleh, supra. No contractor employees were criminally charged, though some were investigated, and the government did not pursue available contractual remedies against the contractors. See Saleh, 580 F.3d at 2. In Saleh, the district court ordered discovery into the nature and extent of the military's supervision of the contract employees. This discovery included 21 depositions of contractor and military personnel. In light of the criminal jurisdiction and administrative remedies available, the potential interference with U.S. military operations, and Congress's apparently purposeful failure to provide a civil cause of action, the D.C. Circuit ordered all claims dismissed. It held that "where a private service contractor is integrated into combatant activities over which the military retains command authority," id. at 9, "all of the traditional rationales for tort law— deterrence of risk-taking behavior, compensation of victims, and punishment of tortfeasors—are singularly out of place," id. at 7. The Solicitor General opposed certiorari, noting that "[t]he United States has at its disposal a variety of tools, enhanced in the wake of events at Abu Ghraib, to punish the perpetrators of acts of torture, to prevent acts of abuse and mistreatment, and to compensate individuals who were subject to abusive treatment while detained by the United States military." U.S. Br. (May 27, 2011) at 8, Saleh v. Titan Corp., 131 S. Ct. 3055 (2011) (No. 091313). This Court denied certiorari. 131 S. Ct. 3055 (2011). 3. Two district courts in the Fourth Circuit subsequently declined to follow the D.C. Circuit's rationale, and the en banc Fourth Circuit held that it lacked interlocutory appellate jurisdiction to review the district courts' orders. See Al Shimari, 679 F.3d 205. Those cases—Al Shimari and Al-Quraishi—have been remanded for discovery and trial, which will be expensive and burdensome for the parties and the military. Al-Quraishi in particular is illustrative of the expense and burden of discovery in such cases. See 728 F. Supp. 2d 702. The 72 plaintiffs were detained at 26 different detention facilities across Iraq during a period spanning more than five years. The plaintiffs and defendants' employees in these facilities interacted with scores of military personnel and personnel from intelligence agencies (including the CIA according to plaintiffs' allegations that some were held as "ghost" detainees) whose testimony will be sought by both sides. Military policies and the actions of military and intelligence personnel will be central to the litigation. Discovery will include requests to produce voluminous sensitive documents such as interrogation and detention policies, records of detainee status board hearings, medical records, interrogation plans, interrogation logs, and recordings of interrogations. Should these cases proceed under the framework embodied by the district courts' decisions, the government will face the prospect of high-ranking officials being subject to discovery and ultimately summoned to court. To fully explore whether U.S. contractors committed violations of international law in support of U.S. military operations, discovery would include subpoenas, numerous requests to produce, Rule 30(b)(6) depositions of document custodians at various intelligence and defense agencies, and lengthy and probing depositions of high-ranking government officials with national security clearances and personal knowledge of some of the Nation's most sensitive information. This would distract the affected officials from their normal defense- and intelligence-related duties. A trial on the merits would be a spectacle with Iraqi detainees summoning America's present and former military leaders to a federal courthouse to answer their charges and putting U.S. military operations on trial. This massive litigation would have been authorized not by a congressionally established statutory cause of action, but under implied federal common law pursuant to the ATS, passed in 1789 in response to ambassadorial assaults committed in the territorial United States. 4. A case-by-case approach to extraterritorial jurisdiction would allow lower courts to permit cases like AlQuraishi and Saleh to go forward, which would distract the military and burden its personnel, increase the cost of contracting for such critical battlefield support, and chill contractors from providing battlefield services. These concerns are heightened for ATS claims because its prolonged statute of limitations results in a lingering threat of litigation. This continued threat of such litigation would force military commanders to choose between doing without such contractors to aid core functions or subjecting the battlefield to tort regulation and the intrusion of civil suits. Cf. United States v. Stanley, 483 U.S. 669, 682-83 (1987). And as this Court recognized in adopting a categorical rule against Bivens claims in the military context, "[e]ven putting aside the risk of erroneous judicial conclusions (which would becloud military decisionmaking), the mere process of arriving at correct conclusions would disrupt the military regime." Id. at 683. Evaluating and weighing the degree of intrusion and interference, including whether case management tools sufficiently mitigate such risks, is for Congress, not the Judiciary. See id. at 682; Lebron v. Rumsfeld, 670 F.3d 540, 555 (4th Cir. 2012), cert. denied, 2012 WL 1425145 (June 11, 2012). Requiring district courts to make this assessment on a case-by-case basis, as would occur if the Court were to adopt the approach urged by the United States here, would usurp the role of Congress in making such determinations. 5. The separation-of-powers concerns implicated by such claims are of similar magnitude to the adverse consequences for U.S. foreign policy that respondents and the United States correctly identify in this case. Like foreign affairs, war powers are uniquely committed by the Constitution to the political branches. 3 This Court has long recognized that permitting tort claims in the context of U.S. military operations in the absence of guidance from Congress is problematic. Civil litigation arising out of U.S. military operations is inconsistent with military efficiency, Dow v. Johnson, 100 U.S. 158, 165 (1880); hampers battlefield operations, Johnson v. Eisentrager, 339 U.S. 763, 779 (1950); interferes with 3 See U.S. Const. art. II, § 2, cl. 1 (making President Commanderin-Chief); id. cl. 2 (authorizing President to make treaties with advice and consent of Senate); id. art. I, § 8, cl. 1 (authorizing Congress to "provide for the common Defence"); id. cl. 11 (authorizing Congress to "declare War"); id. cl. 12 (authorizing Congress to "raise and support Armies"); id. cl. 13 (authorizing Congress to "provide and maintain a Navy"); id. cl. 14 (authorizing Congress to regulate "the land and naval Forces"). Executive authority, Dep't of Navy v. Egan, 484 U.S. 518, 530 (1988); and fetters military discipline and command, Chappell v. Wallace, 462 U.S. 296, 304 (1983). Congress recognized as much in retaining the United States' sovereign immunity for "[a]ny claim arising out of the combatant activities of the military or naval forces . . . during time of war." 28 U.S.C. § 2680(j). And this Court, based on separation-of-powers concerns, has been appropriately reluctant to infer a cause of action in the military context because "congressionally uninvited intrusion into military affairs by the judiciary is inappropriate." Stanley, 483 U.S. at 683; see also Al Shimari, 679 F.3d at 225-48 (Wilkinson, J., dissenting). 7. Construing the ATS not to extend extraterritorially does not leave U.S. contractors supporting U.S. military operations abroad unregulated or victims of substantiated abuse uncompensated. Congress has passed comprehensive legislation dealing with the subject of war crimes, torture, and the conduct of U.S. citizens acting in connection with military activities abroad through the Military Commissions Act, 10 U.S.C. § 948a et seq., the federal criminal torture statute, 18 U.S.C. § 2340-2340A, the War Crimes Act, 18 U.S.C. § 2441, the 6. Consistent with such concerns, the United States previously argued that the ATS "is not intended as a vehicle for U.S. courts to judge the lawfulness of U.S. government actions abroad in defense of national security." U.S. Br. at 7, Alvarez-Machain v. Sosa, 266 F.3d 1045 (9th Cir. 2001) (No. 99-56880). The United States expressed concern that allowing ATS claims in the context of U.S. military operations might make attacks on al Qaeda facilities actionable. See id. at 14. Any remedies for such actions "are appropriately matters for resolution by the political branches, not the courts." Id. Foreign Claims Act, 10 U.S.C. § 2734, and the Uniform Code of Military Justice, 10 U.S.C. § 801 et seq. In doing so, Congress clearly has preferred criminal statutes and Executive-administered compensation over civil liability in the context of U.S. military operations abroad. For example, Congress enacted criminal statutes that apply to U.S. contractors accompanying military forces overseas. See, e.g., 18 U.S.C. §§ 2340A, 2441, 3261. And the Executive has not hesitated to use such authority to prosecute and punish U.S. contractors in appropriate cases. See United States v. Passaro, 577 F.3d 207 (4th Cir. 2009), cert. denied, 130 S. Ct. 1551 (2010); United States v. Ali, 71 M.J. 256 (C.A.A.F. 2012). Congress also has provided authority that the Executive has used to compensate detainees who establish legitimate claims for relief. See 10 U.S.C. § 2734; Saleh, 580 F.3d at 2-3. Congress has declined, however, to create a civil cause of action in connection with U.S. military operations. In the TVPA, Congress exempted American government officers and private persons supporting the U.S. government from suit by restricting the cause of action whereby U.S. residents could sue for torture to conduct in connection with foreign state action. See 28 U.S.C. § 1350 note (TVPA); Statement by President George [H.W.] Bush Upon Signing H.R. 2092, 1992 U.S.C.C.A.N. 91 (Mar. 12, 1992) ("I am signing the bill based on my understanding that the Act does not permit suits for alleged human rights violations in the context of United States military operations abroad . . . ."). In response to the Abu Ghraib incident, Congress extended the Uniform Code of Military Justice to cover military contractors; it did not enact a civil cause of action. See 10 U.S.C. § 802; Saleh, 580 F.3d at 13 n.9; Ali, 71 M.J. 256. It would be incongruous to construe the ATS as permitting recognition of a civil cause of action arising out of U.S. military operations overseas given Congress's frequent activity in the field and its choices to exclude U.S. military operations from the sweep of the TVPA and to opt for extending military criminal jurisdiction to contractors in lieu of creating a private cause of action. C. A Categorical Rule Against Extraterritorial Application Of The ATS Is Consistent With The Obligations Of The United States To The International Community The parties debate whether extraterritorial application of the ATS to the non-resident parties in this case is consistent with international law, while the United States argues for a case-by-case approach to allow for a case in which the defendant was located in the United States. See U.S. Supp. Br. 4 (discussing Filartiga v. Pena-Irala, 630 F.2d 876 (2d Cir. 1980)). To the extent that the position of the petitioners and the United States imply that the categorical rule advocated by respondents is inconsistent with international law, that position is incorrect. International law requires only that states criminally prosecute (or extradite) persons accused of extraterritorial torture (even when such conduct occurs beyond sovereign territory). See Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, art. 4, Dec. 10, 1984, 1465 U.N.T.S. 85. There is no obligation to provide a civil cause of action for such extraterritorial conduct. See id. arts. 13, 14. The United States has enacted criminal legislation to fulfill its international obligation in this regard. See 18 U.S.C. § 2340A. And, although it was not obligated to do so, Congress has gone further and supplied an express statutory cause of action for the conduct at issue in Filartiga in the Torture Victim Protection Act. Cf. Sosa v. Alvarez-Machain, 542 U.S. 692, 749 (2004) (Scalia, J., concurring in part and concurring in the judgment). Petitioners and their amici similarly argue that the Court should recognize a federal common-law cause of action whenever the circumstances of a particular case fall within the scope of Congress's legislative jurisdiction. The question is not whether Congress has authority to enforce laws beyond its territorial boundaries in particular circumstances, but whether "Congress has in fact exercised [its] authority" to do so. Aramco, 499 U.S. at 248. Petitioners' and their amici's arguments concerning the scope of Congress's prescriptive jurisdiction— and the extent to which universal jurisdiction may augment this authority—concern the former issue rather than the latter. Accordingly, these concepts cannot overcome the presumption against extraterritoriality or justify a case-by-case approach to jurisdiction under the ATS. Indeed, this Court has consistently applie<cursor_is_here> </text>	[ { "content": "<url>\nhttps://harvardhumanrights.files.wordpress.com/2012/08/engilitycorpinsupportofrespondents.pdf\n</url>\n<text>\nIn the Supreme Court of the United States\n\nESTHER KIOBEL, ET AL., PETITIONERS\n\nv.\n\nR\n\nOYAL\n\nD\n\nUTCH\n\nP\n\nETROLEUM\n\nC\n\nO\n\n.,\n\nET AL.\n\nON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT\n\nBRIEF FOR ENGILITY CORPORATION AS AMICUS CURIAE SUPPORTING RESPONDENTS\n\nARI S. ZYMELMAN Counsel of Record F. WHITTEN PETERS F. GREG BOWMAN WILLIAMS & CONNOLLY LLP 725 Twelfth Street, N.W. Washington, DC 20005 (202) 434-5000 [email protected]\n\nTABLE OF CONTENTS\n\nPage\n\nPage\n\nIV\n\nIn the Supreme Court of the United States\n\nNo. 10-1491\n\nESTHER KIOBEL, ET AL., PETITIONERS\n\nv.\n\nROYAL DUTCH PETROLEUM CO., ET AL.\n\nON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT\n\nBRIEF FOR ENGILITY CORPORATION AS AMICUS CURIAE SUPPORTING RESPONDENTS\n\nINTEREST OF AMICUS CURIAE\n\nEngility Corporation is a United States-based publicly held corporation with extensive worldwide operations. 1 Engility provides government services in engineering, professional support, and mission support to the Department of Defense and other agencies of the American\n\n1 Written consents from both parties to the filing of amicus briefs in support of either party are on file with the Clerk. No counsel for any party authored this brief in whole or in part, and no person or entity other than amicus curiae or its counsel contributed money to the preparation or submission of this brief.\n\ngovernment, as well its allies. 2 Engility is committed to conducting its business in a lawful and responsible manner in compliance with international law and with respect for human rights. Nevertheless, Engility has been subject to numerous claims arising in foreign sovereign territory brought under the Alien Tort Statute (ATS), 28 U.S.C. § 1350, including claims brought by battlefield detainees based upon Engility's provision of linguists and interrogators to the U.S. military—claims that well illustrate the difficulties raised by extraterritorial ATS claims. See, e.g., Al Shimari v. CACI Int'l, Inc., 679 F.3d 205 (4th Cir. 2012) (en banc); Saleh v. Titan Corp., 580 F.3d 1 (D.C. Cir. 2009), cert. denied, 131 S. Ct. 3055 (2011).\n\nNews media publication in 2004 of pictures depicting apparent abuse of Iraqis detained by the U.S. military at Abu Ghraib prompted civil suits by hundreds of Iraqis detained by the U.S. military across Iraq during a period spanning more than five years. Plaintiffs alleged that contractors aided and abetted or conspired with military personnel to mistreat them in violation of state law and international law.\n\nIn the first set of such cases, after 21 depositions of contractor and military personnel, the D.C. Circuit properly rejected common law torts, including claims under the ATS, as an appropriate means of regulating such battlefield conduct. See Saleh, 580 F.3d at 2-16.\n\nIn May and June of 2008, a second wave of actions was filed by scores of former Iraqi detainees. Two district courts within the Fourth Circuit declined to follow\n\n2 Engility, formerly L-3 Services, Inc., was spun off from L-3 Communications in July 2012.\n\nthe D.C. Circuit's decision in Saleh. In Al-Quraishi v. Nakhla, for example, the district court refused to dismiss any claims because defendants were not soldiers and discovery would be required to rule on the defenses asserted. 728 F. Supp. 2d 702 (D. Md. 2010). A panel of the Fourth Circuit adopted the rationale of the D.C. Circuit and ordered all claims dismissed, Al-Quraishi v. L-3 Services, Inc., 657 F.3d 201 (4th Cir. 2011), but the en banc court dismissed the appeal for lack of interlocutory appellate jurisdiction and remanded to the district court for discovery and trial, Al Shimari, 679 F.3d 205.\n\nEngility therefore has a strong interest in the proper interpretation of the ATS and in particular clarifying whether it applies extraterritorially.\n\nIf the Court adopts the extraterritorial application urged by petitioners and their amici here, ATS claims against American companies providing services in support of U.S. military operations abroad, like those asserted against Engility in Al-Quraishi and Saleh, would be allowed to proceed. Even the qualified approach of the United States would leave open the question of whether the ATS applies to the conduct of U.S. companies in support of U.S. military operations abroad. These claims implicate serious separation-of-powers concerns and may lead to intrusive discovery against contractors and the military.\n\nSUMMARY OF ARGUMENT\n\nThis Court should affirm the judgment below and hold that the ATS does not allow courts to recognize a cause of action for violations of the law of nations occurring within the territory of a sovereign other than the United States. In the alternative, the Court should affirm on the ground that corporations are not subject to ATS claims for the reasons previously set forth by respondents and by the Second Circuit in the decision below.\n\nIt is well established that when a statute gives no clear indication that Congress intended it to have extraterritorial reach, it has none. Petitioners and their amici attempt to locate such a clear indication in the text and history of the ATS, but these sources are at best inconclusive and fall well short of providing the clear indication necessary to overcome the presumption against extraterritoriality.\n\nThe United States agrees with respondents that the Court should not recognize the extraterritorial ATS claims asserted here, but urges a case-by-case approach. That approach is at odds with its position in several previous cases in this Court and the lower courts, and conflicts with this Court's analysis of the extraterritorial reach of other statutes.\n\nThe parties and the United States focus their analysis on whether such claims would entail adverse consequences for U.S. foreign policy where the defendants are not present in the United States. Extraterritorial ATS claims, however, may also raise other concerns of similar magnitude, as demonstrated by ongoing efforts to use the ATS against American corporations as a vehicle to challenge U.S. military operations abroad. Those claims raise serious separation-of-powers concerns—concerns that provide an additional reason why this Court should avoid a construction of the ATS that recognizes extraterritorial claims absent a clear indication to the contrary from Congress. Indeed, the United States has in the past argued that the ATS should not be construed as extending to such matters.\n\nThis Court should adopt a categorical rule against extraterritorial application of the ATS. Such an approach would allow Congress the opportunity to clarify its intent before the Judiciary is thrust into the forefront of foreign affairs and required to confront difficult separation-of-powers issues underlying ATS claims in the context of U.S. military operations abroad.\n\nARGUMENT\n\nTHE COURT SHOULD RULE CATEGORICALLY THAT THE ATS DOES NOT ALLOW COURTS TO RECOGNIZE CAUSES OF ACTION BASED ON CONDUCT OCCURRING IN TERRITORY OF FOREIGN SOVEREIGNS\n\nA. The Presumption Against Extraterritoriality Applies Categorically In All Circumstances\n\n1. It is a \"longstanding principle of American law 'that legislation of Congress, unless a contrary intent appears, is meant to apply only within the territorial jurisdiction of the United States.'\" EEOC v. Arabian Am. Oil Co., 499 U.S. 244, 248 (1991) (Aramco) (quoting Foley Bros., Inc. v. Filardo, 336 U.S. 281, 285 (1949)). Unless there is \"the affirmative intention of the Congress clearly expressed\" to give a statute extraterritorial effect, the Court \"must presume it is primarily concerned with domestic conditions.\" Id. (internal quotation marks omitted). In addition, absent a clear indication of congressional intent, statutes should be construed so that constitutional issues are not \"needlessly confronted.\" Edward J. DeBartolo Corp. v. Fla. Gulf Coast Bldg. & Constr. Trades Council, 485 U.S. 568, 575 (1988). These cannons of statutory construction apply with particular force where military affairs are implicated. See Sale v. Haitian Ctrs. Council, Inc., 509 U.S. 155, 188 (1993).\n\nThis Court has consistently applied the presumption against extraterritorial application categorically to \"all cases,\" Morrison v. Nat'l Austl. Bank Ltd., 130 S. Ct. 2869, 2881 (2010)—not to particular \"circumstances,\" as\n\n6\n\nthe United States argues, see U.S. Supp. Br. 2. Courts are not to attempt to divine \"what Congress would have wanted if it had thought of the situation before the court.\" Morrison, 130 S. Ct. at 2881. And for good reason. If the courts were to \"guess anew\" in each case what Congress intended, the presumption would fail to preserve \"a stable background against which Congress can legislate with predictable effects.\" Id. It also would require lower courts to determine the effect of each case on foreign affairs and confront difficult separation-ofpowers issues without a clear mandate from Congress or any indication of how Congress would resolve such questions. Moreover, this Court has observed in the past that the complexities of diplomatic relations might prevent the United States from expressing its views on such issues \"at a moment that would be dictated by the development of private litigation but might be inopportune diplomatically.\" Banco Nacional de Cuba v. Sabbatino, 376 U.S. 398, 436 (1964). In circumstances where this is the case, the Judiciary would be left to make such difficult judgments without meaningful input from the Executive.\n\n2. Contrary to the position it takes here, the United States previously argued that the Court should take a categorical approach and deny extraterritorial application to the ATS in all circumstances. While the United States has changed its conclusion, it has not disavowed or refuted the reasons that supported its advocacy of a categorical rule.\n\nIn particular, the United States correctly recognized that case-specific deference to the Executive Branch would not sufficiently alleviate the ATS's potential adverse impact on foreign affairs. See U.S. Br. at 21, Am. Isuzu Motors, Inc. v. Ntsebeza, 553 U.S. 1028 (2008) (No.\n\n07-919). The lack of a clear rule against extraterritorial application would predictably discourage \"U.S. and foreign corporations from investing in precisely the areas of the world where economic development may have the most positive impact on economic and political conditions.\" U.S. Br. at 44-45, Sosa v. Alvarez-Machain, 542 U.S. 692 (2004) (No. 03-339); see also U.S. Br. at 21-22, Am. Isuzu Motors, supra (explaining \"case-by-case approach could complicate the Nation's foreign relations still further and exacerbate the . . . deterrent effect on international trade and investment\"). This would reduce the effectiveness of certain foreign policy tools available to the United States. See id. The United States has not addressed these arguments here much less refuted them, and its previous rationale remains valid and undermines the persuasiveness of its current position. Cf. Zschernig v. Miller, 389 U.S. 429, 443 (1968) (Stewart, J., concurring).\n\nB. Extraterritorial ATS Claims Are An Inappropriate Vehicle For U.S. Courts To Adjudicate Claims Arising In The Military Context Without Clear Congressional Direction\n\nExtraterritorial ATS claims raise important and difficult issues beyond the adverse consequences for U.S. foreign policy upon which the parties and the United States focus. Ongoing efforts to use the ATS against American corporations as a vehicle to challenge U.S. military operations abroad are one such example. The separation-of-powers concerns implicated by such claims provide an additional reason this Court should not construe the ATS to recognize extraterritorial claims absent a clear indication to the contrary from Congress.\n\n1. Aliens have used the ATS as a vehicle for bringing human-rights lawsuits against foreign multinational\n\ncorporations in U.S. courts. These cases often allege corporate complicity in human-rights abuses allegedly committed by foreign government officials against foreign citizens in foreign countries. Because this case involves such facts, the parties focus their arguments on these circumstances and the serious foreign-policy implications of such suits.\n\nRegardless of the citizenship of the parties, however, cases involving extraterritorial ATS claims repeatedly raise additional difficult questions of constitutional and international law. These questions include, for example, whether and to what extent U.S. courts are empowered to: (a) export rules of decision for cases arising in sovereign territory of other nations, (b) sit in judgment of acts undertaken on behalf of a foreign sovereign in its own territory, and (c) fashion common-law causes of action for claims brought by those against whom U.S. military force has been directed upon foreign battlefields.\n\n2. The difficulties presented by extraterritorial ATS claims are well illustrated by Saleh and Al-Quraishi, supra. These cases involve claims brought by Iraqi detainees of the U.S. military against contractors who were called upon by the U.S. military to address shortfalls in the military ranks. Such contractor personnel were integrated into the military chain of command, supervised by military personnel, and essential to the military mission. See Saleh, 580 F.3d at 2; see also Allegations of Mistreatment of Iraqi Prisoners: Hearing Before the U.S. Senate Committee on Armed Services, 108th Congress 22-24, 42-45 (May 7, 2004); The Department of the Army Inspector General Report on Detention Operation Doctrine and Training: Hearing Before the U.S. Senate Committee on Armed Services, 108th Congress 675, 1020-23 (July 22, 2004).\n\nThe government conducted extensive investigations into the allegations of abuse, resulting in the courtmartial of eleven soldiers. See Ibrahim v. Titan Corp., 391 F. Supp. 2d 10, 16 (D.D.C. 2005), aff'd in part, Saleh, supra. No contractor employees were criminally charged, though some were investigated, and the government did not pursue available contractual remedies against the contractors. See Saleh, 580 F.3d at 2.\n\nIn Saleh, the district court ordered discovery into the nature and extent of the military's supervision of the contract employees. This discovery included 21 depositions of contractor and military personnel. In light of the criminal jurisdiction and administrative remedies available, the potential interference with U.S. military operations, and Congress's apparently purposeful failure to provide a civil cause of action, the D.C. Circuit ordered all claims dismissed. It held that \"where a private service contractor is integrated into combatant activities over which the military retains command authority,\" id. at 9, \"all of the traditional rationales for tort law— deterrence of risk-taking behavior, compensation of victims, and punishment of tortfeasors—are singularly out of place,\" id. at 7.\n\nThe Solicitor General opposed certiorari, noting that \"[t]he United States has at its disposal a variety of tools, enhanced in the wake of events at Abu Ghraib, to punish the perpetrators of acts of torture, to prevent acts of abuse and mistreatment, and to compensate individuals who were subject to abusive treatment while detained by the United States military.\" U.S. Br. (May 27, 2011) at 8, Saleh v. Titan Corp., 131 S. Ct. 3055 (2011) (No. 091313). This Court denied certiorari. 131 S. Ct. 3055 (2011).\n\n3. Two district courts in the Fourth Circuit subsequently declined to follow the D.C. Circuit's rationale, and the en banc Fourth Circuit held that it lacked interlocutory appellate jurisdiction to review the district courts' orders. See Al Shimari, 679 F.3d 205. Those cases—Al Shimari and Al-Quraishi—have been remanded for discovery and trial, which will be expensive and burdensome for the parties and the military.\n\nAl-Quraishi in particular is illustrative of the expense and burden of discovery in such cases. See 728 F. Supp. 2d 702. The 72 plaintiffs were detained at 26 different detention facilities across Iraq during a period spanning more than five years. The plaintiffs and defendants' employees in these facilities interacted with scores of military personnel and personnel from intelligence agencies (including the CIA according to plaintiffs' allegations that some were held as \"ghost\" detainees) whose testimony will be sought by both sides. Military policies and the actions of military and intelligence personnel will be central to the litigation. Discovery will include requests to produce voluminous sensitive documents such as interrogation and detention policies, records of detainee status board hearings, medical records, interrogation plans, interrogation logs, and recordings of interrogations.\n\nShould these cases proceed under the framework embodied by the district courts' decisions, the government will face the prospect of high-ranking officials being subject to discovery and ultimately summoned to court. To fully explore whether U.S. contractors committed violations of international law in support of U.S. military operations, discovery would include subpoenas, numerous requests to produce, Rule 30(b)(6) depositions of document custodians at various intelligence and defense agencies, and lengthy and probing depositions of high-ranking government officials with national security clearances and personal knowledge of some of the Nation's most sensitive information. This would distract the affected officials from their normal defense- and intelligence-related duties. A trial on the merits would be a spectacle with Iraqi detainees summoning America's present and former military leaders to a federal courthouse to answer their charges and putting U.S. military operations on trial. This massive litigation would have been authorized not by a congressionally established statutory cause of action, but under implied federal common law pursuant to the ATS, passed in 1789 in response to ambassadorial assaults committed in the territorial United States.\n\n4. A case-by-case approach to extraterritorial jurisdiction would allow lower courts to permit cases like AlQuraishi and Saleh to go forward, which would distract the military and burden its personnel, increase the cost of contracting for such critical battlefield support, and chill contractors from providing battlefield services. These concerns are heightened for ATS claims because its prolonged statute of limitations results in a lingering threat of litigation.\n\nThis continued threat of such litigation would force military commanders to choose between doing without such contractors to aid core functions or subjecting the battlefield to tort regulation and the intrusion of civil suits. Cf. United States v. Stanley, 483 U.S. 669, 682-83 (1987). And as this Court recognized in adopting a categorical rule against Bivens claims in the military context, \"[e]ven putting aside the risk of erroneous judicial conclusions (which would becloud military decisionmaking),\n\nthe mere process of arriving at correct conclusions would disrupt the military regime.\" Id. at 683.\n\nEvaluating and weighing the degree of intrusion and interference, including whether case management tools sufficiently mitigate such risks, is for Congress, not the Judiciary. See id. at 682; Lebron v. Rumsfeld, 670 F.3d 540, 555 (4th Cir. 2012), cert. denied, 2012 WL 1425145 (June 11, 2012). Requiring district courts to make this assessment on a case-by-case basis, as would occur if the Court were to adopt the approach urged by the United States here, would usurp the role of Congress in making such determinations.\n\n5. The separation-of-powers concerns implicated by such claims are of similar magnitude to the adverse consequences for U.S. foreign policy that respondents and the United States correctly identify in this case. Like foreign affairs, war powers are uniquely committed by the Constitution to the political branches. 3 This Court has long recognized that permitting tort claims in the context of U.S. military operations in the absence of guidance from Congress is problematic. Civil litigation arising out of U.S. military operations is inconsistent with military efficiency, Dow v. Johnson, 100 U.S. 158, 165 (1880); hampers battlefield operations, Johnson v. Eisentrager, 339 U.S. 763, 779 (1950); interferes with\n\n3 See U.S. Const. art. II, § 2, cl. 1 (making President Commanderin-Chief); id. cl. 2 (authorizing President to make treaties with advice and consent of Senate); id. art. I, § 8, cl. 1 (authorizing Congress to \"provide for the common Defence\"); id. cl. 11 (authorizing Congress to \"declare War\"); id. cl. 12 (authorizing Congress to \"raise and support Armies\"); id. cl. 13 (authorizing Congress to \"provide and maintain a Navy\"); id. cl. 14 (authorizing Congress to regulate \"the land and naval Forces\").\n\nExecutive authority, Dep't of Navy v. Egan, 484 U.S. 518, 530 (1988); and fetters military discipline and command, Chappell v. Wallace, 462 U.S. 296, 304 (1983). Congress recognized as much in retaining the United States' sovereign immunity for \"[a]ny claim arising out of the combatant activities of the military or naval forces . . . during time of war.\" 28 U.S.C. § 2680(j). And this Court, based on separation-of-powers concerns, has been appropriately reluctant to infer a cause of action in the military context because \"congressionally uninvited intrusion into military affairs by the judiciary is inappropriate.\" Stanley, 483 U.S. at 683; see also Al Shimari, 679 F.3d at 225-48 (Wilkinson, J., dissenting).\n\n7. Construing the ATS not to extend extraterritorially does not leave U.S. contractors supporting U.S. military operations abroad unregulated or victims of substantiated abuse uncompensated. Congress has passed comprehensive legislation dealing with the subject of war crimes, torture, and the conduct of U.S. citizens acting in connection with military activities abroad through the Military Commissions Act, 10 U.S.C. § 948a et seq., the federal criminal torture statute, 18 U.S.C. § 2340-2340A, the War Crimes Act, 18 U.S.C. § 2441, the\n6. Consistent with such concerns, the United States previously argued that the ATS \"is not intended as a vehicle for U.S. courts to judge the lawfulness of U.S. government actions abroad in defense of national security.\" U.S. Br. at 7, Alvarez-Machain v. Sosa, 266 F.3d 1045 (9th Cir. 2001) (No. 99-56880). The United States expressed concern that allowing ATS claims in the context of U.S. military operations might make attacks on al Qaeda facilities actionable. See id. at 14. Any remedies for such actions \"are appropriately matters for resolution by the political branches, not the courts.\" Id.\n\nForeign Claims Act, 10 U.S.C. § 2734, and the Uniform Code of Military Justice, 10 U.S.C. § 801 et seq. In doing so, Congress clearly has preferred criminal statutes and Executive-administered compensation over civil liability in the context of U.S. military operations abroad.\n\nFor example, Congress enacted criminal statutes that apply to U.S. contractors accompanying military forces overseas. See, e.g., 18 U.S.C. §§ 2340A, 2441, 3261. And the Executive has not hesitated to use such authority to prosecute and punish U.S. contractors in appropriate cases. See United States v. Passaro, 577 F.3d 207 (4th Cir. 2009), cert. denied, 130 S. Ct. 1551 (2010); United States v. Ali, 71 M.J. 256 (C.A.A.F. 2012). Congress also has provided authority that the Executive has used to compensate detainees who establish legitimate claims for relief. See 10 U.S.C. § 2734; Saleh, 580 F.3d at 2-3.\n\nCongress has declined, however, to create a civil cause of action in connection with U.S. military operations. In the TVPA, Congress exempted American government officers and private persons supporting the U.S. government from suit by restricting the cause of action whereby U.S. residents could sue for torture to conduct in connection with foreign state action. See 28 U.S.C. § 1350 note (TVPA); Statement by President George [H.W.] Bush Upon Signing H.R. 2092, 1992 U.S.C.C.A.N. 91 (Mar. 12, 1992) (\"I am signing the bill based on my understanding that the Act does not permit suits for alleged human rights violations in the context of United States military operations abroad . . . .\"). In response to the Abu Ghraib incident, Congress extended the Uniform Code of Military Justice to cover military contractors; it did not enact a civil cause of action. See 10 U.S.C. § 802; Saleh, 580 F.3d at 13 n.9; Ali, 71 M.J. 256.\n\nIt would be incongruous to construe the ATS as permitting recognition of a civil cause of action arising out of U.S. military operations overseas given Congress's frequent activity in the field and its choices to exclude U.S. military operations from the sweep of the TVPA and to opt for extending military criminal jurisdiction to contractors in lieu of creating a private cause of action.\n\nC. A Categorical Rule Against Extraterritorial Application Of The ATS Is Consistent With The Obligations Of The United States To The International Community\n\nThe parties debate whether extraterritorial application of the ATS to the non-resident parties in this case is consistent with international law, while the United States argues for a case-by-case approach to allow for a case in which the defendant was located in the United States. See U.S. Supp. Br. 4 (discussing Filartiga v. Pena-Irala, 630 F.2d 876 (2d Cir. 1980)). To the extent that the position of the petitioners and the United States imply that the categorical rule advocated by respondents is inconsistent with international law, that position is incorrect.\n\nInternational law requires only that states criminally prosecute (or extradite) persons accused of extraterritorial torture (even when such conduct occurs beyond sovereign territory). See Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment, art. 4, Dec. 10, 1984, 1465 U.N.T.S. 85. There is no obligation to provide a civil cause of action for such extraterritorial conduct. See id. arts. 13, 14. The United States has enacted criminal legislation to fulfill its international obligation in this regard. See 18 U.S.C. § 2340A. And, although it was not obligated to do so, Congress has gone further and supplied an express\n\nstatutory cause of action for the conduct at issue in Filartiga in the Torture Victim Protection Act. Cf. Sosa v. Alvarez-Machain, 542 U.S. 692, 749 (2004) (Scalia, J., concurring in part and concurring in the judgment).\n\nPetitioners and their amici similarly argue that the Court should recognize a federal common-law cause of action whenever the circumstances of a particular case fall within the scope of Congress's legislative jurisdiction. The question is not whether Congress has authority to enforce laws beyond its territorial boundaries in particular circumstances, but whether \"Congress has in fact exercised [its] authority\" to do so. Aramco, 499 U.S. at 248. Petitioners' and their amici's arguments concerning the scope of Congress's prescriptive jurisdiction— and the extent to which universal jurisdiction may augment this authority—concern the former issue rather than the latter. Accordingly, these concepts cannot overcome the presumption against extraterritoriality or justify a case-by-case approach to jurisdiction under the ATS. Indeed, this Court has consistently applie<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "d the presumption categorically in circumstances in which Congress's legislative authority is clear.", "role": "assistant" } ]
Date of Hearing: April 27, 2016 ASSEMBLY COMMITTEE ON HOUSING AND COMMUNITY DEVELOPMENT David Chiu, Chair AB 2502 (Mullin) – As Amended April 18, 2016 SUBJECT: Land use: zoning regulations SUMMARY: Authorizes the legislative body of a city or county to establish inclusionary housing requirements as a condition of development. Specifically, this bill: 1) Authorizes the legislative body of a city or county to establish, as a condition of development, inclusionary housing requirements, which may require the provision of residential units affordable to and occupied by moderate income, lower-income, very lowincome, or extremely low-income households, as specified. 2) States the Legislature's intent to supersede any holding or dicta in Palmer/Sixth Street Properties, L.P. v. City of Los Angeles (2009) 175 Cal.App.4th 1396, to the extent that the opinion in that case conflicts with the authority of local governments to adopt inclusionary housing requirements, and specifies that the bill does not otherwise enlarge or diminish the authority of a jurisdiction beyond those powers that existed as of July 21, 2009. 3) States that the Legislature finds and declares all of the following: a) Inclusionary housing ordinances have provided quality affordable housing to over 80,000 Californians, including the production of an estimated 30,000 units of affordable housing in the last decade alone; b) Since the 1970's, over 170 jurisdictions have enacted inclusionary housing ordinances to meet their affordable housing needs; c) While many of these local programs have been in place for decades, the recent decision in Palmer/Sixth Street Properties v. City of Los Angeles, has created uncertainty and confusion for local governments regarding the future viability of this important local land use tool; and, d) It is the intent of the Legislature to reaffirm the authority of local jurisdictions to enact and enforce these ordinances. 4) States that it is the intent of the Legislature to reaffirm that existing law requires that the action of any legislative body of any city, county, or city and county to adopt a new inclusionary housing ordinance be taken openly and that their deliberations be conducted openly consistent with the requirements of the Ralph M. Brown Act. EXISTING LAW: 1) Grants cities and counties the power to make and enforce within their limits all local, police, sanitary, and other ordinances and regulations not in conflict with general laws. 2) Declares the Legislature's intent to provide only a minimum of limitation with respect to zoning in order that counties and cities may exercise the maximum degree of control over local zoning matters. 3) Specifically authorizes the legislative body of any county or city to adopt ordinances that do any of the following: a) Regulate the use of buildings, structures, and land as between industry, business, residences, open space, agriculture, recreation, enjoyment of scenic beauty, use of natural resources, and other purposes; b) Regulate signs and billboards; c) Regulate all of the following: i) The location, height, bulk, number of stories, and size of buildings and structures; ii) The size and use of lots, yards, courts, and other open spaces; iii) The percentage of a lot that may be occupied by a building or structure; and, iv) The intensity of land use. d) Establish requirements for offstreet parking and loading; e) Establish and maintain building setback lines; and, f) Create civic districts around civic centers, public parks, public buildings, or public grounds, and establish regulations for those civic districts. 4) Limits, pursuant to the Costa-Hawkins Rental Housing Act, the permissible scope of local rent control ordinances and generally gives the owner of residential real property the right to establish the initial rental rate for a dwelling or unit. FISCAL EFFECT: None COMMENTS: Article XI, Section 7 of the California Constitution grants each city and county the power "to make and enforce within its limits all local, police, sanitary, and other ordinances and regulations not in conflict with general laws." This is generally referred to as the police power of local governments. The Planning and Zoning Law is a general law that sets forth minimum standards for cities and counties to follow in land use regulation, but the law also establishes the Legislature's intent to "provide only a minimum of limitation in order that counties and cities may exercise the maximum degree of control over local zoning matters." Using this police power, many cities and counties have adopted ordinances, commonly called "inclusionary zoning" or "inclusionary housing" ordinances, that require developers to ensure that a certain percentage of housing units in a new development be affordable to lower-income households. These ordinances vary widely in the percentage of affordable units required, the depth of affordability required, and the options through which a developer may choose to comply. Most, if not all, of such ordinances apply to both rental and ownership housing. In 2009, in the case of Palmer v. City of Los Angeles, the Second District California Court of Appeal opined that the city's affordable housing requirements associated with a particular specific plan (which was similar to an inclusionary zoning ordinance), as it applied to rental housing, conflicted with and was preempted by a state law known as the Costa-Hawkins Rental Housing Act. The Costa-Hawkins Act limits the permissible scope of local rent control ordinances. Among its various provisions is the right for a rental housing owner generally to set the initial rent level at the start of a tenancy, even if the local rent control ordinance would otherwise limit rent levels across tenancies. This provision is known as vacancy decontrol because the rent level is temporarily decontrolled after a voluntary vacancy. The act also gives rental housing owners the right to set the initial and all subsequent rental rates for a unit built after February 1, 1995. The court opined that "forcing Palmer to provide affordable housing units at regulated rents in order to obtain project approval is clearly hostile to the right afforded under the Costa-Hawkins Act to establish the initial rental rate for a dwelling or unit." The Legislature enacted the Costa-Hawkins Rental Housing Act in 1995 with the passage of AB 1164 (Hawkins), Chapter 331. The various analyses for this bill exclusively discuss rent control ordinances and do not once mention inclusionary zoning ordinances, of which approximately 64 existed in the state at that time. The Assembly concurrence analysis of AB 1164, which is very similar to the other analyses, states that the bill "establishes a comprehensive scheme to regulate local residential rent control." The analysis includes a table of jurisdictions that would be affected by the bill, and the table exclusively includes cities with rent control ordinances and does not include any cities that had inclusionary zoning ordinances affecting rental housing. The analysis also states, "Proponents view this bill as a moderate approach to overturn extreme vacancy control ordinances which unduly and unfairly interfere into the free market." The analysis further describes strict rent control ordinances as those that impose vacancy control and states, "Proponents contend that a statewide new construction exemption is necessary to encourage construction of much needed housing units, which is discouraged by strict local rent controls." This legislative history provides no indication that the Legislature intended to affect inclusionary zoning with the passage of AB 1164. California Building Industry Association (CBIA) v. City of San Jose. The City of San Jose's inclusionary housing ordinance passed in 2010 and required all new residential development projects of 20 or more units to sell at least 15% of the for-sale units at a price that is affordable to low- or moderate-income households. The ordinance allowed developers to opt out of the 15% requirements by dedicating land elsewhere or by paying "in-lieu" fees to the city. Shortly before the ordinance took effect, CBIA filed a lawsuit in superior court, maintaining that the ordinance was invalid on its face on the ground that the city, in enacting the ordinance, failed to provide a sufficient evidentiary basis "to demonstrate a reasonable relationship between any adverse public impacts or needs for additional subsidized housing units in the City ostensibly caused by or reasonably attributed to the development of new residential developments of 20 units or more and the new affordable housing exactions and conditions imposed on residential development by the Ordinance." The superior court agreed with CBIA's contention and issued a judgment enjoining the city from enforcing the challenged ordinance. The Court of Appeal then reversed the superior court judgment, and concluded that the matter should be remanded to the trial court. CBIA then sought review of the Court of Appeal decision in the Supreme Court which granted review. The Supreme Court in June of 2015 concluded that the Court of Appeal decision should be upheld, and that "contrary to CBIA's contention, the conditions the San Jose ordinance imposes upon future development do not impose 'exactions' upon the developers' property so as to bring into play the unconstitutional conditions doctrine under the takings clause of the federal or state Constitution." The ruling also noted that enforcing these limits to address a growing housing problem is "constitutionally legitimate" and cited the severe scarcity of affordable housing in California in its decision. This bill authorizes the legislative body of any city or county to adopt ordinances to establish, as a condition of development, inclusionary housing requirements and makes a number of legislative findings and declarations to supersede any holding or dicta in Palmer/Sixth Street Properties, L.P. v. City of Los Angeles (2009). Purpose of this bill: According to the author, "AB 2502 restores local governments' ability to enact inclusionary housing policies by clarifying that the Costa-Hawkins rent control law does not apply to inclusionary housing policies. This bill amends the state's Planning and Zoning law to indicate that inclusionary zoning is an allowable land use power. Article XI, Section 7 of the California Constitution grants counties and cities the exercise of police power, which allows them 'to make and enforce within its limits all local, police, sanitary, and other ordinances and regulations not in conflict with general laws.' Many cities and counties have implemented inclusionary housing ordinances as a land use regulation under their police power. Inclusionary housing ordinances require that developers allocate a certain percentage of housing units in a new development to be affordable to low- and moderate-income households. "Nearly 170 cities and counties in California have implemented inclusionary housing policies to address the shortage of affordable housing across the state. These ordinances vary in the inclusionary housing unit requirements, depth of affordability, and alternative methods of compliance for developers. Since 2003, inclusionary programs have produced more than 30,000 affordable housing units to working households, seniors, and special needs populations. AB 2502 restores local governments' ability to enact inclusionary housing policies by clarifying that the Costa-Hawkins rent control law does not apply to inclusionary housing policies. "In 2009, a state appellate court ruling in the Palmer v. City of Los Angeles case indicated that the state's Costa-Hawkins Rental Housing Act prohibits local governments from creating affordable rental housing through local inclusionary programs. "AB 2502 is identical to AB 1229 (Atkins), which Governor Brown vetoed in 2013. In his veto message, the Governor indicated that prior to making a legislative change regarding inclusionary housing, he wanted to wait for the California Supreme Court to issue its decision on the California Building Industry Association (CBIA) v. City of San Jose case. In this case, CBIA argued that San Jose's 15% inclusionary housing ordinance is unconstitutional on the basis of the Fifth Amendment, which indicates that private property should not be taken for public use without just compensation. In June 2015, the Supreme Court unanimously upheld San Jose's inclusionary housing ordinance and ruled that the ordinance is an exercise of the city's police power." Prior Legislation: AB 1229 (Atkins, 2013) would have expressly authorized cities and counties to establish inclusionary housing requirements as a condition of development. The bill further declares the intent of the Legislature to supersede any holding or dicta in Palmer v. City of Los Angeles that conflicts with this authority. AB 1229 was vetoed with the following message: "This bill would supersede the holding of Palmer v. City of Los Angeles and allow local governments to require inclusionary housing in new residential development projects. As Mayor of Oakland, I saw how difficult it can be to attract development to low and middle income communities. Requiring developers to include below-market units in their projects can exacerbate these challenges, even while not meaningfully increasing the amount of affordable housing in a given community. The California Supreme Court is currently considering when a city may insist on inclusionary housing in new developments. I would like the benefit of the Supreme Court's thinking before we make legislative adjustments in this area." Arguments in Support: According to supporters, "AB 2502 clarifies state law and allows jurisdictions to choose the affordable housing policies that fit the development context in their communities. Local inclusionary housing programs have provide one of the most effective tools for producing new homes affordable to working families and creating strong, diverse neighborhoods with a range of housing choices. Nearly 170 cities and counties in California have adopted inclusionary housing polices as a complement to other local, state, and federal strategies to address the state's ongoing affordable housing shortage. " Arguments in Opposition: According to opponents, "this bill does more than respond to Palmer by expressly authorizing local governments to condition all market-rate development on the provision of below market-rate affordable housing, not limited to rental development which was the subject of the Palmer case. Furthermore this measure mandates prices controls on marketrate housing projects, which will manifest as a tax on new homebuyers and renters. The net result would be a damper on housing production and negative impacts to local economies and employment centers." REGISTERED SUPPORT / OPPOSITION: Support Non-Profit Housing Association of Northern California (sponsor) Alameda County Board of Supervisors Alliance for Community Transit – Los Angeles (ACT-LA) American Planning Association, California Chapter Asian Pacific Environmental Network Bay Area Regional Health Inequities Initiative Burbank Housing Development Corporation California Coalition for Rural Housing California Housing Consortium California Housing Partnership Corporation California Pan-Ethnic Health Network California Rural Legal Assistance Foundation California State Association of Counties Century Housing Chinatown Community Development Center Cities Association of Santa Clara County City and County of San Francisco City of Belmont City of Freemont City of Napa City of San Jose City of Sunnyvale City of Walnut Creek City of West Hollywood Community Housing Opportunities Corporation Community Housing Partnership Community Legal Services in East Palo Alto Contra Costa County Board of Supervisors East Bay Housing Organizations East LA Community Corporation Every One Home Faith in Action Bay Area Greenbelt Alliance Greenlining Institute Grounded Solutions Network HIP Housing Housing California Koreatown Immigrant Workers Alliance (KIWA) Law Foundation of Silicon Valley League of California Cities League of Women Voters of California Little Tokyo Service Center Los Angeles County Board of Supervisors Marin County Board of Supervisors MidPen Housing Corporation Multicultural Communities for Mobility National Association of Social Workers, California Chapter Northern California Community Loan Fund Peer Advocated SRHT People's Self-Help Housing Physicians for Social Responsibility-LA (PSR-LA) Planning and Conservation League Public Advocates, Inc. Public Counsel San Diego Housing Federation San Francisco Council of Community Housing Organizations Sonoma County Board of Supervisors Southeast Asian Community Alliance St. Mary's Center Strategic Actions for a Just Economy (SAJE) T.R.U.S.T. South LA Tenants Together Thai Community Development Center Western Center on Law and Poverty Opposition Apartment Association California Southern Cities Apartment Association of Greater Los Angeles Apartment Association of Orange County California Apartment Association California Association of Realtors California Building Industry Association California Business Properties Association California Chamber of Commerce East Bay Rental Housing Association GH Palmer Associates North Valley Property Owner Association San Diego County Apartment Association Santa Barbara Rental Property Association Southwest California Legislative Council Analysis Prepared by: Lisa Engel / H. & C.D. / (961) 319-2085	<urn:uuid:87c7e288-0d77-4a42-a067-7b0c0d30279e>	CC-MAIN-2025-08	https://ahcd.assembly.ca.gov/sites/ahcd.assembly.ca.gov/files/AB%202502%20ABPCA.pdf	2025-02-08T19:20:00+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2025-08/subset=warc/part-00115-b184e832-acd1-425a-bab7-895830f2748a.c000.gz.parquet	72,073,515	3,404	eng_Latn	eng_Latn	0.834774	eng_Latn	0.992028	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2485, 4827, 8976, 12670, 15573, 17065, 17759 ]	Date of Hearing: April 27, 2016 ASSEMBLY COMMITTEE ON HOUSING AND COMMUNITY DEVELOPMENT David Chiu, Chair AB 2502 (Mullin) – As Amended April 18, 2016 SUBJECT: Land use: zoning regulations SUMMARY: Authorizes the legislative body of a city or county to establish inclusionary housing requirements as a condition of development. Specifically, this bill: 1) Authorizes the legislative body of a city or county to establish, as a condition of development, inclusionary housing requirements, which may require the provision of residential units affordable to and occupied by moderate income, lower-income, very lowincome, or extremely low-income households, as specified. 2) States the Legislature's intent to supersede any holding or dicta in Palmer/Sixth Street Properties, L.P. v. City of Los Angeles (2009) 175 Cal.App.4th 1396, to the extent that the opinion in that case conflicts with the authority of local governments to adopt inclusionary housing requirements, and specifies that the bill does not otherwise enlarge or diminish the authority of a jurisdiction beyond those powers that existed as of July 21, 2009. 3) States that the Legislature finds and declares all of the following: a) Inclusionary housing ordinances have provided quality affordable housing to over 80,000 Californians, including the production of an estimated 30,000 units of affordable housing in the last decade alone; b) Since the 1970's, over 170 jurisdictions have enacted inclusionary housing ordinances to meet their affordable housing needs; c) While many of these local programs have been in place for decades, the recent decision in Palmer/Sixth Street Properties v. City of Los Angeles, has created uncertainty and confusion for local governments regarding the future viability of this important local land use tool; and, d) It is the intent of the Legislature to reaffirm the authority of local jurisdictions to enact and enforce these ordinances. 4) States that it is the intent of the Legislature to reaffirm that existing law requires that the action of any legislative body of any city, county, or city and county to adopt a new inclusionary housing ordinance be taken openly and that their deliberations be conducted openly consistent with the requirements of the Ralph M. Brown Act. EXISTING LAW: 1) Grants cities and counties the power to make and enforce within their limits all local, police, sanitary, and other ordinances and regulations not in conflict with general laws. 2) Declares the Legislature's intent to provide only a minimum of limitation with respect to zoning in order that counties and cities may exercise the maximum degree of control over local zoning matters. 3) Specifically authorizes the legislative body of any county or city to adopt ordinances that do any of the following: a) Regulate the use of buildings, structures, and land as between industry, business, residences, open space, agriculture, recreation, enjoyment of scenic beauty, use of natural resources, and other purposes; b) Regulate signs and billboards; c) Regulate all of the following: i) The location, height, bulk, number of stories, and size of buildings and structures; ii) The size and use of lots, yards, courts, and other open spaces; iii) The percentage of a lot that may be occupied by a building or structure; and, iv) The intensity of land use. d) Establish requirements for offstreet parking and loading; e) Establish and maintain building setback lines; and, f) Create civic districts around civic centers, public parks, public buildings, or public grounds, and establish regulations for those civic districts. 4) Limits, pursuant to the Costa-Hawkins Rental Housing Act, the permissible scope of local rent control ordinances and generally gives the owner of residential real property the right to establish the initial rental rate for a dwelling or unit. FISCAL EFFECT: None COMMENTS: Article XI, Section 7 of the California Constitution grants each city and county the power "to make and enforce within its limits all local, police, sanitary, and other ordinances and regulations not in conflict with general laws." This is generally referred to as the police power of local governments. The Planning and Zoning Law is a general law that sets forth minimum standards for cities and counties to follow in land use regulation, but the law also establishes the Legislature's intent to "provide only a minimum of limitation in order that counties and cities may exercise the maximum degree of control over local zoning matters." Using this police power, many cities and counties have adopted ordinances, commonly called "inclusionary zoning" or "inclusionary housing" ordinances, that require developers to ensure that a certain percentage of housing units in a new development be affordable to lower-income households. These ordinances vary widely in the percentage of affordable units required, the depth of affordability required, and the options through which a developer may choose to comply. Most, if not all, of such ordinances apply to both rental and ownership housing. In 2009, in the case of Palmer v. City of Los Angeles, the Second District California Court of Appeal opined that the city's affordable housing requirements associated with a particular specific plan (which was similar to an inclusionary zoning ordinance), as it applied to rental housing, conflicted with and was preempted by a state law known as the Costa-Hawkins Rental Housing Act. The Costa-Hawkins Act limits the permissible scope of local rent control ordinances. Among its various provisions is the right for a rental housing owner generally to set the initial rent level at the start of a tenancy, even if the local rent control ordinance would otherwise limit rent levels across tenancies. This provision is known as vacancy decontrol because the rent level is temporarily decontrolled after a voluntary vacancy. The act also gives rental housing owners the right to set the initial and all subsequent rental rates for a unit built after February 1, 1995. The court opined that "forcing Palmer to provide affordable housing units at regulated rents in order to obtain project approval is clearly hostile to the right afforded under the Costa-Hawkins Act to establish the initial rental rate for a dwelling or unit." The Legislature enacted the Costa-Hawkins Rental Housing Act in 1995 with the passage of AB 1164 (Hawkins), Chapter 331. The various analyses for this bill exclusively discuss rent control ordinances and do not once mention inclusionary zoning ordinances, of which approximately 64 existed in the state at that time. The Assembly concurrence analysis of AB 1164, which is very similar to the other analyses, states that the bill "establishes a comprehensive scheme to regulate local residential rent control." The analysis includes a table of jurisdictions that would be affected by the bill, and the table exclusively includes cities with rent control ordinances and does not include any cities that had inclusionary zoning ordinances affecting rental housing. The analysis also states, "Proponents view this bill as a moderate approach to overturn extreme vacancy control ordinances which unduly and unfairly interfere into the free market." The analysis further describes strict rent control ordinances as those that impose vacancy control and states, "Proponents contend that a statewide new construction exemption is necessary to encourage construction of much needed housing units, which is discouraged by strict local rent controls." This legislative history provides no indication that the Legislature intended to affect inclusionary zoning with the passage of AB 1164. California Building Industry Association (CBIA) v. City of San Jose. The City of San Jose's inclusionary housing ordinance passed in 2010 and required all new residential development projects of 20 or more units to sell at least 15% of the for-sale units at a price that is affordable to low- or moderate-income households. The ordinance allowed developers to opt out of the 15% requirements by dedicating land elsewhere or by paying "in-lieu" fees to the city. Shortly before the ordinance took effect, CBIA filed a lawsuit in superior court, maintaining that the ordinance was invalid on its face on the ground that the city, in enacting the ordinance, failed to provide a sufficient evidentiary basis "to demonstrate a reasonable relationship between any adverse public impacts or needs for additional subsidized housing units in the City ostensibly caused by or reasonably attributed to the development of new residential developments of 20 units or more and the ne	w affordable housing exactions and conditions imposed on residential development by the Ordinance.	" The superior court agreed with CBIA's contention and issued a judgment enjoining the city from enforcing the challenged ordinance. The Court of Appeal then reversed the superior court judgment, and concluded that the matter should be remanded to the trial court. CBIA then sought review of the Court of Appeal decision in the Supreme Court which granted review. The Supreme Court in June of 2015 concluded that the Court of Appeal decision should be upheld, and that "contrary to CBIA's contention, the conditions the San Jose ordinance imposes upon future development do not impose 'exactions' upon the developers' property so as to bring into play the unconstitutional conditions doctrine under the takings clause of the federal or state Constitution." The ruling also noted that enforcing these limits to address a growing housing problem is "constitutionally legitimate" and cited the severe scarcity of affordable housing in California in its decision. This bill authorizes the legislative body of any city or county to adopt ordinances to establish, as a condition of development, inclusionary housing requirements and makes a number of legislative findings and declarations to supersede any holding or dicta in Palmer/Sixth Street Properties, L.P. v. City of Los Angeles (2009). Purpose of this bill: According to the author, "AB 2502 restores local governments' ability to enact inclusionary housing policies by clarifying that the Costa-Hawkins rent control law does not apply to inclusionary housing policies. This bill amends the state's Planning and Zoning law to indicate that inclusionary zoning is an allowable land use power. Article XI, Section 7 of the California Constitution grants counties and cities the exercise of police power, which allows them 'to make and enforce within its limits all local, police, sanitary, and other ordinances and regulations not in conflict with general laws.' Many cities and counties have implemented inclusionary housing ordinances as a land use regulation under their police power. Inclusionary housing ordinances require that developers allocate a certain percentage of housing units in a new development to be affordable to low- and moderate-income households. "Nearly 170 cities and counties in California have implemented inclusionary housing policies to address the shortage of affordable housing across the state. These ordinances vary in the inclusionary housing unit requirements, depth of affordability, and alternative methods of compliance for developers. Since 2003, inclusionary programs have produced more than 30,000 affordable housing units to working households, seniors, and special needs populations. AB 2502 restores local governments' ability to enact inclusionary housing policies by clarifying that the Costa-Hawkins rent control law does not apply to inclusionary housing policies. "In 2009, a state appellate court ruling in the Palmer v. City of Los Angeles case indicated that the state's Costa-Hawkins Rental Housing Act prohibits local governments from creating affordable rental housing through local inclusionary programs. "AB 2502 is identical to AB 1229 (Atkins), which Governor Brown vetoed in 2013. In his veto message, the Governor indicated that prior to making a legislative change regarding inclusionary housing, he wanted to wait for the California Supreme Court to issue its decision on the California Building Industry Association (CBIA) v. City of San Jose case. In this case, CBIA argued that San Jose's 15% inclusionary housing ordinance is unconstitutional on the basis of the Fifth Amendment, which indicates that private property should not be taken for public use without just compensation. In June 2015, the Supreme Court unanimously upheld San Jose's inclusionary housing ordinance and ruled that the ordinance is an exercise of the city's police power." Prior Legislation: AB 1229 (Atkins, 2013) would have expressly authorized cities and counties to establish inclusionary housing requirements as a condition of development. The bill further declares the intent of the Legislature to supersede any holding or dicta in Palmer v. City of Los Angeles that conflicts with this authority. AB 1229 was vetoed with the following message: "This bill would supersede the holding of Palmer v. City of Los Angeles and allow local governments to require inclusionary housing in new residential development projects. As Mayor of Oakland, I saw how difficult it can be to attract development to low and middle income communities. Requiring developers to include below-market units in their projects can exacerbate these challenges, even while not meaningfully increasing the amount of affordable housing in a given community. The California Supreme Court is currently considering when a city may insist on inclusionary housing in new developments. I would like the benefit of the Supreme Court's thinking before we make legislative adjustments in this area." Arguments in Support: According to supporters, "AB 2502 clarifies state law and allows jurisdictions to choose the affordable housing policies that fit the development context in their communities. Local inclusionary housing programs have provide one of the most effective tools for producing new homes affordable to working families and creating strong, diverse neighborhoods with a range of housing choices. Nearly 170 cities and counties in California have adopted inclusionary housing polices as a complement to other local, state, and federal strategies to address the state's ongoing affordable housing shortage. " Arguments in Opposition: According to opponents, "this bill does more than respond to Palmer by expressly authorizing local governments to condition all market-rate development on the provision of below market-rate affordable housing, not limited to rental development which was the subject of the Palmer case. Furthermore this measure mandates prices controls on marketrate housing projects, which will manifest as a tax on new homebuyers and renters. The net result would be a damper on housing production and negative impacts to local economies and employment centers." REGISTERED SUPPORT / OPPOSITION: Support Non-Profit Housing Association of Northern California (sponsor) Alameda County Board of Supervisors Alliance for Community Transit – Los Angeles (ACT-LA) American Planning Association, California Chapter Asian Pacific Environmental Network Bay Area Regional Health Inequities Initiative Burbank Housing Development Corporation California Coalition for Rural Housing California Housing Consortium California Housing Partnership Corporation California Pan-Ethnic Health Network California Rural Legal Assistance Foundation California State Association of Counties Century Housing Chinatown Community Development Center Cities Association of Santa Clara County City and County of San Francisco City of Belmont City of Freemont City of Napa City of San Jose City of Sunnyvale City of Walnut Creek City of West Hollywood Community Housing Opportunities Corporation Community Housing Partnership Community Legal Services in East Palo Alto Contra Costa County Board of Supervisors East Bay Housing Organizations East LA Community Corporation Every One Home Faith in Action Bay Area Greenbelt Alliance Greenlining Institute Grounded Solutions Network HIP Housing Housing California Koreatown Immigrant Workers Alliance (KIWA) Law Foundation of Silicon Valley League of California Cities League of Women Voters of California Little Tokyo Service Center Los Angeles County Board of Supervisors Marin County Board of Supervisors MidPen Housing Corporation Multicultural Communities for Mobility National Association of Social Workers, California Chapter Northern California Community Loan Fund Peer Advocated SRHT People's Self-Help Housing Physicians for Social Responsibility-LA (PSR-LA) Planning and Conservation League Public Advocates, Inc. Public Counsel San Diego Housing Federation San Francisco Council of Community Housing Organizations Sonoma County Board of Supervisors Southeast Asian Community Alliance St. Mary's Center Strategic Actions for a Just Economy (SAJE) T.R.U.S.T. South LA Tenants Together Thai Community Development Center Western Center on Law and Poverty Opposition Apartment Association California Southern Cities Apartment Association of Greater Los Angeles Apartment Association of Orange County California Apartment Association California Association of Realtors California Building Industry Association California Business Properties Association California Chamber of Commerce East Bay Rental Housing Association GH Palmer Associates North Valley Property Owner Association San Diego County Apartment Association Santa Barbara Rental Property Association Southwest California Legislative Council Analysis Prepared by: Lisa Engel / H. & C.D. / (961) 319-2085	8,691	inside_word	new	remove_one_sentence	<url> https://ahcd.assembly.ca.gov/sites/ahcd.assembly.ca.gov/files/AB%202502%20ABPCA.pdf </url> <text> Date of Hearing: April 27, 2016 ASSEMBLY COMMITTEE ON HOUSING AND COMMUNITY DEVELOPMENT David Chiu, Chair AB 2502 (Mullin) – As Amended April 18, 2016 SUBJECT: Land use: zoning regulations SUMMARY: Authorizes the legislative body of a city or county to establish inclusionary housing requirements as a condition of development. Specifically, this bill: 1) Authorizes the legislative body of a city or county to establish, as a condition of development, inclusionary housing requirements, which may require the provision of residential units affordable to and occupied by moderate income, lower-income, very lowincome, or extremely low-income households, as specified. 2) States the Legislature's intent to supersede any holding or dicta in Palmer/Sixth Street Properties, L.P. v. City of Los Angeles (2009) 175 Cal.App.4th 1396, to the extent that the opinion in that case conflicts with the authority of local governments to adopt inclusionary housing requirements, and specifies that the bill does not otherwise enlarge or diminish the authority of a jurisdiction beyond those powers that existed as of July 21, 2009. 3) States that the Legislature finds and declares all of the following: a) Inclusionary housing ordinances have provided quality affordable housing to over 80,000 Californians, including the production of an estimated 30,000 units of affordable housing in the last decade alone; b) Since the 1970's, over 170 jurisdictions have enacted inclusionary housing ordinances to meet their affordable housing needs; c) While many of these local programs have been in place for decades, the recent decision in Palmer/Sixth Street Properties v. City of Los Angeles, has created uncertainty and confusion for local governments regarding the future viability of this important local land use tool; and, d) It is the intent of the Legislature to reaffirm the authority of local jurisdictions to enact and enforce these ordinances. 4) States that it is the intent of the Legislature to reaffirm that existing law requires that the action of any legislative body of any city, county, or city and county to adopt a new inclusionary housing ordinance be taken openly and that their deliberations be conducted openly consistent with the requirements of the Ralph M. Brown Act. EXISTING LAW: 1) Grants cities and counties the power to make and enforce within their limits all local, police, sanitary, and other ordinances and regulations not in conflict with general laws. 2) Declares the Legislature's intent to provide only a minimum of limitation with respect to zoning in order that counties and cities may exercise the maximum degree of control over local zoning matters. 3) Specifically authorizes the legislative body of any county or city to adopt ordinances that do any of the following: a) Regulate the use of buildings, structures, and land as between industry, business, residences, open space, agriculture, recreation, enjoyment of scenic beauty, use of natural resources, and other purposes; b) Regulate signs and billboards; c) Regulate all of the following: i) The location, height, bulk, number of stories, and size of buildings and structures; ii) The size and use of lots, yards, courts, and other open spaces; iii) The percentage of a lot that may be occupied by a building or structure; and, iv) The intensity of land use. d) Establish requirements for offstreet parking and loading; e) Establish and maintain building setback lines; and, f) Create civic districts around civic centers, public parks, public buildings, or public grounds, and establish regulations for those civic districts. 4) Limits, pursuant to the Costa-Hawkins Rental Housing Act, the permissible scope of local rent control ordinances and generally gives the owner of residential real property the right to establish the initial rental rate for a dwelling or unit. FISCAL EFFECT: None COMMENTS: Article XI, Section 7 of the California Constitution grants each city and county the power "to make and enforce within its limits all local, police, sanitary, and other ordinances and regulations not in conflict with general laws." This is generally referred to as the police power of local governments. The Planning and Zoning Law is a general law that sets forth minimum standards for cities and counties to follow in land use regulation, but the law also establishes the Legislature's intent to "provide only a minimum of limitation in order that counties and cities may exercise the maximum degree of control over local zoning matters." Using this police power, many cities and counties have adopted ordinances, commonly called "inclusionary zoning" or "inclusionary housing" ordinances, that require developers to ensure that a certain percentage of housing units in a new development be affordable to lower-income households. These ordinances vary widely in the percentage of affordable units required, the depth of affordability required, and the options through which a developer may choose to comply. Most, if not all, of such ordinances apply to both rental and ownership housing. In 2009, in the case of Palmer v. City of Los Angeles, the Second District California Court of Appeal opined that the city's affordable housing requirements associated with a particular specific plan (which was similar to an inclusionary zoning ordinance), as it applied to rental housing, conflicted with and was preempted by a state law known as the Costa-Hawkins Rental Housing Act. The Costa-Hawkins Act limits the permissible scope of local rent control ordinances. Among its various provisions is the right for a rental housing owner generally to set the initial rent level at the start of a tenancy, even if the local rent control ordinance would otherwise limit rent levels across tenancies. This provision is known as vacancy decontrol because the rent level is temporarily decontrolled after a voluntary vacancy. The act also gives rental housing owners the right to set the initial and all subsequent rental rates for a unit built after February 1, 1995. The court opined that "forcing Palmer to provide affordable housing units at regulated rents in order to obtain project approval is clearly hostile to the right afforded under the Costa-Hawkins Act to establish the initial rental rate for a dwelling or unit." The Legislature enacted the Costa-Hawkins Rental Housing Act in 1995 with the passage of AB 1164 (Hawkins), Chapter 331. The various analyses for this bill exclusively discuss rent control ordinances and do not once mention inclusionary zoning ordinances, of which approximately 64 existed in the state at that time. The Assembly concurrence analysis of AB 1164, which is very similar to the other analyses, states that the bill "establishes a comprehensive scheme to regulate local residential rent control." The analysis includes a table of jurisdictions that would be affected by the bill, and the table exclusively includes cities with rent control ordinances and does not include any cities that had inclusionary zoning ordinances affecting rental housing. The analysis also states, "Proponents view this bill as a moderate approach to overturn extreme vacancy control ordinances which unduly and unfairly interfere into the free market." The analysis further describes strict rent control ordinances as those that impose vacancy control and states, "Proponents contend that a statewide new construction exemption is necessary to encourage construction of much needed housing units, which is discouraged by strict local rent controls." This legislative history provides no indication that the Legislature intended to affect inclusionary zoning with the passage of AB 1164. California Building Industry Association (CBIA) v. City of San Jose. The City of San Jose's inclusionary housing ordinance passed in 2010 and required all new residential development projects of 20 or more units to sell at least 15% of the for-sale units at a price that is affordable to low- or moderate-income households. The ordinance allowed developers to opt out of the 15% requirements by dedicating land elsewhere or by paying "in-lieu" fees to the city. Shortly before the ordinance took effect, CBIA filed a lawsuit in superior court, maintaining that the ordinance was invalid on its face on the ground that the city, in enacting the ordinance, failed to provide a sufficient evidentiary basis "to demonstrate a reasonable relationship between any adverse public impacts or needs for additional subsidized housing units in the City ostensibly caused by or reasonably attributed to the development of new residential developments of 20 units or more and the ne<cursor_is_here>" The superior court agreed with CBIA's contention and issued a judgment enjoining the city from enforcing the challenged ordinance. The Court of Appeal then reversed the superior court judgment, and concluded that the matter should be remanded to the trial court. CBIA then sought review of the Court of Appeal decision in the Supreme Court which granted review. The Supreme Court in June of 2015 concluded that the Court of Appeal decision should be upheld, and that "contrary to CBIA's contention, the conditions the San Jose ordinance imposes upon future development do not impose 'exactions' upon the developers' property so as to bring into play the unconstitutional conditions doctrine under the takings clause of the federal or state Constitution." The ruling also noted that enforcing these limits to address a growing housing problem is "constitutionally legitimate" and cited the severe scarcity of affordable housing in California in its decision. This bill authorizes the legislative body of any city or county to adopt ordinances to establish, as a condition of development, inclusionary housing requirements and makes a number of legislative findings and declarations to supersede any holding or dicta in Palmer/Sixth Street Properties, L.P. v. City of Los Angeles (2009). Purpose of this bill: According to the author, "AB 2502 restores local governments' ability to enact inclusionary housing policies by clarifying that the Costa-Hawkins rent control law does not apply to inclusionary housing policies. This bill amends the state's Planning and Zoning law to indicate that inclusionary zoning is an allowable land use power. Article XI, Section 7 of the California Constitution grants counties and cities the exercise of police power, which allows them 'to make and enforce within its limits all local, police, sanitary, and other ordinances and regulations not in conflict with general laws.' Many cities and counties have implemented inclusionary housing ordinances as a land use regulation under their police power. Inclusionary housing ordinances require that developers allocate a certain percentage of housing units in a new development to be affordable to low- and moderate-income households. "Nearly 170 cities and counties in California have implemented inclusionary housing policies to address the shortage of affordable housing across the state. These ordinances vary in the inclusionary housing unit requirements, depth of affordability, and alternative methods of compliance for developers. Since 2003, inclusionary programs have produced more than 30,000 affordable housing units to working households, seniors, and special needs populations. AB 2502 restores local governments' ability to enact inclusionary housing policies by clarifying that the Costa-Hawkins rent control law does not apply to inclusionary housing policies. "In 2009, a state appellate court ruling in the Palmer v. City of Los Angeles case indicated that the state's Costa-Hawkins Rental Housing Act prohibits local governments from creating affordable rental housing through local inclusionary programs. "AB 2502 is identical to AB 1229 (Atkins), which Governor Brown vetoed in 2013. In his veto message, the Governor indicated that prior to making a legislative change regarding inclusionary housing, he wanted to wait for the California Supreme Court to issue its decision on the California Building Industry Association (CBIA) v. City of San Jose case. In this case, CBIA argued that San Jose's 15% inclusionary housing ordinance is unconstitutional on the basis of the Fifth Amendment, which indicates that private property should not be taken for public use without just compensation. In June 2015, the Supreme Court unanimously upheld San Jose's inclusionary housing ordinance and ruled that the ordinance is an exercise of the city's police power." Prior Legislation: AB 1229 (Atkins, 2013) would have expressly authorized cities and counties to establish inclusionary housing requirements as a condition of development. The bill further declares the intent of the Legislature to supersede any holding or dicta in Palmer v. City of Los Angeles that conflicts with this authority. AB 1229 was vetoed with the following message: "This bill would supersede the holding of Palmer v. City of Los Angeles and allow local governments to require inclusionary housing in new residential development projects. As Mayor of Oakland, I saw how difficult it can be to attract development to low and middle income communities. Requiring developers to include below-market units in their projects can exacerbate these challenges, even while not meaningfully increasing the amount of affordable housing in a given community. The California Supreme Court is currently considering when a city may insist on inclusionary housing in new developments. I would like the benefit of the Supreme Court's thinking before we make legislative adjustments in this area." Arguments in Support: According to supporters, "AB 2502 clarifies state law and allows jurisdictions to choose the affordable housing policies that fit the development context in their communities. Local inclusionary housing programs have provide one of the most effective tools for producing new homes affordable to working families and creating strong, diverse neighborhoods with a range of housing choices. Nearly 170 cities and counties in California have adopted inclusionary housing polices as a complement to other local, state, and federal strategies to address the state's ongoing affordable housing shortage. " Arguments in Opposition: According to opponents, "this bill does more than respond to Palmer by expressly authorizing local governments to condition all market-rate development on the provision of below market-rate affordable housing, not limited to rental development which was the subject of the Palmer case. Furthermore this measure mandates prices controls on marketrate housing projects, which will manifest as a tax on new homebuyers and renters. The net result would be a damper on housing production and negative impacts to local economies and employment centers." REGISTERED SUPPORT / OPPOSITION: Support Non-Profit Housing Association of Northern California (sponsor) Alameda County Board of Supervisors Alliance for Community Transit – Los Angeles (ACT-LA) American Planning Association, California Chapter Asian Pacific Environmental Network Bay Area Regional Health Inequities Initiative Burbank Housing Development Corporation California Coalition for Rural Housing California Housing Consortium California Housing Partnership Corporation California Pan-Ethnic Health Network California Rural Legal Assistance Foundation California State Association of Counties Century Housing Chinatown Community Development Center Cities Association of Santa Clara County City and County of San Francisco City of Belmont City of Freemont City of Napa City of San Jose City of Sunnyvale City of Walnut Creek City of West Hollywood Community Housing Opportunities Corporation Community Housing Partnership Community Legal Services in East Palo Alto Contra Costa County Board of Supervisors East Bay Housing Organizations East LA Community Corporation Every One Home Faith in Action Bay Area Greenbelt Alliance Greenlining Institute Grounded Solutions Network HIP Housing Housing California Koreatown Immigrant Workers Alliance (KIWA) Law Foundation of Silicon Valley League of California Cities League of Women Voters of California Little Tokyo Service Center Los Angeles County Board of Supervisors Marin County Board of Supervisors MidPen Housing Corporation Multicultural Communities for Mobility National Association of Social Workers, California Chapter Northern California Community Loan Fund Peer Advocated SRHT People's Self-Help Housing Physicians for Social Responsibility-LA (PSR-LA) Planning and Conservation League Public Advocates, Inc. Public Counsel San Diego Housing Federation San Francisco Council of Community Housing Organizations Sonoma County Board of Supervisors Southeast Asian Community Alliance St. Mary's Center Strategic Actions for a Just Economy (SAJE) T.R.U.S.T. South LA Tenants Together Thai Community Development Center Western Center on Law and Poverty Opposition Apartment Association California Southern Cities Apartment Association of Greater Los Angeles Apartment Association of Orange County California Apartment Association California Association of Realtors California Building Industry Association California Business Properties Association California Chamber of Commerce East Bay Rental Housing Association GH Palmer Associates North Valley Property Owner Association San Diego County Apartment Association Santa Barbara Rental Property Association Southwest California Legislative Council Analysis Prepared by: Lisa Engel / H. & C.D. / (961) 319-2085 </text>	[ { "content": "<url>\nhttps://ahcd.assembly.ca.gov/sites/ahcd.assembly.ca.gov/files/AB%202502%20ABPCA.pdf\n</url>\n<text>\nDate of Hearing: April 27, 2016\n\nASSEMBLY COMMITTEE ON HOUSING AND COMMUNITY DEVELOPMENT\n\nDavid Chiu, Chair AB 2502 (Mullin) – As Amended April 18, 2016\n\nSUBJECT: Land use: zoning regulations\n\nSUMMARY: Authorizes the legislative body of a city or county to establish inclusionary housing requirements as a condition of development. Specifically, this bill:\n\n1) Authorizes the legislative body of a city or county to establish, as a condition of development, inclusionary housing requirements, which may require the provision of residential units affordable to and occupied by moderate income, lower-income, very lowincome, or extremely low-income households, as specified.\n2) States the Legislature's intent to supersede any holding or dicta in Palmer/Sixth Street Properties, L.P. v. City of Los Angeles (2009) 175 Cal.App.4th 1396, to the extent that the opinion in that case conflicts with the authority of local governments to adopt inclusionary housing requirements, and specifies that the bill does not otherwise enlarge or diminish the authority of a jurisdiction beyond those powers that existed as of July 21, 2009.\n3) States that the Legislature finds and declares all of the following:\na) Inclusionary housing ordinances have provided quality affordable housing to over 80,000 Californians, including the production of an estimated 30,000 units of affordable housing in the last decade alone;\nb) Since the 1970's, over 170 jurisdictions have enacted inclusionary housing ordinances to meet their affordable housing needs;\nc) While many of these local programs have been in place for decades, the recent decision in Palmer/Sixth Street Properties v. City of Los Angeles, has created uncertainty and confusion for local governments regarding the future viability of this important local land use tool; and,\nd) It is the intent of the Legislature to reaffirm the authority of local jurisdictions to enact and enforce these ordinances.\n4) States that it is the intent of the Legislature to reaffirm that existing law requires that the action of any legislative body of any city, county, or city and county to adopt a new inclusionary housing ordinance be taken openly and that their deliberations be conducted openly consistent with the requirements of the Ralph M. Brown Act.\n\nEXISTING LAW:\n\n1) Grants cities and counties the power to make and enforce within their limits all local, police, sanitary, and other ordinances and regulations not in conflict with general laws.\n\n2) Declares the Legislature's intent to provide only a minimum of limitation with respect to zoning in order that counties and cities may exercise the maximum degree of control over local zoning matters.\n3) Specifically authorizes the legislative body of any county or city to adopt ordinances that do any of the following:\na) Regulate the use of buildings, structures, and land as between industry, business, residences, open space, agriculture, recreation, enjoyment of scenic beauty, use of natural resources, and other purposes;\nb) Regulate signs and billboards;\nc) Regulate all of the following:\ni) The location, height, bulk, number of stories, and size of buildings and structures;\nii) The size and use of lots, yards, courts, and other open spaces;\niii) The percentage of a lot that may be occupied by a building or structure; and,\niv) The intensity of land use.\nd) Establish requirements for offstreet parking and loading;\ne) Establish and maintain building setback lines; and,\nf) Create civic districts around civic centers, public parks, public buildings, or public grounds, and establish regulations for those civic districts.\n4) Limits, pursuant to the Costa-Hawkins Rental Housing Act, the permissible scope of local rent control ordinances and generally gives the owner of residential real property the right to establish the initial rental rate for a dwelling or unit.\n\nFISCAL EFFECT: None\n\nCOMMENTS:\n\nArticle XI, Section 7 of the California Constitution grants each city and county the power \"to make and enforce within its limits all local, police, sanitary, and other ordinances and regulations not in conflict with general laws.\" This is generally referred to as the police power of local governments. The Planning and Zoning Law is a general law that sets forth minimum standards for cities and counties to follow in land use regulation, but the law also establishes the Legislature's intent to \"provide only a minimum of limitation in order that counties and cities may exercise the maximum degree of control over local zoning matters.\"\n\nUsing this police power, many cities and counties have adopted ordinances, commonly called \"inclusionary zoning\" or \"inclusionary housing\" ordinances, that require developers to ensure that a certain percentage of housing units in a new development be affordable to lower-income\n\nhouseholds. These ordinances vary widely in the percentage of affordable units required, the depth of affordability required, and the options through which a developer may choose to comply. Most, if not all, of such ordinances apply to both rental and ownership housing. In 2009, in the case of Palmer v. City of Los Angeles, the Second District California Court of Appeal opined that the city's affordable housing requirements associated with a particular specific plan (which was similar to an inclusionary zoning ordinance), as it applied to rental housing, conflicted with and was preempted by a state law known as the Costa-Hawkins Rental Housing Act. The Costa-Hawkins Act limits the permissible scope of local rent control ordinances. Among its various provisions is the right for a rental housing owner generally to set the initial rent level at the start of a tenancy, even if the local rent control ordinance would otherwise limit rent levels across tenancies. This provision is known as vacancy decontrol because the rent level is temporarily decontrolled after a voluntary vacancy. The act also gives rental housing owners the right to set the initial and all subsequent rental rates for a unit built after February 1, 1995. The court opined that \"forcing Palmer to provide affordable housing units at regulated rents in order to obtain project approval is clearly hostile to the right afforded under the Costa-Hawkins Act to establish the initial rental rate for a dwelling or unit.\"\n\nThe Legislature enacted the Costa-Hawkins Rental Housing Act in 1995 with the passage of AB 1164 (Hawkins), Chapter 331. The various analyses for this bill exclusively discuss rent control ordinances and do not once mention inclusionary zoning ordinances, of which approximately 64 existed in the state at that time. The Assembly concurrence analysis of AB 1164, which is very similar to the other analyses, states that the bill \"establishes a comprehensive scheme to regulate local residential rent control.\" The analysis includes a table of jurisdictions that would be affected by the bill, and the table exclusively includes cities with rent control ordinances and does not include any cities that had inclusionary zoning ordinances affecting rental housing. The analysis also states, \"Proponents view this bill as a moderate approach to overturn extreme vacancy control ordinances which unduly and unfairly interfere into the free market.\" The analysis further describes strict rent control ordinances as those that impose vacancy control and states, \"Proponents contend that a statewide new construction exemption is necessary to encourage construction of much needed housing units, which is discouraged by strict local rent controls.\" This legislative history provides no indication that the Legislature intended to affect inclusionary zoning with the passage of AB 1164.\n\nCalifornia Building Industry Association (CBIA) v. City of San Jose. The City of San Jose's inclusionary housing ordinance passed in 2010 and required all new residential development projects of 20 or more units to sell at least 15% of the for-sale units at a price that is affordable to low- or moderate-income households. The ordinance allowed developers to opt out of the 15% requirements by dedicating land elsewhere or by paying \"in-lieu\" fees to the city. Shortly before the ordinance took effect, CBIA filed a lawsuit in superior court, maintaining that the ordinance was invalid on its face on the ground that the city, in enacting the ordinance, failed to provide a sufficient evidentiary basis \"to demonstrate a reasonable relationship between any adverse public impacts or needs for additional subsidized housing units in the City ostensibly caused by or reasonably attributed to the development of new residential developments of 20 units or more and the ne<cursor_is_here>\"\n\nThe superior court agreed with CBIA's contention and issued a judgment enjoining the city from enforcing the challenged ordinance. The Court of Appeal then reversed the superior court\n\njudgment, and concluded that the matter should be remanded to the trial court. CBIA then sought review of the Court of Appeal decision in the Supreme Court which granted review.\n\nThe Supreme Court in June of 2015 concluded that the Court of Appeal decision should be upheld, and that \"contrary to CBIA's contention, the conditions the San Jose ordinance imposes upon future development do not impose 'exactions' upon the developers' property so as to bring into play the unconstitutional conditions doctrine under the takings clause of the federal or state Constitution.\" The ruling also noted that enforcing these limits to address a growing housing problem is \"constitutionally legitimate\" and cited the severe scarcity of affordable housing in California in its decision.\n\nThis bill authorizes the legislative body of any city or county to adopt ordinances to establish, as a condition of development, inclusionary housing requirements and makes a number of legislative findings and declarations to supersede any holding or dicta in Palmer/Sixth Street Properties, L.P. v. City of Los Angeles (2009).\n\nPurpose of this bill: According to the author, \"AB 2502 restores local governments' ability to enact inclusionary housing policies by clarifying that the Costa-Hawkins rent control law does not apply to inclusionary housing policies. This bill amends the state's Planning and Zoning law to indicate that inclusionary zoning is an allowable land use power. Article XI, Section 7 of the California Constitution grants counties and cities the exercise of police power, which allows them 'to make and enforce within its limits all local, police, sanitary, and other ordinances and regulations not in conflict with general laws.' Many cities and counties have implemented inclusionary housing ordinances as a land use regulation under their police power. Inclusionary housing ordinances require that developers allocate a certain percentage of housing units in a new development to be affordable to low- and moderate-income households.\n\n\"Nearly 170 cities and counties in California have implemented inclusionary housing policies to address the shortage of affordable housing across the state. These ordinances vary in the inclusionary housing unit requirements, depth of affordability, and alternative methods of compliance for developers. Since 2003, inclusionary programs have produced more than 30,000 affordable housing units to working households, seniors, and special needs populations. AB 2502 restores local governments' ability to enact inclusionary housing policies by clarifying that the Costa-Hawkins rent control law does not apply to inclusionary housing policies.\n\n\"In 2009, a state appellate court ruling in the Palmer v. City of Los Angeles case indicated that the state's Costa-Hawkins Rental Housing Act prohibits local governments from creating affordable rental housing through local inclusionary programs.\n\n\"AB 2502 is identical to AB 1229 (Atkins), which Governor Brown vetoed in 2013. In his veto message, the Governor indicated that prior to making a legislative change regarding inclusionary housing, he wanted to wait for the California Supreme Court to issue its decision on the California Building Industry Association (CBIA) v. City of San Jose case. In this case, CBIA argued that San Jose's 15% inclusionary housing ordinance is unconstitutional on the basis of the Fifth Amendment, which indicates that private property should not be taken for public use without just compensation. In June 2015, the Supreme Court unanimously upheld San Jose's inclusionary housing ordinance and ruled that the ordinance is an exercise of the city's police power.\"\n\nPrior Legislation: AB 1229 (Atkins, 2013) would have expressly authorized cities and counties to establish inclusionary housing requirements as a condition of development. The bill further declares the intent of the Legislature to supersede any holding or dicta in Palmer v. City of Los Angeles that conflicts with this authority.\n\nAB 1229 was vetoed with the following message:\n\n\"This bill would supersede the holding of Palmer v. City of Los Angeles and allow local governments to require inclusionary housing in new residential development projects. As Mayor of Oakland, I saw how difficult it can be to attract development to low and middle income communities. Requiring developers to include below-market units in their projects can exacerbate these challenges, even while not meaningfully increasing the amount of affordable housing in a given community. The California Supreme Court is currently considering when a city may insist on inclusionary housing in new developments. I would like the benefit of the Supreme Court's thinking before we make legislative adjustments in this area.\"\n\nArguments in Support: According to supporters, \"AB 2502 clarifies state law and allows jurisdictions to choose the affordable housing policies that fit the development context in their communities. Local inclusionary housing programs have provide one of the most effective tools for producing new homes affordable to working families and creating strong, diverse neighborhoods with a range of housing choices. Nearly 170 cities and counties in California have adopted inclusionary housing polices as a complement to other local, state, and federal strategies to address the state's ongoing affordable housing shortage. \"\n\nArguments in Opposition: According to opponents, \"this bill does more than respond to Palmer by expressly authorizing local governments to condition all market-rate development on the provision of below market-rate affordable housing, not limited to rental development which was the subject of the Palmer case. Furthermore this measure mandates prices controls on marketrate housing projects, which will manifest as a tax on new homebuyers and renters. The net result would be a damper on housing production and negative impacts to local economies and employment centers.\"\n\nREGISTERED SUPPORT / OPPOSITION:\n\nSupport\n\nNon-Profit Housing Association of Northern California (sponsor) Alameda County Board of Supervisors Alliance for Community Transit – Los Angeles (ACT-LA) American Planning Association, California Chapter Asian Pacific Environmental Network Bay Area Regional Health Inequities Initiative Burbank Housing Development Corporation California Coalition for Rural Housing California Housing Consortium California Housing Partnership Corporation California Pan-Ethnic Health Network California Rural Legal Assistance Foundation California State Association of Counties\n\nCentury Housing\n\nChinatown Community Development Center\n\nCities Association of Santa Clara County\n\nCity and County of San Francisco\n\nCity of Belmont\n\nCity of Freemont\n\nCity of Napa\n\nCity of San Jose\n\nCity of Sunnyvale\n\nCity of Walnut Creek\n\nCity of West Hollywood\n\nCommunity Housing Opportunities Corporation\n\nCommunity Housing Partnership\n\nCommunity Legal Services in East Palo Alto\n\nContra Costa County Board of Supervisors\n\nEast Bay Housing Organizations\n\nEast LA Community Corporation\n\nEvery One Home\n\nFaith in Action Bay Area\n\nGreenbelt Alliance\n\nGreenlining Institute\n\nGrounded Solutions Network\n\nHIP Housing\n\nHousing California\n\nKoreatown Immigrant Workers Alliance (KIWA)\n\nLaw Foundation of Silicon Valley\n\nLeague of California Cities\n\nLeague of Women Voters of California\n\nLittle Tokyo Service Center\n\nLos Angeles County Board of Supervisors\n\nMarin County Board of Supervisors\n\nMidPen Housing Corporation\n\nMulticultural Communities for Mobility\n\nNational Association of Social Workers, California Chapter\n\nNorthern California Community Loan Fund\n\nPeer Advocated SRHT\n\nPeople's Self-Help Housing\n\nPhysicians for Social Responsibility-LA (PSR-LA)\n\nPlanning and Conservation League\n\nPublic Advocates, Inc.\n\nPublic Counsel\n\nSan Diego Housing Federation\n\nSan Francisco Council of Community Housing Organizations\n\nSonoma County Board of Supervisors\n\nSoutheast Asian Community Alliance\n\nSt. Mary's Center\n\nStrategic Actions for a Just Economy (SAJE)\n\nT.R.U.S.T. South LA\n\nTenants Together\n\nThai Community Development Center\n\nWestern Center on Law and Poverty\n\nOpposition\n\nApartment Association California Southern Cities\n\nApartment Association of Greater Los Angeles\n\nApartment Association of Orange County\n\nCalifornia Apartment Association\n\nCalifornia Association of Realtors\n\nCalifornia Building Industry Association\n\nCalifornia Business Properties Association\n\nCalifornia Chamber of Commerce\n\nEast Bay Rental Housing Association\n\nGH Palmer Associates\n\nNorth Valley Property Owner Association\n\nSan Diego County Apartment Association\n\nSanta Barbara Rental Property Association\n\nSouthwest California Legislative Council\n\nAnalysis Prepared by: Lisa Engel / H. & C.D. / (961) 319-2085\n</text>\n", "role": "user" }, { "content": "w affordable housing exactions and conditions imposed on residential development by the Ordinance.", "role": "assistant" } ]
Department of Emergency Medicine and Department of Community Health and Epidemiology, Queen's University at Kingston, Canada T Faelker W Pickett R J Brison Correspondence to: Dr William Pickett, Department of Emergency Medicine, Queen's University, Angada 3, Kingston General Hospital, 76 Stuart St, Kingston, Ontario, Canada K7L 2V7 (email: [email protected]) Socioeconomic diVerences in childhood injury: a population based epidemiologic study in Ontario, Canada Taron Faelker, William Pickett, Robert J Brison Abstract Objective—To determine whether risks for childhood injury vary according to socioeconomic gradients. Design—Population based, retrospective study. The percentage of individuals living below the poverty line (described ecologically using census data) was the primary measure of socioeconomic status. Setting—Catchment area of a tertiary medical centre that provides emergency services to all area residents. Area residents aged 0–19 years during 1996 were included. As is the case with many aspects of health and disease, the occurrence of childhood injury has been associated with socioeconomic factors including measures of poverty,1–4 education2 3 5 unemployment, 6 7 and social status. 8 9 Children of lower socioeconomic status generally have a greater risk of both fatal1 4 8–11 and non-fatal injury.1–3 6 Although as much as a threefold increase in the risk for non-fatal injury has been observed among impoverished children,1–3 others failed to identify any association12–15 or attributed the association to other factors, such as race or access to care.16 17 Observations—Injuries that occurred during 1996 were identiﬁed by an emergency department based surveillance system. The study population was divided into socioeconomic grades based upon percentages of area residents living below the poverty line. Multiple Poisson regression analyses were used to quantify associations and assess the statistical signiﬁcance of trends. Results—5894 childhood injuries were identiﬁed among 35 380 eligible children; 985 children with missing socioeconomic data were excluded. A consistent relation between poverty and injury was evident. Children in the highest grade (indicating higher poverty levels) experienced injury rates that were 1.67 (95% conﬁdence interval 1.48 to 1.89) higher than those in the lowest grade (adjusted relative risk for grades 1-V: 1.00,1.10,1.22,1.42, 1.67; ptrend<0.001). These patterns were observed within age/sex strata; for home, recreational, and fall injuries; and for injuries of minor and moderate severities. Conclusions—Socioeconomic diVerences in childhood injury parallel mortality and morbidity gradients identiﬁed in adult populations. This study conﬁrms that this health gradient is observable in a population of children using emergency department data. Given the population based nature of this study, these ﬁndings are likely to be reﬂected in other settings. The results suggest the need for targeted injury prevention eVorts among children from economically disadvantaged populations, although the exact requirements of the optimal prevention approach remain elusive. (Injury Prevention 2000;6:203–208) Keywords: injury surveillance; socioeconomic status; poverty www.injuryprevention.com The study of non-fatal injuries on a population basis is uncommon, and the reporting of these injuries is often dependent on the severity of injury and whether medical care is obtained. The absence of population based data makes it impossible to calculate meaningful rates of injury in most situations. In addition, it is often diYcult to construct an accurate measure of socioeconomic status.18 19 These factors may account, in part, for any inconsistencies that have been observed.1–3 12–17 Causal pathways by which socioeconomic factors may aVect the occurrence of injury are also not well understood. The injury experience of children living in poverty is a priority for many researchers. Few studies, however, have examined relationships between socioeconomic status and non-fatal injury in Canada. Due to diVerences in the manner in which injuries are identiﬁed and treated, it is diYcult to know whether patterns of injury and health gradients observed in other countries can be generalised. In this study we had the opportunity to determine whether socioeconomic gradients in health status exist for childhood injuries in the population surrounding Kingston. The study was made possible due to the existence of a population based, emergency department injury surveillance system. Methods A retrospective study was conducted using linked data from the Kingston site of the Canadian Hospitals Injury Reporting and Prevention Program (CHIRPP), 20 ecologic data on socioeconomic status from the 1996 Canada census of population, 21 and patient records from two general hospitals. The CHIRPP program was established in 1990, and contains information on emergency room visits for the treatment of injuries presenting to Canada's 10 paediatric hospitals and to six general hospitals. 20 CHIRPP data from two Table 1 Distribution of childhood injuries by six indicators of socioeconomic status CI = conﬁdence interval. general hospitals in Kingston, Ontario (a component of the Kingston and Region Injury Surveillance Program) are population based for injuries seen at emergency departments. 22 Information was compiled on all incident cases of injury, inclusive in the International Classiﬁcation of Diseases, ninth revision (ICD-9) codes E800–E999, 23 with the exception of: injuries as a result of medical care (E870–E879), therapeutic treatment (E930–E949), or insect bites (E905.1–E905.5, E906.4). The sampling frame was all children in the population served by the two general hospitals in Kingston, Ontario during the 1996 calendar year, at which time the Kingston Region had a population of 36 365 children under 20 years. 21 Injuries to these children were identiﬁed from the CHIRPP system, and the following were obtained for each case: the age, sex and residential postal code of the child, the location and context in which the injury occurred, and the level of treatment received. ICD-9 E codes indicating the mechanism of injury were obtained from hospital records. These records were linked individually to the CHIRPP records using a series of sequential queries based upon: patient chart number, the ﬁrst three letters of the patient's surname, date of birth, sex, and postal code. Record linkage was achieved in 95% of cases. Each postal code was assigned to a Canada census of population enumeration area using the automated geographic coding program, Geocodes/PCCF. 24 Census enumeration areas range from a maximum of 440 dwellings to a minimum of 125 in some rural areas. 25 Socioeconomic data were obtained from the Table 2 Association between socioeconomic status and childhood injury by sex and ﬁve year age group Low income categories based on % individuals within enumeration area living in households with incomes below poverty lines. Percentages for categories I, II, III, IV, and V were 0–9.9, 10–19.9, 20–29.9, 30–39.9, and 40%+ respectively. †Adjusted rate ratios were adjusted for age group, sex, and selected socioeconomic status covariates listed in table 1. CI = conﬁdence interval. www.injuryprevention.com Table 3 Association between socioeconomic status and childhood injury by type of injury Low income categories based on % individuals within enumeration area living in households with incomes below poverty lines. Percentages for categories I, II, III, IV and V were 0–9.9, 10–19.9, 20–29.9, 30–39.9, and 40%+ respectively. †Adjusted rate ratios were adjusted for age group, sex, and selected socioeconomic status covariates listed in table 1. CI = conﬁdence interval. 1996 Canada census. For each enumeration area the following were identiﬁed: (1) % individuals living below the poverty line, 26 (2) % individuals with less than a high school education; (3) % individuals who were unemployed; (4) % families headed by a single parent; (5) average dwelling value; (6) % dwellings in need of repair. Enumeration areas were each assigned to levels of socioeconomic status according to the pre-established criteria reﬂected in table 1. The numbers of injuries in the enumeration areas were tabulated by ﬁve year age groups and sex, with separate tabulations for the following: (1) total injuries; (2) home injuries (CHIRPP location codes); (3) sports injuries (CHIRPP context codes); (4) recreation or play injuries (CHIRPP context codes); (5) injuries resulting from falls (ICD-9 E800– E888); (6) traYc injuries (E810-E829); and (7) injuries of minor, moderate, and extreme severities (CHIRPP disposition codes). Stratum speciﬁc, annual rates of injury (per 1000) were calculated within levels of each of the six indicators of socioeconomic status using denominator data from the census. 21 Bivariate rate ratios and associated 95% conﬁdence intervals were calculated for these rates. As would be expected, the socioeconomic indicators were highly correlated (data not shown). Therefore, a single indicator—% individuals living below the poverty line—was selected for further, etiological analyses. Using this indicator, injury rates and associated 95% conﬁdence intervals were then calculated for: the total study population, males, females, by ﬁve year age group, by injury type, and by level of severity. Associations between socioeconomic status and injury were further investigated using multiple Poisson regression 27 with simultaneous adjustment for other socioeconomic factors identiﬁed via backward selection procedures. www.injuryprevention.com Tests for linear trend28 were applied to determine if the calculated rate ratios increased with increasing level of poverty. Sensitivity analyses were then performed to explore whether: (1) gradients in risk could be explained by diVerential access to emergency medical services by grade ofsocioeconomic status, as indicated by distance to, and multiple use of the emergency departments; (2) exclusion of enumeration areas that were predominantly populated by university/college students changed the observed gradients in risk. All analyses were conducted in SAS (Cary, NC; version 6.12, 1997) and EGRET (Seattle, WA; SERC; version 0.04, 1994). Results A total of 5894 injuries were identiﬁed among the 35 380 eligible children during 1996; 985 children with missing socioeconomic data were excluded. Rates of injury are presented in table 1 for various levels of socioeconomic status, as measured by the six indicators. Within each of these indicators there was evidence of statistically signiﬁcant increases in risk for injury associated with lower levels of socioeconomic status. All provide strong evidence of a linear relationship between increasing economic disadvantage and higher risk for childhood injury. Table 2 presents injury rates and associated rate ratios for childhood injury for ﬁve grades of socioeconomic status (I-V) as indicated by the percentage of individuals living in enumeration areas with household incomes below poverty lines. The observed risk gradient was evident in the rates of injury as well as the adjusted rate ratios. This pattern was observed in both sexes, and each of the age groups. The increases in risk and the observed gradient were especially strong in the 15–19 year old age group. Although still apparent, the gradient in Table 4 Association between socioeconomic status and childhood injury: by severity of injury *Low income categories based on % individuals within enumeration area living in households with incomes below poverty lines. Percentages for categories I, II, III, IV, and V were 0–9.9, 10–19.9, 20–29.9, 30–39.9, and 40%+ respectively. †Treated with advice only or treated and follow up not required. ‡Treated and follow up required or required a short stay in emergency department. §Admitted to hospital or transferred to another hospital. ¶Adjusted rate ratios were adjusted for age group, sex, and selected socioeconomic status covariates listed in table 1. CI = conﬁdence interval. this age group was weakened after exclusion of the university/college enumeration areas (data not shown). Table 3 summarises a similar analysis for diVerent types of injury outcomes. Gradients of risk by socioeconomic status were evident for home, recreation/play, and fall injuries, but there was little suggestion of a gradient for sports injuries. Table 4 shows that that the observed gradients were also seen in injuries of varying severities, although the gradient for extreme injuries was not statistically signiﬁcant. Finally, the risks observed did not change substantially when the enumeration areas from outside of the urban core were excluded from the analysis, or when children who were injured more than once were removed from the analysis (data not shown). Discussion The major ﬁnding of this population based, retrospective study was that socioeconomic gradients exist for childhood injuries. The study is regarded as "ecological" because socioeconomic status was deﬁned for each case based upon ecological observations made at the census tract level. Children living in impoverished areas experienced higher rates of non-fatal injury relative to more aZuent neighbourhoods. Further, this gradient was observed consistently within subgroups of the population, and for injuries of diVerent types and severity. These ﬁndings are consistent with many past studies of childhood injury. When children from the most disadvantaged backgrounds/ settings are compared with aZuent children, major disparities in risk for childhood injury fatalities have been observed; for example: 1.3– 1.7 to 1 (United States), 11 2.6 to 1 (Maine, USA), 4 and 2 to 1 with higher ratios for ﬁres, falls, and drownings (Great Britain). 8 Disparities by income quintile have also been reported for injuries presenting to emergency departments (3 to 1; Australia), 3 hospitalizations (1.6–4.5 to 1, dependent upon cause; Northern Manhattan, USA), 2 and traYc injuries that www.injuryprevention.com lead to death, hospitalization, or a police inquiry (4 to 1; Montreal, Canada).1 The overall gradient in risk observed in the present study (1.67 to 1, for incomes quintiles V v 1) is relatively modest compared with the above ﬁndings, but substantial compared with others who examined the full spectrum of medically treated injuries reported by children in Australia, for example Langley et al, 12 and Great Britain, for example Williams et al. 15 1t appears, therefore, that that the strength of the childhood injury gradient observed by socioeconomic levels may be modiﬁed by speciﬁc study conditions, including the type and severity of injury under study, and conditions speciﬁc to the country and population being examined. The latter may include the nature of health care systems, and diVerential access to medical care by socioeconomic class. The observed gradient in Kingston is unlikely to be confounded by these factors, as the major options for medical treatment of childhood injuries are the two hospital based emergency departments, and all Canadian children are enrolled in a single, universally accessible health system. Further, family physicians in our area refer virtually all injuries to emergency for care, and the two walk-in clinics that are open in oV-hours are not equipped with x ray facilities, and use the same referral practices (R J Brison, Director CHIRPP, personal communication, 1999). The Black report from the United Kingdom is the sentinel study of associations between social class and health outcomes. 8 29 Large and persistent diVerences in mortality by occupational class were observed for many causes of death, including those associated with unintentional injury. A particularly steep class gradient was observed for childhood injuries.8 Explanations for these health gradients include material deprivation30 and societal barriers that would make it diYcult for those in the lower classes to protect their children from injury.29 Individuals living in poverty also experience high levels of stress and associated illnesses,31 and have fewer resources to allocate towards supervised child care32 or safety measures in the home.33 Impoverished neighbourhoods may also have fewer safe play areas such as parks and fenced-in yards, or they may be closer to busy streets and industrial sites. Although these conditions contribute to diVerential injury risks in other populations, we were unable to verify their causal connections because of limitations in our data. This level of detail is not collected routinely as part of the CHIRPP or hospital data protocols. The observed socioeconomic gradient was not observed for every injury outcome, and this is consistent with the ﬁndings of others. 3 34 The failure to observe a strong gradient for sports injury may be attributable to the diVerent opportunities, and hence exposure, to sports activities among children in diVerent socioeconomic grades. Children from impoverished areas may be less likely to participate in sports because of the high costs of registration and equipment. For traYc injuries and for injuries of extreme severity, although the results were suggestive, our failure to identify a statistically signiﬁcant gradient was likely due to the limited numbers of cases in these subgroups. Past studies have demonstrated strong socioeconomic gradients for pedestrian and bicycle injuries 35 36 and fatalities. 5 9 As stated previously, it is unlikely that the observed gradient can be attributed to diVerential access or use of emergency medical services by grade of socioeconomic status. This might also occur if people from diVerent grades were required to travel diVerent distances to use the emergency system. However, when the analysis was stratiﬁed by distance to the hospitals, a similar gradient was observed within each distance stratum. Further, we postulated that people from impoverished areas might use the emergency department as their sole source of emergency care, whereas others would sometimes use other forms of care in emergency situations. 37 If true, this diVerence in access could explain the gradient. We believe this explanation to be unlikely. When repeat visits by the same children were removed from the analysis, the gradients by socioeconomic status remained. Further, a similar risk gradient was observed for severe injuries (table 4), all of which would be expected to present to emergency for treatment, irrespective of socioeconomic status. These analyses suggest that the gradients in childhood injury cannot be dismissed as reporting artefacts. The major strengths of this investigation are as follows. The study examined a large population of children in a well deﬁned geographic region. The population based nature of the injury surveillance system is unique. We are unaware of any other emergency based surveillance systems that have this feature in Canada. Although the CHIRPP system is limited because E codes are not recorded, this was overcome by linking CHIRPP records with patient records held by the two participating hospitals. Finally, the study examined a variety of indicators of socioeconomic status, including measures of household income, education, unemployment, the absence of two parents, and dwelling values and condition. While these www.injuryprevention.com 207 each measured slightly diVerent aspects of the same construct, the percentage of households with incomes below poverty lines appeared to provide the best indication of childhood poverty. The observed gradient in risk was strongest for this indicator, and remained unchanged after simultaneous adjustment for each of the other socioeconomic measures. This provides direction for the selection of socioeconomic indicators in future investigations of this type. The study also had some important limitations. Because socioeconomic data could not be obtained at an individual level, the exposure assessment was ecological in nature. Inferences about the eVects of poverty on the occurrence of childhood injury must be made with caution due to the ecologic fallacy. 38 Our analysis was also limited by the amount of available information on potentially important covariates (for example parental and child behaviour attributes) that could have aVected the relationship between socioeconomic status and injury risks. Finally, the injuries under study were attributed to socioeconomic characteristics of the areas in which children live, although they could have been caused by hazards in other locations. It is probable that even stronger gradients in risk were masked due to this misclassiﬁcation of exposure. Implications and conclusion The results of this study suggest that socioeconomic gradients in health status exist for childhood injuries treated in emergency departments. These gradients parallel mortality and morbidity patterns identiﬁed in adult and other child populations. We believe that this study is a unique contribution to the Canadian injury literature. It is also one of the ﬁrst international studies to describe the childhood injury gradient both overall, and for a variety of injury types, using emergency department data assembled comprehensively for an entire population. Given the population based nature of this study, these ﬁndings are likely to be found in other settings. The results suggest the need for local and national authorities to target injury prevention eVorts among children from economically disadvantaged populations. Formal surveillance of the hazards to which these children are exposed may also be warranted. However, few interventions to reduce childhood injury in these populations have been rigorously evaluated, and the optimal approach to prevention remains elusive. Home visitation programs have been advocated as one possible solution, for example postnatal home visits to socially disadvantaged mothers have been associated with reduced rates of early childhood injury, 39 and (by extrapolation) this strategy may be eYcacious in other situations. In general, however, purely educational measures (targeted or otherwise) have not been shown to reduce childhood injuries in the short term. 40 The most promising interventions for socially disadvantaged children are legislative and regulatory controls, 40 or a combination of legislation, environmental modiﬁcation, and educational eVorts implemented at the community level, combined with the sustained use of surveillance. 41 Our ﬁndings suggest that these interventions should be directed speciﬁcally towards the amelioration of home, recreational and fall injury hazards, as these are particularly important injury patterns among socially disadvantaged children. Financial support was provided by the Child Injury Division of Health Canada and the KFLA/Queen's Teaching Health Unit. The authors thank Kathy Bowes from the Kingston and Region Injury Surveillance Program (data collection), and Russel Wilkins from Health Canada (provision of the Geocodes/PCCF program). Dr Pickett is a Career Scientist funded by the Ontario Ministry of Health and Long-term Care. 1 Dougherty G, Pless IB, Wilkins R. Social class and the occurrence of traYc injuries and deaths in urban children. Can J Public Health 1990;81:204–9. 3 Jolly DL, Moller JN, Volkmer RE. The socio-economic context of child injury in Australia. J Paediatr Child Health 1993;29:438–44. 2 Durkin MS, Davidson LL, Kuhn L, et al. Low-income neighborhoods and the risk of severe pediatric injury: a small-area analysis in northern Manhattan. Am J Public Health 1994;84:587–92. 4 Nersesian WS, Petit MR, Shaper R, et al. Childhood death and poverty: a study of all childhood deaths in Maine, 1976 to 1980. Pediatrics 1985;75:41–50. 6 Roberts I, Marshall R, Norton R, et al. An area analysis of child injury morbidity in Auckland. J Paediatr Child Health 1992;28:438–41. 5 Scholer SJ, Mitchel EF Jr, Ray WA. Predictors of injury mortality in early childhood. Pediatrics 1997;100:342–7. 7 Harris MJ, Kotch JB. Unintentional infant injuries: sociodemographic and psychosocial factors. Public Health Nurs 1994;11:90–7. 8 Black D, Morris J, Smith C, et al. Inequalities in health. (Black report.) Markham: Penguin Books, 1982. 9 Roberts I. Cause speciﬁc social class mortality diVerentials for child injury and poisoning in England and Wales. J Epidemiol Community Health 1997;51:334–5. 11 Mare RD. Socioeconomic eVects on child mortality in the United States. Am J Public Health 1982;72:539–47. 10 Wise PH, Kotelchuck M, Wilson ML, et al. Racial and socioeconomic disparities in childhood mortality in Boston. N Engl J Med 1985;313:360–6. 12 Langley J, Silva P, Williams S. Socio-economic status and childhood injuries. Aust Paediatr J 1983;19:237–40. 14 Addor V, Santos-Eggimann B. Population-based incidence 155: 13 Anderson R, Dearwater SR, Olsen T, et al. The role of socioeconomic status and injury morbidity risk in adolescents. Arch Pediatr Adolesc Med 1994;148:245–9. of injuries among preschoolers. Eur J Pediatr 1996; 130–5. 15 Williams JM, Currie CE, Wright P, et al. Socioeconomic status and adolescent injuries. Soc Sci Med 1997;44:1881– 91. 16 Overpeck MD, Jones DH, Trumble AC, et al. Socioeconomic and racial/ethnic factors aVecting non-fatal medically attended injury rates in US children. Inj Prev 1997;3: 272–6. 17 Scheidt PC, Harel Y, Trumble AC, et al. The epidemiology of nonfatal injuries among US children and youth. Am J Public Health 1995;85:932–8. www.injuryprevention.com 18 Krieger N, Williams DR, Moss NE. Measuring social class in US public health research: concepts, methodologies, and guidelines. Annu Rev Public Health 1997;18:341–78. 19 Liberatos P, Link BG, Kelsey JL. The measurement of social class in epidemiology. Epidemiol Rev 1988;10:87–121. 20 Mackenzie SG, Pless IB. CHIRPP: Canada's principal injury surveillance program. Inj Prev 1999;5:208–13. 21 Statistics Canada. 1996 Census of population. 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Woodsworth Publishing Company, 1995. 29 Hertzman C, Frank J, Evans RG. Heterogeneities in health status and the determinants of population health. In: Evans RG, Barer ML, Marmor TR, eds. Why are some people healthy and others not? New York: Aldine De Gruyter, 1994: 67–92. 30 Townsend P, Phillimore P, Beattie A. Health and deprivation. London: Croom Helm, 1988. 31 Canadian Public Health Association. Health impacts of social and economic conditions: implication for public policy. Ottawa: Canadian Public Health Association, 1997. 32 Gustafsson LH. Childhood accidents. Scand J Soc Med 1977;5:5–13. 33 Paul CL, Redman S, Evans D. The cost and availability of devices for preventing childhood injuries. J Paediatr Child Health 1992;28:22–6. 34 Mummery WK, Spence JC, Vincenten JA, et al. A descriptive epidemiology of sport and recreation injuries in a population-based sample: results from the Alberta sport and recreation injury survey. Can J Public Health 1998;89: 53–6. 35 Joly MF, Foggin PM, Pless IB. Geographical and socioecological variations of traYc accidents among children. Soc Sci Med 1991;33:765–9. 37 Leslie DR. Health and poverty. New York: Haworth Press, 1997. 36 Braddock M, Lapidus G, Gregorio D, et al. Population, income, and ecological correlates of child pedestrian injury. Pediatrics 1991;88:1242–7. 38 Morgenstern H. Ecologic studies in epidemiology: concepts, principles, and methods. Annu Rev Public Health 1995;16:61–81. 39 Hodnett ED, Roberts I. Home-based social support for socially disadvantaged mothers. (Cochrane review.) Cochrane Library, Issue 1, 2000. Oxford: Update Software. 40 Munro J, Coleman P, Nicholl J, et al. Can we prevent accidental injury to adolescents? A systematic review of the evidence. Inj Prev 1995;1:249–55. 41 Dowswell T, Towner EM, Simpson G, et al. Preventing childhood unintentional injuries—what works? A literature review. Inj Prev 1996;2:140–9.	<urn:uuid:5520b871-fa8a-4b5b-8647-831924d03c72>	CC-MAIN-2020-40	https://injuryprevention.bmj.com/content/injuryprev/6/3/203.full.pdf	2020-09-20T10:56:08+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2020-40/subset=warc/part-00000-50bb8e61-7c5b-4d2c-bd34-dad6ca92b697.c000.gz.parquet	448,224,951	6,324	eng_Latn	eng_Latn	0.974147	eng_Latn	0.99372	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 5096, 7341, 11473, 16311, 22469, 28980 ]	Department of Emergency Medicine and Department of Community Health and Epidemiology, Queen's University at Kingston, Canada T Faelker W Pickett R J Brison Correspondence to: Dr William Pickett, Department of Emergency Medicine, Queen's University, Angada 3, Kingston General Hospital, 76 Stuart St, Kingston, Ontario, Canada K7L 2V7 (email: [email protected]) Socioeconomic diVerences in childhood injury: a population based epidemiologic study in Ontario, Canada Taron Faelker, William Pickett, Robert J Brison Abstract Objective—To determine whether risks for childhood injury vary according to socioeconomic gradients. Design—Population based, retrospective study. The percentage of individuals living below the poverty line (described ecologically using census data) was the primary measure of socioeconomic status. Setting—Catchment area of a tertiary medical centre that provides emergency services to all area residents. Area residents aged 0–19 years during 1996 were included. As is the case with many aspects of health and disease, the occurrence of childhood injury has been associated with socioeconomic factors including measures of poverty,1–4 education2 3 5 unemployment, 6 7 and social status. 8 9 Children of lower socioeconomic status generally have a greater risk of both fatal1 4 8–11 and non-fatal injury.1–3 6 Although as much as a threefold increase in the risk for non-fatal injury has been observed among impoverished children,1–3 others failed to identify any association12–15 or attributed the association to other factors, such as race or access to care.16 17 Observations—Injuries that occurred during 1996 were identiﬁed by an emergency department based surveillance system. The study population was divided into socioeconomic grades based upon percentages of area residents living below the poverty line. Multiple Poisson regression analyses were used to quantify associations and assess the statistical signiﬁcance of trends. Results—5894 childhood injuries were identiﬁed among 35 380 eligible children; 985 children with missing socioeconomic data were excluded. A consistent relation between poverty and injury was evident. Children in the highest grade (indicating higher poverty levels) experienced injury rates that were 1.67 (95% conﬁdence interval 1.48 to 1.89) higher than those in the lowest grade (adjusted relative risk for grades 1-V: 1.00,1.10,1.22,1.42, 1.67; ptrend<0.001). These patterns were observed within age/sex strata; for home, recreational, and fall injuries; and for injuries of minor and moderate severities. Conclusions—Socioeconomic diVerences in childhood injury parallel mortality and morbidity gradients identiﬁed in adult populations. This study conﬁrms that this health gradient is observable in a population of children using emergency department data. Given the population based nature of this study, these ﬁndings are likely to be reﬂected in other settings. The results suggest the need for targeted injury prevention eVorts among children from economically disadvantaged populations, although the exact requirements of the optimal prevention approach remain elusive. (Injury Prevention 2000;6:203–208) Keywords: injury surveillance; socioeconomic status; poverty www.injuryprevention.com The study of non-fatal injuries on a population basis is uncommon, and the reporting of these injuries is often dependent on the severity of injury and whether medical care is obtained. The absence of population based data makes it impossible to calculate meaningful rates of injury in most situations. In addition, it is often diYcult to construct an accurate measure of socioeconomic status.18 19 These factors may account, in part, for any inconsistencies that have been observed.1–3 12–17 Causal pathways by which socioeconomic factors may aVect the occurrence of injury are also not well understood. The injury experience of children living in poverty is a priority for many researchers. Few studies, however, have examined relationships between socioeconomic status and non-fatal injury in Canada. Due to diVerences in the manner in which injuries are identiﬁed and treated, it is diYcult to know whether patterns of injury and health gradients observed in other countries can be generalised. In this study we had the opportunity to determine whether socioeconomic gradients in health status exist for childhood injuries in the population surrounding Kingston. The study was made possible due to the existence of a population based, emergency department injury surveillance system. Methods A retrospective study was conducted using linked data from the Kingston site of the Canadian Hospitals Injury Reporting and Prevention Program (CHIRPP), 20 ecologic data on socioeconomic status from the 1996 Canada census of population, 21 and patient records from two general hospitals. The CHIRPP program was established in 1990, and contains information on emergency room visits for the treatment of injuries presenting to Canada's 10 paediatric hospitals and to six general hospitals. 20 CHIRPP data from two Table 1 Distribution of childhood injuries by six indicators of socioeconomic status CI = conﬁdence interval. general hospitals in Kingston, Ontario (a component of the Kingston and Region Injury Surveillance Program) are population based for injuries seen at emergency departments. 22 Information was compiled on all incident cases of injury, inclusive in the International Classiﬁcation of Diseases, ninth revision (ICD-9) codes E800–E999, 23 with the exception of: injuries as a result of medical care (E870–E879), therapeutic treatment (E930–E949), or insect bites (E905.1–E905.5, E906.4). The sampling frame was all children in the population served by the two general hospitals in Kingston, Ontario during the 1996 calendar year, at which time the Kingston Region had a population of 36 365 children under 20 years. 21 Injuries to these children were identiﬁed from the CHIRPP system, and the following were obtained for each case: the age, sex and residential postal code of the child, the location and context in which the injury occurred, and the level of treatment received. ICD-9 E codes indicating the mechanism of injury were obtained from hospital records. These records were linked individually to the CHIRPP records using a series of sequential queries based upon: patient chart number, the ﬁrst three letters of the patient's surname, date of birth, sex, and postal code. Record linkage was achieved in 95% of cases. Each postal code was assigned to a Canada census of population enumeration area using the automated geographic coding program, Geocodes/PCCF. 24 Census enumeration areas range from a maximum of 440 dwellings to a minimum of 125 in some rural areas. 25 Socioeconomic data were obtained from the Table 2 Association between socioeconomic status and childhood injury by sex and ﬁve year age group Low income categories based on % individuals within enumeration area living in households with incomes below poverty lines. Percentages for categories I, II, III, IV, and V were 0–9.9, 10–19.9, 20–29.9, 30–39.9, and 40%+ respectively. †Adjusted rate ratios were adjusted for age group, sex, and selected socioeconomic status covariates listed in table 1. CI = conﬁdence interval. www.injuryprevention.com Table 3 Association between socioeconomic status and childhood injury by type of injury Low income categories based on % individuals within enumeration area living in households with incomes below poverty lines. Percentages for categories I, II, III, IV and V were 0–9.9, 10–19.9, 20–29.9, 30–39.9, and 40%+ respectively. †Adjusted rate ratios were adjusted for age group, sex, and selected socioeconomic status covariates listed in table 1. CI = conﬁdence interval. 1996 Canada census. For each enumeration area the following were identiﬁed: (1) % individuals living below the poverty line, 26 (2) % individuals with less than a high school education; (3) % individuals who were unemployed; (4) % families headed by a single parent; (5) average dwelling value; (6) % dwellings in need of repair. Enumeration areas were each assigned to levels of socioeconomic status according to the pre-established criteria reﬂected in table 1. The numbers of injuries in the enumeration areas were tabulated by ﬁve year age groups and sex, with separate tabulations for the following: (1) total injuries; (2) home injuries (CHIRPP location codes); (3) sports injuries (CHIRPP context codes); (4) recreation or play injuries (CHIRPP context codes); (5) injuries resulting from falls (ICD-9 E800– E888); (6) traYc injuries (E810-E829); and (7) injuries of minor, moderate, and extreme severities (CHIRPP disposition codes). Stratum speciﬁc, annual rates of injury (per 1000) were calculated within levels of each of the six indicators of socioeconomic status using denominator data from the census. 21 Bivariate rate ratios and associated 95% conﬁdence intervals were calculated for these rates. As would be expected, the socioeconomic indicators were highly correlated (data not shown). Therefore, a single indicator—% individuals living below the poverty line—was selected for further, etiological analyses. Using this indicator, injury rates and associated 95% conﬁdence intervals were then calculated for: the total study population, males, females, by ﬁve year age group, by injury type, and by level of severity. Associations between socioeconomic status and injury were further investigated using multiple Poisson regression 27 with simultaneous adjustment for other socioeconomic factors identiﬁed via backward selection procedures. www.injuryprevention.com Tests for linear trend28 were applied to determine if the calculated rate ratios increased with increasing level of poverty. Sensitivity analyses were then performed to explore whether: (1) gradients in risk could be explained by diVerential access to emergency medical services by grade ofsocioeconomic status, as indicate	d by distance to, and multiple use of the emergency departments; (2) exclusion of enumeration areas that were predominantly populated by university/college students changed the observed gradients in risk.		10,017	inside_word	indicated	remove_all	<url> https://injuryprevention.bmj.com/content/injuryprev/6/3/203.full.pdf </url> <text> Department of Emergency Medicine and Department of Community Health and Epidemiology, Queen's University at Kingston, Canada T Faelker W Pickett R J Brison Correspondence to: Dr William Pickett, Department of Emergency Medicine, Queen's University, Angada 3, Kingston General Hospital, 76 Stuart St, Kingston, Ontario, Canada K7L 2V7 (email: [email protected]) Socioeconomic diVerences in childhood injury: a population based epidemiologic study in Ontario, Canada Taron Faelker, William Pickett, Robert J Brison Abstract Objective—To determine whether risks for childhood injury vary according to socioeconomic gradients. Design—Population based, retrospective study. The percentage of individuals living below the poverty line (described ecologically using census data) was the primary measure of socioeconomic status. Setting—Catchment area of a tertiary medical centre that provides emergency services to all area residents. Area residents aged 0–19 years during 1996 were included. As is the case with many aspects of health and disease, the occurrence of childhood injury has been associated with socioeconomic factors including measures of poverty,1–4 education2 3 5 unemployment, 6 7 and social status. 8 9 Children of lower socioeconomic status generally have a greater risk of both fatal1 4 8–11 and non-fatal injury.1–3 6 Although as much as a threefold increase in the risk for non-fatal injury has been observed among impoverished children,1–3 others failed to identify any association12–15 or attributed the association to other factors, such as race or access to care.16 17 Observations—Injuries that occurred during 1996 were identiﬁed by an emergency department based surveillance system. The study population was divided into socioeconomic grades based upon percentages of area residents living below the poverty line. Multiple Poisson regression analyses were used to quantify associations and assess the statistical signiﬁcance of trends. Results—5894 childhood injuries were identiﬁed among 35 380 eligible children; 985 children with missing socioeconomic data were excluded. A consistent relation between poverty and injury was evident. Children in the highest grade (indicating higher poverty levels) experienced injury rates that were 1.67 (95% conﬁdence interval 1.48 to 1.89) higher than those in the lowest grade (adjusted relative risk for grades 1-V: 1.00,1.10,1.22,1.42, 1.67; ptrend<0.001). These patterns were observed within age/sex strata; for home, recreational, and fall injuries; and for injuries of minor and moderate severities. Conclusions—Socioeconomic diVerences in childhood injury parallel mortality and morbidity gradients identiﬁed in adult populations. This study conﬁrms that this health gradient is observable in a population of children using emergency department data. Given the population based nature of this study, these ﬁndings are likely to be reﬂected in other settings. The results suggest the need for targeted injury prevention eVorts among children from economically disadvantaged populations, although the exact requirements of the optimal prevention approach remain elusive. (Injury Prevention 2000;6:203–208) Keywords: injury surveillance; socioeconomic status; poverty www.injuryprevention.com The study of non-fatal injuries on a population basis is uncommon, and the reporting of these injuries is often dependent on the severity of injury and whether medical care is obtained. The absence of population based data makes it impossible to calculate meaningful rates of injury in most situations. In addition, it is often diYcult to construct an accurate measure of socioeconomic status.18 19 These factors may account, in part, for any inconsistencies that have been observed.1–3 12–17 Causal pathways by which socioeconomic factors may aVect the occurrence of injury are also not well understood. The injury experience of children living in poverty is a priority for many researchers. Few studies, however, have examined relationships between socioeconomic status and non-fatal injury in Canada. Due to diVerences in the manner in which injuries are identiﬁed and treated, it is diYcult to know whether patterns of injury and health gradients observed in other countries can be generalised. In this study we had the opportunity to determine whether socioeconomic gradients in health status exist for childhood injuries in the population surrounding Kingston. The study was made possible due to the existence of a population based, emergency department injury surveillance system. Methods A retrospective study was conducted using linked data from the Kingston site of the Canadian Hospitals Injury Reporting and Prevention Program (CHIRPP), 20 ecologic data on socioeconomic status from the 1996 Canada census of population, 21 and patient records from two general hospitals. The CHIRPP program was established in 1990, and contains information on emergency room visits for the treatment of injuries presenting to Canada's 10 paediatric hospitals and to six general hospitals. 20 CHIRPP data from two Table 1 Distribution of childhood injuries by six indicators of socioeconomic status CI = conﬁdence interval. general hospitals in Kingston, Ontario (a component of the Kingston and Region Injury Surveillance Program) are population based for injuries seen at emergency departments. 22 Information was compiled on all incident cases of injury, inclusive in the International Classiﬁcation of Diseases, ninth revision (ICD-9) codes E800–E999, 23 with the exception of: injuries as a result of medical care (E870–E879), therapeutic treatment (E930–E949), or insect bites (E905.1–E905.5, E906.4). The sampling frame was all children in the population served by the two general hospitals in Kingston, Ontario during the 1996 calendar year, at which time the Kingston Region had a population of 36 365 children under 20 years. 21 Injuries to these children were identiﬁed from the CHIRPP system, and the following were obtained for each case: the age, sex and residential postal code of the child, the location and context in which the injury occurred, and the level of treatment received. ICD-9 E codes indicating the mechanism of injury were obtained from hospital records. These records were linked individually to the CHIRPP records using a series of sequential queries based upon: patient chart number, the ﬁrst three letters of the patient's surname, date of birth, sex, and postal code. Record linkage was achieved in 95% of cases. Each postal code was assigned to a Canada census of population enumeration area using the automated geographic coding program, Geocodes/PCCF. 24 Census enumeration areas range from a maximum of 440 dwellings to a minimum of 125 in some rural areas. 25 Socioeconomic data were obtained from the Table 2 Association between socioeconomic status and childhood injury by sex and ﬁve year age group Low income categories based on % individuals within enumeration area living in households with incomes below poverty lines. Percentages for categories I, II, III, IV, and V were 0–9.9, 10–19.9, 20–29.9, 30–39.9, and 40%+ respectively. †Adjusted rate ratios were adjusted for age group, sex, and selected socioeconomic status covariates listed in table 1. CI = conﬁdence interval. www.injuryprevention.com Table 3 Association between socioeconomic status and childhood injury by type of injury Low income categories based on % individuals within enumeration area living in households with incomes below poverty lines. Percentages for categories I, II, III, IV and V were 0–9.9, 10–19.9, 20–29.9, 30–39.9, and 40%+ respectively. †Adjusted rate ratios were adjusted for age group, sex, and selected socioeconomic status covariates listed in table 1. CI = conﬁdence interval. 1996 Canada census. For each enumeration area the following were identiﬁed: (1) % individuals living below the poverty line, 26 (2) % individuals with less than a high school education; (3) % individuals who were unemployed; (4) % families headed by a single parent; (5) average dwelling value; (6) % dwellings in need of repair. Enumeration areas were each assigned to levels of socioeconomic status according to the pre-established criteria reﬂected in table 1. The numbers of injuries in the enumeration areas were tabulated by ﬁve year age groups and sex, with separate tabulations for the following: (1) total injuries; (2) home injuries (CHIRPP location codes); (3) sports injuries (CHIRPP context codes); (4) recreation or play injuries (CHIRPP context codes); (5) injuries resulting from falls (ICD-9 E800– E888); (6) traYc injuries (E810-E829); and (7) injuries of minor, moderate, and extreme severities (CHIRPP disposition codes). Stratum speciﬁc, annual rates of injury (per 1000) were calculated within levels of each of the six indicators of socioeconomic status using denominator data from the census. 21 Bivariate rate ratios and associated 95% conﬁdence intervals were calculated for these rates. As would be expected, the socioeconomic indicators were highly correlated (data not shown). Therefore, a single indicator—% individuals living below the poverty line—was selected for further, etiological analyses. Using this indicator, injury rates and associated 95% conﬁdence intervals were then calculated for: the total study population, males, females, by ﬁve year age group, by injury type, and by level of severity. Associations between socioeconomic status and injury were further investigated using multiple Poisson regression 27 with simultaneous adjustment for other socioeconomic factors identiﬁed via backward selection procedures. www.injuryprevention.com Tests for linear trend28 were applied to determine if the calculated rate ratios increased with increasing level of poverty. Sensitivity analyses were then performed to explore whether: (1) gradients in risk could be explained by diVerential access to emergency medical services by grade ofsocioeconomic status, as indicate<cursor_is_here> </text>	[ { "content": "<url>\nhttps://injuryprevention.bmj.com/content/injuryprev/6/3/203.full.pdf\n</url>\n<text>\nDepartment of Emergency Medicine and Department of Community Health and Epidemiology, Queen's University at Kingston, Canada\n\nT Faelker\n\nW Pickett\n\nR J Brison\n\nCorrespondence to: Dr William Pickett, Department of Emergency Medicine, Queen's University, Angada 3, Kingston General Hospital, 76 Stuart St, Kingston, Ontario, Canada K7L 2V7 (email: [email protected])\n\nSocioeconomic diVerences in childhood injury: a population based epidemiologic study in Ontario, Canada\n\nTaron Faelker, William Pickett, Robert J Brison\n\nAbstract\n\nObjective—To determine whether risks for childhood injury vary according to socioeconomic gradients.\n\nDesign—Population based, retrospective study. The percentage of individuals living below the poverty line (described ecologically using census data) was the primary measure of socioeconomic status.\n\nSetting—Catchment area of a tertiary medical centre that provides emergency services to all area residents. Area residents aged 0–19 years during 1996 were included.\n\nAs is the case with many aspects of health and disease, the occurrence of childhood injury has been associated with socioeconomic factors including measures of poverty,1–4 education2 3 5 unemployment, 6 7 and social status. 8 9 Children of lower socioeconomic status generally have a greater risk of both fatal1 4 8–11 and non-fatal injury.1–3 6 Although as much as a threefold increase in the risk for non-fatal injury has been observed among impoverished children,1–3 others failed to identify any association12–15 or attributed the association to other factors, such as race or access to care.16 17\n\nObservations—Injuries that occurred during 1996 were identiﬁed by an emergency department based surveillance system. The study population was divided into socioeconomic grades based upon percentages of area residents living below the poverty line. Multiple Poisson regression analyses were used to quantify associations and assess the statistical signiﬁcance of trends.\n\nResults—5894 childhood injuries were identiﬁed among 35 380 eligible children; 985 children with missing socioeconomic data were excluded. A consistent relation between poverty and injury was evident. Children in the highest grade (indicating higher poverty levels) experienced injury rates that were 1.67 (95% conﬁdence interval 1.48 to 1.89) higher than those in the lowest grade (adjusted relative risk for grades 1-V: 1.00,1.10,1.22,1.42, 1.67; ptrend<0.001). These patterns were observed within age/sex strata; for home, recreational, and fall injuries; and for injuries of minor and moderate severities.\n\nConclusions—Socioeconomic diVerences in childhood injury parallel mortality and morbidity gradients identiﬁed in adult populations. This study conﬁrms that this health gradient is observable in a population of children using emergency department data. Given the population based nature of this study, these ﬁndings are likely to be reﬂected in other settings. The results suggest the need for targeted injury prevention eVorts among children from economically disadvantaged populations, although the exact requirements of the optimal prevention approach remain elusive.\n\n(Injury Prevention 2000;6:203–208)\n\nKeywords: injury surveillance; socioeconomic status; poverty www.injuryprevention.com\n\nThe study of non-fatal injuries on a population basis is uncommon, and the reporting of these injuries is often dependent on the severity of injury and whether medical care is obtained. The absence of population based data makes it impossible to calculate meaningful rates of injury in most situations. In addition, it is often diYcult to construct an accurate measure of socioeconomic status.18 19 These factors may account, in part, for any inconsistencies that have been observed.1–3 12–17 Causal pathways by which socioeconomic factors may aVect the occurrence of injury are also not well understood.\n\nThe injury experience of children living in poverty is a priority for many researchers. Few studies, however, have examined relationships between socioeconomic status and non-fatal injury in Canada. Due to diVerences in the manner in which injuries are identiﬁed and treated, it is diYcult to know whether patterns of injury and health gradients observed in other countries can be generalised.\n\nIn this study we had the opportunity to determine whether socioeconomic gradients in health status exist for childhood injuries in the population surrounding Kingston. The study was made possible due to the existence of a population based, emergency department injury surveillance system.\n\nMethods\n\nA retrospective study was conducted using linked data from the Kingston site of the Canadian Hospitals Injury Reporting and Prevention Program (CHIRPP), 20 ecologic data on socioeconomic status from the 1996 Canada census of population, 21 and patient records from two general hospitals. The CHIRPP program was established in 1990, and contains information on emergency room visits for the treatment of injuries presenting to Canada's 10 paediatric hospitals and to six general hospitals. 20 CHIRPP data from two\n\nTable 1 Distribution of childhood injuries by six indicators of socioeconomic status\n\nCI = conﬁdence interval.\n\ngeneral hospitals in Kingston, Ontario (a component of the Kingston and Region Injury Surveillance Program) are population based for injuries seen at emergency departments. 22\n\nInformation was compiled on all incident cases of injury, inclusive in the International Classiﬁcation of Diseases, ninth revision (ICD-9) codes E800–E999, 23 with the exception of: injuries as a result of medical care (E870–E879), therapeutic treatment (E930–E949), or insect bites (E905.1–E905.5, E906.4).\n\nThe sampling frame was all children in the population served by the two general hospitals in Kingston, Ontario during the 1996 calendar year, at which time the Kingston Region had a population of 36 365 children under 20 years. 21 Injuries to these children were identiﬁed from the CHIRPP system, and the following were obtained for each case: the age, sex and residential postal code of the child, the location and context in which the injury occurred, and the level of treatment received. ICD-9 E codes indicating the mechanism of injury were obtained from hospital records. These records were linked individually to the CHIRPP records using a series of sequential queries based upon: patient chart number, the ﬁrst three letters of the patient's surname, date of birth, sex, and postal code. Record linkage was achieved in 95% of cases.\n\nEach postal code was assigned to a Canada census of population enumeration area using the automated geographic coding program, Geocodes/PCCF. 24 Census enumeration areas range from a maximum of 440 dwellings to a minimum of 125 in some rural areas. 25 Socioeconomic data were obtained from the\n\nTable 2 Association between socioeconomic status and childhood injury by sex and ﬁve year age group\n\nLow income categories based on % individuals within enumeration area living in households with incomes below poverty lines. Percentages for categories I, II, III, IV, and V were 0–9.9, 10–19.9, 20–29.9, 30–39.9, and 40%+ respectively.\n\n†Adjusted rate ratios were adjusted for age group, sex, and selected socioeconomic status covariates listed in table 1.\n\nCI = conﬁdence interval.\n\nwww.injuryprevention.com\n\nTable 3 Association between socioeconomic status and childhood injury by type of injury\n\nLow income categories based on % individuals within enumeration area living in households with incomes below poverty lines. Percentages for categories I, II, III, IV and V were 0–9.9, 10–19.9, 20–29.9, 30–39.9, and 40%+ respectively. †Adjusted rate ratios were adjusted for age group, sex, and selected socioeconomic status covariates listed in table 1. CI = conﬁdence interval.\n\n1996 Canada census. For each enumeration area the following were identiﬁed: (1) % individuals living below the poverty line, 26 (2) % individuals with less than a high school education; (3) % individuals who were unemployed; (4) % families headed by a single parent; (5) average dwelling value; (6) % dwellings in need of repair. Enumeration areas were each assigned to levels of socioeconomic status according to the pre-established criteria reﬂected in table 1.\n\nThe numbers of injuries in the enumeration areas were tabulated by ﬁve year age groups and sex, with separate tabulations for the following: (1) total injuries; (2) home injuries (CHIRPP location codes); (3) sports injuries (CHIRPP context codes); (4) recreation or play injuries (CHIRPP context codes); (5) injuries resulting from falls (ICD-9 E800– E888); (6) traYc injuries (E810-E829); and (7) injuries of minor, moderate, and extreme severities (CHIRPP disposition codes).\n\nStratum speciﬁc, annual rates of injury (per 1000) were calculated within levels of each of the six indicators of socioeconomic status using denominator data from the census. 21 Bivariate rate ratios and associated 95% conﬁdence intervals were calculated for these rates. As would be expected, the socioeconomic indicators were highly correlated (data not shown). Therefore, a single indicator—% individuals living below the poverty line—was selected for further, etiological analyses. Using this indicator, injury rates and associated 95% conﬁdence intervals were then calculated for: the total study population, males, females, by ﬁve year age group, by injury type, and by level of severity. Associations between socioeconomic status and injury were further investigated using multiple Poisson regression 27 with simultaneous adjustment for other socioeconomic factors identiﬁed via backward selection procedures.\n\nwww.injuryprevention.com\n\nTests for linear trend28 were applied to determine if the calculated rate ratios increased with increasing level of poverty. Sensitivity analyses were then performed to explore whether: (1) gradients in risk could be explained by diVerential access to emergency medical services by grade ofsocioeconomic status, as indicate<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "d by distance to, and multiple use of the emergency departments; (2) exclusion of enumeration areas that were predominantly populated by university/college students changed the observed gradients in risk.", "role": "assistant" } ]
It has been a long time since our last CA\|TS Update. 2017 has been so busy we have let the CA\|TS Update slip. We will do better in the future! If you are interested in the latest CA\|TS news the website has been rebuilt (after a disastrous hacking attack) and updates on CA\|TS sites and related publications can be found at: www.conservationassured.org/resources And our facebook page also has all the latest news: www.facebook.com/conservationassured/ CA\|TS is now established across most of the tiger range countries, with National Committees (NCs) set up in seven countries (Bhutan, Bangladesh, China, India, Nepal, Russia and Malaysia). NC establishment is also in discussion and pilot assessments are progressing in Indonesia, Myanmar and Thailand. 45 sites have been Registered which means we are now really making progress towards our target of having more than 150 sites registered and well on their way to CA\|TS Approved status by 2022. But there is still much to do. Much of our work in 2017, reported below, has focussed on planning and building capacity for reaching this ambitious target. Formation of the CA\|TS Support Group CA\|TS has never been conceived as an initiative of one organisation, but rather by a partnership of expertise in wild tiger conservation. These plans came to full fruition in June 2017. A two-day meeting in Bangkok bought together representatives from 13 organisations (Equilibrium Research, Freeland Foundation, GTF, GWS, Harimaukita, IUCN, IUCN WCPA, Panthera, Smithsonian, UNDP, WCS, Wild Team, WWF and ZSL) to discuss the formation of the Support Group – its role and terms of reference. A final Support Group agreement was agreed in June and 11 members have so far become part of the Group. The CA\|TS Support Group will play a major role in supporting, promoting and implementing CA\|TS across tiger range countries and will working closely with government agencies responsible for supporting tiger conservation. Membership of the Support Group is voluntary and open to any non-government organisation, institution, intergovernmental organisation, non-tiger range Government and donor organisations committed to the aims of CA\|TS. Benefits include: 2. Provision of a framework for cooperation and coordination in project designing, fund mobilisation, funding and monitoring of management activities related to CA\|TS. 1. Being part of a group supporting effective management of tiger conservation areas through the implementation of CA\|TS. 3. Provision of links to tiger conservation sites, e.g. for research etc., beyond individual organisations' immediate operations. For more details of the CA\|TS support agreement see: www.conservationassured.org/resources Building Capacity international training workshop is being held in October 2017 in Bogor, Indonesia for NC members and reviewers and training materials and information packs are being prepared to ensure all those involved in CA\|TS are fully briefed on the processes and standards. Now the majority of NCs have been established the CA\|TS management team is focussing resources on training and capacity building for members of the NC and the Independent Expert Reviewers who are an essential part of the CA\|TS accreditation process. A major A draft Business Plan is close to being finalised. This will be implemented from 2018 to 2022. The Business Plan outlines a three phase process for the development of CA\|TS: 1) the set-up phase, which has been completed; 2) the on-going extension phase where the scope of CA\|TS is being extended to an increasing number of tiger conservation areas (TCAs) and finally, and hopefully, 3) the monitoring phase which will only begin when most sites have met CA\|TS and we focus on monitoring to ensure they continue to meet the standards. The Business Plan also introduces a new programme of CA\|TS that will go further than providing an accreditation process but will also actively support the advancement of the TCAs towards meeting the Standards. During the extension phase, CA\|TS will aim to mobilise support to the TCAs that need funds or technical advice to reach the Standards but this will be on an opportunistic basis. Minimal capacity is therefore planned for this support under the daily operations of CA\|TS. However, during the start-up phase and discussions with the Support Group during the Bangkok meeting (see above), it was recognised that many TCAs need a great deal of support if they are to reach the standards. Providing large scale support will therefore not only increase the impact of CA\|TS but will provide a very significant incentive for TCAs to register for CA\|TS. CA\|TS Council The final step in setting up the full governance structure of CA\|TS will be the inaugural meeting of the CA\|TS Council in Bogor, Indonesia in October 2017. The CA\|TS Council is a non-decision making body of CA\|TS; the primary purpose of the Council is to provide a formal process for liaison and discussion between the CA\|TS NCs and the CA\|TS International Executive Committee; on which the chair of the Council will sit. CA\|TS Manual update The CA\|TS manual outlines the processes and standards of CA\|TS. The manual was originally published in 2013 after two years of development. Minor updates, such as corrections, minor additions, new tools etc, are added to the manual periodically to ensure the manual stays up to date. These updates are developed by the CA\|TS management team and approved by the International Executive Committee. The current version of the manual (version 1.4) can be downloaded at: http://www.conservationassured.org/files/resources/CATS_Manual_1.4.pdf M.K.S. Pasha [email protected] CA\|TS Manager A more detailed review and update is envisaged periodically, and there are now plans in place to produce version 2.0 of the manual in 2018. This version will include the final agreements and TORs of all the governance structures which make up CA\|TS and which have been finalised this year. The revision of the manual will also provide an opportunity for comments on the manual from a wide range of stakeholders. Anyone can send in comments, using the review format available on the CA\|TS website, and the management team will circulate the call for updates as widely as possible. The manual will be open for comment for at least 60 days. The form for providing your inputs can be downloaded from the CA\|TS website. Please follow the link given here. http://www.conservationassured.org/resources CA\|TS Country updates Third CA\|TS Approved site – and first site in India Minister, Dr Harak Singh Rawat. Lansdowne Chief Wildlife Warden, DVS Khati, welcomed the approval stating: "CA\|TS accreditation is given to the forest division outside the tiger reserve which has significant tiger population. After recognition it becomes easier to get fund from international agencies for any project related to tiger conservation. It is a matter of great honour for the state that one of its forest division has made it to the CA\|TS list." Landsdowne Forest Division in Uttarakhand, India, became the third CA\|TS Approved site globally and the first in India in June 2017. Lansdowne was presented with the CA\|TS Approved certificate on Global Tiger Day, 29 th July 2017. Union Minister of Environment, Forest and Climate Change, Dr Harsh Vardhan, handed over the award to the Uttarakhand State Forest Forests divisions in India In India the forest division is a term used to signify an area containing one or more (usually) demarcated and (usually) protected or resource-managed forests, for administrative purposes. Each division controls the protected areas and managed resources under its jurisdiction. About 30% of the tiger population in India is spread outside the Tiger Reserves and the forest divisions are the key centres for these tigers. In India there are a total of 29 CA\|TS Registered sites of these 19 are forest divisions spread across five States: Chhattisgarh, Madhya Pradesh, Maharashtra, Uttarakhand and West Bengal. The 50 tiger reserves in India will also be registered under CA\|TS in the future. The present focus is to get the key forest division which hold considerable numbers of tigers and help them set up effective management for tiger conservation using the CA\|TS framework. Lansdowne forest division in Uttarakhand achieving CA\|TS Approved status is the beginning of this journey. In August, an initiation and sensitization workshop for CA\|TS took place for 11 forest division in Madhya Pradesh, Bhopal. Media coverage of the Global Tiger Day and CA\|TS in India included: www.tribuneindia.com/news/uttarakhand/lansdowne-forest-division-awarded/444079.html www.timesofindia.indiatimes.com/city/dehradun/lansdowne-forest-division-makes-it-to-catslist/articleshow/59685878.cms www.hindustantimes.com/dehradun/haldwani-ramnagar-to-vie-for-global-accreditation-for- www.hindustantimes.com/environment/the-tiger-s-world-and-ours/story- tiger-conservation/story-a6p8WBoGMOsiNCbXbRvCtO.html k23FEVDiSTYVL8dPLZBqZN.html www.business-standard.com/article/news-ians/tiger-bearing-forests-help-combat-climate- pib.nic.in/newsite/PrintRelease.aspx?relid=169257 change-harsh-vardhan-117072900679_1.html ddnews.gov.in/videos/people/global-tiger-day-celebrated-much-fanfare [video] Malaysia The first country in South East Asia to register a site for CA\|TS was also celebrated on Global Tiger day. While the global population of tigers has slightly increased recently, the Malayan Tiger has fallen to as low as 250 from an estimated 500 in 2003.WWF Malaysia CEO, Dr Dionysius Sharma, in a speech during the Global Tiger Day ceremony highlighted the registration of Royal Belum State Park for CA\|TS and noted: "When a country registers for CA\|TS, it sends a strong message to the world showing an individual conservation area or networks' commitment to protecting tigers." CA\|TS is one of the many initiatives making Belum-Temenggor a model site for conservation among the 37 ecological corridors identified under the Central Forest Spine Master Plan. Speaking on behalf of the Perak Sate Government, Dr Muhammad Amin bin Zakaria of the Perak State Education, Science, Environmental and Green Technology Committee, reiterated the state's promise to champion Malayan tigers. He said: "It is both a privilege and a responsibility to conserve the Malayan tiger in the state of Perak. It is indeed very sad to note that our tigers are still threatened, despite the intensity of efforts taken to protect them. Tiger conservation is a state priority, and this move of registering Royal Belum State Park under CA\|TS is a testament to our commitment of saving tigers within the YB Dato' Dr Muhammad Amin Zakaria, Chairman for Education, Science, Environment and Green Technology Committees, Perak officially announcing the state's registration for Conservation Assured \| Tiger country. Many deliberations and decisions have been discussed in great detail on BelumTemengor Forest Complex, particularly in addressing poaching and illegal wildlife trade. On behalf of the Perak State Government, I am certain that the CA\|TS registration will raise the bar on collaborative conservation amongst stakeholders in the state." Media coverage of the Global Tiger Day and CA\|TS in Malaysia included: http://www.wwf.org.my/media_and_information/updates__former_newsroom_main_/?uNew sID=24285 www.thestar.com.my/news/nation/2017/07/30/royal-belum-park-roars-for-fading-tigersprotected-area-for-conservation-of-malaysias-national-anima/ wildsingaporenews.blogspot.sg/2017/07/malaysia-royal-belum-park-roarsfor.html#.WX7WG62B3-Y Indonesia Following hot on the heels of Malaysia, a two-day introduction to CA\|TS was held in Rimbang Baling, Indonesia in early August 2017. The area includes the Rimbang Baling Wildlife Reserve and Bukit Bungkuk Nature Reserve, part of the UNESCO-recognised Tropical Rainforest Heritage of Sumatra. Nepal The CA\|TS roll-out across all the protected areas with tiger populations in Nepal is on-going. On Global Tiger Day the importance of secure source populations for tigers in sites like Chitwan National Park, the first site to become CA\|TS Approved across the whole tiger range, to populate the wider landscape and the need for secure corridors for connectivity was stressed by IUCN. This year the floods in Nepal took a heavy toll on wildlife. But no reports were reported for tigers from the CA\|TS sites. The situation is returning back to normal and management has taken all necessary steps for post flood recovery of habitat and protection of wildlife. Media coverage of the Global Tiger Day and CA\|TS in Nepal included: www.iucn.org/news/species/201707/chitwan-parsa-valmiki-complex-corridors-future-tigers Bhutan Bhutan has also joined CA\|TS – and three sites have so far been registered: Jigme Dorji National Park, Jigme Singye Wangchuck National Park and Royal Manas National Park. The announcement was made at the meeting of the Convention on Biological Diversity at the end of 2016. Sonam Wangchuk of the Department of Forests and Park Services, Royal Government of Bhutan stated: "Bhutan is committed to safeguarding our protected areas for wild tiger populations to thrive. Being part of CA\|TS is a big step towards achieving this, by ensuring that our protected areas meet the highest global standards for conservation management." Media coverage of the Global Tiger Day and CA\|TS in Bhutan included: www.kuenselonline.com/bhutan-to-adopt-conservation-assured-tiger-standards/ www.bbs.bt/news/?p=64243 www.wwfbhutan.org.bt/?287111/Bhutan-commits-to-creating-safe-havens-for-tigers www.worldwildlife.org/stories/amazing-image-of-wild-tiger-inbhutan?link=txt&utm_campaign=wildlife-crime&utm_medium=email&utm_source=consupdate&utm_content=180129-ed	<urn:uuid:ac8d9286-ea2f-4a10-b004-12c69d314b83>	CC-MAIN-2018-39	http://www.conservationassured.org/files/resources/cats-update-issue_7_oct_2017.pdf	2018-09-24T13:42:54Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-39/segments/1537267160454.88/warc/CC-MAIN-20180924125835-20180924150235-00076.warc.gz	303,486,492	3,066	eng_Latn	eng_Latn	0.991171	eng_Latn	0.994139	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1739, 3254, 5689, 7383, 10059, 11924, 13795 ]	It has been a long time since our last CA\|TS Update. 2017 has been so busy we have let the CA\|TS Update slip. We will do better in the future! If you are interested in the latest CA\|TS news the website has been rebuilt (after a disastrous hacking attack) and updates on CA\|TS sites and related publications can be found at: www.conservationassured.org/resources And our facebook page also has all the latest news: www.facebook.com/conservationassured/ CA\|TS is now established across most of the tiger range countries, with National Committees (NCs) set up in seven countries (Bhutan, Bangladesh, China, India, Nepal, Russia and Malaysia). NC establishment is also in discussion and pilot assessments are progressing in Indonesia, Myanmar and Thailand. 45 sites have been Registered which means we are now really making progress towards our target of having more than 150 sites registered and well on their way to CA\|TS Approved status by 2022. But there is still much to do. Much of our work in 2017, reported below, has focussed on planning and building capacity for reaching this ambitious target. Formation of the CA\|TS Support Group CA\|TS has never been conceived as an initiative of one organisation, but rather by a partnership of expertise in wild tiger conservation. These plans came to full fruition in June 2017. A two-day meeting in Bangkok bought together representatives from 13 organisations (Equilibrium Research, Freeland Foundation, GTF, GWS, Harimaukita, IUCN, IUCN WCPA, Panthera, Smithsonian, UNDP, WCS, Wild Team, WWF and ZSL) to discuss the formation of the Support Group – its role and terms of reference. A final Support Group agreement was agreed in June and 11 members have so far become part of the Group. The CA\|TS Support Group will play a major role in supporting, promoting and implementing CA\|TS across tiger range countries and will working closely with government agencies responsible for supporting tiger conservation. Membership of the Support Group is voluntary and open to any non-government organisation, institution, intergovernmental organisation, non-tiger range Government and donor organisations committed to the aims of CA\|TS. Benefits include: 2. Provision of a framework for cooperation and coordination in project designing, fund mobilisation, funding and monitoring of management activities related to CA\|TS. 1. Being part of a group supporting effective management of tiger conservation areas through the implementation of CA\|TS. 3. Provision of links to tiger conservation sites, e.g. for research etc., beyond individual organisations' immediate operations. For more details of the CA\|TS support agreement see: www.conservationassured.org/resources Building Capacity international training workshop is being held in October 2017 in Bogor, Indonesia for NC members and reviewers and training materials and information packs are being prepared to ensure all those involved in CA\|TS are fully briefed on the processes and standards. Now the majority of NCs have been established the CA\|TS management team is focussing resources on training and capacity building for members of the NC and the Independent Expert Reviewers who are an essential part of the CA\|TS accreditation process. A major A draft Business Plan is close to being finalised. This will be implemented from 2018 to 2022. The Business Plan outlines a three phase process for the development of CA\|TS: 1) the set-up phase, which has been completed; 2) the	on-going extension phase where the scope of CA\|TS is being extended to an increasing number of tiger conservation areas (TCAs) and finally, and hopefully, 3) the monitoring phase which will only begin when most sites have met CA\|TS and we focus on monitoring to ensure they continue to meet the standards.		3,485	beginning_of_word	on-going	remove_all	<url> http://www.conservationassured.org/files/resources/cats-update-issue_7_oct_2017.pdf </url> <text> It has been a long time since our last CA\|TS Update. 2017 has been so busy we have let the CA\|TS Update slip. We will do better in the future! If you are interested in the latest CA\|TS news the website has been rebuilt (after a disastrous hacking attack) and updates on CA\|TS sites and related publications can be found at: www.conservationassured.org/resources And our facebook page also has all the latest news: www.facebook.com/conservationassured/ CA\|TS is now established across most of the tiger range countries, with National Committees (NCs) set up in seven countries (Bhutan, Bangladesh, China, India, Nepal, Russia and Malaysia). NC establishment is also in discussion and pilot assessments are progressing in Indonesia, Myanmar and Thailand. 45 sites have been Registered which means we are now really making progress towards our target of having more than 150 sites registered and well on their way to CA\|TS Approved status by 2022. But there is still much to do. Much of our work in 2017, reported below, has focussed on planning and building capacity for reaching this ambitious target. Formation of the CA\|TS Support Group CA\|TS has never been conceived as an initiative of one organisation, but rather by a partnership of expertise in wild tiger conservation. These plans came to full fruition in June 2017. A two-day meeting in Bangkok bought together representatives from 13 organisations (Equilibrium Research, Freeland Foundation, GTF, GWS, Harimaukita, IUCN, IUCN WCPA, Panthera, Smithsonian, UNDP, WCS, Wild Team, WWF and ZSL) to discuss the formation of the Support Group – its role and terms of reference. A final Support Group agreement was agreed in June and 11 members have so far become part of the Group. The CA\|TS Support Group will play a major role in supporting, promoting and implementing CA\|TS across tiger range countries and will working closely with government agencies responsible for supporting tiger conservation. Membership of the Support Group is voluntary and open to any non-government organisation, institution, intergovernmental organisation, non-tiger range Government and donor organisations committed to the aims of CA\|TS. Benefits include: 2. Provision of a framework for cooperation and coordination in project designing, fund mobilisation, funding and monitoring of management activities related to CA\|TS. 1. Being part of a group supporting effective management of tiger conservation areas through the implementation of CA\|TS. 3. Provision of links to tiger conservation sites, e.g. for research etc., beyond individual organisations' immediate operations. For more details of the CA\|TS support agreement see: www.conservationassured.org/resources Building Capacity international training workshop is being held in October 2017 in Bogor, Indonesia for NC members and reviewers and training materials and information packs are being prepared to ensure all those involved in CA\|TS are fully briefed on the processes and standards. Now the majority of NCs have been established the CA\|TS management team is focussing resources on training and capacity building for members of the NC and the Independent Expert Reviewers who are an essential part of the CA\|TS accreditation process. A major A draft Business Plan is close to being finalised. This will be implemented from 2018 to 2022. The Business Plan outlines a three phase process for the development of CA\|TS: 1) the set-up phase, which has been completed; 2) the <cursor_is_here> </text>	[ { "content": "<url>\nhttp://www.conservationassured.org/files/resources/cats-update-issue_7_oct_2017.pdf\n</url>\n<text>\nIt has been a long time since our last CA\|TS Update. 2017 has been so busy we have let the CA\|TS Update slip. We will do better in the future!\n\nIf you are interested in the latest CA\|TS news the website has been rebuilt (after a disastrous hacking attack) and updates on CA\|TS sites and related publications can be found at: www.conservationassured.org/resources\n\nAnd our facebook page also has all the latest news: www.facebook.com/conservationassured/\n\nCA\|TS is now established across most of the tiger range countries, with National Committees (NCs) set up in seven countries (Bhutan, Bangladesh, China, India, Nepal, Russia and Malaysia). NC establishment is also in discussion and pilot assessments are progressing in Indonesia, Myanmar and Thailand. 45 sites have been Registered which means we are now really making progress towards our target of having more than 150 sites registered and well on their way to CA\|TS Approved status by 2022. But there is still much to do.\n\nMuch of our work in 2017, reported below, has focussed on planning and building capacity for reaching this ambitious target.\n\nFormation of the CA\|TS Support Group\n\nCA\|TS has never been conceived as an initiative of one organisation, but rather by a partnership of expertise in wild tiger conservation. These plans came to full fruition in June 2017. A two-day meeting in Bangkok bought together representatives from 13 organisations (Equilibrium Research, Freeland Foundation, GTF, GWS, Harimaukita, IUCN, IUCN WCPA, Panthera, Smithsonian, UNDP, WCS, Wild Team, WWF and ZSL) to discuss the formation of the Support Group – its role and terms of reference. A final Support Group agreement was agreed in June and 11 members have so far become part of the Group.\n\nThe CA\|TS Support Group will play a major role in supporting, promoting and implementing CA\|TS across tiger range countries and will working closely with government agencies responsible for supporting tiger conservation. Membership of the Support Group is voluntary and open to any non-government organisation, institution, intergovernmental organisation, non-tiger range Government and donor organisations committed to the aims of CA\|TS.\n\nBenefits include:\n\n2. Provision of a framework for cooperation and coordination in project designing, fund mobilisation, funding and monitoring of management activities related to CA\|TS.\n1. Being part of a group supporting effective management of tiger conservation areas through the implementation of CA\|TS.\n3. Provision of links to tiger conservation sites, e.g. for research etc., beyond individual organisations' immediate operations.\n\nFor more details of the CA\|TS support agreement see: www.conservationassured.org/resources\n\nBuilding Capacity\n\ninternational training workshop is being held in October 2017 in Bogor, Indonesia for NC members and reviewers and training materials and information packs are being prepared to ensure all those involved in CA\|TS are fully briefed on the processes and standards.\n\nNow the majority of NCs have been established the CA\|TS management team is focussing resources on training and capacity building for members of the NC and the Independent Expert Reviewers who are an essential part of the CA\|TS accreditation process. A major\n\nA draft Business Plan is close to being finalised. This will be implemented from 2018 to 2022. The Business Plan outlines a three phase process for the development of CA\|TS: 1) the set-up phase, which has been completed; 2) the <cursor_is_here>\n</text>\n", "role": "user" }, { "content": "on-going extension phase where the scope of CA\|TS is being extended to an increasing number of tiger conservation areas (TCAs) and finally, and hopefully, 3) the monitoring phase which\n\nwill only begin when most sites have met CA\|TS and we focus on monitoring to ensure they continue to meet the standards.", "role": "assistant" } ]
ISSN: Online: 2076-7897, Print:0368-1157 http://www.jar.com.pk RESPONSE OF MAIZE (ZEA MAYS L.) TO BORON FOLIAR APPLICATION UNDER WATER STRESS CONDITIONS Abid Ali, Manzoor Hussain, Saadia* and Muhammad Rizwan*** ABSTRACT A field experiment was carried out at Agronomic Research Area, University of Agriculture, Faisalabad, Pakistan during the year 2013 to evaluate the response of maize (Zea mays L.) to foliar application of boron under water stress conditions. Maize hybrid FH-810 was selected as a test crop. The experiment was designed in RCBD with split plot arrangement. Two stress levels viz. no stress (S1) and water stress of 15 days (S2) were placed in main plots while three foliar sprays viz. no spray (F1), simple water spray (F2) and boron spray @ 100 ppm (F3) were assigned to sub-plots. The crop was grown upto harvesting and data were recorded according to the standard procedures. The results showed that stress levels and foliar sprays significantly affected different yield related parameters. Maximum grain yield was obtained in no stress (S1) crop when treated with F3 (boron spray @ 100 ppm). Boron application significantly enhanced the plant height (194.63 cm), cop length (16.94 cm), 1000-grain weight (381.89 g), biological yield (16.89 t/ha) and harvest index (49.37%). However protein content (7.36%) and amylase contents (0.625 I.U/g) were found to be decreased due to boron application while stress levels had no significant effect on these parameters. The interaction of stress levels with foliar spray applications was found nonsignificant for all studied parameters. KEYWORDS: Zea mays; agronomic characters; ping; grain yield; water stress; boron; foliar sprays; Pakistan. INTRODUCTION In Pakistan maize (Zea mays L.) has an important place in cropping pattern of irrigated areas of Pakistan. It is the third most important cereal crop after wheat and rice (15). Due to high yield potential and short duration this crop is gaining more popularity against other cereals. (11) In Pakistan, Punjab leads the KPK province in maize production. However, it is grown in almost Groundnut Research Station, Gram Breeding Research Sub-Station, Attock, Cotton Research Institute, AARI, Faisalabad, Pakistan. all parts of the country, while only 5 percent maize production comes from Sindh and Baluchistan provinces. Maize is used as feed for poultry and livestock besides having a good consumption by human beings in the shape of food grain. Pakistan, has an area of 1.02 million hectares under maize cultivation with average grain production of 2893 kg per hectare with the annual grain yield of 2.96 million tons (5). Maize responds very well to various agro-management practices bearing high yield potential. Unfortunately in Pakistan maize is yield much less yield than other maize growing countries. Existing genotypes of maize are also producing under potential yields. This low and under potential yield of maize is not fully explored due to some management practices like agronomic, environmental and edaphic factors (4). Besides the other management practices, irrigation and nutrient management are also responsible for low yield of maize. Crop production is mainly restrained by drought in addition to other environmental stresses like cold, salt, acid and high temperature stresses. The depressing effect of drought strain on yield performance has been well accredited (10, 13). In both tropical and temperate environments, drought stresses are mainly responsible for major yield losses. These areas provide maize for local as well as for worldwide consumption. Water stress effects depend on the duration, timing and magnitude of the stress. Almost all the plant expansion processes including photosynthesis are badly affected by water stress. However, water stress rate, duration of exposure, intensity and crop growth stage also mention the response of water stress (21). Water stress at tasseling stage reduced the yield as flowering delays silking and results in yield reduction and number of grains per cob. Early stages of maize plant are resistant against water stress than the final stages (8). Boron is essential for plant growth as a micronutrient (2). Boron has an important role in accumulation of carbohydrates, lignifications, photosynthesis, cell wall structure, vegetative growth cell wall synthesis, and retention of flowers and fruits. It is also responsible indole and phenol acetic acid metabolism, membrane transportation and its insufficiency leads to brownish spots in plant tissues (photosynthesis retardation and speculations), stunting of the newly emerged plants (9). Boron is able to alleviate the drought effects and its use as micronutrient enhance the parameters of the major yield components, thus escalating yield level and enriching the chemical symphony of crops (23). At present little is known about the physical and chemical effects of boron foliar application on growth and yield and yield components of maize under water stress conditions. Therefore, the present experiment was carried out to elucidate the influence of boron foliar application on growth and yield of maize (Zea mays L.) under water stress (drought) conditions. MATERIALS AND METHODS This study was conducted at Agronomic Research Area, University of Agriculture, Faisalabad Pakistan during the year 2013. Maize crop (cv. FH810) was sown during autumn under RCBD using split plot arrangements with three replications. Two stress levels (no stress and water stress of 15 days imposed at the onset of tasseling stage) were randomized in main plots keeping foliar sprays (no spray, simple water spray and boron spray @ 100 ppm at tasseling stage) in sub-plots. The net plot size of 8 m × 3.75 m was maintained for each replication. Soaking Irrigation (rouni) was applied earlier than seed bed preparation for the planting purpose. Land was set for sowing by using cultivator (2-3 cultivations followed by planking). The crop was sown with dibbler in 75 cm spaced rows maintaining plant to plant distance of 25 cm with seed rate of 25 kg per hectare. Fertilizer was applied @ 200100-100 kg NPK per hectare. Half of N and P and all K were applied at sowing in the form of urea, diammonium phosphate (DAP) and sulphate of potassium (K2SO4), while remaining N was applied in splits. Furadon was applied @ 20 kg per hectare after first irrigation to control insect pests especially maize borer and shoot fly. The field was set aside free of unwanted vegetation and weeds by physical hoeing. At maturity, data on crop yield and yield components such as plant height (cm), cob lenght, 1000 grain weight (g), economic yield (kg/ha), biological yield (kg/ha) and harvest index (%) was recorded according to the standard procedures. The collected data were analyzed statistically using the Fisher analysis of variance technique and treatment means were compared by using least significance difference (LSD) test at 0.05% probability level (18). RESULTS AND DISCUSSION Yield parameters The results (Table 1) showed that plant height was significantly affected among stress levels and maximum plant height (199.5 cm) was observed in S1 (no stress) while minimum (185.17 cm) in S2 (water stress of 15 days). The reduction in plant height due to water stress which is caused by the loss of turgor pressure, ultimately affects the cell growth and speed of cell formation. Wilson et al. (22) also confirm these findings. Regarding foliar sprays significantly maximum plant height (194.63 cm) was measured in F3 (boron foliar application @ 100 ppm) followed by F2 (191.37 cm) where water spray was applied. Smallest amount of plant height was recorded by the plants under F1 where no spray was applied to plants. Similar findings were also described by Tombo et al. (20) who stated that plant height was positively and significantly affected by boron applications. The comparison of treatments , means of cob length for stress levels revealed that greater cob length (19.18 cm) was recorded in S1 (no stress) that was statistically different from S2 (water stress of 15 days) (13.79 cm). For foliar sprays, maximum cob length (16.94 cm) was observed in F3 (boron foliar application @ 100 ppm) that was statistically different from F1 (no spray) (15.75 cm) and F2 (water spray) where cob length was noted (15.75 cm). These findings are similar to those of Sposavoki et al. (17). The weight of 1000-grains expresses the magnitude of grain development which is an important determinant of grain yield per hectare. Highest 1000grain weight (410.8g) was recorded in S1 (no stress) against S2 (water stress of 15 days) planted crop (315.00g) was noted. The moisture stress reduced the grain weight as the water is much necessary for growth, development reproduction, and all metabolic processes take place in plant life. These results also confirm the earlier findings (7). In case of boron application maximum 1000-grain weight (381.89g) was observed in F3 where (boron foliar spray @ 100 ppm), while minimum (353.3g) was recorded where F1 (no spray). However, it was statistically in accordance with F2 (water spray). These findings are in line with those of Tahir et al. (19) who mention that addition of boron to maize increased 1000-grain weight significantly. Table 1. Effect of different stress levels and foliar sprays on yield components of maize (individual comparison of treatment means) \| Treatments \| Plant height (cm) \| Cob length (cm) \| 1000 grain weight (g) \| Grain yield (t/ha) \| Biologica l yield (t/ha) \| \|---\|---\|---\|---\|---\|---\| \| A. Stress levels \| \| \| \| \| \| \| S = No stress 1 \| 199.5a \| 19.18a \| 410.8a \| 7.66a \| 15.61a \| \| S = water stress of 15 days 2 \| 185.1b \| 13.79b \| 315.0b \| 5.68b \| 13.11b \| \| LSD value \| 2.076 \| 1.138 \| 18.464 \| 0.639 \| 0.894 \| \| B. Foliar sprays \| \| \| \| \| \| \| F = No spray 1 \| 191.00b \| 15.75b \| 353.30b \| 6.73b \| 15.28b \| \| F = Simple water spray 2 \| 191.37b \| 15.27b \| 353.53b \| 6.93b \| 15.57b \| \| F = Boron spray @ 100 ppm 3 \| 194.63a \| 16.94a \| 381.89a \| 8.34a \| 16.89a \| \| LSD value \| 1.264 \| 0.681 \| 10.872 \| 0.433 \| 0.824 \| \| interaction stress x foliar sprays \| NS \| NS \| NS \| NS \| NS \| Means not having the same letter significantly differ at 0.05% probability level, NS = Non-significant. J. Agric. Res., 2017, 55(2) The effectiveness of boron foliar spray and water stress (drought) is ultimately measured by the grain yield level, which is a result of function of collective behaviour of all yield parameters. Data in the (Table-1) showed that grain yield beneath different stress and foliar spray treatments was found to be highly significant. The plants under S1 (no stress) produced more significantly high grain yield (9.67 t/ha) than noted in S2 (water stress of 15 days) (5.68 t/ha). Sajedi et al. (16) also found that drought (water stress) decreased grain yield as compared with control. Maize crop treated with F3 (foliar application of boron @100 ppm) produced high significantly economical yield (9.34 t/ha) than F2 (water spray) and F1 (no spray) (6.73 and 6.93 t/ha) that were statistically at par with each others. In the same way Rahim et al. (14) and Ahmad et al. (1) reported that boron application increased the grain yield significantly in maize as compared with no application. The biological yield was also significantly affected by different stress and foliar spray treatments. Treatments means showed that more biological yield (19.98 ton/ha) was observed in S1 (no stress) against S2 (water stress of 15 days)(12.35 t/ha). These results agreed findings of Khan et al. (8). The statistically maximum biological yield (17.89 t/ha) was observed under F3 where boron foliar application @ 100 ppm was applied followed by F2 (15.57 t/ha) where water spray was applied to plants which was statistically at par with F1 (no spray). The results are closely related with Ziaeyan and Rajaie (24) as they described increased biological yield in maize by foliar application of boron. Data pertaining to harvest index for stress levels revealed statistically maximum harvest index (49.07 %) in S1 (no stress) as compared with S2 (water stress of 15 days) (43.32%). It was assumed that harvest index of wheat crop was significantly decreased under reduced water conditions (12). For foliar sprays maximum harvest index (49.37%) was observed F3 (foliar application of boron @ 100 ppm) and minimum (44.04%) in F1 where no spray was applied. Same findings have been reported by Tombo et al., (20) that harvest index of crop was significantly affected by boron applications. The interaction between stress levels and foliar sprays for yield and yield components was non-significant in all parameters. Biochemical responses Data regarding biochemical characteristics (Table 2) showed that biochemical attributes like amylase and protein contents were statistically non-significant between two stress levels. However their values were higher A. Ali et al. 308 Table 2. Effect of different stress levels and foliar sprays on biochemical responses of maize (Individual comparison of treatment means) Means not having the same letter significantly differ at 0.05% probability level, NS = Non-significant. in S2 plants where water stress of 15 days were given than S1 treated plants where no stress was given. Ahmadi et al. (3) also reported that protein concentration was highly increased by drought (water stress). In case of foliar sprays significant effect of foliar application of boron was observed on stem protein and amylase concentration. The comparison of experiment treatment means showed that maximum concentration of stem amylase (0.987 I.U/g) was noted in F2 where water spray was applied followed by F1 (0.858 I.U/g) while minimum (0.625 I.U/g) was recorded in F3 (boron foliar application @100 ppm). Similar data fashion were found in case of protein contents in which statistically highest protein content (10.47 %) was noted in F2 (water spray) treatment whereas lowest concentration of protein (7.36 %) was measured in boron foliar application @ 100 ppm. Dwivedi et al. (6) mentioned that protein contents of maize grains were highly increased with boron application which is contradictory to our findings. Interaction among the boron foliar application and stress levels was also non-significant for these traits. CONCLUSION The study concluded that water stress has a great impact on yield and yield components of maize (Zea mays L.) crop. Soil moisture stress produces less grain yield by inducing less plant height, cob length and 1000-grain weight. However, boron application has significant positive effect on these parameters. So under water stress conditions at tasseling stage of maize, boron application @ 100 ppm should be followed to attain maximum yield and benefits under the climatic conditions of Faisalabad. REFERENCES 1. Ahmad, A., I. Khan and M. Z. Abdin. 2000. Effect of boron fertilization on oil accumulation, acetyl-CoA concentration and acetyl-CoA carboxylase activity in the developing seeds of rapeseed (Brassica campestris L.). Austrailian J. Agri. Res. 5:1023-1029. 2. Ahmad, A., M. Tahir, E. Ullah, M. Naeem, M. Ayub, H. Rehman and M. Talha. 2012. Effect of silicon and boron foliar application on yield and quality of rice. Pak. J. Life and Social Sci. 10:161-165. 3. Ahmadi, M. C., R. A. Malvar and L. Campo. 2010. Biochemical changes in maize (Zea mays L.) seedlings exposed to drought stress at different nitrogen levels. J. Crop Sci., 50: 51–58. 4. Anon, 2006. Agricultural Statistics of Pakistan. 106, 18-19. 5. Anon. 2000. Economic Survey of Pakistan. Govt. of Pakistan. Ministry of Finance, Islamabad, Pakistan. 2009. Pp. 22. 6. Dwivedi, S. K., R. S. Singh and K.N. Dwivedi. 2002. Effect of boron and zinc nutrition on yield and quality of maize (Zea mays L.) in Typic Ustochrept soil of Kanpur. J. Indian. Soc. Soil Sci., 50: 70-74. 7. El-Sheikh, M.A. 1994. Response of two maize varieties to plant densities and irrigation treatments. Journal Agric. Sci. 19:413-422. 8. Khan, M. B., N. Hussain and M. Iqbal, 2001. Effect of water stress on growth and yield Components of maize. J. Res. Sci. Bahauddin Zakariya University, Multan, Pakistan, 12:15-18. 9. Miwa, K., J. Takano and T. Fujiwara. 2008. Molecular mechanism of boron transport in plants and its modification for plant growth improvement. Protein, Nucleic acid, Enzyme. 53:1173-1179. 10. Moayedi, A. A., A. N. Boyce and S. S. Barakbah. 2010. The performance of durum and bread wheat genotypes associated with yield and yield component under different water deficit conditions. Aus. J. Basic and Appl. Sci. 4:106-113. 11. Mukhtar, T., M. Arif, S. Hussain, M. Atif, S. Rehman and K. Hussain. 2012. Yield and yield components of maize hybrids as influenced by plant spacing. J. Agric. Res. 50(1):59-69. 12. Pannu, R. K., P. Singh, D.P. Singh, B.D. Chaudhary, V.P. Saugwan and H. C. Sharma. 1996. Ground water table limit, the irrigation requirement of tall and dwarf wheat (Triticum aestivum L.). Indian. J. Agron., 41:568-572. 13. Passioura, J. B. 2007. The drought environment physical, biological and agricultural Perspectives. J. Exp. Bot. 58:113-117. 14. Rahim, M., H. Ali and T. Mahmood. 2004. Impact of nitrogen and boron application on growth and yield of maize (Zea mays L.) crop. J. Res. Sci. 15:153-157. A. Ali et al. 310 15. Saeed, M., A. Khaliq, Z. A. Cheema and A. M. Ranjha. 2010. Effect of nitrogen levels and weed-crop competition durations on yield and yield components of maize. J. Agric. Res. 48(4):471-481. 17. Spasovski, K., M. Jekic and T. Avramovski. 1987. Effect of N.P.K. fertilizer and foliar application of trace elements on some morphological properties of wheat cv. Benzostaya. Agrohemija; 2:119126. (Wheat, Barlay and Triticale Absts. 5:350-359). 16. Sajedi, M. A., M. R. Arakani and M. A. Boojar. 2009. Response of maize to nutrients foliar application under water deficit stress conditions. Am. J. Agri. and Biol. Sci. 4:242-248. 18. Steel, R. G. D., J. H. Torrie and D. A. Dickey. 1997. Principles and Procedures of Statistics, a Biometrical Approach. 3rd Ed. McGraw Hill, Inc. Book Co. N.Y. (USA):352-358. 20. Tombo, Y., N. Tombo, F. Cig, M. Erman and A. E. Celen. 2008. The effect of boron application on nutrient composition, yield and some yield components of barley (Hordeum vulgare L.). Afric. J. Biotech., 7: 3255-3260. 19. Tahir, M., A. Tanveer, T. H. Shah, N. Fiaz and A. Wasaya. 2009. Yield response of wheat (Triticum aestivum L.) to boron application at different growth stages. Pak. J. Life and Soc. Sci., 7:39-42. 21. Wajid, A., A. Hussain, A. Ahmed, M. Rafiq, A. R. Goheer and M. Ibrahim. 2004. Effect of sowing date and plant density on growth, light interception and yield of wheat under semiarid condition. Int. J. Agri. Biology. 6:1119-1123. 23. Wrobel, S., B. Hrynczuk and K. Nowak. 2006. Fertilization with boron as security factor of the nutrient availability under drought condition. Pol. J. Envoi. Studies. 15:554-558. 22. Wilson, D. R., P. G. Ston and R. N. Gillespie. 2006. Drought effects on water use, growth and yield sweet corn. Proc. of the 9th Australian Agronomy Conference. 24. Ziaeyan, A. H. and M. Rajaie. 2009. Combined effect of zinc and boron on yield and nutrients accumulation in corn. Int. J. Plant Prod., 3:35-44. Received: September 18, 2015 Accepted: June 22, 2016 * CONTRIBUTION OF AUTHORS: Abid Ali : Conducted the experiment and collected research data Manzoor Hussain : Helped in review of literature Saadia : Contributed in results and discussion Muhammad Rizwan : Helped in data analysis	<urn:uuid:8d118871-4654-477a-93a9-c5e2e7734e6d>	CC-MAIN-2017-34	http://apply.jar.punjab.gov.pk/upload/1502446819_127_6._685.pdf	2017-08-22T13:02:57Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-34/segments/1502886110774.86/warc/CC-MAIN-20170822123737-20170822143737-00310.warc.gz	31,318,725	5,147	eng_Latn	eng_Latn	0.835773	eng_Latn	0.972003	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2248, 5234, 7924, 10349, 12984, 14897, 17385, 19679 ]	ISSN: Online: 2076-7897, Print:0368-1157 http://www.jar.com.pk RESPONSE OF MAIZE (ZEA MAYS L.) TO BORON FOLIAR APPLICATION UNDER WATER STRESS CONDITIONS Abid Ali, Manzoor Hussain, Saadia* and Muhammad Rizwan*** ABSTRACT A field experiment was carried out at Agronomic Research Area, University of Agriculture, Faisalabad, Pakistan during the year 2013 to evaluate the response of maize (Zea mays L.) to foliar application of boron under water stress conditions. Maize hybrid FH-810 was selected as a test crop. The experiment was designed in RCBD with split plot arrangement. Two stress levels viz. no stress (S1) and water stress of 15 days (S2) were placed in main plots while three foliar sprays viz. no spray (F1), simple water spray (F2) and boron spray @ 100 ppm (F3) were assigned to sub-plots. The crop was grown upto harvesting and data were recorded according to the standard procedures. The results showed that stress levels and foliar sprays significantly affected different yield related parameters. Maximum grain yield was obtained in no stress (S1) crop when treated with F3 (boron spray @ 100 ppm). Boron application significantly enhanced the plant height (194.63 cm), cop length (16.94 cm), 1000-grain weight (381.89 g), biological yield (16.89 t/ha) and harvest index (49.37%). However protein content (7.36%) and amylase contents (0.625 I.U/g) were found to be decreased due to boron application while stress levels had no significant effect on these parameters. The interaction of stress levels with foliar spray applications was found nonsignificant for all studied parameters. KEYWORDS: Zea mays; agronomic characters; ping; grain yield; water stress; boron; foliar sprays; Pakistan. INTRODUCTION In Pakistan maize (Zea mays L.) has an important place in cropping pattern of irrigated areas of Pakistan. It is the third most important cereal crop after wheat and rice (15). Due to high yield potential and short duration this crop is gaining more popularity against other cereals. (11) In Pakistan, Punjab leads the KPK province in maize production. However, it is grown in almost Groundnut Research Station, Gram Breeding Research Sub-Station, Attock, **Cotton Research Institute, AARI, Faisalabad, Pakistan. all parts of the country, while only 5 percent maize production comes from Sindh and Baluchistan provinces. Maize is used as feed for poultry and livestock besides having a good consumption by human beings in the shape of food grain. Pakistan, has an area of 1.02 million hectares under maize cultivation with average grain production of 2893 kg per hectare with the annual grain yield of 2.96 million tons (5). Maize responds very well to various agro-management practices bearing high yield potential. Unfortunately in Pakistan maize is yield much less yield than other maize growing countries. Existing genotypes of maize are also producing under potential yields. This low and under potential yield of maize is not fully explored due to some management practices like agronomic, environmental and edaphic factors (4). Besides the other management practices, irrigation and nutrient management are also responsible for low yield of maize. Crop production is mainly restrained by drought in addition to other environmental stresses like cold, salt, acid and high temperature stresses. The depressing effect of drought strain on yield performance has been well accredited (10, 13). In both tropical and temperate environments, drought stresses are mainly responsible for major yield losses. These areas provide maize for local as well as for worldwide consumption. Water stress effects depend on the duration, timing and magnitude of the stress. Almost all the plant expansion processes including photosynthesis are badly affected by water stress. However, water stress rate, duration of exposure, intensity and crop growth stage also mention the response of water stress (21). Water stress at tasseling stage reduced the yield as flowering delays silking and results in yield reduction and number of grains per cob. Early stages of maize plant are resistant against water stress than the final stages (8). Boron is essential for plant growth as a micronutrient (2). Boron has an important role in accumulation of carbohydrates, lignifications, photosynthesis, cell wall structure, vegetative growth cell wall synthesis, and retention of flowers and fruits. It is also responsible indole and phenol acetic acid metabolism, membrane transportation and its insufficiency leads to brownish spots in plant tissues (photosynthesis retardation and speculations), stunting of the newly emerged plants (9). Boron is able to alleviate the drought effects and its use as micronutrient enhance the parameters of the major yield components, thus escalating yield level and enriching the chemical symphony of crops (23). At present little is known about the physical and chemical effects of boron foliar application on growth and yield and yield components of maize under water stress conditions. Therefore, the present experiment was carried out to elucidate the influence of boron foliar application on growth and yield of maize (Zea mays L.) under water stress (drought) conditions. MATERIALS AND METHODS This study was conducted at Agronomic Research Area, University of Agriculture, Faisalabad Pakistan during the year 2013. Maize crop (cv. FH810) was sown during autumn under RCBD using split plot arrangements with three replications. Two stress levels (no stress and water stress of 15 days imposed at the onset of tasseling stage) were randomized in main plots keeping foliar sprays (no spray, simple water spray and boron spray @ 100 ppm at tasseling stage) in sub-plots. The net plot size of 8 m × 3.75 m was maintained for each replication. Soaking Irrigati	on (rouni) was applied earlier than seed bed preparation for the planting purpose.	Land was set for sowing by using cultivator (2-3 cultivations followed by planking). The crop was sown with dibbler in 75 cm spaced rows maintaining plant to plant distance of 25 cm with seed rate of 25 kg per hectare. Fertilizer was applied @ 200100-100 kg NPK per hectare. Half of N and P and all K were applied at sowing in the form of urea, diammonium phosphate (DAP) and sulphate of potassium (K2SO4), while remaining N was applied in splits. Furadon was applied @ 20 kg per hectare after first irrigation to control insect pests especially maize borer and shoot fly. The field was set aside free of unwanted vegetation and weeds by physical hoeing. At maturity, data on crop yield and yield components such as plant height (cm), cob lenght, 1000 grain weight (g), economic yield (kg/ha), biological yield (kg/ha) and harvest index (%) was recorded according to the standard procedures. The collected data were analyzed statistically using the Fisher analysis of variance technique and treatment means were compared by using least significance difference (LSD) test at 0.05% probability level (18). RESULTS AND DISCUSSION Yield parameters The results (Table 1) showed that plant height was significantly affected among stress levels and maximum plant height (199.5 cm) was observed in S1 (no stress) while minimum (185.17 cm) in S2 (water stress of 15 days). The reduction in plant height due to water stress which is caused by the loss of turgor pressure, ultimately affects the cell growth and speed of cell formation. Wilson et al. (22) also confirm these findings. Regarding foliar sprays significantly maximum plant height (194.63 cm) was measured in F3 (boron foliar application @ 100 ppm) followed by F2 (191.37 cm) where water spray was applied. Smallest amount of plant height was recorded by the plants under F1 where no spray was applied to plants. Similar findings were also described by Tombo et al. (20) who stated that plant height was positively and significantly affected by boron applications. The comparison of treatments , means of cob length for stress levels revealed that greater cob length (19.18 cm) was recorded in S1 (no stress) that was statistically different from S2 (water stress of 15 days) (13.79 cm). For foliar sprays, maximum cob length (16.94 cm) was observed in F3 (boron foliar application @ 100 ppm) that was statistically different from F1 (no spray) (15.75 cm) and F2 (water spray) where cob length was noted (15.75 cm). These findings are similar to those of Sposavoki et al. (17). The weight of 1000-grains expresses the magnitude of grain development which is an important determinant of grain yield per hectare. Highest 1000grain weight (410.8g) was recorded in S1 (no stress) against S2 (water stress of 15 days) planted crop (315.00g) was noted. The moisture stress reduced the grain weight as the water is much necessary for growth, development reproduction, and all metabolic processes take place in plant life. These results also confirm the earlier findings (7). In case of boron application maximum 1000-grain weight (381.89g) was observed in F3 where (boron foliar spray @ 100 ppm), while minimum (353.3g) was recorded where F1 (no spray). However, it was statistically in accordance with F2 (water spray). These findings are in line with those of Tahir et al. (19) who mention that addition of boron to maize increased 1000-grain weight significantly. Table 1. Effect of different stress levels and foliar sprays on yield components of maize (individual comparison of treatment means) \| Treatments \| Plant height (cm) \| Cob length (cm) \| 1000 grain weight (g) \| Grain yield (t/ha) \| Biologica l yield (t/ha) \| \|---\|---\|---\|---\|---\|---\| \| A. Stress levels \| \| \| \| \| \| \| S = No stress 1 \| 199.5a \| 19.18a \| 410.8a \| 7.66a \| 15.61a \| \| S = water stress of 15 days 2 \| 185.1b \| 13.79b \| 315.0b \| 5.68b \| 13.11b \| \| LSD value \| 2.076 \| 1.138 \| 18.464 \| 0.639 \| 0.894 \| \| B. Foliar sprays \| \| \| \| \| \| \| F = No spray 1 \| 191.00b \| 15.75b \| 353.30b \| 6.73b \| 15.28b \| \| F = Simple water spray 2 \| 191.37b \| 15.27b \| 353.53b \| 6.93b \| 15.57b \| \| F = Boron spray @ 100 ppm 3 \| 194.63a \| 16.94a \| 381.89a \| 8.34a \| 16.89a \| \| LSD value \| 1.264 \| 0.681 \| 10.872 \| 0.433 \| 0.824 \| \| interaction stress x foliar sprays \| NS \| NS \| NS \| NS \| NS \| Means not having the same letter significantly differ at 0.05% probability level, NS = Non-significant. J. Agric. Res., 2017, 55(2) The effectiveness of boron foliar spray and water stress (drought) is ultimately measured by the grain yield level, which is a result of function of collective behaviour of all yield parameters. Data in the (Table-1) showed that grain yield beneath different stress and foliar spray treatments was found to be highly significant. The plants under S1 (no stress) produced more significantly high grain yield (9.67 t/ha) than noted in S2 (water stress of 15 days) (5.68 t/ha). Sajedi et al. (16) also found that drought (water stress) decreased grain yield as compared with control. Maize crop treated with F3 (foliar application of boron @100 ppm) produced high significantly economical yield (9.34 t/ha) than F2 (water spray) and F1 (no spray) (6.73 and 6.93 t/ha) that were statistically at par with each others. In the same way Rahim et al. (14) and Ahmad et al. (1) reported that boron application increased the grain yield significantly in maize as compared with no application. The biological yield was also significantly affected by different stress and foliar spray treatments. Treatments means showed that more biological yield (19.98 ton/ha) was observed in S1 (no stress) against S2 (water stress of 15 days)(12.35 t/ha). These results agreed findings of Khan et al. (8). The statistically maximum biological yield (17.89 t/ha) was observed under F3 where boron foliar application @ 100 ppm was applied followed by F2 (15.57 t/ha) where water spray was applied to plants which was statistically at par with F1 (no spray). The results are closely related with Ziaeyan and Rajaie (24) as they described increased biological yield in maize by foliar application of boron. Data pertaining to harvest index for stress levels revealed statistically maximum harvest index (49.07 %) in S1 (no stress) as compared with S2 (water stress of 15 days) (43.32%). It was assumed that harvest index of wheat crop was significantly decreased under reduced water conditions (12). For foliar sprays maximum harvest index (49.37%) was observed F3 (foliar application of boron @ 100 ppm) and minimum (44.04%) in F1 where no spray was applied. Same findings have been reported by Tombo et al., (20) that harvest index of crop was significantly affected by boron applications. The interaction between stress levels and foliar sprays for yield and yield components was non-significant in all parameters. Biochemical responses Data regarding biochemical characteristics (Table 2) showed that biochemical attributes like amylase and protein contents were statistically non-significant between two stress levels. However their values were higher A. Ali et al. 308 Table 2. Effect of different stress levels and foliar sprays on biochemical responses of maize (Individual comparison of treatment means) Means not having the same letter significantly differ at 0.05% probability level, NS = Non-significant. in S2 plants where water stress of 15 days were given than S1 treated plants where no stress was given. Ahmadi et al. (3) also reported that protein concentration was highly increased by drought (water stress). In case of foliar sprays significant effect of foliar application of boron was observed on stem protein and amylase concentration. The comparison of experiment treatment means showed that maximum concentration of stem amylase (0.987 I.U/g) was noted in F2 where water spray was applied followed by F1 (0.858 I.U/g) while minimum (0.625 I.U/g) was recorded in F3 (boron foliar application @100 ppm). Similar data fashion were found in case of protein contents in which statistically highest protein content (10.47 %) was noted in F2 (water spray) treatment whereas lowest concentration of protein (7.36 %) was measured in boron foliar application @ 100 ppm. Dwivedi et al. (6) mentioned that protein contents of maize grains were highly increased with boron application which is contradictory to our findings. Interaction among the boron foliar application and stress levels was also non-significant for these traits. CONCLUSION The study concluded that water stress has a great impact on yield and yield components of maize (Zea mays L.) crop. Soil moisture stress produces less grain yield by inducing less plant height, cob length and 1000-grain weight. However, boron application has significant positive effect on these parameters. So under water stress conditions at tasseling stage of maize, boron application @ 100 ppm should be followed to attain maximum yield and benefits under the climatic conditions of Faisalabad. REFERENCES 1. Ahmad, A., I. Khan and M. Z. Abdin. 2000. Effect of boron fertilization on oil accumulation, acetyl-CoA concentration and acetyl-CoA carboxylase activity in the developing seeds of rapeseed (Brassica campestris L.). Austrailian J. Agri. Res. 5:1023-1029. 2. Ahmad, A., M. Tahir, E. Ullah, M. Naeem, M. Ayub, H. Rehman and M. Talha. 2012. Effect of silicon and boron foliar application on yield and quality of rice. Pak. J. Life and Social Sci. 10:161-165. 3. Ahmadi, M. C., R. A. Malvar and L. Campo. 2010. Biochemical changes in maize (Zea mays L.) seedlings exposed to drought stress at different nitrogen levels. J. Crop Sci., 50: 51–58. 4. Anon, 2006. Agricultural Statistics of Pakistan. 106, 18-19. 5. Anon. 2000. Economic Survey of Pakistan. Govt. of Pakistan. Ministry of Finance, Islamabad, Pakistan. 2009. Pp. 22. 6. Dwivedi, S. K., R. S. Singh and K.N. Dwivedi. 2002. Effect of boron and zinc nutrition on yield and quality of maize (Zea mays L.) in Typic Ustochrept soil of Kanpur. J. Indian. Soc. Soil Sci., 50: 70-74. 7. El-Sheikh, M.A. 1994. Response of two maize varieties to plant densities and irrigation treatments. Journal Agric. Sci. 19:413-422. 8. Khan, M. B., N. Hussain and M. Iqbal, 2001. Effect of water stress on growth and yield Components of maize. J. Res. Sci. Bahauddin Zakariya University, Multan, Pakistan, 12:15-18. 9. Miwa, K., J. Takano and T. Fujiwara. 2008. Molecular mechanism of boron transport in plants and its modification for plant growth improvement. Protein, Nucleic acid, Enzyme. 53:1173-1179. 10. Moayedi, A. A., A. N. Boyce and S. S. Barakbah. 2010. The performance of durum and bread wheat genotypes associated with yield and yield component under different water deficit conditions. Aus. J. Basic and Appl. Sci. 4:106-113. 11. Mukhtar, T., M. Arif, S. Hussain, M. Atif, S. Rehman and K. Hussain. 2012. Yield and yield components of maize hybrids as influenced by plant spacing. J. Agric. Res. 50(1):59-69. 12. Pannu, R. K., P. Singh, D.P. Singh, B.D. Chaudhary, V.P. Saugwan and H. C. Sharma. 1996. Ground water table limit, the irrigation requirement of tall and dwarf wheat (Triticum aestivum L.). Indian. J. Agron., 41:568-572. 13. Passioura, J. B. 2007. The drought environment physical, biological and agricultural Perspectives. J. Exp. Bot. 58:113-117. 14. Rahim, M., H. Ali and T. Mahmood. 2004. Impact of nitrogen and boron application on growth and yield of maize (Zea mays L.) crop. J. Res. Sci. 15:153-157. A. Ali et al. 310 15. Saeed, M., A. Khaliq, Z. A. Cheema and A. M. Ranjha. 2010. Effect of nitrogen levels and weed-crop competition durations on yield and yield components of maize. J. Agric. Res. 48(4):471-481. 17. Spasovski, K., M. Jekic and T. Avramovski. 1987. Effect of N.P.K. fertilizer and foliar application of trace elements on some morphological properties of wheat cv. Benzostaya. Agrohemija; 2:119126. (Wheat, Barlay and Triticale Absts. 5:350-359). 16. Sajedi, M. A., M. R. Arakani and M. A. Boojar. 2009. Response of maize to nutrients foliar application under water deficit stress conditions. Am. J. Agri. and Biol. Sci. 4:242-248. 18. Steel, R. G. D., J. H. Torrie and D. A. Dickey. 1997. Principles and Procedures of Statistics, a Biometrical Approach. 3rd Ed. McGraw Hill, Inc. Book Co. N.Y. (USA):352-358. 20. Tombo, Y., N. Tombo, F. Cig, M. Erman and A. E. Celen. 2008. The effect of boron application on nutrient composition, yield and some yield components of barley (Hordeum vulgare L.). Afric. J. Biotech., 7: 3255-3260. 19. Tahir, M., A. Tanveer, T. H. Shah, N. Fiaz and A. Wasaya. 2009. Yield response of wheat (Triticum aestivum L.) to boron application at different growth stages. Pak. J. Life and Soc. Sci., 7:39-42. 21. Wajid, A., A. Hussain, A. Ahmed, M. Rafiq, A. R. Goheer and M. Ibrahim. 2004. Effect of sowing date and plant density on growth, light interception and yield of wheat under semiarid condition. Int. J. Agri. Biology. 6:1119-1123. 23. Wrobel, S., B. Hrynczuk and K. Nowak. 2006. Fertilization with boron as security factor of the nutrient availability under drought condition. Pol. J. Envoi. Studies. 15:554-558. 22. Wilson, D. R., P. G. Ston and R. N. Gillespie. 2006. Drought effects on water use, growth and yield sweet corn. Proc. of the 9th Australian Agronomy Conference. 24. Ziaeyan, A. H. and M. Rajaie. 2009. Combined effect of zinc and boron on yield and nutrients accumulation in corn. Int. J. Plant Prod., 3:35-44. Received: September 18, 2015 Accepted: June 22, 2016 *** CONTRIBUTION OF AUTHORS: Abid Ali : Conducted the experiment and collected research data Manzoor Hussain : Helped in review of literature Saadia : Contributed in results and discussion Muhammad Rizwan : Helped in data analysis	5,820	inside_word	Irrigation	remove_one_sentence	<url> http://apply.jar.punjab.gov.pk/upload/1502446819_127_6._685.pdf </url> <text> ISSN: Online: 2076-7897, Print:0368-1157 http://www.jar.com.pk RESPONSE OF MAIZE (ZEA MAYS L.) TO BORON FOLIAR APPLICATION UNDER WATER STRESS CONDITIONS Abid Ali, Manzoor Hussain, Saadia* and Muhammad Rizwan*** ABSTRACT A field experiment was carried out at Agronomic Research Area, University of Agriculture, Faisalabad, Pakistan during the year 2013 to evaluate the response of maize (Zea mays L.) to foliar application of boron under water stress conditions. Maize hybrid FH-810 was selected as a test crop. The experiment was designed in RCBD with split plot arrangement. Two stress levels viz. no stress (S1) and water stress of 15 days (S2) were placed in main plots while three foliar sprays viz. no spray (F1), simple water spray (F2) and boron spray @ 100 ppm (F3) were assigned to sub-plots. The crop was grown upto harvesting and data were recorded according to the standard procedures. The results showed that stress levels and foliar sprays significantly affected different yield related parameters. Maximum grain yield was obtained in no stress (S1) crop when treated with F3 (boron spray @ 100 ppm). Boron application significantly enhanced the plant height (194.63 cm), cop length (16.94 cm), 1000-grain weight (381.89 g), biological yield (16.89 t/ha) and harvest index (49.37%). However protein content (7.36%) and amylase contents (0.625 I.U/g) were found to be decreased due to boron application while stress levels had no significant effect on these parameters. The interaction of stress levels with foliar spray applications was found nonsignificant for all studied parameters. KEYWORDS: Zea mays; agronomic characters; ping; grain yield; water stress; boron; foliar sprays; Pakistan. INTRODUCTION In Pakistan maize (Zea mays L.) has an important place in cropping pattern of irrigated areas of Pakistan. It is the third most important cereal crop after wheat and rice (15). Due to high yield potential and short duration this crop is gaining more popularity against other cereals. (11) In Pakistan, Punjab leads the KPK province in maize production. However, it is grown in almost Groundnut Research Station, Gram Breeding Research Sub-Station, Attock, Cotton Research Institute, AARI, Faisalabad, Pakistan. all parts of the country, while only 5 percent maize production comes from Sindh and Baluchistan provinces. Maize is used as feed for poultry and livestock besides having a good consumption by human beings in the shape of food grain. Pakistan, has an area of 1.02 million hectares under maize cultivation with average grain production of 2893 kg per hectare with the annual grain yield of 2.96 million tons (5). Maize responds very well to various agro-management practices bearing high yield potential. Unfortunately in Pakistan maize is yield much less yield than other maize growing countries. Existing genotypes of maize are also producing under potential yields. This low and under potential yield of maize is not fully explored due to some management practices like agronomic, environmental and edaphic factors (4). Besides the other management practices, irrigation and nutrient management are also responsible for low yield of maize. Crop production is mainly restrained by drought in addition to other environmental stresses like cold, salt, acid and high temperature stresses. The depressing effect of drought strain on yield performance has been well accredited (10, 13). In both tropical and temperate environments, drought stresses are mainly responsible for major yield losses. These areas provide maize for local as well as for worldwide consumption. Water stress effects depend on the duration, timing and magnitude of the stress. Almost all the plant expansion processes including photosynthesis are badly affected by water stress. However, water stress rate, duration of exposure, intensity and crop growth stage also mention the response of water stress (21). Water stress at tasseling stage reduced the yield as flowering delays silking and results in yield reduction and number of grains per cob. Early stages of maize plant are resistant against water stress than the final stages (8). Boron is essential for plant growth as a micronutrient (2). Boron has an important role in accumulation of carbohydrates, lignifications, photosynthesis, cell wall structure, vegetative growth cell wall synthesis, and retention of flowers and fruits. It is also responsible indole and phenol acetic acid metabolism, membrane transportation and its insufficiency leads to brownish spots in plant tissues (photosynthesis retardation and speculations), stunting of the newly emerged plants (9). Boron is able to alleviate the drought effects and its use as micronutrient enhance the parameters of the major yield components, thus escalating yield level and enriching the chemical symphony of crops (23). At present little is known about the physical and chemical effects of boron foliar application on growth and yield and yield components of maize under water stress conditions. Therefore, the present experiment was carried out to elucidate the influence of boron foliar application on growth and yield of maize (Zea mays L.) under water stress (drought) conditions. MATERIALS AND METHODS This study was conducted at Agronomic Research Area, University of Agriculture, Faisalabad Pakistan during the year 2013. Maize crop (cv. FH810) was sown during autumn under RCBD using split plot arrangements with three replications. Two stress levels (no stress and water stress of 15 days imposed at the onset of tasseling stage) were randomized in main plots keeping foliar sprays (no spray, simple water spray and boron spray @ 100 ppm at tasseling stage) in sub-plots. The net plot size of 8 m × 3.75 m was maintained for each replication. Soaking Irrigati<cursor_is_here> Land was set for sowing by using cultivator (2-3 cultivations followed by planking). The crop was sown with dibbler in 75 cm spaced rows maintaining plant to plant distance of 25 cm with seed rate of 25 kg per hectare. Fertilizer was applied @ 200100-100 kg NPK per hectare. Half of N and P and all K were applied at sowing in the form of urea, diammonium phosphate (DAP) and sulphate of potassium (K2SO4), while remaining N was applied in splits. Furadon was applied @ 20 kg per hectare after first irrigation to control insect pests especially maize borer and shoot fly. The field was set aside free of unwanted vegetation and weeds by physical hoeing. At maturity, data on crop yield and yield components such as plant height (cm), cob lenght, 1000 grain weight (g), economic yield (kg/ha), biological yield (kg/ha) and harvest index (%) was recorded according to the standard procedures. The collected data were analyzed statistically using the Fisher analysis of variance technique and treatment means were compared by using least significance difference (LSD) test at 0.05% probability level (18). RESULTS AND DISCUSSION Yield parameters The results (Table 1) showed that plant height was significantly affected among stress levels and maximum plant height (199.5 cm) was observed in S1 (no stress) while minimum (185.17 cm) in S2 (water stress of 15 days). The reduction in plant height due to water stress which is caused by the loss of turgor pressure, ultimately affects the cell growth and speed of cell formation. Wilson et al. (22) also confirm these findings. Regarding foliar sprays significantly maximum plant height (194.63 cm) was measured in F3 (boron foliar application @ 100 ppm) followed by F2 (191.37 cm) where water spray was applied. Smallest amount of plant height was recorded by the plants under F1 where no spray was applied to plants. Similar findings were also described by Tombo et al. (20) who stated that plant height was positively and significantly affected by boron applications. The comparison of treatments , means of cob length for stress levels revealed that greater cob length (19.18 cm) was recorded in S1 (no stress) that was statistically different from S2 (water stress of 15 days) (13.79 cm). For foliar sprays, maximum cob length (16.94 cm) was observed in F3 (boron foliar application @ 100 ppm) that was statistically different from F1 (no spray) (15.75 cm) and F2 (water spray) where cob length was noted (15.75 cm). These findings are similar to those of Sposavoki et al. (17). The weight of 1000-grains expresses the magnitude of grain development which is an important determinant of grain yield per hectare. Highest 1000grain weight (410.8g) was recorded in S1 (no stress) against S2 (water stress of 15 days) planted crop (315.00g) was noted. The moisture stress reduced the grain weight as the water is much necessary for growth, development reproduction, and all metabolic processes take place in plant life. These results also confirm the earlier findings (7). In case of boron application maximum 1000-grain weight (381.89g) was observed in F3 where (boron foliar spray @ 100 ppm), while minimum (353.3g) was recorded where F1 (no spray). However, it was statistically in accordance with F2 (water spray). These findings are in line with those of Tahir et al. (19) who mention that addition of boron to maize increased 1000-grain weight significantly. Table 1. Effect of different stress levels and foliar sprays on yield components of maize (individual comparison of treatment means) \| Treatments \| Plant height (cm) \| Cob length (cm) \| 1000 grain weight (g) \| Grain yield (t/ha) \| Biologica l yield (t/ha) \| \|---\|---\|---\|---\|---\|---\| \| A. Stress levels \| \| \| \| \| \| \| S = No stress 1 \| 199.5a \| 19.18a \| 410.8a \| 7.66a \| 15.61a \| \| S = water stress of 15 days 2 \| 185.1b \| 13.79b \| 315.0b \| 5.68b \| 13.11b \| \| LSD value \| 2.076 \| 1.138 \| 18.464 \| 0.639 \| 0.894 \| \| B. Foliar sprays \| \| \| \| \| \| \| F = No spray 1 \| 191.00b \| 15.75b \| 353.30b \| 6.73b \| 15.28b \| \| F = Simple water spray 2 \| 191.37b \| 15.27b \| 353.53b \| 6.93b \| 15.57b \| \| F = Boron spray @ 100 ppm 3 \| 194.63a \| 16.94a \| 381.89a \| 8.34a \| 16.89a \| \| LSD value \| 1.264 \| 0.681 \| 10.872 \| 0.433 \| 0.824 \| \| interaction stress x foliar sprays \| NS \| NS \| NS \| NS \| NS \| Means not having the same letter significantly differ at 0.05% probability level, NS = Non-significant. J. Agric. Res., 2017, 55(2) The effectiveness of boron foliar spray and water stress (drought) is ultimately measured by the grain yield level, which is a result of function of collective behaviour of all yield parameters. Data in the (Table-1) showed that grain yield beneath different stress and foliar spray treatments was found to be highly significant. The plants under S1 (no stress) produced more significantly high grain yield (9.67 t/ha) than noted in S2 (water stress of 15 days) (5.68 t/ha). Sajedi et al. (16) also found that drought (water stress) decreased grain yield as compared with control. Maize crop treated with F3 (foliar application of boron @100 ppm) produced high significantly economical yield (9.34 t/ha) than F2 (water spray) and F1 (no spray) (6.73 and 6.93 t/ha) that were statistically at par with each others. In the same way Rahim et al. (14) and Ahmad et al. (1) reported that boron application increased the grain yield significantly in maize as compared with no application. The biological yield was also significantly affected by different stress and foliar spray treatments. Treatments means showed that more biological yield (19.98 ton/ha) was observed in S1 (no stress) against S2 (water stress of 15 days)(12.35 t/ha). These results agreed findings of Khan et al. (8). The statistically maximum biological yield (17.89 t/ha) was observed under F3 where boron foliar application @ 100 ppm was applied followed by F2 (15.57 t/ha) where water spray was applied to plants which was statistically at par with F1 (no spray). The results are closely related with Ziaeyan and Rajaie (24) as they described increased biological yield in maize by foliar application of boron. Data pertaining to harvest index for stress levels revealed statistically maximum harvest index (49.07 %) in S1 (no stress) as compared with S2 (water stress of 15 days) (43.32%). It was assumed that harvest index of wheat crop was significantly decreased under reduced water conditions (12). For foliar sprays maximum harvest index (49.37%) was observed F3 (foliar application of boron @ 100 ppm) and minimum (44.04%) in F1 where no spray was applied. Same findings have been reported by Tombo et al., (20) that harvest index of crop was significantly affected by boron applications. The interaction between stress levels and foliar sprays for yield and yield components was non-significant in all parameters. Biochemical responses Data regarding biochemical characteristics (Table 2) showed that biochemical attributes like amylase and protein contents were statistically non-significant between two stress levels. However their values were higher A. Ali et al. 308 Table 2. Effect of different stress levels and foliar sprays on biochemical responses of maize (Individual comparison of treatment means) Means not having the same letter significantly differ at 0.05% probability level, NS = Non-significant. in S2 plants where water stress of 15 days were given than S1 treated plants where no stress was given. Ahmadi et al. (3) also reported that protein concentration was highly increased by drought (water stress). In case of foliar sprays significant effect of foliar application of boron was observed on stem protein and amylase concentration. The comparison of experiment treatment means showed that maximum concentration of stem amylase (0.987 I.U/g) was noted in F2 where water spray was applied followed by F1 (0.858 I.U/g) while minimum (0.625 I.U/g) was recorded in F3 (boron foliar application @100 ppm). Similar data fashion were found in case of protein contents in which statistically highest protein content (10.47 %) was noted in F2 (water spray) treatment whereas lowest concentration of protein (7.36 %) was measured in boron foliar application @ 100 ppm. Dwivedi et al. (6) mentioned that protein contents of maize grains were highly increased with boron application which is contradictory to our findings. Interaction among the boron foliar application and stress levels was also non-significant for these traits. CONCLUSION The study concluded that water stress has a great impact on yield and yield components of maize (Zea mays L.) crop. Soil moisture stress produces less grain yield by inducing less plant height, cob length and 1000-grain weight. However, boron application has significant positive effect on these parameters. So under water stress conditions at tasseling stage of maize, boron application @ 100 ppm should be followed to attain maximum yield and benefits under the climatic conditions of Faisalabad. REFERENCES 1. Ahmad, A., I. Khan and M. Z. Abdin. 2000. Effect of boron fertilization on oil accumulation, acetyl-CoA concentration and acetyl-CoA carboxylase activity in the developing seeds of rapeseed (Brassica campestris L.). Austrailian J. Agri. Res. 5:1023-1029. 2. Ahmad, A., M. Tahir, E. Ullah, M. Naeem, M. Ayub, H. Rehman and M. Talha. 2012. Effect of silicon and boron foliar application on yield and quality of rice. Pak. J. Life and Social Sci. 10:161-165. 3. Ahmadi, M. C., R. A. Malvar and L. Campo. 2010. Biochemical changes in maize (Zea mays L.) seedlings exposed to drought stress at different nitrogen levels. J. Crop Sci., 50: 51–58. 4. Anon, 2006. Agricultural Statistics of Pakistan. 106, 18-19. 5. Anon. 2000. Economic Survey of Pakistan. Govt. of Pakistan. Ministry of Finance, Islamabad, Pakistan. 2009. Pp. 22. 6. Dwivedi, S. K., R. S. Singh and K.N. Dwivedi. 2002. Effect of boron and zinc nutrition on yield and quality of maize (Zea mays L.) in Typic Ustochrept soil of Kanpur. J. Indian. Soc. Soil Sci., 50: 70-74. 7. El-Sheikh, M.A. 1994. Response of two maize varieties to plant densities and irrigation treatments. Journal Agric. Sci. 19:413-422. 8. Khan, M. B., N. Hussain and M. Iqbal, 2001. Effect of water stress on growth and yield Components of maize. J. Res. Sci. Bahauddin Zakariya University, Multan, Pakistan, 12:15-18. 9. Miwa, K., J. Takano and T. Fujiwara. 2008. Molecular mechanism of boron transport in plants and its modification for plant growth improvement. Protein, Nucleic acid, Enzyme. 53:1173-1179. 10. Moayedi, A. A., A. N. Boyce and S. S. Barakbah. 2010. The performance of durum and bread wheat genotypes associated with yield and yield component under different water deficit conditions. Aus. J. Basic and Appl. Sci. 4:106-113. 11. Mukhtar, T., M. Arif, S. Hussain, M. Atif, S. Rehman and K. Hussain. 2012. Yield and yield components of maize hybrids as influenced by plant spacing. J. Agric. Res. 50(1):59-69. 12. Pannu, R. K., P. Singh, D.P. Singh, B.D. Chaudhary, V.P. Saugwan and H. C. Sharma. 1996. Ground water table limit, the irrigation requirement of tall and dwarf wheat (Triticum aestivum L.). Indian. J. Agron., 41:568-572. 13. Passioura, J. B. 2007. The drought environment physical, biological and agricultural Perspectives. J. Exp. Bot. 58:113-117. 14. Rahim, M., H. Ali and T. Mahmood. 2004. Impact of nitrogen and boron application on growth and yield of maize (Zea mays L.) crop. J. Res. Sci. 15:153-157. A. Ali et al. 310 15. Saeed, M., A. Khaliq, Z. A. Cheema and A. M. Ranjha. 2010. Effect of nitrogen levels and weed-crop competition durations on yield and yield components of maize. J. Agric. Res. 48(4):471-481. 17. Spasovski, K., M. Jekic and T. Avramovski. 1987. Effect of N.P.K. fertilizer and foliar application of trace elements on some morphological properties of wheat cv. Benzostaya. Agrohemija; 2:119126. (Wheat, Barlay and Triticale Absts. 5:350-359). 16. Sajedi, M. A., M. R. Arakani and M. A. Boojar. 2009. Response of maize to nutrients foliar application under water deficit stress conditions. Am. J. Agri. and Biol. Sci. 4:242-248. 18. Steel, R. G. D., J. H. Torrie and D. A. Dickey. 1997. Principles and Procedures of Statistics, a Biometrical Approach. 3rd Ed. McGraw Hill, Inc. Book Co. N.Y. (USA):352-358. 20. Tombo, Y., N. Tombo, F. Cig, M. Erman and A. E. Celen. 2008. The effect of boron application on nutrient composition, yield and some yield components of barley (Hordeum vulgare L.). Afric. J. Biotech., 7: 3255-3260. 19. Tahir, M., A. Tanveer, T. H. Shah, N. Fiaz and A. Wasaya. 2009. Yield response of wheat (Triticum aestivum L.) to boron application at different growth stages. Pak. J. Life and Soc. Sci., 7:39-42. 21. Wajid, A., A. Hussain, A. Ahmed, M. Rafiq, A. R. Goheer and M. Ibrahim. 2004. Effect of sowing date and plant density on growth, light interception and yield of wheat under semiarid condition. Int. J. Agri. Biology. 6:1119-1123. 23. Wrobel, S., B. Hrynczuk and K. Nowak. 2006. Fertilization with boron as security factor of the nutrient availability under drought condition. Pol. J. Envoi. Studies. 15:554-558. 22. Wilson, D. R., P. G. Ston and R. N. Gillespie. 2006. Drought effects on water use, growth and yield sweet corn. Proc. of the 9th Australian Agronomy Conference. 24. Ziaeyan, A. H. and M. Rajaie. 2009. Combined effect of zinc and boron on yield and nutrients accumulation in corn. Int. J. Plant Prod., 3:35-44. Received: September 18, 2015 Accepted: June 22, 2016 * CONTRIBUTION OF AUTHORS: Abid Ali : Conducted the experiment and collected research data Manzoor Hussain : Helped in review of literature Saadia : Contributed in results and discussion Muhammad Rizwan : Helped in data analysis </text>	[ { "content": "<url>\nhttp://apply.jar.punjab.gov.pk/upload/1502446819_127_6._685.pdf\n</url>\n<text>\nISSN: Online: 2076-7897, Print:0368-1157\n\nhttp://www.jar.com.pk\n\nRESPONSE OF MAIZE (ZEA MAYS L.) TO BORON FOLIAR APPLICATION UNDER WATER STRESS CONDITIONS\n\nAbid Ali, Manzoor Hussain, Saadia* and Muhammad Rizwan**\n\nABSTRACT\n\nA field experiment was carried out at Agronomic Research Area, University of Agriculture, Faisalabad, Pakistan during the year 2013 to evaluate the response of maize (Zea mays L.) to foliar application of boron under water stress conditions. Maize hybrid FH-810 was selected as a test crop. The experiment was designed in RCBD with split plot arrangement. Two stress levels viz. no stress (S1) and water stress of 15 days (S2) were placed in main plots while three foliar sprays viz. no spray (F1), simple water spray (F2) and boron spray @ 100 ppm (F3) were assigned to sub-plots. The crop was grown upto harvesting and data were recorded according to the standard procedures. The results showed that stress levels and foliar sprays significantly affected different yield related parameters. Maximum grain yield was obtained in no stress (S1) crop when treated with F3 (boron spray @ 100 ppm). Boron application significantly enhanced the plant height (194.63 cm), cop length (16.94 cm), 1000-grain weight (381.89 g), biological yield (16.89 t/ha) and harvest index (49.37%). However protein content (7.36%) and amylase contents (0.625 I.U/g) were found to be decreased due to boron application while stress levels had no significant effect on these parameters. The interaction of stress levels with foliar spray applications was found nonsignificant for all studied parameters.\n\nKEYWORDS: Zea mays; agronomic characters; ping; grain yield; water stress; boron; foliar sprays; Pakistan.\n\nINTRODUCTION\n\nIn Pakistan maize (Zea mays L.) has an important place in cropping pattern of irrigated areas of Pakistan. It is the third most important cereal crop after wheat and rice (15). Due to high yield potential and short duration this crop is gaining more popularity against other cereals. (11) In Pakistan, Punjab leads the KPK province in maize production. However, it is grown in almost\n\nGroundnut Research Station, Gram Breeding Research Sub-Station, Attock, Cotton Research Institute, AARI, Faisalabad, Pakistan.\n\nall parts of the country, while only 5 percent maize production comes from Sindh and Baluchistan provinces. Maize is used as feed for poultry and livestock besides having a good consumption by human beings in the shape of food grain. Pakistan, has an area of 1.02 million hectares under maize cultivation with average grain production of 2893 kg per hectare with the annual grain yield of 2.96 million tons (5). Maize responds very well to various agro-management practices bearing high yield potential. Unfortunately in Pakistan maize is yield much less yield than other maize growing countries. Existing genotypes of maize are also producing under potential yields. This low and under potential yield of maize is not fully explored due to some management practices like agronomic, environmental and edaphic factors (4). Besides the other management practices, irrigation and nutrient management are also responsible for low yield of maize.\n\nCrop production is mainly restrained by drought in addition to other environmental stresses like cold, salt, acid and high temperature stresses. The depressing effect of drought strain on yield performance has been well accredited (10, 13). In both tropical and temperate environments, drought stresses are mainly responsible for major yield losses. These areas provide maize for local as well as for worldwide consumption. Water stress effects depend on the duration, timing and magnitude of the stress. Almost all the plant expansion processes including photosynthesis are badly affected by water stress. However, water stress rate, duration of exposure, intensity and crop growth stage also mention the response of water stress (21). Water stress at tasseling stage reduced the yield as flowering delays silking and results in yield reduction and number of grains per cob. Early stages of maize plant are resistant against water stress than the final stages (8).\n\nBoron is essential for plant growth as a micronutrient (2). Boron has an important role in accumulation of carbohydrates, lignifications, photosynthesis, cell wall structure, vegetative growth cell wall synthesis, and retention of flowers and fruits. It is also responsible indole and phenol acetic acid metabolism, membrane transportation and its insufficiency leads to brownish spots in plant tissues (photosynthesis retardation and speculations), stunting of the newly emerged plants (9). Boron is able to alleviate the drought effects and its use as micronutrient enhance the parameters of the major yield components, thus escalating yield level and enriching the chemical symphony of crops (23).\n\nAt present little is known about the physical and chemical effects of boron foliar application on growth and yield and yield components of maize under water stress conditions. Therefore, the present experiment was carried out to elucidate the influence of boron foliar application on growth and yield of maize (Zea mays L.) under water stress (drought) conditions.\n\nMATERIALS AND METHODS\n\nThis study was conducted at Agronomic Research Area, University of Agriculture, Faisalabad Pakistan during the year 2013. Maize crop (cv. FH810) was sown during autumn under RCBD using split plot arrangements with three replications. Two stress levels (no stress and water stress of 15 days imposed at the onset of tasseling stage) were randomized in main plots keeping foliar sprays (no spray, simple water spray and boron spray @ 100 ppm at tasseling stage) in sub-plots. The net plot size of 8 m × 3.75 m was maintained for each replication. Soaking Irrigati<cursor_is_here> Land was set for sowing by using cultivator (2-3 cultivations followed by planking). The crop was sown with dibbler in 75 cm spaced rows maintaining plant to plant distance of 25 cm with seed rate of 25 kg per hectare. Fertilizer was applied @ 200100-100 kg NPK per hectare. Half of N and P and all K were applied at sowing in the form of urea, diammonium phosphate (DAP) and sulphate of potassium (K2SO4), while remaining N was applied in splits. Furadon was applied @ 20 kg per hectare after first irrigation to control insect pests especially maize borer and shoot fly. The field was set aside free of unwanted vegetation and weeds by physical hoeing. At maturity, data on crop yield and yield components such as plant height (cm), cob lenght, 1000 grain weight (g), economic yield (kg/ha), biological yield (kg/ha) and harvest index (%) was recorded according to the standard procedures. The collected data were analyzed statistically using the Fisher analysis of variance technique and treatment means were compared by using least significance difference (LSD) test at 0.05% probability level (18).\n\nRESULTS AND DISCUSSION\n\nYield parameters\n\nThe results (Table 1) showed that plant height was significantly affected among stress levels and maximum plant height (199.5 cm) was observed in S1 (no stress) while minimum (185.17 cm) in S2 (water stress of 15 days). The reduction in plant height due to water stress which is caused by the loss of turgor pressure, ultimately affects the cell growth and speed of cell formation. Wilson et al. (22) also confirm these findings. Regarding foliar sprays significantly maximum plant height (194.63 cm) was measured in F3 (boron foliar application @ 100 ppm) followed by F2 (191.37 cm) where water spray was applied. Smallest amount of plant height was recorded by the plants under F1 where no spray was applied to plants. Similar findings were also described by Tombo et al. (20) who stated that plant height was positively and significantly affected by boron applications.\n\nThe comparison of treatments , means of cob length for stress levels revealed that greater cob length (19.18 cm) was recorded in S1 (no stress) that was statistically different from S2 (water stress of 15 days) (13.79 cm). For foliar sprays, maximum cob length (16.94 cm) was observed in F3 (boron foliar application @ 100 ppm) that was statistically different from F1 (no spray) (15.75 cm) and F2 (water spray) where cob length was noted (15.75 cm). These findings are similar to those of Sposavoki et al. (17).\n\nThe weight of 1000-grains expresses the magnitude of grain development which is an important determinant of grain yield per hectare. Highest 1000grain weight (410.8g) was recorded in S1 (no stress) against S2 (water stress of 15 days) planted crop (315.00g) was noted. The moisture stress reduced the grain weight as the water is much necessary for growth, development reproduction, and all metabolic processes take place in plant life. These results also confirm the earlier findings (7). In case of boron application maximum 1000-grain weight (381.89g) was observed in F3 where (boron foliar spray @ 100 ppm), while minimum (353.3g) was recorded where F1 (no spray). However, it was statistically in accordance with F2 (water spray). These findings are in line with those of Tahir et al. (19) who mention that addition of boron to maize increased 1000-grain weight significantly.\n\nTable 1. Effect of different stress levels and foliar sprays on yield components of maize (individual comparison of treatment means)\n\n\| Treatments \| Plant height (cm) \| Cob length (cm) \| 1000 grain weight (g) \| Grain yield (t/ha) \| Biologica l yield (t/ha) \|\n\|---\|---\|---\|---\|---\|---\|\n\| A. Stress levels \| \| \| \| \| \|\n\| S = No stress 1 \| 199.5a \| 19.18a \| 410.8a \| 7.66a \| 15.61a \|\n\| S = water stress of 15 days 2 \| 185.1b \| 13.79b \| 315.0b \| 5.68b \| 13.11b \|\n\| LSD value \| 2.076 \| 1.138 \| 18.464 \| 0.639 \| 0.894 \|\n\| B. Foliar sprays \| \| \| \| \| \|\n\| F = No spray 1 \| 191.00b \| 15.75b \| 353.30b \| 6.73b \| 15.28b \|\n\| F = Simple water spray 2 \| 191.37b \| 15.27b \| 353.53b \| 6.93b \| 15.57b \|\n\| F = Boron spray @ 100 ppm 3 \| 194.63a \| 16.94a \| 381.89a \| 8.34a \| 16.89a \|\n\| LSD value \| 1.264 \| 0.681 \| 10.872 \| 0.433 \| 0.824 \|\n\| interaction stress x foliar sprays \| NS \| NS \| NS \| NS \| NS \|\n\nMeans not having the same letter significantly differ at 0.05% probability level, NS = Non-significant.\n\nJ. Agric. Res., 2017, 55(2)\n\nThe effectiveness of boron foliar spray and water stress (drought) is ultimately measured by the grain yield level, which is a result of function of collective behaviour of all yield parameters. Data in the (Table-1) showed that grain yield beneath different stress and foliar spray treatments was found to be highly significant. The plants under S1 (no stress) produced more significantly high grain yield (9.67 t/ha) than noted in S2 (water stress of 15 days) (5.68 t/ha). Sajedi et al. (16) also found that drought (water stress) decreased grain yield as compared with control. Maize crop treated with F3 (foliar application of boron @100 ppm) produced high significantly economical yield (9.34 t/ha) than F2 (water spray) and F1 (no spray) (6.73 and 6.93 t/ha) that were statistically at par with each others. In the same way Rahim et al. (14) and Ahmad et al. (1) reported that boron application increased the grain yield significantly in maize as compared with no application.\n\nThe biological yield was also significantly affected by different stress and foliar spray treatments. Treatments means showed that more biological yield (19.98 ton/ha) was observed in S1 (no stress) against S2 (water stress of 15 days)(12.35 t/ha). These results agreed findings of Khan et al. (8). The statistically maximum biological yield (17.89 t/ha) was observed under F3 where boron foliar application @ 100 ppm was applied followed by F2 (15.57 t/ha) where water spray was applied to plants which was statistically at par with F1 (no spray). The results are closely related with Ziaeyan and Rajaie (24) as they described increased biological yield in maize by foliar application of boron.\n\nData pertaining to harvest index for stress levels revealed statistically maximum harvest index (49.07 %) in S1 (no stress) as compared with S2 (water stress of 15 days) (43.32%). It was assumed that harvest index of wheat crop was significantly decreased under reduced water conditions (12). For foliar sprays maximum harvest index (49.37%) was observed F3 (foliar application of boron @ 100 ppm) and minimum (44.04%) in F1 where no spray was applied. Same findings have been reported by Tombo et al., (20) that harvest index of crop was significantly affected by boron applications. The interaction between stress levels and foliar sprays for yield and yield components was non-significant in all parameters.\n\nBiochemical responses\n\nData regarding biochemical characteristics (Table 2) showed that biochemical attributes like amylase and protein contents were statistically non-significant between two stress levels. However their values were higher\n\nA. Ali et al. 308\n\nTable 2. Effect of different stress levels and foliar sprays on biochemical responses of maize (Individual comparison of treatment means)\n\nMeans not having the same letter significantly differ at 0.05% probability level, NS = Non-significant.\n\nin S2 plants where water stress of 15 days were given than S1 treated plants where no stress was given. Ahmadi et al. (3) also reported that protein concentration was highly increased by drought (water stress). In case of foliar sprays significant effect of foliar application of boron was observed on stem protein and amylase concentration. The comparison of experiment treatment means showed that maximum concentration of stem amylase (0.987 I.U/g) was noted in F2 where water spray was applied followed by F1 (0.858 I.U/g) while minimum (0.625 I.U/g) was recorded in F3 (boron foliar application @100 ppm). Similar data fashion were found in case of protein contents in which statistically highest protein content (10.47 %) was noted in F2 (water spray) treatment whereas lowest concentration of protein (7.36 %) was measured in boron foliar application @ 100 ppm. Dwivedi et al. (6) mentioned that protein contents of maize grains were highly increased with boron application which is contradictory to our findings. Interaction among the boron foliar application and stress levels was also non-significant for these traits.\n\nCONCLUSION\n\nThe study concluded that water stress has a great impact on yield and yield components of maize (Zea mays L.) crop. Soil moisture stress produces less grain yield by inducing less plant height, cob length and 1000-grain weight. However, boron application has significant positive effect on these parameters. So under water stress conditions at tasseling stage of maize, boron application @ 100 ppm should be followed to attain maximum yield and benefits under the climatic conditions of Faisalabad.\n\nREFERENCES\n\n1. Ahmad, A., I. Khan and M. Z. Abdin. 2000. Effect of boron fertilization on oil accumulation, acetyl-CoA concentration and acetyl-CoA carboxylase activity in the developing seeds of rapeseed (Brassica campestris L.). Austrailian J. Agri. Res. 5:1023-1029.\n2. Ahmad, A., M. Tahir, E. Ullah, M. Naeem, M. Ayub, H. Rehman and M. Talha. 2012. Effect of silicon and boron foliar application on yield and quality of rice. Pak. J. Life and Social Sci. 10:161-165.\n3. Ahmadi, M. C., R. A. Malvar and L. Campo. 2010. Biochemical changes in maize (Zea mays L.) seedlings exposed to drought stress at different nitrogen levels. J. Crop Sci., 50: 51–58.\n4. Anon, 2006. Agricultural Statistics of Pakistan. 106, 18-19.\n5. Anon. 2000. Economic Survey of Pakistan. Govt. of Pakistan. Ministry of Finance, Islamabad, Pakistan. 2009. Pp. 22.\n6. Dwivedi, S. K., R. S. Singh and K.N. Dwivedi. 2002. Effect of boron and zinc nutrition on yield and quality of maize (Zea mays L.) in Typic Ustochrept soil of Kanpur. J. Indian. Soc. Soil Sci., 50: 70-74.\n7. El-Sheikh, M.A. 1994. Response of two maize varieties to plant densities and irrigation treatments. Journal Agric. Sci. 19:413-422.\n8. Khan, M. B., N. Hussain and M. Iqbal, 2001. Effect of water stress on growth and yield Components of maize. J. Res. Sci. Bahauddin Zakariya University, Multan, Pakistan, 12:15-18.\n9. Miwa, K., J. Takano and T. Fujiwara. 2008. Molecular mechanism of boron transport in plants and its modification for plant growth improvement. Protein, Nucleic acid, Enzyme. 53:1173-1179.\n10. Moayedi, A. A., A. N. Boyce and S. S. Barakbah. 2010. The performance of durum and bread wheat genotypes associated with yield and yield component under different water deficit conditions. Aus. J. Basic and Appl. Sci. 4:106-113.\n11. Mukhtar, T., M. Arif, S. Hussain, M. Atif, S. Rehman and K. Hussain. 2012. Yield and yield components of maize hybrids as influenced by plant spacing. J. Agric. Res. 50(1):59-69.\n12. Pannu, R. K., P. Singh, D.P. Singh, B.D. Chaudhary, V.P. Saugwan and H. C. Sharma. 1996. Ground water table limit, the irrigation requirement of tall and dwarf wheat (Triticum aestivum L.). Indian. J. Agron., 41:568-572.\n13. Passioura, J. B. 2007. The drought environment physical, biological and agricultural Perspectives. J. Exp. Bot. 58:113-117.\n14. Rahim, M., H. Ali and T. Mahmood. 2004. Impact of nitrogen and boron application on growth and yield of maize (Zea mays L.) crop. J. Res. Sci. 15:153-157.\n\nA. Ali et al. 310\n\n15. Saeed, M., A. Khaliq, Z. A. Cheema and A. M. Ranjha. 2010. Effect of nitrogen levels and weed-crop competition durations on yield and yield components of maize. J. Agric. Res. 48(4):471-481.\n17. Spasovski, K., M. Jekic and T. Avramovski. 1987. Effect of N.P.K. fertilizer and foliar application of trace elements on some morphological properties of wheat cv. Benzostaya. Agrohemija; 2:119126. (Wheat, Barlay and Triticale Absts. 5:350-359).\n16. Sajedi, M. A., M. R. Arakani and M. A. Boojar. 2009. Response of maize to nutrients foliar application under water deficit stress conditions. Am. J. Agri. and Biol. Sci. 4:242-248.\n18. Steel, R. G. D., J. H. Torrie and D. A. Dickey. 1997. Principles and Procedures of Statistics, a Biometrical Approach. 3rd Ed. McGraw Hill, Inc. Book Co. N.Y. (USA):352-358.\n20. Tombo, Y., N. Tombo, F. Cig, M. Erman and A. E. Celen. 2008. The effect of boron application on nutrient composition, yield and some yield components of barley (Hordeum vulgare L.). Afric. J. Biotech., 7: 3255-3260.\n19. Tahir, M., A. Tanveer, T. H. Shah, N. Fiaz and A. Wasaya. 2009. Yield response of wheat (Triticum aestivum L.) to boron application at different growth stages. Pak. J. Life and Soc. Sci., 7:39-42.\n21. Wajid, A., A. Hussain, A. Ahmed, M. Rafiq, A. R. Goheer and M. Ibrahim. 2004. Effect of sowing date and plant density on growth, light interception and yield of wheat under semiarid condition. Int. J. Agri. Biology. 6:1119-1123.\n23. Wrobel, S., B. Hrynczuk and K. Nowak. 2006. Fertilization with boron as security factor of the nutrient availability under drought condition. Pol. J. Envoi. Studies. 15:554-558.\n22. Wilson, D. R., P. G. Ston and R. N. Gillespie. 2006. Drought effects on water use, growth and yield sweet corn. Proc. of the 9th Australian Agronomy Conference.\n24. Ziaeyan, A. H. and M. Rajaie. 2009. Combined effect of zinc and boron on yield and nutrients accumulation in corn. Int. J. Plant Prod., 3:35-44.\n\nReceived: September 18, 2015 Accepted: June 22, 2016\n\n**\n\nCONTRIBUTION OF AUTHORS:\n\nAbid Ali : Conducted the experiment and collected\n\nresearch data\n\nManzoor Hussain : Helped in review of literature\n\nSaadia : Contributed in results and discussion\n\nMuhammad Rizwan : Helped in data analysis\n</text>\n", "role": "user" }, { "content": "on (rouni) was applied earlier than seed bed preparation for the planting purpose.", "role": "assistant" } ]
First Steps: Promoting OCW in a New Context (Poland) Jan Marković, Jan Kusiak, Karolina Grodecka AGH University of Science and Technology, Poland [email protected] , [email protected] , [email protected] Abstract AGH University of Science and Technology in Krakow is the first Polish higher education institution to establish an OER repository. Foreign experiences have been helpful, but could not be relied upon entirely considering Open AGH has been a pioneer in a new context. Among other things, there is little awareness of such initiatives among educators. Few have heard about open licenses and often see it as more of a challenge to their rights than an opportunity. These conditions are probably familiar to everyone, at least outside the most developed countries. Raising awareness of the issue is the basic step in order to promote and further develop the OER repository. There are two target groups of these activities. First are the potential authors of the open courseware. Many of them have already placed their work on the Internet but it is usually copyrighted. They need to be educated about open licensing and convinced that it is as beneficial for them as for the recipients of their resources. The other group is general public, especially those who can take advantage of the open courseware. It is described what steps were and are being taken within the AGH University to achieve those goals. Open AGH has been created in a context which offers little formal support for such activities, both at the national and institutional level. This results in promotional activities being usually bottom-up and low cost. These include: (a) Attracting the interest of mainstream and social media, (b) Gaining support of influential individuals and organizations in the field, (c) Developing internal university policy to encourage creating open content. Presentation should serve as a starting point for sharing experiences, in establishing new OER repositories, especially between institutions from countries where there is little formal support for such initiatives. Keywords OER, open education, AGH, promotion, higher education, Creative Commons Introduction With the development of open source software, the growth of participatory and openness culture in the field of learning, creating and sharing can be observed. From individual perspective access to and use of free services and applications is more than easy. The popularization of open software in the public has influence also on education. What is more it was only the first step in increasing culture of participation. In the educational setting open approach has been also transferred widely on academics' vocational activity. It has covered preparing open educational resources for unlimited, free use for others academics as well as publications available in open access models of scientific communication. Creating open educational resources (OER) is a global movement. But there is still little awareness of open initiatives among Polish educators. As open source software is widely expected and used in the Polish higher education, the idea of sharing own work with others is rather new and revolutionary approach for academic faculty. The attitude to openness in education varies from very positive to ignorant or even inacceptable according to different professions and academic policy. 1 Openness gradation On the Polish educational market plenty of educational materials are published online. However, conditions of using and re-using them might be varied on several levels. 1.1 Closed and copyrighted content First, plenty of materials developed by academic staff, teachers and trainers within their vocational activity or in projects donated from local/European grants are closed on the web. The access barrier is double here. One obstacle is the copyright protection. Even if they exist online, the access is limited and requires secured account, which is seen as the second obstacle. Such double-protected resources are targeted on special groups and nobody besides has access to them. Several examples here can be provided, but the most important from academic point of view is Virtual Library of Science, which is national project of Ministry of Science and Higher Education. It was launched in order to guarantee free access to scientific literature for Polish higher institutions, scientists, academic teachers and students. In fact Virtual Library of Science provides access to closed, password protected databases, which can be browsed only. 1.2 Copyrighted content Second, the majority of content available freely in the public web is copyright protected. In many cases those resources are high quality materials and could be excellent sources for teachers, trainers, academics for further use and adaptation. However, the copyright is an important obstacle here. The fact that those materials are available for free in the web, does not mean the possibility to re-use them for any purposes. Copyrighted content, even if valuable for education, can be only read, browsed, watched/listened to in passive way. Example here, can be online repository of education materials for primary and secondary school Interklasa.pl or Scholaris.pl which development is donated from public budget. Excellent example of resource prepared for academics is learning materials for informatics studies (Studia Informatyczne, 2006). Authors provided high quality educational materials and allowed everyone for unlimited usage. But if we look deeper, the condition set by authors shows that resources can be used, but re-use adaptation and modification is forbidden. This case is also a proof of wrong understanding of the idea of open educational resources. To sum up, examples described above illustrate the lowest level of openness which should be called rather availability where the read-only approach is widely promoted. Those resources can be used on fair educational use condition and are opened for public view but at the same time closed for re-use and modification. 1.3 Creative Commons You can also find educational materials available on more liberal conditions based on Creative Common licenses. Here the level of openness can vary according to a type of chosen license. In Poland the main responsibility for shaping open education takes Coalition for Open Education. Coalition forces using the most liberal CC license with Attribution and Share Alike conditions and promotes the attitude that full openness allows for unlimited re-use, adaptation, modification for any purpose even commercial. But taking into account that in the context of Polish education, the awareness of open educational resources and open education is still low, the Coalition for Open Education supports every project aimed at OER production. It is believed that a small steps approach is better then hermetic, limited access. Currently, in the Polish educational field there can be listed several projects aimed at OER development at the highest possible in Poland level of openness. In particular worth mentioned here are following projects: Wolne podręczniki (ang. Free textbooks) is a project of Fundacja Nowoczesna Polska educational materials prepared by teachers in digital formats. The textbooks are available for free and can be re-use, modify and adapt for any purposes. Otwórz książkę (ang. Open a book) is a project developed by Creative Commons Poland and ICM UW. Open a book is a digital collection of scientific books whose authors decided to publish them online for free on chosen Creative Commons license(s). Currently there are available 44 books. The Polish project developed by Wikimedia Poland Association (the wiki "family": Wikipedia, Wikisources, Wikinews, Wikibooks, etc.) where content is published on free license CC BY-SA or GFDL. 1.4 Public domain The highest level in openness gradation is public domain. This institution is strongly developed in United States, where authors and creators can abandon the property right and decide to put their works in public domain, which means that the works is public property and can be used in unlimited way. However, the Polish law system is much more restrictive. Works are transferred to the public domain after 70 years after the death of an author(s). This means that modern works will be a public property for our grandchildren. Currently in Poland, there are several projects of digital libraries which allow for easy access to works from the Polish public domain. For instance, National Library POLONA or the Polish resources in Gutenberg Project. 2 Open AGH 2.1 About Open AGH AGH University of Science and Technology in Krakow is one of the best technical universities in Poland. Established in 1919, this year AGH has celebrated the 90th anniversary of existence. AGH is seen as one of more progressive institution on the Polish educational market, opened for new initiatives and responsive to social, technologies and pedagogical changes. Thus, to continue and sustain such positive image, AGH is the first Polish higher education institution to establish an OER repository. AGH has been a pioneer in a new context. When launched (January 2010) Open AGH included 70 courses. After five months that number has increased to 87 courses. Before the official start of Open AGH, some of academic teachers had placed their resources on their home pages or within AGH VLE Moodle, but they were copyright protected. After Open AGH was launched, some of staff agreed to transfer those resources into open repository and making them available on open rules. Additional, the works of AGH students created in the competition 'Notes on the Internet' were a good starting point for developing open institutional repository. Currently students' works are part of Open AGH repository which is quite unique even in the global perspective. Due to the fact that from 2006 AGH staff has been developing their courses on Moodle, this CMS was chosen as basic system for managing OER. Such decision maximized the simplicity of the process of 'opening' resources for AGH academic staff. In future there are plans to transfer Open AGH database to some dedicated content management systems, for instance eduCommons recommended by OpenCourseWare Consortium. 2.2 Terms of Use OER in Open AGH are available publicly under the terms of Attribution - Non Commercial - Share Alike Creative Commons license. Any user who is interested in Open AGH content can use and copy it for free, as well as transform and adapt for own purposes under three conditions: must give the original author credit, may not use this work for commercial purposes and distribute the derivate work only under a license identical to used in "Open AGH". The decision about choosing Creative Commons BY-NC-SA license was driven by academic staff attitude to opening educational materials. While in Poland there is agreement that fully open educational resources is only those published on license CC BY and CC BY-SA, AGH has decided to prevent from commercial usage of Open AGH resources. This decision gives the academic staff an assurance of not losing financial benefits. AGH authorities are convinced that with a chosen license, employees will be more willing to share their resources. According to the policy of Open AGH, in repository can be publish online courses as well as single documents – syllabuses, e-books, notes from lectures and video recording lectures, stimulations, animations, podcasts, etc. The basic rule here is to place recourses that could supports academic teachers in teaching practice. AGH at the same time is developing ABC Krakow – Academic Digital Library where copyright protected academics textbooks, conference proceedings, PhD thesis, institutional scientific journals, etc. are published. The policy of ABC Krakow excludes didactic materials produced by academic staff for students. Thus, Open AGH in compliance with ABC Krakow provides complete access to educational materials produced by AGH academic teachers. 2.3 Challenges There are several challenges that Open AGH is trying to face. The first one is to create and sustain first academic repository of open educational resources in Poland. Facing this challenge required training the academic staff about open licensing and convincing that it is as beneficial for them as for the recipients of their resources. The second challenge is to give a local example and start developing a new trend in the Polish education. Most academic environments are reluctant. Those groups are pro online education, however are willing to place their works on the web in closed institutional VLE, protected by password, rather than share them for free in public web. Diagnosis of educational trends for 2010 published in the annual Horizon Report [The New Media Consortium, 2010: 13] confirms that openness is clearly not a niche ideology. According to the Report prepared by the New Media Consortium, the development of open educational content on a wide scale is a matter up to one year. AGH is hoping that by Open AGH repository, other higher education institutions will take an example and decide to open their resources on similar conditions. 3 Promoting OER As can be inferenced from the previous paragraphs, there is relatively low formal support for the development of open courseware repositories in Poland. This is changing, though, as there are first specific steps taken by the government to facilitate openness of digital resources. A more basic problem still remains, however. Awareness of the issues associated with open courseware (such as „copyleft" licenses or availability of open resources) is not common among people who should be main actors and beneficiaries of open content movement: teachers, students, and scientists. In our context it is therefore necessary to not only create and distribute open content but to also, at the same time, explain what it is, why it is advantageous to use it and, equally importantly, why it is not disadvantageous to use it. There are several issues many people unacquainted with OER bring up, when hearing about them. They fear losing control of their work, misinterpret „some rights reserved" as „all rights given up", are concerned with financial implications of sharing their work. Sometimes their arguments can be most unexpected. One of the authors of this text heard a university professor claim that open resources are bad because when knowledge is shared freely unprepared persons gain access to it which may cause even the mighty empires to fall (sic!). The goal of this publication though is not to give counterarguments to these claims. The benefits of open education are discussed in detail elsewhere (compare e.g. Cape Town Open Education Declaration). The authors aim at discussing the „marketing" approaches to disseminate that knowledge. The creators of Open AGH have had two main target groups for their actions: the potential authors of the open courseware and the recipients. The former included employees of the AGH University, the latter students and teachers all over Poland. These groups were approached differently and below we elaborate on our activities in both areas. 3.1 Promoting OER internally Centre of e-Learning is a university department which has had previous experiences with open content. We have worked on projects and published resources under open licenses (e.g. manual „How to use social software in higher education", MOSEP project resources on e-portfolios or our own blog). This was not typical of AGH though. If Open AGH is to succeed employees of our university need to be convinced of its value, starting with the highest authorities. Without the support of a rector such initiative has little chance of success. We have been fortunate that AGH authorities were interested in listening to our arguments. Their general attitude towards new ideas is positive. Some of them have even had educational resources placed on the Internet though, admittedly, it has been still copyrighted. Nevertheless, the idea of sharing results of one's own work for free was not strange to them. They have seen the value of doing that, specifically all the benefits listed in section 3.3 of this article. Another thing which proved very helpful in establishing Open AGH was direct and indirect support we received form external institutions. One of those was OCWC, from whom we received not only helpful advice but also an invitation to join the consortium as soon as Open AGH was accessible to public. This assured AGH authorities that our efforts will not be left in void, but that we will be formally linked to an active, international organization, which can provide us with further help. By „indirect support" we understand examples of other universities around the world who have established OER repositories. Most prominently it includes Massachusetts Institute of Technology, which is not just one of the best universities in the world and the first large educational institution to openly share courses, but also, like AGH, a technical university which made it an especially attractive example for us. Generally speaking, it is good to look for the institutions in and outside our own country which have experience in the field and can provide us with valuable advice. On further stages they also help disseminate knowledge about our initiative. Next step in internal promoting of Open AGH has been approaching all AGH employees. At the moment of writing this text (April 2010) this is still a process in action. It started with the brief presentation before Council of Deans, when the basic facts about OER and Open AGH have been given. Simultaneously, an informational brochures and leaflets were printed and distributed. Also articles have been written for the university bulletin. This stage has been completed with the Rector issuing a letter to all AGH employees once again informing them about the Open AGH initiative and encouraging them to join it. Currently our efforts are concentrated on more direct ways of reaching authors, especially those who have already published some of their work on the web. We write or call them and try to convince them to place those educational resources on the Open AGH. Some have refused, at least so far, but others have agreed and we have managed to add some more interesting resources to the repository. Finally, „Notes on the Internet" has to be mentioned. It is a annual competition for AGH students, who prepare digital educational resources under the supervision of their professors. Best materials from earlier years are already in our repository. This year an amendment has been made to the rules of the contest and it is explicitly stated that all the submissions should be CC-licensed and will be made available on Open AGH. 3.2 Promoting OER externally Basic goal in this area was spreading the news that Open AGH has been created. We have hoped that the first university repository of Creative Commons-licensed resources in Poland will attract the interest of media. Indeed, it has been so. The official opening of the Open AGH has been conducted by the Rector during the press conference. Later, the news about the repository has been published in many media, including Newsweek.pl or Polish Radio. According to B. Dembinski (AGH spokesman, personal communication) very few AGH initiatives in recent time have gained such widespread media coverage. This had great positive effect on the initial burst of interest in our project. This was an expected result. The challenge however, was to maintain and further develop visibility and popularity of Open AGH. The main means of achieving that goal has been use of social media. There are several benefits of choosing that option. First, it gives authors of the project control over some key aspects of communication process. They gain the proactive role in spreading information about the project. It is still vital that they are not the only persons discussing the subject, but they are not utterly dependent on others in that regard. They are also the first source of information. Second, social media enable spread of information in what is a digital equivalent of „word-of-mouth marketing". It leads to the next point: it is easier to reach exactly those people, who are interested in the initiative. Finally, social media are a low-cost solution, which is an important factor in our context. There are three main tools that are being used: Centre of e-Learning blog Centre of e-Learning microblog. Open AGH Facebook page. On all these information about Open AGH is being published. CeL blog has several hundred unique visitors a day. Our microblog has about 50 followers and Facebook page more than 270 fans. These may not seem as overwhelming numbers. However, one has to take into account two factors. First, social media are gaining popularity in Poland, but at this point terms such as „microblog" or „Facebook" are not familiar to majority of people. Second, the persons we reach are interested specifically in the issue of how education and Internet intertwine. Moreover, some of them are opinion leaders in their fields. They are educators, students, IT specialists who can relay our message to other interested. Indeed, mentions of Open AGH have been made on some influential blogs (e.g. polish Coalition of Open Education). There are also other methods to inform about our projects. These can be as easy but efficient as editing an appropriate page on the Wikipedia. The others are related to other tasks Centre of e-Learning fulfils, e.g. moderating online courses, holding workshops or presenting at conferences. Since these almost always centre on different aspects of e-learning they become a great opportunity to introduce the topic of OER and Open AGH specifically. Speaking from the authors' experience it can be said that it is always one of the most interesting issues for the listeners. Yet another way of promoting Open AGH externally is participation in state or EU-funded research projects, which at least partially or indirectly deal with OER. This also gives a chance to implement some of the developments in our repository. An example of this might be an iCoper project, that CeL currently participates in. One of its aims is to „analyse alternatives for integrating learning content, starting with various standards and specifications such as OpenID, Open Archives Initiative Protocol for Metadata Harvesting (OAI-PMH), Simple Publishing Interface (SPI), DOI/OpenURL". It is also beneficial to start cooperation with other organizations with similar interests. In case of Open AGH these are Coalition for Open Education or AGH Library, which some of their resources for free, though not on open licenses yet. Even if our initiatives differ in some key points, such collaboration is an effective means of promoting each of them. Finally, membership in organizations such as OCWC shall have much positive impact on reconcilability of our projects, as well as help learn about new ways of developing them. 4 Summary Establishing an open courseware repository in a country where there is relatively little knowledge on what open educational resources are and systematic solutions in the area are only beginning to be introduced poses a set of specific challenges. It does not suffice to create a technological platform on which such materials can be placed and encourage authors to use it. It is also essential to act as an educator, to promote the concept of OER themselves, to explain the benefits of using them. These activities are not negligible anywhere but in a country such as Poland they have additional importance as they are building blocks upon which the success of such initiatives rests. The authors have tried to show what can be done practically to achieve those goals. Hopefully it may help other institutions in similar position develop their projects more efficiently. 5 References AGH - kopalnia wykładów, Polish radio. Available online at: http://www.polskieradio.pl/nauka/artykul133133_ag h___kopalnia_wykladow.html, last accessed: 15 April 2010. AGH w Krakowie udostępniła w internecie swoje zasoby Newsweek.pl. Available online at: http://www.newsweek.pl/artykuly/sekcje/nauka/agh -w-krakowie-udostepnila-w-internecie-swoje-zasob y,52313,1 , last accessed: 15 April 2010. Cape Town Open Education Declaration. Available online at: http://www.capetowndeclaration.org/read-the-declar ation, last accessed: 15 April 2010. CeL blog. Available online at: http://cel.agh.edu.pl, last accessed: 15 April 2010. How to Use Social Software. A hanbook from iCamp project. Available online at: http://www.icamp.eu/2009/02/11/icamp-handbookhow-to-use-social-software-in-higher-education/, last accessed: 15 April 2010. iCoper project objectives. Available online at: http://www.icoper.org/project-objectives, last accessed: 15 April 2010. MOSEP project training resources http://wiki.mosep.org/Mosep/, last accessed: 15 April 2010. Otwórz książke (ang. Open a book), project available online at: http://otworzksiazke.pl, last accessed: 15 April 2010. Studia Informatyczne (2006). Project Opracowanie programów nauczania na odległość na kierunku studiów wyższych – Informatyka. Available online at: http://wazniak.mimuw.edu.pl/index.php?title=Stron a_g%C5%82%C3%B3wna, last accessed: 15 April 2010. The New Media Consortium, EDUCAUSE Learning Initiative (2010). The Horizon Report. 2010 Edition. Available online at: http://wp.nmc.org/horizon2010/, last accessed: 15 April 2010. Wikimedia Poland Association projects, list available online at: http://pl.wikimedia.org/, last accessed: 15 April 2010. Wolne podręczniki (ang. Free Textbook), project available online at: http:// wolnepodreczniki.pl/, last accessed: 15 April 2010.	<urn:uuid:52e9ee95-abec-49cd-8536-a2c54d8f646d>	CC-MAIN-2017-39	http://www.cel.agh.edu.pl/wp-content/uploads/2011/08/OCWC_AGH_formatted.pdf	2017-09-23T05:39:53Z	s3://commoncrawl/crawl-data/CC-MAIN-2017-39/segments/1505818689490.64/warc/CC-MAIN-20170923052100-20170923072100-00430.warc.gz	398,207,693	5,196	eng_Latn	eng_Latn	0.940451	eng_Latn	0.997761	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 4458, 9206, 14638, 20524, 24465, 25919 ]	First Steps: Promoting OCW in a New Context (Poland) Jan Marković, Jan Kusiak, Karolina Grodecka AGH University of Science and Technology, Poland [email protected] , [email protected] , [email protected] Abstract AGH University of Science and Technology in Krakow is the first Polish higher education institution to establish an OER repository. Foreign experiences have been helpful, but could not be relied upon entirely considering Open AGH has been a pioneer in a new context. Among other things, there is little awareness of such initiatives among educators. Few have heard about open licenses and often see it as more of a challenge to their rights than an opportunity. These conditions are probably familiar to everyone, at least outside the most developed countries. Raising awareness of the issue is the basic step in order to promote and further develop the OER repository. There are two target groups of these activities. First are the potential authors of the open courseware. Many of them have already placed their work on the Internet but it is usually copyrighted. They need to be educated about open licensing and convinced that it is as beneficial for them as for the recipients of their resources. The other group is general public, especially those who can take advantage of the open courseware. It is described what steps were and are being taken within the AGH University to achieve those goals. Open AGH has been created in a context which offers little formal support for such activities, both at the national and institutional level. This results in promotional activities being usually bottom-up and low cost. These include: (a) Attracting the interest of mainstream and social media, (b) Gaining support of influential individuals and organizations in the field, (c) Developing internal university policy to encourage creating open content. Presentation should serve as a starting point for sharing experiences, in establishing new OER repositories, especially between institutions from countries where there is little formal support for such initiatives. Keywords OER, open education, AGH, promotion, higher education, Creative Commons Introduction With the development of open source software, the growth of participatory and openness culture in the field of learning, creating and sharing can be observed. From individual perspective access to and use of free services and applications is more than easy. The popularization of open software in the public has influence also on education. What is more it was only the first step in increasing culture of participation. In the educational setting open approach has been also transferred widely on academics' vocational activity. It has covered preparing open educational resources for unlimited, free use for others academics as well as publications available in open access models of scientific communication. Creating open educational resources (OER) is a global movement. But there is still little awareness of open initiatives among Polish educators. As open source software is widely expected and used in the Polish higher education, the idea of sharing own work with others is rather new and revolutionary approach for academic faculty. The attitude to openness in education varies from very positive to ignorant or even inacceptable according to different professions and academic policy. 1 Openness gradation On the Polish educational market plenty of educational materials are published online. However, conditions of using and re-using them might be varied on several levels. 1.1 Closed and copyrighted content First, plenty of materials developed by academic staff, teachers and trainers within their vocational activity or in projects donated from local/European grants are closed on the web. The access barrier is double here. One obstacle is the copyright protection. Even if they exist online, the access is limited and requires secured account, which is seen as the second obstacle. Such double-protected resources are targeted on special groups and nobody besides has access to them. Several examples here can be provided, but the most important from academic point of view is Virtual Library of Science, which is national project of Ministry of Science and Higher Education. It was launched in order to guarantee free access to scientific literature for Polish higher institutions, scientists, academic teachers and students. In fact Virtual Library of Science provides access to closed, password protected databases, which can be browsed only. 1.2 Copyrighted content Second, the majority of content available freely in the public web is copyright protected. In many cases those resources are high quality materials and could be excellent sources for teachers, trainers, academics for further use and adaptation. However, the copyright is an important obstacle here. The fact that those materials are available for free in the web, does not mean the possibility to re-use them for any purposes. Copyrighted content, even if valuable for education, can be only read, browsed, watched/listened to in passive way. Example here, can be online repository of education materials for primary and secondary school Interklasa.pl or Scholaris.pl which development is donated from public budget. Excellent example of resource prepared for academics is learning materials for informatics studies (Studia Informatyczne, 2006). Authors provided high quality educational materials and allowed everyone for unlimited usage. But if we look deeper, the condition set by authors shows that resources can be used, but re-use adaptation and modification is forbidden. This case is also a proof of wrong understanding of the idea of open educational resources. To sum up, examples described above illustrate the lowest level of openness which should be called rather availability where the read-only approach is widely promoted. Those resources can be used on fair educational use condition and are opened for public view but at the same time closed for re-use and modification. 1.3 Creative Commons You can also find educational materials available on more liberal conditions based on Creative Common licenses. Here the level of openness can vary according to a type of chosen license. In Poland the main responsibility for shaping open education takes Coalition for Open Education. Coalition forces using the most liberal CC license with Attribution and Share Alike conditions and promotes the attitude that full openness allows for unlimited re-use, adaptation, modification for any purpose even commercial. But taking into account that in the context of Polish education, the awareness of open educational resources and open education is still low, the Coalition for Open Education supports every project aimed at OER production. It is believed that a small steps approach is better then hermetic, limited access. Currently, in the Polish educational field there can be listed several projects aimed at OER development at the highest possible in Poland level of openness. In particular worth mentioned here are following projects: Wolne podręczniki (ang. Free textbooks) is a project of Fundacja Nowoczesna Polska educational materials prepared by teachers in digital formats. The textbooks are available for free and can be re-use, modify and adapt for any purposes. Otwórz książkę (ang. Open a book) is a project developed by Creative Commons Poland and ICM UW. Open a book is a digital collection of scientific books whose authors decided to publish them online for free on chosen Creative Commons license(s). Currently there are available 44 books. The Polish project developed by Wikimedia Poland Association (the wiki "family": Wikipedia, Wikisources, Wikinews, Wikibooks, etc.) where content is published on free license CC BY-SA or GFDL. 1.4 Public domain The highest level in openness gradation is public domain. This institution is strongly developed in United States, where authors and creators can abandon the property right and decide to put their works in public domain, which means that the works is public property and can be used in unlimited way. However, the Polish law system is much more restrictive. Works are transferred to the public domain after 70 years after the death of an author(s). This means that modern works will be a public property for our grandchildren. Currently in Poland, there are several projects of digital libraries which allow for easy access to works from the Polish public domain. For instance, National Library POLONA or the Polish resources in Gutenberg Project. 2 Open AGH 2.1 About Open AGH AGH University of Science and Technology in Krakow is one of the best technical universities in Poland. Established in 1919, this year AGH has celebrated the 90th anniversary of existence. AGH is seen as one of more progressive institution on the Polish educational market, opened for new initiatives and responsive to social, technologies and pedagogical changes. Thus, to continue and sustain such positive image, AGH is the first Polish higher education institution to establish an OER repository. AGH has been a pioneer in a new context. When launched (January 2010) Open AGH included 70 courses. After five months that number has increased to 87 courses. Before the official start of Open AGH, some of academic teachers had placed their resources on their home pages or within AGH VLE Moodle, but they were copyright protected. After Open AGH was launched, some of staff agreed to transfer those resources into open repository and making them available on open rules. Additional, the works of AGH students created in the competition 'Notes on the Internet' were a good starting point for developing open institutional repository. Currently students' works are part of Open AGH repository which is quite unique even in the global perspective. Due to the fact that from 2006 AGH staff has been developing their courses on Moodle, this CMS was chosen as basic system for managing OER. Such decision maximized the simplicity of the process of 'opening' resources for AGH academic staff. In future there are plans to transfer Open AGH database to some dedicated content management systems, for instance eduCommons recommended by OpenCourseWare Consortium. 2.2 Terms of Use OER in Open AGH are available publicly under the terms of Attribution - Non Commercial - Share Alike Creative Commons license. Any user who is interested in Open AGH content can use and copy it for free, as well as transform and adapt for own purposes under three conditions: must give the original author credit, may not use this work for commercial purposes and distribute the derivate work only under a license identical to used in "Open AGH". The decision about choosing Creative Commons BY-NC-SA license was driven by academic staff attitude to opening educational materials. While in Poland there is agreement that fully open educational resources is only those published on license CC BY and CC BY-SA, AGH has decided to prevent from commercial usage of Open AGH resources. This decision gives the academic staff an assurance of not losing financial benefits. AGH authorities are convinced that with a chosen license, employees will be more willing to share their resources. According to the policy of Open AGH, in repository can be publish online courses as well as single documents – syllabuses, e-books, notes from lectures and video recording lectures, stimulations, animations, podcasts, etc. The basic rule here is to place recourses that could supports academic teachers in teaching practice. AGH at the same time is developing ABC Krakow – Academic Digital Library where copyright protected academics textbooks, conference proceedings, PhD thesis, institutional scientific journals, etc. are published. The policy of ABC Krakow excludes didactic materials produced by academic staff for students. Thus, Open AGH in compliance with ABC Krakow provides complete access to educational materials produced by AGH academic teachers. 2.3 Challenges There are several challenges that Open AGH is trying to face. The first one is to create and sustain first academic repository of open educational resources in Poland. Facing this challenge required training the academic staff about open licensing and convincing that it is as beneficial for them as for the recipients of their resources. The second challenge is to give a local example and start developing a new trend in the Polish education. Most academic environments are reluctant. Those groups are pro online education, however are willing to place their works on the web in closed institutional VLE, protected by password, rather than share them for free in public web. Diagnosis of educational trends for 2010 published in the annual Horizon Report [The New Media Consortium, 2010: 13] confirms that openness is clearly not a niche ideology. According to the Report prepared by the New Media Consortium, the development of open educational content on a wide scale is a matter up to one year. AGH is hoping that by Open AGH repository, other higher education institutions will take an example and decide to open their resources on similar conditions. 3 Promoting OER As can be inferenced from the previous paragraphs, there is relatively low formal support for the development of open courseware repositories in Poland. This is changing, though, as there are first specific steps taken by the government to facilitate openness of digital resources. A more basic problem still remains, however. Awareness of the issues associated with open courseware (such as „copyleft" licenses or availability of open resources) is not common among people who should be main actors and beneficiaries of open content movement: teachers, students, and scientists. In our context it is therefore necessary to not only create and distribute open content but to also, at the same time, explain what it is, why it is advantageous to use it and, equally importantly, why it is not disadvantageous to use it. There are several issues many people unacquainted with OER bring up, when hearing about them. They fear losing control of their work, misinterpret „some rights reserved" as „all rights given up", are concerned with financial implications of sharing their work. Sometimes their arguments can be most unexpected. One of the authors of this text heard a university professor claim that open resources are bad because when knowledge is shared freely unprepared persons gain access to it which may cause even the mighty empires to fall (sic!). The goal of this publication though is not to give counterarguments to these claims. The benefits of open education are discussed in detail elsewhere (compare e.g. Cape Town Open Education Declaration). The authors aim at discussing the „marketing" approaches to disseminate that knowledge. The creators of Open AGH have had two main target groups for their actions: the potential authors of the open courseware and the recipients. The former included employees of the AGH University, the latter students and teachers all over Poland. These groups were approached differently and below we elaborate on our activities in both areas. 3.1 Promoting OER internally Centre of e-Learning is a university department which has had previous experiences with open content. We have worked on projects and published resources under open licenses (e.g. manual „How to use social software in higher education", MOSEP project resources on e-portfolios or our own blog). This was not typical of AGH though. If Open AGH is to succeed employees of our university need to be convinced of its value, starting with the highest authorities. Without the support of a rector such initiative has little chance of success. We have been fortunate that AGH authorities were interested in listening to our arguments. Their general attitude towards new ideas is positive. Some of them have even had educational resources placed on the Internet though, admittedly, it has been still copyrighted. Nevertheless, the idea of sharing results of one's own work for free was not strange to them. They have seen the value of doing that, specifically all the benefits listed in section 3.3 of this article. Another thing which proved very helpful in establishing Open AGH was direct and indirect support we received form external institutions. One of those was OCWC, from whom we received not only helpful advice but also an invitation to join the consortium as soon as Open AGH was accessible to public. This assured AGH authorities that our efforts will not be left in void, but that we will be formally linked to an active, international organization, which can provide us with further help. By „indirect support" we understand examples of other universities around the world who have established OER repositories. Most prominently it includes Massachusetts Institute of Technology, which is not just one of the best universities in the world and the first large educational institution to openly share courses, but also, like AGH, a technical university which made it an especially attractive example for us. Generally speaking, it is good to look for the institutions in and outside our own country which have experience in the field and can provide us with valuable advice. On further stages they also help disseminate knowledge about our initiative. Next step in internal promoting of Open AGH has been approaching all AGH employees. At the moment of writing this text (April 2010) this is still a process in action. It started with the brief presentation before Council of Deans, when the basic facts about OER and Open AGH have been given. Simultaneously, an informational brochures and leaflets were printed and distributed. Also articles have been written for the university bulletin. This stage has been completed with the Rector issuing a letter to all AGH employees once again informing them about the Open AGH initiative and encouraging them to join it. Currently our efforts are concentrated on more direct ways of reaching authors, especially those who have already published some of their work on the web. We write or call them and try to convince them to place those educational resources on the Open AGH. Some have refused, at least so far, but others have agreed and we have managed to add some more interesting resources to the repository. Finally, „Notes on the Internet" has to be mentioned. It is a annual competition for AGH students, who prepare digital educational resources under the supervision of their professors. Best materials from earlier years are already in our repository. This year an amendment has been made to the rules of the contest and it is explicitly stated that all the submissions should be CC-licensed and will be made available on Open AGH. 3.2 Promoting OER externally Basic goal in this area was spreading the news that Open AGH has been created. We have hoped that the first university repository of Creative Commons-licensed resources in Poland will attract the interest of media. Indeed, it has been so. The official opening of the Open AGH has been conducted by the Rector during the press conference. Later, the news about the repository has been published in many media, including Newsweek.pl or Polish Radio. According to B. Dembinski (AGH spokesman, personal communication) very few AGH initiatives in recent time have gained such widespread media coverage. This had great positive effect on the initial burst of interest in our project. This was an expected result. The challenge however, was to maintain and further develop visibility and popularity of Open AGH. The main means of achieving that goal has been use of social media. There are several benefits of choosing that option. First, it gives authors of the project control over some key aspects of communication process. They gain the proactive role in spreading information about the project. It is still vital that they are not the only persons discussing the subject, but they are not utterly dependent on others in that regard. They are also the first source of information. Second, social media enable spread of information in what is a digital equivalent of „word-of-mouth marketing". It leads to the next point: it is easier to reach exactly those people, who are interested in the initiative. Finally, social media are a low-cost solution, which is an important factor in our context. There are three main tools that are being used: Centre of e-Learning blog Centre of e-Learning microblog. Open AGH Facebook page. On all these information about Open AGH is being published. CeL blog has several hundred unique visitors a day. Our microblog has about 50 followers and Facebook page more than 270 fans. These may not seem as overwhelming numbers. However, one has to take into account two factors. First, social media are gaining popularity in Poland, but at this point terms such as „microblog" or „Facebook" are not familiar to majority of people. Second, the persons we reach are interested specifically in the issue of how education and Internet intertwine. Moreover, some of them are opinion leaders in their fields. They are educators, students, IT specialists who can relay our message to other interested. Indeed, mentions of Open AGH have been made on some influential blogs (e.g. polish Coalition of Open Education). There are also other methods to inform about our projects. These can be as easy but efficient as editing an appropriate page on the Wikipedia. The others are related to other tasks Centre of e-Learning fulfils, e.g. moderating online courses, holding workshops or presenting at conferences. Since these almost always centre on different aspects of e-learning they become a great opportunity to introduce the topic of OER and Open AGH specifically. Speaking from the authors' experience it can be said that it is always one of the most interesting issues for the listeners. Yet another way of p	romoting Open AGH externally is participation in state or EU-funded research projects, which at least partially or indirectly deal with OER.		22,076	inside_word	promoting	remove_all	<url> http://www.cel.agh.edu.pl/wp-content/uploads/2011/08/OCWC_AGH_formatted.pdf </url> <text> First Steps: Promoting OCW in a New Context (Poland) Jan Marković, Jan Kusiak, Karolina Grodecka AGH University of Science and Technology, Poland [email protected] , [email protected] , [email protected] Abstract AGH University of Science and Technology in Krakow is the first Polish higher education institution to establish an OER repository. Foreign experiences have been helpful, but could not be relied upon entirely considering Open AGH has been a pioneer in a new context. Among other things, there is little awareness of such initiatives among educators. Few have heard about open licenses and often see it as more of a challenge to their rights than an opportunity. These conditions are probably familiar to everyone, at least outside the most developed countries. Raising awareness of the issue is the basic step in order to promote and further develop the OER repository. There are two target groups of these activities. First are the potential authors of the open courseware. Many of them have already placed their work on the Internet but it is usually copyrighted. They need to be educated about open licensing and convinced that it is as beneficial for them as for the recipients of their resources. The other group is general public, especially those who can take advantage of the open courseware. It is described what steps were and are being taken within the AGH University to achieve those goals. Open AGH has been created in a context which offers little formal support for such activities, both at the national and institutional level. This results in promotional activities being usually bottom-up and low cost. These include: (a) Attracting the interest of mainstream and social media, (b) Gaining support of influential individuals and organizations in the field, (c) Developing internal university policy to encourage creating open content. Presentation should serve as a starting point for sharing experiences, in establishing new OER repositories, especially between institutions from countries where there is little formal support for such initiatives. Keywords OER, open education, AGH, promotion, higher education, Creative Commons Introduction With the development of open source software, the growth of participatory and openness culture in the field of learning, creating and sharing can be observed. From individual perspective access to and use of free services and applications is more than easy. The popularization of open software in the public has influence also on education. What is more it was only the first step in increasing culture of participation. In the educational setting open approach has been also transferred widely on academics' vocational activity. It has covered preparing open educational resources for unlimited, free use for others academics as well as publications available in open access models of scientific communication. Creating open educational resources (OER) is a global movement. But there is still little awareness of open initiatives among Polish educators. As open source software is widely expected and used in the Polish higher education, the idea of sharing own work with others is rather new and revolutionary approach for academic faculty. The attitude to openness in education varies from very positive to ignorant or even inacceptable according to different professions and academic policy. 1 Openness gradation On the Polish educational market plenty of educational materials are published online. However, conditions of using and re-using them might be varied on several levels. 1.1 Closed and copyrighted content First, plenty of materials developed by academic staff, teachers and trainers within their vocational activity or in projects donated from local/European grants are closed on the web. The access barrier is double here. One obstacle is the copyright protection. Even if they exist online, the access is limited and requires secured account, which is seen as the second obstacle. Such double-protected resources are targeted on special groups and nobody besides has access to them. Several examples here can be provided, but the most important from academic point of view is Virtual Library of Science, which is national project of Ministry of Science and Higher Education. It was launched in order to guarantee free access to scientific literature for Polish higher institutions, scientists, academic teachers and students. In fact Virtual Library of Science provides access to closed, password protected databases, which can be browsed only. 1.2 Copyrighted content Second, the majority of content available freely in the public web is copyright protected. In many cases those resources are high quality materials and could be excellent sources for teachers, trainers, academics for further use and adaptation. However, the copyright is an important obstacle here. The fact that those materials are available for free in the web, does not mean the possibility to re-use them for any purposes. Copyrighted content, even if valuable for education, can be only read, browsed, watched/listened to in passive way. Example here, can be online repository of education materials for primary and secondary school Interklasa.pl or Scholaris.pl which development is donated from public budget. Excellent example of resource prepared for academics is learning materials for informatics studies (Studia Informatyczne, 2006). Authors provided high quality educational materials and allowed everyone for unlimited usage. But if we look deeper, the condition set by authors shows that resources can be used, but re-use adaptation and modification is forbidden. This case is also a proof of wrong understanding of the idea of open educational resources. To sum up, examples described above illustrate the lowest level of openness which should be called rather availability where the read-only approach is widely promoted. Those resources can be used on fair educational use condition and are opened for public view but at the same time closed for re-use and modification. 1.3 Creative Commons You can also find educational materials available on more liberal conditions based on Creative Common licenses. Here the level of openness can vary according to a type of chosen license. In Poland the main responsibility for shaping open education takes Coalition for Open Education. Coalition forces using the most liberal CC license with Attribution and Share Alike conditions and promotes the attitude that full openness allows for unlimited re-use, adaptation, modification for any purpose even commercial. But taking into account that in the context of Polish education, the awareness of open educational resources and open education is still low, the Coalition for Open Education supports every project aimed at OER production. It is believed that a small steps approach is better then hermetic, limited access. Currently, in the Polish educational field there can be listed several projects aimed at OER development at the highest possible in Poland level of openness. In particular worth mentioned here are following projects: Wolne podręczniki (ang. Free textbooks) is a project of Fundacja Nowoczesna Polska educational materials prepared by teachers in digital formats. The textbooks are available for free and can be re-use, modify and adapt for any purposes. Otwórz książkę (ang. Open a book) is a project developed by Creative Commons Poland and ICM UW. Open a book is a digital collection of scientific books whose authors decided to publish them online for free on chosen Creative Commons license(s). Currently there are available 44 books. The Polish project developed by Wikimedia Poland Association (the wiki "family": Wikipedia, Wikisources, Wikinews, Wikibooks, etc.) where content is published on free license CC BY-SA or GFDL. 1.4 Public domain The highest level in openness gradation is public domain. This institution is strongly developed in United States, where authors and creators can abandon the property right and decide to put their works in public domain, which means that the works is public property and can be used in unlimited way. However, the Polish law system is much more restrictive. Works are transferred to the public domain after 70 years after the death of an author(s). This means that modern works will be a public property for our grandchildren. Currently in Poland, there are several projects of digital libraries which allow for easy access to works from the Polish public domain. For instance, National Library POLONA or the Polish resources in Gutenberg Project. 2 Open AGH 2.1 About Open AGH AGH University of Science and Technology in Krakow is one of the best technical universities in Poland. Established in 1919, this year AGH has celebrated the 90th anniversary of existence. AGH is seen as one of more progressive institution on the Polish educational market, opened for new initiatives and responsive to social, technologies and pedagogical changes. Thus, to continue and sustain such positive image, AGH is the first Polish higher education institution to establish an OER repository. AGH has been a pioneer in a new context. When launched (January 2010) Open AGH included 70 courses. After five months that number has increased to 87 courses. Before the official start of Open AGH, some of academic teachers had placed their resources on their home pages or within AGH VLE Moodle, but they were copyright protected. After Open AGH was launched, some of staff agreed to transfer those resources into open repository and making them available on open rules. Additional, the works of AGH students created in the competition 'Notes on the Internet' were a good starting point for developing open institutional repository. Currently students' works are part of Open AGH repository which is quite unique even in the global perspective. Due to the fact that from 2006 AGH staff has been developing their courses on Moodle, this CMS was chosen as basic system for managing OER. Such decision maximized the simplicity of the process of 'opening' resources for AGH academic staff. In future there are plans to transfer Open AGH database to some dedicated content management systems, for instance eduCommons recommended by OpenCourseWare Consortium. 2.2 Terms of Use OER in Open AGH are available publicly under the terms of Attribution - Non Commercial - Share Alike Creative Commons license. Any user who is interested in Open AGH content can use and copy it for free, as well as transform and adapt for own purposes under three conditions: must give the original author credit, may not use this work for commercial purposes and distribute the derivate work only under a license identical to used in "Open AGH". The decision about choosing Creative Commons BY-NC-SA license was driven by academic staff attitude to opening educational materials. While in Poland there is agreement that fully open educational resources is only those published on license CC BY and CC BY-SA, AGH has decided to prevent from commercial usage of Open AGH resources. This decision gives the academic staff an assurance of not losing financial benefits. AGH authorities are convinced that with a chosen license, employees will be more willing to share their resources. According to the policy of Open AGH, in repository can be publish online courses as well as single documents – syllabuses, e-books, notes from lectures and video recording lectures, stimulations, animations, podcasts, etc. The basic rule here is to place recourses that could supports academic teachers in teaching practice. AGH at the same time is developing ABC Krakow – Academic Digital Library where copyright protected academics textbooks, conference proceedings, PhD thesis, institutional scientific journals, etc. are published. The policy of ABC Krakow excludes didactic materials produced by academic staff for students. Thus, Open AGH in compliance with ABC Krakow provides complete access to educational materials produced by AGH academic teachers. 2.3 Challenges There are several challenges that Open AGH is trying to face. The first one is to create and sustain first academic repository of open educational resources in Poland. Facing this challenge required training the academic staff about open licensing and convincing that it is as beneficial for them as for the recipients of their resources. The second challenge is to give a local example and start developing a new trend in the Polish education. Most academic environments are reluctant. Those groups are pro online education, however are willing to place their works on the web in closed institutional VLE, protected by password, rather than share them for free in public web. Diagnosis of educational trends for 2010 published in the annual Horizon Report [The New Media Consortium, 2010: 13] confirms that openness is clearly not a niche ideology. According to the Report prepared by the New Media Consortium, the development of open educational content on a wide scale is a matter up to one year. AGH is hoping that by Open AGH repository, other higher education institutions will take an example and decide to open their resources on similar conditions. 3 Promoting OER As can be inferenced from the previous paragraphs, there is relatively low formal support for the development of open courseware repositories in Poland. This is changing, though, as there are first specific steps taken by the government to facilitate openness of digital resources. A more basic problem still remains, however. Awareness of the issues associated with open courseware (such as „copyleft" licenses or availability of open resources) is not common among people who should be main actors and beneficiaries of open content movement: teachers, students, and scientists. In our context it is therefore necessary to not only create and distribute open content but to also, at the same time, explain what it is, why it is advantageous to use it and, equally importantly, why it is not disadvantageous to use it. There are several issues many people unacquainted with OER bring up, when hearing about them. They fear losing control of their work, misinterpret „some rights reserved" as „all rights given up", are concerned with financial implications of sharing their work. Sometimes their arguments can be most unexpected. One of the authors of this text heard a university professor claim that open resources are bad because when knowledge is shared freely unprepared persons gain access to it which may cause even the mighty empires to fall (sic!). The goal of this publication though is not to give counterarguments to these claims. The benefits of open education are discussed in detail elsewhere (compare e.g. Cape Town Open Education Declaration). The authors aim at discussing the „marketing" approaches to disseminate that knowledge. The creators of Open AGH have had two main target groups for their actions: the potential authors of the open courseware and the recipients. The former included employees of the AGH University, the latter students and teachers all over Poland. These groups were approached differently and below we elaborate on our activities in both areas. 3.1 Promoting OER internally Centre of e-Learning is a university department which has had previous experiences with open content. We have worked on projects and published resources under open licenses (e.g. manual „How to use social software in higher education", MOSEP project resources on e-portfolios or our own blog). This was not typical of AGH though. If Open AGH is to succeed employees of our university need to be convinced of its value, starting with the highest authorities. Without the support of a rector such initiative has little chance of success. We have been fortunate that AGH authorities were interested in listening to our arguments. Their general attitude towards new ideas is positive. Some of them have even had educational resources placed on the Internet though, admittedly, it has been still copyrighted. Nevertheless, the idea of sharing results of one's own work for free was not strange to them. They have seen the value of doing that, specifically all the benefits listed in section 3.3 of this article. Another thing which proved very helpful in establishing Open AGH was direct and indirect support we received form external institutions. One of those was OCWC, from whom we received not only helpful advice but also an invitation to join the consortium as soon as Open AGH was accessible to public. This assured AGH authorities that our efforts will not be left in void, but that we will be formally linked to an active, international organization, which can provide us with further help. By „indirect support" we understand examples of other universities around the world who have established OER repositories. Most prominently it includes Massachusetts Institute of Technology, which is not just one of the best universities in the world and the first large educational institution to openly share courses, but also, like AGH, a technical university which made it an especially attractive example for us. Generally speaking, it is good to look for the institutions in and outside our own country which have experience in the field and can provide us with valuable advice. On further stages they also help disseminate knowledge about our initiative. Next step in internal promoting of Open AGH has been approaching all AGH employees. At the moment of writing this text (April 2010) this is still a process in action. It started with the brief presentation before Council of Deans, when the basic facts about OER and Open AGH have been given. Simultaneously, an informational brochures and leaflets were printed and distributed. Also articles have been written for the university bulletin. This stage has been completed with the Rector issuing a letter to all AGH employees once again informing them about the Open AGH initiative and encouraging them to join it. Currently our efforts are concentrated on more direct ways of reaching authors, especially those who have already published some of their work on the web. We write or call them and try to convince them to place those educational resources on the Open AGH. Some have refused, at least so far, but others have agreed and we have managed to add some more interesting resources to the repository. Finally, „Notes on the Internet" has to be mentioned. It is a annual competition for AGH students, who prepare digital educational resources under the supervision of their professors. Best materials from earlier years are already in our repository. This year an amendment has been made to the rules of the contest and it is explicitly stated that all the submissions should be CC-licensed and will be made available on Open AGH. 3.2 Promoting OER externally Basic goal in this area was spreading the news that Open AGH has been created. We have hoped that the first university repository of Creative Commons-licensed resources in Poland will attract the interest of media. Indeed, it has been so. The official opening of the Open AGH has been conducted by the Rector during the press conference. Later, the news about the repository has been published in many media, including Newsweek.pl or Polish Radio. According to B. Dembinski (AGH spokesman, personal communication) very few AGH initiatives in recent time have gained such widespread media coverage. This had great positive effect on the initial burst of interest in our project. This was an expected result. The challenge however, was to maintain and further develop visibility and popularity of Open AGH. The main means of achieving that goal has been use of social media. There are several benefits of choosing that option. First, it gives authors of the project control over some key aspects of communication process. They gain the proactive role in spreading information about the project. It is still vital that they are not the only persons discussing the subject, but they are not utterly dependent on others in that regard. They are also the first source of information. Second, social media enable spread of information in what is a digital equivalent of „word-of-mouth marketing". It leads to the next point: it is easier to reach exactly those people, who are interested in the initiative. Finally, social media are a low-cost solution, which is an important factor in our context. There are three main tools that are being used: Centre of e-Learning blog Centre of e-Learning microblog. Open AGH Facebook page. On all these information about Open AGH is being published. CeL blog has several hundred unique visitors a day. Our microblog has about 50 followers and Facebook page more than 270 fans. These may not seem as overwhelming numbers. However, one has to take into account two factors. First, social media are gaining popularity in Poland, but at this point terms such as „microblog" or „Facebook" are not familiar to majority of people. Second, the persons we reach are interested specifically in the issue of how education and Internet intertwine. Moreover, some of them are opinion leaders in their fields. They are educators, students, IT specialists who can relay our message to other interested. Indeed, mentions of Open AGH have been made on some influential blogs (e.g. polish Coalition of Open Education). There are also other methods to inform about our projects. These can be as easy but efficient as editing an appropriate page on the Wikipedia. The others are related to other tasks Centre of e-Learning fulfils, e.g. moderating online courses, holding workshops or presenting at conferences. Since these almost always centre on different aspects of e-learning they become a great opportunity to introduce the topic of OER and Open AGH specifically. Speaking from the authors' experience it can be said that it is always one of the most interesting issues for the listeners. Yet another way of p<cursor_is_here> </text>	[ { "content": "<url>\nhttp://www.cel.agh.edu.pl/wp-content/uploads/2011/08/OCWC_AGH_formatted.pdf\n</url>\n<text>\nFirst\nSteps:\nPromoting\nOCW\nin\na\nNew\nContext\n(Poland)\n\nJan Marković, Jan Kusiak, Karolina Grodecka\n\nAGH University of Science and Technology, Poland [email protected] , [email protected] , [email protected]\n\nAbstract\n\nAGH University of Science and Technology in Krakow is the first Polish higher education institution to establish an OER repository. Foreign experiences have been helpful, but could not be relied upon entirely considering Open AGH has been a pioneer in a new context. Among other things, there is little awareness of such initiatives among educators. Few have heard about open licenses and often see it as more of a challenge to their rights than an opportunity. These conditions are probably familiar to everyone, at least outside the most developed countries. Raising awareness of the issue is the basic step in order to promote and further develop the OER repository. There are two target groups of these activities. First are the potential authors of the open courseware. Many of them have already placed their work on the Internet but it is usually copyrighted. They need to be educated about open licensing and convinced that it is as beneficial for them as for the recipients of their resources. The other group is general public, especially those who can take advantage of the open courseware. It is described what steps were and are being taken within the AGH University to achieve those goals. Open AGH has been created in a context which offers little formal support for such activities, both at the national and institutional level. This results in promotional activities being usually bottom-up and low cost. These include: (a) Attracting the interest of mainstream and social media, (b) Gaining support of influential individuals and organizations in the field, (c) Developing internal university policy to encourage creating open content. Presentation should serve as a starting point for sharing experiences, in establishing new OER repositories, especially between institutions from countries where there is little formal support for such initiatives.\n\nKeywords\n\nOER, open education, AGH, promotion, higher education, Creative Commons\n\nIntroduction\n\nWith the development of open source software, the growth of participatory and openness culture in the field of learning, creating and sharing can be observed. From individual perspective access to and use of free services and applications is more than easy. The popularization of open software in the public has influence also on education. What is more it was only the first step in increasing culture of participation. In the educational setting open approach has been also transferred widely on academics' vocational activity. It has covered preparing open educational resources for unlimited, free use for others academics as well as publications available in open access models of scientific communication.\n\nCreating open educational resources (OER) is a global movement. But there is still little awareness of open initiatives among Polish educators. As open source software is widely expected and used in the Polish higher education, the idea of sharing own work with others is rather new and revolutionary approach for academic faculty. The attitude to openness in education varies from very positive to ignorant or even inacceptable according to different professions and academic policy.\n\n1 Openness gradation\n\nOn the Polish educational market plenty of educational materials are published online. However, conditions of using and re-using them might be varied on several levels.\n\n1.1 Closed and copyrighted content\n\nFirst, plenty of materials developed by academic staff, teachers and trainers within their vocational activity or in projects donated from local/European grants are closed on the web. The access barrier is double here. One obstacle is the copyright protection. Even if they exist online, the access is limited and requires secured account, which is seen as the second obstacle. Such double-protected resources are targeted on special groups and nobody besides has access to them. Several examples here can be provided, but the most important from academic point of view is Virtual Library of Science, which is national project of Ministry of Science and Higher Education.\n\nIt was launched in order to guarantee free access to scientific literature for Polish higher institutions, scientists, academic teachers and students. In fact\n\nVirtual Library of Science provides access to closed, password protected databases, which can be browsed only.\n\n1.2 Copyrighted content\n\nSecond, the majority of content available freely in the public web is copyright protected. In many cases those resources are high quality materials and could be excellent sources for teachers, trainers, academics for further use and adaptation. However, the copyright is an important obstacle here. The fact that those materials are available for free in the web, does not mean the possibility to re-use them for any purposes. Copyrighted content, even if valuable for education, can be only read, browsed, watched/listened to in passive way. Example here, can be online repository of education materials for primary and secondary school Interklasa.pl or Scholaris.pl which development is donated from public budget. Excellent example of resource prepared for academics is learning materials for informatics studies (Studia Informatyczne, 2006). Authors provided high quality educational materials and allowed everyone for unlimited usage. But if we look deeper, the condition set by authors shows that resources can be used, but re-use adaptation and modification is forbidden. This case is also a proof of wrong understanding of the idea of open educational resources.\n\nTo sum up, examples described above illustrate the lowest level of openness which should be called rather availability where the read-only approach is widely promoted. Those resources can be used on fair educational use condition and are opened for public view but at the same time closed for re-use and modification.\n\n1.3 Creative Commons\n\nYou can also find educational materials available on more liberal conditions based on Creative Common licenses. Here the level of openness can vary according to a type of chosen license. In Poland the main responsibility for shaping open education takes Coalition for Open Education. Coalition forces using the most liberal CC license with Attribution and Share Alike conditions and promotes the attitude that full openness allows for unlimited re-use, adaptation, modification for any purpose even commercial. But taking into account that in the context of Polish education, the awareness of open educational resources and open education is still low, the Coalition for Open Education supports every project aimed at OER production. It is believed that a small steps approach is better then hermetic, limited access. Currently, in the Polish educational field there can be listed several projects aimed at OER development at the highest possible in Poland level of openness. In particular worth mentioned here are following projects:\n\n Wolne podręczniki (ang. Free textbooks) is a project of Fundacja Nowoczesna Polska educational materials prepared by teachers in digital formats. The textbooks are available for free and can be re-use, modify and adapt for any purposes.\n Otwórz książkę (ang. Open a book) is a project developed by Creative Commons Poland and ICM UW. Open a book is a digital collection of scientific books whose authors decided to publish them online for free on chosen Creative Commons license(s). Currently there are available 44 books.\n The Polish project developed by Wikimedia Poland Association (the wiki \"family\": Wikipedia, Wikisources, Wikinews, Wikibooks, etc.) where content is published on free license CC BY-SA or GFDL.\n\n1.4 Public domain\n\nThe highest level in openness gradation is public domain. This institution is strongly developed in United States, where authors and creators can abandon the property right and decide to put their works in public domain, which means that the works is public property and can be used in unlimited way. However, the Polish law system is much more restrictive. Works are transferred to the public domain after 70 years after the death of an author(s). This means that modern works will be a public property for our grandchildren. Currently in Poland, there are several projects of digital libraries which allow for easy access to works from the Polish public domain. For instance, National Library POLONA or the Polish resources in Gutenberg Project.\n\n2 Open AGH\n\n2.1 About Open AGH\n\nAGH University of Science and Technology in Krakow is one of the best technical universities in Poland. Established in 1919, this year AGH has celebrated the 90th anniversary of existence. AGH is seen as one of more progressive institution on the Polish educational market, opened for new initiatives and responsive to social, technologies and pedagogical changes. Thus, to continue and sustain such positive image, AGH is the first Polish higher education institution to establish an OER repository. AGH has been a pioneer in a new context.\n\nWhen launched (January 2010) Open AGH included 70 courses. After five months that number has increased to 87 courses. Before the official start of Open AGH, some of academic teachers had placed their resources on their home pages or within AGH VLE Moodle, but they were copyright protected. After Open AGH was launched, some of staff agreed to transfer those resources into open repository and making them available on open rules. Additional, the works of AGH students created in the competition 'Notes on the Internet' were a good starting point for developing open institutional repository. Currently students' works are part of Open AGH repository which is quite unique even in the global perspective.\n\nDue to the fact that from 2006 AGH staff has been developing their courses on Moodle, this CMS was chosen as basic system for managing OER. Such decision maximized the simplicity of the process of 'opening' resources for AGH academic staff. In future there are plans to transfer Open AGH database to some dedicated content management systems, for instance eduCommons recommended by OpenCourseWare Consortium.\n\n2.2 Terms of Use\n\nOER in Open AGH are available publicly under the terms of Attribution - Non Commercial - Share Alike Creative Commons license. Any user who is interested in Open AGH content can use and copy it for free, as well as transform and adapt for own purposes under three conditions: must give the original author credit, may not use this work for commercial purposes and distribute the derivate work only under a license identical to used in \"Open AGH\".\n\nThe decision about choosing Creative Commons BY-NC-SA license was driven by academic staff attitude to opening educational materials. While in Poland there is agreement that fully open educational resources is only those published on license CC BY and CC BY-SA, AGH has decided to prevent from commercial usage of Open AGH resources. This decision gives the academic staff an assurance of not losing financial benefits. AGH authorities are convinced that with a chosen license, employees will be more willing to share their resources.\n\nAccording to the policy of Open AGH, in repository can be publish online courses as well as single documents – syllabuses, e-books, notes from lectures and video recording lectures, stimulations, animations, podcasts, etc. The basic rule here is to place recourses that could supports academic teachers in teaching practice. AGH at the same time is developing ABC Krakow – Academic Digital\n\nLibrary where copyright protected academics textbooks, conference proceedings, PhD thesis, institutional scientific journals, etc. are published. The policy of ABC Krakow excludes didactic materials produced by academic staff for students. Thus, Open AGH in compliance with ABC Krakow provides complete access to educational materials produced by AGH academic teachers.\n\n2.3 Challenges\n\nThere are several challenges that Open AGH is trying to face. The first one is to create and sustain first academic repository of open educational resources in Poland. Facing this challenge required training the academic staff about open licensing and convincing that it is as beneficial for them as for the recipients of their resources. The second challenge is to give a local example and start developing a new trend in the Polish education. Most academic environments are reluctant. Those groups are pro online education, however are willing to place their works on the web in closed institutional VLE, protected by password, rather than share them for free in public web. Diagnosis of educational trends for 2010 published in the annual Horizon Report [The New Media Consortium, 2010: 13] confirms that openness is clearly not a niche ideology. According to the Report prepared by the New Media Consortium, the development of open educational content on a wide scale is a matter up to one year. AGH is hoping that by Open AGH repository, other higher education institutions will take an example and decide to open their resources on similar conditions.\n\n3\n\nPromoting OER\n\nAs can be inferenced from the previous paragraphs, there is relatively low formal support for the development of open courseware repositories in Poland. This is changing, though, as there are first specific steps taken by the government to facilitate openness of digital resources. A more basic problem still remains, however. Awareness of the issues associated with open courseware (such as „copyleft\" licenses or availability of open resources) is not common among people who should be main actors and beneficiaries of open content movement: teachers, students, and scientists. In our context it is therefore necessary to not only create and distribute open content but to also, at the same time, explain what it is, why it is advantageous to use it and, equally importantly, why it is not disadvantageous to use it. There are several issues many people unacquainted with OER bring up, when hearing about them. They fear losing control of their work, misinterpret „some rights reserved\" as „all rights given up\", are concerned with financial implications of sharing their work. Sometimes their arguments can be most unexpected. One of the authors of this text heard a university professor claim that open resources are bad because when knowledge is shared freely unprepared persons gain access to it which may cause even the mighty empires to fall (sic!).\n\nThe goal of this publication though is not to give counterarguments to these claims. The benefits of open education are discussed in detail elsewhere (compare e.g. Cape Town Open Education Declaration). The authors aim at discussing the „marketing\" approaches to disseminate that knowledge.\n\nThe creators of Open AGH have had two main target groups for their actions: the potential authors of the open courseware and the recipients. The former included employees of the AGH University, the latter students and teachers all over Poland. These groups were approached differently and below we elaborate on our activities in both areas.\n\n3.1 Promoting OER internally\n\nCentre of e-Learning is a university department which has had previous experiences with open content. We have worked on projects and published resources under open licenses (e.g. manual „How to use social software in higher education\", MOSEP project resources on e-portfolios or our own blog). This was not typical of AGH though. If Open AGH is to succeed employees of our university need to be convinced of its value, starting with the highest authorities. Without the support of a rector such initiative has little chance of success.\n\nWe have been fortunate that AGH authorities were interested in listening to our arguments. Their general attitude towards new ideas is positive. Some of them have even had educational resources placed on the Internet though, admittedly, it has been still copyrighted. Nevertheless, the idea of sharing results of one's own work for free was not strange to them. They have seen the value of doing that, specifically all the benefits listed in section 3.3 of this article.\n\nAnother thing which proved very helpful in establishing Open AGH was direct and indirect support we received form external institutions. One of those was OCWC, from whom we received not only helpful advice but also an invitation to join the consortium as soon as Open AGH was accessible to public. This assured AGH authorities that our efforts will not be left in void, but that we will be formally linked to an active, international organization, which can provide us with further help.\n\nBy „indirect support\" we understand examples of other universities around the world who have established OER repositories. Most prominently it includes Massachusetts Institute of Technology, which is not just one of the best universities in the world and the first large educational institution to openly share courses, but also, like AGH, a technical university which made it an especially attractive example for us.\n\nGenerally speaking, it is good to look for the institutions in and outside our own country which have experience in the field and can provide us with valuable advice. On further stages they also help disseminate knowledge about our initiative.\n\nNext step in internal promoting of Open AGH has been approaching all AGH employees. At the moment of writing this text (April 2010) this is still a process in action. It started with the brief presentation before Council of Deans, when the basic facts about OER and Open AGH have been given. Simultaneously, an informational brochures and leaflets were printed and distributed. Also articles have been written for the university bulletin. This stage has been completed with the Rector issuing a letter to all AGH employees once again informing them about the Open AGH initiative and encouraging them to join it.\n\nCurrently our efforts are concentrated on more direct ways of reaching authors, especially those who have already published some of their work on the web. We write or call them and try to convince them to place those educational resources on the Open AGH. Some have refused, at least so far, but others have agreed and we have managed to add some more interesting resources to the repository.\n\nFinally, „Notes on the Internet\" has to be mentioned. It is a annual competition for AGH students, who prepare digital educational resources under the supervision of their professors. Best materials from earlier years are already in our repository. This year an amendment has been made to the rules of the contest and it is explicitly stated that all the submissions should be CC-licensed and will be made available on Open AGH.\n\n3.2 Promoting OER externally\n\nBasic goal in this area was spreading the news that Open AGH has been created. We have hoped that the first university repository of Creative Commons-licensed resources in Poland will attract the interest of media. Indeed, it has been so. The official opening of the Open AGH has been conducted by the Rector during the press conference. Later, the news about the repository has been published in many media, including Newsweek.pl or Polish Radio. According to B. Dembinski (AGH spokesman, personal communication) very few AGH initiatives in recent time have gained such widespread media coverage. This had great positive effect on the initial burst of interest in our project. This was an expected result. The challenge however, was to maintain and further develop visibility and popularity of Open AGH. The main means of achieving that goal has been use of social media. There are several benefits of choosing that option. First, it gives authors of the project control over some key aspects of communication process. They gain the proactive role in spreading information about the project. It is still vital that they are not the only persons discussing the subject, but they are not utterly dependent on others in that regard. They are also the first source of information. Second, social media enable spread of information in what is a digital equivalent of „word-of-mouth marketing\". It leads to the next point: it is easier to reach exactly those people, who are interested in the initiative. Finally, social media are a low-cost solution, which is an important factor in our context.\n\nThere are three main tools that are being used:\n\n Centre of e-Learning blog\n Centre of e-Learning microblog.\n Open AGH Facebook page.\n\nOn all these information about Open AGH is being published. CeL blog has several hundred unique visitors a day. Our microblog has about 50 followers and Facebook page more than 270 fans. These may not seem as overwhelming numbers. However, one has to take into account two factors. First, social media are gaining popularity in Poland, but at this point terms such as „microblog\" or „Facebook\" are not familiar to majority of people. Second, the persons we reach are interested specifically in the issue of how education and Internet intertwine. Moreover, some of them are opinion leaders in their fields. They are educators, students, IT specialists who can relay our message to other interested. Indeed, mentions of Open AGH have been made on some influential blogs (e.g. polish Coalition of Open Education).\n\nThere are also other methods to inform about our projects. These can be as easy but efficient as editing an appropriate page on the Wikipedia. The others are related to other tasks Centre of e-Learning fulfils, e.g. moderating online courses, holding workshops or presenting at conferences. Since these almost always centre on different aspects of e-learning they become a great opportunity to introduce the topic of OER and Open AGH specifically. Speaking from the authors' experience it can be said that it is always one of the most interesting issues for the listeners.\n\nYet another way of p<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "romoting Open AGH externally is participation in state or EU-funded research projects, which at least partially or indirectly deal with OER.", "role": "assistant" } ]
Inverse Wave Theory-based Algorithms for the Ultrasonic Inspection of Thin Laminated Materials, based on Reflection Meaurements Introduction The inspection of thin laminated materials in aerospace industry is traditionally done by means of transmission measurements. The decrease in the maximum amplitude of a wave that traveled through the material is an indication for the global acoustic properties of the material. A high decrease in amplitude might indicate that a void inclusion is present at the boundary between two layers -- what is called a delamination. No information is given about the depth position of this delamination. Another disadvantage of the transmission method is that two transducers at opposite sides of the target material are needed. In some cases, it is important that the material has to be accessed from one side only -- e.g. in airplanes standing on the ground. A solution to both problems can be given by reflection measurements. The transducer that generates the wave also acts as the receiver that measures the resulting waves -- also called the scattered wavefield. When the full time signal is recorded, it is possible to obtain more information about the constituting layers -- and eventually the delaminations. The processing of reflection measurements using the full time signal is more complex, and also has more requirements on the practical setup. The methods described in this paper especially apply to Glare. Glare is a laminated material, consisting of alternating layers of aluminium and prepreg. The material properties of Glare make it a good solution for the construction of airplanes. Plane wave theory In order to analyze the measured signal, it is necessary to have a good understanding of the behavior of an acoustic wave interacting with a laminated material. In our model, a pressure wave is generated at the transducer. This wave travels towards the target material. Part of the energy will be reflected back to the transducer. If the frequency spectrum of the emitted source wave is given by -- with the angular frequency and the hat-symbol indicating that the quantity has to be considered in the frequency-domain -- and the measured resulting pressure is denoted with the response function of the material. This response function is dependent on the acoustic and geometrical parameters of the different layers. When acoustic waves traveling through a medium encounter a physical boundary -- a change in density and/or particle velocity --, part of the energy in the wave is reflected at the boundary, while another part is transmitted into the material behind the boundary. The ratio between the reflected and incident pressure is denoted by the reflection coefficient r. The configuration The configuration consists of a number of homogeneous layers. We denote this number by n. A layer is characterized by its density , acoustic velocity v and the thickness. If the z-axis of a Cartesian coordinate system is pointing downwards in the material and the top of layer i is at depth , the thickness of layer i is given by -- as shown in Figure (1). The wavefield is defined by the quantities of the pressure and particle velocity in each point. The pressure of the scattered wavefield at the top of layer i is denoted as . The total thickness of the material typically is till . A transducer is placed about above the material. Waves traveling from the transducer towards the material can be assumed plane -- the wavefield has only a gradient in time and depth, not in the lateral directions -- when they arrive at the boundary of the material. Therefore, it is reasonable to use the plane wave theory [1]. Recursive model One way to obtain a model for the total wavefield at the transducer, is to recursively calculate the wavefield at the top of the constituting layers. In this approach, the transducer is first put at the top of the bottom layer -- layer n --, and the resulting scattered wavefield is calculated. Next, the transducer is moved upwards to the top of layer n-1, and the wavefield at this position is calculated using the results from the previous recursion. The calculation of the scattered pressure based on the knowledge of is done in two steps. In the first step, the transducer is moved upwards to the top of layer i. Crossing the boundary between layer i+1 and layer i scales the amplitude of the pressure with due to transmission effects. Apart from the energy coming from under the boundary, some energy emitted by the source will be reflected at the boundary and contribute to the total wavefield too. Propagation effects are taken into account by the propagation operator. A reflection-free surface is assumed to be on top of layer i. As a consequence, waves traveling upwards in layer i will not be reflected back into the configuration. The resulting pressure is therefore called the reflection-free surface pressure, and is denoted by. In the second step, the reflection-free surface is substituted by the real physical boundary, and up-traveling waves will give raise to down-traveling waves when arriving at the top of the configuration. Above the boundary, the material is considered to be a homogeneous halfspace. The resulting pressure is denoted by . It can be shown ([2]) that the reflection-free surface pressure and the total pressure of the scattered wavefield at the top of layer i are given by The propagation term is given by with the one-way traveltime in layer i. Since the medium under the laminated material is considered as an acoustic halfspace -- which means that energy that travels through the boundary of the target is never reflected back into the material --, the recursion is started with Using Equation (3), the total scattered pressure at the top of layer n can be calculated. One parameter has to be known though: the reflection coefficient . Generally, each recursion for the reflection-free surface pressure requires the knowledge of and the corresponding calculation of the total scattered pressure requires the knowledge of . The propagation term can be calculated once the two-way traveltime is known. For a given configuration -- which consists of the acoustic and geometric parameters of each layer -- and a given source signal, the measured wavefield can be calculated. In simulations, we use a measured source signal. This makes the result of the simulation more comparable with the real measurements. The source signal is given in Figure (2(a)). The frequency-content is shown in Figure (2(c)). Using this source signal, the resulting pressure of the scattered wavefield for the configuration given in Table (1) -- a typical Glare-example -- is shown in Figure (3(a)). Table 1: Acoustic parameters of a Glare configuration Inversion Now we have established a forward model for our reflection measurements, we are going to use this in an inversion scheme. The problem is to retrieve the material parameters for each layer from these measurements. To achieve this, two inversion approaches are compared in this paper. Direct inversion The forward model requires the acoustic parameters of the individual layers in order to calculate the total scattered pressure. The direct inversion process starts with this scattered pressure, and recursively gives the acoustic parameters of the individual layers. This procedure is also used in seismic processing [3]. The inverse algorithm From Equations (2) and (3), the inverse recursive equations can be calculated, resulting in and Since the distance between the transducer and the material is large compared with the thickness of the material, no events due to multiple reflections between the transducer and the top of the target will occur in the time-window of interest. As a consequence, the reflection-free surface pressure at the transducer is also the total pressure. This pressure, denoted by , is the input for the direct inversion. Starting from and recursively using Equations ( 6) and (7 ), the pressure at the bottom layer can be calculated. Iteration step i means that the effects of layer i are eliminated, and that the result is the wavefield that would exist if the transducer was moved from the top of layer i towards the top of layer i-1. Acoustic information The time passed before the arrival of the first event is the two-way travel time. This quantity allows the reconstruction of the propagation factor . The ratio of the amplitude of the source wavelet and the amplitude of the first event in the considered signal is an indication for the reflection coefficient r. Under the assumption that the first event can be distinguished from other events, it is possible to obtain the acoustic parameters of the upper layer. Due to interference of events, it is generally not possible to obtain the acoustic parameters of each layer without any processing techniques. Especially multiple events -- waves that propagate in the target (downward and upward) and have bounced at least twice before detection -- make it hard to distinguish the primary events -- waves that propagate in the subsurface (downward and upward) and have bounced only once. After obtaining the parameters in the upper layer, one recursion step is performed in order to eliminate the effects of the considered layer. These effects also include the multiple events caused by back-reflection in the upper layer. In the next step, the acoustic parameters of the under-laying layer are obtained. Applying this procedure recursively for all layers gives the acoustic parameters of the different layers constituting the material. Example We wrote an algorithm that performed all of the above-mentioned steps. Applying this algorithm to the signal shown in Figure (3) gives an estimated travel-time in each layer, and a reflection coefficient for each boundary between two layers. These parameters are compared with the exact parameters -- the ones used for obtaining the signal -- in Table (2). Table 2: The results of the inverse algorithm Applying a constant phase-shift to the original source-signal results in a modified source-signal, shown in Figure (2(b)). Using this source signal, the resulting pressure of the scattered wavefield for the configuration given in Table (1) is shown in Figure (3(b)). Using the original source-signal for performing the inverse algorithm will give erroneous results. The estimated acoustic parameters are given in the third row of Table (2). This situation occurs in practice when the source-signal is not repeatable, and the processing is performed with a source-signal that is different from the original one. Parametric optimization Procedure The measured wavefield is the result of an operator acting on a set of parameters. These parameters include the source signal and the acoustic and geometric properties of each layer. Two different sets will result in two different measurements. The difference between the measurements can learn something about the differences between the sets of parameters. In parametric optimization, we start with an initial set of parameters -- i.e. the initial model -- that is a reasonable approximation for the real set -- the set we want to find. Using the forward algorithm, the resulting wavefield can be calculated. If the chosen parameters exactly match the real parameters, the calculated wavefield will match the measured wavefield -- assuming no noise is introduced. Since this will generally not be the case, there will be a difference between the calculated and the measured wavefield. Changing one parameter will result in a change in the difference, from which the influence of that particular parameter can be obtained. Combination of these influence-data results in a new set of parameters that is a better approximation than the first set -- assuming that a smaller difference is due to a better approximation. Repeating this procedure gives a series of sets that converge towards the real set measurements and the true acoustic parameters. Implementation topics Parametric optimization problems are encountered in lots of areas [4]. Some choices have to be made before implementing an algorithm that performs a parametric optimization. At first, a criterium for qualifying the approximation has to be chosen -an error-function has to be defined. The sum of the quadratic errors over the signal is one possibility. Also, a set of parameters has to be determined. Better results are obtained when these parameters are independent from each other. When the contour-lines of the error-function are concentric circles, a faster convergence is obtained. Scaling the parameters can make these contour-lines more or less circular. Another issue is the improvement of the set of parameters, based on the difference between the measured signal and the calculated signal. Different methods exists, under which the steepest descent and the conjugate gradient. One possibility is to use the traveltime in each layer and the reflection coefficient at each boundary for the set of parameters. These parameters have to be scaled in order to give circular contour-lines. Typical examples of these contour plots are given in Figure (4). Figure 4: contour-plots of the error-function in parametric optimization As long as the initial model is close enough to the real model, the iteration will converge to the global minimum of the error-function. It might occur however that the initial set is located close to a local minimum. In this case, the global minimum will not be obtained. Comparison of the two inversion approaches Both methods have advantages and disadvantages. The Direct Inversion method is very sensitive to small perturbations on the source signal. Since the first reflection generally is a strong one, the denominator in Equation (7) can become small resulting in numerical instabilities. On the other hand, a delamination can be clearly seen using this method. A delamination between layers i and i+1 will result in a strong reflection coefficient , and this coefficient is almost directly obtained after i recursion steps. In cases where the source signal is very repeatable, this method is a fast solution for the detection of delaminations. The method of the Parametric Optimization is less sensitive to changes in the source signal. It is very valuable when a good approximation of the parameters is available. This typically is the case in C-scans. The resulting parameters from a measurement on a given location, can serve as the first set of input parameters for the processing of the signal obtained in the next lateral location. The procedure of Parametric Optimization searches for a minimum value of the quadratic error. In the case the material consists of many layers, the method might give a local minimum instead of a global minimum, especially when the first set of parameters is not a good approximation for the real set. Conclusion The use of reflection measurements for the inspection of thin layered materials is very valuable, both from the practical side -- e.g. single-side access -- as from the theoretical side -- more detailed results can be obtained. In this paper two approaches for applying an inversion to the acoustic reflection measurements have been described, which both aim at the retrieval of the acoustic parameters of the inspected material, in order to find local delaminations etc. For the simulated examples, they both can come with a good solution. It will depend on the actual measurements quality -e.g. repeatability of the source signal and the total number of layers in the configurations -- which one will be preferred in practice. References [1] Berkhout, A.J. - Seismic Migration. Imaging of acoustic energy by wave field extrapolation. Elsevier Science Publishers B.V., 351 p., 1984. [2] Vos, J., Wapenaar, C.P.A. and Verschuur, D.J. - Deconvolution and multiple elimination to enhance temporal resolution in ultrasonic volume-scan measurements. Proceedings of the IIIrd International Workshop on Advances in Signal Processing for Nondestructive Evaluation, Quebec, Canada - expected in August 1998 [3] Verschuur, D.J., Berkhout, A.J., and Wapenaar, C.P.A. - Adaptive surface-related multiple elimination. Geophysics, 57, p 1166-1177, 1992 [4] Gill, P.E., Murray, W. and Wright, M.H. -Practical optimization. Academic Press, 401 pp, 1981 About this document ... This document was generated using the LaTeX2HTML translator Version 96.1-h (September 30, 1996) Copyright © 1993, 1994, 1995, 1996, Nikos Drakos, Computer Based Learning Unit, University of Leeds. The command line arguments were: -split 0 proceedings latex2html. The translation was initiated by Johan Vos on Fri Jul 31 13:07:02 MET DST 1998 Johan Vos Fri Jul 31 13:07:02 MET DST 1998	<urn:uuid:d9b6d4a3-acb9-4f33-85dc-acac5b9cb450>	CC-MAIN-2023-23	https://keeswapenaar.nl/6_Proceedings/Ultrasound_conferences/MInsk_98.pdf	2023-06-08T17:44:39+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-23/subset=warc/part-00042-ffa3bf93-6ba1-4a27-adea-b0baae3b4389.c000.gz.parquet	370,071,714	3,285	eng_Latn	eng_Latn	0.961351	eng_Latn	0.996998	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3694, 6722, 7435, 12059, 16428, 16820 ]	Inverse Wave Theory-based Algorithms for the Ultrasonic Inspection of Thin Laminated Materials, based on Reflection Meaurements Introduction The inspection of thin laminated materials in aerospace industry is traditionally done by means of transmission measurements. The decrease in the maximum amplitude of a wave that traveled through the material is an indication for the global acoustic properties of the material. A high decrease in amplitude might indicate that a void inclusion is present at the boundary between two layers -- what is called a delamination. No information is given about the depth position of this delamination. Another disadvantage of the transmission method is that two transducers at opposite sides of the target material are needed. In some cases, it is important that the material has to be accessed from one side only -- e.g. in airplanes standing on the ground. A solution to both problems can be given by reflection measurements. The transducer that generates the wave also acts as the receiver that measures the resulting waves -- also called the scattered wavefield. When the full time signal is recorded, it is possible to obtain more information about the constituting layers -- and eventually the delaminations. The processing of reflection measurements using the full time signal is more complex, and also has more requirements on the practical setup. The methods described in this paper especially apply to Glare. Glare is a laminated material, consisting of alternating layers of aluminium and prepreg. The material properties of Glare make it a good solution for the construction of airplanes. Plane wave theory In order to analyze the measured signal, it is necessary to have a good understanding of the behavior of an acoustic wave interacting with a laminated material. In our model, a pressure wave is generated at the transducer. This wave travels towards the target material. Part of the energy will be reflected back to the transducer. If the frequency spectrum of the emitted source wave is given by -- with the angular frequency and the hat-symbol indicating that the quantity has to be considered in the frequency-domain -- and the measured resulting pressure is denoted with the response function of the material. This response function is dependent on the acoustic and geometrical parameters of the different layers. When acoustic waves traveling through a medium encounter a physical boundary -- a change in density and/or particle velocity --, part of the energy in the wave is reflected at the boundary, while another part is transmitted into the material behind the boundary. The ratio between the reflected and incident pressure is denoted by the reflection coefficient r. The configuration The configuration consists of a number of homogeneous layers. We denote this number by n. A layer is characterized by its density , acoustic velocity v and the thickness. If the z-axis of a Cartesian coordinate system is pointing downwards in the material and the top of layer i is at depth , the thickness of layer i is given by -- as shown in Figure (1). The wavefield is defined by the quantities of the pressure and particle velocity in each point. The pressure of the scattered wavefield at the top of layer i is denoted as . The total thickness of the material typically is till . A transducer is placed about above the material. Waves traveling from the transducer towards the material can be assumed plane -- the wavefield has only a gradient in time and depth, not in the lateral directions -- when they arrive at the boundary of the material. Therefore, it is reasonable to use the plane wave theory [1]. Recursive model One way to obtain a model for the total wavefield at the transducer, is to recursively calculate the wavefield at the top of the constituting layers. In this approach, t	he transducer is first put at the top of the bottom layer -- layer n --, and the resulting scattered wavefield is calculated.		3,865	inside_word	the	remove_all	<url> https://keeswapenaar.nl/6_Proceedings/Ultrasound_conferences/MInsk_98.pdf </url> <text> Inverse Wave Theory-based Algorithms for the Ultrasonic Inspection of Thin Laminated Materials, based on Reflection Meaurements Introduction The inspection of thin laminated materials in aerospace industry is traditionally done by means of transmission measurements. The decrease in the maximum amplitude of a wave that traveled through the material is an indication for the global acoustic properties of the material. A high decrease in amplitude might indicate that a void inclusion is present at the boundary between two layers -- what is called a delamination. No information is given about the depth position of this delamination. Another disadvantage of the transmission method is that two transducers at opposite sides of the target material are needed. In some cases, it is important that the material has to be accessed from one side only -- e.g. in airplanes standing on the ground. A solution to both problems can be given by reflection measurements. The transducer that generates the wave also acts as the receiver that measures the resulting waves -- also called the scattered wavefield. When the full time signal is recorded, it is possible to obtain more information about the constituting layers -- and eventually the delaminations. The processing of reflection measurements using the full time signal is more complex, and also has more requirements on the practical setup. The methods described in this paper especially apply to Glare. Glare is a laminated material, consisting of alternating layers of aluminium and prepreg. The material properties of Glare make it a good solution for the construction of airplanes. Plane wave theory In order to analyze the measured signal, it is necessary to have a good understanding of the behavior of an acoustic wave interacting with a laminated material. In our model, a pressure wave is generated at the transducer. This wave travels towards the target material. Part of the energy will be reflected back to the transducer. If the frequency spectrum of the emitted source wave is given by -- with the angular frequency and the hat-symbol indicating that the quantity has to be considered in the frequency-domain -- and the measured resulting pressure is denoted with the response function of the material. This response function is dependent on the acoustic and geometrical parameters of the different layers. When acoustic waves traveling through a medium encounter a physical boundary -- a change in density and/or particle velocity --, part of the energy in the wave is reflected at the boundary, while another part is transmitted into the material behind the boundary. The ratio between the reflected and incident pressure is denoted by the reflection coefficient r. The configuration The configuration consists of a number of homogeneous layers. We denote this number by n. A layer is characterized by its density , acoustic velocity v and the thickness. If the z-axis of a Cartesian coordinate system is pointing downwards in the material and the top of layer i is at depth , the thickness of layer i is given by -- as shown in Figure (1). The wavefield is defined by the quantities of the pressure and particle velocity in each point. The pressure of the scattered wavefield at the top of layer i is denoted as . The total thickness of the material typically is till . A transducer is placed about above the material. Waves traveling from the transducer towards the material can be assumed plane -- the wavefield has only a gradient in time and depth, not in the lateral directions -- when they arrive at the boundary of the material. Therefore, it is reasonable to use the plane wave theory [1]. Recursive model One way to obtain a model for the total wavefield at the transducer, is to recursively calculate the wavefield at the top of the constituting layers. In this approach, t<cursor_is_here> </text>	[ { "content": "<url>\nhttps://keeswapenaar.nl/6_Proceedings/Ultrasound_conferences/MInsk_98.pdf\n</url>\n<text>\nInverse Wave Theory-based Algorithms for the Ultrasonic Inspection of Thin Laminated Materials, based on Reflection Meaurements\n\nIntroduction\n\nThe inspection of thin laminated materials in aerospace industry is traditionally done by means of transmission measurements. The decrease in the maximum amplitude of a wave that traveled through the material is an indication for the global acoustic properties of the material. A high decrease in amplitude might indicate that a void inclusion is present at the boundary between two layers -- what is called a delamination. No information is given about the depth position of this delamination.\n\nAnother disadvantage of the transmission method is that two transducers at opposite sides of the target material are needed. In some cases, it is important that the material has to be accessed from one side only -- e.g. in airplanes standing on the ground.\n\nA solution to both problems can be given by reflection measurements. The transducer that generates the wave also acts as the receiver that measures the resulting waves -- also called the scattered wavefield. When the full time signal is recorded, it is possible to obtain more information about the constituting layers -- and eventually the delaminations.\n\nThe processing of reflection measurements using the full time signal is more complex, and also has more requirements on the practical setup.\n\nThe methods described in this paper especially apply to Glare. Glare is a laminated material, consisting of alternating layers of aluminium and prepreg. The material properties of Glare make it a good solution for the construction of airplanes.\n\nPlane wave theory\n\nIn order to analyze the measured signal, it is necessary to have a good understanding of the behavior of an acoustic wave interacting with a laminated material. In our model, a pressure wave is generated at the transducer. This wave travels towards the target material. Part of the energy will be reflected back to the transducer.\n\nIf the frequency spectrum of the emitted source wave is given by -- with the angular frequency and the hat-symbol indicating that the quantity has to be considered in the frequency-domain -- and the measured resulting pressure is denoted\n\nwith the response function of the material. This response function is dependent on the acoustic and geometrical parameters of the different layers.\n\nWhen acoustic waves traveling through a medium encounter a physical boundary -- a change in density and/or particle velocity --, part of the energy in the wave is reflected at the boundary, while another part is transmitted into the material behind the boundary. The ratio between the reflected and incident pressure is denoted by the reflection coefficient r.\n\nThe configuration\n\nThe configuration consists of a number of homogeneous layers. We denote this number by n. A layer is characterized by its density , acoustic velocity v and the thickness. If the z-axis of a Cartesian coordinate system is pointing downwards in the material and the top of layer i is at depth , the thickness of layer i is given by -- as shown in Figure (1).\n\nThe wavefield is defined by the quantities of the pressure and particle velocity in each point. The pressure of the scattered wavefield at the top of layer i is denoted as . The total thickness of the material typically is till . A transducer is placed about above the material. Waves traveling from the transducer towards the material can be assumed plane -- the wavefield has only a gradient in time and depth, not in the lateral directions -- when they arrive at the boundary of the material. Therefore, it is reasonable to use the plane wave theory [1].\n\nRecursive model\n\nOne way to obtain a model for the total wavefield at the transducer, is to recursively calculate the wavefield at the top of the constituting layers. In this approach, t<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "he transducer is first put at the top of the bottom layer -- layer n --, and the resulting scattered wavefield is calculated.", "role": "assistant" } ]
This form must be completed properly by the parent/guardian and student and returned to the Activity Sponsor in order to participate in a club/IHSA activity. 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Students involved in hazing/harassment/bullying may be suspended from athletic/activity contest/events or removed from their team. If a student is unsure of an appropriate behavior or practice, a building administrator can clarify. HEALTH AND SAFETY 2. All athletes must show evidence of being covered by a health insurance plan. Students must show proof of insurance at registration by submitting their insurance company name and policy # or by enrolling in the school insurance plan. 1. All athletes MUST have on file a current physical exam certificate that will not expire within the season in order to practice or participate. 3. If the Athletic/Activity Director has reasonable cause to believe a student's health condition may pose a risk to the student or others in the activity, he/she may require a more current certification of fitness to participate from a physician. SCHOOL ATTENDANCE, MEDICAL EXCUSES and VACATIONS 1. Daily school attendance, no less than five (5) academic classes, is required for a student to participate in daily practice, contests or events. Exceptions can only be made by the Activity/Athletic Director(s). It will not be the practice for participants to purposely miss part of a school day. Documentation of medical appointments, college visits, court appearance, must be provided to the coach, Athletic/Activity Director(s) prior to participation of the practice, or contest/event. 2. Athletes who are medically excused from regular physical education classes may not participate in school activities, practices, or games without a doctor's release or a release from the school nurse. However, participation in athletics for such students may be limited by the school based on the safety judgment of the Athletic Director after consultation with the coach. 3. Participation in regular pre-season practices is important for the safety and health of students. Absence from such practices for vacations will be considered by the coach in restricting participation. However, absences due to illness will be considered in a different light and will be subject to individual review by the Athletic/Activity Director with advice from the head coach in perspective of what is best for the student participant and school. 4. Vacation absences during an activity or team season can result in restricted participation or release from the team/activity. See the individual coach/sponsor at the start of the sport/activity for details about absences. FUNDRAISING * Participation in or donation to any fundraising activity is always optional. Indian Prairie School District 204 has revised its policy (Policy 730.10) on student participation in fundraising activities. In conjunction with the current fundraiser, we would like to inform you of the major points of that policy. * Each fundraising activity may establish a suggested donation as an alternative to participation. * Door-to-door solicitation is not required by any fundraising activity and is discouraged. * Under no circumstances will any student be compelled to participate or donate, or penalized for not participating or donating. * If you have any questions or concerns about a fundraising activity, please contact the sponsor, athletic director or the building administrators. * Thank you for your continued support. Sportsmanship Mission Statement Good sportsmanship is the attitude and behavior that exemplifies positive support for the interscholastic programs of the IHSA member schools, as well as for the individuals who participate in such programs. People involved in all facets of the interscholastic program are expected to demonstrate respect for others and display good sportsmanship. Sportsmanship Is Everybody's Responsibility Sportsmanship starts on the court or athletic field and extends into the bleachers and beyond. In today's increasingly competitive environment, the thrill of victory and the agony of defeat seem to be more intensified than ever before. It is important to raise the public awareness of sportsmanship and interscholastic activities. It is everyone's responsibility to practice good sportsmanship. Recognizing the efforts by students, coaches, administrators, spirit groups, and fans is a valuable part of the interscholastic experience. ADMINISTRATIVE DISCRETION Because participation in athletics/activities is a privilege, this Code is merely a guide for responding to certain identified actions or conduct. Not every situation involving conduct inconsistent with a student participant's status as a representative of the high school is or can be covered. The high school reserves the right, but not the obligation, to alter, revise, adjust, or increase sanctions and discipline on a case-by-case basis, as the interests of the school require.	<urn:uuid:b02f7329-230a-48c0-8e06-581bd64f5c72>	CC-MAIN-2018-26	http://wvhs.ipsd.org/uploads/Activities/ACTIVITYeligsheet2016-17.pdf	2018-06-22T05:34:38Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-26/segments/1529267864354.27/warc/CC-MAIN-20180622045658-20180622065658-00256.warc.gz	357,877,173	3,632	eng_Latn	eng_Latn	0.997091	eng_Latn	0.998529	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3893, 7859, 11720, 17154, 19469 ]	This form must be completed properly by the parent/guardian and student and returned to the Activity Sponsor in order to participate in a club/IHSA activity. WAUBONSIE VALLEY HIGH SCHOOL ACTIVITY INFORMATION Student I.D.#____________________ Parent email (optional)___________________________ Student's Name________________________________________________Date___________ Home Ph.__________________ Last First Middle PresentAddress_________________________________________________________________________________________ Street City Zip Date of Birth______________ School Attended Last Year _________________________Birthplace_____________________ Month Day Year City/State Parent/Guardian Names_________________________________________Bus Ph.________________Emer.#______________ Last First ______________________________________ Bus Ph.________________Emer.#______________ Last First CircleYear in School: Frosh Soph Junior Senior Any Physical Limitations:_________________________________________________________________________________ Family Doctor/Address_____________________________________________________Phone #_______________________ Signature of Parent or Guardian____________________________________________________ Date___________________ FORM MUST BE SIGNED BY PARENT AND STUDENT -- ACTIVITY AGREEMENT: 1. Abide by all program rules. Any infractions may result in temporary or permanent suspension from the program. I would like to participate in the interscholastic program at Waubonsie Valley High School with the full understanding that I will: 2. I assume all responsibility for equipment issued to me and agree to pay for any lost or damaged equipment. Exceptions will be made in some situations. 4. Be present in school on days of competitions. 3. Attend regularly and be on time. 5. Respect authority and show good citizenship at all times. 7. For clarification of rules, I will consult with the Asst. Principal in charge of Activities. 6. Students must use school bus to and from activities unless special permission is issued by sponsor to travel with parents. TO PARENTS: 2. Each student is responsible for equipment that may be issued to them. Parents will be expected to assume financial responsibility if equipment is lost or damaged because of negligence. 1. Parent or Guardian signature on form will constitute written permission. 3. Under the Illinois High School Athletic Code a student must be passing a minimum of five (5) classes in academic subject each week and five (5) classes passed the previous semester for participation. 5. Permission is given for the use of your son/daughter's picture to be used for newspapers and internet usage. 4. Full cooperation is expected of parents. Regarding rules - violations of such are punishable at the discretion of the sponsor and Activities Director. 6. For clarification of rules, I will consult with the Activities Director (Asst. Principal). PARENTS PERMISSION - I approve of my child's request to participate in the club/activity and also approve of the statements covering parents' or guardians' responsibilities. ACTIVITY PARTICIPATION RULES AND I.H.S.A. ELIGIBILITY RULES I have read and understand the ATHLETIC/ACTIVITY CODE & Fundraising Policy for Waubonsie Valley High School, and the I.H.S.A. ELIGIBILITY RULES that are included with this information. As a condition of participation, I agree to abide by the rules and understand all of the above information, and sign below. DATE_______________________ STUDENT SIGNATURE______________________________ ACTIVITY______________________________ PARENT SIGNATURE________________________________ SPONSOR______________________________ 2016 - 2017 ATHLETIC AND ACTIVITY CODE ACTIVITIES ARE A PRIVILEGE The activities/athletics included in this Code place the student participants in the role of representatives of the high school and their fellow students. Participation is a privilege extended to these students, which permits them to benefit from a well-organized program of special interest for which the school provides coaches, sponsors, equipment, and facilities. No student has the right to participate in any of these activities or any other extracurricular/co-curricular activities. With the privilege of participation comes the additional responsibility of each participant to learn, understand, and follow the rules established by the district, the high school and the coaches/sponsors of the particular activity. Because these activities are voluntary and because those participating represent their school, we expect the behavior of those who try out and participate to be of the highest order. This is particularly true of academic requirements, honesty, school citizenship, and sportsmanship. The dignity of the school is reflected in its activity program. Since it is a privilege to participate and represent the school, it is logical that the school has the authority to revoke or restrict the privilege for those who do not conduct themselves in a responsible manner. This sense of responsibility extends to the activity as well as to conduct inside and outside the school. When the doors of participation and competition are opened to those who have questionable habits or who are not good citizens, the activity program can fail. The privilege of representing the school should be left in the hands of those who have earned it. ACADEMIC ELIGIBILITY In order to be eligible to participate in any co-curricular activities, students must be in good academic standing as proscribed by the Board of Education in compliance with state law. Coaches and sponsors will review eligibility standards at the beginning of each season and as new members join the activity. PARTICIPATION RULES Once a student begins participation in any program of athletics/activities at the high school, this Code will be in effect for the remainder of the student's high school attendance in District 204, including summer months. The high school will attempt to make all participants aware of this Code and other rules established by coaches/sponsors. Information may be furnished at enrollment, initial participation in an activity and periodically in connection with other activities. However, the responsibility of learning, understanding and following this Code and other applicable rules lies with the student participant. Written acknowledgment of this Code by each participant will be sought, but will not be a prerequisite to enforcement of this Code or other rules. High School Participation In order to be eligible for participation in any school-sponsored or school-supported athletic or extracurricular activity, each student in grade 9, 10, 11 or 12 must maintain a passing grade in no less than (5) courses, as determined on a weekly basis. Any student who fails to meet the aforesaid requirement will be suspended from further participation in all school-sponsored and school-supported athletic and extracurricular activities for seven (7) calendar days. In addition, any student who fails to maintain a passing grade in no less than five (5) courses for a given semester will be prohibited from participating in any school-sponsored or school-supported athletic and extracurricular activities for the following semester. Participation in school-sponsored or school-supported athletic or extracurricular activities may also be subject to additional eligibility requirements imposed by the Illinois High School Association (IHSA) or other governing bodies. School-sponsored and school-supported athletic and extracurricular activities include, but are not limited to: All activities sanctioned by the IHSA, * All events of a competitive nature between two or more schools. * Poms and drill team, * The list of included activities will be periodically reviewed and updated by the administration. Activities which are linked to a student's grade will not be considered to be school-sponsored or school-supported athletic or extracurricular activity. * Performances (i.e. drama, dance, co-curricular music, etc.), which are not linked to a students' grade, will be considered on a semester basis only. PROCEDURE A student accused of a violation will be informed of the charge and given the opportunity to explain or respond. a) For violations, which occur at school, or at school-sponsored events a school administrator/dean will be informed and will follow the normal school conduct code. With regard to the extra-curricular penalty, the administrator/dean will inform the Athletic/Activities Director, head coach/sponsor, and parents. b) For reported violations, which occur outside of school or in the summer	, the Athletic/Activities Director will investigate and inform the head coach/sponsor, student, and parents.		8,908	inside_word	summer,	remove_all	<url> http://wvhs.ipsd.org/uploads/Activities/ACTIVITYeligsheet2016-17.pdf </url> <text> This form must be completed properly by the parent/guardian and student and returned to the Activity Sponsor in order to participate in a club/IHSA activity. WAUBONSIE VALLEY HIGH SCHOOL ACTIVITY INFORMATION Student I.D.#____________________ Parent email (optional)___________________________ Student's Name________________________________________________Date___________ Home Ph.__________________ Last First Middle PresentAddress_________________________________________________________________________________________ Street City Zip Date of Birth______________ School Attended Last Year _________________________Birthplace_____________________ Month Day Year City/State Parent/Guardian Names_________________________________________Bus Ph.________________Emer.#______________ Last First ______________________________________ Bus Ph.________________Emer.#______________ Last First CircleYear in School: Frosh Soph Junior Senior Any Physical Limitations:_________________________________________________________________________________ Family Doctor/Address_____________________________________________________Phone #_______________________ Signature of Parent or Guardian____________________________________________________ Date___________________ FORM MUST BE SIGNED BY PARENT AND STUDENT -- ACTIVITY AGREEMENT: 1. Abide by all program rules. Any infractions may result in temporary or permanent suspension from the program. I would like to participate in the interscholastic program at Waubonsie Valley High School with the full understanding that I will: 2. I assume all responsibility for equipment issued to me and agree to pay for any lost or damaged equipment. Exceptions will be made in some situations. 4. Be present in school on days of competitions. 3. Attend regularly and be on time. 5. Respect authority and show good citizenship at all times. 7. For clarification of rules, I will consult with the Asst. Principal in charge of Activities. 6. Students must use school bus to and from activities unless special permission is issued by sponsor to travel with parents. TO PARENTS: 2. Each student is responsible for equipment that may be issued to them. Parents will be expected to assume financial responsibility if equipment is lost or damaged because of negligence. 1. Parent or Guardian signature on form will constitute written permission. 3. Under the Illinois High School Athletic Code a student must be passing a minimum of five (5) classes in academic subject each week and five (5) classes passed the previous semester for participation. 5. Permission is given for the use of your son/daughter's picture to be used for newspapers and internet usage. 4. Full cooperation is expected of parents. Regarding rules - violations of such are punishable at the discretion of the sponsor and Activities Director. 6. For clarification of rules, I will consult with the Activities Director (Asst. Principal). PARENTS PERMISSION - I approve of my child's request to participate in the club/activity and also approve of the statements covering parents' or guardians' responsibilities. ACTIVITY PARTICIPATION RULES AND I.H.S.A. ELIGIBILITY RULES I have read and understand the ATHLETIC/ACTIVITY CODE & Fundraising Policy for Waubonsie Valley High School, and the I.H.S.A. ELIGIBILITY RULES that are included with this information. As a condition of participation, I agree to abide by the rules and understand all of the above information, and sign below. DATE_______________________ STUDENT SIGNATURE______________________________ ACTIVITY______________________________ PARENT SIGNATURE________________________________ SPONSOR______________________________ 2016 - 2017 ATHLETIC AND ACTIVITY CODE ACTIVITIES ARE A PRIVILEGE The activities/athletics included in this Code place the student participants in the role of representatives of the high school and their fellow students. Participation is a privilege extended to these students, which permits them to benefit from a well-organized program of special interest for which the school provides coaches, sponsors, equipment, and facilities. No student has the right to participate in any of these activities or any other extracurricular/co-curricular activities. With the privilege of participation comes the additional responsibility of each participant to learn, understand, and follow the rules established by the district, the high school and the coaches/sponsors of the particular activity. Because these activities are voluntary and because those participating represent their school, we expect the behavior of those who try out and participate to be of the highest order. This is particularly true of academic requirements, honesty, school citizenship, and sportsmanship. The dignity of the school is reflected in its activity program. Since it is a privilege to participate and represent the school, it is logical that the school has the authority to revoke or restrict the privilege for those who do not conduct themselves in a responsible manner. This sense of responsibility extends to the activity as well as to conduct inside and outside the school. When the doors of participation and competition are opened to those who have questionable habits or who are not good citizens, the activity program can fail. The privilege of representing the school should be left in the hands of those who have earned it. ACADEMIC ELIGIBILITY In order to be eligible to participate in any co-curricular activities, students must be in good academic standing as proscribed by the Board of Education in compliance with state law. Coaches and sponsors will review eligibility standards at the beginning of each season and as new members join the activity. PARTICIPATION RULES Once a student begins participation in any program of athletics/activities at the high school, this Code will be in effect for the remainder of the student's high school attendance in District 204, including summer months. The high school will attempt to make all participants aware of this Code and other rules established by coaches/sponsors. Information may be furnished at enrollment, initial participation in an activity and periodically in connection with other activities. However, the responsibility of learning, understanding and following this Code and other applicable rules lies with the student participant. Written acknowledgment of this Code by each participant will be sought, but will not be a prerequisite to enforcement of this Code or other rules. High School Participation In order to be eligible for participation in any school-sponsored or school-supported athletic or extracurricular activity, each student in grade 9, 10, 11 or 12 must maintain a passing grade in no less than (5) courses, as determined on a weekly basis. Any student who fails to meet the aforesaid requirement will be suspended from further participation in all school-sponsored and school-supported athletic and extracurricular activities for seven (7) calendar days. In addition, any student who fails to maintain a passing grade in no less than five (5) courses for a given semester will be prohibited from participating in any school-sponsored or school-supported athletic and extracurricular activities for the following semester. Participation in school-sponsored or school-supported athletic or extracurricular activities may also be subject to additional eligibility requirements imposed by the Illinois High School Association (IHSA) or other governing bodies. School-sponsored and school-supported athletic and extracurricular activities include, but are not limited to: All activities sanctioned by the IHSA, * All events of a competitive nature between two or more schools. * Poms and drill team, * The list of included activities will be periodically reviewed and updated by the administration. Activities which are linked to a student's grade will not be considered to be school-sponsored or school-supported athletic or extracurricular activity. * Performances (i.e. drama, dance, co-curricular music, etc.), which are not linked to a students' grade, will be considered on a semester basis only. PROCEDURE A student accused of a violation will be informed of the charge and given the opportunity to explain or respond. a) For violations, which occur at school, or at school-sponsored events a school administrator/dean will be informed and will follow the normal school conduct code. With regard to the extra-curricular penalty, the administrator/dean will inform the Athletic/Activities Director, head coach/sponsor, and parents. b) For reported violations, which occur outside of school or in the summer<cursor_is_here> </text>	[ { "content": "<url>\nhttp://wvhs.ipsd.org/uploads/Activities/ACTIVITYeligsheet2016-17.pdf\n</url>\n<text>\nThis form must be completed properly by the parent/guardian and student and returned to the Activity Sponsor in order to participate in a club/IHSA activity.\n\nWAUBONSIE VALLEY HIGH SCHOOL ACTIVITY INFORMATION\n\nStudent I.D.#____________________ Parent email (optional)___________________________\n\nStudent's Name________________________________________________Date___________ Home Ph.__________________\n\nLast First Middle\n\nPresentAddress_________________________________________________________________________________________\n\nStreet\n\nCity\n\nZip\n\nDate of Birth______________ School Attended Last Year _________________________Birthplace_____________________\n\nMonth Day Year\n\nCity/State\n\nParent/Guardian Names_________________________________________Bus Ph.________________Emer.#______________\n\nLast First\n\n______________________________________ Bus Ph.________________Emer.#______________\n\nLast First\n\nCircleYear in School: Frosh Soph Junior Senior\n\nAny Physical Limitations:_________________________________________________________________________________\n\nFamily Doctor/Address_____________________________________________________Phone #_______________________\n\nSignature of Parent or Guardian____________________________________________________ Date___________________\n\nFORM MUST BE SIGNED BY PARENT AND STUDENT -- ACTIVITY AGREEMENT:\n\n1. Abide by all program rules. Any infractions may result in temporary or permanent suspension from the program.\n\nI would like to participate in the interscholastic program at Waubonsie Valley High School with the full understanding that I will:\n\n2. I assume all responsibility for equipment issued to me and agree to pay for any lost or damaged equipment. Exceptions will be made in some situations.\n4. Be present in school on days of competitions.\n3. Attend regularly and be on time.\n5. Respect authority and show good citizenship at all times.\n7. For clarification of rules, I will consult with the Asst. Principal in charge of Activities.\n6. Students must use school bus to and from activities unless special permission is issued by sponsor to travel with parents.\n\nTO PARENTS:\n\n2. Each student is responsible for equipment that may be issued to them. Parents will be expected to assume financial responsibility if equipment is lost or damaged because of negligence.\n1. Parent or Guardian signature on form will constitute written permission.\n3. Under the Illinois High School Athletic Code a student must be passing a minimum of five (5) classes in academic subject each week and five (5) classes passed the previous semester for participation.\n5. Permission is given for the use of your son/daughter's picture to be used for newspapers and internet usage.\n4. Full cooperation is expected of parents. Regarding rules - violations of such are punishable at the discretion of the sponsor and Activities Director.\n6. For clarification of rules, I will consult with the Activities Director (Asst. Principal).\n\nPARENTS PERMISSION - I approve of my child's request to participate in the club/activity and also approve of the statements covering parents' or guardians' responsibilities.\n\nACTIVITY PARTICIPATION RULES AND I.H.S.A. ELIGIBILITY RULES\n\nI have read and understand the ATHLETIC/ACTIVITY CODE & Fundraising Policy for Waubonsie Valley High School, and the I.H.S.A. ELIGIBILITY RULES that are included with this information. As a condition of participation, I agree to abide by the rules and understand all of the above information, and sign below.\n\nDATE_______________________\n\nSTUDENT SIGNATURE______________________________\n\nACTIVITY______________________________\n\nPARENT SIGNATURE________________________________\n\nSPONSOR______________________________\n\n2016 - 2017 ATHLETIC AND ACTIVITY CODE\n\nACTIVITIES ARE A PRIVILEGE\n\nThe activities/athletics included in this Code place the student participants in the role of representatives of the high school and their fellow students. Participation is a privilege extended to these students, which permits them to benefit from a well-organized program of special interest for which the school provides coaches, sponsors, equipment, and facilities. No student has the right to participate in any of these activities or any other extracurricular/co-curricular activities.\n\nWith the privilege of participation comes the additional responsibility of each participant to learn, understand, and follow the rules established by the district, the high school and the coaches/sponsors of the particular activity.\n\nBecause these activities are voluntary and because those participating represent their school, we expect the behavior of those who try out and participate to be of the highest order. This is particularly true of academic requirements, honesty, school citizenship, and sportsmanship. The dignity of the school is reflected in its activity program. Since it is a privilege to participate and represent the school, it is logical that the school has the authority to revoke or restrict the privilege for those who do not conduct themselves in a responsible manner. This sense of responsibility extends to the activity as well as to conduct inside and outside the school.\n\nWhen the doors of participation and competition are opened to those who have questionable habits or who are not good citizens, the activity program can fail. The privilege of representing the school should be left in the hands of those who have earned it.\n\nACADEMIC ELIGIBILITY\n\nIn order to be eligible to participate in any co-curricular activities, students must be in good academic standing as proscribed by the Board of Education in compliance with state law. Coaches and sponsors will review eligibility standards at the beginning of each season and as new members join the activity.\n\nPARTICIPATION RULES\n\nOnce a student begins participation in any program of athletics/activities at the high school, this Code will be in effect for the remainder of the student's high school attendance in District 204, including summer months. The high school will attempt to make all participants aware of this Code and other rules established by coaches/sponsors. Information may be furnished at enrollment, initial participation in an activity and periodically in connection with other activities. However, the responsibility of learning, understanding and following this Code and other applicable rules lies with the student participant. Written acknowledgment of this Code by each participant will be sought, but will not be a prerequisite to enforcement of this Code or other rules.\n\nHigh School Participation\n\nIn order to be eligible for participation in any school-sponsored or school-supported athletic or extracurricular activity, each student in grade 9, 10, 11 or 12 must maintain a passing grade in no less than (5) courses, as determined on a weekly basis.\n\nAny student who fails to meet the aforesaid requirement will be suspended from further participation in all school-sponsored and school-supported athletic and extracurricular activities for seven (7) calendar days.\n\nIn addition, any student who fails to maintain a passing grade in no less than five (5) courses for a given semester will be prohibited from participating in any school-sponsored or school-supported athletic and extracurricular activities for the following semester.\n\nParticipation in school-sponsored or school-supported athletic or extracurricular activities may also be subject to additional eligibility requirements imposed by the Illinois High School Association (IHSA) or other governing bodies.\n\nSchool-sponsored and school-supported athletic and extracurricular activities include, but are not limited to:\n\n All activities sanctioned by the IHSA,\n* All events of a competitive nature between two or more schools.\n* Poms and drill team,\n* The list of included activities will be periodically reviewed and updated by the administration. Activities which are linked to a student's grade will not be considered to be school-sponsored or school-supported athletic or extracurricular activity.\n* Performances (i.e. drama, dance, co-curricular music, etc.), which are not linked to a students' grade, will be considered on a semester basis only.\n\nPROCEDURE\n\nA student accused of a violation will be informed of the charge and given the opportunity to explain or respond.\n\na) For violations, which occur at school, or at school-sponsored events a school administrator/dean will be informed and will follow the normal school conduct code. With regard to the extra-curricular penalty, the administrator/dean will inform the Athletic/Activities Director, head coach/sponsor, and parents.\nb) For reported violations, which occur outside of school or in the summer<cursor_is_here>\n</text>\n", "role": "user" }, { "content": ", the Athletic/Activities Director will investigate and inform the head coach/sponsor, student, and parents.", "role": "assistant" } ]
Loch Lomond and The Trossachs National Park Authority 2015/16 Annual audit report to Members and the Auditor General for Scotland Key contacts Asif A Haseeb, Engagement Lead [email protected] Kyle McAulay, Lead Auditor [email protected] Rachael McCulloch, Professional Trainee Auditor [email protected] Audit Scotland 4th Floor (South Suite) 8 Nelson Mandela Place Glasgow G2 1BT Telephone: 0131 625 1500 Website: www.audit-scotland.gov.uk Audit Scotland is a statutory body set up in April 2000 under the Public Finance and Accountability (Scotland) Act 2000. We help the Auditor General for Scotland and the Accounts Commission check that organisations spending public money use it properly, efficiently and effectively (www.audit-scotland.gov.uk/about/). Asif A Haseeb, Engagement Lead, Audit Scotland is the appointed external auditor of Loch Lomond and The Trossachs National Park Authority for the period 2011/12 to 2015/16. This report has been prepared for the use of Loch Lomond and The Trossachs National Park Authority and the Auditor General for Scotland and no responsibility to any member or officer in their individual capacity or any third party is accepted. The information in it may be used by the Auditor General in support of her wider responsibilities, including reporting to the Scottish Parliament. Contents Key messages Audit of financial statements Financial Position Governance & accountability Best Value - Unqualified independent auditor's report on the 2015/16 financial statements. - Working papers were of a high standard and officers provided good support which enabled the audit team to complete on-site fieldwork by the planned target date. - Two accounting adjustments and minor presentational and disclosure changes required to the financial statements presented for audit. - We are satisfied that the Park Authority have sufficient financial management arrangements in place. - All financial targets in 2015/16 were met. - A surplus of £0.039 million was achieved against total Department Expenditure Limit (DEL). - The Park Authority have sound governance arrangements in place with Board and Committee meetings held openly and advertised on their website. - Systems of internal control operated effectively during 2015/16. - An effective internal audit function and robust anti-fraud arrangements are in place. - Management have undertaken a Best Value Review which considered Scottish Government guidance and a two year action plan is in place to ensure that the Park Authority continue to improve. Introduction 1. This report is a summary of our findings arising from the 2015/16 audit of Loch Lomond and The Trossachs National Park Authority ("the Park Authority"). 2. The board and the Accountable Officer are responsible for: - acting within the law and ensuring the regularity of transactions by putting in place appropriate systems of internal control - maintaining proper accounting records - preparing financial statements which give a true and fair view of the financial position of the Park Authority as at 31 March 2016 and its expenditure and income for the year then ended - publishing with their financial statements an annual report, comprising a performance report and accountability report. 3. Our responsibility, as the external auditor, is to undertake our audit in accordance with International Standards on Auditing, the principles contained in the Code of Audit Practice issued by Audit Scotland in May 2011 and the ethical standards issued by the Auditing Practices Board. 4. An audit of financial statements is not designed to identify all matters that may be relevant to those charged with governance. It is the auditor's responsibility to form and express an opinion on the financial statements prepared by management with the oversight of those charged with governance. This does not relieve management of their responsibility for the preparation of financial statements. 5. Appendix I sets out the audit risks identified at the planning stage and how we addressed each risk in arriving at our opinion on the financial statements. 6. A number of reports, both local and national, have been issued by Audit Scotland during the course of the year. These reports are summarised at appendix II and appendix III. 7. Appendix IV is an action plan setting out our recommendations to address the high level risks we have identified from the audit. Officers have considered the issues and agreed to take the specific steps in the column headed "Management action/response". We recognise that not all risks can be eliminated or even minimised. What is important is that the Park Authority understands its risks and has arrangements in place to manage them. The Audit Committee should ensure that they are satisfied with proposed action and have a mechanism in place to assess progress and monitor outcomes. 8. We have included in this report only those matters that have come to our attention as a result of our normal audit procedures; consequently, our comments should not be regarded as a comprehensive record of all deficiencies that may exist or improvements that could be made. 9. 2015/16 is the final year of the current five year audit appointment. From 2016/17 the auditor of the Park Authority will be Grant Thornton LLP. In accordance with agreed protocols and International Standards on Auditing we will be liaising with the incoming auditors as part of this transition. Audit of the 2015/16 financial statements The financial statements show that Scottish Government core grant-in-aid funding was £7.428 million in 2015/16 (£7.896 million in 2014/15). Income from activities totalled £1.108 million, of which the largest amount related to Business Plan Income of £0.548 million. Overall expenditure increased by £0.179 million from £8.495 million in 2014/15 to £8.674 million in 2015/16. This is mainly attributed to an increase in staff costs £0.1 million, business plan expenditure £0.067 million and other operating costs £0.038 million. This is offset by a number of small cost savings during the 2015/16 financial year. Audit opinions Submission of financial statements for audit 10. We received the unaudited financial statements on 16 May 2016, in accordance with the agreed timetable. They were substantially complete but did not include the Chief Executive's Statement on Performance and anticipated legal cost figures. However, management advised that these would be provided at a later date and was made available to audit on 30 May 2016 and included in the revised set of the financial statements received on 1 June 2016. 11. The working papers provided for audit were of a good standard and were received on 16 May 2016, in accordance with the agreed timetable. However, the working papers provided did not contain all the required information and further information was provided as needed and was received on 18 May 2016. Park Authority staff provided support to the audit team which enabled us to complete our on-site fieldwork by the planned target date of 20 May 2016. Overview of the scope of the audit of the financial statements 12. Information on the integrity and objectivity of the appointed auditor and audit staff, and the nature and scope of the audit, were outlined in our Annual Audit Plan presented to the Audit Committee on 31 March 2016. 13. As part of the requirement to provide full and fair disclosure of matters relating to our independence, we can confirm that we have not undertaken any non-audit related services. The 2015/16 agreed fee for the audit was £10,200 and, as we did not carry out any work additional to our planned audit activity, the fee remains unchanged. 14. The concept of audit risk is of central importance to our audit approach. During the planning stage of our audit we identified a number of key audit risks which had the greatest effect on the audit strategy, resources and effort. We set out in our Annual Audit Plan the audit work we proposed to undertake to secure appropriate levels of assurance. 15. Our audit involved obtaining evidence about the amounts and disclosures in the financial statements sufficient to give reasonable assurance that the financial statements are free from material misstatement, whether caused by fraud or error. Materiality 16. We consider materiality and its relationship with audit risk when planning the nature, timing and extent of our audit and conducting our audit procedures. We assess the materiality of uncorrected misstatements, both individually and collectively. 17. We consider materiality and its relationship with audit risk when planning the nature, timing and extent of our audit and conducting our audit programme. Specifically with regard to the financial statements, we assess the materiality of uncorrected misstatements, both individually and collectively. 18. We summarised our approach to materiality in our Annual Audit Plan. We revised our planning materiality for 2015/16 on receipt of the unaudited accounts to £86,700 (1% of Total Expenditure). 19. We also set a lower level, known as performance materiality, when defining our audit procedures. This is determined to ensure that uncorrected and undetected audit differences do not exceed our materiality level. Performance materiality was set at £60,700 (i.e. 70% of materiality). We report all misstatements greater than £1,000. Exhibit 1: Overall materiality misstatements Source: 2015/16 Park Authority Unaudited Accounts Evaluation of misstatements 20. We have identified two misstatements (Land at Rowardennan and Luss Toilet Block) in the unaudited financial statements which related to the accounting treatment of non-current assets. Management had informed us of these two specific additions on 3 May 2016. Further details of the misstatements are provided in paragraph 24. 21. A number of presentational adjustments were also identified during the course of our audit. These were discussed with management who agreed to amend the financial statements. 22. The total value of adjustments (£187,000) exceeded our overall performance materiality level of £60,710. However, we considered that the Luss Toilet Block issue is an isolated issue which does not indicate that further systematic errors exist within the account area or more pervasively within the financial statements. We considered the impact of these misstatements on our audit approach and decided that further audit procedures were not required. Significant findings from the audit 23. International Standard on Auditing 260 (ISA 260) requires us to communicate to you significant findings from the audit as detailed below: - The auditor's views about significant qualitative aspects of the entity's accounting practices, including accounting policies, accounting estimates and disclosures - Significant difficulties encountered during the audit - Significant matters arising from the audit that were discussed, or subject to correspondence with management - Written representations requested by the auditor - Other matters which in the auditor's professional judgement, are significant to the oversight of the financial reporting process. 24. The following table details those issues or audit judgements that, in our view, require to be communicated to those charged with governance in accordance with ISA 260. Table 1: Significant findings from the audit Significant findings from the audit in accordance with ISA260 Accounting Treatment of Luss Toilet Block The Park Authority have agreed to buy the land for Luss Toilet Block from Argyll & Bute Council. As highlighted in paragraph 20, management had informed us of this addition on 3 May 2016. The substance of the situation is that the Park Authority own this building as they operate, maintain and receive income from the toilet block and have given grants in the past to Argyll & Bute Council to build the toilet block. However as set out in the Memorandum of Understanding, Argyll & Bute Council own the asset and it was agreed that the toilet block would be transferred to the Park Authority at a cost of £5,000. This is considerably lower than the value of the land and buildings (£190,000). The Park Authority had accounted for this as an addition of £5,000 to its non-current assets and immediately revalued the asset upwards at £190,000. The Park Authority should have accounted for this as an addition of £190,000 as the asset has never been recognised in the Park Authority's accounts or in its fixed asset register. Management agreed to adjust this misstatement and we are content that the accounts now reflect the substance of the transaction. Accounting Treatment of Land at Rowardennan The Park Authority undertook a review of its assets during 2015/16 following our recommendation in 2014/15. As a result of the review, the Authority identified an asset which should have been included in its fixed asset register but had been excluded due to an oversight. As mentioned in paragraph 20, management had informed us of this addition on 3 May 2016. The asset related to land at Rowardennan which was transferred to the Authority a number of years ago. The Park Authority had not included this as an addition but as an upwards revaluation adjustment for £2,000. Management should have accounted for this as an addition of £2,000 as the asset has never been recognised in the Park Authority's accounts or in its fixed asset register. Officers agreed to adjust this misstatement and we are content that the accounts now reflect the substance of the transaction. Significant findings from the audit in accordance with ISA260 Ownership of Assets Management are in negotiations with the landowners to rectify an error in the lease of land at Milarrochy Bay Visitor Centre and Balmaha Path. We considered that, as there was currently no dispute over the ownership of these assets, the Park Authority could continue to recognise these assets in its Statement of Financial Position. Appendix IV – Action Plan No. 1 Future accounting and auditing developments 25. HM Treasury have issued the 2016/17 Government Financial Report Manual (FReM). This applies EU adopted IFRS and Interpretations in effect for accounting periods commencing on or after 1 January 2016 (i.e. the Park Authority's 2016/17 annual accounts). 26. We have reviewed the 2016/17 FReM and there are no significant changes from the 2015/16 FReM. Financial management and sustainability 27. The main financial objective for the Park Authority is to ensure that the financial outturn for the year is within the budget allocated by Scottish Ministers. Financial Planning 28. The Park Authority, as a Non-Departmental Public Body (NDPB) of the Scottish Government, receives almost all of its funding directly from the Scottish Government. 29. As funding from the Scottish Government is the Park Authority's primary source of income there is a greater degree of certainty over future funding streams than for some other public sector organisations who are involved in income generating activities. Therefore, the main focus for the Park Authority is achieving a balanced financial plan to remain within their annual allocation. Financial management 30. As auditors we need to consider whether bodies have established adequate financial management arrangements. We do this by considering a number of factors, including whether: - the officer responsible for finance has sufficient status to be able to deliver good financial management - standing financial instructions and standing orders are comprehensive, current and promoted within the body - reports monitoring performance against budgets are accurate and provided regularly to budget holders - monitoring reports do not just contain financial data but are linked to information about performance - audit committee members provide a good level of challenge and question significant variances. 31. Based on our accumulated knowledge, our review of Senior Management Team meeting papers and through our attendance at the Audit Committee we conclude that the Park Authority have sufficient financial management arrangements in place. 2015/16 financial position 32. On an income and expenditure basis, the financial statements show a deficit of £0.550 million. This is the difference between the net expenditure for the year as shown in the Statement of Comprehensive Net Expenditure of £7.565 million, capital spend of £0.913 million and the annual funding received from the Scottish Government of £7.928 million. However, this deficit includes a number of non-cash items and requires a number of adjustments for budget purposes. Removing these balances show a surplus of £0.039 million at 31 March 2016. 33. The Statement of Financial Position at 31 March 2016 shows an increase in net assets of £3.112 million from £4.266 million in 2014/15 to £7.378 million in 2015/16. This position is largely attributable to the reduction in the pension liability which has decreased from £4.952 million in 2014/15 to £2.260 million in 2015/16. 34. The financial position of the Park Authority remains stable with the body operating within its available funding and reporting an excess of assets over liabilities. 2016/17 budget 35. The arrangements for budget setting and monitoring in place at the Park Authority are satisfactory, with management monitoring income and expenditure against budget and reporting financial results on a regular basis to the Board. 36. In previous years, the Park Authority has over-programmed its budget from a capital perspective. This was to allow for slippage in the activity plans and to enable investment to proceed quickly if additional resources are received. However for 2016/17, the Park Authority have over-programmed its budget by a marginal £0.007 million. This is a result of the Your Park project in 2016/17, which has an operational start date of 1 March 2017, therefore, it was deemed not appropriate to over-programme on a capital basis as that may create additional risk to the successful delivery of the project by end of February 2017. 37. The 2016/17 revenue budget was approved by the Board at its meeting on 14 March 2016. The budget has been prepared on the assumption of Grant in Aid resource allocation funding for 2016/17 allocated to the Park Authority by the Scottish Government being £6.270 million, a small decrease from 2015/16 (£0.128 million). Income from public bodies, planning fees, generated income, sale of goods, property rental income and interest received has been budgeted at £0.670 million. This brings total budgeted income for 2016/17 to £6.940 million. Contingent Asset 38. The Park Authority continued to disclose a contingent asset in the 2015/16 accounts for three monetary bonds totalling £1.332 million. Scotgold Resources Limited submitted a planning application for the development of a gold and silver mine in Cononish Glen. As a condition of the planning application being successful, Scotgold must fully reinstate the development site at the end of the mining operating period of ten years. In order to ensure this is done, Scotgold will lodge bonds of £1.332 million which will become receivable by the Park Authority if they fail to reinstate the land. In this case, the Park Authority would use the bonds to undertake the reinstatement work. Management should ensure that, if they are required to reinstate the land, sufficient funds are available. Contingent Liabilities 39. The Park Authority is involved in two legal disputes which may result in a future liability and these are disclosed as contingent liabilities. 40. There is a legal dispute with the landowner of Drumlean Estate over access rights. The Park Authority lost the initial court case last year and are currently appealing against the initial decision and the appeal is being heard in the new Sherriff Appeal Court. If the Park Authority loses the case, the costs could be up to £20,000. 41. The Park Authority have raised an action to remove the tenants from Luss Visitor Centre, following a breach of the lease terms. The former tenants are defending the action to remove them. The costs have not yet been quantified, but could be in the region of £20,000. 42. Management should ensure that, if they lose the on-going legal cases, sufficient funds are available to meet the financial liabilities. Governance and transparency Effective systems of internal control are in place. Overall governance arrangements are sound. Management have effective arrangements for the prevention and detection of fraud and corruption. Financial & performance reporting is transparent, timely and balanced. Effective governance and transparency arrangements are in place for 2015/16. Corporate governance 43. The Board and Chief Executive (as Accountable Officer) are responsible for establishing arrangements for ensuring the proper conduct of the affairs of the Park Authority and for monitoring the adequacy of these arrangements. 44. During 2015/16, the Board had 17 Members including the Convener. It comprises those who are directly appointed by Scottish Ministers, those locally elected and those nominated to the Board by the five councils in the park area 45. The Park Authority has two committees in operation which are required to meet regularly throughout the year, namely the Audit Committee and the Planning and Access Committee. The Park Authority has other groups in operation, these include the Remuneration Committee, Delivery Group and Strategy Group. 46. The Audit Committee has the direct responsibility for overseeing the Park Authority's arrangements for corporate governance and provides the Accountable Officer with assurance as to the Park Authority's compliance. The committee considers all internal and external audit reports and ensures any issues raised are addressed. 47. We concluded that the Park Authority has effective overarching and supporting governance arrangements which provide an appropriate framework for organisational decision making. Transparency 48. The Scottish Government's On Board guidance (http://www.gov.scot/Publications/2015/04/9736/0) for board members of public bodies was updated and reissued in April 2015. On Board states that boards should demonstrate high standards of corporate governance at all times including openness and transparency in decision making. It recommends boards should consider: - holding an annual open meeting - holding board meetings in public unless there is a good reason not to - publishing summary reports and/or minutes of meetings - inviting evidence from members of the public in relation to matters of public concern - consulting stakeholders and users on a wide range of issues - making corporate plans and the annual report widely available. 49. Audit Scotland also believes in transparency of financial reporting within the Annual Report and Accounts including: - A clear reconciliation between expenditure and the outturn against Scottish Government Resource budgets. - Identification and explanation of any significant movements in budget during the year. 50. In May 2016, the Park Authority received a communication under the organisation's Whistleblowing policy. The complaint raises a range of matters but does not appear to concern any financial transactions made during 2015/16. The Park Authority have made a disclosure to this effect in the 2015/16 Annual Report and Accounts. 51. Overall we concluded that the Park Authority is open and transparent. In particular, we note that the Board and its Committees hold meetings in public and these are advertised on the Park Authority's website. Internal control 52. During 2015/16 we carried out a review of the main financial systems (general ledger, payroll, trade payables, trade receivables and cash income & banking), focusing on the key controls in place within each system. 53. No material weaknesses in the accounting and internal control systems were identified during the 2015/16 audit which could adversely affect the organisation's ability to record, process, summarise and report financial and other relevant data so as to result in a material misstatement in the financial statements. 54. We reported our findings to management on 11 March 2016 and presented the report at the Audit Committee on 31 March 2016. Internal audit 55. Internal audit provides the audit committee and Accountable Officer with independent assurance on the overall risk management, internal control and corporate governance processes. We are required by international auditing standards to make an assessment of internal audit to determine the extent to which we can place reliance on its work. To avoid duplication, we place reliance on internal audit work where possible. 56. Internal audit is provided by KPMG LLP. This is the last year of KPMG's current internal audit contract and the internal audit arrangements for 2016/17 onwards are to be provided by West Dunbartonshire Council. 57. Our review of internal audit concluded that they operate in accordance with the Public Sector Internal Audit Standards (PSIAS) and has sound documentation standards and reporting procedures in place. This enabled us to place reliance on the work of internal audit as outlined in our annual audit plan presented to the Audit Committee on 31 March 2016. Shared Services 58. The Park Authority continues to work with Cairngorms National Park Authority on progressing shared services. The two park authorities currently work together on procurement, IT services, Geographic Information Systems (GIS) and health and safety. 59. The Park Authorities hold regular meetings to monitor progress and to discuss options for shared services going forward. The Park Authority should ensure that where appropriate and effective, shared services are considered for service delivery. Arrangements for the prevention and detection of fraud 60. The Park Authority is responsible for establishing arrangements to prevent and detect fraud and other irregularity. We reviewed and assessed these arrangements and have concluded that there are effective arrangements for the prevention and detection of fraud. Arrangements for maintaining standards of conduct and the prevention and detection of corruption 61. Audited bodies are responsible for ensuring that their affairs are managed in accordance with proper standards of conduct and have proper arrangements in place for implementing and monitoring compliance with standards and codes of conduct, standing orders and financial instructions. We consider whether bodies have adequate arrangements in place and have concluded that appropriate arrangements exist within the Park Authority. Correspondence referred to the auditor by Audit Scotland 62. As part of our wider Code responsibilities we are required to consider issues raised and follow these up as part of our risk based approach to the audit if they fall within our remit. 63. Early in 2015/16 we received an item of correspondence from a member of the public raising concerns about the governance arrangements within the Park Authority. Following a review of the correspondence and the relevant supporting documentation provided by management we confirmed that the governance arrangements were appropriate and no material issues in relation to governance and transparency at Park Authority have been identified. Best Value Arrangements for securing Best Value 64. Accountable officers have a specific responsibility to ensure that arrangements have been made to secure Best Value. 65. The Park Authority have considered Scottish Government guidance on Best Value and have been proactive in their approach. The Park Authority are compliant with the guidance and have put in place a two year action plan to ensure that the Park Authority continue to improve. The Park Authority have made progress against the action plan in 2015/16 and are on course to achieve all outcomes in 2016/17. National performance audit reports 66. Audit Scotland carries out a national performance audit programme on behalf of the Accounts Commission and the Auditor General for Scotland. During 2015/16, a number of reports were issued as outlined in Appendix III. Workforce Management 67. As part of our 2015/16 audit activity we conducted a review of workforce management arrangements across all our audited bodies. This work was a follow-up to the Scotland's Public Sector Workforce report published by Audit Scotland in November 2013. 68. We discussed the Park Authority's current workforce management arrangements with the Director of Corporate Services. Through these discussions we established that the Park Authority use the Annual Operational Plan, Corporate Plan and National Park Partnership Plan to identify and plan workforce requirements on an annual basis. The Park Authority's workforce is small and this also allows some aspects to be managed informally. However we consider that these elements do not meet the full requirements of an organisation-wide workforce plan. 69. In line with good practice, the Park Authority should develop a workforce plan proportionate to its size and nature that includes: - projections of short, medium and long term workforce requirements (i.e. staff numbers, skills and expertise, and costs), - arrangements for staff appraisal and training, - plans for succession planning, and - arrangements for joint working or shared resources with other public sector bodies. Appendix IV – Action Plan No. 2 Acknowledgements 70. We would like to express our thanks to the staff and members of the Park Authority for their help and assistance during the audit of this year's financial statements, and throughout the course of the five year audit appointment. Appendix I: Significant audit risks The table below sets out the audit risks we identified during the planning stage of the audit and how we addressed each risk in arriving at our opinion on the financial statements. \| Audit Risk \| Assurance procedure \| \|---\|---\| \| Milarrochy Bay Visitor Centre Management are in negotiations with the landowner to rectify an error in the lease of land at Milarrochy Bay. Until the lease is amended there is a risk that non- current assets are overstated in the financial statements. \| We discussed the ownership of Milarrochy Bay Visitor Centre with management to establish the correct accounting treatment of the asset. We reviewed the title deeds of a number of assets which were not tested in previous years to establish that the Park Authority have the right to capitalise these assets. \| \| Capitalisation of Leasehold Assets In 2014/15, the Park Authority incorrectly capitalised £228,000 of land held under operating leases. £209,000 of this was derecognised in 2014/15 with the remaining £19,000 in respect of Loch Lubnaig to be derecognised in 2015/16. There is a risk that net expenditure is understated and non-current assets overstated in the 2015/16 financial statements. \| We reviewed the 2015/16 accounts to ensure that the remaining £19,000 in respect of Loch Lubnaig has been derecognised. \| \| Capitalisation of Staff Costs In 2014/15, the Park Authority capitalised staff costs and an error was identified. There is a risk that staff costs are understated and non-current assets overstated in the 2015/16 financial statements. \| We reviewed capitalised staff costs in the 2015/16 working papers to consider whether staff costs have been correctly accounted for in line with the relevant accounting standards. \| Appendix II: Summary of local audit reports 2015/16 Appendix III: Summary of Audit Scotland national reports 2015/16 Appendix IV: Action plan \| No. \| Paragraph \| Issue/Recommendation \| Management action/response \| \|---\|---\|---\|---\| \| \| ref. \| \| \| \| 1. \| 24 \| Ownership of Assets Issue: Management are in negotiations with the landowners to rectify an error in the lease of land at Milarrochy Bay Visitor Centre and Balmaha Path. Recommendation: The Park Authority should ensure they obtain variations to the lease of land that the assets are built on. \| We are in negotiations with the landowners and are confident of completing this during 2016/17. \| \| 2. \| 68 \| Workforce Plan Issue: The Park Authority do not currently have an organisation-wide workforce plan. 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We help the Auditor General for Scotland and the Accounts Commission check that organisations spending public money use it properly, efficiently and effectively (www.audit-scotland.gov.uk/about/). Asif A Haseeb, Engagement Lead, Audit Scotland is the appointed external auditor of Loch Lomond and The Trossachs National Park Authority for the period 2011/12 to 2015/16. This report has been prepared for the use of Loch Lomond and The Trossachs National Park Authority and the Auditor General for Scotland and no responsibility to any member or officer in their individual capacity or any third party is accepted. The information in it may be used by the Auditor General in support of her wider responsibilities, including reporting to the Scottish Parliament. Contents Key messages Audit of financial statements Financial Position Governance & accountability Best Value - Unqualified independent auditor's report on the 2015/16 financial statements. - Working papers were of a high standard and officers provided good support which enabled the audit team to complete on-site fieldwork by the planned target date. - Two accounting adjustments and minor presentational and disclosure changes required to the financial statements presented for audit. - We are satisfied that the Park Authority have sufficient financial management arrangements in place. - All financial targets in 2015/16 were met. - A surplus of £0.039 million was achieved against total Department Expenditure Limit (DEL). - The Park Authority have sound governance arrangements in place with Board and Committee meetings held openly and advertised on their website. - Systems of internal control operated effectively during 2015/16. - An effective internal audit function and robust anti-fraud arrangements are in place. - Management have undertaken a Best Value Review which considered Scottish Government guidance and a two year action plan is in place to ensure that the Park Authority continue to improve. Introduction 1. This report is a summary of our findings arising from the 2015/16 audit of Loch Lomond and The Trossachs National Park Authority ("the Park Authority"). 2. The board and the Accountable Officer are responsible for: - acting within the law and ensuring the regularity of transactions by putting in place appropriate systems of internal control - maintaining proper accounting records - preparing financial statements which give a true and fair view of the financial position of the Park Authority as at 31 March 2016 and its expenditure and income for the year then ended - publishing with their financial statements an annual report, comprising a performance report and accountability report. 3. Our responsibility, as the external auditor, is to undertake our audit in accordance with International Standards on Auditing, the principles contained in the Code of Audit Practice issued by Audit Scotland in May 2011 and the ethical standards issued by the Auditing Practices Board. 4. An audit of financial statements is not designed to identify all matters that may be relevant to those charged with governance. It is the au	ditor's responsibility to form and express an opinion on the financial statements prepared by management with the oversight of those charged with governance.		3,728	inside_word	auditor's	remove_all	<url> https://www.lochlomond-trossachs.org/rr-content/uploads/2016/07/Audit_20160621_Agenda9_2015-16-LLTTNPA-Revised-Annual-Audit-Report.pdf </url> <text> Loch Lomond and The Trossachs National Park Authority 2015/16 Annual audit report to Members and the Auditor General for Scotland Key contacts Asif A Haseeb, Engagement Lead [email protected] Kyle McAulay, Lead Auditor [email protected] Rachael McCulloch, Professional Trainee Auditor [email protected] Audit Scotland 4th Floor (South Suite) 8 Nelson Mandela Place Glasgow G2 1BT Telephone: 0131 625 1500 Website: www.audit-scotland.gov.uk Audit Scotland is a statutory body set up in April 2000 under the Public Finance and Accountability (Scotland) Act 2000. We help the Auditor General for Scotland and the Accounts Commission check that organisations spending public money use it properly, efficiently and effectively (www.audit-scotland.gov.uk/about/). Asif A Haseeb, Engagement Lead, Audit Scotland is the appointed external auditor of Loch Lomond and The Trossachs National Park Authority for the period 2011/12 to 2015/16. This report has been prepared for the use of Loch Lomond and The Trossachs National Park Authority and the Auditor General for Scotland and no responsibility to any member or officer in their individual capacity or any third party is accepted. The information in it may be used by the Auditor General in support of her wider responsibilities, including reporting to the Scottish Parliament. Contents Key messages Audit of financial statements Financial Position Governance & accountability Best Value - Unqualified independent auditor's report on the 2015/16 financial statements. - Working papers were of a high standard and officers provided good support which enabled the audit team to complete on-site fieldwork by the planned target date. - Two accounting adjustments and minor presentational and disclosure changes required to the financial statements presented for audit. - We are satisfied that the Park Authority have sufficient financial management arrangements in place. - All financial targets in 2015/16 were met. - A surplus of £0.039 million was achieved against total Department Expenditure Limit (DEL). - The Park Authority have sound governance arrangements in place with Board and Committee meetings held openly and advertised on their website. - Systems of internal control operated effectively during 2015/16. - An effective internal audit function and robust anti-fraud arrangements are in place. - Management have undertaken a Best Value Review which considered Scottish Government guidance and a two year action plan is in place to ensure that the Park Authority continue to improve. Introduction 1. This report is a summary of our findings arising from the 2015/16 audit of Loch Lomond and The Trossachs National Park Authority ("the Park Authority"). 2. The board and the Accountable Officer are responsible for: - acting within the law and ensuring the regularity of transactions by putting in place appropriate systems of internal control - maintaining proper accounting records - preparing financial statements which give a true and fair view of the financial position of the Park Authority as at 31 March 2016 and its expenditure and income for the year then ended - publishing with their financial statements an annual report, comprising a performance report and accountability report. 3. Our responsibility, as the external auditor, is to undertake our audit in accordance with International Standards on Auditing, the principles contained in the Code of Audit Practice issued by Audit Scotland in May 2011 and the ethical standards issued by the Auditing Practices Board. 4. An audit of financial statements is not designed to identify all matters that may be relevant to those charged with governance. It is the au<cursor_is_here> </text>	[ { "content": "<url>\nhttps://www.lochlomond-trossachs.org/rr-content/uploads/2016/07/Audit_20160621_Agenda9_2015-16-LLTTNPA-Revised-Annual-Audit-Report.pdf\n</url>\n<text>\nLoch Lomond and The Trossachs National Park Authority\n\n2015/16 Annual audit report to Members and the Auditor General for Scotland\n\nKey contacts\n\nAsif A Haseeb, Engagement Lead [email protected]\n\nKyle McAulay, Lead Auditor [email protected]\n\nRachael McCulloch, Professional Trainee Auditor [email protected]\n\nAudit Scotland 4th Floor (South Suite) 8 Nelson Mandela Place Glasgow G2 1BT\n\nTelephone: 0131 625 1500\n\nWebsite: www.audit-scotland.gov.uk\n\nAudit Scotland is a statutory body set up in April 2000 under the Public Finance and Accountability (Scotland) Act 2000. We help the Auditor General for Scotland and the Accounts Commission check that organisations spending public money use it properly, efficiently and effectively (www.audit-scotland.gov.uk/about/).\n\nAsif A Haseeb, Engagement Lead, Audit Scotland is the appointed external auditor of Loch Lomond and The Trossachs National Park Authority for the period 2011/12 to 2015/16.\n\nThis report has been prepared for the use of Loch Lomond and The Trossachs National Park Authority and the Auditor General for Scotland and no responsibility to any member or officer in their individual capacity or any third party is accepted.\n\nThe information in it may be used by the Auditor General in support of her wider responsibilities, including reporting to the Scottish Parliament.\n\nContents\n\nKey messages\n\nAudit of financial statements\n\nFinancial Position\n\nGovernance & accountability\n\nBest Value\n\n- Unqualified independent auditor's report on the 2015/16 financial statements.\n- Working papers were of a high standard and officers provided good support which enabled the audit team to complete on-site fieldwork by the planned target date.\n- Two accounting adjustments and minor presentational and disclosure changes required to the financial statements presented for audit.\n- We are satisfied that the Park Authority have sufficient financial management arrangements in place.\n- All financial targets in 2015/16 were met.\n- A surplus of £0.039 million was achieved against total Department Expenditure Limit (DEL).\n- The Park Authority have sound governance arrangements in place with Board and Committee meetings held openly and advertised on their website.\n- Systems of internal control operated effectively during 2015/16.\n- An effective internal audit function and robust anti-fraud arrangements are in place.\n- Management have undertaken a Best Value Review which considered Scottish Government guidance and a two year action plan is in place to ensure that the Park Authority continue to improve.\n\nIntroduction\n\n1. This report is a summary of our findings arising from the 2015/16 audit of Loch Lomond and The Trossachs National Park Authority (\"the Park Authority\").\n2. The board and the Accountable Officer are responsible for:\n- acting within the law and ensuring the regularity of transactions by putting in place appropriate systems of internal control\n- maintaining proper accounting records\n- preparing financial statements which give a true and fair view of the financial position of the Park Authority as at 31 March 2016 and its expenditure and income for the year then ended\n- publishing with their financial statements an annual report, comprising a performance report and accountability report.\n3. Our responsibility, as the external auditor, is to undertake our audit in accordance with International Standards on Auditing, the principles contained in the Code of Audit Practice issued by Audit Scotland in May 2011 and the ethical standards issued by the Auditing Practices Board.\n4. An audit of financial statements is not designed to identify all matters that may be relevant to those charged with governance. It is the au<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "ditor's responsibility to form and express an opinion on the financial statements prepared by management with the oversight of those charged with governance.", "role": "assistant" } ]
Tender text Guide for requesting a Madaster materials passport and / or building file For Date and label 25 February 2021 2212020-1022 Context and content This text is made available for building owners / developers by Madaster and serves as a guide how to include a Madaster Material Passport for a building (hereinafter Building Passport) in their tender. This document contains three elements: Chapter 1 explains the terms used and the general process for generating a Building Passport. Chapter 2 provides sample texts that can serve as guidelines for general parts of the tender of a Building Passport. Chapter 3 provides sample texts that can be used to describe and specify the request of a Building passport in a process-oriented, functional and technical manner. Together, if carried out satisfactorily, this results in a high-quality and accurate Building Passport. For any additional information, please contact Madaster at [email protected] or by phone on +31 85 06 01 242. We are happy to assist you. DISCLAIMER This document and its contents have been prepared with the utmost care. However, it is not excluded that certain information is out of date, incomplete or otherwise incorrect. Madaster is not liable for any damage of any kind resulting from any use / consultation of this document and its content and / or from information obtained through this document, including but not limited to information obtained through references contained in this document and / or hyperlinks. Table of content 1 Explanation of terminology and process 1.1 Building Passport; a material passport for a building A Building Passport is a materials passport for a building and forms a digital representation ('twin') of the specific building, with a focus on the materials and products used. The completeness and accuracy of this Building Passport is determined by the availability and quality of building information (source files). a. For new buildings, more and more information is recorded in BIM models. This form of recording offers the most advantages with regard to the successful and accurate preparation of a Building Passport in the Madaster Platform. b. For existing buildings, drawings and possible specifications are the norm. These can be translated (possibly by specialized market parties) into BIM models, or processed in an Excel template 1 in order to prepare a Building passport in the Madaster Platform. New building In a new-build situation, a Building Passport is created by the design team, after which the contractor and suppliers further enrich the building information into a so-called "As-Built" BIM model 2 . The Building passport can then be delivered upon delivery of the building to the building owner / developer. Existing building Within an existing building (for example in a renovation project) the same aforementioned "As-Built" BIM model is the desired goal. In addition, the building owner / developer can decide that the current situation must first be mapped before starting the project. This means that the elements present in the existing situation are inventoried (quantitative and qualitative) so that before the start of the project it can be determined: a. to what extent reuse of these elements in the project is desirable / necessary and; b. to what extent new products and materials must be supplied. This total inventory of both to be reused and to be supplied products and materials subsequently results in the Building Passport of the new situation and in this case contains information about the products and materials that have been reused and newly supplied. In projects, the building owner / developer will not always aim for the "As-Built" BIM model. An alternative can then be found in the use of the Madaster Excel template. This alternative solution requires (compared to the as-built variant) a reduced effort and knowledge of materials used in the building. 1 When Excel is used as a source file, no 3D representation of the building can be generated on the Madaster platform. 2 An "As-Built" BIM model shows how the building was effectively realized. This as-built model contains an updated and accurate representation of the actual situation. Temporary information is deleted and all elements contain verified information. The desired level of detail for this is determined per project. The as-built plans can be derived from this model. 1.2 Information delivery: Building Information Model (BIM) and Excel The building information with regard to the materials and products used in the building is preferably linked to a BIM model. In practice, this can be multiple BIM models, where (for example) a distinction is made between the construction, the architectural model, the installation and the interior. The combination of these models ultimately forms the basis for the Building Passport of the relevant building. Upon delivery of the project, the BIM models must contain the as-built information. This promotes the use and keeping the models up-to-date during operation (maintenance, changes). A BIM model can be developed in different levels of detail. This is expressed in a standard, being: Levels of Detail (LOD). Madaster requires at least an LOD 300. Image 1: levels of detail The building owner / developer may consider not using BIM / IFC as the standard for the source information in the tender. Alternatively, there can be asked to record in Excel. In some cases, this form can be less labourintensive and (provided the Madaster Excel template is used) provides largely the same functionalities in the Madaster platform. The difference between IFC and Excel lies in the fact that the building cannot be displayed in a 3D model on the Madaster platform. 1.3 Building layers in Madaster: Materials and products used in a building are categorized in the Madaster Platform and assigned to various building layers. This indicates the location of the materials and products in the building. In addition to architectural and constructional elements, Madaster also has the option of classifying technical installations, interiors and elements in the vicinity of the building (such as pavements, etc.). Depending on the building owner / developer's objectives, it is determined from which building layers a materials passport is expected, which ultimately results in one Building Passport. 1.4 Description levels of detail To register a new or existing building in Madaster, information (data) is required from this building. The more extensive this data is available (input), the more detailed the report (output) is shown in the Madaster platform and specifically in the Building Passport. It is therefore recommended to determine the purpose and the level of detail of the Building Passport before requesting data. 1.4.1 General A Building Passport in Madaster can be requested or elaborated on three levels, with the higher level always building on the directly underlying level. There is always the option to "step in" at a specific level and then move on to the next level at a later time. These three levels are explained in the following sections. 1.4.2 Level 1 – Material level At this level, the Building Passport aims to reflect the materials used in a building and as such provides insight into the quantities of materials used, where these materials are located in the building and what its financial (residual) value is. At this level, no insight is obtained into the products used in the building and their underlying circular properties (degree of reuse, recycling, disassembly, etc.). As a result, insufficient insight can be given at this level into the circularity score of the building (Madaster Circularity Index). 1.4.3 Level 2 – Product level At this level, the purpose of the Building Passport is, in addition to the materials used, also to provide insight into products (incl. their material composition) that are incorporated in the building and the location (building layer) where these products are located in the building. In Madaster a distinction can be made between 4 different types of products (volume, area, length & quantity products). Based on this additional perspective, the Building Passport makes it clearer which products have been used in the building (including numbers) and, in contrast to materials, these can potentially be "reused" at a higher level. Despite the fact that the basis is formed at level 2, insufficient insight is obtained at this level into the degree of circularity of the building, because the circular properties of the materials and products used are still largely lacking. 1.4.4 Level 3 – Including circularity At this level, the purpose of the Building Passport is, in addition to displaying the materials and products used, also to gain insight into the degree of circularity of a building through the Madaster Circularity Index. This score is made transparent by enriching the materials and products with circular data (degree of reuse, recycling, disassembly, etc.). This is the most detailed version of the Building Passport in Madaster. 1.5 Madaster documentation and manuals Madaster offers various additional documents through its platform that are related to drawing up a Building Passport and working with the Madaster platform. For an overview of this information, please refer to the Documentation, FAQ and API section of the Madaster platform which can be reached (freely accessible) at https://docs.madaster.com/. 2 Tender text – general The tender text is divided into a number of segments. For the successful preparation and delivery of a Building Passport by means of the Madaster Platform by the contractor, at least the segments indicated under Chapter 3 must be included in the tender. The segments under sections 2.1 and 2.2 provide additional guidance that the building owner / developer can draw from when drawing up the tender. Chapter 1 provides an explanation of terms used and process descriptions that may be used to clarify certain parts. 2.1 Introduction text As part of this call for tender, [Building owner / developer] requests the Contractor to provide a Building Passport in the form of a Madaster registration. This Building Passport must contain at least [determine range between 90 - 100%] of the materials and products of [the building]. With the Building Passport [Building owner / developer] wants to guarantee the reuse of the materials and products, make the residual value transparent and prevent waste in a broad sense. 2.2 Description of the goal The Building Passport serves to facilitate the reuse of materials and products in order to minimize the impact on the environment, the stock of materials and the loss of the value created. [Building owner / developer] uses the Building Passport so that: A. Information about the materials and products used in [the building] are available to relevant stakeholders and individuals; B. This information can be kept up-to-date after maintenance, mutations and replacements during the use phase; C. By the building owner and / or manager and / or the parties who carry out work in [the building] on behalf of (one of) these parties; D. Or be otherwise responsible for keeping the information about [the building] up to date. 3 Tender text - Specific criteria Explanation: In this chapter, sample texts are made available that the building owner / developer can include in the tender as specific requirements and / or conditions. A distinction is made between process-related aspects and functional and technical requirements. Together, if satisfactorily completed, they lead to a highquality and accurate Building Passport. 3.1 Process 3.1.1 Availability 1. The Contractor draws up a digital Building Passport of the building, which is kept and made clear during the design phase, the work preparation and implementation phase and is delivered on the Madaster Platform to [Building owner / developer] in the account of [Building owner / developer] upon completion of the project. 2. The Building Passport is set up in accordance with the options in section 3.2. and provides, upon delivery, insight into at least [determine range between 90 - 100%] of the materials (and products) used in the building. 3. A written and oral explanation and instruction to the building owner and manager about the Building Passport and its use within the Madaster platform is part of the Contractor's obligations. The Contractor must also be available for any additional explanation and / or answering questions during the first year after delivery of the building. 3.1.2 Disassembly 1. The contractor will elaborate the way in which the building can be dismantled (and demolished for specific parts) in the form of a guideline / specifications and will be delivered to [Building owner / developer]. 2. The disassembly of products is recorded by the Contractor in the Building Passport. This gives the Contractor insight into the way in which disassembly can take place in the future. 3. The relevant dismantling guidelines will be provided by the Contractor as part of the project to [Building owner / developer] upon delivery of the building as part of the Building File on the Madaster platform. 3.2 Functional and technical Explanation: The Building Passport can be delivered at different levels of detail. If desired, this can also be requested at different levels per building layer. The levels of detail are explained in more detail in chapter 1.4. The functional and technical specifications for each level of detail are described in the following sections. The building owner/developer selects the desired level of detail and source file per building layer in which the contractor must deliver the building passport. The Building Passport is delivered in the following level of detail per building layer: The following types of source files are supplied for the building passport: (The building owner / developer may also leave the decision on this to the Contractor). 3.2.1 General requirements 1. The Building Passport is set up using and fitting into the structure of the Madaster platform. 2. The Building Passport must contain at least [determine range between 90 - 100%] of the elements and components "As Built", fully corresponding to the actual situation (for both existing 3 and maintained elements and newly realized elements). 3. The Building Dossier must be supplied by the Contractor as completely as possible 4 upon delivery: product sheets, certifications, ownership / lease agreements, warranty documents, maintenance instructions, user manuals, assembly and disassembly manuals and all other relevant documentation that is available, will be made available to [Building owner / developer] from the Building File in Madaster. 3 Existing elements: it must be determined in consultation with the client whether destructive research is desirable or necessary. 4 As complete as possible: the contractor demonstrates if the relevant documents are not available from the supplier. 3.2.2 Requirements at level 1 – material level: 1. The source files of the building to be registered in Madaster must be realized by the Contractor (and / or its partners) for each building layer, based on BIM / IFC, in the IFC file format at a minimum of LOD level 300 and delivered in accordance with BIM Basic IDM. When Excel-based registration is used, Madaster's Excel Template should be used. 2. [Building owner / developer] expects that at least [determine range between 90 - 100%] of the elements in the source files to be delivered (IFC and / or Excel template) contain the following data: a. Nl-SfB or Omniclass encoding 5 ; b. Material assignment / description; c. Geometric data: i. Quantity of the element (unit of quantity e.g. m, m2, m3); ii. Quantity of the element in m3 and kg and% relative to the total volume; iii. BIM model: export of so-called "Base quantities" in the IFC. IFC file or the Excel template contains a material description for at least [determine range between 90 - 100%] of the elements, which is correctly linked to: a. Materials and products in a Madaster database or; b. the [Building owner / developer]'s own account or contractor's database in Madaster 6 , or c. product databases linked to Madaster. 3.2.3 Requirements at level 2 (in addition to level 1) – product level 1. Overview of at least [determine range between 90 - 100%] of the products used in the building, with at least the following specifications of each product: a. Product name; b. Product code (EAN or GTIN, etc.) (if available); c. Product type (quantity, volume, area, length product); d. Specific weight / volume; e. Material composition; f. Search criteria. 2. These products are entered and made available in the account database of the building owner / developer or contractor 6 . 3. The IFC file or the Excel template from Madaster contains for a minimum [determine range between 90 - 100%] of the elements a material or product description that is correctly linked to: a. Materials and products in a Madaster database or; b. the [Building owner / developer]'s own account or contractor's database in Madaster 6 , or c. Product databases linked to Madaster. 3.2.4 Requirements at level 3 (in addition to level 1 and 2) – including circularity 1. Overview of at least [determine range between 90 - 100%] of the materials and products used in the building, including at least the following specifications of each material and product: a. Circular material and product properties in%: i. recycled material in the production phase of the product; ii. recycled material in the production phase of the product; iii. material from "rapidly renewable sources" in the product's production phase; iv. newly produced material in the production phase of the product; v. functional life cycle (in years) vi. technical life cycle (in years) 5 Madaster supports a variety of encoding, specific for each country. 6 If this concerns the Contractor's own product database, this must be available to the Client via the Madaster platform. 3. vii. material to be recycled in the "end-of-life" phase of the product; viii. reusable material in the "end-of-life" phase of the product; ix. material in the "end-of-life" phase of the product which goes to landfill and / or waste incineration. b. Disassembly information; c. Toxicity of the materials; 2. These products are entered and made available in the account database of the building owner / developer or contractor 6 . 3. To gain insight into the circular performance of the building and the materials and products used, at least [determine range between 90 - 100%] of the materials and products from the source files will be linked to: a. Materials and products in a Madaster database or; b. the [Building owner / developer]'s own account or contractor's database in Madaster 6 , or c. product databases linked to Madaster.	<urn:uuid:97212246-0578-4f46-87ff-3801a34d91ca>	CC-MAIN-2024-10	https://docs.madaster.com/files/no/Madaster%20-%20Tender%20text%20Madaster%20material%20passport.pdf	2024-03-05T11:33:54+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-10/subset=warc/part-00190-d9675c6d-5c8d-45bb-9c98-c56e42022a4d.c000.gz.parquet	208,099,475	3,856	eng_Latn	eng_Latn	0.96991	eng_Latn	0.991179	[ "eng_Latn", "eng_Latn", "unknown", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 137, 1508, 1526, 4428, 6393, 9512, 11306, 13270, 15080, 18132, 18968 ]	Tender text Guide for requesting a Madaster materials passport and / or building file For Date and label 25 February 2021 2212020-1022 Context and content This text is made available for building owners / developers by Madaster and serves as a guide how to include a Madaster Material Passport for a building (hereinafter Building Passport) in their tender. This document contains three elements: Chapter 1 explains the terms used and the general process for generating a Building Passport. Chapter 2 provides sample texts that can serve as guidelines for general parts of the tender of a Building Passport. Chapter 3 provides sample texts that can be used to describe and specify the request of a Building passport in a process-oriented, functional and technical manner. Together, if carried out satisfactorily, this results in a high-quality and accurate Building Passport. For any additional information, please contact Madaster at [email protected] or by phone on +31 85 06 01 242. We are happy to assist you. DISCLAIMER This document and its contents have been prepared with the utmost care. However, it is not excluded that certain information is out of date, incomplete or otherwise incorrect. Madaster is not liable for any damage of any kind resulting from any use / consultation of this document and its content and / or from information obtained through this document, including but not limited to information obtained through references contained in this document and / or hyperlinks. Table of content 1 Explanation of terminology and process 1.1 Building Passport; a material passport for a building A Building Passport is a materials passport for a building and forms a digital representation ('twin') of the specific building, with a focus on the materials and products used. The completeness and accuracy of this Building Passport is determined by the availability and quality of building information (source files). a. For new buildings, more and more information is recorded in BIM models. This form of recording offers the most advantages with regard to the successful and accurate preparation of a Building Passport in the Madaster Platform. b. For existing buildings, drawings and possible specifications are the norm. These can be translated (possibly by specialized market parties) into BIM models, or processed in an Excel template 1 in order to prepare a Building passport in the Madaster Platform. New building In a new-build situation, a Building Passport is created by the design team, after which the contractor and suppliers further enrich the building information into a so-called "As-Built" BIM model 2 . The Building passport can then be delivered upon delivery of the building to the building owner / developer. Existing building Within an existing building (for example in a renovation project) the same aforementioned "As-Built" BIM model is the desired goal. In addition, the building owner / developer can decide that the current situation must first be mapped before starting the project. This means that the elements present in the existing situation are inventoried (quantitative and qualitative) so that before the start of the project it can be determined: a. to what extent reuse of these elements in the project is desirable / necessary and; b. to what extent new products and materials must be supplied. This total inventory of both to be reused and to be supplied products and materials subsequently results in the Building Passport of the new situation and in this case contains information about the products and materials that have been reused and newly supplied. In projects, the building owner / developer will not always aim for the "As-Built" BIM model. An alternative can then be found in the use of the Madaster Excel template. This alternative solution requires (compared to the as-built variant) a reduced effort and knowledge of materials used in the building. 1 When Excel is used as a source file, no 3D representation of the building can be generated on the Madaster platform. 2 An "As-Built" BIM model shows how the building was effectively realized. This as-built model contains an updated and accurate representation of the actual situation. Temporary information is deleted and all elements contain verified information. The desired level of detail for this is determined per project. The as-built plans can be derived from this model. 1.2 Information delivery: Building Information Model (BIM) and Excel The building information with regard to the materials and products used in the building is preferably linked to a BIM model. In practice, this can be multiple BIM models, where (for example) a distinction is made between the construction, the architectural model, the installation and the interior. The combination of these models ultimately forms the basis for the Building Passport of the relevant building. Upon delivery of the project, the BIM models	must contain the as-built information.	This promotes the use and keeping the models up-to-date during operation (maintenance, changes). A BIM model can be developed in different levels of detail. This is expressed in a standard, being: Levels of Detail (LOD). Madaster requires at least an LOD 300. Image 1: levels of detail The building owner / developer may consider not using BIM / IFC as the standard for the source information in the tender. Alternatively, there can be asked to record in Excel. In some cases, this form can be less labourintensive and (provided the Madaster Excel template is used) provides largely the same functionalities in the Madaster platform. The difference between IFC and Excel lies in the fact that the building cannot be displayed in a 3D model on the Madaster platform. 1.3 Building layers in Madaster: Materials and products used in a building are categorized in the Madaster Platform and assigned to various building layers. This indicates the location of the materials and products in the building. In addition to architectural and constructional elements, Madaster also has the option of classifying technical installations, interiors and elements in the vicinity of the building (such as pavements, etc.). Depending on the building owner / developer's objectives, it is determined from which building layers a materials passport is expected, which ultimately results in one Building Passport. 1.4 Description levels of detail To register a new or existing building in Madaster, information (data) is required from this building. The more extensive this data is available (input), the more detailed the report (output) is shown in the Madaster platform and specifically in the Building Passport. It is therefore recommended to determine the purpose and the level of detail of the Building Passport before requesting data. 1.4.1 General A Building Passport in Madaster can be requested or elaborated on three levels, with the higher level always building on the directly underlying level. There is always the option to "step in" at a specific level and then move on to the next level at a later time. These three levels are explained in the following sections. 1.4.2 Level 1 – Material level At this level, the Building Passport aims to reflect the materials used in a building and as such provides insight into the quantities of materials used, where these materials are located in the building and what its financial (residual) value is. At this level, no insight is obtained into the products used in the building and their underlying circular properties (degree of reuse, recycling, disassembly, etc.). As a result, insufficient insight can be given at this level into the circularity score of the building (Madaster Circularity Index). 1.4.3 Level 2 – Product level At this level, the purpose of the Building Passport is, in addition to the materials used, also to provide insight into products (incl. their material composition) that are incorporated in the building and the location (building layer) where these products are located in the building. In Madaster a distinction can be made between 4 different types of products (volume, area, length & quantity products). Based on this additional perspective, the Building Passport makes it clearer which products have been used in the building (including numbers) and, in contrast to materials, these can potentially be "reused" at a higher level. Despite the fact that the basis is formed at level 2, insufficient insight is obtained at this level into the degree of circularity of the building, because the circular properties of the materials and products used are still largely lacking. 1.4.4 Level 3 – Including circularity At this level, the purpose of the Building Passport is, in addition to displaying the materials and products used, also to gain insight into the degree of circularity of a building through the Madaster Circularity Index. This score is made transparent by enriching the materials and products with circular data (degree of reuse, recycling, disassembly, etc.). This is the most detailed version of the Building Passport in Madaster. 1.5 Madaster documentation and manuals Madaster offers various additional documents through its platform that are related to drawing up a Building Passport and working with the Madaster platform. For an overview of this information, please refer to the Documentation, FAQ and API section of the Madaster platform which can be reached (freely accessible) at https://docs.madaster.com/. 2 Tender text – general The tender text is divided into a number of segments. For the successful preparation and delivery of a Building Passport by means of the Madaster Platform by the contractor, at least the segments indicated under Chapter 3 must be included in the tender. The segments under sections 2.1 and 2.2 provide additional guidance that the building owner / developer can draw from when drawing up the tender. Chapter 1 provides an explanation of terms used and process descriptions that may be used to clarify certain parts. 2.1 Introduction text As part of this call for tender, [Building owner / developer] requests the Contractor to provide a Building Passport in the form of a Madaster registration. This Building Passport must contain at least [determine range between 90 - 100%] of the materials and products of [the building]. With the Building Passport [Building owner / developer] wants to guarantee the reuse of the materials and products, make the residual value transparent and prevent waste in a broad sense. 2.2 Description of the goal The Building Passport serves to facilitate the reuse of materials and products in order to minimize the impact on the environment, the stock of materials and the loss of the value created. [Building owner / developer] uses the Building Passport so that: A. Information about the materials and products used in [the building] are available to relevant stakeholders and individuals; B. This information can be kept up-to-date after maintenance, mutations and replacements during the use phase; C. By the building owner and / or manager and / or the parties who carry out work in [the building] on behalf of (one of) these parties; D. Or be otherwise responsible for keeping the information about [the building] up to date. 3 Tender text - Specific criteria Explanation: In this chapter, sample texts are made available that the building owner / developer can include in the tender as specific requirements and / or conditions. A distinction is made between process-related aspects and functional and technical requirements. Together, if satisfactorily completed, they lead to a highquality and accurate Building Passport. 3.1 Process 3.1.1 Availability 1. The Contractor draws up a digital Building Passport of the building, which is kept and made clear during the design phase, the work preparation and implementation phase and is delivered on the Madaster Platform to [Building owner / developer] in the account of [Building owner / developer] upon completion of the project. 2. The Building Passport is set up in accordance with the options in section 3.2. and provides, upon delivery, insight into at least [determine range between 90 - 100%] of the materials (and products) used in the building. 3. A written and oral explanation and instruction to the building owner and manager about the Building Passport and its use within the Madaster platform is part of the Contractor's obligations. The Contractor must also be available for any additional explanation and / or answering questions during the first year after delivery of the building. 3.1.2 Disassembly 1. The contractor will elaborate the way in which the building can be dismantled (and demolished for specific parts) in the form of a guideline / specifications and will be delivered to [Building owner / developer]. 2. The disassembly of products is recorded by the Contractor in the Building Passport. This gives the Contractor insight into the way in which disassembly can take place in the future. 3. The relevant dismantling guidelines will be provided by the Contractor as part of the project to [Building owner / developer] upon delivery of the building as part of the Building File on the Madaster platform. 3.2 Functional and technical Explanation: The Building Passport can be delivered at different levels of detail. If desired, this can also be requested at different levels per building layer. The levels of detail are explained in more detail in chapter 1.4. The functional and technical specifications for each level of detail are described in the following sections. The building owner/developer selects the desired level of detail and source file per building layer in which the contractor must deliver the building passport. The Building Passport is delivered in the following level of detail per building layer: The following types of source files are supplied for the building passport: (The building owner / developer may also leave the decision on this to the Contractor). 3.2.1 General requirements 1. The Building Passport is set up using and fitting into the structure of the Madaster platform. 2. The Building Passport must contain at least [determine range between 90 - 100%] of the elements and components "As Built", fully corresponding to the actual situation (for both existing 3 and maintained elements and newly realized elements). 3. The Building Dossier must be supplied by the Contractor as completely as possible 4 upon delivery: product sheets, certifications, ownership / lease agreements, warranty documents, maintenance instructions, user manuals, assembly and disassembly manuals and all other relevant documentation that is available, will be made available to [Building owner / developer] from the Building File in Madaster. 3 Existing elements: it must be determined in consultation with the client whether destructive research is desirable or necessary. 4 As complete as possible: the contractor demonstrates if the relevant documents are not available from the supplier. 3.2.2 Requirements at level 1 – material level: 1. The source files of the building to be registered in Madaster must be realized by the Contractor (and / or its partners) for each building layer, based on BIM / IFC, in the IFC file format at a minimum of LOD level 300 and delivered in accordance with BIM Basic IDM. When Excel-based registration is used, Madaster's Excel Template should be used. 2. [Building owner / developer] expects that at least [determine range between 90 - 100%] of the elements in the source files to be delivered (IFC and / or Excel template) contain the following data: a. Nl-SfB or Omniclass encoding 5 ; b. Material assignment / description; c. Geometric data: i. Quantity of the element (unit of quantity e.g. m, m2, m3); ii. Quantity of the element in m3 and kg and% relative to the total volume; iii. BIM model: export of so-called "Base quantities" in the IFC. IFC file or the Excel template contains a material description for at least [determine range between 90 - 100%] of the elements, which is correctly linked to: a. Materials and products in a Madaster database or; b. the [Building owner / developer]'s own account or contractor's database in Madaster 6 , or c. product databases linked to Madaster. 3.2.3 Requirements at level 2 (in addition to level 1) – product level 1. Overview of at least [determine range between 90 - 100%] of the products used in the building, with at least the following specifications of each product: a. Product name; b. Product code (EAN or GTIN, etc.) (if available); c. Product type (quantity, volume, area, length product); d. Specific weight / volume; e. Material composition; f. Search criteria. 2. These products are entered and made available in the account database of the building owner / developer or contractor 6 . 3. The IFC file or the Excel template from Madaster contains for a minimum [determine range between 90 - 100%] of the elements a material or product description that is correctly linked to: a. Materials and products in a Madaster database or; b. the [Building owner / developer]'s own account or contractor's database in Madaster 6 , or c. Product databases linked to Madaster. 3.2.4 Requirements at level 3 (in addition to level 1 and 2) – including circularity 1. Overview of at least [determine range between 90 - 100%] of the materials and products used in the building, including at least the following specifications of each material and product: a. Circular material and product properties in%: i. recycled material in the production phase of the product; ii. recycled material in the production phase of the product; iii. material from "rapidly renewable sources" in the product's production phase; iv. newly produced material in the production phase of the product; v. functional life cycle (in years) vi. technical life cycle (in years) 5 Madaster supports a variety of encoding, specific for each country. 6 If this concerns the Contractor's own product database, this must be available to the Client via the Madaster platform. 3. vii. material to be recycled in the "end-of-life" phase of the product; viii. reusable material in the "end-of-life" phase of the product; ix. material in the "end-of-life" phase of the product which goes to landfill and / or waste incineration. b. Disassembly information; c. Toxicity of the materials; 2. These products are entered and made available in the account database of the building owner / developer or contractor 6 . 3. To gain insight into the circular performance of the building and the materials and products used, at least [determine range between 90 - 100%] of the materials and products from the source files will be linked to: a. Materials and products in a Madaster database or; b. the [Building owner / developer]'s own account or contractor's database in Madaster 6 , or c. product databases linked to Madaster.	4,968	end_of_word	models	remove_one_sentence	<url> https://docs.madaster.com/files/no/Madaster%20-%20Tender%20text%20Madaster%20material%20passport.pdf </url> <text> Tender text Guide for requesting a Madaster materials passport and / or building file For Date and label 25 February 2021 2212020-1022 Context and content This text is made available for building owners / developers by Madaster and serves as a guide how to include a Madaster Material Passport for a building (hereinafter Building Passport) in their tender. This document contains three elements: Chapter 1 explains the terms used and the general process for generating a Building Passport. Chapter 2 provides sample texts that can serve as guidelines for general parts of the tender of a Building Passport. Chapter 3 provides sample texts that can be used to describe and specify the request of a Building passport in a process-oriented, functional and technical manner. Together, if carried out satisfactorily, this results in a high-quality and accurate Building Passport. For any additional information, please contact Madaster at [email protected] or by phone on +31 85 06 01 242. We are happy to assist you. DISCLAIMER This document and its contents have been prepared with the utmost care. However, it is not excluded that certain information is out of date, incomplete or otherwise incorrect. Madaster is not liable for any damage of any kind resulting from any use / consultation of this document and its content and / or from information obtained through this document, including but not limited to information obtained through references contained in this document and / or hyperlinks. Table of content 1 Explanation of terminology and process 1.1 Building Passport; a material passport for a building A Building Passport is a materials passport for a building and forms a digital representation ('twin') of the specific building, with a focus on the materials and products used. The completeness and accuracy of this Building Passport is determined by the availability and quality of building information (source files). a. For new buildings, more and more information is recorded in BIM models. This form of recording offers the most advantages with regard to the successful and accurate preparation of a Building Passport in the Madaster Platform. b. For existing buildings, drawings and possible specifications are the norm. These can be translated (possibly by specialized market parties) into BIM models, or processed in an Excel template 1 in order to prepare a Building passport in the Madaster Platform. New building In a new-build situation, a Building Passport is created by the design team, after which the contractor and suppliers further enrich the building information into a so-called "As-Built" BIM model 2 . The Building passport can then be delivered upon delivery of the building to the building owner / developer. Existing building Within an existing building (for example in a renovation project) the same aforementioned "As-Built" BIM model is the desired goal. In addition, the building owner / developer can decide that the current situation must first be mapped before starting the project. This means that the elements present in the existing situation are inventoried (quantitative and qualitative) so that before the start of the project it can be determined: a. to what extent reuse of these elements in the project is desirable / necessary and; b. to what extent new products and materials must be supplied. This total inventory of both to be reused and to be supplied products and materials subsequently results in the Building Passport of the new situation and in this case contains information about the products and materials that have been reused and newly supplied. In projects, the building owner / developer will not always aim for the "As-Built" BIM model. An alternative can then be found in the use of the Madaster Excel template. This alternative solution requires (compared to the as-built variant) a reduced effort and knowledge of materials used in the building. 1 When Excel is used as a source file, no 3D representation of the building can be generated on the Madaster platform. 2 An "As-Built" BIM model shows how the building was effectively realized. This as-built model contains an updated and accurate representation of the actual situation. Temporary information is deleted and all elements contain verified information. The desired level of detail for this is determined per project. The as-built plans can be derived from this model. 1.2 Information delivery: Building Information Model (BIM) and Excel The building information with regard to the materials and products used in the building is preferably linked to a BIM model. In practice, this can be multiple BIM models, where (for example) a distinction is made between the construction, the architectural model, the installation and the interior. The combination of these models ultimately forms the basis for the Building Passport of the relevant building. Upon delivery of the project, the BIM models<cursor_is_here> This promotes the use and keeping the models up-to-date during operation (maintenance, changes). A BIM model can be developed in different levels of detail. This is expressed in a standard, being: Levels of Detail (LOD). Madaster requires at least an LOD 300. Image 1: levels of detail The building owner / developer may consider not using BIM / IFC as the standard for the source information in the tender. Alternatively, there can be asked to record in Excel. In some cases, this form can be less labourintensive and (provided the Madaster Excel template is used) provides largely the same functionalities in the Madaster platform. The difference between IFC and Excel lies in the fact that the building cannot be displayed in a 3D model on the Madaster platform. 1.3 Building layers in Madaster: Materials and products used in a building are categorized in the Madaster Platform and assigned to various building layers. This indicates the location of the materials and products in the building. In addition to architectural and constructional elements, Madaster also has the option of classifying technical installations, interiors and elements in the vicinity of the building (such as pavements, etc.). Depending on the building owner / developer's objectives, it is determined from which building layers a materials passport is expected, which ultimately results in one Building Passport. 1.4 Description levels of detail To register a new or existing building in Madaster, information (data) is required from this building. The more extensive this data is available (input), the more detailed the report (output) is shown in the Madaster platform and specifically in the Building Passport. It is therefore recommended to determine the purpose and the level of detail of the Building Passport before requesting data. 1.4.1 General A Building Passport in Madaster can be requested or elaborated on three levels, with the higher level always building on the directly underlying level. There is always the option to "step in" at a specific level and then move on to the next level at a later time. These three levels are explained in the following sections. 1.4.2 Level 1 – Material level At this level, the Building Passport aims to reflect the materials used in a building and as such provides insight into the quantities of materials used, where these materials are located in the building and what its financial (residual) value is. At this level, no insight is obtained into the products used in the building and their underlying circular properties (degree of reuse, recycling, disassembly, etc.). As a result, insufficient insight can be given at this level into the circularity score of the building (Madaster Circularity Index). 1.4.3 Level 2 – Product level At this level, the purpose of the Building Passport is, in addition to the materials used, also to provide insight into products (incl. their material composition) that are incorporated in the building and the location (building layer) where these products are located in the building. In Madaster a distinction can be made between 4 different types of products (volume, area, length & quantity products). Based on this additional perspective, the Building Passport makes it clearer which products have been used in the building (including numbers) and, in contrast to materials, these can potentially be "reused" at a higher level. Despite the fact that the basis is formed at level 2, insufficient insight is obtained at this level into the degree of circularity of the building, because the circular properties of the materials and products used are still largely lacking. 1.4.4 Level 3 – Including circularity At this level, the purpose of the Building Passport is, in addition to displaying the materials and products used, also to gain insight into the degree of circularity of a building through the Madaster Circularity Index. This score is made transparent by enriching the materials and products with circular data (degree of reuse, recycling, disassembly, etc.). This is the most detailed version of the Building Passport in Madaster. 1.5 Madaster documentation and manuals Madaster offers various additional documents through its platform that are related to drawing up a Building Passport and working with the Madaster platform. For an overview of this information, please refer to the Documentation, FAQ and API section of the Madaster platform which can be reached (freely accessible) at https://docs.madaster.com/. 2 Tender text – general The tender text is divided into a number of segments. For the successful preparation and delivery of a Building Passport by means of the Madaster Platform by the contractor, at least the segments indicated under Chapter 3 must be included in the tender. The segments under sections 2.1 and 2.2 provide additional guidance that the building owner / developer can draw from when drawing up the tender. Chapter 1 provides an explanation of terms used and process descriptions that may be used to clarify certain parts. 2.1 Introduction text As part of this call for tender, [Building owner / developer] requests the Contractor to provide a Building Passport in the form of a Madaster registration. This Building Passport must contain at least [determine range between 90 - 100%] of the materials and products of [the building]. With the Building Passport [Building owner / developer] wants to guarantee the reuse of the materials and products, make the residual value transparent and prevent waste in a broad sense. 2.2 Description of the goal The Building Passport serves to facilitate the reuse of materials and products in order to minimize the impact on the environment, the stock of materials and the loss of the value created. [Building owner / developer] uses the Building Passport so that: A. Information about the materials and products used in [the building] are available to relevant stakeholders and individuals; B. This information can be kept up-to-date after maintenance, mutations and replacements during the use phase; C. By the building owner and / or manager and / or the parties who carry out work in [the building] on behalf of (one of) these parties; D. Or be otherwise responsible for keeping the information about [the building] up to date. 3 Tender text - Specific criteria Explanation: In this chapter, sample texts are made available that the building owner / developer can include in the tender as specific requirements and / or conditions. A distinction is made between process-related aspects and functional and technical requirements. Together, if satisfactorily completed, they lead to a highquality and accurate Building Passport. 3.1 Process 3.1.1 Availability 1. The Contractor draws up a digital Building Passport of the building, which is kept and made clear during the design phase, the work preparation and implementation phase and is delivered on the Madaster Platform to [Building owner / developer] in the account of [Building owner / developer] upon completion of the project. 2. The Building Passport is set up in accordance with the options in section 3.2. and provides, upon delivery, insight into at least [determine range between 90 - 100%] of the materials (and products) used in the building. 3. A written and oral explanation and instruction to the building owner and manager about the Building Passport and its use within the Madaster platform is part of the Contractor's obligations. The Contractor must also be available for any additional explanation and / or answering questions during the first year after delivery of the building. 3.1.2 Disassembly 1. The contractor will elaborate the way in which the building can be dismantled (and demolished for specific parts) in the form of a guideline / specifications and will be delivered to [Building owner / developer]. 2. The disassembly of products is recorded by the Contractor in the Building Passport. This gives the Contractor insight into the way in which disassembly can take place in the future. 3. The relevant dismantling guidelines will be provided by the Contractor as part of the project to [Building owner / developer] upon delivery of the building as part of the Building File on the Madaster platform. 3.2 Functional and technical Explanation: The Building Passport can be delivered at different levels of detail. If desired, this can also be requested at different levels per building layer. The levels of detail are explained in more detail in chapter 1.4. The functional and technical specifications for each level of detail are described in the following sections. The building owner/developer selects the desired level of detail and source file per building layer in which the contractor must deliver the building passport. The Building Passport is delivered in the following level of detail per building layer: The following types of source files are supplied for the building passport: (The building owner / developer may also leave the decision on this to the Contractor). 3.2.1 General requirements 1. The Building Passport is set up using and fitting into the structure of the Madaster platform. 2. The Building Passport must contain at least [determine range between 90 - 100%] of the elements and components "As Built", fully corresponding to the actual situation (for both existing 3 and maintained elements and newly realized elements). 3. The Building Dossier must be supplied by the Contractor as completely as possible 4 upon delivery: product sheets, certifications, ownership / lease agreements, warranty documents, maintenance instructions, user manuals, assembly and disassembly manuals and all other relevant documentation that is available, will be made available to [Building owner / developer] from the Building File in Madaster. 3 Existing elements: it must be determined in consultation with the client whether destructive research is desirable or necessary. 4 As complete as possible: the contractor demonstrates if the relevant documents are not available from the supplier. 3.2.2 Requirements at level 1 – material level: 1. The source files of the building to be registered in Madaster must be realized by the Contractor (and / or its partners) for each building layer, based on BIM / IFC, in the IFC file format at a minimum of LOD level 300 and delivered in accordance with BIM Basic IDM. When Excel-based registration is used, Madaster's Excel Template should be used. 2. [Building owner / developer] expects that at least [determine range between 90 - 100%] of the elements in the source files to be delivered (IFC and / or Excel template) contain the following data: a. Nl-SfB or Omniclass encoding 5 ; b. Material assignment / description; c. Geometric data: i. Quantity of the element (unit of quantity e.g. m, m2, m3); ii. Quantity of the element in m3 and kg and% relative to the total volume; iii. BIM model: export of so-called "Base quantities" in the IFC. IFC file or the Excel template contains a material description for at least [determine range between 90 - 100%] of the elements, which is correctly linked to: a. Materials and products in a Madaster database or; b. the [Building owner / developer]'s own account or contractor's database in Madaster 6 , or c. product databases linked to Madaster. 3.2.3 Requirements at level 2 (in addition to level 1) – product level 1. Overview of at least [determine range between 90 - 100%] of the products used in the building, with at least the following specifications of each product: a. Product name; b. Product code (EAN or GTIN, etc.) (if available); c. Product type (quantity, volume, area, length product); d. Specific weight / volume; e. Material composition; f. Search criteria. 2. These products are entered and made available in the account database of the building owner / developer or contractor 6 . 3. The IFC file or the Excel template from Madaster contains for a minimum [determine range between 90 - 100%] of the elements a material or product description that is correctly linked to: a. Materials and products in a Madaster database or; b. the [Building owner / developer]'s own account or contractor's database in Madaster 6 , or c. Product databases linked to Madaster. 3.2.4 Requirements at level 3 (in addition to level 1 and 2) – including circularity 1. Overview of at least [determine range between 90 - 100%] of the materials and products used in the building, including at least the following specifications of each material and product: a. Circular material and product properties in%: i. recycled material in the production phase of the product; ii. recycled material in the production phase of the product; iii. material from "rapidly renewable sources" in the product's production phase; iv. newly produced material in the production phase of the product; v. functional life cycle (in years) vi. technical life cycle (in years) 5 Madaster supports a variety of encoding, specific for each country. 6 If this concerns the Contractor's own product database, this must be available to the Client via the Madaster platform. 3. vii. material to be recycled in the "end-of-life" phase of the product; viii. reusable material in the "end-of-life" phase of the product; ix. material in the "end-of-life" phase of the product which goes to landfill and / or waste incineration. b. Disassembly information; c. Toxicity of the materials; 2. These products are entered and made available in the account database of the building owner / developer or contractor 6 . 3. To gain insight into the circular performance of the building and the materials and products used, at least [determine range between 90 - 100%] of the materials and products from the source files will be linked to: a. Materials and products in a Madaster database or; b. the [Building owner / developer]'s own account or contractor's database in Madaster 6 , or c. product databases linked to Madaster. </text>	[ { "content": "<url>\nhttps://docs.madaster.com/files/no/Madaster%20-%20Tender%20text%20Madaster%20material%20passport.pdf\n</url>\n<text>\nTender text\n\nGuide for requesting a Madaster materials passport and / or building file\n\nFor\n\nDate and label 25 February 2021 2212020-1022\n\nContext and content\n\nThis text is made available for building owners / developers by Madaster and serves as a guide how to include a Madaster Material Passport for a building (hereinafter Building Passport) in their tender. This document contains three elements:\n\nChapter 1 explains the terms used and the general process for generating a Building Passport.\n\nChapter 2 provides sample texts that can serve as guidelines for general parts of the tender of a Building Passport.\n\nChapter 3 provides sample texts that can be used to describe and specify the request of a Building passport in a process-oriented, functional and technical manner.\n\nTogether, if carried out satisfactorily, this results in a high-quality and accurate Building Passport.\n\nFor any additional information, please contact Madaster at [email protected] or by phone on +31 85 06 01 242. We are happy to assist you.\n\nDISCLAIMER\n\nThis document and its contents have been prepared with the utmost care. However, it is not excluded that certain information is out of date, incomplete or otherwise incorrect. Madaster is not liable for any damage of any kind resulting from any use / consultation of this document and its content and / or from information obtained through this document, including but not limited to information obtained through references contained in this document and / or hyperlinks.\n\nTable of content\n\n1 Explanation of terminology and process\n\n1.1 Building Passport; a material passport for a building\n\nA Building Passport is a materials passport for a building and forms a digital representation ('twin') of the specific building, with a focus on the materials and products used. The completeness and accuracy of this Building Passport is determined by the availability and quality of building information (source files).\n\na. For new buildings, more and more information is recorded in BIM models. This form of recording offers the most advantages with regard to the successful and accurate preparation of a Building Passport in the Madaster Platform.\nb. For existing buildings, drawings and possible specifications are the norm. These can be translated (possibly by specialized market parties) into BIM models, or processed in an Excel template 1 in order to prepare a Building passport in the Madaster Platform.\n\nNew building\n\nIn a new-build situation, a Building Passport is created by the design team, after which the contractor and suppliers further enrich the building information into a so-called \"As-Built\" BIM model 2 . The Building passport can then be delivered upon delivery of the building to the building owner / developer.\n\nExisting building\n\nWithin an existing building (for example in a renovation project) the same aforementioned \"As-Built\" BIM model is the desired goal. In addition, the building owner / developer can decide that the current situation must first be mapped before starting the project. This means that the elements present in the existing situation are inventoried (quantitative and qualitative) so that before the start of the project it can be determined:\n\na. to what extent reuse of these elements in the project is desirable / necessary and;\nb. to what extent new products and materials must be supplied.\n\nThis total inventory of both to be reused and to be supplied products and materials subsequently results in the Building Passport of the new situation and in this case contains information about the products and materials that have been reused and newly supplied.\n\nIn projects, the building owner / developer will not always aim for the \"As-Built\" BIM model. An alternative can then be found in the use of the Madaster Excel template. This alternative solution requires (compared to the as-built variant) a reduced effort and knowledge of materials used in the building.\n\n1 When Excel is used as a source file, no 3D representation of the building can be generated on the Madaster platform.\n\n2 An \"As-Built\" BIM model shows how the building was effectively realized. This as-built model contains an updated and accurate representation of the actual situation. Temporary information is deleted and all elements contain verified information. The desired level of detail for this is determined per project. The as-built plans can be derived from this model.\n\n1.2 Information delivery: Building Information Model (BIM) and Excel\n\nThe building information with regard to the materials and products used in the building is preferably linked to a BIM model. In practice, this can be multiple BIM models, where (for example) a distinction is made between the construction, the architectural model, the installation and the interior. The combination of these models ultimately forms the basis for the Building Passport of the relevant building.\n\nUpon delivery of the project, the BIM models<cursor_is_here> This promotes the use and keeping the models up-to-date during operation (maintenance, changes).\n\nA BIM model can be developed in different levels of detail. This is expressed in a standard, being: Levels of Detail (LOD). Madaster requires at least an LOD 300.\n\nImage 1: levels of detail\n\nThe building owner / developer may consider not using BIM / IFC as the standard for the source information in the tender. Alternatively, there can be asked to record in Excel. In some cases, this form can be less labourintensive and (provided the Madaster Excel template is used) provides largely the same functionalities in the Madaster platform. The difference between IFC and Excel lies in the fact that the building cannot be displayed in a 3D model on the Madaster platform.\n\n1.3 Building layers in Madaster:\n\nMaterials and products used in a building are categorized in the Madaster Platform and assigned to various building layers. This indicates the location of the materials and products in the building. In addition to architectural and constructional elements, Madaster also has the option of classifying technical installations, interiors and elements in the vicinity of the building (such as pavements, etc.). Depending on the building owner / developer's objectives, it is determined from which building layers a materials passport is expected, which ultimately results in one Building Passport.\n\n1.4 Description levels of detail\n\nTo register a new or existing building in Madaster, information (data) is required from this building. The more extensive this data is available (input), the more detailed the report (output) is shown in the Madaster platform and specifically in the Building Passport. It is therefore recommended to determine the purpose and the level of detail of the Building Passport before requesting data.\n\n1.4.1 General\n\nA Building Passport in Madaster can be requested or elaborated on three levels, with the higher level always building on the directly underlying level. There is always the option to \"step in\" at a specific level and then move on to the next level at a later time. These three levels are explained in the following sections.\n\n1.4.2 Level 1 – Material level\n\nAt this level, the Building Passport aims to reflect the materials used in a building and as such provides insight into the quantities of materials used, where these materials are located in the building and what its financial (residual) value is. At this level, no insight is obtained into the products used in the building and their underlying circular properties (degree of reuse, recycling, disassembly, etc.). As a result, insufficient insight can be given at this level into the circularity score of the building (Madaster Circularity Index).\n\n1.4.3 Level 2 – Product level\n\nAt this level, the purpose of the Building Passport is, in addition to the materials used, also to provide insight into products (incl. their material composition) that are incorporated in the building and the location (building layer) where these products are located in the building. In Madaster a distinction can be made between 4 different types of products (volume, area, length & quantity products). Based on this additional perspective, the Building Passport makes it clearer which products have been used in the building (including numbers) and, in contrast to materials, these can potentially be \"reused\" at a higher level. Despite the fact that the basis is formed at level 2, insufficient insight is obtained at this level into the degree of circularity of the building, because the circular properties of the materials and products used are still largely lacking.\n\n1.4.4 Level 3 – Including circularity\n\nAt this level, the purpose of the Building Passport is, in addition to displaying the materials and products used, also to gain insight into the degree of circularity of a building through the Madaster Circularity Index. This score is made transparent by enriching the materials and products with circular data (degree of reuse, recycling, disassembly, etc.). This is the most detailed version of the Building Passport in Madaster.\n\n1.5 Madaster documentation and manuals\n\nMadaster offers various additional documents through its platform that are related to drawing up a Building Passport and working with the Madaster platform. For an overview of this information, please refer to the Documentation, FAQ and API section of the Madaster platform which can be reached (freely accessible) at https://docs.madaster.com/.\n\n2 Tender text – general\n\nThe tender text is divided into a number of segments. For the successful preparation and delivery of a Building Passport by means of the Madaster Platform by the contractor, at least the segments indicated under Chapter 3 must be included in the tender. The segments under sections 2.1 and 2.2 provide additional guidance that the building owner / developer can draw from when drawing up the tender.\n\nChapter 1 provides an explanation of terms used and process descriptions that may be used to clarify certain parts.\n\n2.1 Introduction text\n\nAs part of this call for tender, [Building owner / developer] requests the Contractor to provide a Building Passport in the form of a Madaster registration. This Building Passport must contain at least [determine range between 90 - 100%] of the materials and products of [the building]. With the Building Passport [Building owner / developer] wants to guarantee the reuse of the materials and products, make the residual value transparent and prevent waste in a broad sense.\n\n2.2 Description of the goal\n\nThe Building Passport serves to facilitate the reuse of materials and products in order to minimize the impact on the environment, the stock of materials and the loss of the value created. [Building owner / developer] uses the Building Passport so that:\n\nA. Information about the materials and products used in [the building] are available to relevant stakeholders and individuals;\nB. This information can be kept up-to-date after maintenance, mutations and replacements during the use phase;\nC. By the building owner and / or manager and / or the parties who carry out work in [the building] on behalf of (one of) these parties;\nD. Or be otherwise responsible for keeping the information about [the building] up to date.\n\n3 Tender text - Specific criteria\n\nExplanation: In this chapter, sample texts are made available that the building owner / developer can include in the tender as specific requirements and / or conditions. A distinction is made between process-related aspects and functional and technical requirements. Together, if satisfactorily completed, they lead to a highquality and accurate Building Passport.\n\n3.1 Process\n\n3.1.1 Availability\n\n1. The Contractor draws up a digital Building Passport of the building, which is kept and made clear during the design phase, the work preparation and implementation phase and is delivered on the Madaster Platform to [Building owner / developer] in the account of [Building owner / developer] upon completion of the project.\n2. The Building Passport is set up in accordance with the options in section 3.2. and provides, upon delivery, insight into at least [determine range between 90 - 100%] of the materials (and products) used in the building.\n3. A written and oral explanation and instruction to the building owner and manager about the Building Passport and its use within the Madaster platform is part of the Contractor's obligations. The Contractor must also be available for any additional explanation and / or answering questions during the first year after delivery of the building.\n\n3.1.2 Disassembly\n\n1. The contractor will elaborate the way in which the building can be dismantled (and demolished for specific parts) in the form of a guideline / specifications and will be delivered to [Building owner / developer].\n2. The disassembly of products is recorded by the Contractor in the Building Passport. This gives the Contractor insight into the way in which disassembly can take place in the future.\n3. The relevant dismantling guidelines will be provided by the Contractor as part of the project to [Building owner / developer] upon delivery of the building as part of the Building File on the Madaster platform.\n\n3.2 Functional and technical\n\nExplanation: The Building Passport can be delivered at different levels of detail. If desired, this can also be requested at different levels per building layer. The levels of detail are explained in more detail in chapter 1.4. The functional and technical specifications for each level of detail are described in the following sections. The building owner/developer selects the desired level of detail and source file per building layer in which the contractor must deliver the building passport.\n\nThe Building Passport is delivered in the following level of detail per building layer:\n\nThe following types of source files are supplied for the building passport: (The building owner / developer may also leave the decision on this to the Contractor).\n\n3.2.1 General requirements\n\n1. The Building Passport is set up using and fitting into the structure of the Madaster platform.\n2. The Building Passport must contain at least [determine range between 90 - 100%] of the elements and components \"As Built\", fully corresponding to the actual situation (for both existing 3 and maintained elements and newly realized elements).\n3. The Building Dossier must be supplied by the Contractor as completely as possible 4 upon delivery: product sheets, certifications, ownership / lease agreements, warranty documents, maintenance instructions, user manuals, assembly and disassembly manuals and all other relevant documentation that is available, will be made available to [Building owner / developer] from the Building File in Madaster.\n\n3 Existing elements: it must be determined in consultation with the client whether destructive research is desirable or necessary.\n\n4 As complete as possible: the contractor demonstrates if the relevant documents are not available from the supplier.\n\n3.2.2 Requirements at level 1 – material level:\n\n1. The source files of the building to be registered in Madaster must be realized by the Contractor (and / or its partners) for each building layer, based on BIM / IFC, in the IFC file format at a minimum of LOD level 300 and delivered in accordance with BIM Basic IDM. When Excel-based registration is used, Madaster's Excel Template should be used.\n2. [Building owner / developer] expects that at least [determine range between 90 - 100%] of the elements in the source files to be delivered (IFC and / or Excel template) contain the following data:\na. Nl-SfB or Omniclass encoding 5 ;\nb. Material assignment / description;\nc. Geometric data:\ni. Quantity of the element (unit of quantity e.g. m, m2, m3);\nii. Quantity of the element in m3 and kg and% relative to the total volume;\niii. BIM model: export of so-called \"Base quantities\" in the IFC.\n\nIFC file or the Excel template contains a material description for at least\n\n[determine range between\n\n90 - 100%] of the elements, which is correctly linked to:\na. Materials and products in a Madaster database or;\nb. the [Building owner / developer]'s own account or contractor's database in Madaster 6 , or\nc. product databases linked to Madaster.\n\n3.2.3 Requirements at level 2 (in addition to level 1) – product level\n\n1. Overview of at least [determine range between 90 - 100%] of the products used in the building, with at least the following specifications of each product:\na. Product name;\nb. Product code (EAN or GTIN, etc.) (if available);\nc. Product type (quantity, volume, area, length product);\nd. Specific weight / volume;\ne. Material composition;\nf. Search criteria.\n2. These products are entered and made available in the account database of the building owner / developer or contractor 6 .\n3. The IFC file or the Excel template from Madaster contains for a minimum [determine range between 90 - 100%] of the elements a material or product description that is correctly linked to:\na. Materials and products in a Madaster database or;\nb. the [Building owner / developer]'s own account or contractor's database in Madaster 6 , or\nc. Product databases linked to Madaster.\n\n3.2.4 Requirements at level 3 (in addition to level 1 and 2) – including circularity\n\n1. Overview of at least [determine range between 90 - 100%] of the materials and products used in the building, including at least the following specifications of each material and product:\na. Circular material and product properties in%:\ni. recycled material in the production phase of the product;\nii. recycled material in the production phase of the product;\niii. material from \"rapidly renewable sources\" in the product's production phase;\niv. newly produced material in the production phase of the product;\nv. functional life cycle (in years)\nvi. technical life cycle (in years)\n\n5 Madaster supports a variety of encoding, specific for each country.\n\n6 If this concerns the Contractor's own product database, this must be available to the Client via the Madaster platform.\n\n3.\n\nvii. material to be recycled in the \"end-of-life\" phase of the product;\nviii. reusable material in the \"end-of-life\" phase of the product;\nix. material in the \"end-of-life\" phase of the product which goes to landfill and / or waste incineration.\nb. Disassembly information;\nc. Toxicity of the materials;\n2. These products are entered and made available in the account database of the building owner / developer or contractor 6 .\n3. To gain insight into the circular performance of the building and the materials and products used, at least [determine range between 90 - 100%] of the materials and products from the source files will be linked to:\na. Materials and products in a Madaster database or;\nb. the [Building owner / developer]'s own account or contractor's database in Madaster 6 , or\nc. product databases linked to Madaster.\n</text>\n", "role": "user" }, { "content": " must contain the as-built information.", "role": "assistant" } ]
OFFICIAL Call To Conference All Zontians, of Zonta International, District 12, are hereby called to gather for the 54th Annual Conference at The Broker Inn, Boulder, Colorado, September 29October 2. Governor's Message As we approach the second District 12 Conference of my biennium, it is almost impossible for me to believe that my term as Governor of District 12 is passing so quickly. We have had an eventful year in District 12, and one of the highlights was the District's hosting of the Interdistrict Membership Seminar of the Americas' in Denver on June 2426. Those of us who participated in the Seminar left the Denver Marriott at Gateway Plaza with renewed enthusiasm and new ideas for increasing membership in District 12. Hosting the Interdistrict Membership Seminar was a wonderful opportunity for District 12 to become better known in the greater Zonta world. Area 3 Zontians directed by Past Governor, Mary Benoit, did a tremendous job organizing the Seminar and serving as hosts for Zontians from all over the world. Now, as we prepare for our District Conference, the two Boulder Clubs are feverously working to make this Conference one of the best ever. The Conference will be at The Broker Inn in Boulder, Colorado, hosted by the Zonta Club of Boulder County and the Zonta Foothills Club of Boulder County. We are looking forward to maintaining the enthusiasm generated at the Membership Seminar. As you look over the tentative Conference agenda, you will find that we are including some intellectually stimulating topics in our Friday afternoon Breakout Sessions. Lt. Governor Bev will provide new and innovative aspects of recruiting and retaining members and strengthening our District 12 Clubs in order to better serve the mission statement. Evie Ashmore, Kay Meyer, and Janell Will are going to present two topics under the umbrella of Legislative Awareness and Advocacy. Evie and Kay have done a wonderful job of researching CEDAW that they will present. That is all I will say for now to keep you in suspense! Janell, as Status of Women Chair, is implementing the message contained in the resolution passed at the ZI Convention in New York City regarding the topic of stem cell research. The ZI delegates resolved that all Zontians worldwide must educate themselves on this topic. To conclude the first exciting day of the Conference, we will gather for heavy hors d'oeuvres in the hotel after which Zontians will have the opportunity to avail themselves of a variety of entertainment selections in Boulder. DISTRICT 12 Colorado Montana South Dakota Wyoming July, 2005 District 12 has the honor and privilege of hosting our District 12 International liaison from Gothenburg, Sweden, Beryl Sten. Beryl is ZI Vice President and was Chairman of the International Conference in Sweden in 2002. Saturday's activities include a business session during which we gain a real sense of our international status when ZI Beryl Sten gives her keynote address. In addition, Zonta International President Mary Ellen Bittner has sent her message to us using a PowerPoint presentation which will be read by our International liaison Beryl. In addition to the usual business of District 12, the Conference will include the report of the Nominating Committee Chair Kate Brewster followed by the candidate's speeches and voting. We will be hearing progress reports from committee chairmen and officers as we do the work of our second Conference of the 20042006 biennium. We will already be looking forward to the next biennium when we receive the results of the voting for the Zonta District 12 Board of Directors for 20062008. The Saturday session will end with the everpopular "Chocolate Therapy" presentation. Saturday evening will be our gala closing banquet including the honoring of the Zontian of the Year from each of the 23 Clubs in District 12 and perhaps some entertainment. Our 2005 District Conference will conclude with our annual Memorial Service which gives us the opportunity to reflect on members we have lost over the past year. We honor Zontians in Clubs within District 12 who have worked to fulfill the Zonta mission and paved the way for those of us who are continuing the work of supporting the Zonta International mission statement in each of our clubs. After the memorial service, we will have a short business session followed by brunch and the presentation of special awards, raffle announcements, and the Call To Conference 2006. I am eagerly looking forward to seeing you in Boulder on the last weekend of September. Each Club is reminded to bring its wonderful items for raffle and sale in the Zonta Store. Our store is successful primarily because of the wonderful Zonta items representing the uniqueness of each club. Please get your registration form in! See you in September! My best Zonta wishes to you all! Evelyn J. Haskell Governor TENTATIVE AGENDA 54th ZONTA DISTRICT 12 CONFERENCE The Broker Inn, Boulder, Colorado Hosted by the Zonta Club of Boulder County and the Zonta Foothills Club of Boulder County September 29October 2, 2005 Keep Moving Forward With Inspiration as We Build Zonta's Future on the Foundations of the Past Thursday, September 29 6:30 p.m. Fellowship Dinner—Carrelli's (Within Walking Distance!) 8:30 p.m. District 12 Board Meeting Friday, September 30 8:00 a.m. District 12 Board Meeting 11:00 a.m. Registration 12:45 p.m.–1:00 p.m. Credentials CheckIn 1:00 p.m.–1:50 p.m. Presidents/Delegates Meeting 2:00 p.m.–3:30 p.m. Opening of 54th District 12 Conference 3:30 p.m.–5:00 p.m. Breakout Sessions 1) “CEDAW” 2) “Stem Cell Research Education” 3) “ Membership Recruitment and Retention” 5:30 p.m.7:00 p.m. Heavy Hors d'oeuvres 7:00 p.m. Entertainment Opportunities in the Boulder Area Saturday, October 1 6:00 a.m. Walk/Run along Boulder Creek (Meet in Hotel Lobby!) 7:00 a.m.–8:00 a.m. Breakfast Buffet (For Hotel Guests) 8:00 a.m.–1:00 p.m. Registration 8:00 a.m.–8:15 a.m. Credentials CheckIn 8:30 a.m.–10:00 a.m. Business Session 10:00 a.m.–10:30 a.m. Coffee Break—Fundraiser for District 12 Scholarship Fund 10:30 a.m. Special Reports 12:00 p.m.–2:00 p.m. Luncheon and Program 2:00 p.m.–4:00 p.m. Business Session Reports from District 12 Board and Committee Chairs 4:00 p.m. Election Results Chocolate Therapy 6:00 p.m.–7:00 p.m. Reception 7:00 p.m.–9:30 p.m. Banquet—Zontian of the Year Presentations [Suggested Attire—Glitter! and Glitz!] 9:30 p.m. Fellowship with the Governor and the District 12 Board Sunday, October 2 8:00 a.m.–8:45 a.m. Memorial Service 8:45 a.m.–9:00 a.m. Credentials CheckIn 9:00 a.m.–9:30 a.m. Closing Business Session 9:30 a.m.–11:00 a.m. Brunch, Awards, and Call to 55th Annual District 12 Conference 11:00 a.m. Announcements and Adjournment 11:30 a.m. District 12 Board Meeting Zonta International District 12 Policy and Procedures Manual PROPOSED CHANGES The Bylaws Committee, as appointed by Governor Evelyn J. Haskell, makes the following recommendations: DISTRICT CONFERENCE E. Call to Conference: 1. The mailing (delete) (insert) Call shall include the registration packet (delete) (insert) forms … . 2. The Governor shall send a special mailing (delete) (insert) additional communications … . 3. The mailing (delete) (insert) communications shall include … . Judith C. McNerny, Zonta Club of Denver EmmaJo Spiegelberg, Zonta Club of Laramie Anita M. Odens Zastrow, Zonta Club of PierreFort Pierre Nominating Committee Report Governor Beverly J. (Bev) Morrow, Zonta Club of Cheyenne Lieutenant Governor Priscilla Young Romkema, Zonta Club of Spearfish Treasurer Evie Ashmore, Zonta Club of Denver Area 1 Director Jane A. Page, Zonta Club of PierreFort Pierre Vice Area 1 Director Jennifer Pinnow, Zonta Club of Billings Area 2 Director Francis N. (Francie) Claus, Zonta Club of Converse County Vice Area 2 Director Bridget Masters, Zonta Club of Fort Collins Area 3 Director Kathryn L. (Kay) Meyer, Zonta Foothills Club of Boulder County Vice Area 3 Director Diane Twining, Zonta Club of Denver Area 4 Director Susan Miller, Zonta Club of Prowers County Vice Area 4 Director Christine S. (Kris) Wells, Zonta Club of the Pikes Peak Area Nominating Committee: Evelyn J. Haskell, Zonta Club of Laramie (Elect Three) Barbara Ludwig, Zonta Club of LakewoodGolden Sharon Roggy, Zonta Club of the Pikes Peak Area Debbie Squires, Zonta Club of Boulder County Nancy Trautman, Zonta Club of the Black Hills Submitted by, 200406 Nominating Committee Catherine L. (Kate) Brewster, Chairman, Zonta Club of the Pikes Peak Area Elizabeth D. Clinton, Zonta Club of Pueblo County Stephanie Seymanski, Zonta Club of Billings PROPOSED Zonta International—District 12 Operating Budget 20062008 20062007 Year 20072008 Year RECEIPTS 20062007 Dues (660 x $12) $7,920.00 Total Biennium 2005 ZONTA INTERNATIONAL DISTRICT 12 CONFERENCE September 29October 2, 2005 The Broker Inn, 555 30 Street, Boulder, Colorado Host Clubs: Zonta Club of Boulder County and Zonta Foothills Club of Boulder County Keep Moving Forward With Inspiration as We Build Zonta's Future on the Foundations of the Past Early Registration Deadline: Thursday, September 1, 2005 [NO Refunds after Thursday, September 15, 2005] Name ________________________________________________________________________ Address, City, State, Zip __________________________________________________________ Telephone _______________ Fax _______________ EMail** ___________________________ Zonta Club of __________________________________________ Area (Circle) 1 2 3 4 Please indicate if you are a: _____ Club Officer/Committee Chairman Title: ____________________________ _____ District Officer/Committee Chairman Title: ____________________________ _____ Past Governor Please check, if applicable: _____ Delegate (Must attend Full Conference) _____ Alternate _____ FirstTime Attendee at District Conference _____ New Member Date joined: _________________________________________ _____ Guest (Nonmember) _______________________________________________ _____ I am interested in an early morning walk/run along Boulder Creek _____$150 EarlyFull Registration (Includes Business Meetings, Workshops, Breaks, Friday CheckIn Light Refreshments, Friday Evening Heavy Hors d'oeuvres, Saturday Luncheon, Saturday Banquet, and Sunday Brunch) _____$175 LateFull Registration(Received or Postmarked after September 1, 2005) (Includes items as listed above in Early Full Registration) _____$ 35 Friday Evening ONLY (Cash Bar and Heavy Hors d’oeuvres including fresh carved turkey) _____$100 Saturday ONLY (Includes Saturday meals* and all Conference materials) _____$ 25 Saturday Luncheon* ONLY _____$ 40 Saturday Banquet* ONLY _____$ 25 Sunday Brunch ONLY __________ TOTAL ENCLOSED Dietary preferences or restrictions for Saturday meals: __________________________________ Please make check payable to: District 12 Conference! Return this form with appropriate payment to: E. Jeanne Sherer 6891 Springhill Drive, Longmont, CO 805037240 Registration Confirmations will be emailed! DISTRICT 12 CONFERENCE HOTEL ACCOMMODATIONS The Broker Inn 555 30 Street, Boulder, CO 803032309 18003385407 or locally 3034443330 Refer to the Zonta District 12 Conference to obtain the room rate listed below: $79 per room with two queen beds * Room rate includes two complimentary breakfast buffets for Friday and Saturday * The last date to be guaranteed the $79 room rate is September 1 * Rooms can be cancelled up to 24 hours in advance 314 West Elizabeth Street Pierre, SD 575011633	<urn:uuid:d02a7406-5de0-4c86-81d1-91e2f666bc99>	CC-MAIN-2023-50	https://zontadistrict12.org/CallToConference2005.pdf	2023-12-07T09:03:54+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2023-50/subset=warc/part-00287-e565b809-b335-4c1d-90fd-54a9a2b7113d.c000.gz.parquet	1,201,960,783	4,166	eng_Latn	eng_Latn	0.72429	eng_Latn	0.987064	[ "eng_Latn", "eng_Latn", "eng_Latn", "dan_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 5171, 7149, 9057, 9223, 11537, 12042 ]	OFFICIAL Call To Conference All Zontians, of Zonta International, District 12, are hereby called to gather for the 54th Annual Conference at The Broker Inn, Boulder, Colorado, September 29October 2. Governor's Message As we approach the second District 12 Conference of my biennium, it is almost impossible for me to believe that my term as Governor of District 12 is passing so quickly. We have had an eventful year in District 12, and one of the highlights was the District's hosting of the Interdistrict Membership Seminar of the Americas' in Denver on June 2426. Those of us who participated in the Seminar left the Denver Marriott at Gateway Plaza with renewed enthusiasm and new ideas for increasing membership in District 12. Hosting the Interdistrict Membership Seminar was a wonderful opportunity for District 12 to become better known in the greater Zonta world. Area 3 Zontians directed by Past Governor, Mary Benoit, did a tremendous job organizing the Seminar and serving as hosts for Zontians from all over the world. Now, as we prepare for our District Conference, the two Boulder Clubs are feverously working to make this Conference one of the best ever. The Conference will be at The Broker Inn in Boulder, Colorado, hosted by the Zonta Club of Boulder County and the Zonta Foothills Club of Boulder County. We are looking forward to maintaining the enthusiasm generated at the Membership Seminar. As you look over the tentative Conference agenda, you will find that we are including some intellectually stimulating topics in our Friday afternoon Breakout Sessions. Lt. Governor Bev will provide new and innovative aspects of recruiting and retaining members and strengthening our District 12 Clubs in order to better serve the mission statement. Evie Ashmore, Kay Meyer, and Janell Will are going to present two topics under the umbrella of Legislative Awareness and Advocacy. Evie and Kay have done a wonderful job of researching CEDAW that they will present. That is all I will say for now to keep you in suspense! Janell, as Status of Women Chair, is implementing the message contained in the resolution passed at the ZI Convention in New York City regarding the topic of stem cell research. The ZI delegates resolved that all Zontians worldwide must educate themselves on this topic. To conclude the first exciting day of the Conference, we will gather for heavy hors d'oeuvres in the hotel after which Zontians will have the opportunity to avail themselves of a variety of entertainment selections in Boulder. DISTRICT 12 Colorado Montana South Dakota Wyoming July, 2005 District 12 has the honor and privilege of hosting our District 12 International liaison from Gothenburg, Sweden, Beryl Sten. Beryl is ZI Vice President and was Chairman of the International Conference in Sweden in 2002. Saturday's activities include a business session during which we gain a real sense of our international status when ZI Beryl Sten gives her keynote address. In addition, Zonta International President Mary Ellen Bittner has sent her message to us using a PowerPoint presentation which will be read by our International liaison Beryl. In addition to the usual business of District 12, the Conference will include the report of the Nominating Committee Chair Kate Brewster followed by the candidate's speeches and voting. We will be hearing progress reports from committee chairmen and officers as we do the work of our second Conference of the 20042006 biennium. We will already be looking forward to the next biennium when we receive the results of the voting for the Zonta District 12 Board of Directors for 20062008. The Saturday session will end with the everpopular "Chocolate Therapy" presentation. Saturday evening will be our gala closing banquet including the honoring of the Zontian of the Year from each of the 23 Clubs in District 12 and perhaps some entertainment. Our 2005 District Conference will conclude with our annual Memorial Service which gives us the opportunity to reflect on members we have lost over the past year. We honor Zontians in Clubs within District 12 who have worked to fulfill the Zonta mission and paved the way for those of us who are continuing the work of supporting the Zonta International mission statement in each of our clubs. After the memorial service, we will have a short business session followed by brunch and the presentation of special awards, raffle announcements, and the Call To Conference 2006. I am eagerly looking forward to seeing you in Boulder on the last weekend of September. Each Club is reminded to bring its wonderful items for raffle and sale in the Zonta Store. Our store is successful primarily because of the wonderful Zonta items representing the uniqueness of each club. Please get your registration form in! See you in September! My best Zonta wishes to you all! Evelyn J. Haskell Governor TENTATIVE AGENDA 54th ZONTA DISTRICT 12 CONFERENCE The Broker Inn, Boulder, Colorado Hosted by the Zonta Club of Boulder County and the Zonta Foothills Club of Boulder County September 29October 2, 2005 Keep Moving Forward With Inspiration as We Build Zonta's Future on the Foundations of the Past Thursday, September 29 6:30 p.m. Fellowship Dinner—Carrelli's (Within Walking Distance!) 8:30 p.m. District 12 Board Meeting Friday, September 30 8:00 a.m. District 12 Board Meeting 11:00 a.m. Registration 12:45 p.m.–1:00 p.m. Credentials CheckIn 1:00 p.m.–1:50 p.m. Presidents/Delegates Meeting 2:00 p.m.–3:30 p.m. Opening of 54th District 12 Conference 3:30 p.m.–5:00 p.m. Breakout Sessions 1) “CEDAW” 2) “Stem Cell Research Education” 3) “ Membership Recruitment and Retention” 5:30 p.m.7:00 p.m. Heavy Hors d'oeuvres 7:00 p.m. Entertainment Opportunities in the Boulder Area Saturday, October 1 6:00 a.m. Walk/Run along Boulder Creek (Meet in Hotel Lobby!) 7:00 a.m.–8:00 a.m. Breakfast Buffet (For Hotel Guests) 8:00 a.m.–1:00 p.m. Registration 8:00 a.m.–8:15 a.m. Credentials CheckIn 8:30 a.m.–10:00 a.m. Business Session 10:00 a.m.–10:30 a.m. Coffee Break—Fundraiser for District 12 Scholarship Fund 10:30 a.m. Special Reports 12:00 p.m.–2:00 p.m. Luncheon and Program 2:00 p.m.–4:00 p.m. Business Session Reports from District 12 Board and Committee Chairs 4:00 p.m. Election Results Chocolate Therapy 6:00 p.m.–7:00 p.m. Reception 7:00 p.m.–9:30 p.m. Banquet—Zontian of the Year Presentations [Suggested Attire—Glitter! and Glitz!] 9:30 p.m. Fellowship with the Governor and the District 12 Board Sunday, October 2 8:00 a.m.–8:45 a.m. Memorial Service 8:45 a.m.–9:00 a.m. Credentials CheckIn 9:00 a.m.–9:30 a.m. Closing Business Session 9:30 a.m.–11:00 a.m. Brunch, Awards, and Call to 55th Annual District 12 Conference 11:00 a.m. Announcements and Adjournment 11:30 a.m. District 12 Board Meeting Zonta International District 12 Policy and Procedures Manual PROPOSED CHANGES The Bylaws Committee, as appointed by Governor Evelyn J. Haskell, makes the following recommendations: DISTRICT CONFERENCE E. Call to Conference: 1. The mailing (delete) (insert) Call shall include the registration packet (delete) (insert) forms … . 2. The Governor shall send a special mailing (delete) (insert) additional communications … . 3. The mailing (delete) (insert) communications shall include … . Judith C. McNerny, Zonta Club of Denver EmmaJo Spiegelberg, Zonta Club of Laramie Anita M. Odens Zastrow, Zonta Club of PierreFort Pierre Nominating Committee Report Governor Beverly J. (Bev) Morrow, Zonta Club of Cheyenne Lieutenant Governor Priscilla Young Romkema, Zonta Club of Spearfish Treasurer Evie Ashmore, Zonta Club of Denver Area 1 Director Jane A. Page, Zonta Club of PierreFort Pierre Vice Area 1 Director Jennifer Pinnow, Zonta Club of Billings Area 2 Director Francis N. (Francie) Claus, Zonta Club of Converse County Vice Area 2 Director Bridget Masters, Zonta Club of Fort Collins Area 3 Director Kathryn L. (Kay) Meyer, Zonta Foothills Club of Boulder County Vice Area 3 Director Diane Twining, Zonta Club of Denver Area 4 Director Susan Miller, Zonta Club of Prowers County Vice Area 4 Director Christine S. (Kris) Wells, Zonta Club of the Pikes Peak Area Nominating Committee: Evelyn J. Haskell, Zonta Club of Laramie (Elect Three) Barbara Ludwig, Zonta Club of LakewoodGolden Sharon Roggy, Zonta Club of the Pikes Peak Area Debbie Squires, Zonta Club of Boulder County Nancy Trautman, Zonta Club of the Black Hills Submitted by, 200406 Nominating Committee Catherine L. (Kate) Brewster, Chairman, Zonta Club of the Pikes Peak Area Elizabeth D. Clinton, Zonta Club of Pueblo County Stephanie Seymanski, Zonta Club of Billings PROPOSED Zonta International—District 12 Operating Budget 20062008 20062007 Year 20072008 Year RECEIPTS 20062007 Dues (660 x $12) $7,920.00 Total Biennium 2005 ZONTA INTERNATIONAL DISTRICT 12 CONFERENCE September 29October 2, 2005 The Broker Inn, 555 30 Street, Boulder, Colorado Host Clubs: Zonta Club of Boulder County and Zonta Foothills Club of Boulder County Keep Moving Forward With Inspiration as We Build Zonta's Future on the Foundations of the Past Early Registration Deadline: Thursday, September 1, 2005 [NO Refunds after Thursday, September 15, 2005] Name ________________________________________________________________________ Address, City, State, Zip __________________________________________________________ Telephone _______________ Fax _______________ EMail** ___________________________ Zonta Club of __________________________________________ Area (Circle) 1 2 3 4 Please indicate if you are a: _____ Club Officer/Committee Chairman Title: ____________________________ _____ District Officer/Committee Chairman Title: ____________________________ _____ Past Governor Please check, if applicable: _____ Delegate (Must attend Full Conference) _____ Alternate _____ FirstTime Attendee at District Conference _____ New Member Date joined: _________________________________________ _____ Guest (Nonmember) _______________________________________________ _____ I am interested in an early morning walk/run along Boulder Creek _____$150 EarlyFull Registration (Includes Business Meetings, Workshops, Breaks, Friday CheckIn Light Refreshments, Friday Evening Heavy Hors d'oeuvres, Saturday Luncheon, Saturday Banquet, and Sunday Brunch) _____$175 LateFull Registration(Received or Postmarked after September 1, 2005) (Includes items as listed above in Early Full Registration) _____$ 35 Friday Evening ONLY (Cash Bar and Heavy Hors d’oeuvres including fresh carved turkey) _____$100 Saturday ONLY (Includes Saturday	meals* and all Conference materials) _____$ 25 Saturday Luncheon* ONLY _____$ 40 Saturday Banquet* ONLY _____$ 25 Sunday Brunch ONLY __________ TOTAL ENCLOSED *Dietary preferences or restrictions for Saturday meals: __________________________________ Please make check payable to: District 12 Conference!	Return this form with appropriate payment to: E. Jeanne Sherer 6891 Springhill Drive, Longmont, CO 805037240 *Registration Confirmations will be emailed! DISTRICT 12 CONFERENCE HOTEL ACCOMMODATIONS The Broker Inn 555 30 Street, Boulder, CO 803032309 18003385407 or locally 3034443330 Refer to the Zonta District 12 Conference to obtain the room rate listed below: $79 per room with two queen beds * Room rate includes two complimentary breakfast buffets for Friday and Saturday * The last date to be guaranteed the $79 room rate is September 1 * Rooms can be cancelled up to 24 hours in advance 314 West Elizabeth Street Pierre, SD 575011633	11,060	end_of_word	Saturday	remove_one_sentence	<url> https://zontadistrict12.org/CallToConference2005.pdf </url> <text> OFFICIAL Call To Conference All Zontians, of Zonta International, District 12, are hereby called to gather for the 54th Annual Conference at The Broker Inn, Boulder, Colorado, September 29October 2. Governor's Message As we approach the second District 12 Conference of my biennium, it is almost impossible for me to believe that my term as Governor of District 12 is passing so quickly. We have had an eventful year in District 12, and one of the highlights was the District's hosting of the Interdistrict Membership Seminar of the Americas' in Denver on June 2426. Those of us who participated in the Seminar left the Denver Marriott at Gateway Plaza with renewed enthusiasm and new ideas for increasing membership in District 12. Hosting the Interdistrict Membership Seminar was a wonderful opportunity for District 12 to become better known in the greater Zonta world. Area 3 Zontians directed by Past Governor, Mary Benoit, did a tremendous job organizing the Seminar and serving as hosts for Zontians from all over the world. Now, as we prepare for our District Conference, the two Boulder Clubs are feverously working to make this Conference one of the best ever. The Conference will be at The Broker Inn in Boulder, Colorado, hosted by the Zonta Club of Boulder County and the Zonta Foothills Club of Boulder County. We are looking forward to maintaining the enthusiasm generated at the Membership Seminar. As you look over the tentative Conference agenda, you will find that we are including some intellectually stimulating topics in our Friday afternoon Breakout Sessions. Lt. Governor Bev will provide new and innovative aspects of recruiting and retaining members and strengthening our District 12 Clubs in order to better serve the mission statement. Evie Ashmore, Kay Meyer, and Janell Will are going to present two topics under the umbrella of Legislative Awareness and Advocacy. Evie and Kay have done a wonderful job of researching CEDAW that they will present. That is all I will say for now to keep you in suspense! Janell, as Status of Women Chair, is implementing the message contained in the resolution passed at the ZI Convention in New York City regarding the topic of stem cell research. The ZI delegates resolved that all Zontians worldwide must educate themselves on this topic. To conclude the first exciting day of the Conference, we will gather for heavy hors d'oeuvres in the hotel after which Zontians will have the opportunity to avail themselves of a variety of entertainment selections in Boulder. DISTRICT 12 Colorado Montana South Dakota Wyoming July, 2005 District 12 has the honor and privilege of hosting our District 12 International liaison from Gothenburg, Sweden, Beryl Sten. Beryl is ZI Vice President and was Chairman of the International Conference in Sweden in 2002. Saturday's activities include a business session during which we gain a real sense of our international status when ZI Beryl Sten gives her keynote address. In addition, Zonta International President Mary Ellen Bittner has sent her message to us using a PowerPoint presentation which will be read by our International liaison Beryl. In addition to the usual business of District 12, the Conference will include the report of the Nominating Committee Chair Kate Brewster followed by the candidate's speeches and voting. We will be hearing progress reports from committee chairmen and officers as we do the work of our second Conference of the 20042006 biennium. We will already be looking forward to the next biennium when we receive the results of the voting for the Zonta District 12 Board of Directors for 20062008. The Saturday session will end with the everpopular "Chocolate Therapy" presentation. Saturday evening will be our gala closing banquet including the honoring of the Zontian of the Year from each of the 23 Clubs in District 12 and perhaps some entertainment. Our 2005 District Conference will conclude with our annual Memorial Service which gives us the opportunity to reflect on members we have lost over the past year. We honor Zontians in Clubs within District 12 who have worked to fulfill the Zonta mission and paved the way for those of us who are continuing the work of supporting the Zonta International mission statement in each of our clubs. After the memorial service, we will have a short business session followed by brunch and the presentation of special awards, raffle announcements, and the Call To Conference 2006. I am eagerly looking forward to seeing you in Boulder on the last weekend of September. Each Club is reminded to bring its wonderful items for raffle and sale in the Zonta Store. Our store is successful primarily because of the wonderful Zonta items representing the uniqueness of each club. Please get your registration form in! See you in September! My best Zonta wishes to you all! Evelyn J. Haskell Governor TENTATIVE AGENDA 54th ZONTA DISTRICT 12 CONFERENCE The Broker Inn, Boulder, Colorado Hosted by the Zonta Club of Boulder County and the Zonta Foothills Club of Boulder County September 29October 2, 2005 Keep Moving Forward With Inspiration as We Build Zonta's Future on the Foundations of the Past Thursday, September 29 6:30 p.m. Fellowship Dinner—Carrelli's (Within Walking Distance!) 8:30 p.m. District 12 Board Meeting Friday, September 30 8:00 a.m. District 12 Board Meeting 11:00 a.m. Registration 12:45 p.m.–1:00 p.m. Credentials CheckIn 1:00 p.m.–1:50 p.m. Presidents/Delegates Meeting 2:00 p.m.–3:30 p.m. Opening of 54th District 12 Conference 3:30 p.m.–5:00 p.m. Breakout Sessions 1) “CEDAW” 2) “Stem Cell Research Education” 3) “ Membership Recruitment and Retention” 5:30 p.m.7:00 p.m. Heavy Hors d'oeuvres 7:00 p.m. Entertainment Opportunities in the Boulder Area Saturday, October 1 6:00 a.m. Walk/Run along Boulder Creek (Meet in Hotel Lobby!) 7:00 a.m.–8:00 a.m. Breakfast Buffet (For Hotel Guests) 8:00 a.m.–1:00 p.m. Registration 8:00 a.m.–8:15 a.m. Credentials CheckIn 8:30 a.m.–10:00 a.m. Business Session 10:00 a.m.–10:30 a.m. Coffee Break—Fundraiser for District 12 Scholarship Fund 10:30 a.m. Special Reports 12:00 p.m.–2:00 p.m. Luncheon and Program 2:00 p.m.–4:00 p.m. Business Session Reports from District 12 Board and Committee Chairs 4:00 p.m. Election Results Chocolate Therapy 6:00 p.m.–7:00 p.m. Reception 7:00 p.m.–9:30 p.m. Banquet—Zontian of the Year Presentations [Suggested Attire—Glitter! and Glitz!] 9:30 p.m. Fellowship with the Governor and the District 12 Board Sunday, October 2 8:00 a.m.–8:45 a.m. Memorial Service 8:45 a.m.–9:00 a.m. Credentials CheckIn 9:00 a.m.–9:30 a.m. Closing Business Session 9:30 a.m.–11:00 a.m. Brunch, Awards, and Call to 55th Annual District 12 Conference 11:00 a.m. Announcements and Adjournment 11:30 a.m. District 12 Board Meeting Zonta International District 12 Policy and Procedures Manual PROPOSED CHANGES The Bylaws Committee, as appointed by Governor Evelyn J. Haskell, makes the following recommendations: DISTRICT CONFERENCE E. Call to Conference: 1. The mailing (delete) (insert) Call shall include the registration packet (delete) (insert) forms … . 2. The Governor shall send a special mailing (delete) (insert) additional communications … . 3. The mailing (delete) (insert) communications shall include … . Judith C. McNerny, Zonta Club of Denver EmmaJo Spiegelberg, Zonta Club of Laramie Anita M. Odens Zastrow, Zonta Club of PierreFort Pierre Nominating Committee Report Governor Beverly J. (Bev) Morrow, Zonta Club of Cheyenne Lieutenant Governor Priscilla Young Romkema, Zonta Club of Spearfish Treasurer Evie Ashmore, Zonta Club of Denver Area 1 Director Jane A. Page, Zonta Club of PierreFort Pierre Vice Area 1 Director Jennifer Pinnow, Zonta Club of Billings Area 2 Director Francis N. (Francie) Claus, Zonta Club of Converse County Vice Area 2 Director Bridget Masters, Zonta Club of Fort Collins Area 3 Director Kathryn L. (Kay) Meyer, Zonta Foothills Club of Boulder County Vice Area 3 Director Diane Twining, Zonta Club of Denver Area 4 Director Susan Miller, Zonta Club of Prowers County Vice Area 4 Director Christine S. (Kris) Wells, Zonta Club of the Pikes Peak Area Nominating Committee: Evelyn J. Haskell, Zonta Club of Laramie (Elect Three) Barbara Ludwig, Zonta Club of LakewoodGolden Sharon Roggy, Zonta Club of the Pikes Peak Area Debbie Squires, Zonta Club of Boulder County Nancy Trautman, Zonta Club of the Black Hills Submitted by, 200406 Nominating Committee Catherine L. (Kate) Brewster, Chairman, Zonta Club of the Pikes Peak Area Elizabeth D. Clinton, Zonta Club of Pueblo County Stephanie Seymanski, Zonta Club of Billings PROPOSED Zonta International—District 12 Operating Budget 20062008 20062007 Year 20072008 Year RECEIPTS 20062007 Dues (660 x $12) $7,920.00 Total Biennium 2005 ZONTA INTERNATIONAL DISTRICT 12 CONFERENCE September 29October 2, 2005 The Broker Inn, 555 30 Street, Boulder, Colorado Host Clubs: Zonta Club of Boulder County and Zonta Foothills Club of Boulder County Keep Moving Forward With Inspiration as We Build Zonta's Future on the Foundations of the Past Early Registration Deadline: Thursday, September 1, 2005 [NO Refunds after Thursday, September 15, 2005] Name ________________________________________________________________________ Address, City, State, Zip __________________________________________________________ Telephone _______________ Fax _______________ EMail** ___________________________ Zonta Club of __________________________________________ Area (Circle) 1 2 3 4 Please indicate if you are a: _____ Club Officer/Committee Chairman Title: ____________________________ _____ District Officer/Committee Chairman Title: ____________________________ _____ Past Governor Please check, if applicable: _____ Delegate (Must attend Full Conference) _____ Alternate _____ FirstTime Attendee at District Conference _____ New Member Date joined: _________________________________________ _____ Guest (Nonmember) _______________________________________________ _____ I am interested in an early morning walk/run along Boulder Creek _____$150 EarlyFull Registration (Includes Business Meetings, Workshops, Breaks, Friday CheckIn Light Refreshments, Friday Evening Heavy Hors d'oeuvres, Saturday Luncheon, Saturday Banquet, and Sunday Brunch) _____$175 LateFull Registration(Received or Postmarked after September 1, 2005) (Includes items as listed above in Early Full Registration) _____$ 35 Friday Evening ONLY (Cash Bar and Heavy Hors d’oeuvres including fresh carved turkey) _____$100 Saturday ONLY (Includes Saturday<cursor_is_here> Return this form with appropriate payment to: E. Jeanne Sherer 6891 Springhill Drive, Longmont, CO 805037240 *Registration Confirmations will be emailed! DISTRICT 12 CONFERENCE HOTEL ACCOMMODATIONS The Broker Inn 555 30 Street, Boulder, CO 803032309 18003385407 or locally 3034443330 Refer to the Zonta District 12 Conference to obtain the room rate listed below: $79 per room with two queen beds * Room rate includes two complimentary breakfast buffets for Friday and Saturday * The last date to be guaranteed the $79 room rate is September 1 * Rooms can be cancelled up to 24 hours in advance 314 West Elizabeth Street Pierre, SD 575011633 </text>	[ { "content": "<url>\nhttps://zontadistrict12.org/CallToConference2005.pdf\n</url>\n<text>\nOFFICIAL Call To Conference\n\nAll Zontians, of Zonta International, District 12, are hereby called to gather for the 54th Annual Conference at The Broker Inn, Boulder, Colorado, September 29October 2.\n\nGovernor's Message\n\nAs we approach the second District 12 Conference of my biennium, it is almost impossible for me to believe that my term as Governor of District 12 is passing so quickly. We have had an eventful year in District 12, and one of the highlights was the District's hosting of the Interdistrict Membership Seminar of the Americas' in Denver on June 2426. Those of us who participated in the Seminar left the Denver Marriott at Gateway Plaza with renewed enthusiasm and new ideas for increasing membership in District 12. Hosting the Interdistrict Membership Seminar was a wonderful opportunity for District 12 to become better known in the greater Zonta world. Area 3 Zontians directed by Past Governor, Mary Benoit, did a tremendous job organizing the Seminar and serving as hosts for Zontians from all over the world. Now, as we prepare for our District Conference, the two Boulder Clubs are feverously working to make this Conference one of the best ever. The Conference will be at The Broker Inn in Boulder, Colorado, hosted by the Zonta Club of Boulder County and the Zonta Foothills Club of Boulder County. We are looking forward to maintaining the enthusiasm generated at the Membership Seminar.\n\nAs you look over the tentative Conference agenda, you will find that we are including some intellectually stimulating topics in our Friday afternoon Breakout Sessions. Lt. Governor Bev will provide new and innovative aspects of recruiting and retaining members and strengthening our District 12 Clubs in order to better serve the mission statement. Evie Ashmore, Kay Meyer, and Janell Will are going to present two topics under the umbrella of Legislative Awareness and Advocacy. Evie and Kay have done a wonderful job of researching CEDAW that they will present. That is all I will say for now to keep you in suspense! Janell, as Status of Women Chair, is implementing the message contained in the resolution passed at the ZI Convention in New York City regarding the topic of stem cell research. The ZI delegates resolved that all Zontians worldwide must educate themselves on this topic. To conclude the first exciting day of the Conference, we will gather for heavy hors d'oeuvres in the hotel after which Zontians will have the opportunity to avail themselves of a variety of entertainment selections in Boulder.\n\nDISTRICT 12\n\nColorado Montana South Dakota Wyoming\n\nJuly, 2005\n\nDistrict 12 has the honor and privilege of hosting our District 12 International liaison from Gothenburg, Sweden, Beryl Sten. Beryl is ZI Vice President and was Chairman of the International Conference in Sweden in 2002. Saturday's activities include a business session during which we gain a real sense of our international status when ZI Beryl Sten gives her keynote address. In addition, Zonta International President Mary Ellen Bittner has sent her message to us using a PowerPoint presentation which will be read by our International liaison Beryl. In addition to the usual business of District 12, the Conference will include the report of the Nominating Committee Chair Kate Brewster followed by the candidate's speeches and voting. We will be hearing progress reports from committee chairmen and officers as we do the work of our second Conference of the 20042006 biennium. We will already be looking forward to the next biennium when we receive the results of the voting for the Zonta District 12 Board of Directors for 20062008. The Saturday session will end with the everpopular \"Chocolate Therapy\" presentation. Saturday evening will be our gala closing banquet including the honoring of the Zontian of the Year from each of the 23 Clubs in District 12 and perhaps some entertainment.\n\nOur 2005 District Conference will conclude with our annual Memorial Service which gives us the opportunity to reflect on members we have lost over the past year. We honor Zontians in Clubs within District 12 who have worked to fulfill the Zonta mission and paved the way for those of us who are continuing the work of supporting the Zonta International mission statement in each of our clubs. After the memorial service, we will have a short business session followed by brunch and the presentation of special awards, raffle announcements, and the Call To Conference 2006.\n\nI am eagerly looking forward to seeing you in Boulder on the last weekend of September. Each Club is reminded to bring its wonderful items for raffle and sale in the Zonta Store. Our store is successful primarily because of the wonderful Zonta items representing the uniqueness of each club.\n\nPlease get your registration form in! See you in September!\n\nMy best Zonta wishes to you all! Evelyn J. Haskell Governor\n\nTENTATIVE AGENDA\n\n54th ZONTA DISTRICT 12 CONFERENCE\n\nThe Broker Inn, Boulder, Colorado Hosted by the Zonta Club of Boulder County and the Zonta Foothills Club of Boulder County September 29October 2, 2005\n\nKeep Moving Forward With Inspiration as We Build Zonta's Future on the Foundations of the Past\n\nThursday, September 29\n\n6:30 p.m.\n\nFellowship Dinner—Carrelli's (Within Walking Distance!)\n\n8:30 p.m.\n\nDistrict 12 Board Meeting\n\nFriday, September 30\n\n8:00 a.m.\n\nDistrict 12 Board Meeting\n\n11:00 a.m.\n\nRegistration\n\n12:45 p.m.–1:00 p.m. Credentials CheckIn\n\n1:00 p.m.–1:50 p.m.\n\nPresidents/Delegates Meeting\n\n2:00 p.m.–3:30 p.m.\n\nOpening of 54th District 12 Conference\n\n3:30 p.m.–5:00 p.m.\n\nBreakout Sessions\n\n1) “CEDAW”\n\n2) “Stem Cell Research Education”\n\n3) “ Membership Recruitment and Retention”\n\n5:30 p.m.7:00 p.m.\n\nHeavy Hors d'oeuvres\n\n7:00 p.m.\n\nEntertainment Opportunities in the Boulder Area\n\nSaturday, October 1\n\n6:00 a.m.\n\nWalk/Run along Boulder Creek (Meet in Hotel Lobby!)\n\n7:00 a.m.–8:00 a.m.\n\nBreakfast Buffet (For Hotel Guests)\n\n8:00 a.m.–1:00 p.m.\n\nRegistration\n\n8:00 a.m.–8:15 a.m.\n\nCredentials CheckIn\n\n8:30 a.m.–10:00 a.m. Business Session\n\n10:00 a.m.–10:30 a.m. Coffee Break—Fundraiser for District 12 Scholarship Fund\n\n10:30 a.m.\n\nSpecial Reports\n\n12:00 p.m.–2:00 p.m. Luncheon and Program\n\n2:00 p.m.–4:00 p.m.\n\nBusiness Session\n\nReports from District 12 Board and Committee Chairs\n\n4:00 p.m.\n\nElection Results\n\nChocolate Therapy\n\n6:00 p.m.–7:00 p.m.\n\nReception\n\n7:00 p.m.–9:30 p.m.\n\nBanquet—Zontian of the Year Presentations\n\n[Suggested Attire—Glitter! and Glitz!]\n\n9:30 p.m.\n\nFellowship with the Governor and the District 12 Board\n\nSunday, October 2\n\n8:00 a.m.–8:45 a.m.\n\nMemorial Service\n\n8:45 a.m.–9:00 a.m.\n\nCredentials CheckIn\n\n9:00 a.m.–9:30 a.m.\n\nClosing Business Session\n\n9:30 a.m.–11:00 a.m. Brunch, Awards, and Call to 55th Annual District 12 Conference\n\n11:00 a.m.\n\nAnnouncements and Adjournment\n\n11:30 a.m.\n\nDistrict 12 Board Meeting\n\nZonta International District 12 Policy and Procedures Manual PROPOSED CHANGES\n\nThe Bylaws Committee, as appointed by Governor Evelyn J. Haskell, makes the following recommendations:\n\nDISTRICT CONFERENCE\n\nE. Call to Conference:\n\n1. The mailing (delete) (insert) Call shall include the registration packet (delete) (insert) forms … .\n2. The Governor shall send a special mailing (delete) (insert) additional communications … .\n3. The mailing (delete) (insert) communications shall include … .\n\nJudith C. McNerny, Zonta Club of Denver EmmaJo Spiegelberg, Zonta Club of Laramie Anita M. Odens Zastrow, Zonta Club of PierreFort Pierre\n\nNominating Committee Report\n\nGovernor\n\nBeverly J. (Bev) Morrow, Zonta Club of Cheyenne\n\nLieutenant Governor\n\nPriscilla Young Romkema, Zonta Club of Spearfish\n\nTreasurer\n\nEvie Ashmore, Zonta Club of Denver\n\nArea 1 Director\n\nJane A. Page, Zonta Club of PierreFort Pierre\n\nVice Area 1 Director\n\nJennifer Pinnow, Zonta Club of Billings\n\nArea 2 Director\n\nFrancis N. (Francie) Claus, Zonta Club of Converse County\n\nVice Area 2 Director\n\nBridget Masters, Zonta Club of Fort Collins\n\nArea 3 Director\n\nKathryn L. (Kay) Meyer, Zonta Foothills Club of Boulder County\n\nVice Area 3 Director\n\nDiane Twining, Zonta Club of Denver\n\nArea 4 Director\n\nSusan Miller, Zonta Club of Prowers County\n\nVice Area 4 Director\n\nChristine S. (Kris) Wells, Zonta Club of the Pikes Peak Area\n\nNominating Committee: Evelyn J. Haskell, Zonta Club of Laramie\n\n(Elect Three)\n\nBarbara Ludwig, Zonta Club of LakewoodGolden\n\nSharon Roggy, Zonta Club of the Pikes Peak Area\n\nDebbie Squires, Zonta Club of Boulder County\n\nNancy Trautman, Zonta Club of the Black Hills\n\nSubmitted by,\n\n200406 Nominating Committee\n\nCatherine L. (Kate) Brewster, Chairman, Zonta Club of the Pikes Peak Area Elizabeth D. Clinton, Zonta Club of Pueblo County Stephanie Seymanski, Zonta Club of Billings\n\nPROPOSED\n\nZonta International—District 12 Operating Budget 20062008\n\n20062007 Year 20072008 Year\n\nRECEIPTS\n\n20062007 Dues (660 x $12)\n\n$7,920.00\n\nTotal Biennium\n\n2005 ZONTA INTERNATIONAL DISTRICT 12 CONFERENCE\n\nSeptember 29October 2, 2005\n\nThe Broker Inn, 555 30 Street, Boulder, Colorado\n\nHost Clubs: Zonta Club of Boulder County and Zonta Foothills Club of Boulder County\n\nKeep Moving Forward With Inspiration\n\nas We Build Zonta's Future on the Foundations of the Past\n\nEarly Registration Deadline: Thursday, September 1, 2005 [NO Refunds after Thursday, September 15, 2005]\n\nName ________________________________________________________________________\n\nAddress, City, State, Zip __________________________________________________________\n\nTelephone _______________ Fax _______________ EMail** ___________________________\n\nZonta Club of __________________________________________ Area (Circle) 1 2 3 4\n\nPlease indicate if you are a:\n\n_____ Club Officer/Committee Chairman Title: ____________________________\n\n_____ District Officer/Committee Chairman\n\nTitle: ____________________________\n\n_____ Past Governor\n\nPlease check, if applicable:\n\n_____ Delegate\n\n(Must attend Full Conference)\n\n_____ Alternate\n\n_____ FirstTime Attendee at District Conference\n\n_____ New Member\n\nDate joined: _________________________________________\n\n_____ Guest (Nonmember) _______________________________________________\n\n_____ I am interested in an early morning walk/run along Boulder Creek\n\n_____$150 EarlyFull Registration (Includes Business Meetings, Workshops, Breaks, Friday\n\nCheckIn Light Refreshments, Friday Evening Heavy Hors d'oeuvres, Saturday\n\nLuncheon, Saturday Banquet, and Sunday Brunch)\n\n_____$175 LateFull Registration(Received or Postmarked after September 1, 2005)\n\n(Includes items as listed above in Early Full Registration)\n\n_____$ 35\n\nFriday Evening ONLY (Cash Bar and Heavy Hors d’oeuvres including fresh carved turkey)\n\n_____$100 Saturday ONLY (Includes Saturday<cursor_is_here>\n\nReturn this form with appropriate payment to: E. Jeanne Sherer\n\n6891 Springhill Drive, Longmont, CO 805037240\n\n*Registration Confirmations will be emailed!\n\nDISTRICT 12 CONFERENCE HOTEL ACCOMMODATIONS\n\nThe Broker Inn\n\n555 30 Street, Boulder, CO 803032309\n\n18003385407\n\nor locally 3034443330\n\nRefer to the Zonta District 12 Conference to obtain the room rate listed below:\n\n $79 per room with two queen beds\n* Room rate includes two complimentary breakfast buffets for Friday and Saturday\n* The last date to be guaranteed the $79 room rate is September 1\n* Rooms can be cancelled up to 24 hours in advance\n\n314 West Elizabeth Street Pierre, SD 575011633\n</text>\n", "role": "user" }, { "content": " meals* and all Conference materials)\n\n_____$ 25\n\nSaturday Luncheon* ONLY\n\n_____$ 40\n\nSaturday Banquet* ONLY\n\n_____$ 25\n\nSunday Brunch ONLY\n\n__________ TOTAL ENCLOSED\n\n*Dietary preferences or restrictions for Saturday meals: __________________________________\n\nPlease make check payable to: District 12 Conference!", "role": "assistant" } ]
Evidencing the impact of the Primary PE and sport premium Website Reporting Tool Revised October 2020 Commissioned by Department for Education Created by Association for Physical Education Youth Sport Trust It is important that your grant is used effectively and based on school need. The [Education Inspection Framework](#) (Ofsted 2019 p64) makes clear there will be a focus on ‘whether leaders and those responsible for governors all understand their respective roles and perform these in a way that enhances the effectiveness of the school’. Under the [Quality of Education criteria](#) (p41) inspectors consider the extent to which schools can articulate their curriculum (INTENT), construct their curriculum (IMPLEMENTATION) and demonstrate the outcomes which result (IMPACT). To assist schools with common transferable language this template has been developed to utilise the same three headings which should make your plans easily transferable between working documents. Schools must use the funding to make additional and sustainable improvements to the quality of Physical Education, School Sport and Physical Activity (PESSPA) they offer. This means that you should use the Primary PE and sport premium to: - Develop or add to the PESSPA activities that your school already offer - Build capacity and capability within the school to ensure that improvements made now will benefit pupils joining the school in future years Please visit [gov.uk](#) for the revised DfE guidance including the 5 key indicators across which schools should demonstrate an improvement. This document will help you to review your provision and to report your spend. DfE encourages schools to use this template as an effective way of meeting the reporting requirements of the Primary PE and sport premium. We recommend you start by reflecting on the impact of current provision and reviewing the previous spend. Schools are required to [publish details](#) of how they spend this funding as well as on the impact it has on pupils’ PE and sport participation and attainment by the end of the summer term or by 31st July 2021 at the latest. In the case of any under-spend from 2019/20 which has been carried over this must be used and published by 31st March 2021. We recommend regularly updating the table and publishing it on your website throughout the year. This evidences your ongoing self-evaluation of how you are using the funding to secure maximum, sustainable impact. Final copy must be posted on your website by the end of the academic year and no later than the 31st July 2021. To see an example of how to complete the table please click [HERE](#). Support for review and reflection - considering the 5 key indicators from DfE, what development needs are a priority for your setting and your pupils now and why? Use the space below to reflect on previous spend and key achievements and areas for development. Please note: Although there has been considerable disruption in 2020 it is important that you publish details on your website of how you spend the funding - this is a legal requirement. N.B. In this section you should refer to any adjustments you might have made due to Covid-19 and how these will influence further improvement. \| Key achievements to date until July 2020: \| Areas for further improvement and baseline evidence of need: \| \|-----------------------------------------\|-------------------------------------------------------------\| \| • Being an active part of the School Sports Partnership \| • Provide opportunities for all children to access 30 active minutes outside of PE lessons. \| \| • Increased staff confidence in teaching PE \| • Introduce active play/lunch breaks (purchase equipment) \| \| • Earning Silver School Games Mark 2018/19 and 2019/20 \| • Continue to increase range of extra-curricular PE clubs on offer to all pupils (use of external coaches) \| \| • Entering more and more local competitions \| • Provide increased opportunities for all pupils to take part in competitive sport \| \| • Introducing a wider range of personal challenges events \| • The engagement of all pupils in regular physical activity - kick-starting healthy active lifestyles. \| \| • Attended 10 inter-school competitions 2018-2019. \| • Use Science and PSHE to reinforce the importance of a healthy and active lifestyle \| \| • Attended 8 inter-school competitions before lockdown (March 2020). Aimed to attend another 8 later in the year. \| • The profile of PE and sport being raised across the school \| \| • Entered A, B and C team into cricket festival. \| • Increase the number of children who can swim 25m using a range of strokes \| \| • Sports Crew established from year 2 to year 6. \| \| \| • Bronze level leadership award Silver School Games Mark \| \| \| • 3rd place overall in year 3/4 SSP Summer Olympics competition \| \| \| • Winner of Year 1/2 and 3/4 New Age Curling Event \| \| \| • Winner of Year 3/4 Cricket event \| \| Did you carry forward an underspend from 2019-20 academic year into the current academic year? YES/NO * Delete as applicable If YES you must complete the following section If NO, the following section is not applicable to you \| Intent \| Implementation \| Impact \| Sustainability and suggested next steps and how does this link with the key indicators on which you are focussing this academic year?: \| \|-----------------------------------------------------------------------\|---------------------------------------------------------------------------------\|----------------------------------------------------------------------\|--------------------------------------------------------------------------------\| \| Your school focus should be clear how you want to impact on your pupils. \| Make sure your actions to achieve are linked to your intentions: \| Carry over funding allocated: \| - Continue to hire coaches to offer taster days and extra-curricular clubs \| \| - Educate children in the value and benefits of a healthy active lifestyle. \| - Through PE lessons, sport, science and PSHE ensure our children understand the role of movement in the development of their own physical literacy, fitness and well-being. \| £540 – Skipping Days \| - Use equipment at breaktimes to increase activity levels \| \| - Develop a life-long love of sport and exercise \| - Build links with local community sports clubs through our SGO. \| £300 – Street Games \| - Use equipment in lessons to ensure all are participating. \| \| - Ensure our high quality PE and school sport offer develops competent and confident movers with the aim of inspiring lifelong participation in physical activity. \| - Hire coaches to come into school to offer ‘taster’ days. \| £555 – Hoopstarz \| \| \| - Raise awareness of the best places to take part in sport and physical activity outside of school. \| - buy new equipment so that children can have access to high-quality PE where equipment rarely needs to be shared, which will lead to more time being active and practising the skills during lessons. \| £145 – basketballs \| \| \| - Use PE and sport to enable the development of life skills that are transferred to other curriculum areas, wider school and beyond. \| \| £100 – basketball hoop \| \| \| - Use PE and sport to develop the whole person including thinking, social and personal skills \| \| £120 – dodgeballs \| \| \| - Use PE teaching to aid fine and gross motor skill development \| \| £160 – footballs \| \| \| - Ensure PE and school sport is visible in the school (assemblies, notice boards) \| \| £1275 – goals \| \| \| - celebrate sporting success \| \| £115 – boccia set \| \| Total Carry Over Funding: £6685 Evidence of impact: How can you measure the impact on your pupils; you may have focussed on the difference that PE, SS & PA have made to pupils re-engagement with school. What has changed?: - Children are more active at playtimes using skills learned during taster days. - Positive attitudes to health and well-being - Pupil concentration, commitment, self-esteem and behaviour enhanced - PE physical activity and school sport have a high profile and are celebrated across the life of the school - Higher quality PE lessons due to improvement in equipment. \| Meeting national curriculum requirements for swimming and water safety. \| ??? \| \| --- \| --- \| \| N.B Complete this section to your best ability. For example you might have practised safe self-rescue techniques on dry land. \| \| \| What percentage of your current Year 6 cohort swim competently, confidently and proficiently over a distance of at least 25 metres? N.B. Even though your pupils may swim in another year please report on their attainment on leaving primary school at the end of the summer term 2021. \| ???% \| \| What percentage of your current Year 6 cohort use a range of strokes effectively [for example, front crawl, backstroke and breaststroke]? \| ???% \| \| What percentage of your current Year 6 cohort perform safe self-rescue in different water-based situations? \| ???% \| \| Schools can choose to use the Primary PE and sport premium to provide additional provision for swimming but this must be for activity over and above the national curriculum requirements. Have you used it in this way? \| Yes/No \| ## Action Plan and Budget Tracking Capture your intended annual spend against the 5 key indicators. Clarify the success criteria and evidence of impact that you intend to measure to evaluate for pupils today and for the future. \| Academic Year: 2020/21 \| Total fund allocated: £18,130 + £6,685 carried over = £24,815 \| Date Updated: 16.7.21 \| \|------------------------\|---------------------------------------------------------------\|----------------------\| \| Key indicator 1: The engagement of all pupils in regular physical activity – Chief Medical Officers guidelines recommend that primary school pupils undertake at least 30 minutes of physical activity a day in school \| Percentage of total allocation: % \| \| Intent \| Implementation \| Funding allocated: \| Impact \| \|--------\|----------------\|---------------------\|--------\| \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \| \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \| Sustainability and suggested next steps: \| \| - Educate children in the value and benefits of a healthy active lifestyle. - Ensure our high quality PE and school sport offer develops competent and confident movers with the aim of inspiring lifelong participation in physical activity. - Raise awareness of the best places to take part in sport and physical activity outside of school. - Provide opportunities for daily physical activity (daily mile) \| - Through PE lessons, sport, science and PSHE ensure our children understand the role of movement in the development of their own physical literacy, fitness and well-being. - Build links with local community sports clubs through our SGO. - Encourage use of initiatives such as the ‘Daily Mile’ in ALL year groups at least 4 times a week \| Cost of SSP - £7100 Badges, whistles and lanyards for Sports Crew - £50 External coaches – see above \| - Positive attitudes to health and well-being - Pupil concentration, commitment, self-esteem and behaviour enhanced for sports ambassadors - Positive behaviour and a sense of fair play - Children taking part in daily additional activities such as ‘The Daily Mile’ regularly - children across the school more active on a daily basis and enjoy being active - Higher quality PE lessons with more children active due to improvement in quality and amount of equipment. \| - Monitor physical activity levels to ensure we meet the government guidelines of at least 30 minutes a day for each child in school time. - children to develop lifelong interest and participation in sporting activity. - children becoming more active at playtimes \| Key indicator 2: The profile of PESSPA being raised across the school as a tool for whole school improvement \| Intent \| Implementation \| Impact \| \|--------\|----------------\|--------\| \| \| \| \| Created by: [PE Association](#), [Active Partnerships](#), [Youth Sport Trust](#) Supported by: [UK Sport](#), [LOTTERY FUNDED](#), [UK COACHING](#) \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \| Funding allocated: \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \| Sustainability and suggested next steps: \| \|---\|---\|---\|---\|---\| \| - Use PE and sport to enable the development of life skills that are transferred to other curriculum areas, wider school and beyond. - Use PE and sport to develop the whole person including thinking, social and personal skills - Use PE teaching to aid fine and gross motor skill development - Ensure PE and school sport is visible in the school (assemblies, notice boards) - celebrate sporting success - High quality PE lessons delivered during curriculum time. - School staff better equipped/more confident to teach PE in school due to support from SSP - Monitoring use of schemes and whole school PE coverage \| - As a school we are part of the Easington School Sport Partnership which provides the following opportunities: - Additional competitions outside of the School Games programme, comprehensive CPD programme, support from G. Adey - Continue to develop and use whole school plans and assessment. - Develop a team of sports leaders - Help run and record the events for Sports Day. - Runner of the week certificates - whistles, lanyards and badges for Sports Crew \| Certificates for Runner of the Week and stickers for Sports Day - £100 Badges, whistles and lanyards for Sports Crew(see above) Cost of SSP (see above) \| - Personal development (physical skills, thinking skills, social skills and personal skills). - Attainment and achievement, behaviour and attendance. - PE physical activity and school sport have a high profile and are celebrated across the life of the school - SMSC - Children learn to respect and work with each other, exercise self-discipline and act in a safe and sensible manner. - Continued progression of all pupils during curriculum PE lessons. - Successful sports day held in individual bubbles. \| - School staff better equipped/more confident to teach PE in school - Monitoring use of schemes and whole school PE coverage - Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \| ### Key indicator 3: Increased confidence, knowledge and skills of all staff in teaching PE and sport \| Intent \| Implementation \| Funding allocated: \| Impact \| Sustainability and suggested next steps: \| \|------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------\|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|----------------------------------------------------------------------------------------------------------\| \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: - Use specialist coaches and providers for staff training to increase the knowledge and confidence of staff in delivering PE. - PE lead/sports coaches used to help upskill teachers through modelling lessons, team teaching, help with planning. - Classes rotated to ensure all teachers benefit from coaches expertise - Subject Leader to attend relevant sport conferences and network meetings to gain relevant information. \| Cost of SSP (see above) Cost of coaches (see above) \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: - Increased staff knowledge and understanding - All teachers able to more confidently plan, teach and assess National Curriculum PE - More confident and competent staff evidenced through feedback - Enhanced quality of provision - Increased pupil participation in competitive activities and festivals - Increased range of opportunities - The sharing of best practice between staff - A more inclusive curriculum which inspires and engages all pupils - Increased capacity and sustainability - Continued progression of all pupils during curriculum PE lessons. - Discussions inform us that pupils enjoy the variety of activities on offer during curriculum PE. \| - Review staff confidence and competence in delivering high quality PE and school sport - Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \| ### Key indicator 4: Broader experience of a range of sports and activities offered to all pupils \| Intent \| Implementation \| Funding allocated: \| Impact \| Sustainability and suggested next steps: \| \|------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------\|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|----------------------------------------------------------------------------------------------------------\| \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: Supported by: - Physical Education Active Partnerships - Youth Sport Trust - UK Coaching - Lottery Funded \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: - Increased staff knowledge and understanding - All teachers able to more confidently plan, teach and assess National Curriculum PE - More confident and competent staff evidenced through feedback - Enhanced quality of provision - Increased pupil participation in competitive activities and festivals - Increased range of opportunities - The sharing of best practice between staff - A more inclusive curriculum which inspires and engages all pupils - Increased capacity and sustainability - Continued progression of all pupils during curriculum PE lessons. - Discussions inform us that pupils enjoy the variety of activities on offer during curriculum PE. \| - Review staff confidence and competence in delivering high quality PE and school sport - Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \| \| what they need to learn and to consolidate through practice: \| \| changed?: \| \|----------------------------------------------------------\|-----------------\|-----------------\| \| - Provide opportunities to take part in a diverse range of school sport through extra-curricular clubs, competitions and events/taster days. - Providing additional links to Community Sports Clubs - Children participate in festivals/tournaments held through SSP School Games competitions - Provide opportunities for all children to challenge themselves through both intra and inter school sport where the children’s motivation, competence and confidence are at the centre of the competition and the focus is on the process rather than the outcome. \| - Provide opportunities for children with SEND, the least confident and the least active to attend exciting, varied and a new range of activities through the school sport partnership. - Review extra-curricular activities through pupil voice - To keep the noticeboard up-to-date range of clubs currently on offer (changeable throughout the year) - Children to attend the extra-curricular clubs. - School to enter children into sporting festivals/competitions. \| Cost of SSP (see above) Cost of coaches (see above) \| \| - Increased pupil participation - Enhanced quality of delivery of activities - Increased staffing capacity and sustainability - Enhanced, extended, inclusive extra-curricular provision - Improved behaviour and attendance and reduction of low level disruption - Increased pupil awareness of opportunities available in the community - improved physical, technical, tactical and mental understanding of a range of sports - Developed wider life skills which build on from the PE lessons, i.e. communication, teamwork, fair play and leadership Evidence includes - Curriculum map, Registers of participation, Extra-curricular data, student surveys \| \| - increase opportunities for KS1 children – in and out of school by requesting ks1 extra-curricular clubs from SSP - Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). - increase the amount of extra curricular clubs. \| \| Intent \| Implementation \| Funding allocated: \| Impact \| Sustainability and suggested next steps: \| \|-----------------------------------------------------------------------\|---------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------\|----------------------------------------------------------------------\|------------------------------------------\| \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \| Cost of SSP (see above) \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \| - Restart after school clubs based on upcoming competitions - Continue to attend Partnership meetings - Further widen opportunities for pupils to take part in competitive sporting events - continue to hire coaches for taster days to introduce new sports/skills \| \| - Provide opportunities for all children to challenge themselves through both intra and inter school sport where the children's motivation, competence and confidence are at the centre of the competition and the focus is on the process rather than the outcome. - Increased participation in School Games competitions. - Provide opportunities for children to learn new skills/sports/activities - Providing opportunities for children with SEND, the least active and the least confident to attend competitions and events. \| - Engage with partnership coordinators to attend competitions run by the School Sport Partnership. - Ensure pupils get opportunity to take part in local competitive leagues, tournaments and festivals. - Hire coaches to deliver 'taster' days - To develop links with external agencies in the community to ensure more pupils participate in community clubs outside of school \| Cost of coaches (see above) \| - Sports day set up and enjoyed by pupils. - Silver school games mark achieved again - children attended inter-school competitions this year (all done within school) - 3rd place overall in year 3/4 SSP Summer Olympics competition - Winner of Year 1/2 and 3/4 New Age Curling Event - Winner of Year 3/4 Cricket event \| Evidence includes - - School Games Mark - Competition/events calendar - Photos displayed at school \| Signed off by Head Teacher: Date: Subject Leader: A Brown Date: 16.7.21 \| Governor: \| \| \|----------\|---\| \| Date: \| \|	<urn:uuid:b402453d-7f08-40a0-9683-a76daace50fc>	CC-MAIN-2024-51	https://roperywalk.org.uk/wp-content/uploads/2021/09/Evidencing-the-impact-of-the-Primary-PE-and-sport-premium-2020.pdf	2024-12-10T05:52:05+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-51/subset=warc/part-00106-b392068a-8e35-4497-8fab-a691b1a71843.c000.gz.parquet	446,205,267	4,640	eng_Latn	eng_Latn	0.986946	eng_Latn	0.997106	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown" ]	false	docling	[ 209, 2673, 5180, 9973, 11000, 14158, 16618, 22570, 24801, 27649, 27700 ]	Evidencing the impact of the Primary PE and sport premium Website Reporting Tool Revised October 2020 Commissioned by Department for Education Created by Association for Physical Education Youth Sport Trust It is important that your grant is used effectively and based on school need. The [Education Inspection Framework](#) (Ofsted 2019 p64) makes clear there will be a focus on ‘whether leaders and those responsible for governors all understand their respective roles and perform these in a way that enhances the effectiveness of the school’. Under the [Quality of Education criteria](#) (p41) inspectors consider the extent to which schools can articulate their curriculum (INTENT), construct their curriculum (IMPLEMENTATION) and demonstrate the outcomes which result (IMPACT). To assist schools with common transferable language this template has been developed to utilise the same three headings which should make your plans easily transferable between working documents. Schools must use the funding to make additional and sustainable improvements to the quality of Physical Education, School Sport and Physical Activity (PESSPA) they offer. This means that you should use the Primary PE and sport premium to: - Develop or add to the PESSPA activities that your school already offer - Build capacity and capability within the school to ensure that improvements made now will benefit pupils joining the school in future years Please visit [gov.uk](#) for the revised DfE guidance including the 5 key indicators across which schools should demonstrate an improvement. This document will help you to review your provision and to report your spend. DfE encourages schools to use this template as an effective way of meeting the reporting requirements of the Primary PE and sport premium. We recommend you start by reflecting on the impact of current provision and reviewing the previous spend. Schools are required to [publish details](#) of how they spend this funding as well as on the impact it has on pupils’ PE and sport participation and attainment by the end of the summer term or by 31st July 2021 at the latest. In the case of any under-spend from 2019/20 which has been carried over this must be used and published by 31st March 2021. We recommend regularly updating the table and publishing it on your website throughout the year. This evidences your ongoing self-evaluation of how you are using the funding to secure maximum, sustainable impact. Final copy must be posted on your website by the end of the academic year and no later than the 31st July 2021. To see an example of how to complete the table please click [HERE](#). Support for review and reflection - considering the 5 key indicators from DfE, what development needs are a priority for your setting and your pupils now and why? Use the space below to reflect on previous spend and key achievements and areas for development. Please note: Although there has been considerable disruption in 2020 it is important that you publish details on your website of how you spend the funding - this is a legal requirement. N.B. In this section you should refer to any adjustments you might have made due to Covid-19 and how these will influence further improvement. \| Key achievements to date until July 2020: \| Areas for further improvement and baseline evidence of need: \| \|-----------------------------------------\|-------------------------------------------------------------\| \| • Being an active part of the School Sports Partnership \| • Provide opportunities for all children to access 30 active minutes outside of PE lessons. \| \| • Increased staff confidence in teaching PE \| • Introduce active play/lunch breaks (purchase equipment) \| \| • Earning Silver School Games Mark 2018/19 and 2019/20 \| • Continue to increase range of extra-curricular PE clubs on offer to all pupils (use of external coaches) \| \| • Entering more and more local competitions \| • Provide increased opportunities for all pupils to take part in competitive sport \| \| • Introducing a wider range of personal challenges events \| • The engagement of all pupils in regular physical activity - kick-starting healthy active lifestyles. \| \| • Attended 10 inter-school competitions 2018-2019. \| • Use Science and PSHE to reinforce the importance of a healthy and active lifestyle \| \| • Attended 8 inter-school competitions before lockdown (March 2020). Aimed to attend another 8 later in the year. \| • The profile of PE and sport being raised across the school \| \| • Entered A, B and C team into cricket festival. \| • Increase the number of children who can swim 25m using a range of strokes \| \| • Sports Crew established from year 2 to year 6. \| \| \| • Bronze level leadership award Silver School Games Mark \| \| \| • 3rd place overall in year 3/4 SSP Summer Olympics competition \| \| \| • Winner of Year 1/2 and 3/4 New Age Curling Event \| \| \| • Winner of Year 3/4 Cricket event \| \| Did you carry forward an underspend from 2019-20 academic year into the current academic year? YES/NO * Delete as applicable If YES you must complete the following section If NO, the following section is not applicable to you \| Intent \| Implementation \| Impact \| Sustainability and suggested next steps and how does this link with the key indicators on which you are focussing this academic year?: \| \|-----------------------------------------------------------------------\|---------------------------------------------------------------------------------\|----------------------------------------------------------------------\|--------------------------------------------------------------------------------\| \| Your school focus should be clear how you want to impact on your pupils. \| Make sure your actions to achieve are linked to your intentions: \| Carry over funding allocated: \| - Continue to hire coaches to offer taster days and extra-curricular clubs \| \| - Educate children in the value and benefits of a healthy active lifestyle. \| - Through PE lessons, sport, science and PSHE ensure our children understand the role of movement in the development of their own physical literacy, fitness and well-being. \| £540 – Skipping Days \| - Use equipment at breaktimes to increase activity levels \| \| - Develop a life-long love of sport and exercise \| - Build links with local community sports clubs through our SGO. \| £300 – Street Games \| - Use equipment in lessons to ensure all are participating. \| \| - Ensure our high quality PE and school sport offer develops competent and confident movers with the aim of inspiring lifelong participation in physical activity. \| - Hire coaches to come into school to offer ‘taster’ days. \| £555 – Hoopstarz \| \| \| - Raise awareness of the best places to take part in sport and physical activity outside of school. \| - buy new equipment so that children can have access to high-quality PE where equipment rarely needs to be shared, which will lead to more time being active and practising the skills during lessons. \| £145 – basketballs \| \| \| - Use PE and sport to enable the development of life skills that are transferred to other curriculum areas, wider school and beyond. \| \| £100 – basketball hoop \| \| \| - Use PE and sport to develop the whole person including thinking, social and personal skills \| \| £120 – dodgeballs \| \| \| - Use PE teaching to aid fine and gross motor skill development \| \| £160 – footballs \| \| \| - Ensure PE and school sport is visible in the school (assemblies, notice boards) \| \| £1275 – goals \| \| \| - celebrate sporting success \| \| £115 – boccia set \| \| Total Carry Over Funding: £6685 Evidence of impact: How can you measure the impact on your pupils; you may have focussed on the difference that PE, SS & PA have made to pupils re-engagement with school. What has changed?: - Children are more active at playtimes using skills learned during taster days. - Positive attitudes to health and well-being - Pupil concentration, commitment, self-esteem and behaviour enhanced - PE physical activity and school sport have a high profile and are celebrated across the life of the school - Higher quality PE lessons due to improvement in equipment. \| Meeting national curriculum requirements for swimming and water safety. \| ??? \| \| --- \| --- \| \| N.B Complete this section to your best ability. For example you might have practised safe self-rescue techniques on dry land. \| \| \| What percentage of your current Year 6 cohort swim competently, confidently and proficiently over a distance of at least 25 metres? N.B. Even though your pupils may swim in another year please report on their attainment on leaving primary school at the end of the summer term 2021. \| ???% \| \| What percentage of your current Year 6 cohort use a range of strokes effectively [for example, front crawl, backstroke and breaststroke]? \| ???% \| \| What percentage of your current Year 6 cohort perform safe self-rescue in different water-based situations? \| ???% \| \| Schools can choose to use the Primary PE and sport premium to provide additional provision for swimming but this must be for activity over and above the national curriculum requirements. Have you used it in this way? \| Yes/No \| ## Action Plan and Budget Tracking Capture your intended annual spend against the 5 key indicators. Clarify the success criteria and evidence of impact that you intend to measure to evaluate for pupils today and for the future. \| Academic Year: 2020/21 \| Total fund allocated: £18,130 + £6,685 carried over = £24,815 \| Date Updated: 16.7.21 \| \|------------------------\|---------------------------------------------------------------\|----------------------\| \| Key indicator 1: The engagement of all pupils in regular physical activity – Chief Medical Officers guidelines recommend that primary school pupils undertake at least 30 minutes of physical activity a day in school \| Percentage of total allocation: % \| \| Intent \| Implementation \| Funding allocated: \| Impact \| \|--------\|----------------\|---------------------\|--------\| \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \| \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \| Sustainability and suggested next steps: \| \| - Educate children in the value and benefits of a healthy active lifestyle. - Ensure our high quality PE and school sport offer develops competent and confident movers with the aim of inspiring lifelong participation in physical activity. - Raise awareness of the best places to take part in sport and physical activity outside of school. - Provide opportunities for daily physical activity (daily mile) \| - Through PE lessons, sport, science and PSHE ensure our children understand the role of movement in the development of their own physical literacy, fitness and well-being. - Build links with local community sports clubs through our SGO. - Encourage use of initiatives such as the ‘Daily Mile’ in ALL year groups at least 4 times a week \| Cost of SSP - £7100 Badges, whistles and lanyards for Sports Crew - £50 External coaches – see above \| - Positive attitudes to health and well-being - Pupil concentration, commitment, self-esteem and behaviour enhanced for sports ambassadors - Positive behaviour and a sense of fair play - Children taking part in daily additional activities such as ‘The Daily Mile’ regularly - children across the school more active on a daily basis and enjoy being active - Higher quality PE lessons with more children active due to improvement in quality and amount of equipment. \| - Monitor physical activity levels to ensure we meet the government guidelines of at least 30 minutes a day for each child in school time. - children to develop lifelong interest and participation in sporting activity. - children becoming more active at playtimes \| Key indicator 2: The profile of PESSPA being raised across the school as a tool for whole school improvement \| Intent \| Implementation \| Impact \| \|--------\|----------------\|--------\| \| \| \| \| Created by: [PE Association](#), [Active Partnerships](#), [Youth Sport Trust](#) Supported by: [UK Sport](#), [LOTTERY FUNDED](#), [UK COACHING](#) \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \| Funding allocated: \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \| Sustainability and suggested next steps: \| \|---\|---\|---\|---\|---\| \| - Use PE and sport to enable the development of life skills that are transferred to other curriculum areas, wider school and beyond. - Use PE and sport to develop the whole person including thinking, social and personal skills - Use PE teaching to aid fine and gross motor skill development - Ensure PE and school sport is visible in the school (assemblies, notice boards) - celebrate sporting success - High quality PE lessons delivered during curriculum time. - School staff better equipped/more confident to teach PE in school due to support from SSP - Monitoring use of schemes and whole school PE coverage \| - As a school we are part of the Easington School Sport Partnership which provides the following opportunities: - Additional competitions outside of the School Games programme, comprehensive CPD programme, support from G. Adey - Continue to develop and use whole school plans and assessment. - Develop a team of sports leaders - Help run and record the events for Sports Day. - Runner of the week certificates - whistles, lanyards and badges for Sports Crew \| Certificates for Runner of the Week and stickers for Sports Day - £100 Badges, whistles and lanyards for Sports Crew(see above) Cost of SSP (see above) \| - Personal development (physical skills, thinking skills, social skills and personal skills). - Attainment and achievement, behaviour and attendance. - PE physical activity and school sport have a high profile and are celebrated across the life of the school - SMSC - Children learn to respect and work with each other, exercise self-discipline and act in a safe and sensible manner. - Continued progression of all pupils during curriculum PE lessons. - Successful sports day held in individual bubbles. \| - School staff better equipped/more confident to teach PE in school - Monitoring use of schemes and whole school PE coverage - Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \| ### Key indicator 3: Increased confidence, knowledge and skills of all staff in teaching PE and sport \| Intent \| Implementation \| Funding allocated: \| Impact \| Sustainability and suggested next steps: \| \|------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------\|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|----------------------------------------------------------------------------------------------------------\| \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: - Use specialist coaches and providers for staff training to increase the knowledge and confidence of staff in delivering PE. - PE lead/sports coaches used to help upskill teachers through modelling lessons, team teaching, help with planning. - Classes rotated to ensure all teachers benefit from coaches expertise - Subject Leader to attend relevant sport conferences and network meetings to gain relevant information. \| Cost of SSP (see above) Cost of coaches (see above) \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: - Increased staff knowledge and understanding - All teachers able to more confidently plan, teach and assess National Curriculum PE - More confident and competent staff evidenced through feedback - Enhanced quality of provision - Increased pupil participation in competitive activities and festivals - Increased range of opportunities - The sharing of best practice between staff - A more inclusive curriculum which inspires and engages all pupils - Increased capacity and sustainability - Continued progression of all pupils during curriculum PE lessons. - Discussions inform us that pupils enjoy the variety of activities on offer during curriculum PE. \| - Review staff confidence and competence in delivering high quality PE and school sport - Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \| ### Key indicator 4: Broader experience of a range of sports and activities offered to all pupils \| Intent \| Implementation \| Funding	allocated: \| Impact \| Sustainability and suggested next steps: \| \|------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------\|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|----------------------------------------------------------------------------------------------------------\| \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: Supported by: - Physical Education Active Partnerships - Youth Sport Trust - UK Coaching - Lottery Funded \| Evidence of impact: what do pupils now know and what can they now do?	What has changed?: - Increased staff knowledge and understanding - All teachers able to more confidently plan, teach and assess National Curriculum PE - More confident and competent staff evidenced through feedback - Enhanced quality of provision - Increased pupil participation in competitive activities and festivals - Increased range of opportunities - The sharing of best practice between staff - A more inclusive curriculum which inspires and engages all pupils - Increased capacity and sustainability - Continued progression of all pupils during curriculum PE lessons. - Discussions inform us that pupils enjoy the variety of activities on offer during curriculum PE. \| - Review staff confidence and competence in delivering high quality PE and school sport - Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \| \| what they need to learn and to consolidate through practice: \| \| changed?: \| \|----------------------------------------------------------\|-----------------\|-----------------\| \| - Provide opportunities to take part in a diverse range of school sport through extra-curricular clubs, competitions and events/taster days. - Providing additional links to Community Sports Clubs - Children participate in festivals/tournaments held through SSP School Games competitions - Provide opportunities for all children to challenge themselves through both intra and inter school sport where the children’s motivation, competence and confidence are at the centre of the competition and the focus is on the process rather than the outcome. \| - Provide opportunities for children with SEND, the least confident and the least active to attend exciting, varied and a new range of activities through the school sport partnership. - Review extra-curricular activities through pupil voice - To keep the noticeboard up-to-date range of clubs currently on offer (changeable throughout the year) - Children to attend the extra-curricular clubs. - School to enter children into sporting festivals/competitions. \| Cost of SSP (see above) Cost of coaches (see above) \| \| - Increased pupil participation - Enhanced quality of delivery of activities - Increased staffing capacity and sustainability - Enhanced, extended, inclusive extra-curricular provision - Improved behaviour and attendance and reduction of low level disruption - Increased pupil awareness of opportunities available in the community - improved physical, technical, tactical and mental understanding of a range of sports - Developed wider life skills which build on from the PE lessons, i.e. communication, teamwork, fair play and leadership Evidence includes - Curriculum map, Registers of participation, Extra-curricular data, student surveys \| \| - increase opportunities for KS1 children – in and out of school by requesting ks1 extra-curricular clubs from SSP - Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). - increase the amount of extra curricular clubs. \| \| Intent \| Implementation \| Funding allocated: \| Impact \| Sustainability and suggested next steps: \| \|-----------------------------------------------------------------------\|---------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------\|----------------------------------------------------------------------\|------------------------------------------\| \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \| Cost of SSP (see above) \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \| - Restart after school clubs based on upcoming competitions - Continue to attend Partnership meetings - Further widen opportunities for pupils to take part in competitive sporting events - continue to hire coaches for taster days to introduce new sports/skills \| \| - Provide opportunities for all children to challenge themselves through both intra and inter school sport where the children's motivation, competence and confidence are at the centre of the competition and the focus is on the process rather than the outcome. - Increased participation in School Games competitions. - Provide opportunities for children to learn new skills/sports/activities - Providing opportunities for children with SEND, the least active and the least confident to attend competitions and events. \| - Engage with partnership coordinators to attend competitions run by the School Sport Partnership. - Ensure pupils get opportunity to take part in local competitive leagues, tournaments and festivals. - Hire coaches to deliver 'taster' days - To develop links with external agencies in the community to ensure more pupils participate in community clubs outside of school \| Cost of coaches (see above) \| - Sports day set up and enjoyed by pupils. - Silver school games mark achieved again - children attended inter-school competitions this year (all done within school) - 3rd place overall in year 3/4 SSP Summer Olympics competition - Winner of Year 1/2 and 3/4 New Age Curling Event - Winner of Year 3/4 Cricket event \| Evidence includes - - School Games Mark - Competition/events calendar - Photos displayed at school \| Signed off by Head Teacher: Date: Subject Leader: A Brown Date: 16.7.21 \| Governor: \| \| \|----------\|---\| \| Date: \| \|	20,172	end_of_word	Funding	remove_one_sentence	<url> https://roperywalk.org.uk/wp-content/uploads/2021/09/Evidencing-the-impact-of-the-Primary-PE-and-sport-premium-2020.pdf </url> <text> Evidencing the impact of the Primary PE and sport premium Website Reporting Tool Revised October 2020 Commissioned by Department for Education Created by Association for Physical Education Youth Sport Trust It is important that your grant is used effectively and based on school need. The [Education Inspection Framework](#) (Ofsted 2019 p64) makes clear there will be a focus on ‘whether leaders and those responsible for governors all understand their respective roles and perform these in a way that enhances the effectiveness of the school’. Under the [Quality of Education criteria](#) (p41) inspectors consider the extent to which schools can articulate their curriculum (INTENT), construct their curriculum (IMPLEMENTATION) and demonstrate the outcomes which result (IMPACT). To assist schools with common transferable language this template has been developed to utilise the same three headings which should make your plans easily transferable between working documents. Schools must use the funding to make additional and sustainable improvements to the quality of Physical Education, School Sport and Physical Activity (PESSPA) they offer. This means that you should use the Primary PE and sport premium to: - Develop or add to the PESSPA activities that your school already offer - Build capacity and capability within the school to ensure that improvements made now will benefit pupils joining the school in future years Please visit [gov.uk](#) for the revised DfE guidance including the 5 key indicators across which schools should demonstrate an improvement. This document will help you to review your provision and to report your spend. DfE encourages schools to use this template as an effective way of meeting the reporting requirements of the Primary PE and sport premium. We recommend you start by reflecting on the impact of current provision and reviewing the previous spend. Schools are required to [publish details](#) of how they spend this funding as well as on the impact it has on pupils’ PE and sport participation and attainment by the end of the summer term or by 31st July 2021 at the latest. In the case of any under-spend from 2019/20 which has been carried over this must be used and published by 31st March 2021. We recommend regularly updating the table and publishing it on your website throughout the year. This evidences your ongoing self-evaluation of how you are using the funding to secure maximum, sustainable impact. Final copy must be posted on your website by the end of the academic year and no later than the 31st July 2021. To see an example of how to complete the table please click [HERE](#). Support for review and reflection - considering the 5 key indicators from DfE, what development needs are a priority for your setting and your pupils now and why? Use the space below to reflect on previous spend and key achievements and areas for development. Please note: Although there has been considerable disruption in 2020 it is important that you publish details on your website of how you spend the funding - this is a legal requirement. N.B. In this section you should refer to any adjustments you might have made due to Covid-19 and how these will influence further improvement. \| Key achievements to date until July 2020: \| Areas for further improvement and baseline evidence of need: \| \|-----------------------------------------\|-------------------------------------------------------------\| \| • Being an active part of the School Sports Partnership \| • Provide opportunities for all children to access 30 active minutes outside of PE lessons. \| \| • Increased staff confidence in teaching PE \| • Introduce active play/lunch breaks (purchase equipment) \| \| • Earning Silver School Games Mark 2018/19 and 2019/20 \| • Continue to increase range of extra-curricular PE clubs on offer to all pupils (use of external coaches) \| \| • Entering more and more local competitions \| • Provide increased opportunities for all pupils to take part in competitive sport \| \| • Introducing a wider range of personal challenges events \| • The engagement of all pupils in regular physical activity - kick-starting healthy active lifestyles. \| \| • Attended 10 inter-school competitions 2018-2019. \| • Use Science and PSHE to reinforce the importance of a healthy and active lifestyle \| \| • Attended 8 inter-school competitions before lockdown (March 2020). Aimed to attend another 8 later in the year. \| • The profile of PE and sport being raised across the school \| \| • Entered A, B and C team into cricket festival. \| • Increase the number of children who can swim 25m using a range of strokes \| \| • Sports Crew established from year 2 to year 6. \| \| \| • Bronze level leadership award Silver School Games Mark \| \| \| • 3rd place overall in year 3/4 SSP Summer Olympics competition \| \| \| • Winner of Year 1/2 and 3/4 New Age Curling Event \| \| \| • Winner of Year 3/4 Cricket event \| \| Did you carry forward an underspend from 2019-20 academic year into the current academic year? YES/NO * Delete as applicable If YES you must complete the following section If NO, the following section is not applicable to you \| Intent \| Implementation \| Impact \| Sustainability and suggested next steps and how does this link with the key indicators on which you are focussing this academic year?: \| \|-----------------------------------------------------------------------\|---------------------------------------------------------------------------------\|----------------------------------------------------------------------\|--------------------------------------------------------------------------------\| \| Your school focus should be clear how you want to impact on your pupils. \| Make sure your actions to achieve are linked to your intentions: \| Carry over funding allocated: \| - Continue to hire coaches to offer taster days and extra-curricular clubs \| \| - Educate children in the value and benefits of a healthy active lifestyle. \| - Through PE lessons, sport, science and PSHE ensure our children understand the role of movement in the development of their own physical literacy, fitness and well-being. \| £540 – Skipping Days \| - Use equipment at breaktimes to increase activity levels \| \| - Develop a life-long love of sport and exercise \| - Build links with local community sports clubs through our SGO. \| £300 – Street Games \| - Use equipment in lessons to ensure all are participating. \| \| - Ensure our high quality PE and school sport offer develops competent and confident movers with the aim of inspiring lifelong participation in physical activity. \| - Hire coaches to come into school to offer ‘taster’ days. \| £555 – Hoopstarz \| \| \| - Raise awareness of the best places to take part in sport and physical activity outside of school. \| - buy new equipment so that children can have access to high-quality PE where equipment rarely needs to be shared, which will lead to more time being active and practising the skills during lessons. \| £145 – basketballs \| \| \| - Use PE and sport to enable the development of life skills that are transferred to other curriculum areas, wider school and beyond. \| \| £100 – basketball hoop \| \| \| - Use PE and sport to develop the whole person including thinking, social and personal skills \| \| £120 – dodgeballs \| \| \| - Use PE teaching to aid fine and gross motor skill development \| \| £160 – footballs \| \| \| - Ensure PE and school sport is visible in the school (assemblies, notice boards) \| \| £1275 – goals \| \| \| - celebrate sporting success \| \| £115 – boccia set \| \| Total Carry Over Funding: £6685 Evidence of impact: How can you measure the impact on your pupils; you may have focussed on the difference that PE, SS & PA have made to pupils re-engagement with school. What has changed?: - Children are more active at playtimes using skills learned during taster days. - Positive attitudes to health and well-being - Pupil concentration, commitment, self-esteem and behaviour enhanced - PE physical activity and school sport have a high profile and are celebrated across the life of the school - Higher quality PE lessons due to improvement in equipment. \| Meeting national curriculum requirements for swimming and water safety. \| ??? \| \| --- \| --- \| \| N.B Complete this section to your best ability. For example you might have practised safe self-rescue techniques on dry land. \| \| \| What percentage of your current Year 6 cohort swim competently, confidently and proficiently over a distance of at least 25 metres? N.B. Even though your pupils may swim in another year please report on their attainment on leaving primary school at the end of the summer term 2021. \| ???% \| \| What percentage of your current Year 6 cohort use a range of strokes effectively [for example, front crawl, backstroke and breaststroke]? \| ???% \| \| What percentage of your current Year 6 cohort perform safe self-rescue in different water-based situations? \| ???% \| \| Schools can choose to use the Primary PE and sport premium to provide additional provision for swimming but this must be for activity over and above the national curriculum requirements. Have you used it in this way? \| Yes/No \| ## Action Plan and Budget Tracking Capture your intended annual spend against the 5 key indicators. Clarify the success criteria and evidence of impact that you intend to measure to evaluate for pupils today and for the future. \| Academic Year: 2020/21 \| Total fund allocated: £18,130 + £6,685 carried over = £24,815 \| Date Updated: 16.7.21 \| \|------------------------\|---------------------------------------------------------------\|----------------------\| \| Key indicator 1: The engagement of all pupils in regular physical activity – Chief Medical Officers guidelines recommend that primary school pupils undertake at least 30 minutes of physical activity a day in school \| Percentage of total allocation: % \| \| Intent \| Implementation \| Funding allocated: \| Impact \| \|--------\|----------------\|---------------------\|--------\| \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \| \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \| Sustainability and suggested next steps: \| \| - Educate children in the value and benefits of a healthy active lifestyle. - Ensure our high quality PE and school sport offer develops competent and confident movers with the aim of inspiring lifelong participation in physical activity. - Raise awareness of the best places to take part in sport and physical activity outside of school. - Provide opportunities for daily physical activity (daily mile) \| - Through PE lessons, sport, science and PSHE ensure our children understand the role of movement in the development of their own physical literacy, fitness and well-being. - Build links with local community sports clubs through our SGO. - Encourage use of initiatives such as the ‘Daily Mile’ in ALL year groups at least 4 times a week \| Cost of SSP - £7100 Badges, whistles and lanyards for Sports Crew - £50 External coaches – see above \| - Positive attitudes to health and well-being - Pupil concentration, commitment, self-esteem and behaviour enhanced for sports ambassadors - Positive behaviour and a sense of fair play - Children taking part in daily additional activities such as ‘The Daily Mile’ regularly - children across the school more active on a daily basis and enjoy being active - Higher quality PE lessons with more children active due to improvement in quality and amount of equipment. \| - Monitor physical activity levels to ensure we meet the government guidelines of at least 30 minutes a day for each child in school time. - children to develop lifelong interest and participation in sporting activity. - children becoming more active at playtimes \| Key indicator 2: The profile of PESSPA being raised across the school as a tool for whole school improvement \| Intent \| Implementation \| Impact \| \|--------\|----------------\|--------\| \| \| \| \| Created by: [PE Association](#), [Active Partnerships](#), [Youth Sport Trust](#) Supported by: [UK Sport](#), [LOTTERY FUNDED](#), [UK COACHING](#) \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \| Funding allocated: \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \| Sustainability and suggested next steps: \| \|---\|---\|---\|---\|---\| \| - Use PE and sport to enable the development of life skills that are transferred to other curriculum areas, wider school and beyond. - Use PE and sport to develop the whole person including thinking, social and personal skills - Use PE teaching to aid fine and gross motor skill development - Ensure PE and school sport is visible in the school (assemblies, notice boards) - celebrate sporting success - High quality PE lessons delivered during curriculum time. - School staff better equipped/more confident to teach PE in school due to support from SSP - Monitoring use of schemes and whole school PE coverage \| - As a school we are part of the Easington School Sport Partnership which provides the following opportunities: - Additional competitions outside of the School Games programme, comprehensive CPD programme, support from G. Adey - Continue to develop and use whole school plans and assessment. - Develop a team of sports leaders - Help run and record the events for Sports Day. - Runner of the week certificates - whistles, lanyards and badges for Sports Crew \| Certificates for Runner of the Week and stickers for Sports Day - £100 Badges, whistles and lanyards for Sports Crew(see above) Cost of SSP (see above) \| - Personal development (physical skills, thinking skills, social skills and personal skills). - Attainment and achievement, behaviour and attendance. - PE physical activity and school sport have a high profile and are celebrated across the life of the school - SMSC - Children learn to respect and work with each other, exercise self-discipline and act in a safe and sensible manner. - Continued progression of all pupils during curriculum PE lessons. - Successful sports day held in individual bubbles. \| - School staff better equipped/more confident to teach PE in school - Monitoring use of schemes and whole school PE coverage - Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \| ### Key indicator 3: Increased confidence, knowledge and skills of all staff in teaching PE and sport \| Intent \| Implementation \| Funding allocated: \| Impact \| Sustainability and suggested next steps: \| \|------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------\|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|----------------------------------------------------------------------------------------------------------\| \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: - Use specialist coaches and providers for staff training to increase the knowledge and confidence of staff in delivering PE. - PE lead/sports coaches used to help upskill teachers through modelling lessons, team teaching, help with planning. - Classes rotated to ensure all teachers benefit from coaches expertise - Subject Leader to attend relevant sport conferences and network meetings to gain relevant information. \| Cost of SSP (see above) Cost of coaches (see above) \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: - Increased staff knowledge and understanding - All teachers able to more confidently plan, teach and assess National Curriculum PE - More confident and competent staff evidenced through feedback - Enhanced quality of provision - Increased pupil participation in competitive activities and festivals - Increased range of opportunities - The sharing of best practice between staff - A more inclusive curriculum which inspires and engages all pupils - Increased capacity and sustainability - Continued progression of all pupils during curriculum PE lessons. - Discussions inform us that pupils enjoy the variety of activities on offer during curriculum PE. \| - Review staff confidence and competence in delivering high quality PE and school sport - Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \| ### Key indicator 4: Broader experience of a range of sports and activities offered to all pupils \| Intent \| Implementation \| Funding<cursor_is_here> What has changed?: - Increased staff knowledge and understanding - All teachers able to more confidently plan, teach and assess National Curriculum PE - More confident and competent staff evidenced through feedback - Enhanced quality of provision - Increased pupil participation in competitive activities and festivals - Increased range of opportunities - The sharing of best practice between staff - A more inclusive curriculum which inspires and engages all pupils - Increased capacity and sustainability - Continued progression of all pupils during curriculum PE lessons. - Discussions inform us that pupils enjoy the variety of activities on offer during curriculum PE. \| - Review staff confidence and competence in delivering high quality PE and school sport - Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \| \| what they need to learn and to consolidate through practice: \| \| changed?: \| \|----------------------------------------------------------\|-----------------\|-----------------\| \| - Provide opportunities to take part in a diverse range of school sport through extra-curricular clubs, competitions and events/taster days. - Providing additional links to Community Sports Clubs - Children participate in festivals/tournaments held through SSP School Games competitions - Provide opportunities for all children to challenge themselves through both intra and inter school sport where the children’s motivation, competence and confidence are at the centre of the competition and the focus is on the process rather than the outcome. \| - Provide opportunities for children with SEND, the least confident and the least active to attend exciting, varied and a new range of activities through the school sport partnership. - Review extra-curricular activities through pupil voice - To keep the noticeboard up-to-date range of clubs currently on offer (changeable throughout the year) - Children to attend the extra-curricular clubs. - School to enter children into sporting festivals/competitions. \| Cost of SSP (see above) Cost of coaches (see above) \| \| - Increased pupil participation - Enhanced quality of delivery of activities - Increased staffing capacity and sustainability - Enhanced, extended, inclusive extra-curricular provision - Improved behaviour and attendance and reduction of low level disruption - Increased pupil awareness of opportunities available in the community - improved physical, technical, tactical and mental understanding of a range of sports - Developed wider life skills which build on from the PE lessons, i.e. communication, teamwork, fair play and leadership Evidence includes - Curriculum map, Registers of participation, Extra-curricular data, student surveys \| \| - increase opportunities for KS1 children – in and out of school by requesting ks1 extra-curricular clubs from SSP - Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). - increase the amount of extra curricular clubs. \| \| Intent \| Implementation \| Funding allocated: \| Impact \| Sustainability and suggested next steps: \| \|-----------------------------------------------------------------------\|---------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------\|----------------------------------------------------------------------\|------------------------------------------\| \| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \| Cost of SSP (see above) \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \| - Restart after school clubs based on upcoming competitions - Continue to attend Partnership meetings - Further widen opportunities for pupils to take part in competitive sporting events - continue to hire coaches for taster days to introduce new sports/skills \| \| - Provide opportunities for all children to challenge themselves through both intra and inter school sport where the children's motivation, competence and confidence are at the centre of the competition and the focus is on the process rather than the outcome. - Increased participation in School Games competitions. - Provide opportunities for children to learn new skills/sports/activities - Providing opportunities for children with SEND, the least active and the least confident to attend competitions and events. \| - Engage with partnership coordinators to attend competitions run by the School Sport Partnership. - Ensure pupils get opportunity to take part in local competitive leagues, tournaments and festivals. - Hire coaches to deliver 'taster' days - To develop links with external agencies in the community to ensure more pupils participate in community clubs outside of school \| Cost of coaches (see above) \| - Sports day set up and enjoyed by pupils. - Silver school games mark achieved again - children attended inter-school competitions this year (all done within school) - 3rd place overall in year 3/4 SSP Summer Olympics competition - Winner of Year 1/2 and 3/4 New Age Curling Event - Winner of Year 3/4 Cricket event \| Evidence includes - - School Games Mark - Competition/events calendar - Photos displayed at school \| Signed off by Head Teacher: Date: Subject Leader: A Brown Date: 16.7.21 \| Governor: \| \| \|----------\|---\| \| Date: \| \| </text>	[ { "content": "<url>\nhttps://roperywalk.org.uk/wp-content/uploads/2021/09/Evidencing-the-impact-of-the-Primary-PE-and-sport-premium-2020.pdf\n</url>\n<text>\nEvidencing the impact of the Primary PE and sport premium\n\nWebsite Reporting Tool\nRevised October 2020\n\nCommissioned by\nDepartment for Education\n\nCreated by\nAssociation for Physical Education\nYouth Sport Trust\n\nIt is important that your grant is used effectively and based on school need. The [Education Inspection Framework](#) (Ofsted 2019 p64) makes clear there will be a focus on ‘whether leaders and those responsible for governors all understand their respective roles and perform these in a way that enhances the effectiveness of the school’.\n\nUnder the [Quality of Education criteria](#) (p41) inspectors consider the extent to which schools can articulate their curriculum (INTENT), construct their curriculum (IMPLEMENTATION) and demonstrate the outcomes which result (IMPACT).\n\nTo assist schools with common transferable language this template has been developed to utilise the same three headings which should make your plans easily transferable between working documents.\n\nSchools must use the funding to make additional and sustainable improvements to the quality of Physical Education, School Sport and Physical Activity (PESSPA) they offer. This means that you should use the Primary PE and sport premium to:\n\n- Develop or add to the PESSPA activities that your school already offer\n- Build capacity and capability within the school to ensure that improvements made now will benefit pupils joining the school in future years\n\nPlease visit [gov.uk](#) for the revised DfE guidance including the 5 key indicators across which schools should demonstrate an improvement. This document will help you to review your provision and to report your spend. DfE encourages schools to use this template as an effective way of meeting the reporting requirements of the Primary PE and sport premium.\n\nWe recommend you start by reflecting on the impact of current provision and reviewing the previous spend.\n\nSchools are required to [publish details](#) of how they spend this funding as well as on the impact it has on pupils’ PE and sport participation and attainment by the end of the summer term or by 31st July 2021 at the latest.\n\nIn the case of any under-spend from 2019/20 which has been carried over this must be used and published by 31st March 2021.\n\nWe recommend regularly updating the table and publishing it on your website throughout the year. This evidences your ongoing self-evaluation of how you are using the funding to secure maximum, sustainable impact. Final copy must be posted on your website by the end of the academic year and no later than the 31st July 2021. To see an example of how to complete the table please click [HERE](#).\n\nSupport for review and reflection - considering the 5 key indicators from DfE, what development needs are a priority for your setting and your pupils now and why? Use the space below to reflect on previous spend and key achievements and areas for development.\n\nPlease note: Although there has been considerable disruption in 2020 it is important that you publish details on your website of how you spend the funding - this is a legal requirement.\n\nN.B. In this section you should refer to any adjustments you might have made due to Covid-19 and how these will influence further improvement.\n\n\| Key achievements to date until July 2020: \| Areas for further improvement and baseline evidence of need: \|\n\|-----------------------------------------\|-------------------------------------------------------------\|\n\| • Being an active part of the School Sports Partnership \| • Provide opportunities for all children to access 30 active minutes outside of PE lessons. \|\n\| • Increased staff confidence in teaching PE \| • Introduce active play/lunch breaks (purchase equipment) \|\n\| • Earning Silver School Games Mark 2018/19 and 2019/20 \| • Continue to increase range of extra-curricular PE clubs on offer to all pupils (use of external coaches) \|\n\| • Entering more and more local competitions \| • Provide increased opportunities for all pupils to take part in competitive sport \|\n\| • Introducing a wider range of personal challenges events \| • The engagement of all pupils in regular physical activity - kick-starting healthy active lifestyles. \|\n\| • Attended 10 inter-school competitions 2018-2019. \| • Use Science and PSHE to reinforce the importance of a healthy and active lifestyle \|\n\| • Attended 8 inter-school competitions before lockdown (March 2020). Aimed to attend another 8 later in the year. \| • The profile of PE and sport being raised across the school \|\n\| • Entered A, B and C team into cricket festival. \| • Increase the number of children who can swim 25m using a range of strokes \|\n\| • Sports Crew established from year 2 to year 6. \| \|\n\| • Bronze level leadership award Silver School Games Mark \| \|\n\| • 3rd place overall in year 3/4 SSP Summer Olympics competition \| \|\n\| • Winner of Year 1/2 and 3/4 New Age Curling Event \| \|\n\| • Winner of Year 3/4 Cricket event \| \|\n\nDid you carry forward an underspend from 2019-20 academic year into the current academic year?\n\nYES/NO * Delete as applicable\n\nIf YES you must complete the following section\nIf NO, the following section is not applicable to you\n\n\| Intent \| Implementation \| Impact \| Sustainability and suggested next steps and how does this link with the key indicators on which you are focussing this academic year?: \|\n\|-----------------------------------------------------------------------\|---------------------------------------------------------------------------------\|----------------------------------------------------------------------\|--------------------------------------------------------------------------------\|\n\| Your school focus should be clear how you want to impact on your pupils. \| Make sure your actions to achieve are linked to your intentions: \| Carry over funding allocated: \| - Continue to hire coaches to offer taster days and extra-curricular clubs \|\n\| - Educate children in the value and benefits of a healthy active lifestyle. \| - Through PE lessons, sport, science and PSHE ensure our children understand the role of movement in the development of their own physical literacy, fitness and well-being. \| £540 – Skipping Days \| - Use equipment at breaktimes to increase activity levels \|\n\| - Develop a life-long love of sport and exercise \| - Build links with local community sports clubs through our SGO. \| £300 – Street Games \| - Use equipment in lessons to ensure all are participating. \|\n\| - Ensure our high quality PE and school sport offer develops competent and confident movers with the aim of inspiring lifelong participation in physical activity. \| - Hire coaches to come into school to offer ‘taster’ days. \| £555 – Hoopstarz \| \|\n\| - Raise awareness of the best places to take part in sport and physical activity outside of school. \| - buy new equipment so that children can have access to high-quality PE where equipment rarely needs to be shared, which will lead to more time being active and practising the skills during lessons. \| £145 – basketballs \| \|\n\| - Use PE and sport to enable the development of life skills that are transferred to other curriculum areas, wider school and beyond. \| \| £100 – basketball hoop \| \|\n\| - Use PE and sport to develop the whole person including thinking, social and personal skills \| \| £120 – dodgeballs \| \|\n\| - Use PE teaching to aid fine and gross motor skill development \| \| £160 – footballs \| \|\n\| - Ensure PE and school sport is visible in the school (assemblies, notice boards) \| \| £1275 – goals \| \|\n\| - celebrate sporting success \| \| £115 – boccia set \| \|\n\nTotal Carry Over Funding: £6685\n\nEvidence of impact: How can you measure the impact on your pupils; you may have focussed on the difference that PE, SS & PA have made to pupils re-engagement with school. What has changed?:\n\n- Children are more active at playtimes using skills learned during taster days.\n- Positive attitudes to health and well-being\n- Pupil concentration, commitment, self-esteem and behaviour enhanced\n- PE physical activity and school sport have a high profile and are celebrated across the life of the school\n- Higher quality PE lessons due to improvement in equipment.\n\n\| Meeting national curriculum requirements for swimming and water safety. \| ??? \|\n\| --- \| --- \|\n\| N.B Complete this section to your best ability. For example you might have practised safe self-rescue techniques on dry land. \| \|\n\| What percentage of your current Year 6 cohort swim competently, confidently and proficiently over a distance of at least 25 metres? \nN.B. Even though your pupils may swim in another year please report on their attainment on leaving primary school at the end of the summer term 2021. \| ???% \|\n\| What percentage of your current Year 6 cohort use a range of strokes effectively [for example, front crawl, backstroke and breaststroke]? \| ???% \|\n\| What percentage of your current Year 6 cohort perform safe self-rescue in different water-based situations? \| ???% \|\n\| Schools can choose to use the Primary PE and sport premium to provide additional provision for swimming but this must be for activity over and above the national curriculum requirements. Have you used it in this way? \| Yes/No \|\n\n## Action Plan and Budget Tracking\n\nCapture your intended annual spend against the 5 key indicators. Clarify the success criteria and evidence of impact that you intend to measure to evaluate for pupils today and for the future.\n\n\| Academic Year: 2020/21 \| Total fund allocated: £18,130 + £6,685 carried over = £24,815 \| Date Updated: 16.7.21 \|\n\|------------------------\|---------------------------------------------------------------\|----------------------\|\n\| Key indicator 1: The engagement of all pupils in regular physical activity – Chief Medical Officers guidelines recommend that primary school pupils undertake at least 30 minutes of physical activity a day in school \| Percentage of total allocation: % \|\n\n\| Intent \| Implementation \| Funding allocated: \| Impact \|\n\|--------\|----------------\|---------------------\|--------\|\n\| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \| \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \| Sustainability and suggested next steps: \|\n\| - Educate children in the value and benefits of a healthy active lifestyle. \n- Ensure our high quality PE and school sport offer develops competent and confident movers with the aim of inspiring lifelong participation in physical activity. \n- Raise awareness of the best places to take part in sport and physical activity outside of school. \n- Provide opportunities for daily physical activity (daily mile) \| - Through PE lessons, sport, science and PSHE ensure our children understand the role of movement in the development of their own physical literacy, fitness and well-being. \n- Build links with local community sports clubs through our SGO. \n- Encourage use of initiatives such as the ‘Daily Mile’ in ALL year groups at least 4 times a week \| Cost of SSP - £7100 \nBadges, whistles and lanyards for Sports Crew - £50 \nExternal coaches – see above \| - Positive attitudes to health and well-being \n- Pupil concentration, commitment, self-esteem and behaviour enhanced for sports ambassadors \n- Positive behaviour and a sense of fair play \n- Children taking part in daily additional activities such as ‘The Daily Mile’ regularly \n- children across the school more active on a daily basis and enjoy being active \n- Higher quality PE lessons with more children active due to improvement in quality and amount of equipment. \| - Monitor physical activity levels to ensure we meet the government guidelines of at least 30 minutes a day for each child in school time. \n- children to develop lifelong interest and participation in sporting activity. \n- children becoming more active at playtimes \|\n\nKey indicator 2: The profile of PESSPA being raised across the school as a tool for whole school improvement\n\n\| Intent \| Implementation \| Impact \|\n\|--------\|----------------\|--------\|\n\| \| \| \|\n\nCreated by: [PE Association](#), [Active Partnerships](#), [Youth Sport Trust](#)\n\nSupported by: [UK Sport](#), [LOTTERY FUNDED](#), [UK COACHING](#)\n\n\| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \| Funding allocated: \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \| Sustainability and suggested next steps: \|\n\|---\|---\|---\|---\|---\|\n\| - Use PE and sport to enable the development of life skills that are transferred to other curriculum areas, wider school and beyond. \n- Use PE and sport to develop the whole person including thinking, social and personal skills \n- Use PE teaching to aid fine and gross motor skill development \n- Ensure PE and school sport is visible in the school (assemblies, notice boards) \n- celebrate sporting success \n- High quality PE lessons delivered during curriculum time. \n- School staff better equipped/more confident to teach PE in school due to support from SSP \n- Monitoring use of schemes and whole school PE coverage \| - As a school we are part of the Easington School Sport Partnership which provides the following opportunities: \n - Additional competitions outside of the School Games programme, comprehensive CPD programme, support from G. Adey \n - Continue to develop and use whole school plans and assessment. \n - Develop a team of sports leaders \n - Help run and record the events for Sports Day. \n - Runner of the week certificates \n - whistles, lanyards and badges for Sports Crew \| Certificates for Runner of the Week and stickers for Sports Day - £100 \nBadges, whistles and lanyards for Sports Crew(see above) \nCost of SSP (see above) \| - Personal development (physical skills, thinking skills, social skills and personal skills). \n- Attainment and achievement, behaviour and attendance. \n- PE physical activity and school sport have a high profile and are celebrated across the life of the school \n- SMSC - Children learn to respect and work with each other, exercise self-discipline and act in a safe and sensible manner. \n- Continued progression of all pupils during curriculum PE lessons. \n- Successful sports day held in individual bubbles. \| - School staff better equipped/more confident to teach PE in school \n- Monitoring use of schemes and whole school PE coverage \n- Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \|\n\n### Key indicator 3: Increased confidence, knowledge and skills of all staff in teaching PE and sport\n\n\| Intent \| Implementation \| Funding allocated: \| Impact \| Sustainability and suggested next steps: \|\n\|------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------\|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|----------------------------------------------------------------------------------------------------------\|\n\| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \n- Use specialist coaches and providers for staff training to increase the knowledge and confidence of staff in delivering PE. \n- PE lead/sports coaches used to help upskill teachers through modelling lessons, team teaching, help with planning. \n- Classes rotated to ensure all teachers benefit from coaches expertise \n- Subject Leader to attend relevant sport conferences and network meetings to gain relevant information. \| Cost of SSP (see above) \nCost of coaches (see above) \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \n- Increased staff knowledge and understanding \n- All teachers able to more confidently plan, teach and assess National Curriculum PE \n- More confident and competent staff evidenced through feedback \n- Enhanced quality of provision \n- Increased pupil participation in competitive activities and festivals \n- Increased range of opportunities \n- The sharing of best practice between staff \n- A more inclusive curriculum which inspires and engages all pupils \n- Increased capacity and sustainability \n- Continued progression of all pupils during curriculum PE lessons. \n- Discussions inform us that pupils enjoy the variety of activities on offer during curriculum PE. \| - Review staff confidence and competence in delivering high quality PE and school sport \n- Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \|\n\n### Key indicator 4: Broader experience of a range of sports and activities offered to all pupils\n\n\| Intent \| Implementation \| Funding<cursor_is_here> What has changed?: \n- Increased staff knowledge and understanding \n- All teachers able to more confidently plan, teach and assess National Curriculum PE \n- More confident and competent staff evidenced through feedback \n- Enhanced quality of provision \n- Increased pupil participation in competitive activities and festivals \n- Increased range of opportunities \n- The sharing of best practice between staff \n- A more inclusive curriculum which inspires and engages all pupils \n- Increased capacity and sustainability \n- Continued progression of all pupils during curriculum PE lessons. \n- Discussions inform us that pupils enjoy the variety of activities on offer during curriculum PE. \| - Review staff confidence and competence in delivering high quality PE and school sport \n- Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \|\n\n\| what they need to learn and to consolidate through practice: \| \| changed?: \|\n\|----------------------------------------------------------\|-----------------\|-----------------\|\n\| - Provide opportunities to take part in a diverse range of school sport through extra-curricular clubs, competitions and events/taster days. \n- Providing additional links to Community Sports Clubs \n- Children participate in festivals/tournaments held through SSP School Games competitions \n- Provide opportunities for all children to challenge themselves through both intra and inter school sport where the children’s motivation, competence and confidence are at the centre of the competition and the focus is on the process rather than the outcome. \| - Provide opportunities for children with SEND, the least confident and the least active to attend exciting, varied and a new range of activities through the school sport partnership. \n- Review extra-curricular activities through pupil voice \n- To keep the noticeboard up-to-date range of clubs currently on offer (changeable throughout the year) \n- Children to attend the extra-curricular clubs. \n- School to enter children into sporting festivals/competitions. \| Cost of SSP (see above) \nCost of coaches (see above) \|\n\| - Increased pupil participation \n- Enhanced quality of delivery of activities \n- Increased staffing capacity and sustainability \n- Enhanced, extended, inclusive extra-curricular provision \n- Improved behaviour and attendance and reduction of low level disruption \n- Increased pupil awareness of opportunities available in the community \n- improved physical, technical, tactical and mental understanding of a range of sports \n- Developed wider life skills which build on from the PE lessons, i.e. communication, teamwork, fair play and leadership \nEvidence includes - Curriculum map, Registers of participation, Extra-curricular data, student surveys \|\n\| - increase opportunities for KS1 children – in and out of school by requesting ks1 extra-curricular clubs from SSP \n- Staff are provided with a bank of resources/lesson ideas to use in different areas of the curriculum for years to come (Google drive). \n- increase the amount of extra curricular clubs. \|\n\n\| Intent \| Implementation \| Funding allocated: \| Impact \| Sustainability and suggested next steps: \|\n\|-----------------------------------------------------------------------\|---------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------\|----------------------------------------------------------------------\|------------------------------------------\|\n\| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \| Cost of SSP (see above) \| Evidence of impact: what do pupils now know and what can they now do? What has changed?: \| - Restart after school clubs based on upcoming competitions \n- Continue to attend Partnership meetings \n- Further widen opportunities for pupils to take part in competitive sporting events \n- continue to hire coaches for taster days to introduce new sports/skills \|\n\| - Provide opportunities for all children to challenge themselves through both intra and inter school sport where the children's motivation, competence and confidence are at the centre of the competition and the focus is on the process rather than the outcome. \n- Increased participation in School Games competitions. \n- Provide opportunities for children to learn new skills/sports/activities \n- Providing opportunities for children with SEND, the least active and the least confident to attend competitions and events. \| - Engage with partnership coordinators to attend competitions run by the School Sport Partnership. \n- Ensure pupils get opportunity to take part in local competitive leagues, tournaments and festivals. \n- Hire coaches to deliver 'taster' days \n- To develop links with external agencies in the community to ensure more pupils participate in community clubs outside of school \| Cost of coaches (see above) \| - Sports day set up and enjoyed by pupils. \n- Silver school games mark achieved again \n- children attended inter-school competitions this year (all done within school) \n- 3rd place overall in year 3/4 SSP Summer Olympics competition \n- Winner of Year 1/2 and 3/4 New Age Curling Event \n- Winner of Year 3/4 Cricket event \| Evidence includes - \n- School Games Mark \n- Competition/events calendar \n- Photos displayed at school \|\n\nSigned off by\n\nHead Teacher:\n\nDate:\n\nSubject Leader: A Brown\n\nDate: 16.7.21\n\n\| Governor: \| \|\n\|----------\|---\|\n\| Date: \| \|\n</text>\n", "role": "user" }, { "content": " allocated: \| Impact \| Sustainability and suggested next steps: \|\n\|------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|-----------------------------------------------------------------------------------\|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|----------------------------------------------------------------------------------------------------------\|\n\| Your school focus should be clear what you want the pupils to know and be able to do and about what they need to learn and to consolidate through practice: \| Make sure your actions to achieve are linked to your intentions: \nSupported by: \n- Physical Education Active Partnerships \n- Youth Sport Trust \n- UK Coaching \n- Lottery Funded \| Evidence of impact: what do pupils now know and what can they now do?", "role": "assistant" } ]
2018 Rocky Vista University (RVU) Institutional Snapshot I. Programs/Degrees 1. Doctor of Osteopathic Medicine (DO) 2. Master of Science in Biomedical Sciences (MSBS) 3. Master of Physician Assistant Studies (PAS) II. Admissions DO Program (Colorado Location) \| \| Entrance \| Applicants \| \| \| Accepted \| \| Matriculated \| \| MCAT Mean \| \| Mean \| Mean Science \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| \| Students \| \| Students \| \| Score \| \| GPA \| GPA \| \| \| 2008 \| 2,112 \| \| 303 (14.3%) \| \| 160 \| \| 24.8 \| \| 3.42 \| \| \| \| \| 2009 \| 3,164 \| \| 382 (12.1%) \| \| 162 \| \| 25.8 \| \| 3.46 \| \| \| \| \| 2010 \| 3,342 \| \| 429 (12.8%) \| \| 162 \| \| 26.6 \| \| 3.47 \| \| \| \| \| 2011 \| 3,550 \| \| 373 (10.5%) \| \| 161 \| \| 26.7 \| \| 3.49 \| \| \| \| \| 2012 \| \| 3,851 \| \| 357 (9.3%) \| \| 161 \| \| 27.4 \| \| 3.57 \| 3.53 \| \| \| 2013 \| 4,312 \| \| 328 (7.6%) \| \| \| 162 \| \| 28.3 \| \| 3.60 \| 3.57 \| \| 2014 \| \| 4,910 \| \| 350 (7.1%) \| \| 161 \| \| 28.1 \| \| 3.63 \| \| \| \| 2015 \| \| 5,665 \| \| 349 (6.2%) \| \| 160 \| \| 28.5 \| \| 3.63 \| \| \| \| 2016 \| \| 5,184 \| \| 362 (7%) \| \| 162 \| \| 28.7/504.4 \| \| 3.71 \| \| \| \| 2017 \| \| 4,628 \| \| 329 (7%) \| \| 160 \| \| 28/504.7 \| \| 3.58 \| \| \| \| 2018 \| \| 4,748 \| \| 353 (7%) \| \| 162 \| \| 28/505.06 \| \| 3.59 \| \| \| (Utah Location) \| \| Entrance \| Applicants \| \| Accepted \| \| Matriculated \| \| MCAT Mean \| \| Mean \| Mean \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| Students \| \| Students \| \| Score \| \| GPA \| Science GPA \| \| 2017 \| \| 2,067 \| 249 \| \| 135 \| \| 27.8/505.2 \| \| 3.55 \| \| \| MSBS Program \| \| Entrance \| Applicants \| \| Accepted \| \| Matriculated \| \| MCAT Mean \| \| Mean \| Mean \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| Students \| \| Students \| \| Score \| \| GPA \| Science GPA \| \| 2016 \| \| 40 \| 13 \| \| 15 \| \| 25/495.4 \| \| 3.27 \| \| \| \| 2017 \| \| 145 \| 52 \| \| 26 \| \| 23/497.2 \| \| 3.33 \| \| \| PAS Program \| \| Entrance \| Applicants \| \| Accepted \| \| Matriculated \| \| GRE Mean \| \| Mean \| Mean \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| Students \| \| Students \| \| Score \| \| GPA \| Science GPA \| \| 2018 \| \| 454 \| 34 \| \| 33 \| \| 171 VB; 177 Quant; 3.9 Anal \| \| 3.44 \| \| \| III. Enrollment Demographics DO Program (Colorado Location) \| \| Entrance \| Gender \| Race/Ethnicity \| \| Mean Age \| Colorado Resident \| \|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| \| \| \| \| 2012 \| \| 58% Male 42% Female \| \| 6% Underrepresented: \| 25 \| 30% \| \| \| \| \| \| 3% American Indian \| \| \| \| \| \| \| \| 3% Hispanic \| \| \| \| 2013 \| \| 56% Male 44% Female \| 4% Underrepresented: 1% American Indian 3% Hispanic \| \| 25 \| 40% \| \| 2014 \| \| 58% Male 42% Female \| 8% Underrepresented: 3% African American 5% Hispanic \| \| 25 \| 32% \| \| 2015 \| \| 54% Male 46% Female \| 12% Underrepresented: 3% African American 3% American Indian 6% Hispanic \| \| 25 \| 31% \| \| 2016 \| \| 50% Male 50% Female \| 6% Underrepresented: 1% American Indian 5% Hispanic \| \| 25 \| 32% \| \| 2017 \| \| 64% Male 36% Female \| 5% Underrepresented: 2% African American 1% American Indian 2% Hispanic \| \| 26 \| 41% \| \| 2018 \| \| 44% Male 56% Female \| 11% Underrepresented: 1% African American 1% American Indian 8% Hispanic 1% Two or more Races \| \| 25.2 \| 41% \| (Utah Location) \| \| Entrance \| Gender \| Race/Ethnicity \| Mean Age \| \|---\|---\|---\|---\|---\| \| \| Year \| \| \| \| \| 2017 \| \| 81% Male 19% Female \| 15% Underrepresented: 1% American Indian 2% African American 12% Hispanic \| 27 \| \| 2018 \| \| 69% Male 31% Female \| 5% Underrepresented: 4% Hispanic 1% Two or more Races \| 25.6 \| MSBS Program \| \| Entrance \| Gender \| Race/Ethnicity \| Mean Age \| Colorado Resident \| \|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| \| \| \| 2016 \| \| 33% Male 67% Female \| 7% Underrepresented: 7% Hispanic \| 26 \| 44% \| \| 2017 \| \| 54% Male 46% Female \| 23% Underrepresented: 11% African American 12% Hispanic \| 25 \| 38% \| IV. Licensure Exam Pass Rates DO Program Students must pass a three-step national COMLEX examination in order to become licensed physicians. Step 1 is taken at the conclusion of the OMS-II year; Step 2 is taken at the conclusion of the OMS-III year; Step 3 is taken after graduation. \| 2012 \| 469 \| 494 \| \|---\|---\|---\| \| 2013 \| 522 \| 505 \| \| 2014 \| 531 \| 547 \| \| 2015 \| 546 \| 555 \| \| 2016 \| 557 \| 555 \| \| 2017 \| 555 \| 573 \| \| 2018 \| 551 \| 584 \| Average score of first-time test-takers MSBS Comprehensive Exam Pass Rates \| \| Graduating Class \| Class Pass Rate \| \|---\|---\|---\| \| 2017 \| \| \| \| 2018 \| \| \| First-time Test-takers MSBS Entrance into RVUCOM or PAS Rates \| 2017 \| 10/15 (67%) \| \| \|---\|---\|---\| \| 2018 \| COM: 17/26 (65%) \| PAS: 1/26 (4%) \| V. Retention and Completion DO Program MSBS Program VI. Financial Aid A. Number of students who applied for some type of financial aid including institutional scholarships, external scholarships, private loans, military scholarships, and GI Bill. B. RVU only has graduate/professional students. DO Program \| \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| AY \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| 2009- \| \| 2010- \| \| 2011- \| \| 2012- \| \| 2013- \| \| 2014- \| \| 2015- \| \| 2016- \| 2017- \| \| \| \| 2010 \| \| 2011 \| \| 2012 \| \| 2013 \| \| 2014 \| \| 2015 \| \| 2016 \| \| 2017 \| 2018 \| \| Total # of Students \| 312 \| \| 462 \| \| 611 \| \| 620 \| \| 616 \| \| 627 \| \| 635 \| \| 642 \| \| \| \| Total # of Students w/Aid \| 270 \| \| 415 \| \| 535 \| \| 532 \| \| 547 \| \| 556 \| \| 574 \| \| 577 \| \| \| \| % of Students w/Aid \| 86.5% \| \| 89.8% \| \| 87.6% \| \| 85.8% \| \| 88.8% \| \| 88.6% \| \| 90.3% \| \| 89.8% \| \| \| \| % of Students w/Loans \| 73.4% \| \| 77.7% \| \| 72.3% \| \| 69.4% \| \| 76.9% \| \| 76.5% \| \| 76.5% \| \| 76.1% \| \| \| \| % of Students w/Scholarships/Grants \| 20.8% \| \| 19.9% \| \| 17.5% \| \| 17.4% \| \| 19.6% \| \| 23.4% \| \| 24.4% \| \| 23% \| \| \| \| % of Students w/Academic Merit-based Scholarships \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| \| MSBS Program \| Total # of Students \| 15 \| \|---\|---\| \| Total # of Students w/Aid \| 10 \| \| % of Students w/Aid \| 66.6% \| \| % of Students w/Loans \| 66.6% \| \| % of Students w/Scholarships/Grants \| 6% \| C. Tuition Discount Rates (TDR) for graduate/professional students DO Program \| AY 2009- 2010 \| AY 2010- 2011 \| AY 2011- 2012 \| AY 2012- 2013 \| AY 2013- 2014 \| AY 2014- 2015 \| AY 2015- 2016 \| AY 2016- 2017 \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| $120,000 \| $178,412 \| $186,363 \| $315,118 \| $680,020 \| $856,756 \| $1,009,143 \| $1,016,008 \| \| $11,425,950 \| $17,544,986 \| $24,183,406 \| $26,481,113 \| $28,218,343 \| $30,333,006 \| $31,642,050 \| $33,271,008 \| \| 1.1% \| 1.0% \| 0.8% \| 1.2% \| 2.4% \| 2.8% \| 3.2% \| 3.1% \| MSBS Program \| \| \| AY 2016-2017 \| AY 2017-2018 \| \|---\|---\|---\|---\| \| I = Institutional Aid for Tuition \| $0 \| \| \| \| P = Tuition Payments Expected \| $375,300 \| \| \| VII. Faculty Data represent the most recent IPEDS reporting period (Spring 2018). \| \| \| Gender \| Race/Ethnicity \| \|---\|---\|---\|---\| \| Full-time Faculty \| Male: 39 (61%) Female: 25 (39%) \| \| \| \| Part-time Faculty \| Male: 24 (63%) Female: 14 (37%) \| \| \| \| \| \| Highest Degree Attained \| Rank \| \| Full-time Faculty \| Terminal Degrees: 100% Professional Degree (DO, MD, JD, MLS, etc.): 40 Academic Degree (PhD, EdD, etc.): 26 (2 duplicates) \| \| \|	<urn:uuid:8b6ad5fa-4f39-45ab-80dd-fd6d814dd14c>	CC-MAIN-2020-40	https://www.rvu.edu/wp-content/uploads/2020/07/RVU-Institutional-Snapshot-2018.pdf	2020-09-22T11:55:48+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2020-40/subset=warc/part-00110-50bb8e61-7c5b-4d2c-bd34-dad6ca92b697.c000.gz.parquet	1,067,637,837	3,334	eng_Latn	eng_Latn	0.598742	eng_Latn	0.915743	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1602, 3312, 4598, 4765, 6073, 6955, 7410 ]	2018 Rocky Vista University (RVU) Institutional Snapshot I. Programs/Degrees 1. Doctor of Osteopathic Medicine (DO) 2. Master of Science in Biomedical Sciences (MSBS) 3. Master of Physician Assistant Studies (PAS) II. Admissions DO Program (Colorado L	ocation) \| \| Entrance \| Applicants \| \| \| Accepted \| \| Matriculated \| \| MCAT Mean \| \| Mean \| Mean Science \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| \| Students \| \| Students \| \| Score \| \| GPA \| GPA \| \| \| 2008 \| 2,112 \| \| 303 (14.	3%) \| \| 160 \| \| 24.8 \| \| 3.42 \| \| \| \| \| 2009 \| 3,164 \| \| 382 (12.1%) \| \| 162 \| \| 25.8 \| \| 3.46 \| \| \| \| \| 2010 \| 3,342 \| \| 429 (12.8%) \| \| 162 \| \| 26.6 \| \| 3.47 \| \| \| \| \| 2011 \| 3,550 \| \| 373 (10.5%) \| \| 161 \| \| 26.7 \| \| 3.49 \| \| \| \| \| 2012 \| \| 3,851 \| \| 357 (9.3%) \| \| 161 \| \| 27.4 \| \| 3.57 \| 3.53 \| \| \| 2013 \| 4,312 \| \| 328 (7.6%) \| \| \| 162 \| \| 28.3 \| \| 3.60 \| 3.57 \| \| 2014 \| \| 4,910 \| \| 350 (7.1%) \| \| 161 \| \| 28.1 \| \| 3.63 \| \| \| \| 2015 \| \| 5,665 \| \| 349 (6.2%) \| \| 160 \| \| 28.5 \| \| 3.63 \| \| \| \| 2016 \| \| 5,184 \| \| 362 (7%) \| \| 162 \| \| 28.7/504.4 \| \| 3.71 \| \| \| \| 2017 \| \| 4,628 \| \| 329 (7%) \| \| 160 \| \| 28/504.7 \| \| 3.58 \| \| \| \| 2018 \| \| 4,748 \| \| 353 (7%) \| \| 162 \| \| 28/505.06 \| \| 3.59 \| \| \| (Utah Location) \| \| Entrance \| Applicants \| \| Accepted \| \| Matriculated \| \| MCAT Mean \| \| Mean \| Mean \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| Students \| \| Students \| \| Score \| \| GPA \| Science GPA \| \| 2017 \| \| 2,067 \| 249 \| \| 135 \| \| 27.8/505.2 \| \| 3.55 \| \| \| MSBS Program \| \| Entrance \| Applicants \| \| Accepted \| \| Matriculated \| \| MCAT Mean \| \| Mean \| Mean \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| Students \| \| Students \| \| Score \| \| GPA \| Science GPA \| \| 2016 \| \| 40 \| 13 \| \| 15 \| \| 25/495.4 \| \| 3.27 \| \| \| \| 2017 \| \| 145 \| 52 \| \| 26 \| \| 23/497.2 \| \| 3.33 \| \| \| PAS Program \| \| Entrance \| Applicants \| \| Accepted \| \| Matriculated \| \| GRE Mean \| \| Mean \| Mean \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| Students \| \| Students \| \| Score \| \| GPA \| Science GPA \| \| 2018 \| \| 454 \| 34 \| \| 33 \| \| 171 VB; 177 Quant; 3.9 Anal \| \| 3.44 \| \| \| III. Enrollment Demographics DO Program (Colorado Location) \| \| Entrance \| Gender \| Race/Ethnicity \| \| Mean Age \| Colorado Resident \| \|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| \| \| \| \| 2012 \| \| 58% Male 42% Female \| \| 6% Underrepresented: \| 25 \| 30% \| \| \| \| \| \| 3% American Indian \| \| \| \| \| \| \| \| 3% Hispanic \| \| \| \| 2013 \| \| 56% Male 44% Female \| 4% Underrepresented: 1% American Indian 3% Hispanic \| \| 25 \| 40% \| \| 2014 \| \| 58% Male 42% Female \| 8% Underrepresented: 3% African American 5% Hispanic \| \| 25 \| 32% \| \| 2015 \| \| 54% Male 46% Female \| 12% Underrepresented: 3% African American 3% American Indian 6% Hispanic \| \| 25 \| 31% \| \| 2016 \| \| 50% Male 50% Female \| 6% Underrepresented: 1% American Indian 5% Hispanic \| \| 25 \| 32% \| \| 2017 \| \| 64% Male 36% Female \| 5% Underrepresented: 2% African American 1% American Indian 2% Hispanic \| \| 26 \| 41% \| \| 2018 \| \| 44% Male 56% Female \| 11% Underrepresented: 1% African American 1% American Indian 8% Hispanic 1% Two or more Races \| \| 25.2 \| 41% \| (Utah Location) \| \| Entrance \| Gender \| Race/Ethnicity \| Mean Age \| \|---\|---\|---\|---\|---\| \| \| Year \| \| \| \| \| 2017 \| \| 81% Male 19% Female \| 15% Underrepresented: 1% American Indian 2% African American 12% Hispanic \| 27 \| \| 2018 \| \| 69% Male 31% Female \| 5% Underrepresented: 4% Hispanic 1% Two or more Races \| 25.6 \| MSBS Program \| \| Entrance \| Gender \| Race/Ethnicity \| Mean Age \| Colorado Resident \| \|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| \| \| \| 2016 \| \| 33% Male 67% Female \| 7% Underrepresented: 7% Hispanic \| 26 \| 44% \| \| 2017 \| \| 54% Male 46% Female \| 23% Underrepresented: 11% African American 12% Hispanic \| 25 \| 38% \| IV. Licensure Exam Pass Rates DO Program Students must pass a three-step national COMLEX examination in order to become licensed physicians. Step 1 is taken at the conclusion of the OMS-II year; Step 2 is taken at the conclusion of the OMS-III year; Step 3 is taken after graduation. \| 2012 \| 469 \| 494 \| \|---\|---\|---\| \| 2013 \| 522 \| 505 \| \| 2014 \| 531 \| 547 \| \| 2015 \| 546 \| 555 \| \| 2016 \| 557 \| 555 \| \| 2017 \| 555 \| 573 \| \| 2018 \| 551 \| 584 \| Average score of first-time test-takers MSBS Comprehensive Exam Pass Rates \| \| Graduating Class \| Class Pass Rate \| \|---\|---\|---\| \| 2017 \| \| \| \| 2018 \| \| \| First-time Test-takers MSBS Entrance into RVUCOM or PAS Rates \| 2017 \| 10/15 (67%) \| \| \|---\|---\|---\| \| 2018 \| COM: 17/26 (65%) \| PAS: 1/26 (4%) \| V. Retention and Completion DO Program MSBS Program VI. Financial Aid A. Number of students who applied for some type of financial aid including institutional scholarships, external scholarships, private loans, military scholarships, and GI Bill. B. RVU only has graduate/professional students. DO Program \| \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| AY \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| 2009- \| \| 2010- \| \| 2011- \| \| 2012- \| \| 2013- \| \| 2014- \| \| 2015- \| \| 2016- \| 2017- \| \| \| \| 2010 \| \| 2011 \| \| 2012 \| \| 2013 \| \| 2014 \| \| 2015 \| \| 2016 \| \| 2017 \| 2018 \| \| Total # of Students \| 312 \| \| 462 \| \| 611 \| \| 620 \| \| 616 \| \| 627 \| \| 635 \| \| 642 \| \| \| \| Total # of Students w/Aid \| 270 \| \| 415 \| \| 535 \| \| 532 \| \| 547 \| \| 556 \| \| 574 \| \| 577 \| \| \| \| % of Students w/Aid \| 86.5% \| \| 89.8% \| \| 87.6% \| \| 85.8% \| \| 88.8% \| \| 88.6% \| \| 90.3% \| \| 89.8% \| \| \| \| % of Students w/Loans \| 73.4% \| \| 77.7% \| \| 72.3% \| \| 69.4% \| \| 76.9% \| \| 76.5% \| \| 76.5% \| \| 76.1% \| \| \| \| % of Students w/Scholarships/Grants \| 20.8% \| \| 19.9% \| \| 17.5% \| \| 17.4% \| \| 19.6% \| \| 23.4% \| \| 24.4% \| \| 23% \| \| \| \| % of Students w/Academic Merit-based Scholarships \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| \| MSBS Program \| Total # of Students \| 15 \| \|---\|---\| \| Total # of Students w/Aid \| 10 \| \| % of Students w/Aid \| 66.6% \| \| % of Students w/Loans \| 66.6% \| \| % of Students w/Scholarships/Grants \| 6% \| C. Tuition Discount Rates (TDR) for graduate/professional students DO Program \| AY 2009- 2010 \| AY 2010- 2011 \| AY 2011- 2012 \| AY 2012- 2013 \| AY 2013- 2014 \| AY 2014- 2015 \| AY 2015- 2016 \| AY 2016- 2017 \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| $120,000 \| $178,412 \| $186,363 \| $315,118 \| $680,020 \| $856,756 \| $1,009,143 \| $1,016,008 \| \| $11,425,950 \| $17,544,986 \| $24,183,406 \| $26,481,113 \| $28,218,343 \| $30,333,006 \| $31,642,050 \| $33,271,008 \| \| 1.1% \| 1.0% \| 0.8% \| 1.2% \| 2.4% \| 2.8% \| 3.2% \| 3.1% \| MSBS Program \| \| \| AY 2016-2017 \| AY 2017-2018 \| \|---\|---\|---\|---\| \| I = Institutional Aid for Tuition \| $0 \| \| \| \| P = Tuition Payments Expected \| $375,300 \| \| \| VII. Faculty Data represent the most recent IPEDS reporting period (Spring 2018). \| \| \| Gender \| Race/Ethnicity \| \|---\|---\|---\|---\| \| Full-time Faculty \| Male: 39 (61%) Female: 25 (39%) \| \| \| \| Part-time Faculty \| Male: 24 (63%) Female: 14 (37%) \| \| \| \| \| \| Highest Degree Attained \| Rank \| \| Full-time Faculty \| Terminal Degrees: 100% Professional Degree (DO, MD, JD, MLS, etc.): 40 Academic Degree (PhD, EdD, etc.): 26 (2 duplicates) \| \| \|	256	inside_word	Location)	remove_one_sentence	<url> https://www.rvu.edu/wp-content/uploads/2020/07/RVU-Institutional-Snapshot-2018.pdf </url> <text> 2018 Rocky Vista University (RVU) Institutional Snapshot I. Programs/Degrees 1. Doctor of Osteopathic Medicine (DO) 2. Master of Science in Biomedical Sciences (MSBS) 3. Master of Physician Assistant Studies (PAS) II. Admissions DO Program (Colorado L<cursor_is_here>3%) \| \| 160 \| \| 24.8 \| \| 3.42 \| \| \| \| \| 2009 \| 3,164 \| \| 382 (12.1%) \| \| 162 \| \| 25.8 \| \| 3.46 \| \| \| \| \| 2010 \| 3,342 \| \| 429 (12.8%) \| \| 162 \| \| 26.6 \| \| 3.47 \| \| \| \| \| 2011 \| 3,550 \| \| 373 (10.5%) \| \| 161 \| \| 26.7 \| \| 3.49 \| \| \| \| \| 2012 \| \| 3,851 \| \| 357 (9.3%) \| \| 161 \| \| 27.4 \| \| 3.57 \| 3.53 \| \| \| 2013 \| 4,312 \| \| 328 (7.6%) \| \| \| 162 \| \| 28.3 \| \| 3.60 \| 3.57 \| \| 2014 \| \| 4,910 \| \| 350 (7.1%) \| \| 161 \| \| 28.1 \| \| 3.63 \| \| \| \| 2015 \| \| 5,665 \| \| 349 (6.2%) \| \| 160 \| \| 28.5 \| \| 3.63 \| \| \| \| 2016 \| \| 5,184 \| \| 362 (7%) \| \| 162 \| \| 28.7/504.4 \| \| 3.71 \| \| \| \| 2017 \| \| 4,628 \| \| 329 (7%) \| \| 160 \| \| 28/504.7 \| \| 3.58 \| \| \| \| 2018 \| \| 4,748 \| \| 353 (7%) \| \| 162 \| \| 28/505.06 \| \| 3.59 \| \| \| (Utah Location) \| \| Entrance \| Applicants \| \| Accepted \| \| Matriculated \| \| MCAT Mean \| \| Mean \| Mean \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| Students \| \| Students \| \| Score \| \| GPA \| Science GPA \| \| 2017 \| \| 2,067 \| 249 \| \| 135 \| \| 27.8/505.2 \| \| 3.55 \| \| \| MSBS Program \| \| Entrance \| Applicants \| \| Accepted \| \| Matriculated \| \| MCAT Mean \| \| Mean \| Mean \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| Students \| \| Students \| \| Score \| \| GPA \| Science GPA \| \| 2016 \| \| 40 \| 13 \| \| 15 \| \| 25/495.4 \| \| 3.27 \| \| \| \| 2017 \| \| 145 \| 52 \| \| 26 \| \| 23/497.2 \| \| 3.33 \| \| \| PAS Program \| \| Entrance \| Applicants \| \| Accepted \| \| Matriculated \| \| GRE Mean \| \| Mean \| Mean \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| Students \| \| Students \| \| Score \| \| GPA \| Science GPA \| \| 2018 \| \| 454 \| 34 \| \| 33 \| \| 171 VB; 177 Quant; 3.9 Anal \| \| 3.44 \| \| \| III. Enrollment Demographics DO Program (Colorado Location) \| \| Entrance \| Gender \| Race/Ethnicity \| \| Mean Age \| Colorado Resident \| \|---\|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| \| \| \| \| 2012 \| \| 58% Male 42% Female \| \| 6% Underrepresented: \| 25 \| 30% \| \| \| \| \| \| 3% American Indian \| \| \| \| \| \| \| \| 3% Hispanic \| \| \| \| 2013 \| \| 56% Male 44% Female \| 4% Underrepresented: 1% American Indian 3% Hispanic \| \| 25 \| 40% \| \| 2014 \| \| 58% Male 42% Female \| 8% Underrepresented: 3% African American 5% Hispanic \| \| 25 \| 32% \| \| 2015 \| \| 54% Male 46% Female \| 12% Underrepresented: 3% African American 3% American Indian 6% Hispanic \| \| 25 \| 31% \| \| 2016 \| \| 50% Male 50% Female \| 6% Underrepresented: 1% American Indian 5% Hispanic \| \| 25 \| 32% \| \| 2017 \| \| 64% Male 36% Female \| 5% Underrepresented: 2% African American 1% American Indian 2% Hispanic \| \| 26 \| 41% \| \| 2018 \| \| 44% Male 56% Female \| 11% Underrepresented: 1% African American 1% American Indian 8% Hispanic 1% Two or more Races \| \| 25.2 \| 41% \| (Utah Location) \| \| Entrance \| Gender \| Race/Ethnicity \| Mean Age \| \|---\|---\|---\|---\|---\| \| \| Year \| \| \| \| \| 2017 \| \| 81% Male 19% Female \| 15% Underrepresented: 1% American Indian 2% African American 12% Hispanic \| 27 \| \| 2018 \| \| 69% Male 31% Female \| 5% Underrepresented: 4% Hispanic 1% Two or more Races \| 25.6 \| MSBS Program \| \| Entrance \| Gender \| Race/Ethnicity \| Mean Age \| Colorado Resident \| \|---\|---\|---\|---\|---\|---\| \| \| Year \| \| \| \| \| \| 2016 \| \| 33% Male 67% Female \| 7% Underrepresented: 7% Hispanic \| 26 \| 44% \| \| 2017 \| \| 54% Male 46% Female \| 23% Underrepresented: 11% African American 12% Hispanic \| 25 \| 38% \| IV. Licensure Exam Pass Rates DO Program Students must pass a three-step national COMLEX examination in order to become licensed physicians. Step 1 is taken at the conclusion of the OMS-II year; Step 2 is taken at the conclusion of the OMS-III year; Step 3 is taken after graduation. \| 2012 \| 469 \| 494 \| \|---\|---\|---\| \| 2013 \| 522 \| 505 \| \| 2014 \| 531 \| 547 \| \| 2015 \| 546 \| 555 \| \| 2016 \| 557 \| 555 \| \| 2017 \| 555 \| 573 \| \| 2018 \| 551 \| 584 \| Average score of first-time test-takers MSBS Comprehensive Exam Pass Rates \| \| Graduating Class \| Class Pass Rate \| \|---\|---\|---\| \| 2017 \| \| \| \| 2018 \| \| \| First-time Test-takers MSBS Entrance into RVUCOM or PAS Rates \| 2017 \| 10/15 (67%) \| \| \|---\|---\|---\| \| 2018 \| COM: 17/26 (65%) \| PAS: 1/26 (4%) \| V. Retention and Completion DO Program MSBS Program VI. Financial Aid A. Number of students who applied for some type of financial aid including institutional scholarships, external scholarships, private loans, military scholarships, and GI Bill. B. RVU only has graduate/professional students. DO Program \| \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| AY \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| 2009- \| \| 2010- \| \| 2011- \| \| 2012- \| \| 2013- \| \| 2014- \| \| 2015- \| \| 2016- \| 2017- \| \| \| \| 2010 \| \| 2011 \| \| 2012 \| \| 2013 \| \| 2014 \| \| 2015 \| \| 2016 \| \| 2017 \| 2018 \| \| Total # of Students \| 312 \| \| 462 \| \| 611 \| \| 620 \| \| 616 \| \| 627 \| \| 635 \| \| 642 \| \| \| \| Total # of Students w/Aid \| 270 \| \| 415 \| \| 535 \| \| 532 \| \| 547 \| \| 556 \| \| 574 \| \| 577 \| \| \| \| % of Students w/Aid \| 86.5% \| \| 89.8% \| \| 87.6% \| \| 85.8% \| \| 88.8% \| \| 88.6% \| \| 90.3% \| \| 89.8% \| \| \| \| % of Students w/Loans \| 73.4% \| \| 77.7% \| \| 72.3% \| \| 69.4% \| \| 76.9% \| \| 76.5% \| \| 76.5% \| \| 76.1% \| \| \| \| % of Students w/Scholarships/Grants \| 20.8% \| \| 19.9% \| \| 17.5% \| \| 17.4% \| \| 19.6% \| \| 23.4% \| \| 24.4% \| \| 23% \| \| \| \| % of Students w/Academic Merit-based Scholarships \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| \| MSBS Program \| Total # of Students \| 15 \| \|---\|---\| \| Total # of Students w/Aid \| 10 \| \| % of Students w/Aid \| 66.6% \| \| % of Students w/Loans \| 66.6% \| \| % of Students w/Scholarships/Grants \| 6% \| C. Tuition Discount Rates (TDR) for graduate/professional students DO Program \| AY 2009- 2010 \| AY 2010- 2011 \| AY 2011- 2012 \| AY 2012- 2013 \| AY 2013- 2014 \| AY 2014- 2015 \| AY 2015- 2016 \| AY 2016- 2017 \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| $120,000 \| $178,412 \| $186,363 \| $315,118 \| $680,020 \| $856,756 \| $1,009,143 \| $1,016,008 \| \| $11,425,950 \| $17,544,986 \| $24,183,406 \| $26,481,113 \| $28,218,343 \| $30,333,006 \| $31,642,050 \| $33,271,008 \| \| 1.1% \| 1.0% \| 0.8% \| 1.2% \| 2.4% \| 2.8% \| 3.2% \| 3.1% \| MSBS Program \| \| \| AY 2016-2017 \| AY 2017-2018 \| \|---\|---\|---\|---\| \| I = Institutional Aid for Tuition \| $0 \| \| \| \| P = Tuition Payments Expected \| $375,300 \| \| \| VII. Faculty Data represent the most recent IPEDS reporting period (Spring 2018). \| \| \| Gender \| Race/Ethnicity \| \|---\|---\|---\|---\| \| Full-time Faculty \| Male: 39 (61%) Female: 25 (39%) \| \| \| \| Part-time Faculty \| Male: 24 (63%) Female: 14 (37%) \| \| \| \| \| \| Highest Degree Attained \| Rank \| \| Full-time Faculty \| Terminal Degrees: 100% Professional Degree (DO, MD, JD, MLS, etc.): 40 Academic Degree (PhD, EdD, etc.): 26 (2 duplicates) \| \| \| </text>	[ { "content": "<url>\nhttps://www.rvu.edu/wp-content/uploads/2020/07/RVU-Institutional-Snapshot-2018.pdf\n</url>\n<text>\n2018 Rocky Vista University (RVU) Institutional Snapshot\n\nI. Programs/Degrees\n\n1. Doctor of Osteopathic Medicine (DO)\n2. Master of Science in Biomedical Sciences (MSBS)\n3. Master of Physician Assistant Studies (PAS)\n\nII. Admissions\n\nDO Program\n\n(Colorado L<cursor_is_here>3%) \| \| 160 \| \| 24.8 \| \| 3.42 \| \| \|\n\| \| 2009 \| 3,164 \| \| 382 (12.1%) \| \| 162 \| \| 25.8 \| \| 3.46 \| \| \|\n\| \| 2010 \| 3,342 \| \| 429 (12.8%) \| \| 162 \| \| 26.6 \| \| 3.47 \| \| \|\n\| \| 2011 \| 3,550 \| \| 373 (10.5%) \| \| 161 \| \| 26.7 \| \| 3.49 \| \| \|\n\| \| 2012 \| \| 3,851 \| \| 357 (9.3%) \| \| 161 \| \| 27.4 \| \| 3.57 \| 3.53 \|\n\| \| 2013 \| 4,312 \| \| 328 (7.6%) \| \| \| 162 \| \| 28.3 \| \| 3.60 \| 3.57 \|\n\| 2014 \| \| 4,910 \| \| 350 (7.1%) \| \| 161 \| \| 28.1 \| \| 3.63 \| \| \|\n\| 2015 \| \| 5,665 \| \| 349 (6.2%) \| \| 160 \| \| 28.5 \| \| 3.63 \| \| \|\n\| 2016 \| \| 5,184 \| \| 362 (7%) \| \| 162 \| \| 28.7/504.4 \| \| 3.71 \| \| \|\n\| 2017 \| \| 4,628 \| \| 329 (7%) \| \| 160 \| \| 28/504.7 \| \| 3.58 \| \| \|\n\| 2018 \| \| 4,748 \| \| 353 (7%) \| \| 162 \| \| 28/505.06 \| \| 3.59 \| \| \|\n\n(Utah Location)\n\n\| \| Entrance \| Applicants \| \| Accepted \| \| Matriculated \| \| MCAT Mean \| \| Mean \| Mean \|\n\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|\n\| \| Year \| \| \| Students \| \| Students \| \| Score \| \| GPA \| Science GPA \|\n\| 2017 \| \| 2,067 \| 249 \| \| 135 \| \| 27.8/505.2 \| \| 3.55 \| \| \|\n\nMSBS Program\n\n\| \| Entrance \| Applicants \| \| Accepted \| \| Matriculated \| \| MCAT Mean \| \| Mean \| Mean \|\n\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|\n\| \| Year \| \| \| Students \| \| Students \| \| Score \| \| GPA \| Science GPA \|\n\| 2016 \| \| 40 \| 13 \| \| 15 \| \| 25/495.4 \| \| 3.27 \| \| \|\n\| 2017 \| \| 145 \| 52 \| \| 26 \| \| 23/497.2 \| \| 3.33 \| \| \|\n\nPAS Program\n\n\| \| Entrance \| Applicants \| \| Accepted \| \| Matriculated \| \| GRE Mean \| \| Mean \| Mean \|\n\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|\n\| \| Year \| \| \| Students \| \| Students \| \| Score \| \| GPA \| Science GPA \|\n\| 2018 \| \| 454 \| 34 \| \| 33 \| \| 171 VB; 177 Quant; 3.9 Anal \| \| 3.44 \| \| \|\n\nIII. Enrollment Demographics\n\nDO Program\n\n(Colorado Location)\n\n\| \| Entrance \| Gender \| Race/Ethnicity \| \| Mean Age \| Colorado Resident \|\n\|---\|---\|---\|---\|---\|---\|---\|\n\| \| Year \| \| \| \| \| \|\n\| 2012 \| \| 58% Male 42% Female \| \| 6% Underrepresented: \| 25 \| 30% \|\n\| \| \| \| \| 3% American Indian \| \| \|\n\| \| \| \| \| 3% Hispanic \| \| \|\n\| 2013 \| \| 56% Male 44% Female \| 4% Underrepresented: 1% American Indian 3% Hispanic \| \| 25 \| 40% \|\n\| 2014 \| \| 58% Male 42% Female \| 8% Underrepresented: 3% African American 5% Hispanic \| \| 25 \| 32% \|\n\| 2015 \| \| 54% Male 46% Female \| 12% Underrepresented: 3% African American 3% American Indian 6% Hispanic \| \| 25 \| 31% \|\n\| 2016 \| \| 50% Male 50% Female \| 6% Underrepresented: 1% American Indian 5% Hispanic \| \| 25 \| 32% \|\n\| 2017 \| \| 64% Male 36% Female \| 5% Underrepresented: 2% African American 1% American Indian 2% Hispanic \| \| 26 \| 41% \|\n\| 2018 \| \| 44% Male 56% Female \| 11% Underrepresented: 1% African American 1% American Indian 8% Hispanic 1% Two or more Races \| \| 25.2 \| 41% \|\n\n(Utah Location)\n\n\| \| Entrance \| Gender \| Race/Ethnicity \| Mean Age \|\n\|---\|---\|---\|---\|---\|\n\| \| Year \| \| \| \|\n\| 2017 \| \| 81% Male 19% Female \| 15% Underrepresented: 1% American Indian 2% African American 12% Hispanic \| 27 \|\n\| 2018 \| \| 69% Male 31% Female \| 5% Underrepresented: 4% Hispanic 1% Two or more Races \| 25.6 \|\n\nMSBS Program\n\n\| \| Entrance \| Gender \| Race/Ethnicity \| Mean Age \| Colorado Resident \|\n\|---\|---\|---\|---\|---\|---\|\n\| \| Year \| \| \| \| \|\n\| 2016 \| \| 33% Male 67% Female \| 7% Underrepresented: 7% Hispanic \| 26 \| 44% \|\n\| 2017 \| \| 54% Male 46% Female \| 23% Underrepresented: 11% African American 12% Hispanic \| 25 \| 38% \|\n\nIV. Licensure Exam Pass Rates\n\nDO Program\n\nStudents must pass a three-step national COMLEX examination in order to become licensed physicians. Step 1 is taken at the conclusion of the OMS-II year; Step 2 is taken at the conclusion of the OMS-III year; Step 3 is taken after graduation.\n\n\| 2012 \| 469 \| 494 \|\n\|---\|---\|---\|\n\| 2013 \| 522 \| 505 \|\n\| 2014 \| 531 \| 547 \|\n\| 2015 \| 546 \| 555 \|\n\| 2016 \| 557 \| 555 \|\n\| 2017 \| 555 \| 573 \|\n\| 2018 \| 551 \| 584 \|\n\nAverage score of first-time test-takers\n\nMSBS Comprehensive Exam Pass Rates\n\n\| \| Graduating Class \| Class Pass Rate \|\n\|---\|---\|---\|\n\| 2017 \| \| \|\n\| 2018 \| \| \|\n\nFirst-time Test-takers\n\nMSBS Entrance into RVUCOM or PAS Rates\n\n\| 2017 \| 10/15 (67%) \| \|\n\|---\|---\|---\|\n\| 2018 \| COM: 17/26 (65%) \| PAS: 1/26 (4%) \|\n\nV. Retention and Completion\n\nDO Program\n\nMSBS Program\n\nVI. Financial Aid\n\nA. Number of students who applied for some type of financial aid including institutional scholarships, external scholarships, private loans, military scholarships, and GI Bill.\n\nB. RVU only has graduate/professional students.\n\nDO Program\n\n\| \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| \| AY \| AY \|\n\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|\n\| \| \| 2009- \| \| 2010- \| \| 2011- \| \| 2012- \| \| 2013- \| \| 2014- \| \| 2015- \| \| 2016- \| 2017- \|\n\| \| \| 2010 \| \| 2011 \| \| 2012 \| \| 2013 \| \| 2014 \| \| 2015 \| \| 2016 \| \| 2017 \| 2018 \|\n\| Total # of Students \| 312 \| \| 462 \| \| 611 \| \| 620 \| \| 616 \| \| 627 \| \| 635 \| \| 642 \| \| \|\n\| Total # of Students w/Aid \| 270 \| \| 415 \| \| 535 \| \| 532 \| \| 547 \| \| 556 \| \| 574 \| \| 577 \| \| \|\n\| % of Students w/Aid \| 86.5% \| \| 89.8% \| \| 87.6% \| \| 85.8% \| \| 88.8% \| \| 88.6% \| \| 90.3% \| \| 89.8% \| \| \|\n\| % of Students w/Loans \| 73.4% \| \| 77.7% \| \| 72.3% \| \| 69.4% \| \| 76.9% \| \| 76.5% \| \| 76.5% \| \| 76.1% \| \| \|\n\| % of Students w/Scholarships/Grants \| 20.8% \| \| 19.9% \| \| 17.5% \| \| 17.4% \| \| 19.6% \| \| 23.4% \| \| 24.4% \| \| 23% \| \| \|\n\| % of Students w/Academic Merit-based Scholarships \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| N/A \| \| \|\n\nMSBS Program\n\n\| Total # of Students \| 15 \|\n\|---\|---\|\n\| Total # of Students w/Aid \| 10 \|\n\| % of Students w/Aid \| 66.6% \|\n\| % of Students w/Loans \| 66.6% \|\n\| % of Students w/Scholarships/Grants \| 6% \|\n\nC. Tuition Discount Rates (TDR) for graduate/professional students\n\nDO Program\n\n\| AY 2009- 2010 \| AY 2010- 2011 \| AY 2011- 2012 \| AY 2012- 2013 \| AY 2013- 2014 \| AY 2014- 2015 \| AY 2015- 2016 \| AY 2016- 2017 \|\n\|---\|---\|---\|---\|---\|---\|---\|---\|\n\| $120,000 \| $178,412 \| $186,363 \| $315,118 \| $680,020 \| $856,756 \| $1,009,143 \| $1,016,008 \|\n\| $11,425,950 \| $17,544,986 \| $24,183,406 \| $26,481,113 \| $28,218,343 \| $30,333,006 \| $31,642,050 \| $33,271,008 \|\n\| 1.1% \| 1.0% \| 0.8% \| 1.2% \| 2.4% \| 2.8% \| 3.2% \| 3.1% \|\n\nMSBS Program\n\n\| \| \| AY 2016-2017 \| AY 2017-2018 \|\n\|---\|---\|---\|---\|\n\| I = Institutional Aid for Tuition \| $0 \| \| \|\n\| P = Tuition Payments Expected \| $375,300 \| \| \|\n\nVII. Faculty\n\nData represent the most recent IPEDS reporting period (Spring 2018).\n\n\| \| \| Gender \| Race/Ethnicity \|\n\|---\|---\|---\|---\|\n\| Full-time Faculty \| Male: 39 (61%) Female: 25 (39%) \| \| \|\n\| Part-time Faculty \| Male: 24 (63%) Female: 14 (37%) \| \| \|\n\| \| \| Highest Degree Attained \| Rank \|\n\| Full-time Faculty \| Terminal Degrees: 100% Professional Degree (DO, MD, JD, MLS, etc.): 40 Academic Degree (PhD, EdD, etc.): 26 (2 duplicates) \| \| \|\n</text>\n", "role": "user" }, { "content": "ocation)\n\n\| \| Entrance \| Applicants \| \| \| Accepted \| \| Matriculated \| \| MCAT Mean \| \| Mean \| Mean Science \|\n\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|\n\| \| Year \| \| \| \| Students \| \| Students \| \| Score \| \| GPA \| GPA \|\n\| \| 2008 \| 2,112 \| \| 303 (14.", "role": "assistant" } ]
HEARTLAND CASH AND TERM PIE FUND FINANCIAL STATEMENTS FOR THE YEAR ENDED 30 JUNE 2015 HEARTLAND CASH AND TERM PIE FUND MANAGER'S STATEMENT FOR THE YEAR ENDED 30 JUNE 2015 Statutory Base The Heartland Cash and Term PIE Fund (Fund) was established under the Unit Trust Act 1960, a Master Trust Deed dated 1 December 2008 and an Establishment Deed dated 1 December 2008 (Establishment Date). The Heartland Cash and Term PIE Fund is currently governed by a replacement Trust Deed dated 1 December 2014. Each of these Deeds are between The New Zealand Guardian Trust Company Limited (Trustee) and Heartland PIE Fund Limited (Manager). Statement by the Manager After due enquiry by us in relation to the period between 1 July 2014 and 30 June 2015, being the date of the accompanying financial statements there have not, in our opinion, been any material or adverse changes to the value of the Fund's assets relative to its liabilities (including contingent liabilities) and the ability of the Fund to pay its debts as they become due in the normal course of business. For and on behalf of the Manager Heartland PIE Fund Limited Director Director 18 August 2015 HEARTLAND CASH AND TERM PIE FUND STATEMENT OF COMPREHENSIVE INCOME FOR THE YEAR ENDED 30 JUNE 2015 The accounting policies and notes form part of, and should be read in conjunction with, these financial statements. HEARTLAND CASH AND TERM PIE FUND STATEMENT OF CHANGES IN NET ASSETS ATTRIBUTABLE TO UNIT HOLDERS FOR THE YEAR ENDED 30 JUNE 2015 The accounting policies and notes form part of, and should be read in conjunction with, these financial statements. HEARTLAND CASH AND TERM PIE FUND STATEMENT OF NET ASSETS AS AT 30 JUNE 2015 The accounting policies and notes form part of, and should be read in conjunction with, these financial statements. For and on behalf of the directors of Heartland PIE Fund Limited as Manager who authorised these financial statements for issue on 18 August 2015. Director Director HEARTLAND CASH AND TERM PIE FUND STATEMENT OF CASH FLOWS FOR THE YEAR ENDED 30 JUNE 2015 Reconciliation of net profit after taxation and before Unit Holder activities to net cash flows from operating activities Net profit after taxation and before Unit Holder activities 2015 $000 1,391 2014 $000 1,235 Net cash flows from operating activities 1,391 1,235 The accounting policies and notes form part of, and should be read in conjunction with, these financial statements. 1 Cash reflects the balance of cash and liquid assets used in the day-to-day cash management of the fund. Basis of reporting Reporting entity The Fund is constituted by a master trust deed (Trust Deed) dated 1 December 2008 (as amended and restated on 26 November 2012 and 1 December 2014) between The New Zealand Guardian Trust Company Limited (Trustee) and Heartland PIE Fund Limited (Manager). The Fund is a unit trust established under the Unit Trusts Act 1960. The Manager is a subsidiary of Heartland Bank Limited (Heartland Bank) and has appointed Heartland Bank as Registrar in accordance with the Registry Management Agreement dated 26 November 2012. The Registrar provides all services to, or for, the Manager. The Fund is domiciled in New Zealand and its registered office is Heartland House, 35 Teed Street, Newmarket, Auckland 1023, New Zealand. The financial statements for the Fund comprise of the following types of account: Heartland Cash PIE Account Heartland Term PIE Account Basis of preparation These financial statements have been prepared by the Registrar in accordance with the Trust Deed, the Financial Reporting Act 1993 (as permitted by the transitional requirements of the Financial Markets Conduct Act 2013) and Generally Accepted Accounting Practice in New Zealand (NZ GAAP). They comply with New Zealand equivalents to International Financial Reporting Standards (NZ IFRS), and other applicable financial reporting standards as appropriate to profit-oriented entities. The Fund is a profit-oriented entity. These financial statements are presented in New Zealand dollars which is the Fund's functional currency. Unless otherwise indicated amounts are rounded to the nearest thousand. The financial statements have been prepared on the basis of historical cost, unless stated otherwise. Estimates and judgements The preparation of financial statements requires the use of management judgement, estimates and assumptions that effect reported amounts. Actual results may differ from these judgements. Performance 1 Segmental information The Fund operates in one industry segment, being the financial investment sector, and in one geographic segment, being New Zealand. 2 Revenue recognition Revenue is recognised to the extent that it is probable that economic benefits will flow to the Fund and that revenue can be reliably measured. The principal source of revenue is interest income. For financial instruments measured at amortised cost, the effective interest method is used to measure the interest income recognised in profit or loss. 3 Income tax The Fund qualifies as and has elected to be a Portfolio Investment Entity (PIE) for tax purposes. Under the PIE regime, income is effectively taxed in the hands of the Unit Holder and therefore the Fund has no tax expense or deferred tax assets or liabilities. Accordingly, no income tax expense is recognised in profit or loss. As a PIE, each Fund allocates all of its taxable income (or losses) between its unit holders based on the number of units held by each unit holder. Consequently the Fund has no liability for income tax in its own right. The Registrar has calculated tax payable on income allocated to each unit holder at their nominated Prescribed Investor Rate (PIR) by deducting the amount of tax from their number of units held in the Fund. The Registrar has withheld $477k (June 2014: $415k) of tax payable on income allocated to each investor, of which $98k (June 2014: $56k) remains due to the Inland Revenue. Financial position 4 Investments The valuation of investments in Heartland Bank's Term and Call Deposits (Deposits) takes into account the accrual of interest. These investments are classified as loans and receivables and are measured at amortised cost using the effective interest rate method. This approximates their fair value. Repricing and maturity analysis of investments The interest rate risk profile of investments that follows has been prepared on the basis of maturity which is the repricing date. The effective weighted interest rate of these investments as at 30 June 2015 is 4.38% p.a (June 2014: 4.14%). 5 Unit Holders' Funds Unit Holders' funds are classified as equity. Units issued by the Fund provide the Unit Holders with the right to require redemption for cash at the value proportionate to the Unit Holders' share in the Fund's net asset value. The units qualify as puttable instruments. 6 Related party transactions The Fund is managed by Heartland PIE Fund Limited. The Manager's immediate parent is Heartland Bank and its ultimate parent is Heartland New Zealand Limited. The following disclosure of related party transactions and balances is made: a) The Fund deals with Heartland Bank in the normal course of business, in its capacity as Registrar of the Fund and also invests in Heartland Bank Deposits. b) Fees and expenses, including audit fees are paid on behalf of the Fund by Heartland Bank, in its capacity as the Registrar of the Fund. c) No amounts owed to the Fund by related parties have been written off or forgiven during the year. d) Key management personnel include Directors, Executives and their immediate relatives. Key management personnel of the Manager and Heartland Bank have transacted with the Fund during the year as follows: 7 Fair Value The Fund measures fair values using the following fair value hierarchy, which reflects the significance of the inputs used in making the measurements. Level 1: Quoted prices (unadjusted) in active markets for identical assets or liabilities. Level 2: Inputs other than quoted prices included within level 1 that are observable for the asset or liability, either directly (that is, as prices) or indirectly (derived from prices). Level 3: Inputs for the asset or liability that are not based on observable market data (unobservable inputs). The Fund recognises transfers between levels of the fair value hierarchy as at the end of the reporting period during which the change has occurred. Investments in Heartland Bank deposits The fair value of all investments in Heartland Bank deposits are considered equivalent to their carrying value due to their short term nature (Level 1 in the fair value hierarchy). Other receivables and other liabilities The Fund has not disclosed the fair values for financial instruments such as short-term trade receivables and payables, because their carrying amounts are a reasonable approximation of fair values (Level 3 in the fair value hierarchy). Risk management 8 Credit risk Credit risk is the risk that a borrower will default on any type of debt by failing to make payments which it is obligated to do so. The Fund invests only in deposits with Heartland Bank and the Fund's maximum credit risk is considered to be the carrying value of this investment. The Funds credit risk is mitigated by Heartland Banks external credit rating of BBB (Outlook Stable) by Fitch Ratings. 9 Liquidity risk Liquidity risk is the risk that the Fund may encounter difficulty in raising funds at short notice to meet its commitments and arises from any mismatch of the maturity of monetary assets and liabilities. The Fund manages this risk by matching the term of its investments in Heartland Bank Deposits with the term of the units issued. In the event the Unit Holders redeem their investments in the Fund, the Fund also has the ability to withdraw its underlying investments in Heartland Bank. The Fund is reliant on Heartland Bank repaying the Fund at the required time. 10 Interest rate risk Interest rate risk is the risk that market interest rates will change and impact on the Fund's financial results by affecting the margin between interest earning assets and interest bearing liabilities. In the Heartland Term PIE Fund, the interest rates on Unit Holders' contributions are determined at the time of contribution. The agreed rate is locked in by Heartland Bank as Registrar through simultaneous investment in Heartland Bank Deposits. No interest rate fluctuations can occur on this account during its term. In the Heartland Cash PIE Fund, interest rates are effectively matched between the deposits the Fund holds with Heartland Bank and the investments the Unit Holders hold in the Fund. Therefore, the Fund is not exposed to interest rate risk and sensitivity analysis is not presented. HEARTLAND CASH AND TERM PIE FUND NOTES TO THE FINANCIAL STATEMENTS FOR THE YEAR ENDED 30 JUNE 2015 Other disclosures 11 Contingent liabilities and commitments At 30 June 2015 there were no material contingent liabilities or commitments (June 2014: Nil). 12 Changes in accounting policies There have been no changes in accounting policies in the current year. New standards and interpretations not yet adopted New standards which are not yet effective for the year ended 30 June 2015 have not been applied in preparing these financial statements. The new standard identified which may have an effect on the financial statements of the Fund is: - NZ IFRS 9 Financial Instruments, which specifies how an entity should classify and measure financial assets, effective 1 January 2018 and expected to be applied for the year ending 30 June 2019. This standard is not expected to have a significant impact on the financial statements of the Fund. 13 Events after reporting date There have been no material events subsequent to reporting date that would affect the interpretation of the financial statements or the performance of the Fund. Page 10 of 13 HEARTLAND CASH AND TERM PIE FUND DIRECTORY INFORMATION Trustee The New Zealand Guardian Trust Company Limited 48 Shortland Street Auckland 1010 Manager Heartland PIE Fund Limited Heartland House 35 Teed Street Newmarket Auckland 1023 Registrar Heartland Bank Limited Heartland House 35 Teed Street Newmarket Auckland 1023 Auditor KPMG KPMG Centre 18 Viaduct Harbour Avenue Auckland 1010 All correspondence from Unit Holders may be sent to: The Manager Heartland PIE Fund PO Box 9919 Newmarket Auckland 1149 T 0800 85 20 20 F +64 9 927 9321 Correspondence specifically for the Trustee may be sent to: Relationship Manager, Corporate Trusts The New Zealand Guardian Trust Company Limited PO Box 1934 Auckland 1140 T +64 9 909 5100 F +64 9 969 3732 Investment Enquiries T 0800 85 20 20 F +64 9 927 9321 E [email protected] W www.heartland.co.nz Page 11 of 13 Independent auditor's report To the members of the Heartland Cash and Term PIE Fund Report on the financial statements We have audited the accompanying financial statements of the Heartland Cash and Term PIE Fund (''the fund'') on pages 2 to 10. The financial statements comprise the statement of net assets as at 30 June 2015, the statements of comprehensive income, changes in net assets and cash flows for the year then ended, and a summary of significant accounting policies and other explanatory information. Manager's responsibility for the financial statements The manager is responsible for the preparation of financial statements in accordance with generally accepted accounting practice in New Zealand that give a true and fair view of the matters to which they relate, and for such internal control as the manager determines is necessary to enable the preparation of financial statements that are free from material misstatement whether due to fraud or error. Auditor's responsibility Our responsibility is to express an opinion on these financial statements based on our audit. We conducted our audit in accordance with International Standards on Auditing (New Zealand). Those standards require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor's judgement, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the fund's preparation of the financial statements that give a true and fair view of the matters to which they relate in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the fund's internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates, as well as evaluating the presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion. Our firm has also provided other services to the fund in relation to other assurance services, general accounting and other advisory services. Subject to certain restrictions, partners and employees of our firm may also deal with the fund on normal terms within the ordinary course of trading activities of the business of the fund. These matters have not impaired our independence as auditor of the fund. The firm has no other relationship with, or interest in, the fund. Opinion In our opinion the financial statements on pages 2 to 10: * comply with generally accepted accounting practice in New Zealand; * give a true and fair view of the financial position of the fund as at 30 June 2015 and of its financial performance and cash flows for the year then ended. Report on other legal and regulatory requirements In accordance with the requirements of sections 16(1)(d) and 16(1)(e) of the Financial Reporting Act 1993, we report that: * we have obtained all the information and explanations that we have required; and * in our opinion, proper accounting records have been kept by the Heartland Cash and Term PIE Fund as far as appears from our examination of those records. 18 August 2015 Auckland	<urn:uuid:d03bcfc5-e85b-4eb9-a43a-c4db8f9b7ce7>	CC-MAIN-2019-09	https://www.heartland.co.nz/Uploads/Documents%20and%20Forms/PIE/Heartland%20PIE%20Fund%20Jun%2015.pdf	2019-02-16T10:00:40Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-09/segments/1550247480240.25/warc/CC-MAIN-20190216085312-20190216111312-00161.warc.gz	843,526,972	3,427	eng_Latn	eng_Latn	0.870968	eng_Latn	0.989454	[ "pis_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 85, 1165, 1630, 1992, 2584, 4522, 6012, 6931, 9007, 10856, 12016, 12922, 15808, 16544 ]	HEARTLAND CASH AND TERM PIE FUND FINANCIAL STATEMENTS FOR THE YEAR ENDED 30 JUNE 2015 HEARTLAND CASH AND TERM PIE FUND MANAGER'S STATEMENT FOR THE YEAR ENDED 30 JUNE 2015 Statutory Base The Heartland Cash and Term PIE Fund (Fund) was established under the Unit Trust Act 1960, a Master Trust Deed dated 1 December 2008 and an Establishment Deed dated 1 December 2008 (Establishment Date). The Heartland Cash and Term PIE Fund is currently governed by a replacement Trust Deed dated 1 December 2014. Each of these Deeds are between The New Zealand Guardian Trust Company Limited (Trustee) and Heartland PIE Fund Limited (Manager). Statement by the Manager After due enquiry by us in relation to the period between 1 July 2014 and 30 June 2015, being the date of the accompanying financial statements there have not, in our opinion, been any material or adverse changes to the value of the Fund's assets relative to its liabilities (including contingent liabilities) and the ability of the Fund to pay its debts as they become due in the normal course of business. For and on behalf of the Manager Heartland PIE Fund Limited Di	rector Director 18 August 2015 HEARTLAND CASH AND TERM PIE FUND STATEMENT OF COMPREHENSIVE INCOME FOR THE YEAR ENDED 30 JUNE 2015 The accounting policies and notes form part of, and should be read in conjunction with, these financial statements.	HEARTLAND CASH AND TERM PIE FUND STATEMENT OF CHANGES IN NET ASSETS ATTRIBUTABLE TO UNIT HOLDERS FOR THE YEAR ENDED 30 JUNE 2015 The accounting policies and notes form part of, and should be read in conjunction with, these financial statements. HEARTLAND CASH AND TERM PIE FUND STATEMENT OF NET ASSETS AS AT 30 JUNE 2015 The accounting policies and notes form part of, and should be read in conjunction with, these financial statements. For and on behalf of the directors of Heartland PIE Fund Limited as Manager who authorised these financial statements for issue on 18 August 2015. Director Director HEARTLAND CASH AND TERM PIE FUND STATEMENT OF CASH FLOWS FOR THE YEAR ENDED 30 JUNE 2015 Reconciliation of net profit after taxation and before Unit Holder activities to net cash flows from operating activities Net profit after taxation and before Unit Holder activities 2015 $000 1,391 2014 $000 1,235 Net cash flows from operating activities 1,391 1,235 The accounting policies and notes form part of, and should be read in conjunction with, these financial statements. 1 Cash reflects the balance of cash and liquid assets used in the day-to-day cash management of the fund. Basis of reporting Reporting entity The Fund is constituted by a master trust deed (Trust Deed) dated 1 December 2008 (as amended and restated on 26 November 2012 and 1 December 2014) between The New Zealand Guardian Trust Company Limited (Trustee) and Heartland PIE Fund Limited (Manager). The Fund is a unit trust established under the Unit Trusts Act 1960. The Manager is a subsidiary of Heartland Bank Limited (Heartland Bank) and has appointed Heartland Bank as Registrar in accordance with the Registry Management Agreement dated 26 November 2012. The Registrar provides all services to, or for, the Manager. The Fund is domiciled in New Zealand and its registered office is Heartland House, 35 Teed Street, Newmarket, Auckland 1023, New Zealand. The financial statements for the Fund comprise of the following types of account: Heartland Cash PIE Account Heartland Term PIE Account Basis of preparation These financial statements have been prepared by the Registrar in accordance with the Trust Deed, the Financial Reporting Act 1993 (as permitted by the transitional requirements of the Financial Markets Conduct Act 2013) and Generally Accepted Accounting Practice in New Zealand (NZ GAAP). They comply with New Zealand equivalents to International Financial Reporting Standards (NZ IFRS), and other applicable financial reporting standards as appropriate to profit-oriented entities. The Fund is a profit-oriented entity. These financial statements are presented in New Zealand dollars which is the Fund's functional currency. Unless otherwise indicated amounts are rounded to the nearest thousand. The financial statements have been prepared on the basis of historical cost, unless stated otherwise. Estimates and judgements The preparation of financial statements requires the use of management judgement, estimates and assumptions that effect reported amounts. Actual results may differ from these judgements. Performance 1 Segmental information The Fund operates in one industry segment, being the financial investment sector, and in one geographic segment, being New Zealand. 2 Revenue recognition Revenue is recognised to the extent that it is probable that economic benefits will flow to the Fund and that revenue can be reliably measured. The principal source of revenue is interest income. For financial instruments measured at amortised cost, the effective interest method is used to measure the interest income recognised in profit or loss. 3 Income tax The Fund qualifies as and has elected to be a Portfolio Investment Entity (PIE) for tax purposes. Under the PIE regime, income is effectively taxed in the hands of the Unit Holder and therefore the Fund has no tax expense or deferred tax assets or liabilities. Accordingly, no income tax expense is recognised in profit or loss. As a PIE, each Fund allocates all of its taxable income (or losses) between its unit holders based on the number of units held by each unit holder. Consequently the Fund has no liability for income tax in its own right. The Registrar has calculated tax payable on income allocated to each unit holder at their nominated Prescribed Investor Rate (PIR) by deducting the amount of tax from their number of units held in the Fund. The Registrar has withheld $477k (June 2014: $415k) of tax payable on income allocated to each investor, of which $98k (June 2014: $56k) remains due to the Inland Revenue. Financial position 4 Investments The valuation of investments in Heartland Bank's Term and Call Deposits (Deposits) takes into account the accrual of interest. These investments are classified as loans and receivables and are measured at amortised cost using the effective interest rate method. This approximates their fair value. Repricing and maturity analysis of investments The interest rate risk profile of investments that follows has been prepared on the basis of maturity which is the repricing date. The effective weighted interest rate of these investments as at 30 June 2015 is 4.38% p.a (June 2014: 4.14%). 5 Unit Holders' Funds Unit Holders' funds are classified as equity. Units issued by the Fund provide the Unit Holders with the right to require redemption for cash at the value proportionate to the Unit Holders' share in the Fund's net asset value. The units qualify as puttable instruments. 6 Related party transactions The Fund is managed by Heartland PIE Fund Limited. The Manager's immediate parent is Heartland Bank and its ultimate parent is Heartland New Zealand Limited. The following disclosure of related party transactions and balances is made: a) The Fund deals with Heartland Bank in the normal course of business, in its capacity as Registrar of the Fund and also invests in Heartland Bank Deposits. b) Fees and expenses, including audit fees are paid on behalf of the Fund by Heartland Bank, in its capacity as the Registrar of the Fund. c) No amounts owed to the Fund by related parties have been written off or forgiven during the year. d) Key management personnel include Directors, Executives and their immediate relatives. Key management personnel of the Manager and Heartland Bank have transacted with the Fund during the year as follows: 7 Fair Value The Fund measures fair values using the following fair value hierarchy, which reflects the significance of the inputs used in making the measurements. Level 1: Quoted prices (unadjusted) in active markets for identical assets or liabilities. Level 2: Inputs other than quoted prices included within level 1 that are observable for the asset or liability, either directly (that is, as prices) or indirectly (derived from prices). Level 3: Inputs for the asset or liability that are not based on observable market data (unobservable inputs). The Fund recognises transfers between levels of the fair value hierarchy as at the end of the reporting period during which the change has occurred. Investments in Heartland Bank deposits The fair value of all investments in Heartland Bank deposits are considered equivalent to their carrying value due to their short term nature (Level 1 in the fair value hierarchy). Other receivables and other liabilities The Fund has not disclosed the fair values for financial instruments such as short-term trade receivables and payables, because their carrying amounts are a reasonable approximation of fair values (Level 3 in the fair value hierarchy). Risk management 8 Credit risk Credit risk is the risk that a borrower will default on any type of debt by failing to make payments which it is obligated to do so. The Fund invests only in deposits with Heartland Bank and the Fund's maximum credit risk is considered to be the carrying value of this investment. The Funds credit risk is mitigated by Heartland Banks external credit rating of BBB (Outlook Stable) by Fitch Ratings. 9 Liquidity risk Liquidity risk is the risk that the Fund may encounter difficulty in raising funds at short notice to meet its commitments and arises from any mismatch of the maturity of monetary assets and liabilities. The Fund manages this risk by matching the term of its investments in Heartland Bank Deposits with the term of the units issued. In the event the Unit Holders redeem their investments in the Fund, the Fund also has the ability to withdraw its underlying investments in Heartland Bank. The Fund is reliant on Heartland Bank repaying the Fund at the required time. 10 Interest rate risk Interest rate risk is the risk that market interest rates will change and impact on the Fund's financial results by affecting the margin between interest earning assets and interest bearing liabilities. In the Heartland Term PIE Fund, the interest rates on Unit Holders' contributions are determined at the time of contribution. The agreed rate is locked in by Heartland Bank as Registrar through simultaneous investment in Heartland Bank Deposits. No interest rate fluctuations can occur on this account during its term. In the Heartland Cash PIE Fund, interest rates are effectively matched between the deposits the Fund holds with Heartland Bank and the investments the Unit Holders hold in the Fund. Therefore, the Fund is not exposed to interest rate risk and sensitivity analysis is not presented. HEARTLAND CASH AND TERM PIE FUND NOTES TO THE FINANCIAL STATEMENTS FOR THE YEAR ENDED 30 JUNE 2015 Other disclosures 11 Contingent liabilities and commitments At 30 June 2015 there were no material contingent liabilities or commitments (June 2014: Nil). 12 Changes in accounting policies There have been no changes in accounting policies in the current year. New standards and interpretations not yet adopted New standards which are not yet effective for the year ended 30 June 2015 have not been applied in preparing these financial statements. The new standard identified which may have an effect on the financial statements of the Fund is: - NZ IFRS 9 Financial Instruments, which specifies how an entity should classify and measure financial assets, effective 1 January 2018 and expected to be applied for the year ending 30 June 2019. This standard is not expected to have a significant impact on the financial statements of the Fund. 13 Events after reporting date There have been no material events subsequent to reporting date that would affect the interpretation of the financial statements or the performance of the Fund. Page 10 of 13 HEARTLAND CASH AND TERM PIE FUND DIRECTORY INFORMATION Trustee The New Zealand Guardian Trust Company Limited 48 Shortland Street Auckland 1010 Manager Heartland PIE Fund Limited Heartland House 35 Teed Street Newmarket Auckland 1023 Registrar Heartland Bank Limited Heartland House 35 Teed Street Newmarket Auckland 1023 Auditor KPMG KPMG Centre 18 Viaduct Harbour Avenue Auckland 1010 All correspondence from Unit Holders may be sent to: The Manager Heartland PIE Fund PO Box 9919 Newmarket Auckland 1149 T 0800 85 20 20 F +64 9 927 9321 Correspondence specifically for the Trustee may be sent to: Relationship Manager, Corporate Trusts The New Zealand Guardian Trust Company Limited PO Box 1934 Auckland 1140 T +64 9 909 5100 F +64 9 969 3732 Investment Enquiries T 0800 85 20 20 F +64 9 927 9321 E [email protected] W www.heartland.co.nz Page 11 of 13 Independent auditor's report To the members of the Heartland Cash and Term PIE Fund Report on the financial statements We have audited the accompanying financial statements of the Heartland Cash and Term PIE Fund (''the fund'') on pages 2 to 10. The financial statements comprise the statement of net assets as at 30 June 2015, the statements of comprehensive income, changes in net assets and cash flows for the year then ended, and a summary of significant accounting policies and other explanatory information. Manager's responsibility for the financial statements The manager is responsible for the preparation of financial statements in accordance with generally accepted accounting practice in New Zealand that give a true and fair view of the matters to which they relate, and for such internal control as the manager determines is necessary to enable the preparation of financial statements that are free from material misstatement whether due to fraud or error. Auditor's responsibility Our responsibility is to express an opinion on these financial statements based on our audit. We conducted our audit in accordance with International Standards on Auditing (New Zealand). Those standards require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor's judgement, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the fund's preparation of the financial statements that give a true and fair view of the matters to which they relate in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the fund's internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates, as well as evaluating the presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion. Our firm has also provided other services to the fund in relation to other assurance services, general accounting and other advisory services. Subject to certain restrictions, partners and employees of our firm may also deal with the fund on normal terms within the ordinary course of trading activities of the business of the fund. These matters have not impaired our independence as auditor of the fund. The firm has no other relationship with, or interest in, the fund. Opinion In our opinion the financial statements on pages 2 to 10: * comply with generally accepted accounting practice in New Zealand; * give a true and fair view of the financial position of the fund as at 30 June 2015 and of its financial performance and cash flows for the year then ended. Report on other legal and regulatory requirements In accordance with the requirements of sections 16(1)(d) and 16(1)(e) of the Financial Reporting Act 1993, we report that: * we have obtained all the information and explanations that we have required; and * in our opinion, proper accounting records have been kept by the Heartland Cash and Term PIE Fund as far as appears from our examination of those records. 18 August 2015 Auckland	1,133	inside_word	Director	remove_one_sentence	<url> https://www.heartland.co.nz/Uploads/Documents%20and%20Forms/PIE/Heartland%20PIE%20Fund%20Jun%2015.pdf </url> <text> HEARTLAND CASH AND TERM PIE FUND FINANCIAL STATEMENTS FOR THE YEAR ENDED 30 JUNE 2015 HEARTLAND CASH AND TERM PIE FUND MANAGER'S STATEMENT FOR THE YEAR ENDED 30 JUNE 2015 Statutory Base The Heartland Cash and Term PIE Fund (Fund) was established under the Unit Trust Act 1960, a Master Trust Deed dated 1 December 2008 and an Establishment Deed dated 1 December 2008 (Establishment Date). The Heartland Cash and Term PIE Fund is currently governed by a replacement Trust Deed dated 1 December 2014. Each of these Deeds are between The New Zealand Guardian Trust Company Limited (Trustee) and Heartland PIE Fund Limited (Manager). Statement by the Manager After due enquiry by us in relation to the period between 1 July 2014 and 30 June 2015, being the date of the accompanying financial statements there have not, in our opinion, been any material or adverse changes to the value of the Fund's assets relative to its liabilities (including contingent liabilities) and the ability of the Fund to pay its debts as they become due in the normal course of business. For and on behalf of the Manager Heartland PIE Fund Limited Di<cursor_is_here> HEARTLAND CASH AND TERM PIE FUND STATEMENT OF CHANGES IN NET ASSETS ATTRIBUTABLE TO UNIT HOLDERS FOR THE YEAR ENDED 30 JUNE 2015 The accounting policies and notes form part of, and should be read in conjunction with, these financial statements. HEARTLAND CASH AND TERM PIE FUND STATEMENT OF NET ASSETS AS AT 30 JUNE 2015 The accounting policies and notes form part of, and should be read in conjunction with, these financial statements. For and on behalf of the directors of Heartland PIE Fund Limited as Manager who authorised these financial statements for issue on 18 August 2015. Director Director HEARTLAND CASH AND TERM PIE FUND STATEMENT OF CASH FLOWS FOR THE YEAR ENDED 30 JUNE 2015 Reconciliation of net profit after taxation and before Unit Holder activities to net cash flows from operating activities Net profit after taxation and before Unit Holder activities 2015 $000 1,391 2014 $000 1,235 Net cash flows from operating activities 1,391 1,235 The accounting policies and notes form part of, and should be read in conjunction with, these financial statements. 1 Cash reflects the balance of cash and liquid assets used in the day-to-day cash management of the fund. Basis of reporting Reporting entity The Fund is constituted by a master trust deed (Trust Deed) dated 1 December 2008 (as amended and restated on 26 November 2012 and 1 December 2014) between The New Zealand Guardian Trust Company Limited (Trustee) and Heartland PIE Fund Limited (Manager). The Fund is a unit trust established under the Unit Trusts Act 1960. The Manager is a subsidiary of Heartland Bank Limited (Heartland Bank) and has appointed Heartland Bank as Registrar in accordance with the Registry Management Agreement dated 26 November 2012. The Registrar provides all services to, or for, the Manager. The Fund is domiciled in New Zealand and its registered office is Heartland House, 35 Teed Street, Newmarket, Auckland 1023, New Zealand. The financial statements for the Fund comprise of the following types of account: Heartland Cash PIE Account Heartland Term PIE Account Basis of preparation These financial statements have been prepared by the Registrar in accordance with the Trust Deed, the Financial Reporting Act 1993 (as permitted by the transitional requirements of the Financial Markets Conduct Act 2013) and Generally Accepted Accounting Practice in New Zealand (NZ GAAP). They comply with New Zealand equivalents to International Financial Reporting Standards (NZ IFRS), and other applicable financial reporting standards as appropriate to profit-oriented entities. The Fund is a profit-oriented entity. These financial statements are presented in New Zealand dollars which is the Fund's functional currency. Unless otherwise indicated amounts are rounded to the nearest thousand. The financial statements have been prepared on the basis of historical cost, unless stated otherwise. Estimates and judgements The preparation of financial statements requires the use of management judgement, estimates and assumptions that effect reported amounts. Actual results may differ from these judgements. Performance 1 Segmental information The Fund operates in one industry segment, being the financial investment sector, and in one geographic segment, being New Zealand. 2 Revenue recognition Revenue is recognised to the extent that it is probable that economic benefits will flow to the Fund and that revenue can be reliably measured. The principal source of revenue is interest income. For financial instruments measured at amortised cost, the effective interest method is used to measure the interest income recognised in profit or loss. 3 Income tax The Fund qualifies as and has elected to be a Portfolio Investment Entity (PIE) for tax purposes. Under the PIE regime, income is effectively taxed in the hands of the Unit Holder and therefore the Fund has no tax expense or deferred tax assets or liabilities. Accordingly, no income tax expense is recognised in profit or loss. As a PIE, each Fund allocates all of its taxable income (or losses) between its unit holders based on the number of units held by each unit holder. Consequently the Fund has no liability for income tax in its own right. The Registrar has calculated tax payable on income allocated to each unit holder at their nominated Prescribed Investor Rate (PIR) by deducting the amount of tax from their number of units held in the Fund. The Registrar has withheld $477k (June 2014: $415k) of tax payable on income allocated to each investor, of which $98k (June 2014: $56k) remains due to the Inland Revenue. Financial position 4 Investments The valuation of investments in Heartland Bank's Term and Call Deposits (Deposits) takes into account the accrual of interest. These investments are classified as loans and receivables and are measured at amortised cost using the effective interest rate method. This approximates their fair value. Repricing and maturity analysis of investments The interest rate risk profile of investments that follows has been prepared on the basis of maturity which is the repricing date. The effective weighted interest rate of these investments as at 30 June 2015 is 4.38% p.a (June 2014: 4.14%). 5 Unit Holders' Funds Unit Holders' funds are classified as equity. Units issued by the Fund provide the Unit Holders with the right to require redemption for cash at the value proportionate to the Unit Holders' share in the Fund's net asset value. The units qualify as puttable instruments. 6 Related party transactions The Fund is managed by Heartland PIE Fund Limited. The Manager's immediate parent is Heartland Bank and its ultimate parent is Heartland New Zealand Limited. The following disclosure of related party transactions and balances is made: a) The Fund deals with Heartland Bank in the normal course of business, in its capacity as Registrar of the Fund and also invests in Heartland Bank Deposits. b) Fees and expenses, including audit fees are paid on behalf of the Fund by Heartland Bank, in its capacity as the Registrar of the Fund. c) No amounts owed to the Fund by related parties have been written off or forgiven during the year. d) Key management personnel include Directors, Executives and their immediate relatives. Key management personnel of the Manager and Heartland Bank have transacted with the Fund during the year as follows: 7 Fair Value The Fund measures fair values using the following fair value hierarchy, which reflects the significance of the inputs used in making the measurements. Level 1: Quoted prices (unadjusted) in active markets for identical assets or liabilities. Level 2: Inputs other than quoted prices included within level 1 that are observable for the asset or liability, either directly (that is, as prices) or indirectly (derived from prices). Level 3: Inputs for the asset or liability that are not based on observable market data (unobservable inputs). The Fund recognises transfers between levels of the fair value hierarchy as at the end of the reporting period during which the change has occurred. Investments in Heartland Bank deposits The fair value of all investments in Heartland Bank deposits are considered equivalent to their carrying value due to their short term nature (Level 1 in the fair value hierarchy). Other receivables and other liabilities The Fund has not disclosed the fair values for financial instruments such as short-term trade receivables and payables, because their carrying amounts are a reasonable approximation of fair values (Level 3 in the fair value hierarchy). Risk management 8 Credit risk Credit risk is the risk that a borrower will default on any type of debt by failing to make payments which it is obligated to do so. The Fund invests only in deposits with Heartland Bank and the Fund's maximum credit risk is considered to be the carrying value of this investment. The Funds credit risk is mitigated by Heartland Banks external credit rating of BBB (Outlook Stable) by Fitch Ratings. 9 Liquidity risk Liquidity risk is the risk that the Fund may encounter difficulty in raising funds at short notice to meet its commitments and arises from any mismatch of the maturity of monetary assets and liabilities. The Fund manages this risk by matching the term of its investments in Heartland Bank Deposits with the term of the units issued. In the event the Unit Holders redeem their investments in the Fund, the Fund also has the ability to withdraw its underlying investments in Heartland Bank. The Fund is reliant on Heartland Bank repaying the Fund at the required time. 10 Interest rate risk Interest rate risk is the risk that market interest rates will change and impact on the Fund's financial results by affecting the margin between interest earning assets and interest bearing liabilities. In the Heartland Term PIE Fund, the interest rates on Unit Holders' contributions are determined at the time of contribution. The agreed rate is locked in by Heartland Bank as Registrar through simultaneous investment in Heartland Bank Deposits. No interest rate fluctuations can occur on this account during its term. In the Heartland Cash PIE Fund, interest rates are effectively matched between the deposits the Fund holds with Heartland Bank and the investments the Unit Holders hold in the Fund. Therefore, the Fund is not exposed to interest rate risk and sensitivity analysis is not presented. HEARTLAND CASH AND TERM PIE FUND NOTES TO THE FINANCIAL STATEMENTS FOR THE YEAR ENDED 30 JUNE 2015 Other disclosures 11 Contingent liabilities and commitments At 30 June 2015 there were no material contingent liabilities or commitments (June 2014: Nil). 12 Changes in accounting policies There have been no changes in accounting policies in the current year. New standards and interpretations not yet adopted New standards which are not yet effective for the year ended 30 June 2015 have not been applied in preparing these financial statements. The new standard identified which may have an effect on the financial statements of the Fund is: - NZ IFRS 9 Financial Instruments, which specifies how an entity should classify and measure financial assets, effective 1 January 2018 and expected to be applied for the year ending 30 June 2019. This standard is not expected to have a significant impact on the financial statements of the Fund. 13 Events after reporting date There have been no material events subsequent to reporting date that would affect the interpretation of the financial statements or the performance of the Fund. Page 10 of 13 HEARTLAND CASH AND TERM PIE FUND DIRECTORY INFORMATION Trustee The New Zealand Guardian Trust Company Limited 48 Shortland Street Auckland 1010 Manager Heartland PIE Fund Limited Heartland House 35 Teed Street Newmarket Auckland 1023 Registrar Heartland Bank Limited Heartland House 35 Teed Street Newmarket Auckland 1023 Auditor KPMG KPMG Centre 18 Viaduct Harbour Avenue Auckland 1010 All correspondence from Unit Holders may be sent to: The Manager Heartland PIE Fund PO Box 9919 Newmarket Auckland 1149 T 0800 85 20 20 F +64 9 927 9321 Correspondence specifically for the Trustee may be sent to: Relationship Manager, Corporate Trusts The New Zealand Guardian Trust Company Limited PO Box 1934 Auckland 1140 T +64 9 909 5100 F +64 9 969 3732 Investment Enquiries T 0800 85 20 20 F +64 9 927 9321 E [email protected] W www.heartland.co.nz Page 11 of 13 Independent auditor's report To the members of the Heartland Cash and Term PIE Fund Report on the financial statements We have audited the accompanying financial statements of the Heartland Cash and Term PIE Fund (''the fund'') on pages 2 to 10. The financial statements comprise the statement of net assets as at 30 June 2015, the statements of comprehensive income, changes in net assets and cash flows for the year then ended, and a summary of significant accounting policies and other explanatory information. Manager's responsibility for the financial statements The manager is responsible for the preparation of financial statements in accordance with generally accepted accounting practice in New Zealand that give a true and fair view of the matters to which they relate, and for such internal control as the manager determines is necessary to enable the preparation of financial statements that are free from material misstatement whether due to fraud or error. Auditor's responsibility Our responsibility is to express an opinion on these financial statements based on our audit. We conducted our audit in accordance with International Standards on Auditing (New Zealand). Those standards require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor's judgement, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the fund's preparation of the financial statements that give a true and fair view of the matters to which they relate in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the fund's internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates, as well as evaluating the presentation of the financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion. Our firm has also provided other services to the fund in relation to other assurance services, general accounting and other advisory services. Subject to certain restrictions, partners and employees of our firm may also deal with the fund on normal terms within the ordinary course of trading activities of the business of the fund. These matters have not impaired our independence as auditor of the fund. The firm has no other relationship with, or interest in, the fund. Opinion In our opinion the financial statements on pages 2 to 10: * comply with generally accepted accounting practice in New Zealand; * give a true and fair view of the financial position of the fund as at 30 June 2015 and of its financial performance and cash flows for the year then ended. Report on other legal and regulatory requirements In accordance with the requirements of sections 16(1)(d) and 16(1)(e) of the Financial Reporting Act 1993, we report that: * we have obtained all the information and explanations that we have required; and * in our opinion, proper accounting records have been kept by the Heartland Cash and Term PIE Fund as far as appears from our examination of those records. 18 August 2015 Auckland </text>	[ { "content": "<url>\nhttps://www.heartland.co.nz/Uploads/Documents%20and%20Forms/PIE/Heartland%20PIE%20Fund%20Jun%2015.pdf\n</url>\n<text>\nHEARTLAND CASH AND TERM PIE FUND FINANCIAL STATEMENTS FOR THE YEAR ENDED 30 JUNE 2015\n\nHEARTLAND CASH AND TERM PIE FUND MANAGER'S STATEMENT\n\nFOR THE YEAR ENDED 30 JUNE 2015\n\nStatutory Base\n\nThe Heartland Cash and Term PIE Fund (Fund) was established under the Unit Trust Act 1960, a Master Trust Deed dated 1 December 2008 and an Establishment Deed dated 1 December 2008 (Establishment Date). The Heartland Cash and Term PIE Fund is currently governed by a replacement Trust Deed dated 1 December 2014. Each of these Deeds are between The New Zealand Guardian Trust Company Limited (Trustee) and Heartland PIE Fund Limited (Manager).\n\nStatement by the Manager\n\nAfter due enquiry by us in relation to the period between 1 July 2014 and 30 June 2015, being the date of the accompanying financial statements there have not, in our opinion, been any material or adverse changes to the value of the Fund's assets relative to its liabilities (including contingent liabilities) and the ability of the Fund to pay its debts as they become due in the normal course of business.\n\nFor and on behalf of the Manager Heartland PIE Fund Limited\n\nDi<cursor_is_here>\n\nHEARTLAND CASH AND TERM PIE FUND\n\nSTATEMENT OF CHANGES IN NET ASSETS ATTRIBUTABLE TO UNIT HOLDERS FOR THE YEAR ENDED 30 JUNE 2015\n\nThe accounting policies and notes form part of, and should be read in conjunction with, these financial statements.\n\nHEARTLAND CASH AND TERM PIE FUND STATEMENT OF NET ASSETS AS AT 30 JUNE 2015\n\nThe accounting policies and notes form part of, and should be read in conjunction with, these financial statements.\n\nFor and on behalf of the directors of Heartland PIE Fund Limited as Manager who authorised these financial statements for issue on 18 August 2015.\n\nDirector\n\nDirector\n\nHEARTLAND CASH AND TERM PIE FUND STATEMENT OF CASH FLOWS FOR THE YEAR ENDED 30 JUNE 2015\n\nReconciliation of net profit after taxation and before Unit Holder activities to net cash flows from operating activities\n\nNet profit after taxation and before Unit Holder activities\n\n2015\n\n$000\n\n1,391\n\n2014\n\n$000\n\n1,235\n\nNet cash flows from operating activities\n\n1,391\n\n1,235\n\nThe accounting policies and notes form part of, and should be read in conjunction with, these financial statements.\n\n1 Cash reflects the balance of cash and liquid assets used in the day-to-day cash management of the fund.\n\nBasis of reporting\n\nReporting entity\n\nThe Fund is constituted by a master trust deed (Trust Deed) dated 1 December 2008 (as amended and restated on 26 November 2012 and 1 December 2014) between The New Zealand Guardian Trust Company Limited (Trustee) and Heartland PIE Fund Limited (Manager). The Fund is a unit trust established under the Unit Trusts Act 1960. The Manager is a subsidiary of Heartland Bank Limited (Heartland Bank) and has appointed Heartland Bank as Registrar in accordance with the Registry Management Agreement dated 26 November 2012. The Registrar provides all services to, or for, the Manager.\n\nThe Fund is domiciled in New Zealand and its registered office is Heartland House, 35 Teed Street, Newmarket, Auckland 1023, New Zealand.\n\nThe financial statements for the Fund comprise of the following types of account:\n\nHeartland Cash PIE Account\n\nHeartland Term PIE Account\n\nBasis of preparation\n\nThese financial statements have been prepared by the Registrar in accordance with the Trust Deed, the Financial Reporting Act 1993 (as permitted by the transitional requirements of the Financial Markets Conduct Act 2013) and Generally Accepted Accounting Practice in New Zealand (NZ GAAP). They comply with New Zealand equivalents to International Financial Reporting Standards (NZ IFRS), and other applicable financial reporting standards as appropriate to profit-oriented entities. The Fund is a profit-oriented entity.\n\nThese financial statements are presented in New Zealand dollars which is the Fund's functional currency. Unless otherwise indicated amounts are rounded to the nearest thousand.\n\nThe financial statements have been prepared on the basis of historical cost, unless stated otherwise.\n\nEstimates and judgements\n\nThe preparation of financial statements requires the use of management judgement, estimates and assumptions that effect reported amounts. Actual results may differ from these judgements.\n\nPerformance\n\n1 Segmental information\n\nThe Fund operates in one industry segment, being the financial investment sector, and in one geographic segment, being New Zealand.\n\n2 Revenue recognition\n\nRevenue is recognised to the extent that it is probable that economic benefits will flow to the Fund and that revenue can be reliably measured. The principal source of revenue is interest income. For financial instruments measured at amortised cost, the effective interest method is used to measure the interest income recognised in profit or loss.\n\n3 Income tax\n\nThe Fund qualifies as and has elected to be a Portfolio Investment Entity (PIE) for tax purposes. Under the PIE regime, income is effectively taxed in the hands of the Unit Holder and therefore the Fund has no tax expense or deferred tax assets or liabilities. Accordingly, no income tax expense is recognised in profit or loss.\n\nAs a PIE, each Fund allocates all of its taxable income (or losses) between its unit holders based on the number of units held by each unit holder. Consequently the Fund has no liability for income tax in its own right. The Registrar has calculated tax payable on income allocated to each unit holder at their nominated Prescribed Investor Rate (PIR) by deducting the amount of tax from their number of units held in the Fund.\n\nThe Registrar has withheld $477k (June 2014: $415k) of tax payable on income allocated to each investor, of which $98k (June 2014: $56k) remains due to the Inland Revenue.\n\nFinancial position\n\n4 Investments\n\nThe valuation of investments in Heartland Bank's Term and Call Deposits (Deposits) takes into account the accrual of interest. These investments are classified as loans and receivables and are measured at amortised cost using the effective interest rate method. This approximates their fair value.\n\nRepricing and maturity analysis of investments\n\nThe interest rate risk profile of investments that follows has been prepared on the basis of maturity which is the repricing date.\n\nThe effective weighted interest rate of these investments as at 30 June 2015 is 4.38% p.a (June 2014: 4.14%).\n\n5 Unit Holders' Funds\n\nUnit Holders' funds are classified as equity. Units issued by the Fund provide the Unit Holders with the right to require redemption for cash at the value proportionate to the Unit Holders' share in the Fund's net asset value. The units qualify as puttable instruments.\n\n6 Related party transactions\n\nThe Fund is managed by Heartland PIE Fund Limited.\nThe Manager's immediate parent is Heartland Bank and its ultimate parent is Heartland New Zealand Limited.\nThe following disclosure of related party transactions and balances is made:\na) The Fund deals with Heartland Bank in the normal course of business, in its capacity as Registrar of the Fund and also invests in Heartland Bank Deposits.\nb) Fees and expenses, including audit fees are paid on behalf of the Fund by Heartland Bank, in its capacity as the Registrar of the Fund.\nc) No amounts owed to the Fund by related parties have been written off or forgiven during the year.\nd) Key management personnel include Directors, Executives and their immediate relatives. Key management personnel of the Manager and Heartland Bank have transacted with the Fund during the year as follows:\n\n7 Fair Value\n\nThe Fund measures fair values using the following fair value hierarchy, which reflects the significance of the inputs used in making the measurements.\n\nLevel 1: Quoted prices (unadjusted) in active markets for identical assets or liabilities.\nLevel 2: Inputs other than quoted prices included within level 1 that are observable for the asset or liability, either directly (that is, as prices) or indirectly (derived from prices).\nLevel 3: Inputs for the asset or liability that are not based on observable market data (unobservable inputs).\n\nThe Fund recognises transfers between levels of the fair value hierarchy as at the end of the reporting period during which the change has occurred.\n\nInvestments in Heartland Bank deposits\n\nThe fair value of all investments in Heartland Bank deposits are considered equivalent to their carrying value due to their short term nature (Level 1 in the fair value hierarchy).\n\nOther receivables and other liabilities\n\nThe Fund has not disclosed the fair values for financial instruments such as short-term trade receivables and payables, because their carrying amounts are a reasonable approximation of fair values (Level 3 in the fair value hierarchy).\n\nRisk management\n\n8 Credit risk\n\nCredit risk is the risk that a borrower will default on any type of debt by failing to make payments which it is obligated to do so. The Fund invests only in deposits with Heartland Bank and the Fund's maximum credit risk is considered to be the carrying value of this investment. The Funds credit risk is mitigated by Heartland Banks external credit rating of BBB (Outlook Stable) by Fitch Ratings.\n\n9 Liquidity risk\n\nLiquidity risk is the risk that the Fund may encounter difficulty in raising funds at short notice to meet its commitments and arises from any mismatch of the maturity of monetary assets and liabilities. The Fund manages this risk by matching the term of its investments in Heartland Bank Deposits with the term of the units issued. In the event the Unit Holders redeem their investments in the Fund, the Fund also has the ability to withdraw its underlying investments in Heartland Bank. The Fund is reliant on Heartland Bank repaying the Fund at the required time.\n\n10 Interest rate risk\n\nInterest rate risk is the risk that market interest rates will change and impact on the Fund's financial results by affecting the margin between interest earning assets and interest bearing liabilities.\n\nIn the Heartland Term PIE Fund, the interest rates on Unit Holders' contributions are determined at the time of contribution. The agreed rate is locked in by Heartland Bank as Registrar through simultaneous investment in Heartland Bank Deposits. No interest rate fluctuations can occur on this account during its term.\n\nIn the Heartland Cash PIE Fund, interest rates are effectively matched between the deposits the Fund holds with Heartland Bank and the investments the Unit Holders hold in the Fund. Therefore, the Fund is not exposed to interest rate risk and sensitivity analysis is not presented.\n\nHEARTLAND CASH AND TERM PIE FUND NOTES TO THE FINANCIAL STATEMENTS\n\nFOR THE YEAR ENDED 30 JUNE 2015\n\nOther disclosures\n\n11 Contingent liabilities and commitments\n\nAt 30 June 2015 there were no material contingent liabilities or commitments (June 2014: Nil).\n\n12 Changes in accounting policies\n\nThere have been no changes in accounting policies in the current year.\n\nNew standards and interpretations not yet adopted\n\nNew standards which are not yet effective for the year ended 30 June 2015 have not been applied in preparing these financial statements. The new standard identified which may have an effect on the financial statements of the Fund is:\n\n- NZ IFRS 9 Financial Instruments, which specifies how an entity should classify and measure financial assets, effective 1 January 2018 and expected to be applied for the year ending 30 June 2019.\n\nThis standard is not expected to have a significant impact on the financial statements of the Fund.\n\n13 Events after reporting date\n\nThere have been no material events subsequent to reporting date that would affect the interpretation of the financial statements or the performance of the Fund.\n\nPage 10 of 13\n\nHEARTLAND CASH AND TERM PIE FUND DIRECTORY INFORMATION\n\nTrustee\n\nThe New Zealand Guardian Trust Company Limited 48 Shortland Street Auckland 1010\n\nManager\n\nHeartland PIE Fund Limited Heartland House 35 Teed Street Newmarket Auckland 1023\n\nRegistrar\n\nHeartland Bank Limited Heartland House 35 Teed Street Newmarket Auckland 1023\n\nAuditor\n\nKPMG\n\nKPMG Centre\n\n18 Viaduct Harbour Avenue\n\nAuckland 1010\n\nAll correspondence from Unit Holders may be sent to:\n\nThe Manager Heartland PIE Fund PO Box 9919 Newmarket Auckland 1149\n\nT 0800 85 20 20\n\nF +64 9 927 9321\n\nCorrespondence specifically for the Trustee may be sent to:\n\nRelationship Manager, Corporate Trusts\n\nThe New Zealand Guardian Trust Company Limited\n\nPO Box 1934\n\nAuckland 1140\n\nT +64 9 909 5100\n\nF +64 9 969 3732\n\nInvestment Enquiries\n\nT 0800 85 20 20\n\nF +64 9 927 9321\n\nE [email protected]\n\nW www.heartland.co.nz\n\nPage 11 of 13\n\nIndependent auditor's report\n\nTo the members of the Heartland Cash and Term PIE Fund\n\nReport on the financial statements\n\nWe have audited the accompanying financial statements of the Heartland Cash and Term PIE Fund (''the fund'') on pages 2 to 10. The financial statements comprise the statement of net assets as at 30 June 2015, the statements of comprehensive income, changes in net assets and cash flows for the year then ended, and a summary of significant accounting policies and other explanatory information.\n\nManager's responsibility for the financial statements\n\nThe manager is responsible for the preparation of financial statements in accordance with generally accepted accounting practice in New Zealand that give a true and fair view of the matters to which they relate, and for such internal control as the manager determines is necessary to enable the preparation of financial statements that are free from material misstatement whether due to fraud or error.\n\nAuditor's responsibility\n\nOur responsibility is to express an opinion on these financial statements based on our audit. We conducted our audit in accordance with International Standards on Auditing (New Zealand). Those standards require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the financial statements are free from material misstatement.\n\nAn audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial statements. The procedures selected depend on the auditor's judgement, including the assessment of the risks of material misstatement of the financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the fund's preparation of the financial statements that give a true and fair view of the matters to which they relate in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the fund's internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates, as well as evaluating the presentation of the financial statements.\n\nWe believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.\n\nOur firm has also provided other services to the fund in relation to other assurance services, general accounting and other advisory services. Subject to certain restrictions, partners and employees of our firm may also deal with the fund on normal terms within the ordinary course of trading activities of the business of the fund. These matters have not impaired our independence as auditor of the fund. The firm has no other relationship with, or interest in, the fund.\n\nOpinion\n\nIn our opinion the financial statements on pages 2 to 10:\n\n* comply with generally accepted accounting practice in New Zealand;\n* give a true and fair view of the financial position of the fund as at 30 June 2015 and of its financial performance and cash flows for the year then ended.\n\nReport on other legal and regulatory requirements\n\nIn accordance with the requirements of sections 16(1)(d) and 16(1)(e) of the Financial Reporting Act 1993, we report that:\n\n* we have obtained all the information and explanations that we have required; and\n* in our opinion, proper accounting records have been kept by the Heartland Cash and Term PIE Fund as far as appears from our examination of those records.\n\n18 August 2015 Auckland\n</text>\n", "role": "user" }, { "content": "rector\n\nDirector\n\n18 August 2015\n\nHEARTLAND CASH AND TERM PIE FUND STATEMENT OF COMPREHENSIVE INCOME FOR THE YEAR ENDED 30 JUNE 2015\n\nThe accounting policies and notes form part of, and should be read in conjunction with, these financial statements.", "role": "assistant" } ]
Promotion of Access to Information How you can request information from us PAGE 2 OF 16 ACCESS TO INFORMATION MANUAL COMPILED IN TERMS OF SECTION 51 OF THE PROMOTION OF ACCESS TO INFORMATION ACT 2 OF 2002 "PAIA" AFGRI Holdings Proprietary Limited: 2013/013161/07 and its subsidiaries Compiled: 1 January 2015 Revised: 2 August 2018 Table of Contents PREAMBLE The Promotion of Access to Information Act No. 2 of 2000 ("the Act") came into operation on 23 November 2001. Section 51 of this Act requires that we as a private body compile a manual, giving information to the public regarding the procedure to be followed in requesting information from us for the purpose of exercising or protecting their constitutional right to access to information. PURPOSE To provide guidelines to the public who wish to exercise their constitutional right to access to information. Below you will find information on how to lodge your request; a description of the types of information that will be made available; grounds for refusal; what procedure will be followed in considering your request; the applicable fee structure; and information on the appeals procedure should you not be satisfied with the outcome of your request. SECTION A COMPANY DETAILS AFGRI HOLDINGS PROPRIETARY LIMITED and its subsidiaries ("AFGRI") Registered Address 12 Byls Bridge Boulevard, Highveld, Ext 73, Centurion Postal Address PO Box 11054, Centurion, 0046 Telephone Number +27 11 063 2273 CEO CP Venter [email protected] Deputy Information Officer T Pfafferott Email address [email protected] Website www.afgri.co.za AFGRI is a leading South African business offering a wide range of inputs and services to farmers, processors and users of agricultural products. AFGRI has a number of subsidiaries within the Republic of South Africa, which also form part of this manual. We as a private body have compiled this manual, not only to comply with the provisions of the Act, but also to foster a culture of transparency and accountability in our environment and to ensure that members of the public have effective access to information in our possession which will assist them in the exercise and protection of their rights. This manual applies to all companies. A copy of this manual and the annexures are also available on our website at www.afgri.co.za. The Act The Act grants a requester access to records of a private body, if the record is required for the exercise or protection of any rights. If a public body lodges a request, the public body must be acting in the public interest. Requests in terms of the Act shall be made in accordance with the prescribed procedures, at the rates provided. The forms and tariff are dealt with in paragraphs 6 and 7 of the Act. Requesters are referred to the Guide in terms of Section 10 which has been compiled by the South African Human Rights Commission, which will contain information for the purposes of exercising Constitutional Rights. The Guide is available from the SAHRC. The contact details of the Commission are: Postal Address Private Bag 2700, Houghton, 2041 Telephone Number +27-11-877 3600 Fax Number +27-11-403 0625 Website www.sahrc.org.za Email [email protected] SECTION B THE OFFICIAL GUIDE The South African Human Rights Commission (SAHRC) as per section 10 of the Act has published a Guide containing information reasonably required by a person wishing to exercise or protect any right in terms of this Act. The Guide contains the following information: The objects of the Act; Particulars of the information officer of every public body; Particulars of every private body as are practicable; The manner and form of a request for access to information held by a body; Assistance available from both the information officer and the Human Rights Commission in terms of this Act; All remedies in law regarding acts, omissions, rights and duties, including how to lodge an internal appeal and a court application; Schedules of fees to be paid in relation to requests for access to information; Regulations made in terms of the Act. Copies of this Guide are available on the SAHRC website. Enquiries regarding the Guide can be addressed to the SAHRC contact details provided above. SECTION C INFORMATION AVAILABLE IN TERMS OF THE ACT Note: It is recorded that the accessibility of the documents listed herein below may be subject to the grounds of refusal set out in the Act Procedure for requesting access to the above information If you wish to request access to any of the above categories of information, you are required to complete a request form as set out in annexure "B" hereto. These forms are available from: * Our Deputy Information Officer (whose contact details are in section A of this manual); * our website; * the SAHRC website (www.sahrc.org.za); or * the Department of Justice and Constitutional Development website (www.doj.gov.za) The form must then be sent to AFGRI's Deputy Information Officer, Mrs. Toyah Pfafferott: [email protected] There is a prescribed fee (payable in advance) for requesting and accessing information in terms of the Act. Details of these fees are contained in the request form. You may also be called upon to pay the additional fees prescribed by regulation for searching for and compiling the information which you have requested, including copying charges. It is important to note that access is not automatic but given on a need to know basis– you must identify the right you are seeking to exercise or protection of that right. The aim of the Act to try and balance the right of access to information with all the other rights in the constitution such as protecting people's privacy and confidential commercial information. Considerations before submitting a request 1. Are you submitting the request for the exercise or protection of any of your legitimate rights? 2. Is the information you require in record form, and under the control of AFGRI? 3. Do you have a legitimate right to access the record? You will be notified in the manner indicated by you on the request form whether your request has been approved. You are allowed to lodge an application with the Court, appealing AFGRI's decision regarding the access fee and/or the form of access granted and/or any requested time extensions within 180 days from receiving AFGRI's decision. SECTION D INFORMATION AVAILABLE IN TERMS OF OTHER LEGISLATION Where applicable to our operations, information is also available in terms of certain provisions of the following statutes: * Basic Conditions of Employment Act No. 75 of 1997 * Protection of Personal Information Act 4 of 2013 * Companies Act No. 71 of 2008 * Compensation for Occupational Injuries and Diseases Act No. 130 of 1993 * Competition Act No. 89 of 1998 * Co-operatives Act No. 91 of 1981 * Credit Agreement Act No. 75 of 1980 * Customs and Excise Act No. 91 of 1964 * Employment Equity Act No. 55 of 1998 * Financial Advisory and Intermediary Services Act * Financial Markets Control Act No. 55 of 1989 * Income Tax Act No. 58 of 1962 * Insider Trading Act No. 135 of 1998 * Labour Relations Act No. 66 of 1995 * Legal Deposit Act No. 54 of 1997 * Occupational Health and Safety Act No. 85 of 1993 * Prevention of Organised Crime Act No. 121 of 1998 * Road Transportation Act No. 74 of 1977 * Short-term Insurance Act No. 53 of 1998 * Stock Exchanges Control Act No. 1 of 1985 * Transfer Duty Act No. 40 of 1949 * Unemployment Insurance Act No. 63 of 2001 * Agricultural Produce Agents Act No. 12 of 1992 * Machinery and Occupational Safety Act No. 6 of 1983 * National Payment System Act No. 78 of 1998 * National Water Act No. 36 of 1998 * Prescription Act No. 68 of 1969 * Stamp Duties Act No. 77 of 1968 * Stock Exchanges Control Act No. 1 of 1985 * Transfer Duty Act No. 40 of 1949 * Value-added Tax Act No. 89 of 1991 SECTION E INFORMATION AUTOMATICALLY AVAILABLE The following categories of records are automatically available for inspection, purchase or photocopying. You do not need to request this information in terms of the Act and request forms for these categories of information are also available from our authorized information officer. Newsletters / magazines Booklets Pamphlets / Brochures Annual Reports Other literature intended for public viewing REQUEST FORM FOR ACCESS TO RECORDS OF PRIVATE BODY Form C: Request for Access to Record of Private Body Section 53(1) of the Promotion of Access to Information Act, 2 of 2000 Regulation 10 PARTICULARS OF PRIVATE BODY The Head: Personal Information Officer PARTICULARS OF PERSON REQUESTING ACCESS TO THE RECORD * Full names and surname: (a) The particulars of the person who requests access to the record must be given below. (b) The address and/or fax number in the Republic to which the information is to be sent must be given. (c) Proof of the capacity in which the request is made, if applicable, must be attached. * Identity number * Postal address * Fax number * Telephone number * Email address The capacity in which a request is made when made on behalf of another person. PARTICULARS OF PERSON ON WHOSE BEHALF REQUEST IS MADE This section must completed ONLY if a request for information is made on behalf of another person. * Full names and surname * Identity number PARTICULARS OF RECORD (a) Provide full particulars of the record to which access is requested, including the reference number if that is known to you, to enable the record to be located. (b) If the provided space is inadequate, please continue on a separate folio and attach it to this form. 1. Description of record or relevant part of the record …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………….......... 2. Reference number if available ..…………………………………………………………………………………………………. 3. Any further particulars of record …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… FEES (a) A request for access to a record, other than a record containing personal information about yourself, will be processed only after a request fee has been paid. (b) You will be notified of the amount required to be paid as the request fee. (c) The fee payable for access to a record depends on the form in which access is required and the reasonable time required to search for and prepare a record. (d) If you qualify for exemption of the payment of any fee, please state the reason for exemption. Reason for exemption of payment of fees: …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… FORM OF ACCESS TO RECORD If you are prevented by a disability to read, view or listen to the record in the form of access provided for in 1 to 4 hereunder, state your disability and indicate in which form the record is required. DESCRIPTION OF DISABILITY Form in which record is required Mark the appropriate box with an X. Notes: (a) Compliance with your request in the specified form may depend on the form in which the record is available. (b) Access in the form requested may be refused in certain circumstances. In such a case you will be informed if access will be granted in another form. (c) The fees payable for access to the record, if any, will be determined partly by the form in which access is requested. 1. If the record is in written or printed form Copy of record* Inspection of record 2. If record consists of visual images (this includes photographs, slides, video recordings, computer- generated images, sketches, etc.) Copy of images* Transcription of the images* 3. If record consists of recorded words or information that can be reproduced in sound Listen to the soundtrack (audio cassette) Transcription of the soundtrack* (written or printed document) 4. If record is held on computer or in an electronic or machine-readable form Printed copy of information derived from the record* Copy in computer-readable form* (stiffy or compact disc) 5. * If you requested a copy or transcription of a record (above), do you wish the copy or transcription to be posted to you? Note: Postage is payable Yes No PARTICULARS OF RIGHT TO BE EXERCISED OR PROTECTED If the provided space is inadequate, please continue on a separate folio and attach it to this form. The requester must sign all the additional folios. 1. Indicate which right is to be exercised or protected …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… 2. Explain why the record requested is required for the exercise or protection of the aforementioned right: …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… NOTICE OF DECISION REGARDING REQUEST FOR ACCESS You will be notified in writing whether your request has been approved or denied. If you wish to be informed in another manner, please specify the manner and provide the necessary particulars to enable compliance with your request. How would you prefer to be informed of the decisions regarding your request for access to the record? ………………………………………………………………………………………………………… ………………………………………………………………………………………………………… ………………………………………………………………………………………………………… Signed at ________________________________on______________________ …………………………………………. Signature of requestor / person on whose behalf request is made FEES IN RESPECT OF PRIVATE BODIES Note: People who are requesting access to their personal information are exempt from paying a fee. Furthermore, people who earn less than R14 712.00 per annum (if single) and (R27 192.00 per annum (if married or in a life partnership) are also exempt from paying the request fees. PAIA MANUAL APPROVAL I, Chris Venter the Chief Executive Officer of AFGRI Group Holdings Proprietary Limited do hereby confirm that this is the approved Access to information manual in compliance with Section 51 of the Promotion of Access to Information Act, 2 of 2000. 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Section 51 of this Act requires that we as a private body compile a manual, giving information to the public regarding the procedure to be followed in requesting information from us for the purpose of exercising or protecting their constitutional right to access to information. PURPOSE To provide guidelines to the public who wish to exercise their constitutional right to access to information. Below you will find information on how to lodge your request; a description of the types of information that will be made available; grounds for refusal; what procedure will be followed in considering your request; the applicable fee structure; and information on the appeals procedure should you not be satisfied with the outcome of your request. SECTION A COMPANY DETAILS AFGRI HOLDINGS PROPRIETARY LIMITED and its subsidiaries ("AFGRI") Registered Address 12 Byls Bridge Boulevard, Highveld, Ext 73, Centurion Postal Address PO Box 11054, Centurion, 0046 Telephone Number +27 11 063 2273 CEO CP Venter [email protected] Deputy Information Officer T Pfafferott Email address [email protected] Website www.afgri.co.za AFGRI is a leading South African business offering a wide range of inputs and services to farmers, processors and users of agricultural products. AFGRI has a number of subsidiaries within the Republic of South Africa, which also form part of this manual. We as a private body have compiled this manual, not only to comply with the provisions of the Act, but also to foster a culture of transparency and accountability in our environment and to ensure that members of the public have effective access to information in our possession which will assist them in the exercise and protection of their rights. This manual applies to all companies. A copy of this manual and the annexures are also available on our website at www.afgri.co.za. The Act The Act grants a requester access to records of a private body, if the record is required for the exercise or protection of any rights. If a public body lodges a request, the public body must be acting in the public interest. Requests in terms of the Act shall be made in accordance with the prescribed procedures, at the rates provided. The forms and tariff are dealt with in paragraphs 6 and 7 of the Act. Requesters are referred to the Guide in terms of Section 10 which has been compiled by the South African Human Rights Commission, which will contain information for the purposes of exercising Constitutional Rights. The Guide is available from the SAHRC. The contact details of the Commission are: Postal Address Private Bag 2700, Houghton, 2041 Telephone Number +27-11-877 3600 Fax Number +27-11-403 0625 Website www.sahrc.org.za Email [email protected] SECTION B THE OFFICIAL GUIDE The South African Human Rights Commission (SAHRC) as per section 10 of the Act has published a Guide containing information reasonably required by a person wishing to exercise or protect any right in terms of this Act. The Guide contains the following information: The objects of the Act; Particulars of the information officer of every public body; Particulars of every private body as are practicable; The manner and form of a request for access to information held by a body; Assistance available from both the information officer and the Human Rights Commission in terms of this Act; All remedies in law regarding acts, omissions, rights and duties, including how to lodge an internal appeal and a court application; Schedules of fees to be paid in relation to requests for access to information; Regulations made in terms of the Act. Copies of this Guide are available on the SAHRC website. Enquiries regarding the Guide can be addressed to the SAHRC contact details provided above. SECTION C INFORMATION AVAILABLE IN TERMS OF THE ACT Note: It is recorded that the accessibility of the documents listed herein below may be subject to the grounds of refusal set out in the Act Procedure for requesting access to the above information If you wish to request access to any of the above categories of information, you are required to complete a request form as set out in annexure "B" hereto. These forms are available from: * Our Deputy Information Officer (whose contact details are in section A of this manual); * our website; * the SAHRC website (www.sahrc.org.za); or * the Department of Justice and Constitutional Development website (www.doj.gov.za) The form must then be sent to AFGRI's Deputy Information Officer, Mrs. Toyah Pfafferott: [email protected] There is a prescribed fee (payable in advance) for requesting and accessing information in terms of the Act. Details of these fees are contained in the request form. You may also be called upon to pay the additional fees prescribed by regulation for searching for and compiling the information which you have requested, including copying charges. It is important to note that access is not automatic but given on a need to know basis– you must identify the right you are seeking to exercise or protection of that right. The aim of the Act to try and balance the right of access to information with all the other rights in the constitution such as protecting people's privacy and confidential commercial information. Considerations before submitting a request 1. Are you submitting the request for the exercise or protection of any of your legitimate rights? 2. Is the information you require in record form, and under the control of AFGRI? 3. Do you have a legitimate right to access the record? You will be notified in the manner indicated by you on the request form whether your request has been approved. You are allowed to lodge an application with the Court, appealing AFGRI's decision regarding the access fee and/or the form of access granted and/or any requested time extensions within 180 days from receiving AFGRI's decision. SECTION D INFORMATION AVAILABLE IN TERMS OF OTHER LEGISLATION Where applicable to our operations, information is also available in terms of certain provisions of the following statutes: * Basic Conditions of Employment Act No. 75 of 1997 * Protection of Personal Information Act 4 of 2013 * Companies Act No. 71 of 2008 * Compensation for Occupational Injuries and Diseases Act No. 130 of 1993 * Competition Act No. 89 of 1998 * Co-operatives Act No. 91 of 1981 * Credit Agreement Act No. 75 of 1980 * Customs and Excise Act No. 91 of 1964 * Employment Equity Act No. 55 of 1998 * Financial Advisory and Intermediary Services Act * Financial Markets Control Act No. 55 of 1989 * Income Tax Act No. 58 of 1962 * Insider Trading Act No. 135 of 1998 * Labour Relations Act No. 66 of 1995 * Legal Deposit Act No. 54 of 1997 * Occupational Health and Safety Act No. 85 of 1993 * Prevention of Organised Crime Act No. 121 of 1998 * Road Transportation Act No. 74 of 1977 * Short-term Insurance Act No. 53 of 1998 * Stock Exchanges Control Act No. 1 of 1985 * Transfer Duty Act No. 40 of 1949 * Unemployment Insurance Act No. 63 of 2001 * Agricultural Produce Agents Act No. 12 of 1992 * Machinery and Occupational Safety Act No. 6 of 1983 * National Payment System Act No. 78 of 1998 * National Water Act No. 36 of 1998 * Prescription Act No. 68 of 1969 * Stamp Duties Act No. 77 of 1968 * Stock Exchanges Control Act No. 1 of 1985 * Transfer Duty Act No. 40 of 1949 * Value-added Tax Act No. 89 of 1991 SECTION E INFORMATION AUTOMATICALLY AVAILABLE The following categories of records are automatically available for inspection, purchase or photocopying. You do not need to request this information in terms of the Act and request forms for these categories of information are also available from our authorized information officer. Newsletters / magazines Booklets Pamphlets / Brochures Annual Reports Other literature intended for public viewing REQUEST FORM FOR ACCESS TO RECORDS OF PRIVATE BODY Form C: Request for Access to Record of Private Body Section 53(1) of the Promotion of Access to Information Act, 2 of 2000 Regulation 10 PARTICULARS OF PRIVATE BODY The Head: Personal Information Officer PARTICULARS OF PERSON REQUESTING ACCESS TO THE RECORD * Full names and surname: (a) The particulars of the person who requests access to the record must be given below. (b) The address and/or fax number in the Republic to which the information is to be sent must be given. (c) Proof of the capacity in which the request is made, if applicable, must be attached. * Identity number * Postal address * Fax number * Telephone number * Email address The capacity in which a request is made when made on behalf of another person. PARTICULARS OF PERSON ON WHOSE BEHALF REQUEST IS MADE This section must completed ONLY if a request for information is made on behalf of another person. * Full names and surname * Identity number PARTICULARS OF RECORD (a) Provide full particulars of the record to which access is requested, including the reference number if that is known to you, to enable the record to be located. (b) If the provided space is inadequate, please continue on a separate folio and attach it to this form. 1. Description of record or relevant part of the record …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………….......... 2. Reference number if available ..…………………………………………………………………………………………………. 3. Any further particulars of record …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… FEES (a) A request for access to a record, other than a record containing personal information about yourself, will be processed only after a request fee has been paid. (b) You will be notified of the amount required to be paid as the request fee. (c) The fee payable for access to a record depends on the form in which access is required and the reasonable time required to search for and prepare a record. (d) If you qualify for exemption of the payment of any fee, please state the reason for exemption. Reason for exemption of payment of fees: …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… FORM OF ACCESS TO RECORD If you are prevented by a disability to read, view or listen to the record in the form of access provided for in 1 to 4 hereunder, state your disability and indicate in which form the record is required. DESCRIPTION OF DISABILITY Form in which record is required Mark the appropriate box with an X. Notes: (a) Compliance with your request in the specified form may depend on the form in which the record is available. (b) Access in the form requested may be refused in certain circumstances. In such a case you will be informed if access will be granted in another form. (c) The fees payable for access to the record, if any, will be determined partly by the form in which access is requested. 1. If the record is in written or printed form Copy of record* Inspection of record 2. If record consists of visual images (this includes photographs, slides, video recordings, computer- generated images, sketches, etc.) Copy of images* Transcription of the images* 3. If record consists of recorded words or information that can be reproduced in sound Listen to the soundtrack (audio cassette) Transcription of the soundtrack* (written or printed document) 4. If record is held on computer or in an electronic or machine-readable form Printed copy of information derived from the record* Copy in computer-readable form* (stiffy or compact disc) 5. * If you requested a copy or transcription of a record (above), do you wish the copy or transcription to be posted to you? Note: Postage is payable Yes No PARTICULARS OF RIGHT TO BE EXERCISED OR PROTECTED If the provided space is inadequate, please continue on a separate folio and attach it to this form. The requester must sign all the additional folios. 1. Indicate which right is to be exercised or protected …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… 2. Explain why the record requested is required for the exercise or protection of the aforementioned right: …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… NOTICE OF DECISION REGARDING REQUEST FOR ACCESS You will be notified in writing whether your request has been approved or denied. If you wish to be informed in another manner, please specify the manner and provide the necessary particulars to enable compliance with your request. How would you prefer to be informed of the decisions regarding your request for access to the record? ………………………………………………………………………………………………………… ………………………………………………………………………………………………………… ………………………………………………………………………………………………………… Signed at ________________________________on______________________ …………………………………………. Signature of requestor / person on whose behalf request is made FEES IN RESPECT OF PRIVATE BODIES Note: People who are requesting access to their personal information are exempt from paying a fee. Furthermore, people who earn less than R14 712.00 per annum (	if single) and (R27 192.		13,835	inside_word	(if	remove_all	<url> https://www.agh.co.za/wp-content/uploads/2019/06/PAIA_MANUAL.pdf </url> <text> Promotion of Access to Information How you can request information from us PAGE 2 OF 16 ACCESS TO INFORMATION MANUAL COMPILED IN TERMS OF SECTION 51 OF THE PROMOTION OF ACCESS TO INFORMATION ACT 2 OF 2002 "PAIA" AFGRI Holdings Proprietary Limited: 2013/013161/07 and its subsidiaries Compiled: 1 January 2015 Revised: 2 August 2018 Table of Contents PREAMBLE The Promotion of Access to Information Act No. 2 of 2000 ("the Act") came into operation on 23 November 2001. Section 51 of this Act requires that we as a private body compile a manual, giving information to the public regarding the procedure to be followed in requesting information from us for the purpose of exercising or protecting their constitutional right to access to information. PURPOSE To provide guidelines to the public who wish to exercise their constitutional right to access to information. Below you will find information on how to lodge your request; a description of the types of information that will be made available; grounds for refusal; what procedure will be followed in considering your request; the applicable fee structure; and information on the appeals procedure should you not be satisfied with the outcome of your request. SECTION A COMPANY DETAILS AFGRI HOLDINGS PROPRIETARY LIMITED and its subsidiaries ("AFGRI") Registered Address 12 Byls Bridge Boulevard, Highveld, Ext 73, Centurion Postal Address PO Box 11054, Centurion, 0046 Telephone Number +27 11 063 2273 CEO CP Venter [email protected] Deputy Information Officer T Pfafferott Email address [email protected] Website www.afgri.co.za AFGRI is a leading South African business offering a wide range of inputs and services to farmers, processors and users of agricultural products. AFGRI has a number of subsidiaries within the Republic of South Africa, which also form part of this manual. We as a private body have compiled this manual, not only to comply with the provisions of the Act, but also to foster a culture of transparency and accountability in our environment and to ensure that members of the public have effective access to information in our possession which will assist them in the exercise and protection of their rights. This manual applies to all companies. A copy of this manual and the annexures are also available on our website at www.afgri.co.za. The Act The Act grants a requester access to records of a private body, if the record is required for the exercise or protection of any rights. If a public body lodges a request, the public body must be acting in the public interest. Requests in terms of the Act shall be made in accordance with the prescribed procedures, at the rates provided. The forms and tariff are dealt with in paragraphs 6 and 7 of the Act. Requesters are referred to the Guide in terms of Section 10 which has been compiled by the South African Human Rights Commission, which will contain information for the purposes of exercising Constitutional Rights. The Guide is available from the SAHRC. The contact details of the Commission are: Postal Address Private Bag 2700, Houghton, 2041 Telephone Number +27-11-877 3600 Fax Number +27-11-403 0625 Website www.sahrc.org.za Email [email protected] SECTION B THE OFFICIAL GUIDE The South African Human Rights Commission (SAHRC) as per section 10 of the Act has published a Guide containing information reasonably required by a person wishing to exercise or protect any right in terms of this Act. The Guide contains the following information: The objects of the Act; Particulars of the information officer of every public body; Particulars of every private body as are practicable; The manner and form of a request for access to information held by a body; Assistance available from both the information officer and the Human Rights Commission in terms of this Act; All remedies in law regarding acts, omissions, rights and duties, including how to lodge an internal appeal and a court application; Schedules of fees to be paid in relation to requests for access to information; Regulations made in terms of the Act. Copies of this Guide are available on the SAHRC website. Enquiries regarding the Guide can be addressed to the SAHRC contact details provided above. SECTION C INFORMATION AVAILABLE IN TERMS OF THE ACT Note: It is recorded that the accessibility of the documents listed herein below may be subject to the grounds of refusal set out in the Act Procedure for requesting access to the above information If you wish to request access to any of the above categories of information, you are required to complete a request form as set out in annexure "B" hereto. These forms are available from: * Our Deputy Information Officer (whose contact details are in section A of this manual); * our website; * the SAHRC website (www.sahrc.org.za); or * the Department of Justice and Constitutional Development website (www.doj.gov.za) The form must then be sent to AFGRI's Deputy Information Officer, Mrs. Toyah Pfafferott: [email protected] There is a prescribed fee (payable in advance) for requesting and accessing information in terms of the Act. Details of these fees are contained in the request form. You may also be called upon to pay the additional fees prescribed by regulation for searching for and compiling the information which you have requested, including copying charges. It is important to note that access is not automatic but given on a need to know basis– you must identify the right you are seeking to exercise or protection of that right. The aim of the Act to try and balance the right of access to information with all the other rights in the constitution such as protecting people's privacy and confidential commercial information. Considerations before submitting a request 1. Are you submitting the request for the exercise or protection of any of your legitimate rights? 2. Is the information you require in record form, and under the control of AFGRI? 3. Do you have a legitimate right to access the record? You will be notified in the manner indicated by you on the request form whether your request has been approved. You are allowed to lodge an application with the Court, appealing AFGRI's decision regarding the access fee and/or the form of access granted and/or any requested time extensions within 180 days from receiving AFGRI's decision. SECTION D INFORMATION AVAILABLE IN TERMS OF OTHER LEGISLATION Where applicable to our operations, information is also available in terms of certain provisions of the following statutes: * Basic Conditions of Employment Act No. 75 of 1997 * Protection of Personal Information Act 4 of 2013 * Companies Act No. 71 of 2008 * Compensation for Occupational Injuries and Diseases Act No. 130 of 1993 * Competition Act No. 89 of 1998 * Co-operatives Act No. 91 of 1981 * Credit Agreement Act No. 75 of 1980 * Customs and Excise Act No. 91 of 1964 * Employment Equity Act No. 55 of 1998 * Financial Advisory and Intermediary Services Act * Financial Markets Control Act No. 55 of 1989 * Income Tax Act No. 58 of 1962 * Insider Trading Act No. 135 of 1998 * Labour Relations Act No. 66 of 1995 * Legal Deposit Act No. 54 of 1997 * Occupational Health and Safety Act No. 85 of 1993 * Prevention of Organised Crime Act No. 121 of 1998 * Road Transportation Act No. 74 of 1977 * Short-term Insurance Act No. 53 of 1998 * Stock Exchanges Control Act No. 1 of 1985 * Transfer Duty Act No. 40 of 1949 * Unemployment Insurance Act No. 63 of 2001 * Agricultural Produce Agents Act No. 12 of 1992 * Machinery and Occupational Safety Act No. 6 of 1983 * National Payment System Act No. 78 of 1998 * National Water Act No. 36 of 1998 * Prescription Act No. 68 of 1969 * Stamp Duties Act No. 77 of 1968 * Stock Exchanges Control Act No. 1 of 1985 * Transfer Duty Act No. 40 of 1949 * Value-added Tax Act No. 89 of 1991 SECTION E INFORMATION AUTOMATICALLY AVAILABLE The following categories of records are automatically available for inspection, purchase or photocopying. You do not need to request this information in terms of the Act and request forms for these categories of information are also available from our authorized information officer. Newsletters / magazines Booklets Pamphlets / Brochures Annual Reports Other literature intended for public viewing REQUEST FORM FOR ACCESS TO RECORDS OF PRIVATE BODY Form C: Request for Access to Record of Private Body Section 53(1) of the Promotion of Access to Information Act, 2 of 2000 Regulation 10 PARTICULARS OF PRIVATE BODY The Head: Personal Information Officer PARTICULARS OF PERSON REQUESTING ACCESS TO THE RECORD * Full names and surname: (a) The particulars of the person who requests access to the record must be given below. (b) The address and/or fax number in the Republic to which the information is to be sent must be given. (c) Proof of the capacity in which the request is made, if applicable, must be attached. * Identity number * Postal address * Fax number * Telephone number * Email address The capacity in which a request is made when made on behalf of another person. PARTICULARS OF PERSON ON WHOSE BEHALF REQUEST IS MADE This section must completed ONLY if a request for information is made on behalf of another person. * Full names and surname * Identity number PARTICULARS OF RECORD (a) Provide full particulars of the record to which access is requested, including the reference number if that is known to you, to enable the record to be located. (b) If the provided space is inadequate, please continue on a separate folio and attach it to this form. 1. Description of record or relevant part of the record …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………….......... 2. Reference number if available ..…………………………………………………………………………………………………. 3. Any further particulars of record …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… FEES (a) A request for access to a record, other than a record containing personal information about yourself, will be processed only after a request fee has been paid. (b) You will be notified of the amount required to be paid as the request fee. (c) The fee payable for access to a record depends on the form in which access is required and the reasonable time required to search for and prepare a record. (d) If you qualify for exemption of the payment of any fee, please state the reason for exemption. Reason for exemption of payment of fees: …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… …………………………………………………………………………………………………………… FORM OF ACCESS TO RECORD If you are prevented by a disability to read, view or listen to the record in the form of access provided for in 1 to 4 hereunder, state your disability and indicate in which form the record is required. DESCRIPTION OF DISABILITY Form in which record is required Mark the appropriate box with an X. Notes: (a) Compliance with your request in the specified form may depend on the form in which the record is available. (b) Access in the form requested may be refused in certain circumstances. In such a case you will be informed if access will be granted in another form. (c) The fees payable for access to the record, if any, will be determined partly by the form in which access is requested. 1. If the record is in written or printed form Copy of record* Inspection of record 2. If record consists of visual images (this includes photographs, slides, video recordings, computer- generated images, sketches, etc.) Copy of images* Transcription of the images* 3. If record consists of recorded words or information that can be reproduced in sound Listen to the soundtrack (audio cassette) Transcription of the soundtrack* (written or printed document) 4. If record is held on computer or in an electronic or machine-readable form Printed copy of information derived from the record* Copy in computer-readable form* (stiffy or compact disc) 5. * If you requested a copy or transcription of a record (above), do you wish the copy or transcription to be posted to you? Note: Postage is payable Yes No PARTICULARS OF RIGHT TO BE EXERCISED OR PROTECTED If the provided space is inadequate, please continue on a separate folio and attach it to this form. The requester must sign all the additional folios. 1. Indicate which right is to be exercised or protected …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… 2. Explain why the record requested is required for the exercise or protection of the aforementioned right: …………………………………………………………………………………………………… …………………………………………………………………………………………………… …………………………………………………………………………………………………… NOTICE OF DECISION REGARDING REQUEST FOR ACCESS You will be notified in writing whether your request has been approved or denied. If you wish to be informed in another manner, please specify the manner and provide the necessary particulars to enable compliance with your request. How would you prefer to be informed of the decisions regarding your request for access to the record? ………………………………………………………………………………………………………… ………………………………………………………………………………………………………… ………………………………………………………………………………………………………… Signed at ________________________________on______________________ …………………………………………. Signature of requestor / person on whose behalf request is made FEES IN RESPECT OF PRIVATE BODIES Note: People who are requesting access to their personal information are exempt from paying a fee. Furthermore, people who earn less than R14 712.00 per annum (<cursor_is_here> </text>	[ { "content": "<url>\nhttps://www.agh.co.za/wp-content/uploads/2019/06/PAIA_MANUAL.pdf\n</url>\n<text>\nPromotion of Access to Information\n\nHow you can request information from us\n\nPAGE 2 OF 16\n\nACCESS TO INFORMATION MANUAL\n\nCOMPILED IN TERMS OF SECTION 51 OF THE PROMOTION OF ACCESS TO INFORMATION ACT 2 OF 2002 \"PAIA\"\n\nAFGRI Holdings Proprietary Limited: 2013/013161/07 and its subsidiaries\n\nCompiled: 1 January 2015\n\nRevised: 2 August 2018\n\nTable of Contents\n\nPREAMBLE\n\nThe Promotion of Access to Information Act No. 2 of 2000 (\"the Act\") came into operation on 23 November 2001. Section 51 of this Act requires that we as a private body compile a manual, giving information to the public regarding the procedure to be followed in requesting information from us for the purpose of exercising or protecting their constitutional right to access to information.\n\nPURPOSE\n\nTo provide guidelines to the public who wish to exercise their constitutional right to access to information.\n\nBelow you will find information on how to lodge your request; a description of the types of information that will be made available; grounds for refusal; what procedure will be followed in considering your request; the applicable fee structure; and information on the appeals procedure should you not be satisfied with the outcome of your request.\n\nSECTION A COMPANY DETAILS\n\nAFGRI HOLDINGS PROPRIETARY LIMITED and its subsidiaries (\"AFGRI\")\n\nRegistered Address\n\n12 Byls Bridge Boulevard, Highveld, Ext 73, Centurion\n\nPostal Address\n\nPO Box 11054, Centurion, 0046\n\nTelephone Number\n\n+27 11 063 2273\n\nCEO\n\nCP Venter\n\[email protected]\n\nDeputy Information Officer T Pfafferott\n\nEmail address\n\[email protected]\n\nWebsite\n\nwww.afgri.co.za\n\nAFGRI is a leading South African business offering a wide range of inputs and services to farmers, processors and users of agricultural products. AFGRI has a number of subsidiaries within the Republic of South Africa, which also form part of this manual.\n\nWe as a private body have compiled this manual, not only to comply with the provisions of the Act, but also to foster a culture of transparency and accountability in our environment and to ensure that members of the public have effective access to information in our possession which will assist them in the exercise and protection of their rights.\n\nThis manual applies to all companies.\n\nA copy of this manual and the annexures are also available on our website at www.afgri.co.za.\n\nThe Act\n\nThe Act grants a requester access to records of a private body, if the record is required for the exercise or protection of any rights. If a public body lodges a request, the public body must be acting in the public interest.\n\nRequests in terms of the Act shall be made in accordance with the prescribed procedures, at the rates provided. The forms and tariff are dealt with in paragraphs 6 and 7 of the Act.\n\nRequesters are referred to the Guide in terms of Section 10 which has been compiled by the South African Human Rights Commission, which will contain information for the purposes of exercising Constitutional Rights. The Guide is available from the SAHRC.\n\nThe contact details of the Commission are:\n\nPostal Address\n\nPrivate Bag 2700, Houghton, 2041\n\nTelephone Number\n\n+27-11-877 3600\n\nFax Number\n\n+27-11-403 0625\n\nWebsite\n\nwww.sahrc.org.za\n\nEmail\n\[email protected]\n\nSECTION B THE OFFICIAL GUIDE\n\nThe South African Human Rights Commission (SAHRC) as per section 10 of the Act has published a Guide containing information reasonably required by a person wishing to exercise or protect any right in terms of this Act.\n\nThe Guide contains the following information:\n\nThe objects of the Act;\nParticulars of the information officer of every public body;\nParticulars of every private body as are practicable;\nThe manner and form of a request for access to information held by a body;\nAssistance available from both the information officer and the Human Rights Commission in terms of this Act;\nAll remedies in law regarding acts, omissions, rights and duties, including how to lodge an internal appeal and a court application;\nSchedules of fees to be paid in relation to requests for access to information;\nRegulations made in terms of the Act.\n\nCopies of this Guide are available on the SAHRC website. Enquiries regarding the Guide can be addressed to the SAHRC contact details provided above.\n\nSECTION C INFORMATION AVAILABLE IN TERMS OF THE ACT\n\nNote: It is recorded that the accessibility of the documents listed herein below may be subject to the grounds of refusal set out in the Act\n\nProcedure for requesting access to the above information\n\nIf you wish to request access to any of the above categories of information, you are required to complete a request form as set out in annexure \"B\" hereto. 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Supporting note for the Earth Observation for Ecosystem Accounting database (Copernicus products) Produced by UNEP-WCMC under contract to EEA 1 Introduction Ecosystem accounting requires a reliable measurement of the extent of different ecosystems and a set of condition characteristics (stock) and the ecosystem services they deliver (flow) at different points in time. These accounting items are, respectively, recorded in ecosystem extent, condition and ecosystem service supply and use accounts. This note is intended to support the design and use of a database to link the data needs of ecosystem accounting producers in Europe to key earth observation data sources. The database is presented as Appendix A and provides an update to a similar database produced in 2018. The database comprises of products derived via the European Union's Copernicus programme for Earth Observation (EO) and monitoring. The updated database includes additional Copernicus land services products that have come online since 2018, or have been significantly updated since then. It has also been restructured to match the Ecosystem Condition Typology proposed for the revised System of Environmental-Economic Accounting (Experimental) Ecosystem Accounting (SEEA EEA) Framework (see Figure 1). The SEEA EEA handbook is currently being revised into a formal statistical framework for ecosystem accounting (to be labelled as SEEA EA). An expanded database with a more simplified structure has been developed in collaboration with the Earth Observation for Ecosystem Accounting (EO4EA) initiative 1 . This captures metadata from Earth Observation data hosted by other agencies with a mandate for environment monitoring and management. These data were via an interactive workshop session of the EO4EA All Hands Meeting in 2020 and follow-on engagements with participants. The workshop session was delivered on behalf of the EEA with support from UNEP-WCMC and is reported on in separate report. 2 2 Updating the Copernicus Database The Copernicus programme consists of the Sentinels, downstream services to use the Sentinel data and derived products (collectively referred to as EO herein). The accessibility and ability of Copernicus products and services to monitor ecosystem characteristics over space and time make them wellsuited for supporting ecosystem accounting. In particular, the land services theme of the Copernicus programme provides a strong data foundation for many components of terrestrial ecosystem accounts. Across the EU, there are both Pan-European as well as local components. The following is a summary of the suite of Copernicus Land Services across the different components: * Global (biophysical variables at mid to low scale resolution which describe the state and the evolution of vegetation, land cover, energy budget at the surface, the cryosphere and the water cycle). * Pan-European (CORINE Land Cover Map, High Resolution Layers of land cover characteristics, Biophysical parameters and Related Pan-European Products). * Local (Based on very high resolution data for areas of thematic focus. Includes Urban Atlas, Riparian Zones, Natura 2000 Estate and Coastal Zones). * Imagery and Reference Data (EU Digital Elevation Model, EU River Network, Image Mosaics). 1 https://www.eo4ea.org/ 2 See: DRAFT: Earth Observation for Ecosystem Accounting (EO4EA) database The Copernicus land services website was reviewed at the beginning of October 2020 and results were captured in the database. 3 In total 47 main and additional Earth Observation based products were identified on the website for inclusion in the database. Where an individual product contained a main product and an additional product that was relevant to different ecosystem accounting themes, these were captured as two distinct entries in the database. Where there were multiple products that reflected different years of observation these are captured as a single entry in the database and the multiple editions communicated as a discrete set of temporal coverages (e.g., Corine Land Cover products only enter the database once but these are available for 2000, 2006, 2012 and 2018). 4 In addition to the 47 products in the database, there is also a viewer for evaluating hotspots of land cover change in the global vegetation component of Copernicus. 5 There is also a Ground Based Observations for Validation (GBOV) service that provides multiple years of high quality in-situ measurements to validate core global land services products. 6 In the Pan-European Component there is also a European Ground Motion Service being developed to provide regular information regarding ground motion phenomena over Europe and across national borders. 7 These three services are not included in the database. 2.1 Organising the database This section explains the methodology employed to evaluate the potential of Copernicus products for calculating ecosystem accounts, identifying key metadata requirements and constructing a database to support practitioners to identify appropriate Copernicus products for different accounting purposes. For account producers, the thematic accuracy of the Copernicus product will be a key concern (i.e., the degree to which the product or services relates to the accounting item of interest, specifically ecosystem extent, condition, services). A conceptual model was constructed to aid matching Copernicus products into different accounting themes in the database. This is in line with the most recent proposals for the SEEA EEA revision process. This is presented in Figure 1 for each accounting module, with examples of how the data type for the product matched to different ecosystem accounting themes. As shown in Figure 1, a Copernicus product was considered to be primarily relevant to ecosystem extent if it provided data on: Land Cover (i.e., physical and biological cover, following the SEEA CF description); Land Use (i.e., activities taking place on land or institutional arrangements for land, also following the SEEA CF description); or, Ecological (i.e., mapping of vegetation classes, ecosystem classes or habitat mapping, SEEA EEA TR description). The approach for ecosystem condition accounting has received considerable attention within the ecosystem accounting community via the SEEA EEA revision process. Via this process an Ecosystem Condition Typology has been proposed (See Table 5.1, draft Chapter 5, SEEA EA 8 ). This typology has been adopted for assigning Copernicus products to different ecosystem condition variables. An important change to the previous database is that products related to water availability are now considered to provide data on physical ecosystem condition (rather than functional, as previously). In 3 https://land.copernicus.eu/ 4 Whilst LUCAS products are available and used for reference data, these are based on in-situ data, rather than Earth Observation. Hence they are not included in the database 5 https://land.copernicus.eu/global/hsm 6 https://land.copernicus.eu/global/gbov 7 https://land.copernicus.eu/user-corner/technical-library/european-ground-motion-service 8 https://seea.un.org/sites/seea.un.org/files/documents/EEA/2_seea_eea_rev._ch5_gc_mar2020_final.p df addition, as per Table 2.2 in the 5 th MAES (2018) Report, products providing information on ecosystem pressures are considered relevant for ecosystem condition accounting. 9 As shown by Figure 1, a Copernicus product was considered to be primarily relevant to ecosystem condition if it provided data on physical, chemical, composition, structural, functional or landscape (including seascape) characteristics. For ecosystem services, the CICES Group Level classification for data relating to provisioning, regulating and maintenance, and cultural services was employed. In addition, data on ecosystem service demand (e.g., population estimates) was also included as high level criterion for matching Copernicus products, as this can help move beyond modelling ecosystem service potential supply to actual use (see Figure 1). Finally, Auxiliary (data) was also considered a relevant criterion for organising Copernicus products that were relevant to modelling ecosystem services flow (for example Digital Elevation Models). This reflects a similar proposal within the draft ecosystem condition accounting chapter of the SEEA EA, which proposes to capture such data as 'Ancillary Data'. Whilst some Copernicus products could be used in the compilation of more than one type of ecosystem account, it was decided that each product should only matched to one theme of either ecosystem extent, condition or services. This was to minimise the potential for the same dataset to enter the accounting framework via multiple points. Accordingly, the following binary match criteria are employed in the database: * No match – implies no significant association of a Copernicus product with an accounting theme, or that the product has a more appropriate (primary) ecosystem accounting purpose. 10 * Match – implies the Copernicus product provides data that is directly associated with an accounting theme and with reasonable confidence. For example, using land cover data to represent ecosystem extent. 9 http://ec.europa.eu/environment/nature/knowledge/ecosystem_assessment/pdf/5th%20MAES%20rep ort.pdf 10 Where a product contained a main product and a distinct additional product with different primary accounting purposes these were may enter the database as distinct entries. The rationale for this is described latter in this section. Figure 1: Conceptual model for matching Copernicus product to updated ecosystem accounting themes There will also be key metadata requirements that Copernicus products and services will have to meet in order to support different analytical uses. As parameters chosen for inclusion in the accounts should be underpinned by datasets that allow a reliable quantitative analysis of trends at suitable spatial and temporal scale, the following metadata will be a key concern for account producers and is captured in the database: * Ecosystem specificity, i.e. the degree to which the EO product can be used across all ecosystem types, or just a few, e.g. land, or specific to one ecosystem type, e.g. grasslands. * Access (capture the weblink so that users can readily access the product) * Status, i.e. if the Copernicus product is 'operational', 'pre-operational', 'demonstration' or 'in development' * Temporal coverage (i.e., is the product for one-time point or available as time series) * Spatial coverage and resolution (i.e. does the maximum spatial resolution achieve the 100m target for ecosystem accounting proposed for EEA ecosystem accounts?) An assessment of the potential use, limitations and options for development could then be undertaken for each product. Initial thoughts in these regards are captured in the database. It is anticipated that these can be updated and refined through future experimentations. 2.2 Results from the updated Copernicus Database Figure 2, provides a breakdown of 47 Copernicus products reviewed to different ecosystem accounts in the database. As Figure 2 reveals, Copernicus products are best suited to describing ecosystem extent (12 matches out of 47 products) and condition (28 out of 47). Only 2 products were identified as 'Matches' for ecosystem services. 5 products were identified as not being a match ('None') for any of the three accounting modules (e.g., because they required significant processing, such as image mosaics). Account Matches 2.3 Results for Ecosystem Extent Figure 2 identifies 12 Copernicus products that were relevant to informing on ecosystem extent (or at least land cover as a pragmatic approximation). Figure 3 identifies that a majority of matched products relate to land cover products (10 out of 12). Corine Land Cover (CLC) is the land cover product currently used to define MAES (Tier I) ecosystem extent accounts (with editions for 2000; 2006; 2012 and 2018 available). It is highlighted that the SEEA-EEA aims for different ecosystem types to be delineated such that there are no gaps in ecosystem coverage or overlaps between different types (i.e. approach that is mutually exclusive and collectively exhaustive – the MECE principle. The CLC Product satisfies the MECE principle for the entire EEA-39 area and is now the core dataset for ecosystem extent and land accounting in Europe. The EEA has modified the CLC status layers from the Copernicus programme for the purpose of consistent statistical analysis in the land cover change accounting system the Agency maintains. 11 CLC also provides the potential to undertake more detailed ecosystem accounting using the 44 CLC Level 3 classes it contains, which the EEA have used to develop more detailed (Tier II and III) ecosystem extent accounts (up to a sub-division of 32 different ecosystem types at European level in Tier III). Additional, thematic, land cover products are also available from the Copernicus Land Services programme. While these products do not satisfy the MECE principle, they could support accounting for specific individual ecosystem types (e.g., Grassland), areas or experimenting with integration possibilities with CLC. The High Resolution Water and Wetness (for wetlands), Forest and Grassland Layers could be of interest for integration with CLC, given the higher spatial resolution they provide. Similarly, the Riparian Zones and Urban Atlas provide high resolution data for these ecosystem areas. There is also a high resolution land cover / land use product under development for coastal zone areas, expected at the end of 2020. Collectively, these high resolution data can help improve ecosystem extent accounts compiled using CLC by contributing input data for features that may not be picked up at the resolution of Minimum Mapping Units (25ha) or change (5ha) achieved via the CLC product currently. Initial experiments in this regard indicate such changes are likely to be very low, even in the context of the relative stability of land cover flows in Europe. There is also now a global, annual mid resolution layer for land cover and water bodies extent from the global land services component that could also support ecosystem extent accounting outside of Europe, albeit the land cover product is only available for 2015 and 2018. These are included in the results presented in Figure 3. The single 'Land Use' products identified in Figure 3 relates to the Urban Atlas (albeit it is a land cover observation). Delineation of Riparian Areas was considered to be best represented by Ecological Data as it employs a combination of land cover, land use and other geo-data sources in the modelling approach for the delineation. 11 https://www.eea.europa.eu/data-and-maps/data/corine-land-cover-accounting-layers 2.4 Results for Ecosystem Condition Experimental Implementation of Ecosystem Condition Accounting is being pursues by the EEA drawing on a range of in-situ and ex-situ data sources. This has included the use of information reported by Member States under the Nature Directives. For instance, using data reported under Article 12 of the Birds Directive to derive trends in composition condition indicators for ecosystems (i.e., bird diversity indicators by MAES Ecosystem Type). 12 In addition, experimental ecosystem condition accounts using data on Ecological Quality Status collected under the Water Framework Directive have been piloted. This section aims to evaluate the potential for the Copernicus Land Services products to support these efforts, although for some parameters it should be acknowledged that these existing reporting streams may deliver more reliable information on ecosystem condition. As shown in Figure 4, the database contains 28 Copernicus products that were a match for ecosystem condition accounting. This is a slight increase from the 2018 Copernicus database (this identified only 25). These 28 Copernicus products are well represented by products for structural (10 out of 28), physical (9 out of 28) and functional (8 out of 28) condition variables. A single Copernicus product for pressure condition variables were also identified. No Copernicus products were identified that provided information on compositional or chemical ecosystem condition variables. Overall 17 of these Copernicus products were provided via the Global services component (largely associated with the vegetation domain, 10 products). The structural condition products identified via the database included 4 products that were considered relevant to landscape structural elements, these included Small woody features; Riparian Zones Green Linear Elements, in addition to Natura 2000 and ESM (due to its urban green space data in urban areas only). These were all provided via the Pan –European or Local Component of Copernicus. Overall 3 products relevant to tree cover (Fcover related to canopy cover but can be considered similar to vegetation indices; Tree cover density and the Urban Atlas: Street tree Layer). 3 products were also identified that provide information on the extent of snow and ice cover of land and water areas (Lake ice extent; Snow cover extent; and, Snow and ice monitoring that is expected by end 2020). The physical condition products included 5 products that provide information on water availability in different ecosystems. These comprised the Water & Wetness Probability Index (an expert product within the water and wetness product on the degree of soil saturation); Soil water index; Surface Soil Moisture (SSM); and, Snow water equivalent (i.e., water volume of the snow column) for land ecosystems and Water level for lakes. 2 products were considered relevant to urban ecosystems specifically (Imperviousness and Land surface temperature). Lake surface water temperature was also identified as a product relevant to lake ecosystem condition. The final product was the EU-Hydro River Network 2006-2012, which provide data on morphological alterations that affect that fragment freshwater ecosystems, including dam and culvert locations. The latter could be developed to provide some indication of fragmentation in rivers, although further analysis is required on how this can best be achieved and it is highly likely to require additional in-situ data. The functional condition products were dominated by products related to vegetation indices (FAPAR, Leaf Area Index, NDVI, VCI) or related primary productivity indices (Dry Matter Productivity, VPI, Vegetation phenology and productivity, expected 2021). In addition, Lake water quality was identified as a functional indicator and could be useful to support the more compositional type of indicators provided via the WFD. This is because as it provides information on trophic state (reflecting phytoplankton productivity and eutrophication status), as well as on Turbidity. The single pressure condition product was Burnt area. This is an indicator of climate change pressure. Overall, the database reveals that the Copernicus products are suited to providing data on some simple physical, structural and functional characteristics of ecosystems. Generally, the Copernicus products for ecosystem condition variables are likely to require further processing to make them amenable for ecosystem accounting. It is also noted that no products have a clear match for biodiversity (i.e., ecosystem composition) measurement, although some are quite relevant to the potential for higher levels of biodiversity (e.g., Natura 2000, Riparian Zones and Green Linear Elements). Figure 4: Matches between Copernicus products and ecosystem condition criteria 1 9 10 8 Criteria Matches - Condition Accounts Pressures Physical Structural Functional 2.5 Results for Ecosystem Services Only 2 products were identified with a primary match to ecosystem service accounting. This included the EU Digital Elevation Model (DEM), reflecting that DEMs have been used as 'Auxiliary Data' to model the supply of a wide range of regulating ecosystem services (e.g., soil stabilisation, flood attenuation, etc.). The second product was the urban population estimates by polygon, provided in the Urban Atlas. These data are considered to be useful in modelling ecosystem service flow as they provide numbers of potential beneficiaries from ecosystem services and support estimating ecosystem service demand. The two products identified above are considered relevant to ecosystem services as they are of little relevance to extent or condition (although population pressure could be a condition measure). It should be appreciated that many of the Copernicus products captured in the database will also be useful for various ecosystem service modelling approaches. For example, the Urban Atlas Street Tree Layer can be linked to urban ecosystem services such as removal of particulate matter and aesthetic enjoyment. In addition, the JRC are developing air quality regulation models where Leaf Area Index is a model input. Experience within the KIP INCA project with respect to Ecosystem Service Accounting by the JRC has identified that many different datasets are often needed to model ecosystem services supply and use (e.g., As Auxiliary data for modelling pollination and outdoor recreation). 13 These include data on ecosystems as supplied (e.g., from CLC), the characteristics the underpin services supply (e.g., distribution and abundance of pollinators) and where demand for the service intersects with supply (e.g., distribution of yields in pollinated crops). This is clearly to be expected, ecosystem services supply is entirely dependent on the configuration of ecosystems and their condition. Whilst the database has been structured to inform on primary uses of Copernicus products, there are clearly multiple products that will be relevant to modelling ecosystem services supply (i.e., Auxiliary data). 3 Key Messages The analysis of the database revealed where Copernicus land monitoring services can provide longterm support to ecosystem accounting in Europe. The data basis for Ecosystem Extent Accounting is now well assured via the CLC product and established methods to make these products consistent in a way the can support ecosystem (and land) accounting. Momentum is building within the ecosystem accounting community to move beyond a reliance on land cover information for Ecosystem Extent Accounting. High resolution Copernicus products have become available for certain ecosystem types and areas that my deliver more ecologically robust ecosystem extent accounts. However, the proposal likely to emerge in the revised version of the SEEA EA, will be to use the IUCN Global Ecosystem Typology as the global ecosystem type classification system (IUCN GET). 14 It would also be useful to assess the potential for the Copernicus services products to support delineating ecosystems using this typology and clearly identify additional data requirements to achieve this. This would support a more ecologically orientated approach to ecosystem extent accounting, based on delineating ecosystems in terms of functional similarities rather than just their physical land cover characteristics. With respect to Ecosystem Condition Accounting, the database reveals that the Copernicus products are suited to providing data on some simple physical, structural and functional characteristics of ecosystems. However, in most cases, Copernicus products for ecosystem condition variables are likely to require further processing to make them amenable for ecosystem accounting. It is also highlighted that no products were identified that provided information on ecosystem compositional or chemical ecosystem condition variables. 13 https://publications.jrc.ec.europa.eu/repository/handle/JRC110321 14 https://seea.un.org/content/iucn-global-ecosystem-typology-v101-descriptive-profiles-biomes-andecosystem-functional In order to get a better understanding of the potential of Earth Observation to deliver information on Ecosystem Condition (including compositional characteristics), the EAA & UNEP-WCMC (via EO4EA) has been liaising with GEO Biodiversity Observation Network (GEO BON). The GEO BON initiative is developing a data platform for hosting and accessing a large number (>100) of global spatial datasets for Essential Biodiversity Variables (EBVs). 15 GEO BON have recently mapped the set of EBVs to the SEEA EA Accounting modules, following the approach presented herein. 16 These are included in the aforementioned expanded database, developed in collaboration with the Earth Observation for Ecosystem Accounting (EO4EA) initiative. The secondary applications of Copernicus products for informing Ecosystem Services modelling as Auxiliary data should be evaluated further. A first step would be a detailed review of the Ecosystem Services Accounts compiled by the JRC via KIP INCA to identify the specific Copernicus products utilised. In addition, Biophysical Ecosystem Modelling Guidelines are being produced to support the SEEA EEA under the auspices of UNSD. These should also be reviewed to allow identify the scope of support Copernicus Land Services can provide at the European and Global level. Whilst the possibilities for Copernicus to support Ecosystem Service modelling are potentially numerous, there is clearly a lack of regularly derived products on ecosystem services supply and use. The development of these products would be very helpful for the ecosystem accounting and assessment community in Europe. In particular, for facilitating consistent and comparative analysis at the continental scale. Efforts at the global scale are proceeding along these lines, for instance via the AIRES initiative. 17 Further experimentation is clearly very necessary to establish if there is a clear, real match between Copernicus products and ecosystem accounts, rather than the potentials identified via the database. Some of this has now been established via KIP-INCA. The need for these tests for thematic and statistical consistency should not be underestimated. This has been demonstrated already in the context of using the CLC product for consistent time series Ecosystem Extent Accounting in Europe. A key part of this experimentation should be evaluating the best combinations of Earth Observation and other data to deliver the best representations for accounting themes of interest. 15 https://geobon.org/geo-bon-and-un-system-of-environmental-economic-accounting-seeacollaboration-for-ebvs-eesvs/ 16 https://GEO BON.org/geo-bon-and-un-system-of-environmental-economic-accounting-seea- collaboration-for-ebvs-eesvs/ 17 http://aries.integratedmodelling.org/ Appendix A: Copernicus Database (Excel)	<urn:uuid:a96ca293-3e24-4601-881f-7412fe84013e>	CC-MAIN-2021-25	https://projects.eionet.europa.eu/ecosystem-capital-accounting/library/copernicus-ecosystem-accounting_update_dec-2020/copernicus-ecosystem-accounting_updated-review-document/download/en/1/EO4EA_Supporting%20Note_2020%20Copernicus%20Database_final%20draft_12-12-20.pdf	2021-06-12T12:06:13+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-25/subset=warc/part-00166-e638c5dd-3c3d-4738-8d52-dc1e9f44de3a.c000.gz.parquet	438,490,012	5,271	eng_Latn	eng_Latn	0.883363	eng_Latn	0.974881	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "unknown" ]	false	rolmOCR	[ 142, 3391, 7266, 9609, 9709, 11861, 14919, 17361, 20313, 24046, 26827, 26868 ]	Supporting note for the Earth Observation for Ecosystem Accounting database (Copernicus products) Produced by UNEP-WCMC under contract to EEA 1 Introduction Ecosystem accounting requires a reliable measurement of the extent of different ecosystems and a set of condition characteristics (stock) and the ecosystem services they deliver (flow) at different points in time. These accounting items are, respectively, recorded in ecosystem extent, condition and ecosystem service supply and use accounts. This note is intended to support the design and use of a database to link the data needs of ecosystem accounting producers in Europe to key earth observation data sources. The database is presented as Appendix A and provides an update to a similar database produced in 2018. The database comprises of products derived via the European Union's Copernicus programme for Earth Observation (EO) and monitoring. The updated database includes additional Copernicus land services products that have come online since 2018, or have been significantly updated since then. It has also been restructured to match the Ecosystem Condition Typology proposed for the revised System of Environmental-Economic Accounting (Experimental) Ecosystem Accounting (SEEA EEA) Framework (see Figure 1). The SEEA EEA handbook is currently being revised into a formal statistical framework for ecosystem accounting (to be labelled as SEEA EA). An expanded database with a more simplified structure has been developed in collaboration with the Earth Observation for Ecosystem Accounting (EO4EA) initiative 1 . This captures metadata from Earth Observation data hosted by other agencies with a mandate for environment monitoring and management. These data were via an interactive workshop session of the EO4EA All Hands Meeting in 2020 and follow-on engagements with participants. The workshop session was delivered on behalf of the EEA with support from UNEP-WCMC and is reported on in separate report. 2 2 Updating the Copernicus Database The Copernicus programme consists of the Sentinels, downstream services to use the Sentinel data and derived products (collectively referred to as EO herein). The accessibility and ability of Copernicus products and services to monitor ecosystem characteristics over space and time make them wellsuited for supporting ecosystem accounting. In particular, the land services theme of the Copernicus programme provides a strong data foundation for many components of terrestrial ecosystem accounts. Across the EU, there are both Pan-European as well as local components. The following is a summary of the suite of Copernicus Land Services across the different components: * Global (biophysical variables at mid to low scale resolution which describe the state and the evolution of vegetation, land cover, energy budget at the surface, the cryosphere and the water cycle). * Pan-European (CORINE Land Cover Map, High Resolution Layers of land cover characteristics, Biophysical parameters and Related Pan-European Products). * Local (Based on very high resolution data for areas of thematic focus. Includes Urban Atlas, Riparian Zones, Natura 2000 Estate and Coastal Zones). * Imagery and Reference Data (EU Digital Elevation Model, EU River Network, Image Mosaics). 1 https://www.eo4ea.org/ 2 See: DRAFT: Earth Observation for Ecosystem Accounting (EO4EA) database The Copernicus land services website was reviewed at the beginning of October 2020 and results were captured in the database. 3 In total 47 main and additional Earth Observation based products were identified on the website for inclusion in the database. Where an individual product contained a main product and an additional product that was relevant to different ecosystem accounting themes, these were captured as two distinct entries in the database. Where there were multiple products that reflected different years of observation these are captured as a single entry in the database and the multiple editions communicated as a discrete set of temporal coverages (e.g., Corine Land Cover products only enter the database once but these are available for 2000, 2006, 2012 and 2018). 4 In addition to the 47 products in the database, there is also a viewer for evaluating hotspots of land cover change in the global vegetation component of Copernicus. 5 There is also a Ground Based Observations for Validation (GBOV) service that provides multiple years of high quality in-situ measurements to validate core global land services products. 6 In the Pan-European Component there is also a European Ground Motion Service being developed to provide regular information regarding ground motion phenomena over Europe and across national borders. 7 These three services are not included in the database. 2.1 Organising the database This section explains the methodology employed to evaluate the potential of Copernicus products for calculating ecosystem accounts, identifying key metadata requirements and constructing a database to support practitioners to identify appropriate Copernicus products for different accounting purposes. For account producers, the thematic accuracy of the Copernicus product will be a key concern (i.e., the degree to which the product or services relates to the accounting item of interest, specifically ecosystem extent, condition, services). A conceptual model was constructed to aid matching Copernicus products into different accounting themes in the database. This is in line with the most recent proposals for the SEEA EEA revision process. This is presented in Figure 1 for each accounting module, with examples of how the data type for the product matched to different ecosystem accounting themes. As shown in Figure 1, a Copernicus product was considered to be primarily relevant to ecosystem extent if it provided data on: Land Cover (i.e., physical and biological cover, following the SEEA CF description); Land Use (i.e., activities taking place on land or institutional arrangements for land, also following the SEEA CF description); or, Ecological (i.e., mapping of vegetation classes, ecosystem classes or habitat mapping, SEEA EEA TR description). The approach for ecosystem condition accounting has received considerable attention within the ecosystem accounting community via the SEEA EEA revision process. Via this process an Ecosystem Condition Typology has been proposed (See Table 5.1, draft Chapter 5, SEEA EA 8 ). This typology has been adopted for assigning Copernicus products to different ecosystem condition variables. An important change to the previous database is that products related to water availability are now considered to provide data on physical ecosystem condition (rather than functional, as previously). In 3 https://land.copernicus.eu/ 4 Whilst LUCAS products are available and used for reference data, these are based on in-situ data, rather than Earth Observation. Hence they are not included in the database 5 https://land.copernicus.eu/global/hsm 6 https://land.copernicus.eu/global/gbov 7 https://land.copernicus.eu/user-corner/technical-library/european-ground-motion-service 8 https://seea.un.org/sites/seea.un.org/files/documents/EEA/2_seea_eea_rev._ch5_gc_mar2020_final.p df addition, as per Table 2.2 in the 5 th MAES (2018) Report, products providing information on ecosystem pressures are considered relevant for ecosystem condition accounting. 9 As shown by Figure 1, a Copernicus product was considered to be primarily relevant to ecosystem condition if it provided data on physical, chemical, composition, structural, functional or landscape (including seascape) characteristics. For ecosystem services, the CICES Group Level classification for data relating to provisioning, regulating and maintenance, and cultural services was employed. In addition, data on ecosystem service demand (e.g., population estimates) was also included as high level criterion for matching Copernicus products, as this can help move beyond modelling ecosystem service potential supply to actual use (see Figure 1). Finally, Auxiliary (data) was also considered a relevant criterion for organising Copernicus products that were relevant to modelling ecosystem services flow (for example Digital Elevation Models). This reflects a similar proposal within the draft ecosystem condition accounting chapter of the SEEA EA, which proposes to capture such data as 'Ancillary Data'. Whilst some Copernicus products could be used in the compilation of more than one type of ecosystem account, it was decided that each product should only matched to one theme of either ecosystem extent, condition or services. This was to minimise the potential for the same dataset to enter the accounting framework via multiple points. Accordingly, the following binary match criteria are employed in the database: * No match – implies no significant association of a Copernicus product with an accounting theme, or that the product has a more appropriate (primary) ecosystem accounting purpose. 10 * Match – implies the Copernicus product provides data that is directly associated with an accounting theme and with reasonable confidence. For example, using land cover data to represent ecosystem extent. 9 http://ec.europa.eu/environment/nature/knowledge/ecosystem_assessment/pdf/5th%20MAES%20rep ort.pdf 10 Where a product contained a main product and a distinct additional product with different primary accounting purposes these were may enter the database as distinct entries. The rationale for this is described latter in this section. Figure 1: Conceptual model for matching Copernicus product to updated ecosystem accounting themes There will also be key metadata requirements that Copernicus products and services will have to meet in order to support different analytical uses. As parameters chosen for inclusion in the accounts should be underpinned by datasets that allow a reliable quantitative analysis of trends at suitable spatial and temporal scale, the following metadata will be a key concern for account producers and is captured in the database: * Ecosystem specificity, i.e. the degree to which the EO product can be used across all ecosystem types, or just a few, e.g. land, or specific to one ecosystem type, e.g. grasslands. * Access (capture the weblink so that users can readily access the product) * Status, i.e. if the Copernicus product is 'operational', 'pre-operational', 'demonstration' or 'in development' * Temporal coverage (i.e., is the product for one-time point or available as time series) * Spatial coverage and resolution (i.e. does the maximum spatial resolution achieve the 100m target for ecosystem accounting proposed for EEA ecosystem accounts?) An assessment of the potential use, limitations and options for development could then be undertaken for each product. Initial thoughts in these regards are captured in the database. It is anticipated that these can be updated and refined through future experimentations. 2.2 Results from the updated Copernicus Database Figure 2, provides a breakdown of 47 Copernicus products reviewed to different ecosystem accounts in the database. As Figure 2 reveals, Copernicus products are best suited to describing ecosystem extent (12 matches out of 47 products) and condition (28 out of 47). Only 2 products were identified as 'Matches' for ecosystem services. 5 products were identified as not being a match ('None') for any of the three accounting modules (e.g., because they required significant processing, such as image mosaics). Account Matches 2.3 Results for Ecosyst	em Extent Figure 2 identifies 12 Copernicus products that were relevant to informing on ecosystem extent (or at least land cover as a pragmatic approximation).		11,644	inside_word	Ecosystem	remove_all	<url> https://projects.eionet.europa.eu/ecosystem-capital-accounting/library/copernicus-ecosystem-accounting_update_dec-2020/copernicus-ecosystem-accounting_updated-review-document/download/en/1/EO4EA_Supporting%20Note_2020%20Copernicus%20Database_final%20draft_12-12-20.pdf </url> <text> Supporting note for the Earth Observation for Ecosystem Accounting database (Copernicus products) Produced by UNEP-WCMC under contract to EEA 1 Introduction Ecosystem accounting requires a reliable measurement of the extent of different ecosystems and a set of condition characteristics (stock) and the ecosystem services they deliver (flow) at different points in time. These accounting items are, respectively, recorded in ecosystem extent, condition and ecosystem service supply and use accounts. This note is intended to support the design and use of a database to link the data needs of ecosystem accounting producers in Europe to key earth observation data sources. The database is presented as Appendix A and provides an update to a similar database produced in 2018. The database comprises of products derived via the European Union's Copernicus programme for Earth Observation (EO) and monitoring. The updated database includes additional Copernicus land services products that have come online since 2018, or have been significantly updated since then. It has also been restructured to match the Ecosystem Condition Typology proposed for the revised System of Environmental-Economic Accounting (Experimental) Ecosystem Accounting (SEEA EEA) Framework (see Figure 1). The SEEA EEA handbook is currently being revised into a formal statistical framework for ecosystem accounting (to be labelled as SEEA EA). An expanded database with a more simplified structure has been developed in collaboration with the Earth Observation for Ecosystem Accounting (EO4EA) initiative 1 . This captures metadata from Earth Observation data hosted by other agencies with a mandate for environment monitoring and management. These data were via an interactive workshop session of the EO4EA All Hands Meeting in 2020 and follow-on engagements with participants. The workshop session was delivered on behalf of the EEA with support from UNEP-WCMC and is reported on in separate report. 2 2 Updating the Copernicus Database The Copernicus programme consists of the Sentinels, downstream services to use the Sentinel data and derived products (collectively referred to as EO herein). The accessibility and ability of Copernicus products and services to monitor ecosystem characteristics over space and time make them wellsuited for supporting ecosystem accounting. In particular, the land services theme of the Copernicus programme provides a strong data foundation for many components of terrestrial ecosystem accounts. Across the EU, there are both Pan-European as well as local components. The following is a summary of the suite of Copernicus Land Services across the different components: * Global (biophysical variables at mid to low scale resolution which describe the state and the evolution of vegetation, land cover, energy budget at the surface, the cryosphere and the water cycle). * Pan-European (CORINE Land Cover Map, High Resolution Layers of land cover characteristics, Biophysical parameters and Related Pan-European Products). * Local (Based on very high resolution data for areas of thematic focus. Includes Urban Atlas, Riparian Zones, Natura 2000 Estate and Coastal Zones). * Imagery and Reference Data (EU Digital Elevation Model, EU River Network, Image Mosaics). 1 https://www.eo4ea.org/ 2 See: DRAFT: Earth Observation for Ecosystem Accounting (EO4EA) database The Copernicus land services website was reviewed at the beginning of October 2020 and results were captured in the database. 3 In total 47 main and additional Earth Observation based products were identified on the website for inclusion in the database. Where an individual product contained a main product and an additional product that was relevant to different ecosystem accounting themes, these were captured as two distinct entries in the database. Where there were multiple products that reflected different years of observation these are captured as a single entry in the database and the multiple editions communicated as a discrete set of temporal coverages (e.g., Corine Land Cover products only enter the database once but these are available for 2000, 2006, 2012 and 2018). 4 In addition to the 47 products in the database, there is also a viewer for evaluating hotspots of land cover change in the global vegetation component of Copernicus. 5 There is also a Ground Based Observations for Validation (GBOV) service that provides multiple years of high quality in-situ measurements to validate core global land services products. 6 In the Pan-European Component there is also a European Ground Motion Service being developed to provide regular information regarding ground motion phenomena over Europe and across national borders. 7 These three services are not included in the database. 2.1 Organising the database This section explains the methodology employed to evaluate the potential of Copernicus products for calculating ecosystem accounts, identifying key metadata requirements and constructing a database to support practitioners to identify appropriate Copernicus products for different accounting purposes. For account producers, the thematic accuracy of the Copernicus product will be a key concern (i.e., the degree to which the product or services relates to the accounting item of interest, specifically ecosystem extent, condition, services). A conceptual model was constructed to aid matching Copernicus products into different accounting themes in the database. This is in line with the most recent proposals for the SEEA EEA revision process. This is presented in Figure 1 for each accounting module, with examples of how the data type for the product matched to different ecosystem accounting themes. As shown in Figure 1, a Copernicus product was considered to be primarily relevant to ecosystem extent if it provided data on: Land Cover (i.e., physical and biological cover, following the SEEA CF description); Land Use (i.e., activities taking place on land or institutional arrangements for land, also following the SEEA CF description); or, Ecological (i.e., mapping of vegetation classes, ecosystem classes or habitat mapping, SEEA EEA TR description). The approach for ecosystem condition accounting has received considerable attention within the ecosystem accounting community via the SEEA EEA revision process. Via this process an Ecosystem Condition Typology has been proposed (See Table 5.1, draft Chapter 5, SEEA EA 8 ). This typology has been adopted for assigning Copernicus products to different ecosystem condition variables. An important change to the previous database is that products related to water availability are now considered to provide data on physical ecosystem condition (rather than functional, as previously). In 3 https://land.copernicus.eu/ 4 Whilst LUCAS products are available and used for reference data, these are based on in-situ data, rather than Earth Observation. Hence they are not included in the database 5 https://land.copernicus.eu/global/hsm 6 https://land.copernicus.eu/global/gbov 7 https://land.copernicus.eu/user-corner/technical-library/european-ground-motion-service 8 https://seea.un.org/sites/seea.un.org/files/documents/EEA/2_seea_eea_rev._ch5_gc_mar2020_final.p df addition, as per Table 2.2 in the 5 th MAES (2018) Report, products providing information on ecosystem pressures are considered relevant for ecosystem condition accounting. 9 As shown by Figure 1, a Copernicus product was considered to be primarily relevant to ecosystem condition if it provided data on physical, chemical, composition, structural, functional or landscape (including seascape) characteristics. For ecosystem services, the CICES Group Level classification for data relating to provisioning, regulating and maintenance, and cultural services was employed. In addition, data on ecosystem service demand (e.g., population estimates) was also included as high level criterion for matching Copernicus products, as this can help move beyond modelling ecosystem service potential supply to actual use (see Figure 1). Finally, Auxiliary (data) was also considered a relevant criterion for organising Copernicus products that were relevant to modelling ecosystem services flow (for example Digital Elevation Models). This reflects a similar proposal within the draft ecosystem condition accounting chapter of the SEEA EA, which proposes to capture such data as 'Ancillary Data'. Whilst some Copernicus products could be used in the compilation of more than one type of ecosystem account, it was decided that each product should only matched to one theme of either ecosystem extent, condition or services. This was to minimise the potential for the same dataset to enter the accounting framework via multiple points. Accordingly, the following binary match criteria are employed in the database: * No match – implies no significant association of a Copernicus product with an accounting theme, or that the product has a more appropriate (primary) ecosystem accounting purpose. 10 * Match – implies the Copernicus product provides data that is directly associated with an accounting theme and with reasonable confidence. For example, using land cover data to represent ecosystem extent. 9 http://ec.europa.eu/environment/nature/knowledge/ecosystem_assessment/pdf/5th%20MAES%20rep ort.pdf 10 Where a product contained a main product and a distinct additional product with different primary accounting purposes these were may enter the database as distinct entries. The rationale for this is described latter in this section. Figure 1: Conceptual model for matching Copernicus product to updated ecosystem accounting themes There will also be key metadata requirements that Copernicus products and services will have to meet in order to support different analytical uses. As parameters chosen for inclusion in the accounts should be underpinned by datasets that allow a reliable quantitative analysis of trends at suitable spatial and temporal scale, the following metadata will be a key concern for account producers and is captured in the database: * Ecosystem specificity, i.e. the degree to which the EO product can be used across all ecosystem types, or just a few, e.g. land, or specific to one ecosystem type, e.g. grasslands. * Access (capture the weblink so that users can readily access the product) * Status, i.e. if the Copernicus product is 'operational', 'pre-operational', 'demonstration' or 'in development' * Temporal coverage (i.e., is the product for one-time point or available as time series) * Spatial coverage and resolution (i.e. does the maximum spatial resolution achieve the 100m target for ecosystem accounting proposed for EEA ecosystem accounts?) An assessment of the potential use, limitations and options for development could then be undertaken for each product. Initial thoughts in these regards are captured in the database. It is anticipated that these can be updated and refined through future experimentations. 2.2 Results from the updated Copernicus Database Figure 2, provides a breakdown of 47 Copernicus products reviewed to different ecosystem accounts in the database. As Figure 2 reveals, Copernicus products are best suited to describing ecosystem extent (12 matches out of 47 products) and condition (28 out of 47). Only 2 products were identified as 'Matches' for ecosystem services. 5 products were identified as not being a match ('None') for any of the three accounting modules (e.g., because they required significant processing, such as image mosaics). Account Matches 2.3 Results for Ecosyst<cursor_is_here> </text>	[ { "content": "<url>\nhttps://projects.eionet.europa.eu/ecosystem-capital-accounting/library/copernicus-ecosystem-accounting_update_dec-2020/copernicus-ecosystem-accounting_updated-review-document/download/en/1/EO4EA_Supporting%20Note_2020%20Copernicus%20Database_final%20draft_12-12-20.pdf\n</url>\n<text>\nSupporting note for the Earth Observation for Ecosystem Accounting database (Copernicus products)\n\nProduced by UNEP-WCMC under contract to EEA\n\n1 Introduction\n\nEcosystem accounting requires a reliable measurement of the extent of different ecosystems and a set of condition characteristics (stock) and the ecosystem services they deliver (flow) at different points in time. These accounting items are, respectively, recorded in ecosystem extent, condition and ecosystem service supply and use accounts.\n\nThis note is intended to support the design and use of a database to link the data needs of ecosystem accounting producers in Europe to key earth observation data sources. The database is presented as Appendix A and provides an update to a similar database produced in 2018. The database comprises of products derived via the European Union's Copernicus programme for Earth Observation (EO) and monitoring. The updated database includes additional Copernicus land services products that have come online since 2018, or have been significantly updated since then. It has also been restructured to match the Ecosystem Condition Typology proposed for the revised System of Environmental-Economic Accounting (Experimental) Ecosystem Accounting (SEEA EEA) Framework (see Figure 1). The SEEA EEA handbook is currently being revised into a formal statistical framework for ecosystem accounting (to be labelled as SEEA EA).\n\nAn expanded database with a more simplified structure has been developed in collaboration with the Earth Observation for Ecosystem Accounting (EO4EA) initiative 1 . This captures metadata from Earth Observation data hosted by other agencies with a mandate for environment monitoring and management. These data were via an interactive workshop session of the EO4EA All Hands Meeting in 2020 and follow-on engagements with participants. The workshop session was delivered on behalf of the EEA with support from UNEP-WCMC and is reported on in separate report. 2\n\n2 Updating the Copernicus Database\n\nThe Copernicus programme consists of the Sentinels, downstream services to use the Sentinel data and derived products (collectively referred to as EO herein). The accessibility and ability of Copernicus products and services to monitor ecosystem characteristics over space and time make them wellsuited for supporting ecosystem accounting. In particular, the land services theme of the Copernicus programme provides a strong data foundation for many components of terrestrial ecosystem accounts. Across the EU, there are both Pan-European as well as local components. The following is a summary of the suite of Copernicus Land Services across the different components:\n\n* Global (biophysical variables at mid to low scale resolution which describe the state and the evolution of vegetation, land cover, energy budget at the surface, the cryosphere and the water cycle).\n* Pan-European (CORINE Land Cover Map, High Resolution Layers of land cover characteristics, Biophysical parameters and Related Pan-European Products).\n* Local (Based on very high resolution data for areas of thematic focus. Includes Urban Atlas, Riparian Zones, Natura 2000 Estate and Coastal Zones).\n* Imagery and Reference Data (EU Digital Elevation Model, EU River Network, Image Mosaics).\n\n1 https://www.eo4ea.org/\n\n2 See: DRAFT: Earth Observation for Ecosystem Accounting (EO4EA) database\n\nThe Copernicus land services website was reviewed at the beginning of October 2020 and results were captured in the database. 3 In total 47 main and additional Earth Observation based products were identified on the website for inclusion in the database. Where an individual product contained a main product and an additional product that was relevant to different ecosystem accounting themes, these were captured as two distinct entries in the database. Where there were multiple products that reflected different years of observation these are captured as a single entry in the database and the multiple editions communicated as a discrete set of temporal coverages (e.g., Corine Land Cover products only enter the database once but these are available for 2000, 2006, 2012 and 2018). 4\n\nIn addition to the 47 products in the database, there is also a viewer for evaluating hotspots of land cover change in the global vegetation component of Copernicus. 5 There is also a Ground Based Observations for Validation (GBOV) service that provides multiple years of high quality in-situ measurements to validate core global land services products. 6 In the Pan-European Component there is also a European Ground Motion Service being developed to provide regular information regarding ground motion phenomena over Europe and across national borders. 7 These three services are not included in the database.\n\n2.1 Organising the database\n\nThis section explains the methodology employed to evaluate the potential of Copernicus products for calculating ecosystem accounts, identifying key metadata requirements and constructing a database to support practitioners to identify appropriate Copernicus products for different accounting purposes. For account producers, the thematic accuracy of the Copernicus product will be a key concern (i.e., the degree to which the product or services relates to the accounting item of interest, specifically ecosystem extent, condition, services). A conceptual model was constructed to aid matching Copernicus products into different accounting themes in the database. This is in line with the most recent proposals for the SEEA EEA revision process. This is presented in Figure 1 for each accounting module, with examples of how the data type for the product matched to different ecosystem accounting themes.\n\nAs shown in Figure 1, a Copernicus product was considered to be primarily relevant to ecosystem extent if it provided data on: Land Cover (i.e., physical and biological cover, following the SEEA CF description); Land Use (i.e., activities taking place on land or institutional arrangements for land, also following the SEEA CF description); or, Ecological (i.e., mapping of vegetation classes, ecosystem classes or habitat mapping, SEEA EEA TR description).\n\nThe approach for ecosystem condition accounting has received considerable attention within the ecosystem accounting community via the SEEA EEA revision process. Via this process an Ecosystem Condition Typology has been proposed (See Table 5.1, draft Chapter 5, SEEA EA 8 ). This typology has been adopted for assigning Copernicus products to different ecosystem condition variables. An important change to the previous database is that products related to water availability are now considered to provide data on physical ecosystem condition (rather than functional, as previously). In\n\n3 https://land.copernicus.eu/\n\n4 Whilst LUCAS products are available and used for reference data, these are based on in-situ data, rather than Earth Observation. Hence they are not included in the database\n\n5 https://land.copernicus.eu/global/hsm\n\n6 https://land.copernicus.eu/global/gbov\n\n7 https://land.copernicus.eu/user-corner/technical-library/european-ground-motion-service\n\n8\n\nhttps://seea.un.org/sites/seea.un.org/files/documents/EEA/2_seea_eea_rev._ch5_gc_mar2020_final.p df\n\naddition, as per Table 2.2 in the 5 th MAES (2018) Report, products providing information on ecosystem pressures are considered relevant for ecosystem condition accounting. 9 As shown by Figure 1, a Copernicus product was considered to be primarily relevant to ecosystem condition if it provided data on physical, chemical, composition, structural, functional or landscape (including seascape) characteristics.\n\nFor ecosystem services, the CICES Group Level classification for data relating to provisioning, regulating and maintenance, and cultural services was employed. In addition, data on ecosystem service demand (e.g., population estimates) was also included as high level criterion for matching Copernicus products, as this can help move beyond modelling ecosystem service potential supply to actual use (see Figure 1). Finally, Auxiliary (data) was also considered a relevant criterion for organising Copernicus products that were relevant to modelling ecosystem services flow (for example Digital Elevation Models). This reflects a similar proposal within the draft ecosystem condition accounting chapter of the SEEA EA, which proposes to capture such data as 'Ancillary Data'.\n\nWhilst some Copernicus products could be used in the compilation of more than one type of ecosystem account, it was decided that each product should only matched to one theme of either ecosystem extent, condition or services. This was to minimise the potential for the same dataset to enter the accounting framework via multiple points. Accordingly, the following binary match criteria are employed in the database:\n\n* No match – implies no significant association of a Copernicus product with an accounting theme, or that the product has a more appropriate (primary) ecosystem accounting purpose. 10\n* Match – implies the Copernicus product provides data that is directly associated with an accounting theme and with reasonable confidence. For example, using land cover data to represent ecosystem extent.\n\n9\n\nhttp://ec.europa.eu/environment/nature/knowledge/ecosystem_assessment/pdf/5th%20MAES%20rep ort.pdf\n\n10 Where a product contained a main product and a distinct additional product with different primary accounting purposes these were may enter the database as distinct entries. The rationale for this is described latter in this section.\n\nFigure 1: Conceptual model for matching Copernicus product to updated ecosystem accounting\n\nthemes\n\nThere will also be key metadata requirements that Copernicus products and services will have to meet in order to support different analytical uses. As parameters chosen for inclusion in the accounts should be underpinned by datasets that allow a reliable quantitative analysis of trends at suitable spatial and temporal scale, the following metadata will be a key concern for account producers and is captured in the database:\n\n* Ecosystem specificity, i.e. the degree to which the EO product can be used across all ecosystem types, or just a few, e.g. land, or specific to one ecosystem type, e.g. grasslands.\n* Access (capture the weblink so that users can readily access the product)\n* Status, i.e. if the Copernicus product is 'operational', 'pre-operational', 'demonstration' or 'in development'\n* Temporal coverage (i.e., is the product for one-time point or available as time series)\n* Spatial coverage and resolution (i.e. does the maximum spatial resolution achieve the 100m target for ecosystem accounting proposed for EEA ecosystem accounts?)\n\nAn assessment of the potential use, limitations and options for development could then be undertaken for each product. Initial thoughts in these regards are captured in the database. It is anticipated that these can be updated and refined through future experimentations.\n\n2.2 Results from the updated Copernicus Database\n\nFigure 2, provides a breakdown of 47 Copernicus products reviewed to different ecosystem accounts in the database. As Figure 2 reveals, Copernicus products are best suited to describing ecosystem extent (12 matches out of 47 products) and condition (28 out of 47). Only 2 products were identified as 'Matches' for ecosystem services. 5 products were identified as not being a match ('None') for any of the three accounting modules (e.g., because they required significant processing, such as image mosaics).\n\nAccount Matches\n\n2.3 Results for Ecosyst<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "em Extent\n\nFigure 2 identifies 12 Copernicus products that were relevant to informing on ecosystem extent (or at least land cover as a pragmatic approximation).", "role": "assistant" } ]
FEBRUARY 2019 Information for the members of United Power, Inc. United Power works tirelessly behind the scenes year after year to bring our members safe and reliable power and the tools they need to monitor and control usage patterns that could save them money. This past year has been no different for the cooperative, which took steps to be among the first to adopt utility scale battery storage and rolled out several exciting programs for members to utilize in their daily lives to understand how some behaviors may impact their bill. Working the Lines The ability to provide power begins with our linemen. As one of the most dangerous www.unitedpower.com Report an Outage 303-637-1350 Customer Service 303-637-1300 jobs in the world, linemen put themselves in harm's way every day to ensure the steady stream of power to our members. In 2018, the cooperative completed construction on a new state-of-the-art training facility for linemen, comparable in size and scope to some of the state's largest. Just as you've come to expect from United Power, we went above and beyond, including the most innovative ideas from training yards across the country. From a series of low and high poles, linemen are able to practice a variety of situations to be better prepared to safely face anything they might experience in the field. Bird's Eye View Power became one of the first electric utilities in Colorado to utilize unmanned aerial vehicles (UAV) to monitor our power lines. While the project began in the mountain territory nearly two years ago, it For the past few years, United Power has prioritized preventative maintenance of its electrical infrastructure. For this reason, United IN THIS ISSUE IMPORTANT DATES Deadline for Nominations by Petition for Director Candidates Page 3 FEBRUARY 15 Candidate Forums Page 3 MARCH 18, 19, 21, & 21 Annual Meeting & Director Election Page 3 APRIL 17 was rolled out in phases to the plains territory this past year, beginning in Brighton. Drones offer a safer and more time efficient option for diagnosing potential repairs that need to be made on poles and can often offer the information before outages happen. The project, to date, has examined more than 30 miles of power lines, saving countless manhours and preventing outages. When it's Unpreventable New Outage Map Launched Despite our best efforts, not all outages are preventable. To provide members with more information related to outages impacting them, United Power rolled out an all-new user friendly outage map in early 2018. The new information shows detailed outage information including number of members affected and cause, among other things, without sacrificing safety and security. continued on Page 3 2 How to See Demand: Curious to see when you used the most energy this past month? Use Power Portal to pinpoint what's driving your energy use. Access your complete energy consumption portfolio in 15-minute increments throughout the day to get a clear look at how you use energy. 1. Login to Power Portal at www.unitedpower.com/powerportal. 2. Click on My Consumption Data. 3. Under Usage Dashboard, select the Account to view and choose Current Month from the drop-down and select Billing Month. 4. The orange diamond indicates the interval with the highest demand. (You may need to click on the Demand option under the blue chart to turn on the orange line in the graph.) 5. Click on the blue bar to display each 15-minute interval from that day. (Hover for more detail.) ENERGY SAVERS ENERGY SAVERS Adjust the Temperature. When you are asleep or out of Replace Incandescents with LEDs the house, turn your thermostat back 10-15 degrees for eight hours and save around 10 percent a year on your heating and cooling bills. A smart thermostat can make it easy to set bac your temperature. An incandescent bulb turns 90 percent of the energy it uses into heat. Consider replacing it with an LED bulb, which uses less energy and produces less heat. LEDs also last 50 times longer than traditional bulbs. Questions about Demand? United Power's new rate structure went into effect on January 1st, and members will begin to see the 2019 rates reflected as separate demand and energy charges on their February bills. While energy is the total power used, demand refers to the capacity needed to serve your location. The new rates break apart the costs for demand and energy to more fairly charge each member for their impact on the electric system and the energy they use. Why did you change to this rate structure? The way our members use power has changed, and we now have more detailed information about how each member uses that power. On the blended rate, some members were paying more than they should, while others were not paying enough. The demand component allows us to more fairly charge each member in a way that is more closely aligned with our costs to provide that service. How do I see when I hit my demand? Demand measures the highest 15-minute interval of power consumption over the billing period and your bill will show you the kilowatt (kW) demand measurement of that highest interval. If you'd like to investigate what contributed to your demand charge, the Power Portal will show you the day and time that your demand peaked. Pinpointing the day and time will give you the information to reflect on how you were using energy. the stove, bread in the oven, the kids were downstairs gaming with a space heater on, and it was marathon laundry and cleaning day for the family. Operating all of these appliances at once required more system capacity for United Power to serve you, and your demand charge for the month is a fairer representation of how you used the electric system. How can I reduce my demand? Monitoring your use in the Power Portal will help you understand what is driving your demand. You'll see the effect of using multiple appliances at once and what your energy profile looks like when you stagger appliances. If you'd like to keep your demand charges as low as possible, small changes in the way you use energy can make a difference. Here are some easy ways to reduce your demand: * Spread out the use of major appliances. Major electrical appliances that may contribute to high demand costs include air conditioners, electric clothes dryers, electric water heaters, electric ranges and ovens. * Use small cooking appliances or an outdoor grill. * Use a programmable or smart thermostat to pre-heat or pre-cool your home before you get home and operate kitchen appliances. * Use a timer on your water heater, dishwasher and pool pump. Perhaps your demand was highest on a cold Saturday afternoon when you had soup on * Set a timer on your electric vehicle charger for the middle of the night after other major appliances are not in use. February Bills to Reflect Rate Changes In December, the United Power Board of Directors approved rate changes for 2019 that separated energy and demand charges, and includes a modest 1.5-2% rate increase for most members. The new rates break apart the blended rate members have paid in the past, incorporating both an energy charge and a demand charge. New rates went into effect for energy use beginning January 1, so members will see these changes reflected on their February 2019 billing statements. Co-op Continued its Innovative Approach in 2018 Free Resources for Members increments to decide what behaviors had the heaviest impact and adjust accordingly. With the Power Portal, members can monitor their usage patterns to keep energy demand costs down. In early 2018, United Power began rolling out a new free online resource, the Power Portal, which allows members to monitor their energy usage in 15-minute The cooperative also launched Rush Hour Rewards in partnership with Nest Learning Thermostats to replace its former cycled air program. The smart home appliance gives members more control over energy usage when they're not at home. Enrolling in Rush Hour Rewards with your Nest allows United Power to adjust your thermostat a few degrees on hot summer days to save you energy, and rewards you for it at the end of the summer. Leading the Way United Power members have been quick to adopt solar energy, setting the bar high for other utilities to follow. In November, the cooperative celebrated its 3,000th rooftop solar connection. According to a 2018 report, United Power ranks among the top 50 utilities nationwide in solar energy and second among cooperatives in connected solar. Our commitment to renewable energy leads the way among all 43 cooperatives in Tri-State's four-state region. While not technically being used as a renewable energy source, battery storage represents the next logical step in the progression of renewable energy. Commitment to Cooperative Principles Kelly Snow, Journeyman Lineman necessary to provide two remote jungle villages with power for the first time, he jumped at it. In September, the group left for Guatemala for three weeks to volunteer for the project through NRECA International. When asked why the trip meant so much to him, Snow responded with the Rural Electric Association's principle of bringing electricity to rural parts of the country and those who are underserved. Also in November, we energized the state's largest utility-scale battery storage facility at our new west office. The battery New Battery Storage Facility at United Power’s west office. Most of us never go more than a few hours without some form of power, whether that's work, school or home or the commute in between. When United Power lineman Kelly Snow was given the opportunity to join a group of linemen from Colorado and Oklahoma to build the infrastructure Kelly Snow presents water filtration system to Guatemalan villagers. system generates 4 MW of electricity and is expected to save the cooperative $1 million in wholesale energy charges. The project, developed in collaboration with ENGIE North America, is enough to power up to 700 homes simultaneously. Throughout 2018, United Power had many opportunities to celebrate continual growth and innovation with members and leaders in the communities we serves. As we look to the future, we'll continue to set the bar for others to follow. We look forward to all 2019 has to offer, and continuing to provide our members safe and reliable power. 2019 ANNUAL MEETING & DIRECTOR ELECTION WEDNESDAY APRIL 17, 2019 4:30 p.m. Registration Opens 6:30 p.m. Balloting Closes & Meeting Begins Adams County Regional Park & Fairgrounds 9755 Henderson Road, Brighton, CO 80601 www.unitedpower.com/annual-meeting BALLOTING DEADLINES FEBRUARY 15, 2019 Director Nominations by Petition Deadline at 4 p.m. APRIL 15, 2019 Mail-in Ballots must arrive at the P.O. Box by 6 a.m. APRIL 17, 2019 Ballot Drop-Boxes at offices close at 2 p.m. APRIL 17, 2019 Ballot Drop Box Open from 12–4 p.m. at the Adams County Fairgrounds CANDIDATE FORUMS Attend a Meet the Candidate forum to learn more about each of the candidates vying to serve on the Board of Directors. The following events are free to members. Light refreshments will be served. RSVPs are not required. MONDAY, MARCH 18, 2019 \| 6:30 p.m. Adams County Fairgrounds - Waymire Dome 9755 Henderson Road Brighton, CO 80601 TUESDAY, MARCH 19, 2019 \| 7:30 a.m. Fort Lupton Recreation Center 203 S. Harrison Ave. Fort Lupton, CO 80621 THURSDAY, MARCH 21, 2019 \| 7:30 a.m. Coal Creek Canyon Community Center 31528 Highway 72 Golden, CO 80403 FRIDAY, MARCH 22, 2019 \|7:30 a.m. E.L.F. Grill th 102 8 Street Dacono, CO 80514 Dates and locations may be subject to change. 3 Downed and Dangerous Safety Around Downed Power Lines Colorado is no stranger to heavy thunderstorms and strong winter storms throughout the year. Strong storms can cause severe damage to homes and property, but they can also impact United Power's distribution grid, including downing power lines. you encounter these situations. For your safety and the safety of others, remember these important safety tips if you ever encounter a downed power line: Downed power lines are extremely dangerous. Power lines carry a strong electric current, enough to cause serious injury or even death. Electricity wants to move from a high voltage zone to a low voltage zone – and it could do that through your body. If you see a downed power line, always assume it is energized, and avoid going near it or anything in contact with the power line. As your electric cooperative, we want to ensure your safety when * You cannot tell whether a power line is energized just by looking at it. You should assume that all downed power lines are live. * If you see a downed power line, move away from it and anything touching it. The ground around power lines – up to 35 feet – may be energized. * The proper way to move away from a downed power line is to shuffle away with small steps, keeping your feet together and on the ground at all times. This will minimize the potential for a strong electrical shock. * If you see someone who is in direct or indirect contact with the downed line, do not touch the person. You could become the next victim. Call 911 for help. READER REWARDS FEBRUARY 2019 Three Winners Every Month! st 1 place: $150 Lowe's Gift Card nd 2 place: $50 Lowe's Gift Card (two winners) Name: Address: Phone: Mail entry form to: United Power • Reader Rewards 500 Cooperative Way • Brighton, CO 80603 Reader Rewards Online Save a stamp! Visit www.unitedpower.com and click on 'Co-op & Community' to enter Reader Rewards online. Answer the question below with your online entry: What anniversary is United Power celebrating at this year's Annual Meeting? By submitting this entry I agree to allow United Power to publish my name in subsequent issues of United Newsline if I am selected as a winner. * Do not attempt to move a downed power line or anything else in contact with it by using an object, such as a broom or stick. Even nonconductive materials like wood or cloth can conduct electricity if even slightly wet. * Be careful not to touch or step in water near where a downed power line is located. * Do not drive over downed power lines. * If your car comes in contact with a downed power line while you are inside, stay in the car. Honk your horn to summon help, but direct others to stay away from your car. * If you must leave your car because it is on fire, jump out of the vehicle with both feet together and avoid contact with both the car and the ground at the same time. Shuffle away from the car. UNITED POWER PRIDE The beautiful and clean country of Singapore is a must-see for many people, including some of our valued members. Here Rob and Kayla Burroughs enjoy a sunset view of the city skyline from the iconic Marina Bay Sands Hotel. United Power Pride Photos Snap a photo with the United Newsline and you'll get a $50 bill credit if we print it. Send your name, address, phone number, and a description of the photo to: E-MAIL: [email protected] MAIL: United Power—Attn: United Newsline 500 Cooperative Way, Brighton CO 80603 United Power Welcomes New Frederick Members Addition of Frederick adds 2,400 Meters In January, United Power officially welcomed approximately 2,400 new members as the cooperative became the sole provider to the Town of Frederick. These new members come into the cooperative after a deal was announced this past year to acquire the town's municipal electric utility, Frederick Power & Light. we will be working hard to make this transition a seamless process for them." Frederick agreed to sell the electrical infrastructure to United Power following failed negotiations over territorial disputes and pending litigation of the town's taking of service rights. In exchange for the purchase agreement, United Power agreed to drop its lawsuit, originally filed in 2017, over breach of contract. In a key step toward finalizing the deal, Frederick residents affirmed the purchase of the town's municipal electric utility in a special election this past summer. Nearly 90 percent of all voters indicated their support of United Power, which already served Frederick residents outside of "old town" boundaries. "We are excited about bringing the entire Town of Frederick into the United Power membership," stated John Parker, United Power CEO, after the election was affirmed in June. "We want to express our thanks to the residents of Frederick for their support in this process, and The addition of these new members pushes the cooperative's total services to nearly 90,000 meters, and closes a hole in the center of United Power's service territory. The acquisition will help the cooperative better integrate its electric delivery system as it grows and brings greater density to the operation, which will reduce operating costs for all cooperative members. United Power has been working with Frederick to ensure these new members are well informed of the transition details. Members will receive multiple communications from the cooperative. A series of mailers will be sent to members with important electric account details. In addition, a special welcome page has been posted at www.unitedpower.com/ WelcomeFrederick to ensure these new members have the information they need to take full advantage of the many programs and benefits available to them as United Power members. 5 RECIPES Cheesy Salsa Mac 1 lb ground beef (80% lean) 2 cups fresh salsa 1 tsp taco seasoning mix 1/8 tsp ground pepper 1 1/2 cups hot water 1 1/2 cups elbow macaroni 1 cup milk 8 oz Velveeta, cut into cubes 4 oz sharp cheddar, shredded Heat large, deep skillet over medium-high. Cook and stir beef until browned (5-7 minutes). Drain grease, and stir in salsa, taco seasoning and pepper. Simmer about 5 min. Stir water, macaroni and milk into beef mixture and bring to boil. Reduce heat to medium-low, place cover on skillet and simmer until pasta is tender (about 10 minutes). Stir Velveeta and cheddar into pasta and beef mixture until cheese melts completely (5-7 minutes). Share Your Recipes Earn a free gift if we publish your recipe. ONLINE: www.unitedpower.com MAIL: United Power Recipes 500 Cooperative Way Brighton, CO 80603 A New Name: Union REA Becomes United Power In the late 1980s, United Power overcame a competitive territory war and takeover bid from Public Service Company of Colorado, now Xcel Energy. The rocky battle led the cooperative to reevaluate its service and commit to trimming rates and delivering more reliable power for its members. This is the second in a three part series chronicling the cooperative's history leading up to its 80th Annual Meeting this April. Following a member vote in August 1987 to reject Public Service Company of Colorado's (PSCo) takeover bid of Union Rural Electric Association (Union REA), the Colorado State Legislature urged the two electric utilities to settle its territory dispute in the interest of the public. The dispute had resulted in unnecessary duplication of distribution infrastructure over the years, which was costly to members and customers. By November 1990, United Power had begun serving all the communities acquired in the exchange except for a lone holdout, Brighton, which had voted to deny the service transfer to the cooperative. Three years later in 1990, the two utilities finalized an agreement that would exchange certain territories and establish firm territory boundaries. Union REA would begin serving Brighton, Ft. Lupton, Hudson, Keenesburg and the rural areas of Platte Valley. In return, PSCo would receive territory the new Denver International Airport was to be built on. The transfer closed the corridor separating the two areas the cooperative served along the plains. With the territory battle behind it, the cooperative began focusing on resolving some glaring problems brought to light during the takeover attempt. Union REA's Board made a commitment to improve rates and reliability using PSCo's performance records as a measuring stick. With record performance levels and expectations aimed toward the future, Union REA became United Power, intending to help leave behind the unsophisticated image of the traditional cooperative. The name change to United Power symbolized the cooperative's commitment to its rural heritage while presenting a progressive utility to a new urban member-base. ENERGY SAVERS Size new HVAC units properly for better efficiency. Bigger doesn't always mean better. Oversized units can cause reduced comfort and excessive noise. Undersized units can reduce efficiency and accelerate wear on system components. A couple years later, United Power had developed a reputation of reliability and reducing rates. When PSCo approached the Brighton city council again in 1992, United Power members were paying 6 percent less than Brighton residents served by PSCo. As the cooperative and PSCo worked to move the transfer forward, United Power made dedicated efforts to educate Brighton residents and answer questions concerning service, reliability and cost of power to bolster its image as a cuttingedge power supplier. United Power assured residents it would track outage and restoration times, guarantee reliability factors as strong or better than PSCo and pledged to freeze rates for two years if the transfer was approved. In 1993, United Power finally welcomed Brighton and its residents to the cooperative family. Choosing Energy Efficiency Appliances If you're holding on to older household appliances, now may be a good time to consider swapping them out for newer, more energy efficient models. Old appliances are among the biggest consumers of energy in your home, but as technology evolves, so does energy efficiency. A new energy efficient appliance can be operated using as much as 75 percent less energy than outdated appliances. Old refrigerators are the biggest culprit of excessive energy usage among daily household appliances. While older refrigerators can cost upwards of $16/month to use, a new model may cost as little as $4/month. Newer, high-definition LED TVs also use a fraction of the electricity older liquid-crystal displays (LCD) and plasma screens do. And don't forget about other appliances and electronics you use daily. Tips for Purchasing New Appliances With all the new information available about energy efficiency, it may be a little confusing to know what exactly to look for when shopping for new appliances and household electronics. Here are a few tips to help you out: * Look for the ENERGY STAR label. ENERGY STARqualified products exceed the federal minimum standards for efficiency and quality, meaning they'll use less energy over their lifetimes than other models. * Carefully review the EnergyGuide label. This yellow label provides information about how much energy an appliance uses compared to similar models. Not only can new appliances save big on energy use, but they may also qualify for exclusive rebates from United Power and our wholesale power provider, Tri-State G&T. Select ENERGY STAR appliances are eligible for rebates, but must be requested within 120 days of purchase. For more information about United Power rebates, contact the energy management team at 303-659-0551 or go to www.unitedpower.com/rebates. * Consider the purchase price and cost to operate. These prices are important because you may be paying for the appliances energy use over the next 10-20 years, depending on when you choose to replace it again. * Compare prices. Keep in mind, many retailers will match a lower price offered by competitors. Keep looking until you find the right appliance for the right price. What are Vampire Loads? The desktop computer in your office. The living room TV and gaming console in standby or rest mode. Even the cell phone charger you keep plugged in throughout the day. All of these items are responsible for contributing to your "vampire load," also known as the "phantom load." Vampire loads come from devices that use electricity even when they appear to be off. These loads are approaching 10 percent of the average household electric use, according to the Environmental Protection Agency. not be a drain on your bill, but in an increasingly plugged in world, the impact can begin to add up. Electronics and appliances in standby or rest modes require a little electricity to maintain minimal function of the device so it's ready to go when you return to using it. The primary culprits are televisions, desktop computers and, particularly, gaming consoles which can use as much electricity as a refrigerator even when not in use thanks to frequent system updates. Chargers are another contributor to the phantom load. A single charger might So how can you limit your vampire loads? The obvious solution is to simply unplug devices when not in use and disabling auto-update features that draw power when in rest mode. If you want a limited impact on your daily routine, consider investing in smart power strips. These devices can usually connect to your phone through WiFi or Bluetooth so you can turn them off and on automatically. Many of them even come with surge protection to keep your devices safe during storms or other events that may cause a surge. In the digital, connected age, these vampire, or phantom, loads can become a real problem. A little investment and some small changes can end up saving you on your bill. For more energy efficiency information, check out www.unitedpower.com. 7 Inside This Issue FEBRUARY 2019 Demand FAQ United Power answers questions about demand and how to manage it. Page 2 Becoming United Power Union REA became United Power in April 1990 to reflect a progressive rural utility. Page 6 Co-op Welcomes Frederick United Power became the sole provider to the Town of Frederick. Page 5 Energy Efficient Appliances Maybe it's time to look into upgrading your older appliances? Here's what to look for. Page 7 STAY CONNECTED WITH YOUR CO-OP [email protected] www.unitedpower.com facebook.com/UnitedPower twitter.com/UnitedPowerCoop Member Services 303-637-1300 Outage Line 303-637-1350 CONGRATS READER REWARDS WINNERS 1 st Place: Beth Carmosino, Northglenn 2 nd Place: Irene Schmitten, Ft. Lupton Dana Dionysius, Longmont See your name listed as a winner? Call 303-637-1248 to claim your Reader Rewards.	<urn:uuid:24625fde-6836-4d5e-9a5b-7c956e174bc5>	CC-MAIN-2019-09	http://www.unitedpower.com/wp-content/uploads/2019/01/Feb_2019_web.pdf	2019-02-21T16:10:55Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-09/segments/1550247505838.65/warc/CC-MAIN-20190221152543-20190221174543-00389.warc.gz	473,047,183	5,577	eng_Latn	eng_Latn	0.988803	eng_Latn	0.99802	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 2744, 7341, 11668, 15157, 18290, 21514, 25585, 26468 ]	FEBRUARY 2019 Information for the members of United Power, Inc. United Power works tirelessly behind the scenes year after year to bring our members safe and reliable power and the tools they need to monitor and control usage patterns that could save them money. This past year has been no different for the cooperative, which took steps to be among the first to adopt utility scale battery storage and rolled out several exciting programs for members to utilize in their daily lives to understand how some behaviors may impact their bill. Working the Lines The ability to provide power begins with our linemen. As one of the most dangerous www.unitedpower.com Report an Outage 303-637-1350 Customer Service 303-637-1300 jobs in the world, linemen put themselves in harm's way every day to ensure the steady stream of power to our members. In 2018, the cooperative completed construction on a new state-of-the-art training facility for linemen, comparable in size and scope to some of the state's largest. Just as you've come to expect from United Power, we went above and beyond, including the most innovative ideas from training yards across the country. From a series of low and high poles, linemen are able to practice a variety of situations to be better prepared to safely face anything they might experience in the field. Bird's Eye View Power became one of the first electric utilities in Colorado to utilize unmanned aerial vehicles (UAV) to monitor our power lines. While the project began in the mountain territory nearly two years ago, it For the past few years, United Power has prioritized preventative maintenance of its electrical infrastructure. For this reason, United IN THIS ISSUE IMPORTANT DATES Deadline for Nominations by Petition for Director Candidates Page 3 FEBRUARY 15 Candidate Forums Page 3 MARCH 18, 19, 21, & 21 Annual Meeting & Director Election Page 3 APRIL 17 was rolled out in phases to the plains territory this past year, beginning in Brighton. Drones offer a safer and more time efficient option for diagnosing potential repairs that need to be made on poles and can often offer the information before outages happen. The project, to date, has examined more than 30 miles of power lines, saving countless manhours and preventing outages. When it's Unpreventable New Outage Map Launched Despite our best efforts, not all outages are preventable. To provide members with more information related to outages impacting them, United Power rolled out an all-new user friendly outage map in early 2018. The new information shows detailed outage information including number of members affected and cause, among other things, without sacrificing safety and security. continued on Page 3 2 How to See Demand: Curious to see when you used the most energy this past month? Use Power Portal to pinpoint what's driving your energy use. Access your complete energy consumption portfolio in 15-minute increments throughout the day to get a clear look at how you use energy. 1. Login to Power Portal at www.unitedpower.com/powerportal. 2. Click on My Consumption Data. 3. Under Usage Dashboard, select the Account to view and choose Current Month from the drop-down and select Billing Month. 4. The orange diamond indicates the interval with the highest demand. (You may need to click on the Demand option under the blue chart to turn on the orange line in the graph.) 5. Click on the blue bar to display each 15-minute interval from that day. (Hover for more detail.) ENERGY SAVERS ENERGY SAVERS Adjust the Temperature. When you are asleep or out of Replace Incandescents with LEDs the house, turn your thermostat back 10-15 degrees for eight hours and save around 10 percent a year on your heating and cooling bills. A smart thermostat can make it easy to set bac your temperature. An incandescent bulb turns 90 percent of the energy it uses into heat. Consider replacing it with an LED bulb, which uses less energy and produces less heat. LEDs also last 50 times longer than traditional bulbs. Questions about Demand? United Power's new rate structure went into effect on January 1st, and members will begin to see the 2019 rates reflected as separate demand and energy charges on their February bills. While energy is the total power used, demand refers to the capacity needed to serve your location. The new rates break apart the costs for demand and energy to more fairly charge each member for their impact on the electric system and the energy they use. Why did you change to this rate structure? The way our members use power has changed, and we now have more detailed information about how each member uses that power. On the blended rate, some members were paying more than they should, while others were not paying enough. The demand component allows us to more fairly charge each member in a way that is more closely aligned with our costs to provide that service. How do I see when I hit my demand? Demand measures the highest 15-minute interval of power consumption over the billing period and your bill will show you the kilowatt (kW) demand measurement of that highest interval. If you'd like to investigate what contributed to your demand charge, the Power Portal will show you the day and time that your demand peaked. Pinpointing the day and time will give you the information to reflect on how you were using energy. the stove, bread in the oven, the kids were downstairs gaming with a space heater on, and it was marathon laundry and cleaning day for the family. Operating all of these appliances at once required more system capacity for United Power to serve you, and your demand charge for the month is a fairer representation of how you used the electric system. How can I reduce my demand? Monitoring your use in the Power Portal will help you understand what is driving your demand. You'll see the effect of using multiple appliances at once and what your energy profile looks like when you stagger appliances. If you'd like to keep your demand charges as low as possible, small changes in the way you use energy can make a difference. Here are some easy ways to reduce your demand: * Spread out the use of major appliances. Major electrical appliances that may contribute to high demand costs include air conditioners, electric clothes dryers, electric water heaters, electric ranges and ovens. * Use small cooking appliances or an outdoor grill. * Use a programmable or smart thermostat to pre-heat or pre-cool your home before you get home and operate kitchen appliances. * Use a timer on your water heater, dishwasher and pool pump. Perhaps your demand was highest on a cold Saturday afternoon when you had soup on * Set a timer on your electric vehicle charger for the middle of the night after other major appliances are not in use. February Bills to Reflect Rate Changes In December, the United Power Board of Directors approved rate changes for 2019 that separated energy and demand charges, and includes a modest 1.5-2% rate increase for most members. The new rates break apart the blended rate members have paid in the past, incorporating both an energy charge and a demand charge. New rates went into effect for energy use beginning January 1, so members will see these changes reflected on their February 2019 billing statements. Co-op Continued its Innovative Approach in 2018 Free Resources for Members increments to decide what behaviors had the heaviest impact and adjust accordingly. With the Power Portal, members can monitor their usage patterns to keep energy demand costs down. In early 2018, United Power began rolling out a new free online resource, the Power Portal, which allows members to monitor their energy usage in 15-minute The cooperative also launched Rush Hour Rewards in partnership with Nest Learning Thermostats to replace its former cycled air program. The smart home appliance gives members more control over energy usage when they're not at home. Enrolling in Rush Hour Rewards with your Nest allows United Power to adjust your thermostat a few degrees on hot summer days to save you energy, and rewards you for it at the end of the summer. Leading the Way United Power members have been quick to adopt solar energy, setting the bar high for other utilities to follow. In November, the cooperative celebrated its 3,000th rooftop solar connection. According to a 2018 report, United Power ranks among the top 50 utilities nationwide in solar energy and second among cooperatives in connected solar. Our commitment to renewable energy leads the way among all 43 cooperatives in Tri-State's four-state region. While not technically being used as a renewable energy source, battery storage represents the next logical step in the progression of renewable energy. Commitment to Cooperative Principles Kelly Snow, Journeyman Lineman necessary to provide two remote jungle villages with power for the first time, he jumped at it. In September, the group left for Guatemala for three weeks to volunteer for the project through NRECA International. When asked why the trip meant so much to him, Snow responded with the Rural Electric Association's principle of bringing electricity to rural parts of the country and those who are underserved. Also in November, we energized the state's largest utility-scale battery storage facility at our new west office. The battery New Battery Storage Facility at United Power’s west office. Most of us never go more than a few hours without some form of power, whether that's work, school or home or the commute in between. When United Power lineman Kelly Snow was given the opportunity to join a group of linemen from Colorado and Oklahoma to build the infrastructure Kelly Snow presents water filtration system to Guatemalan villagers. system generates 4 MW of electricity and is expected to save the cooperative $1 million in wholesale energy charges. The project, developed in collaboration with ENGIE North America, is enough to power up to 700 homes simultaneously. Throughout 2018, United Power had many opportunities to celebrate continual growth and innovation with members and leaders in the communities we serves. As we look to the future, we'll continue to set the bar for others to follow. We look forward to all 2019 has to offer, and continuing to provide our members safe and reliable power. 2019 ANNUAL MEETING & DIRECTOR ELECTION WEDNESDAY APRIL 17, 2019 4:30 p.m. Registration Opens 6:30 p.m. Balloting Closes & Meeting Begins Adams County Regional Park & Fairgrounds 9755 Henderson Road, Brighton, CO 80601 www.unitedpower.com/annual-meeting BALLOTING DEADLINES FEBRUARY 15, 2019 Director Nominations by Petition Deadline at 4 p.m. APRIL 15, 2019 Mail-in Ballots must arrive at the P.O. Box by 6 a.m. APRIL 17, 2019 Ballot Drop-Boxes at offices close at 2 p.m. APRIL 17, 2019 Ballot Drop Box Open from 12–4 p.m. at the Adams County Fairgrounds CANDIDATE FORUMS Attend a Meet the Candidate forum to learn more about each of the candidates vying to serve on the Board of Directors. The following events are free to members. Light refreshments will be served. RSVPs are not required. MONDAY, MARCH 18, 2019 \| 6:30 p.m. Adams County Fairgrounds - Waymire Dome 9755 Henderson Road Brighton, CO 80601 TUESDAY, MARCH 19, 2019 \| 7:30 a.m. Fort Lupton Recreation Center 203 S. Harrison Ave. Fort Lupton, CO 80621 THURSDAY, MARCH 21, 2019 \| 7:30 a.m. Coal Creek Canyon Community Center 31528 Highway 72 Golden, CO 80403 FRIDAY, MARCH 22, 2019 \|7:30 a.m. E.L.F. Grill th 102 8 Street Dacono, CO 80514 Dates and locations may be subject to change. 3 Downed and Dangerous Safety Around Downed Power Lines Colorado is no stranger to heavy thunderstorms and strong winter storms throughout the year. Strong storms can cause severe damage to homes and property, but they can also impact United Power's distribution grid, including downing power lines. you encounter these situations. For your safety and the safety of others, remember these important safety tips if you ever encounter a downed power line: Downed power lines are extremely dangerous. Power lines carry a strong electric current, enough to cause serious injury or even death. Electricity wants to move from a high voltage zone to a low voltage zone – and it could do that through your body. If you see a downed power line, always assume it is energized, and avoid going near it or anything in contact with the power line. As your electric cooperative, we want to ensure your safety when * You cannot tell whether a power line is energized just by looking at it. You should assume that all downed power lines are live. * If you see a downed power line, move away from it and anything touching it. The ground around power lines – up to 35 feet – may be energized. * The proper way to move away from a downed power line is to shuffle away with small steps, keeping your feet together and on the ground at all times. This will minimize the potential for a strong electrical shock. * If you see someone who is in direct or indirect contact with the downed line, do not touch the person. You could become the next victim. Call 911 for help. READER REWARDS FEBRUARY 2019 Three Winners Every Month! st 1 place: $150 Lowe's Gift Card nd 2 place: $50 Lowe's Gift Card (two winners) Name: Address: Phone: Mail entry form to: United Power • Reader Rewards 500 Cooperative Way • Brighton, CO 80603 Reader Rewards Online Save a stamp! Visit www.unitedpower.com and click on 'Co-op & Community' to enter Reader Rewards online. Answer the question below with your online entry: What anniversary is United Power celebrating at this year's Annual Meeting? By submitting this entry I agree to allow United Power to publish my name in subsequent issues of United Newsline if I am selected as a winner. * Do not attempt to move a downed power line or anything else in contact with it by using an object, such as a broom or stick. Even nonconductive materials like wood or cloth can conduct electricity if even slightly wet. * Be careful not to touch or step in water near where a downed power line is located. * Do not drive over downed power lines. * If your car comes in contact with a downed power line while you are inside, stay in the car. Honk your horn to summon help, but direct others to stay away from your car. * If you must leave your car because it is on fire, jump out of the vehicle with both feet together and avoid contact with both the car and the ground at the same time. Shuffle away from the car. UNITED POWER PRIDE The beautiful and clean country of Singapore is a must-see for many people, including some of our valued members. Here Rob and Kayla Burroughs enjoy a sunset view of the city skyline from the iconic Marina Bay Sands Hotel. United Power Pride Photos Snap a photo with the United Newsline and you'll get a $50 bill credit if we print it. Send your name, address, phone number, and a description of the photo to: E-MAIL: [email protected] MAIL: United Power—Attn: United Newsline 500 Cooperative Way, Brighton CO 80603 United Power Welcomes New Frederick Members Addition of Frederick adds 2,400 Meters In January, United Power officially welcomed approximately 2,400 new members as the cooperative became the sole provider to the Town of Frederick. These new members come into the cooperative after a deal was announced this past year to acquire the town's municipal electric utility, Frederick Power & Light. we will be working hard to make this transition a seamless process for them." Frederick agreed to sell the electrical infrastructure to United Power following failed negotiations over territorial disputes and pending litigation of the town's taking of service rights. In exchange for the purchase agreement, United Power agreed to drop its lawsuit, originally filed in 2017, over breach of contract. In a key step toward finalizing the deal, Frederick residents affirmed the purchase of the town's municipal electric utility in a special election this past summer. Nearly 90 percent of all voters indicated their support of United Power, which already served Frederick residents outside of "old town" boundaries. "We are excited about bringing the entire Town of Frederick into the United Power membership," stated John Parker, United Power CEO, after the election was affirmed in June. "We want to express our thanks to the residents of Frederick for their support in this process, and The addition of these new members pushes the cooperative's total services to nearly 90,000 meters, and clos	es a hole in the center of United Power's service territory.	The acquisition will help the cooperative better integrate its electric delivery system as it grows and brings greater density to the operation, which will reduce operating costs for all cooperative members. United Power has been working with Frederick to ensure these new members are well informed of the transition details. Members will receive multiple communications from the cooperative. A series of mailers will be sent to members with important electric account details. In addition, a special welcome page has been posted at www.unitedpower.com/ WelcomeFrederick to ensure these new members have the information they need to take full advantage of the many programs and benefits available to them as United Power members. 5 RECIPES Cheesy Salsa Mac 1 lb ground beef (80% lean) 2 cups fresh salsa 1 tsp taco seasoning mix 1/8 tsp ground pepper 1 1/2 cups hot water 1 1/2 cups elbow macaroni 1 cup milk 8 oz Velveeta, cut into cubes 4 oz sharp cheddar, shredded Heat large, deep skillet over medium-high. Cook and stir beef until browned (5-7 minutes). Drain grease, and stir in salsa, taco seasoning and pepper. Simmer about 5 min. Stir water, macaroni and milk into beef mixture and bring to boil. Reduce heat to medium-low, place cover on skillet and simmer until pasta is tender (about 10 minutes). Stir Velveeta and cheddar into pasta and beef mixture until cheese melts completely (5-7 minutes). Share Your Recipes Earn a free gift if we publish your recipe. ONLINE: www.unitedpower.com MAIL: United Power Recipes 500 Cooperative Way Brighton, CO 80603 A New Name: Union REA Becomes United Power In the late 1980s, United Power overcame a competitive territory war and takeover bid from Public Service Company of Colorado, now Xcel Energy. The rocky battle led the cooperative to reevaluate its service and commit to trimming rates and delivering more reliable power for its members. This is the second in a three part series chronicling the cooperative's history leading up to its 80th Annual Meeting this April. Following a member vote in August 1987 to reject Public Service Company of Colorado's (PSCo) takeover bid of Union Rural Electric Association (Union REA), the Colorado State Legislature urged the two electric utilities to settle its territory dispute in the interest of the public. The dispute had resulted in unnecessary duplication of distribution infrastructure over the years, which was costly to members and customers. By November 1990, United Power had begun serving all the communities acquired in the exchange except for a lone holdout, Brighton, which had voted to deny the service transfer to the cooperative. Three years later in 1990, the two utilities finalized an agreement that would exchange certain territories and establish firm territory boundaries. Union REA would begin serving Brighton, Ft. Lupton, Hudson, Keenesburg and the rural areas of Platte Valley. In return, PSCo would receive territory the new Denver International Airport was to be built on. The transfer closed the corridor separating the two areas the cooperative served along the plains. With the territory battle behind it, the cooperative began focusing on resolving some glaring problems brought to light during the takeover attempt. Union REA's Board made a commitment to improve rates and reliability using PSCo's performance records as a measuring stick. With record performance levels and expectations aimed toward the future, Union REA became United Power, intending to help leave behind the unsophisticated image of the traditional cooperative. The name change to United Power symbolized the cooperative's commitment to its rural heritage while presenting a progressive utility to a new urban member-base. ENERGY SAVERS Size new HVAC units properly for better efficiency. Bigger doesn't always mean better. Oversized units can cause reduced comfort and excessive noise. Undersized units can reduce efficiency and accelerate wear on system components. A couple years later, United Power had developed a reputation of reliability and reducing rates. When PSCo approached the Brighton city council again in 1992, United Power members were paying 6 percent less than Brighton residents served by PSCo. As the cooperative and PSCo worked to move the transfer forward, United Power made dedicated efforts to educate Brighton residents and answer questions concerning service, reliability and cost of power to bolster its image as a cuttingedge power supplier. United Power assured residents it would track outage and restoration times, guarantee reliability factors as strong or better than PSCo and pledged to freeze rates for two years if the transfer was approved. In 1993, United Power finally welcomed Brighton and its residents to the cooperative family. Choosing Energy Efficiency Appliances If you're holding on to older household appliances, now may be a good time to consider swapping them out for newer, more energy efficient models. Old appliances are among the biggest consumers of energy in your home, but as technology evolves, so does energy efficiency. A new energy efficient appliance can be operated using as much as 75 percent less energy than outdated appliances. Old refrigerators are the biggest culprit of excessive energy usage among daily household appliances. While older refrigerators can cost upwards of $16/month to use, a new model may cost as little as $4/month. Newer, high-definition LED TVs also use a fraction of the electricity older liquid-crystal displays (LCD) and plasma screens do. And don't forget about other appliances and electronics you use daily. Tips for Purchasing New Appliances With all the new information available about energy efficiency, it may be a little confusing to know what exactly to look for when shopping for new appliances and household electronics. Here are a few tips to help you out: * Look for the ENERGY STAR label. ENERGY STARqualified products exceed the federal minimum standards for efficiency and quality, meaning they'll use less energy over their lifetimes than other models. * Carefully review the EnergyGuide label. This yellow label provides information about how much energy an appliance uses compared to similar models. Not only can new appliances save big on energy use, but they may also qualify for exclusive rebates from United Power and our wholesale power provider, Tri-State G&T. Select ENERGY STAR appliances are eligible for rebates, but must be requested within 120 days of purchase. For more information about United Power rebates, contact the energy management team at 303-659-0551 or go to www.unitedpower.com/rebates. * Consider the purchase price and cost to operate. These prices are important because you may be paying for the appliances energy use over the next 10-20 years, depending on when you choose to replace it again. * Compare prices. Keep in mind, many retailers will match a lower price offered by competitors. Keep looking until you find the right appliance for the right price. What are Vampire Loads? The desktop computer in your office. The living room TV and gaming console in standby or rest mode. Even the cell phone charger you keep plugged in throughout the day. All of these items are responsible for contributing to your "vampire load," also known as the "phantom load." Vampire loads come from devices that use electricity even when they appear to be off. These loads are approaching 10 percent of the average household electric use, according to the Environmental Protection Agency. not be a drain on your bill, but in an increasingly plugged in world, the impact can begin to add up. Electronics and appliances in standby or rest modes require a little electricity to maintain minimal function of the device so it's ready to go when you return to using it. The primary culprits are televisions, desktop computers and, particularly, gaming consoles which can use as much electricity as a refrigerator even when not in use thanks to frequent system updates. Chargers are another contributor to the phantom load. A single charger might So how can you limit your vampire loads? The obvious solution is to simply unplug devices when not in use and disabling auto-update features that draw power when in rest mode. If you want a limited impact on your daily routine, consider investing in smart power strips. These devices can usually connect to your phone through WiFi or Bluetooth so you can turn them off and on automatically. Many of them even come with surge protection to keep your devices safe during storms or other events that may cause a surge. In the digital, connected age, these vampire, or phantom, loads can become a real problem. A little investment and some small changes can end up saving you on your bill. For more energy efficiency information, check out www.unitedpower.com. 7 Inside This Issue FEBRUARY 2019 Demand FAQ United Power answers questions about demand and how to manage it. Page 2 Becoming United Power Union REA became United Power in April 1990 to reflect a progressive rural utility. Page 6 Co-op Welcomes Frederick United Power became the sole provider to the Town of Frederick. Page 5 Energy Efficient Appliances Maybe it's time to look into upgrading your older appliances? Here's what to look for. Page 7 STAY CONNECTED WITH YOUR CO-OP [email protected] www.unitedpower.com facebook.com/UnitedPower twitter.com/UnitedPowerCoop Member Services 303-637-1300 Outage Line 303-637-1350 CONGRATS READER REWARDS WINNERS 1 st Place: Beth Carmosino, Northglenn 2 nd Place: Irene Schmitten, Ft. Lupton Dana Dionysius, Longmont See your name listed as a winner? Call 303-637-1248 to claim your Reader Rewards.	16,652	inside_word	closes	remove_one_sentence	<url> http://www.unitedpower.com/wp-content/uploads/2019/01/Feb_2019_web.pdf </url> <text> FEBRUARY 2019 Information for the members of United Power, Inc. United Power works tirelessly behind the scenes year after year to bring our members safe and reliable power and the tools they need to monitor and control usage patterns that could save them money. This past year has been no different for the cooperative, which took steps to be among the first to adopt utility scale battery storage and rolled out several exciting programs for members to utilize in their daily lives to understand how some behaviors may impact their bill. Working the Lines The ability to provide power begins with our linemen. As one of the most dangerous www.unitedpower.com Report an Outage 303-637-1350 Customer Service 303-637-1300 jobs in the world, linemen put themselves in harm's way every day to ensure the steady stream of power to our members. In 2018, the cooperative completed construction on a new state-of-the-art training facility for linemen, comparable in size and scope to some of the state's largest. Just as you've come to expect from United Power, we went above and beyond, including the most innovative ideas from training yards across the country. From a series of low and high poles, linemen are able to practice a variety of situations to be better prepared to safely face anything they might experience in the field. Bird's Eye View Power became one of the first electric utilities in Colorado to utilize unmanned aerial vehicles (UAV) to monitor our power lines. While the project began in the mountain territory nearly two years ago, it For the past few years, United Power has prioritized preventative maintenance of its electrical infrastructure. For this reason, United IN THIS ISSUE IMPORTANT DATES Deadline for Nominations by Petition for Director Candidates Page 3 FEBRUARY 15 Candidate Forums Page 3 MARCH 18, 19, 21, & 21 Annual Meeting & Director Election Page 3 APRIL 17 was rolled out in phases to the plains territory this past year, beginning in Brighton. Drones offer a safer and more time efficient option for diagnosing potential repairs that need to be made on poles and can often offer the information before outages happen. The project, to date, has examined more than 30 miles of power lines, saving countless manhours and preventing outages. When it's Unpreventable New Outage Map Launched Despite our best efforts, not all outages are preventable. To provide members with more information related to outages impacting them, United Power rolled out an all-new user friendly outage map in early 2018. The new information shows detailed outage information including number of members affected and cause, among other things, without sacrificing safety and security. continued on Page 3 2 How to See Demand: Curious to see when you used the most energy this past month? Use Power Portal to pinpoint what's driving your energy use. Access your complete energy consumption portfolio in 15-minute increments throughout the day to get a clear look at how you use energy. 1. Login to Power Portal at www.unitedpower.com/powerportal. 2. Click on My Consumption Data. 3. Under Usage Dashboard, select the Account to view and choose Current Month from the drop-down and select Billing Month. 4. The orange diamond indicates the interval with the highest demand. (You may need to click on the Demand option under the blue chart to turn on the orange line in the graph.) 5. Click on the blue bar to display each 15-minute interval from that day. (Hover for more detail.) ENERGY SAVERS ENERGY SAVERS Adjust the Temperature. When you are asleep or out of Replace Incandescents with LEDs the house, turn your thermostat back 10-15 degrees for eight hours and save around 10 percent a year on your heating and cooling bills. A smart thermostat can make it easy to set bac your temperature. An incandescent bulb turns 90 percent of the energy it uses into heat. Consider replacing it with an LED bulb, which uses less energy and produces less heat. LEDs also last 50 times longer than traditional bulbs. Questions about Demand? United Power's new rate structure went into effect on January 1st, and members will begin to see the 2019 rates reflected as separate demand and energy charges on their February bills. While energy is the total power used, demand refers to the capacity needed to serve your location. The new rates break apart the costs for demand and energy to more fairly charge each member for their impact on the electric system and the energy they use. Why did you change to this rate structure? The way our members use power has changed, and we now have more detailed information about how each member uses that power. On the blended rate, some members were paying more than they should, while others were not paying enough. The demand component allows us to more fairly charge each member in a way that is more closely aligned with our costs to provide that service. How do I see when I hit my demand? Demand measures the highest 15-minute interval of power consumption over the billing period and your bill will show you the kilowatt (kW) demand measurement of that highest interval. If you'd like to investigate what contributed to your demand charge, the Power Portal will show you the day and time that your demand peaked. Pinpointing the day and time will give you the information to reflect on how you were using energy. the stove, bread in the oven, the kids were downstairs gaming with a space heater on, and it was marathon laundry and cleaning day for the family. Operating all of these appliances at once required more system capacity for United Power to serve you, and your demand charge for the month is a fairer representation of how you used the electric system. How can I reduce my demand? Monitoring your use in the Power Portal will help you understand what is driving your demand. You'll see the effect of using multiple appliances at once and what your energy profile looks like when you stagger appliances. If you'd like to keep your demand charges as low as possible, small changes in the way you use energy can make a difference. Here are some easy ways to reduce your demand: * Spread out the use of major appliances. Major electrical appliances that may contribute to high demand costs include air conditioners, electric clothes dryers, electric water heaters, electric ranges and ovens. * Use small cooking appliances or an outdoor grill. * Use a programmable or smart thermostat to pre-heat or pre-cool your home before you get home and operate kitchen appliances. * Use a timer on your water heater, dishwasher and pool pump. Perhaps your demand was highest on a cold Saturday afternoon when you had soup on * Set a timer on your electric vehicle charger for the middle of the night after other major appliances are not in use. February Bills to Reflect Rate Changes In December, the United Power Board of Directors approved rate changes for 2019 that separated energy and demand charges, and includes a modest 1.5-2% rate increase for most members. The new rates break apart the blended rate members have paid in the past, incorporating both an energy charge and a demand charge. New rates went into effect for energy use beginning January 1, so members will see these changes reflected on their February 2019 billing statements. Co-op Continued its Innovative Approach in 2018 Free Resources for Members increments to decide what behaviors had the heaviest impact and adjust accordingly. With the Power Portal, members can monitor their usage patterns to keep energy demand costs down. In early 2018, United Power began rolling out a new free online resource, the Power Portal, which allows members to monitor their energy usage in 15-minute The cooperative also launched Rush Hour Rewards in partnership with Nest Learning Thermostats to replace its former cycled air program. The smart home appliance gives members more control over energy usage when they're not at home. Enrolling in Rush Hour Rewards with your Nest allows United Power to adjust your thermostat a few degrees on hot summer days to save you energy, and rewards you for it at the end of the summer. Leading the Way United Power members have been quick to adopt solar energy, setting the bar high for other utilities to follow. In November, the cooperative celebrated its 3,000th rooftop solar connection. According to a 2018 report, United Power ranks among the top 50 utilities nationwide in solar energy and second among cooperatives in connected solar. Our commitment to renewable energy leads the way among all 43 cooperatives in Tri-State's four-state region. While not technically being used as a renewable energy source, battery storage represents the next logical step in the progression of renewable energy. Commitment to Cooperative Principles Kelly Snow, Journeyman Lineman necessary to provide two remote jungle villages with power for the first time, he jumped at it. In September, the group left for Guatemala for three weeks to volunteer for the project through NRECA International. When asked why the trip meant so much to him, Snow responded with the Rural Electric Association's principle of bringing electricity to rural parts of the country and those who are underserved. Also in November, we energized the state's largest utility-scale battery storage facility at our new west office. The battery New Battery Storage Facility at United Power’s west office. Most of us never go more than a few hours without some form of power, whether that's work, school or home or the commute in between. When United Power lineman Kelly Snow was given the opportunity to join a group of linemen from Colorado and Oklahoma to build the infrastructure Kelly Snow presents water filtration system to Guatemalan villagers. system generates 4 MW of electricity and is expected to save the cooperative $1 million in wholesale energy charges. The project, developed in collaboration with ENGIE North America, is enough to power up to 700 homes simultaneously. Throughout 2018, United Power had many opportunities to celebrate continual growth and innovation with members and leaders in the communities we serves. As we look to the future, we'll continue to set the bar for others to follow. We look forward to all 2019 has to offer, and continuing to provide our members safe and reliable power. 2019 ANNUAL MEETING & DIRECTOR ELECTION WEDNESDAY APRIL 17, 2019 4:30 p.m. Registration Opens 6:30 p.m. Balloting Closes & Meeting Begins Adams County Regional Park & Fairgrounds 9755 Henderson Road, Brighton, CO 80601 www.unitedpower.com/annual-meeting BALLOTING DEADLINES FEBRUARY 15, 2019 Director Nominations by Petition Deadline at 4 p.m. APRIL 15, 2019 Mail-in Ballots must arrive at the P.O. Box by 6 a.m. APRIL 17, 2019 Ballot Drop-Boxes at offices close at 2 p.m. APRIL 17, 2019 Ballot Drop Box Open from 12–4 p.m. at the Adams County Fairgrounds CANDIDATE FORUMS Attend a Meet the Candidate forum to learn more about each of the candidates vying to serve on the Board of Directors. The following events are free to members. Light refreshments will be served. RSVPs are not required. MONDAY, MARCH 18, 2019 \| 6:30 p.m. Adams County Fairgrounds - Waymire Dome 9755 Henderson Road Brighton, CO 80601 TUESDAY, MARCH 19, 2019 \| 7:30 a.m. Fort Lupton Recreation Center 203 S. Harrison Ave. Fort Lupton, CO 80621 THURSDAY, MARCH 21, 2019 \| 7:30 a.m. Coal Creek Canyon Community Center 31528 Highway 72 Golden, CO 80403 FRIDAY, MARCH 22, 2019 \|7:30 a.m. E.L.F. Grill th 102 8 Street Dacono, CO 80514 Dates and locations may be subject to change. 3 Downed and Dangerous Safety Around Downed Power Lines Colorado is no stranger to heavy thunderstorms and strong winter storms throughout the year. Strong storms can cause severe damage to homes and property, but they can also impact United Power's distribution grid, including downing power lines. you encounter these situations. For your safety and the safety of others, remember these important safety tips if you ever encounter a downed power line: Downed power lines are extremely dangerous. Power lines carry a strong electric current, enough to cause serious injury or even death. Electricity wants to move from a high voltage zone to a low voltage zone – and it could do that through your body. If you see a downed power line, always assume it is energized, and avoid going near it or anything in contact with the power line. As your electric cooperative, we want to ensure your safety when * You cannot tell whether a power line is energized just by looking at it. You should assume that all downed power lines are live. * If you see a downed power line, move away from it and anything touching it. The ground around power lines – up to 35 feet – may be energized. * The proper way to move away from a downed power line is to shuffle away with small steps, keeping your feet together and on the ground at all times. This will minimize the potential for a strong electrical shock. * If you see someone who is in direct or indirect contact with the downed line, do not touch the person. You could become the next victim. Call 911 for help. READER REWARDS FEBRUARY 2019 Three Winners Every Month! st 1 place: $150 Lowe's Gift Card nd 2 place: $50 Lowe's Gift Card (two winners) Name: Address: Phone: Mail entry form to: United Power • Reader Rewards 500 Cooperative Way • Brighton, CO 80603 Reader Rewards Online Save a stamp! Visit www.unitedpower.com and click on 'Co-op & Community' to enter Reader Rewards online. Answer the question below with your online entry: What anniversary is United Power celebrating at this year's Annual Meeting? By submitting this entry I agree to allow United Power to publish my name in subsequent issues of United Newsline if I am selected as a winner. * Do not attempt to move a downed power line or anything else in contact with it by using an object, such as a broom or stick. Even nonconductive materials like wood or cloth can conduct electricity if even slightly wet. * Be careful not to touch or step in water near where a downed power line is located. * Do not drive over downed power lines. * If your car comes in contact with a downed power line while you are inside, stay in the car. Honk your horn to summon help, but direct others to stay away from your car. * If you must leave your car because it is on fire, jump out of the vehicle with both feet together and avoid contact with both the car and the ground at the same time. Shuffle away from the car. UNITED POWER PRIDE The beautiful and clean country of Singapore is a must-see for many people, including some of our valued members. Here Rob and Kayla Burroughs enjoy a sunset view of the city skyline from the iconic Marina Bay Sands Hotel. United Power Pride Photos Snap a photo with the United Newsline and you'll get a $50 bill credit if we print it. Send your name, address, phone number, and a description of the photo to: E-MAIL: [email protected] MAIL: United Power—Attn: United Newsline 500 Cooperative Way, Brighton CO 80603 United Power Welcomes New Frederick Members Addition of Frederick adds 2,400 Meters In January, United Power officially welcomed approximately 2,400 new members as the cooperative became the sole provider to the Town of Frederick. These new members come into the cooperative after a deal was announced this past year to acquire the town's municipal electric utility, Frederick Power & Light. we will be working hard to make this transition a seamless process for them." Frederick agreed to sell the electrical infrastructure to United Power following failed negotiations over territorial disputes and pending litigation of the town's taking of service rights. In exchange for the purchase agreement, United Power agreed to drop its lawsuit, originally filed in 2017, over breach of contract. In a key step toward finalizing the deal, Frederick residents affirmed the purchase of the town's municipal electric utility in a special election this past summer. Nearly 90 percent of all voters indicated their support of United Power, which already served Frederick residents outside of "old town" boundaries. "We are excited about bringing the entire Town of Frederick into the United Power membership," stated John Parker, United Power CEO, after the election was affirmed in June. "We want to express our thanks to the residents of Frederick for their support in this process, and The addition of these new members pushes the cooperative's total services to nearly 90,000 meters, and clos<cursor_is_here> The acquisition will help the cooperative better integrate its electric delivery system as it grows and brings greater density to the operation, which will reduce operating costs for all cooperative members. United Power has been working with Frederick to ensure these new members are well informed of the transition details. Members will receive multiple communications from the cooperative. A series of mailers will be sent to members with important electric account details. In addition, a special welcome page has been posted at www.unitedpower.com/ WelcomeFrederick to ensure these new members have the information they need to take full advantage of the many programs and benefits available to them as United Power members. 5 RECIPES Cheesy Salsa Mac 1 lb ground beef (80% lean) 2 cups fresh salsa 1 tsp taco seasoning mix 1/8 tsp ground pepper 1 1/2 cups hot water 1 1/2 cups elbow macaroni 1 cup milk 8 oz Velveeta, cut into cubes 4 oz sharp cheddar, shredded Heat large, deep skillet over medium-high. Cook and stir beef until browned (5-7 minutes). Drain grease, and stir in salsa, taco seasoning and pepper. Simmer about 5 min. Stir water, macaroni and milk into beef mixture and bring to boil. Reduce heat to medium-low, place cover on skillet and simmer until pasta is tender (about 10 minutes). Stir Velveeta and cheddar into pasta and beef mixture until cheese melts completely (5-7 minutes). Share Your Recipes Earn a free gift if we publish your recipe. ONLINE: www.unitedpower.com MAIL: United Power Recipes 500 Cooperative Way Brighton, CO 80603 A New Name: Union REA Becomes United Power In the late 1980s, United Power overcame a competitive territory war and takeover bid from Public Service Company of Colorado, now Xcel Energy. The rocky battle led the cooperative to reevaluate its service and commit to trimming rates and delivering more reliable power for its members. This is the second in a three part series chronicling the cooperative's history leading up to its 80th Annual Meeting this April. Following a member vote in August 1987 to reject Public Service Company of Colorado's (PSCo) takeover bid of Union Rural Electric Association (Union REA), the Colorado State Legislature urged the two electric utilities to settle its territory dispute in the interest of the public. The dispute had resulted in unnecessary duplication of distribution infrastructure over the years, which was costly to members and customers. By November 1990, United Power had begun serving all the communities acquired in the exchange except for a lone holdout, Brighton, which had voted to deny the service transfer to the cooperative. Three years later in 1990, the two utilities finalized an agreement that would exchange certain territories and establish firm territory boundaries. Union REA would begin serving Brighton, Ft. Lupton, Hudson, Keenesburg and the rural areas of Platte Valley. In return, PSCo would receive territory the new Denver International Airport was to be built on. The transfer closed the corridor separating the two areas the cooperative served along the plains. With the territory battle behind it, the cooperative began focusing on resolving some glaring problems brought to light during the takeover attempt. Union REA's Board made a commitment to improve rates and reliability using PSCo's performance records as a measuring stick. With record performance levels and expectations aimed toward the future, Union REA became United Power, intending to help leave behind the unsophisticated image of the traditional cooperative. The name change to United Power symbolized the cooperative's commitment to its rural heritage while presenting a progressive utility to a new urban member-base. ENERGY SAVERS Size new HVAC units properly for better efficiency. Bigger doesn't always mean better. Oversized units can cause reduced comfort and excessive noise. Undersized units can reduce efficiency and accelerate wear on system components. A couple years later, United Power had developed a reputation of reliability and reducing rates. When PSCo approached the Brighton city council again in 1992, United Power members were paying 6 percent less than Brighton residents served by PSCo. As the cooperative and PSCo worked to move the transfer forward, United Power made dedicated efforts to educate Brighton residents and answer questions concerning service, reliability and cost of power to bolster its image as a cuttingedge power supplier. United Power assured residents it would track outage and restoration times, guarantee reliability factors as strong or better than PSCo and pledged to freeze rates for two years if the transfer was approved. In 1993, United Power finally welcomed Brighton and its residents to the cooperative family. Choosing Energy Efficiency Appliances If you're holding on to older household appliances, now may be a good time to consider swapping them out for newer, more energy efficient models. Old appliances are among the biggest consumers of energy in your home, but as technology evolves, so does energy efficiency. A new energy efficient appliance can be operated using as much as 75 percent less energy than outdated appliances. Old refrigerators are the biggest culprit of excessive energy usage among daily household appliances. While older refrigerators can cost upwards of $16/month to use, a new model may cost as little as $4/month. Newer, high-definition LED TVs also use a fraction of the electricity older liquid-crystal displays (LCD) and plasma screens do. And don't forget about other appliances and electronics you use daily. Tips for Purchasing New Appliances With all the new information available about energy efficiency, it may be a little confusing to know what exactly to look for when shopping for new appliances and household electronics. Here are a few tips to help you out: * Look for the ENERGY STAR label. ENERGY STARqualified products exceed the federal minimum standards for efficiency and quality, meaning they'll use less energy over their lifetimes than other models. * Carefully review the EnergyGuide label. This yellow label provides information about how much energy an appliance uses compared to similar models. Not only can new appliances save big on energy use, but they may also qualify for exclusive rebates from United Power and our wholesale power provider, Tri-State G&T. Select ENERGY STAR appliances are eligible for rebates, but must be requested within 120 days of purchase. For more information about United Power rebates, contact the energy management team at 303-659-0551 or go to www.unitedpower.com/rebates. * Consider the purchase price and cost to operate. These prices are important because you may be paying for the appliances energy use over the next 10-20 years, depending on when you choose to replace it again. * Compare prices. Keep in mind, many retailers will match a lower price offered by competitors. Keep looking until you find the right appliance for the right price. What are Vampire Loads? The desktop computer in your office. The living room TV and gaming console in standby or rest mode. Even the cell phone charger you keep plugged in throughout the day. All of these items are responsible for contributing to your "vampire load," also known as the "phantom load." Vampire loads come from devices that use electricity even when they appear to be off. These loads are approaching 10 percent of the average household electric use, according to the Environmental Protection Agency. not be a drain on your bill, but in an increasingly plugged in world, the impact can begin to add up. Electronics and appliances in standby or rest modes require a little electricity to maintain minimal function of the device so it's ready to go when you return to using it. The primary culprits are televisions, desktop computers and, particularly, gaming consoles which can use as much electricity as a refrigerator even when not in use thanks to frequent system updates. Chargers are another contributor to the phantom load. A single charger might So how can you limit your vampire loads? The obvious solution is to simply unplug devices when not in use and disabling auto-update features that draw power when in rest mode. If you want a limited impact on your daily routine, consider investing in smart power strips. These devices can usually connect to your phone through WiFi or Bluetooth so you can turn them off and on automatically. Many of them even come with surge protection to keep your devices safe during storms or other events that may cause a surge. In the digital, connected age, these vampire, or phantom, loads can become a real problem. A little investment and some small changes can end up saving you on your bill. For more energy efficiency information, check out www.unitedpower.com. 7 Inside This Issue FEBRUARY 2019 Demand FAQ United Power answers questions about demand and how to manage it. Page 2 Becoming United Power Union REA became United Power in April 1990 to reflect a progressive rural utility. Page 6 Co-op Welcomes Frederick United Power became the sole provider to the Town of Frederick. Page 5 Energy Efficient Appliances Maybe it's time to look into upgrading your older appliances? Here's what to look for. Page 7 STAY CONNECTED WITH YOUR CO-OP [email protected] www.unitedpower.com facebook.com/UnitedPower twitter.com/UnitedPowerCoop Member Services 303-637-1300 Outage Line 303-637-1350 CONGRATS READER REWARDS WINNERS 1 st Place: Beth Carmosino, Northglenn 2 nd Place: Irene Schmitten, Ft. Lupton Dana Dionysius, Longmont See your name listed as a winner? Call 303-637-1248 to claim your Reader Rewards. </text>	[ { "content": "<url>\nhttp://www.unitedpower.com/wp-content/uploads/2019/01/Feb_2019_web.pdf\n</url>\n<text>\nFEBRUARY 2019\n\nInformation for the members of United Power, Inc.\n\nUnited Power works tirelessly behind the scenes year after year to bring our members safe and reliable power and the tools they need to monitor and control usage patterns that could save them money. This past year has been no different for the cooperative, which took steps to be among the first to adopt utility scale battery storage and rolled out several exciting programs for members to utilize in their daily lives to understand how some behaviors may impact their bill.\n\nWorking the Lines\n\nThe ability to provide power begins with our linemen. As one of the most dangerous\n\nwww.unitedpower.com\n\nReport an Outage 303-637-1350\n\nCustomer Service 303-637-1300\n\njobs in the world, linemen put themselves in harm's way every day to ensure the steady stream of power to our members. In 2018, the cooperative completed construction on a new state-of-the-art training facility for linemen, comparable in size and scope to some of the state's largest. Just as you've come to expect from United Power, we went above and beyond, including the most innovative ideas from training yards across the country. From a series of low and high poles, linemen are able to practice a variety of situations to be better prepared to safely face anything they might experience in the field.\n\nBird's Eye View\n\nPower became one of the first electric utilities in Colorado to utilize unmanned aerial vehicles (UAV) to monitor our power lines. While the project began in the mountain territory nearly two years ago, it\n\nFor the past few years, United Power has prioritized preventative maintenance of its electrical infrastructure. For this reason, United\n\nIN THIS ISSUE\n\nIMPORTANT DATES\n\nDeadline for Nominations by Petition for Director Candidates\n\nPage 3\n\nFEBRUARY 15\n\nCandidate Forums\n\nPage 3\n\nMARCH\n\n18, 19, 21, & 21\n\nAnnual Meeting & Director Election Page 3\n\nAPRIL 17\n\nwas rolled out in phases to the plains territory this past year, beginning in Brighton. Drones offer a safer and more time efficient option for diagnosing potential repairs that need to be made on poles and can often offer the information before outages happen. The project, to date, has examined more than 30 miles of power lines, saving countless manhours and preventing outages.\n\nWhen it's Unpreventable\n\nNew Outage Map Launched\n\nDespite our best efforts, not all outages are preventable. To provide members with more information related to outages impacting them, United Power rolled out an all-new user friendly outage map in early 2018. The new information shows detailed outage information including number of members affected and cause, among other things, without sacrificing safety and security.\n\ncontinued on Page 3\n\n2\n\nHow to See Demand:\n\nCurious to see when you used the most energy this past month? Use Power Portal to pinpoint what's driving your energy use. Access your complete energy consumption portfolio in 15-minute increments throughout the day to get a clear look at how you use energy.\n\n1. Login to Power Portal at www.unitedpower.com/powerportal.\n2. Click on My Consumption Data.\n3. Under Usage Dashboard, select the Account to view and choose Current Month from the drop-down and select Billing Month.\n4. The orange diamond indicates the interval with the highest demand. (You may need to click on the Demand option under the blue chart to turn on the orange line in the graph.)\n5. Click on the blue bar to display each 15-minute interval from that day. (Hover for more detail.)\n\nENERGY SAVERS\nENERGY SAVERS\n\nAdjust the Temperature. When you are asleep or out of Replace Incandescents with LEDs\n\nthe house, turn your thermostat back 10-15 degrees for eight hours and save around 10 percent a year on your heating and cooling bills. A smart thermostat can make it easy to set bac your temperature. An incandescent bulb turns 90 percent of the energy it uses into heat. Consider replacing it with an LED bulb, which uses less energy and produces less heat. LEDs also last 50 times longer than traditional bulbs.\n\nQuestions about Demand?\n\nUnited Power's new rate structure went into effect on January 1st, and members will begin to see the 2019 rates reflected as separate demand and energy charges on their February bills. While energy is the total power used, demand refers to the capacity needed to serve your location. The new rates break apart the costs for demand and energy to more fairly charge each member for their impact on the electric system and the energy they use.\n\nWhy did you change to this rate structure?\n\nThe way our members use power has changed, and we now have more detailed information about how each member uses that power. On the blended rate, some members were paying more than they should, while others were not paying enough. The demand component allows us to more fairly charge each member in a way that is more closely aligned with our costs to provide that service.\n\nHow do I see when I hit my demand?\n\nDemand measures the highest 15-minute interval of power consumption over the billing period and your bill will show you the kilowatt (kW) demand measurement of that highest interval. If you'd like to investigate what contributed to your demand charge, the Power Portal will show you the day and time that your demand peaked. Pinpointing the day and time will give you the information to reflect on how you were using energy.\n\nthe stove, bread in the oven, the kids were downstairs gaming with a space heater on, and it was marathon laundry and cleaning day for the family. Operating all of these appliances at once required more system capacity for United Power to serve you, and your demand charge for the month is a fairer representation of how you used the electric system.\n\nHow can I reduce my demand?\n\nMonitoring your use in the Power Portal will help you understand what is driving your demand. You'll see the effect of using multiple appliances at once and what your energy profile looks like when you stagger appliances. If you'd like to keep your demand charges as low as possible, small changes in the way you use energy can make a difference. Here are some easy ways to reduce your demand:\n\n* Spread out the use of major appliances. Major electrical appliances that may contribute to high demand costs include air conditioners, electric clothes dryers, electric water heaters, electric ranges and ovens.\n* Use small cooking appliances or an outdoor grill.\n* Use a programmable or smart thermostat to pre-heat or pre-cool your home before you get home and operate kitchen appliances.\n* Use a timer on your water heater, dishwasher and pool pump.\n\nPerhaps your demand was highest on a cold Saturday afternoon when you had soup on\n\n* Set a timer on your electric vehicle charger for the middle of the night after other major appliances are not in use.\n\nFebruary Bills to Reflect Rate Changes\n\nIn December, the United Power Board of Directors approved rate changes for 2019 that separated energy and demand charges, and includes a modest 1.5-2% rate increase for most members. The new rates break apart the blended rate members have paid in the past, incorporating both an energy charge and a demand charge.\n\nNew rates went into effect for energy use beginning January 1, so members will see these changes reflected on their February 2019 billing statements.\n\nCo-op Continued its Innovative Approach in 2018\n\nFree Resources for Members\n\nincrements to decide what behaviors had the heaviest impact and adjust accordingly. With the Power Portal, members can monitor their usage patterns to keep energy demand costs down.\n\nIn early 2018, United Power began rolling out a new free online resource, the Power Portal, which allows members to monitor their energy usage in 15-minute\n\nThe cooperative also launched Rush Hour Rewards in partnership with Nest Learning Thermostats to replace its former cycled air program. The smart home appliance gives members more control over energy usage when they're not at home. Enrolling in Rush Hour Rewards with your Nest allows United Power to adjust your thermostat a few degrees on hot summer days to save you energy, and rewards you for it at the end of the summer.\n\nLeading the Way\n\nUnited Power members have been quick to adopt solar energy, setting the bar high for other utilities to follow. In November, the cooperative celebrated its 3,000th rooftop solar connection. According to a 2018 report, United Power ranks among the top 50 utilities nationwide in solar energy and second among cooperatives in connected solar. Our commitment to renewable energy leads the way among all 43 cooperatives in Tri-State's four-state region.\n\nWhile not technically being used as a renewable energy source, battery storage represents the next logical step in the progression of renewable energy.\n\nCommitment to Cooperative Principles\n\nKelly Snow, Journeyman Lineman\n\nnecessary to provide two remote jungle villages with power for the first time, he jumped at it. In September, the group left for Guatemala for three weeks to volunteer for the project through NRECA International. When asked why the trip meant so much to him, Snow responded with the Rural Electric Association's principle of bringing electricity to rural parts of the country and those who are underserved.\n\nAlso in November, we energized the state's largest utility-scale battery storage facility at our new west office. The battery\n\nNew Battery Storage Facility at\nUnited Power’s west office.\n\nMost of us never go more than a few hours without some form of power, whether that's work, school or home or the commute in between. When United Power lineman Kelly Snow was given the opportunity to join a group of linemen from Colorado and Oklahoma to build the infrastructure\n\nKelly Snow presents water filtration\nsystem to Guatemalan villagers.\n\nsystem generates 4 MW of electricity and is expected to save the cooperative $1 million in wholesale energy charges. The project, developed in collaboration with ENGIE North America, is enough to power up to 700 homes simultaneously.\n\nThroughout 2018, United Power had many opportunities to celebrate continual growth and innovation with members and leaders in the communities we serves. As we look to the future, we'll continue to set the bar for others to follow. We look forward to all 2019 has to offer, and continuing to provide our members safe and reliable power.\n\n2019 ANNUAL MEETING & DIRECTOR ELECTION\n\nWEDNESDAY APRIL 17, 2019\n\n4:30 p.m. Registration Opens\n\n6:30 p.m. Balloting Closes & Meeting Begins\n\nAdams County Regional Park & Fairgrounds 9755 Henderson Road, Brighton, CO 80601\n\nwww.unitedpower.com/annual-meeting\n\nBALLOTING DEADLINES\n\nFEBRUARY 15, 2019\n\nDirector Nominations by Petition Deadline at 4 p.m.\n\nAPRIL 15, 2019\n\nMail-in Ballots must arrive at the P.O. Box by 6 a.m.\n\nAPRIL 17, 2019\n\nBallot Drop-Boxes at offices close at 2 p.m.\n\nAPRIL 17, 2019\n\nBallot Drop Box Open from 12–4 p.m. at the Adams County Fairgrounds\n\nCANDIDATE FORUMS\n\nAttend a Meet the Candidate forum to learn more about each of the candidates vying to serve on the Board of Directors. The following events are free to members. Light refreshments will be served. RSVPs are not required.\n\nMONDAY, MARCH 18, 2019 \| 6:30 p.m. Adams County Fairgrounds - Waymire Dome 9755 Henderson Road Brighton, CO 80601\n\nTUESDAY, MARCH 19, 2019 \| 7:30 a.m. Fort Lupton Recreation Center 203 S. Harrison Ave. Fort Lupton, CO 80621\n\nTHURSDAY, MARCH 21, 2019 \| 7:30 a.m. Coal Creek Canyon Community Center 31528 Highway 72 Golden, CO 80403\n\nFRIDAY, MARCH 22, 2019 \|7:30 a.m.\n\nE.L.F. Grill th\n\n102 8 Street Dacono, CO 80514\n\nDates and locations may be subject to change.\n\n3\n\nDowned and Dangerous\n\nSafety Around Downed Power Lines\n\nColorado is no stranger to heavy thunderstorms and strong winter storms throughout the year. Strong storms can cause severe damage to homes and property, but they can also impact United Power's distribution grid, including downing power lines.\n\nyou encounter these situations. For your safety and the safety of others, remember these important safety tips if you ever encounter a downed power line:\n\nDowned power lines are extremely dangerous. Power lines carry a strong electric current, enough to cause serious injury or even death. Electricity wants to move from a high voltage zone to a low voltage zone – and it could do that\n\nthrough your body. If you see a downed power line, always assume it is energized, and avoid going near it or anything in contact with the power line.\n\nAs your electric cooperative, we want to ensure your safety when\n\n* You cannot tell whether a power line is energized just by looking at it. You should assume that all downed power lines are live.\n* If you see a downed power line, move away from it and anything touching it. The ground around power lines – up to 35 feet – may be energized.\n* The proper way to move away from a downed power line is to shuffle away with small steps, keeping your feet together and on the ground at all times. This will minimize the potential for a strong electrical shock.\n* If you see someone who is in direct or indirect contact with the downed line, do not touch the person. You could become the next victim. Call 911 for help.\n\nREADER REWARDS\n\nFEBRUARY 2019\n\nThree Winners Every Month!\n\nst\n\n1\n\nplace: $150 Lowe's Gift Card nd\n\n2 place: $50 Lowe's Gift Card (two winners)\n\nName:\n\nAddress:\n\nPhone:\n\nMail entry form to: United Power • Reader Rewards 500 Cooperative Way • Brighton, CO 80603\n\nReader Rewards Online\n\nSave a stamp! Visit www.unitedpower.com and click on 'Co-op & Community' to enter Reader Rewards online. Answer the question below with your online entry:\n\nWhat anniversary is United Power celebrating at this year's Annual Meeting?\n\nBy submitting this entry I agree to allow United Power to publish my name in subsequent issues of United Newsline if I am selected as a winner.\n\n* Do not attempt to move a downed power line or anything else in contact with it by using an object, such as a broom or stick. Even nonconductive materials like wood or cloth can conduct electricity if even slightly wet.\n* Be careful not to touch or step in water near where a downed power line is located.\n* Do not drive over downed power lines.\n* If your car comes in contact with a downed power line while you are inside, stay in the car. Honk your horn to summon help, but direct others to stay away from your car.\n* If you must leave your car because it is on fire, jump out of the vehicle with both feet together and avoid contact with both the car and the ground at the same time. Shuffle away from the car.\n\nUNITED POWER PRIDE\n\nThe beautiful and clean country of Singapore is a must-see for many people, including some of our valued members. Here Rob and Kayla Burroughs enjoy a sunset view of the city skyline from the iconic Marina Bay Sands Hotel.\n\nUnited Power Pride Photos\n\nSnap a photo with the United Newsline and you'll get a $50 bill credit if we print it. Send your name, address, phone number, and a description of the photo to:\n\nE-MAIL:\n\[email protected]\n\nMAIL:\n\nUnited Power—Attn: United Newsline\n\n500 Cooperative Way, Brighton CO 80603\n\nUnited Power Welcomes New Frederick Members\n\nAddition of Frederick adds 2,400 Meters\n\nIn January, United Power officially welcomed approximately 2,400 new members as the cooperative became the sole provider to the Town of Frederick. These new members come into the cooperative after a deal was announced this past year to acquire the town's municipal electric utility, Frederick Power & Light.\n\nwe will be working hard to make this transition a seamless process for them.\"\n\nFrederick agreed to sell the electrical infrastructure to United Power following failed negotiations over territorial disputes and pending litigation of the town's taking of service rights. In exchange for the purchase agreement, United Power agreed to drop its lawsuit, originally filed in 2017, over breach of contract.\n\nIn a key step toward finalizing the deal, Frederick residents affirmed the purchase of the town's municipal electric utility in a special election this past summer. Nearly 90 percent of all voters indicated their support of United Power, which already served Frederick residents outside of \"old town\" boundaries.\n\n\"We are excited about bringing the entire Town of Frederick into the United Power membership,\" stated John Parker, United Power CEO, after the election was affirmed in June. \"We want to express our thanks to the residents of Frederick for their support in this process, and\n\nThe addition of these new members pushes the cooperative's total services to nearly 90,000 meters, and clos<cursor_is_here> The acquisition will help the cooperative better integrate its electric delivery system as it grows and brings greater density to the operation, which will reduce operating costs for all cooperative members.\n\nUnited Power has been working with Frederick to ensure these new members are well informed of the transition details. Members will receive multiple communications from the cooperative. A series of mailers will be sent to members with important electric account details. In addition, a special welcome page has been posted at www.unitedpower.com/ WelcomeFrederick to ensure these new members have the information they need to take full advantage of the many programs and benefits available to them as United Power members.\n\n5\n\nRECIPES\n\nCheesy Salsa Mac\n\n1 lb ground beef (80% lean) 2 cups fresh salsa 1 tsp taco seasoning mix 1/8 tsp ground pepper 1 1/2 cups hot water 1 1/2 cups elbow macaroni 1 cup milk 8 oz Velveeta, cut into cubes 4 oz sharp cheddar, shredded\n\nHeat large, deep skillet over medium-high. Cook and stir beef until browned (5-7 minutes). Drain grease, and stir in salsa, taco seasoning and pepper. Simmer about 5 min.\n\nStir water, macaroni and milk into beef mixture and bring to boil. Reduce heat to medium-low, place cover on skillet and simmer until pasta is tender (about 10 minutes).\n\nStir Velveeta and cheddar into pasta and beef mixture until cheese melts completely (5-7 minutes).\n\nShare Your Recipes\n\nEarn a free gift if we publish your recipe.\n\nONLINE: www.unitedpower.com\n\nMAIL:\n\nUnited Power Recipes 500 Cooperative Way Brighton, CO 80603\n\nA New Name: Union REA Becomes United Power\n\nIn the late 1980s, United Power overcame a competitive territory war and takeover bid from Public Service Company of Colorado, now Xcel Energy. The rocky battle led the cooperative to reevaluate its service and commit to trimming rates and delivering more reliable power for its members. This is the second in a three part series chronicling the cooperative's history leading up to its 80th Annual Meeting this April.\n\nFollowing a member vote in August 1987 to reject Public Service Company of Colorado's (PSCo) takeover bid of Union Rural Electric Association (Union REA), the Colorado State Legislature urged the two electric utilities to settle its territory dispute in the interest of the public. The dispute had resulted in unnecessary duplication of distribution infrastructure over the years, which was costly to members and customers.\n\nBy November 1990, United Power had begun serving all the communities acquired in the exchange except for a lone holdout, Brighton, which had voted to deny the service transfer to the cooperative.\n\nThree years later in 1990, the two utilities finalized an agreement that would exchange certain territories and establish firm territory boundaries. Union REA would begin serving Brighton, Ft. Lupton, Hudson, Keenesburg and the rural areas of Platte Valley. In return, PSCo would receive territory the new Denver International Airport was to be built on. The transfer closed the corridor separating the two areas the cooperative served along the plains.\n\nWith the territory battle behind it, the cooperative began focusing on resolving some glaring problems brought to light during the takeover attempt. Union REA's Board made a commitment to improve rates and reliability using PSCo's performance records as a measuring stick. With record performance levels and expectations aimed toward the future, Union REA became United Power, intending to help leave behind the unsophisticated image of the traditional cooperative.\n\nThe name change to United Power symbolized the cooperative's commitment to its rural heritage while presenting a progressive utility to a new urban member-base.\n\nENERGY SAVERS\n\nSize new HVAC units properly for better efficiency.\n\nBigger doesn't always mean better. Oversized units can cause reduced comfort and excessive noise. Undersized units can reduce efficiency and accelerate wear on system components.\n\nA couple years later, United Power had developed a reputation of reliability and reducing rates. When PSCo approached the Brighton city council again in 1992, United Power members were paying 6 percent less than Brighton residents served by PSCo.\n\nAs the cooperative and PSCo worked to move the transfer forward, United Power made dedicated efforts to educate Brighton residents and answer questions concerning service, reliability and cost of power to bolster its image as a cuttingedge power supplier. United Power assured residents it would track outage and restoration times, guarantee reliability factors as strong or better than PSCo and pledged to freeze rates for two years if the transfer was approved.\n\nIn 1993, United Power finally welcomed Brighton and its residents to the cooperative family.\n\nChoosing Energy Efficiency Appliances\n\nIf you're holding on to older household appliances, now may be a good time to consider swapping them out for newer, more energy efficient models. Old appliances are among the biggest consumers of energy in your home, but as technology evolves, so does energy efficiency. A new energy efficient appliance can be operated using as much as 75 percent less energy than outdated appliances.\n\nOld refrigerators are the biggest culprit of excessive energy usage among daily household appliances. While older refrigerators can cost upwards of $16/month to use, a new model may cost as little as $4/month. Newer, high-definition LED TVs also use a fraction of the electricity older liquid-crystal displays (LCD) and plasma screens do. And don't forget about other appliances and electronics you use daily.\n\nTips for Purchasing New Appliances\n\nWith all the new information available about energy efficiency, it may be a little confusing to know what exactly to look for when shopping for new appliances and household electronics. Here are a few tips to help you out:\n\n* Look for the ENERGY STAR label. ENERGY STARqualified products exceed the federal minimum standards for efficiency and quality, meaning they'll use less energy over their lifetimes than other models.\n* Carefully review the EnergyGuide label. This yellow label provides information about how much energy an appliance uses compared to similar models.\n\nNot only can new appliances save big on energy use, but they may also qualify for exclusive rebates from United Power and our wholesale power provider, Tri-State G&T. Select ENERGY STAR appliances are eligible for rebates, but must be requested within 120 days of purchase. For more information about United Power rebates, contact the energy management team at 303-659-0551 or go to www.unitedpower.com/rebates.\n\n* Consider the purchase price and cost to operate. These prices are important because you may be paying for the appliances energy use over the next 10-20 years, depending on when you choose to replace it again.\n* Compare prices. Keep in mind, many retailers will match a lower price offered by competitors. Keep looking until you find the right appliance for the right price.\n\nWhat are Vampire Loads?\n\nThe desktop computer in your office. The living room TV and gaming console in standby or rest mode. Even the cell phone charger you keep plugged in throughout the day. All of these items are responsible for contributing to your \"vampire load,\" also known as the \"phantom load.\" Vampire loads come from devices that use electricity even when they appear to be off. These loads are approaching 10 percent of the average household electric use, according to the Environmental Protection Agency.\n\nnot be a drain on your bill, but in an increasingly plugged in world, the impact can begin to add up.\n\nElectronics and appliances in standby or rest modes require a little electricity to maintain minimal function of the device so it's ready to go when you return to using it. The primary culprits are televisions, desktop computers and, particularly, gaming consoles which can use as much electricity as a refrigerator even when not in use thanks to frequent system updates. Chargers are another contributor to the phantom load. A single charger might\n\nSo how can you limit your vampire loads? The obvious solution is to simply unplug devices when not in use and disabling auto-update features that draw power when in rest mode. If you want a limited impact on your daily routine, consider investing in smart power strips. These devices can usually connect to your phone through WiFi or Bluetooth so you can turn them off and on automatically. Many of them even come with surge protection to keep your devices safe during storms or other events that may cause a surge.\n\nIn the digital, connected age, these vampire, or phantom, loads can become a real problem. A little investment and some small changes can end up saving you on your bill. For more energy efficiency information, check out www.unitedpower.com.\n\n7\n\nInside This Issue\n\nFEBRUARY 2019\n\nDemand FAQ\n\nUnited Power answers questions about demand and how to manage it.\n\nPage 2\n\nBecoming United Power\n\nUnion REA became United Power in April 1990 to reflect a progressive rural utility.\n\nPage 6\n\nCo-op Welcomes Frederick\n\nUnited Power became the sole provider to the Town of Frederick.\n\nPage 5\n\nEnergy Efficient Appliances\n\nMaybe it's time to look into upgrading your older appliances? Here's what to look for.\n\nPage 7\n\nSTAY CONNECTED WITH YOUR CO-OP\n\[email protected] www.unitedpower.com\n\nfacebook.com/UnitedPower\n\ntwitter.com/UnitedPowerCoop\n\nMember Services\n\n303-637-1300\n\nOutage Line\n\n303-637-1350\n\nCONGRATS READER REWARDS WINNERS\n\n1 st Place: Beth Carmosino, Northglenn\n\n2\n\nnd\n\nPlace: Irene Schmitten, Ft. Lupton\n\nDana Dionysius, Longmont\n\nSee your name listed as a winner? Call 303-637-1248 to claim your Reader Rewards.\n</text>\n", "role": "user" }, { "content": "es a hole in the center of United Power's service territory.", "role": "assistant" } ]
Research Data Management Dunja Legat, M.Sc. The ATHENA Soft & Research Skills Course, Chania, 19th of May, 2023 What is Open Science? - Open Science means opening all phases of research to the public. - The dissemination of scientific knowledge, that is as wide as possible, free of charges to all users, and accessible online. - The research process should be more transparent, and research outputs findable and available in standardized formats through an interoperable infrastructure. - Approach to the scientific process based on cooperative work and ways of disseminating knowledge, improving accessibility to and re-usability of research outputs using digital technologies and collaborative tools. (Source: EOSC Glossary) \| Open Access \| Open Data \| \|-------------\|-----------\| \| Open Source \| Open Education \| \| Open Hardware & Open Software \| Citizen Science \| \| Research Infrastructures and the EOSC \| Open Science Skills \| \| \| Research Integrity \| Who’s involved? - researchers - institutions - policymakers - publishers - libraries - funders European Union's Policy on Open Science The EU's open science policy comprises eight aspects: 1. Training and skills for implementing open science in practice, 2. Recognizing, promoting and rewarding open science practices, 3. New-generation metrics and altmetrics, 4. Open publishing and encouraging early sharing of research results, 5. Open data, 6. Research integrity and reproducibility of scientific findings, 7. European Open Science Cloud (EOSC), 8. Citizen science. Open Research Europe (ORE) Open Research Europe is an online platform for open publishing and open peer review of scientific works from all research areas - within Horizon 2020 and - Horizon Europe projects. The platform is funded by the European Commission, the entire process is free of charge for its users. Publications are published very quickly in the form of preprints, and the review process is open and transparent. Comments on the publication are still possible even after the review has been completed. Authors retain the option to upload corrections and updates at any time in the future. A new version of the scientific work can then enter a new round of the revision process. https://ec.europa.eu/newsroom/horizon2020/items/698270/en The European Open Science Cloud is an initiative that aims to develop "a network of FAIR data and services" for European science. The European Open Science Cloud is set out to solve this problem by establishing digital infrastructure that will ensure the interoperability of databases and a single entry point, and easy and open access to data from publicly funded research as a result. Aspects of this digital infrastructure range from visualization and analytics to long-term data storage and monitoring the adoption of open science practices. https://eosc-portal.eu/ Horizon Europe is the ninth key financial program of the European Union for financing research and innovation, which will last from 2021 to 2027: it follows the Horizon 2020 program, which has already partially obliged researchers to the practices of open science. With Horizon 2020, open access publishing became mandatory. With Horizon Europe, the sharing of research data and the creation of research data management plans have also become mandatory. Research data management must be responsible, planned in advance and compliant with the FAIR principles as well as the principle »as open as possible, as closed as necessary«. Digital Research Outputs As open as possible, as closed as necessary Publications Research Data Software Workflows Others Image CC-NY, by OPENAIRE Eligible Exemptions from Openness Open access does not necessarily mean that data become open immediately, indefinitely, or unconditionally. Despite the access restrictions, it is necessary to create metadata that prove the existence of the data and describe the access options. Eligible exemptions from openness must be substantiated in the research data management plan. What are Research Data? Currently, there is no universally accepted definition of research data. Definition by OECD: OECD Principles and Guidelines for Access to Research Data from Public Funding Definition by Springer Nature: https://www.springernature.com/gp/authors/research-data Definition by CODATA: Committee on Data of the International Science Council; www.codata.org OECD: Research data are defined as factual records (numerical scores, textual records, images and sounds) used as primary sources for scientific research and are commonly accepted in scientific community as necessary to validate research findings. Recommendations By some definitions, any number and file you create in your work could be considered as a piece of research data. Such a strict definition of research data is not sustainable from a practical point of view. Before starting, you should check your funder's policy on research data. If it does not contain specific provisions, the decision on the scope of open research data is left to you. You define it in the research data management plan. Life Cycle of Research Data: Management of Research Data 1. Collect: experiment, observation, measurements, simulation, survey... 2. Manage: validation, anonymization, transcription, digitization... 3. Analysis: interpretation of data and production of results... 4. Store, Archive: recommended formats, media, backups, metadata and documentation preparation, archiving... 5. Publish, Share: data dissemination, access control, copyright and promotion... 6. Reuse: secondary analyses, upgrading of research, using data for teaching and learning, citing data... Depending on the phase of the research: - raw (first collected), - cleaned (ready for analysis), - processed (data resulting from the analysis), - presentation (a version adapted to the presentation). There are a number of reasons why research data management is important: - data, like articles and books, are part of our scientific production, - data (especially digital) is fragile and easily lost, - financiers and publishers require data deposit and data handling planning, - managing research data saves time and resources for us and the users of our data in the long term, - good data management helps prevent errors and increases the quality of our analyses, - well-documented and accessible data enable others to confirm and repeat (reproducibility) our research, - research data management facilitates the sharing of research data, - shared, the data can lead to valuable discoveries by others who are not part of the original research team. Types of Research Data Research data represents everything that was used or created during the research process and supports or confirms the research findings. Data can appear in a variety of forms, including: • diaries, • survey answers, • software and code, • measurements from laboratory or field equipment, • images (such as photographs, films, scanned documents), • audio recordings • physical samples, etc. Everything that is necessary to validate research findings. What Counts as Open Research Data? Open, openly accessible or publicly available data are data that meet the FAIR principles. In short, this means that they are: - deposited in a trusted repository, - described in a formal, generally accessible and widely used language for the dissemination of knowledge, - licensed with an open license and - equipped with all information (e.g., methods, protocols, software) that enable other researchers to understand and reuse them. https://www.usi.ch/en/feeds/20629 Research data management (RDM) Is a process in the research lifecycle that includes - the creation (collection or acquisition) of research data, - their organisation, - digital stewardship, - storage, (long-term) preservation, - security, - quality assurance, - allocation of persistent identifiers, - providing metadata, - issuing appropriate licenses and procedures for data exchange, sharing and reuse. Stakeholders of RDM Miksa T, Simms S, Mietchen D, Jones S (2019) Ten principles for machine-actionable data management plans Open Science(RDM) Support Service: DATA STEWARDSHIP - Teamwork and Collaboration, Infrastructure - Often in libraries (Data Steward, Data Librarian, etc.) What is Data Management Plan (DMP) Research data management must be accurately planned in advance with the help of a research data management plan (RDMP). A DMP is a document that describes how research data is to be managed both during the project and after. DMPs are often submitted as a part of grant applications but are useful whenever researchers are creating data. What is Data Management Plan (DMP) Living document What information is needed to be able to read and understand the data in the future? We have to consider ... A research data management plan must contain the following essential information: 1. Description of Data 2. Standards and Metadata 3. Persistent Identifiers 4. Digital Stewardship and Data Protection 5. Data Sharing Terms 6. Management of Other Research Results 7. Data Management Costs Online Tools for Creating DMP - DMPOnline (large collection of templates) - Data Stewardship Wizard (interactive questionnaire linked to external sources; hints; FAIR metrics; machine readable plans) - Argos (machine readable plans, ki upoštevajo načela FAIR; možnost sodelovanja in objave) - DMP Template - Horizon Europe FAIRification FAIR research data are those data that are - Findable, - Accessible, - Interoperable and - Reusable. Reasons: - In the current digital ecosystem, people are increasingly dependent on computer support to cope with the increasing volume, complexity and speed of data creation. - FAIR principles: to improve machine discoverability and data use (i.e., the ability of computer systems to find, access, connect to, and reuse data with little or no human intervention). FINDABLE - data and metadata are assigned a globally unique and persistent identifier (e.g., DOI, Handle), - data are described with rich metadata, - metadata clearly and explicitly include the permanent identifier, - data and metadata are registered or indexed in searchable bibliographic indexes (e.g., in repositories or library catalogues) ACCESSIBLE - data and metadata are retrievable by their identifier using a standardised communications protocol (https, ftp, etc.) - Metadata are accessible, even when the data are no longer available. INTEROPERABLE - use a formal, accessible, shared, and broadly applicable language for knowledge representation, - use vocabularies that follow FAIR principles, - metadata contains qualified references to other metadata, - use of non-proprietary open formats. REUSABLE Data and metadata are richly described with a plurality of accurate and relevant attributes: - data and metadata are released with a clear and accessible data usage license, - data and metadata are associated with detailed provenance, - data and metadata meet domain-relevant community standards https://training.ni4os.eu/pluginfile.php/3644/mod_resource/content/0/EN-NI4OS%20-%20FAIR.pdf Make your software FAIR - Use a publicly accessible repository with version control (for example version control with Git) Zenodo, GitHub - Add a license to your code (open software licenses) - Register your code in a community registry - Enable citation of the software - Use a software quality checklist Software Heritage 1. Prepare your public repository - README, AUTHORS & LICENSE files 2. Save your code - http://save.softwareheritage.org/ 3. Reference your work - (full repository, specific version or code fragment) Recommendation: Open software licensing (https://www.youtube.com/watch?v=gvj4dGYiK_M) Formatting Research Data Research data must be properly formatted before sharing so that other researchers can understand and reuse them. In this way, we satisfy the FAIR principles of interoperability and reusability. In repositories, research data will stand on their own without an accompanying context, which is why it is necessary to pay attention to the appropriate - naming of files, - the hierarchy of file folders, - and metadata (which can be described in ReadMe files or data articles). File Naming Recommendations for naming research data: - we prepare an agreed structure for the naming of research data, consisting of logical elements; - Relevant information for naming files is: project name or acronym, researcher’s name or initials, data type, research method, place and date of research, file version number; - we use the agreed nomenclature consistently; - the agreed nomenclature should be used by all members of the research group; - we avoid using a similar name for multiple files; - we avoid vague names; - file names should not be too long, maximum 32 characters; - we use letters and numbers according to the ASCII standard (a - z, A - Z and 0 - 9); - we avoid using periods or special characters such as &,*%,#;,()!,@,$,^,~,‘’,{},[],?,<>; - write the date in the ISO 8601 standard (YYYYMMDD); - for possible numbering, we use leading zeros, e.g.: 001 – 999; - instead of a space, use an underscore _ or a minus -; - we avoid labels such as final version, revision, final, etc., for major changes we use no. versions, e.g. V2; - when renaming a bunch of files, we use the batch renaming tool; - the complex structured nomenclature is described in the file README.txt. An example of good practice: 20190523_H2020MatChem_GL_exp5_c2_XRF1 This name contains information that is important to the author, the research group and other users of the data: - The date the file was created, i.e. 23 May 2019 in YYYYMMDD format, - The name of the hypothetical project titled "Materials Chemistry" (abbreviation MatChem), which was financed within the framework of the Horizon 2020 (H2020) programme, - Initials of the hypothetical author, i.e. G. L., - The title of the experiment, i.e. exp5 ("Experiment 5") - Designation of the compound, i.e. C2 ("Compound 2") - Designation of the analysis, i.e. XRF1 (first measurement with X-ray fluorescence). Source: DiRROS Data: https://dirrosdata.ctk.uni-lj.si/en/raziskovalni-podatki/oblikovanje-podatkov-zadeljenje/ Organizing the Research Data – File Folders 1. A folder structure is prepared that will meet the needs of the research project. 2. In doing so, we pay attention to the type of research data and the way in which both raw and analyzed data, methods, documentation and other supporting files will be organized. 3. The folders are named with unique names that correspond to the research project. 4. Determine the appropriate depth of the folder hierarchy. 5. Tagging files helps us find files in the research project folders. File Formats For reuse, it is recommended to collect data in formats that are more likely to be accessible in the future: - non-proprietary, - open and - documented standards that are uncompressed, exchangeable, widely used by the research community and use standard character encoding (ASCII, UTF-8). The choice of format also depends on the policy of the repository we choose to publish. \| Type of Data \| Recommended Formats \| Acceptable Formats \| \|------------------------------------\|---------------------\|--------------------\| \| Quantitative Tabular Data \| .csv, .tab, .por, .xml \| .txt, xls, .dbf, .ods, .sav, .dta, .mdb \| \| Qualitative data. Textual. \| .rtf, .txt, .xml \| .html, .doc \| \| Digital image data \| .tif \| .jpg, .gif, .tif, .tiff, .raw, .psd, .bmp, .png, .pdf \| \| Digital audio data \| .flac \| .mp3, .aif, .wav \| \| Digital video data \| .mp4, .ogv, .ogg, .mj2 \| .avchd \| \| Documentation and scripts \| .rtf, .pdf/A, .xthml, .htm, .odt \| .txt, .doc, .xls, .xml \| An open file format is a file format for storing digital data, which can be used and implemented by anyone. List of open file formats: https://en.wikipedia.org/wiki/List_of_open_file_formats More precisely: UK Data Service: Recommended Formats (Source: https://ukdataservice.ac.uk/learning-hub/research-data-management/format-your-data/recommended-formats/) What information is needed to be able to read and understand the data in the future? Additional documentation helps users of our data understand and reuse the data. Examples of additional documentation are: - lab notebooks (e.g. Jupyter Notebook) and protocol descriptions (e.g. protocols.io), - questionnaires, - codes, variable definitions, data dictionaries, - measurement units, - ontologies, controlled dictionaries, - programming language syntaxes and software output files, - information on equipment settings and instrument calibration, - database schema, file directory structure description, naming structure, - methodology reports, - information on analysis and procedures, - information about the origin of the acquired or digitized data, If we have developed software code to acquire or process data, we consider whether it is also necessary to store it with data for reproducibility purposes. Readme.txt Example of the University of Cornell: Template of Readme.txt File AUTHOR_DATASET_ReadmeTemplate.txt Secure storage of research data When choosing a storage location, we consider functionalities such as - automatic backup storage, - data sharing, and - data encryption. We have to consider guidelines for safe storage of data during research in: - physical aspects of data protection (password protection, access restriction, physical protection), - backup storage (3 completely separate copies of the data), - handling of personal and sensitive data (anonymisation etc., GDPR, encryption), - secure data exchange (SFTP, HTTPS, cloud services). Publish, Share and Reuse Similar to citing scientific articles, sharing research data and allowing other researchers to download, use, and cite it can lead to greater research impact in our field. - Increased transparency and trust in their work - Easier availability of research results for other scientists - Reproducibility and reuse enabled by verifiable results - Increased readability, citation, and impact - Long-term archiving and preservation - New ways of gaining recognition and reputation - New projects and employment opportunities - Increased visibility and impact Publish the Research Data We deposit the data in a suitable repository for our scientific discipline. The repository can be found in the international re3data repository registry or use the DataCite repository finder. 1. the data can be uploaded to the institutional repository, 2. or to one of the widely used international general repositories, such as Harvard Dataverse, Dryad, FigShare, Mendeley Data, OSF or Zenodo (Comparison of general repositories →) When choosing a repository for permanent storage of research data, it is important that the repository works in accordance with the FAIR principles (assigns permanent identifiers, allows license selection and supports rich metadata description). When preparing metadata, it is best to follow the metadata schemas prescribed by the repository where you intend to deposit your data. With exceptions to general standards such as Dublin Core and schema.org, metadata standards mostly apply only within a specific domain or specialised field. A list of domain-specific metadata schemas can be found at UK Digital Curation Centre and Research Data Alliance: - https://www.dcc.ac.uk/guidance/standards/metadata/list - https://rd-alliance.github.io/metadata-directory/ Provenance (Origin) of Research Data Provenance is one of the most important aspects of metadata. The concept of provenance or the origin of research data refers to: - all information about the circumstances of data creation, e.g., about authors, time of creation, research equipment and its calibration, etc. - Provenance information not only enables interoperability and reusability of the data but also contributes to maintaining research integrity and combating research irreproducibility. More: https://dirrosdata.ctk.uni-lj.si/en/metapodatki/provenienca/ Definition of rights and limitations of data use Before publishing data, it is important to define how the research data set will be used. This is governed by a license, which expresses the permission by which the author defines the conditions for the reuse of the work, in this case the research data set. By choosing the appropriate license, the author retains the copyright and allows others to use the work under clearly defined conditions. Creative Commons Licences Research Data Set Citations: Dryad: Li, Yanjun; Gao, Yingzhi; van Kleunen, Mark; Liu, Yanjie (2022), Data from: Interactive effects of herbivory and the level and fluctuations of nutrient availability on dominance of alien plants in synthetic native communities, Dryad, Dataset, https://doi.org/10.5061/dryad.fj6q573vn Social Sciences Archive: Petravič, L., Arh, R., Gabrovec, T., Jazbec, L., Rupčić, N., Starešinič, N., ... Slavec, A. (2021). Odnos do cepljenja proti SARS-CoV-2, 2020: Priložnostni vzorec [Podatkovna datoteka]. Ljubljana: Univerza v Ljubljani, Arhiv družboslovnih podatkov. ADP - IDNo: SARSPR20. https://doi.org/10.17898/ADP_SARSPR20_V1 Basic data visualisations for Figshare State of Open Data 2021 survey Horton, Laurence Data collector(s) Nature Research R markdown files for: - Downloading and cleaning data from the State of Open Data survey 2021 - Basic visualisations of responses to questions in the State of Open Data survey 2021 - HTML file of those visualisations. Free text fields are included in the markdown but have been turned off for knitting and in the HTML file. \| Name \| Size \| \|-----------------------\|----------\| \| sod_cleaning.Rmd \| 18.1 kB \| \| sod_descriptives.html \| 15.4 MB \| \| sod_descriptives.Rmd \| 133.0 kB \| Publication date: June 19, 2022 DOI: DOI 10.5281/zenodo.6662740 Keyword(s): author survey, research data, Open Data, R markdown, FAIR data, Figshare, RDM, Research Data Management, Data sharing, Survey, 2021 Related identifiers: Derived from 10.6084/m9.figshare.17081231.v1 (Dataset) License (for files): Creative Commons Zero v1.0 Universal National Initiatives for Open Science in Europe – NI4OS promo video Glejte tukaj: YouTube University of Maribor Open Science Summer School 2023 11.9. – 15.9. 2023 open.um.si INVITATION University of Maribor Library Open Science Team Odprimo:UM (e.g. Open:Mind) [email protected] THANK YOU	f83e0485-2c8a-4a37-ae12-208ba5aa1a6f	CC-MAIN-2024-10	https://10iw.hmu.gr/wp-content/uploads/2023/05/Athena-Academy_RDM_2023_V2.pdf	2024-02-28T17:03:48+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-10/subset=warc/part-00000-d9675c6d-5c8d-45bb-9c98-c56e42022a4d.c000.gz.parquet	68,986,497	4,925	eng_Latn	eng_Latn	0.851652	eng_Latn	0.978304	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "slv_Latn", "eng_Latn", "slv_Latn", "eng_Latn", "eng_Latn" ]	true	docling	[ 112, 1058, 1536, 2292, 2866, 3500, 3651, 4028, 4658, 5118, 5883, 6636, 7113, 7622, 8031, 8316, 8692, 8856, 9145, 9489, 9973, 11233, 11861, 12363, 13562, 14346, 14870, 15264, 16362, 17387, 17936, 18518, 19228, 19747, 20314, 20789, 21450, 22434, 22526, 22624, 22727 ]	Research Data Management Dunja Legat, M.Sc. The ATHENA Soft & Research Skills Course, Chania, 19th of May, 2023 What is Open Science? - Open Science means opening all phases of research to the public. - The dissemination of scientific knowledge, that is as wide as possible, free of charges to all users, and accessible online. - The research process should be more transparent, and research outputs findable and available in standardized formats through an interoperable infrastructure. - Approach to the scientific process based on cooperative work and ways of disseminating knowledge, improving accessibility to and re-usability of research outputs using digital technologies and collaborative tools. (Source: EOSC Glossary) \| Open Access \| Open Data \| \|-------------\|-----------\| \| Open Source \| Open Education \| \| Open Hardware & Open Software \| Citizen Science \| \| Research Infrastructures and the EOSC \| Open Science Skills \| \| \| Research Integrity \| Who’s involved? - researchers - institutions - policymakers - publishers - libraries - funders European Union's Policy on Open Science The EU's open science policy comprises eight aspects: 1. Training and skills for implementing open science in practice, 2. Recognizing, promoting and rewarding open science practices, 3. New-generation metrics and altmetrics, 4. Open publishing and encouraging early sharing of research results, 5. Open data, 6. Research integrity and reproducibility of scientific findings, 7. European Open Science Cloud (EOSC), 8. Citizen science. Open Research Europe (ORE) Open Research Europe is an online platform for open publishing and open peer review of scientific works from all research areas - within Horizon 2020 and - Horizon Europe projects. The platform is funded by the European Commission, the entire process is free of charge for its users. Publications are published very quickly in the form of preprints, and the review process is open and transparent. Comments on the publication are still possible even after the review has been completed. Authors retain the option to upload corrections and updates at any time in the future. A new version of the scientific work can then enter a new round of the revision process. https://ec.europa.eu/newsroom/horizon2020/items/698270/en The European Open Science Cloud is an initiative that aims to develop "a network of FAIR data and services" for European science. The European Open Science Cloud is set out to solve this problem by establishing digital infrastructure that will ensure the interoperability of databases and a single entry point, and easy and open access to data from publicly funded research as a result. Aspects of this digital infrastructure range from visualization and analytics to long-term data storage and monitoring the adoption of open science practices. https://eosc-portal.eu/ Horizon Europe is the ninth key financial program of the European Union for financing research and innovation, which will last from 2021 to 2027: it follows the Horizon 2020 program, which has already partially obliged researchers to the practices of open science. With Horizon 2020, open access publishing became mandatory. With Horizon Europe, the sharing of research data and the creation of research data management plans have also become mandatory. Research data management must be responsible, planned in advance and compliant with the FAIR principles as well as the principle »as open as possible, as closed as necessary«. Digital Research Outputs As open as possible, as closed as necessary Publications Research Data Software Workflows Others Image CC-NY, by OPENAIRE Eligible Exemptions from Openness Open access does not necessarily mean that data become open immediately, indefinitely, or unconditionally. Despite the access restrictions, it is necessary to create metadata that prove the existence of the data and describe the access options. Eligible exemptions from openness must be substantiated in the research data management plan. What are Research Data? Currently, there is no universally accepted definition of research data. Definition by OECD: OECD Principles and Guidelines for Access to Research Data from Public Funding Definition by Springer Nature: https://www.springernature.com/gp/authors/research-data Definition by CODATA: Committee on Data of the International Science Council; www.codata.org OECD: Research data are defined as factual records (numerical scores, textual records, images and sounds) used as primary sources for scientific research and are commonly accepted in scientific community as necessary to validate research findings. Recommendations By some definitions, any number and file you create in your work could be considered as a piece of research data. Such a strict definition of research data is not sustainable from a practical point of view. Before starting, you should check your funder's policy on research data. If it does not contain specific provisions, the decision on the scope of open research data is left to you. You define it in the research data management plan. Life Cycle of Research Data: Management of Research Data 1. Collect: experiment, observation, measurements, simulation, survey... 2. Manage: validation, anonymization, transcription, digitization... 3. Analysis: interpretation of data and production of results... 4. Store, Archive: recommended formats, media, backups, metadata and documentation preparation, archiving... 5. Publish, Share: data dissemination, access control, copyright and promotion... 6. Reuse: secondary analyses, upgrading of research, using data for teaching and learning, citing data... Depending on the phase of the research: - raw (first collected), - cleaned (ready for analysis), - processed (data resulting from the analysis), - presentation (a version adapted to the presentation). There are a number of reasons why research data management is important: - data, like articles and books, are part of our scientific production, - data (especially digital) is fragile and easily lost, - financiers and publishers require data deposit and data handling planning, - managing research data saves time and resources for us and the users of our data in the long term, - good data management helps prevent errors and increases the quality of our analyses, - well-documented and accessible data enable others to confirm and repeat (reproducibility) our research, - research data management facilitates the sharing of research data, - shared, the data can lead to valuable discoveries by others who are not part of the original research team. Types of Research Data Research data represents everything that was used or created during the research process and supports or confirms the research findings. Data can appear in a variety of forms, including: • diaries, • survey answers, • software and code, • measurements from laboratory or field equipment, • images (such as photographs, films, scanned documents), • audio recordings • physical samples, etc. Everything that is necessary to validate research findings. What Counts as Open Research Data? Open, openly accessible or publicly available data are data that meet the FAIR principles. In short, this means that they are: - deposited in a trusted repository, - described in a formal, generally accessible and widely used language for the dissemination of knowledge, - licensed with an open license and - equipped with all information (e.g., methods, protocols, software) that enable other researchers to understand and reuse them. https://www.usi.ch/en/feeds/20629 Research data management (RDM) Is a process in the research lifecycle that includes - the creation (collection or acquisition) of research data, - their organisation, - digital stewardship, - storage, (long-term) preservation, - security, - quality assurance, - allocation of persistent identifiers, - providing metadata, - issuing appropriate licenses and procedures for data exchange, sharing and reuse. Stakeholders of RDM Miksa T, Simms S, Mietchen D, Jones S (2019) Ten principles for machine-actionable data management plans Open Science(RDM) Support Service: DATA STEWARDSHIP - Teamwork and Collaboration, Infrastructure - Often in libraries (Data Steward, Data Librarian, etc.) What is Data Management Plan (DMP) Research data management must be accurately planned in advance with the help of a research data management plan (RDMP). A DMP is a document that describes how research data is to be managed both during the project and after. DMPs are often submitted as a part of grant applications but are useful whenever researchers are creating data. What is Data Management Plan (DMP) Living document What information is needed to be able to read and understand the data in the future? We have to consider ... A research data management plan must contain the following essential information: 1. Description of Data 2. Standards and Metadata 3. Persistent Identifiers 4. Digital Stewardship and Data Protection 5. Data Sharing Terms 6. Management of Other Research Results 7. Data Management Costs Online Tools for Creating DMP - DMPOnline (large collection of templates) - Data Stewardship Wizard (interactive questionnaire linked to external sources; hints; FAIR metrics; machine readable plans) - Argos (machine readable plans, ki upoštevajo načela FAIR; možnost sodelovanja in objave) - DMP Template - Horizon Europe FAIRification FAIR research data are those data that are - Findable, - Accessible, - Interoperable and - Reusable. Reasons: - In the current digital ecosystem, people are increasingly dependent on computer support to cope with the increasing volume, complexity and speed of data creation. - F	AIR principles: to improve machine discoverability and data use (i.	e., the ability of computer systems to find, access, connect to, and reuse data with little or no human intervention). FINDABLE - data and metadata are assigned a globally unique and persistent identifier (e.g., DOI, Handle), - data are described with rich metadata, - metadata clearly and explicitly include the permanent identifier, - data and metadata are registered or indexed in searchable bibliographic indexes (e.g., in repositories or library catalogues) ACCESSIBLE - data and metadata are retrievable by their identifier using a standardised communications protocol (https, ftp, etc.) - Metadata are accessible, even when the data are no longer available. INTEROPERABLE - use a formal, accessible, shared, and broadly applicable language for knowledge representation, - use vocabularies that follow FAIR principles, - metadata contains qualified references to other metadata, - use of non-proprietary open formats. REUSABLE Data and metadata are richly described with a plurality of accurate and relevant attributes: - data and metadata are released with a clear and accessible data usage license, - data and metadata are associated with detailed provenance, - data and metadata meet domain-relevant community standards https://training.ni4os.eu/pluginfile.php/3644/mod_resource/content/0/EN-NI4OS%20-%20FAIR.pdf Make your software FAIR - Use a publicly accessible repository with version control (for example version control with Git) Zenodo, GitHub - Add a license to your code (open software licenses) - Register your code in a community registry - Enable citation of the software - Use a software quality checklist Software Heritage 1. Prepare your public repository - README, AUTHORS & LICENSE files 2. Save your code - http://save.softwareheritage.org/ 3. Reference your work - (full repository, specific version or code fragment) Recommendation: Open software licensing (https://www.youtube.com/watch?v=gvj4dGYiK_M) Formatting Research Data Research data must be properly formatted before sharing so that other researchers can understand and reuse them. In this way, we satisfy the FAIR principles of interoperability and reusability. In repositories, research data will stand on their own without an accompanying context, which is why it is necessary to pay attention to the appropriate - naming of files, - the hierarchy of file folders, - and metadata (which can be described in ReadMe files or data articles). File Naming Recommendations for naming research data: - we prepare an agreed structure for the naming of research data, consisting of logical elements; - Relevant information for naming files is: project name or acronym, researcher’s name or initials, data type, research method, place and date of research, file version number; - we use the agreed nomenclature consistently; - the agreed nomenclature should be used by all members of the research group; - we avoid using a similar name for multiple files; - we avoid vague names; - file names should not be too long, maximum 32 characters; - we use letters and numbers according to the ASCII standard (a - z, A - Z and 0 - 9); - we avoid using periods or special characters such as &,*%,#;,()!,@,$,^,~,‘’,{},[],?,<>; - write the date in the ISO 8601 standard (YYYYMMDD); - for possible numbering, we use leading zeros, e.g.: 001 – 999; - instead of a space, use an underscore _ or a minus -; - we avoid labels such as final version, revision, final, etc., for major changes we use no. versions, e.g. V2; - when renaming a bunch of files, we use the batch renaming tool; - the complex structured nomenclature is described in the file README.txt. An example of good practice: 20190523_H2020MatChem_GL_exp5_c2_XRF1 This name contains information that is important to the author, the research group and other users of the data: - The date the file was created, i.e. 23 May 2019 in YYYYMMDD format, - The name of the hypothetical project titled "Materials Chemistry" (abbreviation MatChem), which was financed within the framework of the Horizon 2020 (H2020) programme, - Initials of the hypothetical author, i.e. G. L., - The title of the experiment, i.e. exp5 ("Experiment 5") - Designation of the compound, i.e. C2 ("Compound 2") - Designation of the analysis, i.e. XRF1 (first measurement with X-ray fluorescence). Source: DiRROS Data: https://dirrosdata.ctk.uni-lj.si/en/raziskovalni-podatki/oblikovanje-podatkov-zadeljenje/ Organizing the Research Data – File Folders 1. A folder structure is prepared that will meet the needs of the research project. 2. In doing so, we pay attention to the type of research data and the way in which both raw and analyzed data, methods, documentation and other supporting files will be organized. 3. The folders are named with unique names that correspond to the research project. 4. Determine the appropriate depth of the folder hierarchy. 5. Tagging files helps us find files in the research project folders. File Formats For reuse, it is recommended to collect data in formats that are more likely to be accessible in the future: - non-proprietary, - open and - documented standards that are uncompressed, exchangeable, widely used by the research community and use standard character encoding (ASCII, UTF-8). The choice of format also depends on the policy of the repository we choose to publish. \| Type of Data \| Recommended Formats \| Acceptable Formats \| \|------------------------------------\|---------------------\|--------------------\| \| Quantitative Tabular Data \| .csv, .tab, .por, .xml \| .txt, xls, .dbf, .ods, .sav, .dta, .mdb \| \| Qualitative data. Textual. \| .rtf, .txt, .xml \| .html, .doc \| \| Digital image data \| .tif \| .jpg, .gif, .tif, .tiff, .raw, .psd, .bmp, .png, .pdf \| \| Digital audio data \| .flac \| .mp3, .aif, .wav \| \| Digital video data \| .mp4, .ogv, .ogg, .mj2 \| .avchd \| \| Documentation and scripts \| .rtf, .pdf/A, .xthml, .htm, .odt \| .txt, .doc, .xls, .xml \| An open file format is a file format for storing digital data, which can be used and implemented by anyone. List of open file formats: https://en.wikipedia.org/wiki/List_of_open_file_formats More precisely: UK Data Service: Recommended Formats (Source: https://ukdataservice.ac.uk/learning-hub/research-data-management/format-your-data/recommended-formats/) What information is needed to be able to read and understand the data in the future? Additional documentation helps users of our data understand and reuse the data. Examples of additional documentation are: - lab notebooks (e.g. Jupyter Notebook) and protocol descriptions (e.g. protocols.io), - questionnaires, - codes, variable definitions, data dictionaries, - measurement units, - ontologies, controlled dictionaries, - programming language syntaxes and software output files, - information on equipment settings and instrument calibration, - database schema, file directory structure description, naming structure, - methodology reports, - information on analysis and procedures, - information about the origin of the acquired or digitized data, If we have developed software code to acquire or process data, we consider whether it is also necessary to store it with data for reproducibility purposes. Readme.txt Example of the University of Cornell: Template of Readme.txt File AUTHOR_DATASET_ReadmeTemplate.txt Secure storage of research data When choosing a storage location, we consider functionalities such as - automatic backup storage, - data sharing, and - data encryption. We have to consider guidelines for safe storage of data during research in: - physical aspects of data protection (password protection, access restriction, physical protection), - backup storage (3 completely separate copies of the data), - handling of personal and sensitive data (anonymisation etc., GDPR, encryption), - secure data exchange (SFTP, HTTPS, cloud services). Publish, Share and Reuse Similar to citing scientific articles, sharing research data and allowing other researchers to download, use, and cite it can lead to greater research impact in our field. - Increased transparency and trust in their work - Easier availability of research results for other scientists - Reproducibility and reuse enabled by verifiable results - Increased readability, citation, and impact - Long-term archiving and preservation - New ways of gaining recognition and reputation - New projects and employment opportunities - Increased visibility and impact Publish the Research Data We deposit the data in a suitable repository for our scientific discipline. The repository can be found in the international re3data repository registry or use the DataCite repository finder. 1. the data can be uploaded to the institutional repository, 2. or to one of the widely used international general repositories, such as Harvard Dataverse, Dryad, FigShare, Mendeley Data, OSF or Zenodo (Comparison of general repositories →) When choosing a repository for permanent storage of research data, it is important that the repository works in accordance with the FAIR principles (assigns permanent identifiers, allows license selection and supports rich metadata description). When preparing metadata, it is best to follow the metadata schemas prescribed by the repository where you intend to deposit your data. With exceptions to general standards such as Dublin Core and schema.org, metadata standards mostly apply only within a specific domain or specialised field. A list of domain-specific metadata schemas can be found at UK Digital Curation Centre and Research Data Alliance: - https://www.dcc.ac.uk/guidance/standards/metadata/list - https://rd-alliance.github.io/metadata-directory/ Provenance (Origin) of Research Data Provenance is one of the most important aspects of metadata. The concept of provenance or the origin of research data refers to: - all information about the circumstances of data creation, e.g., about authors, time of creation, research equipment and its calibration, etc. - Provenance information not only enables interoperability and reusability of the data but also contributes to maintaining research integrity and combating research irreproducibility. More: https://dirrosdata.ctk.uni-lj.si/en/metapodatki/provenienca/ Definition of rights and limitations of data use Before publishing data, it is important to define how the research data set will be used. This is governed by a license, which expresses the permission by which the author defines the conditions for the reuse of the work, in this case the research data set. By choosing the appropriate license, the author retains the copyright and allows others to use the work under clearly defined conditions. Creative Commons Licences Research Data Set Citations: Dryad: Li, Yanjun; Gao, Yingzhi; van Kleunen, Mark; Liu, Yanjie (2022), Data from: Interactive effects of herbivory and the level and fluctuations of nutrient availability on dominance of alien plants in synthetic native communities, Dryad, Dataset, https://doi.org/10.5061/dryad.fj6q573vn Social Sciences Archive: Petravič, L., Arh, R., Gabrovec, T., Jazbec, L., Rupčić, N., Starešinič, N., ... Slavec, A. (2021). Odnos do cepljenja proti SARS-CoV-2, 2020: Priložnostni vzorec [Podatkovna datoteka]. Ljubljana: Univerza v Ljubljani, Arhiv družboslovnih podatkov. ADP - IDNo: SARSPR20. https://doi.org/10.17898/ADP_SARSPR20_V1 Basic data visualisations for Figshare State of Open Data 2021 survey Horton, Laurence Data collector(s) Nature Research R markdown files for: - Downloading and cleaning data from the State of Open Data survey 2021 - Basic visualisations of responses to questions in the State of Open Data survey 2021 - HTML file of those visualisations. Free text fields are included in the markdown but have been turned off for knitting and in the HTML file. \| Name \| Size \| \|-----------------------\|----------\| \| sod_cleaning.Rmd \| 18.1 kB \| \| sod_descriptives.html \| 15.4 MB \| \| sod_descriptives.Rmd \| 133.0 kB \| Publication date: June 19, 2022 DOI: DOI 10.5281/zenodo.6662740 Keyword(s): author survey, research data, Open Data, R markdown, FAIR data, Figshare, RDM, Research Data Management, Data sharing, Survey, 2021 Related identifiers: Derived from 10.6084/m9.figshare.17081231.v1 (Dataset) License (for files): Creative Commons Zero v1.0 Universal National Initiatives for Open Science in Europe – NI4OS promo video Glejte tukaj: YouTube University of Maribor Open Science Summer School 2023 11.9. – 15.9. 2023 open.um.si INVITATION University of Maribor Library Open Science Team Odprimo:UM (e.g. Open:Mind) [email protected] THANK YOU	9,788	inside_word	FAIR	remove_one_sentence	<url> https://10iw.hmu.gr/wp-content/uploads/2023/05/Athena-Academy_RDM_2023_V2.pdf </url> <text> Research Data Management Dunja Legat, M.Sc. The ATHENA Soft & Research Skills Course, Chania, 19th of May, 2023 What is Open Science? - Open Science means opening all phases of research to the public. - The dissemination of scientific knowledge, that is as wide as possible, free of charges to all users, and accessible online. - The research process should be more transparent, and research outputs findable and available in standardized formats through an interoperable infrastructure. - Approach to the scientific process based on cooperative work and ways of disseminating knowledge, improving accessibility to and re-usability of research outputs using digital technologies and collaborative tools. (Source: EOSC Glossary) \| Open Access \| Open Data \| \|-------------\|-----------\| \| Open Source \| Open Education \| \| Open Hardware & Open Software \| Citizen Science \| \| Research Infrastructures and the EOSC \| Open Science Skills \| \| \| Research Integrity \| Who’s involved? - researchers - institutions - policymakers - publishers - libraries - funders European Union's Policy on Open Science The EU's open science policy comprises eight aspects: 1. Training and skills for implementing open science in practice, 2. Recognizing, promoting and rewarding open science practices, 3. New-generation metrics and altmetrics, 4. Open publishing and encouraging early sharing of research results, 5. Open data, 6. Research integrity and reproducibility of scientific findings, 7. European Open Science Cloud (EOSC), 8. Citizen science. Open Research Europe (ORE) Open Research Europe is an online platform for open publishing and open peer review of scientific works from all research areas - within Horizon 2020 and - Horizon Europe projects. The platform is funded by the European Commission, the entire process is free of charge for its users. Publications are published very quickly in the form of preprints, and the review process is open and transparent. Comments on the publication are still possible even after the review has been completed. Authors retain the option to upload corrections and updates at any time in the future. A new version of the scientific work can then enter a new round of the revision process. https://ec.europa.eu/newsroom/horizon2020/items/698270/en The European Open Science Cloud is an initiative that aims to develop "a network of FAIR data and services" for European science. The European Open Science Cloud is set out to solve this problem by establishing digital infrastructure that will ensure the interoperability of databases and a single entry point, and easy and open access to data from publicly funded research as a result. Aspects of this digital infrastructure range from visualization and analytics to long-term data storage and monitoring the adoption of open science practices. https://eosc-portal.eu/ Horizon Europe is the ninth key financial program of the European Union for financing research and innovation, which will last from 2021 to 2027: it follows the Horizon 2020 program, which has already partially obliged researchers to the practices of open science. With Horizon 2020, open access publishing became mandatory. With Horizon Europe, the sharing of research data and the creation of research data management plans have also become mandatory. Research data management must be responsible, planned in advance and compliant with the FAIR principles as well as the principle »as open as possible, as closed as necessary«. Digital Research Outputs As open as possible, as closed as necessary Publications Research Data Software Workflows Others Image CC-NY, by OPENAIRE Eligible Exemptions from Openness Open access does not necessarily mean that data become open immediately, indefinitely, or unconditionally. Despite the access restrictions, it is necessary to create metadata that prove the existence of the data and describe the access options. Eligible exemptions from openness must be substantiated in the research data management plan. What are Research Data? Currently, there is no universally accepted definition of research data. Definition by OECD: OECD Principles and Guidelines for Access to Research Data from Public Funding Definition by Springer Nature: https://www.springernature.com/gp/authors/research-data Definition by CODATA: Committee on Data of the International Science Council; www.codata.org OECD: Research data are defined as factual records (numerical scores, textual records, images and sounds) used as primary sources for scientific research and are commonly accepted in scientific community as necessary to validate research findings. Recommendations By some definitions, any number and file you create in your work could be considered as a piece of research data. Such a strict definition of research data is not sustainable from a practical point of view. Before starting, you should check your funder's policy on research data. If it does not contain specific provisions, the decision on the scope of open research data is left to you. You define it in the research data management plan. Life Cycle of Research Data: Management of Research Data 1. Collect: experiment, observation, measurements, simulation, survey... 2. Manage: validation, anonymization, transcription, digitization... 3. Analysis: interpretation of data and production of results... 4. Store, Archive: recommended formats, media, backups, metadata and documentation preparation, archiving... 5. Publish, Share: data dissemination, access control, copyright and promotion... 6. Reuse: secondary analyses, upgrading of research, using data for teaching and learning, citing data... Depending on the phase of the research: - raw (first collected), - cleaned (ready for analysis), - processed (data resulting from the analysis), - presentation (a version adapted to the presentation). There are a number of reasons why research data management is important: - data, like articles and books, are part of our scientific production, - data (especially digital) is fragile and easily lost, - financiers and publishers require data deposit and data handling planning, - managing research data saves time and resources for us and the users of our data in the long term, - good data management helps prevent errors and increases the quality of our analyses, - well-documented and accessible data enable others to confirm and repeat (reproducibility) our research, - research data management facilitates the sharing of research data, - shared, the data can lead to valuable discoveries by others who are not part of the original research team. Types of Research Data Research data represents everything that was used or created during the research process and supports or confirms the research findings. Data can appear in a variety of forms, including: • diaries, • survey answers, • software and code, • measurements from laboratory or field equipment, • images (such as photographs, films, scanned documents), • audio recordings • physical samples, etc. Everything that is necessary to validate research findings. What Counts as Open Research Data? Open, openly accessible or publicly available data are data that meet the FAIR principles. In short, this means that they are: - deposited in a trusted repository, - described in a formal, generally accessible and widely used language for the dissemination of knowledge, - licensed with an open license and - equipped with all information (e.g., methods, protocols, software) that enable other researchers to understand and reuse them. https://www.usi.ch/en/feeds/20629 Research data management (RDM) Is a process in the research lifecycle that includes - the creation (collection or acquisition) of research data, - their organisation, - digital stewardship, - storage, (long-term) preservation, - security, - quality assurance, - allocation of persistent identifiers, - providing metadata, - issuing appropriate licenses and procedures for data exchange, sharing and reuse. Stakeholders of RDM Miksa T, Simms S, Mietchen D, Jones S (2019) Ten principles for machine-actionable data management plans Open Science(RDM) Support Service: DATA STEWARDSHIP - Teamwork and Collaboration, Infrastructure - Often in libraries (Data Steward, Data Librarian, etc.) What is Data Management Plan (DMP) Research data management must be accurately planned in advance with the help of a research data management plan (RDMP). A DMP is a document that describes how research data is to be managed both during the project and after. DMPs are often submitted as a part of grant applications but are useful whenever researchers are creating data. What is Data Management Plan (DMP) Living document What information is needed to be able to read and understand the data in the future? We have to consider ... A research data management plan must contain the following essential information: 1. Description of Data 2. Standards and Metadata 3. Persistent Identifiers 4. Digital Stewardship and Data Protection 5. Data Sharing Terms 6. Management of Other Research Results 7. Data Management Costs Online Tools for Creating DMP - DMPOnline (large collection of templates) - Data Stewardship Wizard (interactive questionnaire linked to external sources; hints; FAIR metrics; machine readable plans) - Argos (machine readable plans, ki upoštevajo načela FAIR; možnost sodelovanja in objave) - DMP Template - Horizon Europe FAIRification FAIR research data are those data that are - Findable, - Accessible, - Interoperable and - Reusable. Reasons: - In the current digital ecosystem, people are increasingly dependent on computer support to cope with the increasing volume, complexity and speed of data creation. - F<cursor_is_here>e., the ability of computer systems to find, access, connect to, and reuse data with little or no human intervention). FINDABLE - data and metadata are assigned a globally unique and persistent identifier (e.g., DOI, Handle), - data are described with rich metadata, - metadata clearly and explicitly include the permanent identifier, - data and metadata are registered or indexed in searchable bibliographic indexes (e.g., in repositories or library catalogues) ACCESSIBLE - data and metadata are retrievable by their identifier using a standardised communications protocol (https, ftp, etc.) - Metadata are accessible, even when the data are no longer available. INTEROPERABLE - use a formal, accessible, shared, and broadly applicable language for knowledge representation, - use vocabularies that follow FAIR principles, - metadata contains qualified references to other metadata, - use of non-proprietary open formats. REUSABLE Data and metadata are richly described with a plurality of accurate and relevant attributes: - data and metadata are released with a clear and accessible data usage license, - data and metadata are associated with detailed provenance, - data and metadata meet domain-relevant community standards https://training.ni4os.eu/pluginfile.php/3644/mod_resource/content/0/EN-NI4OS%20-%20FAIR.pdf Make your software FAIR - Use a publicly accessible repository with version control (for example version control with Git) Zenodo, GitHub - Add a license to your code (open software licenses) - Register your code in a community registry - Enable citation of the software - Use a software quality checklist Software Heritage 1. Prepare your public repository - README, AUTHORS & LICENSE files 2. Save your code - http://save.softwareheritage.org/ 3. Reference your work - (full repository, specific version or code fragment) Recommendation: Open software licensing (https://www.youtube.com/watch?v=gvj4dGYiK_M) Formatting Research Data Research data must be properly formatted before sharing so that other researchers can understand and reuse them. In this way, we satisfy the FAIR principles of interoperability and reusability. In repositories, research data will stand on their own without an accompanying context, which is why it is necessary to pay attention to the appropriate - naming of files, - the hierarchy of file folders, - and metadata (which can be described in ReadMe files or data articles). File Naming Recommendations for naming research data: - we prepare an agreed structure for the naming of research data, consisting of logical elements; - Relevant information for naming files is: project name or acronym, researcher’s name or initials, data type, research method, place and date of research, file version number; - we use the agreed nomenclature consistently; - the agreed nomenclature should be used by all members of the research group; - we avoid using a similar name for multiple files; - we avoid vague names; - file names should not be too long, maximum 32 characters; - we use letters and numbers according to the ASCII standard (a - z, A - Z and 0 - 9); - we avoid using periods or special characters such as &,*%,#;,()!,@,$,^,~,‘’,{},[],?,<>; - write the date in the ISO 8601 standard (YYYYMMDD); - for possible numbering, we use leading zeros, e.g.: 001 – 999; - instead of a space, use an underscore _ or a minus -; - we avoid labels such as final version, revision, final, etc., for major changes we use no. versions, e.g. V2; - when renaming a bunch of files, we use the batch renaming tool; - the complex structured nomenclature is described in the file README.txt. An example of good practice: 20190523_H2020MatChem_GL_exp5_c2_XRF1 This name contains information that is important to the author, the research group and other users of the data: - The date the file was created, i.e. 23 May 2019 in YYYYMMDD format, - The name of the hypothetical project titled "Materials Chemistry" (abbreviation MatChem), which was financed within the framework of the Horizon 2020 (H2020) programme, - Initials of the hypothetical author, i.e. G. L., - The title of the experiment, i.e. exp5 ("Experiment 5") - Designation of the compound, i.e. C2 ("Compound 2") - Designation of the analysis, i.e. XRF1 (first measurement with X-ray fluorescence). Source: DiRROS Data: https://dirrosdata.ctk.uni-lj.si/en/raziskovalni-podatki/oblikovanje-podatkov-zadeljenje/ Organizing the Research Data – File Folders 1. A folder structure is prepared that will meet the needs of the research project. 2. In doing so, we pay attention to the type of research data and the way in which both raw and analyzed data, methods, documentation and other supporting files will be organized. 3. The folders are named with unique names that correspond to the research project. 4. Determine the appropriate depth of the folder hierarchy. 5. Tagging files helps us find files in the research project folders. File Formats For reuse, it is recommended to collect data in formats that are more likely to be accessible in the future: - non-proprietary, - open and - documented standards that are uncompressed, exchangeable, widely used by the research community and use standard character encoding (ASCII, UTF-8). The choice of format also depends on the policy of the repository we choose to publish. \| Type of Data \| Recommended Formats \| Acceptable Formats \| \|------------------------------------\|---------------------\|--------------------\| \| Quantitative Tabular Data \| .csv, .tab, .por, .xml \| .txt, xls, .dbf, .ods, .sav, .dta, .mdb \| \| Qualitative data. Textual. \| .rtf, .txt, .xml \| .html, .doc \| \| Digital image data \| .tif \| .jpg, .gif, .tif, .tiff, .raw, .psd, .bmp, .png, .pdf \| \| Digital audio data \| .flac \| .mp3, .aif, .wav \| \| Digital video data \| .mp4, .ogv, .ogg, .mj2 \| .avchd \| \| Documentation and scripts \| .rtf, .pdf/A, .xthml, .htm, .odt \| .txt, .doc, .xls, .xml \| An open file format is a file format for storing digital data, which can be used and implemented by anyone. List of open file formats: https://en.wikipedia.org/wiki/List_of_open_file_formats More precisely: UK Data Service: Recommended Formats (Source: https://ukdataservice.ac.uk/learning-hub/research-data-management/format-your-data/recommended-formats/) What information is needed to be able to read and understand the data in the future? Additional documentation helps users of our data understand and reuse the data. Examples of additional documentation are: - lab notebooks (e.g. Jupyter Notebook) and protocol descriptions (e.g. protocols.io), - questionnaires, - codes, variable definitions, data dictionaries, - measurement units, - ontologies, controlled dictionaries, - programming language syntaxes and software output files, - information on equipment settings and instrument calibration, - database schema, file directory structure description, naming structure, - methodology reports, - information on analysis and procedures, - information about the origin of the acquired or digitized data, If we have developed software code to acquire or process data, we consider whether it is also necessary to store it with data for reproducibility purposes. Readme.txt Example of the University of Cornell: Template of Readme.txt File AUTHOR_DATASET_ReadmeTemplate.txt Secure storage of research data When choosing a storage location, we consider functionalities such as - automatic backup storage, - data sharing, and - data encryption. We have to consider guidelines for safe storage of data during research in: - physical aspects of data protection (password protection, access restriction, physical protection), - backup storage (3 completely separate copies of the data), - handling of personal and sensitive data (anonymisation etc., GDPR, encryption), - secure data exchange (SFTP, HTTPS, cloud services). Publish, Share and Reuse Similar to citing scientific articles, sharing research data and allowing other researchers to download, use, and cite it can lead to greater research impact in our field. - Increased transparency and trust in their work - Easier availability of research results for other scientists - Reproducibility and reuse enabled by verifiable results - Increased readability, citation, and impact - Long-term archiving and preservation - New ways of gaining recognition and reputation - New projects and employment opportunities - Increased visibility and impact Publish the Research Data We deposit the data in a suitable repository for our scientific discipline. The repository can be found in the international re3data repository registry or use the DataCite repository finder. 1. the data can be uploaded to the institutional repository, 2. or to one of the widely used international general repositories, such as Harvard Dataverse, Dryad, FigShare, Mendeley Data, OSF or Zenodo (Comparison of general repositories →) When choosing a repository for permanent storage of research data, it is important that the repository works in accordance with the FAIR principles (assigns permanent identifiers, allows license selection and supports rich metadata description). When preparing metadata, it is best to follow the metadata schemas prescribed by the repository where you intend to deposit your data. With exceptions to general standards such as Dublin Core and schema.org, metadata standards mostly apply only within a specific domain or specialised field. A list of domain-specific metadata schemas can be found at UK Digital Curation Centre and Research Data Alliance: - https://www.dcc.ac.uk/guidance/standards/metadata/list - https://rd-alliance.github.io/metadata-directory/ Provenance (Origin) of Research Data Provenance is one of the most important aspects of metadata. The concept of provenance or the origin of research data refers to: - all information about the circumstances of data creation, e.g., about authors, time of creation, research equipment and its calibration, etc. - Provenance information not only enables interoperability and reusability of the data but also contributes to maintaining research integrity and combating research irreproducibility. More: https://dirrosdata.ctk.uni-lj.si/en/metapodatki/provenienca/ Definition of rights and limitations of data use Before publishing data, it is important to define how the research data set will be used. This is governed by a license, which expresses the permission by which the author defines the conditions for the reuse of the work, in this case the research data set. By choosing the appropriate license, the author retains the copyright and allows others to use the work under clearly defined conditions. Creative Commons Licences Research Data Set Citations: Dryad: Li, Yanjun; Gao, Yingzhi; van Kleunen, Mark; Liu, Yanjie (2022), Data from: Interactive effects of herbivory and the level and fluctuations of nutrient availability on dominance of alien plants in synthetic native communities, Dryad, Dataset, https://doi.org/10.5061/dryad.fj6q573vn Social Sciences Archive: Petravič, L., Arh, R., Gabrovec, T., Jazbec, L., Rupčić, N., Starešinič, N., ... Slavec, A. (2021). Odnos do cepljenja proti SARS-CoV-2, 2020: Priložnostni vzorec [Podatkovna datoteka]. Ljubljana: Univerza v Ljubljani, Arhiv družboslovnih podatkov. ADP - IDNo: SARSPR20. https://doi.org/10.17898/ADP_SARSPR20_V1 Basic data visualisations for Figshare State of Open Data 2021 survey Horton, Laurence Data collector(s) Nature Research R markdown files for: - Downloading and cleaning data from the State of Open Data survey 2021 - Basic visualisations of responses to questions in the State of Open Data survey 2021 - HTML file of those visualisations. Free text fields are included in the markdown but have been turned off for knitting and in the HTML file. \| Name \| Size \| \|-----------------------\|----------\| \| sod_cleaning.Rmd \| 18.1 kB \| \| sod_descriptives.html \| 15.4 MB \| \| sod_descriptives.Rmd \| 133.0 kB \| Publication date: June 19, 2022 DOI: DOI 10.5281/zenodo.6662740 Keyword(s): author survey, research data, Open Data, R markdown, FAIR data, Figshare, RDM, Research Data Management, Data sharing, Survey, 2021 Related identifiers: Derived from 10.6084/m9.figshare.17081231.v1 (Dataset) License (for files): Creative Commons Zero v1.0 Universal National Initiatives for Open Science in Europe – NI4OS promo video Glejte tukaj: YouTube University of Maribor Open Science Summer School 2023 11.9. – 15.9. 2023 open.um.si INVITATION University of Maribor Library Open Science Team Odprimo:UM (e.g. Open:Mind) [email protected] THANK YOU </text>	[ { "content": "<url>\nhttps://10iw.hmu.gr/wp-content/uploads/2023/05/Athena-Academy_RDM_2023_V2.pdf\n</url>\n<text>\nResearch Data Management\n\nDunja Legat, M.Sc.\nThe ATHENA Soft & Research Skills Course,\nChania, 19th of May, 2023\n\nWhat is Open Science?\n\n- Open Science means opening all phases of research to the public.\n- The dissemination of scientific knowledge, that is as wide as possible, free of charges to all users, and accessible online.\n- The research process should be more transparent, and research outputs findable and available in standardized formats through an interoperable infrastructure.\n- Approach to the scientific process based on cooperative work and ways of disseminating knowledge, improving accessibility to and re-usability of research outputs using digital technologies and collaborative tools. (Source: EOSC Glossary)\n\n\| Open Access \| Open Data \|\n\|-------------\|-----------\|\n\| Open Source \| Open Education \|\n\| Open Hardware & Open Software \| Citizen Science \|\n\| Research Infrastructures and the EOSC \| Open Science Skills \|\n\| \| Research Integrity \|\n\nWho’s involved?\n\n- researchers\n- institutions\n- policymakers\n- publishers\n- libraries\n- funders\n\nEuropean Union's Policy on Open Science\n\nThe EU's open science policy comprises eight aspects:\n\n1. Training and skills for implementing open science in practice,\n2. Recognizing, promoting and rewarding open science practices,\n3. New-generation metrics and altmetrics,\n4. Open publishing and encouraging early sharing of research results,\n5. Open data,\n6. Research integrity and reproducibility of scientific findings,\n7. European Open Science Cloud (EOSC),\n8. Citizen science.\n\nOpen Research Europe (ORE)\n\nOpen Research Europe is an online platform for open publishing and open peer review of scientific works from all research areas\n\n- within Horizon 2020 and\n- Horizon Europe projects.\n\nThe platform is funded by the European Commission, the entire process is free of charge for its users.\n\nPublications are published very quickly in the form of preprints, and the review process is open and transparent.\n\nComments on the publication are still possible even after the review has been completed. Authors retain the option to upload corrections and updates at any time in the future.\n\nA new version of the scientific work can then enter a new round of the revision process.\n\nhttps://ec.europa.eu/newsroom/horizon2020/items/698270/en\n\nThe European Open Science Cloud is an initiative that aims to develop \"a network of FAIR data and services\" for European science.\n\nThe European Open Science Cloud is set out to solve this problem by establishing digital infrastructure that will ensure the interoperability of databases and a single entry point, and easy and open access to data from publicly funded research as a result.\n\nAspects of this digital infrastructure range from visualization and analytics to long-term data storage and monitoring the adoption of open science practices.\n\nhttps://eosc-portal.eu/\n\nHorizon Europe is the ninth key financial program of the European Union for financing research and innovation, which will last from 2021 to 2027: it follows the Horizon 2020 program, which has already partially obliged researchers to the practices of open science.\n\nWith Horizon 2020, open access publishing became mandatory.\n\nWith Horizon Europe, the sharing of research data and the creation of research data management plans have also become mandatory.\n\nResearch data management must be responsible, planned in advance and compliant with the FAIR principles as well as the principle »as open as possible, as closed as necessary«.\n\nDigital Research Outputs\n\nAs open as possible, as closed as necessary\n\nPublications\nResearch Data\nSoftware\nWorkflows\nOthers\n\nImage CC-NY, by OPENAIRE\n\nEligible Exemptions from Openness\n\nOpen access does not necessarily mean that data become open immediately, indefinitely, or unconditionally.\n\nDespite the access restrictions, it is necessary to create metadata that prove the existence of the data and describe the access options.\n\nEligible exemptions from openness must be substantiated in the research data management plan.\n\nWhat are Research Data?\n\nCurrently, there is no universally accepted definition of research data.\n\nDefinition by OECD: OECD Principles and Guidelines for Access to Research Data from Public Funding\n\nDefinition by Springer Nature: https://www.springernature.com/gp/authors/research-data\n\nDefinition by CODATA: Committee on Data of the International Science Council; www.codata.org\n\nOECD: Research data are defined as factual records (numerical scores, textual records, images and sounds) used as primary sources for scientific research and are commonly accepted in scientific community as necessary to validate research findings.\n\nRecommendations\n\nBy some definitions, any number and file you create in your work could be considered as a piece of research data.\n\nSuch a strict definition of research data is not sustainable from a practical point of view.\n\nBefore starting, you should check your funder's policy on research data. If it does not contain specific provisions, the decision on the scope of open research data is left to you. You define it in the research data management plan.\n\nLife Cycle of Research Data: Management of Research Data\n\n1. Collect: experiment, observation, measurements, simulation, survey...\n2. Manage: validation, anonymization, transcription, digitization...\n3. Analysis: interpretation of data and production of results...\n4. Store, Archive: recommended formats, media, backups, metadata and documentation preparation, archiving...\n5. Publish, Share: data dissemination, access control, copyright and promotion...\n6. Reuse: secondary analyses, upgrading of research, using data for teaching and learning, citing data...\n\nDepending on the phase of the research:\n- raw (first collected),\n- cleaned (ready for analysis),\n- processed (data resulting from the analysis),\n- presentation (a version adapted to the presentation).\n\nThere are a number of reasons why research data management is important:\n\n- data, like articles and books, are part of our scientific production,\n- data (especially digital) is fragile and easily lost,\n- financiers and publishers require data deposit and data handling planning,\n- managing research data saves time and resources for us and the users of our data in the long term,\n- good data management helps prevent errors and increases the quality of our analyses,\n- well-documented and accessible data enable others to confirm and repeat (reproducibility) our research,\n- research data management facilitates the sharing of research data,\n- shared, the data can lead to valuable discoveries by others who are not part of the original research team.\n\nTypes of Research Data\n\nResearch data represents everything that was used or created during the research process and supports or confirms the research findings.\n\nData can appear in a variety of forms, including:\n• diaries,\n• survey answers,\n• software and code,\n• measurements from laboratory or field equipment,\n• images (such as photographs, films, scanned documents),\n• audio recordings\n• physical samples, etc.\n\nEverything that is necessary to validate research findings.\n\nWhat Counts as Open Research Data?\n\nOpen, openly accessible or publicly available data are data that meet the FAIR principles. In short, this means that they are:\n\n- deposited in a trusted repository,\n- described in a formal, generally accessible and widely used language for the dissemination of knowledge,\n- licensed with an open license and\n- equipped with all information (e.g., methods, protocols, software) that enable other researchers to understand and reuse them.\n\nhttps://www.usi.ch/en/feeds/20629\n\nResearch data management (RDM)\n\nIs a process in the research lifecycle that includes\n\n- the creation (collection or acquisition) of research data,\n- their organisation,\n- digital stewardship,\n- storage, (long-term) preservation,\n- security,\n- quality assurance,\n- allocation of persistent identifiers,\n- providing metadata,\n- issuing appropriate licenses and procedures for data exchange, sharing and reuse.\n\nStakeholders of RDM\n\nMiksa T, Simms S, Mietchen D, Jones S (2019) Ten principles for machine-actionable data management plans\n\nOpen Science(RDM) Support Service:\nDATA STEWARDSHIP\n- Teamwork and Collaboration, Infrastructure\n- Often in libraries (Data Steward, Data Librarian, etc.)\n\nWhat is Data Management Plan (DMP)\n\nResearch data management must be accurately planned in advance with the help of a research data management plan (RDMP).\n\nA DMP is a document that describes how research data is to be managed both during the project and after.\n\nDMPs are often submitted as a part of grant applications but are useful whenever researchers are creating data.\n\nWhat is Data Management Plan (DMP)\n\nLiving document\n\nWhat information is needed to be able to read and understand the data in the future?\n\nWe have to consider ...\n\nA research data management plan must contain the following essential information:\n\n1. Description of Data\n2. Standards and Metadata\n3. Persistent Identifiers\n4. Digital Stewardship and Data Protection\n5. Data Sharing Terms\n6. Management of Other Research Results\n7. Data Management Costs\n\nOnline Tools for Creating DMP\n\n- DMPOnline (large collection of templates)\n\n- Data Stewardship Wizard (interactive questionnaire linked to external sources; hints; FAIR metrics; machine readable plans)\n\n- Argos (machine readable plans, ki upoštevajo načela FAIR; možnost sodelovanja in objave)\n\n- DMP Template - Horizon Europe\n\nFAIRification\n\nFAIR research data are those data that are\n\n- Findable,\n- Accessible,\n- Interoperable and\n- Reusable.\n\nReasons:\n\n- In the current digital ecosystem, people are increasingly dependent on computer support to cope with the increasing volume, complexity and speed of data creation.\n\n- F<cursor_is_here>e., the ability of computer systems to find, access, connect to, and reuse data with little or no human intervention).\n\nFINDABLE\n- data and metadata are assigned a globally unique and persistent identifier (e.g., DOI, Handle),\n- data are described with rich metadata,\n- metadata clearly and explicitly include the permanent identifier,\n- data and metadata are registered or indexed in searchable bibliographic indexes (e.g., in repositories or library catalogues)\n\nACCESSIBLE\n- data and metadata are retrievable by their identifier using a standardised communications protocol (https, ftp, etc.)\n- Metadata are accessible, even when the data are no longer available.\n\nINTEROPERABLE\n- use a formal, accessible, shared, and broadly applicable language for knowledge representation,\n- use vocabularies that follow FAIR principles,\n- metadata contains qualified references to other metadata,\n- use of non-proprietary open formats.\n\nREUSABLE\nData and metadata are richly described with a plurality of accurate and relevant attributes:\n- data and metadata are released with a clear and accessible data usage license,\n- data and metadata are associated with detailed provenance,\n- data and metadata meet domain-relevant community standards\n\nhttps://training.ni4os.eu/pluginfile.php/3644/mod_resource/content/0/EN-NI4OS%20-%20FAIR.pdf\n\nMake your software FAIR\n\n- Use a publicly accessible repository with version control (for example version control with Git)\n\n Zenodo, GitHub\n\n- Add a license to your code (open software licenses)\n- Register your code in a community registry\n- Enable citation of the software\n- Use a software quality checklist\n\nSoftware Heritage\n\n1. Prepare your public repository\n - README, AUTHORS & LICENSE files\n2. Save your code\n - http://save.softwareheritage.org/\n3. Reference your work\n - (full repository, specific version or code fragment)\n\nRecommendation: Open software licensing\n(https://www.youtube.com/watch?v=gvj4dGYiK_M)\n\nFormatting Research Data\n\nResearch data must be properly formatted before sharing so that other researchers can understand and reuse them. In this way, we satisfy the FAIR principles of interoperability and reusability.\n\nIn repositories, research data will stand on their own without an accompanying context, which is why it is necessary to pay attention to the appropriate\n\n- naming of files,\n- the hierarchy of file folders,\n- and metadata (which can be described in ReadMe files or data articles).\n\nFile Naming\n\nRecommendations for naming research data:\n\n- we prepare an agreed structure for the naming of research data, consisting of logical elements;\n- Relevant information for naming files is: project name or acronym, researcher’s name or initials, data type, research method, place and date of research, file version number;\n- we use the agreed nomenclature consistently;\n- the agreed nomenclature should be used by all members of the research group;\n- we avoid using a similar name for multiple files;\n- we avoid vague names;\n- file names should not be too long, maximum 32 characters;\n- we use letters and numbers according to the ASCII standard (a - z, A - Z and 0 - 9);\n- we avoid using periods or special characters such as &,*%,#;,()!,@,$,^,~,‘’,{},[],?,<>;\n- write the date in the ISO 8601 standard (YYYYMMDD);\n- for possible numbering, we use leading zeros, e.g.: 001 – 999;\n- instead of a space, use an underscore _ or a minus -;\n- we avoid labels such as final version, revision, final, etc., for major changes we use no. versions, e.g. V2;\n- when renaming a bunch of files, we use the batch renaming tool;\n- the complex structured nomenclature is described in the file README.txt.\n\nAn example of good practice: 20190523_H2020MatChem_GL_exp5_c2_XRF1\n\nThis name contains information that is important to the author, the research group and other users of the data:\n\n- The date the file was created, i.e. 23 May 2019 in YYYYMMDD format,\n- The name of the hypothetical project titled \"Materials Chemistry\" (abbreviation MatChem), which was financed within the framework of the Horizon 2020 (H2020) programme,\n- Initials of the hypothetical author, i.e. G. L.,\n- The title of the experiment, i.e. exp5 (\"Experiment 5\")\n- Designation of the compound, i.e. C2 (\"Compound 2\")\n- Designation of the analysis, i.e. XRF1 (first measurement with X-ray fluorescence).\n\nSource: DiRROS Data: https://dirrosdata.ctk.uni-lj.si/en/raziskovalni-podatki/oblikovanje-podatkov-zadeljenje/\n\nOrganizing the Research Data – File Folders\n\n1. A folder structure is prepared that will meet the needs of the research project.\n2. In doing so, we pay attention to the type of research data and the way in which both raw and analyzed data, methods, documentation and other supporting files will be organized.\n3. The folders are named with unique names that correspond to the research project.\n4. Determine the appropriate depth of the folder hierarchy.\n5. Tagging files helps us find files in the research project folders.\n\nFile Formats\n\nFor reuse, it is recommended to collect data in formats that are more likely to be accessible in the future:\n\n- non-proprietary,\n- open and\n- documented standards that are uncompressed, exchangeable, widely used by the research community and use standard character encoding (ASCII, UTF-8).\n\nThe choice of format also depends on the policy of the repository we choose to publish.\n\n\| Type of Data \| Recommended Formats \| Acceptable Formats \|\n\|------------------------------------\|---------------------\|--------------------\|\n\| Quantitative Tabular Data \| .csv, .tab, .por, .xml \| .txt, xls, .dbf, .ods, .sav, .dta, .mdb \|\n\| Qualitative data. Textual. \| .rtf, .txt, .xml \| .html, .doc \|\n\| Digital image data \| .tif \| .jpg, .gif, .tif, .tiff, .raw, .psd, .bmp, .png, .pdf \|\n\| Digital audio data \| .flac \| .mp3, .aif, .wav \|\n\| Digital video data \| .mp4, .ogv, .ogg, .mj2 \| .avchd \|\n\| Documentation and scripts \| .rtf, .pdf/A, .xthml, .htm, .odt \| .txt, .doc, .xls, .xml \|\n\nAn open file format is a file format for storing digital data, which can be used and implemented by anyone.\n\nList of open file formats:\nhttps://en.wikipedia.org/wiki/List_of_open_file_formats\n\nMore precisely: UK Data Service: Recommended Formats (Source: https://ukdataservice.ac.uk/learning-hub/research-data-management/format-your-data/recommended-formats/)\n\nWhat information is needed to be able to read and understand the data in the future?\n\nAdditional documentation helps users of our data understand and reuse the data. Examples of additional documentation are:\n\n- lab notebooks (e.g. Jupyter Notebook) and protocol descriptions (e.g. protocols.io),\n- questionnaires,\n- codes, variable definitions, data dictionaries,\n- measurement units,\n- ontologies, controlled dictionaries,\n- programming language syntaxes and software output files,\n- information on equipment settings and instrument calibration,\n- database schema, file directory structure description, naming structure,\n- methodology reports,\n- information on analysis and procedures,\n- information about the origin of the acquired or digitized data,\n\nIf we have developed software code to acquire or process data, we consider whether it is also necessary to store it with data for reproducibility purposes.\n\nReadme.txt\n\nExample of the University of Cornell: Template of Readme.txt File\n\nAUTHOR_DATASET_ReadmeTemplate.txt\n\nSecure storage of research data\n\nWhen choosing a storage location, we consider functionalities such as\n\n- automatic backup storage,\n- data sharing, and\n- data encryption.\n\nWe have to consider guidelines for safe storage of data during research in:\n\n- physical aspects of data protection (password protection, access restriction, physical protection),\n- backup storage (3 completely separate copies of the data),\n- handling of personal and sensitive data (anonymisation etc., GDPR, encryption),\n- secure data exchange (SFTP, HTTPS, cloud services).\n\nPublish, Share and Reuse\n\nSimilar to citing scientific articles, sharing research data and allowing other researchers to download, use, and cite it can lead to greater research impact in our field.\n\n- Increased transparency and trust in their work\n- Easier availability of research results for other scientists\n- Reproducibility and reuse enabled by verifiable results\n- Increased readability, citation, and impact\n- Long-term archiving and preservation\n- New ways of gaining recognition and reputation\n- New projects and employment opportunities\n- Increased visibility and impact\n\nPublish the Research Data\n\nWe deposit the data in a suitable repository for our scientific discipline.\n\nThe repository can be found in the international re3data repository registry or use the DataCite repository finder.\n\n1. the data can be uploaded to the institutional repository,\n2. or to one of the widely used international general repositories, such as Harvard Dataverse, Dryad, FigShare, Mendeley Data, OSF or Zenodo (Comparison of general repositories →)\n\nWhen choosing a repository for permanent storage of research data, it is important that the repository works in accordance with the FAIR principles (assigns permanent identifiers, allows license selection and supports rich metadata description).\n\nWhen preparing metadata, it is best to follow the metadata schemas prescribed by the repository where you intend to deposit your data.\n\nWith exceptions to general standards such as Dublin Core and schema.org, metadata standards mostly apply only within a specific domain or specialised field.\n\nA list of domain-specific metadata schemas can be found at UK Digital Curation Centre and Research Data Alliance:\n\n- https://www.dcc.ac.uk/guidance/standards/metadata/list\n- https://rd-alliance.github.io/metadata-directory/\n\nProvenance (Origin) of Research Data\n\nProvenance is one of the most important aspects of metadata.\n\nThe concept of provenance or the origin of research data refers to:\n\n- all information about the circumstances of data creation, e.g., about authors, time of creation, research equipment and its calibration, etc.\n\n- Provenance information not only enables interoperability and reusability of the data but also contributes to maintaining research integrity and combating research irreproducibility.\n\nMore: https://dirrosdata.ctk.uni-lj.si/en/metapodatki/provenienca/\n\nDefinition of rights and limitations of data use\n\nBefore publishing data, it is important to define how the research data set will be used. This is governed by a license, which expresses the permission by which the author defines the conditions for the reuse of the work, in this case the research data set.\n\nBy choosing the appropriate license, the author retains the copyright and allows others to use the work under clearly defined conditions.\n\nCreative Commons Licences\n\nResearch Data Set Citations:\n\nDryad:\n\nLi, Yanjun; Gao, Yingzhi; van Kleunen, Mark; Liu, Yanjie (2022), Data from: Interactive effects of herbivory and the level and fluctuations of nutrient availability on dominance of alien plants in synthetic native communities, Dryad, Dataset, https://doi.org/10.5061/dryad.fj6q573vn\n\nSocial Sciences Archive:\n\nPetravič, L., Arh, R., Gabrovec, T., Jazbec, L., Rupčić, N., Starešinič, N., ... Slavec, A. (2021). Odnos do cepljenja proti SARS-CoV-2, 2020: Priložnostni vzorec [Podatkovna datoteka]. Ljubljana: Univerza v Ljubljani, Arhiv družboslovnih podatkov. ADP - IDNo: SARSPR20. https://doi.org/10.17898/ADP_SARSPR20_V1\n\nBasic data visualisations for Figshare State of Open Data 2021 survey\n\nHorton, Laurence\n\nData collector(s)\nNature Research\n\nR markdown files for:\n\n- Downloading and cleaning data from the State of Open Data survey 2021\n- Basic visualisations of responses to questions in the State of Open Data survey 2021\n- HTML file of those visualisations.\n\nFree text fields are included in the markdown but have been turned off for knitting and in the HTML file.\n\n\| Name \| Size \|\n\|-----------------------\|----------\|\n\| sod_cleaning.Rmd \| 18.1 kB \|\n\| sod_descriptives.html \| 15.4 MB \|\n\| sod_descriptives.Rmd \| 133.0 kB \|\n\nPublication date:\nJune 19, 2022\n\nDOI:\nDOI 10.5281/zenodo.6662740\n\nKeyword(s):\nauthor survey, research data, Open Data, R markdown, FAIR data, Figshare, RDM, Research Data Management, Data sharing, Survey, 2021\n\nRelated identifiers:\nDerived from\n10.6084/m9.figshare.17081231.v1 (Dataset)\n\nLicense (for files):\nCreative Commons Zero v1.0 Universal\n\nNational Initiatives for Open Science in Europe – NI4OS promo video\n\nGlejte tukaj: YouTube\n\nUniversity of Maribor Open Science Summer School 2023\n\n11.9. – 15.9. 2023\nopen.um.si\n\nINVITATION\n\nUniversity of Maribor Library Open Science Team\nOdprimo:UM\n(e.g. Open:Mind)\n\[email protected]\n\nTHANK YOU\n</text>\n", "role": "user" }, { "content": "AIR principles: to improve machine discoverability and data use (i.", "role": "assistant" } ]
Prodromal contractions began on Thursday, 1/19, making sleep difficult and the days tiring. My mom came down for the weekend to help and I asked her not to leave on Sunday (claiming to her that I knew Sage would be born imminently) but she did anyway. I had an appointment with Barbara on Monday, 1/23. We had lunch, during which I felt many twinges but it was impossible to know if it was prodromal labor (which I knew could last for weeks) or my body actually getting ready to birth a baby. I asked Barbara to do a cervical check even though I told myself how meaningless it could be. She found me to be 2-3 cm dilated but worried that she thought Sage was frank breech like her big sister. She said she could feel her butt and that she was certain she was breech. Ahhh! Starting on Monday, a Nor'easter pummeled the East Coast with rain, sleet, and snow, providing some labor inducing pressure changes. On Tuesday morning, Chris was up getting ready for work when I asked him not to go in. I had been up since about 5:00am with predictable but not intense contractions. He was going to work from home but then saw how much I was struggling with the contractions and daily tasks so he called out instead. It is hard to manage a toddler, including getting her ready for school, while having contractions every 5-8 minutes. I felt that today was going to be baby day for sure because things were more consistent and getting stronger. One major task for the day was going for an ultrasound to find out if Barbara was right and we had another butt baby on the way. I called Greenwich Hospital and told them I needed to be squeezed in for an ultrasound. I didn't mention being in early labor! The receptionist put me on the phone with Dr. Adams, who I specifically avoid seeing, and she suggested I go to an ER for an ultrasound and to check out the baby's stats. I "uh huhed" her but then told Chris I could NOT go to an ER. COULD NOT. He agreed and I emailed the head of MFM again, Dr. Stella, to say reception couldn't fit me in and could she please pull some strings. Chris took Dahlia to school at 9am and when he got back home he had to deal with my high stress level and last minute puttering around the house. Dr. Stella called to say we could be seen at 1pm so Dahlia was picked up early from school (it was pizza day! She was mad!) and off we went. The ultrasound showed the baby was head down and I SOBBED. I knew it was mostly that my hormones were ramping up and my body was preparing for birth but that didn't stop the tears! It was stressful to have to go for the ultrasound and to hold still during contractions pretending they weren't happening. I cried in Dr. Stella's office and she seemed flustered! I then cried in the bathroom for about 20 minutes before collecting myself enough to go to the garage without attracting too much attention. After Sage's birth, we realized she was in a face presentation and it's common for care providers to confuse a fetus' cheeks and mouth for butt cheeks and an anus. When we got home, Chris put D down for her nap and I went to the basement (aka the birthing suite) to calm myself down and to figure out next steps. I ate a bagel with cream cheese while listening to a book on tape (The Marriage of Opposites). Around 3pm I texted Chris from the basement and asked him to call my parents and tell them to start driving down. My parents had tickets for Kris Kristofferson that night so I had texted them earlier saying today might be the day but I felt bad having them miss the concert if it turned out I was wrong. My dad reassured me they didn't care about the concert! I simultaneously texted Ilaria, my doula, to update her on my regular contractions. She called and I rejected her call and texted her again to please call Chris instead. She called Chris just after he talked to my parents and he filled her in about the ultrasound and my emotional state. He said we would be in touch when she should head over and at 3:30 when she called again I told her to come over. She arrived at 4pm and Katie, the birth photographer, arrived about 15 minutes later. I told them both that I wasn't sure if I was wasting their time by having them come over but Katie said she had a sitter and wanted to beat traffic and Ilaria said at least she could do some acupressure and assess my progress for herself. Dahlia woke up from her nap right around when Ilaria and Katie arrived. Chris put on Tayo (worst tv show ever) for her but she wanted to see what I was doing. I told Chris it was okay for her to come to the basement. It was a good distraction for me. Ilaria did some acupressure and then I walked on the treadmill and did lunges on the stairs. I had consistent contractions throughout these activities, lasting about one minute and about 3 minutes apart. It was still early labor because although the contractions hurt, I could talk through them. Katie and Ilaria were surprised I was having contractions because they said they couldn't tell at all. They seemed concerned that we were in for a long night but I told them I wasn't going to make them pull an all nighter. How true that ended up being! The major theme of my early labor was PEEING. I kept having to pee! This had been true for days and was really frustrating because barely anything would come out but then when I got up from the toilet I would feel the need to immediately sit back down. I peed nearly every 10 minutes and accidentally soaked a few pairs of underwear. It's hard to hold it in when you're 9 months pregnant and in labor! I checked in with Barbara at 4:30 and she also spoke to Ilaria and asked to be called to come over at a point in labor knowing that it would take her about 2 hours to get to me (she had to pick up the assistants and make the hour drive). This is the point where Barbara's notes say that "active labor" began. We ordered pizza around 6pm and Chris went to pick it up. I hadn't felt nauseous up to that point but I was skeptical about my ability to keep down pizza once labor really got started. Katie and Ilaria thought it was a good idea for me to eat dinner so we all sat down around the dining table at 7pm for dinner. The pizza was delicious and I never ended up getting sick! My contractions were getting stronger while we ate dinner, a point I didn't realize until Katie asked me if they were and said she could tell because I was closing my eyes periodically. Chris did Dahlia's bedtime routine at 7:30 and she didn't protest going to sleep at all. Usually she tries to get put down in "Mama's room" at the very least but she just went into her crib without any fussing. I wonder if she could just tell that that night was different and required more cooperation. Everyone sat down in the living room after dinner but that wasn't my "zone" so I asked to go back to the basement. I asked Chris to join us in the basement because I was ready to get to work and wanted him there. He had stayed out of the way up until that point because girl time really was what I had been needing. Ilaria did more acupressure and I commented that contractions were getting stronger without any sort of real intervention. With Dahlia I took castor oil, had acupuncture done, and still contractions took a long time to ramp up. I was feeling gradually stronger contractions this time just as time went on. Ilaria asked my thoughts on when I might need Barbara considering her lead time and I said we should probably tell her to come (7:50pm) because I imagined by 10pm I would be more than ready for her to be there. I texted her and Chris followed up with a phone call. I asked for Hypnobabies to be put on and I got out my essential oil mixture for back pain. It felt amazing for Ilaria to rub it into my lower back during contractions. I felt the contractions really low in the front and the contraction would wrap around to my back. I didn't feel any pressure but just a heavy ache as my body did the work necessary to open for this baby to be born. My preferred position was on the exercise ball with Chris sitting in a chair in front of me and Ilaria rubbing my back sitting in a chair behind me. When a contraction would start I would motion for Chris to lean forward and I would press my forehead into him while gripping his hands. My parents arrived at 9:30 and I was so relieved to see my mom that I cried. I didn't realize that the rainstorm by us was hail and sleet up by them so their journey down had been harrowing and took 4.5 hours instead of the usual 3. We had decided to fill the birth pool before my parents arrived and Katie was busy boiling water on the stove because the hot water had ran out. My mom asked her "Is my daughter really in labor?" and Katie said "Oh yeah she is!" before my mom came down to the basement to see me herself. Barbara and her assistants arrived at 10pm and my contractions were hard but not rolling through me yet. That's how I view transition. You have to let the contractions roll through you instead of get on top of you but there isn't much more that can be done to get through them. I went to the bathroom with Chris and we talked about how close we were to meeting our new baby girl. The birth team opened up the sofa bed and put down the plastic cover and white sheet on it before I got out of the bathroom. They spread out the chux pads and had me lie down so Barbara could do a cervical check. The cervical check showed that I was 4cm dilated but completely thinned and at -1 station and as she finished her check pop! my water broke. I didn't have another contraction right away and in my head I knew that NOW things were going to get intense. I had read enough birth stories to know that when your water breaks, the cushion is removed, and contractions get as real as they are going to get. I was disappointed that since my cervical check the afternoon before I had dilated only 1-2cm but Barbara assured me that I had called her to come at exactly the right time. Since Dahlia was breech, I didn't know what to expect, and I still don't know what is "normal" but needless to say that the pain of this baby's tiny head pushing against my cervix was a lot. Also, the contractions were double peaking so it felt like the contractions were never ending and non-stop. Perhaps it felt that way because in fact, they were. Barbara's notes show that the contractions were every 2 minutes, lasting 70 seconds. I again had Chris position himself in a chair in front of me so I could continue with my forehead pressing/hand gripping. I would loudly moan (okay, more like low tone yell) through the contraction and that made it bearable. By the end of each contraction my arms were shaking from how hard I gripped Chris, the poor guy! Oh wait, I don't feel bad. The initial cervical check was done at 10:10 and at 11:00pm, I was reminded of my desire to get in the birth pool. Barbara said if I wanted that to happen, it had to happen now. I wasn't sure how I could lie down again for Barbara to check me or how I could get up from where I was (sitting on the side of the pull out sofa) to get into the birth pool, but somehow both of these things were accomplished. The check showed I was at 7cm and 0 station (3 cm in 50 minutes, not shabby!) and with monumental effort and support from Chris, I made my way the few feet to the birth pool. Ah, relief. The water felt so great. With Dahlia, I didn't have the pain of the baby's head pushing against my cervix so also I didn't find relief in the water. With this labor, I felt a lightening of the pressure and found comfort in the warm water. I had a break in contractions long enough for me to get comfortable and take a few deep breaths. Then, the contractions started again with full force. I continued to squeeze Chris' hand with all my might while lying draped over the side of the birth pool. My mom poured water on my back but I told her to stop because it was messing with my concentration/attempt to stay relaxed. I was very aware of the feeling of the baby's head getting lower and lower. I wondered to myself what it would feel like to be fully dilated with this immense pressure and just as I realized how terrified I was of pushing that gigantic head out of my vagina, the contractions entirely changed and I knew that I was at the point of having to make it through that fear and pain to meet my daughter. I don't know how it looked to others but in my head it replays as that my eyes suddenly flew open and I flipped myself over onto my back while announcing she was coming. I felt her head RIGHT there and since Dahlia was breech, this was entirely new to me and I asked everyone what to do at that moment. The birth team instantly surrounded the pool and told me to gently open my legs and to take deep breaths and push when I felt the urge. I said that I needed another hand to grip and Jama, the guest Birth Assistant, and then Ilaria, appeared at my side and took my right hand. I yelled for Hypnobabies to be turned off because it was for sure no longer the "Easy First Stage" as the track described. It seemed way too complex and unnecessary to explain to them how to turn on the relevant track. I asked for a cold washcloth for my head because the heat had been turned up in the room in anticipation of the birth so I was overheating. With Dahlia, the pushing stage felt out of control. I could not for the life of me stop pushing during a contraction. So I was surprised that in that moment I felt in control of pushing. I gave tiny pushes until it felt overwhelming and then I eased up and let the baby's head do some of the work. This labor was entirely different from Dahlia's, mainly in intensity and speed! The initial cervical check at 10:10pm showed I was 4 cm dilated, at 11pm I was 7cm dilated, and Sage was born at 11:34 pm! It felt like at least 20 minutes of small pushes and waiting for the head to make its way out but in reality it was only 4 minutes and 3 contractions before our beautiful baby girl entered the world face first! As with Dahlia's birth, my initial reaction was to look at Chris before even looking at our daughter! Barbara had guided the baby into the birth pool and she told me to grab her and lift her onto me. I did exactly that and then looked around at everyone and smiled. I asked my mom to go get my dad, who had respected my wishes and stayed upstairs (although he had what I imagine was a terrible labor soundtrack). When he got downstairs he asked the baby's name and I announced Sage Genevieve. Once the cord was limp and white, Chris cut it. I held Sage while pushing out the placenta, a feeling that I remembered from Dahlia's birth as sweet relief and it didn't disappoint. Once the birth pool was bloody, I was ready to get out. I handed Sage to her daddy while my mom helped me out of the pool and onto the pull out couch so Barbara could check me. Even though both Sage's head and body were born in one push (face first no less), I had absolutely no tearing and honestly I felt amazing. With Dahlia, I pushed for so long that my body felt so worn out and sore. This time I didn't feel any pain and although there was a lot of blood (nothing abnormal), I showered with ease and positioned myself on the sofa to observe the newborn exam without any difficulty. Sage Genevieve weighed 7 lbs 2 oz and measured 20.5" at birth. Her initial APGAR was an 8 and at 5 minutes it was a 9. What a perfect tiny new human being and how lucky we are for her to be ours. Her head wasn't even coned since she was born face first and not with the top of her head first! The birth team sat around eating cookies and muffins and Katie took a group photo of us that shows a crowd of elated birth workers, parents, and grandparents. I had told Katie that Pelham doesn't allow street parking between 2am-6am but that I doubted it would be relevant for the birth team. Turns out, I knew what I was talking about since everyone left for their own homes by 1:45am. My mom helped me to slowly make my way upstairs, and settled me, Chris, and Sage into bed for the night. Thus began our story as a family of four (although Dahlia wouldn't know she was a big sister until late the next morning)! Notes on face presentation: It wasn't until I was looking through photos of Sage's birth that I saw her face being born first. I immediately texted Katie to remark on how cool it was that she captured that but it wasn't until Sage was 6 months old that I realized how rare and potentially dangerous face presentation is. I texted Barbara about it and when we spoke on the phone she said she didn't even suspect that what she felt was Sage's face rather than her butt because she had only encountered it once before in her career. The ultrasound tech didn't realize it either, although I am less clear on why that was the case. Barbara said that if Sage had rotated the other way, posterior instead of anterior, we would have had to transfer for a c-section. There is no way to vaginally give birth to a posterior face presenting baby (forgive me for my lack of medical knowledge/terms). Barbara said she is glad she didn't realize it because she would have been quite worried. As it turned out, Sage's birth went smoothly. She does continue to see a chiropractor for ongoing neck tightness, a fact that now makes more sense given this realization about her position.	<urn:uuid:78afc2b1-e219-42c8-92b0-8a650939e269>	CC-MAIN-2020-40	https://dahliamidwifery.files.wordpress.com/2018/02/sage-genevieve-birth-story.pdf	2020-09-28T18:05:17+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2020-40/subset=warc/part-00009-50bb8e61-7c5b-4d2c-bd34-dad6ca92b697.c000.gz.parquet	316,467,200	4,034	eng_Latn	eng_Latn	0.999459	eng_Latn	0.999486	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 3653, 5601, 8344, 10661, 13704, 14119, 14996, 16310, 17486 ]	Prodromal contractions began on Thursday, 1/19, making sleep difficult and the days tiring. My mom came down for the weekend to help and I asked her not to leave on Sunday (claiming to her that I knew Sage would be born imminently) but she did anyway. I had an appointment with Barbara on Monday, 1/23. We had lunch, during which I felt many twinges but it was impossible to know if it was prodromal labor (which I knew could last for weeks) or my body actually getting ready to birth a baby. I asked Barbara to do a cervical check even though I told myself how meaningless it could be. She found me to be 2-3 cm dilated but worried that she thought Sage was frank breech like her big sister. She said she could feel her butt and that she was certain she was breech. Ahhh! Starting on Monday, a Nor'easter pummeled the East Coast with rain, sleet, and snow, providing some labor inducing pressure changes. On Tuesday morning, Chris was up getting ready for work when I asked him not to go in. I had been up since about 5:00am with predictable but not intense contractions. He was going to work from home but then saw how much I was struggling with the contractions and daily tasks so he called out instead. It is hard to manage a toddler, including getting her ready for school, while having contractions every 5-8 minutes. I felt that today was going to be baby day for sure because things were more consistent and getting stronger. One major task for the day was going for an ultrasound to find out if Barbara was right and we had another butt baby on the way. I called Greenwich Hospital and told them I needed to be squeezed in for an ultrasound. I didn't mention being in early labor! The receptionist put me on the phone with Dr. Adams, who I specifically avoid seeing, and she suggested I go to an ER for an ultrasound and to check out the baby's stats. I "uh huhed" her but then told Chris I could NOT go to an ER. COULD NOT. He agreed and I emailed the head of MFM again, Dr. Stella, to say reception couldn't fit me in and could she please pull some strings. Chris took Dahlia to school at 9am and when he got back home he had to deal with my high stress level and last minute puttering around the house. Dr. Stella called to say we could be seen at 1pm so Dahlia was picked up early from school (it was pizza day! She was mad!) and off we went. The ultrasound showed the baby was head down and I SOBBED. I knew it was mostly that my hormones were ramping up and my body was preparing for birth but that didn't stop the tears! It was stressful to have to go for the ultrasound and to hold still during contractions pretending they weren't happening. I cried in Dr. Stella's office and she seemed flustered! I then cried in the bathroom for about 20 minutes before collecting myself enough to go to the garage without attracting too much attention. After Sage's birth, we realized she was in a face presentation and it's common for care providers to confuse a fetus' cheeks and mouth for butt cheeks and an anus. When we got home, Chris put D down for her nap and I went to the basement (aka the birthing suite) to calm myself down and to figure out next steps. I ate a bagel with cream cheese while listening to a book on tape (The Marriage of Opposites). Around 3pm I texted Chris from the basement and asked him to call my parents and tell them to start driving down. My parents had tickets for Kris Kristofferson that night so I had texted them earlier saying today might be the day but I felt bad having them miss the concert if it turned out I was wrong. My dad reassured me they didn't care about the concert! I simultaneously texted Ilaria, my doula, to update her on my regular contractions. She called and I rejected her call and texted her again to please call Chris instead. She called Chris just after he talked to my parents and he filled her in about the ultrasound and my emotional state. He said we would be in touch when she should head over and at 3:30 when she called again I told her to come over. She arrived at 4pm and Katie, the birth photographer, arrived about 15 minutes later. I told them both that I wasn't sure if I was wasting their time by having them come over but Katie said she had a sitter and wanted to beat traffic and Ilaria said at least she could do some acupressure and assess my progress for herself. Dahlia woke up from her nap right around when Ilaria and Katie arrived. Chris put on Tayo (worst tv show ever) for her but she wanted to see what I was doing. I told Chris it was okay for her to come to the basement. It was a good distraction for me. Ilaria did some acupressure and then I walked on the treadmill and did lunges on the stairs. I had consistent contractions throughout these activities, lasting about one minute and about 3 minutes apart. It was still early labor because although the contractions hurt, I could talk through them. Katie and Ilaria were surprised I was having contractions because they said they couldn't tell at all. They seemed concerned that we were in for a long night but I told them I wasn't going to make them pull an all nighter. How true that ended up being! The major theme of my early labor was PEEING. I kept having to pee! This had been true for days and was really frustrating because barely anything would come out but then when I got up from the toilet I would feel the need to immediately sit back down. I peed nearly every 10 minutes and accidentally soaked a few pairs of underwear. It's hard to hold it in when you're 9 months pregnant and in labor! I checked in with Barbara at 4:30 and she also spoke to Ilaria and asked to be called to come over at a point in labor knowing that it would take her about 2 hours to get to me (she had to pick up the assistants and make the hour drive). This is the point where Barbara's notes say that "active labor" began. We ordered pizza around 6pm and Chris went to pick it up. I hadn't felt nauseous up to that point but I was skeptical about my ability to keep down pizza once labor really got started. Katie and Ilaria thought it was a good idea for me to eat dinner so we all sat down around the dining table at 7pm for dinner. The pizza was delicious and I never ended up getting sick! My contractions were getting stronger while we ate dinner, a point I didn't realize until Katie asked me if they were and said she could tell because I was closing my eyes periodically. Chris did Dahlia's bedtime routine at 7:30 and she didn't protest going to sleep at all. Usually she tries to get put down in "Mama's room" at the very least but she just went into her crib without any fussing. I wonder if she could just tell that that night was different and required more cooperation. Everyone sat down in the living room after dinner but that wasn't my "zone" so I asked to go back to the basement. I asked Chris to join us in the basement because I was ready to get to work and wanted him there. He had stayed out of the way up until that point because girl time really was what I had been needing. Ilaria did more acupressure and I commented that contractions were getting stronger without any sort of real intervention. With Dahlia I took castor oil, had acupuncture done, and still contractions took a long time to ramp up. I was feeling gradually stronger contractions this time just as time went on. Ilaria asked my thoughts on when I might need Barbara considering her lead time and I said we should probably tell her to come (7:50pm) because I imagined by 10pm I would be more than ready for her to be there. I texted her and Chris followed up with a phone call. I asked for Hypnobabies to be put on and I got out my essential oil mixture for back pain. It felt amazing for Ilaria to rub it into my lower back during contractions. I felt the contractions really low in the front and the contraction would wrap around to my back. I didn't feel any pressure but just a heavy ache as my body did the work necessary to open for this baby to be born. My preferred position was on the exercise ball with Chris sitting in a chair in front of me and Ilaria rubbing my back sitting in a chair behind me. When a contraction would start I would motion for Chris to lean forward and I would press my forehead into him while gripping his hands. My parents arrived at 9:30 and I was so relieved to see my mom that I cried. I didn't realize that the rainstorm by us was hail and sleet up by them so their journey down had been harrowing and took 4.5 hours instead of the usual 3. We had decided to fill the birth pool before my parents arrived and Katie was busy boiling water on the stove because the hot water had ran out. My mom asked her "Is my daughter really in labor?" and Katie said "Oh yeah she is!" before my mom came down to the basement to see me herself. Barbara and her assistants arrived at 10pm and my contractions were hard but not rolling through me yet. That's how I view transition. You have to let the contractions roll through you instead of get on top of you but there isn't much more that can be done to get through them. I went to the bathroom with Chris and we talked about how close we were to meeting our new baby girl. The birth team opened up the sofa bed and put down the plastic cover and white sheet on it before I got out of the bathroom. They spread out the chux pads and had me lie down so Barbara could do a cervical check. The cervical check showed that I was 4cm dilated but completely thinned and at -1 station and as she finished her check pop! my water broke. I didn't have another contraction right away and in my head I knew that NOW things were going to get intense. I had read enough birth stories to know that when your water breaks, the cushion is removed, and contractions get as real as they are going to get. I was disappointed that since my cervical check the afternoon before I had dilated only 1-2cm but Barbara assured me that I had called her to come at exactly the right time. Since Dahlia was breech, I didn't know what to expect, and I still don't know what is "normal" but needless to say that the pain of this baby's tiny head pushing against my cervix was a lot. Also, the contractions were double peaking so it felt like the contractions were never ending and non-stop. Perhaps it felt that way because in fact, they were. Barbara's notes show that the contractions were every 2 minutes, lasting 70 seconds. I again had Chris position himself in a chair in front of me so I could continue with my forehead pressing/hand gripping. I would loudly moan (okay, more like low tone yell) through the contraction and that made it bearable. By the end of each contraction my arms were shaking from how hard I gripped Chris, the poor guy! Oh wait, I don't feel bad. The initial cervical check was done at 10:10 and at 11:00pm, I was reminded of my desire to get in the birth pool. Barbara said if I wanted that to happen, it had to happen now. I wasn't sure how I could lie down again for Barbara to check me or how I could get up from where I was (sitting on the side of the pull out sofa) to get into the birth pool, but somehow both of these things were accomplished. The check showed I was at 7cm and 0 station (3 cm in 50 minutes, not shabby!) and with monumental effort and support from Chris, I made my way the few feet to the birth pool. Ah, relief. The water felt so great. With Dahlia, I didn't have the pain of the baby's head pushing against my cervix so also I didn't find relief in the water. With this labor, I felt a lightening of the pressure and found comfort in the warm water. I had a break in contractions long enough for me to get comfortable and take a few deep breaths. Then, the contractions started again with full force. I continued to squeeze Chris' hand with all my might while lying draped over the side of the birth pool. My mom poured water on my back but I told her to stop because it was messing with my concentration/attempt to stay relaxed. I was very aware of the feeling of the baby's head getting lower and lower. I wondered to myself what it would feel like to be fully dilated with this immense pressure and just as I realized how terrified I was of pushing that gigantic head out of my vagina, the contractions entirely changed and I knew that I was at the point of having to make it through that fear and pain to meet my daughter. I don't know how it looked to others but in my head it replays as that my eyes suddenly flew open and I flipped myself over onto my back while announcing she was coming. I felt her head RIGHT there and since Dahlia was breech, this was entirely new to me	and I asked everyone what to do at that moment.		12,717	beginning_of_word	and	remove_all	<url> https://dahliamidwifery.files.wordpress.com/2018/02/sage-genevieve-birth-story.pdf </url> <text> Prodromal contractions began on Thursday, 1/19, making sleep difficult and the days tiring. My mom came down for the weekend to help and I asked her not to leave on Sunday (claiming to her that I knew Sage would be born imminently) but she did anyway. I had an appointment with Barbara on Monday, 1/23. We had lunch, during which I felt many twinges but it was impossible to know if it was prodromal labor (which I knew could last for weeks) or my body actually getting ready to birth a baby. I asked Barbara to do a cervical check even though I told myself how meaningless it could be. She found me to be 2-3 cm dilated but worried that she thought Sage was frank breech like her big sister. She said she could feel her butt and that she was certain she was breech. Ahhh! Starting on Monday, a Nor'easter pummeled the East Coast with rain, sleet, and snow, providing some labor inducing pressure changes. On Tuesday morning, Chris was up getting ready for work when I asked him not to go in. I had been up since about 5:00am with predictable but not intense contractions. He was going to work from home but then saw how much I was struggling with the contractions and daily tasks so he called out instead. It is hard to manage a toddler, including getting her ready for school, while having contractions every 5-8 minutes. I felt that today was going to be baby day for sure because things were more consistent and getting stronger. One major task for the day was going for an ultrasound to find out if Barbara was right and we had another butt baby on the way. I called Greenwich Hospital and told them I needed to be squeezed in for an ultrasound. I didn't mention being in early labor! The receptionist put me on the phone with Dr. Adams, who I specifically avoid seeing, and she suggested I go to an ER for an ultrasound and to check out the baby's stats. I "uh huhed" her but then told Chris I could NOT go to an ER. COULD NOT. He agreed and I emailed the head of MFM again, Dr. Stella, to say reception couldn't fit me in and could she please pull some strings. Chris took Dahlia to school at 9am and when he got back home he had to deal with my high stress level and last minute puttering around the house. Dr. Stella called to say we could be seen at 1pm so Dahlia was picked up early from school (it was pizza day! She was mad!) and off we went. The ultrasound showed the baby was head down and I SOBBED. I knew it was mostly that my hormones were ramping up and my body was preparing for birth but that didn't stop the tears! It was stressful to have to go for the ultrasound and to hold still during contractions pretending they weren't happening. I cried in Dr. Stella's office and she seemed flustered! I then cried in the bathroom for about 20 minutes before collecting myself enough to go to the garage without attracting too much attention. After Sage's birth, we realized she was in a face presentation and it's common for care providers to confuse a fetus' cheeks and mouth for butt cheeks and an anus. When we got home, Chris put D down for her nap and I went to the basement (aka the birthing suite) to calm myself down and to figure out next steps. I ate a bagel with cream cheese while listening to a book on tape (The Marriage of Opposites). Around 3pm I texted Chris from the basement and asked him to call my parents and tell them to start driving down. My parents had tickets for Kris Kristofferson that night so I had texted them earlier saying today might be the day but I felt bad having them miss the concert if it turned out I was wrong. My dad reassured me they didn't care about the concert! I simultaneously texted Ilaria, my doula, to update her on my regular contractions. She called and I rejected her call and texted her again to please call Chris instead. She called Chris just after he talked to my parents and he filled her in about the ultrasound and my emotional state. He said we would be in touch when she should head over and at 3:30 when she called again I told her to come over. She arrived at 4pm and Katie, the birth photographer, arrived about 15 minutes later. I told them both that I wasn't sure if I was wasting their time by having them come over but Katie said she had a sitter and wanted to beat traffic and Ilaria said at least she could do some acupressure and assess my progress for herself. Dahlia woke up from her nap right around when Ilaria and Katie arrived. Chris put on Tayo (worst tv show ever) for her but she wanted to see what I was doing. I told Chris it was okay for her to come to the basement. It was a good distraction for me. Ilaria did some acupressure and then I walked on the treadmill and did lunges on the stairs. I had consistent contractions throughout these activities, lasting about one minute and about 3 minutes apart. It was still early labor because although the contractions hurt, I could talk through them. Katie and Ilaria were surprised I was having contractions because they said they couldn't tell at all. They seemed concerned that we were in for a long night but I told them I wasn't going to make them pull an all nighter. How true that ended up being! The major theme of my early labor was PEEING. I kept having to pee! This had been true for days and was really frustrating because barely anything would come out but then when I got up from the toilet I would feel the need to immediately sit back down. I peed nearly every 10 minutes and accidentally soaked a few pairs of underwear. It's hard to hold it in when you're 9 months pregnant and in labor! I checked in with Barbara at 4:30 and she also spoke to Ilaria and asked to be called to come over at a point in labor knowing that it would take her about 2 hours to get to me (she had to pick up the assistants and make the hour drive). This is the point where Barbara's notes say that "active labor" began. We ordered pizza around 6pm and Chris went to pick it up. I hadn't felt nauseous up to that point but I was skeptical about my ability to keep down pizza once labor really got started. Katie and Ilaria thought it was a good idea for me to eat dinner so we all sat down around the dining table at 7pm for dinner. The pizza was delicious and I never ended up getting sick! My contractions were getting stronger while we ate dinner, a point I didn't realize until Katie asked me if they were and said she could tell because I was closing my eyes periodically. Chris did Dahlia's bedtime routine at 7:30 and she didn't protest going to sleep at all. Usually she tries to get put down in "Mama's room" at the very least but she just went into her crib without any fussing. I wonder if she could just tell that that night was different and required more cooperation. Everyone sat down in the living room after dinner but that wasn't my "zone" so I asked to go back to the basement. I asked Chris to join us in the basement because I was ready to get to work and wanted him there. He had stayed out of the way up until that point because girl time really was what I had been needing. Ilaria did more acupressure and I commented that contractions were getting stronger without any sort of real intervention. With Dahlia I took castor oil, had acupuncture done, and still contractions took a long time to ramp up. I was feeling gradually stronger contractions this time just as time went on. Ilaria asked my thoughts on when I might need Barbara considering her lead time and I said we should probably tell her to come (7:50pm) because I imagined by 10pm I would be more than ready for her to be there. I texted her and Chris followed up with a phone call. I asked for Hypnobabies to be put on and I got out my essential oil mixture for back pain. It felt amazing for Ilaria to rub it into my lower back during contractions. I felt the contractions really low in the front and the contraction would wrap around to my back. I didn't feel any pressure but just a heavy ache as my body did the work necessary to open for this baby to be born. My preferred position was on the exercise ball with Chris sitting in a chair in front of me and Ilaria rubbing my back sitting in a chair behind me. When a contraction would start I would motion for Chris to lean forward and I would press my forehead into him while gripping his hands. My parents arrived at 9:30 and I was so relieved to see my mom that I cried. I didn't realize that the rainstorm by us was hail and sleet up by them so their journey down had been harrowing and took 4.5 hours instead of the usual 3. We had decided to fill the birth pool before my parents arrived and Katie was busy boiling water on the stove because the hot water had ran out. My mom asked her "Is my daughter really in labor?" and Katie said "Oh yeah she is!" before my mom came down to the basement to see me herself. Barbara and her assistants arrived at 10pm and my contractions were hard but not rolling through me yet. That's how I view transition. You have to let the contractions roll through you instead of get on top of you but there isn't much more that can be done to get through them. I went to the bathroom with Chris and we talked about how close we were to meeting our new baby girl. The birth team opened up the sofa bed and put down the plastic cover and white sheet on it before I got out of the bathroom. They spread out the chux pads and had me lie down so Barbara could do a cervical check. The cervical check showed that I was 4cm dilated but completely thinned and at -1 station and as she finished her check pop! my water broke. I didn't have another contraction right away and in my head I knew that NOW things were going to get intense. I had read enough birth stories to know that when your water breaks, the cushion is removed, and contractions get as real as they are going to get. I was disappointed that since my cervical check the afternoon before I had dilated only 1-2cm but Barbara assured me that I had called her to come at exactly the right time. Since Dahlia was breech, I didn't know what to expect, and I still don't know what is "normal" but needless to say that the pain of this baby's tiny head pushing against my cervix was a lot. Also, the contractions were double peaking so it felt like the contractions were never ending and non-stop. Perhaps it felt that way because in fact, they were. Barbara's notes show that the contractions were every 2 minutes, lasting 70 seconds. I again had Chris position himself in a chair in front of me so I could continue with my forehead pressing/hand gripping. I would loudly moan (okay, more like low tone yell) through the contraction and that made it bearable. By the end of each contraction my arms were shaking from how hard I gripped Chris, the poor guy! Oh wait, I don't feel bad. The initial cervical check was done at 10:10 and at 11:00pm, I was reminded of my desire to get in the birth pool. Barbara said if I wanted that to happen, it had to happen now. I wasn't sure how I could lie down again for Barbara to check me or how I could get up from where I was (sitting on the side of the pull out sofa) to get into the birth pool, but somehow both of these things were accomplished. The check showed I was at 7cm and 0 station (3 cm in 50 minutes, not shabby!) and with monumental effort and support from Chris, I made my way the few feet to the birth pool. Ah, relief. The water felt so great. With Dahlia, I didn't have the pain of the baby's head pushing against my cervix so also I didn't find relief in the water. With this labor, I felt a lightening of the pressure and found comfort in the warm water. I had a break in contractions long enough for me to get comfortable and take a few deep breaths. Then, the contractions started again with full force. I continued to squeeze Chris' hand with all my might while lying draped over the side of the birth pool. My mom poured water on my back but I told her to stop because it was messing with my concentration/attempt to stay relaxed. I was very aware of the feeling of the baby's head getting lower and lower. I wondered to myself what it would feel like to be fully dilated with this immense pressure and just as I realized how terrified I was of pushing that gigantic head out of my vagina, the contractions entirely changed and I knew that I was at the point of having to make it through that fear and pain to meet my daughter. I don't know how it looked to others but in my head it replays as that my eyes suddenly flew open and I flipped myself over onto my back while announcing she was coming. I felt her head RIGHT there and since Dahlia was breech, this was entirely new to me <cursor_is_here> </text>	[ { "content": "<url>\nhttps://dahliamidwifery.files.wordpress.com/2018/02/sage-genevieve-birth-story.pdf\n</url>\n<text>\nProdromal contractions began on Thursday, 1/19, making sleep difficult and the days tiring. My mom came down for the weekend to help and I asked her not to leave on Sunday (claiming to her that I knew Sage would be born imminently) but she did anyway. I had an appointment with Barbara on Monday, 1/23. We had lunch, during which I felt many twinges but it was impossible to know if it was prodromal labor (which I knew could last for weeks) or my body actually getting ready to birth a baby. I asked Barbara to do a cervical check even though I told myself how meaningless it could be. She found me to be 2-3 cm dilated but worried that she thought Sage was frank breech like her big sister. She said she could feel her butt and that she was certain she was breech. Ahhh!\n\nStarting on Monday, a Nor'easter pummeled the East Coast with rain, sleet, and snow, providing some labor inducing pressure changes. On Tuesday morning, Chris was up getting ready for work when I asked him not to go in. I had been up since about 5:00am with predictable but not intense contractions. He was going to work from home but then saw how much I was struggling with the contractions and daily tasks so he called out instead. It is hard to manage a toddler, including getting her ready for school, while having contractions every 5-8 minutes. I felt that today was going to be baby day for sure because things were more consistent and getting stronger.\n\nOne major task for the day was going for an ultrasound to find out if Barbara was right and we had another butt baby on the way. I called Greenwich Hospital and told them I needed to be squeezed in for an ultrasound. I didn't mention being in early labor! The receptionist put me on the phone with Dr. Adams, who I specifically avoid seeing, and she suggested I go to an ER for an ultrasound and to check out the baby's stats. I \"uh huhed\" her but then told Chris I could NOT go to an ER. COULD NOT. He agreed and I emailed the head of MFM again, Dr. Stella, to say reception couldn't fit me in and could she please pull some strings.\n\nChris took Dahlia to school at 9am and when he got back home he had to deal with my high stress level and last minute puttering around the house. Dr. Stella called to say we could be seen at 1pm so Dahlia was picked up early from school (it was pizza day! She was mad!) and off we went. The ultrasound showed the baby was head down and I SOBBED. I knew it was mostly that my hormones were ramping up and my body was preparing for birth but that didn't stop the tears! It was stressful to have to go for the ultrasound and to hold still during contractions pretending they weren't happening. I cried in Dr. Stella's office and she seemed flustered! I then cried in the bathroom for about 20 minutes before collecting myself enough to go to the garage without attracting too much attention. After Sage's birth, we realized she was in a face presentation and it's common for care providers to confuse a fetus' cheeks and mouth for butt cheeks and an anus.\n\nWhen we got home, Chris put D down for her nap and I went to the basement (aka the birthing suite) to calm myself down and to figure out next steps. I ate a bagel with cream cheese while listening to a book on tape (The Marriage of Opposites). Around 3pm I texted Chris from the basement and asked him to call my parents and tell them to start driving down. My parents had tickets for Kris Kristofferson that night so I had texted them earlier saying today might be the day but I felt bad having them miss the concert if it turned out I was wrong. My dad reassured me they didn't care about the concert!\n\nI simultaneously texted Ilaria, my doula, to update her on my regular contractions. She called and I rejected her call and texted her again to please call Chris instead. She called Chris just after he talked to my parents and he filled her in about the ultrasound and my emotional state. He said we would be in touch when she should head over and at 3:30 when she called again I told her to come over. She arrived at 4pm and Katie, the birth photographer, arrived about 15 minutes later. I told them both that I wasn't sure if I was wasting their time by having them come over but Katie said she had a sitter and wanted to beat traffic and Ilaria said at least she could do some acupressure and assess my progress for herself.\n\nDahlia woke up from her nap right around when Ilaria and Katie arrived. Chris put on Tayo (worst tv show ever) for her but she wanted to see what I was doing. I told Chris it was okay for her to come to the basement. It was a good distraction for me. Ilaria did some acupressure and then I walked on the treadmill and did lunges on the stairs. I had consistent contractions throughout these activities, lasting about one minute and about 3 minutes apart. It was still early labor because although the contractions hurt, I could talk through them. Katie and Ilaria were surprised I was having contractions because they said they couldn't tell at all. They seemed concerned that we were in for a long night but I told them I wasn't going to make them pull an all nighter. How true that ended up being!\n\nThe major theme of my early labor was PEEING. I kept having to pee! This had been true for days and was really frustrating because barely anything would come out but then when I got up from the toilet I would feel the need to immediately sit back down. I peed nearly every 10 minutes and accidentally soaked a few pairs of underwear. It's hard to hold it in when you're 9 months pregnant and in labor!\n\nI checked in with Barbara at 4:30 and she also spoke to Ilaria and asked to be called to come over at a point in labor knowing that it would take her about 2 hours to get to me (she had to pick up the assistants and make the hour drive). This is the point where Barbara's notes say that \"active labor\" began.\n\nWe ordered pizza around 6pm and Chris went to pick it up. I hadn't felt nauseous up to that point but I was skeptical about my ability to keep down pizza once labor really got started. Katie and Ilaria thought it was a good idea for me to eat dinner so we all sat down around the dining table at 7pm for dinner. The pizza was delicious and I never ended up getting sick!\n\nMy contractions were getting stronger while we ate dinner, a point I didn't realize until Katie asked me if they were and said she could tell because I was closing my eyes periodically. Chris did Dahlia's bedtime routine at 7:30 and she didn't protest going to sleep at all. Usually she tries to get put down in \"Mama's room\" at the very least but she just went into her crib without any fussing. I wonder if she could just tell that that night was different and required more cooperation. Everyone sat down in the living room after dinner but that wasn't my \"zone\" so I asked to go back to the basement.\n\nI asked Chris to join us in the basement because I was ready to get to work and wanted him there. He had stayed out of the way up until that point because girl time really was what I had been needing. Ilaria did more acupressure and I commented that contractions were getting stronger without any sort of real intervention. With Dahlia I took castor oil, had acupuncture done, and still contractions took a long time to ramp up. I was feeling gradually stronger contractions this time just as time went on.\n\nIlaria asked my thoughts on when I might need Barbara considering her lead time and I said we should probably tell her to come (7:50pm) because I imagined by 10pm I would be more than ready for her to be there. I texted her and Chris followed up with a phone call.\n\nI asked for Hypnobabies to be put on and I got out my essential oil mixture for back pain. It felt amazing for Ilaria to rub it into my lower back during contractions. I felt the contractions really low in the front and the contraction would wrap around to my back. I didn't feel any pressure but just a heavy ache as my body did the work necessary to open for this baby to be born. My preferred position was on the exercise ball with Chris sitting in a chair in front of me and Ilaria rubbing my back sitting in a chair behind me. When a contraction would start I would motion for Chris to lean forward and I would press my forehead into him while gripping his hands.\n\nMy parents arrived at 9:30 and I was so relieved to see my mom that I cried. I didn't realize that the rainstorm by us was hail and sleet up by them so their journey down had been harrowing and took 4.5 hours instead of the usual 3. We had decided to fill the birth pool before my parents arrived and Katie was busy boiling water on the stove because the hot water had ran out. My mom asked her \"Is my daughter really in labor?\" and Katie said \"Oh yeah she is!\" before my mom came down to the basement to see me herself.\n\nBarbara and her assistants arrived at 10pm and my contractions were hard but not rolling through me yet. That's how I view transition. You have to let the contractions roll through you instead of get on top of you but there isn't much more that can be done to get through them. I went to the bathroom with Chris and we talked about how close we were to meeting our new baby girl.\n\nThe birth team opened up the sofa bed and put down the plastic cover and white sheet on it before I got out of the bathroom. They spread out the chux pads and had me lie down so Barbara could do a cervical check. The cervical check showed that I was 4cm dilated but completely thinned and at -1 station and as she finished her check pop! my water broke. I didn't have another contraction right away and in my head I knew that NOW things were going to get intense. I had read enough birth stories to know that when your water breaks, the cushion is removed, and contractions get as real as they are going to get. I was disappointed that since my cervical check the afternoon before I had dilated only 1-2cm but Barbara assured me that I had called her to come at exactly the right time.\n\nSince Dahlia was breech, I didn't know what to expect, and I still don't know what is \"normal\" but needless to say that the pain of this baby's tiny head pushing against my cervix was a lot. Also, the contractions were double peaking so it felt like the contractions were never ending and non-stop. Perhaps it felt that way because in fact, they were. Barbara's notes show that the contractions were every 2 minutes, lasting 70 seconds. I again had Chris position himself in a chair in front of me so I could continue with my forehead pressing/hand gripping. I would loudly moan (okay, more like low tone yell)\n\nthrough the contraction and that made it bearable. By the end of each contraction my arms were shaking from how hard I gripped Chris, the poor guy! Oh wait, I don't feel bad.\n\nThe initial cervical check was done at 10:10 and at 11:00pm, I was reminded of my desire to get in the birth pool. Barbara said if I wanted that to happen, it had to happen now. I wasn't sure how I could lie down again for Barbara to check me or how I could get up from where I was (sitting on the side of the pull out sofa) to get into the birth pool, but somehow both of these things were accomplished. The check showed I was at 7cm and 0 station (3 cm in 50 minutes, not shabby!) and with monumental effort and support from Chris, I made my way the few feet to the birth pool.\n\nAh, relief. The water felt so great. With Dahlia, I didn't have the pain of the baby's head pushing against my cervix so also I didn't find relief in the water. With this labor, I felt a lightening of the pressure and found comfort in the warm water. I had a break in contractions long enough for me to get comfortable and take a few deep breaths. Then, the contractions started again with full force. I continued to squeeze Chris' hand with all my might while lying draped over the side of the birth pool. My mom poured water on my back but I told her to stop because it was messing with my concentration/attempt to stay relaxed. I was very aware of the feeling of the baby's head getting lower and lower. I wondered to myself what it would feel like to be fully dilated with this immense pressure and just as I realized how terrified I was of pushing that gigantic head out of my vagina, the contractions entirely changed and I knew that I was at the point of having to make it through that fear and pain to meet my daughter.\n\nI don't know how it looked to others but in my head it replays as that my eyes suddenly flew open and I flipped myself over onto my back while announcing she was coming. I felt her head RIGHT there and since Dahlia was breech, this was entirely new to me <cursor_is_here>\n</text>\n", "role": "user" }, { "content": "and I asked everyone what to do at that moment.", "role": "assistant" } ]
RAND MINING NL A B N 4 1 0 0 4 6 6 9 6 5 8 NOTICE OF ANNUAL GENERAL MEETING The Annual General Meeting of the Company will be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday 30 November 2009 at 8.45am (WST). RAND MINING NL A B N 4 1 0 0 4 6 6 9 6 5 8 NOTICE OF ANNUAL GENERAL MEETING Notice is hereby given that the annual general meeting of Shareholders of Rand Mining NL (Company) will be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday, 30 November 2009 at 8.45am (WST) (Meeting). The Explanatory Memorandum to this Notice provides additional information on matters to be considered at the Meeting. The Explanatory Memorandum and the Proxy Form form part of this Notice. The Directors have determined pursuant to regulation 7.11.37 of the Corporations Regulations 2001 (Cth) that the persons eligible to vote at the Meeting are those who are registered as Shareholders on Saturday, 28 November 2009 at 5.00pm (WST). Terms and abbreviations used in this Notice and the Explanatory Memorandum are defined in Schedule 1. AGENDA Financial, Directors' and Auditor's Reports To receive the Financial Report, Directors' Report and Auditor's Report for the financial year ended 30 June 2009. 1. Resolution 1 –Remuneration Report To consider, and if thought fit, pass as an ordinary resolution with or without amendment the following: "That, for the purposes of Section 250R(2) of the Corporations Act, the Remuneration Report be adopted by the Shareholders on the terms and conditions in the Explanatory Memorandum." 2. Resolution 2 – Re-election of Mr Gordon Sklenka as a Director To consider, and if thought fit, pass as an ordinary resolution with or without amendment the following: "That Mr Gordon Sklenka, who retires by rotation in accordance with rule 10(1)(h) of the Constitution and, being eligible, offers himself for re-election, be re-elected as a Director." 3. Resolution 3 – Appointment of Auditor To consider and if thought fit, pass as an ordinary resolution with or without amendment the following: "That for the purposes of Section 327B of the Corporations Act, Grant Thornton Audit Pty Ltd, having consented to act as the Company's auditor, be appointed the Company's auditor." 4. Resolution 4 – Authorise Rights Issue To consider, and if thought fit, pass as an ordinary resolution with or without amendment the following: "That, Shareholders authorise and approve the Company to issue up to 20,280,406 Shares with an issue price of $0.32 per share via a non renounceable rights issue to Shareholders on the terms and conditions in the Explanatory Memorandum (Rights Issue)" Voting Exclusion The Company will disregard any votes cast on this Resolution by Tribune Resources NL, a Director or any associate of a Director. However, the Company will not disregard a vote if: (a) it is cast by the person as proxy for a person who is entitled to vote, in accordance with directions on the Proxy Form; or (b) it is cast by the person chairing the Meeting as proxy for a person who is entitled to vote, in accordance with a direction on the Proxy Form to vote as the proxy decides. 5. Resolution 5 – Section 195 Approval To consider, and if thought fit, pass as an ordinary resolution with or without amendment the following: "That, for the purposes of section 195(4) of the Corporations Act and for all other purposes, Shareholders approve and authorise the Directors to complete the transactions contemplated in this Notice" Dated 13 October 2009 By Order of the Board Mr Roland Berzins Company Secretary RAND MINING NL A B N 4 1 0 0 4 6 6 9 6 5 8 EXPLANATORY MEMORANDUM Introduction This Explanatory Memorandum has been prepared for the information of Shareholders in connection with the business to be conducted at the Meeting to be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday, 30 November 2009 at 8.45am (WST). 1. Financial, Directors' and Auditor's Reports Shareholders will be offered the opportunity to discuss the Financial Report, Directors' Report and Auditor's Report for the financial year ended 30 June 2009 copies of which are on the Company's website at www.randmining.com.au. There is no requirement for Shareholders to approve these reports. Shareholders will also be given a reasonable opportunity to ask the auditor questions about the conduct of the audit and the preparation and content of the Auditor's Report, the accounting policies adopted by the Company in relation to the preparation of the financial statements and the independence of the auditor in relation to the conduct of the audit. As a Shareholder, you are entitled to submit one written question to the auditor prior to the Meeting provided that the question relates to: (a) the content of the Auditor's Report; or (b) the conduct of the audit in relation to the Financial Report. All written questions must be received by the Company no later than 5 business days before the Meeting. All questions must be sent to the Company and may not be sent direct to the auditor. The Company will then forward all questions to the auditor. The auditor will answer all written questions submitted prior to the Annual General Meeting. Copies of the questions, if any, submitted to the Company's auditor will be available at the meeting and posted on the Company's website. 2. Resolution 1 – Remuneration Report Pursuant to section 250R(2) of the Corporations Act, the Company is required to put the Remuneration Report to the vote of Shareholders. The Annual Report contains a Remuneration Report which sets out the remuneration policy for the Company and reports the remuneration arrangements in place for the Managing Director, specified executives and non-executive Directors. The Annual Report is available on the Company's website at www.randmining.com.au. The provisions of the Corporations Act provide that Resolution 1 need only be an advisory vote of Shareholders and does not bind the directors. Of itself, a failure of Shareholders to pass Resolution 1 will not require the Directors to alter any of the arrangements in the Remuneration Report. However, the Board will take the outcome of the vote into consideration when considering the remuneration policy. The chairman of the Meeting will allow a reasonable opportunity for Shareholders as a whole to ask about, or make comments on, the Remuneration Report. 3. Resolution 2 – Re-election of Mr Gordon Sklenka Rule 10(1)(e) of the Constitution requires that one third of the Directors must retire at each annual general meeting (rounded down to the nearest whole number). Rule 10(1)(h) provides that a Director who retires under rule 10(1)(e) is eligible for reelection. Pursuant to the Constitution, Mr Gordon Sklenka will retire by rotation and seek re-election. A brief resume of Mr Sklenka is contained in the Annual Report. The Board believes that Mr Sklenka has performed the duties and responsibilities of a director diligently and professionally, in the best interests of all Shareholders. The Board unanimously supports the re-election of Mr Sklenka. 4. Resolution 3 – Appointment of Auditor Grant Thornton (WA) Partnership Pty Ltd has given the Company notice in writing of it's intention to resign as auditor of the Company and has applied to ASIC consent to the resignation pursuant to section 329(5) of the Corporations Act. Grant Thornton Audit Pty Ltd having consented to act seeks to be appointed as the Company's auditor by this Resolution 3. In accordance with section 328B(1) of the Corporations Act, a Shareholder has by written notice nominated Grant Thornton Audit Pty Ltd. A copy of the written notice of nomination is attached to this Notice in Schedule 2. 5. Resolution 4 – Authorise Rights Issue 5.1 Background and Purpose of Rights Issue On or about 3 rd January 2006 a shareholder of the Company, Tribune Resources NL (Tribune), extended a gold bullion loan facility to the Company in the form of a 4,000 ounce gold bullion. Interest on the loan accrues daily on an adjusted fair value of the gold bullion at 8% per annum. At 31 July 2009, the principal of the loan and its interest was $5,990,432.32 (Tribune Debt). The Board considers that it is in the best interests of the Company that the Tribune Debt be repaid in full and the funds required to repay the Tribune Debt be raised through the Rights Issue. Completion of the Rights Issue will result in an increase in the cash on hand of up to approximately $6,489,730 (before the payment of costs associated with the Rights Issue), assuming that no existing options for Shares are exercised prior to the record date of the Rights Issue. The funds raised pursuant to the Rights Issue will be used to: (a) repay the Tribune Debt; and (b) supplement the Company's working capital. 5.2 Terms and Conditions of Rights Offer The Rights Issue will be on the following terms and conditions: (a) the Company will issue a maximum of 20,280,406 new Shares at an issue price of $0.32 each to raise $6,489,730 (prior to costs); (b) each existing Shareholder will be offered one new Share for every two Shares held at the record date (such date to be determined); (c) the new Shares to be issued will rank parri passu with the existing Shares; (d) the issue of the new Shares will occur progressively and no later than 3 months after the date of the Meeting; and (e) a voting exclusion statement is included in the Notice. The Rights Issue will be underwritten by Tribune who will receive a fee of 5% of the funds raised under the Rights Issue. 6. Resolution 5 – Section 195 Approval Section 195 of the Corporations Act essentially provides that a director of a public company may not vote or be present during meetings of directors when matters in which that director holds a "material personal interest" are being considered. The Directors may have a material personal interest in the outcome of Resolution 4 by reason of their directorships of Tribune. In the absence of this Resolution 5, the Directors may not be able to form a quorum at directors meetings necessary to carry out the terms of the Rights Issue. The Directors have accordingly exercised their right under section 195(4) of the Corporations Act to put the issue to Shareholders to resolve upon. 7. Action to be taken by Shareholders Shareholders should read this Explanatory Memorandum carefully before deciding how to vote on the Resolutions. A Proxy Form is attached to the Notice. This is to be used by Shareholders if they wish to appoint a representative (a "proxy") to vote in their place. All Shareholders are invited and encouraged to attend the Meeting or, if they are unable to attend in person, to sign and return the Proxy Form to the Company in accordance with the instructions provided. Lodgement of a Proxy Form will not preclude a Shareholder from attending and voting at the Meeting in person. Schedule 1 – Definitions In this Explanatory Memorandum and Notice: Annual Report means the 2009 Annual Report of the Company and its controlled entities (if any) a copy of which was lodged with the ASX. ASIC means the Australian Securities and Investments Commission. ASX means ASX Limited ABN 98 008 624 691 and where the context permits the Australian Securities Exchange operated by ASX Limited. Auditor's Report means the auditor's report on the Financial Report. Board means the board of Directors. Company means Rand Mining NL ABN 41 004 669 658. Constitution means the Constitution of the Company. Corporations Act means the Corporations Act 2001 (Cth). Director means a director of the Company and Directors means the directors of the Company. Directors Report means the annual directors report prepared under Chapter 2M of the Corporations Act for the Company and its controlled entities (if any). Explanatory Memorandum means the explanatory memorandum to the Notice. Financial Report means the annual financial report prepared under Chapter 2M of the Corporations Act of the Company and its controlled entities (if any). Listing Rules means the Listing Rules of ASX. Meeting has the meaning given in the introductory paragraph of the Notice. Notice means this notice of meeting. Proxy Form means the proxy form attached to the Notice. Remuneration Report means the remuneration report of the Company contained in the Annual Report. Resolution means a resolution contained in this Notice. Schedule means a Schedule to this Notice. Share means, as contemplated by this Notice, fully paid ordinary share in the capital of the Company. Shareholder means a shareholder of the Company. WST means Western Standard Time, being the time in Perth, Western Australia. RAND MINING NL ABN 41 004 669 658 PROXY FORM I/We 1 _____________________________________________________________________________ of ________________________________________________________________________________ being a Shareholder/Shareholders of the Company and entitled _______________________________ votes in the Company, hereby appoint 2 __________________________________________________ or failing such appointment the chairman of the Meeting as my/our proxy to vote for me/us on my/our behalf at the annual general meeting of the Company to be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday, 30 November 2009 at 8.45am (WST) and at any adjournment thereof in the manner indicated below or, in the absence of indication, as he thinks fit. If 2 proxies are appointed, the proportion or number of votes of this proxy is authorised to exercise is * [ ]% of the Shareholder's votes/ [ ] of the Shareholder's votes. (An additional Proxy Form will be supplied by the Company, on request). INSTRUCTIONS AS TO VOTING ON RESOLUTIONS IMPORTANT: If the chairman of the Meeting is to be your proxy and you have not directed your proxy how to vote on a Resolution please tick this box. By marking this box you acknowledge that the chairman of the Meeting may exercise your proxy even if he has an interest in the outcome of the Resolution and that votes cast by him, other than as proxy holder, would be disregarded because of that interest. If you do not mark this box, and you have not directed your proxy how to vote, the chairman of the Meeting will not cast your votes on the Resolution and your votes will not be counted in computing the required majority if a poll is called on the Resolution. The chairman of the Meeting intends to vote undirected proxies in favour of the Resolutions. The proxy is to vote for or against the Resolution referred to in the Notice as follows: For Against Abstain Resolution 1 Adoption of Remuneration Report Resolution 2 Re-election of Mr Gordon Sklenka as a Director Resolution 3 Approval of Appointment of Auditor Resolution 4 Approval of Rights Issue Resolution 5 Section 195 Approval 1 Authorised signature/s This section must be signed in accordance with the instructions below to enable your voting instructions to be implemented. Individual or Shareholder 1 Shareholder 2 Shareholder 3 Sole Director and Sole Company Secretary Director Director/Company Secretary _________________________ _______________________ ___________________ Contact Name Contact Daytime Telephone Date 1 Insert name and address of Shareholder 2 Insert name and address of proxy Omit if not applicable Proxy Notes: A Shareholder entitled to attend and vote at the Meeting may appoint a natural person as the Shareholder's proxy to attend and vote for the Shareholder at that Meeting. If the Shareholder is entitled to cast 2 or more votes at the Meeting the Shareholder may appoint not more than 2 proxies. Where the Shareholder appoints more than one proxy the Shareholder may specify the proportion or number of votes each proxy is appointed to exercise. If such proportion or number of votes is not specified each proxy may exercise half of the Shareholder's votes. A proxy may, but need not be, a Shareholder of the Company. If a Shareholder appoints a body corporate as the Shareholder's proxy to attend and vote for the Shareholder at that Meeting, the representative of the body corporate to attend the Meeting must produce the Certificate of Appointment of Representative prior to admission. A form of the certificate may be obtained from the Company's share registry. You must sign this form as follows in the spaces provided: Joint Holding: where the holding is in more than one name all of the holders must sign. Power of Attorney: if signed under a Power of Attorney, you must have already lodged it with the registry, or alternatively, attach a certified photocopy of the Power of Attorney to this Proxy Form when you return it. Companies: a Director can sign jointly with another Director or a Company Secretary. A sole Director who is also a sole Company Secretary can also sign. Please indicate the office held by signing in the appropriate space. If a representative of the corporation is to attend the Meeting the appropriate "Certificate of Appointment of Representative" should be produced prior to admission. A form of the certificate may be obtained from the Company's Share Registry. Return of Proxy Forms Proxy Forms (and the power of attorney or other authority, if any, under which the Proxy Form is signed) or a copy or facsimile which appears on its face to be an authentic copy of the Proxy Form (and the power of attorney or other authority) must be deposited at or received by facsimile transmission at the Company's office as set out below not less than 48 hours prior to the time of commencement of the annual general meeting (WST). Facsimile: +618 9367 9386 Post: PO Box 307, West Perth WA 6872. Delivery: Suite G1/49 Melville Parade, South Perth WA 6151. 2	<urn:uuid:76a9539d-36af-4e07-8e1b-874c88b80e28>	CC-MAIN-2021-49	http://randmining.com.au/wp-content/uploads/austocks/rnd/2009_10_19_RND_1255939217.pdf	2021-12-09T01:17:13+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-49/subset=warc/part-00259-eb7089cf-762b-4a3e-8cab-20b677c0d246.c000.gz.parquet	66,928,750	3,900	eng_Latn	eng_Latn	0.94186	eng_Latn	0.995773	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 244, 2101, 3622, 6319, 8847, 10997, 12791, 15001, 17926 ]	RAND MINING NL A B N 4 1 0 0 4 6 6 9 6 5 8 NOTICE OF AN	NUAL GENERAL MEETING The Annual General Meeting of the Company will be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday 30 November 2009 at 8.	45am (WST). RAND MINING NL A B N 4 1 0 0 4 6 6 9 6 5 8 NOTICE OF ANNUAL GENERAL MEETING Notice is hereby given that the annual general meeting of Shareholders of Rand Mining NL (Company) will be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday, 30 November 2009 at 8.45am (WST) (Meeting). The Explanatory Memorandum to this Notice provides additional information on matters to be considered at the Meeting. The Explanatory Memorandum and the Proxy Form form part of this Notice. The Directors have determined pursuant to regulation 7.11.37 of the Corporations Regulations 2001 (Cth) that the persons eligible to vote at the Meeting are those who are registered as Shareholders on Saturday, 28 November 2009 at 5.00pm (WST). Terms and abbreviations used in this Notice and the Explanatory Memorandum are defined in Schedule 1. AGENDA Financial, Directors' and Auditor's Reports To receive the Financial Report, Directors' Report and Auditor's Report for the financial year ended 30 June 2009. 1. Resolution 1 –Remuneration Report To consider, and if thought fit, pass as an ordinary resolution with or without amendment the following: "That, for the purposes of Section 250R(2) of the Corporations Act, the Remuneration Report be adopted by the Shareholders on the terms and conditions in the Explanatory Memorandum." 2. Resolution 2 – Re-election of Mr Gordon Sklenka as a Director To consider, and if thought fit, pass as an ordinary resolution with or without amendment the following: "That Mr Gordon Sklenka, who retires by rotation in accordance with rule 10(1)(h) of the Constitution and, being eligible, offers himself for re-election, be re-elected as a Director." 3. Resolution 3 – Appointment of Auditor To consider and if thought fit, pass as an ordinary resolution with or without amendment the following: "That for the purposes of Section 327B of the Corporations Act, Grant Thornton Audit Pty Ltd, having consented to act as the Company's auditor, be appointed the Company's auditor." 4. Resolution 4 – Authorise Rights Issue To consider, and if thought fit, pass as an ordinary resolution with or without amendment the following: "That, Shareholders authorise and approve the Company to issue up to 20,280,406 Shares with an issue price of $0.32 per share via a non renounceable rights issue to Shareholders on the terms and conditions in the Explanatory Memorandum (Rights Issue)" Voting Exclusion The Company will disregard any votes cast on this Resolution by Tribune Resources NL, a Director or any associate of a Director. However, the Company will not disregard a vote if: (a) it is cast by the person as proxy for a person who is entitled to vote, in accordance with directions on the Proxy Form; or (b) it is cast by the person chairing the Meeting as proxy for a person who is entitled to vote, in accordance with a direction on the Proxy Form to vote as the proxy decides. 5. Resolution 5 – Section 195 Approval To consider, and if thought fit, pass as an ordinary resolution with or without amendment the following: "That, for the purposes of section 195(4) of the Corporations Act and for all other purposes, Shareholders approve and authorise the Directors to complete the transactions contemplated in this Notice" Dated 13 October 2009 By Order of the Board Mr Roland Berzins Company Secretary RAND MINING NL A B N 4 1 0 0 4 6 6 9 6 5 8 EXPLANATORY MEMORANDUM Introduction This Explanatory Memorandum has been prepared for the information of Shareholders in connection with the business to be conducted at the Meeting to be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday, 30 November 2009 at 8.45am (WST). 1. Financial, Directors' and Auditor's Reports Shareholders will be offered the opportunity to discuss the Financial Report, Directors' Report and Auditor's Report for the financial year ended 30 June 2009 copies of which are on the Company's website at www.randmining.com.au. There is no requirement for Shareholders to approve these reports. Shareholders will also be given a reasonable opportunity to ask the auditor questions about the conduct of the audit and the preparation and content of the Auditor's Report, the accounting policies adopted by the Company in relation to the preparation of the financial statements and the independence of the auditor in relation to the conduct of the audit. As a Shareholder, you are entitled to submit one written question to the auditor prior to the Meeting provided that the question relates to: (a) the content of the Auditor's Report; or (b) the conduct of the audit in relation to the Financial Report. All written questions must be received by the Company no later than 5 business days before the Meeting. All questions must be sent to the Company and may not be sent direct to the auditor. The Company will then forward all questions to the auditor. The auditor will answer all written questions submitted prior to the Annual General Meeting. Copies of the questions, if any, submitted to the Company's auditor will be available at the meeting and posted on the Company's website. 2. Resolution 1 – Remuneration Report Pursuant to section 250R(2) of the Corporations Act, the Company is required to put the Remuneration Report to the vote of Shareholders. The Annual Report contains a Remuneration Report which sets out the remuneration policy for the Company and reports the remuneration arrangements in place for the Managing Director, specified executives and non-executive Directors. The Annual Report is available on the Company's website at www.randmining.com.au. The provisions of the Corporations Act provide that Resolution 1 need only be an advisory vote of Shareholders and does not bind the directors. Of itself, a failure of Shareholders to pass Resolution 1 will not require the Directors to alter any of the arrangements in the Remuneration Report. However, the Board will take the outcome of the vote into consideration when considering the remuneration policy. The chairman of the Meeting will allow a reasonable opportunity for Shareholders as a whole to ask about, or make comments on, the Remuneration Report. 3. Resolution 2 – Re-election of Mr Gordon Sklenka Rule 10(1)(e) of the Constitution requires that one third of the Directors must retire at each annual general meeting (rounded down to the nearest whole number). Rule 10(1)(h) provides that a Director who retires under rule 10(1)(e) is eligible for reelection. Pursuant to the Constitution, Mr Gordon Sklenka will retire by rotation and seek re-election. A brief resume of Mr Sklenka is contained in the Annual Report. The Board believes that Mr Sklenka has performed the duties and responsibilities of a director diligently and professionally, in the best interests of all Shareholders. The Board unanimously supports the re-election of Mr Sklenka. 4. Resolution 3 – Appointment of Auditor Grant Thornton (WA) Partnership Pty Ltd has given the Company notice in writing of it's intention to resign as auditor of the Company and has applied to ASIC consent to the resignation pursuant to section 329(5) of the Corporations Act. Grant Thornton Audit Pty Ltd having consented to act seeks to be appointed as the Company's auditor by this Resolution 3. In accordance with section 328B(1) of the Corporations Act, a Shareholder has by written notice nominated Grant Thornton Audit Pty Ltd. A copy of the written notice of nomination is attached to this Notice in Schedule 2. 5. Resolution 4 – Authorise Rights Issue 5.1 Background and Purpose of Rights Issue On or about 3 rd January 2006 a shareholder of the Company, Tribune Resources NL (Tribune), extended a gold bullion loan facility to the Company in the form of a 4,000 ounce gold bullion. Interest on the loan accrues daily on an adjusted fair value of the gold bullion at 8% per annum. At 31 July 2009, the principal of the loan and its interest was $5,990,432.32 (Tribune Debt). The Board considers that it is in the best interests of the Company that the Tribune Debt be repaid in full and the funds required to repay the Tribune Debt be raised through the Rights Issue. Completion of the Rights Issue will result in an increase in the cash on hand of up to approximately $6,489,730 (before the payment of costs associated with the Rights Issue), assuming that no existing options for Shares are exercised prior to the record date of the Rights Issue. The funds raised pursuant to the Rights Issue will be used to: (a) repay the Tribune Debt; and (b) supplement the Company's working capital. 5.2 Terms and Conditions of Rights Offer The Rights Issue will be on the following terms and conditions: (a) the Company will issue a maximum of 20,280,406 new Shares at an issue price of $0.32 each to raise $6,489,730 (prior to costs); (b) each existing Shareholder will be offered one new Share for every two Shares held at the record date (such date to be determined); (c) the new Shares to be issued will rank parri passu with the existing Shares; (d) the issue of the new Shares will occur progressively and no later than 3 months after the date of the Meeting; and (e) a voting exclusion statement is included in the Notice. The Rights Issue will be underwritten by Tribune who will receive a fee of 5% of the funds raised under the Rights Issue. 6. Resolution 5 – Section 195 Approval Section 195 of the Corporations Act essentially provides that a director of a public company may not vote or be present during meetings of directors when matters in which that director holds a "material personal interest" are being considered. The Directors may have a material personal interest in the outcome of Resolution 4 by reason of their directorships of Tribune. In the absence of this Resolution 5, the Directors may not be able to form a quorum at directors meetings necessary to carry out the terms of the Rights Issue. The Directors have accordingly exercised their right under section 195(4) of the Corporations Act to put the issue to Shareholders to resolve upon. 7. Action to be taken by Shareholders Shareholders should read this Explanatory Memorandum carefully before deciding how to vote on the Resolutions. A Proxy Form is attached to the Notice. This is to be used by Shareholders if they wish to appoint a representative (a "proxy") to vote in their place. All Shareholders are invited and encouraged to attend the Meeting or, if they are unable to attend in person, to sign and return the Proxy Form to the Company in accordance with the instructions provided. Lodgement of a Proxy Form will not preclude a Shareholder from attending and voting at the Meeting in person. Schedule 1 – Definitions In this Explanatory Memorandum and Notice: Annual Report means the 2009 Annual Report of the Company and its controlled entities (if any) a copy of which was lodged with the ASX. ASIC means the Australian Securities and Investments Commission. ASX means ASX Limited ABN 98 008 624 691 and where the context permits the Australian Securities Exchange operated by ASX Limited. Auditor's Report means the auditor's report on the Financial Report. Board means the board of Directors. Company means Rand Mining NL ABN 41 004 669 658. Constitution means the Constitution of the Company. Corporations Act means the Corporations Act 2001 (Cth). Director means a director of the Company and Directors means the directors of the Company. Directors Report means the annual directors report prepared under Chapter 2M of the Corporations Act for the Company and its controlled entities (if any). Explanatory Memorandum means the explanatory memorandum to the Notice. Financial Report means the annual financial report prepared under Chapter 2M of the Corporations Act of the Company and its controlled entities (if any). Listing Rules means the Listing Rules of ASX. Meeting has the meaning given in the introductory paragraph of the Notice. Notice means this notice of meeting. Proxy Form means the proxy form attached to the Notice. Remuneration Report means the remuneration report of the Company contained in the Annual Report. Resolution means a resolution contained in this Notice. Schedule means a Schedule to this Notice. Share means, as contemplated by this Notice, fully paid ordinary share in the capital of the Company. Shareholder means a shareholder of the Company. WST means Western Standard Time, being the time in Perth, Western Australia. RAND MINING NL ABN 41 004 669 658 PROXY FORM I/We 1 _____________________________________________________________________________ of ________________________________________________________________________________ being a Shareholder/Shareholders of the Company and entitled _______________________________ votes in the Company, hereby appoint 2 __________________________________________________ or failing such appointment the chairman of the Meeting as my/our proxy to vote for me/us on my/our behalf at the annual general meeting of the Company to be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday, 30 November 2009 at 8.45am (WST) and at any adjournment thereof in the manner indicated below or, in the absence of indication, as he thinks fit. If 2 proxies are appointed, the proportion or number of votes of this proxy is authorised to exercise is * [ ]% of the Shareholder's votes/ [ ] of the Shareholder's votes. (An additional Proxy Form will be supplied by the Company, on request). INSTRUCTIONS AS TO VOTING ON RESOLUTIONS IMPORTANT: If the chairman of the Meeting is to be your proxy and you have not directed your proxy how to vote on a Resolution please tick this box. By marking this box you acknowledge that the chairman of the Meeting may exercise your proxy even if he has an interest in the outcome of the Resolution and that votes cast by him, other than as proxy holder, would be disregarded because of that interest. If you do not mark this box, and you have not directed your proxy how to vote, the chairman of the Meeting will not cast your votes on the Resolution and your votes will not be counted in computing the required majority if a poll is called on the Resolution. The chairman of the Meeting intends to vote undirected proxies in favour of the Resolutions. The proxy is to vote for or against the Resolution referred to in the Notice as follows: For Against Abstain Resolution 1 Adoption of Remuneration Report Resolution 2 Re-election of Mr Gordon Sklenka as a Director Resolution 3 Approval of Appointment of Auditor Resolution 4 Approval of Rights Issue Resolution 5 Section 195 Approval 1 Authorised signature/s This section must be signed in accordance with the instructions below to enable your voting instructions to be implemented. Individual or Shareholder 1 Shareholder 2 Shareholder 3 Sole Director and Sole Company Secretary Director Director/Company Secretary _________________________ _______________________ ___________________ Contact Name Contact Daytime Telephone Date 1 Insert name and address of Shareholder 2 Insert name and address of proxy Omit if not applicable Proxy Notes: A Shareholder entitled to attend and vote at the Meeting may appoint a natural person as the Shareholder's proxy to attend and vote for the Shareholder at that Meeting. If the Shareholder is entitled to cast 2 or more votes at the Meeting the Shareholder may appoint not more than 2 proxies. Where the Shareholder appoints more than one proxy the Shareholder may specify the proportion or number of votes each proxy is appointed to exercise. If such proportion or number of votes is not specified each proxy may exercise half of the Shareholder's votes. A proxy may, but need not be, a Shareholder of the Company. If a Shareholder appoints a body corporate as the Shareholder's proxy to attend and vote for the Shareholder at that Meeting, the representative of the body corporate to attend the Meeting must produce the Certificate of Appointment of Representative prior to admission. A form of the certificate may be obtained from the Company's share registry. You must sign this form as follows in the spaces provided: Joint Holding: where the holding is in more than one name all of the holders must sign. Power of Attorney: if signed under a Power of Attorney, you must have already lodged it with the registry, or alternatively, attach a certified photocopy of the Power of Attorney to this Proxy Form when you return it. Companies: a Director can sign jointly with another Director or a Company Secretary. A sole Director who is also a sole Company Secretary can also sign. Please indicate the office held by signing in the appropriate space. If a representative of the corporation is to attend the Meeting the appropriate "Certificate of Appointment of Representative" should be produced prior to admission. A form of the certificate may be obtained from the Company's Share Registry. Return of Proxy Forms Proxy Forms (and the power of attorney or other authority, if any, under which the Proxy Form is signed) or a copy or facsimile which appears on its face to be an authentic copy of the Proxy Form (and the power of attorney or other authority) must be deposited at or received by facsimile transmission at the Company's office as set out below not less than 48 hours prior to the time of commencement of the annual general meeting (WST). Facsimile: +618 9367 9386 Post: PO Box 307, West Perth WA 6872. Delivery: Suite G1/49 Melville Parade, South Perth WA 6151. 2	60	inside_word	ANNUAL	remove_one_sentence	<url> http://randmining.com.au/wp-content/uploads/austocks/rnd/2009_10_19_RND_1255939217.pdf </url> <text> RAND MINING NL A B N 4 1 0 0 4 6 6 9 6 5 8 NOTICE OF AN<cursor_is_here>45am (WST). RAND MINING NL A B N 4 1 0 0 4 6 6 9 6 5 8 NOTICE OF ANNUAL GENERAL MEETING Notice is hereby given that the annual general meeting of Shareholders of Rand Mining NL (Company) will be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday, 30 November 2009 at 8.45am (WST) (Meeting). The Explanatory Memorandum to this Notice provides additional information on matters to be considered at the Meeting. The Explanatory Memorandum and the Proxy Form form part of this Notice. The Directors have determined pursuant to regulation 7.11.37 of the Corporations Regulations 2001 (Cth) that the persons eligible to vote at the Meeting are those who are registered as Shareholders on Saturday, 28 November 2009 at 5.00pm (WST). Terms and abbreviations used in this Notice and the Explanatory Memorandum are defined in Schedule 1. AGENDA Financial, Directors' and Auditor's Reports To receive the Financial Report, Directors' Report and Auditor's Report for the financial year ended 30 June 2009. 1. Resolution 1 –Remuneration Report To consider, and if thought fit, pass as an ordinary resolution with or without amendment the following: "That, for the purposes of Section 250R(2) of the Corporations Act, the Remuneration Report be adopted by the Shareholders on the terms and conditions in the Explanatory Memorandum." 2. Resolution 2 – Re-election of Mr Gordon Sklenka as a Director To consider, and if thought fit, pass as an ordinary resolution with or without amendment the following: "That Mr Gordon Sklenka, who retires by rotation in accordance with rule 10(1)(h) of the Constitution and, being eligible, offers himself for re-election, be re-elected as a Director." 3. Resolution 3 – Appointment of Auditor To consider and if thought fit, pass as an ordinary resolution with or without amendment the following: "That for the purposes of Section 327B of the Corporations Act, Grant Thornton Audit Pty Ltd, having consented to act as the Company's auditor, be appointed the Company's auditor." 4. Resolution 4 – Authorise Rights Issue To consider, and if thought fit, pass as an ordinary resolution with or without amendment the following: "That, Shareholders authorise and approve the Company to issue up to 20,280,406 Shares with an issue price of $0.32 per share via a non renounceable rights issue to Shareholders on the terms and conditions in the Explanatory Memorandum (Rights Issue)" Voting Exclusion The Company will disregard any votes cast on this Resolution by Tribune Resources NL, a Director or any associate of a Director. However, the Company will not disregard a vote if: (a) it is cast by the person as proxy for a person who is entitled to vote, in accordance with directions on the Proxy Form; or (b) it is cast by the person chairing the Meeting as proxy for a person who is entitled to vote, in accordance with a direction on the Proxy Form to vote as the proxy decides. 5. Resolution 5 – Section 195 Approval To consider, and if thought fit, pass as an ordinary resolution with or without amendment the following: "That, for the purposes of section 195(4) of the Corporations Act and for all other purposes, Shareholders approve and authorise the Directors to complete the transactions contemplated in this Notice" Dated 13 October 2009 By Order of the Board Mr Roland Berzins Company Secretary RAND MINING NL A B N 4 1 0 0 4 6 6 9 6 5 8 EXPLANATORY MEMORANDUM Introduction This Explanatory Memorandum has been prepared for the information of Shareholders in connection with the business to be conducted at the Meeting to be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday, 30 November 2009 at 8.45am (WST). 1. Financial, Directors' and Auditor's Reports Shareholders will be offered the opportunity to discuss the Financial Report, Directors' Report and Auditor's Report for the financial year ended 30 June 2009 copies of which are on the Company's website at www.randmining.com.au. There is no requirement for Shareholders to approve these reports. Shareholders will also be given a reasonable opportunity to ask the auditor questions about the conduct of the audit and the preparation and content of the Auditor's Report, the accounting policies adopted by the Company in relation to the preparation of the financial statements and the independence of the auditor in relation to the conduct of the audit. As a Shareholder, you are entitled to submit one written question to the auditor prior to the Meeting provided that the question relates to: (a) the content of the Auditor's Report; or (b) the conduct of the audit in relation to the Financial Report. All written questions must be received by the Company no later than 5 business days before the Meeting. All questions must be sent to the Company and may not be sent direct to the auditor. The Company will then forward all questions to the auditor. The auditor will answer all written questions submitted prior to the Annual General Meeting. Copies of the questions, if any, submitted to the Company's auditor will be available at the meeting and posted on the Company's website. 2. Resolution 1 – Remuneration Report Pursuant to section 250R(2) of the Corporations Act, the Company is required to put the Remuneration Report to the vote of Shareholders. The Annual Report contains a Remuneration Report which sets out the remuneration policy for the Company and reports the remuneration arrangements in place for the Managing Director, specified executives and non-executive Directors. The Annual Report is available on the Company's website at www.randmining.com.au. The provisions of the Corporations Act provide that Resolution 1 need only be an advisory vote of Shareholders and does not bind the directors. Of itself, a failure of Shareholders to pass Resolution 1 will not require the Directors to alter any of the arrangements in the Remuneration Report. However, the Board will take the outcome of the vote into consideration when considering the remuneration policy. The chairman of the Meeting will allow a reasonable opportunity for Shareholders as a whole to ask about, or make comments on, the Remuneration Report. 3. Resolution 2 – Re-election of Mr Gordon Sklenka Rule 10(1)(e) of the Constitution requires that one third of the Directors must retire at each annual general meeting (rounded down to the nearest whole number). Rule 10(1)(h) provides that a Director who retires under rule 10(1)(e) is eligible for reelection. Pursuant to the Constitution, Mr Gordon Sklenka will retire by rotation and seek re-election. A brief resume of Mr Sklenka is contained in the Annual Report. The Board believes that Mr Sklenka has performed the duties and responsibilities of a director diligently and professionally, in the best interests of all Shareholders. The Board unanimously supports the re-election of Mr Sklenka. 4. Resolution 3 – Appointment of Auditor Grant Thornton (WA) Partnership Pty Ltd has given the Company notice in writing of it's intention to resign as auditor of the Company and has applied to ASIC consent to the resignation pursuant to section 329(5) of the Corporations Act. Grant Thornton Audit Pty Ltd having consented to act seeks to be appointed as the Company's auditor by this Resolution 3. In accordance with section 328B(1) of the Corporations Act, a Shareholder has by written notice nominated Grant Thornton Audit Pty Ltd. A copy of the written notice of nomination is attached to this Notice in Schedule 2. 5. Resolution 4 – Authorise Rights Issue 5.1 Background and Purpose of Rights Issue On or about 3 rd January 2006 a shareholder of the Company, Tribune Resources NL (Tribune), extended a gold bullion loan facility to the Company in the form of a 4,000 ounce gold bullion. Interest on the loan accrues daily on an adjusted fair value of the gold bullion at 8% per annum. At 31 July 2009, the principal of the loan and its interest was $5,990,432.32 (Tribune Debt). The Board considers that it is in the best interests of the Company that the Tribune Debt be repaid in full and the funds required to repay the Tribune Debt be raised through the Rights Issue. Completion of the Rights Issue will result in an increase in the cash on hand of up to approximately $6,489,730 (before the payment of costs associated with the Rights Issue), assuming that no existing options for Shares are exercised prior to the record date of the Rights Issue. The funds raised pursuant to the Rights Issue will be used to: (a) repay the Tribune Debt; and (b) supplement the Company's working capital. 5.2 Terms and Conditions of Rights Offer The Rights Issue will be on the following terms and conditions: (a) the Company will issue a maximum of 20,280,406 new Shares at an issue price of $0.32 each to raise $6,489,730 (prior to costs); (b) each existing Shareholder will be offered one new Share for every two Shares held at the record date (such date to be determined); (c) the new Shares to be issued will rank parri passu with the existing Shares; (d) the issue of the new Shares will occur progressively and no later than 3 months after the date of the Meeting; and (e) a voting exclusion statement is included in the Notice. The Rights Issue will be underwritten by Tribune who will receive a fee of 5% of the funds raised under the Rights Issue. 6. Resolution 5 – Section 195 Approval Section 195 of the Corporations Act essentially provides that a director of a public company may not vote or be present during meetings of directors when matters in which that director holds a "material personal interest" are being considered. The Directors may have a material personal interest in the outcome of Resolution 4 by reason of their directorships of Tribune. In the absence of this Resolution 5, the Directors may not be able to form a quorum at directors meetings necessary to carry out the terms of the Rights Issue. The Directors have accordingly exercised their right under section 195(4) of the Corporations Act to put the issue to Shareholders to resolve upon. 7. Action to be taken by Shareholders Shareholders should read this Explanatory Memorandum carefully before deciding how to vote on the Resolutions. A Proxy Form is attached to the Notice. This is to be used by Shareholders if they wish to appoint a representative (a "proxy") to vote in their place. All Shareholders are invited and encouraged to attend the Meeting or, if they are unable to attend in person, to sign and return the Proxy Form to the Company in accordance with the instructions provided. Lodgement of a Proxy Form will not preclude a Shareholder from attending and voting at the Meeting in person. Schedule 1 – Definitions In this Explanatory Memorandum and Notice: Annual Report means the 2009 Annual Report of the Company and its controlled entities (if any) a copy of which was lodged with the ASX. ASIC means the Australian Securities and Investments Commission. ASX means ASX Limited ABN 98 008 624 691 and where the context permits the Australian Securities Exchange operated by ASX Limited. Auditor's Report means the auditor's report on the Financial Report. Board means the board of Directors. Company means Rand Mining NL ABN 41 004 669 658. Constitution means the Constitution of the Company. Corporations Act means the Corporations Act 2001 (Cth). Director means a director of the Company and Directors means the directors of the Company. Directors Report means the annual directors report prepared under Chapter 2M of the Corporations Act for the Company and its controlled entities (if any). Explanatory Memorandum means the explanatory memorandum to the Notice. Financial Report means the annual financial report prepared under Chapter 2M of the Corporations Act of the Company and its controlled entities (if any). Listing Rules means the Listing Rules of ASX. Meeting has the meaning given in the introductory paragraph of the Notice. Notice means this notice of meeting. Proxy Form means the proxy form attached to the Notice. Remuneration Report means the remuneration report of the Company contained in the Annual Report. Resolution means a resolution contained in this Notice. Schedule means a Schedule to this Notice. Share means, as contemplated by this Notice, fully paid ordinary share in the capital of the Company. Shareholder means a shareholder of the Company. WST means Western Standard Time, being the time in Perth, Western Australia. RAND MINING NL ABN 41 004 669 658 PROXY FORM I/We 1 _____________________________________________________________________________ of ________________________________________________________________________________ being a Shareholder/Shareholders of the Company and entitled _______________________________ votes in the Company, hereby appoint 2 __________________________________________________ or failing such appointment the chairman of the Meeting as my/our proxy to vote for me/us on my/our behalf at the annual general meeting of the Company to be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday, 30 November 2009 at 8.45am (WST) and at any adjournment thereof in the manner indicated below or, in the absence of indication, as he thinks fit. If 2 proxies are appointed, the proportion or number of votes of this proxy is authorised to exercise is * [ ]% of the Shareholder's votes/ [ ] of the Shareholder's votes. (An additional Proxy Form will be supplied by the Company, on request). INSTRUCTIONS AS TO VOTING ON RESOLUTIONS IMPORTANT: If the chairman of the Meeting is to be your proxy and you have not directed your proxy how to vote on a Resolution please tick this box. By marking this box you acknowledge that the chairman of the Meeting may exercise your proxy even if he has an interest in the outcome of the Resolution and that votes cast by him, other than as proxy holder, would be disregarded because of that interest. If you do not mark this box, and you have not directed your proxy how to vote, the chairman of the Meeting will not cast your votes on the Resolution and your votes will not be counted in computing the required majority if a poll is called on the Resolution. The chairman of the Meeting intends to vote undirected proxies in favour of the Resolutions. The proxy is to vote for or against the Resolution referred to in the Notice as follows: For Against Abstain Resolution 1 Adoption of Remuneration Report Resolution 2 Re-election of Mr Gordon Sklenka as a Director Resolution 3 Approval of Appointment of Auditor Resolution 4 Approval of Rights Issue Resolution 5 Section 195 Approval 1 Authorised signature/s This section must be signed in accordance with the instructions below to enable your voting instructions to be implemented. Individual or Shareholder 1 Shareholder 2 Shareholder 3 Sole Director and Sole Company Secretary Director Director/Company Secretary _________________________ _______________________ ___________________ Contact Name Contact Daytime Telephone Date 1 Insert name and address of Shareholder 2 Insert name and address of proxy Omit if not applicable Proxy Notes: A Shareholder entitled to attend and vote at the Meeting may appoint a natural person as the Shareholder's proxy to attend and vote for the Shareholder at that Meeting. If the Shareholder is entitled to cast 2 or more votes at the Meeting the Shareholder may appoint not more than 2 proxies. Where the Shareholder appoints more than one proxy the Shareholder may specify the proportion or number of votes each proxy is appointed to exercise. If such proportion or number of votes is not specified each proxy may exercise half of the Shareholder's votes. A proxy may, but need not be, a Shareholder of the Company. If a Shareholder appoints a body corporate as the Shareholder's proxy to attend and vote for the Shareholder at that Meeting, the representative of the body corporate to attend the Meeting must produce the Certificate of Appointment of Representative prior to admission. A form of the certificate may be obtained from the Company's share registry. You must sign this form as follows in the spaces provided: Joint Holding: where the holding is in more than one name all of the holders must sign. Power of Attorney: if signed under a Power of Attorney, you must have already lodged it with the registry, or alternatively, attach a certified photocopy of the Power of Attorney to this Proxy Form when you return it. Companies: a Director can sign jointly with another Director or a Company Secretary. A sole Director who is also a sole Company Secretary can also sign. Please indicate the office held by signing in the appropriate space. If a representative of the corporation is to attend the Meeting the appropriate "Certificate of Appointment of Representative" should be produced prior to admission. A form of the certificate may be obtained from the Company's Share Registry. Return of Proxy Forms Proxy Forms (and the power of attorney or other authority, if any, under which the Proxy Form is signed) or a copy or facsimile which appears on its face to be an authentic copy of the Proxy Form (and the power of attorney or other authority) must be deposited at or received by facsimile transmission at the Company's office as set out below not less than 48 hours prior to the time of commencement of the annual general meeting (WST). Facsimile: +618 9367 9386 Post: PO Box 307, West Perth WA 6872. Delivery: Suite G1/49 Melville Parade, South Perth WA 6151. 2 </text>	[ { "content": "<url>\nhttp://randmining.com.au/wp-content/uploads/austocks/rnd/2009_10_19_RND_1255939217.pdf\n</url>\n<text>\nRAND MINING NL A B N 4 1 0 0 4 6 6 9 6 5 8\n\nNOTICE OF AN<cursor_is_here>45am (WST).\n\nRAND MINING NL A B N 4 1 0 0 4 6 6 9 6 5 8\n\nNOTICE OF ANNUAL GENERAL MEETING\n\nNotice is hereby given that the annual general meeting of Shareholders of Rand Mining NL (Company) will be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday, 30 November 2009 at 8.45am (WST) (Meeting).\n\nThe Explanatory Memorandum to this Notice provides additional information on matters to be considered at the Meeting. The Explanatory Memorandum and the Proxy Form form part of this Notice.\n\nThe Directors have determined pursuant to regulation 7.11.37 of the Corporations Regulations 2001 (Cth) that the persons eligible to vote at the Meeting are those who are registered as Shareholders on Saturday, 28 November 2009 at 5.00pm (WST).\n\nTerms and abbreviations used in this Notice and the Explanatory Memorandum are defined in Schedule 1.\n\nAGENDA\n\nFinancial, Directors' and Auditor's Reports\n\nTo receive the Financial Report, Directors' Report and Auditor's Report for the financial year ended 30 June 2009.\n\n1. Resolution 1 –Remuneration Report\n\nTo consider, and if thought fit, pass as an ordinary resolution with or without amendment the following:\n\n\"That, for the purposes of Section 250R(2) of the Corporations Act, the Remuneration Report be adopted by the Shareholders on the terms and conditions in the Explanatory Memorandum.\"\n\n2. Resolution 2 – Re-election of Mr Gordon Sklenka as a Director\n\nTo consider, and if thought fit, pass as an ordinary resolution with or without amendment the following:\n\n\"That Mr Gordon Sklenka, who retires by rotation in accordance with rule 10(1)(h) of the Constitution and, being eligible, offers himself for re-election, be re-elected as a Director.\"\n\n3. Resolution 3 – Appointment of Auditor\n\nTo consider and if thought fit, pass as an ordinary resolution with or without amendment the following:\n\n\"That for the purposes of Section 327B of the Corporations Act, Grant Thornton Audit Pty Ltd, having consented to act as the Company's auditor, be appointed the Company's auditor.\"\n\n4. Resolution 4 – Authorise Rights Issue\n\nTo consider, and if thought fit, pass as an ordinary resolution with or without amendment the following:\n\n\"That, Shareholders authorise and approve the Company to issue up to 20,280,406 Shares with an issue price of $0.32 per share via a non renounceable rights issue to Shareholders on the terms and conditions in the Explanatory Memorandum (Rights Issue)\"\n\nVoting Exclusion\n\nThe Company will disregard any votes cast on this Resolution by Tribune Resources NL, a Director or any associate of a Director. However, the Company will not disregard a vote if:\n\n(a) it is cast by the person as proxy for a person who is entitled to vote, in accordance with directions on the Proxy Form; or\n(b) it is cast by the person chairing the Meeting as proxy for a person who is entitled to vote, in accordance with a direction on the Proxy Form to vote as the proxy decides.\n\n5. Resolution 5 – Section 195 Approval\n\nTo consider, and if thought fit, pass as an ordinary resolution with or without amendment the following:\n\n\"That, for the purposes of section 195(4) of the Corporations Act and for all other purposes, Shareholders approve and authorise the Directors to complete the transactions contemplated in this Notice\"\n\nDated 13 October 2009 By Order of the Board\n\nMr Roland Berzins Company Secretary\n\nRAND MINING NL A B N 4 1 0 0 4 6 6 9 6 5 8\n\nEXPLANATORY MEMORANDUM\n\nIntroduction\n\nThis Explanatory Memorandum has been prepared for the information of Shareholders in connection with the business to be conducted at the Meeting to be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday, 30 November 2009 at 8.45am (WST).\n\n1. Financial, Directors' and Auditor's Reports\n\nShareholders will be offered the opportunity to discuss the Financial Report, Directors' Report and Auditor's Report for the financial year ended 30 June 2009 copies of which are on the Company's website at www.randmining.com.au. There is no requirement for Shareholders to approve these reports.\n\nShareholders will also be given a reasonable opportunity to ask the auditor questions about the conduct of the audit and the preparation and content of the Auditor's Report, the accounting policies adopted by the Company in relation to the preparation of the financial statements and the independence of the auditor in relation to the conduct of the audit. As a Shareholder, you are entitled to submit one written question to the auditor prior to the Meeting provided that the question relates to:\n\n(a) the content of the Auditor's Report; or\n(b) the conduct of the audit in relation to the Financial Report.\n\nAll written questions must be received by the Company no later than 5 business days before the Meeting. All questions must be sent to the Company and may not be sent direct to the auditor. The Company will then forward all questions to the auditor. The auditor will answer all written questions submitted prior to the Annual General Meeting. Copies of the questions, if any, submitted to the Company's auditor will be available at the meeting and posted on the Company's website.\n\n2. Resolution 1 – Remuneration Report\n\nPursuant to section 250R(2) of the Corporations Act, the Company is required to put the Remuneration Report to the vote of Shareholders. The Annual Report contains a Remuneration Report which sets out the remuneration policy for the Company and reports the remuneration arrangements in place for the Managing Director, specified executives and non-executive Directors. The Annual Report is available on the Company's website at www.randmining.com.au.\n\nThe provisions of the Corporations Act provide that Resolution 1 need only be an advisory vote of Shareholders and does not bind the directors. Of itself, a failure of Shareholders to pass Resolution 1 will not require the Directors to alter any of the arrangements in the Remuneration Report. However, the Board will take the outcome of the vote into consideration when considering the remuneration policy.\n\nThe chairman of the Meeting will allow a reasonable opportunity for Shareholders as a whole to ask about, or make comments on, the Remuneration Report.\n\n3. Resolution 2 – Re-election of Mr Gordon Sklenka\n\nRule 10(1)(e) of the Constitution requires that one third of the Directors must retire at each annual general meeting (rounded down to the nearest whole number).\n\nRule 10(1)(h) provides that a Director who retires under rule 10(1)(e) is eligible for reelection. Pursuant to the Constitution, Mr Gordon Sklenka will retire by rotation and seek re-election.\n\nA brief resume of Mr Sklenka is contained in the Annual Report.\n\nThe Board believes that Mr Sklenka has performed the duties and responsibilities of a director diligently and professionally, in the best interests of all Shareholders.\n\nThe Board unanimously supports the re-election of Mr Sklenka.\n\n4. Resolution 3 – Appointment of Auditor\n\nGrant Thornton (WA) Partnership Pty Ltd has given the Company notice in writing of it's intention to resign as auditor of the Company and has applied to ASIC consent to the resignation pursuant to section 329(5) of the Corporations Act.\n\nGrant Thornton Audit Pty Ltd having consented to act seeks to be appointed as the Company's auditor by this Resolution 3.\n\nIn accordance with section 328B(1) of the Corporations Act, a Shareholder has by written notice nominated Grant Thornton Audit Pty Ltd. A copy of the written notice of nomination is attached to this Notice in Schedule 2.\n\n5. Resolution 4 – Authorise Rights Issue\n\n5.1 Background and Purpose of Rights Issue\n\nOn or about 3 rd January 2006 a shareholder of the Company, Tribune Resources NL (Tribune), extended a gold bullion loan facility to the Company in the form of a 4,000 ounce gold bullion. Interest on the loan accrues daily on an adjusted fair value of the gold bullion at 8% per annum.\n\nAt 31 July 2009, the principal of the loan and its interest was $5,990,432.32 (Tribune Debt).\n\nThe Board considers that it is in the best interests of the Company that the Tribune Debt be repaid in full and the funds required to repay the Tribune Debt be raised through the Rights Issue.\n\nCompletion of the Rights Issue will result in an increase in the cash on hand of up to approximately $6,489,730 (before the payment of costs associated with the Rights Issue), assuming that no existing options for Shares are exercised prior to the record date of the Rights Issue. The funds raised pursuant to the Rights Issue will be used to:\n\n(a) repay the Tribune Debt; and\n\n(b) supplement the Company's working capital.\n\n5.2 Terms and Conditions of Rights Offer\n\nThe Rights Issue will be on the following terms and conditions:\n\n(a) the Company will issue a maximum of 20,280,406 new Shares at an issue price of $0.32 each to raise $6,489,730 (prior to costs);\n(b) each existing Shareholder will be offered one new Share for every two Shares held at the record date (such date to be determined);\n(c) the new Shares to be issued will rank parri passu with the existing Shares;\n(d) the issue of the new Shares will occur progressively and no later than 3 months after the date of the Meeting; and\n(e) a voting exclusion statement is included in the Notice.\n\nThe Rights Issue will be underwritten by Tribune who will receive a fee of 5% of the funds raised under the Rights Issue.\n\n6. Resolution 5 – Section 195 Approval\n\nSection 195 of the Corporations Act essentially provides that a director of a public company may not vote or be present during meetings of directors when matters in which that director holds a \"material personal interest\" are being considered.\n\nThe Directors may have a material personal interest in the outcome of Resolution 4 by reason of their directorships of Tribune. In the absence of this Resolution 5, the Directors may not be able to form a quorum at directors meetings necessary to carry out the terms of the Rights Issue.\n\nThe Directors have accordingly exercised their right under section 195(4) of the Corporations Act to put the issue to Shareholders to resolve upon.\n\n7. Action to be taken by Shareholders\n\nShareholders should read this Explanatory Memorandum carefully before deciding how to vote on the Resolutions.\n\nA Proxy Form is attached to the Notice. This is to be used by Shareholders if they wish to appoint a representative (a \"proxy\") to vote in their place. All Shareholders are invited and encouraged to attend the Meeting or, if they are unable to attend in person, to sign and return the Proxy Form to the Company in accordance with the instructions provided. Lodgement of a Proxy Form will not preclude a Shareholder from attending and voting at the Meeting in person.\n\nSchedule 1 – Definitions\n\nIn this Explanatory Memorandum and Notice:\n\nAnnual Report means the 2009 Annual Report of the Company and its controlled entities (if any) a copy of which was lodged with the ASX.\n\nASIC means the Australian Securities and Investments Commission.\n\nASX means ASX Limited ABN 98 008 624 691 and where the context permits the Australian Securities Exchange operated by ASX Limited.\n\nAuditor's Report means the auditor's report on the Financial Report.\n\nBoard means the board of Directors.\n\nCompany means Rand Mining NL ABN 41 004 669 658.\n\nConstitution means the Constitution of the Company.\n\nCorporations Act means the Corporations Act 2001 (Cth).\n\nDirector means a director of the Company and Directors means the directors of the Company.\n\nDirectors Report means the annual directors report prepared under Chapter 2M of the Corporations Act for the Company and its controlled entities (if any).\n\nExplanatory Memorandum means the explanatory memorandum to the Notice.\n\nFinancial Report means the annual financial report prepared under Chapter 2M of the Corporations Act of the Company and its controlled entities (if any).\n\nListing Rules means the Listing Rules of ASX.\n\nMeeting has the meaning given in the introductory paragraph of the Notice.\n\nNotice means this notice of meeting.\n\nProxy Form means the proxy form attached to the Notice.\n\nRemuneration Report means the remuneration report of the Company contained in the Annual Report.\n\nResolution means a resolution contained in this Notice.\n\nSchedule means a Schedule to this Notice.\n\nShare means, as contemplated by this Notice, fully paid ordinary share in the capital of the Company.\n\nShareholder means a shareholder of the Company.\n\nWST means Western Standard Time, being the time in Perth, Western Australia.\n\nRAND MINING NL\n\nABN 41 004 669 658\n\nPROXY FORM\n\nI/We\n\n1\n\n_____________________________________________________________________________ of ________________________________________________________________________________ being a Shareholder/Shareholders of the Company and entitled _______________________________\n\nvotes in the Company, hereby appoint\n\n2\n\n__________________________________________________\n\nor failing such appointment the chairman of the Meeting as my/our proxy to vote for me/us on my/our behalf at the annual general meeting of the Company to be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday, 30 November 2009 at 8.45am (WST) and at any adjournment thereof in the manner indicated below or, in the absence of indication, as he thinks fit. If 2 proxies are appointed, the proportion or number of votes of this proxy is authorised to exercise is * [ ]% of the Shareholder's votes/ [ ] of the Shareholder's votes. (An additional Proxy Form will be supplied by the Company, on request).\n\nINSTRUCTIONS AS TO VOTING ON RESOLUTIONS\n\nIMPORTANT:\n\nIf the chairman of the Meeting is to be your proxy and you have not directed your proxy how to vote on a Resolution please tick this box. By marking this box you acknowledge that the chairman of the Meeting may exercise your proxy even if he has an interest in the outcome of the Resolution and that votes cast by him, other than as proxy holder, would be disregarded because of that interest. If you do not mark this box, and you have not directed your proxy how to vote, the chairman of the Meeting will not cast your votes on the Resolution and your votes will not be counted in computing the required majority if a poll is called on the Resolution.\n\nThe chairman of the Meeting intends to vote undirected proxies in favour of the Resolutions.\n\nThe proxy is to vote for or against the Resolution referred to in the Notice as follows:\n\nFor Against Abstain\n\nResolution 1 Adoption of Remuneration Report\n\nResolution 2 Re-election of Mr Gordon Sklenka as a Director\n\nResolution 3 Approval of Appointment of Auditor\n\nResolution 4 Approval of Rights Issue\n\nResolution 5 Section 195 Approval\n\n1\n\nAuthorised signature/s This section must be signed in accordance with the instructions below to enable your voting instructions to be implemented.\n\nIndividual or Shareholder 1\n\nShareholder 2\n\nShareholder 3\n\nSole Director and Sole Company Secretary\n\nDirector\n\nDirector/Company Secretary\n\n_________________________\n\n_______________________\n\n___________________\n\nContact Name\n\nContact Daytime Telephone\n\nDate\n\n1 Insert name and address of Shareholder 2 Insert name and address of proxy Omit if not applicable\n\nProxy Notes:\n\nA Shareholder entitled to attend and vote at the Meeting may appoint a natural person as the Shareholder's proxy to attend and vote for the Shareholder at that Meeting. If the Shareholder is entitled to cast 2 or more votes at the Meeting the Shareholder may appoint not more than 2 proxies. Where the Shareholder appoints more than one proxy the Shareholder may specify the proportion or number of votes each proxy is appointed to exercise. If such proportion or number of votes is not specified each proxy may exercise half of the Shareholder's votes. A proxy may, but need not be, a Shareholder of the Company.\n\nIf a Shareholder appoints a body corporate as the Shareholder's proxy to attend and vote for the Shareholder at that Meeting, the representative of the body corporate to attend the Meeting must produce the Certificate of Appointment of Representative prior to admission. A form of the certificate may be obtained from the Company's share registry.\n\nYou must sign this form as follows in the spaces provided:\n\nJoint Holding:\n\nwhere the holding is in more than one name all of the holders must sign.\n\nPower of Attorney:\n\nif signed under a Power of Attorney, you must have already lodged it with the registry, or alternatively, attach a certified photocopy of the Power of Attorney to this Proxy Form when you return it.\n\nCompanies:\n\na Director can sign jointly with another Director or a Company Secretary. A sole Director who is also a sole Company Secretary can also sign. Please indicate the office held by signing in the appropriate space.\n\nIf a representative of the corporation is to attend the Meeting the appropriate \"Certificate of Appointment of Representative\" should be produced prior to admission. A form of the certificate may be obtained from the Company's Share Registry.\n\nReturn of Proxy Forms\n\nProxy Forms (and the power of attorney or other authority, if any, under which the Proxy Form is signed) or a copy or facsimile which appears on its face to be an authentic copy of the Proxy Form (and the power of attorney or other authority) must be deposited at or received by facsimile transmission at the Company's office as set out below not less than 48 hours prior to the time of commencement of the annual general meeting (WST).\n\nFacsimile:\n\n+618 9367 9386\n\nPost:\n\nPO Box 307, West Perth WA 6872.\n\nDelivery:\n\nSuite G1/49 Melville Parade, South Perth WA 6151.\n\n2\n</text>\n", "role": "user" }, { "content": "NUAL GENERAL MEETING\n\nThe Annual General Meeting of the Company will be held at Suite G1, 49 Melville Parade, South Perth, Western Australia on Monday 30 November 2009 at 8.", "role": "assistant" } ]
Potential of Supermarket Refrigeration Systems for Grid Balancing by Demand Response Downloaded from: https://research.chalmers.se, 2021-11-28 06:28 UTC Citation for the original published paper (version of record): Månsson, T., Ostermeyer, Y. (2019) Potential of Supermarket Refrigeration Systems for Grid Balancing by Demand Response Proceedings of the 8th International Conference on Smart Cities and Green ICT Systems, 2019: 151-156 http://dx.doi.org/10.5220/0007749401510156 N.B. When citing this work, cite the original published paper. research.chalmers.se offers the possibility of retrieving research publications produced at Chalmers University of Technology. It covers all kind of research output: articles, dissertations, conference papers, reports etc. since 2004. research.chalmers.se is administrated and maintained by Chalmers Library (article starts on next page) Potential of Supermarket Refrigeration Systems for Grid Balancing by Demand Response Tommie M˚ansson a and York Ostermeyer b Architecture and Civil Engineering Dept., Chalmers University of Technology, Sven Hultins Gata 6, Gothenburg, Sweden [email protected] Keywords: Supermarket, Demand Side Management, Demand Response, Energy Storage, Smart Grid. Abstract: The environmental goals of European Union demand a larger share of renewable energy sources for electrical energy generation. With the increasing share of renewable energy sources such as solar and wind, the utility grids has an increasing need for energy storage and/or demand side management. With a high energy intensity and a large thermal inertia, the refrigeration systems of supermarkets appear as an attractive actor for demand response in such scenario. Theoretically they have the capability to absorb vast amounts of electrical energy as stored compressor work, lowering the temperature of the food goods in the refrigerators. Alternatively supermarkets have the capability of reducing their energy demand by allowing the food goods temperature increase to its upper limit, reducing electrical power demand for the grid. This positioning paper will further discuss the attractiveness as and feasibility to use supermarkets for electrical energy balancing by demand response in a smart grid. 1 BACKGROUND The European Union (EU) Commission launched the European Climate Change Programme in 2000 to develop strategies to implement the Kyoto protocol in EU. In short the programme aim is to reduce the release of anthropogenic greenhouse gases (GHG) to the atmosphere and thereby mild the effects of global warming and climate change. The commitment was further strengthened by the Paris agreement from COP21 in 2015 where 195 UNFCCC members agreed to limit the global warming to less than 2 ◦ C, while aiming at 1.5 ◦ C compared to pre-industrial levels. The ﬁnancial support is agreed as at least 20% of the EU's budget for 2014 to 2020 (e 180 billion) shall be spent on actions helping to achieve the ambitious goals for 2050(European Union, 2018). Additionally individual countries and company initiatives are also funding parallel actions and projects. EU has set ambitious goals towards a more sustainable future and by 2050 EU aims to reduce the GHG emissions by 80 − 95% compared to 1990 levels(European Commission, 2012). The EU is pursuing these goals through both ﬁnancial support and revised regulations as will brieﬂy be introduced below(Union and Action, 2017). Milestones for 2020 is a 20% reduction in GHG, 20% reduced energy usage and a 20% increased energy efﬁciency. a https://orcid.org/0000-0003-1536-8484 b https://orcid.org/0000-0001-7285-2737 Additionally, all EU countries are required to support renewable energy generation such as solar, wind and biomass as a part of the Green energy targets. Following the Revised Energy Directives (REDII) the EU should have reached an overall share of 27% of renewable energy by 2030, with some members performing signiﬁcantly better(Comission, 2018). However, an increased share of uncontrollable and slower responding renewable energy sources creates an issue for the utility grid to balance the supply and demand. The introduction of EU emissions trading system in 2005 that limits the maximum amount of GHG that the EU countries is allowed to release has created a platform for businesses to trade with their GHGreduction. Companies and countries can trade their rights to release GHG, which becomes an incentive to reduce emission to increase proﬁt. In a traditional electrical grid, the supply is adapted to the demand by adjusting the electrical energy generation. The variations are often balanced by the use of smaller gas turbines, hydroelectric etc. that has the possibility to adjust their power outtake rapidly. However, gas turbines most commonly are using fossil fuels and the hydroelectric capacity is geographically limited to regions with a satisfying topology. Therefore in a national, continental or global scenario where the share renewable energy sources are increased and the use of fossil fuels are to be minimised, these problems of balancing will become more severe. Implementing energy storage in combination with demand side management to adapt the demand to the available supply of energy is therefore needed (Farhangi, 2010). 1.1 Needed Energy Storage and Demand Response In Germany, the implementation of renewable energy sources has been progressing in accordance with the goals of EU and the need of storage solutions in increasing. In (Sinn, 2017) the author concludes a storage capacity demand of 5, 800 GWh at 68% share of renewable energy and 16, 300 GWh with a share of 89% for the German context. In (Zerrahn et al., 2018) the authors instead conclude a 55 GWh need at a 68% share, and a 436 GWh need at 88% share. Already today and since years back Germany is facing issues with balancing the grid, resulting in negative electrical energy tariff(Deloitte, 2015). By introducing demand side response, the needed storage capacity will be lowered accordingly(Balijepalli et al., 2011). Instead of demanding energy when there is a deﬁcit, the energy user will postpone the demand to a more favourable time for the supply side. If batteries or pumped hydro is used, it has the capability of storing electrical energy to be released later, but it is costly and also the materials used in batteries has a negative environmental impact(Sand´en, 2014). (Haider et al., 2016) ,(Costanzo, 2015) , (Gelazanskas and Gamage, 2014) ,(Gelazanskas and Gamage, 2014) and (Baharlouei and Hashemi, 2013) amongst others have discussed the beneﬁts and challenges with demand response. They conclude one challenge to be the communication between a vast amount of appliances to schedule their loads optimally. By identifying large and energy intense systems, the amount of involved units can be reduces and this challenge is thereby reduced. This is where supermarkets and their refrigeration systems appears as an attractive actor (M˚ansson and Ostermeyer, 2013)(Funder, 2015)(Pedersen et al., 2014)(Hovgaard et al., 2011). 2 POTENTIAL DEMAND RESPONSE BY SUPERMARKETS Supermarkets are inherently intense energy users due to all food goods that demands refrigeration (Tassou et al., 2011). The thermal inertia of the refrigeration system is a great beneﬁt as it would allow the supermarket to "charge" by transforming electrical energy into stored compressor work by temperature reduction of the food goods(M˚ansson, 2016). Additionally the supermarket would be capable of reducing the electrical power demand for refrigeration to nil within seconds if requested by the supply side. In Germany alone, there are about 38, 000 supermarkets with an accumulated energy demand of 10 TW h (Funder, 2015), translating to an average of 30 kW of electrical power demand per market or 1.14 GW nationally. This represents about 2% of Germanys electrical energy demand, which is also a representative number for both Sweden (Arias, 2005) and UK(Tassou et al., 2011). With refrigeration representing approximately 50%(Statens Energimyndighet, 2010) of a supermarkets energy demand it is reasonable to estimate that the average power demand would be correspondingly large. And most certainly the rated power of the accumulated refrigeration systems is signiﬁcantly larger, which is advantageous when acting as a energy sink for the grid. 2.1 Available Buffering Power and Energy A supermarket refrigeration system could potentially run its refrigeration system at maximum rated capacity at any given time. This action would result in all refrigerated display cabinets decreasing in temperature at maximum rate. Several models for estimation of this rate and the energy demand exists (Smale et al., 2006) but are all dependent on accurate input parameters for the thermal properties of the food and refrigeration system. From the authors experience this rate is in the magnitude of 1 ◦ C/min. As the temperature of the refrigerated display cabinets in general vary in time with ±2 ◦ C around the set point temperature, the possible buffering capacity measured in time would be 0 − 4 minutes, depending on the individual temperature levels of the cabinets in the supermarket. Another scenario is to partially increase the compressor work above the needed heat extraction rate for the refrigerated display cabinets. This would result in a slower decrease of temperatures in the cabinets i.e. longer discharge time for the supply side. However, the energy buffered by the refrigerated display cabinets is equal for the maximum rate and partial rate scenario. The energy storage capacity is limited to the accepted lower limit temperature and the thermal inertia of the food goods and refrigerated display cabinets. 2.2 Available Electrical Demand Reduction A supermarket could potentially also turn the compressor completely or partially off, resulting in a temperature increase of the food in the refrigerated display cabinets. The temperature increase rate is however lower than the temperature decrease rate. Following that the cabinets are developed to be energy efﬁcient, the insulation capacity is high. From ﬁeld observations and laboratory measurements an estimated temperature increase rate between 0.2 − 0.8 ◦ C per minute can be expected depending on the cabinet type and quality. For low temperature cabinets a lower rate is likely. If instead of completely turning the compressors off the supermarket keeps them at a reduced power, the supermarket should be able to run at reduced capacity for signiﬁcantly longer times. With the same reasoning as above, this gives a potential complete shut off time of 0 − 20 minutes depending on the actual individual temperature and quality of the cabinets. In a scenario where the supermarket just has been charged and all cabinets are at their lower limit temperature and they are of highly energy efﬁcient type, the upper ﬁgure of 40 min is true. This ﬁgure is however also inﬂuenced by the customer behaviours, i.e. if the doors are frequently opened or not. 2.3 Example Store from Germany To exemplify the potential, we present data from a 1, 300 m 2 supermarket built in 2011 just outside Hannover in Germany. The refrigeration system serves a total of 22 doored freezers, 15 chest type freezers and 62 doored medium temperature cabinets as well as 12 meter of refrigerated deli desk. The rated electrical power for this system is approximately 50 kW . In Figure 1 the electrical power demand by the refrigeration system is shown. Here it can be seen that the system uses on average about 25 kW over the week. Only at a few times a week the demand is above 30 kW and it never goes below 20 kW on the 15 min averaged data that is shown. The ﬂuctuations in the low temperature compressors that causes the daily peaks is a consequence of synchronised defrost schedules for the low temperature refrigerated display cabinets. For medium temperature refrigerated display cabinets in the store, the setpoint temperature range is 6 ± 2 ◦ C allowing for 4 ◦ C variation of temperature. For low temperature cabinets the set point is −20 ◦ C with the same allowed variations. To estimate the storage potential, the temperature decrease and increase rate must be known. The authors therefore performed a test on the medium temperature cabinets of the store to ﬁnd the maximum temperature decrease rate. And a representative temperature increase rate for 23 ◦ C ambient conditions, which is slightly higher than the actual store temperature, making the results conservative. The results from the experiment is presented bellow in Figure 2. Figure 2: Temperature development in a refrigerated display cabinet during maximum cooling followed by no active cooling. Results are from a pilot experiment by the authors. In Figure 2 it can be seen that the temperature decrease from 7.7 to 6.3 ◦ C occurs during approximately 100 seconds. Resulting in an temperature decrease rate of 0.84 ◦ C/min. In analogy with the decrease rate the increase rate was calculated to be 0.24 ◦ C/min. 2.3.1 Absorbing or Postponing Energy From Figure 1 we see that the electrical power demand at any given time is within the range of 20 − 30 kW . Meaning that the remaining power to reach the maximum power of 50 kW is 20 − 30 kW too. With a temperature decrease rate of 0.84 ◦ C/min, the market would be able to absorb energy for a maximum of 4.76 minutes resulting in 1.59 − 2.58 kWh of excess energy stored. With the large number of refrigerated display cabinets it can be assumed that the distribution of their individual temperature is evenly spread within the upper and lower limits. This implies that a complete shutdown of the refrigeration system is only possible if the refrigeration system actively has cooled down all cabinets before the shutdown. Otherwise the warmer cabinets will exceed the upper temperature limitation and the food must be discarded. Running the system on partial load, serving only the warmer cabinets is however a more realistic scenario. If assuming that all components of the refrigeration system is at their respective lower temperature limit and that all cabinets have the same temperature increase rate we can calculate the maximum postponed energy use. From the experiment presented the authors concluded a temperature increase rate of 0.24 ◦ C/min, meaning that it would take 16.7 minutes to increase the temperature by 4 ◦ C. During this time the supermarket would under normal conditions (20 − 30 kW ) have used 5.3 − 8 kWh, which is the amount of energy that was shifted. 3 DISCUSSION As shown in the example above and by the previous argumentation, supermarket refrigeration systems could potentially be utilised for demand response in the electrical grid. In the example the quantities of stored energy is rather low while the available electrical power is high and almost instantly accessible, making the supermarkets attractive as a short time energy buffer for the grid. One missing part to realise this today lay in the communication between the supermarkets and the electrical grid, both for the business agreements and digital signals to allow the grid to use the capacity. In today's supermarkets the main objective of the control systems is to keep the food temperatures within the temperature limits and to make the heat extraction demand even for the compressors to be able run at an energy efﬁcient level. Some system actively plans the cooling cycles to avoid peak power events to occur when the electrical tariff is high. Meaning that the refrigeration system today already uses the thermal inertia of the food goods, but for a different purpose then demand response. But due to the low accuracy of the control system the safety margins must be high to ensure the food safety. Meaning that the full range in allowed temperature variation is almost never used but rather limited to a few degrees. When designing a supermarket refrigeration system they are made to be redundant to ensure that heat extraction demand never is larger than the installed capacity. This has led to that the supermarkets has signiﬁcant amounts of spare cooling power capacity, which most certainly would beneﬁt the electrical grid to have as buffering capacity. With low proﬁt margins (2 − 3%)(Arias, 2005), the supermarkets are prone to adapt cost reducing actions in their markets(Retail Forum for Sustainability, 2009). Potentially being offered by the electrical grid companies to sell buffering capacities or beneﬁt of reduced energy prices might be an attractive incentive. With the trade of Carbon-emission rights the supermarkets could claim to have lowered the GHG emissions and therefore sell parts of its emission rights. Creating a second revenue stream for the supermarket companies. Following that the four largest supermarket companies Aldi, Netto, Lidl and REWE represents 14 640 (Statista, 2013) of these stores, the sector becomes easily addressable. Meaning that if the companies ﬁnd incentives to implement demand response, the accumulated effects would be very large. From a technology implementation perspective, the larger organisations are often using standardised solutions which would mean that the demand response technology that is necessary would have fewer variations. Adapting the technology of one system that is used for thousands of similar stores makes it more attractive for developers to ﬁnd a business case. An interesting aspect is that the driving force that makes supermarkets attractive for demand response is their high energy intensity. Meaning that any energy efﬁciency measures that lowers the energy demand for refrigeration will negatively affect its capacity as a resource for demand response. Yet it will lower the local energy demand and thereby the energy bill. Therefore, ﬁnding a balance between the incentives here is crucial. The businesses case is however rather complex and must involve beneﬁts for two actors, both the supermarket and the energy producer. Fiscal and economical incentives for increased energy efﬁciency and lower climate impact for the energy producers are obvious. But these beneﬁts must also be transferred to the supermarkets to motivate the initial investment in systems allowing for the demand response to be implemented. Another aspect of the utilisation of the refrigeration system for demand response is the fact that the thermal mass is highly valuable food. The accumulated monetary value of the stored food in the cabinets is monumental. This demands that the implemented technologies are safe against failures and the highest priority must always be the food safety. Depending on the business model of the supermarket companies and the incentives provided by the electrical grid, the installation of additional cold thermal storage for the refrigeration system might be beneﬁcial(Ochieng et al., 2014). As presented earlier the duration for which the refrigeration system can be turned off or ran at maximum capacity is limited to the thermal inertia of the food. If installing additional thermal energy storage units, the duration and stored energy could be increased. Additionally depending on on chosen technical solution for thermal energy storage, this would also allow for complete shutdown by allowing the valuable food goods to cool directly from the thermal energy storage instead of increasing its temperature. The optimal sizing of such a storage depends on the energy demand by the supermarket and the business agreements with the utility grid. However, the storage is one directional as the stored compressor work cannot be converted back to electricity. Meaning that there must be a balance between the supermarkets heat extraction and the stored electrical energy over the chosen storage period which could be stretching from minutes to seasons. 4 CONCLUSION With the above presented arguments and discussion we conclude that utilising supermarket refrigeration systems as a part of the grid balancing mechanism is feasible. The technology is there and the incentives could be created via the right business model. In theory almost any centralised refrigeration control system would be capable of providing this buffering capacity to the grid, the main barrier is the business models and control system accuracy and communication. ACKNOWLEDGEMENTS The authors would like to thank the main funding body, Climate-KIC, providing not just the necessary funds but an invaluable network and inspirational community. REFERENCES Arias, J. (2005). Energy Usage in Supermarkets - Modelling and Field Measurements. PhD thesis, Royal Institute of Technology. Baharlouei, Z. and Hashemi, M. (2013). Demand Side Management challenges in smart grid: A review. In 2013 Smart Grid Conference, page 96, Tehran,Iran. IEE. Balijepalli, V. S. K. M., Khaparde, S. A., Shereef, R. M., and Pradhan, V. (2011). Review of Demand Response under Smart Grid\rParadigm.pdf. IEEE PES Innovative Smart Grid Technologies. Comission, E. (2018). European Comission - Renewable energy directive. Costanzo, G. T. (2015). Demand Side Management In The Smart Grid. PhD thesis, Technical University of Denmark. Deloitte (2015). European energy market reform Country proﬁle : Germany Contents. Technical report, Deloitte Conseil, Zurich. European Commission (2012). Roadmap 2050. Policy, 001(April):1–9. European Union (2018). Energy in ﬁgures – Statistical pocketbook. Publications Ofﬁce of the European Union. Farhangi, H. (2010). The path of the smart grid. IEEE Power and Energy Magazine, 8(1):18–28. Funder, T. (2015). Supermarkets as an Important Smart Grid Application. In 16th European Conference, Technological Innovations In Refrigeration And In Air Conditioning, Milan. Danfoss. Gelazanskas, L. and Gamage, K. A. A. (2014). Demand side management in smart grid : A review and proposals for future direction. Sustainable Cities and Society, 11:22–30. Haider, H. T., See, O. H., and Elmenreich, W. (2016). A review of residential demand response of smart grid. Renewable and Sustainable Energy Reviews, 59:166– 178. Hovgaard, T. G., Halvgaard, R., Larsen, L. F. S., and J{\o}rgensen, J. B. (2011). Energy Efﬁcient Refrigeration and Flexible Power Consumption in a Smart Grid. In Proceedings of Ris{\o} International Energy Conference, pages 164–175. M˚ansson, T. (2016). Energy in supermarkets. Licentiate thesis, Chalmers University of Technology. M˚ansson, T. and Ostermeyer, Y. (2013). The potential of thermal energy storage in food cooling processes in retail markets for grid balancing. In Nordic Symposium on Building Physics 2013, pages 1–6, Lund. Ochieng, E. G., Jones, N., Price, a. D. F., Ruan, X., Egbu, C. O., and Zuofa, T. (2014). Integration of energy efﬁcient technologies in UK supermarkets. Energy Policy, 67:388–393. Pedersen, R., Schwensen, J., Biegel, B., Stoustrup, J., and Green, T. (2014). Aggregation and control of supermarket refrigeration systems in a smart grid. IFAC Proceedings Volumes (IFAC-PapersOnline), 19:9942– 9949. Retail Forum for Sustainability (2009). Issue Paper on the Energy Efﬁciency of Stores. Retail Forum for Sustainability, 1(1):1–9. Sand´en, B. (2014). Systems Perspectives on Renewable Power 2014. Chalmers University of Technology, G¨oteborg, v1.0 edition. Sinn, H. W. (2017). Buffering volatility: A study on the limits of Germany's energy revolution. European Economic Review, 99:130–150. Smale, N., Moureh, J., and Cortella, G. (2006). A review of numerical models of airﬂow in refrigerated food applications. International Journal of Refrigeration, 29(6):911–930. Statens Energimyndighet (2010). STIL 2 - Energianv¨andning i handelslokaler. Technical report, Energimyndigheten, Stockholm. Statista (2013). Retail Week. (n.d.). Number of stores of key food and grocery retailers in Germany in 2013, by store count. Tassou, S. A., Ge, Y., Hadawey, A., and Marriott, D. (2011). Energy consumption and conservation in food retailing. Applied Thermal Engineering, 31(2-3):147–156. Union, E. and Action, C. (2017). Energy Union. THE EU AND series of the European Commission, 1(February 2017). Zerrahn, A., Schill, W. P., and Kemfert, C. (2018). On the economics of electrical storage for variable renewable energy sources. European Economic Review, 108:259–279.	<urn:uuid:b9628ab7-bb8c-40f3-a9b6-06e4c166fc4d>	CC-MAIN-2021-49	https://research.chalmers.se/publication/519739/file/519739_Fulltext.pdf	2021-11-28T06:28:01+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-49/subset=warc/part-00025-eb7089cf-762b-4a3e-8cab-20b677c0d246.c000.gz.parquet	571,752,358	5,297	eng_Latn	eng_Latn	0.968907	eng_Latn	0.992361	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 889, 4927, 9773, 13434, 18694, 24329 ]	Potential of Supermarket Refrigeration Systems for Grid Balancing by Demand Response Downloaded from: https://research.chalmers.se, 2021-11-28 06:28 UTC Citation for the original published paper (version of record): Månsson, T., Ostermeyer, Y. (2019) Potential of Supermarket Refrigeration Systems for Grid Balancing by Demand Response Proceedings of the 8th International Conference on Smart Cities and Green ICT Systems, 2019: 151-156 http://dx.doi.org/10.5220/0007749401510156 N.B. When citing this work, cite the original published paper. research.chalmers.se offers the possibility of retrieving research publications produced	at Chalmers University of Technology.	It covers all kind of research output: articles, dissertations, conference papers, reports etc. since 2004. research.chalmers.se is administrated and maintained by Chalmers Library (article starts on next page) Potential of Supermarket Refrigeration Systems for Grid Balancing by Demand Response Tommie M˚ansson a and York Ostermeyer b Architecture and Civil Engineering Dept., Chalmers University of Technology, Sven Hultins Gata 6, Gothenburg, Sweden [email protected] Keywords: Supermarket, Demand Side Management, Demand Response, Energy Storage, Smart Grid. Abstract: The environmental goals of European Union demand a larger share of renewable energy sources for electrical energy generation. With the increasing share of renewable energy sources such as solar and wind, the utility grids has an increasing need for energy storage and/or demand side management. With a high energy intensity and a large thermal inertia, the refrigeration systems of supermarkets appear as an attractive actor for demand response in such scenario. Theoretically they have the capability to absorb vast amounts of electrical energy as stored compressor work, lowering the temperature of the food goods in the refrigerators. Alternatively supermarkets have the capability of reducing their energy demand by allowing the food goods temperature increase to its upper limit, reducing electrical power demand for the grid. This positioning paper will further discuss the attractiveness as and feasibility to use supermarkets for electrical energy balancing by demand response in a smart grid. 1 BACKGROUND The European Union (EU) Commission launched the European Climate Change Programme in 2000 to develop strategies to implement the Kyoto protocol in EU. In short the programme aim is to reduce the release of anthropogenic greenhouse gases (GHG) to the atmosphere and thereby mild the effects of global warming and climate change. The commitment was further strengthened by the Paris agreement from COP21 in 2015 where 195 UNFCCC members agreed to limit the global warming to less than 2 ◦ C, while aiming at 1.5 ◦ C compared to pre-industrial levels. The ﬁnancial support is agreed as at least 20% of the EU's budget for 2014 to 2020 (e 180 billion) shall be spent on actions helping to achieve the ambitious goals for 2050(European Union, 2018). Additionally individual countries and company initiatives are also funding parallel actions and projects. EU has set ambitious goals towards a more sustainable future and by 2050 EU aims to reduce the GHG emissions by 80 − 95% compared to 1990 levels(European Commission, 2012). The EU is pursuing these goals through both ﬁnancial support and revised regulations as will brieﬂy be introduced below(Union and Action, 2017). Milestones for 2020 is a 20% reduction in GHG, 20% reduced energy usage and a 20% increased energy efﬁciency. a https://orcid.org/0000-0003-1536-8484 b https://orcid.org/0000-0001-7285-2737 Additionally, all EU countries are required to support renewable energy generation such as solar, wind and biomass as a part of the Green energy targets. Following the Revised Energy Directives (REDII) the EU should have reached an overall share of 27% of renewable energy by 2030, with some members performing signiﬁcantly better(Comission, 2018). However, an increased share of uncontrollable and slower responding renewable energy sources creates an issue for the utility grid to balance the supply and demand. The introduction of EU emissions trading system in 2005 that limits the maximum amount of GHG that the EU countries is allowed to release has created a platform for businesses to trade with their GHGreduction. Companies and countries can trade their rights to release GHG, which becomes an incentive to reduce emission to increase proﬁt. In a traditional electrical grid, the supply is adapted to the demand by adjusting the electrical energy generation. The variations are often balanced by the use of smaller gas turbines, hydroelectric etc. that has the possibility to adjust their power outtake rapidly. However, gas turbines most commonly are using fossil fuels and the hydroelectric capacity is geographically limited to regions with a satisfying topology. Therefore in a national, continental or global scenario where the share renewable energy sources are increased and the use of fossil fuels are to be minimised, these problems of balancing will become more severe. Implementing energy storage in combination with demand side management to adapt the demand to the available supply of energy is therefore needed (Farhangi, 2010). 1.1 Needed Energy Storage and Demand Response In Germany, the implementation of renewable energy sources has been progressing in accordance with the goals of EU and the need of storage solutions in increasing. In (Sinn, 2017) the author concludes a storage capacity demand of 5, 800 GWh at 68% share of renewable energy and 16, 300 GWh with a share of 89% for the German context. In (Zerrahn et al., 2018) the authors instead conclude a 55 GWh need at a 68% share, and a 436 GWh need at 88% share. Already today and since years back Germany is facing issues with balancing the grid, resulting in negative electrical energy tariff(Deloitte, 2015). By introducing demand side response, the needed storage capacity will be lowered accordingly(Balijepalli et al., 2011). Instead of demanding energy when there is a deﬁcit, the energy user will postpone the demand to a more favourable time for the supply side. If batteries or pumped hydro is used, it has the capability of storing electrical energy to be released later, but it is costly and also the materials used in batteries has a negative environmental impact(Sand´en, 2014). (Haider et al., 2016) ,(Costanzo, 2015) , (Gelazanskas and Gamage, 2014) ,(Gelazanskas and Gamage, 2014) and (Baharlouei and Hashemi, 2013) amongst others have discussed the beneﬁts and challenges with demand response. They conclude one challenge to be the communication between a vast amount of appliances to schedule their loads optimally. By identifying large and energy intense systems, the amount of involved units can be reduces and this challenge is thereby reduced. This is where supermarkets and their refrigeration systems appears as an attractive actor (M˚ansson and Ostermeyer, 2013)(Funder, 2015)(Pedersen et al., 2014)(Hovgaard et al., 2011). 2 POTENTIAL DEMAND RESPONSE BY SUPERMARKETS Supermarkets are inherently intense energy users due to all food goods that demands refrigeration (Tassou et al., 2011). The thermal inertia of the refrigeration system is a great beneﬁt as it would allow the supermarket to "charge" by transforming electrical energy into stored compressor work by temperature reduction of the food goods(M˚ansson, 2016). Additionally the supermarket would be capable of reducing the electrical power demand for refrigeration to nil within seconds if requested by the supply side. In Germany alone, there are about 38, 000 supermarkets with an accumulated energy demand of 10 TW h (Funder, 2015), translating to an average of 30 kW of electrical power demand per market or 1.14 GW nationally. This represents about 2% of Germanys electrical energy demand, which is also a representative number for both Sweden (Arias, 2005) and UK(Tassou et al., 2011). With refrigeration representing approximately 50%(Statens Energimyndighet, 2010) of a supermarkets energy demand it is reasonable to estimate that the average power demand would be correspondingly large. And most certainly the rated power of the accumulated refrigeration systems is signiﬁcantly larger, which is advantageous when acting as a energy sink for the grid. 2.1 Available Buffering Power and Energy A supermarket refrigeration system could potentially run its refrigeration system at maximum rated capacity at any given time. This action would result in all refrigerated display cabinets decreasing in temperature at maximum rate. Several models for estimation of this rate and the energy demand exists (Smale et al., 2006) but are all dependent on accurate input parameters for the thermal properties of the food and refrigeration system. From the authors experience this rate is in the magnitude of 1 ◦ C/min. As the temperature of the refrigerated display cabinets in general vary in time with ±2 ◦ C around the set point temperature, the possible buffering capacity measured in time would be 0 − 4 minutes, depending on the individual temperature levels of the cabinets in the supermarket. Another scenario is to partially increase the compressor work above the needed heat extraction rate for the refrigerated display cabinets. This would result in a slower decrease of temperatures in the cabinets i.e. longer discharge time for the supply side. However, the energy buffered by the refrigerated display cabinets is equal for the maximum rate and partial rate scenario. The energy storage capacity is limited to the accepted lower limit temperature and the thermal inertia of the food goods and refrigerated display cabinets. 2.2 Available Electrical Demand Reduction A supermarket could potentially also turn the compressor completely or partially off, resulting in a temperature increase of the food in the refrigerated display cabinets. The temperature increase rate is however lower than the temperature decrease rate. Following that the cabinets are developed to be energy efﬁcient, the insulation capacity is high. From ﬁeld observations and laboratory measurements an estimated temperature increase rate between 0.2 − 0.8 ◦ C per minute can be expected depending on the cabinet type and quality. For low temperature cabinets a lower rate is likely. If instead of completely turning the compressors off the supermarket keeps them at a reduced power, the supermarket should be able to run at reduced capacity for signiﬁcantly longer times. With the same reasoning as above, this gives a potential complete shut off time of 0 − 20 minutes depending on the actual individual temperature and quality of the cabinets. In a scenario where the supermarket just has been charged and all cabinets are at their lower limit temperature and they are of highly energy efﬁcient type, the upper ﬁgure of 40 min is true. This ﬁgure is however also inﬂuenced by the customer behaviours, i.e. if the doors are frequently opened or not. 2.3 Example Store from Germany To exemplify the potential, we present data from a 1, 300 m 2 supermarket built in 2011 just outside Hannover in Germany. The refrigeration system serves a total of 22 doored freezers, 15 chest type freezers and 62 doored medium temperature cabinets as well as 12 meter of refrigerated deli desk. The rated electrical power for this system is approximately 50 kW . In Figure 1 the electrical power demand by the refrigeration system is shown. Here it can be seen that the system uses on average about 25 kW over the week. Only at a few times a week the demand is above 30 kW and it never goes below 20 kW on the 15 min averaged data that is shown. The ﬂuctuations in the low temperature compressors that causes the daily peaks is a consequence of synchronised defrost schedules for the low temperature refrigerated display cabinets. For medium temperature refrigerated display cabinets in the store, the setpoint temperature range is 6 ± 2 ◦ C allowing for 4 ◦ C variation of temperature. For low temperature cabinets the set point is −20 ◦ C with the same allowed variations. To estimate the storage potential, the temperature decrease and increase rate must be known. The authors therefore performed a test on the medium temperature cabinets of the store to ﬁnd the maximum temperature decrease rate. And a representative temperature increase rate for 23 ◦ C ambient conditions, which is slightly higher than the actual store temperature, making the results conservative. The results from the experiment is presented bellow in Figure 2. Figure 2: Temperature development in a refrigerated display cabinet during maximum cooling followed by no active cooling. Results are from a pilot experiment by the authors. In Figure 2 it can be seen that the temperature decrease from 7.7 to 6.3 ◦ C occurs during approximately 100 seconds. Resulting in an temperature decrease rate of 0.84 ◦ C/min. In analogy with the decrease rate the increase rate was calculated to be 0.24 ◦ C/min. 2.3.1 Absorbing or Postponing Energy From Figure 1 we see that the electrical power demand at any given time is within the range of 20 − 30 kW . Meaning that the remaining power to reach the maximum power of 50 kW is 20 − 30 kW too. With a temperature decrease rate of 0.84 ◦ C/min, the market would be able to absorb energy for a maximum of 4.76 minutes resulting in 1.59 − 2.58 kWh of excess energy stored. With the large number of refrigerated display cabinets it can be assumed that the distribution of their individual temperature is evenly spread within the upper and lower limits. This implies that a complete shutdown of the refrigeration system is only possible if the refrigeration system actively has cooled down all cabinets before the shutdown. Otherwise the warmer cabinets will exceed the upper temperature limitation and the food must be discarded. Running the system on partial load, serving only the warmer cabinets is however a more realistic scenario. If assuming that all components of the refrigeration system is at their respective lower temperature limit and that all cabinets have the same temperature increase rate we can calculate the maximum postponed energy use. From the experiment presented the authors concluded a temperature increase rate of 0.24 ◦ C/min, meaning that it would take 16.7 minutes to increase the temperature by 4 ◦ C. During this time the supermarket would under normal conditions (20 − 30 kW ) have used 5.3 − 8 kWh, which is the amount of energy that was shifted. 3 DISCUSSION As shown in the example above and by the previous argumentation, supermarket refrigeration systems could potentially be utilised for demand response in the electrical grid. In the example the quantities of stored energy is rather low while the available electrical power is high and almost instantly accessible, making the supermarkets attractive as a short time energy buffer for the grid. One missing part to realise this today lay in the communication between the supermarkets and the electrical grid, both for the business agreements and digital signals to allow the grid to use the capacity. In today's supermarkets the main objective of the control systems is to keep the food temperatures within the temperature limits and to make the heat extraction demand even for the compressors to be able run at an energy efﬁcient level. Some system actively plans the cooling cycles to avoid peak power events to occur when the electrical tariff is high. Meaning that the refrigeration system today already uses the thermal inertia of the food goods, but for a different purpose then demand response. But due to the low accuracy of the control system the safety margins must be high to ensure the food safety. Meaning that the full range in allowed temperature variation is almost never used but rather limited to a few degrees. When designing a supermarket refrigeration system they are made to be redundant to ensure that heat extraction demand never is larger than the installed capacity. This has led to that the supermarkets has signiﬁcant amounts of spare cooling power capacity, which most certainly would beneﬁt the electrical grid to have as buffering capacity. With low proﬁt margins (2 − 3%)(Arias, 2005), the supermarkets are prone to adapt cost reducing actions in their markets(Retail Forum for Sustainability, 2009). Potentially being offered by the electrical grid companies to sell buffering capacities or beneﬁt of reduced energy prices might be an attractive incentive. With the trade of Carbon-emission rights the supermarkets could claim to have lowered the GHG emissions and therefore sell parts of its emission rights. Creating a second revenue stream for the supermarket companies. Following that the four largest supermarket companies Aldi, Netto, Lidl and REWE represents 14 640 (Statista, 2013) of these stores, the sector becomes easily addressable. Meaning that if the companies ﬁnd incentives to implement demand response, the accumulated effects would be very large. From a technology implementation perspective, the larger organisations are often using standardised solutions which would mean that the demand response technology that is necessary would have fewer variations. Adapting the technology of one system that is used for thousands of similar stores makes it more attractive for developers to ﬁnd a business case. An interesting aspect is that the driving force that makes supermarkets attractive for demand response is their high energy intensity. Meaning that any energy efﬁciency measures that lowers the energy demand for refrigeration will negatively affect its capacity as a resource for demand response. Yet it will lower the local energy demand and thereby the energy bill. Therefore, ﬁnding a balance between the incentives here is crucial. The businesses case is however rather complex and must involve beneﬁts for two actors, both the supermarket and the energy producer. Fiscal and economical incentives for increased energy efﬁciency and lower climate impact for the energy producers are obvious. But these beneﬁts must also be transferred to the supermarkets to motivate the initial investment in systems allowing for the demand response to be implemented. Another aspect of the utilisation of the refrigeration system for demand response is the fact that the thermal mass is highly valuable food. The accumulated monetary value of the stored food in the cabinets is monumental. This demands that the implemented technologies are safe against failures and the highest priority must always be the food safety. Depending on the business model of the supermarket companies and the incentives provided by the electrical grid, the installation of additional cold thermal storage for the refrigeration system might be beneﬁcial(Ochieng et al., 2014). As presented earlier the duration for which the refrigeration system can be turned off or ran at maximum capacity is limited to the thermal inertia of the food. If installing additional thermal energy storage units, the duration and stored energy could be increased. Additionally depending on on chosen technical solution for thermal energy storage, this would also allow for complete shutdown by allowing the valuable food goods to cool directly from the thermal energy storage instead of increasing its temperature. The optimal sizing of such a storage depends on the energy demand by the supermarket and the business agreements with the utility grid. However, the storage is one directional as the stored compressor work cannot be converted back to electricity. Meaning that there must be a balance between the supermarkets heat extraction and the stored electrical energy over the chosen storage period which could be stretching from minutes to seasons. 4 CONCLUSION With the above presented arguments and discussion we conclude that utilising supermarket refrigeration systems as a part of the grid balancing mechanism is feasible. The technology is there and the incentives could be created via the right business model. In theory almost any centralised refrigeration control system would be capable of providing this buffering capacity to the grid, the main barrier is the business models and control system accuracy and communication. ACKNOWLEDGEMENTS The authors would like to thank the main funding body, Climate-KIC, providing not just the necessary funds but an invaluable network and inspirational community. REFERENCES Arias, J. (2005). Energy Usage in Supermarkets - Modelling and Field Measurements. PhD thesis, Royal Institute of Technology. Baharlouei, Z. and Hashemi, M. (2013). Demand Side Management challenges in smart grid: A review. In 2013 Smart Grid Conference, page 96, Tehran,Iran. IEE. Balijepalli, V. S. K. M., Khaparde, S. A., Shereef, R. M., and Pradhan, V. (2011). Review of Demand Response under Smart Grid\rParadigm.pdf. IEEE PES Innovative Smart Grid Technologies. Comission, E. (2018). European Comission - Renewable energy directive. Costanzo, G. T. (2015). Demand Side Management In The Smart Grid. PhD thesis, Technical University of Denmark. Deloitte (2015). European energy market reform Country proﬁle : Germany Contents. Technical report, Deloitte Conseil, Zurich. European Commission (2012). Roadmap 2050. Policy, 001(April):1–9. European Union (2018). Energy in ﬁgures – Statistical pocketbook. Publications Ofﬁce of the European Union. Farhangi, H. (2010). The path of the smart grid. IEEE Power and Energy Magazine, 8(1):18–28. Funder, T. (2015). Supermarkets as an Important Smart Grid Application. In 16th European Conference, Technological Innovations In Refrigeration And In Air Conditioning, Milan. Danfoss. Gelazanskas, L. and Gamage, K. A. A. (2014). Demand side management in smart grid : A review and proposals for future direction. Sustainable Cities and Society, 11:22–30. Haider, H. T., See, O. H., and Elmenreich, W. (2016). A review of residential demand response of smart grid. Renewable and Sustainable Energy Reviews, 59:166– 178. Hovgaard, T. G., Halvgaard, R., Larsen, L. F. S., and J{\o}rgensen, J. B. (2011). Energy Efﬁcient Refrigeration and Flexible Power Consumption in a Smart Grid. In Proceedings of Ris{\o} International Energy Conference, pages 164–175. M˚ansson, T. (2016). Energy in supermarkets. Licentiate thesis, Chalmers University of Technology. M˚ansson, T. and Ostermeyer, Y. (2013). The potential of thermal energy storage in food cooling processes in retail markets for grid balancing. In Nordic Symposium on Building Physics 2013, pages 1–6, Lund. Ochieng, E. G., Jones, N., Price, a. D. F., Ruan, X., Egbu, C. O., and Zuofa, T. (2014). Integration of energy efﬁcient technologies in UK supermarkets. Energy Policy, 67:388–393. Pedersen, R., Schwensen, J., Biegel, B., Stoustrup, J., and Green, T. (2014). Aggregation and control of supermarket refrigeration systems in a smart grid. IFAC Proceedings Volumes (IFAC-PapersOnline), 19:9942– 9949. Retail Forum for Sustainability (2009). Issue Paper on the Energy Efﬁciency of Stores. Retail Forum for Sustainability, 1(1):1–9. Sand´en, B. (2014). Systems Perspectives on Renewable Power 2014. Chalmers University of Technology, G¨oteborg, v1.0 edition. Sinn, H. W. (2017). Buffering volatility: A study on the limits of Germany's energy revolution. European Economic Review, 99:130–150. Smale, N., Moureh, J., and Cortella, G. (2006). A review of numerical models of airﬂow in refrigerated food applications. International Journal of Refrigeration, 29(6):911–930. Statens Energimyndighet (2010). STIL 2 - Energianv¨andning i handelslokaler. Technical report, Energimyndigheten, Stockholm. Statista (2013). Retail Week. (n.d.). Number of stores of key food and grocery retailers in Germany in 2013, by store count. Tassou, S. A., Ge, Y., Hadawey, A., and Marriott, D. (2011). Energy consumption and conservation in food retailing. Applied Thermal Engineering, 31(2-3):147–156. Union, E. and Action, C. (2017). Energy Union. THE EU AND series of the European Commission, 1(February 2017). Zerrahn, A., Schill, W. P., and Kemfert, C. (2018). On the economics of electrical storage for variable renewable energy sources. European Economic Review, 108:259–279.	640	beginning_of_word	at	remove_one_sentence	<url> https://research.chalmers.se/publication/519739/file/519739_Fulltext.pdf </url> <text> Potential of Supermarket Refrigeration Systems for Grid Balancing by Demand Response Downloaded from: https://research.chalmers.se, 2021-11-28 06:28 UTC Citation for the original published paper (version of record): Månsson, T., Ostermeyer, Y. (2019) Potential of Supermarket Refrigeration Systems for Grid Balancing by Demand Response Proceedings of the 8th International Conference on Smart Cities and Green ICT Systems, 2019: 151-156 http://dx.doi.org/10.5220/0007749401510156 N.B. When citing this work, cite the original published paper. research.chalmers.se offers the possibility of retrieving research publications produced <cursor_is_here> It covers all kind of research output: articles, dissertations, conference papers, reports etc. since 2004. research.chalmers.se is administrated and maintained by Chalmers Library (article starts on next page) Potential of Supermarket Refrigeration Systems for Grid Balancing by Demand Response Tommie M˚ansson a and York Ostermeyer b Architecture and Civil Engineering Dept., Chalmers University of Technology, Sven Hultins Gata 6, Gothenburg, Sweden [email protected] Keywords: Supermarket, Demand Side Management, Demand Response, Energy Storage, Smart Grid. Abstract: The environmental goals of European Union demand a larger share of renewable energy sources for electrical energy generation. With the increasing share of renewable energy sources such as solar and wind, the utility grids has an increasing need for energy storage and/or demand side management. With a high energy intensity and a large thermal inertia, the refrigeration systems of supermarkets appear as an attractive actor for demand response in such scenario. Theoretically they have the capability to absorb vast amounts of electrical energy as stored compressor work, lowering the temperature of the food goods in the refrigerators. Alternatively supermarkets have the capability of reducing their energy demand by allowing the food goods temperature increase to its upper limit, reducing electrical power demand for the grid. This positioning paper will further discuss the attractiveness as and feasibility to use supermarkets for electrical energy balancing by demand response in a smart grid. 1 BACKGROUND The European Union (EU) Commission launched the European Climate Change Programme in 2000 to develop strategies to implement the Kyoto protocol in EU. In short the programme aim is to reduce the release of anthropogenic greenhouse gases (GHG) to the atmosphere and thereby mild the effects of global warming and climate change. The commitment was further strengthened by the Paris agreement from COP21 in 2015 where 195 UNFCCC members agreed to limit the global warming to less than 2 ◦ C, while aiming at 1.5 ◦ C compared to pre-industrial levels. The ﬁnancial support is agreed as at least 20% of the EU's budget for 2014 to 2020 (e 180 billion) shall be spent on actions helping to achieve the ambitious goals for 2050(European Union, 2018). Additionally individual countries and company initiatives are also funding parallel actions and projects. EU has set ambitious goals towards a more sustainable future and by 2050 EU aims to reduce the GHG emissions by 80 − 95% compared to 1990 levels(European Commission, 2012). The EU is pursuing these goals through both ﬁnancial support and revised regulations as will brieﬂy be introduced below(Union and Action, 2017). Milestones for 2020 is a 20% reduction in GHG, 20% reduced energy usage and a 20% increased energy efﬁciency. a https://orcid.org/0000-0003-1536-8484 b https://orcid.org/0000-0001-7285-2737 Additionally, all EU countries are required to support renewable energy generation such as solar, wind and biomass as a part of the Green energy targets. Following the Revised Energy Directives (REDII) the EU should have reached an overall share of 27% of renewable energy by 2030, with some members performing signiﬁcantly better(Comission, 2018). However, an increased share of uncontrollable and slower responding renewable energy sources creates an issue for the utility grid to balance the supply and demand. The introduction of EU emissions trading system in 2005 that limits the maximum amount of GHG that the EU countries is allowed to release has created a platform for businesses to trade with their GHGreduction. Companies and countries can trade their rights to release GHG, which becomes an incentive to reduce emission to increase proﬁt. In a traditional electrical grid, the supply is adapted to the demand by adjusting the electrical energy generation. The variations are often balanced by the use of smaller gas turbines, hydroelectric etc. that has the possibility to adjust their power outtake rapidly. However, gas turbines most commonly are using fossil fuels and the hydroelectric capacity is geographically limited to regions with a satisfying topology. Therefore in a national, continental or global scenario where the share renewable energy sources are increased and the use of fossil fuels are to be minimised, these problems of balancing will become more severe. Implementing energy storage in combination with demand side management to adapt the demand to the available supply of energy is therefore needed (Farhangi, 2010). 1.1 Needed Energy Storage and Demand Response In Germany, the implementation of renewable energy sources has been progressing in accordance with the goals of EU and the need of storage solutions in increasing. In (Sinn, 2017) the author concludes a storage capacity demand of 5, 800 GWh at 68% share of renewable energy and 16, 300 GWh with a share of 89% for the German context. In (Zerrahn et al., 2018) the authors instead conclude a 55 GWh need at a 68% share, and a 436 GWh need at 88% share. Already today and since years back Germany is facing issues with balancing the grid, resulting in negative electrical energy tariff(Deloitte, 2015). By introducing demand side response, the needed storage capacity will be lowered accordingly(Balijepalli et al., 2011). Instead of demanding energy when there is a deﬁcit, the energy user will postpone the demand to a more favourable time for the supply side. If batteries or pumped hydro is used, it has the capability of storing electrical energy to be released later, but it is costly and also the materials used in batteries has a negative environmental impact(Sand´en, 2014). (Haider et al., 2016) ,(Costanzo, 2015) , (Gelazanskas and Gamage, 2014) ,(Gelazanskas and Gamage, 2014) and (Baharlouei and Hashemi, 2013) amongst others have discussed the beneﬁts and challenges with demand response. They conclude one challenge to be the communication between a vast amount of appliances to schedule their loads optimally. By identifying large and energy intense systems, the amount of involved units can be reduces and this challenge is thereby reduced. This is where supermarkets and their refrigeration systems appears as an attractive actor (M˚ansson and Ostermeyer, 2013)(Funder, 2015)(Pedersen et al., 2014)(Hovgaard et al., 2011). 2 POTENTIAL DEMAND RESPONSE BY SUPERMARKETS Supermarkets are inherently intense energy users due to all food goods that demands refrigeration (Tassou et al., 2011). The thermal inertia of the refrigeration system is a great beneﬁt as it would allow the supermarket to "charge" by transforming electrical energy into stored compressor work by temperature reduction of the food goods(M˚ansson, 2016). Additionally the supermarket would be capable of reducing the electrical power demand for refrigeration to nil within seconds if requested by the supply side. In Germany alone, there are about 38, 000 supermarkets with an accumulated energy demand of 10 TW h (Funder, 2015), translating to an average of 30 kW of electrical power demand per market or 1.14 GW nationally. This represents about 2% of Germanys electrical energy demand, which is also a representative number for both Sweden (Arias, 2005) and UK(Tassou et al., 2011). With refrigeration representing approximately 50%(Statens Energimyndighet, 2010) of a supermarkets energy demand it is reasonable to estimate that the average power demand would be correspondingly large. And most certainly the rated power of the accumulated refrigeration systems is signiﬁcantly larger, which is advantageous when acting as a energy sink for the grid. 2.1 Available Buffering Power and Energy A supermarket refrigeration system could potentially run its refrigeration system at maximum rated capacity at any given time. This action would result in all refrigerated display cabinets decreasing in temperature at maximum rate. Several models for estimation of this rate and the energy demand exists (Smale et al., 2006) but are all dependent on accurate input parameters for the thermal properties of the food and refrigeration system. From the authors experience this rate is in the magnitude of 1 ◦ C/min. As the temperature of the refrigerated display cabinets in general vary in time with ±2 ◦ C around the set point temperature, the possible buffering capacity measured in time would be 0 − 4 minutes, depending on the individual temperature levels of the cabinets in the supermarket. Another scenario is to partially increase the compressor work above the needed heat extraction rate for the refrigerated display cabinets. This would result in a slower decrease of temperatures in the cabinets i.e. longer discharge time for the supply side. However, the energy buffered by the refrigerated display cabinets is equal for the maximum rate and partial rate scenario. The energy storage capacity is limited to the accepted lower limit temperature and the thermal inertia of the food goods and refrigerated display cabinets. 2.2 Available Electrical Demand Reduction A supermarket could potentially also turn the compressor completely or partially off, resulting in a temperature increase of the food in the refrigerated display cabinets. The temperature increase rate is however lower than the temperature decrease rate. Following that the cabinets are developed to be energy efﬁcient, the insulation capacity is high. From ﬁeld observations and laboratory measurements an estimated temperature increase rate between 0.2 − 0.8 ◦ C per minute can be expected depending on the cabinet type and quality. For low temperature cabinets a lower rate is likely. If instead of completely turning the compressors off the supermarket keeps them at a reduced power, the supermarket should be able to run at reduced capacity for signiﬁcantly longer times. With the same reasoning as above, this gives a potential complete shut off time of 0 − 20 minutes depending on the actual individual temperature and quality of the cabinets. In a scenario where the supermarket just has been charged and all cabinets are at their lower limit temperature and they are of highly energy efﬁcient type, the upper ﬁgure of 40 min is true. This ﬁgure is however also inﬂuenced by the customer behaviours, i.e. if the doors are frequently opened or not. 2.3 Example Store from Germany To exemplify the potential, we present data from a 1, 300 m 2 supermarket built in 2011 just outside Hannover in Germany. The refrigeration system serves a total of 22 doored freezers, 15 chest type freezers and 62 doored medium temperature cabinets as well as 12 meter of refrigerated deli desk. The rated electrical power for this system is approximately 50 kW . In Figure 1 the electrical power demand by the refrigeration system is shown. Here it can be seen that the system uses on average about 25 kW over the week. Only at a few times a week the demand is above 30 kW and it never goes below 20 kW on the 15 min averaged data that is shown. The ﬂuctuations in the low temperature compressors that causes the daily peaks is a consequence of synchronised defrost schedules for the low temperature refrigerated display cabinets. For medium temperature refrigerated display cabinets in the store, the setpoint temperature range is 6 ± 2 ◦ C allowing for 4 ◦ C variation of temperature. For low temperature cabinets the set point is −20 ◦ C with the same allowed variations. To estimate the storage potential, the temperature decrease and increase rate must be known. The authors therefore performed a test on the medium temperature cabinets of the store to ﬁnd the maximum temperature decrease rate. And a representative temperature increase rate for 23 ◦ C ambient conditions, which is slightly higher than the actual store temperature, making the results conservative. The results from the experiment is presented bellow in Figure 2. Figure 2: Temperature development in a refrigerated display cabinet during maximum cooling followed by no active cooling. Results are from a pilot experiment by the authors. In Figure 2 it can be seen that the temperature decrease from 7.7 to 6.3 ◦ C occurs during approximately 100 seconds. Resulting in an temperature decrease rate of 0.84 ◦ C/min. In analogy with the decrease rate the increase rate was calculated to be 0.24 ◦ C/min. 2.3.1 Absorbing or Postponing Energy From Figure 1 we see that the electrical power demand at any given time is within the range of 20 − 30 kW . Meaning that the remaining power to reach the maximum power of 50 kW is 20 − 30 kW too. With a temperature decrease rate of 0.84 ◦ C/min, the market would be able to absorb energy for a maximum of 4.76 minutes resulting in 1.59 − 2.58 kWh of excess energy stored. With the large number of refrigerated display cabinets it can be assumed that the distribution of their individual temperature is evenly spread within the upper and lower limits. This implies that a complete shutdown of the refrigeration system is only possible if the refrigeration system actively has cooled down all cabinets before the shutdown. Otherwise the warmer cabinets will exceed the upper temperature limitation and the food must be discarded. Running the system on partial load, serving only the warmer cabinets is however a more realistic scenario. If assuming that all components of the refrigeration system is at their respective lower temperature limit and that all cabinets have the same temperature increase rate we can calculate the maximum postponed energy use. From the experiment presented the authors concluded a temperature increase rate of 0.24 ◦ C/min, meaning that it would take 16.7 minutes to increase the temperature by 4 ◦ C. During this time the supermarket would under normal conditions (20 − 30 kW ) have used 5.3 − 8 kWh, which is the amount of energy that was shifted. 3 DISCUSSION As shown in the example above and by the previous argumentation, supermarket refrigeration systems could potentially be utilised for demand response in the electrical grid. In the example the quantities of stored energy is rather low while the available electrical power is high and almost instantly accessible, making the supermarkets attractive as a short time energy buffer for the grid. One missing part to realise this today lay in the communication between the supermarkets and the electrical grid, both for the business agreements and digital signals to allow the grid to use the capacity. In today's supermarkets the main objective of the control systems is to keep the food temperatures within the temperature limits and to make the heat extraction demand even for the compressors to be able run at an energy efﬁcient level. Some system actively plans the cooling cycles to avoid peak power events to occur when the electrical tariff is high. Meaning that the refrigeration system today already uses the thermal inertia of the food goods, but for a different purpose then demand response. But due to the low accuracy of the control system the safety margins must be high to ensure the food safety. Meaning that the full range in allowed temperature variation is almost never used but rather limited to a few degrees. When designing a supermarket refrigeration system they are made to be redundant to ensure that heat extraction demand never is larger than the installed capacity. This has led to that the supermarkets has signiﬁcant amounts of spare cooling power capacity, which most certainly would beneﬁt the electrical grid to have as buffering capacity. With low proﬁt margins (2 − 3%)(Arias, 2005), the supermarkets are prone to adapt cost reducing actions in their markets(Retail Forum for Sustainability, 2009). Potentially being offered by the electrical grid companies to sell buffering capacities or beneﬁt of reduced energy prices might be an attractive incentive. With the trade of Carbon-emission rights the supermarkets could claim to have lowered the GHG emissions and therefore sell parts of its emission rights. Creating a second revenue stream for the supermarket companies. Following that the four largest supermarket companies Aldi, Netto, Lidl and REWE represents 14 640 (Statista, 2013) of these stores, the sector becomes easily addressable. Meaning that if the companies ﬁnd incentives to implement demand response, the accumulated effects would be very large. From a technology implementation perspective, the larger organisations are often using standardised solutions which would mean that the demand response technology that is necessary would have fewer variations. Adapting the technology of one system that is used for thousands of similar stores makes it more attractive for developers to ﬁnd a business case. An interesting aspect is that the driving force that makes supermarkets attractive for demand response is their high energy intensity. Meaning that any energy efﬁciency measures that lowers the energy demand for refrigeration will negatively affect its capacity as a resource for demand response. Yet it will lower the local energy demand and thereby the energy bill. Therefore, ﬁnding a balance between the incentives here is crucial. The businesses case is however rather complex and must involve beneﬁts for two actors, both the supermarket and the energy producer. Fiscal and economical incentives for increased energy efﬁciency and lower climate impact for the energy producers are obvious. But these beneﬁts must also be transferred to the supermarkets to motivate the initial investment in systems allowing for the demand response to be implemented. Another aspect of the utilisation of the refrigeration system for demand response is the fact that the thermal mass is highly valuable food. The accumulated monetary value of the stored food in the cabinets is monumental. This demands that the implemented technologies are safe against failures and the highest priority must always be the food safety. Depending on the business model of the supermarket companies and the incentives provided by the electrical grid, the installation of additional cold thermal storage for the refrigeration system might be beneﬁcial(Ochieng et al., 2014). As presented earlier the duration for which the refrigeration system can be turned off or ran at maximum capacity is limited to the thermal inertia of the food. If installing additional thermal energy storage units, the duration and stored energy could be increased. Additionally depending on on chosen technical solution for thermal energy storage, this would also allow for complete shutdown by allowing the valuable food goods to cool directly from the thermal energy storage instead of increasing its temperature. The optimal sizing of such a storage depends on the energy demand by the supermarket and the business agreements with the utility grid. However, the storage is one directional as the stored compressor work cannot be converted back to electricity. Meaning that there must be a balance between the supermarkets heat extraction and the stored electrical energy over the chosen storage period which could be stretching from minutes to seasons. 4 CONCLUSION With the above presented arguments and discussion we conclude that utilising supermarket refrigeration systems as a part of the grid balancing mechanism is feasible. The technology is there and the incentives could be created via the right business model. In theory almost any centralised refrigeration control system would be capable of providing this buffering capacity to the grid, the main barrier is the business models and control system accuracy and communication. ACKNOWLEDGEMENTS The authors would like to thank the main funding body, Climate-KIC, providing not just the necessary funds but an invaluable network and inspirational community. REFERENCES Arias, J. (2005). Energy Usage in Supermarkets - Modelling and Field Measurements. PhD thesis, Royal Institute of Technology. Baharlouei, Z. and Hashemi, M. (2013). Demand Side Management challenges in smart grid: A review. In 2013 Smart Grid Conference, page 96, Tehran,Iran. IEE. Balijepalli, V. S. K. M., Khaparde, S. A., Shereef, R. M., and Pradhan, V. (2011). Review of Demand Response under Smart Grid\rParadigm.pdf. IEEE PES Innovative Smart Grid Technologies. Comission, E. (2018). European Comission - Renewable energy directive. Costanzo, G. T. (2015). Demand Side Management In The Smart Grid. PhD thesis, Technical University of Denmark. Deloitte (2015). European energy market reform Country proﬁle : Germany Contents. Technical report, Deloitte Conseil, Zurich. European Commission (2012). Roadmap 2050. Policy, 001(April):1–9. European Union (2018). Energy in ﬁgures – Statistical pocketbook. Publications Ofﬁce of the European Union. Farhangi, H. (2010). The path of the smart grid. IEEE Power and Energy Magazine, 8(1):18–28. Funder, T. (2015). Supermarkets as an Important Smart Grid Application. In 16th European Conference, Technological Innovations In Refrigeration And In Air Conditioning, Milan. Danfoss. Gelazanskas, L. and Gamage, K. A. A. (2014). Demand side management in smart grid : A review and proposals for future direction. Sustainable Cities and Society, 11:22–30. Haider, H. T., See, O. H., and Elmenreich, W. (2016). A review of residential demand response of smart grid. Renewable and Sustainable Energy Reviews, 59:166– 178. Hovgaard, T. G., Halvgaard, R., Larsen, L. F. S., and J{\o}rgensen, J. B. (2011). Energy Efﬁcient Refrigeration and Flexible Power Consumption in a Smart Grid. In Proceedings of Ris{\o} International Energy Conference, pages 164–175. M˚ansson, T. (2016). Energy in supermarkets. Licentiate thesis, Chalmers University of Technology. M˚ansson, T. and Ostermeyer, Y. (2013). The potential of thermal energy storage in food cooling processes in retail markets for grid balancing. In Nordic Symposium on Building Physics 2013, pages 1–6, Lund. Ochieng, E. G., Jones, N., Price, a. D. F., Ruan, X., Egbu, C. O., and Zuofa, T. (2014). Integration of energy efﬁcient technologies in UK supermarkets. Energy Policy, 67:388–393. Pedersen, R., Schwensen, J., Biegel, B., Stoustrup, J., and Green, T. (2014). Aggregation and control of supermarket refrigeration systems in a smart grid. IFAC Proceedings Volumes (IFAC-PapersOnline), 19:9942– 9949. Retail Forum for Sustainability (2009). Issue Paper on the Energy Efﬁciency of Stores. Retail Forum for Sustainability, 1(1):1–9. Sand´en, B. (2014). Systems Perspectives on Renewable Power 2014. Chalmers University of Technology, G¨oteborg, v1.0 edition. Sinn, H. W. (2017). Buffering volatility: A study on the limits of Germany's energy revolution. European Economic Review, 99:130–150. Smale, N., Moureh, J., and Cortella, G. (2006). A review of numerical models of airﬂow in refrigerated food applications. International Journal of Refrigeration, 29(6):911–930. Statens Energimyndighet (2010). STIL 2 - Energianv¨andning i handelslokaler. Technical report, Energimyndigheten, Stockholm. Statista (2013). Retail Week. (n.d.). Number of stores of key food and grocery retailers in Germany in 2013, by store count. Tassou, S. A., Ge, Y., Hadawey, A., and Marriott, D. (2011). Energy consumption and conservation in food retailing. Applied Thermal Engineering, 31(2-3):147–156. Union, E. and Action, C. (2017). Energy Union. THE EU AND series of the European Commission, 1(February 2017). Zerrahn, A., Schill, W. P., and Kemfert, C. (2018). On the economics of electrical storage for variable renewable energy sources. European Economic Review, 108:259–279. </text>	[ { "content": "<url>\nhttps://research.chalmers.se/publication/519739/file/519739_Fulltext.pdf\n</url>\n<text>\nPotential of Supermarket Refrigeration Systems for Grid Balancing by Demand Response\n\nDownloaded from: https://research.chalmers.se, 2021-11-28 06:28 UTC\n\nCitation for the original published paper (version of record):\n\nMånsson, T., Ostermeyer, Y. (2019)\n\nPotential of Supermarket Refrigeration Systems for Grid Balancing by Demand Response\n\nProceedings of the 8th International Conference on Smart Cities and Green ICT Systems, 2019: 151-156\n\nhttp://dx.doi.org/10.5220/0007749401510156\n\nN.B. When citing this work, cite the original published paper.\n\nresearch.chalmers.se offers the possibility of retrieving research publications produced <cursor_is_here> It covers all kind of research output: articles, dissertations, conference papers, reports etc. since 2004. research.chalmers.se is administrated and maintained by Chalmers Library\n\n(article starts on next page)\n\nPotential of Supermarket Refrigeration Systems for Grid Balancing by Demand Response\n\nTommie M˚ansson a and York Ostermeyer b\n\nArchitecture and Civil Engineering Dept., Chalmers University of Technology, Sven Hultins Gata 6, Gothenburg, Sweden [email protected]\n\nKeywords:\n\nSupermarket, Demand Side Management, Demand Response, Energy Storage, Smart Grid.\n\nAbstract:\n\nThe environmental goals of European Union demand a larger share of renewable energy sources for electrical energy generation. With the increasing share of renewable energy sources such as solar and wind, the utility grids has an increasing need for energy storage and/or demand side management. With a high energy intensity and a large thermal inertia, the refrigeration systems of supermarkets appear as an attractive actor for demand response in such scenario. Theoretically they have the capability to absorb vast amounts of electrical energy as stored compressor work, lowering the temperature of the food goods in the refrigerators. Alternatively supermarkets have the capability of reducing their energy demand by allowing the food goods temperature increase to its upper limit, reducing electrical power demand for the grid. This positioning paper will further discuss the attractiveness as and feasibility to use supermarkets for electrical energy balancing by demand response in a smart grid.\n\n1 BACKGROUND\n\nThe European Union (EU) Commission launched the European Climate Change Programme in 2000 to develop strategies to implement the Kyoto protocol in EU. In short the programme aim is to reduce the release of anthropogenic greenhouse gases (GHG) to the atmosphere and thereby mild the effects of global warming and climate change. The commitment was further strengthened by the Paris agreement from COP21 in 2015 where 195 UNFCCC members agreed to limit the global warming to less than 2 ◦ C, while aiming at 1.5 ◦ C compared to pre-industrial levels.\n\nThe ﬁnancial support is agreed as at least 20% of the EU's budget for 2014 to 2020 (e 180 billion) shall be spent on actions helping to achieve the ambitious goals for 2050(European Union, 2018). Additionally individual countries and company initiatives are also funding parallel actions and projects.\n\nEU has set ambitious goals towards a more sustainable future and by 2050 EU aims to reduce the GHG emissions by 80 − 95% compared to 1990 levels(European Commission, 2012). The EU is pursuing these goals through both ﬁnancial support and revised regulations as will brieﬂy be introduced below(Union and Action, 2017). Milestones for 2020 is a 20% reduction in GHG, 20% reduced energy usage and a 20% increased energy efﬁciency.\n\na https://orcid.org/0000-0003-1536-8484\n\nb https://orcid.org/0000-0001-7285-2737\n\nAdditionally, all EU countries are required to support renewable energy generation such as solar, wind and biomass as a part of the Green energy targets. Following the Revised Energy Directives (REDII) the EU should have reached an overall share of 27% of renewable energy by 2030, with some members performing signiﬁcantly better(Comission, 2018). However, an increased share of uncontrollable and slower responding renewable energy sources creates an issue for the utility grid to balance the supply and demand.\n\nThe introduction of EU emissions trading system in 2005 that limits the maximum amount of GHG that the EU countries is allowed to release has created a platform for businesses to trade with their GHGreduction. Companies and countries can trade their rights to release GHG, which becomes an incentive to reduce emission to increase proﬁt.\n\nIn a traditional electrical grid, the supply is adapted to the demand by adjusting the electrical energy generation. The variations are often balanced by the use of smaller gas turbines, hydroelectric etc. that has the possibility to adjust their power outtake rapidly. However, gas turbines most commonly are using fossil fuels and the hydroelectric capacity is geographically limited to regions with a satisfying topology.\n\nTherefore in a national, continental or global scenario where the share renewable energy sources are increased and the use of fossil fuels are to be minimised, these problems of balancing will become more severe. Implementing energy storage in combination with demand side management to adapt the demand to the available supply of energy is therefore needed (Farhangi, 2010).\n\n1.1 Needed Energy Storage and Demand Response\n\nIn Germany, the implementation of renewable energy sources has been progressing in accordance with the goals of EU and the need of storage solutions in increasing. In (Sinn, 2017) the author concludes a storage capacity demand of 5, 800 GWh at 68% share of renewable energy and 16, 300 GWh with a share of 89% for the German context. In (Zerrahn et al., 2018) the authors instead conclude a 55 GWh need at a 68% share, and a 436 GWh need at 88% share. Already today and since years back Germany is facing issues with balancing the grid, resulting in negative electrical energy tariff(Deloitte, 2015).\n\nBy introducing demand side response, the needed storage capacity will be lowered accordingly(Balijepalli et al., 2011). Instead of demanding energy when there is a deﬁcit, the energy user will postpone the demand to a more favourable time for the supply side.\n\nIf batteries or pumped hydro is used, it has the capability of storing electrical energy to be released later, but it is costly and also the materials used in batteries has a negative environmental impact(Sand´en, 2014).\n\n(Haider et al., 2016) ,(Costanzo, 2015) , (Gelazanskas and Gamage, 2014) ,(Gelazanskas and Gamage, 2014) and (Baharlouei and Hashemi, 2013) amongst others have discussed the beneﬁts and challenges with demand response. They conclude one challenge to be the communication between a vast amount of appliances to schedule their loads optimally. By identifying large and energy intense systems, the amount of involved units can be reduces and this challenge is thereby reduced.\n\nThis is where supermarkets and their refrigeration systems appears as an attractive actor (M˚ansson and Ostermeyer, 2013)(Funder, 2015)(Pedersen et al., 2014)(Hovgaard et al., 2011).\n\n2 POTENTIAL DEMAND RESPONSE BY SUPERMARKETS\n\nSupermarkets are inherently intense energy users due to all food goods that demands refrigeration (Tassou et al., 2011). The thermal inertia of the refrigeration system is a great beneﬁt as it would allow the supermarket to \"charge\" by transforming electrical energy into stored compressor work by temperature reduction of the food goods(M˚ansson, 2016). Additionally the supermarket would be capable of reducing the electrical power demand for refrigeration to nil within seconds if requested by the supply side.\n\nIn Germany alone, there are about 38, 000 supermarkets with an accumulated energy demand of 10 TW h (Funder, 2015), translating to an average of 30 kW of electrical power demand per market or 1.14 GW nationally. This represents about 2% of Germanys electrical energy demand, which is also a representative number for both Sweden (Arias, 2005) and UK(Tassou et al., 2011). With refrigeration representing approximately 50%(Statens Energimyndighet, 2010) of a supermarkets energy demand it is reasonable to estimate that the average power demand would be correspondingly large. And most certainly the rated power of the accumulated refrigeration systems is signiﬁcantly larger, which is advantageous when acting as a energy sink for the grid.\n\n2.1 Available Buffering Power and Energy\n\nA supermarket refrigeration system could potentially run its refrigeration system at maximum rated capacity at any given time. This action would result in all refrigerated display cabinets decreasing in temperature at maximum rate. Several models for estimation of this rate and the energy demand exists (Smale et al., 2006) but are all dependent on accurate input parameters for the thermal properties of the food and refrigeration system. From the authors experience this rate is in the magnitude of 1 ◦ C/min. As the temperature of the refrigerated display cabinets in general vary in time with ±2 ◦ C around the set point temperature, the possible buffering capacity measured in time would be 0 − 4 minutes, depending on the individual temperature levels of the cabinets in the supermarket.\n\nAnother scenario is to partially increase the compressor work above the needed heat extraction rate for the refrigerated display cabinets. This would result in a slower decrease of temperatures in the cabinets i.e. longer discharge time for the supply side. However, the energy buffered by the refrigerated display cabinets is equal for the maximum rate and partial rate scenario. The energy storage capacity is limited to the accepted lower limit temperature and the thermal inertia of the food goods and refrigerated display cabinets.\n\n2.2 Available Electrical Demand Reduction\n\nA supermarket could potentially also turn the compressor completely or partially off, resulting in a temperature increase of the food in the refrigerated display cabinets. The temperature increase rate is however lower than the temperature decrease rate. Following that the cabinets are developed to be energy efﬁcient, the insulation capacity is high. From ﬁeld observations and laboratory measurements an estimated temperature increase rate between 0.2 − 0.8 ◦ C per minute can be expected depending on the cabinet type and quality. For low temperature cabinets a lower rate is likely.\n\nIf instead of completely turning the compressors off the supermarket keeps them at a reduced power, the supermarket should be able to run at reduced capacity for signiﬁcantly longer times.\n\nWith the same reasoning as above, this gives a potential complete shut off time of 0 − 20 minutes depending on the actual individual temperature and quality of the cabinets. In a scenario where the supermarket just has been charged and all cabinets are at their lower limit temperature and they are of highly energy efﬁcient type, the upper ﬁgure of 40 min is true. This ﬁgure is however also inﬂuenced by the customer behaviours, i.e. if the doors are frequently opened or not.\n\n2.3 Example Store from Germany\n\nTo exemplify the potential, we present data from a 1, 300 m 2 supermarket built in 2011 just outside Hannover in Germany. The refrigeration system serves a total of 22 doored freezers, 15 chest type freezers and 62 doored medium temperature cabinets as well as 12 meter of refrigerated deli desk. The rated electrical power for this system is approximately 50 kW .\n\nIn Figure 1 the electrical power demand by the refrigeration system is shown. Here it can be seen that the system uses on average about 25 kW over the week. Only at a few times a week the demand is above 30 kW and it never goes below 20 kW on the 15 min averaged data that is shown. The ﬂuctuations in the low temperature compressors that causes the daily peaks is a consequence of synchronised defrost schedules for the low temperature refrigerated display cabinets.\n\nFor medium temperature refrigerated display cabinets in the store, the setpoint temperature range is 6 ± 2 ◦ C allowing for 4 ◦ C variation of temperature. For low temperature cabinets the set point is −20 ◦ C with the same allowed variations.\n\nTo estimate the storage potential, the temperature decrease and increase rate must be known. The authors therefore performed a test on the medium temperature cabinets of the store to ﬁnd the maximum temperature decrease rate. And a representative temperature increase rate for 23 ◦ C ambient conditions, which is slightly higher than the actual store temperature, making the results conservative. The results from the experiment is presented bellow in Figure 2.\n\nFigure 2: Temperature development in a refrigerated display cabinet during maximum cooling followed by no active cooling. Results are from a pilot experiment by the authors.\n\nIn Figure 2 it can be seen that the temperature decrease from 7.7 to 6.3 ◦ C occurs during approximately 100 seconds. Resulting in an temperature decrease rate of 0.84 ◦ C/min. In analogy with the decrease rate the increase rate was calculated to be 0.24 ◦ C/min.\n\n2.3.1 Absorbing or Postponing Energy\n\nFrom Figure 1 we see that the electrical power demand at any given time is within the range of 20 − 30 kW . Meaning that the remaining power to reach the maximum power of 50 kW is 20 − 30 kW too. With a temperature decrease rate of 0.84 ◦ C/min, the market would be able to absorb energy for a maximum of\n\n4.76 minutes resulting in 1.59 − 2.58 kWh of excess energy stored.\n\nWith the large number of refrigerated display cabinets it can be assumed that the distribution of their individual temperature is evenly spread within the upper and lower limits. This implies that a complete shutdown of the refrigeration system is only possible if the refrigeration system actively has cooled down all cabinets before the shutdown. Otherwise the warmer cabinets will exceed the upper temperature limitation and the food must be discarded. Running the system on partial load, serving only the warmer cabinets is however a more realistic scenario.\n\nIf assuming that all components of the refrigeration system is at their respective lower temperature limit and that all cabinets have the same temperature increase rate we can calculate the maximum postponed energy use. From the experiment presented the authors concluded a temperature increase rate of 0.24 ◦ C/min, meaning that it would take 16.7 minutes to increase the temperature by 4 ◦ C. During this time the supermarket would under normal conditions (20 − 30 kW ) have used 5.3 − 8 kWh, which is the amount of energy that was shifted.\n\n3 DISCUSSION\n\nAs shown in the example above and by the previous argumentation, supermarket refrigeration systems could potentially be utilised for demand response in the electrical grid. In the example the quantities of stored energy is rather low while the available electrical power is high and almost instantly accessible, making the supermarkets attractive as a short time energy buffer for the grid. One missing part to realise this today lay in the communication between the supermarkets and the electrical grid, both for the business agreements and digital signals to allow the grid to use the capacity.\n\nIn today's supermarkets the main objective of the control systems is to keep the food temperatures within the temperature limits and to make the heat extraction demand even for the compressors to be able run at an energy efﬁcient level. Some system actively plans the cooling cycles to avoid peak power events to occur when the electrical tariff is high. Meaning that the refrigeration system today already uses the thermal inertia of the food goods, but for a different purpose then demand response. But due to the low accuracy of the control system the safety margins must be high to ensure the food safety. Meaning that the full range in allowed temperature variation is almost never used but rather limited to a few degrees.\n\nWhen designing a supermarket refrigeration system they are made to be redundant to ensure that heat extraction demand never is larger than the installed capacity. This has led to that the supermarkets has signiﬁcant amounts of spare cooling power capacity, which most certainly would beneﬁt the electrical grid to have as buffering capacity.\n\nWith low proﬁt margins (2 − 3%)(Arias, 2005), the supermarkets are prone to adapt cost reducing actions in their markets(Retail Forum for Sustainability, 2009). Potentially being offered by the electrical grid companies to sell buffering capacities or beneﬁt of reduced energy prices might be an attractive incentive. With the trade of Carbon-emission rights the supermarkets could claim to have lowered the GHG emissions and therefore sell parts of its emission rights. Creating a second revenue stream for the supermarket companies.\n\nFollowing that the four largest supermarket companies Aldi, Netto, Lidl and REWE represents 14 640 (Statista, 2013) of these stores, the sector becomes easily addressable. Meaning that if the companies ﬁnd incentives to implement demand response, the accumulated effects would be very large.\n\nFrom a technology implementation perspective, the larger organisations are often using standardised solutions which would mean that the demand response technology that is necessary would have fewer variations. Adapting the technology of one system that is used for thousands of similar stores makes it more attractive for developers to ﬁnd a business case.\n\nAn interesting aspect is that the driving force that makes supermarkets attractive for demand response is their high energy intensity. Meaning that any energy efﬁciency measures that lowers the energy demand for refrigeration will negatively affect its capacity as a resource for demand response. Yet it will lower the local energy demand and thereby the energy bill. Therefore, ﬁnding a balance between the incentives here is crucial.\n\nThe businesses case is however rather complex and must involve beneﬁts for two actors, both the supermarket and the energy producer. Fiscal and economical incentives for increased energy efﬁciency and lower climate impact for the energy producers are obvious. But these beneﬁts must also be transferred to the supermarkets to motivate the initial investment in systems allowing for the demand response to be implemented.\n\nAnother aspect of the utilisation of the refrigeration system for demand response is the fact that the thermal mass is highly valuable food. The accumulated monetary value of the stored food in the cabinets is monumental. This demands that the implemented technologies are safe against failures and the highest priority must always be the food safety.\n\nDepending on the business model of the supermarket companies and the incentives provided by the electrical grid, the installation of additional cold thermal storage for the refrigeration system might be beneﬁcial(Ochieng et al., 2014). As presented earlier the duration for which the refrigeration system can be turned off or ran at maximum capacity is limited to the thermal inertia of the food. If installing additional thermal energy storage units, the duration and stored energy could be increased. Additionally depending on on chosen technical solution for thermal energy storage, this would also allow for complete shutdown by allowing the valuable food goods to cool directly from the thermal energy storage instead of increasing its temperature. The optimal sizing of such a storage depends on the energy demand by the supermarket and the business agreements with the utility grid. However, the storage is one directional as the stored compressor work cannot be converted back to electricity. Meaning that there must be a balance between the supermarkets heat extraction and the stored electrical energy over the chosen storage period which could be stretching from minutes to seasons.\n\n4 CONCLUSION\n\nWith the above presented arguments and discussion we conclude that utilising supermarket refrigeration systems as a part of the grid balancing mechanism is feasible. The technology is there and the incentives could be created via the right business model. In theory almost any centralised refrigeration control system would be capable of providing this buffering capacity to the grid, the main barrier is the business models and control system accuracy and communication.\n\nACKNOWLEDGEMENTS\n\nThe authors would like to thank the main funding body, Climate-KIC, providing not just the necessary funds but an invaluable network and inspirational community.\n\nREFERENCES\n\nArias, J. (2005). Energy Usage in Supermarkets - Modelling and Field Measurements. PhD thesis, Royal Institute of Technology.\nBaharlouei, Z. and Hashemi, M. (2013). Demand Side Management challenges in smart grid: A review. In 2013 Smart Grid Conference, page 96, Tehran,Iran. IEE.\nBalijepalli, V. S. K. M., Khaparde, S. A., Shereef, R. M., and Pradhan, V. (2011). Review of Demand Response under Smart Grid\\rParadigm.pdf. IEEE PES Innovative Smart Grid Technologies.\nComission, E. (2018). European Comission - Renewable energy directive.\nCostanzo, G. T. (2015). Demand Side Management In The Smart Grid. PhD thesis, Technical University of Denmark.\nDeloitte (2015). European energy market reform Country proﬁle : Germany Contents. Technical report, Deloitte Conseil, Zurich.\nEuropean Commission (2012). Roadmap 2050. Policy, 001(April):1–9.\nEuropean Union (2018). Energy in ﬁgures – Statistical pocketbook. Publications Ofﬁce of the European Union.\nFarhangi, H. (2010). The path of the smart grid. IEEE Power and Energy Magazine, 8(1):18–28.\nFunder, T. (2015). Supermarkets as an Important Smart Grid Application. In 16th European Conference, Technological Innovations In Refrigeration And In Air Conditioning, Milan. Danfoss.\nGelazanskas, L. and Gamage, K. A. A. (2014). Demand side management in smart grid : A review and proposals for future direction. Sustainable Cities and Society, 11:22–30.\nHaider, H. T., See, O. H., and Elmenreich, W. (2016). A review of residential demand response of smart grid. Renewable and Sustainable Energy Reviews, 59:166– 178.\nHovgaard, T. G., Halvgaard, R., Larsen, L. F. S., and J{\\o}rgensen, J. B. (2011). Energy Efﬁcient Refrigeration and Flexible Power Consumption in a Smart Grid. In Proceedings of Ris{\\o} International Energy Conference, pages 164–175.\nM˚ansson, T. (2016). Energy in supermarkets. Licentiate thesis, Chalmers University of Technology.\nM˚ansson, T. and Ostermeyer, Y. (2013). The potential of thermal energy storage in food cooling processes in retail markets for grid balancing. In Nordic Symposium on Building Physics 2013, pages 1–6, Lund.\nOchieng, E. G., Jones, N., Price, a. D. F., Ruan, X., Egbu, C. O., and Zuofa, T. (2014). Integration of energy efﬁcient technologies in UK supermarkets. Energy Policy, 67:388–393.\nPedersen, R., Schwensen, J., Biegel, B., Stoustrup, J., and Green, T. (2014). Aggregation and control of supermarket refrigeration systems in a smart grid. IFAC Proceedings Volumes (IFAC-PapersOnline), 19:9942– 9949.\nRetail Forum for Sustainability (2009). Issue Paper on the Energy Efﬁciency of Stores. Retail Forum for Sustainability, 1(1):1–9.\nSand´en, B. (2014). Systems Perspectives on Renewable Power 2014. Chalmers University of Technology, G¨oteborg, v1.0 edition.\nSinn, H. W. (2017). Buffering volatility: A study on the limits of Germany's energy revolution. European Economic Review, 99:130–150.\nSmale, N., Moureh, J., and Cortella, G. (2006). A review of numerical models of airﬂow in refrigerated food applications. International Journal of Refrigeration, 29(6):911–930.\nStatens Energimyndighet (2010). STIL 2 - Energianv¨andning i handelslokaler. Technical report, Energimyndigheten, Stockholm.\nStatista (2013). Retail Week. (n.d.). Number of stores of key food and grocery retailers in Germany in 2013, by store count.\nTassou, S. A., Ge, Y., Hadawey, A., and Marriott, D. (2011). Energy consumption and conservation in food retailing. Applied Thermal Engineering, 31(2-3):147–156.\nUnion, E. and Action, C. (2017). Energy Union. THE EU AND series of the European Commission, 1(February 2017).\nZerrahn, A., Schill, W. P., and Kemfert, C. (2018). On the economics of electrical storage for variable renewable energy sources. European Economic Review, 108:259–279.\n</text>\n", "role": "user" }, { "content": "at Chalmers University of Technology.", "role": "assistant" } ]
16 October 2014 EMA/652164/2014 Annex II: EMA activities where patients ∗ and consumers are involved Patients and consumers are involved in a diverse array of Agency activities 1 either as individual experts (as indicated in Figure 1) where they provide input on product-specific issues or where they represent a patient organisation. These activities include: * participation in governance of the Agency via the Management Board; * inclusion in scientific committees as members; * contributions on disease and product-specific questions via Scientific Advice Working Party (SAWP) and Scientific Advisory Groups (SAG); and consultation by the EMA scientific committees; * consultation on guidelines and policies; * review of documents destined for the public; * dissemination of information; * participation in workshops, networks and research projects. 1. Non product-specific involvement in EMA activities Where patients/consumers are invited on non-product specific matters such as those described below, they are considered to be representing their patient organisation or disease-specific community. 1.1. EMA Management Board (MB) The Management Board has a supervisory role with general responsibility for budgetary and planning matters, the appointment of the Executive Director and the monitoring of the Agency's performance (Rules of Procedure) 2 . Two patients sit on the Management Board 3. ∗ The term 'patient' is used throughout this document to refer to any individual who represents the views and interests of patients in EMA activities. 30 Churchill Place●Canary Wharf●London E14 5EU ●United Kingdom +44 (0)20 3660 6000 Facsimile+44 (0)20 3660 5550 1.2. European Medicines Agency Human Scientific Committees' Working Party with Patients' and Consumers' Organisations (PCWP) While the EMA has engaged in dialogue with patients and consumers since its creation in 1995, a formal working party, European Medicines Agency Human Scientific Committees' Working Party with Patients' and Consumers' Organisations (PCWP), has existed since 2006. The Agency engages with patients and consumers via a network of over 30 European patients' and consumers' organisations (called eligible organisations). The PCWP is a core group of representatives from these eligible organisations that provide recommendations to the EMA and its Human Scientific Committees on all matters of direct or indirect interest to patients in relation to medicinal products (Mandate) 4 . Particular attention has been paid to include patients' groups representing the medicinal products that fall within the mandatory scope of the centralised procedure (i.e. HIV, cancer, neurodegenerative disorders, diabetes, auto-immune diseases, viral diseases, biotech products, monoclonal antibodies, innovative products and products for rare diseases). In addition, groups representing the interests of special populations such as paediatric, older people, women or certain disease-specific organisations are also represented. Patients are predominantly identified via the eligible organisation for the following activities: 1.3. Involvement in workshops, conferences, webinars etc.. Patients/consumers are invited to most EMA workshops and increasingly are involved as speakers within the sessions. Some examples of workshops include Medication errors, Patient-support programmes and marketresearch programmes and the Pharmacovigilance Stakeholders Forum. 2. Product-specific involvement in EMA activities Where patients/consumers are consulted on product-specific matters, they are involved as individual experts and are required to complete all the same documents as all other experts prior to attending the meeting at EMA. These documents include the Confidentiality Agreement, Declaration of Interests and curriculum vitae. 2.1. EMA scientific committees Patients have been included as full voting members of EMA scientific committees since 2000. The Committees that include patients are listed below as well as the year of their creation. Activities that are covered by these committees and hence patients include orphan designation of medicinal products, assessment of paediatric investigation plans, classification of advanced therapies and assessment and monitoring of safety issues of medicines. * COMP 5 - Committee for Orphan Medicinal Products (since 2000) * PDCO 6 - Paediatric Committee (since 2007) * CAT 7 - Committee for Advanced Therapies (since 2009) * PRAC 8 - Pharmacovigilance and Risk Assessment Committee (since 2012) A detailed document describing the role of patients as members of the EMA Human scientific committees 9 was elaborated in collaboration with the EMA patient representatives. Committees can also consult patients on an ad-hoc basis on product-specific issues where their input on the medicine under evaluation, based on their real-life experience with the disease and/or the product is of added value. 2.2. Scientific Advice Working Party Pharmaceutical companies can request scientific advice from the European Medicines Agency (EMA) regarding the development of a medicine. This advice is aimed at ensuring the company carries out the most appropriate studies, thus avoiding major objections related to the study design during the marketing authorisation evaluation, which can significantly delay the authorisation, or even result in its refusal. The Agency also offers parallel scientific advice with health-technology-assessment (HTA) bodies. The aim of this is to allow medicine developers to gain feedback from regulators and HTA bodies at the same time, early in the development of a medicine. Patient representatives 10 were invited to participate in EMA scientific advice procedures in the context of orphan medicines (called Protocol Assistance) from 2005. This was then extended to medicines for non-rare indications in January 2013. Patients are invited to share their 'real-life' perspective and experience (in a face-face meeting or via written comments) with the Scientific Advice Working Party (SAWP) 11 and the pharmaceutical company, in relation to a particular medicine in their disease area. 2.3. Scientific Advisory/ad hoc Expert Group meetings Scientific Advisory Groups (SAGs) are convened at the request of the Committee for Medicinal Products for Human Use (CHMP) or PRAC to deliver answers, on a consultative basis, to specific questions addressed to them (mandate) 12 . Currently eight SAGs exist for specific areas. When the issues refer to a therapeutic area for which no specific SAG has been constituted, an ad-hoc expert group is organised that follows the SAG mandate. The outcome of the 2011 pilot phase, resulting in the systematic inclusion of patients in Scientific Advisory Group (SAG) meetings, is published 13 . 2.4. Patients at CHMP A pilot 14 (beginning Sept 2014) to include patients directly in the benefit-risk evaluation of medicines with the Committee for Medicinal Products for Human Use (CHMP) will explore how patients can be involved effectively in oral explanations at the CHMP. Inviting patients to participate in the CHMP will also increase patient awareness of the committee's deliberations and makes the assessment process of medicines more transparent. 2.5. Public hearings Public hearings are a new tool for the EMA to engage European Union (EU) citizens in the regulatory process of the supervision of medicines. The meetings will be held by the Pharmacovigilance and Risk Assessment Committee (PRAC) and are expected to give EU citizens a voice in the evaluation of the safety of medicines and empower them to express their views on issues related to the safety of certain medicines and the management of risks. 2.6. Future involvement of children (and/or their parents/carers/legal representatives) and plans for strengthening the participation of members representing patients' organisations at the PDCO Further to the recommendations outlined in the published concept paper on the involvement of children and young people at the PDCO, the possibility of establishing a framework of interactions between EMA, PDCO and children (and/or their parents/carers/legal representatives) is currently being discussed at the PDCO. Primary discussions focus on defining the scope of the involvement of children (and/or their parents/carers/legal representatives), their role, expectations and the clear criteria on which situations, a consultation and/or dialogue between the PDCO and children (and/or their parents/carers/legal representatives) may occur.Also, in order to strengthen the participation from members representing patients' organisations at the PDCO plenary meetings, it is planned to define the clear criteria, on which situations, a systematic feedback and input from these members may be required in the PDCO day-to-day activities. 3. Communication: 3.1. Review of documents destined for the public: The EMA invites patient and consumer representatives to review information on medicines published by the Agency, such as European Public Assessment Report (EPAR) summaries for the public and Package Leaflets as well as information on the safety of medicines that are addressed to the public (Training manual) 15 . The Agency also invites patients to review Public Summaries of Opinion (PSO) on orphan designation. 3.2. Consultations Patients/consumers are consulted on guidance and policy documents via the EMA website as well as targeted emailing to ensure to capture the input of this group. In addition, patients can be consulted on an ad-hoc basis on product-specific topics linked to the prevention of medication errors, such as educational and packaging materials. Patients are consulted along with healthcare professionals and other experts, in closed workshops, on the guidelines for the clinical investigation of disease-specific medicinal products (e.g. Duchenne Muscular Dystrophy, Cystic fibrosis…) 3.3. Meetings, conferences and workshops Four meetings for the PCWP are organised on average annually, several of these are combined with the HealthCare Professionals Working Party (HCPWP) and one meeting with all eligible organisations is also held annually. A number of conferences and workshops are also held where patients are invited to participate as presenters and attendees. 3.4. Human Medicines Highlights (HMH) newsletter A monthly newsletter addressed primarily to organisations representing patients, consumers and healthcare professionals provides a summary of key information relating to medicines for human use published during the previous month by the EMA. 3.5. EMA website The homepage of the EMA website contains a feed of all of the Latest Information and Press Releases. Under the News and Events tab a scrolling feed of 'What's New' also provides links to monthly information and Press Releases. 3.6. Patient and Consumer pages Patients and Consumers have a dedicated area in the Partners and Networks section of the website providing information on Agency activities where patients and consumers are involved, how they can get involved, which organisations are currently involved with the EMA as well as training and supporting key documents for these activities. 3.7. Send a Question and Social media Patients and the public in general can request information directly to the EMA from the home page using the Send a Question form. RSS feeds, Twitter and YouTube are available to subscribers. The EMA uses these means to communicate up to the minute information on authorisations, consultations (Twitter), newsletters on a range of topics (RSS feeds) as well as to transmit information and training (YouTube). 3.8. Leaflet on patient activities at EMA A leaflet describing the different ways that patients can be and are involved with the EMA has been elaborated and is updated regularly as activities evolve. 3.9. Information exchange The eligible organisations working with EMA serve as a vital platform for exchange of information. The EMA consults and informs these groups on relevant Agency activities via targeted emailing. An identified contact person is the recipient of relevant information that is then shared with the members of that organisation. The eligible organisations support the Agency in providing targeted information in appropriate language to stakeholders and enhance understanding of the regulatory processes. A survey showed that patients' and consumers' organisations disseminated EMA information via links or publication of press releases and Q&A on their website or via social media channels. 4. Monitoring/Training 4.1. Monitoring – surveys and feedback on satisfaction In order to monitor the satisfaction of patients and consumers who have been involved in any EMA activity, the EMA organises satisfaction surveys every two years. Based on the outcome of these surveys, actions plans are then determined. The results are included within the annual report (REF). Surveys on the provision of EMA training to patients and consumers involved in its activities are also conducted. 4.2. Training Patients and consumers are invited to be involved in a variety of activities at the EMA. In order to support and optimise their involvement, the Agency has prepared a training programme to describe the specific training activities and material that will be made available to patients and consumers when taking part in EMA activities and events. These include documents describing the procedures and the role of the patients; support on how to complete the forms prior to attending a meeting; a video for those attending a meeting at the EMA and in-house training on various patients' activities at EMA. A number of external training initiatives for patients already exist or are being developed in the EU, some of which are supported by the EMA. 4.3. Involvement in EU-wide projects/Research The EMA is involved in several research projects in varying capacities. Where possible and increasingly so, patients are invited to participate as partners, in steering groups etc.. ENCePP: The European Network of Centres for Pharmacoepidemiology and Pharmacovigilance is a network of over 170 research centres, existing networks and providers of healthcare data, which is coordinated by the European Medicines Agency. Patients' representatives form part of the Steering Group and the Interested Parties and Stakeholder group. Enpr-EMA: The European Network of Paediatric Research at the European Medicines Agency is a network of research networks, investigators and centres with recognised expertise in performing clinical studies in children. Patients are involved in the Coordinating Group. Also, a task of a new EnprEMA working group, established following the 6 th annual Enpr-EMA workshop in June 2014, is to develop a virtual European network of young people to input into the design and delivery of clinical research in children. EUCTR: The European Union Clinical Trials Register enables searches for protocol and results information on interventional clinical trials that are conducted in the European Union (EU) and the European Economic Area (EEA) and clinical trials conducted outside the EU / EEA that are linked to European -medicine development. Patients were and are still consulted all along the development of this portal regarding aspects from design to information to be included. IMI-PROTECT: The Pharmacoepidemiological Research on Outcomes of Therapeutics by a European Consortium is a collaborative project that addresses limitations of current methods in the field of pharmacoepidemiology and pharmacovigilance. The EMA is the coordinator of PROTECT and GSK is the deputy co-ordinator of PROTECT. The partners list includes IAPO the International Alliance for Patients' Organisations. WebRADR: (Recognising Adverse Drug Reactions) is a consortium of leading experts in pharmacovigilance from regulatory agencies, research and academia. The aims will be to set policy and guidance and deliver robust information technology tools to address the potential for the reporting of adverse drug reactions (ADRs) through mobile applications and the recognition of drug safety signals from user comments in social media and the internet. The consortium includes EURORDIS. Additional patients' organisations will be involved in the project through participation in project-related workshops and follow-up activities (e.g. surveys). References 1. Article 78 of Regulation (EC) No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying down Community procedures for the authorisation and supervision of medicinal products for human and veterinary use and establishing a European Medicines Agency: http://eur- lex.europa.eu/LexUriServ/LexUri Se rv.do?uri=OJ:L:2004:136:0001:0033:en:PDF 2. Rules of Procedure of the EMA Management Board: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/01/WC500038065.pdf http://www.ema.europa.eu/ema/index.jsp?curl=pages/about_us/general/general_content_000 3. EMA Management Board web page: 098.jsp&mid=WC0b01ac0580028c2f 4. Mandate, objectives and rules of procedure for the European Medicines Agency Human Scientific Committees' Working Party with Patients' and Consumers' Organisations (PCWP): http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/02/WC500073497.pdf 5. Regulation (EC) No 141/2000 of the European Parliament and of the Council of 16 December 1999 on orphan medicinal products http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:32000R0141:EN:HTML 6. Regulation (EC) No 1901/2006 of the European Parliament and of the Council of 12 December 2006 on medicinal products for paediatric use and amending Regulation (EEC) No 1768/92, Directive 2001/20/EC, Directive 2001/83/EC and Regulation (EC) No 726/2004 7. Regulation (EC) No 1394/2007 of the European Parliament and of the Council of 13 November 2007 on advanced therapy medicinal products and amending Directive 2001/83/EC and Regulation (EC) No 726/2004; http://ec.europa.eu/health/files/eudralex/vol1/reg_2007_1394/reg_2007_1394_en.pdf 8. Regulation (EC) No 1235/2010 of the European Parliament and of the Council of 15 December 2010 on pharmacovigilance of medicinal products for human usehttp://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2010:348:0001:0016:EN:PDF 9. The role of patients as members of the EMA Human scientific committees: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2011/12/WC500119614.pdf 10. Involvement of patient representatives in scientific advice procedures at the EMA: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2013/08/WC500148296.pdf 11. EMA Scientific Advice Working Party web page: http://www.ema.europa.eu/ema/index.jsp?curl=pages/contacts/CHMP/people_listing_000022.j sp&mid=WC0b01ac0580028d94 12. Mandate, objectives and rules of procedure for the scientific advisory groups (SAGs) and ad- hoc experts groups: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/06/WC500091622.pdf 13. Outcome report on pilot phase for participation of patient representatives in Scientific Advisory Group (SAG) meetings: http://www.ema.europa.eu/docs/en_GB/document_library/Report/2011/12/WC500119201.pdf Annex II: EMA activities where patients0F EMA/652164/2014 and consumers are involved 14. Press Release: Patients to discuss benefit-risk evaluation of medicines with the Committee for Medicinal Products for Human Use: http://www.ema.europa.eu/ema/index.jsp?curl=pages/news_and_events/news/2014/09/ news_detail_002172.jsp&mid=WC0b01ac058004d5c1 15. Training Manual - Review of EMA documents addressed to the general public, by patients and consumers: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/05/WC500 090127.pdf Figure 1: Product-specific patient contributions in the product life cycle * COMP – Committee for Orphan Medicinal Products; CHMP – Committee for Human Medicinal Products; CAT – Committee for Advanced Therapies; PDCO – Paediatric Committee; SAWP – Scientific Advice Working Party; SAG – Scientific Advisory Group; PRAC – Pharmacovigilance and Risk Assessment Committee; EPAR – European Public Assessment Report Annex II: EMA activities where patients0F	<urn:uuid:a1a195b7-80fa-4a9c-bf3a-443fc0a959e7>	CC-MAIN-2019-43	https://www.ema.europa.eu/en/documents/other/revised-framework-interaction-between-european-medicines-agency-patients-consumers-their_en-0.pdf	2019-10-19T16:41:51Z	s3://commoncrawl/crawl-data/CC-MAIN-2019-43/segments/1570986696339.42/warc/CC-MAIN-20191019141654-20191019165154-00269.warc.gz	884,419,130	4,230	eng_Latn	eng_Latn	0.808155	eng_Latn	0.985915	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "ekk_Latn" ]	false	rolmOCR	[ 1676, 4710, 7721, 10616, 13090, 16454, 19355, 19805, 20261 ]	16 October 2014 EMA/652164/2014 Annex II: EMA activities where patients ∗ and consumers are involved Patients and consumers are involved in a diverse array of Agency activities 1 either as individual experts (as indicated in Figure 1) where they provide input on product-specific issues or where they represent a patient organisation. These activities include: * participation in governance of the Agency via the Management Board; * inclusion in scientific committees as members; * contributions on disease and product-specific questions via Scientific Advice Working Party (SAWP) and Scientific Advisory Groups (SAG); and consultation by the EMA scientific committees; * consultation on guidelines and policies; * review of documents destined for the public; * dissemination of information; * participation in workshops, networks and research projects. 1. Non product-specific involvement in EMA activities Where patients/consumers are invited on non-product specific matters such as those described below, they are considered to be representing their patient organisation or disease-specific community. 1.1. EMA Management Board (MB) The Management Board has a supervisory role with general responsibility for budgetary and planning matters, the appointment of the Executive	Director and the monitoring of the Agency's performance (Rules of Procedure) 2 .	Two patients sit on the Management Board 3. ∗ The term 'patient' is used throughout this document to refer to any individual who represents the views and interests of patients in EMA activities. 30 Churchill Place●Canary Wharf●London E14 5EU ●United Kingdom +44 (0)20 3660 6000 Facsimile+44 (0)20 3660 5550 1.2. European Medicines Agency Human Scientific Committees' Working Party with Patients' and Consumers' Organisations (PCWP) While the EMA has engaged in dialogue with patients and consumers since its creation in 1995, a formal working party, European Medicines Agency Human Scientific Committees' Working Party with Patients' and Consumers' Organisations (PCWP), has existed since 2006. The Agency engages with patients and consumers via a network of over 30 European patients' and consumers' organisations (called eligible organisations). The PCWP is a core group of representatives from these eligible organisations that provide recommendations to the EMA and its Human Scientific Committees on all matters of direct or indirect interest to patients in relation to medicinal products (Mandate) 4 . Particular attention has been paid to include patients' groups representing the medicinal products that fall within the mandatory scope of the centralised procedure (i.e. HIV, cancer, neurodegenerative disorders, diabetes, auto-immune diseases, viral diseases, biotech products, monoclonal antibodies, innovative products and products for rare diseases). In addition, groups representing the interests of special populations such as paediatric, older people, women or certain disease-specific organisations are also represented. Patients are predominantly identified via the eligible organisation for the following activities: 1.3. Involvement in workshops, conferences, webinars etc.. Patients/consumers are invited to most EMA workshops and increasingly are involved as speakers within the sessions. Some examples of workshops include Medication errors, Patient-support programmes and marketresearch programmes and the Pharmacovigilance Stakeholders Forum. 2. Product-specific involvement in EMA activities Where patients/consumers are consulted on product-specific matters, they are involved as individual experts and are required to complete all the same documents as all other experts prior to attending the meeting at EMA. These documents include the Confidentiality Agreement, Declaration of Interests and curriculum vitae. 2.1. EMA scientific committees Patients have been included as full voting members of EMA scientific committees since 2000. The Committees that include patients are listed below as well as the year of their creation. Activities that are covered by these committees and hence patients include orphan designation of medicinal products, assessment of paediatric investigation plans, classification of advanced therapies and assessment and monitoring of safety issues of medicines. * COMP 5 - Committee for Orphan Medicinal Products (since 2000) * PDCO 6 - Paediatric Committee (since 2007) * CAT 7 - Committee for Advanced Therapies (since 2009) * PRAC 8 - Pharmacovigilance and Risk Assessment Committee (since 2012) A detailed document describing the role of patients as members of the EMA Human scientific committees 9 was elaborated in collaboration with the EMA patient representatives. Committees can also consult patients on an ad-hoc basis on product-specific issues where their input on the medicine under evaluation, based on their real-life experience with the disease and/or the product is of added value. 2.2. Scientific Advice Working Party Pharmaceutical companies can request scientific advice from the European Medicines Agency (EMA) regarding the development of a medicine. This advice is aimed at ensuring the company carries out the most appropriate studies, thus avoiding major objections related to the study design during the marketing authorisation evaluation, which can significantly delay the authorisation, or even result in its refusal. The Agency also offers parallel scientific advice with health-technology-assessment (HTA) bodies. The aim of this is to allow medicine developers to gain feedback from regulators and HTA bodies at the same time, early in the development of a medicine. Patient representatives 10 were invited to participate in EMA scientific advice procedures in the context of orphan medicines (called Protocol Assistance) from 2005. This was then extended to medicines for non-rare indications in January 2013. Patients are invited to share their 'real-life' perspective and experience (in a face-face meeting or via written comments) with the Scientific Advice Working Party (SAWP) 11 and the pharmaceutical company, in relation to a particular medicine in their disease area. 2.3. Scientific Advisory/ad hoc Expert Group meetings Scientific Advisory Groups (SAGs) are convened at the request of the Committee for Medicinal Products for Human Use (CHMP) or PRAC to deliver answers, on a consultative basis, to specific questions addressed to them (mandate) 12 . Currently eight SAGs exist for specific areas. When the issues refer to a therapeutic area for which no specific SAG has been constituted, an ad-hoc expert group is organised that follows the SAG mandate. The outcome of the 2011 pilot phase, resulting in the systematic inclusion of patients in Scientific Advisory Group (SAG) meetings, is published 13 . 2.4. Patients at CHMP A pilot 14 (beginning Sept 2014) to include patients directly in the benefit-risk evaluation of medicines with the Committee for Medicinal Products for Human Use (CHMP) will explore how patients can be involved effectively in oral explanations at the CHMP. Inviting patients to participate in the CHMP will also increase patient awareness of the committee's deliberations and makes the assessment process of medicines more transparent. 2.5. Public hearings Public hearings are a new tool for the EMA to engage European Union (EU) citizens in the regulatory process of the supervision of medicines. The meetings will be held by the Pharmacovigilance and Risk Assessment Committee (PRAC) and are expected to give EU citizens a voice in the evaluation of the safety of medicines and empower them to express their views on issues related to the safety of certain medicines and the management of risks. 2.6. Future involvement of children (and/or their parents/carers/legal representatives) and plans for strengthening the participation of members representing patients' organisations at the PDCO Further to the recommendations outlined in the published concept paper on the involvement of children and young people at the PDCO, the possibility of establishing a framework of interactions between EMA, PDCO and children (and/or their parents/carers/legal representatives) is currently being discussed at the PDCO. Primary discussions focus on defining the scope of the involvement of children (and/or their parents/carers/legal representatives), their role, expectations and the clear criteria on which situations, a consultation and/or dialogue between the PDCO and children (and/or their parents/carers/legal representatives) may occur.Also, in order to strengthen the participation from members representing patients' organisations at the PDCO plenary meetings, it is planned to define the clear criteria, on which situations, a systematic feedback and input from these members may be required in the PDCO day-to-day activities. 3. Communication: 3.1. Review of documents destined for the public: The EMA invites patient and consumer representatives to review information on medicines published by the Agency, such as European Public Assessment Report (EPAR) summaries for the public and Package Leaflets as well as information on the safety of medicines that are addressed to the public (Training manual) 15 . The Agency also invites patients to review Public Summaries of Opinion (PSO) on orphan designation. 3.2. Consultations Patients/consumers are consulted on guidance and policy documents via the EMA website as well as targeted emailing to ensure to capture the input of this group. In addition, patients can be consulted on an ad-hoc basis on product-specific topics linked to the prevention of medication errors, such as educational and packaging materials. Patients are consulted along with healthcare professionals and other experts, in closed workshops, on the guidelines for the clinical investigation of disease-specific medicinal products (e.g. Duchenne Muscular Dystrophy, Cystic fibrosis…) 3.3. Meetings, conferences and workshops Four meetings for the PCWP are organised on average annually, several of these are combined with the HealthCare Professionals Working Party (HCPWP) and one meeting with all eligible organisations is also held annually. A number of conferences and workshops are also held where patients are invited to participate as presenters and attendees. 3.4. Human Medicines Highlights (HMH) newsletter A monthly newsletter addressed primarily to organisations representing patients, consumers and healthcare professionals provides a summary of key information relating to medicines for human use published during the previous month by the EMA. 3.5. EMA website The homepage of the EMA website contains a feed of all of the Latest Information and Press Releases. Under the News and Events tab a scrolling feed of 'What's New' also provides links to monthly information and Press Releases. 3.6. Patient and Consumer pages Patients and Consumers have a dedicated area in the Partners and Networks section of the website providing information on Agency activities where patients and consumers are involved, how they can get involved, which organisations are currently involved with the EMA as well as training and supporting key documents for these activities. 3.7. Send a Question and Social media Patients and the public in general can request information directly to the EMA from the home page using the Send a Question form. RSS feeds, Twitter and YouTube are available to subscribers. The EMA uses these means to communicate up to the minute information on authorisations, consultations (Twitter), newsletters on a range of topics (RSS feeds) as well as to transmit information and training (YouTube). 3.8. Leaflet on patient activities at EMA A leaflet describing the different ways that patients can be and are involved with the EMA has been elaborated and is updated regularly as activities evolve. 3.9. Information exchange The eligible organisations working with EMA serve as a vital platform for exchange of information. The EMA consults and informs these groups on relevant Agency activities via targeted emailing. An identified contact person is the recipient of relevant information that is then shared with the members of that organisation. The eligible organisations support the Agency in providing targeted information in appropriate language to stakeholders and enhance understanding of the regulatory processes. A survey showed that patients' and consumers' organisations disseminated EMA information via links or publication of press releases and Q&A on their website or via social media channels. 4. Monitoring/Training 4.1. Monitoring – surveys and feedback on satisfaction In order to monitor the satisfaction of patients and consumers who have been involved in any EMA activity, the EMA organises satisfaction surveys every two years. Based on the outcome of these surveys, actions plans are then determined. The results are included within the annual report (REF). Surveys on the provision of EMA training to patients and consumers involved in its activities are also conducted. 4.2. Training Patients and consumers are invited to be involved in a variety of activities at the EMA. In order to support and optimise their involvement, the Agency has prepared a training programme to describe the specific training activities and material that will be made available to patients and consumers when taking part in EMA activities and events. These include documents describing the procedures and the role of the patients; support on how to complete the forms prior to attending a meeting; a video for those attending a meeting at the EMA and in-house training on various patients' activities at EMA. A number of external training initiatives for patients already exist or are being developed in the EU, some of which are supported by the EMA. 4.3. Involvement in EU-wide projects/Research The EMA is involved in several research projects in varying capacities. Where possible and increasingly so, patients are invited to participate as partners, in steering groups etc.. ENCePP: The European Network of Centres for Pharmacoepidemiology and Pharmacovigilance is a network of over 170 research centres, existing networks and providers of healthcare data, which is coordinated by the European Medicines Agency. Patients' representatives form part of the Steering Group and the Interested Parties and Stakeholder group. Enpr-EMA: The European Network of Paediatric Research at the European Medicines Agency is a network of research networks, investigators and centres with recognised expertise in performing clinical studies in children. Patients are involved in the Coordinating Group. Also, a task of a new EnprEMA working group, established following the 6 th annual Enpr-EMA workshop in June 2014, is to develop a virtual European network of young people to input into the design and delivery of clinical research in children. EUCTR: The European Union Clinical Trials Register enables searches for protocol and results information on interventional clinical trials that are conducted in the European Union (EU) and the European Economic Area (EEA) and clinical trials conducted outside the EU / EEA that are linked to European -medicine development. Patients were and are still consulted all along the development of this portal regarding aspects from design to information to be included. IMI-PROTECT: The Pharmacoepidemiological Research on Outcomes of Therapeutics by a European Consortium is a collaborative project that addresses limitations of current methods in the field of pharmacoepidemiology and pharmacovigilance. The EMA is the coordinator of PROTECT and GSK is the deputy co-ordinator of PROTECT. The partners list includes IAPO the International Alliance for Patients' Organisations. WebRADR: (Recognising Adverse Drug Reactions) is a consortium of leading experts in pharmacovigilance from regulatory agencies, research and academia. The aims will be to set policy and guidance and deliver robust information technology tools to address the potential for the reporting of adverse drug reactions (ADRs) through mobile applications and the recognition of drug safety signals from user comments in social media and the internet. The consortium includes EURORDIS. Additional patients' organisations will be involved in the project through participation in project-related workshops and follow-up activities (e.g. surveys). References 1. Article 78 of Regulation (EC) No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying down Community procedures for the authorisation and supervision of medicinal products for human and veterinary use and establishing a European Medicines Agency: http://eur- lex.europa.eu/LexUriServ/LexUri Se rv.do?uri=OJ:L:2004:136:0001:0033:en:PDF 2. Rules of Procedure of the EMA Management Board: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/01/WC500038065.pdf http://www.ema.europa.eu/ema/index.jsp?curl=pages/about_us/general/general_content_000 3. EMA Management Board web page: 098.jsp&mid=WC0b01ac0580028c2f 4. Mandate, objectives and rules of procedure for the European Medicines Agency Human Scientific Committees' Working Party with Patients' and Consumers' Organisations (PCWP): http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/02/WC500073497.pdf 5. Regulation (EC) No 141/2000 of the European Parliament and of the Council of 16 December 1999 on orphan medicinal products http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:32000R0141:EN:HTML 6. Regulation (EC) No 1901/2006 of the European Parliament and of the Council of 12 December 2006 on medicinal products for paediatric use and amending Regulation (EEC) No 1768/92, Directive 2001/20/EC, Directive 2001/83/EC and Regulation (EC) No 726/2004 7. Regulation (EC) No 1394/2007 of the European Parliament and of the Council of 13 November 2007 on advanced therapy medicinal products and amending Directive 2001/83/EC and Regulation (EC) No 726/2004; http://ec.europa.eu/health/files/eudralex/vol1/reg_2007_1394/reg_2007_1394_en.pdf 8. Regulation (EC) No 1235/2010 of the European Parliament and of the Council of 15 December 2010 on pharmacovigilance of medicinal products for human usehttp://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2010:348:0001:0016:EN:PDF 9. The role of patients as members of the EMA Human scientific committees: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2011/12/WC500119614.pdf 10. Involvement of patient representatives in scientific advice procedures at the EMA: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2013/08/WC500148296.pdf 11. EMA Scientific Advice Working Party web page: http://www.ema.europa.eu/ema/index.jsp?curl=pages/contacts/CHMP/people_listing_000022.j sp&mid=WC0b01ac0580028d94 12. Mandate, objectives and rules of procedure for the scientific advisory groups (SAGs) and ad- hoc experts groups: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/06/WC500091622.pdf 13. Outcome report on pilot phase for participation of patient representatives in Scientific Advisory Group (SAG) meetings: http://www.ema.europa.eu/docs/en_GB/document_library/Report/2011/12/WC500119201.pdf Annex II: EMA activities where patients0F EMA/652164/2014 and consumers are involved 14. Press Release: Patients to discuss benefit-risk evaluation of medicines with the Committee for Medicinal Products for Human Use: http://www.ema.europa.eu/ema/index.jsp?curl=pages/news_and_events/news/2014/09/ news_detail_002172.jsp&mid=WC0b01ac058004d5c1 15. Training Manual - Review of EMA documents addressed to the general public, by patients and consumers: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/05/WC500 090127.pdf Figure 1: Product-specific patient contributions in the product life cycle * COMP – Committee for Orphan Medicinal Products; CHMP – Committee for Human Medicinal Products; CAT – Committee for Advanced Therapies; PDCO – Paediatric Committee; SAWP – Scientific Advice Working Party; SAG – Scientific Advisory Group; PRAC – Pharmacovigilance and Risk Assessment Committee; EPAR – European Public Assessment Report Annex II: EMA activities where patients0F	1,285	beginning_of_word	Director	remove_one_sentence	<url> https://www.ema.europa.eu/en/documents/other/revised-framework-interaction-between-european-medicines-agency-patients-consumers-their_en-0.pdf </url> <text> 16 October 2014 EMA/652164/2014 Annex II: EMA activities where patients ∗ and consumers are involved Patients and consumers are involved in a diverse array of Agency activities 1 either as individual experts (as indicated in Figure 1) where they provide input on product-specific issues or where they represent a patient organisation. These activities include: * participation in governance of the Agency via the Management Board; * inclusion in scientific committees as members; * contributions on disease and product-specific questions via Scientific Advice Working Party (SAWP) and Scientific Advisory Groups (SAG); and consultation by the EMA scientific committees; * consultation on guidelines and policies; * review of documents destined for the public; * dissemination of information; * participation in workshops, networks and research projects. 1. Non product-specific involvement in EMA activities Where patients/consumers are invited on non-product specific matters such as those described below, they are considered to be representing their patient organisation or disease-specific community. 1.1. EMA Management Board (MB) The Management Board has a supervisory role with general responsibility for budgetary and planning matters, the appointment of the Executive <cursor_is_here> Two patients sit on the Management Board 3. ∗ The term 'patient' is used throughout this document to refer to any individual who represents the views and interests of patients in EMA activities. 30 Churchill Place●Canary Wharf●London E14 5EU ●United Kingdom +44 (0)20 3660 6000 Facsimile+44 (0)20 3660 5550 1.2. European Medicines Agency Human Scientific Committees' Working Party with Patients' and Consumers' Organisations (PCWP) While the EMA has engaged in dialogue with patients and consumers since its creation in 1995, a formal working party, European Medicines Agency Human Scientific Committees' Working Party with Patients' and Consumers' Organisations (PCWP), has existed since 2006. The Agency engages with patients and consumers via a network of over 30 European patients' and consumers' organisations (called eligible organisations). The PCWP is a core group of representatives from these eligible organisations that provide recommendations to the EMA and its Human Scientific Committees on all matters of direct or indirect interest to patients in relation to medicinal products (Mandate) 4 . Particular attention has been paid to include patients' groups representing the medicinal products that fall within the mandatory scope of the centralised procedure (i.e. HIV, cancer, neurodegenerative disorders, diabetes, auto-immune diseases, viral diseases, biotech products, monoclonal antibodies, innovative products and products for rare diseases). In addition, groups representing the interests of special populations such as paediatric, older people, women or certain disease-specific organisations are also represented. Patients are predominantly identified via the eligible organisation for the following activities: 1.3. Involvement in workshops, conferences, webinars etc.. Patients/consumers are invited to most EMA workshops and increasingly are involved as speakers within the sessions. Some examples of workshops include Medication errors, Patient-support programmes and marketresearch programmes and the Pharmacovigilance Stakeholders Forum. 2. Product-specific involvement in EMA activities Where patients/consumers are consulted on product-specific matters, they are involved as individual experts and are required to complete all the same documents as all other experts prior to attending the meeting at EMA. These documents include the Confidentiality Agreement, Declaration of Interests and curriculum vitae. 2.1. EMA scientific committees Patients have been included as full voting members of EMA scientific committees since 2000. The Committees that include patients are listed below as well as the year of their creation. Activities that are covered by these committees and hence patients include orphan designation of medicinal products, assessment of paediatric investigation plans, classification of advanced therapies and assessment and monitoring of safety issues of medicines. * COMP 5 - Committee for Orphan Medicinal Products (since 2000) * PDCO 6 - Paediatric Committee (since 2007) * CAT 7 - Committee for Advanced Therapies (since 2009) * PRAC 8 - Pharmacovigilance and Risk Assessment Committee (since 2012) A detailed document describing the role of patients as members of the EMA Human scientific committees 9 was elaborated in collaboration with the EMA patient representatives. Committees can also consult patients on an ad-hoc basis on product-specific issues where their input on the medicine under evaluation, based on their real-life experience with the disease and/or the product is of added value. 2.2. Scientific Advice Working Party Pharmaceutical companies can request scientific advice from the European Medicines Agency (EMA) regarding the development of a medicine. This advice is aimed at ensuring the company carries out the most appropriate studies, thus avoiding major objections related to the study design during the marketing authorisation evaluation, which can significantly delay the authorisation, or even result in its refusal. The Agency also offers parallel scientific advice with health-technology-assessment (HTA) bodies. The aim of this is to allow medicine developers to gain feedback from regulators and HTA bodies at the same time, early in the development of a medicine. Patient representatives 10 were invited to participate in EMA scientific advice procedures in the context of orphan medicines (called Protocol Assistance) from 2005. This was then extended to medicines for non-rare indications in January 2013. Patients are invited to share their 'real-life' perspective and experience (in a face-face meeting or via written comments) with the Scientific Advice Working Party (SAWP) 11 and the pharmaceutical company, in relation to a particular medicine in their disease area. 2.3. Scientific Advisory/ad hoc Expert Group meetings Scientific Advisory Groups (SAGs) are convened at the request of the Committee for Medicinal Products for Human Use (CHMP) or PRAC to deliver answers, on a consultative basis, to specific questions addressed to them (mandate) 12 . Currently eight SAGs exist for specific areas. When the issues refer to a therapeutic area for which no specific SAG has been constituted, an ad-hoc expert group is organised that follows the SAG mandate. The outcome of the 2011 pilot phase, resulting in the systematic inclusion of patients in Scientific Advisory Group (SAG) meetings, is published 13 . 2.4. Patients at CHMP A pilot 14 (beginning Sept 2014) to include patients directly in the benefit-risk evaluation of medicines with the Committee for Medicinal Products for Human Use (CHMP) will explore how patients can be involved effectively in oral explanations at the CHMP. Inviting patients to participate in the CHMP will also increase patient awareness of the committee's deliberations and makes the assessment process of medicines more transparent. 2.5. Public hearings Public hearings are a new tool for the EMA to engage European Union (EU) citizens in the regulatory process of the supervision of medicines. The meetings will be held by the Pharmacovigilance and Risk Assessment Committee (PRAC) and are expected to give EU citizens a voice in the evaluation of the safety of medicines and empower them to express their views on issues related to the safety of certain medicines and the management of risks. 2.6. Future involvement of children (and/or their parents/carers/legal representatives) and plans for strengthening the participation of members representing patients' organisations at the PDCO Further to the recommendations outlined in the published concept paper on the involvement of children and young people at the PDCO, the possibility of establishing a framework of interactions between EMA, PDCO and children (and/or their parents/carers/legal representatives) is currently being discussed at the PDCO. Primary discussions focus on defining the scope of the involvement of children (and/or their parents/carers/legal representatives), their role, expectations and the clear criteria on which situations, a consultation and/or dialogue between the PDCO and children (and/or their parents/carers/legal representatives) may occur.Also, in order to strengthen the participation from members representing patients' organisations at the PDCO plenary meetings, it is planned to define the clear criteria, on which situations, a systematic feedback and input from these members may be required in the PDCO day-to-day activities. 3. Communication: 3.1. Review of documents destined for the public: The EMA invites patient and consumer representatives to review information on medicines published by the Agency, such as European Public Assessment Report (EPAR) summaries for the public and Package Leaflets as well as information on the safety of medicines that are addressed to the public (Training manual) 15 . The Agency also invites patients to review Public Summaries of Opinion (PSO) on orphan designation. 3.2. Consultations Patients/consumers are consulted on guidance and policy documents via the EMA website as well as targeted emailing to ensure to capture the input of this group. In addition, patients can be consulted on an ad-hoc basis on product-specific topics linked to the prevention of medication errors, such as educational and packaging materials. Patients are consulted along with healthcare professionals and other experts, in closed workshops, on the guidelines for the clinical investigation of disease-specific medicinal products (e.g. Duchenne Muscular Dystrophy, Cystic fibrosis…) 3.3. Meetings, conferences and workshops Four meetings for the PCWP are organised on average annually, several of these are combined with the HealthCare Professionals Working Party (HCPWP) and one meeting with all eligible organisations is also held annually. A number of conferences and workshops are also held where patients are invited to participate as presenters and attendees. 3.4. Human Medicines Highlights (HMH) newsletter A monthly newsletter addressed primarily to organisations representing patients, consumers and healthcare professionals provides a summary of key information relating to medicines for human use published during the previous month by the EMA. 3.5. EMA website The homepage of the EMA website contains a feed of all of the Latest Information and Press Releases. Under the News and Events tab a scrolling feed of 'What's New' also provides links to monthly information and Press Releases. 3.6. Patient and Consumer pages Patients and Consumers have a dedicated area in the Partners and Networks section of the website providing information on Agency activities where patients and consumers are involved, how they can get involved, which organisations are currently involved with the EMA as well as training and supporting key documents for these activities. 3.7. Send a Question and Social media Patients and the public in general can request information directly to the EMA from the home page using the Send a Question form. RSS feeds, Twitter and YouTube are available to subscribers. The EMA uses these means to communicate up to the minute information on authorisations, consultations (Twitter), newsletters on a range of topics (RSS feeds) as well as to transmit information and training (YouTube). 3.8. Leaflet on patient activities at EMA A leaflet describing the different ways that patients can be and are involved with the EMA has been elaborated and is updated regularly as activities evolve. 3.9. Information exchange The eligible organisations working with EMA serve as a vital platform for exchange of information. The EMA consults and informs these groups on relevant Agency activities via targeted emailing. An identified contact person is the recipient of relevant information that is then shared with the members of that organisation. The eligible organisations support the Agency in providing targeted information in appropriate language to stakeholders and enhance understanding of the regulatory processes. A survey showed that patients' and consumers' organisations disseminated EMA information via links or publication of press releases and Q&A on their website or via social media channels. 4. Monitoring/Training 4.1. Monitoring – surveys and feedback on satisfaction In order to monitor the satisfaction of patients and consumers who have been involved in any EMA activity, the EMA organises satisfaction surveys every two years. Based on the outcome of these surveys, actions plans are then determined. The results are included within the annual report (REF). Surveys on the provision of EMA training to patients and consumers involved in its activities are also conducted. 4.2. Training Patients and consumers are invited to be involved in a variety of activities at the EMA. In order to support and optimise their involvement, the Agency has prepared a training programme to describe the specific training activities and material that will be made available to patients and consumers when taking part in EMA activities and events. These include documents describing the procedures and the role of the patients; support on how to complete the forms prior to attending a meeting; a video for those attending a meeting at the EMA and in-house training on various patients' activities at EMA. A number of external training initiatives for patients already exist or are being developed in the EU, some of which are supported by the EMA. 4.3. Involvement in EU-wide projects/Research The EMA is involved in several research projects in varying capacities. Where possible and increasingly so, patients are invited to participate as partners, in steering groups etc.. ENCePP: The European Network of Centres for Pharmacoepidemiology and Pharmacovigilance is a network of over 170 research centres, existing networks and providers of healthcare data, which is coordinated by the European Medicines Agency. Patients' representatives form part of the Steering Group and the Interested Parties and Stakeholder group. Enpr-EMA: The European Network of Paediatric Research at the European Medicines Agency is a network of research networks, investigators and centres with recognised expertise in performing clinical studies in children. Patients are involved in the Coordinating Group. Also, a task of a new EnprEMA working group, established following the 6 th annual Enpr-EMA workshop in June 2014, is to develop a virtual European network of young people to input into the design and delivery of clinical research in children. EUCTR: The European Union Clinical Trials Register enables searches for protocol and results information on interventional clinical trials that are conducted in the European Union (EU) and the European Economic Area (EEA) and clinical trials conducted outside the EU / EEA that are linked to European -medicine development. Patients were and are still consulted all along the development of this portal regarding aspects from design to information to be included. IMI-PROTECT: The Pharmacoepidemiological Research on Outcomes of Therapeutics by a European Consortium is a collaborative project that addresses limitations of current methods in the field of pharmacoepidemiology and pharmacovigilance. The EMA is the coordinator of PROTECT and GSK is the deputy co-ordinator of PROTECT. The partners list includes IAPO the International Alliance for Patients' Organisations. WebRADR: (Recognising Adverse Drug Reactions) is a consortium of leading experts in pharmacovigilance from regulatory agencies, research and academia. The aims will be to set policy and guidance and deliver robust information technology tools to address the potential for the reporting of adverse drug reactions (ADRs) through mobile applications and the recognition of drug safety signals from user comments in social media and the internet. The consortium includes EURORDIS. Additional patients' organisations will be involved in the project through participation in project-related workshops and follow-up activities (e.g. surveys). References 1. Article 78 of Regulation (EC) No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying down Community procedures for the authorisation and supervision of medicinal products for human and veterinary use and establishing a European Medicines Agency: http://eur- lex.europa.eu/LexUriServ/LexUri Se rv.do?uri=OJ:L:2004:136:0001:0033:en:PDF 2. Rules of Procedure of the EMA Management Board: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/01/WC500038065.pdf http://www.ema.europa.eu/ema/index.jsp?curl=pages/about_us/general/general_content_000 3. EMA Management Board web page: 098.jsp&mid=WC0b01ac0580028c2f 4. Mandate, objectives and rules of procedure for the European Medicines Agency Human Scientific Committees' Working Party with Patients' and Consumers' Organisations (PCWP): http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/02/WC500073497.pdf 5. Regulation (EC) No 141/2000 of the European Parliament and of the Council of 16 December 1999 on orphan medicinal products http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:32000R0141:EN:HTML 6. Regulation (EC) No 1901/2006 of the European Parliament and of the Council of 12 December 2006 on medicinal products for paediatric use and amending Regulation (EEC) No 1768/92, Directive 2001/20/EC, Directive 2001/83/EC and Regulation (EC) No 726/2004 7. Regulation (EC) No 1394/2007 of the European Parliament and of the Council of 13 November 2007 on advanced therapy medicinal products and amending Directive 2001/83/EC and Regulation (EC) No 726/2004; http://ec.europa.eu/health/files/eudralex/vol1/reg_2007_1394/reg_2007_1394_en.pdf 8. Regulation (EC) No 1235/2010 of the European Parliament and of the Council of 15 December 2010 on pharmacovigilance of medicinal products for human usehttp://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2010:348:0001:0016:EN:PDF 9. The role of patients as members of the EMA Human scientific committees: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2011/12/WC500119614.pdf 10. Involvement of patient representatives in scientific advice procedures at the EMA: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2013/08/WC500148296.pdf 11. EMA Scientific Advice Working Party web page: http://www.ema.europa.eu/ema/index.jsp?curl=pages/contacts/CHMP/people_listing_000022.j sp&mid=WC0b01ac0580028d94 12. Mandate, objectives and rules of procedure for the scientific advisory groups (SAGs) and ad- hoc experts groups: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/06/WC500091622.pdf 13. Outcome report on pilot phase for participation of patient representatives in Scientific Advisory Group (SAG) meetings: http://www.ema.europa.eu/docs/en_GB/document_library/Report/2011/12/WC500119201.pdf Annex II: EMA activities where patients0F EMA/652164/2014 and consumers are involved 14. Press Release: Patients to discuss benefit-risk evaluation of medicines with the Committee for Medicinal Products for Human Use: http://www.ema.europa.eu/ema/index.jsp?curl=pages/news_and_events/news/2014/09/ news_detail_002172.jsp&mid=WC0b01ac058004d5c1 15. Training Manual - Review of EMA documents addressed to the general public, by patients and consumers: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/05/WC500 090127.pdf Figure 1: Product-specific patient contributions in the product life cycle * COMP – Committee for Orphan Medicinal Products; CHMP – Committee for Human Medicinal Products; CAT – Committee for Advanced Therapies; PDCO – Paediatric Committee; SAWP – Scientific Advice Working Party; SAG – Scientific Advisory Group; PRAC – Pharmacovigilance and Risk Assessment Committee; EPAR – European Public Assessment Report Annex II: EMA activities where patients0F </text>	[ { "content": "<url>\nhttps://www.ema.europa.eu/en/documents/other/revised-framework-interaction-between-european-medicines-agency-patients-consumers-their_en-0.pdf\n</url>\n<text>\n16 October 2014 EMA/652164/2014\n\nAnnex II: EMA activities where patients ∗ and consumers are involved\n\nPatients and consumers are involved in a diverse array of Agency activities 1 either as individual experts (as indicated in Figure 1) where they provide input on product-specific issues or where they represent a patient organisation.\n\nThese activities include:\n\n* participation in governance of the Agency via the Management Board;\n* inclusion in scientific committees as members;\n* contributions on disease and product-specific questions via Scientific Advice Working Party (SAWP) and Scientific Advisory Groups (SAG); and consultation by the EMA scientific committees;\n* consultation on guidelines and policies;\n* review of documents destined for the public;\n* dissemination of information;\n* participation in workshops, networks and research projects.\n\n1. Non product-specific involvement in EMA activities\n\nWhere patients/consumers are invited on non-product specific matters such as those described below, they are considered to be representing their patient organisation or disease-specific community.\n\n1.1. EMA Management Board (MB)\n\nThe Management Board has a supervisory role with general responsibility for budgetary and planning matters, the appointment of the Executive <cursor_is_here>\n\nTwo patients sit on the Management Board 3.\n\n∗ The term 'patient' is used throughout this document to refer to any individual who represents the views and interests of patients in EMA activities.\n\n30 Churchill Place●Canary Wharf●London E14 5EU ●United Kingdom\n\n+44 (0)20 3660 6000 Facsimile+44 (0)20 3660 5550\n\n1.2. European Medicines Agency Human Scientific Committees' Working Party with Patients' and Consumers' Organisations (PCWP)\n\nWhile the EMA has engaged in dialogue with patients and consumers since its creation in 1995, a formal working party, European Medicines Agency Human Scientific Committees' Working Party with Patients' and Consumers' Organisations (PCWP), has existed since 2006. The Agency engages with patients and consumers via a network of over 30 European patients' and consumers' organisations (called eligible organisations). The PCWP is a core group of representatives from these eligible organisations that provide recommendations to the EMA and its Human Scientific Committees on all matters of direct or indirect interest to patients in relation to medicinal products (Mandate) 4 .\n\nParticular attention has been paid to include patients' groups representing the medicinal products that fall within the mandatory scope of the centralised procedure (i.e. HIV, cancer, neurodegenerative disorders, diabetes, auto-immune diseases, viral diseases, biotech products, monoclonal antibodies, innovative products and products for rare diseases).\n\nIn addition, groups representing the interests of special populations such as paediatric, older people, women or certain disease-specific organisations are also represented.\n\nPatients are predominantly identified via the eligible organisation for the following activities:\n\n1.3. Involvement in workshops, conferences, webinars etc..\n\nPatients/consumers are invited to most EMA workshops and increasingly are involved as speakers within the sessions.\n\nSome examples of workshops include Medication errors, Patient-support programmes and marketresearch programmes and the Pharmacovigilance Stakeholders Forum.\n\n2. Product-specific involvement in EMA activities\n\nWhere patients/consumers are consulted on product-specific matters, they are involved as individual experts and are required to complete all the same documents as all other experts prior to attending the meeting at EMA. These documents include the Confidentiality Agreement, Declaration of Interests and curriculum vitae.\n\n2.1. EMA scientific committees\n\nPatients have been included as full voting members of EMA scientific committees since 2000. The Committees that include patients are listed below as well as the year of their creation. Activities that are covered by these committees and hence patients include orphan designation of medicinal products, assessment of paediatric investigation plans, classification of advanced therapies and assessment and monitoring of safety issues of medicines.\n\n* COMP 5 - Committee for Orphan Medicinal Products (since 2000)\n* PDCO 6 - Paediatric Committee (since 2007)\n* CAT 7 - Committee for Advanced Therapies (since 2009)\n* PRAC 8 - Pharmacovigilance and Risk Assessment Committee (since 2012)\n\nA detailed document describing the role of patients as members of the EMA Human scientific committees 9 was elaborated in collaboration with the EMA patient representatives.\n\nCommittees can also consult patients on an ad-hoc basis on product-specific issues where their input on the medicine under evaluation, based on their real-life experience with the disease and/or the product is of added value.\n\n2.2. Scientific Advice Working Party\n\nPharmaceutical companies can request scientific advice from the European Medicines Agency (EMA) regarding the development of a medicine. This advice is aimed at ensuring the company carries out the most appropriate studies, thus avoiding major objections related to the study design during the marketing authorisation evaluation, which can significantly delay the authorisation, or even result in its refusal.\n\nThe Agency also offers parallel scientific advice with health-technology-assessment (HTA) bodies. The aim of this is to allow medicine developers to gain feedback from regulators and HTA bodies at the same time, early in the development of a medicine.\n\nPatient representatives 10 were invited to participate in EMA scientific advice procedures in the context of orphan medicines (called Protocol Assistance) from 2005. This was then extended to medicines for non-rare indications in January 2013. Patients are invited to share their 'real-life' perspective and experience (in a face-face meeting or via written comments) with the Scientific Advice Working Party (SAWP) 11 and the pharmaceutical company, in relation to a particular medicine in their disease area.\n\n2.3. Scientific Advisory/ad hoc Expert Group meetings\n\nScientific Advisory Groups (SAGs) are convened at the request of the Committee for Medicinal Products for Human Use (CHMP) or PRAC to deliver answers, on a consultative basis, to specific questions addressed to them (mandate) 12 . Currently eight SAGs exist for specific areas.\n\nWhen the issues refer to a therapeutic area for which no specific SAG has been constituted, an ad-hoc expert group is organised that follows the SAG mandate.\n\nThe outcome of the 2011 pilot phase, resulting in the systematic inclusion of patients in Scientific Advisory Group (SAG) meetings, is published 13 .\n\n2.4. Patients at CHMP\n\nA pilot 14 (beginning Sept 2014) to include patients directly in the benefit-risk evaluation of medicines with the Committee for Medicinal Products for Human Use (CHMP) will explore how patients can be involved effectively in oral explanations at the CHMP.\n\nInviting patients to participate in the CHMP will also increase patient awareness of the committee's deliberations and makes the assessment process of medicines more transparent.\n\n2.5. Public hearings\n\nPublic hearings are a new tool for the EMA to engage European Union (EU) citizens in the regulatory process of the supervision of medicines. The meetings will be held by the Pharmacovigilance and Risk Assessment Committee (PRAC) and are expected to give EU citizens a voice in the evaluation of the safety of medicines and empower them to express their views on issues related to the safety of certain medicines and the management of risks.\n\n2.6. Future involvement of children (and/or their parents/carers/legal representatives) and plans for strengthening the participation of members representing patients' organisations at the PDCO\n\nFurther to the recommendations outlined in the published concept paper on the involvement of children and young people at the PDCO, the possibility of establishing a framework of interactions between EMA, PDCO and children (and/or their parents/carers/legal representatives) is currently being discussed at the PDCO. Primary discussions focus on defining the scope of the involvement of children (and/or their parents/carers/legal representatives), their role, expectations and the clear criteria on which situations, a consultation and/or dialogue between the PDCO and children (and/or their parents/carers/legal representatives) may occur.Also, in order to strengthen the participation from members representing patients' organisations at the PDCO plenary meetings, it is planned to define the clear criteria, on which situations, a systematic feedback and input from these members may be required in the PDCO day-to-day activities.\n\n3. Communication:\n\n3.1. Review of documents destined for the public:\n\nThe EMA invites patient and consumer representatives to review information on medicines published by the Agency, such as European Public Assessment Report (EPAR) summaries for the public and Package Leaflets as well as information on the safety of medicines that are addressed to the public (Training manual) 15 . The Agency also invites patients to review Public Summaries of Opinion (PSO) on orphan designation.\n\n3.2. Consultations\n\nPatients/consumers are consulted on guidance and policy documents via the EMA website as well as targeted emailing to ensure to capture the input of this group. In addition, patients can be consulted on an ad-hoc basis on product-specific topics linked to the prevention of medication errors, such as educational and packaging materials.\n\nPatients are consulted along with healthcare professionals and other experts, in closed workshops, on the guidelines for the clinical investigation of disease-specific medicinal products (e.g. Duchenne Muscular Dystrophy, Cystic fibrosis…)\n\n3.3. Meetings, conferences and workshops\n\nFour meetings for the PCWP are organised on average annually, several of these are combined with the HealthCare Professionals Working Party (HCPWP) and one meeting with all eligible organisations is also held annually.\n\nA number of conferences and workshops are also held where patients are invited to participate as presenters and attendees.\n\n3.4. Human Medicines Highlights (HMH) newsletter\n\nA monthly newsletter addressed primarily to organisations representing patients, consumers and healthcare professionals provides a summary of key information relating to medicines for human use published during the previous month by the EMA.\n\n3.5. EMA website\n\nThe homepage of the EMA website contains a feed of all of the Latest Information and Press Releases. Under the News and Events tab a scrolling feed of 'What's New' also provides links to monthly information and Press Releases.\n\n3.6. Patient and Consumer pages\n\nPatients and Consumers have a dedicated area in the Partners and Networks section of the website providing information on Agency activities where patients and consumers are involved, how they can get involved, which organisations are currently involved with the EMA as well as training and supporting key documents for these activities.\n\n3.7. Send a Question and Social media\n\nPatients and the public in general can request information directly to the EMA from the home page using the Send a Question form.\n\nRSS feeds, Twitter and YouTube are available to subscribers. The EMA uses these means to communicate up to the minute information on authorisations, consultations (Twitter), newsletters on a range of topics (RSS feeds) as well as to transmit information and training (YouTube).\n\n3.8. Leaflet on patient activities at EMA\n\nA leaflet describing the different ways that patients can be and are involved with the EMA has been elaborated and is updated regularly as activities evolve.\n\n3.9. Information exchange\n\nThe eligible organisations working with EMA serve as a vital platform for exchange of information.\n\nThe EMA consults and informs these groups on relevant Agency activities via targeted emailing. An identified contact person is the recipient of relevant information that is then shared with the members of that organisation.\n\nThe eligible organisations support the Agency in providing targeted information in appropriate language to stakeholders and enhance understanding of the regulatory processes. A survey showed that patients' and consumers' organisations disseminated EMA information via links or publication of press releases and Q&A on their website or via social media channels.\n\n4. Monitoring/Training\n\n4.1. Monitoring – surveys and feedback on satisfaction\n\nIn order to monitor the satisfaction of patients and consumers who have been involved in any EMA activity, the EMA organises satisfaction surveys every two years. Based on the outcome of these surveys, actions plans are then determined. The results are included within the annual report (REF).\n\nSurveys on the provision of EMA training to patients and consumers involved in its activities are also conducted.\n\n4.2. Training\n\nPatients and consumers are invited to be involved in a variety of activities at the EMA. In order to support and optimise their involvement, the Agency has prepared a training programme to describe the specific training activities and material that will be made available to patients and consumers when taking part in EMA activities and events.\n\nThese include documents describing the procedures and the role of the patients; support on how to complete the forms prior to attending a meeting; a video for those attending a meeting at the EMA and in-house training on various patients' activities at EMA.\n\nA number of external training initiatives for patients already exist or are being developed in the EU, some of which are supported by the EMA.\n\n4.3. Involvement in EU-wide projects/Research\n\nThe EMA is involved in several research projects in varying capacities. Where possible and increasingly so, patients are invited to participate as partners, in steering groups etc..\n\nENCePP: The European Network of Centres for Pharmacoepidemiology and Pharmacovigilance is a network of over 170 research centres, existing networks and providers of healthcare data, which is coordinated by the European Medicines Agency. Patients' representatives form part of the Steering Group and the Interested Parties and Stakeholder group.\n\nEnpr-EMA: The European Network of Paediatric Research at the European Medicines Agency is a network of research networks, investigators and centres with recognised expertise in performing clinical studies in children. Patients are involved in the Coordinating Group. Also, a task of a new EnprEMA working group, established following the 6 th annual Enpr-EMA workshop in June 2014, is to develop a virtual European network of young people to input into the design and delivery of clinical research in children.\n\nEUCTR: The European Union Clinical Trials Register enables searches for protocol and results information on interventional clinical trials that are conducted in the European Union (EU) and the European Economic Area (EEA) and clinical trials conducted outside the EU / EEA that are linked to European -medicine development. Patients were and are still consulted all along the development of this portal regarding aspects from design to information to be included.\n\nIMI-PROTECT: The Pharmacoepidemiological Research on Outcomes of Therapeutics by a European Consortium is a collaborative project that addresses limitations of current methods in the field of pharmacoepidemiology and pharmacovigilance. The EMA is the coordinator of PROTECT and GSK is the deputy co-ordinator of PROTECT. The partners list includes IAPO the International Alliance for Patients' Organisations.\n\nWebRADR: (Recognising Adverse Drug Reactions) is a consortium of leading experts in pharmacovigilance from regulatory agencies, research and academia. The aims will be to set policy and guidance and deliver robust information technology tools to address the potential for the reporting of adverse drug reactions (ADRs) through mobile applications and the recognition of drug safety signals from user comments in social media and the internet. The consortium includes EURORDIS. Additional patients' organisations will be involved in the project through participation in project-related workshops and follow-up activities (e.g. surveys).\n\nReferences\n\n1. Article 78 of Regulation (EC) No 726/2004 of the European Parliament and of the Council of 31 March 2004 laying down Community procedures for the authorisation and supervision of medicinal products for human and veterinary use and establishing a European Medicines Agency: http://eur-\n\nlex.europa.eu/LexUriServ/LexUri\n\nSe rv.do?uri=OJ:L:2004:136:0001:0033:en:PDF\n\n2. Rules of Procedure of the EMA Management Board: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/01/WC500038065.pdf\nhttp://www.ema.europa.eu/ema/index.jsp?curl=pages/about_us/general/general_content_000\n3. EMA Management Board web page: 098.jsp&mid=WC0b01ac0580028c2f\n4. Mandate, objectives and rules of procedure for the European Medicines Agency Human Scientific Committees' Working Party with Patients' and Consumers' Organisations (PCWP): http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/02/WC500073497.pdf\n5. Regulation (EC) No 141/2000 of the European Parliament and of the Council of 16 December 1999 on orphan medicinal products http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:32000R0141:EN:HTML\n6. Regulation (EC) No 1901/2006 of the European Parliament and of the Council of 12 December 2006 on medicinal products for paediatric use and amending Regulation (EEC) No 1768/92, Directive 2001/20/EC, Directive 2001/83/EC and Regulation (EC) No 726/2004\n7. Regulation (EC) No 1394/2007 of the European Parliament and of the Council of 13 November 2007 on advanced therapy medicinal products and amending Directive 2001/83/EC and Regulation (EC) No 726/2004; http://ec.europa.eu/health/files/eudralex/vol1/reg_2007_1394/reg_2007_1394_en.pdf\n8. Regulation (EC) No 1235/2010 of the European Parliament and of the Council of 15 December 2010 on pharmacovigilance of medicinal products for human usehttp://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2010:348:0001:0016:EN:PDF\n9. The role of patients as members of the EMA Human scientific committees: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2011/12/WC500119614.pdf\n10. Involvement of patient representatives in scientific advice procedures at the EMA: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2013/08/WC500148296.pdf\n11. EMA Scientific Advice Working Party web page: http://www.ema.europa.eu/ema/index.jsp?curl=pages/contacts/CHMP/people_listing_000022.j sp&mid=WC0b01ac0580028d94\n\n12.\n\nMandate, objectives and rules of procedure for the scientific advisory groups (SAGs) and ad- hoc experts groups:\n\nhttp://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/06/WC500091622.pdf\n\n13. Outcome report on pilot phase for participation of patient representatives in Scientific Advisory Group (SAG) meetings:\n\nhttp://www.ema.europa.eu/docs/en_GB/document_library/Report/2011/12/WC500119201.pdf\n\nAnnex II: EMA activities where patients0F\n\nEMA/652164/2014\n\nand consumers are involved\n\n14. Press Release: Patients to discuss benefit-risk evaluation of medicines with the Committee for Medicinal Products for Human\nUse: http://www.ema.europa.eu/ema/index.jsp?curl=pages/news_and_events/news/2014/09/ news_detail_002172.jsp&mid=WC0b01ac058004d5c1\n15. Training Manual - Review of EMA documents addressed to the general public, by patients and consumers: http://www.ema.europa.eu/docs/en_GB/document_library/Other/2010/05/WC500 090127.pdf\n\nFigure 1: Product-specific patient contributions in the product life cycle\n\n* COMP – Committee for Orphan Medicinal Products; CHMP – Committee for Human Medicinal Products; CAT – Committee for Advanced Therapies; PDCO – Paediatric Committee; SAWP – Scientific Advice Working Party; SAG – Scientific Advisory Group; PRAC – Pharmacovigilance and Risk Assessment Committee; EPAR – European Public Assessment Report\n\nAnnex II: EMA activities where patients0F\n</text>\n", "role": "user" }, { "content": "Director and the monitoring of the Agency's performance (Rules of Procedure) 2 .", "role": "assistant" } ]
Page 4A THE TOWNS COUNTY HERALD May 8, 2013 Letters to The Editor Dear Editor: When my husband and I moved here 7 years age, we tried to find a safe means of disposing of my used needles. We called all of the hospitals in the area, the Towns County Health Department, the Environmental Health Department, the Mental Health and Substance Abuse Department and the Towns County Transfer Station. Each and every one of them told us to find a container, like a coke bottle or milk jug, put them in it and throw it in the trash... For as many years as I have lived in Towns County, I have saved all of my used insulin needles. We were totally amazed about being told to dispose of the used needles in such a haphazard manner. I know there are many more people in the area who don't know how dangerous these needles can be in the wrong hands. I choose not to be responsible for someone doing il legal drugs with my used needles. Since then I have saved each used needle in a milk jug and kept them in a safe, out of the way place on our property. If we go on vacation we will take them with us to a place where we can be certain they will be properly disposed of. Please, can't someone help change a potentially deadly situation before someone dies? I will do what I can, but that isn't much without help. Sandra Marshall Dear Editor, Following is an email from Senator Chambliss to my request to vote "Against" extended background checks for gun purchases. I ask you to print his email to prove his position. Dear Mr. Mazur: Thank you. Chris Mazur Thank you for your recent correspondence regarding the right to keep and bear arms as guaranteed by the Second Amendment to the United States Constitution. Your taking time to contact me is appreciated. In response to recent tragic and high-profile acts of violence, there has been a renewed focus on government regulation of guns. Congress has had an extensive and detailed debate about the potential causes of these crimes, including mental health issues, depictions of violence in television, movies, and video games, and firearms. I have always been and remain a strong supporter of the Second Amendment, and it is Congress' responsibility to make sure that Americans' constitutional rights are protected. We must make certain that the rights and freedoms of lawabiding citizens are not unfairly impeded. I believe that the ability of sportsmen, hunters, gun enthusiasts and citizens concerned with their personal safety to own a gun, whether for sport or protection, is clearly defined in the Constitution and must not be compromised. It is my belief that implementing improved back ground checks could significantly impact the ability of individuals who are a danger to themselves and to others from obtaining guns. For this reason, I voted in favor of the Grassley/Graham/Cruz amendment # 725 to S. 649, the "Safe Communities, Safe Schools Act of 2013," to improve the National Instant Criminal Background Check System (NICS) and to address mental illness in the justice system. Ultimately, this amendment failed on April 17, 2013 by a 52-48 vote margin. The dialogue regarding acts of violence will likely continue with additional legislative proposals seeking to address the underlying causes. As Congress continues this conversation, I will be sure to keep your thoughts in mind. Additionally, Senators Manchin, Toomey, and Schumer offered amendment # 715, which in certain instances would criminalize the private transfer of firearms by law-abiding citizens. Specifically, this amendment would require indi viduals who sell their firearms to lifelong friends, neighbors, and even family members to obtain the federal government's permission to exercise a fundamental right or face prosecu tion. I voted against the Manchin-Toomey amendment #715, which failed passage by a 54-46 vote margin. Please do not hesitate to contact me if I may be of as sistance to you in the future. In the meantime, if you would like to receive timely e-mail alerts regarding the latest con gressional actions and my weekly e-newsletter, please sign up via my web site at: www.chambliss.senate.gov. Towns County Herald Dedicated to the promotion of Towns County KENNETH WEST...............................................PUBLISHER LOWELL NICHOLSON. NEWS,SPORTS PHOTOGRAPHER OFFICE LOCATED AT 446 NORTH MAIN STREET "THE MALL" HIAWASSEE (706) 896-4454 Publication Number 635540. Entered as second-class matter on November 8, 1928, at the post office at Hiawassee, Georgia under Act of March 3, 1879. With additional mailing points. EMAIL Address: [email protected] POSTMASTER: Send change of address to: TOWNS COUNTY HERALD P.O. BOX 365 HIAWASSEE, GEORGIA 30546 DEADLINE FOR ALL NEWS COPY & ADVERTISING SUBSCRIPTION RATES Fridays at 5 PM TOWNS COUNTY (1 YEAR) $15 The Towns County Herald is not responsible for errors in advertising beyond OUT OF COUNTY (1 YEAR) $25 the cost of the actual space involved. All subscriptions must be paid in advance. T.C. Herald Editor Vogel State Park vital to community By Charles Duncan If you didn't make it to the Vogel State Park meeting on April 25, all I can say is, it was your loss. Park Manager Cliff Tippens had everything under control. The night was meant for a discussion about the future of the historic park, which is very profitable by the way. Sole Commissioner Lamar Paris. He keeps an open dia logue with government leaders in Dahlonega, and next on his list is getting to know Towns County Sole Commissioner Bill Kendall and Towns Coun ty's Chamber of Commerce members. Tippens greeted the handful of visitors, invited them to break bread with him and pulled off quite a meal provided by Friends of the Park. Barbecue chicken wings, chicken fingers, finger veggies, a fruit platter, French fries, cole slaw, celery sticks and all the dips you could think of. Oh yes, there were soft drinks a plenty, and lots of bottled water. It was quite a feast, and only a handful of folks showed up to enjoy the event. Enough about the food. Tippens is a down-toearth, common sense individual. He's focusing on how to bet ter tie the park into the Union County community. Actually, the Park thrives under his man agement and figures to do more in the years ahead. Vogel already does events like the annual Trout Rodeo that's coming up in June, and also the Civilian Conserva tion Corps Reunion from 9 a.m. to 2 p.m. on May 11th. The CCC was a public works project that operated from 1933 to 1942 in the U.S. for unemployed, unmarried men from relief families, ages 18–25. Vogel is the second old est state park in Georgia and still it's the most beautiful state park. Since, 2008, the park has experienced some renovations and additions. After the meal, Tippens promptly went into the topic of the evening, just how good is Vogel State Park doing and what are the prospects of its future. Vogel State Park was built by the CCC workers in the 1930s, and it was one of the first two state parks built under the Georgia State Parks system. Vogel also is the site of the Civilian Conservation Corps museum. He hopes to form a part nership with the Union County Farmers Market and become an increasing source of eco nomic development in the community. In the near future, Tip pens hopes to tie the Park into a partnership with local Boy Scouts, Girl Scouts, Future Farmers of America and 4-H club members. By the way, the 233-acre park has an annual economic impact in Union County to the tune of more than $12 million and lures more than 219,000 park visitors here each year. It's easy to listen to Tip pens talk about the park's future goals. He's working closely with Union County GUEST COLUMNS From time to time, people in the community have a grand slant on an issue that would make a great guest editorial. Those who feel they have an issue of great importance should call our editor and talk with him about the idea. Others have a strong opinion after reading one of the many columns that ap pear throughout the paper. If so, please write. Please remember that publication of submitted editorials is not guaranteed. LETTERS TO THE ED ITOR SHOULD BE EMAILED OR MAILED Letters opposing the views of previous comments are wel comed; however, letters can not be directed at, nor name or ridicule previous writers. Letters that recognize good deeds of others will be con sidered for publication.* TO: Towns County Herald, Letter to the Editor, PO Box 365, Hiawassee, GA 30546. Our email address: tcher [email protected]. Let ters should be limited to 200 words or less, signed, dated and include a phone number for verification purposes. This paper reserves the right to edit letters to conform with Editorial page policy or refuse to print letters deemed pointless, potentially defama tory or in poor taste. Letters should address issues of gen eral interest, such as politics, the community, environment, school issues, etc. Note: All letters must be signed, name and phone number for and contain the first and last Vogel is a huge part of our past, and in the years ahead, figures to be a huge part of our future. It's one of the economic drivers that bring folks to Union County. Many seeing it for the first time. Negotiations are cur rently underway to bring cable and Internet to the park. Vogel is one of only two state parks without cable and Internet ac cess. The wheels of progress are turning. If you haven't already, get out to Vogel and meet Cliff Tippens. You'll feel right at home getting to know Cliff and his family. From the accent, you'd think he was born and raised here. If you ask Cliff, he'll tell you Union County folks make him feel like a native. He's mighty proud to be here and serve as your Park Manager. 20# COPY PAPER now available ready." Ushers circulate mobile card swipe machines among the worshipers: "You can log on to the church Wi-Fi using the pass word Lord 909887." Those who prefer to make electronic funds trans fers are directed to computers and laptops at the rear of the church. Those who prefer tele phone banking, take out your cell phones to transfer your contributions to the church account. Those who prefer to use iPads flip them open. The holy atmosphere of the Church becomes truly elec trified as ALL the cell phones, iPads, PCs and laptops beep and flicker! Final Blessing and Clos ing Announcements… "IT'S MIND.." ON MY Danny H. Parris Could it be? Can you believe all the technology that has flooded our world in the last few years? As a result of the increase of knowledge all phases of life has drastically changed. Not all change is for the better. Some one sent me an email about church services of the future (near future at that). Maybe it is already happening. Think about the following: PASTOR: "Praise the PASTOR: "Can we please turn on our tablet, PC, iPad, cell phone, and Kindle Bibles to I Cor. 13:13. And please switch on your Bluetooth to download the sermon. P-a-u-s-e…….. This week's ministry cell meetings will be held on the various Facebook group pages where the usual group chatting takes place. Please log in and don't miss out. "As we take our Sunday tithes and offerings… Please have your credit and debit cards You can follow your Pastor on Twitter this weekend for counseling and prayers. Lord!" CONGREGATION: "Hallelujah!" "Now let us pray, com mitting this week into God's hands. Open your Apps, BBM, Twitter and Facebook and chat with God…." S-i-l-e-n-c-e…. Thursday's Bible study will be held live on Skype at 1900 GMT. Please don't miss out. Have something to sell? Let the Herald work for you! Contact us at 706-896-4454 at The Herald 500 Sheets $3.80 5000 Sheets $36 Deadline for the Towns County Herald is Friday by 5 PM American Legion Post 23 meets 1st Tuesday of each month at 4 PM at VFW Post 7807, Sunnyside Rd., Hiawassee. Call 706-896-8387 for details. We need your support! Community Calendar townshistory.org of residents. 706-896-1060, www. Shelter Board of Directors meets the last Thursday of every month at 5:30 p.m. at Cadence Bank in Blairsville. Towns County Water Board Meet ing 3rd Monday of each month at 6 p.m. in the TC Water Office Building. Towns County Democratic Party meets the 2nd Thursday of ev ery month at 5 PM at the Senior Center. Mountain Community Seniors meet the second Thursday of each month at the Senior Center in Hia wassee at 2 p.m. Towns County Republican Party meets at 6:30 PM the 4th Thursday of each month at the new Senior Center. For more info call 706994-3919. School Board Meeting, 2nd Mon day each month at 7 p.m. in the auditorium. Towns County Planning Commis sion is held the 2nd Monday of each month at 7 p.m. in the Courthouse. Towns County Commissioners meeting is the 3rd Thursday at 5:30 p.m. in the courthouse. Hiawassee City Council 1st Tuesday of month 4 p.m., at City Hall. The Hiwassee River Valley Kennel Club meetings are held at 7 p.m. the 1st Monday of each month at Brother's Restaurant in Murphy. Call Kit: 706-492-5253 or Peggy: 828-835-1082. Young Harris City Council, 1st Tuesday of month at 7 p.m., Young Harris City Hall. The Unicoy Masonic Lodge #259 meets on the 2nd Monday of the month at 7:30 p.m. Towns County Historical Society Stephens Lodge #414 F & AM meets the 1st Thursday of each month at 7:30 PM in Young Harris. Towns County Board of Elections holds its monthly meetings on the 2nd Wednesday of each month at 4 p.m. at the Elections Office (Old Rock Jail). meets the 2nd Monday of each wassee at 5:30 p.m. Annual dues month at the Senior Center in Hia $15, PO Box 1182, Hiawassee, GA. We do oral family histories Mountain Regional Arts and Crafts Guild, Inc (MRACG) meets the 2nd Tuesday of each month at ArtWorks Artisan Centre, Hia wassee. Refreshments at 6 p.m., meeting begins at 6:30 p.m. Call us by 706-896-0932 or mtnregarts craftsguild.org. Bridge Players intermediate level meets at 12:30 p.m. on Mondays & Fridays at the Towns County Rec Center. Mountain Computer User Group meets the 2nd Monday of each month at the Goolsby Center at YHC. Q & A at 6 p.m., meeting at 7 p.m. FPL Retirees Breakfast will meet Chattahoochee-Nantahala Chap ter, Trout Unlimited meets 2nd Thursday of each month at Cadence Bank in Blairsville. 5 p.m. Fly Tying - 7 p.m. General Meeting. Everyone welcome. www.ngatu692.com. the 2nd Tuesday of each month at the Hole in the Wall Restaurant on the square in Blairsville at 9 a.m. Military Officers Association of America (MOAA) meets the 3rd Monday of each month at various area restaurants. For information call John at 706-896-2430 or visit www.moaa.org/ chapter/blueridgemountains. Mothers of Preschoolers meets the third Thursday of each month at First Baptist Church of Blairsville from 6 - 8 p.m. Call the church at 706-745-2469. Alcoholics Anonymous: 24 hour phone line 828-837-4440. Chatuge Regional Hospital Aux iliary on the 3rd Monday of each month, except the months of July, October and December, in the hos pital cafeteria at 1:30 p.m. Prostate Cancer Support Group Mountain Magic Table Tennis Club meets 3 p.m. Thursdays at Pine Log Baptist Church Fellowship Hall in Brasstown. Ping Pong players wel come. Call Jerry (828) 837-7658. meets the 3rd Monday of every Treatment Center Auditorium in month from 5-6 PM in the Cancer Blairsville. For more info call Steve The Humane Society Mountain 706-896-1064. The Towns County Alzheimer's Support Group meets the first Tuesday of each month at 1:30 PM in the Family Life Center of Mc Connell Memorial Baptist Church. For more info call Carol at 706896-6407. Georgia Mountain Writers Club meets at St. Francis of Assisi Church the 2nd Wednesday of every month at 10 AM. GMREC Garden Tours every The Appalachian Shrine Club meets the 2nd Thursday of each month at 6:30 PM at the Allegheny Lodge in Blairsville. For more info call Wil liam 706-994-6177. Monday 9 a.m.-1 p.m. Friendship Community Club meets the 3rd Thursday of the month at 6 PM at Clubhouse, 1625 Hwy. 76, 706-896-3637. Shooting Creek Basket Weavers meets the 2nd Wednesday of every month at 10 a.m. at the Shooting Creek Fire Hall Community Center. For more info www.shootingcreek basketweavers.com. Goldwing Road Riders meets the 3rd Saturday of each month at Daniel's Steakhouse in Hiawassee. We eat at 11 and meeting begins at 12. Caregiver support group meets 2nd Tuesday of each month, 3 p.m. at Brasstown Manor, located at 108 Church St., Hiawassee. Call 706896-4285 for more info. Narcotics Anonymous (NA) meets every Wednesday evenings at 7 PM at the Red Cross building (up the hill from the chamber office on Jack Dayton Circle). Enchanted Valley Square Dance Club. Dances 2nd & 4th Fridays at Hiawassee Senior Ctr. from 7-9 PM. $5/person to dance. Free to watch. Call 706-379-2191. Brasstown Woodturners Guild 9:30 AM in HHS shop. For more meets 1st Saturday of month at info call J. C. at 706-896-5711. fish fry they 2nd & 4th Fridays of VFW Post #7807 will be hosting a each month April - October. $9. all you can eat from 4:30 - 7 PM.	<urn:uuid:001d1a17-2620-4008-b179-f546580ee831>	CC-MAIN-2018-05	http://townscountyherald.net/pdf/tch05-08-13OpEd.pdf	2018-01-18T21:15:21Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-05/segments/1516084887621.26/warc/CC-MAIN-20180118210638-20180118230638-00733.warc.gz	343,713,672	4,211	eng_Latn	eng_Latn	0.998189	eng_Latn	0.998189	[ "eng_Latn" ]	false	rolmOCR	[ 17182 ]	Page 4A THE TOWNS COUNTY HERALD May 8, 2013 Letters to The Editor Dear Editor: When my husband and I moved here 7 years age, we tried to find a safe means of disposing of my used needles. We called all of the hospitals in the area, the Towns County Health Department, the Environmental Health Department, the Mental Health and Substance Abuse Department and the Towns County Transfer Station. Each and every one of them told us to find a container, like a coke bottle or milk jug, put them in it and throw it in the trash... For as many years as I have lived in Towns County, I have saved all of my used insulin needles. We were totally amazed about being told to dispose of the used needles in such a haphazard manner. I know there are many more people in the area who don't know how dangerous these needles can be in the wrong hands. I choose not to be responsible for someone doing il legal drugs with my used needles. Since then I have saved each used needle in a milk jug and kept them in a safe, out of the way place on our property. If we go on vacation we will take them with us to a place where we can be certain they will be properly disposed of. Please, can't someone help change a potentially deadly situation before someone dies? I will do what I can, but that isn't much without help. Sandra Marshall Dear Editor, Following is an email from Senator Chambliss to my request to vote "Against" extended background checks for gun purchases. I ask you to print his email to prove his position. Dear Mr. Mazur: Thank you. Chris Mazur Thank you for your recent correspondence regarding the right to keep and bear arms as guaranteed by the Second Amendment to the United States Constitution. Your taking time to contact me is appreciated. In response to recent tragic and high-profile acts of violence, there has been a renewed focus on government regulation of guns. Congress has had an extensive and detailed debate about the potential causes of these crimes, including mental health issues, depictions of violence in television, movies, and video games, and firearms. I have always been and remain a strong supporter of the Second Amendment, and it is Congress' responsibility to make sure that Americans' constitutional rights are protected. We must make certain that the rights and freedoms of lawabiding citizens are not unfairly impeded. I believe that the ability of sportsmen, hunters, gun enthusiasts and citizens concerned with their personal safety to own a gun, whether for sport or protection, is clearly defined in the Constitution and must not be compromised. It is my belief that implementing improved back ground checks could significantly impact the ability of individuals who are a danger to themselves and to others from obtaining guns. For this reason, I voted in favor of the Grassley/Graham/Cruz amendment # 725 to S. 649, the "Safe Communities, Safe Schools Act of 2013," to improve the National Instant Criminal Background Check System (NICS) and to address mental illness in the justice system. Ultimately, this amendment failed on April 17, 2013 by a 52-48 vote margin. The dialogue regarding acts of violence will likely continue with additional legislative proposals seeking to address the underlying causes. As Congress continues this conversation, I will be sure to keep your thoughts in mind. Additionally, Senators Manchin, Toomey, and Schumer offered amendment # 715, which in certain instances would criminalize the private transfer of firearms by law-abiding citizens. Specifically, this amendment would require indi viduals who sell their firearms to lifelong friends, neighbors, and even family members to obtain the federal government's permission to exercise a fundamental right or face prosecu tion. I voted against the Manchin-Toomey amendment #715, which failed passage by a 54-46 vote margin. Please do not hesitate to contact me if I may be of as sistance to you in the future. In the meantime, if you would like to receive timely e-mail alerts regarding the latest con gressional actions and my weekly e-newsletter, please sign up via my web site at: www.chambliss.senate.gov. Towns County Herald Ded	icated to the promotion of Towns County KENNETH WEST...............................................		4,190	inside_word	Dedicated	remove_all	<url> http://townscountyherald.net/pdf/tch05-08-13OpEd.pdf </url> <text> Page 4A THE TOWNS COUNTY HERALD May 8, 2013 Letters to The Editor Dear Editor: When my husband and I moved here 7 years age, we tried to find a safe means of disposing of my used needles. We called all of the hospitals in the area, the Towns County Health Department, the Environmental Health Department, the Mental Health and Substance Abuse Department and the Towns County Transfer Station. Each and every one of them told us to find a container, like a coke bottle or milk jug, put them in it and throw it in the trash... For as many years as I have lived in Towns County, I have saved all of my used insulin needles. We were totally amazed about being told to dispose of the used needles in such a haphazard manner. I know there are many more people in the area who don't know how dangerous these needles can be in the wrong hands. I choose not to be responsible for someone doing il legal drugs with my used needles. Since then I have saved each used needle in a milk jug and kept them in a safe, out of the way place on our property. If we go on vacation we will take them with us to a place where we can be certain they will be properly disposed of. Please, can't someone help change a potentially deadly situation before someone dies? I will do what I can, but that isn't much without help. Sandra Marshall Dear Editor, Following is an email from Senator Chambliss to my request to vote "Against" extended background checks for gun purchases. I ask you to print his email to prove his position. Dear Mr. Mazur: Thank you. Chris Mazur Thank you for your recent correspondence regarding the right to keep and bear arms as guaranteed by the Second Amendment to the United States Constitution. Your taking time to contact me is appreciated. In response to recent tragic and high-profile acts of violence, there has been a renewed focus on government regulation of guns. Congress has had an extensive and detailed debate about the potential causes of these crimes, including mental health issues, depictions of violence in television, movies, and video games, and firearms. I have always been and remain a strong supporter of the Second Amendment, and it is Congress' responsibility to make sure that Americans' constitutional rights are protected. We must make certain that the rights and freedoms of lawabiding citizens are not unfairly impeded. I believe that the ability of sportsmen, hunters, gun enthusiasts and citizens concerned with their personal safety to own a gun, whether for sport or protection, is clearly defined in the Constitution and must not be compromised. It is my belief that implementing improved back ground checks could significantly impact the ability of individuals who are a danger to themselves and to others from obtaining guns. For this reason, I voted in favor of the Grassley/Graham/Cruz amendment # 725 to S. 649, the "Safe Communities, Safe Schools Act of 2013," to improve the National Instant Criminal Background Check System (NICS) and to address mental illness in the justice system. Ultimately, this amendment failed on April 17, 2013 by a 52-48 vote margin. The dialogue regarding acts of violence will likely continue with additional legislative proposals seeking to address the underlying causes. As Congress continues this conversation, I will be sure to keep your thoughts in mind. Additionally, Senators Manchin, Toomey, and Schumer offered amendment # 715, which in certain instances would criminalize the private transfer of firearms by law-abiding citizens. Specifically, this amendment would require indi viduals who sell their firearms to lifelong friends, neighbors, and even family members to obtain the federal government's permission to exercise a fundamental right or face prosecu tion. I voted against the Manchin-Toomey amendment #715, which failed passage by a 54-46 vote margin. Please do not hesitate to contact me if I may be of as sistance to you in the future. In the meantime, if you would like to receive timely e-mail alerts regarding the latest con gressional actions and my weekly e-newsletter, please sign up via my web site at: www.chambliss.senate.gov. Towns County Herald Ded<cursor_is_here> </text>	[ { "content": "<url>\nhttp://townscountyherald.net/pdf/tch05-08-13OpEd.pdf\n</url>\n<text>\nPage 4A THE TOWNS COUNTY HERALD May 8, 2013\n\nLetters to The Editor\n\nDear Editor:\n\nWhen my husband and I moved here 7 years age, we tried to find a safe means of disposing of my used needles. We called all of the hospitals in the area, the Towns County Health Department, the Environmental Health Department, the Mental Health and Substance Abuse Department and the Towns County Transfer Station. Each and every one of them told us to find a container, like a coke bottle or milk jug, put them in it and throw it in the trash...\n\nFor as many years as I have lived in Towns County, I have saved all of my used insulin needles.\n\nWe were totally amazed about being told to dispose of the used needles in such a haphazard manner.\n\nI know there are many more people in the area who don't know how dangerous these needles can be in the wrong hands. I choose not to be responsible for someone doing il legal drugs with my used needles.\n\nSince then I have saved each used needle in a milk jug and kept them in a safe, out of the way place on our property. If we go on vacation we will take them with us to a place where we can be certain they will be properly disposed of.\n\nPlease, can't someone help change a potentially deadly situation before someone dies? I will do what I can, but that isn't much without help. Sandra Marshall\n\nDear Editor,\n\nFollowing is an email from Senator Chambliss to my request to vote \"Against\" extended background checks for gun purchases. I ask you to print his email to prove his position.\n\nDear Mr. Mazur:\n\nThank you. Chris Mazur\n\nThank you for your recent correspondence regarding the right to keep and bear arms as guaranteed by the Second Amendment to the United States Constitution. Your taking time to contact me is appreciated.\n\nIn response to recent tragic and high-profile acts of violence, there has been a renewed focus on government regulation of guns. Congress has had an extensive and detailed debate about the potential causes of these crimes, including mental health issues, depictions of violence in television, movies, and video games, and firearms.\n\nI have always been and remain a strong supporter of the Second Amendment, and it is Congress' responsibility to make sure that Americans' constitutional rights are protected. We must make certain that the rights and freedoms of lawabiding citizens are not unfairly impeded. I believe that the ability of sportsmen, hunters, gun enthusiasts and citizens concerned with their personal safety to own a gun, whether for sport or protection, is clearly defined in the Constitution and must not be compromised.\n\nIt is my belief that implementing improved back ground checks could significantly impact the ability of individuals who are a danger to themselves and to others from obtaining guns. For this reason, I voted in favor of the Grassley/Graham/Cruz amendment # 725 to S. 649, the \"Safe Communities, Safe Schools Act of 2013,\" to improve the National Instant Criminal Background Check System (NICS) and to address mental illness in the justice system. Ultimately, this amendment failed on April 17, 2013 by a 52-48 vote margin.\n\nThe dialogue regarding acts of violence will likely continue with additional legislative proposals seeking to address the underlying causes. As Congress continues this conversation, I will be sure to keep your thoughts in mind.\n\nAdditionally, Senators Manchin, Toomey, and Schumer offered amendment # 715, which in certain instances would criminalize the private transfer of firearms by law-abiding citizens. Specifically, this amendment would require indi viduals who sell their firearms to lifelong friends, neighbors, and even family members to obtain the federal government's permission to exercise a fundamental right or face prosecu tion. I voted against the Manchin-Toomey amendment #715, which failed passage by a 54-46 vote margin.\n\nPlease do not hesitate to contact me if I may be of as sistance to you in the future. In the meantime, if you would like to receive timely e-mail alerts regarding the latest con gressional actions and my weekly e-newsletter, please sign up via my web site at: www.chambliss.senate.gov.\n\nTowns County Herald Ded<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "icated to the promotion of Towns County\n\nKENNETH WEST...............................................", "role": "assistant" } ]
Referee's Report on an Ordering Off OFFICIATING Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) Law Law Law Law Law Law 3.7 9.7 (d) 9.12 9.17 9.20 (c) 9.25 4.7 9.8 9.13 9.18 9.21 9.26 9.7 (a) 9.9 9.14 9.19 9.22 9.27 9.7 (b) 9.10 9.15 9.20 (a) 9.23 9.28 9.7 (c) 9.11 9.16 9.20 (b) 9.24 Please give a short description of the Law Period (of game when incident occurred): 1 st Half 2 nd Half Extra time Elapsed time in half Proximity of Official(s) to incident metres Score at that time pts pts Had any cautions been issued to a) Individual Yes No b) General Yes No Was the Player ordered off further to the report of an Assistant Referee? (If yes, a separate form may need to be completed and submitted by the assistant referee) Yes No Please give a detailed report below (PLEASE WRITE CLEARLY) Signed Date Referee's Name Union Assistant Referee's Report on an Ordering Off OFFICIATING Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) Law Law Law Law Law Law 3.7 9.7 (d) 9.12 9.17 9.20 (c) 9.25 4.7 9.8 9.13 9.18 9.21 9.26 9.7 (a) 9.9 9.14 9.19 9.22 9.27 9.7 (b) 9.10 9.15 9.20 (a) 9.23 9.28 9.7 (c) 9.11 9.16 9.20 (b) 9.24 Please give a short description of the Law Period (of game when incident occurred): 1 st Half 2 nd Half Extra time Elapsed time in half Proximity of Official(s) to incident metres Score at that time pts pts Had any cautions been issued to a) Individual Yes No b) General Yes No Please give a detailed report below (PLEASE WRITE CLEARLY) Signed Date Assistant Referee's Name Union Referee's Name Union THIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL IMMEDIATELY AFTER THE COMPLETION OF THE MATCH DISCIPLINARY Citing Commissioner Report Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) ☐ 9.11 Players must not do anything that is reckless or dangerous to others. ☐ 9.19 Dangerous play in a scrum. ☐ 9.12 A player must not physically abuse anyone. ☐ Biting ☐ Intentional contact with eye(s) ☐ Reckless contact with eye(s) ☐ Contact with eye area ☐ Punching or striking with hand, arm (including stiff arm tackle), elbow or shoulder ☐ Leading with the forearm ☐ Striking with head ☐ Striking with knee ☐ Stamping or trampling ☐ Tripping ☐ Kicking ☐ 9.20 Dangerous play in a ruck or maul. ☐ (a) A player must not charge into a ruck or maul ☐ (b) A player must not make contact with an opponent above the line of the shoulders ☐ (c) A player must not intentionally collapse a ruck or a maul ☐ 9.25 A player must not intentionally charge or obstruct an opponent who has just kicked the ball. ☐ 9.12 A player must not verbally abuse anyone. ☐ 9.27 A player must not do anything that is against the spirit of good sportsmanship. ☐ Hair pulling or grabbing ☐ Spitting at anyone ☐ Grabbing, twisting or squeezing the genitals (and/or breasts in the case of female players) ☐ Other (please specify) ☐ 9.13 A player must not tackle an opponent early, late or dangerously. Dangerous tackling includes but is not limited to tackling or attempting to tackle an opponent above the line of the shoulders even if the tackle starts below the line of the shoulders. ☐ 9.14 A player must not tackle an opponent who is not in possession of the ball. ☐ 9.15 Except in a scrum, ruck or maul, a player who is not in possession of the ball must not hold, push, charge or obstruct an opponent not in possession of the ball. ☐ 9.28 A player must not disrespect the authority of a Match Official. ☐ 9.28 A player must not verbally abuse a Match Official. ☐ 9.16 A player must not charge or knock down an opponent carrying the ball without attempting to grasp that player. ☐ 9.28 A player must not make physical contact with Match Officials. ☐ 9.17 A player must not tackle, charge pull, push or grasp an opponent whose feet are off the ground. ☐ 9.28 A player must not use threatening actions or words towards Match Officials. ☐ 9.18 A player must not lift an opponent off the ground and drop or drive that player so that their head and/or upper body make contact with the ground. ☐ 9.28 A player must not physically abuse Match Officials Period (of game when incident occurred) 1 st Half ☐ 2 nd Half ☐ Extra time ☐ Elapsed time in half Proximity of Official(s) to incident Metres Score at that time pts pts DISCIPLINARY Citing Commissioner Report Please give a detailed report below (PLEASE WRITE CLEARLY) Citing Commissioner Date THIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL PRIOR TO THE EXPIRATION OF THE CITING PERIOD Citing Commissioner Warning Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) ☐ 9.11 Players must not do anything that is reckless or dangerous to others. ☐ 9.19 Dangerous play in a scrum. ☐ 9.12 A player must not physically abuse anyone. ☐ Biting ☐ Intentional contact with eye(s) ☐ Reckless contact with eye(s) ☐ Contact with eye area ☐ Punching or striking with hand, arm (including stiff arm tackle), elbow or shoulder ☐ Leading with the forearm ☐ Striking with head ☐ Striking with knee ☐ Stamping or trampling ☐ Tripping ☐ Kicking ☐ 9.20 Dangerous play in a ruck or maul. ☐ (a) A player must not charge into a ruck or maul ☐ (b) A player must not make contact with an opponent above the line of the shoulders ☐ (c) A player must not intentionally collapse a ruck or a maul ☐ 9.25 A player must not intentionally charge or obstruct an opponent who has just kicked the ball. ☐ 9.12 A player must not verbally abuse anyone. ☐ 9.27 A player must not do anything that is against the spirit of good sportsmanship. ☐ Hair pulling or grabbing ☐ Spitting at anyone ☐ Grabbing, twisting or squeezing the genitals (and/or breasts in the case of female players) ☒ Other (please specify) ☐ 9.13 A player must not tackle an opponent early, late or dangerously. Dangerous tackling includes but is not limited to tackling or attempting to tackle an opponent above the line of the shoulders even if the tackle starts below the line of the shoulders. ☐ 9.14 A player must not tackle an opponent who is not in possession of the ball. ☐ 9.15 Except in a scrum, ruck or maul, a player who is not in possession of the ball must not hold, push, charge or obstruct an opponent not in possession of the ball. ☐ 9.28 A player must not disrespect the authority of a Match Official. ☐ 9.28 A player must not verbally abuse a Match Official. ☐ 9.16 A player must not charge or knock down an opponent carrying the ball without attempting to grasp that player. ☐ 9.28 A player must not make physical contact with Match Officials. ☐ 9.17 A player must not tackle, charge pull, push or grasp an opponent whose feet are off the ground. ☐ 9.28 A player must not use threatening actions or words towards Match Officials. ☐ 9.18 A player must not lift an opponent off the ground and drop or drive that player so that their head and/or upper body make contact with the ground. ☐ 9.28 A player must not physically abuse Match Officials Period (of game when incident occurred) 1 st Half ☐ 2 nd Half ☐ Extra time ☐ Elapsed time in half Proximity of Official(s) to incident Metres Score at that time pts pts DISCIPLINARY Citing Commissioner Warning Please give a detailed report below (PLEASE WRITE CLEARLY) Citing Commissioner Date THIS REPORT MUST BE COMPLETED AND PROVIDED TO THE DESIGNATED DISCIPLINARY OFFICIAL AND SHALL FORM PART OF THE PLAYER'S DISCIPLINARY RECORD NOTE TO PLAYER: You may challenge this Citing Commissioner Warning within 48 hours (15s) / 12 hours (7s) of its notification to you by giving notice to the Designated Disciplinary Official and, ordinarily, specifying reasons Referee's Report on a Temporary Suspension OFFICIATING Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) Law Law Law Law Law Law 3.7 9.7 (d) 9.12 9.17 9.20 (c) 9.25 4.7 9.8 9.13 9.18 9.21 9.26 9.7 (a) 9.9 9.14 9.19 9.22 9.27 9.7 (b) 9.10 9.15 9.20 (a) 9.23 9.28 9.7 (c) 9.11 9.16 9.20 (b) 9.24 Please give a short description of the Law Period (of game when incident occurred): 1 st Half 2 nd Half Extra time Elapsed time in half Proximity of Official(s) to incident metres Score at that time pts pts Had any cautions been issued to a) Individual Yes No b) General Yes No Was the Player ordered off further to the report of an Assistant Referee? (If yes, a separate form may need to be completed and submitted by the assistant referee) Yes No Please give a detailed report below (PLEASE WRITE CLEARLY) Signed Date Referee's Name Union THIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL IMMEDIATELY AFTER THE COMPLETION OF THE MATCH Assistant Referee's Report on a Temporary Suspension OFFICIATING Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) Law Law Law Law Law Law 3.7 9.7 (d) 9.12 9.17 9.20 (c) 9.25 4.7 9.8 9.13 9.18 9.21 9.26 9.7 (a) 9.9 9.14 9.19 9.22 9.27 9.7 (b) 9.10 9.15 9.20 (a) 9.23 9.28 9.7 (c) 9.11 9.16 9.20 (b) 9.24 Please give a short description of the Law Period (of game when incident occurred): 1 st Half 2 nd Half Extra time Elapsed time in half Proximity of Official(s) to incident metres Score at that time pts pts Had any cautions been issued to a) Individual Yes No b) General Yes No Please give a detailed report below (PLEASE WRITE CLEARLY) Signed Date Assistant Referee's Name Union Referee's Name Union THIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL IMMEDIATELY AFTER THE COMPLETION OF THE MATCH NOTE TO PLAYER: You may challenge this Temporary Suspension within 48 hours (15s) / 12 hours (7s) of its notification to you by giving notice to the Designated Disciplinary Official and, ordinarily, specifying reasons	<urn:uuid:d4719765-9cce-4679-9f32-26fdae0da0c1>	CC-MAIN-2021-49	https://resources.world.rugby/worldrugby/document/2021/07/01/1d4b09cf-6dee-40e8-b8dc-676551eb4739/Regulation-17-App-2-Forms-1-5-.pdf	2021-12-06T08:21:19+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-49/subset=warc/part-00025-eb7089cf-762b-4a3e-8cab-20b677c0d246.c000.gz.parquet	552,093,186	3,004	eng_Latn	eng_Latn	0.864154	eng_Latn	0.982559	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 995, 1989, 4801, 5057, 7856, 8352, 9484, 10704 ]	Referee's Report on an Ordering Off OFFICIATING Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) Law Law Law Law Law Law 3.7 9.7 (d) 9.12 9.17 9.20 (c) 9.25 4.7 9.8 9.13 9.18 9.21 9.26 9.7 (a) 9.9 9.14 9.19 9.22 9.27 9.7 (b) 9.10 9.15 9.20 (a) 9.23 9.28 9.7 (c) 9.11 9.16 9.20 (b) 9.24 Please give a short description of the Law Period (of game when incident occurred): 1 st Half 2 nd Half Extra time Elapsed time in half Proximity of Official(s) to incident metres Score at that time pts pts Had any cautions been issued to a) Individual Yes No b) General Yes No Was the Player ordered off further to the report of an Assistant Referee? (If yes, a separate form may need to be completed and submitted by the assistant referee) Yes No Please give a detailed report below (PLEASE WRITE CLEARLY) Signed Date Referee's Name Union Assistant Referee's Report on an Ordering Off OFFICIATING Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) Law Law Law Law Law Law 3.7 9.7 (d) 9.12 9.17 9.20 (c) 9.25 4.7 9.8 9.13 9.18 9.21 9.26 9.7 (a) 9.9 9.14 9.19 9.22 9.27 9.7 (b) 9.10 9.15 9.20 (a) 9.23 9.28 9.7 (c) 9.11 9.16 9.20 (b) 9.24 Please give a short description of the Law Period (of game when incident occurred): 1 st Half 2 nd Half Extra time Elapsed time in half Proximity of Official(s) to incident metres Score at that time pts pts Had any cautions been issued to a) Individual Yes No b) General Yes No Please give a detailed report below (PLEASE WRITE CLEARLY) Signed Date Assistant Referee's Name Union Referee's Name Union THIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL IMMEDIATELY AFTER THE COMPLETION OF THE MATCH DISCIPLINARY Citing Commissioner Report Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) ☐ 9.11 Players must not do anything that is reckless or dangerous to others. ☐ 9.19 Dangerous play in a scrum. ☐ 9.12 A player must not physically abuse anyone. ☐ Biting ☐ Intentional contact with eye(s) ☐ Reckless contact with eye(s) ☐ Contact with eye area ☐ Punching or striking with hand, arm (including stiff arm tackle), elbow or shoulder ☐ Leading with the forearm ☐ Striking with head ☐ Striking with knee ☐ Stamping or trampling ☐ Tripping ☐ Kicking ☐ 9.20 Dangerous play in a ruck or maul. ☐ (a) A player must not charge into a ruck or maul ☐ (b) A player must not make contact with an opponent above the line of the shoulders ☐ (c) A player must not intentionally collapse a ruck or a maul ☐ 9.25 A player must not intentionally charge or obstruct an opponent who has just kicked the ball. ☐ 9.12 A player must not verbally abuse anyone. ☐ 9.27 A player must not do anything that is against the spirit of good sportsmanship. ☐ Hair pulling or grabbing ☐ Spitting at anyone ☐ Grabbing, twisting or squeezing the genitals (and/or breasts in the case of female players) ☐ Other (please specify) ☐ 9.13 A player must not tackle an opponent early, late or dangerously. Dangerous tackling includes but is not limited to tackling or attempting to tackle an opponent above the line of the shoulders even if the tackle starts below the line of the shoulders. ☐ 9.14 A player must not tackle an opponent who is not in possession of the ball. ☐ 9.15 Except in a scrum, ruck or maul, a player who is not in possession of the ball must not hold, push, charge or obstruct an opponent not in possession of the ball. ☐ 9.28 A player must not disrespect the authority of a Match Official. ☐ 9.28 A player must not verbally abuse a Match Official. ☐ 9.16 A player must not charge or knock down an opponent carrying the ball without attempting to grasp that player. ☐ 9.28 A player must not make physical contact with Match Officials. ☐ 9.17 A player must not tackle, charge pull, push or grasp an opponent whose feet are off the ground. ☐ 9.28 A player must not use threatening actions or words towards Match Officials. ☐ 9.18 A player must not lift an opponent off the ground and drop or drive that player so that their head and/or upper body make contact with the ground. ☐ 9.28 A player must not physically abuse Match Officials Period (of game when incident occurred) 1 st Half ☐ 2 nd Half ☐ Extra time ☐ Elapsed time in half Proximity of Official(s) to incident Metres Score at that time pts pts DISCIPLINARY Citing Commissioner Report Please give a detailed report below (PLEASE WRITE CLEARLY) Citing Commissioner Date THIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL PRIOR TO THE EXPIRATION OF THE CITING PERIOD Citing Commissioner Warning Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropria	te offence) ☐ 9.	11 Players must not do anything that is reckless or dangerous to others. ☐ 9.19 Dangerous play in a scrum. ☐ 9.12 A player must not physically abuse anyone. ☐ Biting ☐ Intentional contact with eye(s) ☐ Reckless contact with eye(s) ☐ Contact with eye area ☐ Punching or striking with hand, arm (including stiff arm tackle), elbow or shoulder ☐ Leading with the forearm ☐ Striking with head ☐ Striking with knee ☐ Stamping or trampling ☐ Tripping ☐ Kicking ☐ 9.20 Dangerous play in a ruck or maul. ☐ (a) A player must not charge into a ruck or maul ☐ (b) A player must not make contact with an opponent above the line of the shoulders ☐ (c) A player must not intentionally collapse a ruck or a maul ☐ 9.25 A player must not intentionally charge or obstruct an opponent who has just kicked the ball. ☐ 9.12 A player must not verbally abuse anyone. ☐ 9.27 A player must not do anything that is against the spirit of good sportsmanship. ☐ Hair pulling or grabbing ☐ Spitting at anyone ☐ Grabbing, twisting or squeezing the genitals (and/or breasts in the case of female players) ☒ Other (please specify) ☐ 9.13 A player must not tackle an opponent early, late or dangerously. Dangerous tackling includes but is not limited to tackling or attempting to tackle an opponent above the line of the shoulders even if the tackle starts below the line of the shoulders. ☐ 9.14 A player must not tackle an opponent who is not in possession of the ball. ☐ 9.15 Except in a scrum, ruck or maul, a player who is not in possession of the ball must not hold, push, charge or obstruct an opponent not in possession of the ball. ☐ 9.28 A player must not disrespect the authority of a Match Official. ☐ 9.28 A player must not verbally abuse a Match Official. ☐ 9.16 A player must not charge or knock down an opponent carrying the ball without attempting to grasp that player. ☐ 9.28 A player must not make physical contact with Match Officials. ☐ 9.17 A player must not tackle, charge pull, push or grasp an opponent whose feet are off the ground. ☐ 9.28 A player must not use threatening actions or words towards Match Officials. ☐ 9.18 A player must not lift an opponent off the ground and drop or drive that player so that their head and/or upper body make contact with the ground. ☐ 9.28 A player must not physically abuse Match Officials Period (of game when incident occurred) 1 st Half ☐ 2 nd Half ☐ Extra time ☐ Elapsed time in half Proximity of Official(s) to incident Metres Score at that time pts pts DISCIPLINARY Citing Commissioner Warning Please give a detailed report below (PLEASE WRITE CLEARLY) Citing Commissioner Date THIS REPORT MUST BE COMPLETED AND PROVIDED TO THE DESIGNATED DISCIPLINARY OFFICIAL AND SHALL FORM PART OF THE PLAYER'S DISCIPLINARY RECORD NOTE TO PLAYER: You may challenge this Citing Commissioner Warning within 48 hours (15s) / 12 hours (7s) of its notification to you by giving notice to the Designated Disciplinary Official and, ordinarily, specifying reasons Referee's Report on a Temporary Suspension OFFICIATING Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) Law Law Law Law Law Law 3.7 9.7 (d) 9.12 9.17 9.20 (c) 9.25 4.7 9.8 9.13 9.18 9.21 9.26 9.7 (a) 9.9 9.14 9.19 9.22 9.27 9.7 (b) 9.10 9.15 9.20 (a) 9.23 9.28 9.7 (c) 9.11 9.16 9.20 (b) 9.24 Please give a short description of the Law Period (of game when incident occurred): 1 st Half 2 nd Half Extra time Elapsed time in half Proximity of Official(s) to incident metres Score at that time pts pts Had any cautions been issued to a) Individual Yes No b) General Yes No Was the Player ordered off further to the report of an Assistant Referee? (If yes, a separate form may need to be completed and submitted by the assistant referee) Yes No Please give a detailed report below (PLEASE WRITE CLEARLY) Signed Date Referee's Name Union THIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL IMMEDIATELY AFTER THE COMPLETION OF THE MATCH Assistant Referee's Report on a Temporary Suspension OFFICIATING Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) Law Law Law Law Law Law 3.7 9.7 (d) 9.12 9.17 9.20 (c) 9.25 4.7 9.8 9.13 9.18 9.21 9.26 9.7 (a) 9.9 9.14 9.19 9.22 9.27 9.7 (b) 9.10 9.15 9.20 (a) 9.23 9.28 9.7 (c) 9.11 9.16 9.20 (b) 9.24 Please give a short description of the Law Period (of game when incident occurred): 1 st Half 2 nd Half Extra time Elapsed time in half Proximity of Official(s) to incident metres Score at that time pts pts Had any cautions been issued to a) Individual Yes No b) General Yes No Please give a detailed report below (PLEASE WRITE CLEARLY) Signed Date Assistant Referee's Name Union Referee's Name Union THIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL IMMEDIATELY AFTER THE COMPLETION OF THE MATCH NOTE TO PLAYER: You may challenge this Temporary Suspension within 48 hours (15s) / 12 hours (7s) of its notification to you by giving notice to the Designated Disciplinary Official and, ordinarily, specifying reasons	5,304	inside_word	appropriate	remove_one_sentence	<url> https://resources.world.rugby/worldrugby/document/2021/07/01/1d4b09cf-6dee-40e8-b8dc-676551eb4739/Regulation-17-App-2-Forms-1-5-.pdf </url> <text> Referee's Report on an Ordering Off OFFICIATING Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) Law Law Law Law Law Law 3.7 9.7 (d) 9.12 9.17 9.20 (c) 9.25 4.7 9.8 9.13 9.18 9.21 9.26 9.7 (a) 9.9 9.14 9.19 9.22 9.27 9.7 (b) 9.10 9.15 9.20 (a) 9.23 9.28 9.7 (c) 9.11 9.16 9.20 (b) 9.24 Please give a short description of the Law Period (of game when incident occurred): 1 st Half 2 nd Half Extra time Elapsed time in half Proximity of Official(s) to incident metres Score at that time pts pts Had any cautions been issued to a) Individual Yes No b) General Yes No Was the Player ordered off further to the report of an Assistant Referee? (If yes, a separate form may need to be completed and submitted by the assistant referee) Yes No Please give a detailed report below (PLEASE WRITE CLEARLY) Signed Date Referee's Name Union Assistant Referee's Report on an Ordering Off OFFICIATING Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) Law Law Law Law Law Law 3.7 9.7 (d) 9.12 9.17 9.20 (c) 9.25 4.7 9.8 9.13 9.18 9.21 9.26 9.7 (a) 9.9 9.14 9.19 9.22 9.27 9.7 (b) 9.10 9.15 9.20 (a) 9.23 9.28 9.7 (c) 9.11 9.16 9.20 (b) 9.24 Please give a short description of the Law Period (of game when incident occurred): 1 st Half 2 nd Half Extra time Elapsed time in half Proximity of Official(s) to incident metres Score at that time pts pts Had any cautions been issued to a) Individual Yes No b) General Yes No Please give a detailed report below (PLEASE WRITE CLEARLY) Signed Date Assistant Referee's Name Union Referee's Name Union THIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL IMMEDIATELY AFTER THE COMPLETION OF THE MATCH DISCIPLINARY Citing Commissioner Report Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) ☐ 9.11 Players must not do anything that is reckless or dangerous to others. ☐ 9.19 Dangerous play in a scrum. ☐ 9.12 A player must not physically abuse anyone. ☐ Biting ☐ Intentional contact with eye(s) ☐ Reckless contact with eye(s) ☐ Contact with eye area ☐ Punching or striking with hand, arm (including stiff arm tackle), elbow or shoulder ☐ Leading with the forearm ☐ Striking with head ☐ Striking with knee ☐ Stamping or trampling ☐ Tripping ☐ Kicking ☐ 9.20 Dangerous play in a ruck or maul. ☐ (a) A player must not charge into a ruck or maul ☐ (b) A player must not make contact with an opponent above the line of the shoulders ☐ (c) A player must not intentionally collapse a ruck or a maul ☐ 9.25 A player must not intentionally charge or obstruct an opponent who has just kicked the ball. ☐ 9.12 A player must not verbally abuse anyone. ☐ 9.27 A player must not do anything that is against the spirit of good sportsmanship. ☐ Hair pulling or grabbing ☐ Spitting at anyone ☐ Grabbing, twisting or squeezing the genitals (and/or breasts in the case of female players) ☐ Other (please specify) ☐ 9.13 A player must not tackle an opponent early, late or dangerously. Dangerous tackling includes but is not limited to tackling or attempting to tackle an opponent above the line of the shoulders even if the tackle starts below the line of the shoulders. ☐ 9.14 A player must not tackle an opponent who is not in possession of the ball. ☐ 9.15 Except in a scrum, ruck or maul, a player who is not in possession of the ball must not hold, push, charge or obstruct an opponent not in possession of the ball. ☐ 9.28 A player must not disrespect the authority of a Match Official. ☐ 9.28 A player must not verbally abuse a Match Official. ☐ 9.16 A player must not charge or knock down an opponent carrying the ball without attempting to grasp that player. ☐ 9.28 A player must not make physical contact with Match Officials. ☐ 9.17 A player must not tackle, charge pull, push or grasp an opponent whose feet are off the ground. ☐ 9.28 A player must not use threatening actions or words towards Match Officials. ☐ 9.18 A player must not lift an opponent off the ground and drop or drive that player so that their head and/or upper body make contact with the ground. ☐ 9.28 A player must not physically abuse Match Officials Period (of game when incident occurred) 1 st Half ☐ 2 nd Half ☐ Extra time ☐ Elapsed time in half Proximity of Official(s) to incident Metres Score at that time pts pts DISCIPLINARY Citing Commissioner Report Please give a detailed report below (PLEASE WRITE CLEARLY) Citing Commissioner Date THIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL PRIOR TO THE EXPIRATION OF THE CITING PERIOD Citing Commissioner Warning Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropria<cursor_is_here>11 Players must not do anything that is reckless or dangerous to others. ☐ 9.19 Dangerous play in a scrum. ☐ 9.12 A player must not physically abuse anyone. ☐ Biting ☐ Intentional contact with eye(s) ☐ Reckless contact with eye(s) ☐ Contact with eye area ☐ Punching or striking with hand, arm (including stiff arm tackle), elbow or shoulder ☐ Leading with the forearm ☐ Striking with head ☐ Striking with knee ☐ Stamping or trampling ☐ Tripping ☐ Kicking ☐ 9.20 Dangerous play in a ruck or maul. ☐ (a) A player must not charge into a ruck or maul ☐ (b) A player must not make contact with an opponent above the line of the shoulders ☐ (c) A player must not intentionally collapse a ruck or a maul ☐ 9.25 A player must not intentionally charge or obstruct an opponent who has just kicked the ball. ☐ 9.12 A player must not verbally abuse anyone. ☐ 9.27 A player must not do anything that is against the spirit of good sportsmanship. ☐ Hair pulling or grabbing ☐ Spitting at anyone ☐ Grabbing, twisting or squeezing the genitals (and/or breasts in the case of female players) ☒ Other (please specify) ☐ 9.13 A player must not tackle an opponent early, late or dangerously. Dangerous tackling includes but is not limited to tackling or attempting to tackle an opponent above the line of the shoulders even if the tackle starts below the line of the shoulders. ☐ 9.14 A player must not tackle an opponent who is not in possession of the ball. ☐ 9.15 Except in a scrum, ruck or maul, a player who is not in possession of the ball must not hold, push, charge or obstruct an opponent not in possession of the ball. ☐ 9.28 A player must not disrespect the authority of a Match Official. ☐ 9.28 A player must not verbally abuse a Match Official. ☐ 9.16 A player must not charge or knock down an opponent carrying the ball without attempting to grasp that player. ☐ 9.28 A player must not make physical contact with Match Officials. ☐ 9.17 A player must not tackle, charge pull, push or grasp an opponent whose feet are off the ground. ☐ 9.28 A player must not use threatening actions or words towards Match Officials. ☐ 9.18 A player must not lift an opponent off the ground and drop or drive that player so that their head and/or upper body make contact with the ground. ☐ 9.28 A player must not physically abuse Match Officials Period (of game when incident occurred) 1 st Half ☐ 2 nd Half ☐ Extra time ☐ Elapsed time in half Proximity of Official(s) to incident Metres Score at that time pts pts DISCIPLINARY Citing Commissioner Warning Please give a detailed report below (PLEASE WRITE CLEARLY) Citing Commissioner Date THIS REPORT MUST BE COMPLETED AND PROVIDED TO THE DESIGNATED DISCIPLINARY OFFICIAL AND SHALL FORM PART OF THE PLAYER'S DISCIPLINARY RECORD NOTE TO PLAYER: You may challenge this Citing Commissioner Warning within 48 hours (15s) / 12 hours (7s) of its notification to you by giving notice to the Designated Disciplinary Official and, ordinarily, specifying reasons Referee's Report on a Temporary Suspension OFFICIATING Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) Law Law Law Law Law Law 3.7 9.7 (d) 9.12 9.17 9.20 (c) 9.25 4.7 9.8 9.13 9.18 9.21 9.26 9.7 (a) 9.9 9.14 9.19 9.22 9.27 9.7 (b) 9.10 9.15 9.20 (a) 9.23 9.28 9.7 (c) 9.11 9.16 9.20 (b) 9.24 Please give a short description of the Law Period (of game when incident occurred): 1 st Half 2 nd Half Extra time Elapsed time in half Proximity of Official(s) to incident metres Score at that time pts pts Had any cautions been issued to a) Individual Yes No b) General Yes No Was the Player ordered off further to the report of an Assistant Referee? (If yes, a separate form may need to be completed and submitted by the assistant referee) Yes No Please give a detailed report below (PLEASE WRITE CLEARLY) Signed Date Referee's Name Union THIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL IMMEDIATELY AFTER THE COMPLETION OF THE MATCH Assistant Referee's Report on a Temporary Suspension OFFICIATING Player's Union Player Number Full Name of Player Venue Date of Incident Match Result pts pts Nature of Offence: (Please indicate appropriate offence) Law Law Law Law Law Law 3.7 9.7 (d) 9.12 9.17 9.20 (c) 9.25 4.7 9.8 9.13 9.18 9.21 9.26 9.7 (a) 9.9 9.14 9.19 9.22 9.27 9.7 (b) 9.10 9.15 9.20 (a) 9.23 9.28 9.7 (c) 9.11 9.16 9.20 (b) 9.24 Please give a short description of the Law Period (of game when incident occurred): 1 st Half 2 nd Half Extra time Elapsed time in half Proximity of Official(s) to incident metres Score at that time pts pts Had any cautions been issued to a) Individual Yes No b) General Yes No Please give a detailed report below (PLEASE WRITE CLEARLY) Signed Date Assistant Referee's Name Union Referee's Name Union THIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL IMMEDIATELY AFTER THE COMPLETION OF THE MATCH NOTE TO PLAYER: You may challenge this Temporary Suspension within 48 hours (15s) / 12 hours (7s) of its notification to you by giving notice to the Designated Disciplinary Official and, ordinarily, specifying reasons </text>	[ { "content": "<url>\nhttps://resources.world.rugby/worldrugby/document/2021/07/01/1d4b09cf-6dee-40e8-b8dc-676551eb4739/Regulation-17-App-2-Forms-1-5-.pdf\n</url>\n<text>\nReferee's Report on an Ordering Off\n\nOFFICIATING\n\nPlayer's Union\n\nPlayer Number\n\nFull Name of Player\n\nVenue\n\nDate of Incident\n\nMatch Result\n\npts\n\npts\n\nNature of Offence: (Please indicate appropriate offence)\n\nLaw\n\nLaw\n\nLaw\n\nLaw\n\nLaw\n\nLaw\n\n3.7\n\n9.7 (d)\n\n9.12\n\n9.17\n\n9.20 (c)\n\n9.25\n\n4.7\n\n9.8\n\n9.13\n\n9.18\n\n9.21\n\n9.26\n\n9.7 (a)\n\n9.9\n\n9.14\n\n9.19\n\n9.22\n\n9.27\n\n9.7 (b)\n\n9.10\n\n9.15\n\n9.20 (a)\n\n9.23\n\n9.28\n\n9.7 (c)\n\n9.11\n\n9.16\n\n9.20 (b)\n\n9.24\n\nPlease give a short description of the Law\n\nPeriod (of game when incident occurred): 1 st Half\n\n2 nd Half\n\nExtra time\n\nElapsed time in half\n\nProximity of Official(s) to incident\n\nmetres\n\nScore at that time\n\npts\n\npts\n\nHad any cautions been issued to a) Individual Yes\n\nNo\n\nb) General\n\nYes\n\nNo\n\nWas the Player ordered off further to the report of an Assistant Referee? (If yes, a separate form may need to be completed and submitted by the assistant referee)\n\nYes\n\nNo\n\nPlease give a detailed report below (PLEASE WRITE CLEARLY)\n\nSigned\n\nDate\n\nReferee's Name\n\nUnion\n\nAssistant Referee's Report on an Ordering Off\n\nOFFICIATING\n\nPlayer's Union\n\nPlayer Number\n\nFull Name of Player\n\nVenue\n\nDate of Incident\n\nMatch Result\n\npts\n\npts\n\nNature of Offence: (Please indicate appropriate offence)\n\nLaw\n\nLaw\n\nLaw\n\nLaw\n\nLaw\n\nLaw\n\n3.7\n\n9.7 (d)\n\n9.12\n\n9.17\n\n9.20 (c)\n\n9.25\n\n4.7\n\n9.8\n\n9.13\n\n9.18\n\n9.21\n\n9.26\n\n9.7 (a)\n\n9.9\n\n9.14\n\n9.19\n\n9.22\n\n9.27\n\n9.7 (b)\n\n9.10\n\n9.15\n\n9.20 (a)\n\n9.23\n\n9.28\n\n9.7 (c)\n\n9.11\n\n9.16\n\n9.20 (b)\n\n9.24\n\nPlease give a short description of the Law\n\nPeriod (of game when incident occurred): 1 st Half\n\n2 nd Half\n\nExtra time\n\nElapsed time in half\n\nProximity of Official(s) to incident\n\nmetres\n\nScore at that time\n\npts\n\npts\n\nHad any cautions been issued to a) Individual Yes\n\nNo\n\nb) General\n\nYes\n\nNo\n\nPlease give a detailed report below (PLEASE WRITE CLEARLY)\n\nSigned\n\nDate\n\nAssistant Referee's Name\n\nUnion\n\nReferee's Name\n\nUnion\n\nTHIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL IMMEDIATELY AFTER THE COMPLETION OF THE MATCH\n\nDISCIPLINARY\n\nCiting Commissioner Report\n\nPlayer's Union\n\nPlayer Number\n\nFull Name of Player\n\nVenue\n\nDate of Incident\n\nMatch Result\n\npts\n\npts\n\nFull Name of Player\n\nVenue\n\nDate of Incident\n\nMatch Result\n\npts\n\npts\n\nNature of Offence: (Please indicate appropriate offence)\n\n☐ 9.11 Players must not do anything that is reckless or dangerous to others.\n\n☐ 9.19 Dangerous play in a scrum.\n\n☐ 9.12 A player must not physically abuse anyone.\n\n☐ Biting\n\n☐ Intentional contact with eye(s)\n\n☐ Reckless contact with eye(s)\n\n☐ Contact with eye area\n\n☐ Punching or striking with hand, arm (including stiff arm tackle), elbow or shoulder\n\n☐ Leading with the forearm\n\n☐ Striking with head\n\n☐ Striking with knee\n\n☐ Stamping or trampling\n\n☐ Tripping\n\n☐ Kicking\n\n☐ 9.20 Dangerous play in a ruck or maul.\n\n☐ (a) A player must not charge into a ruck or maul\n\n☐ (b) A player must not make contact with an opponent above the line of the shoulders\n\n☐ (c) A player must not intentionally collapse a ruck or a maul\n\n☐ 9.25 A player must not intentionally charge or obstruct an opponent who has just kicked the ball.\n\n☐ 9.12 A player must not verbally abuse anyone.\n\n☐ 9.27 A player must not do anything that is against the spirit of good sportsmanship.\n\n☐ Hair pulling or grabbing\n\n☐ Spitting at anyone\n\n☐ Grabbing, twisting or squeezing the genitals (and/or breasts in the case of female players)\n\n☐ Other (please specify)\n\n☐ 9.13 A player must not tackle an opponent early, late or dangerously. Dangerous tackling includes but is not limited to tackling or attempting to tackle an opponent above the line of the shoulders even if the tackle starts below the line of the shoulders.\n\n☐ 9.14 A player must not tackle an opponent who is not in possession of the ball.\n\n☐ 9.15 Except in a scrum, ruck or maul, a player who is not in possession of the ball must not hold, push, charge or obstruct an opponent not in possession of the ball.\n\n☐ 9.28 A player must not disrespect the authority of a Match Official.\n\n☐ 9.28 A player must not verbally abuse a Match Official.\n\n☐ 9.16 A player must not charge or knock down an opponent carrying the ball without attempting to grasp that player.\n\n☐ 9.28 A player must not make physical contact with Match Officials.\n\n☐ 9.17 A player must not tackle, charge pull, push or grasp an opponent whose feet are off the ground.\n\n☐ 9.28 A player must not use threatening actions or words towards Match Officials.\n\n☐ 9.18 A player must not lift an opponent off the ground and drop or drive that player so that their head and/or upper body make contact with the ground.\n\n☐ 9.28 A player must not physically abuse Match Officials\n\nPeriod (of game when incident occurred)\n\n1 st Half ☐\n\n2 nd Half ☐\n\nExtra time\n\n☐\n\nElapsed time in half\n\nProximity of Official(s) to incident\n\nMetres\n\nScore at that time\n\npts\n\npts\n\nDISCIPLINARY\n\nCiting Commissioner Report\n\nPlease give a detailed report below (PLEASE WRITE CLEARLY)\n\nCiting Commissioner\n\nDate\n\nTHIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL PRIOR TO THE EXPIRATION OF THE CITING PERIOD\n\nCiting Commissioner Warning\n\nPlayer's Union\n\nPlayer Number\n\nFull Name of Player\n\nVenue\n\nDate of Incident\n\nMatch Result\n\npts\n\npts\n\nFull Name of Player\n\nVenue\n\nDate of Incident\n\nMatch Result\n\npts\n\npts\n\nNature of Offence: (Please indicate appropria<cursor_is_here>11 Players must not do anything that is reckless or dangerous to others.\n\n☐ 9.19 Dangerous play in a scrum.\n\n☐ 9.12 A player must not physically abuse anyone.\n\n☐ Biting\n\n☐ Intentional contact with eye(s)\n\n☐ Reckless contact with eye(s)\n\n☐ Contact with eye area\n\n☐ Punching or striking with hand, arm (including stiff arm tackle), elbow or shoulder\n\n☐ Leading with the forearm\n\n☐ Striking with head\n\n☐ Striking with knee\n\n☐ Stamping or trampling\n\n☐ Tripping\n\n☐ Kicking\n\n☐ 9.20 Dangerous play in a ruck or maul.\n\n☐ (a) A player must not charge into a ruck or maul\n\n☐ (b) A player must not make contact with an opponent above the line of the shoulders\n\n☐ (c) A player must not intentionally collapse a ruck or a maul\n\n☐ 9.25 A player must not intentionally charge or obstruct an opponent who has just kicked the ball.\n\n☐ 9.12 A player must not verbally abuse anyone.\n\n☐ 9.27 A player must not do anything that is against the spirit of good sportsmanship.\n\n☐ Hair pulling or grabbing\n\n☐ Spitting at anyone\n\n☐ Grabbing, twisting or squeezing the genitals (and/or breasts in the case of female players)\n\n☒ Other (please specify)\n\n☐ 9.13 A player must not tackle an opponent early, late or dangerously. Dangerous tackling includes but is not limited to tackling or attempting to tackle an opponent above the line of the shoulders even if the tackle starts below the line of the shoulders.\n\n☐ 9.14 A player must not tackle an opponent who is not in possession of the ball.\n\n☐ 9.15 Except in a scrum, ruck or maul, a player who is not in possession of the ball must not hold, push, charge or obstruct an opponent not in possession of the ball.\n\n☐ 9.28 A player must not disrespect the authority of a Match Official.\n\n☐ 9.28 A player must not verbally abuse a Match Official.\n\n☐ 9.16 A player must not charge or knock down an opponent carrying the ball without attempting to grasp that player.\n\n☐ 9.28 A player must not make physical contact with Match Officials.\n\n☐ 9.17 A player must not tackle, charge pull, push or grasp an opponent whose feet are off the ground.\n\n☐ 9.28 A player must not use threatening actions or words towards Match Officials.\n\n☐ 9.18 A player must not lift an opponent off the ground and drop or drive that player so that their head and/or upper body make contact with the ground.\n\n☐ 9.28 A player must not physically abuse Match Officials\n\nPeriod (of game when incident occurred)\n\n1 st Half ☐\n\n2 nd Half ☐\n\nExtra time\n\n☐\n\nElapsed time in half\n\nProximity of Official(s) to incident\n\nMetres\n\nScore at that time\n\npts\n\npts\n\nDISCIPLINARY\n\nCiting Commissioner Warning\n\nPlease give a detailed report below (PLEASE WRITE CLEARLY)\n\nCiting Commissioner\n\nDate\n\nTHIS REPORT MUST BE COMPLETED AND PROVIDED TO THE DESIGNATED DISCIPLINARY OFFICIAL AND SHALL FORM PART OF THE PLAYER'S DISCIPLINARY RECORD\n\nNOTE TO PLAYER: You may challenge this Citing Commissioner Warning within 48 hours (15s) / 12 hours (7s) of its notification to you by giving notice to the Designated Disciplinary Official and, ordinarily, specifying reasons\n\nReferee's Report on a Temporary Suspension\n\nOFFICIATING\n\nPlayer's Union\n\nPlayer Number\n\nFull Name of Player\n\nVenue\n\nDate of Incident\n\nMatch Result\n\npts\n\npts\n\nNature of Offence: (Please indicate appropriate offence)\n\nLaw\n\nLaw\n\nLaw\n\nLaw\n\nLaw\n\nLaw\n\n3.7\n\n9.7 (d)\n\n9.12\n\n9.17\n\n9.20 (c)\n\n9.25\n\n4.7\n\n9.8\n\n9.13\n\n9.18\n\n9.21\n\n9.26\n\n9.7 (a)\n\n9.9\n\n9.14\n\n9.19\n\n9.22\n\n9.27\n\n9.7 (b)\n\n9.10\n\n9.15\n\n9.20 (a)\n\n9.23\n\n9.28\n\n9.7 (c)\n\n9.11\n\n9.16\n\n9.20 (b)\n\n9.24\n\nPlease give a short description of the Law\n\nPeriod (of game when incident occurred): 1 st Half\n\n2 nd Half\n\nExtra time\n\nElapsed time in half\n\nProximity of Official(s) to incident\n\nmetres\n\nScore at that time\n\npts\n\npts\n\nHad any cautions been issued to a) Individual Yes\n\nNo\n\nb) General\n\nYes\n\nNo\n\nWas the Player ordered off further to the report of an Assistant Referee? (If yes, a separate form may need to be completed and submitted by the assistant referee)\n\nYes\n\nNo\n\nPlease give a detailed report below (PLEASE WRITE CLEARLY)\n\nSigned\n\nDate\n\nReferee's Name\n\nUnion\n\nTHIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL IMMEDIATELY AFTER THE COMPLETION OF THE MATCH\n\nAssistant Referee's Report on a Temporary Suspension\n\nOFFICIATING\n\nPlayer's Union\n\nPlayer Number\n\nFull Name of Player\n\nVenue\n\nDate of Incident\n\nMatch Result\n\npts\n\npts\n\nNature of Offence: (Please indicate appropriate offence)\n\nLaw\n\nLaw\n\nLaw\n\nLaw\n\nLaw\n\nLaw\n\n3.7\n\n9.7 (d)\n\n9.12\n\n9.17\n\n9.20 (c)\n\n9.25\n\n4.7\n\n9.8\n\n9.13\n\n9.18\n\n9.21\n\n9.26\n\n9.7 (a)\n\n9.9\n\n9.14\n\n9.19\n\n9.22\n\n9.27\n\n9.7 (b)\n\n9.10\n\n9.15\n\n9.20 (a)\n\n9.23\n\n9.28\n\n9.7 (c)\n\n9.11\n\n9.16\n\n9.20 (b)\n\n9.24\n\nPlease give a short description of the Law\n\nPeriod (of game when incident occurred): 1 st Half\n\n2 nd Half\n\nExtra time\n\nElapsed time in half\n\nProximity of Official(s) to incident\n\nmetres\n\nScore at that time\n\npts\n\npts\n\nHad any cautions been issued to a) Individual Yes\n\nNo\n\nb) General\n\nYes\n\nNo\n\nPlease give a detailed report below (PLEASE WRITE CLEARLY)\n\nSigned\n\nDate\n\nAssistant Referee's Name\n\nUnion\n\nReferee's Name\n\nUnion\n\nTHIS REPORT MUST BE COMPLETED AND PROVIDED TO A DESIGNATED DISCIPLINARY OFFICIAL IMMEDIATELY AFTER THE COMPLETION OF THE MATCH\n\nNOTE TO PLAYER: You may challenge this Temporary Suspension within 48 hours (15s) / 12 hours (7s) of its notification to you by giving notice to the Designated Disciplinary Official and, ordinarily, specifying reasons\n</text>\n", "role": "user" }, { "content": "te offence)\n\n☐ 9.", "role": "assistant" } ]
CODEN [USA]: IAJPBB ISSN: 2349-7750 INDO AMERICAN JOURNAL OF PHARMACEUTICAL SCIENCES http://doi.org/10.5281/zenodo.1002943 Available online at: http://www.iajps.com Research Article FORMULATION AND EVALUATION OF SUSTAINED RELEASE MICROSPHERES OF ROSIN CONTAINING ATORVASTATIN CALCIUM Gayke Amol U * , Aglawe Sachin B, Thakare Girish, Kale Nitin, Gujarathi Tanmay, jagdale Ashok, Khandagle Sandip S.N.D. College of Pharmacy, Babhulgaon, Yeola, Nashik, India. Abstract: Atorvastatin Calcium was microencapsulated using rosin by o/w emulsion solvent evaporation technique. The effect of three formulation variables including the drug:polymer ratio, emulsifier (polyvinyl alcohol) concentration and organic solvent (dichloromethane) volume were examined. The prepared batches were characterized for microspheres particle size distribution, encapsulation efficiency and in vitro release behavior. The study reveals that drug:polymer ratio had a considerable effect on the entrapment efficiency, however particle size distribution of microspheres was more dependent on the volume of dichloromethane and polyvinyl alcohol concentration rather than on the drug: polymer ratio. Drug, polymer concentrations were varied to obtain optimum release profile for sustaining the action of the drug. Keywords: Atorvastatin Calcium. Rosin. Microspheres. Sustained release Corresponding author: Gayke Amol U, S.N.D. College of Pharmacy, Babhulgaon, Yeola, Nashik, India Please cite this article in press as Gayke Amol U,et al, Formulation and Evaluation of Sustained Release Microspheres of Rosin Containing Atorvastatin Calcium, Indo Am. J. P. Sci, 2017; 4(10). www.iajps.com INTRODUCTION: Conventional oral drug administration does not usually provide rate-controlled release or target specificity. In many cases, conventional drug delivery provides sharp increase in drug concentration often achieving toxic level and following a relatively short period at the therapeutic level of the drug concentration eventually drops off until re-administration. In order to obtain maximum therapeutic efficacy, it becomes necessary to deliver an agent to the target tissue in the optimal amount for the required period of time, thereby causing little toxicity and minimal side effects [1,2]. Desired drug release can be provided by rate-controlling membranes or by implanted biodegradable polymers containing dispersed medication. Microparticulate drug delivery systems are considered and accepted as a reliable one to deliver the drug to the target site with specificity, to maintain the desired concentration at the site of interest without untoward effects [2]. Microencapsulation is a useful method which prolongs the duration of drug effect significantly and improves patient compliance. Eventually the total dose and few adverse reactions may be reduced since a steady plasma concentration is maintained [3]. In recent years much research in drug delivery has been focused on degradable polymer microspheres. Administration of medication via such systems is advantageous because microspheres can be ingested or injected, can be tailored for desired release profiles and in some cases it can provide organ-targeted release [4-7]. The meaning of microencapsulation is converting liquids to solids, altering colloidal and surface properties, providing environmental protection and controlling the release characteristics by using the coating materials.Emulsion solvent [5], phase-separation method10 and spray drying method [8] are commonly used for the preparation of microspheres. The success of any microencapsulation method depends on many factors such as the drug solubility, partition co-efficiency, polymer composition, molecular weight etc. Among the various microencapsulation methods, emulsion solvent evaporation technique is often widely used to prepare microcapsules of water insoluble drugs (within the water insoluble polymer). Microspheres are formed by the evaporation of an organic solvent from dispersed oil droplets containing both polymer anddrug[4,7,9,10,11]. Atorvastatin calcium is a HMG-CoA reductase inhibitor used in the treatment of hyperlipidemia. It has an oral bioavailability of less than 12% after a 40mg oral dose. It also undergoes high first pass metabolism. It is highly soluble in acidic pH and absorbed more in the upper part of the GIT. The major hurdle of atorvastatin is rate limited bioavailability. The main objective of the present work is to formulate microspheres of atorvastatin. The microspheres of atorvastatin may improve solubility and higher dissolution rate by decreasing particle size and increasing surface area. They may increase the patient compliance by significantly enhancement in oral bioavailability of the drug. MATERIALS AND METHODS: Materials Atorvastatin calcium candida health pharmaceutical; Eudragit S100 Evonik Industries. Polyvinyl alcohol (PVA - MW 1, 30,000) from SD fine chemicals, Rosin from Yucca Enterprises, Dombivilli, and Thane, India were used in the study. Dichloromethane, Potassium dihydrogen phosphate, Sodium hydroxide and Camphor were procured from S.D. Fine Chemicals, Mumbai, India. Method Microspheres of Atorvastatin calcium were prepared based on o/w emulsion solvent evaporation technique by using rosin as a polymer. Different batches of microspheres were prepared by dissolving the polymer and the drug in dichloromethane and then adding this oil phase in the aqueous phase (100 ml) containing various percentages of PVA as the emulsifying agent; the mixture was emulsified by constant stirring at 400 rpm for 4 h by using a propeller stirrer (Remi, India). The dispersed drug and polymer solution was immediately transformed into fine droplets, which subsequently solidified into rigid microspheres due to the solvent evaporation. The particles were collected by filtration, washed and dried in vacuum desiccators and characterized Page 3504 Table 1: Composition of Atorvastatin calcium loaded microspheres \| Ingredients (mg) \| F1 \| F2 \| F3 \| F4 \| F5 \| F6 \| \|---\|---\|---\|---\|---\|---\|---\| \| Atorvastatin calcium \| 200 \| 400 \| 600 \| 200 \| 200 \| 200 \| \| Rosin \| 200 \| 200 \| 200 \| 400 \| 600 \| 400 \| \| PVA \| 0.25% \| 0.25% \| 0.25% \| 0.25% \| 0.25% \| 0.25% \| \| Dichloromethane \| 10 ml \| 10 ml \| 10 ml \| 10 ml \| 10 ml \| 10 ml \| \| Water \| 100 ml \| 100 ml \| 100 ml \| 100 ml \| 100 ml \| 100 ml \| Drug-Excipients Compatibility Studies Differential Scanning Calorimetery (DSC) DEE = (Pc / Tc) × 100 The DSC measurements were performed on a differential scanning calorimeter with a thermal analyzer. All accurately weighed samples were placed in sealed aluminum pans, before heating under nitrogen flow (20ml/min) at a scanning rate of 10 °C min−1 from 25 to 250 °C. An empty aluminum pan was used as reference. Drug polymer Interaction (FTIR) study Fourier-transform infrared (FT-IR) spectra were obtained by using shimadzu FTIR- 8400 Spectrophotometer. The samples were previously ground and mixed thoroughly with potassium bromide, an infrared transparent matrix, at 1:5 (Sample/KBr) ratio, respectively. The KBr discs were prepared by compressing the powders at a pressure of 5 tons for 5 min in a hydraulic press. Percentage Yield The yield of microspheres was determined by comparing the whole weight of microspheres formed against the combined weight of the copolymer and drug. Mass of microspheres obtained Percentage yield = X 100 Total weight of drug and polymer used Particle size and size distribution The microspheres were suspended in liquid paraffin and examined using an optical microscope. Laser diffraction technique (Malvern Instruments Ltd. Malvern, UK) was used to study the size distribution of the microspheres. The dispersant used was cyclohexane and the average particle size was calculated and expressed in microns. Drug Entrapment efficiency The drug entrapment efficiency (DEE) was calculated by the following formula Here, Pc is practical content, Tc is the theoretical content. X-ray Diffraction Studies (XRD) X-ray diffraction analysis was performed using Bruker axs diffractometer D 8Advanced model (high beam monochromatic) using Cu radiation which was generated at 40 Kv and 40 mA at 1.540600A. The rate of the scanning was 0.30°C /min. Drug Content Determination ATR spherical agglomerates equivalent to 40 mg of ATR were accurately weighed, crushed and transferred to a 10 mL volumetric flask. To this, 50 mL of methanol was added and sample was sonicated for 20 min so as todissolve the drug and the polymer. The volume was made up to 100 mL withmethanol and filtered through a 0.45 μm filters. The filtrate was diluted withmethanol and analyzed at 246.5 nm by uv-spectrophotometer. Solubility Study The apparent solubility of Spherical crystals of Atorvastatin calcium determined In water.Each Spherical crystals in excess of drug equivalent to (40 mg) was added to 10 ml of solvent in glass vials with rubber closers. Then the vials were kept on a shaker incubator maintained at 37 ± 0.5 °C for 24 h. After shaking, the vials were kept in an incubator at 37 ± 0.5 °C for equilibrium for 10h. The solution was then filtered through 0.45 µm Millipore, filtered and the filtrate was assayed spectrophotometrically at 246.5 nm. In-vitro release studies In-vitro dissolution studies were carried out with spherical agglomerates. Each test was carried out in United States Pharmacopoeia dissolution apparatus II (Paddle) consisted of 900 ml , 0.1 N HCl maintained at 37.0 ± 0.5°C and stirring at 75 rpm. An accurately weighed quantity of each sample equivalent to 40 mg of Atorvastatin Calcium was subjected to the test. Samples 5 ml were withdrawn at predetermined time interval (5, 10, 15, 20 & 30 minutes) and immediately replace with the equal volumes of dissolution medium.. Diluted samples were analyzed at 246.5 nm by uv-spectrophotometer. Flow Property Flowability of ATR and its spherical agglomerates were determined in terms of the following parameters,Bulk density,Tapped density, Hausner ratio,Carr's index and Angle of repose. RESULTS AND DISCUSSION: Differential Scanning Calorimetery (DSC) The pure drug Atorvastatin calcium shown as an endothermic peak at 189.14oC. The peak neither is nor shifted in the case of DSC of the Atorvastatin calcium microspheres formulation containing Atorvastatin calcium. The DSC of physical mixture of the Losartan Potassium showed an endothermic peak at 189.14oC. The DSC spectra as shown in Fig 1 & 2. Drug polymer Interaction (FTIR) study From the spectra Atorvastatin calcium and physical mixture of Atorvastatin calcium, it was observed that all characteristic peaks of Losartan potassium were present in the combination spectrum, thus indicating compatibility of the Losartan potassium and polymer. Table 2 Characteristics of Atorvastatin calcium microspheres \| F1 \| 45.0 \| 112±0.02 \| 48.32 \| 78.41±0.01 \| \|---\|---\|---\|---\|---\| \| F2 \| 50 \| 118±0.04 \| 52.32 \| 80.30±0.01 \| \| F3 \| 64.1 \| 140±0.06 \| 65.12 \| 83.31±0.01 \| \| F4 \| 80 \| 167±0.02 \| 81.23 \| 85.21±0.01 \| \| F5 \| 90.83 \| 171±0.01 \| 92.36 \| 94.12±0.01 \| \| F6 \| 85 \| 172±0.03 \| 86 \| 91.14±0.01 \| \| F7 \| 91.5 \| 174±0.07 \| 92.36 \| 93.16±0.01 \| SEM studies The microspheres are almost spherical with smooth surface. Fig 1: SEM photographs of Atorvastatin calcium microspheres Table 3: In-vitro release studies \| Time (hrs.) \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| F1 \| F2 \| F3 \| F4 \| F5 \| F6 \| \| 1 \| 50.20±0.9 \| 49.2±0.6 \| 44.31±0.3 \| 46.21±0.9 \| 43.21±0.6 \| 42.13±0.3 \| \| 3 \| 55.10±0.3 \| 54.21±0.2 \| 53.20±0.9 \| 52.41±0.4 \| 51.23±0.5 \| 49.21±0.5 \| \| 6 \| 60.01±0.34 \| 59.01±0.1 \| 57.23±0.3 \| 56.14±0.3 \| 55.32±0.4 \| 54.25±0.5 \| \| 9 \| 68.87±0.32 \| 63.02±0.69 \| 61.35±0.2 \| 60.54±0.1 \| 59.24±0.2 \| 58.36±0.5 \| \| 12 \| 75.58±0.7 \| 67.58±0.6 \| 63.21±0.7 \| 62.30±0.5 \| 61.25±0.2 \| 6887±0.6 \| \| 15 \| 79.58±0.7 \| 72.71±0.1 \| 71.03±0.9 \| 70.21±0.2 \| 69.58±.0.5 \| 73.21±0.4 \| \| 18 \| 88.4±0.4 \| 77.15±0.52 \| 76.8±0.1 \| 75.21±0.3 \| 74.21± \| 78.89±0.4 \| \| 21 \| 98.52±0.2 \| 84.14±0.3 \| 85.74±0.3 \| 84.33±0.4 \| 83.25±0.5 \| 88.54±0.4 \| \| 24 \| --- \| 91.23±0.2 \| 92.69±0.5 \| 91.36±0.3 \| 89.72±0.3 \| 98.31±0.4 \| In order to improve the release rate of drug from microspheres, 2.0 % w/v of camphor was included in the formulations. The composition of the formulation is shown in Table 1. Camphor was dissolved in the polymer solution, its forms uniform distribution in the polymer solution. Upon microencapsulation the particles will be getting encapsulated by polymer along with camphor. On drying due to volatile nature camphor may get evaporated and forms pores on the surface of the microspheres, through which drug could easily diffuse to the aqueous phase or dissolution medium. Microspheres were prepared by the emulsion solvent evaporation method and evaluated. In vitro release studies for the prepared microspheres were carried out .The release results are shown in table 3. Formulation F6 showed better release rate than F7. The reason for this retarded drug release may be due to the hydrophobic nature of the polymer, which prevents the penetration of the dissolution medium into the microspheres leading to slower dissolution and diffusion of the drug molecules from the microspheres. et al Table 5: Flow Properties of Losartan Potassium Microspheres \| Formulation code (Avg. ± S.D.) \| Bulk density (Avg. ± S.D.) \| Tapped density (Avg. ± S.D.) \| Compressibility index (Avg. ± S.D.) \| Haussner’s ratio (Avg. ± S.D.) \| \|---\|---\|---\|---\|---\| \| F1 \| 0.426 ± 0.02 \| 0.349 ± 0.01 \| 3.702 ± 0.02 \| 1.064 ± 0.01 \| \| F2 \| 0.232 ± 0.01 \| 0.389 ± 0.03 \| 4.349 ± 0.03 \| 1.059 ± 0.01 \| \| F3 \| 0.310 ± 0.02 \| 0.329 ± 0.01 \| 3.601 ± 0.01 \| 1.038 ± 0.02 \| \| F4 \| 0.416 ± 0.01 \| 0.355 ± 0.02 \| 3.875 ± 0.01 \| 1.040 ± 0.01 \| \| F5 \| 0.326± 0.02 \| 0.387 ± 0.02 \| 3.659 ± 0.02 \| 1.045 ± 0.01 \| \| F6 \| 0.327 ± 0.02 \| 0.431 ± 0.01 \| 3.071 ± 0.02 \| 1.087 ± 0.01 \| \| F7 \| 0.340 ± 0.03 \| 0.375 ± 0.04 \| 4.129 ± 0.02 \| 1.084 ± 0.02 \| CONCLUSION: This study shows that o/w emulsion solvent evaporation can be used as a simple method to prepare Aceclofenac sustained release microspheres by suing rosin as an encapsulating polymer. The drug entrapment efficiency of prepared microspheres were affected only by the drug:polymer ratio. The emulsifier concentration and organic phase volume influenced the particle size distribution of microspheres. Based on the above findings, it was observed that formulation F6 showed optimum release characteristics. The release rate of drug from the microspheres could be properly controlled for about 24h. Appropriate variation in the proportions of drug; polymer and stabilizer can lead to a product with the desired controlled release features REFERENCES: 1. Jayakrishnan A, Latha MS. Biodegradable polymeric microspheres as drug carriers. In: Jain NK, Editor. Controlled and Novel drug delivery. New Delhi: CBS publishers. 1997. pp 236-255. 2. Vyas SP, Khar RK. Proteins and peptides delivery considerations. In: Vyas SP, Khar RK, Editor. Controlled drug delivery concepts and advances. 1st ed. New Delhi: CBS publisher and Distributor. 2002; pp 549. 3. Fu, X, Ping Q, Gao Y. Effects of formulation factors on encapsulation efficiency and release behavior in vitro of huperzine A-PLGA microspheres. J Microencap 2005; 22(7): 705-714. 4. Jalil R, Nixon JR. Biodegradable poly (lactic acid) and poly(lactide-co-glycocide) microcapsules: problems associated with preparative techniques and release properties. J Microencap 1990b; 7: 297–325. 5. Kawaguchi H. Functional polymer microspheres. Prog Polym Sci 2000; 25: 1171–1210. 6. Mueller RH, Jacobs C, Kayser O. Nanosuspensions as particulate drug formulations in therapy rationale for development and what we can expect for the future. Adv Drug Deliv Review 2001; 47: 3–19. 7. Edlund U, Albertsson AC. Degradable polymer microspheres for controlled drug delivery. Adv Polymeric Science 2002; 157: 67–112. 8 Bain DF, Munday DL, Smith A. Solvent influence on spray dried biodegradable microspheres. J Microencap 1999; 16: 453-474. 9. Oh JE, Nam YS, Lee KH, Park TG. Conjugation of drug poly(d,l-lactic-co-glycolic acid) for controlled release from biodegradable microspheres. J Con Release 1999; 57: 269- 280. 10.Pistel KF, Bittner B, Koll H, Winter G, Kissel T. Biodegradable recombinant human erythropoietin loaded microspheres prepared from linear and startbranched block copolymers: influence of encapsulation technique and polymer composition on particle characteristics. J Con Release 1999; 59: 309325. 11. Bai XL, Yang YY, Chung TS, Ng S, Heller J. Effect of polymer compositions on the fabrication of poly(ortho-ester) microspheres for controlled release of protein. J Appl Poly Sci 2001; 80: 1630-1642.	<urn:uuid:999b08b3-7323-4b62-91e1-c0a679f093e5>	CC-MAIN-2018-05	http://iajps.com/pdf/october2017/25.IAJPS25102017-1.pdf	2018-01-22T23:43:57Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-05/segments/1516084891546.92/warc/CC-MAIN-20180122232843-20180123012843-00056.warc.gz	168,484,047	4,807	eng_Latn	eng_Latn	0.918556	eng_Latn	0.975977	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1703, 5968, 9548, 10595, 11297, 13359, 16843 ]	CODEN [USA]: IAJPBB ISSN: 2349-7750 INDO AMERICAN JOURNAL OF PHARMACEUTICAL SCIENCES http://doi.org/10.5281/zenodo.1002943 Available online at: http://www.iajps.com Research Article FORMULATION AND EVALUATION OF SUSTAINED RELEASE MICROSPHERES OF ROSIN CONTAINING ATORVASTATIN CALCIUM Gayke Amol U * , Aglawe Sachin B, Thakare Girish, Kale Nitin, Gujarathi Tanmay, jagdale Ashok, Khandagle Sandip S.N.D. College of Pharmacy, Babhulgaon, Yeola, Nashik, India. Abstract: Atorvastatin Calcium was microencapsulated using rosin by o/w emulsion solvent evaporation technique. The effect of three formulation variables including the drug:polymer ratio, emulsifier (polyvinyl alcohol) concentration and organic solvent (dichloromethane) volume were examined. The prepared batches were characterized for microspheres particle size distribution, encapsulation efficiency and in vitro release behavior. The study reveals that drug:polymer ratio had a considerable effect on the entrapment efficiency, however particle size distribution of microspheres was more dependent on the volume of dichloromethane and polyvinyl alcohol concentration rather than on the drug: polymer ratio. Drug, polymer concentrations were varied to obtain optimum release profile for sustaining the action of the drug. Keywords: Atorvastatin Calcium. Rosin. Microspheres. Sustained release Corresponding author: Gayke Amol U, S.N.D. College of Pharmacy, Babhulgaon, Yeola, Nashik, India Please cite this article in press as Gayke Amol U,et al, Formulation and Evaluation of Sustained Release Microspheres of Rosin Containing Atorvastatin Calcium, Indo Am. J. P. Sci, 2017; 4(10). www.iajps.com INTRODUCTION: Conventional oral drug administration does not usually provide rate-controlled release or target specificity. In many cases, convention	al drug delivery provides sharp increase in drug concentration often achieving toxic level and following a relatively short period at the therapeutic level of the drug concentration eventually drops off until re-administration.	In order to obtain maximum therapeutic efficacy, it becomes necessary to deliver an agent to the target tissue in the optimal amount for the required period of time, thereby causing little toxicity and minimal side effects [1,2]. Desired drug release can be provided by rate-controlling membranes or by implanted biodegradable polymers containing dispersed medication. Microparticulate drug delivery systems are considered and accepted as a reliable one to deliver the drug to the target site with specificity, to maintain the desired concentration at the site of interest without untoward effects [2]. Microencapsulation is a useful method which prolongs the duration of drug effect significantly and improves patient compliance. Eventually the total dose and few adverse reactions may be reduced since a steady plasma concentration is maintained [3]. In recent years much research in drug delivery has been focused on degradable polymer microspheres. Administration of medication via such systems is advantageous because microspheres can be ingested or injected, can be tailored for desired release profiles and in some cases it can provide organ-targeted release [4-7]. The meaning of microencapsulation is converting liquids to solids, altering colloidal and surface properties, providing environmental protection and controlling the release characteristics by using the coating materials.Emulsion solvent [5], phase-separation method10 and spray drying method [8] are commonly used for the preparation of microspheres. The success of any microencapsulation method depends on many factors such as the drug solubility, partition co-efficiency, polymer composition, molecular weight etc. Among the various microencapsulation methods, emulsion solvent evaporation technique is often widely used to prepare microcapsules of water insoluble drugs (within the water insoluble polymer). Microspheres are formed by the evaporation of an organic solvent from dispersed oil droplets containing both polymer anddrug[4,7,9,10,11]. Atorvastatin calcium is a HMG-CoA reductase inhibitor used in the treatment of hyperlipidemia. It has an oral bioavailability of less than 12% after a 40mg oral dose. It also undergoes high first pass metabolism. It is highly soluble in acidic pH and absorbed more in the upper part of the GIT. The major hurdle of atorvastatin is rate limited bioavailability. The main objective of the present work is to formulate microspheres of atorvastatin. The microspheres of atorvastatin may improve solubility and higher dissolution rate by decreasing particle size and increasing surface area. They may increase the patient compliance by significantly enhancement in oral bioavailability of the drug. MATERIALS AND METHODS: Materials Atorvastatin calcium candida health pharmaceutical; Eudragit S100 Evonik Industries. Polyvinyl alcohol (PVA - MW 1, 30,000) from SD fine chemicals, Rosin from Yucca Enterprises, Dombivilli, and Thane, India were used in the study. Dichloromethane, Potassium dihydrogen phosphate, Sodium hydroxide and Camphor were procured from S.D. Fine Chemicals, Mumbai, India. Method Microspheres of Atorvastatin calcium were prepared based on o/w emulsion solvent evaporation technique by using rosin as a polymer. Different batches of microspheres were prepared by dissolving the polymer and the drug in dichloromethane and then adding this oil phase in the aqueous phase (100 ml) containing various percentages of PVA as the emulsifying agent; the mixture was emulsified by constant stirring at 400 rpm for 4 h by using a propeller stirrer (Remi, India). The dispersed drug and polymer solution was immediately transformed into fine droplets, which subsequently solidified into rigid microspheres due to the solvent evaporation. The particles were collected by filtration, washed and dried in vacuum desiccators and characterized Page 3504 Table 1: Composition of Atorvastatin calcium loaded microspheres \| Ingredients (mg) \| F1 \| F2 \| F3 \| F4 \| F5 \| F6 \| \|---\|---\|---\|---\|---\|---\|---\| \| Atorvastatin calcium \| 200 \| 400 \| 600 \| 200 \| 200 \| 200 \| \| Rosin \| 200 \| 200 \| 200 \| 400 \| 600 \| 400 \| \| PVA \| 0.25% \| 0.25% \| 0.25% \| 0.25% \| 0.25% \| 0.25% \| \| Dichloromethane \| 10 ml \| 10 ml \| 10 ml \| 10 ml \| 10 ml \| 10 ml \| \| Water \| 100 ml \| 100 ml \| 100 ml \| 100 ml \| 100 ml \| 100 ml \| Drug-Excipients Compatibility Studies Differential Scanning Calorimetery (DSC) DEE = (Pc / Tc) × 100 The DSC measurements were performed on a differential scanning calorimeter with a thermal analyzer. All accurately weighed samples were placed in sealed aluminum pans, before heating under nitrogen flow (20ml/min) at a scanning rate of 10 °C min−1 from 25 to 250 °C. An empty aluminum pan was used as reference. Drug polymer Interaction (FTIR) study Fourier-transform infrared (FT-IR) spectra were obtained by using shimadzu FTIR- 8400 Spectrophotometer. The samples were previously ground and mixed thoroughly with potassium bromide, an infrared transparent matrix, at 1:5 (Sample/KBr) ratio, respectively. The KBr discs were prepared by compressing the powders at a pressure of 5 tons for 5 min in a hydraulic press. Percentage Yield The yield of microspheres was determined by comparing the whole weight of microspheres formed against the combined weight of the copolymer and drug. Mass of microspheres obtained Percentage yield = X 100 Total weight of drug and polymer used Particle size and size distribution The microspheres were suspended in liquid paraffin and examined using an optical microscope. Laser diffraction technique (Malvern Instruments Ltd. Malvern, UK) was used to study the size distribution of the microspheres. The dispersant used was cyclohexane and the average particle size was calculated and expressed in microns. Drug Entrapment efficiency The drug entrapment efficiency (DEE) was calculated by the following formula Here, Pc is practical content, Tc is the theoretical content. X-ray Diffraction Studies (XRD) X-ray diffraction analysis was performed using Bruker axs diffractometer D 8Advanced model (high beam monochromatic) using Cu radiation which was generated at 40 Kv and 40 mA at 1.540600A. The rate of the scanning was 0.30°C /min. Drug Content Determination ATR spherical agglomerates equivalent to 40 mg of ATR were accurately weighed, crushed and transferred to a 10 mL volumetric flask. To this, 50 mL of methanol was added and sample was sonicated for 20 min so as todissolve the drug and the polymer. The volume was made up to 100 mL withmethanol and filtered through a 0.45 μm filters. The filtrate was diluted withmethanol and analyzed at 246.5 nm by uv-spectrophotometer. Solubility Study The apparent solubility of Spherical crystals of Atorvastatin calcium determined In water.Each Spherical crystals in excess of drug equivalent to (40 mg) was added to 10 ml of solvent in glass vials with rubber closers. Then the vials were kept on a shaker incubator maintained at 37 ± 0.5 °C for 24 h. After shaking, the vials were kept in an incubator at 37 ± 0.5 °C for equilibrium for 10h. The solution was then filtered through 0.45 µm Millipore, filtered and the filtrate was assayed spectrophotometrically at 246.5 nm. In-vitro release studies In-vitro dissolution studies were carried out with spherical agglomerates. Each test was carried out in United States Pharmacopoeia dissolution apparatus II (Paddle) consisted of 900 ml , 0.1 N HCl maintained at 37.0 ± 0.5°C and stirring at 75 rpm. An accurately weighed quantity of each sample equivalent to 40 mg of Atorvastatin Calcium was subjected to the test. Samples 5 ml were withdrawn at predetermined time interval (5, 10, 15, 20 & 30 minutes) and immediately replace with the equal volumes of dissolution medium.. Diluted samples were analyzed at 246.5 nm by uv-spectrophotometer. Flow Property Flowability of ATR and its spherical agglomerates were determined in terms of the following parameters,Bulk density,Tapped density, Hausner ratio,Carr's index and Angle of repose. RESULTS AND DISCUSSION: Differential Scanning Calorimetery (DSC) The pure drug Atorvastatin calcium shown as an endothermic peak at 189.14oC. The peak neither is nor shifted in the case of DSC of the Atorvastatin calcium microspheres formulation containing Atorvastatin calcium. The DSC of physical mixture of the Losartan Potassium showed an endothermic peak at 189.14oC. The DSC spectra as shown in Fig 1 & 2. Drug polymer Interaction (FTIR) study From the spectra Atorvastatin calcium and physical mixture of Atorvastatin calcium, it was observed that all characteristic peaks of Losartan potassium were present in the combination spectrum, thus indicating compatibility of the Losartan potassium and polymer. Table 2 Characteristics of Atorvastatin calcium microspheres \| F1 \| 45.0 \| 112±0.02 \| 48.32 \| 78.41±0.01 \| \|---\|---\|---\|---\|---\| \| F2 \| 50 \| 118±0.04 \| 52.32 \| 80.30±0.01 \| \| F3 \| 64.1 \| 140±0.06 \| 65.12 \| 83.31±0.01 \| \| F4 \| 80 \| 167±0.02 \| 81.23 \| 85.21±0.01 \| \| F5 \| 90.83 \| 171±0.01 \| 92.36 \| 94.12±0.01 \| \| F6 \| 85 \| 172±0.03 \| 86 \| 91.14±0.01 \| \| F7 \| 91.5 \| 174±0.07 \| 92.36 \| 93.16±0.01 \| SEM studies The microspheres are almost spherical with smooth surface. Fig 1: SEM photographs of Atorvastatin calcium microspheres Table 3: In-vitro release studies \| Time (hrs.) \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| F1 \| F2 \| F3 \| F4 \| F5 \| F6 \| \| 1 \| 50.20±0.9 \| 49.2±0.6 \| 44.31±0.3 \| 46.21±0.9 \| 43.21±0.6 \| 42.13±0.3 \| \| 3 \| 55.10±0.3 \| 54.21±0.2 \| 53.20±0.9 \| 52.41±0.4 \| 51.23±0.5 \| 49.21±0.5 \| \| 6 \| 60.01±0.34 \| 59.01±0.1 \| 57.23±0.3 \| 56.14±0.3 \| 55.32±0.4 \| 54.25±0.5 \| \| 9 \| 68.87±0.32 \| 63.02±0.69 \| 61.35±0.2 \| 60.54±0.1 \| 59.24±0.2 \| 58.36±0.5 \| \| 12 \| 75.58±0.7 \| 67.58±0.6 \| 63.21±0.7 \| 62.30±0.5 \| 61.25±0.2 \| 6887±0.6 \| \| 15 \| 79.58±0.7 \| 72.71±0.1 \| 71.03±0.9 \| 70.21±0.2 \| 69.58±.0.5 \| 73.21±0.4 \| \| 18 \| 88.4±0.4 \| 77.15±0.52 \| 76.8±0.1 \| 75.21±0.3 \| 74.21± \| 78.89±0.4 \| \| 21 \| 98.52±0.2 \| 84.14±0.3 \| 85.74±0.3 \| 84.33±0.4 \| 83.25±0.5 \| 88.54±0.4 \| \| 24 \| --- \| 91.23±0.2 \| 92.69±0.5 \| 91.36±0.3 \| 89.72±0.3 \| 98.31±0.4 \| In order to improve the release rate of drug from microspheres, 2.0 % w/v of camphor was included in the formulations. The composition of the formulation is shown in Table 1. Camphor was dissolved in the polymer solution, its forms uniform distribution in the polymer solution. Upon microencapsulation the particles will be getting encapsulated by polymer along with camphor. On drying due to volatile nature camphor may get evaporated and forms pores on the surface of the microspheres, through which drug could easily diffuse to the aqueous phase or dissolution medium. Microspheres were prepared by the emulsion solvent evaporation method and evaluated. In vitro release studies for the prepared microspheres were carried out .The release results are shown in table 3. Formulation F6 showed better release rate than F7. The reason for this retarded drug release may be due to the hydrophobic nature of the polymer, which prevents the penetration of the dissolution medium into the microspheres leading to slower dissolution and diffusion of the drug molecules from the microspheres. et al Table 5: Flow Properties of Losartan Potassium Microspheres \| Formulation code (Avg. ± S.D.) \| Bulk density (Avg. ± S.D.) \| Tapped density (Avg. ± S.D.) \| Compressibility index (Avg. ± S.D.) \| Haussner’s ratio (Avg. ± S.D.) \| \|---\|---\|---\|---\|---\| \| F1 \| 0.426 ± 0.02 \| 0.349 ± 0.01 \| 3.702 ± 0.02 \| 1.064 ± 0.01 \| \| F2 \| 0.232 ± 0.01 \| 0.389 ± 0.03 \| 4.349 ± 0.03 \| 1.059 ± 0.01 \| \| F3 \| 0.310 ± 0.02 \| 0.329 ± 0.01 \| 3.601 ± 0.01 \| 1.038 ± 0.02 \| \| F4 \| 0.416 ± 0.01 \| 0.355 ± 0.02 \| 3.875 ± 0.01 \| 1.040 ± 0.01 \| \| F5 \| 0.326± 0.02 \| 0.387 ± 0.02 \| 3.659 ± 0.02 \| 1.045 ± 0.01 \| \| F6 \| 0.327 ± 0.02 \| 0.431 ± 0.01 \| 3.071 ± 0.02 \| 1.087 ± 0.01 \| \| F7 \| 0.340 ± 0.03 \| 0.375 ± 0.04 \| 4.129 ± 0.02 \| 1.084 ± 0.02 \| CONCLUSION: This study shows that o/w emulsion solvent evaporation can be used as a simple method to prepare Aceclofenac sustained release microspheres by suing rosin as an encapsulating polymer. The drug entrapment efficiency of prepared microspheres were affected only by the drug:polymer ratio. The emulsifier concentration and organic phase volume influenced the particle size distribution of microspheres. Based on the above findings, it was observed that formulation F6 showed optimum release characteristics. The release rate of drug from the microspheres could be properly controlled for about 24h. Appropriate variation in the proportions of drug; polymer and stabilizer can lead to a product with the desired controlled release features REFERENCES: 1. Jayakrishnan A, Latha MS. Biodegradable polymeric microspheres as drug carriers. In: Jain NK, Editor. Controlled and Novel drug delivery. New Delhi: CBS publishers. 1997. pp 236-255. 2. Vyas SP, Khar RK. Proteins and peptides delivery considerations. In: Vyas SP, Khar RK, Editor. Controlled drug delivery concepts and advances. 1st ed. New Delhi: CBS publisher and Distributor. 2002; pp 549. 3. Fu, X, Ping Q, Gao Y. Effects of formulation factors on encapsulation efficiency and release behavior in vitro of huperzine A-PLGA microspheres. J Microencap 2005; 22(7): 705-714. 4. Jalil R, Nixon JR. Biodegradable poly (lactic acid) and poly(lactide-co-glycocide) microcapsules: problems associated with preparative techniques and release properties. J Microencap 1990b; 7: 297–325. 5. Kawaguchi H. Functional polymer microspheres. Prog Polym Sci 2000; 25: 1171–1210. 6. Mueller RH, Jacobs C, Kayser O. Nanosuspensions as particulate drug formulations in therapy rationale for development and what we can expect for the future. Adv Drug Deliv Review 2001; 47: 3–19. 7. Edlund U, Albertsson AC. Degradable polymer microspheres for controlled drug delivery. Adv Polymeric Science 2002; 157: 67–112. 8 Bain DF, Munday DL, Smith A. Solvent influence on spray dried biodegradable microspheres. J Microencap 1999; 16: 453-474. 9. Oh JE, Nam YS, Lee KH, Park TG. Conjugation of drug poly(d,l-lactic-co-glycolic acid) for controlled release from biodegradable microspheres. J Con Release 1999; 57: 269- 280. 10.Pistel KF, Bittner B, Koll H, Winter G, Kissel T. Biodegradable recombinant human erythropoietin loaded microspheres prepared from linear and startbranched block copolymers: influence of encapsulation technique and polymer composition on particle characteristics. J Con Release 1999; 59: 309325. 11. Bai XL, Yang YY, Chung TS, Ng S, Heller J. Effect of polymer compositions on the fabrication of poly(ortho-ester) microspheres for controlled release of protein. J Appl Poly Sci 2001; 80: 1630-1642.	1,855	inside_word	conventional	remove_one_sentence	<url> http://iajps.com/pdf/october2017/25.IAJPS25102017-1.pdf </url> <text> CODEN [USA]: IAJPBB ISSN: 2349-7750 INDO AMERICAN JOURNAL OF PHARMACEUTICAL SCIENCES http://doi.org/10.5281/zenodo.1002943 Available online at: http://www.iajps.com Research Article FORMULATION AND EVALUATION OF SUSTAINED RELEASE MICROSPHERES OF ROSIN CONTAINING ATORVASTATIN CALCIUM Gayke Amol U * , Aglawe Sachin B, Thakare Girish, Kale Nitin, Gujarathi Tanmay, jagdale Ashok, Khandagle Sandip S.N.D. College of Pharmacy, Babhulgaon, Yeola, Nashik, India. Abstract: Atorvastatin Calcium was microencapsulated using rosin by o/w emulsion solvent evaporation technique. The effect of three formulation variables including the drug:polymer ratio, emulsifier (polyvinyl alcohol) concentration and organic solvent (dichloromethane) volume were examined. The prepared batches were characterized for microspheres particle size distribution, encapsulation efficiency and in vitro release behavior. The study reveals that drug:polymer ratio had a considerable effect on the entrapment efficiency, however particle size distribution of microspheres was more dependent on the volume of dichloromethane and polyvinyl alcohol concentration rather than on the drug: polymer ratio. Drug, polymer concentrations were varied to obtain optimum release profile for sustaining the action of the drug. Keywords: Atorvastatin Calcium. Rosin. Microspheres. Sustained release Corresponding author: Gayke Amol U, S.N.D. College of Pharmacy, Babhulgaon, Yeola, Nashik, India Please cite this article in press as Gayke Amol U,et al, Formulation and Evaluation of Sustained Release Microspheres of Rosin Containing Atorvastatin Calcium, Indo Am. J. P. Sci, 2017; 4(10). www.iajps.com INTRODUCTION: Conventional oral drug administration does not usually provide rate-controlled release or target specificity. In many cases, convention<cursor_is_here> In order to obtain maximum therapeutic efficacy, it becomes necessary to deliver an agent to the target tissue in the optimal amount for the required period of time, thereby causing little toxicity and minimal side effects [1,2]. Desired drug release can be provided by rate-controlling membranes or by implanted biodegradable polymers containing dispersed medication. Microparticulate drug delivery systems are considered and accepted as a reliable one to deliver the drug to the target site with specificity, to maintain the desired concentration at the site of interest without untoward effects [2]. Microencapsulation is a useful method which prolongs the duration of drug effect significantly and improves patient compliance. Eventually the total dose and few adverse reactions may be reduced since a steady plasma concentration is maintained [3]. In recent years much research in drug delivery has been focused on degradable polymer microspheres. Administration of medication via such systems is advantageous because microspheres can be ingested or injected, can be tailored for desired release profiles and in some cases it can provide organ-targeted release [4-7]. The meaning of microencapsulation is converting liquids to solids, altering colloidal and surface properties, providing environmental protection and controlling the release characteristics by using the coating materials.Emulsion solvent [5], phase-separation method10 and spray drying method [8] are commonly used for the preparation of microspheres. The success of any microencapsulation method depends on many factors such as the drug solubility, partition co-efficiency, polymer composition, molecular weight etc. Among the various microencapsulation methods, emulsion solvent evaporation technique is often widely used to prepare microcapsules of water insoluble drugs (within the water insoluble polymer). Microspheres are formed by the evaporation of an organic solvent from dispersed oil droplets containing both polymer anddrug[4,7,9,10,11]. Atorvastatin calcium is a HMG-CoA reductase inhibitor used in the treatment of hyperlipidemia. It has an oral bioavailability of less than 12% after a 40mg oral dose. It also undergoes high first pass metabolism. It is highly soluble in acidic pH and absorbed more in the upper part of the GIT. The major hurdle of atorvastatin is rate limited bioavailability. The main objective of the present work is to formulate microspheres of atorvastatin. The microspheres of atorvastatin may improve solubility and higher dissolution rate by decreasing particle size and increasing surface area. They may increase the patient compliance by significantly enhancement in oral bioavailability of the drug. MATERIALS AND METHODS: Materials Atorvastatin calcium candida health pharmaceutical; Eudragit S100 Evonik Industries. Polyvinyl alcohol (PVA - MW 1, 30,000) from SD fine chemicals, Rosin from Yucca Enterprises, Dombivilli, and Thane, India were used in the study. Dichloromethane, Potassium dihydrogen phosphate, Sodium hydroxide and Camphor were procured from S.D. Fine Chemicals, Mumbai, India. Method Microspheres of Atorvastatin calcium were prepared based on o/w emulsion solvent evaporation technique by using rosin as a polymer. Different batches of microspheres were prepared by dissolving the polymer and the drug in dichloromethane and then adding this oil phase in the aqueous phase (100 ml) containing various percentages of PVA as the emulsifying agent; the mixture was emulsified by constant stirring at 400 rpm for 4 h by using a propeller stirrer (Remi, India). The dispersed drug and polymer solution was immediately transformed into fine droplets, which subsequently solidified into rigid microspheres due to the solvent evaporation. The particles were collected by filtration, washed and dried in vacuum desiccators and characterized Page 3504 Table 1: Composition of Atorvastatin calcium loaded microspheres \| Ingredients (mg) \| F1 \| F2 \| F3 \| F4 \| F5 \| F6 \| \|---\|---\|---\|---\|---\|---\|---\| \| Atorvastatin calcium \| 200 \| 400 \| 600 \| 200 \| 200 \| 200 \| \| Rosin \| 200 \| 200 \| 200 \| 400 \| 600 \| 400 \| \| PVA \| 0.25% \| 0.25% \| 0.25% \| 0.25% \| 0.25% \| 0.25% \| \| Dichloromethane \| 10 ml \| 10 ml \| 10 ml \| 10 ml \| 10 ml \| 10 ml \| \| Water \| 100 ml \| 100 ml \| 100 ml \| 100 ml \| 100 ml \| 100 ml \| Drug-Excipients Compatibility Studies Differential Scanning Calorimetery (DSC) DEE = (Pc / Tc) × 100 The DSC measurements were performed on a differential scanning calorimeter with a thermal analyzer. All accurately weighed samples were placed in sealed aluminum pans, before heating under nitrogen flow (20ml/min) at a scanning rate of 10 °C min−1 from 25 to 250 °C. An empty aluminum pan was used as reference. Drug polymer Interaction (FTIR) study Fourier-transform infrared (FT-IR) spectra were obtained by using shimadzu FTIR- 8400 Spectrophotometer. The samples were previously ground and mixed thoroughly with potassium bromide, an infrared transparent matrix, at 1:5 (Sample/KBr) ratio, respectively. The KBr discs were prepared by compressing the powders at a pressure of 5 tons for 5 min in a hydraulic press. Percentage Yield The yield of microspheres was determined by comparing the whole weight of microspheres formed against the combined weight of the copolymer and drug. Mass of microspheres obtained Percentage yield = X 100 Total weight of drug and polymer used Particle size and size distribution The microspheres were suspended in liquid paraffin and examined using an optical microscope. Laser diffraction technique (Malvern Instruments Ltd. Malvern, UK) was used to study the size distribution of the microspheres. The dispersant used was cyclohexane and the average particle size was calculated and expressed in microns. Drug Entrapment efficiency The drug entrapment efficiency (DEE) was calculated by the following formula Here, Pc is practical content, Tc is the theoretical content. X-ray Diffraction Studies (XRD) X-ray diffraction analysis was performed using Bruker axs diffractometer D 8Advanced model (high beam monochromatic) using Cu radiation which was generated at 40 Kv and 40 mA at 1.540600A. The rate of the scanning was 0.30°C /min. Drug Content Determination ATR spherical agglomerates equivalent to 40 mg of ATR were accurately weighed, crushed and transferred to a 10 mL volumetric flask. To this, 50 mL of methanol was added and sample was sonicated for 20 min so as todissolve the drug and the polymer. The volume was made up to 100 mL withmethanol and filtered through a 0.45 μm filters. The filtrate was diluted withmethanol and analyzed at 246.5 nm by uv-spectrophotometer. Solubility Study The apparent solubility of Spherical crystals of Atorvastatin calcium determined In water.Each Spherical crystals in excess of drug equivalent to (40 mg) was added to 10 ml of solvent in glass vials with rubber closers. Then the vials were kept on a shaker incubator maintained at 37 ± 0.5 °C for 24 h. After shaking, the vials were kept in an incubator at 37 ± 0.5 °C for equilibrium for 10h. The solution was then filtered through 0.45 µm Millipore, filtered and the filtrate was assayed spectrophotometrically at 246.5 nm. In-vitro release studies In-vitro dissolution studies were carried out with spherical agglomerates. Each test was carried out in United States Pharmacopoeia dissolution apparatus II (Paddle) consisted of 900 ml , 0.1 N HCl maintained at 37.0 ± 0.5°C and stirring at 75 rpm. An accurately weighed quantity of each sample equivalent to 40 mg of Atorvastatin Calcium was subjected to the test. Samples 5 ml were withdrawn at predetermined time interval (5, 10, 15, 20 & 30 minutes) and immediately replace with the equal volumes of dissolution medium.. Diluted samples were analyzed at 246.5 nm by uv-spectrophotometer. Flow Property Flowability of ATR and its spherical agglomerates were determined in terms of the following parameters,Bulk density,Tapped density, Hausner ratio,Carr's index and Angle of repose. RESULTS AND DISCUSSION: Differential Scanning Calorimetery (DSC) The pure drug Atorvastatin calcium shown as an endothermic peak at 189.14oC. The peak neither is nor shifted in the case of DSC of the Atorvastatin calcium microspheres formulation containing Atorvastatin calcium. The DSC of physical mixture of the Losartan Potassium showed an endothermic peak at 189.14oC. The DSC spectra as shown in Fig 1 & 2. Drug polymer Interaction (FTIR) study From the spectra Atorvastatin calcium and physical mixture of Atorvastatin calcium, it was observed that all characteristic peaks of Losartan potassium were present in the combination spectrum, thus indicating compatibility of the Losartan potassium and polymer. Table 2 Characteristics of Atorvastatin calcium microspheres \| F1 \| 45.0 \| 112±0.02 \| 48.32 \| 78.41±0.01 \| \|---\|---\|---\|---\|---\| \| F2 \| 50 \| 118±0.04 \| 52.32 \| 80.30±0.01 \| \| F3 \| 64.1 \| 140±0.06 \| 65.12 \| 83.31±0.01 \| \| F4 \| 80 \| 167±0.02 \| 81.23 \| 85.21±0.01 \| \| F5 \| 90.83 \| 171±0.01 \| 92.36 \| 94.12±0.01 \| \| F6 \| 85 \| 172±0.03 \| 86 \| 91.14±0.01 \| \| F7 \| 91.5 \| 174±0.07 \| 92.36 \| 93.16±0.01 \| SEM studies The microspheres are almost spherical with smooth surface. Fig 1: SEM photographs of Atorvastatin calcium microspheres Table 3: In-vitro release studies \| Time (hrs.) \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| F1 \| F2 \| F3 \| F4 \| F5 \| F6 \| \| 1 \| 50.20±0.9 \| 49.2±0.6 \| 44.31±0.3 \| 46.21±0.9 \| 43.21±0.6 \| 42.13±0.3 \| \| 3 \| 55.10±0.3 \| 54.21±0.2 \| 53.20±0.9 \| 52.41±0.4 \| 51.23±0.5 \| 49.21±0.5 \| \| 6 \| 60.01±0.34 \| 59.01±0.1 \| 57.23±0.3 \| 56.14±0.3 \| 55.32±0.4 \| 54.25±0.5 \| \| 9 \| 68.87±0.32 \| 63.02±0.69 \| 61.35±0.2 \| 60.54±0.1 \| 59.24±0.2 \| 58.36±0.5 \| \| 12 \| 75.58±0.7 \| 67.58±0.6 \| 63.21±0.7 \| 62.30±0.5 \| 61.25±0.2 \| 6887±0.6 \| \| 15 \| 79.58±0.7 \| 72.71±0.1 \| 71.03±0.9 \| 70.21±0.2 \| 69.58±.0.5 \| 73.21±0.4 \| \| 18 \| 88.4±0.4 \| 77.15±0.52 \| 76.8±0.1 \| 75.21±0.3 \| 74.21± \| 78.89±0.4 \| \| 21 \| 98.52±0.2 \| 84.14±0.3 \| 85.74±0.3 \| 84.33±0.4 \| 83.25±0.5 \| 88.54±0.4 \| \| 24 \| --- \| 91.23±0.2 \| 92.69±0.5 \| 91.36±0.3 \| 89.72±0.3 \| 98.31±0.4 \| In order to improve the release rate of drug from microspheres, 2.0 % w/v of camphor was included in the formulations. The composition of the formulation is shown in Table 1. Camphor was dissolved in the polymer solution, its forms uniform distribution in the polymer solution. Upon microencapsulation the particles will be getting encapsulated by polymer along with camphor. On drying due to volatile nature camphor may get evaporated and forms pores on the surface of the microspheres, through which drug could easily diffuse to the aqueous phase or dissolution medium. Microspheres were prepared by the emulsion solvent evaporation method and evaluated. In vitro release studies for the prepared microspheres were carried out .The release results are shown in table 3. Formulation F6 showed better release rate than F7. The reason for this retarded drug release may be due to the hydrophobic nature of the polymer, which prevents the penetration of the dissolution medium into the microspheres leading to slower dissolution and diffusion of the drug molecules from the microspheres. et al Table 5: Flow Properties of Losartan Potassium Microspheres \| Formulation code (Avg. ± S.D.) \| Bulk density (Avg. ± S.D.) \| Tapped density (Avg. ± S.D.) \| Compressibility index (Avg. ± S.D.) \| Haussner’s ratio (Avg. ± S.D.) \| \|---\|---\|---\|---\|---\| \| F1 \| 0.426 ± 0.02 \| 0.349 ± 0.01 \| 3.702 ± 0.02 \| 1.064 ± 0.01 \| \| F2 \| 0.232 ± 0.01 \| 0.389 ± 0.03 \| 4.349 ± 0.03 \| 1.059 ± 0.01 \| \| F3 \| 0.310 ± 0.02 \| 0.329 ± 0.01 \| 3.601 ± 0.01 \| 1.038 ± 0.02 \| \| F4 \| 0.416 ± 0.01 \| 0.355 ± 0.02 \| 3.875 ± 0.01 \| 1.040 ± 0.01 \| \| F5 \| 0.326± 0.02 \| 0.387 ± 0.02 \| 3.659 ± 0.02 \| 1.045 ± 0.01 \| \| F6 \| 0.327 ± 0.02 \| 0.431 ± 0.01 \| 3.071 ± 0.02 \| 1.087 ± 0.01 \| \| F7 \| 0.340 ± 0.03 \| 0.375 ± 0.04 \| 4.129 ± 0.02 \| 1.084 ± 0.02 \| CONCLUSION: This study shows that o/w emulsion solvent evaporation can be used as a simple method to prepare Aceclofenac sustained release microspheres by suing rosin as an encapsulating polymer. The drug entrapment efficiency of prepared microspheres were affected only by the drug:polymer ratio. The emulsifier concentration and organic phase volume influenced the particle size distribution of microspheres. Based on the above findings, it was observed that formulation F6 showed optimum release characteristics. The release rate of drug from the microspheres could be properly controlled for about 24h. Appropriate variation in the proportions of drug; polymer and stabilizer can lead to a product with the desired controlled release features REFERENCES: 1. Jayakrishnan A, Latha MS. Biodegradable polymeric microspheres as drug carriers. In: Jain NK, Editor. Controlled and Novel drug delivery. New Delhi: CBS publishers. 1997. pp 236-255. 2. Vyas SP, Khar RK. Proteins and peptides delivery considerations. In: Vyas SP, Khar RK, Editor. Controlled drug delivery concepts and advances. 1st ed. New Delhi: CBS publisher and Distributor. 2002; pp 549. 3. Fu, X, Ping Q, Gao Y. Effects of formulation factors on encapsulation efficiency and release behavior in vitro of huperzine A-PLGA microspheres. J Microencap 2005; 22(7): 705-714. 4. Jalil R, Nixon JR. Biodegradable poly (lactic acid) and poly(lactide-co-glycocide) microcapsules: problems associated with preparative techniques and release properties. J Microencap 1990b; 7: 297–325. 5. Kawaguchi H. Functional polymer microspheres. Prog Polym Sci 2000; 25: 1171–1210. 6. Mueller RH, Jacobs C, Kayser O. Nanosuspensions as particulate drug formulations in therapy rationale for development and what we can expect for the future. Adv Drug Deliv Review 2001; 47: 3–19. 7. Edlund U, Albertsson AC. Degradable polymer microspheres for controlled drug delivery. Adv Polymeric Science 2002; 157: 67–112. 8 Bain DF, Munday DL, Smith A. Solvent influence on spray dried biodegradable microspheres. J Microencap 1999; 16: 453-474. 9. Oh JE, Nam YS, Lee KH, Park TG. Conjugation of drug poly(d,l-lactic-co-glycolic acid) for controlled release from biodegradable microspheres. J Con Release 1999; 57: 269- 280. 10.Pistel KF, Bittner B, Koll H, Winter G, Kissel T. Biodegradable recombinant human erythropoietin loaded microspheres prepared from linear and startbranched block copolymers: influence of encapsulation technique and polymer composition on particle characteristics. J Con Release 1999; 59: 309325. 11. Bai XL, Yang YY, Chung TS, Ng S, Heller J. Effect of polymer compositions on the fabrication of poly(ortho-ester) microspheres for controlled release of protein. J Appl Poly Sci 2001; 80: 1630-1642. </text>	[ { "content": "<url>\nhttp://iajps.com/pdf/october2017/25.IAJPS25102017-1.pdf\n</url>\n<text>\nCODEN [USA]: IAJPBB ISSN: 2349-7750\n\nINDO AMERICAN JOURNAL OF\n\nPHARMACEUTICAL SCIENCES\n\nhttp://doi.org/10.5281/zenodo.1002943\n\nAvailable online at: http://www.iajps.com Research Article\n\nFORMULATION AND EVALUATION OF SUSTAINED RELEASE MICROSPHERES OF ROSIN CONTAINING ATORVASTATIN CALCIUM\n\nGayke Amol U * , Aglawe Sachin B, Thakare Girish, Kale Nitin, Gujarathi Tanmay, jagdale\n\nAshok, Khandagle Sandip\n\nS.N.D. College of Pharmacy, Babhulgaon, Yeola, Nashik, India.\n\nAbstract:\n\nAtorvastatin Calcium was microencapsulated using rosin by o/w emulsion solvent evaporation technique. The effect of three formulation variables including the drug:polymer ratio, emulsifier (polyvinyl alcohol) concentration and organic solvent (dichloromethane) volume were examined. The prepared batches were characterized for microspheres particle size distribution, encapsulation efficiency and in vitro release behavior. The study reveals that drug:polymer ratio had a considerable effect on the entrapment efficiency, however particle size distribution of microspheres was more dependent on the volume of dichloromethane and polyvinyl alcohol concentration rather than on the drug: polymer ratio. Drug, polymer concentrations were varied to obtain optimum release profile for sustaining the action of the drug.\n\nKeywords: Atorvastatin Calcium. Rosin. Microspheres. Sustained release\n\nCorresponding author:\n\nGayke Amol U, S.N.D. College of Pharmacy, Babhulgaon, Yeola, Nashik, India\n\nPlease cite this article in press as Gayke Amol U,et al, Formulation and Evaluation of Sustained Release Microspheres of Rosin Containing Atorvastatin Calcium, Indo Am. J. P. Sci, 2017; 4(10).\n\nwww.iajps.com\n\nINTRODUCTION:\n\nConventional oral drug administration does not usually provide rate-controlled release or target specificity. In many cases, convention<cursor_is_here> In order to obtain maximum therapeutic efficacy, it becomes necessary to deliver an agent to the target tissue in the optimal amount for the required period of time, thereby causing little toxicity and minimal side effects [1,2]. Desired drug release can be provided by rate-controlling membranes or by implanted biodegradable polymers containing dispersed medication. Microparticulate drug delivery systems are considered and accepted as a reliable one to deliver the drug to the target site with specificity, to maintain the desired concentration at the site of interest without untoward effects [2]. Microencapsulation is a useful method which prolongs the duration of drug effect significantly and improves patient compliance. Eventually the total dose and few adverse reactions may be reduced since a steady plasma concentration is maintained [3]. In recent years much research in drug delivery has been focused on degradable polymer microspheres. Administration of medication via such systems is advantageous because microspheres can be ingested or injected, can be tailored for desired release profiles and in some cases it can provide organ-targeted release [4-7]. The meaning of microencapsulation is converting liquids to solids, altering colloidal and surface properties, providing environmental protection and controlling the release characteristics by using the coating materials.Emulsion solvent [5], phase-separation method10 and spray drying method [8] are commonly used for the preparation of microspheres. The success of any microencapsulation method depends on many factors such as the drug solubility, partition co-efficiency, polymer composition, molecular weight etc. Among the various microencapsulation methods, emulsion solvent evaporation technique is often widely used to prepare microcapsules of water insoluble drugs (within the water insoluble polymer). Microspheres are formed by the evaporation of an organic solvent from dispersed oil droplets containing both polymer anddrug[4,7,9,10,11]. Atorvastatin calcium is a HMG-CoA reductase inhibitor used in the treatment of hyperlipidemia. It has an oral bioavailability of less than 12% after a 40mg oral dose. It also undergoes high first pass metabolism. It is highly soluble in acidic pH and absorbed more in the upper part of the GIT. The major hurdle of atorvastatin is rate limited bioavailability. The main objective of the present work is to formulate microspheres of atorvastatin. The microspheres of atorvastatin may improve solubility and higher dissolution rate by decreasing particle size and increasing surface area. They may increase the patient compliance by significantly enhancement in oral bioavailability of the drug.\n\nMATERIALS AND METHODS:\n\nMaterials\n\nAtorvastatin calcium candida health pharmaceutical; Eudragit S100 Evonik Industries. Polyvinyl alcohol (PVA - MW 1, 30,000) from SD fine chemicals, Rosin from Yucca Enterprises, Dombivilli, and Thane, India were used in the study. Dichloromethane, Potassium dihydrogen phosphate, Sodium hydroxide and Camphor were procured from S.D. Fine Chemicals, Mumbai, India.\n\nMethod\n\nMicrospheres of Atorvastatin calcium were prepared based on o/w emulsion solvent evaporation technique by using rosin as a polymer. Different batches of microspheres were prepared by dissolving the polymer and the drug in dichloromethane and then adding this oil phase in the aqueous phase (100 ml) containing various percentages of PVA as the emulsifying agent; the mixture was emulsified by constant stirring at 400 rpm for 4 h by using a propeller stirrer (Remi, India). The dispersed drug and polymer solution was immediately transformed into fine droplets, which subsequently solidified into rigid microspheres due to the solvent evaporation. The particles were collected by filtration, washed and dried in vacuum desiccators and characterized\n\nPage 3504\n\nTable 1: Composition of Atorvastatin calcium loaded microspheres\n\n\| Ingredients (mg) \| F1 \| F2 \| F3 \| F4 \| F5 \| F6 \|\n\|---\|---\|---\|---\|---\|---\|---\|\n\| Atorvastatin calcium \| 200 \| 400 \| 600 \| 200 \| 200 \| 200 \|\n\| Rosin \| 200 \| 200 \| 200 \| 400 \| 600 \| 400 \|\n\| PVA \| 0.25% \| 0.25% \| 0.25% \| 0.25% \| 0.25% \| 0.25% \|\n\| Dichloromethane \| 10 ml \| 10 ml \| 10 ml \| 10 ml \| 10 ml \| 10 ml \|\n\| Water \| 100 ml \| 100 ml \| 100 ml \| 100 ml \| 100 ml \| 100 ml \|\n\nDrug-Excipients Compatibility Studies Differential Scanning Calorimetery (DSC)\n\nDEE = (Pc / Tc) × 100\n\nThe DSC measurements were performed on a differential scanning calorimeter with a thermal analyzer. All accurately weighed samples were placed in sealed aluminum pans, before heating under nitrogen flow (20ml/min) at a scanning rate of 10 °C min−1 from 25 to 250 °C. An empty aluminum pan was used as reference.\n\nDrug polymer Interaction (FTIR) study\n\nFourier-transform infrared (FT-IR) spectra were obtained by using shimadzu FTIR- 8400 Spectrophotometer. The samples were previously ground and mixed thoroughly with potassium bromide, an infrared transparent matrix, at 1:5 (Sample/KBr) ratio, respectively. The KBr discs were prepared by compressing the powders at a pressure of 5 tons for 5 min in a hydraulic press.\n\nPercentage Yield\n\nThe yield of microspheres was determined by comparing the whole weight of microspheres formed against the combined weight of the copolymer and drug.\n\nMass of microspheres obtained\n\nPercentage yield = X 100\n\nTotal weight of drug and polymer used\n\nParticle size and size distribution\n\nThe microspheres were suspended in liquid paraffin and examined using an optical microscope. Laser diffraction technique (Malvern Instruments Ltd. Malvern, UK) was used to study the size distribution of the microspheres. The dispersant used was cyclohexane and the average particle size was calculated and expressed in microns.\n\nDrug Entrapment efficiency\n\nThe drug entrapment efficiency (DEE) was calculated by the following formula\n\nHere, Pc is practical content, Tc is the theoretical content.\n\nX-ray Diffraction Studies (XRD)\n\nX-ray diffraction analysis was performed using Bruker axs diffractometer D 8Advanced model (high beam monochromatic) using Cu radiation which was generated at 40 Kv and 40 mA at 1.540600A. The rate of the scanning was 0.30°C /min.\n\nDrug Content Determination\n\nATR spherical agglomerates equivalent to 40 mg of ATR were accurately weighed, crushed and transferred to a 10 mL volumetric flask. To this, 50 mL of methanol was added and sample was sonicated for 20 min so as todissolve the drug and the polymer. The volume was made up to 100 mL withmethanol and filtered through a 0.45 μm filters. The filtrate was diluted withmethanol and analyzed at 246.5 nm by uv-spectrophotometer.\n\nSolubility Study\n\nThe apparent solubility of Spherical crystals of Atorvastatin calcium determined In water.Each Spherical crystals in excess of drug equivalent to (40 mg) was added to 10 ml of solvent in glass vials with rubber closers. Then the vials were kept on a shaker incubator maintained at 37 ± 0.5 °C for 24 h. After shaking, the vials were kept in an incubator at 37 ± 0.5 °C for equilibrium for 10h. The solution was then filtered through 0.45 µm Millipore, filtered and the filtrate was assayed spectrophotometrically at 246.5 nm.\n\nIn-vitro release studies\n\nIn-vitro dissolution studies were carried out with spherical agglomerates. Each test was carried out in United States Pharmacopoeia dissolution apparatus II\n\n(Paddle) consisted of 900 ml , 0.1 N HCl maintained at 37.0 ± 0.5°C and stirring at 75 rpm. An accurately weighed quantity of each sample equivalent to 40 mg of Atorvastatin Calcium was subjected to the test. Samples 5 ml were withdrawn at predetermined time interval (5, 10, 15, 20 & 30 minutes) and immediately replace with the equal volumes of dissolution medium.. Diluted samples were analyzed at 246.5 nm by uv-spectrophotometer.\n\nFlow Property\n\nFlowability of ATR and its spherical agglomerates were determined in terms of the following parameters,Bulk density,Tapped density, Hausner ratio,Carr's index and Angle of repose.\n\nRESULTS AND DISCUSSION:\n\nDifferential Scanning Calorimetery (DSC)\n\nThe pure drug Atorvastatin calcium shown as an endothermic peak at 189.14oC. The peak neither is nor shifted in the case of DSC of the Atorvastatin calcium microspheres formulation containing Atorvastatin calcium. The DSC of physical mixture of the Losartan Potassium showed an endothermic peak at 189.14oC. The DSC spectra as shown in Fig 1 & 2.\n\nDrug polymer Interaction (FTIR) study\n\nFrom the spectra Atorvastatin calcium and physical mixture of Atorvastatin calcium, it was observed that all characteristic peaks of Losartan potassium were present in the combination spectrum, thus indicating compatibility of the Losartan potassium and polymer.\n\nTable 2 Characteristics of Atorvastatin calcium microspheres\n\n\| F1 \| 45.0 \| 112±0.02 \| 48.32 \| 78.41±0.01 \|\n\|---\|---\|---\|---\|---\|\n\| F2 \| 50 \| 118±0.04 \| 52.32 \| 80.30±0.01 \|\n\| F3 \| 64.1 \| 140±0.06 \| 65.12 \| 83.31±0.01 \|\n\| F4 \| 80 \| 167±0.02 \| 81.23 \| 85.21±0.01 \|\n\| F5 \| 90.83 \| 171±0.01 \| 92.36 \| 94.12±0.01 \|\n\| F6 \| 85 \| 172±0.03 \| 86 \| 91.14±0.01 \|\n\| F7 \| 91.5 \| 174±0.07 \| 92.36 \| 93.16±0.01 \|\n\nSEM studies\n\nThe microspheres are almost spherical with smooth surface.\n\nFig 1: SEM photographs of Atorvastatin calcium microspheres\n\nTable 3: In-vitro release studies\n\n\| Time (hrs.) \| \| \| \| \| \| \|\n\|---\|---\|---\|---\|---\|---\|---\|\n\| \| F1 \| F2 \| F3 \| F4 \| F5 \| F6 \|\n\| 1 \| 50.20±0.9 \| 49.2±0.6 \| 44.31±0.3 \| 46.21±0.9 \| 43.21±0.6 \| 42.13±0.3 \|\n\| 3 \| 55.10±0.3 \| 54.21±0.2 \| 53.20±0.9 \| 52.41±0.4 \| 51.23±0.5 \| 49.21±0.5 \|\n\| 6 \| 60.01±0.34 \| 59.01±0.1 \| 57.23±0.3 \| 56.14±0.3 \| 55.32±0.4 \| 54.25±0.5 \|\n\| 9 \| 68.87±0.32 \| 63.02±0.69 \| 61.35±0.2 \| 60.54±0.1 \| 59.24±0.2 \| 58.36±0.5 \|\n\| 12 \| 75.58±0.7 \| 67.58±0.6 \| 63.21±0.7 \| 62.30±0.5 \| 61.25±0.2 \| 6887±0.6 \|\n\| 15 \| 79.58±0.7 \| 72.71±0.1 \| 71.03±0.9 \| 70.21±0.2 \| 69.58±.0.5 \| 73.21±0.4 \|\n\| 18 \| 88.4±0.4 \| 77.15±0.52 \| 76.8±0.1 \| 75.21±0.3 \| 74.21± \| 78.89±0.4 \|\n\| 21 \| 98.52±0.2 \| 84.14±0.3 \| 85.74±0.3 \| 84.33±0.4 \| 83.25±0.5 \| 88.54±0.4 \|\n\| 24 \| --- \| 91.23±0.2 \| 92.69±0.5 \| 91.36±0.3 \| 89.72±0.3 \| 98.31±0.4 \|\n\nIn order to improve the release rate of drug from microspheres, 2.0 % w/v of camphor was included in the formulations. The composition of the formulation is shown in Table 1. Camphor was dissolved in the polymer solution, its forms uniform distribution in the polymer solution. Upon microencapsulation the particles will be getting encapsulated by polymer along with camphor. On drying due to volatile nature camphor may get evaporated and forms pores on the surface of the microspheres, through which drug could easily diffuse to the aqueous phase or dissolution medium. Microspheres were prepared by the emulsion solvent evaporation method and evaluated. In vitro release studies for the prepared microspheres were carried out .The release results are shown in table 3. Formulation F6 showed better release rate than F7. The reason for this retarded drug release may be due to the hydrophobic nature of the polymer, which prevents the penetration of the dissolution medium into the microspheres leading to slower dissolution and diffusion of the drug molecules from the microspheres.\n\net al\n\nTable 5: Flow Properties of Losartan Potassium Microspheres\n\n\| Formulation code (Avg. ± S.D.) \| Bulk density (Avg. ± S.D.) \| Tapped density (Avg. ± S.D.) \| Compressibility index (Avg. ± S.D.) \| Haussner’s ratio (Avg. ± S.D.) \|\n\|---\|---\|---\|---\|---\|\n\| F1 \| 0.426 ± 0.02 \| 0.349 ± 0.01 \| 3.702 ± 0.02 \| 1.064 ± 0.01 \|\n\| F2 \| 0.232 ± 0.01 \| 0.389 ± 0.03 \| 4.349 ± 0.03 \| 1.059 ± 0.01 \|\n\| F3 \| 0.310 ± 0.02 \| 0.329 ± 0.01 \| 3.601 ± 0.01 \| 1.038 ± 0.02 \|\n\| F4 \| 0.416 ± 0.01 \| 0.355 ± 0.02 \| 3.875 ± 0.01 \| 1.040 ± 0.01 \|\n\| F5 \| 0.326± 0.02 \| 0.387 ± 0.02 \| 3.659 ± 0.02 \| 1.045 ± 0.01 \|\n\| F6 \| 0.327 ± 0.02 \| 0.431 ± 0.01 \| 3.071 ± 0.02 \| 1.087 ± 0.01 \|\n\| F7 \| 0.340 ± 0.03 \| 0.375 ± 0.04 \| 4.129 ± 0.02 \| 1.084 ± 0.02 \|\n\nCONCLUSION:\n\nThis study shows that o/w emulsion solvent evaporation can be used as a simple method to prepare Aceclofenac sustained release microspheres by suing rosin as an encapsulating polymer. The drug entrapment efficiency of prepared microspheres were affected only by the drug:polymer ratio. The emulsifier concentration and organic phase volume influenced the particle size distribution of microspheres. Based on the above findings, it was observed that formulation F6 showed optimum release characteristics. The release rate of drug from the microspheres could be properly controlled for about 24h. Appropriate variation in the proportions of drug; polymer and stabilizer can lead to a product with the desired controlled release features\n\nREFERENCES:\n\n1. Jayakrishnan A, Latha MS. Biodegradable polymeric microspheres as drug carriers. In: Jain NK, Editor. Controlled and Novel drug delivery. New Delhi: CBS publishers. 1997. pp 236-255.\n2. Vyas SP, Khar RK. Proteins and peptides delivery considerations. In: Vyas SP, Khar RK, Editor. Controlled drug delivery concepts and advances. 1st ed. New Delhi: CBS publisher and Distributor. 2002; pp 549.\n3. Fu, X, Ping Q, Gao Y. Effects of formulation factors on encapsulation efficiency and release behavior in vitro of huperzine A-PLGA microspheres. J Microencap 2005; 22(7): 705-714.\n4. Jalil R, Nixon JR. Biodegradable poly (lactic acid) and poly(lactide-co-glycocide) microcapsules: problems associated with preparative techniques and release properties. J Microencap 1990b; 7: 297–325.\n5. Kawaguchi H. Functional polymer microspheres. Prog Polym Sci 2000; 25: 1171–1210.\n6. Mueller RH, Jacobs C, Kayser O. Nanosuspensions as particulate drug formulations in therapy rationale for development and what we can expect for the future. Adv Drug Deliv Review 2001; 47: 3–19.\n7. Edlund U, Albertsson AC. Degradable polymer microspheres for controlled drug delivery. Adv Polymeric Science 2002; 157: 67–112.\n8 Bain DF, Munday DL, Smith A. Solvent influence on spray dried biodegradable microspheres. J Microencap 1999; 16: 453-474.\n9. Oh JE, Nam YS, Lee KH, Park TG. Conjugation of drug poly(d,l-lactic-co-glycolic acid) for controlled release from biodegradable microspheres. J Con Release 1999; 57: 269- 280.\n10.Pistel KF, Bittner B, Koll H, Winter G, Kissel T. Biodegradable recombinant human erythropoietin loaded microspheres prepared from linear and startbranched block copolymers: influence of encapsulation technique and polymer composition on particle characteristics. J Con Release 1999; 59: 309325.\n11. Bai XL, Yang YY, Chung TS, Ng S, Heller J. Effect of polymer compositions on the fabrication of poly(ortho-ester) microspheres for controlled release of protein. J Appl Poly Sci 2001; 80: 1630-1642.\n</text>\n", "role": "user" }, { "content": "al drug delivery provides sharp increase in drug concentration often achieving toxic level and following a relatively short period at the therapeutic level of the drug concentration eventually drops off until re-administration.", "role": "assistant" } ]
Bay Area Air Quality Management District 939 Ellis Street San Francisco, California 94109 APPROVED MINUTES Advisory Council Technical Committee 9:00 a.m., Wednesday, February 28, 2007 1. Call to Order – Roll Call. Chairperson Sam Altshuler, P.E., called the meeting to order at 9:15 a.m. Present: Sam Altshuler, P.E., Chairperson, Louise Bedsworth, Ph.D., John Holtzclaw, Ph.D., (9:35 a.m.), Kraig Kurucz. Absent: Robert Bornstein, Ph.D., William Hanna. 2. Public Comment Period. There were no public comments. 3. Approval of Minutes of August 9, 2006. The approval of the minutes was deferred until a quorum was present. 4. Update on the South Coast Air District's Multiple Air Toxics Exposure Study (MATES) Program: Management District (SCAQMD), provided the Committee with an update on the SCAQMD's MATES Program. The Committee and Staff discussed differences between the Jean Ospital, Dr.P.H., Health Effects Officer, South Coast Air Quality MATES and the Community Air Risk Evaluation (CARE) Program. Chairperson Altshuler introduced Dr. Jean Ospital, Health Effects Officer, South Coast Air Quality Management District (SCAQMD) and thanked him for coming to the Bay Area for making the presentation to the Committee. Dr. Ospital's presentation included the following topics: * Structure of the SCAQMD * Southern California Air Quality * Smog Formation * Public Health Issues * Sources of Toxics * Toxic Air Contaminants * Background of MATES Study * Average Air Toxics Cancer Risks * MATES-II Monitoring * Model Estimated Risk from MATES-II * Substances Measured * MATES-III Goals, Components and Enhancements * MATES-III Progress * Selected Organic Toxic Substances; their annual averages and trends * MATES-III Monitory Sites & Microscale Sites * Next Steps Dr. Ospital provided a brief overview of the SCAQMD and its governing structure. The basic issues of concern of the SCAQMD are similar to those in the Bay Area – smog, ozone and particulate matter (PM). Other issues are risk from toxics such as additional risk of cancer from particulate toxic compounds, children's health and environmental justice. Dr. Ospital further stated that toxic air contaminants do not have air quality standards but they do have some toxicity; they may be carcinogens, may lead to adverse reproductive outcomes and can pose a threat to public health. Toxics come from a number of sources; however, pesticides and herbicides are not measured by the SCAQMD. Another view from Southern California is based on an article that was published in the Los Angeles Times a year ago, which noted a report that was published on the Environmental Protection Agency (EPA)'s assessment of national air toxics, that California was rated as No. 2 on the study and that New York had the highest risk. The report also stated that San Francisco was rated as the highest point of risk in California. Dr. Ospital provided an overview of the Multiple Air Toxics Exposure Study (MATES) Program and explained that it comprises of a series of studies. MATES-I was conducted in 1987 to monitor the levels of air toxics. Most of the toxics measured were in the gas phase. MATES-II was conducted in 1998-1999. It was a more comprehensive study when many more sites were taken for measurements; and more chemicals and substances were measured. A newly listed toxic during the time period was diesel exhaust particulate. Results showed that there was a downward trend for certain air toxics; that the bulk of air toxic risk came from mobile sources and that diesel exhaust accounted for 71% of cancer risks from air toxics. There were two separate monitoring components to MATES-II: (1) a network of 10 fixed sites which monitored for toxic air contaminants once every six days for an entire year; and (2) a microscale study which utilized three mobile platforms to sample at 14 additional communities. The microscale study specifically targeted residential areas. The sampling platforms were situated in a community for a one-month period. For both the fixed and microscale sites, over 30 air pollutants were measured. These included both gases and particulates. The key results of the MATES-II study were as follows: 1. The carcinogenic risk in the South Coast Air Basin is about 1,400 per million people. This is based on the average of the pollutant concentration measured at the fixed monitoring sites. Mobile sources represent the greatest contributor. About 71% of all risk is attributed to diesel particulate emissions; 20% to other toxics associated with mobile sources (including benzene, butadiene and formaldehyde); and 11% of all risk is attributed to stationary sources. 2. In addition to the monitoring portion, MATES-II also included a computer modeling exercise where emissions of toxics were estimated throughout the region and apportioned to a 2 km x 2 km grid scale. The model that was used estimated what the annual average concentrations were from those emissions. It showed that the higher risk levels occurred in the harbor area where the ports are located, the south-central Los Angeles area and near the freeways, with diesel being the predominant source of that risk. For the MATES-III study, an update on the previous study and an assessment of the current air toxics levels were done; the gradients between community levels by using several microscale sites were determined; and an update on the risk characterization was done. Also included in the study is an update of the emissions inventory and the modeling exercise and ambient monitoring. There are some enhancements between MATES-II and MATES-III. An additional substance, naphthalene, was added. The substance was in the process of being evaluated by Cal EPA and the California Air Resources Board (CARB) and it was found that they did adopt a toxic potency factor on it for cancer. Analyses for "markers" of diesel and other PM sources were also done. A more frequent sampling of once every three days was undertaken, and the study was extended from one year to two. A myriad of major substances, such as several volatile organic hydrocarbons, toxic metals, polycyclic aromatic hydrocarbons (PAHs) and diesel PM, were determined as a result of the analyses for risk and for source apportionment. For the PM apportionment addition, a multiple organic tracer approach is being taken by combining the PM2.5 filters on a monthly basis at each fixed site, and compiling the data for organics, EC, OC and metals. The chemical mass balance (CMB) model is being used to conduct the PM source apportionment. Dr. Ospital described the slides on the various monitoring and microscale sites for MATES-III. Dr. John Holtzclaw arrived at 9:35 a.m and a quorum was present. The progress to date on the MATES-III study is as follows: it was started in April, 2004; the air toxics sampling was done for two years at 10 fixed and six microscale sites and is completed. The laboratory analyses are also completed as of two weeks ago, and all the data are presently undergoing the QA/QC reviews. An initial "look" at the toxics shows a downward trend from when MATES-II was undertaken. Five volatile organic toxic substances were selected for presentation of initial results: benzene, 1, 3 butadiene, formaldehyde, acetaldehyde and perc. The value for benzene at the 10 fixed sites, over the two-year period, shows that the highest levels are in the fall and winter months, and that the highest site is the Compton site. The monitoring data between the sites varied on a monthly and seasonal basis. There was a dramatic reduction across all the sites in annual benzene levels. The annual trend shows that the benzene levels decreased; it was compared to the trends from the ARB for monitoring sites in Southern California. The MATES-II and III studies are consistent with ARB's findings that there has been a reduction through 2005. Regarding formaldehyde, there was not much difference between the MATES-II and MATES-III studies. The annual trend showed an increase in 1995-96 that was likely due to a change in the methodology rather than a real change in levels. There is no obvious trend over time on formaldehyde. For acetaldehyde, the annual averages were the same for the MATES-II and MATES-III studies. Regarding perc, it is being phased out in the use of dry cleaners and as a solvent, and there was a substantial reduction in the averages between the two studies. The annual trend also shows a gradual decrease. The study also estimated the lifetime 70-year exposure risk for the five substances discussed above. There was a reduction greater than 50% in the risk factor, with the aldehydes remaining at the same levels. Currently, staff is completing the sample analyses, including the PM source "markers"; the toxics emissions inventory is being updated; modeling will be used to estimate levels over the region during the middle of this year; and the PM source apportionment calculations will be applied to the monitoring data. In reply to Committee members' questions, Dr. Ospital responded as follows: 1) Wood smoke is an issue and it is one of the sources that will be looked at in the source apportionment model. In terms of its contribution to particulate matter, it is a much larger issue in Northern California. However, wood smoke is currently an issue for the SCAQMD since there is a ruling on fireplaces that is coming up for the Board of Directors' consideration. The current draft of the proposed rule would require new buildings to have EPA-approved fireplace inserts. It is a very controversial rule and there is limited data available on the contribution of wood smoke to PM2.5. If a fireplace has an insert, it would need to be upgraded to one that is currently EPA-certified when a house is sold; and if it does not have an insert currently, then it would be exempt. All new houses would be required to have EPA-certified devices installed. The in-house, brick hearth open burning fireplace is not included in the proposed rule language. (Altshuler) 2) Lube oil is not specifically being looked at but some of the "markers" for vehicles are lube oil-driven. It cannot be determined if lube oil comes from a car or a truck since it has similar components. It has been suggested that the ratio of certain PAHs are different in gasoline vehicles compared to diesel. (Altshuler) 3) With regard to ultra fine sizing for particulate matter, it is not part of the MATES study. However, there is a port monitoring study that will be starting at six sites near and around the ports. Part of this study will be toxics, criteria pollutants and particle counts. In the near future, there will be information available on ultra fine particles. There is also a study that is currently underway at the Santa Monica and Van Nuys municipal airports in which particle counts are being measured at both ends of the runways, for a six month period, at each airport. 4) In the slide presented earlier during the meeting for the Model Estimated Risk from MATES-II, which showed the intensity of the various areas in the Los Angeles area, Mr. Kurucz inquired if the two freeways leaving the area were truly measured and found to be low risk, or whether they were outside the scope of the study geography. Dr.Ospital explained that there are differences in the traffic intensity on the San Diego freeway (the one going north-to-south). At the time of the study it was traveled predominantly by light duty vehicles. In the area nearer the ports is the 710 freeway which has about 20% heavy duty diesel traffic. All the freeways have heavy traffic; however, the types of traffic are different. The ARB had a report commissioned on traffic volumes in California which quantified the light duty vs. the heavy duty traffic on the different major roadways; the 710 freeway showed that it had more heavy duty diesel traffic on it. 5) Mr. Kurucz inquired if the decrease in the annual trends for benzene and 1,3 butadiene agreed with the predicted models. Dr. Ospital explained that for the MATES-II modeling, the modeling results were very close to the monitoring results. In terms of MATES-III, the updated emissions inventory or modeling has not been done as yet. Staff will address the question of whether it fits with what is being measured at a later date. 6) There are two sources for formaldehyde: one from tailpipe emissions and the other from formation in the atmosphere. The SCAQMD staff has not done a lot of study on formaldehyde emissions. It is unknown whether the precursors are still present or if it is because of the emissions. The emissions inventory update will need to be reviewed to see how that tracks the inventory for MATES-II. The ARB is revising their emissions model and there have been several reiterations of the current version; the latest information is currently being plugged into the SCAQMD's emissions inventory. (Altshuler) 7) Mr. Althsuler inquired how many natural gas heavy duty vehicles are operating without catalysts versus the newer ones which are equipped with catalysts. Dr. Ospital commented that within the last three years most of the gas fueled transit buses in the South Coast were purchased with catalysts, and that the heavy duty fleet of natural gas vehicles is very low. 8) For the first year of the MATES-III study, the cost was estimated at $2 million; this included staff time and purchase of new equipment and monitoring devices. The second year of the study may cost less than $2 million. Part of the cost is the routine analyses of the organics, particulates, PAHs and naphthalene which were outsourced. (Altshuler) 9) With regard to PM apportionment for MATES-II, diesel was designated as a toxic air contaminant during the study and the SCAQMD used elemental carbon as a surrogate for diesel; there was a conversion factor of 1.04 based on the emissions inventory. A factor of 1.04 was chosen to convert elemental carbon to diesel PM. The Technical Advisory Group felt that for MATES-III this method was a very uncertain way to measure diesel particulate. Therefore, the staff is now using the chemical mass balance (CMB) approach for looking at the source apportionment for diesel as well as for gasoline. Source profiles that have been published from those sources could be put into a correlation equation for apportioning the emissions to different sources using the different chemical tracers, for example, cholesterol used as a tracer for meat cooking and other compounds are a signature for wood smoke; diesel and gasoline have several overlaps in terms of the PAHs and the lube oil-derived chemicals. There is some evidence that there may be differences in ratios of the PAHs. In 1990 there was an apportionment for diesel, wood smoke, cooking, etc; and the apportionment to diesel was found to be very close to what the MATES study estimated. (Bedsworth) 10) The Model Estimated Risk from MATES-II shows that there were estimates of risk up to 1,400 per million people; and the chart on the 70-Year Risk shows lower estimates of greater than a hundred. Mr. Altshuler inquired if the difference was due to the fact that diesel was not included. Dr. Ospital explained that the Risk Charts that he had shown during his presentation were for the five substances that had been selected, and that they did not include diesel or any other toxics. In MATES-II, the diesel risk was about 1,000 in a million, which accounted for the bulk of the risk. 11) Wild land fires and grass fires would be apportioned into the wood smoke-type category. Usually in Southern California when there are fires, they are very large and there are very little data available on contributions on a few days but it is not very significant to an annual average. If the PM apportionment is done correctly, they should not affect risk at all in terms of the particulates since for cancer risk there are no risk factors adopted for wood or vegetation burning derived PM. It would affect risk in terms of PM components exposure or volatile organics that are emitted. Typically, in a fire, no or a little blip is seen in the 24-hour monitoring filters. In the areas where there is a heavy concentration of smoke the stations often go down when the electricity goes out because of the fires; hence, no data are available in such situations. The SCAQMD sponsored a couple of studies after the 2003 fall fire, and commissioned the investigators to look at (a) children's health and (b) hospital admission data and mortality data, during the fires. Some estimates were done based on the monitoring as well as satellite imaging on what the exposures were. By combining both sets of the data, it provided a more believable estimate of particulate levels. The study's findings showed correlations of symptoms in children and respiratory symptoms with reported smoke exposure. The hospital admissions and mortality studies were based on the State's data and there were also correlations on certain diseases that were mostly cardiovascular related. (Altshuler) 12) Mr. Altshuler inquired whether any focused study had been done for unique events, such as 9/11, strikes, fuel price spikes, or holidays, to see what impacts those limited events had on the air quality, if any. Dr. Ospital stated that no focused studies were done. However, there are data from the monitoring network that could provide information on recent events. There was a port shutdown a couple of years ago for a week or so, and researchers at the University of Southern California found some differences for that time period that were attributed to either more emissions from ships piling up, or lower emissions from less trucks on the road, depending on which component is being looked at. 13) Mr. Altshuler inquired if the SCAQMD had done any monitoring of emissions from ships. Dr.Ospital stated that the District will be using some profiles for ship emissions using bunker fuel as part of the source apportionment. The University of Riverside has been doing some measurements and if those analyses are available, the staff will use them. Nickel and Vanadium will also be used as potential tracers for bunker fuel. In reply to the District staff's questions, Dr. Ospital commented as follows: 1) The SCAQMD's Advisory Committee is called the Technical Advisory Group and comprises of 20 members from academia, industry, local governments and community and environmental organizations. During the planning stages of the MATES-III study, the Group met about five times and during the analyses phase when routine monitoring and laboratory work is being conducted, the Group has not met for at least two years. It was not worthwhile to have the Group meet until staff had reasonable information for it to discuss. (Hess) 2) With regard to long-term non-cancer risk or acute risk, during the analyses or modeling stages for the MATES-II study, staff also looked at non-cancer risks in terms of how the levels compared to a long-term reference exposure level. There were no significant findings. With regard to acrolein, it was not included in MATES-II and III studies. The Technical Advisory Group wanted staff to look at it; however, at the time there was no established method being used either by CARB or by the EPA. Currently, there is a method that people are comfortable with. (Martien) 3) Gary Kendall, Director, Technical Services, commented that the Bay Area Air Quality Management District (BAAQMD) has very similar trends for benzene and 1,3 butadiene. With regard to formaldehyde, Mr. Kendall stated that diesel vehicles are significant aldehyde emitters. The SCAQMD completed a couple of studies in conjunction with the ARB and British Petroleum (BP)/ARCO to look at diesel and natural gas fuel buses. The study showed that very little formaldehyde came from the diesel vehicles, whereas the natural gas buses without catalysts emitted more comparatively. Based on this limited data, Dr. Ospital did not expect diesel to be a large contributor. 4) The compounds that will be included for the MATES-III modeling study will be most of the toxics that have significant risks such as benzene, butadiene, perchloroethylene, aldehydes, and metals such as cadmium, nickel, chromium VI, from both mobile and stationary sources, and they will be apportioned to the grid. The type of model to be used has not been decided. Staff is looking at the newer and better models to be consistent with the modeling done for the SCAQMD's Air Quality Management Plan. (Martien) Phil Martien, Senior Advanced Project Advisor and CARE Program Manager, commented that the regional modeling is a grid-based model in which the emissions are estimated and then fed into the model, along with meteorological inputs. The District is not doing any interpolations except for validating and evaluating the model. 5) With regard to a communication strategy, the results of the MATES-III are being disseminated as follows: (a) keeping the Board of Directors apprised. The Mobile Source Committee also meets periodically and receives updates from staff; (b) once the modeling results and summary statistics are available, staff will present them to the Technical Advisory Group and request their feedback; (c) conducting community presentations in those communities where the monitoring is being done. In addition, town hall meetings will be held when the results will be presented and questions from the communities answered; (d) a report will eventually be published and distributed. (Hess) 6) Mr. Hess stated that the BAAQMD staff is considering doing some detailed funding of toxicity of some food markers and working with the University of Minnesota on some of their studies. Mr. Hess inquired if the SCAQMD is considering any changes to its MATES program and Dr. Ospital's thoughts on future research. Dr. Ospital opined that with regard to future research, he would look at the following: (a) developing monitoring methods that can be deployed on a mass basis so that the information is available widespread from a larger number of sites; (b) developing data on wild fires and their toxicity and their influence on exposure. More real time monitors are required rather than just the 24-hour samples which do not provide the necessary data; (c) installing the technologies and hardware that are required to be able to link to real time data remotely; (d) conducting more limited and longerterm monitoring, at fewer sites, on a continuous basis, so that better information is available on trends. 7) Mobile sampling could be helpful for backyard monitoring since they can easily identify hot spots; however the available technologies are different and they are not federally sanctioned for routine monitoring. (Martien) 8) In response to Mr. Altshuler's inquiry, Mr. Martien stated that the BAAQMD's CARE Program costs approximately $1 million per year. 3. Approval of Minutes of August 9, 2006. With a quorum present, Chairperson Altshuler requested that on Page 2 of the minutes, in the third sentence, change the word "has" to "have"; on Page 2, second Paragraph, last sentence, change the word "has" to "have"; and on Page 2, third Paragraph, last sentence, change the word "is" to "are". Dr. Holtzclaw moved approval of the minutes, as corrected; seconded by Dr. Bedsworth; carried unanimously. 5. Update on the District's Climate Protection Program: Staff provided an update on the Climate Protection Program. The Committee discussed climate protection issues and how to complement the District's activities. Ana Sandoval, Principal Environmental Planner, provided an update on the District's Climate Protection Program. The presentation included information on the different initiatives the District is currently working on, the progress made to date and plans for the future: Why an Air District Climate Program? * Regional leadership needed on critical environmental issue * Continued warming could erode air quality improvements * Higher temperatures increase emissions * Fossil fuel combustion is main source of greenhouse gases (GHGs) and criteria, toxic air pollutants * Co-benefits of control strategies -Energy efficiency -Transportation control measures -Smart growth -Low emission vehicles District's Early Steps * Launched climate protection program June 2005 * Established Board of Directors Climate Protection Committee * Integrated climate protection into all air quality programs * Climate protection initiatives -Regional climate protection Summit -Bay Area GHG emission inventory -GHG mitigation study -In-house GHG emission reductions -Promotion of energy efficiency Next Steps * Regional Leadership Council * Bay Area Climate Protection website * Grant Program * Public Outreach Campaign * Continuation of Existing Initiatives -GHG Technology Study -Bay Area GHG Emission Inventory -K-12 Climate Protection Education -Integration with District Activities -In-house GHG Emission Reductions Grant Program Potential Project Types * Renewable energy infrastructure, such as solar or wind energy * Green technology development, such as more energy efficient products * Green building projects * Public involvement campaigns, such as educational messaging or emission reduction implementation programs GHG Technology Study * Identify opportunities for emission reductions at stationary sources subject to District regulations * Identify benefits and disbenefits of reduction measures * Independent study: URS hired as contractor * Phase II Study to evaluate most promising reduction measures * Ongoing staff reviews of Phase I Draft Final Report Further Integration with District Activities * Transportation Fund for Clean Air (TFCA) grants evaluation criteria now include GHG reduction benefit * CEQA comment letters now include consideration of GHG emissions * Air Quality Element General Plan Guidelines will include section on Climate Protection * Updated CEQA Guidelines will address GHG emissions analysis and mitigation strategies * Staff will report on GHG emissions in rule development * Smart Growth – Focusing Our Vision process The Committee offered the following suggestions on the Climate Protection initiatives: 1) Dr. Holtzclaw commented that the Focusing Our Vision process was oriented with local governments and focused on saving space and using the transportation systems more efficiently. The process did not include any calculation of the global warming gas emission differences. He suggested that as the District comes up with various alternatives, if an analysis could be done to compare the different alternatives, this might be an excellent addition to that process. 2) Mr. Kurucz suggested that since the State is developing an environmental K-12 curriculum, the District's K-12 curriculum on climate change should be integrated with the State's efforts. 3) Chairperson Altshuler commented that he is pleased to see that some of the scoring criteria may be altered for the TFCA and Carl Moyer programs. He suggested that Environmental Impact Reports (EIRs) would be another aspect that is very important. 4) Chairperson Altshuler suggested installation of compact fluorescent light bulbs for efficiency at the District since they are very low on GHG emissions. 5) Chairperson Altshuler commented that there will be some unique challenges regarding issues related to wood smoke and banning wood combustion, etc. It could be debated that when wood is burned, it is a renewable fuel which is good for the environment from a carbon dioxide perspective. Some of the issues would need to be balanced carefully. 6) Dr. Bedsworth inquired if any efforts are being made to train people to conduct outreach programs on this topic. It was suggested that staff and community members could be trained to reach out to other air districts around the State. Ms. Sandoval explained that the District does not have an initiative currently to develop a formal training program; however, staff is in touch with other air districts through the California Air Pollution Control Officers Association (CAPCOA) which has formed a Climate Protection Committee to act as a forum for exchange of information. Dr. Bedsworth also suggested that the District form a pool of speakers and make it available on its website as a resource. 7) Dr. Holtzclaw suggested educating the media, particularly newspapers, TV and radio, about the various ways of handling global warming. For example, John King, an architectural critic with the San Francisco Chronicle, wrote an article about the new federal building in San Francisco. He described the efforts that were made to make the building more toxic free and to reduce the amount of global warming gases emitted during its construction and operations. Dr. Holtzclaw stated that it was an excellent article and that the District could play a major role in this aspect. 8) With regard to "branding", Dr. Holtzclaw commented that one poll states what Americans think the consequences of global warming are in places such as the poles. Dr. Holtzclaw suggested that the "branding" or any other publicity on climate change should emphasize the potential local impacts of global warming so that people begin to think of it as something happening locally rather than something happening at the poles. 9) Chairperson Altshuler commented that cans or packages of food sold in stores have a label on them that indicates the calorie count for each food, and suggested that products should have a similar label on them that indicates the amount of BTUs and GHG emissions that are respectively used and emitted during their production. Similarly, new cars should have labels indicating the amount of greenhouse gases that are emitted during their production. Chairperson Altshuler mentioned that he would like to find out from the District as to what role the Advisory Council could play to complement the staff and the Board of Directors in its initiatives on climate change. The Committee discussed the possibility of recommending one or two members of the Technical Committee to participate in the Board's Public Outreach and Climate Protection Committees. A lengthy discussion followed. Chairperson Altshuler stated that he would convey the Committee's comments to the Management staff and discuss it with them. Mr. Kurucz mentioned that the District staff has incorporated GHG elements in not only planning but in some selected new rule developments. Dan Belik, Manager, Rule Development, responded to questions regarding the boiler rules and described the process for developing criteria for GHG impacts during the rule making process. 6. Committee Member Comments/Other Business. Chairperson Althsuler stated that Bart Ostro, Chief, Office of Health Hazard Assessment, will make a presentation to the Committee at its next meeting. In May 2007, Tom Cahill, Professor Emeritus, University of California at Davis, will be presenting to the full Advisory Council, and Chairperson Altshuler will be contacting Mark Jacobsen, Professor, Stanford University, to make a presentation on elemental carbon issues to the Advisory Council at a future meeting. The Committee thanked Dr. Ospital and staff for their presentations. 7. Time and Place of Next Meeting. 9:00 a.m., Monday, April 16, 2007, 939 Ellis Street, San Francisco, CA 94109. 8. Adjournment. 11:50 a.m. /s/ Neel Advani Neel Advani Deputy Clerk of the Boards	<urn:uuid:37faf496-588d-4294-8e62-75d51c497a3f>	CC-MAIN-2018-30	http://www.baaqmd.gov/~/media/files/board-of-directors/advisory-council/2007/tec_min_022807.pdf	2018-07-16T14:24:31Z	s3://commoncrawl/crawl-data/CC-MAIN-2018-30/segments/1531676589350.19/warc/CC-MAIN-20180716135037-20180716155037-00023.warc.gz	424,098,465	6,682	eng_Latn	eng_Latn	0.979452	eng_Latn	0.997771	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1775, 5189, 8512, 11943, 15546, 19448, 22877, 24925, 27153, 30461, 31572 ]	Bay Area Air Quality Management District 939 Ellis Street San Francisco, California 94109 APPROVED MINUTES Advisory Council Technical Committee 9:00 a.m., Wednesday, February 28, 2007 1. Call to Order – Roll Call. Chairperson Sam Altshuler, P.E., called the meeting to order at 9:15 a.m. Present: Sam Altshuler, P.E., Chairperson, Louise Bedsworth, Ph.D., John Holtzclaw, Ph.D., (9:35 a.m.), Kraig Kurucz. Absent: Robert Bornstein, Ph.D., William Hanna. 2. Public Comment Period. There were no public comments. 3. Approval of Minutes of August 9, 2006. The approval of the minutes was deferred until a quorum was present. 4. Update on the South Coast Air District's Multiple Air Toxics Exposure Study (MATES) Program: Management District (SCAQMD), provided the Committee with an update on the SCAQMD's MATES Program. The Committee and Staff discussed differences between the Jean Ospital, Dr.P.H., Health Effects Officer, South Coast Air Quality MATES and the Community Air Risk Evaluation (CARE) Program. Chairperson Altshuler introduced Dr. Jean Ospital, Health Effects Officer, South Coast Air Quality Management District (SCAQMD) and thanked him for coming to the Bay Area for making the presentation to the Committee. Dr. Ospital's presentation included the following topics: * Structure of the SCAQMD * Southern California Air Quality * Smog Formation * Public Health Issues * Sources of Toxics * Toxic Air Contaminants * Background of MATES Study * Average Air Toxics Cancer Risks * MATES-II Monitoring * Model Estimated Risk from MATES-II * Substances Measured * MATES-III Goals, Components and Enhancements * MATES-III Progress * Selected Organic Toxic Substances; their annual averages and trends * MATES-III Monitory Sites & Microscale Sites * Next Steps Dr. Ospital provided a brief overview of the SCAQMD and its governing structure. The basic issues of concern of the SCAQMD are similar to those in the Bay Area – smog, ozone and particulate matter (PM). Other issues are risk from toxics such as additional risk of cancer from particulate toxic compounds, children's health and environmental justice. Dr. Ospital further stated that toxic air contaminants do not have air quality standards but they do have some toxicity; they may be carcinogens, may lead to adverse reproductive outcomes and can pose a threat to public health. Toxics come from a number of sources; however, pesticides and herbicides are not measured by the SCAQMD. Another view from Southern California is based on an article that was published in the Los Angeles Times a year ago, which noted a report that was published on the Environmental Protection Agency (EPA)'s assessment of national air toxics, that California was rated as No. 2 on the study and that New York had the highest risk. The report also stated that San Francisco was rated as the highest point of risk in California. Dr. Ospital provided an overview of the Multiple Air Toxics Exposure Study (MATES) Program and explained that it comprises of a series of studies. MATES-I was conducted in 1987 to monitor the levels of air toxics. Most of the toxics measured were in the gas phase. MATES-II was conducted in 1998-1999. It was a more comprehensive study when many more sites were taken for measurements; and more chemicals and substances were measured. A newly listed toxic during the time period was diesel exhaust particulate. Results showed that there was a downward trend for certain air toxics; that the bulk of air toxic risk came from mobile sources and that diesel exhaust accounted for 71% of cancer risks from air toxics. There were two separate monitoring components to MATES-II: (1) a network of 10 fixed sites which monitored for toxic air contaminants once every six days for an entire year; and (2) a microscale study which utilized three mobile platforms to sample at 14 additional communities. The microscale study specifically targeted residential areas. The sampling platforms were situated in a community for a one-month period. For both the fixed and microscale sites, over 30 air pollutants were measured. These included both gases and particulates. The key results of the MATES-II study were as follows: 1. The carcinogenic risk in the South Coast Air Basin is about 1,400 per million people. This is based on the average of the pollutant concentration measured at the fixed monitoring sites. Mobile sources represent the greatest contributor. About 71% of all risk is attributed to diesel particulate emissions; 20% to other toxics associated with mobile sources (including benzene, butadiene and formaldehyde); and 11% of all risk is attributed to stationary sources. 2. In addition to the monitoring portion, MATES-II also included a computer modeling exercise where emissions of toxics were estimated throughout the region and apportioned to a 2 km x 2 km grid scale. The model that was used estimated what the annual average concentrations were from those emissions. It showed that the higher risk levels occurred in the harbor area where the ports are located, the south-central Los Angeles area and near the freeways, with diesel being the predominant source of that risk. For the MATES-III study, an update on the previous study and an assessment of the current air toxics levels were done; the gradients between community levels by using several microscale sites were determined; and an update on the risk characterization was done. Also included in the study is an update of the emissions inventory and the modeling exercise and ambient monitoring. There are some enhancements between MATES-II and MATES-III. An additional substance, naphthalene, was added. The substance was in the process of being evaluated by Cal EPA and the California Air Resources Board (CARB) and it was found that they did adopt a toxic potency factor on it for cancer. Analyses for "markers" of diesel and other PM sources were also done. A more frequent sampling of once every three days was undertaken, and the study was extended from one year to two. A myriad of major substances, such as several volatile organic hydrocarbons, toxic metals, polycyclic aromatic hydrocarbons (PAHs) and diesel PM, were determined as a result of the analyses for risk and for source apportionment. For the PM apportionment addition, a multiple organic tracer approach is being taken by combining the PM2.5 filters on a monthly basis at each fixed site, and compiling the data for organics, EC, OC and metals. The chemical mass balance (CMB) model is being used to conduct the PM source apportionment. Dr. Ospital described the slides on the various monitoring and microscale sites for MATES-III. Dr. John Holtzclaw arrived at 9:35 a.m and a quorum was present. The progress to date on the MATES-III study is as follows: it was started in April, 2004; the air toxics sampling was done for two years at 10 fixed and six microscale sites and is completed. The laboratory analyses are also completed as of two weeks ago, and all the data are presently undergoing the QA/QC reviews. An initial "look" at the toxics shows a downward trend from when MATES-II was undertaken. Five volatile organic toxic substances were selected for presentation of initial results: benzene, 1, 3 butadiene, formaldehyde, acetaldehyde and perc. The value for benzene at the 10 fixed sites, over the two-year period, shows that the highest levels are in the fall and winter months, and that the highest site is the Compton site. The monitoring data between the sites varied on a monthly and seasonal basis. There was a dramatic reduction across all the sites in annual benzene levels. The annual trend shows that the benzene levels decreased; it was compared to the trends from the ARB for monitoring sites in Southern California. The MATES-II and III studies are consistent with ARB's findings that there has been a reduction through 2005. Regarding formaldehyde, there was not much difference between the MATES-II and MATES-III studies. The annual trend showed an increase in 1995-96 that was likely due to a change in the methodology rather than a real change in levels. There is no obvious trend over time on formaldehyde. For acetaldehyde, the annual averages were the same for the MATES-II and MATES-III studies. Regarding perc, it is being phased out in the use of dry cleaners and as a solvent, and there was a substantial reduction in the averages between the two studies. The annual trend also shows a gradual decrease. The study also estimated the lifetime 70-year exposure risk for the five substances discussed above. There was a reduction greater than 50% in the risk factor, with the aldehydes remaining at the same levels. Currently, staff is completing the sample analyses, including the PM source "markers"; the toxics emissions inventory is being updated; modeling will be used to estimate levels over the region during the middle of this year; and the PM source apportionment calculations will be applied to the monitoring data. In reply to Committee members' questions, Dr. Ospital responded as follows: 1) Wood smoke is an issue and it is one of the sources that will be looked at in the source apportionment model. In terms of its contribution to particulate matter, it is a much larger issue in Northern California. However, wood smoke is currently an issue for the SCAQMD since there is a ruling on fireplaces that is coming up for the Board of Directors' consideration. The current draft of the proposed rule would require new buildings to have EPA-approved fireplace inserts. It is a very controversial rule and there is limited data available on the contribution of wood smoke to PM2.5. If a fireplace has an insert, it would need to be upgraded to one that is currently EPA-certified when a house is sold; and if it does not have an insert currently, then it would be exempt. All new houses would be required to have EPA-certified devices installed. The in-house, brick hearth open burning fireplace is not included in the proposed rule language. (Altshuler) 2) Lube oil is not specifically being looked at but some of the "markers" for vehicles are lube oil-driven. It cannot be determined if lube oil comes from a car or a truck since it has similar components. It has been suggested that the ratio of certain PAHs are different in gasoline vehicles compared to diesel. (Altshuler) 3) With regard to ultra fine sizing for particulate matter, it is not part of the MATES study. However, there is a port monitoring study that will be starting at six sites near and around the ports. Part of this study will be toxics, criteria pollutants and particle counts. In the near future, there will be information available on ultra fine particles. There is also a study that is currently underway at the Santa Monica and Van Nuys municipal airports in which particle counts are being measured at both ends of the runways, for a six month period, at each airport. 4) In the slide presented earlier during the meeting for the Model Estimated Risk from MATES-II, which showed the intensity of the various areas in the Los Angeles area, Mr. Kurucz inquired if the two freeways leaving the area were truly measured and found to be low risk, or whether they were outside the scope of the study geography. Dr.Ospital explained that there are differences in the traffic intensity on the San Diego freeway (the one going north-to-south). At the time of the study it was traveled predominantly by light duty vehicles. In the area nearer the ports is the 710 freeway which has about 20% heavy duty diesel traffic. All the freeways have heavy traffic; however, the types of traffic are different. The ARB had a report commissioned on traffic volumes in California which quantified the light duty vs. the heavy duty traffic on the different major roadways; the 710 freeway showed that it had more heavy duty diesel traffic on it. 5) Mr. Kurucz inquired if the decrease in the annual trends for benzene and 1,3 butadiene agreed with the predicted models. Dr. Ospital explained that for the MATES-II modeling, the modeling results were very close to the monitoring results. In terms of MATES-III, the updated emissions inventory or modeling has not been done as yet. Staff will address the question of whether it fits with what is being measured at a later date. 6) There are two sources for formaldehyde: one from tailpipe emissions and the other from formation in the atmosphere. The SCA	QMD staff has not done a lot of study on formaldehyde emissions.	It is unknown whether the precursors are still present or if it is because of the emissions. The emissions inventory update will need to be reviewed to see how that tracks the inventory for MATES-II. The ARB is revising their emissions model and there have been several reiterations of the current version; the latest information is currently being plugged into the SCAQMD's emissions inventory. (Altshuler) 7) Mr. Althsuler inquired how many natural gas heavy duty vehicles are operating without catalysts versus the newer ones which are equipped with catalysts. Dr. Ospital commented that within the last three years most of the gas fueled transit buses in the South Coast were purchased with catalysts, and that the heavy duty fleet of natural gas vehicles is very low. 8) For the first year of the MATES-III study, the cost was estimated at $2 million; this included staff time and purchase of new equipment and monitoring devices. The second year of the study may cost less than $2 million. Part of the cost is the routine analyses of the organics, particulates, PAHs and naphthalene which were outsourced. (Altshuler) 9) With regard to PM apportionment for MATES-II, diesel was designated as a toxic air contaminant during the study and the SCAQMD used elemental carbon as a surrogate for diesel; there was a conversion factor of 1.04 based on the emissions inventory. A factor of 1.04 was chosen to convert elemental carbon to diesel PM. The Technical Advisory Group felt that for MATES-III this method was a very uncertain way to measure diesel particulate. Therefore, the staff is now using the chemical mass balance (CMB) approach for looking at the source apportionment for diesel as well as for gasoline. Source profiles that have been published from those sources could be put into a correlation equation for apportioning the emissions to different sources using the different chemical tracers, for example, cholesterol used as a tracer for meat cooking and other compounds are a signature for wood smoke; diesel and gasoline have several overlaps in terms of the PAHs and the lube oil-derived chemicals. There is some evidence that there may be differences in ratios of the PAHs. In 1990 there was an apportionment for diesel, wood smoke, cooking, etc; and the apportionment to diesel was found to be very close to what the MATES study estimated. (Bedsworth) 10) The Model Estimated Risk from MATES-II shows that there were estimates of risk up to 1,400 per million people; and the chart on the 70-Year Risk shows lower estimates of greater than a hundred. Mr. Altshuler inquired if the difference was due to the fact that diesel was not included. Dr. Ospital explained that the Risk Charts that he had shown during his presentation were for the five substances that had been selected, and that they did not include diesel or any other toxics. In MATES-II, the diesel risk was about 1,000 in a million, which accounted for the bulk of the risk. 11) Wild land fires and grass fires would be apportioned into the wood smoke-type category. Usually in Southern California when there are fires, they are very large and there are very little data available on contributions on a few days but it is not very significant to an annual average. If the PM apportionment is done correctly, they should not affect risk at all in terms of the particulates since for cancer risk there are no risk factors adopted for wood or vegetation burning derived PM. It would affect risk in terms of PM components exposure or volatile organics that are emitted. Typically, in a fire, no or a little blip is seen in the 24-hour monitoring filters. In the areas where there is a heavy concentration of smoke the stations often go down when the electricity goes out because of the fires; hence, no data are available in such situations. The SCAQMD sponsored a couple of studies after the 2003 fall fire, and commissioned the investigators to look at (a) children's health and (b) hospital admission data and mortality data, during the fires. Some estimates were done based on the monitoring as well as satellite imaging on what the exposures were. By combining both sets of the data, it provided a more believable estimate of particulate levels. The study's findings showed correlations of symptoms in children and respiratory symptoms with reported smoke exposure. The hospital admissions and mortality studies were based on the State's data and there were also correlations on certain diseases that were mostly cardiovascular related. (Altshuler) 12) Mr. Altshuler inquired whether any focused study had been done for unique events, such as 9/11, strikes, fuel price spikes, or holidays, to see what impacts those limited events had on the air quality, if any. Dr. Ospital stated that no focused studies were done. However, there are data from the monitoring network that could provide information on recent events. There was a port shutdown a couple of years ago for a week or so, and researchers at the University of Southern California found some differences for that time period that were attributed to either more emissions from ships piling up, or lower emissions from less trucks on the road, depending on which component is being looked at. 13) Mr. Altshuler inquired if the SCAQMD had done any monitoring of emissions from ships. Dr.Ospital stated that the District will be using some profiles for ship emissions using bunker fuel as part of the source apportionment. The University of Riverside has been doing some measurements and if those analyses are available, the staff will use them. Nickel and Vanadium will also be used as potential tracers for bunker fuel. In reply to the District staff's questions, Dr. Ospital commented as follows: 1) The SCAQMD's Advisory Committee is called the Technical Advisory Group and comprises of 20 members from academia, industry, local governments and community and environmental organizations. During the planning stages of the MATES-III study, the Group met about five times and during the analyses phase when routine monitoring and laboratory work is being conducted, the Group has not met for at least two years. It was not worthwhile to have the Group meet until staff had reasonable information for it to discuss. (Hess) 2) With regard to long-term non-cancer risk or acute risk, during the analyses or modeling stages for the MATES-II study, staff also looked at non-cancer risks in terms of how the levels compared to a long-term reference exposure level. There were no significant findings. With regard to acrolein, it was not included in MATES-II and III studies. The Technical Advisory Group wanted staff to look at it; however, at the time there was no established method being used either by CARB or by the EPA. Currently, there is a method that people are comfortable with. (Martien) 3) Gary Kendall, Director, Technical Services, commented that the Bay Area Air Quality Management District (BAAQMD) has very similar trends for benzene and 1,3 butadiene. With regard to formaldehyde, Mr. Kendall stated that diesel vehicles are significant aldehyde emitters. The SCAQMD completed a couple of studies in conjunction with the ARB and British Petroleum (BP)/ARCO to look at diesel and natural gas fuel buses. The study showed that very little formaldehyde came from the diesel vehicles, whereas the natural gas buses without catalysts emitted more comparatively. Based on this limited data, Dr. Ospital did not expect diesel to be a large contributor. 4) The compounds that will be included for the MATES-III modeling study will be most of the toxics that have significant risks such as benzene, butadiene, perchloroethylene, aldehydes, and metals such as cadmium, nickel, chromium VI, from both mobile and stationary sources, and they will be apportioned to the grid. The type of model to be used has not been decided. Staff is looking at the newer and better models to be consistent with the modeling done for the SCAQMD's Air Quality Management Plan. (Martien) Phil Martien, Senior Advanced Project Advisor and CARE Program Manager, commented that the regional modeling is a grid-based model in which the emissions are estimated and then fed into the model, along with meteorological inputs. The District is not doing any interpolations except for validating and evaluating the model. 5) With regard to a communication strategy, the results of the MATES-III are being disseminated as follows: (a) keeping the Board of Directors apprised. The Mobile Source Committee also meets periodically and receives updates from staff; (b) once the modeling results and summary statistics are available, staff will present them to the Technical Advisory Group and request their feedback; (c) conducting community presentations in those communities where the monitoring is being done. In addition, town hall meetings will be held when the results will be presented and questions from the communities answered; (d) a report will eventually be published and distributed. (Hess) 6) Mr. Hess stated that the BAAQMD staff is considering doing some detailed funding of toxicity of some food markers and working with the University of Minnesota on some of their studies. Mr. Hess inquired if the SCAQMD is considering any changes to its MATES program and Dr. Ospital's thoughts on future research. Dr. Ospital opined that with regard to future research, he would look at the following: (a) developing monitoring methods that can be deployed on a mass basis so that the information is available widespread from a larger number of sites; (b) developing data on wild fires and their toxicity and their influence on exposure. More real time monitors are required rather than just the 24-hour samples which do not provide the necessary data; (c) installing the technologies and hardware that are required to be able to link to real time data remotely; (d) conducting more limited and longerterm monitoring, at fewer sites, on a continuous basis, so that better information is available on trends. 7) Mobile sampling could be helpful for backyard monitoring since they can easily identify hot spots; however the available technologies are different and they are not federally sanctioned for routine monitoring. (Martien) 8) In response to Mr. Altshuler's inquiry, Mr. Martien stated that the BAAQMD's CARE Program costs approximately $1 million per year. 3. Approval of Minutes of August 9, 2006. With a quorum present, Chairperson Altshuler requested that on Page 2 of the minutes, in the third sentence, change the word "has" to "have"; on Page 2, second Paragraph, last sentence, change the word "has" to "have"; and on Page 2, third Paragraph, last sentence, change the word "is" to "are". Dr. Holtzclaw moved approval of the minutes, as corrected; seconded by Dr. Bedsworth; carried unanimously. 5. Update on the District's Climate Protection Program: Staff provided an update on the Climate Protection Program. The Committee discussed climate protection issues and how to complement the District's activities. Ana Sandoval, Principal Environmental Planner, provided an update on the District's Climate Protection Program. The presentation included information on the different initiatives the District is currently working on, the progress made to date and plans for the future: Why an Air District Climate Program? * Regional leadership needed on critical environmental issue * Continued warming could erode air quality improvements * Higher temperatures increase emissions * Fossil fuel combustion is main source of greenhouse gases (GHGs) and criteria, toxic air pollutants * Co-benefits of control strategies -Energy efficiency -Transportation control measures -Smart growth -Low emission vehicles District's Early Steps * Launched climate protection program June 2005 * Established Board of Directors Climate Protection Committee * Integrated climate protection into all air quality programs * Climate protection initiatives -Regional climate protection Summit -Bay Area GHG emission inventory -GHG mitigation study -In-house GHG emission reductions -Promotion of energy efficiency Next Steps * Regional Leadership Council * Bay Area Climate Protection website * Grant Program * Public Outreach Campaign * Continuation of Existing Initiatives -GHG Technology Study -Bay Area GHG Emission Inventory -K-12 Climate Protection Education -Integration with District Activities -In-house GHG Emission Reductions Grant Program Potential Project Types * Renewable energy infrastructure, such as solar or wind energy * Green technology development, such as more energy efficient products * Green building projects * Public involvement campaigns, such as educational messaging or emission reduction implementation programs GHG Technology Study * Identify opportunities for emission reductions at stationary sources subject to District regulations * Identify benefits and disbenefits of reduction measures * Independent study: URS hired as contractor * Phase II Study to evaluate most promising reduction measures * Ongoing staff reviews of Phase I Draft Final Report Further Integration with District Activities * Transportation Fund for Clean Air (TFCA) grants evaluation criteria now include GHG reduction benefit * CEQA comment letters now include consideration of GHG emissions * Air Quality Element General Plan Guidelines will include section on Climate Protection * Updated CEQA Guidelines will address GHG emissions analysis and mitigation strategies * Staff will report on GHG emissions in rule development * Smart Growth – Focusing Our Vision process The Committee offered the following suggestions on the Climate Protection initiatives: 1) Dr. Holtzclaw commented that the Focusing Our Vision process was oriented with local governments and focused on saving space and using the transportation systems more efficiently. The process did not include any calculation of the global warming gas emission differences. He suggested that as the District comes up with various alternatives, if an analysis could be done to compare the different alternatives, this might be an excellent addition to that process. 2) Mr. Kurucz suggested that since the State is developing an environmental K-12 curriculum, the District's K-12 curriculum on climate change should be integrated with the State's efforts. 3) Chairperson Altshuler commented that he is pleased to see that some of the scoring criteria may be altered for the TFCA and Carl Moyer programs. He suggested that Environmental Impact Reports (EIRs) would be another aspect that is very important. 4) Chairperson Altshuler suggested installation of compact fluorescent light bulbs for efficiency at the District since they are very low on GHG emissions. 5) Chairperson Altshuler commented that there will be some unique challenges regarding issues related to wood smoke and banning wood combustion, etc. It could be debated that when wood is burned, it is a renewable fuel which is good for the environment from a carbon dioxide perspective. Some of the issues would need to be balanced carefully. 6) Dr. Bedsworth inquired if any efforts are being made to train people to conduct outreach programs on this topic. It was suggested that staff and community members could be trained to reach out to other air districts around the State. Ms. Sandoval explained that the District does not have an initiative currently to develop a formal training program; however, staff is in touch with other air districts through the California Air Pollution Control Officers Association (CAPCOA) which has formed a Climate Protection Committee to act as a forum for exchange of information. Dr. Bedsworth also suggested that the District form a pool of speakers and make it available on its website as a resource. 7) Dr. Holtzclaw suggested educating the media, particularly newspapers, TV and radio, about the various ways of handling global warming. For example, John King, an architectural critic with the San Francisco Chronicle, wrote an article about the new federal building in San Francisco. He described the efforts that were made to make the building more toxic free and to reduce the amount of global warming gases emitted during its construction and operations. Dr. Holtzclaw stated that it was an excellent article and that the District could play a major role in this aspect. 8) With regard to "branding", Dr. Holtzclaw commented that one poll states what Americans think the consequences of global warming are in places such as the poles. Dr. Holtzclaw suggested that the "branding" or any other publicity on climate change should emphasize the potential local impacts of global warming so that people begin to think of it as something happening locally rather than something happening at the poles. 9) Chairperson Altshuler commented that cans or packages of food sold in stores have a label on them that indicates the calorie count for each food, and suggested that products should have a similar label on them that indicates the amount of BTUs and GHG emissions that are respectively used and emitted during their production. Similarly, new cars should have labels indicating the amount of greenhouse gases that are emitted during their production. Chairperson Altshuler mentioned that he would like to find out from the District as to what role the Advisory Council could play to complement the staff and the Board of Directors in its initiatives on climate change. The Committee discussed the possibility of recommending one or two members of the Technical Committee to participate in the Board's Public Outreach and Climate Protection Committees. A lengthy discussion followed. Chairperson Altshuler stated that he would convey the Committee's comments to the Management staff and discuss it with them. Mr. Kurucz mentioned that the District staff has incorporated GHG elements in not only planning but in some selected new rule developments. Dan Belik, Manager, Rule Development, responded to questions regarding the boiler rules and described the process for developing criteria for GHG impacts during the rule making process. 6. Committee Member Comments/Other Business. Chairperson Althsuler stated that Bart Ostro, Chief, Office of Health Hazard Assessment, will make a presentation to the Committee at its next meeting. In May 2007, Tom Cahill, Professor Emeritus, University of California at Davis, will be presenting to the full Advisory Council, and Chairperson Altshuler will be contacting Mark Jacobsen, Professor, Stanford University, to make a presentation on elemental carbon issues to the Advisory Council at a future meeting. The Committee thanked Dr. Ospital and staff for their presentations. 7. Time and Place of Next Meeting. 9:00 a.m., Monday, April 16, 2007, 939 Ellis Street, San Francisco, CA 94109. 8. Adjournment. 11:50 a.m. /s/ Neel Advani Neel Advani Deputy Clerk of the Boards	12,507	inside_word	SCAQMD	remove_one_sentence	<url> http://www.baaqmd.gov/~/media/files/board-of-directors/advisory-council/2007/tec_min_022807.pdf </url> <text> Bay Area Air Quality Management District 939 Ellis Street San Francisco, California 94109 APPROVED MINUTES Advisory Council Technical Committee 9:00 a.m., Wednesday, February 28, 2007 1. Call to Order – Roll Call. Chairperson Sam Altshuler, P.E., called the meeting to order at 9:15 a.m. Present: Sam Altshuler, P.E., Chairperson, Louise Bedsworth, Ph.D., John Holtzclaw, Ph.D., (9:35 a.m.), Kraig Kurucz. Absent: Robert Bornstein, Ph.D., William Hanna. 2. Public Comment Period. There were no public comments. 3. Approval of Minutes of August 9, 2006. The approval of the minutes was deferred until a quorum was present. 4. Update on the South Coast Air District's Multiple Air Toxics Exposure Study (MATES) Program: Management District (SCAQMD), provided the Committee with an update on the SCAQMD's MATES Program. The Committee and Staff discussed differences between the Jean Ospital, Dr.P.H., Health Effects Officer, South Coast Air Quality MATES and the Community Air Risk Evaluation (CARE) Program. Chairperson Altshuler introduced Dr. Jean Ospital, Health Effects Officer, South Coast Air Quality Management District (SCAQMD) and thanked him for coming to the Bay Area for making the presentation to the Committee. Dr. Ospital's presentation included the following topics: * Structure of the SCAQMD * Southern California Air Quality * Smog Formation * Public Health Issues * Sources of Toxics * Toxic Air Contaminants * Background of MATES Study * Average Air Toxics Cancer Risks * MATES-II Monitoring * Model Estimated Risk from MATES-II * Substances Measured * MATES-III Goals, Components and Enhancements * MATES-III Progress * Selected Organic Toxic Substances; their annual averages and trends * MATES-III Monitory Sites & Microscale Sites * Next Steps Dr. Ospital provided a brief overview of the SCAQMD and its governing structure. The basic issues of concern of the SCAQMD are similar to those in the Bay Area – smog, ozone and particulate matter (PM). Other issues are risk from toxics such as additional risk of cancer from particulate toxic compounds, children's health and environmental justice. Dr. Ospital further stated that toxic air contaminants do not have air quality standards but they do have some toxicity; they may be carcinogens, may lead to adverse reproductive outcomes and can pose a threat to public health. Toxics come from a number of sources; however, pesticides and herbicides are not measured by the SCAQMD. Another view from Southern California is based on an article that was published in the Los Angeles Times a year ago, which noted a report that was published on the Environmental Protection Agency (EPA)'s assessment of national air toxics, that California was rated as No. 2 on the study and that New York had the highest risk. The report also stated that San Francisco was rated as the highest point of risk in California. Dr. Ospital provided an overview of the Multiple Air Toxics Exposure Study (MATES) Program and explained that it comprises of a series of studies. MATES-I was conducted in 1987 to monitor the levels of air toxics. Most of the toxics measured were in the gas phase. MATES-II was conducted in 1998-1999. It was a more comprehensive study when many more sites were taken for measurements; and more chemicals and substances were measured. A newly listed toxic during the time period was diesel exhaust particulate. Results showed that there was a downward trend for certain air toxics; that the bulk of air toxic risk came from mobile sources and that diesel exhaust accounted for 71% of cancer risks from air toxics. There were two separate monitoring components to MATES-II: (1) a network of 10 fixed sites which monitored for toxic air contaminants once every six days for an entire year; and (2) a microscale study which utilized three mobile platforms to sample at 14 additional communities. The microscale study specifically targeted residential areas. The sampling platforms were situated in a community for a one-month period. For both the fixed and microscale sites, over 30 air pollutants were measured. These included both gases and particulates. The key results of the MATES-II study were as follows: 1. The carcinogenic risk in the South Coast Air Basin is about 1,400 per million people. This is based on the average of the pollutant concentration measured at the fixed monitoring sites. Mobile sources represent the greatest contributor. About 71% of all risk is attributed to diesel particulate emissions; 20% to other toxics associated with mobile sources (including benzene, butadiene and formaldehyde); and 11% of all risk is attributed to stationary sources. 2. In addition to the monitoring portion, MATES-II also included a computer modeling exercise where emissions of toxics were estimated throughout the region and apportioned to a 2 km x 2 km grid scale. The model that was used estimated what the annual average concentrations were from those emissions. It showed that the higher risk levels occurred in the harbor area where the ports are located, the south-central Los Angeles area and near the freeways, with diesel being the predominant source of that risk. For the MATES-III study, an update on the previous study and an assessment of the current air toxics levels were done; the gradients between community levels by using several microscale sites were determined; and an update on the risk characterization was done. Also included in the study is an update of the emissions inventory and the modeling exercise and ambient monitoring. There are some enhancements between MATES-II and MATES-III. An additional substance, naphthalene, was added. The substance was in the process of being evaluated by Cal EPA and the California Air Resources Board (CARB) and it was found that they did adopt a toxic potency factor on it for cancer. Analyses for "markers" of diesel and other PM sources were also done. A more frequent sampling of once every three days was undertaken, and the study was extended from one year to two. A myriad of major substances, such as several volatile organic hydrocarbons, toxic metals, polycyclic aromatic hydrocarbons (PAHs) and diesel PM, were determined as a result of the analyses for risk and for source apportionment. For the PM apportionment addition, a multiple organic tracer approach is being taken by combining the PM2.5 filters on a monthly basis at each fixed site, and compiling the data for organics, EC, OC and metals. The chemical mass balance (CMB) model is being used to conduct the PM source apportionment. Dr. Ospital described the slides on the various monitoring and microscale sites for MATES-III. Dr. John Holtzclaw arrived at 9:35 a.m and a quorum was present. The progress to date on the MATES-III study is as follows: it was started in April, 2004; the air toxics sampling was done for two years at 10 fixed and six microscale sites and is completed. The laboratory analyses are also completed as of two weeks ago, and all the data are presently undergoing the QA/QC reviews. An initial "look" at the toxics shows a downward trend from when MATES-II was undertaken. Five volatile organic toxic substances were selected for presentation of initial results: benzene, 1, 3 butadiene, formaldehyde, acetaldehyde and perc. The value for benzene at the 10 fixed sites, over the two-year period, shows that the highest levels are in the fall and winter months, and that the highest site is the Compton site. The monitoring data between the sites varied on a monthly and seasonal basis. There was a dramatic reduction across all the sites in annual benzene levels. The annual trend shows that the benzene levels decreased; it was compared to the trends from the ARB for monitoring sites in Southern California. The MATES-II and III studies are consistent with ARB's findings that there has been a reduction through 2005. Regarding formaldehyde, there was not much difference between the MATES-II and MATES-III studies. The annual trend showed an increase in 1995-96 that was likely due to a change in the methodology rather than a real change in levels. There is no obvious trend over time on formaldehyde. For acetaldehyde, the annual averages were the same for the MATES-II and MATES-III studies. Regarding perc, it is being phased out in the use of dry cleaners and as a solvent, and there was a substantial reduction in the averages between the two studies. The annual trend also shows a gradual decrease. The study also estimated the lifetime 70-year exposure risk for the five substances discussed above. There was a reduction greater than 50% in the risk factor, with the aldehydes remaining at the same levels. Currently, staff is completing the sample analyses, including the PM source "markers"; the toxics emissions inventory is being updated; modeling will be used to estimate levels over the region during the middle of this year; and the PM source apportionment calculations will be applied to the monitoring data. In reply to Committee members' questions, Dr. Ospital responded as follows: 1) Wood smoke is an issue and it is one of the sources that will be looked at in the source apportionment model. In terms of its contribution to particulate matter, it is a much larger issue in Northern California. However, wood smoke is currently an issue for the SCAQMD since there is a ruling on fireplaces that is coming up for the Board of Directors' consideration. The current draft of the proposed rule would require new buildings to have EPA-approved fireplace inserts. It is a very controversial rule and there is limited data available on the contribution of wood smoke to PM2.5. If a fireplace has an insert, it would need to be upgraded to one that is currently EPA-certified when a house is sold; and if it does not have an insert currently, then it would be exempt. All new houses would be required to have EPA-certified devices installed. The in-house, brick hearth open burning fireplace is not included in the proposed rule language. (Altshuler) 2) Lube oil is not specifically being looked at but some of the "markers" for vehicles are lube oil-driven. It cannot be determined if lube oil comes from a car or a truck since it has similar components. It has been suggested that the ratio of certain PAHs are different in gasoline vehicles compared to diesel. (Altshuler) 3) With regard to ultra fine sizing for particulate matter, it is not part of the MATES study. However, there is a port monitoring study that will be starting at six sites near and around the ports. Part of this study will be toxics, criteria pollutants and particle counts. In the near future, there will be information available on ultra fine particles. There is also a study that is currently underway at the Santa Monica and Van Nuys municipal airports in which particle counts are being measured at both ends of the runways, for a six month period, at each airport. 4) In the slide presented earlier during the meeting for the Model Estimated Risk from MATES-II, which showed the intensity of the various areas in the Los Angeles area, Mr. Kurucz inquired if the two freeways leaving the area were truly measured and found to be low risk, or whether they were outside the scope of the study geography. Dr.Ospital explained that there are differences in the traffic intensity on the San Diego freeway (the one going north-to-south). At the time of the study it was traveled predominantly by light duty vehicles. In the area nearer the ports is the 710 freeway which has about 20% heavy duty diesel traffic. All the freeways have heavy traffic; however, the types of traffic are different. The ARB had a report commissioned on traffic volumes in California which quantified the light duty vs. the heavy duty traffic on the different major roadways; the 710 freeway showed that it had more heavy duty diesel traffic on it. 5) Mr. Kurucz inquired if the decrease in the annual trends for benzene and 1,3 butadiene agreed with the predicted models. Dr. Ospital explained that for the MATES-II modeling, the modeling results were very close to the monitoring results. In terms of MATES-III, the updated emissions inventory or modeling has not been done as yet. Staff will address the question of whether it fits with what is being measured at a later date. 6) There are two sources for formaldehyde: one from tailpipe emissions and the other from formation in the atmosphere. The SCA<cursor_is_here> It is unknown whether the precursors are still present or if it is because of the emissions. The emissions inventory update will need to be reviewed to see how that tracks the inventory for MATES-II. The ARB is revising their emissions model and there have been several reiterations of the current version; the latest information is currently being plugged into the SCAQMD's emissions inventory. (Altshuler) 7) Mr. Althsuler inquired how many natural gas heavy duty vehicles are operating without catalysts versus the newer ones which are equipped with catalysts. Dr. Ospital commented that within the last three years most of the gas fueled transit buses in the South Coast were purchased with catalysts, and that the heavy duty fleet of natural gas vehicles is very low. 8) For the first year of the MATES-III study, the cost was estimated at $2 million; this included staff time and purchase of new equipment and monitoring devices. The second year of the study may cost less than $2 million. Part of the cost is the routine analyses of the organics, particulates, PAHs and naphthalene which were outsourced. (Altshuler) 9) With regard to PM apportionment for MATES-II, diesel was designated as a toxic air contaminant during the study and the SCAQMD used elemental carbon as a surrogate for diesel; there was a conversion factor of 1.04 based on the emissions inventory. A factor of 1.04 was chosen to convert elemental carbon to diesel PM. The Technical Advisory Group felt that for MATES-III this method was a very uncertain way to measure diesel particulate. Therefore, the staff is now using the chemical mass balance (CMB) approach for looking at the source apportionment for diesel as well as for gasoline. Source profiles that have been published from those sources could be put into a correlation equation for apportioning the emissions to different sources using the different chemical tracers, for example, cholesterol used as a tracer for meat cooking and other compounds are a signature for wood smoke; diesel and gasoline have several overlaps in terms of the PAHs and the lube oil-derived chemicals. There is some evidence that there may be differences in ratios of the PAHs. In 1990 there was an apportionment for diesel, wood smoke, cooking, etc; and the apportionment to diesel was found to be very close to what the MATES study estimated. (Bedsworth) 10) The Model Estimated Risk from MATES-II shows that there were estimates of risk up to 1,400 per million people; and the chart on the 70-Year Risk shows lower estimates of greater than a hundred. Mr. Altshuler inquired if the difference was due to the fact that diesel was not included. Dr. Ospital explained that the Risk Charts that he had shown during his presentation were for the five substances that had been selected, and that they did not include diesel or any other toxics. In MATES-II, the diesel risk was about 1,000 in a million, which accounted for the bulk of the risk. 11) Wild land fires and grass fires would be apportioned into the wood smoke-type category. Usually in Southern California when there are fires, they are very large and there are very little data available on contributions on a few days but it is not very significant to an annual average. If the PM apportionment is done correctly, they should not affect risk at all in terms of the particulates since for cancer risk there are no risk factors adopted for wood or vegetation burning derived PM. It would affect risk in terms of PM components exposure or volatile organics that are emitted. Typically, in a fire, no or a little blip is seen in the 24-hour monitoring filters. In the areas where there is a heavy concentration of smoke the stations often go down when the electricity goes out because of the fires; hence, no data are available in such situations. The SCAQMD sponsored a couple of studies after the 2003 fall fire, and commissioned the investigators to look at (a) children's health and (b) hospital admission data and mortality data, during the fires. Some estimates were done based on the monitoring as well as satellite imaging on what the exposures were. By combining both sets of the data, it provided a more believable estimate of particulate levels. The study's findings showed correlations of symptoms in children and respiratory symptoms with reported smoke exposure. The hospital admissions and mortality studies were based on the State's data and there were also correlations on certain diseases that were mostly cardiovascular related. (Altshuler) 12) Mr. Altshuler inquired whether any focused study had been done for unique events, such as 9/11, strikes, fuel price spikes, or holidays, to see what impacts those limited events had on the air quality, if any. Dr. Ospital stated that no focused studies were done. However, there are data from the monitoring network that could provide information on recent events. There was a port shutdown a couple of years ago for a week or so, and researchers at the University of Southern California found some differences for that time period that were attributed to either more emissions from ships piling up, or lower emissions from less trucks on the road, depending on which component is being looked at. 13) Mr. Altshuler inquired if the SCAQMD had done any monitoring of emissions from ships. Dr.Ospital stated that the District will be using some profiles for ship emissions using bunker fuel as part of the source apportionment. The University of Riverside has been doing some measurements and if those analyses are available, the staff will use them. Nickel and Vanadium will also be used as potential tracers for bunker fuel. In reply to the District staff's questions, Dr. Ospital commented as follows: 1) The SCAQMD's Advisory Committee is called the Technical Advisory Group and comprises of 20 members from academia, industry, local governments and community and environmental organizations. During the planning stages of the MATES-III study, the Group met about five times and during the analyses phase when routine monitoring and laboratory work is being conducted, the Group has not met for at least two years. It was not worthwhile to have the Group meet until staff had reasonable information for it to discuss. (Hess) 2) With regard to long-term non-cancer risk or acute risk, during the analyses or modeling stages for the MATES-II study, staff also looked at non-cancer risks in terms of how the levels compared to a long-term reference exposure level. There were no significant findings. With regard to acrolein, it was not included in MATES-II and III studies. The Technical Advisory Group wanted staff to look at it; however, at the time there was no established method being used either by CARB or by the EPA. Currently, there is a method that people are comfortable with. (Martien) 3) Gary Kendall, Director, Technical Services, commented that the Bay Area Air Quality Management District (BAAQMD) has very similar trends for benzene and 1,3 butadiene. With regard to formaldehyde, Mr. Kendall stated that diesel vehicles are significant aldehyde emitters. The SCAQMD completed a couple of studies in conjunction with the ARB and British Petroleum (BP)/ARCO to look at diesel and natural gas fuel buses. The study showed that very little formaldehyde came from the diesel vehicles, whereas the natural gas buses without catalysts emitted more comparatively. Based on this limited data, Dr. Ospital did not expect diesel to be a large contributor. 4) The compounds that will be included for the MATES-III modeling study will be most of the toxics that have significant risks such as benzene, butadiene, perchloroethylene, aldehydes, and metals such as cadmium, nickel, chromium VI, from both mobile and stationary sources, and they will be apportioned to the grid. The type of model to be used has not been decided. Staff is looking at the newer and better models to be consistent with the modeling done for the SCAQMD's Air Quality Management Plan. (Martien) Phil Martien, Senior Advanced Project Advisor and CARE Program Manager, commented that the regional modeling is a grid-based model in which the emissions are estimated and then fed into the model, along with meteorological inputs. The District is not doing any interpolations except for validating and evaluating the model. 5) With regard to a communication strategy, the results of the MATES-III are being disseminated as follows: (a) keeping the Board of Directors apprised. The Mobile Source Committee also meets periodically and receives updates from staff; (b) once the modeling results and summary statistics are available, staff will present them to the Technical Advisory Group and request their feedback; (c) conducting community presentations in those communities where the monitoring is being done. In addition, town hall meetings will be held when the results will be presented and questions from the communities answered; (d) a report will eventually be published and distributed. (Hess) 6) Mr. Hess stated that the BAAQMD staff is considering doing some detailed funding of toxicity of some food markers and working with the University of Minnesota on some of their studies. Mr. Hess inquired if the SCAQMD is considering any changes to its MATES program and Dr. Ospital's thoughts on future research. Dr. Ospital opined that with regard to future research, he would look at the following: (a) developing monitoring methods that can be deployed on a mass basis so that the information is available widespread from a larger number of sites; (b) developing data on wild fires and their toxicity and their influence on exposure. More real time monitors are required rather than just the 24-hour samples which do not provide the necessary data; (c) installing the technologies and hardware that are required to be able to link to real time data remotely; (d) conducting more limited and longerterm monitoring, at fewer sites, on a continuous basis, so that better information is available on trends. 7) Mobile sampling could be helpful for backyard monitoring since they can easily identify hot spots; however the available technologies are different and they are not federally sanctioned for routine monitoring. (Martien) 8) In response to Mr. Altshuler's inquiry, Mr. Martien stated that the BAAQMD's CARE Program costs approximately $1 million per year. 3. Approval of Minutes of August 9, 2006. With a quorum present, Chairperson Altshuler requested that on Page 2 of the minutes, in the third sentence, change the word "has" to "have"; on Page 2, second Paragraph, last sentence, change the word "has" to "have"; and on Page 2, third Paragraph, last sentence, change the word "is" to "are". Dr. Holtzclaw moved approval of the minutes, as corrected; seconded by Dr. Bedsworth; carried unanimously. 5. Update on the District's Climate Protection Program: Staff provided an update on the Climate Protection Program. The Committee discussed climate protection issues and how to complement the District's activities. Ana Sandoval, Principal Environmental Planner, provided an update on the District's Climate Protection Program. The presentation included information on the different initiatives the District is currently working on, the progress made to date and plans for the future: Why an Air District Climate Program? * Regional leadership needed on critical environmental issue * Continued warming could erode air quality improvements * Higher temperatures increase emissions * Fossil fuel combustion is main source of greenhouse gases (GHGs) and criteria, toxic air pollutants * Co-benefits of control strategies -Energy efficiency -Transportation control measures -Smart growth -Low emission vehicles District's Early Steps * Launched climate protection program June 2005 * Established Board of Directors Climate Protection Committee * Integrated climate protection into all air quality programs * Climate protection initiatives -Regional climate protection Summit -Bay Area GHG emission inventory -GHG mitigation study -In-house GHG emission reductions -Promotion of energy efficiency Next Steps * Regional Leadership Council * Bay Area Climate Protection website * Grant Program * Public Outreach Campaign * Continuation of Existing Initiatives -GHG Technology Study -Bay Area GHG Emission Inventory -K-12 Climate Protection Education -Integration with District Activities -In-house GHG Emission Reductions Grant Program Potential Project Types * Renewable energy infrastructure, such as solar or wind energy * Green technology development, such as more energy efficient products * Green building projects * Public involvement campaigns, such as educational messaging or emission reduction implementation programs GHG Technology Study * Identify opportunities for emission reductions at stationary sources subject to District regulations * Identify benefits and disbenefits of reduction measures * Independent study: URS hired as contractor * Phase II Study to evaluate most promising reduction measures * Ongoing staff reviews of Phase I Draft Final Report Further Integration with District Activities * Transportation Fund for Clean Air (TFCA) grants evaluation criteria now include GHG reduction benefit * CEQA comment letters now include consideration of GHG emissions * Air Quality Element General Plan Guidelines will include section on Climate Protection * Updated CEQA Guidelines will address GHG emissions analysis and mitigation strategies * Staff will report on GHG emissions in rule development * Smart Growth – Focusing Our Vision process The Committee offered the following suggestions on the Climate Protection initiatives: 1) Dr. Holtzclaw commented that the Focusing Our Vision process was oriented with local governments and focused on saving space and using the transportation systems more efficiently. The process did not include any calculation of the global warming gas emission differences. He suggested that as the District comes up with various alternatives, if an analysis could be done to compare the different alternatives, this might be an excellent addition to that process. 2) Mr. Kurucz suggested that since the State is developing an environmental K-12 curriculum, the District's K-12 curriculum on climate change should be integrated with the State's efforts. 3) Chairperson Altshuler commented that he is pleased to see that some of the scoring criteria may be altered for the TFCA and Carl Moyer programs. He suggested that Environmental Impact Reports (EIRs) would be another aspect that is very important. 4) Chairperson Altshuler suggested installation of compact fluorescent light bulbs for efficiency at the District since they are very low on GHG emissions. 5) Chairperson Altshuler commented that there will be some unique challenges regarding issues related to wood smoke and banning wood combustion, etc. It could be debated that when wood is burned, it is a renewable fuel which is good for the environment from a carbon dioxide perspective. Some of the issues would need to be balanced carefully. 6) Dr. Bedsworth inquired if any efforts are being made to train people to conduct outreach programs on this topic. It was suggested that staff and community members could be trained to reach out to other air districts around the State. Ms. Sandoval explained that the District does not have an initiative currently to develop a formal training program; however, staff is in touch with other air districts through the California Air Pollution Control Officers Association (CAPCOA) which has formed a Climate Protection Committee to act as a forum for exchange of information. Dr. Bedsworth also suggested that the District form a pool of speakers and make it available on its website as a resource. 7) Dr. Holtzclaw suggested educating the media, particularly newspapers, TV and radio, about the various ways of handling global warming. For example, John King, an architectural critic with the San Francisco Chronicle, wrote an article about the new federal building in San Francisco. He described the efforts that were made to make the building more toxic free and to reduce the amount of global warming gases emitted during its construction and operations. Dr. Holtzclaw stated that it was an excellent article and that the District could play a major role in this aspect. 8) With regard to "branding", Dr. Holtzclaw commented that one poll states what Americans think the consequences of global warming are in places such as the poles. Dr. Holtzclaw suggested that the "branding" or any other publicity on climate change should emphasize the potential local impacts of global warming so that people begin to think of it as something happening locally rather than something happening at the poles. 9) Chairperson Altshuler commented that cans or packages of food sold in stores have a label on them that indicates the calorie count for each food, and suggested that products should have a similar label on them that indicates the amount of BTUs and GHG emissions that are respectively used and emitted during their production. Similarly, new cars should have labels indicating the amount of greenhouse gases that are emitted during their production. Chairperson Altshuler mentioned that he would like to find out from the District as to what role the Advisory Council could play to complement the staff and the Board of Directors in its initiatives on climate change. The Committee discussed the possibility of recommending one or two members of the Technical Committee to participate in the Board's Public Outreach and Climate Protection Committees. A lengthy discussion followed. Chairperson Altshuler stated that he would convey the Committee's comments to the Management staff and discuss it with them. Mr. Kurucz mentioned that the District staff has incorporated GHG elements in not only planning but in some selected new rule developments. Dan Belik, Manager, Rule Development, responded to questions regarding the boiler rules and described the process for developing criteria for GHG impacts during the rule making process. 6. Committee Member Comments/Other Business. Chairperson Althsuler stated that Bart Ostro, Chief, Office of Health Hazard Assessment, will make a presentation to the Committee at its next meeting. In May 2007, Tom Cahill, Professor Emeritus, University of California at Davis, will be presenting to the full Advisory Council, and Chairperson Altshuler will be contacting Mark Jacobsen, Professor, Stanford University, to make a presentation on elemental carbon issues to the Advisory Council at a future meeting. The Committee thanked Dr. Ospital and staff for their presentations. 7. Time and Place of Next Meeting. 9:00 a.m., Monday, April 16, 2007, 939 Ellis Street, San Francisco, CA 94109. 8. Adjournment. 11:50 a.m. /s/ Neel Advani Neel Advani Deputy Clerk of the Boards </text>	[ { "content": "<url>\nhttp://www.baaqmd.gov/~/media/files/board-of-directors/advisory-council/2007/tec_min_022807.pdf\n</url>\n<text>\nBay Area Air Quality Management District 939 Ellis Street San Francisco, California 94109\n\nAPPROVED MINUTES\n\nAdvisory Council Technical Committee 9:00 a.m., Wednesday, February 28, 2007\n\n1. Call to Order – Roll Call. Chairperson Sam Altshuler, P.E., called the meeting to order at 9:15 a.m. Present: Sam Altshuler, P.E., Chairperson, Louise Bedsworth, Ph.D., John Holtzclaw, Ph.D., (9:35 a.m.), Kraig Kurucz. Absent: Robert Bornstein, Ph.D., William Hanna.\n2. Public Comment Period. There were no public comments.\n3. Approval of Minutes of August 9, 2006. The approval of the minutes was deferred until a quorum was present.\n4. Update on the South Coast Air District's Multiple Air Toxics Exposure Study (MATES) Program: Management District (SCAQMD), provided the Committee with an update on the SCAQMD's MATES Program. The Committee and Staff discussed differences between the\nJean Ospital, Dr.P.H., Health Effects Officer, South Coast Air Quality MATES and the Community Air Risk Evaluation (CARE) Program.\n\nChairperson Altshuler introduced Dr. Jean Ospital, Health Effects Officer, South Coast Air Quality Management District (SCAQMD) and thanked him for coming to the Bay Area for making the presentation to the Committee. Dr. Ospital's presentation included the following topics:\n\n* Structure of the SCAQMD\n* Southern California Air Quality\n* Smog Formation\n* Public Health Issues\n* Sources of Toxics\n* Toxic Air Contaminants\n* Background of MATES Study\n* Average Air Toxics Cancer Risks\n* MATES-II Monitoring\n* Model Estimated Risk from MATES-II\n* Substances Measured\n* MATES-III Goals, Components and Enhancements\n* MATES-III Progress\n* Selected Organic Toxic Substances; their annual averages and trends\n* MATES-III Monitory Sites & Microscale Sites\n* Next Steps\n\nDr. Ospital provided a brief overview of the SCAQMD and its governing structure. The basic issues of concern of the SCAQMD are similar to those in the Bay Area – smog, ozone and particulate matter (PM). Other issues are risk from toxics such as additional risk of cancer from particulate toxic compounds, children's health and environmental justice. Dr. Ospital further stated that toxic air contaminants do not have air quality standards but they do have some toxicity; they may be carcinogens, may lead to adverse reproductive outcomes and can pose a threat to public health. Toxics come from a number of sources; however, pesticides and herbicides are not measured by the SCAQMD. Another view from Southern California is based on an article that was published in the Los Angeles Times a year ago, which noted a report that was published on the Environmental Protection Agency (EPA)'s assessment of national air toxics, that California was rated as No. 2 on the study and that New York had the highest risk. The report also stated that San Francisco was rated as the highest point of risk in California.\n\nDr. Ospital provided an overview of the Multiple Air Toxics Exposure Study (MATES) Program and explained that it comprises of a series of studies. MATES-I was conducted in 1987 to monitor the levels of air toxics. Most of the toxics measured were in the gas phase. MATES-II was conducted in 1998-1999. It was a more comprehensive study when many more sites were taken for measurements; and more chemicals and substances were measured. A newly listed toxic during the time period was diesel exhaust particulate. Results showed that there was a downward trend for certain air toxics; that the bulk of air toxic risk came from mobile sources and that diesel exhaust accounted for 71% of cancer risks from air toxics.\n\nThere were two separate monitoring components to MATES-II: (1) a network of 10 fixed sites which monitored for toxic air contaminants once every six days for an entire year; and (2) a microscale study which utilized three mobile platforms to sample at 14 additional communities. The microscale study specifically targeted residential areas. The sampling platforms were situated in a community for a one-month period. For both the fixed and microscale sites, over 30 air pollutants were measured. These included both gases and particulates.\n\nThe key results of the MATES-II study were as follows:\n\n1. The carcinogenic risk in the South Coast Air Basin is about 1,400 per million people. This is based on the average of the pollutant concentration measured at the fixed monitoring sites. Mobile sources represent the greatest contributor. About 71% of all risk is attributed to diesel particulate emissions; 20% to other toxics associated with mobile sources (including benzene, butadiene and formaldehyde); and 11% of all risk is attributed to stationary sources.\n2. In addition to the monitoring portion, MATES-II also included a computer modeling exercise where emissions of toxics were estimated throughout the region and apportioned to a 2 km x 2 km grid scale. The model that was used estimated what the annual average concentrations were from those emissions. It showed that the higher risk levels occurred in the harbor area where the ports are located, the south-central Los Angeles area and near the freeways, with diesel being the predominant source of that risk.\n\nFor the MATES-III study, an update on the previous study and an assessment of the current air toxics levels were done; the gradients between community levels by using several microscale sites were determined; and an update on the risk characterization was done. Also included in the study is an update of the emissions inventory and the modeling exercise and ambient monitoring. There are some enhancements between MATES-II and MATES-III. An additional substance, naphthalene, was added. The substance was in the process of being evaluated by Cal EPA and the California Air Resources Board (CARB) and it was found that they did adopt a toxic potency factor on it for cancer. Analyses for \"markers\" of diesel and other PM sources were also done. A more frequent sampling of once every three days was undertaken, and the study was extended from one year to two.\n\nA myriad of major substances, such as several volatile organic hydrocarbons, toxic metals, polycyclic aromatic hydrocarbons (PAHs) and diesel PM, were determined as a result of the analyses for risk and for source apportionment. For the PM apportionment addition, a multiple organic tracer approach is being taken by combining the PM2.5 filters on a monthly basis at each fixed site, and compiling the data for organics, EC, OC and metals. The chemical mass balance (CMB) model is being used to conduct the PM source apportionment.\n\nDr. Ospital described the slides on the various monitoring and microscale sites for MATES-III.\n\nDr. John Holtzclaw arrived at 9:35 a.m and a quorum was present.\n\nThe progress to date on the MATES-III study is as follows: it was started in April, 2004; the air toxics sampling was done for two years at 10 fixed and six microscale sites and is completed. The laboratory analyses are also completed as of two weeks ago, and all the data are presently undergoing the QA/QC reviews. An initial \"look\" at the toxics shows a downward trend from when MATES-II was undertaken. Five volatile organic toxic substances were selected for presentation of initial results: benzene, 1, 3 butadiene, formaldehyde, acetaldehyde and perc.\n\nThe value for benzene at the 10 fixed sites, over the two-year period, shows that the highest levels are in the fall and winter months, and that the highest site is the Compton site. The monitoring data between the sites varied on a monthly and seasonal basis. There was a dramatic reduction across all the sites in annual benzene levels. The annual trend shows that the benzene levels decreased; it was compared to the trends from the ARB for monitoring sites in Southern California. The MATES-II and III studies are consistent with ARB's findings that there has been a reduction through 2005.\n\nRegarding formaldehyde, there was not much difference between the MATES-II and MATES-III studies. The annual trend showed an increase in 1995-96 that was likely due to a change in the methodology rather than a real change in levels. There is no obvious trend over time on formaldehyde. For acetaldehyde, the annual averages were the same for the MATES-II and MATES-III studies. Regarding perc, it is being phased out in the use of dry cleaners and as a solvent, and there was a substantial reduction in the averages between the two studies. The annual trend also shows a gradual decrease.\n\nThe study also estimated the lifetime 70-year exposure risk for the five substances discussed above. There was a reduction greater than 50% in the risk factor, with the aldehydes remaining at the same levels.\n\nCurrently, staff is completing the sample analyses, including the PM source \"markers\"; the toxics emissions inventory is being updated; modeling will be used to estimate levels over the region during the middle of this year; and the PM source apportionment calculations will be applied to the monitoring data.\n\nIn reply to Committee members' questions, Dr. Ospital responded as follows:\n\n1) Wood smoke is an issue and it is one of the sources that will be looked at in the source apportionment model. In terms of its contribution to particulate matter, it is a much larger issue in Northern California. However, wood smoke is currently an issue for the SCAQMD since there is a ruling on fireplaces that is coming up for the Board of Directors' consideration. The current draft of the proposed rule would require new buildings to have EPA-approved fireplace inserts. It is a very controversial rule and there is limited data available on the contribution of wood smoke to PM2.5. If a fireplace has an insert, it would need to be upgraded to one that is currently EPA-certified when a house is sold; and if it does not have an insert currently, then it would be exempt. All new houses would be required to have EPA-certified devices installed. The in-house, brick hearth open burning fireplace is not included in the proposed rule language. (Altshuler)\n2) Lube oil is not specifically being looked at but some of the \"markers\" for vehicles are lube oil-driven. It cannot be determined if lube oil comes from a car or a truck since it has similar components. It has been suggested that the ratio of certain PAHs are different in gasoline vehicles compared to diesel. (Altshuler)\n3) With regard to ultra fine sizing for particulate matter, it is not part of the MATES study. However, there is a port monitoring study that will be starting at six sites near and around the ports. Part of this study will be toxics, criteria pollutants and particle counts. In the near future, there will be information available on ultra fine particles. There is also a study that is currently underway at the Santa Monica and Van Nuys municipal airports in which particle counts are being measured at both ends of the runways, for a six month period, at each airport.\n4) In the slide presented earlier during the meeting for the Model Estimated Risk from MATES-II, which showed the intensity of the various areas in the Los Angeles area, Mr. Kurucz inquired if the two freeways leaving the area were truly measured and found to be low risk, or whether they were outside the scope of the study geography. Dr.Ospital explained that there are differences in the traffic intensity on the San Diego freeway (the one going north-to-south). At the time of the study it was traveled predominantly by light duty vehicles. In the area nearer the ports is the 710 freeway which has about 20% heavy duty diesel traffic. All the freeways have heavy traffic; however, the types of traffic are different. The ARB had a report commissioned on traffic volumes in California which quantified the light duty vs. the heavy duty traffic on the different major roadways; the 710 freeway showed that it had more heavy duty diesel traffic on it.\n\n5) Mr. Kurucz inquired if the decrease in the annual trends for benzene and 1,3 butadiene agreed with the predicted models. Dr. Ospital explained that for the MATES-II modeling, the modeling results were very close to the monitoring results. In terms of MATES-III, the updated emissions inventory or modeling has not been done as yet. Staff will address the question of whether it fits with what is being measured at a later date.\n6) There are two sources for formaldehyde: one from tailpipe emissions and the other from formation in the atmosphere. The SCA<cursor_is_here> It is unknown whether the precursors are still present or if it is because of the emissions. The emissions inventory update will need to be reviewed to see how that tracks the inventory for MATES-II. The ARB is revising their emissions model and there have been several reiterations of the current version; the latest information is currently being plugged into the SCAQMD's emissions inventory. (Altshuler)\n7) Mr. Althsuler inquired how many natural gas heavy duty vehicles are operating without catalysts versus the newer ones which are equipped with catalysts. Dr. Ospital commented that within the last three years most of the gas fueled transit buses in the South Coast were purchased with catalysts, and that the heavy duty fleet of natural gas vehicles is very low.\n8) For the first year of the MATES-III study, the cost was estimated at $2 million; this included staff time and purchase of new equipment and monitoring devices. The second year of the study may cost less than $2 million. Part of the cost is the routine analyses of the organics, particulates, PAHs and naphthalene which were outsourced. (Altshuler)\n9) With regard to PM apportionment for MATES-II, diesel was designated as a toxic air contaminant during the study and the SCAQMD used elemental carbon as a surrogate for diesel; there was a conversion factor of 1.04 based on the emissions inventory. A factor of 1.04 was chosen to convert elemental carbon to diesel PM. The Technical Advisory Group felt that for MATES-III this method was a very uncertain way to measure diesel particulate. Therefore, the staff is now using the chemical mass balance (CMB) approach for looking at the source apportionment for diesel as well as for gasoline. Source profiles that have been published from those sources could be put into a correlation equation for apportioning the emissions to different sources using the different chemical tracers, for example, cholesterol used as a tracer for meat cooking and other compounds are a signature for wood smoke; diesel and gasoline have several overlaps in terms of the PAHs and the lube oil-derived chemicals. There is some evidence that there may be differences in ratios of the PAHs. In 1990 there was an apportionment for diesel, wood smoke, cooking, etc; and the apportionment to diesel was found to be very close to what the MATES study estimated. (Bedsworth)\n10) The Model Estimated Risk from MATES-II shows that there were estimates of risk up to 1,400 per million people; and the chart on the 70-Year Risk shows lower estimates of greater than a hundred. Mr. Altshuler inquired if the difference was due to the fact that diesel was not included. Dr. Ospital explained that the Risk Charts that he had shown during his presentation were for the five substances that had been selected, and that they did not include diesel or any other toxics. In MATES-II, the diesel risk was about 1,000 in a million, which accounted for the bulk of the risk.\n\n11) Wild land fires and grass fires would be apportioned into the wood smoke-type category. Usually in Southern California when there are fires, they are very large and there are very little data available on contributions on a few days but it is not very significant to an annual average. If the PM apportionment is done correctly, they should not affect risk at all in terms of the particulates since for cancer risk there are no risk factors adopted for wood or vegetation burning derived PM. It would affect risk in terms of PM components exposure or volatile organics that are emitted. Typically, in a fire, no or a little blip is seen in the 24-hour monitoring filters. In the areas where there is a heavy concentration of smoke the stations often go down when the electricity goes out because of the fires; hence, no data are available in such situations. The SCAQMD sponsored a couple of studies after the 2003 fall fire, and commissioned the investigators to look at (a) children's health and (b) hospital admission data and mortality data, during the fires. Some estimates were done based on the monitoring as well as satellite imaging on what the exposures were. By combining both sets of the data, it provided a more believable estimate of particulate levels. The study's findings showed correlations of symptoms in children and respiratory symptoms with reported smoke exposure. The hospital admissions and mortality studies were based on the State's data and there were also correlations on certain diseases that were mostly cardiovascular related. (Altshuler)\n12) Mr. Altshuler inquired whether any focused study had been done for unique events, such as 9/11, strikes, fuel price spikes, or holidays, to see what impacts those limited events had on the air quality, if any. Dr. Ospital stated that no focused studies were done. However, there are data from the monitoring network that could provide information on recent events. There was a port shutdown a couple of years ago for a week or so, and researchers at the University of Southern California found some differences for that time period that were attributed to either more emissions from ships piling up, or lower emissions from less trucks on the road, depending on which component is being looked at.\n13) Mr. Altshuler inquired if the SCAQMD had done any monitoring of emissions from ships. Dr.Ospital stated that the District will be using some profiles for ship emissions using bunker fuel as part of the source apportionment. The University of Riverside has been doing some measurements and if those analyses are available, the staff will use them. Nickel and Vanadium will also be used as potential tracers for bunker fuel.\n\nIn reply to the District staff's questions, Dr. Ospital commented as follows:\n\n1) The SCAQMD's Advisory Committee is called the Technical Advisory Group and comprises of 20 members from academia, industry, local governments and community and environmental organizations. During the planning stages of the MATES-III study, the Group met about five times and during the analyses phase when routine monitoring and laboratory work is being conducted, the Group has not met for at least two years. It was not worthwhile to have the Group meet until staff had reasonable information for it to discuss. (Hess)\n2) With regard to long-term non-cancer risk or acute risk, during the analyses or modeling stages for the MATES-II study, staff also looked at non-cancer risks in terms of how the levels compared to a long-term reference exposure level. There were no significant findings.\n\nWith regard to acrolein, it was not included in MATES-II and III studies. The Technical Advisory Group wanted staff to look at it; however, at the time there was no established method being used either by CARB or by the EPA. Currently, there is a method that people are comfortable with. (Martien)\n\n3) Gary Kendall, Director, Technical Services, commented that the Bay Area Air Quality Management District (BAAQMD) has very similar trends for benzene and 1,3 butadiene. With regard to formaldehyde, Mr. Kendall stated that diesel vehicles are significant aldehyde emitters. The SCAQMD completed a couple of studies in conjunction with the ARB and British Petroleum (BP)/ARCO to look at diesel and natural gas fuel buses. The study showed that very little formaldehyde came from the diesel vehicles, whereas the natural gas buses without catalysts emitted more comparatively. Based on this limited data, Dr. Ospital did not expect diesel to be a large contributor.\n4) The compounds that will be included for the MATES-III modeling study will be most of the toxics that have significant risks such as benzene, butadiene, perchloroethylene, aldehydes, and metals such as cadmium, nickel, chromium VI, from both mobile and stationary sources, and they will be apportioned to the grid. The type of model to be used has not been decided. Staff is looking at the newer and better models to be consistent with the modeling done for the SCAQMD's Air Quality Management Plan. (Martien)\n\nPhil Martien, Senior Advanced Project Advisor and CARE Program Manager, commented that the regional modeling is a grid-based model in which the emissions are estimated and then fed into the model, along with meteorological inputs. The District is not doing any interpolations except for validating and evaluating the model.\n\n5) With regard to a communication strategy, the results of the MATES-III are being disseminated as follows: (a) keeping the Board of Directors apprised. The Mobile Source Committee also meets periodically and receives updates from staff; (b) once the modeling results and summary statistics are available, staff will present them to the Technical Advisory Group and request their feedback; (c) conducting community presentations in those communities where the monitoring is being done. In addition, town hall meetings will be held when the results will be presented and questions from the communities answered; (d) a report will eventually be published and distributed. (Hess)\n6) Mr. Hess stated that the BAAQMD staff is considering doing some detailed funding of toxicity of some food markers and working with the University of Minnesota on some of their studies. Mr. Hess inquired if the SCAQMD is considering any changes to its MATES program and Dr. Ospital's thoughts on future research. Dr. Ospital opined that with regard to future research, he would look at the following: (a) developing monitoring methods that can be deployed on a mass basis so that the information is available widespread from a larger number of sites; (b) developing data on wild fires and their toxicity and their influence on exposure. More real time monitors are required rather than just the 24-hour samples which do not provide the necessary data; (c) installing the technologies and hardware that are required to be able to link to real time data remotely; (d) conducting more limited and longerterm monitoring, at fewer sites, on a continuous basis, so that better information is available on trends.\n7) Mobile sampling could be helpful for backyard monitoring since they can easily identify hot spots; however the available technologies are different and they are not federally sanctioned for routine monitoring. (Martien)\n\n8) In response to Mr. Altshuler's inquiry, Mr. Martien stated that the BAAQMD's CARE Program costs approximately $1 million per year.\n3. Approval of Minutes of August 9, 2006. With a quorum present, Chairperson Altshuler requested that on Page 2 of the minutes, in the third sentence, change the word \"has\" to \"have\"; on Page 2, second Paragraph, last sentence, change the word \"has\" to \"have\"; and on Page 2, third Paragraph, last sentence, change the word \"is\" to \"are\". Dr. Holtzclaw moved approval of the minutes, as corrected; seconded by Dr. Bedsworth; carried unanimously.\n5. Update on the District's Climate Protection Program: Staff provided an update on the Climate Protection Program. The Committee discussed climate protection issues and how to complement the District's activities.\n\nAna Sandoval, Principal Environmental Planner, provided an update on the District's Climate Protection Program. The presentation included information on the different initiatives the District is currently working on, the progress made to date and plans for the future:\n\nWhy an Air District Climate Program?\n\n* Regional leadership needed on critical environmental issue\n* Continued warming could erode air quality improvements\n* Higher temperatures increase emissions\n* Fossil fuel combustion is main source of greenhouse gases (GHGs) and criteria, toxic air pollutants\n\n* Co-benefits of control strategies\n\n-Energy efficiency\n-Transportation control measures\n-Smart growth\n-Low emission vehicles\n\nDistrict's Early Steps\n\n* Launched climate protection program June 2005\n* Established Board of Directors Climate Protection Committee\n\n* Integrated climate protection into all air quality programs\n\n* Climate protection initiatives\n-Regional climate protection Summit\n-Bay Area GHG emission inventory\n-GHG mitigation study\n-In-house GHG emission reductions\n-Promotion of energy efficiency\n\nNext Steps\n\n* Regional Leadership Council\n* Bay Area Climate Protection website\n* Grant Program\n* Public Outreach Campaign\n* Continuation of Existing Initiatives\n\n-GHG Technology Study\n-Bay Area GHG Emission Inventory\n-K-12 Climate Protection Education\n-Integration with District Activities\n-In-house GHG Emission Reductions\n\nGrant Program Potential Project Types\n\n* Renewable energy infrastructure, such as solar or wind energy\n* Green technology development, such as more energy efficient products\n* Green building projects\n* Public involvement campaigns, such as educational messaging or emission reduction implementation programs\n\nGHG Technology Study\n\n* Identify opportunities for emission reductions at stationary sources subject to District regulations\n* Identify benefits and disbenefits of reduction measures\n* Independent study: URS hired as contractor\n* Phase II Study to evaluate most promising reduction measures\n* Ongoing staff reviews of Phase I Draft Final Report\n\nFurther Integration with District Activities\n\n* Transportation Fund for Clean Air (TFCA) grants evaluation criteria now include GHG reduction benefit\n* CEQA comment letters now include consideration of GHG emissions\n* Air Quality Element General Plan Guidelines will include section on Climate Protection\n* Updated CEQA Guidelines will address GHG emissions analysis and mitigation strategies\n* Staff will report on GHG emissions in rule development\n* Smart Growth – Focusing Our Vision process\n\nThe Committee offered the following suggestions on the Climate Protection initiatives:\n\n1) Dr. Holtzclaw commented that the Focusing Our Vision process was oriented with local governments and focused on saving space and using the transportation systems more efficiently. The process did not include any calculation of the global warming gas emission differences. He suggested that as the District comes up with various alternatives, if an analysis could be done to compare the different alternatives, this might be an excellent addition to that process.\n2) Mr. Kurucz suggested that since the State is developing an environmental K-12 curriculum, the District's K-12 curriculum on climate change should be integrated with the State's efforts.\n3) Chairperson Altshuler commented that he is pleased to see that some of the scoring criteria may be altered for the TFCA and Carl Moyer programs. He suggested that\n\nEnvironmental Impact Reports (EIRs) would be another aspect that is very important.\n\n4) Chairperson Altshuler suggested installation of compact fluorescent light bulbs for efficiency at the District since they are very low on GHG emissions.\n5) Chairperson Altshuler commented that there will be some unique challenges regarding issues related to wood smoke and banning wood combustion, etc. It could be debated that when wood is burned, it is a renewable fuel which is good for the environment from a carbon dioxide perspective. Some of the issues would need to be balanced carefully.\n6) Dr. Bedsworth inquired if any efforts are being made to train people to conduct outreach programs on this topic. It was suggested that staff and community members could be trained to reach out to other air districts around the State.\nMs. Sandoval explained that the District does not have an initiative currently to develop a formal training program; however, staff is in touch with other air districts through the California Air Pollution Control Officers Association (CAPCOA) which has formed a Climate Protection Committee to act as a forum for exchange of information. Dr. Bedsworth also suggested that the District form a pool of speakers and make it available on its website as a resource.\n7) Dr. Holtzclaw suggested educating the media, particularly newspapers, TV and radio, about the various ways of handling global warming. For example, John King, an architectural critic with the San Francisco Chronicle, wrote an article about the new federal building in San Francisco. He described the efforts that were made to make the building more toxic free and to reduce the amount of global warming gases emitted during its construction and operations. Dr. Holtzclaw stated that it was an excellent article and that the District could play a major role in this aspect.\n8) With regard to \"branding\", Dr. Holtzclaw commented that one poll states what Americans think the consequences of global warming are in places such as the poles. Dr. Holtzclaw suggested that the \"branding\" or any other publicity on climate change should emphasize the potential local impacts of global warming so that people begin to think of it as something happening locally rather than something happening at the poles.\n9) Chairperson Altshuler commented that cans or packages of food sold in stores have a label on them that indicates the calorie count for each food, and suggested that products should have a similar label on them that indicates the amount of BTUs and GHG emissions that are respectively used and emitted during their production. Similarly, new cars should have labels indicating the amount of greenhouse gases that are emitted during their production.\n\nChairperson Altshuler mentioned that he would like to find out from the District as to what role the Advisory Council could play to complement the staff and the Board of Directors in its initiatives on climate change. The Committee discussed the possibility of recommending one or two members of the Technical Committee to participate in the Board's Public Outreach and Climate Protection Committees. A lengthy discussion followed. Chairperson Altshuler stated that he would convey the Committee's comments to the Management staff and discuss it with them.\n\nMr. Kurucz mentioned that the District staff has incorporated GHG elements in not only planning but in some selected new rule developments. Dan Belik, Manager, Rule Development, responded to questions regarding the boiler rules and described the process for developing criteria for GHG impacts during the rule making process.\n6. Committee Member Comments/Other Business. Chairperson Althsuler stated that Bart Ostro, Chief, Office of Health Hazard Assessment, will make a presentation to the Committee at its next meeting. In May 2007, Tom Cahill, Professor Emeritus, University of California at Davis, will be presenting to the full Advisory Council, and Chairperson Altshuler will be contacting Mark Jacobsen, Professor, Stanford University, to make a presentation on elemental carbon issues to the Advisory Council at a future meeting.\n\nThe Committee thanked Dr. Ospital and staff for their presentations.\n\n7. Time and Place of Next Meeting. 9:00 a.m., Monday, April 16, 2007, 939 Ellis Street, San Francisco, CA 94109.\n8. Adjournment. 11:50 a.m.\n\n/s/ Neel Advani Neel Advani Deputy Clerk of the Boards\n</text>\n", "role": "user" }, { "content": "QMD staff has not done a lot of study on formaldehyde emissions.", "role": "assistant" } ]
Journal of Applied Pharmaceutical Science Vol. 8(08), pp 151-156, August, 2018 DOI: 10.7324/JAPS.2018.8821 Available online at http://www.japsonline.com ISSN 2231-3354 Application of Fourier transform infrared (FTIR) spectroscopy coupled with multivariate calibration for quantitative analysis of curcuminoid in tablet dosage form 1* Chairany Siregar 1,2 , Sudibyo Martono 1 , Abdul Rohman 1Department of Pharmaceutical Chemistry, Faculty of Pharmacy, Gadjah Mada University, Yogyakarta, 55281, Indonesia. 2The National Agency of Drug and Food Control, District of Samarinda, East Kalimantan, Indonesia. ARTICLE INFO ABSTRACT Article history: Available online: 31/08/2018 Received on: 25/03/2018 Accepted on: 19/06/2018 Key words: curcumin, demethoxycurcumin, PLS regression, tablet, FTIR spectra. Curcuminoid, especially curcumin (CUR) and desmethoxycurcumin (DMCUR), is regarded as active components of a pharmaceutical formulation containing Curcuma species responsible for several biological activities including anti-inflammatory and antioxidant. The objective of this research was to validate rapid and reliable method based on Fourier transform infrared (FTIR spectroscopy) in the mid-infrared region in combination with multivariate analysis for quantitative analysis of curcuminoid content in tablet formulation. FTIR spectra was subjected to several optimizations including wavenumbers selection and derivatization to get best prediction models for the relationship between actual values of curcuminoid as determined using high-performance liquid chromatography and FTIR calculated values. The first derivative FTIR spectra at wavenumbers of 2975-660 cm −1 using partial least square regression (PLSR) was preferred for quantification of CUR in tablet, while DMCUR was predicted using FTIR normal spectra at wavenumbers of 1784-1587 cm −1 . The coefficient of determination (R 2 ) values for calibration and validation models either in CUR and DMCUR were of >0.99 indicating good accuracy methods. The errors in calibration and validation models were low indicating the acceptable precision of the developed method. FTIR spectroscopy combined with PLS regression can be used as an alternative technique for determination of CUR and DMCUR in tablet dosage form. INTRODUCTION Curcuminoid, mainly curcumin (CUR) and desmethoxycurcumin (DMCUR), with chemical structures as shown in Figure 1, has been reported to have some biological activities including antioxidant, anticancer and anti-inflammatory (Rohman, 2012). Curcuminoid has been used as chemical markers during biological activity studies related to Curcuma genus. Some pharmaceutical products containing Curcuma extracts has been commercially available in Indonesian markets such as Curcuma syrup (Wahyono and Hakim, 2007), capsule, and tablet formulations (Rajashree et al., 2013). Therefore, determination of curcuminoid in those formulations was needed to assure the quality of curcuminoid contained in pharmaceutical products. * Abdul Rohman, Department of Pharmaceutical Chemistry, Faculty of Corresponding Author Pharmacy, Gadjah Mada University, Yogyakarta, 55281, Indonesia. E-mail: abdul_kimfar @ ugm.ac.id Chromatographic methods including chromatography with ultraviolet-visible detector (Syed et al., 2015), photo-diode array detector (Zhang and Acworth, 2013), and electrochemical detector (Long et al., 2014) has been reported for analysis of curcuminoid due to its capability to provide separation of individual curcuminoid (Siregar et al., 2017). However, chromatographic methods need more time and efforts, therefore, some simple methods based on spectroscopic methods have been introduced to overcome these obstacles. UV spectrophotometry is a method of choice for determination of curcuminoid in a formulation containing pure curcuminoid (Sharma et al., 2012), but this method is not suitable for products containing curcuminoid in plant extracts. Due to much peaks obtained to be used as variables, Fourier transforms infrared (FTIR) spectroscopy has been proposed for the analysis of analytes in a complex composition including curcuminoid in the extracts. are no reports related to the quantitative analysis of curcuminoid in tablet formulation. Therefore, in this study, FTIR spectroscopy at specific infrared region combined with multivariate calibration was optimized for quantitative analysis of curcuminoid (CUR and DMCUR). MATERIALS AND METHODS Curcumin (CUR) and desmethoxycurcumin (DMCUR) were isolated from commercial curcuminoid purchased from E. Merck (Darmstadt, Germany). Isolation was performed following method as described in Lestari et al. (2017). Thin Layer Chromatography (TLC) and High-Performance Liquid Chromatography (HPLC) were used to check the purity of CUR and DMCUR. The purity of CUR and DMCUR was performed using internal normalization technique. Tablet samples were purchased from several pharmacies around Yogyakarta, Indonesia. The placebo of samples was kindly given by PT. SOHO Pharmaceutical Industry (Jakarta, Indonesia). FTIR spectroscopy, based on the interaction between electromagnetic radiation currently in infrared region and samples, in combination with several chemometrics techniques, has emerged as powerful analytical tools in the pharmaceutical application (Chakraborty, 2016) due to its property as fingerprint spectra (Sim et al., 2004). In herbal medicine application, the combination of FTIR spectroscopy and chemometrics have been used for quantification of active pharmaceutical ingredients (Rohman, 2013), for discrimination between wild-grown and cultivated Ganoderma lucidum, an expensive herbal component commonly used in Chinese traditional medicine (Zhu and Tan, 2015), authentication of geographical origin of Gentiana rigescens commonly used as liver protective in traditional Chinese medicine (Wu et al., 2017) and for quality assurance of herbal medicine (Rohman et al., 2014). FTIR spectroscopy combined with partial least square and principal component regression has been used for quantification of curcuminoid in extracts of Curcuma longa (Rohman et al., 2015) and Curcuma xanthorrhiza (Lestari et al., 2017). The reported publication regarding curcuminoid analysis, so far, was in extracts or powder and using literature review, there HPLC analysis HPLC analysis of individual curcuminoid was performed according to Siregar et al. (2017) using Shimadzu LC-20AD (Kyoto, Japan) equipped with Rheodyne 7725i injection valve with a 20 μL loop volume and binary gradient pump. Detection was carried out Shimadzu Photodiode Array Detector (SPDM20A) operated at a wavelength of 425 nm. Chromatographic separation was performed using Waters X-Bridge C-18 (250 mm × 4.6 mm i.d; 5 µm), set at 45°C. The mobile phase used consisted of a binary mixture of acetonitrile-acetic acid 3.00% (49:51 v/v), delivered in an isocratic manner with flow rate arranged at 1.08 mL/min. For the preparation of a stock solution of samples, an accurately weighed amount of samples (about 200.0 mg) was transferred into a 25 mL volumetric flask, added with about 10 mL methanol, sonicated for 30 min, and then diluted with mobile phase to volume. The samples were homogenized and centrifuged for 10 min at 10.000 rpm. A portion of sample stock solution was diluted (1 in 20 mL for CUR and 2.5 in 5 mL for DMCUR) with mobile phase, mixed, and then filtered using 0.45 µm filter before being injected into HPLC system. Preparation of calibration and validation samples In order to facilitate the calibration model, a tablet containing CUR and DMCUR was added with placebo with variety composition to get a different concentration of CUR and DMCUR. Multivariate calibrations of partial least square regression (PLSR) and principal component regression (PCR) were used for making calibration model. For validation samples, a set of independent samples prepared by adding a tablet with different composition of placebo was used. The concentration of CUR and DMCUR in validation samples was predicted using the calibration model previously built. FTIR spectroscopy analysis The powdered tablet samples were placed on Smart iTR™ Attenuated Total Reflectance (ATR) accessory composed of diamond crystal as sample handling technique at a controlled ambient temperature (25°C). Samples were scanned using Nicolet iS10 FTIR spectrophotometer (Thermo Fisher Scientific Inc, Madison, USA) equipped with deuterated triglycine sulfate (DTGS) detector and potassium bromide (KBr)/Germanium as a beam splitter. The instrument was connected to software OMNIC ver.9.7 and spectra were scanned at wavenumbers of 4000-650 cm −1 , recorded for 32 scans at a resolution of 8 cm −1 . The air spectrum was used as background. Each data point was recorded in three replicates using absorbance mode to facilitate quantitative analysis (Rohman et al., 2014). Chemometric analysis Multivariate analyses consisted of partial least square regression (PLSR) and principal component regression (PCR) were performed using software TQ Analyst ver.9.7 (Thermo Fisher Scientific Inc., Madison, WI) included in Nicolet iS10 FTIR instrument. PLSR and PCR were used to build a predictive model which correlated the actual values of CUR and DMCUR from HPLC determination and FTIR predicted values. Statistical parameters namely coefficient determination (R 2 ), Root Mean Square Error of Calibration (RMSEC) and Root Mean Square Error of Predicted (RMSEP) were computed using TQ Analyst software. RESULTS AND DISCUSSION HPLC, due to its capability to be used for qualitative, quantitative and preparative analyses, is a standard method for analysis of active components in herbal medicine including determination of curcumin (CUR) and desmethoxycurcumin (DMCUR) in plant extracts (Prabaningdyah et al., 2017). Figure 2 revealed HPLC chromatogram for separation and quantification of CUR and DMCUR in some tablet samples containing C. xanthorrhiza in its formulation. However, HPLC is timeconsuming and needs skillful analysis. Therefore, in this study, FTIR spectroscopy was developed for routine analysis of CUR and DMCUR in any pharmaceutical products. The levels of CUR and DMCUR in tablet formulation used as actual values of CUR and DMCUR were determined by HPLC using photo-diode array detector at λ 425 nm, and their results obtained were compiled in Table 1. The variation of CUR and DMCUR compositions in evaluated tablets was coming from the addition of tablets with placebo to facilitate calibration models during FTIR spectroscopic analysis. FTIR spectra of a tablet containing extract of C. xanthorrhiza with curcuminoid as active components were depicted in Figure 3. Each peak was corresponding to a functional group present in two main curcuminoids present in C. xanthorrhiza, namely CUR and DMCUR (Lestari et al., 2017). The clear and broad peak at wavenumbers (1/λ) of 3200 cm −1 corresponded to stretching vibration of hydrogen-bonded (-OH) present in curcuminoid, while peaks at 2950 and 2900 cm −1 originated from stretching vibrations of methyl (CH 3 ) and methylene (CH 2 -) groups, respectively. The bending vibrations of CH 3 and CH 2 were also observed at 1/λ 1339 and 1423 cm −1 , respectively. Conjugated carbonyl group was observed at 1/λ 1655 cm −1 , lower than 1/λ in unconjugated carbonyl ( Prabaningdyah et al ., 2018 ). Table 2 compiled the functional groups responsible for IR absorption of tablet placebo spiked with Curcuma xanthorrhiza . The presence of these functional groups as indicated in each peak in FTIR spectra proved that the studied tablet contained Curcuma extract. Table 1: The concentrations of curcumin and desmethoxycurcumin in tablet samples. \| Sample 1 Sample 2 Sample 3 Sample 4 Sample 5 Sample 6 Sample 7 Sample 8 Sample 9 Sample 10 Sample 11 Sample 12 Sample 13 Sample 14 \| 0.5821 \| \|---\|---\| \| \| 0.8467 \| \| \| 1.0861 \| \| \| 1.2279 \| \| \| 1.6971 \| \| \| 2.1608 \| \| \| 2.5808 \| \| \| 3.0433 \| \| \| 3.4698 \| \| \| 4.3122 \| \| \| 5.1355 \| \| \| 6.0553 \| \| \| 6.9267 \| \| \| 7.9319 \| Table 2: The functional groups responsible for IR absorption of tablet placebo spiked with Curcuma xanthorrhiza (Lestari et al., 2017). For prediction of CUR and DMCUR, FTIR spectroscopy at specific wavenumbers was optimized by selecting certain regions of mid-infrared (4000-650 cm −1 ) capable of providing the best correlation between actual values of CUR and DMCUR as determined by HPLC and FTIR predicted values. The selection of wavenumbers regions used for prediction of CUR and DMCUR using FTIR spectroscopy was relied on its capability to offer the highest coefficient of determination (R 2 ) and lowest calibration and validation errors. To facilitate this correlation, two multivariate calibrations namely partial least square regression (PLSR) and principal component regression (PCR) were used and optimized. Table 3 compiled the performance of multivariate calibrations for prediction of CUR and DMCUR in Curcuma tablet along with statistical values, namely R 2 and root mean square error of calibration (RMSEC) and error in prediction (RMSEP). The accuracy and precision of FTIR spectroscopic-multivariate calibration can be expressed by R 2 , RMSEC, and RMSEP. The higher R 2 and the lower RMSEC and RMSEP, the better the prediction models ( Sim et al ., 2004 ). . Table 3: The performance of multivariate calibration of partial least square regression (PLSR) and principle component regression (PCR) for prediction of curcumin and demethoxycurcumin in tablet formulation. (B) (B) Fig. 5: The correlation between actual values of desmethoxycurcumin and FTIR predicted values using FTIR spectroscopy-partial least square regression (A) along with residual analysis (B). Based on the optimization using several parameters (types of multivariate calibration, wavenumbers region, spectral treatment based on normal and its first derivative), CUR was preferred to be quantified using first derivative spectra at combined wavenumbers of 2975-660 cm −1 with 7 factors. The R 2 obtained for calibration and validation models for quantitative analysis of CUR using PLSR were 0.9968 and 0.9964, with RMSEC and RMSEP values of 0.126% and 0.254%, respectively. Furthermore, PLSR using wavenumbers of 1784-1587 cm −1 with 5 factors was preferred for quantification of DMCUR in a tablet with R 2 values in calibration and validation of 0.9954 and 0.9916, respectively. The RMSEC and RMSEP values obtained were of 0.000427% and 0.000754%. Figure 4 and Figure 5 revealed the correlation between actual values of CUR and DMCUR with FTIR predicted values using optimized condition assisted with PLSR along with residual analysis to evaluate the difference between actual and predicted values. From the residual analysis, it can be confirmed that residual values fall around zero (0) difference, above and below zero value. This indicated that errors occurred can be negligible. From these results, it can be concluded that FTIR spectroscopy using optimum condition can be used for prediction of CUR and DMCUR with acceptable accuracy as indicated by the high value of R 2 and precision as indicated by low levels of RMSEC, RMSEP and residual values. FTIR spectroscopy in combination with chemometrics of multivariate calibration offered a fast and reliable technique for quantitative analysis of pharmaceuticals with fixed composition, however, if the placebo or matrix composition used was different, a new model calibration and validation must be developed. CONCLUSION FTIR spectroscopy in combination with multivariate analysis can be used as an alternative technique for quantitative analysis of CUR and DMCUR in table dosage form. The accuracy and precision of FTIR spectroscopy assisted with PLSR were acceptable. This developed method was rapid and suitable for routine analysis. However, if the composition of tablet used was different, a new model must be developed, and indeed the model was also validated. ACKNOWLEDGMENT The authors acknowledge to Kemenristek Dikti (the Ministry of research and higher education, Republic of Indonesia) for financial support during this study with contract number of 2328/UN1.P.III/DIT-LIT/LT/2017 awarded to Prof. Dr. Abdul Rohman. The National Agency of Drug and Food Control, District of Yogyakarta, Republic of Indonesia was acknowledged for supporting HPLC facilities that make this study possible. We also thanks PT. SOHO Pharmaceutical Industry (Jakarta, Indonesia) for supporting sample placebo. CONFLICTS OF INTEREST There are no conflicts of interest. REFERENCES applications. World J Pharm Pharmaceutical Sci, 2016; 5(3):498-505. Lestari HP, Martono S, Wulandari R, Rohman A. Simultaneous Chakraborty DS. Instrumentation of FTIR and its herbal analysis of Curcumin and demethoxycurcumin in Curcuma xanthorrhiza using FTIR spectroscopy and chemometrics. Int Food Res J, 2017; 24(5):2097-2101. Prabaningdyah NK, Riyanto S, Rohman A, Siregar C. Application of HPLC and response surface methodology for simultaneous determination of curcumin and desmethoxy curcumin in Curcuma syrup formulation. J Appl Pharm Sci, 2017; 7(12):58-64. Long Y, Zhang W, Wang F, Chen Z. Simultaneous determination of three curcuminoids in Curcuma longa L. by high performance liquid chromatography coupled with electrochemical detection. J Pharm Anal, 2014; 4(5):325-330. Prabaningdyah NK, Riyanto S, Rohman A. Application of FTIR spectroscopy and multivariate calibration for analysis of curcuminoid in syrup formulation. J Appl Pharm Sci, 2018; In Press. Rohman A. Analysis of curcuminoids in food and pharmaceutical products. Int Food Res J, 2012; 19(1):19-27. Rajashree R, Divya G, Sushma P, Kanchan I, Sachin K. Analytical Study of Curcumin Content in Different Dosage Forms Containing Turmeric Extract Powder and Turmeric Oleoresin Int Res J Pharm, 2013; 4(3):182-185. Rohman A. Application of Fourier Transform Infrared Spectroscopy for Quality Control of Pharmaceutical Products: a Review. Indones J Pharm, 2013; 23(1):1-8. Rohman A, Sudjadi, Ramadhani D, Nugroho A. Analysis of Curcumin in Curcuma longa and Curcuma xanthorrhiza Using FTIR Spectroscopy and Chemometrics. Res J Med Plant, 2015; 9(4):179-186. Rohman A, Nugroho A, Lukitaningsih E, Sudjadi. Application of vibrational spectroscopy in combination with chemometrics techniques for authentication of herbal medicine. Appl Spectrosc Rev, 2014; 49(8):603-613. Sharma K, Agrawal SS, Gupta M. Development and validation of UV spectrophotometric method for the estimation of curcumin in bulk drug and pharmaceutical dosage forms. Int J Drug Dev Res, 2012; 4(2):375380. Sim C, Hamdan M, Ismail Z, Ahmad M. Assessment of Herbal Medicines by Chemometrics – Assisted Interpretation of FTIR Spectra. Anal Chim Acta, 2004; 570:1-14. Silverstein RM, Webster FX, Kiemle DJ. 2005. Spectrometric identification of organic compounds. Hoboken, NJ: John Wiley & Sons. Syed HK, Bin Liew K, Loh GOK, Peh KK. Stability indicating HPLC-UV method for detection of curcumin in Curcuma longa extract and emulsion formulation. Food Chem, 2015; 170:321-326. Wahyono D, Hakim AR. Effect of the curcuma plus® syrup on the pharmacokinetics of rifampicin in rats. Indonesian J Pharm, 2007; 18(4):163-168. Siregar C, Prabaningdyah NK, Choiri S, Riyanto S, Rohman A. Optimization of HPLC Using Central Composite Design for Determination of Curcumin and Demethoxycurcumin in Tablet Dosage Form. Dhaka Univ J Pharm Sci, 2017; 16(2):137-145. Wu Z, Zhao Y, Zhang J, Wang Y. Quality Assessment of Gentiana rigescens from Different Geographical Origins Using FT-IR Spectroscopy Combined with HPLC. Molecules, 2017; 22:1238. Zhu Y, Tan ATL. Discrimination of Wild-Grown and Cultivated Ganoderma lucidum by Fourier Transform Infrared Spectroscopy and Chemometric Methods. Am J Anal Chem, 2015; 6(5):480-491. Zhang Q, Acworth I. The quantitative analysis of curcuminoids in a food additive and foods evaluated using rapid HPLC with electrochemical, UV or fluorescence detection. Planta Med, 2013; 79:PO1. How to cite this article: Siregar C, Martono S, Rohman A. Application of Fourier transform infrared (FTIR) spectroscopy coupled with multivariate calibration for quantitative analysis of curcuminoid in tablet dosage form. J App Pharm Sci, 2018; 8(08): 151-156.	<urn:uuid:c1ce2611-4c65-4a63-8dff-9284c93f1d82>	CC-MAIN-2021-04	https://pdfs.semanticscholar.org/3f6e/a81ec2e7c4b3f67d5665a89feec21be86d44.pdf	2021-01-22T01:24:18+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-04/subset=warc/part-00298-364a895c-5e5c-46bb-846e-75ec7de82b3b.c000.gz.parquet	488,953,527	4,950	eng_Latn	eng_Latn	0.896756	eng_Latn	0.928314	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 4066, 7945, 12555, 13561, 13760, 20328 ]	Journal of Applied Pharmaceutical Science Vol. 8(08), pp 151-156, August, 2018 DOI: 10.7324/JAPS.2018.8821 Available online at http://www.japsonline.com ISSN 2231-3354 Application of Fourier transform infrared (FTIR) spectroscopy coupled with multivariate calibration for quantitative analysis of curcuminoid in tablet dosage form 1* Chairany Siregar 1,2 , Sudibyo Martono 1 , Abdul Rohman 1Department of Pharmaceutical Chemistry, Faculty of Pharmacy, Gadjah Mada University, Yogyakarta, 55281, Indonesia. 2The National Agency of Drug and Food Control, District of Samarinda, East Kalimantan, Indonesia. ARTICLE INFO ABSTRACT Article history: Available online: 31/08/2018 Received on: 25/03/2018 Accepted on: 19/06/2018 Key words: curcumin, demethoxycurcumin, PLS regression, tablet, FTIR spectra. Curcuminoid, especially curcumin (CUR) and desmethoxycurcumin (DMCUR), is regarded as active components of a pharmaceutical formulation containing Curcuma species responsible for several biological activities including anti-inflammatory and antioxidant. The objective of this research was to validate rapid and reliable method based on Fourier transform infrared (FTIR spectroscopy) in the mid-infrared region in combination with multivariate analysis for quantitative analysis of curcuminoid content in tablet formulation. FTIR spectra was subjected to several optimizations including wavenumbers selection and derivatization to get best prediction models for the relationship between actual values of curcuminoid as determined using high-performance liquid chromatography and FTIR calculated values. The first derivative FTIR spectra at wavenumbers of 2975-660 cm −1 using partial least square regression (PLSR) was preferred for quantification of CUR in tablet, while DMCUR was predicted using FTIR normal spectra at wavenumbers of 1784-1587 cm −1 . The coefficient of determination (R 2 ) values for calibration and validation models either in CUR and DMCUR were of >0.99 indicating good accuracy methods. The errors in calibration and validation models were low indicating the acceptable precision of the developed method. FTIR spectroscopy combined with PLS regression can be used as an alternative technique for determination of CUR and DMCUR in tablet dosage form. INTRODUCTION Curcuminoid, mainly curcumin (CUR) and desmethoxycurcumin (DMCUR), with chemical structures as shown in Figure 1, has been reported to have some biological activities including antioxidant, anticancer and anti-inflammatory (Rohman, 2012). Curcuminoid has been used as chemical markers during biological activity studies related to Curcuma genus. Some pharmaceutical products containing Curcuma extracts has been commercially available in Indonesian markets such as Curcuma syrup (Wahyono and Hakim, 2007), capsule, and tablet formulations (Rajashree et al., 2013). Therefore, determination of curcuminoid in those formulations was needed to assure the quality of curcuminoid contained in pharmaceutical products. * Abdul Rohman, Department of Pharmaceutical Chemistry, Faculty of Corresponding Author Pharmacy, Gadjah Mada University, Yogyakarta, 55281, Indonesia. E-mail: abdul_kimfar @ ugm.ac.id Chromatographic methods including chromatography with ultraviolet-visible detector (Syed et al., 2015), photo-diode array detector (Zhang and Acworth, 2013), and electrochemical detector (Long et al., 2014) has been reported for analysis of curcuminoid due to its capability to provide separation of individual curcuminoid (Siregar et al., 2017). However, chromatographic methods need more time and efforts, therefore, some simple methods based on spectroscopic methods have been introduced to overcome these obstacles. UV spectrophotometry is a method of choice for determination of curcuminoid in a formulation containing pure curcuminoid (Sharma et al., 2012), but this method is not suitable for products containing curcuminoid in plant extracts. Due to much peaks obtained to be used as variables, Fourier transforms infrared (FTIR) spectroscopy has been proposed for the analysis of analytes in a complex composition including curcuminoid in the extracts. are no reports related to the quantitative analysis of curcuminoid in tablet formulation. Therefore, in this study, FTIR spectroscopy at specific infrared region combined with multivariate calibration was optimized for quantitative analysis of curcuminoid (CUR and DMCUR). MATERIALS AND METHODS Curcumin (CUR) and desmethoxycurcumin (DMCUR) were isolated from commercial curcuminoid purchased from E. Merck (Darmstadt, Germany). Isolation was performed following method as described in Lestari et al. (2017). Thin Layer Chromatography (TLC) and High-Performance Liquid Chromatography (HPLC) were used to check the purity of CUR and DMCUR. The purity of CUR and DMCUR was performed using internal normalization technique. Tablet samples were purchased from several pharmacies around Yogyakarta, Indonesia. The placebo of samples was kindly given by PT. SOHO Pharmaceutical Industry (Jakarta, Indonesia). FTIR spectroscopy, based on the interaction between electromagnetic radiation currently in infrared region and samples, in combination with several chemometrics techniques, has emerged as powerful analytical tools in the pharmaceutical application (Chakraborty, 2016) due to its property as fingerprint spectra (Sim et al., 2004). In herbal medicine application, the combination of FTIR spectroscopy and chemometrics have been used for quantification of active pharmaceutical ingredients (Rohman, 2013), for discrimination between wild-grown and cultivated Ganoderma lucidum, an expensive herbal component commonly used in Chinese traditional medicine (Zhu and Tan, 2015), authentication of geographical origin of Gentiana rigescens commonly used as liver protective in traditional Chinese medicine (Wu et al., 2017) and for quality assurance of herbal medicine (Rohman et al., 2014). FTIR spectroscopy combined with partial least square and principal component regression has been used for quantification of curcuminoid in extracts of Curcuma longa (Rohman et al., 2015) and Curcuma xanthorrhiza (Lestari et al., 2017). The reported publication regarding curcuminoid analysis, so far, was in extracts or powder and using literature review, there HPLC analysis HPLC analysis of individual curcuminoid was performed according to Siregar et al. (2017) using Shimadzu LC-20AD (Kyoto, Japan) equipped with Rheodyne 7725i injection valve with a 20 μL loop volume and binary gradient pump. Detection was carried out Shimadzu Photodiode Array Detector (SPDM20A) operated at a wavelength of 425 nm. Chromatographic separation was performed using Waters X-Bridge C-18 (250 mm × 4.6 mm i.d; 5 µm), set at 45°C. The mobile phase used consisted of a binary mixture of acetonitrile-acetic acid 3.00% (49:51 v/v), delivered in an isocratic manner with flow rate arranged at 1.08 mL/min. For the preparation of a stock solution of samples, an accurately weighed amount of samples (about 200.0 mg) was transferred into a 25 mL volumetric flask, added with about 10 mL methanol, sonicated for 30 min, and then diluted with mobile phase to volume. The samples were homogenized and centrifuged for 10 min at 10.000 rpm. A portion of sample stock solution was diluted (1 in 20 mL for CUR and 2.5 in 5 mL for DMCUR) with mobile phase, mixed, and then filtered using 0.45 µm filter before being injected into HPLC system. Preparation of calibration and validation samples In order to facilitate the calibration model, a tablet containing CUR and DMCUR was added with placebo with variety composition to get a different concentration of CUR and DMCUR. Multivariate calibrations of partial least square regression (PLSR) and principal component regression (PCR) were used for making calibration model. For validation samples, a set of independent samples prepared by adding a tablet with different composition of placebo was used. The concentration of CUR and DMCUR in validation samples was predicted using the calibration model previously built. FTIR spectroscopy analysis The powdered tablet samples were placed on Smart iTR™ Attenuated Total Reflectance (ATR) accessory composed of diamond crystal as sample handling technique at a controlled ambient temperature (25°C). Samples were scanned using Nicolet iS10 FTIR spectrophotometer (Thermo Fisher Scientific Inc, Madison, USA) equipped with deuterated triglycine sulfate (DTGS) detector and potassium bromide (KBr)/Germanium as a beam splitter. The instrument was connected to software OMNIC ver.9.7 and spectra were scanned at wavenumbers of 4000-650 cm −1 , recorded for 32 scans at a resolution of 8 cm −1 . The air spectrum was used as background. Each data point was recorded in three replicates using absorbance mode to facilitate quantitative analysis (Rohman et al., 2014). Chemometric analysis Multivariate analyses consisted of partial least square regression (PLSR) and principal component regression (PCR) were performed using software TQ Analyst ver.9.7 (Thermo Fisher Scientific Inc., Madison, WI) included in Nicolet iS10 FTIR instrument. PLSR and PCR were used to build a predictive model which correlated the actual values of CUR and DMCUR from HPLC determination and FTIR predicted values. Statistical parameters namely coefficient determination (R 2 ), Root Mean Square Error of Calibration (RMSEC) and Root Mean Square Error of Predicted (RMSEP) were computed using TQ Analyst software. RESULTS AND DISCUSSION HPLC, due to its capability to be used for qualitative, quantitative and preparative analyses, is a standard method for analysis of active components in herbal medicine including determination of curcumin (CUR) and desmethoxycurcumin (DMCUR) in plant extracts (Prabaningdyah et al., 2017). Figure 2 revealed HPLC chromatogram fo	r separation and quantification of CUR and DMCUR in some tablet samples containing C.		9,879	inside_word	for	remove_all	<url> https://pdfs.semanticscholar.org/3f6e/a81ec2e7c4b3f67d5665a89feec21be86d44.pdf </url> <text> Journal of Applied Pharmaceutical Science Vol. 8(08), pp 151-156, August, 2018 DOI: 10.7324/JAPS.2018.8821 Available online at http://www.japsonline.com ISSN 2231-3354 Application of Fourier transform infrared (FTIR) spectroscopy coupled with multivariate calibration for quantitative analysis of curcuminoid in tablet dosage form 1* Chairany Siregar 1,2 , Sudibyo Martono 1 , Abdul Rohman 1Department of Pharmaceutical Chemistry, Faculty of Pharmacy, Gadjah Mada University, Yogyakarta, 55281, Indonesia. 2The National Agency of Drug and Food Control, District of Samarinda, East Kalimantan, Indonesia. ARTICLE INFO ABSTRACT Article history: Available online: 31/08/2018 Received on: 25/03/2018 Accepted on: 19/06/2018 Key words: curcumin, demethoxycurcumin, PLS regression, tablet, FTIR spectra. Curcuminoid, especially curcumin (CUR) and desmethoxycurcumin (DMCUR), is regarded as active components of a pharmaceutical formulation containing Curcuma species responsible for several biological activities including anti-inflammatory and antioxidant. The objective of this research was to validate rapid and reliable method based on Fourier transform infrared (FTIR spectroscopy) in the mid-infrared region in combination with multivariate analysis for quantitative analysis of curcuminoid content in tablet formulation. FTIR spectra was subjected to several optimizations including wavenumbers selection and derivatization to get best prediction models for the relationship between actual values of curcuminoid as determined using high-performance liquid chromatography and FTIR calculated values. The first derivative FTIR spectra at wavenumbers of 2975-660 cm −1 using partial least square regression (PLSR) was preferred for quantification of CUR in tablet, while DMCUR was predicted using FTIR normal spectra at wavenumbers of 1784-1587 cm −1 . The coefficient of determination (R 2 ) values for calibration and validation models either in CUR and DMCUR were of >0.99 indicating good accuracy methods. The errors in calibration and validation models were low indicating the acceptable precision of the developed method. FTIR spectroscopy combined with PLS regression can be used as an alternative technique for determination of CUR and DMCUR in tablet dosage form. INTRODUCTION Curcuminoid, mainly curcumin (CUR) and desmethoxycurcumin (DMCUR), with chemical structures as shown in Figure 1, has been reported to have some biological activities including antioxidant, anticancer and anti-inflammatory (Rohman, 2012). Curcuminoid has been used as chemical markers during biological activity studies related to Curcuma genus. Some pharmaceutical products containing Curcuma extracts has been commercially available in Indonesian markets such as Curcuma syrup (Wahyono and Hakim, 2007), capsule, and tablet formulations (Rajashree et al., 2013). Therefore, determination of curcuminoid in those formulations was needed to assure the quality of curcuminoid contained in pharmaceutical products. * Abdul Rohman, Department of Pharmaceutical Chemistry, Faculty of Corresponding Author Pharmacy, Gadjah Mada University, Yogyakarta, 55281, Indonesia. E-mail: abdul_kimfar @ ugm.ac.id Chromatographic methods including chromatography with ultraviolet-visible detector (Syed et al., 2015), photo-diode array detector (Zhang and Acworth, 2013), and electrochemical detector (Long et al., 2014) has been reported for analysis of curcuminoid due to its capability to provide separation of individual curcuminoid (Siregar et al., 2017). However, chromatographic methods need more time and efforts, therefore, some simple methods based on spectroscopic methods have been introduced to overcome these obstacles. UV spectrophotometry is a method of choice for determination of curcuminoid in a formulation containing pure curcuminoid (Sharma et al., 2012), but this method is not suitable for products containing curcuminoid in plant extracts. Due to much peaks obtained to be used as variables, Fourier transforms infrared (FTIR) spectroscopy has been proposed for the analysis of analytes in a complex composition including curcuminoid in the extracts. are no reports related to the quantitative analysis of curcuminoid in tablet formulation. Therefore, in this study, FTIR spectroscopy at specific infrared region combined with multivariate calibration was optimized for quantitative analysis of curcuminoid (CUR and DMCUR). MATERIALS AND METHODS Curcumin (CUR) and desmethoxycurcumin (DMCUR) were isolated from commercial curcuminoid purchased from E. Merck (Darmstadt, Germany). Isolation was performed following method as described in Lestari et al. (2017). Thin Layer Chromatography (TLC) and High-Performance Liquid Chromatography (HPLC) were used to check the purity of CUR and DMCUR. The purity of CUR and DMCUR was performed using internal normalization technique. Tablet samples were purchased from several pharmacies around Yogyakarta, Indonesia. The placebo of samples was kindly given by PT. SOHO Pharmaceutical Industry (Jakarta, Indonesia). FTIR spectroscopy, based on the interaction between electromagnetic radiation currently in infrared region and samples, in combination with several chemometrics techniques, has emerged as powerful analytical tools in the pharmaceutical application (Chakraborty, 2016) due to its property as fingerprint spectra (Sim et al., 2004). In herbal medicine application, the combination of FTIR spectroscopy and chemometrics have been used for quantification of active pharmaceutical ingredients (Rohman, 2013), for discrimination between wild-grown and cultivated Ganoderma lucidum, an expensive herbal component commonly used in Chinese traditional medicine (Zhu and Tan, 2015), authentication of geographical origin of Gentiana rigescens commonly used as liver protective in traditional Chinese medicine (Wu et al., 2017) and for quality assurance of herbal medicine (Rohman et al., 2014). FTIR spectroscopy combined with partial least square and principal component regression has been used for quantification of curcuminoid in extracts of Curcuma longa (Rohman et al., 2015) and Curcuma xanthorrhiza (Lestari et al., 2017). The reported publication regarding curcuminoid analysis, so far, was in extracts or powder and using literature review, there HPLC analysis HPLC analysis of individual curcuminoid was performed according to Siregar et al. (2017) using Shimadzu LC-20AD (Kyoto, Japan) equipped with Rheodyne 7725i injection valve with a 20 μL loop volume and binary gradient pump. Detection was carried out Shimadzu Photodiode Array Detector (SPDM20A) operated at a wavelength of 425 nm. Chromatographic separation was performed using Waters X-Bridge C-18 (250 mm × 4.6 mm i.d; 5 µm), set at 45°C. The mobile phase used consisted of a binary mixture of acetonitrile-acetic acid 3.00% (49:51 v/v), delivered in an isocratic manner with flow rate arranged at 1.08 mL/min. For the preparation of a stock solution of samples, an accurately weighed amount of samples (about 200.0 mg) was transferred into a 25 mL volumetric flask, added with about 10 mL methanol, sonicated for 30 min, and then diluted with mobile phase to volume. The samples were homogenized and centrifuged for 10 min at 10.000 rpm. A portion of sample stock solution was diluted (1 in 20 mL for CUR and 2.5 in 5 mL for DMCUR) with mobile phase, mixed, and then filtered using 0.45 µm filter before being injected into HPLC system. Preparation of calibration and validation samples In order to facilitate the calibration model, a tablet containing CUR and DMCUR was added with placebo with variety composition to get a different concentration of CUR and DMCUR. Multivariate calibrations of partial least square regression (PLSR) and principal component regression (PCR) were used for making calibration model. For validation samples, a set of independent samples prepared by adding a tablet with different composition of placebo was used. The concentration of CUR and DMCUR in validation samples was predicted using the calibration model previously built. FTIR spectroscopy analysis The powdered tablet samples were placed on Smart iTR™ Attenuated Total Reflectance (ATR) accessory composed of diamond crystal as sample handling technique at a controlled ambient temperature (25°C). Samples were scanned using Nicolet iS10 FTIR spectrophotometer (Thermo Fisher Scientific Inc, Madison, USA) equipped with deuterated triglycine sulfate (DTGS) detector and potassium bromide (KBr)/Germanium as a beam splitter. The instrument was connected to software OMNIC ver.9.7 and spectra were scanned at wavenumbers of 4000-650 cm −1 , recorded for 32 scans at a resolution of 8 cm −1 . The air spectrum was used as background. Each data point was recorded in three replicates using absorbance mode to facilitate quantitative analysis (Rohman et al., 2014). Chemometric analysis Multivariate analyses consisted of partial least square regression (PLSR) and principal component regression (PCR) were performed using software TQ Analyst ver.9.7 (Thermo Fisher Scientific Inc., Madison, WI) included in Nicolet iS10 FTIR instrument. PLSR and PCR were used to build a predictive model which correlated the actual values of CUR and DMCUR from HPLC determination and FTIR predicted values. Statistical parameters namely coefficient determination (R 2 ), Root Mean Square Error of Calibration (RMSEC) and Root Mean Square Error of Predicted (RMSEP) were computed using TQ Analyst software. RESULTS AND DISCUSSION HPLC, due to its capability to be used for qualitative, quantitative and preparative analyses, is a standard method for analysis of active components in herbal medicine including determination of curcumin (CUR) and desmethoxycurcumin (DMCUR) in plant extracts (Prabaningdyah et al., 2017). Figure 2 revealed HPLC chromatogram fo<cursor_is_here> </text>	[ { "content": "<url>\nhttps://pdfs.semanticscholar.org/3f6e/a81ec2e7c4b3f67d5665a89feec21be86d44.pdf\n</url>\n<text>\nJournal of Applied Pharmaceutical Science Vol. 8(08), pp 151-156, August, 2018\n\nDOI: 10.7324/JAPS.2018.8821\n\nAvailable online at http://www.japsonline.com\n\nISSN 2231-3354\n\nApplication of Fourier transform infrared (FTIR) spectroscopy coupled with multivariate calibration for quantitative analysis of curcuminoid in tablet dosage form\n\n1\n\nChairany Siregar 1,2 , Sudibyo Martono 1 , Abdul Rohman\n\n1Department of Pharmaceutical Chemistry, Faculty of Pharmacy, Gadjah Mada University, Yogyakarta, 55281, Indonesia.\n\n2The National Agency of Drug and Food Control, District of Samarinda, East Kalimantan, Indonesia.\n\nARTICLE INFO\n\nABSTRACT\n\nArticle history:\n\nAvailable online: 31/08/2018\n\nReceived on: 25/03/2018\n\nAccepted on: 19/06/2018\n\nKey words: curcumin, demethoxycurcumin, PLS regression, tablet, FTIR spectra.\n\nCurcuminoid, especially curcumin (CUR) and desmethoxycurcumin (DMCUR), is regarded as active components of a pharmaceutical formulation containing Curcuma species responsible for several biological activities including anti-inflammatory and antioxidant. The objective of this research was to validate rapid and reliable method based on Fourier transform infrared (FTIR spectroscopy) in the mid-infrared region in combination with multivariate analysis for quantitative analysis of curcuminoid content in tablet formulation. FTIR spectra was subjected to several optimizations including wavenumbers selection and derivatization to get best prediction models for the relationship between actual values of curcuminoid as determined using high-performance liquid chromatography and FTIR calculated values. The first derivative FTIR spectra at wavenumbers of 2975-660 cm −1 using partial least square regression (PLSR) was preferred for quantification of CUR in tablet, while DMCUR was predicted using FTIR normal spectra at wavenumbers of 1784-1587 cm −1 . The coefficient of determination (R 2 ) values for calibration and validation models either in CUR and DMCUR were of >0.99 indicating good accuracy methods. The errors in calibration and validation models were low indicating the acceptable precision of the developed method. FTIR spectroscopy combined with PLS regression can be used as an alternative technique for determination of CUR and DMCUR in tablet dosage form.\n\nINTRODUCTION\n\nCurcuminoid, mainly curcumin (CUR) and desmethoxycurcumin (DMCUR), with chemical structures as shown in Figure 1, has been reported to have some biological activities including antioxidant, anticancer and anti-inflammatory (Rohman, 2012). Curcuminoid has been used as chemical markers during biological activity studies related to Curcuma genus. Some pharmaceutical products containing Curcuma extracts has been commercially available in Indonesian markets such as Curcuma syrup (Wahyono and Hakim, 2007), capsule, and tablet formulations (Rajashree et al., 2013). Therefore, determination of curcuminoid in those formulations was needed to assure the quality of curcuminoid contained in pharmaceutical products.\n\n\n\nAbdul Rohman, Department of Pharmaceutical Chemistry, Faculty of\n\nCorresponding Author\n\nPharmacy, Gadjah Mada University, Yogyakarta, 55281, Indonesia.\n\nE-mail: abdul_kimfar @ ugm.ac.id\n\nChromatographic methods including chromatography with ultraviolet-visible detector (Syed et al., 2015), photo-diode array detector (Zhang and Acworth, 2013), and electrochemical detector (Long et al., 2014) has been reported for analysis of curcuminoid due to its capability to provide separation of individual curcuminoid (Siregar et al., 2017). However, chromatographic methods need more time and efforts, therefore, some simple methods based on spectroscopic methods have been introduced to overcome these obstacles. UV spectrophotometry is a method of choice for determination of curcuminoid in a formulation containing pure curcuminoid (Sharma et al., 2012), but this method is not suitable for products containing curcuminoid in plant extracts. Due to much peaks obtained to be used as variables, Fourier transforms infrared (FTIR) spectroscopy has been\n\nproposed for the analysis of analytes in a complex composition including curcuminoid in the extracts.\n\nare no reports related to the quantitative analysis of curcuminoid in tablet formulation. Therefore, in this study, FTIR spectroscopy at specific infrared region combined with multivariate calibration was optimized for quantitative analysis of curcuminoid (CUR and DMCUR).\n\nMATERIALS AND METHODS\n\nCurcumin (CUR) and desmethoxycurcumin (DMCUR) were isolated from commercial curcuminoid purchased from E. Merck (Darmstadt, Germany). Isolation was performed following method as described in Lestari et al. (2017). Thin Layer Chromatography (TLC) and High-Performance Liquid Chromatography (HPLC) were used to check the purity of CUR and DMCUR. The purity of CUR and DMCUR was performed using internal normalization technique. Tablet samples were purchased from several pharmacies around Yogyakarta, Indonesia. The placebo of samples was kindly given by PT. SOHO Pharmaceutical Industry (Jakarta, Indonesia).\n\nFTIR spectroscopy, based on the interaction between electromagnetic radiation currently in infrared region and samples, in combination with several chemometrics techniques, has emerged as powerful analytical tools in the pharmaceutical application (Chakraborty, 2016) due to its property as fingerprint spectra (Sim et al., 2004). In herbal medicine application, the combination of FTIR spectroscopy and chemometrics have been used for quantification of active pharmaceutical ingredients (Rohman, 2013), for discrimination between wild-grown and cultivated Ganoderma lucidum, an expensive herbal component commonly used in Chinese traditional medicine (Zhu and Tan, 2015), authentication of geographical origin of Gentiana rigescens commonly used as liver protective in traditional Chinese medicine (Wu et al., 2017) and for quality assurance of herbal medicine (Rohman et al., 2014). FTIR spectroscopy combined with partial least square and principal component regression has been used for quantification of curcuminoid in extracts of Curcuma longa (Rohman et al., 2015) and Curcuma xanthorrhiza (Lestari et al., 2017). The reported publication regarding curcuminoid analysis, so far, was in extracts or powder and using literature review, there\n\nHPLC analysis\n\nHPLC analysis of individual curcuminoid was performed according to Siregar et al. (2017) using Shimadzu LC-20AD (Kyoto, Japan) equipped with Rheodyne 7725i injection valve with a 20 μL loop volume and binary gradient pump. Detection was carried out Shimadzu Photodiode Array Detector (SPDM20A) operated at a wavelength of 425 nm. Chromatographic separation was performed using Waters X-Bridge C-18 (250 mm × 4.6 mm i.d; 5 µm), set at 45°C. The mobile phase used consisted of a binary mixture of acetonitrile-acetic acid 3.00% (49:51 v/v), delivered in an isocratic manner with flow rate arranged at 1.08 mL/min. For the preparation of a stock solution of samples, an accurately weighed amount of samples (about 200.0 mg) was transferred into a 25 mL volumetric flask, added with about 10 mL methanol, sonicated for 30 min, and then diluted with mobile phase to volume. The samples were homogenized and centrifuged for 10 min at 10.000 rpm. A portion of sample stock solution was diluted (1 in 20 mL for CUR and 2.5 in 5 mL for DMCUR) with mobile phase, mixed, and then filtered using 0.45 µm filter before being injected into HPLC system.\n\nPreparation of calibration and validation samples\n\nIn order to facilitate the calibration model, a tablet containing CUR and DMCUR was added with placebo with variety composition to get a different concentration of CUR\n\nand DMCUR. Multivariate calibrations of partial least square regression (PLSR) and principal component regression (PCR) were used for making calibration model. For validation samples, a set of independent samples prepared by adding a tablet with\n\ndifferent composition of placebo was used. The concentration of CUR and DMCUR in validation samples was predicted using the calibration model previously built.\n\nFTIR spectroscopy analysis\n\nThe powdered tablet samples were placed on Smart iTR™ Attenuated Total Reflectance (ATR) accessory composed of diamond crystal as sample handling technique at a controlled ambient temperature (25°C). Samples were scanned using Nicolet iS10 FTIR spectrophotometer (Thermo Fisher Scientific Inc, Madison, USA) equipped with deuterated triglycine sulfate (DTGS) detector and potassium bromide (KBr)/Germanium as a beam splitter. The instrument was connected to software OMNIC ver.9.7 and spectra were scanned at wavenumbers of 4000-650 cm −1 , recorded for 32 scans at a resolution of 8 cm −1 . The air spectrum was used as background. Each data point was recorded in three replicates using absorbance mode to facilitate quantitative analysis (Rohman et al., 2014).\n\nChemometric analysis\n\nMultivariate analyses consisted of partial least square regression (PLSR) and principal component regression (PCR) were performed using software TQ Analyst ver.9.7 (Thermo Fisher Scientific Inc., Madison, WI) included in Nicolet iS10 FTIR instrument. PLSR and PCR were used to build a predictive model which correlated the actual values of CUR and DMCUR from HPLC determination and FTIR predicted values. Statistical parameters namely coefficient determination (R 2 ), Root Mean Square Error of Calibration (RMSEC) and Root Mean Square Error of Predicted (RMSEP) were computed using TQ Analyst software.\n\nRESULTS AND DISCUSSION\n\nHPLC, due to its capability to be used for qualitative, quantitative and preparative analyses, is a standard method for analysis of active components in herbal medicine including determination of curcumin (CUR) and desmethoxycurcumin (DMCUR) in plant extracts (Prabaningdyah et al., 2017). Figure 2 revealed HPLC chromatogram fo<cursor_is_here>\n</text>\n", "role": "user" }, { "content": "r separation and quantification of CUR and DMCUR in some tablet samples containing C.", "role": "assistant" } ]
Hansueli Jost Lead Manager DIVAS Asset Management AG Market environment The USD 20 billion Archegos Capital Management hedge fund blow-up combined with disappointments on the vaccination front, with AstraZeneca basically out of the game and delays for the one-shot vaccine from Johnson & Johnson (J&J), triggered a temporary rotation back into secular growth stocks at the expense of financials and cyclicals. During the first three weeks of April the value factor underperformed growth by some 550 basis points, correcting all overbought levels in the value space and creating a beautiful base for a recommencement of the rotation back into value. As one would expect, the US Dollar appreciated, yields declined and banks badly underperformed, only to forcefully rally in the last week of the month, as banks once again reported stunning beats, Eurozone growth continued to surprise on the upside and rising inflation gathered pace. them to expand their margins by hiking their prices more than the incurred increase in input costs. This feeds through producer prices (PPI) straight into rising inflation. At the same time, US NFIB and ISM prices paid both imply significant increases in inflation as well. The European Central Bank can exit from its exceptional crisis measures while maintaining accommodative monetary policy, French Governor Francois Villeroy de Galhau made it clear in an interview that the institution will let inflation overshoot its 2% target. The European Union is set to lay out its blueprint to raise nearly $1 trillion of debt over five years as it seeks to fund its recovery from the coronavirus pandemic. This huge injection of capital will further accelerate the normalisation of interest rates. In April, eurozone services actually grew for the first time in eight months, a milestone for a sector that has been hamstrung by some of the worst restrictions since the outbreak. Household savings in Germany have spiked to EUR120bn from some EUR50bn pre-Covid, thus ensuring that the consumer will come roaring back as governments open up the service sector. DIVAS EUROZONE VALUE Monthly Report April 2021 Marketing material for professional clients this the EU is now well on track to reach its target to vaccinate 70% of adults by September 2021. Germany upped its daily vaccinations from 150'000 in mid-April to 1.1 million by the end of the month, actively using their network of 35'000 medical practices across Germany. At this pace, half of the 83 million German population will be vaccinated by the end of May 2021. As supplies increase, Germany may be in a position to lift vaccination prioritisation in the coming weeks, a step that would open access to all adults, according to internal discussions between the government and federal states. In late April, the European Medicines Agency announced that the benefits of J&Js vaccine outweigh the risk of very rare occurrence of blood clots (17 out of 8 million vaccinations). Having skyrocketed in March, 5-year forward inflation expectations traded flat at 1.54% in April. The 10-year Bund yield rose 9 basis points to the all-important technical level of -20 basis points. The Swiss Franc appreciated 0.83% to 1.0978. German factories, meanwhile, saw their order stock increase at the fastest pace in a decade. Shortages of raw materials and freight capacity pushed up input costs to the highest level since 2011 and output prices to their highest in more than two years. This is the sweet spot in the economic cycle for our cyclical companies, since this allows This exceptionally healthy environment is reflected in the earnings revision ratio for the eurozone, which showed profit upgrades outpacing downgrades by the most since 2010. Following the short breather in March, the commodity complex continued to steam ahead, as global leading indicators continued to surprise on the upside. Brent crude oil rose 7% as crude oil inventories continued to fall. Nickel appreciated 10%, while iron ore jumped 18%. Headline emotions apart, Pfizer Inc. and BioNTech SE announced in midApril that they will boost their vaccine deliveries to the European Union by 25% to 250 million by June 2021. With The April Markit Eurozone Composite PMI continued to rise to 53.7 versus 52.5 previously. Despite incremental lock-down measures, the Eurozone Service PMI moved into expansionary Past performance is not an indicator of future performance and current or future trends. The performance is net of commissions, fees and other charges. The mentioned financial instruments are provided for illustrative purposes only and shall not be considered as a direct offering, investment recommendation or investment advice. Allocations and holdings are subject to change. territory, rising to 50.3 from 49.6 previously and Germany lifted its 2021 GDP growth forecast from 3% to 3.5%. The April US ISM Manufacturing PMI took a breather, slowing to 60.7 on supply chain bottlenecks, as global industries are running at full capacity. April Caixin China Manufacturing PMI rose to 51.9 versus its preceding reading of 50.6. Performance In April, the MSCI EMU Index rose 2.16%. The fund's euro I-shares depreciated 0.18%, underperforming the MSCI EMU Index (net dividends reinvested) by 234 basis points. Performance contributors * Banco Santander outperformed the market by 10% on reporting a 38% pre-tax profit beat. * Société Générale outperformed the market by 4% as BNP Paribas reported a massive beat in its equity division, an area Société Générale is heavily exposed to. * ABN AMRO Bank outperformed the market by 2% on analysts raising their expectations for capital return to shareholders through higher dividends and share buy-backs. * Bayer outperformed the market by 2% as corn prices skyrocketed 23% in April. This will drive farmers profits and leads to higher crop and fertiliser demand as farmers expand acreage. Performance detractors * Despite an appreciation of 7% in Brent crude oil prices and the companies reporting results way ahead of expectations, the energy space underperformed across the board. Total, Repsol, Royal Dutch Shell and ENI underperformed the market by 9%, 8%, 7% and 7% respectively. * Aegon underperformed the market by 6%, following the huge outperformance seen since last September. * UniCredit underperformed the market by 5%, as some shareholders questioned the compensation of the incoming CEO. Positioning In April, the fund switched Volkswagen pref., up 70% since purchase in May 2019, and having outperformed the market by 46%, into Continental. Outlook Looking at current equity investments/positioning of market participants, ranging from small independent asset managers to large global financial institutions, there is a striking similarity; they are all positioned alike. Those trying to partially move away from the sprawling secular growth trade, but did not dare yet to venture into the exceptionally attractively valued large caps cyclicals, instead started last year to aggressively move into the mid-small cap space. Now a very crowded and overvalued segment that had started to underperform the value factor many months ago. With momentum gradually shifting away from secular growth to large cap cyclicals, this became the flavour of the day. A move that in view of skyrocketing leading indicators, could easily be explained to clients and, for independent asset managers, straightforward to implement with individual positions in large cap cyclicals, which is now a partially crowded space. For example, prominent representatives like DIVAS EUROZONE VALUE Monthly Report April 2021 Marketing material for professional clients ArcelorMittal and Volkswagen pref. are up four- and threefold over the last 13 months. The last truly undervalued space globally in equities is eurozone retail banks. Having suffered 14 years of inconceivable underperformance, outright excluded as an investment category at many investment managers, never in history have they been as attractively valued, as healthy and as overcapitalised as they are today. The beauty is, that no-one has any meaningful exposure to this treasure. The problem is that client psychology does not allow investment managers to gain outright exposure to banks neither through segregated stocks (as independent asset managers tend to do) nor through passive banking ETFs as the rest of the industry would do. Above all because they have incessantly told their clients throughout the last decade, how structurally challenged and therefore uninvestable eurozone banks have become. Even the most courageous have given up long time ago, since the need for explanation towards clients for holding a bank is just unbearable. Once this last truly undervalued asset category starts to seriously outperform, investors will get into a prisoner's dilemma. Either continue to preach the gospel the way they have done for the last 12 years and go down under for underperforming so royally (eurozone banks are still the single largest weighted sector) and losing clients in droves or give in to the pain trade to survive this earthquake and move part of their money into banks. The pain will eventually force everyone to transition. Past performance is not an indicator of future performance and current or future trends. The performance is net of commissions, fees and other charges. The mentioned financial instruments are provided for illustrative purposes only and shall not be considered as a direct offering, investment recommendation or investment advice. Allocations and holdings are subject to change. The earlier they move the lesser the pain. Since client psychology forbids them to gain outright exposure to the space, the only avenue to do so is to engage into an actively managed, bottom-up, valuation-based value fund. Some 50-75% of eurozone retail bank's revenues are derived from net interest income, i.e., pooling client's savings and lending these savings at attractive net interest margins onto borrowers of all denomination. Historically, with steep yield curves, a hugely profitable trade. Over the last couple of years, factually flat yield curves have proved a major challenge. Put another way, core revenues of our bank's business model have been in recession for the last couple of years. The ironic thing is, that retail banks, currently suffering from depressed revenues (50-75% of revenue base on recessionary levels) are trading at depressed earnings multiples of some 7x. Banks, having cyclical business models, historically traded at some 16-18x trough earnings and some 10x peak earnings, i.e., current valuations are completely off the mark. Eurozone retail banks' loan books have an average maturity of some 6 years. A steepening yield curve implies that every low margin or lossmaking loan on the back book is expiring and being refinanced into a higher margin loan on the front book, which will gradually drive net interest margins higher. This is not a 6-9 months occurrence, but a multi-year process. talking about classical retail banks that keep accumulating surplus core tier 1 equity capital (CET1) they don't need, and will, come October 1, 2021, start returning these excess funds to shareholder in form of royal dividends (some 6.5%) and aggressive share buy-backs, to finally get rid of their enormous CET1 capital surplus, they were forced to accumulate by the regulator ever since 2009 and artificially massively depresses their reported ROEs. With global economies in the process of overheating, before the first investments from the unprecedented global stimulus programs has even reached the real economy (the European Union is now in the process of readying the financing of the first EUR150 billion tranche of its EUR750 billion stimulus program that will flow into the economy in form of infrastructure investments starting June 2021), skyrocketing commodities (up 45%-175% over the last 12 months) will ensure that rising input costs in global economies will feed through PPIs into inflation (typically with a lag of 3 months). With most of our cyclical companies already reporting earnings exceeding pre-Covid levels and enjoying sprawling free cash flow (FCF), barbarians (union representatives) are gathering at the gates. They will definitely be asking for very generous pay hikes. Salaries constitute some 80% of core inflation. DIVAS EUROZONE VALUE Monthly Report April 2021 Marketing material for professional clients over the next 18 months, that number is at least in line with current inflation running at 1.6%. However, what is completely off, is the 10-year bund yield still trading at -20 basis points. Last time we had forward inflation expectations at 1.6% back in 2015, the 10-year bund yield traded at +75 basis points – mind the gap! The 10-year bund yield is at this very moment in the process of breaking the all-important technical level of -20 basis points. Should that level break, it is highly likely to unleash a buying panic in eurozone retail banks. It's the buy signal for the USD3 billion momentum machine. The only asset that protects you from rising inflation, spiking (normalising) interest rates and momentum assets is eurozone retail banks. We currently have some 45% exposure to financials. Since the COVID-induced trough of 16 March 2020, we have outperformed the benchmark by some 44 percentage points. The value factor has over that period outperformed the blend benchmark by just 1.5%, i.e., you have not yet missed anything and the full upside from this rotation back into value is still up for grabs. NAV: EUR 117.27 ISIN I shares: LU1975716835 Valor I shares: 47229643 Just to clarify, when we are talking about banks, we are not referring to the UBS and Credit-Suisse of this world, hybrid business models of investment banking and Wealth Management, both businesses in structural decline. We are This, combined with QE being partially disbanded with effect from July, will drive normalisation of yield curves. 5year forward inflation expectations currently stand at some 1.6%. Even though we are highly likely to comfortably overshoot the 2% mark Past performance is not an indicator of future performance and current or future trends. The performance is net of commissions, fees and other charges. The mentioned financial instruments are provided for illustrative purposes only and shall not be considered as a direct offering, investment recommendation or investment advice. Allocations and holdings are subject to change. DIVAS EUROZONE VALUE Monthly Report April 2021 Marketing material for professional clients Currency Risk – Non-Base Currency Share Class: Non-based currency share classes may or may not be hedged to the base currency of the Fund. Changes in exchange rates will have an impact on the value of shares in the Fund which are not denominated in the base currency. Where hedging strategies are employed, they may not be fully effective. Equity: Investments in equities may be subject to significant fluctuations in value. Capital at risk: All financial investments involve an element of risk. Therefore, the value of the investment and the income thereof will vary and the initial investment amount cannot be guaranteed. Important legal Information This material is communicated by DIVAS Asset Management AG. This material is only to be communicated to institutional clients, investment professionals or market counterparties (e.g., banks). It has been solely prepared for informational purposes and does not constitute or form part of, and should not be construed as, an offer, invitation or inducement to purchase or subscribe for any securities or services. No part of this material, nor the fact of its distribution, should form the basis of, or be relied on in connection with, any contract or commitment of investment decision whatsoever. The information contained herein is preliminary, limited in nature and subject to completion and amendment. No representations or warranty, either express or implied, is given or made by any person in relation to the fairness, accuracy, completeness or reliability of the information or any opinions contained herein and no reliance whatsoever should be placed on such information or opinions. There is no guarantee of trading performance and past performance is not necessarily a guide to future results. In particular the results and graphs above may contain hypothetical performance results. Hypothetical performance results are based on various assumptions and may have many inherent limitations, some of which are described below. No representation is being made that any account will or is likely to achieve profits or losses similar to those shown; in fact, there are frequently sharp differences between hypothetical performance results and the actual results subsequently achieved by any particular trading program. One of the limitations of hypothetical performance results is that they are generally prepared with the benefit of hindsight. In addition, hypothetical trading does not involve financial risk, and no hypothetical trading record can completely account for the impact of financial risk of actual trading. For example, the ability to withstand losses or to adhere to a particular trading program in spite of trading losses are material points which can also adversely affect actual trading results. There are numerous other factors related to the markets in general or to the implementation of any specific trading program which cannot be fully accounted for in the preparation of hypothetical performance results and all of which can adversely affect trading results. Hypothetical performance results are shown for illustrative purposes only and are not to be relied upon for making investment decisions. Clients must base their decisions on their own understanding of the strategy, the service or product and market views. DIVAS Asset Management AG may act as a hedging advisor. Any hedging activities carry substantial risks. Hedging can involve short-selling of asset classes with unlimited downside risks in certain cases. Prospective clients hedging their portfolio might miss significant upside in the assets they hedge. Furthermore, there is always a bias between the assets being hedged, and the results of the hedging strategy (it is not possible to obtain a continuous hedge with a fix correlation of -1 over time). This bias typically increases in situation of market dislocations, as the assets being hedged are typically less liquid than the instruments used for the purpose of hedging these, and the losses of the assets being hedged become higher than the gains of the hedging strategy on the back of an increase in the liquidity premium. This material is confidential and intended solely for the information of the person to whom it has been delivered and may not be distributed in any jurisdiction where such distribution would constitute a violation of applicable law or regulations. DIVAS Asset Management AG specifically prohibits the redistribution, reproduction or transmittal in whole or in part, to third parties. If you are a US citizen or resident, or represent a trust which is subject to taxation under US Internal Revenue Service requirements, or represent a partnership or corporation organized under the laws of the United States of America or any state, territory or possession thereof ("US Persons") you are prohibited by law from buying investments other than those authorized for sale by the SEC. This document shall not be distributed to restricted Persons. This material is prepared by DIVAS Asset Management AG, or an affiliate thereof, for informational purposes. No representation or warranty is made that any indicative performance or return indicated will be achieved in the future. This material has been prepared by DIVAS Asset Management AG, none of the management company, the registrar and transfer agent, the central administration or the custodian of the Fund has independently verified any information contained herein and no party makes any representation or warranty as to the accuracy, completeness, or reliability of such information. DIVAS Asset Management AG, 2021 Divas Asset Management UG (haftungsbeschränkt), represented by Mr. Hans Ulrich Jost ("Agent") is a tied agent within the meaning of Article 29 (3) of Directive 2014/65/ EU ("MiFID II") as implemented in the respective national jurisdictions, of ACOLIN Europe AG ("ACOLIN") and registered in the Tied Agent Registry of the German Federal Financial Supervisory Authority (BaFin). The Agent is entitled to engage exclusively in the reception and transmission of orders within the meaning of Annex I A (1) MiFID II in relation to one or more financial instruments. The Agent acts only on behalf and for the account of ACOLIN. The financial services performed by the Agent are exclusively in relation to the Evolt Dynamic Beta Fund and the DIVAS Eurozone Value Fund, sub-funds to the White Fleet IV Fund. The information contained therein is intended only for informational purposes and does not constitute an offer for the purchase or sale of financial instruments. All information is provided without guarantee and is subject to change. The information contained herein does further not constitute Investment, legal, tax or any other form of advice. No investment decision should be made without obtaining qualified financial advice. This email is intended exclusively for professional clients within the meaning of Annex II MiFID II. The information provided in this email may not be copied or forwarded without the express consent of ACOLIN. The information may not be made available to US citizens or persons residing in the USA. This email may contain confidential and/or legally privileged information. If you are not the correct addressee, or you have received this email in error, please inform the sender immediately and delete this email. DIVAS Asset Management UG, 2021 Past performance is not an indicator of future performance and current or future trends. The performance is net of commissions, fees and other charges. The mentioned financial instruments are provided for illustrative purposes only and shall not be considered as a direct offering, investment recommendation or investment advice. Allocations and holdings are subject to change.	<urn:uuid:02379d9e-3be4-48c3-bba1-21f629509fed>	CC-MAIN-2021-43	https://divas-am.com/documents/blog/210504_DIVAS_EZ_monthly_report_2104.pdf	2021-10-17T16:24:00+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2021-43/subset=warc/part-00280-16202947-a809-4711-8221-79ab0a79d5b1.c000.gz.parquet	304,128,790	4,443	eng_Latn	eng_Latn	0.997724	eng_Latn	0.997979	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 4758, 9616, 14547, 22405 ]	Hansueli Jost Lead Manager DIVAS Asset Management AG Market environment The USD 20 billion Archegos Capital Management hedge fund blow-up combined with disappointments on the vaccination front, with AstraZeneca basically out of the game and delays for the one-shot vaccine from Johnson & Johnson (J&J), triggered a temporary rotation back into secular growth stocks at the expense of financials and cyclicals. During the first three weeks of April the value factor underperformed growth by some 550 basis points, correcting all overbought levels in the value space and creating a beautiful base for a recommencement of the rotation back into value. As one would expect, the US Dollar appreciated, yields declined and banks badly underperformed, only to forcefully rally in the last week of the month, as banks once again reported stunning beats, Eurozone growth continued to surprise on the upside and rising inflation gathered pace. them to expand their margins by hiking their prices more than the incurred increase in input costs. This feeds through producer prices (PPI) straight into rising inflation. At the same time, US NFIB and ISM prices paid both imply significant increases in inflation as well. The European Central Bank can exit from its exceptional crisis measures while maintaining accommodative monetary policy, French Governor Francois Villeroy de Galhau made it clear in an interview that the institution will let inflation overshoot its 2% target. The European Union is set to lay out its blueprint to raise nearly $1 trillion of debt over five years as it seeks to fund its recovery from the coronavirus pandemic. This huge injection of capital will further accelerate the normalisation of interest rates. In April, eurozone services actually grew for the first time in eight months, a milestone for a sector that has been hamstrung by some of the worst restrictions since the outbreak. Household savings in Germany have spiked to EUR120bn from some EUR50bn pre-Covid, thus ensuring that the consumer will come roaring back as governments open up the service sector. DIVAS EUROZONE VALUE Monthly Report April 2021 Marketing material for professional clients this the EU is now well on track to reach its target to vaccinate 70% of adults by September 2021. Germany upped its daily vaccinations from 150'000 in mid-April to 1.1 million by the end of the month, actively using their network of 35'000 medical practices across Germany. At this pace, half of the 83 million German population will be vaccinated by the end of May 2021. As supplies increase, Germany may be in a position to lift vaccination prioritisation in the coming weeks, a step that would open access to all adults, according to internal discussions between the government and federal states. In late April, the European Medicines Agency announced that the benefits of J&Js vaccine outweigh the risk of very rare occurrence of blood clots (17 out of 8 million vaccinations). Having skyrocketed in March, 5-year forward inflation expectations traded flat at 1.54% in April. The 10-year Bund yield rose 9 basis points to the all-important technical level of -20 basis points. The Swiss Franc appreciated 0.83% to 1.0978. German factories, meanwhile, saw their order stock increase at the fastest pace in a decade. Shortages of raw materials and freight capacity pushed up input costs to the highest level since 2011 and output prices to their highest in more than two years. This is the sweet spot in the economic cycle for our cyclical companies, since this allows This exceptionally healthy environment is reflected in the earnings revision ratio for the eurozone, which showed profit upgrades outpacing downgrades by the most since 2010. Following the short breather in March, the commodity complex continued to steam ahead, as global leading indicators continued to surprise on the upside. Brent crude oil rose 7% as crude oil inventories continued to fall. Nickel appreciated 10%, while iron ore jumped 18%. Headline emotions apart, Pfizer Inc. and BioNTech SE announced in midApril that they will boost their vaccine deliveries to the European Union by 25% to 250 million by June 2021. With The April Markit Eurozone Composite PMI continued to rise to 53.7 versus 52.5 previously. Despite incremental lock-down measures, the Eurozone Service PMI moved into expansionary Past performance is not an indicator of future performance and current or future trends. The performance is net of commissions, fees and other charges. The mentioned financial instruments are provided for illustrative purposes only and shall not be considered as a direct offering, investment recommendation or investment advice. Allocations and holdings are subject to change. territory, rising to 50.3 from 49.6 previously and Germany lifted its 2021 GDP growth forecast from 3% to 3.5%. The April US ISM Manufacturing PMI took a breather, slowing to 60.7 on supply chain bottlenecks, as global industries are running at full capacity. April Caixin China Manufacturing PMI rose to 51.9 versus its preceding reading of 50.6. Performance In April, the MSCI EMU Index rose 2.16%. The fund's euro I-shares depreciated 0.18%, underperforming the MSCI EMU Index (net dividends reinvested) by 234 basis points. Performance contributors * Banco Santander outperformed the market by 10% on reporting a 38% pre-tax profit beat. * Société Générale outperformed the market by 4% as BNP Paribas reported a massive beat in its equity division, an area Société Générale is heavily exposed to. * ABN AMRO Bank outperformed the market by 2% on analysts raising their expectations for capital return to shareholders through higher dividends and share buy-backs. * Bayer outperformed the market by 2% as corn prices skyrocketed 23% in April. This will drive farmers profits and leads to higher crop and fertiliser demand as farmers expand acreage. Performance detractors * Despite an appreciation of 7% in Brent crude oil prices and the companies reporting results way ahead of expectations, the energy space underperformed across the board. Total, Repsol, Royal Dutch Shell and ENI underperformed the market by 9%, 8%, 7% and 7% respectively. * Aegon underperformed the market by 6%, following the huge outperformance seen since last September. * UniCredit underperformed the market by 5%, as some shareholders questioned the compensation of the incoming CEO. Positioning In April, the fund switched Volkswagen pref., up 70% since purchase in May 2019, and having outperformed the market by 46%, into Continental. Outlook Looking at current equity investments/positioning of market participants, ranging from small independent asset managers to large global financial institutions, there is a striking similarity; they are all positioned alike. Those trying to partially move away from the sprawling secular growth trade, but did not dare yet to venture into the exceptionally attractively valued large caps cyclicals, instead started last year to aggressively move into the mid-small cap space. Now a very crowded and overvalued segment that had started to underperform the value factor many months ago. With momentum gradually shifting away from secular growth to large cap cyclicals, this became the flavour of the day. A move that in view of skyrocketing leading indicators, could easily be explained to clients and, for independent asset managers, straightforward to implement with individual positions in large cap cyclicals, which is now a partially crowded space. For example, prominent representatives like DIVAS EUROZONE VALUE Monthly Report April 2021 Marketing material for professional clients ArcelorMittal and Volkswagen pref. are up four- and threefold over the last 13 months. The last truly undervalued space globally in equities is eurozone retail banks. Having suffered 14 years of inconceivable underperformance, outright excluded as an investment category at many investment managers, never in history have they been as attractively valued, as healthy and as overcapitalised as they are today. The beauty is, that no-one has any meaningful exposure to this treasure. The problem is that client psychology does not allow investment managers to gain outright exposure to banks neither through segregated stocks (as independent asset managers tend to do) nor through passive banking ETFs as the rest of the industry would do. Above all because they have incessantly told their clients throughout the last decade, how structurally challenged and therefore uninvestable eurozone banks have become. Even the most courageous have given up long time ago, since the need for explanation towards clients for holding a bank is just unbearable. Once this last truly undervalued asset category starts to seriously outperform, investors will get into a prisoner's dilemma. Either continue to preach the gospel the way they have done for the last 12 years and go down under for underperforming so royally (eurozone banks are still the single largest weighted sector) and losing clients in droves or give in to the pain trade to survive this earthquake and move part of their money into banks. The pain will eventually force everyone to transition. Past performance is not an indicator of future performance and current or future trends. The performance is net of commissions, fees and other charges. The mentioned financial instruments are provided for illustrative purposes only and shall not be considered as a direct offering, investment recommendation or investment advice. Allocations and holdings are subject to change. The earlier they move the lesser the pain. Since client psychology forbids them to gain outright exposure to the space, the only avenue to do so is to engage into an actively managed, bottom-up, valuation-based value fund. Some 50-75% of eurozone retail bank's revenues are derived from net interest income, i.e., pooling client's savings and lending these savings at attractive net interest margins onto borrowers of all denomination. Historically, with steep yield curves, a hugely profitable trade. Over the last couple of years, factually flat yield curves have proved a major challenge. Put another way, core revenues of our bank's business model have been in recession for the last couple of years. The ironic thing is, that retail banks, currently suffering from depressed revenues (50-75% of revenue base on recessionary levels) are trading at depressed earnings multiples of some 7x. Banks, having cyclical business models, historically traded at some 16-18x trough earnings and some 10x peak earnings, i.e., current valuations are completely off the mark. Eurozone retail banks' loan books have an average maturity of some 6 years. A steepening yield curve implies that every low margin or lossmaking loan on the back book is expiring and being refinanced into a higher margin loan on the front book, which will gradually drive net interest margins higher. This is not a 6-9 months occurrence, but a multi-year process. talking about classical retail banks that keep accumulating surplus core tier 1 equity capital (CET1) they don't need, and will, come October 1, 2021, start returning these excess funds to shareholder in form of royal dividends (some 6.5%) and aggressive share buy-backs, to finally get rid of their enormous CET1 capital surplus, they were forced to accumulate by the regulator ever since 2009 and artificially massively depresses their reported ROEs. With global economies in the process of overheating, before the first investments from the unprecedented global stimulus programs has even reached the real economy (the European Union is now in the process of readying the financing of the first EUR150 billion tranche of its EUR750 billion stimulus program that will flow into the economy in form of infrastructure investments starting June 2021), skyrocketing commodities (up 45%-175% over the last 12 months) will ensure that rising input costs in global economies will feed through PPIs into inflation (typically with a lag of 3 months). With most of our cyclical companies already reporting earnings exceeding pre-Covid levels and enjoying sprawling free cash flow (FCF), barbarians (union representatives) are gathering at the gates. They will definitely be asking for very generous pay hikes. Salaries constitute	some 80% of core inflation.		12,373	beginning_of_word	some	remove_all	<url> https://divas-am.com/documents/blog/210504_DIVAS_EZ_monthly_report_2104.pdf </url> <text> Hansueli Jost Lead Manager DIVAS Asset Management AG Market environment The USD 20 billion Archegos Capital Management hedge fund blow-up combined with disappointments on the vaccination front, with AstraZeneca basically out of the game and delays for the one-shot vaccine from Johnson & Johnson (J&J), triggered a temporary rotation back into secular growth stocks at the expense of financials and cyclicals. During the first three weeks of April the value factor underperformed growth by some 550 basis points, correcting all overbought levels in the value space and creating a beautiful base for a recommencement of the rotation back into value. As one would expect, the US Dollar appreciated, yields declined and banks badly underperformed, only to forcefully rally in the last week of the month, as banks once again reported stunning beats, Eurozone growth continued to surprise on the upside and rising inflation gathered pace. them to expand their margins by hiking their prices more than the incurred increase in input costs. This feeds through producer prices (PPI) straight into rising inflation. At the same time, US NFIB and ISM prices paid both imply significant increases in inflation as well. The European Central Bank can exit from its exceptional crisis measures while maintaining accommodative monetary policy, French Governor Francois Villeroy de Galhau made it clear in an interview that the institution will let inflation overshoot its 2% target. The European Union is set to lay out its blueprint to raise nearly $1 trillion of debt over five years as it seeks to fund its recovery from the coronavirus pandemic. This huge injection of capital will further accelerate the normalisation of interest rates. In April, eurozone services actually grew for the first time in eight months, a milestone for a sector that has been hamstrung by some of the worst restrictions since the outbreak. Household savings in Germany have spiked to EUR120bn from some EUR50bn pre-Covid, thus ensuring that the consumer will come roaring back as governments open up the service sector. DIVAS EUROZONE VALUE Monthly Report April 2021 Marketing material for professional clients this the EU is now well on track to reach its target to vaccinate 70% of adults by September 2021. Germany upped its daily vaccinations from 150'000 in mid-April to 1.1 million by the end of the month, actively using their network of 35'000 medical practices across Germany. At this pace, half of the 83 million German population will be vaccinated by the end of May 2021. As supplies increase, Germany may be in a position to lift vaccination prioritisation in the coming weeks, a step that would open access to all adults, according to internal discussions between the government and federal states. In late April, the European Medicines Agency announced that the benefits of J&Js vaccine outweigh the risk of very rare occurrence of blood clots (17 out of 8 million vaccinations). Having skyrocketed in March, 5-year forward inflation expectations traded flat at 1.54% in April. The 10-year Bund yield rose 9 basis points to the all-important technical level of -20 basis points. The Swiss Franc appreciated 0.83% to 1.0978. German factories, meanwhile, saw their order stock increase at the fastest pace in a decade. Shortages of raw materials and freight capacity pushed up input costs to the highest level since 2011 and output prices to their highest in more than two years. This is the sweet spot in the economic cycle for our cyclical companies, since this allows This exceptionally healthy environment is reflected in the earnings revision ratio for the eurozone, which showed profit upgrades outpacing downgrades by the most since 2010. Following the short breather in March, the commodity complex continued to steam ahead, as global leading indicators continued to surprise on the upside. Brent crude oil rose 7% as crude oil inventories continued to fall. Nickel appreciated 10%, while iron ore jumped 18%. Headline emotions apart, Pfizer Inc. and BioNTech SE announced in midApril that they will boost their vaccine deliveries to the European Union by 25% to 250 million by June 2021. With The April Markit Eurozone Composite PMI continued to rise to 53.7 versus 52.5 previously. Despite incremental lock-down measures, the Eurozone Service PMI moved into expansionary Past performance is not an indicator of future performance and current or future trends. The performance is net of commissions, fees and other charges. The mentioned financial instruments are provided for illustrative purposes only and shall not be considered as a direct offering, investment recommendation or investment advice. Allocations and holdings are subject to change. territory, rising to 50.3 from 49.6 previously and Germany lifted its 2021 GDP growth forecast from 3% to 3.5%. The April US ISM Manufacturing PMI took a breather, slowing to 60.7 on supply chain bottlenecks, as global industries are running at full capacity. April Caixin China Manufacturing PMI rose to 51.9 versus its preceding reading of 50.6. Performance In April, the MSCI EMU Index rose 2.16%. The fund's euro I-shares depreciated 0.18%, underperforming the MSCI EMU Index (net dividends reinvested) by 234 basis points. Performance contributors * Banco Santander outperformed the market by 10% on reporting a 38% pre-tax profit beat. * Société Générale outperformed the market by 4% as BNP Paribas reported a massive beat in its equity division, an area Société Générale is heavily exposed to. * ABN AMRO Bank outperformed the market by 2% on analysts raising their expectations for capital return to shareholders through higher dividends and share buy-backs. * Bayer outperformed the market by 2% as corn prices skyrocketed 23% in April. This will drive farmers profits and leads to higher crop and fertiliser demand as farmers expand acreage. Performance detractors * Despite an appreciation of 7% in Brent crude oil prices and the companies reporting results way ahead of expectations, the energy space underperformed across the board. Total, Repsol, Royal Dutch Shell and ENI underperformed the market by 9%, 8%, 7% and 7% respectively. * Aegon underperformed the market by 6%, following the huge outperformance seen since last September. * UniCredit underperformed the market by 5%, as some shareholders questioned the compensation of the incoming CEO. Positioning In April, the fund switched Volkswagen pref., up 70% since purchase in May 2019, and having outperformed the market by 46%, into Continental. Outlook Looking at current equity investments/positioning of market participants, ranging from small independent asset managers to large global financial institutions, there is a striking similarity; they are all positioned alike. Those trying to partially move away from the sprawling secular growth trade, but did not dare yet to venture into the exceptionally attractively valued large caps cyclicals, instead started last year to aggressively move into the mid-small cap space. Now a very crowded and overvalued segment that had started to underperform the value factor many months ago. With momentum gradually shifting away from secular growth to large cap cyclicals, this became the flavour of the day. A move that in view of skyrocketing leading indicators, could easily be explained to clients and, for independent asset managers, straightforward to implement with individual positions in large cap cyclicals, which is now a partially crowded space. For example, prominent representatives like DIVAS EUROZONE VALUE Monthly Report April 2021 Marketing material for professional clients ArcelorMittal and Volkswagen pref. are up four- and threefold over the last 13 months. The last truly undervalued space globally in equities is eurozone retail banks. Having suffered 14 years of inconceivable underperformance, outright excluded as an investment category at many investment managers, never in history have they been as attractively valued, as healthy and as overcapitalised as they are today. The beauty is, that no-one has any meaningful exposure to this treasure. The problem is that client psychology does not allow investment managers to gain outright exposure to banks neither through segregated stocks (as independent asset managers tend to do) nor through passive banking ETFs as the rest of the industry would do. Above all because they have incessantly told their clients throughout the last decade, how structurally challenged and therefore uninvestable eurozone banks have become. Even the most courageous have given up long time ago, since the need for explanation towards clients for holding a bank is just unbearable. Once this last truly undervalued asset category starts to seriously outperform, investors will get into a prisoner's dilemma. Either continue to preach the gospel the way they have done for the last 12 years and go down under for underperforming so royally (eurozone banks are still the single largest weighted sector) and losing clients in droves or give in to the pain trade to survive this earthquake and move part of their money into banks. The pain will eventually force everyone to transition. Past performance is not an indicator of future performance and current or future trends. The performance is net of commissions, fees and other charges. The mentioned financial instruments are provided for illustrative purposes only and shall not be considered as a direct offering, investment recommendation or investment advice. Allocations and holdings are subject to change. The earlier they move the lesser the pain. Since client psychology forbids them to gain outright exposure to the space, the only avenue to do so is to engage into an actively managed, bottom-up, valuation-based value fund. Some 50-75% of eurozone retail bank's revenues are derived from net interest income, i.e., pooling client's savings and lending these savings at attractive net interest margins onto borrowers of all denomination. Historically, with steep yield curves, a hugely profitable trade. Over the last couple of years, factually flat yield curves have proved a major challenge. Put another way, core revenues of our bank's business model have been in recession for the last couple of years. The ironic thing is, that retail banks, currently suffering from depressed revenues (50-75% of revenue base on recessionary levels) are trading at depressed earnings multiples of some 7x. Banks, having cyclical business models, historically traded at some 16-18x trough earnings and some 10x peak earnings, i.e., current valuations are completely off the mark. Eurozone retail banks' loan books have an average maturity of some 6 years. A steepening yield curve implies that every low margin or lossmaking loan on the back book is expiring and being refinanced into a higher margin loan on the front book, which will gradually drive net interest margins higher. This is not a 6-9 months occurrence, but a multi-year process. talking about classical retail banks that keep accumulating surplus core tier 1 equity capital (CET1) they don't need, and will, come October 1, 2021, start returning these excess funds to shareholder in form of royal dividends (some 6.5%) and aggressive share buy-backs, to finally get rid of their enormous CET1 capital surplus, they were forced to accumulate by the regulator ever since 2009 and artificially massively depresses their reported ROEs. With global economies in the process of overheating, before the first investments from the unprecedented global stimulus programs has even reached the real economy (the European Union is now in the process of readying the financing of the first EUR150 billion tranche of its EUR750 billion stimulus program that will flow into the economy in form of infrastructure investments starting June 2021), skyrocketing commodities (up 45%-175% over the last 12 months) will ensure that rising input costs in global economies will feed through PPIs into inflation (typically with a lag of 3 months). With most of our cyclical companies already reporting earnings exceeding pre-Covid levels and enjoying sprawling free cash flow (FCF), barbarians (union representatives) are gathering at the gates. They will definitely be asking for very generous pay hikes. Salaries constitute <cursor_is_here> </text>	[ { "content": "<url>\nhttps://divas-am.com/documents/blog/210504_DIVAS_EZ_monthly_report_2104.pdf\n</url>\n<text>\nHansueli Jost Lead Manager DIVAS Asset Management AG\n\nMarket environment\n\nThe USD 20 billion Archegos Capital Management hedge fund blow-up combined with disappointments on the vaccination front, with AstraZeneca basically out of the game and delays for the one-shot vaccine from Johnson & Johnson (J&J), triggered a temporary rotation back into secular growth stocks at the expense of financials and cyclicals.\n\nDuring the first three weeks of April the value factor underperformed growth by some 550 basis points, correcting all overbought levels in the value space and creating a beautiful base for a recommencement of the rotation back into value. As one would expect, the US Dollar appreciated, yields declined and banks badly underperformed, only to forcefully rally in the last week of the month, as banks once again reported stunning beats, Eurozone growth continued to surprise on the upside and rising inflation gathered pace.\n\nthem to expand their margins by hiking their prices more than the incurred increase in input costs. This feeds through producer prices (PPI) straight into rising inflation. At the same time, US NFIB and ISM prices paid both imply significant increases in inflation as well. The European Central Bank can exit from its exceptional crisis measures while maintaining accommodative monetary policy, French Governor Francois Villeroy de Galhau made it clear in an interview that the institution will let inflation overshoot its 2% target.\n\nThe European Union is set to lay out its blueprint to raise nearly $1 trillion of debt over five years as it seeks to fund its recovery from the coronavirus pandemic. This huge injection of capital will further accelerate the normalisation of interest rates.\n\nIn April, eurozone services actually grew for the first time in eight months, a milestone for a sector that has been hamstrung by some of the worst restrictions since the outbreak. Household savings in Germany have spiked to EUR120bn from some EUR50bn pre-Covid, thus ensuring that the consumer will come roaring back as governments open up the service sector.\n\nDIVAS EUROZONE VALUE\n\nMonthly Report April 2021\n\nMarketing material for professional clients this the EU is now well on track to reach its target to vaccinate 70% of adults by September 2021.\n\nGermany upped its daily vaccinations from 150'000 in mid-April to 1.1 million by the end of the month, actively using their network of 35'000 medical practices across Germany. At this pace, half of the 83 million German population will be vaccinated by the end of May 2021. As supplies increase, Germany may be in a position to lift vaccination prioritisation in the coming weeks, a step that would open access to all adults, according to internal discussions between the government and federal states.\n\nIn late April, the European Medicines Agency announced that the benefits of J&Js vaccine outweigh the risk of very rare occurrence of blood clots (17 out of 8 million vaccinations).\n\nHaving skyrocketed in March, 5-year forward inflation expectations traded flat at 1.54% in April.\n\nThe 10-year Bund yield rose 9 basis points to the all-important technical level of -20 basis points. The Swiss Franc appreciated 0.83% to 1.0978.\n\nGerman factories, meanwhile, saw their order stock increase at the fastest pace in a decade. Shortages of raw materials and freight capacity pushed up input costs to the highest level since 2011 and output prices to their highest in more than two years. This is the sweet spot in the economic cycle for our cyclical companies, since this allows\n\nThis exceptionally healthy environment is reflected in the earnings revision ratio for the eurozone, which showed profit upgrades outpacing downgrades by the most since 2010.\n\nFollowing the short breather in March, the commodity complex continued to steam ahead, as global leading indicators continued to surprise on the upside. Brent crude oil rose 7% as crude oil inventories continued to fall. Nickel appreciated 10%, while iron ore jumped 18%.\n\nHeadline emotions apart, Pfizer Inc. and BioNTech SE announced in midApril that they will boost their vaccine deliveries to the European Union by 25% to 250 million by June 2021. With\n\nThe April Markit Eurozone Composite PMI continued to rise to 53.7 versus 52.5 previously. Despite incremental lock-down measures, the Eurozone Service PMI moved into expansionary\n\nPast performance is not an indicator of future performance and current or future trends. The performance is net of commissions, fees and other charges. The mentioned financial instruments are provided for illustrative purposes only and shall not be considered as a direct offering, investment recommendation or investment advice. Allocations and holdings are subject to change.\n\nterritory, rising to 50.3 from 49.6 previously and Germany lifted its 2021 GDP growth forecast from 3% to 3.5%. The April US ISM Manufacturing PMI took a breather, slowing to 60.7 on supply chain bottlenecks, as global industries are running at full capacity. April Caixin China Manufacturing PMI rose to 51.9 versus its preceding reading of 50.6.\n\nPerformance\n\nIn April, the MSCI EMU Index rose 2.16%. The fund's euro I-shares depreciated 0.18%, underperforming the MSCI EMU Index (net dividends reinvested) by 234 basis points.\n\nPerformance contributors\n\n* Banco Santander outperformed the market by 10% on reporting a 38% pre-tax profit beat.\n* Société Générale outperformed the market by 4% as BNP Paribas reported a massive beat in its equity division, an area Société Générale is heavily exposed to.\n* ABN AMRO Bank outperformed the market by 2% on analysts raising their expectations for capital return to shareholders through higher dividends and share buy-backs.\n* Bayer outperformed the market by 2% as corn prices skyrocketed 23% in April. This will drive farmers profits and leads to higher crop and fertiliser demand as farmers expand acreage.\n\nPerformance detractors\n\n* Despite an appreciation of 7% in Brent crude oil prices and the companies reporting results way ahead of expectations, the energy space underperformed across the board. Total, Repsol, Royal Dutch Shell and ENI underperformed the\nmarket by 9%, 8%, 7% and 7% respectively.\n* Aegon underperformed the market by 6%, following the huge outperformance seen since last September.\n* UniCredit underperformed the market by 5%, as some shareholders questioned the compensation of the incoming CEO.\n\nPositioning\n\nIn April, the fund switched Volkswagen pref., up 70% since purchase in May 2019, and having outperformed the market by 46%, into Continental.\n\nOutlook\n\nLooking at current equity investments/positioning of market participants, ranging from small independent asset managers to large global financial institutions, there is a striking similarity; they are all positioned alike. Those trying to partially move away from the sprawling secular growth trade, but did not dare yet to venture into the exceptionally attractively valued large caps cyclicals, instead started last year to aggressively move into the mid-small cap space. Now a very crowded and overvalued segment that had started to underperform the value factor many months ago. With momentum gradually shifting away from secular growth to large cap cyclicals, this became the flavour of the day. A move that in view of skyrocketing leading indicators, could easily be explained to clients and, for independent asset managers, straightforward to implement with individual positions in large cap cyclicals, which is now a partially crowded space. For example, prominent representatives like\n\nDIVAS EUROZONE VALUE\n\nMonthly Report April 2021\n\nMarketing material for professional clients\n\nArcelorMittal and Volkswagen pref. are up four- and threefold over the last 13 months.\n\nThe last truly undervalued space globally in equities is eurozone retail banks. Having suffered 14 years of inconceivable underperformance, outright excluded as an investment category at many investment managers, never in history have they been as attractively valued, as healthy and as overcapitalised as they are today. The beauty is, that no-one has any meaningful exposure to this treasure.\n\nThe problem is that client psychology does not allow investment managers to gain outright exposure to banks neither through segregated stocks (as independent asset managers tend to do) nor through passive banking ETFs as the rest of the industry would do. Above all because they have incessantly told their clients throughout the last decade, how structurally challenged and therefore uninvestable eurozone banks have become. Even the most courageous have given up long time ago, since the need for explanation towards clients for holding a bank is just unbearable.\n\nOnce this last truly undervalued asset category starts to seriously outperform, investors will get into a prisoner's dilemma. Either continue to preach the gospel the way they have done for the last 12 years and go down under for underperforming so royally (eurozone banks are still the single largest weighted sector) and losing clients in droves or give in to the pain trade to survive this earthquake and move part of their money into banks. The pain will eventually force everyone to transition.\n\nPast performance is not an indicator of future performance and current or future trends. The performance is net of commissions, fees and other charges. The mentioned financial instruments are provided for illustrative purposes only and shall not be considered as a direct offering, investment recommendation or investment advice. Allocations and holdings are subject to change.\n\nThe earlier they move the lesser the pain. Since client psychology forbids them to gain outright exposure to the space, the only avenue to do so is to engage into an actively managed, bottom-up, valuation-based value fund.\n\nSome 50-75% of eurozone retail bank's revenues are derived from net interest income, i.e., pooling client's savings and lending these savings at attractive net interest margins onto borrowers of all denomination. Historically, with steep yield curves, a hugely profitable trade. Over the last couple of years, factually flat yield curves have proved a major challenge. Put another way, core revenues of our bank's business model have been in recession for the last couple of years. The ironic thing is, that retail banks, currently suffering from depressed revenues (50-75% of revenue base on recessionary levels) are trading at depressed earnings multiples of some 7x. Banks, having cyclical business models, historically traded at some 16-18x trough earnings and some 10x peak earnings, i.e., current valuations are completely off the mark. Eurozone retail banks' loan books have an average maturity of some 6 years. A steepening yield curve implies that every low margin or lossmaking loan on the back book is expiring and being refinanced into a higher margin loan on the front book, which will gradually drive net interest margins higher. This is not a 6-9 months occurrence, but a multi-year process.\n\ntalking about classical retail banks that keep accumulating surplus core tier 1 equity capital (CET1) they don't need, and will, come October 1, 2021, start returning these excess funds to shareholder in form of royal dividends (some 6.5%) and aggressive share buy-backs, to finally get rid of their enormous CET1 capital surplus, they were forced to accumulate by the regulator ever since 2009 and artificially massively depresses their reported ROEs.\n\nWith global economies in the process of overheating, before the first investments from the unprecedented global stimulus programs has even reached the real economy (the European Union is now in the process of readying the financing of the first EUR150 billion tranche of its EUR750 billion stimulus program that will flow into the economy in form of infrastructure investments starting June 2021), skyrocketing commodities (up 45%-175% over the last 12 months) will ensure that rising input costs in global economies will feed through PPIs into inflation (typically with a lag of 3 months). With most of our cyclical companies already reporting earnings exceeding pre-Covid levels and enjoying sprawling free cash flow (FCF), barbarians (union representatives) are gathering at the gates. They will definitely be asking for very generous pay hikes. Salaries constitute <cursor_is_here>\n</text>\n", "role": "user" }, { "content": "some 80% of core inflation.", "role": "assistant" } ]
St Anne with Holy Trinity, Brondesbury Confidently sharing the love of Christ Third Sunday of Advent 17 th December 2023 Welcome to St Anne's today—it is great to have you with us. St Anne's is the local Church of England parish church and we are a very diverse group of people. We hope that you will feel welcome in our worship today. If you are new, please do say hello—we would love to get to know you. If you are unsure where to find something, or about what is going on, please do ask. We will be happy to help. Our worship style is quite formal, but we hope relaxedas we come to worship God in our midst. All the words for the service will be on the screens at the front however, if you would prefer to have a printed copy in your hands, there are hymn books and service sheets at the back. During Advent we wait for the coming of Christ, not only in the story of the Nativity, but in the hear and now. We wait for the coming of God's Reign on earth, when peace and justice will be a reality. The concepts of Advent are often difficult as they speak of judgement and end times. Equally they talk of new life beyond our understanding. As we come to this Advent Season, let us not be afraid of our waiting, or of the uncertainty it may raise. Rather we are invited in our prayer and meditation to call out 'Come, Lord Jesus, Come!' Please stand as the bell is rung as we sing our opening Hymn 280 – Hail to the Lord's Anointed We meet in the name of God who is (+) Father, Son and Holy Spirit. Amen. The Lord be with you. And also with you. The President will introduce the service As we begin the New Christian Year and the start of Advent we come before God with our prayers of confession When the Lord comes, he will bring to light the things now hidden in darkness and will disclose the purposes of the heart. Therefore, in the light of Christ let us confess our sins. Silence is kept long-suffering and of great goodness: Almighty God, I confess to you, and to these my brothers and sisters, I confess with my whole heart my neglect and forgetfulness of your commandments, my wrong doing, thinking, and speaking; the hurts I have done to others, and the good I have left undone. O God, forgive me, for I have sinned against you; and raise me to newness of life; through Jesus Christ our Lord. Amen. We sing together. Lord have mercy, Lord have mercy, Christ have mercy, Christ have mercy, Lord have mercy, Lord have mercy. We are reminded of God's forgiveness. Almighty God, who forgives all who truly repent, have mercy upon you, (+) pardon and deliver you from all your sins, confirm and strengthen you in all goodness, and keep you in life eternal; through Jesus Christ our Lord. Amen. We turn to the Advent Wreath which helps us to mark our journey through Advent. There are five candles, one for each week. On this Third Sunday we remember John the Baptist who foretold the coming Christ. We light the pink candle on the third Sunday which represents joy or rejoicing (Gaudete) and reveals a shift in the season of Advent away from repentance and toward celebration. As we turn to the Advent wreath, we sing the Third verse and chorus of Hymn 452 We light the first candle then pray: People of God: return! You are called to be God's own. From the mountains announce the good news. God comes in justice and peace, to all who follow his ways. We are God's children. Lord, make us one in the peace of Christ today and for ever. Amen. The Priest introduces a period of silent prayer before the collect. God for whom we watch and wait, you sent John the Baptist to prepare the way of your Son: give us courage to speak the truth, to hunger for justice, and to suffer for the cause of right, Amen with Jesus Christ our Lord. Liturgy of the Word (please sit as the young people leave us for their lessons. We hear a reading from the Old Testament. "Today this scripture has been fulfilled in your hearing" (Luke 4:21). So declares Jesus at the beginning of his public ministry, after reading the opening verses of this lection (Isaiah 61:1–2; Luke 4:18–19) before a crowd of people gathered in the synagogue at Nazareth. The speaker of Isaiah 61:1–4 has been anointed for a mission of radical proclamation. Their commission is, first and foremost, to bring good news to the poor (61:1). Jesus quotes this passage from Isaiah in the first sermon Luke attributes to Jesus, this verbal correspondence suggests that these verses from Isaiah have something to teach us about the character of the Christian gospel itself. A reading from the prophet Isaiah (Isaiah 61:1-4, 8-11) The spirit of the Lord God is upon me, because the Lord has anointed me; he has sent me to bring good news to the oppressed, to bind up the broken-hearted, to proclaim liberty to the captives, and release to the prisoners; to proclaim the year of the Lord's favour, and the day of vengeance of our God; to comfort all who mourn; to provide for those who mourn in Zion— to give them a garland instead of ashes, the oil of gladness instead of mourning, the mantle of praise instead of a faint spirit. They will be called oaks of righteousness, the planting of the Lord, to display his glory. They shall build up the ancient ruins, they shall raise up the former devastations; they shall repair the ruined cities, the devastations of many generations. For I the Lord love justice, I hate robbery and wrongdoing; I will faithfully give them their recompense, and I will make an everlasting covenant with them. Their descendants shall be known among the nations, and their offspring among the peoples; all who see them shall acknowledge that they are a people whom the Lord has blessed. I will greatly rejoice in the Lord, my whole being shall exult in my God; for he has clothed me with the garments of salvation, he has covered me with the robe of righteousness, as a bridegroom decks himself with a garland, and as a bride adorns herself with her jewels. For as the earth brings forth its shoots, and as a garden causes what is sown in it to spring up, so the Lord God will cause righteousness and praise to spring up before all the nations. This is the word of the Lord Thanks be to God. We hear a reading from the New Testament. Paul's exhortation at the end of 1 Thessalonians captures some of the wisdom he received from Christ, about which he is reminding the congregation to whom he is writing. The use of the imperative verbs throughout this exhortation underscores the urgency with which Paul is writing. Paul's exhortation: "Rejoice!" At the beginning of his letter, Paul reminds the congregation to receive what they have been taught with joy (1:6), so as to live as examples for their neighbours. This joy, signified by the pink candle (Gaudete = rejoice) on the Advent wreath, is meant to spill out beyond the season into the entire Christian life and thus throughout the whole liturgical year. A reading from the first letter to the Thessalonians (1 Thessalonians 5:16-24) Rejoice always, pray without ceasing, give thanks in all circumstances; for this is the will of God in Christ Jesus for you. Do not quench the Spirit. Do not despise the words of prophets, but test everything; hold fast to what is good; abstain from every form of evil. May the God of peace himself sanctify you entirely; and may your spirit and soul and body be kept sound and blameless at the coming of our Lord Jesus Christ. The one who calls you is faithful, and he will do this. This is the Word of the Lord. Thanks be to God. We sing our Gradual Hymn 319 – How lovely on the mountains during which the Gospel is processed – please stand. If last week we met the camel hair wearing, locust and honey eating John the Baptist, this week we do a 180 degree turn and meet a whole different John. The John of John's Gospel is never called the Baptist. Rather, this is John the Witness. While he is described as doing some general baptizing here and there, a careful read of John's story of Jesus' baptism reveals that John does not baptize Jesus. His primary role is not as one who baptizes but one who testifies to the light coming into the world, a very human witness to a cosmic event. God is about ordering a new creation, a new presence of light in the world but it necessitates a fellow human to point to its presence, otherwise, human as we are, we might not see it. That human is John. The Lord be with you. And also with you. Hear the Gospel of our Lord Jesus Christ according to John Glory to you Lord Jesus Christ (John 1:6-8, 19-28) There was a man sent from God, whose name was John. He came as a witness to testify to the light, so that all might believe through him. He himself was not the light, but he came to testify to the light. This is the testimony given by John when the Jews sent priests and Levites from Jerusalem to ask him, "Who are you?" He confessed and did not deny it, but confessed, "I am not the Messiah." And they asked him, "What then? Are you Elijah?" He said, "I am not." "Are you the prophet?" He answered, "No." Then they said to him, "Who are you? Let us have an answer for those who sent us. What do you say about yourself?" He said, "I am the voice of one crying out in the wilderness, 'Make straight the way of the Lord,'" as the prophet Isaiah said. Now they had been sent from the Pharisees. They asked him, "Why then are you baptizing if you are neither the Messiah, nor Elijah, nor the prophet?" John answered them, "I baptize with water. Among you stands one whom you do not know, the one who is coming after me; I am not worthy to untie the thong of his sandal." This took place in Bethany across the Jordan where John was baptizing. This is the Gospel of the Lord. Praise to You, O Christ. We sit to listen to the sermon. After the sermon silence is kept. We stand to affirm our faith in the words of the Nicene creed. We believe in one God, the Father, the Almighty, maker of heaven and earth, of all that is, seen and unseen. We believe in one Lord, Jesus Christ, the only Son of God, eternally begotten of the Father, God from God, Light from Light, true God from true God, begotten, not made, of one Being with the Father; through him all things were made. For us and for our salvation he came down from heaven, was incarnate from the Holy Spirit and the Virgin Mary and was made man. For our sake he was crucified under Pontius Pilate; he suffered death and was buried. On the third day he rose again in accordance with the Scriptures; he ascended into heaven and is seated at the right hand of the Father. He will come again in glory to judge the living and the dead, and his kingdom will have no end. We believe in the Holy Spirit, the Lord, the giver of life, who proceeds from the Father and the Son, who with the Father and the Son is worshipped and glorified, who has spoken through the prophets. We believe in one holy catholic and apostolic Church. We acknowledge one baptism for the forgiveness of sins. We look for the resurrection of the dead, and the life of the world to come. Amen. We sit as we prayer for the Church, the World and for this community. A member of the congregation will lead these After the biddings we pray Lord in your mercy Hear our prayer Rest Eternal Grant unto them O Lord And let light perpetual shine upon them May they rest in peace And rise in glory At the conclusion of the prayers Merciful Father, accept these prayers for the sake of your Son, our Saviour Jesus Christ. Amen. Liturgy of the Sacrament (please stand) Blessed is the one who comes in the name of the Lord. Peace in heaven and glory in the highest. The peace of the Lord be always with you and also with you. Let us offer each other the sign of peace. We share the peace with those around us in a way we are comfortable until the offertory Hymn is announced. We sing Hymn 589 – On Jordan's bank the Baptist cry omitting verse 4 during which a collection is taken. As this bread was scattered and then gathered and made one, so may your Church be gathered into your kingdom. Glory to you, O God, for ever. Wisdom has built her a house; she has mixed her wine; she has set her table. Glory to you, O God, for ever. The Lord be with you, And also with you. Lift up your hearts. We lift them up to the Lord. Let us give thanks to the Lord our God. It is right to give thanks and praise. The preface continues until we sing. Holy, Holy, Holy Lord, God of power and might, heaven and earth are full of your glory. Hosanna, Hosanna, Hosanna in the highest. Blessed is he who comes in the name of the Lord. Hosanna, Hosanna, Hosanna in the highest. After the Consecration : Christ has died: Christ is risen: Great is the mystery of faith Christ will come again At the end of the Eucharistic Prayer we sing Amen. We join in the prayer that Jesus taught his friends to say in our preferred version and language. your kingdom come, your will be done, as we forgive those who sin against us. Our Father in heaven, hallowed be your name, on earth as in heaven. Give us today our daily bread. Forgive us our sins Lead us not into temptation but deliver us from evil. For the kingdom, the power, and the glory are yours now and for ever. Amen. The president breaks the consecrated bread. We break this bread to share in the body of Christ. Though we are many, we are one body, because we all share in one bread. We sing the Agnus Dei. Lamb of God, who takes away the sin of the world, have mercy on us Lamb of God who takes away the sins of the world, have mercy on us Lamb of God who takes away the sins of the world, grant us peace. The Elevation God's holy gifts, for God's holy people. Jesus Christ is holy, Jesus Christ is Lord, to the glory of God the Father. We receive communion, during which we listen to Dona Nobis Pacem. All who would normally receive are welcome to receive here. We receive God's grace in one kind or two. (Please do not intinct (dip). You may also like to come forward for a blessing; and you may wish to light a candle. At the end of communion the priest will lead us in a period of silence, and then a short prayer: Post Communion Prayer We give you thanks, O Lord, for these heavenly gifts; kindle in us the fire of your Spirit that when your Christ comes again we may shine as lights before his face; who is alive and reigns now and for ever. Amen. We listen to notices about our community life. We receive God's blessing for the week ahead. The Lord be with you And also with you Christ the Sun of Righteousness shine upon you, scatter the darkness from before your path, and make you ready to meet him when he comes in glory; and the blessing and the blessing of God almighty, the (+) Father, the Son, and the Holy Spirit, be among you and remain with you always. Amen Go in the peace of Christ Thanks be to God We join in our final hymn 767 – Thou, whose almighty word during which the clergy depart. You are invited to join us for refreshments downstairs. Our Community Life Together and Dates for your Diary Laurence's Larder You can leave your donations, tinned fish or any non-perishable food in the basket at the top of the stairs. You can see updates on this work at www.laurenceslarder.org.uk Finance—St Anne's We are also going contactless! From this week, visitors to St Anne's, or even regulars will be able to donate using a contactless point at Our current monthly target for congregational giving is £2180. In November we raised £1869. Thank you to everyone for your generosity! the back of church. For regular members, a Standing Order or Envelope is best as it helps us plan. The funds we raise support the Mission work of St Anne's, from ensuring worship takes place to provision of Playgroup, tea and chat, bereavement support and care of the local community. We receive no funds external to support what we do, we need to raise all we need to continue our work in Queen's Park and beyond. While it is now only one week to Christmas – Advent continues until lunchtime on Christmas Eve! Though our focus in the last week turns more to the joy and hope for the coming of the Christ Child in our midst – Emmanuel!. Thank you First Thank you to everyone who helped with Wreath making on 9 th December – a special thank you to Rhona for all her hard work!!! Thank you too, for all who helped with Christmas Parties on Friday!! Still to come… Carols by Candlelight with Queen's Park Singers— TODAY Sunday 17 th December at 4pm followed by mulled wine and mince pies! Helpers please. Monday Lunchtimes during Advent 18th December at 12noon we will be offering an Advent reflection with Mass in the Church. There will be a weekly theme using music, images and silence. Christ Church School Carol Service We are hosting this event for the school here at St Anne's at 9.30am on Thursday 21 st December. Members of the congregation are welcome to attend and join in the Carol Singing. 24 th of December is both the 4 th Sunday of Advent and Christmas Eve For our prayers— Marco, Irene, Patsy, Jean, Joyce, Guy and Renate, AnneMarie and Marion, Emma, Peter and Rhona, Florret, John and Josephine, Harriet, May, Mavis, Kay, Comfort, Jean, Pearl, Peter, Ruth, John and Cecilia. We remember those who have died recently including Janet, and those whose anniversary of death falls at this time including Lionel Patrick Salmon, Kenneth Timbers, Thomas McNight, Milton McGregor, Fred Hogg, Morgan Johnson, Ed Anderson and Marylou Renault. Services during the week 17th December 2023 Monday 12noon Advent Reflection with Mass Tuesday 8.30am Morning Prayer in Chapel and Zoom Thursday 8.30am Morning Prayer in Chapel 9.30am Christ Church School Carol Service Friday 22nd No Morning Prayer or My Move 2pm Tea and Chat Sunday 24 th 9am Morning Prayer in Chapel and Zoom Advent 410am Sung Mass Christmas 5pm Crib Service 11pm Midnight Mass Eve Monday 25 th 10am Sung Eucharist with Carols Christmas Day Sunday 31 st 9am Morning Prayer in Chapel and Zoom 10am Sung Mass Christmas 2 Office: 020 76043053 website: www.st-annes-brondesbury.org.uk email: [email protected] Public Weekday Morning Prayer will not take place from Friday 22 nd December and will resume Tuesday 9 th January 2024! 12 Church complex is closed from Boxing Day till New Years Day. Admin Office is closed from 22 nd Dec until the 9 th January 2024.	<urn:uuid:93dc487e-b3cd-4aea-8d36-5bc00327e78f>	CC-MAIN-2024-18	http://st-annes-brondesbury.org.uk/wp/wp-content/uploads/2023/12/Service-Sheet-3rd-Sunday-of-Advent-17th-December-2023.pdf	2024-04-13T10:40:05+00:00	s3://commoncrawl/cc-index/table/cc-main/warc/crawl=CC-MAIN-2024-18/subset=warc/part-00190-29538f81-5664-4df2-acb6-7d8ba3d2a1aa.c000.gz.parquet	31,737,485	4,316	eng_Latn	eng_Latn	0.995799	eng_Latn	0.998938	[ "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn", "eng_Latn" ]	false	rolmOCR	[ 1444, 2728, 4571, 6682, 8465, 10250, 11662, 12838, 14178, 15579, 17063, 18443 ]	St Anne with Holy Trinity, Brondesbury Confidently sharing the love of Christ Third Sunday of Advent 17 th December 2023 Welcome to St Anne's today—it is great to have you with us. St Anne's is the local Church of England parish church and we are a very diverse group of people. We hope that you will feel welcome in our worship today. If you are new, please do say hello—we would love to get to know you. If you are unsure where to find something, or about what is going on, please do ask. We will be happy to help. Our worship style is quite formal, but we hope relaxedas we come to worship God in our midst. All the words for the service will be on the screens at the front however, if you would prefer to have a printed copy in your hands, there are hymn books and service sheets at the back. During Advent we wait for the coming of Christ, not only in the story of the Nativity, but in the hear and now. We wait for the coming of God's Reign on earth, when peace and justice will be a reality. The concepts of Advent are often difficult as they speak of judgement and end times. Equally they talk of new life beyond our understanding. As we come to this Advent Season, let us not be afraid of our waiting, or of the uncertainty it may raise. Rather we are invited in our prayer and meditation to call out 'Come, Lord Jesus, Come!' Please stand as the bell is rung as we sing our opening Hymn 280 – Hail to the Lord's Anointed We meet in the name of God who is (+) Father, Son and Holy Spirit. Amen. The Lord be with you. And also with you. The President will introduce the service As we begin the New Christian Year and the start of Advent we come before God with our prayers of confession When the Lord comes, he will bring to light the things now hidden in darkness and will disclose the purposes of the heart. Therefore, in the light of Christ let us confess our sins. Silence is kept long-suffering and of great goodness: Almighty God, I confess to you, and to these my brothers and	sisters, I confess with my whole heart my neglect and forgetfulness of your commandments, my wrong doing, thinking, and speaking; the hurts I have done to others, and the good I have left undone.	O God, forgive me, for I have sinned against you; and raise me to newness of life; through Jesus Christ our Lord. Amen. We sing together. Lord have mercy, Lord have mercy, Christ have mercy, Christ have mercy, Lord have mercy, Lord have mercy. We are reminded of God's forgiveness. Almighty God, who forgives all who truly repent, have mercy upon you, (+) pardon and deliver you from all your sins, confirm and strengthen you in all goodness, and keep you in life eternal; through Jesus Christ our Lord. Amen. We turn to the Advent Wreath which helps us to mark our journey through Advent. There are five candles, one for each week. On this Third Sunday we remember John the Baptist who foretold the coming Christ. We light the pink candle on the third Sunday which represents joy or rejoicing (Gaudete) and reveals a shift in the season of Advent away from repentance and toward celebration. As we turn to the Advent wreath, we sing the Third verse and chorus of Hymn 452 We light the first candle then pray: People of God: return! You are called to be God's own. From the mountains announce the good news. God comes in justice and peace, to all who follow his ways. We are God's children. Lord, make us one in the peace of Christ today and for ever. Amen. The Priest introduces a period of silent prayer before the collect. God for whom we watch and wait, you sent John the Baptist to prepare the way of your Son: give us courage to speak the truth, to hunger for justice, and to suffer for the cause of right, Amen with Jesus Christ our Lord. Liturgy of the Word (please sit as the young people leave us for their lessons. We hear a reading from the Old Testament. "Today this scripture has been fulfilled in your hearing" (Luke 4:21). So declares Jesus at the beginning of his public ministry, after reading the opening verses of this lection (Isaiah 61:1–2; Luke 4:18–19) before a crowd of people gathered in the synagogue at Nazareth. The speaker of Isaiah 61:1–4 has been anointed for a mission of radical proclamation. Their commission is, first and foremost, to bring good news to the poor (61:1). Jesus quotes this passage from Isaiah in the first sermon Luke attributes to Jesus, this verbal correspondence suggests that these verses from Isaiah have something to teach us about the character of the Christian gospel itself. A reading from the prophet Isaiah (Isaiah 61:1-4, 8-11) The spirit of the Lord God is upon me, because the Lord has anointed me; he has sent me to bring good news to the oppressed, to bind up the broken-hearted, to proclaim liberty to the captives, and release to the prisoners; to proclaim the year of the Lord's favour, and the day of vengeance of our God; to comfort all who mourn; to provide for those who mourn in Zion— to give them a garland instead of ashes, the oil of gladness instead of mourning, the mantle of praise instead of a faint spirit. They will be called oaks of righteousness, the planting of the Lord, to display his glory. They shall build up the ancient ruins, they shall raise up the former devastations; they shall repair the ruined cities, the devastations of many generations. For I the Lord love justice, I hate robbery and wrongdoing; I will faithfully give them their recompense, and I will make an everlasting covenant with them. Their descendants shall be known among the nations, and their offspring among the peoples; all who see them shall acknowledge that they are a people whom the Lord has blessed. I will greatly rejoice in the Lord, my whole being shall exult in my God; for he has clothed me with the garments of salvation, he has covered me with the robe of righteousness, as a bridegroom decks himself with a garland, and as a bride adorns herself with her jewels. For as the earth brings forth its shoots, and as a garden causes what is sown in it to spring up, so the Lord God will cause righteousness and praise to spring up before all the nations. This is the word of the Lord Thanks be to God. We hear a reading from the New Testament. Paul's exhortation at the end of 1 Thessalonians captures some of the wisdom he received from Christ, about which he is reminding the congregation to whom he is writing. The use of the imperative verbs throughout this exhortation underscores the urgency with which Paul is writing. Paul's exhortation: "Rejoice!" At the beginning of his letter, Paul reminds the congregation to receive what they have been taught with joy (1:6), so as to live as examples for their neighbours. This joy, signified by the pink candle (Gaudete = rejoice) on the Advent wreath, is meant to spill out beyond the season into the entire Christian life and thus throughout the whole liturgical year. A reading from the first letter to the Thessalonians (1 Thessalonians 5:16-24) Rejoice always, pray without ceasing, give thanks in all circumstances; for this is the will of God in Christ Jesus for you. Do not quench the Spirit. Do not despise the words of prophets, but test everything; hold fast to what is good; abstain from every form of evil. May the God of peace himself sanctify you entirely; and may your spirit and soul and body be kept sound and blameless at the coming of our Lord Jesus Christ. The one who calls you is faithful, and he will do this. This is the Word of the Lord. Thanks be to God. We sing our Gradual Hymn 319 – How lovely on the mountains during which the Gospel is processed – please stand. If last week we met the camel hair wearing, locust and honey eating John the Baptist, this week we do a 180 degree turn and meet a whole different John. The John of John's Gospel is never called the Baptist. Rather, this is John the Witness. While he is described as doing some general baptizing here and there, a careful read of John's story of Jesus' baptism reveals that John does not baptize Jesus. His primary role is not as one who baptizes but one who testifies to the light coming into the world, a very human witness to a cosmic event. God is about ordering a new creation, a new presence of light in the world but it necessitates a fellow human to point to its presence, otherwise, human as we are, we might not see it. That human is John. The Lord be with you. And also with you. Hear the Gospel of our Lord Jesus Christ according to John Glory to you Lord Jesus Christ (John 1:6-8, 19-28) There was a man sent from God, whose name was John. He came as a witness to testify to the light, so that all might believe through him. He himself was not the light, but he came to testify to the light. This is the testimony given by John when the Jews sent priests and Levites from Jerusalem to ask him, "Who are you?" He confessed and did not deny it, but confessed, "I am not the Messiah." And they asked him, "What then? Are you Elijah?" He said, "I am not." "Are you the prophet?" He answered, "No." Then they said to him, "Who are you? Let us have an answer for those who sent us. What do you say about yourself?" He said, "I am the voice of one crying out in the wilderness, 'Make straight the way of the Lord,'" as the prophet Isaiah said. Now they had been sent from the Pharisees. They asked him, "Why then are you baptizing if you are neither the Messiah, nor Elijah, nor the prophet?" John answered them, "I baptize with water. Among you stands one whom you do not know, the one who is coming after me; I am not worthy to untie the thong of his sandal." This took place in Bethany across the Jordan where John was baptizing. This is the Gospel of the Lord. Praise to You, O Christ. We sit to listen to the sermon. After the sermon silence is kept. We stand to affirm our faith in the words of the Nicene creed. We believe in one God, the Father, the Almighty, maker of heaven and earth, of all that is, seen and unseen. We believe in one Lord, Jesus Christ, the only Son of God, eternally begotten of the Father, God from God, Light from Light, true God from true God, begotten, not made, of one Being with the Father; through him all things were made. For us and for our salvation he came down from heaven, was incarnate from the Holy Spirit and the Virgin Mary and was made man. For our sake he was crucified under Pontius Pilate; he suffered death and was buried. On the third day he rose again in accordance with the Scriptures; he ascended into heaven and is seated at the right hand of the Father. He will come again in glory to judge the living and the dead, and his kingdom will have no end. We believe in the Holy Spirit, the Lord, the giver of life, who proceeds from the Father and the Son, who with the Father and the Son is worshipped and glorified, who has spoken through the prophets. We believe in one holy catholic and apostolic Church. We acknowledge one baptism for the forgiveness of sins. We look for the resurrection of the dead, and the life of the world to come. Amen. We sit as we prayer for the Church, the World and for this community. A member of the congregation will lead these After the biddings we pray Lord in your mercy Hear our prayer Rest Eternal Grant unto them O Lord And let light perpetual shine upon them May they rest in peace And rise in glory At the conclusion of the prayers Merciful Father, accept these prayers for the sake of your Son, our Saviour Jesus Christ. Amen. Liturgy of the Sacrament (please stand) Blessed is the one who comes in the name of the Lord. Peace in heaven and glory in the highest. The peace of the Lord be always with you and also with you. Let us offer each other the sign of peace. We share the peace with those around us in a way we are comfortable until the offertory Hymn is announced. We sing Hymn 589 – On Jordan's bank the Baptist cry omitting verse 4 during which a collection is taken. As this bread was scattered and then gathered and made one, so may your Church be gathered into your kingdom. Glory to you, O God, for ever. Wisdom has built her a house; she has mixed her wine; she has set her table. Glory to you, O God, for ever. The Lord be with you, And also with you. Lift up your hearts. We lift them up to the Lord. Let us give thanks to the Lord our God. It is right to give thanks and praise. The preface continues until we sing. Holy, Holy, Holy Lord, God of power and might, heaven and earth are full of your glory. Hosanna, Hosanna, Hosanna in the highest. Blessed is he who comes in the name of the Lord. Hosanna, Hosanna, Hosanna in the highest. After the Consecration : Christ has died: Christ is risen: Great is the mystery of faith Christ will come again At the end of the Eucharistic Prayer we sing Amen. We join in the prayer that Jesus taught his friends to say in our preferred version and language. your kingdom come, your will be done, as we forgive those who sin against us. Our Father in heaven, hallowed be your name, on earth as in heaven. Give us today our daily bread. Forgive us our sins Lead us not into temptation but deliver us from evil. For the kingdom, the power, and the glory are yours now and for ever. Amen. The president breaks the consecrated bread. We break this bread to share in the body of Christ. Though we are many, we are one body, because we all share in one bread. We sing the Agnus Dei. Lamb of God, who takes away the sin of the world, have mercy on us Lamb of God who takes away the sins of the world, have mercy on us Lamb of God who takes away the sins of the world, grant us peace. The Elevation God's holy gifts, for God's holy people. Jesus Christ is holy, Jesus Christ is Lord, to the glory of God the Father. We receive communion, during which we listen to Dona Nobis Pacem. All who would normally receive are welcome to receive here. We receive God's grace in one kind or two. (Please do not intinct (dip). You may also like to come forward for a blessing; and you may wish to light a candle. At the end of communion the priest will lead us in a period of silence, and then a short prayer: Post Communion Prayer We give you thanks, O Lord, for these heavenly gifts; kindle in us the fire of your Spirit that when your Christ comes again we may shine as lights before his face; who is alive and reigns now and for ever. Amen. We listen to notices about our community life. We receive God's blessing for the week ahead. The Lord be with you And also with you Christ the Sun of Righteousness shine upon you, scatter the darkness from before your path, and make you ready to meet him when he comes in glory; and the blessing and the blessing of God almighty, the (+) Father, the Son, and the Holy Spirit, be among you and remain with you always. Amen Go in the peace of Christ Thanks be to God We join in our final hymn 767 – Thou, whose almighty word during which the clergy depart. You are invited to join us for refreshments downstairs. Our Community Life Together and Dates for your Diary Laurence's Larder You can leave your donations, tinned fish or any non-perishable food in the basket at the top of the stairs. You can see updates on this work at www.laurenceslarder.org.uk Finance—St Anne's We are also going contactless! From this week, visitors to St Anne's, or even regulars will be able to donate using a contactless point at Our current monthly target for congregational giving is £2180. In November we raised £1869. Thank you to everyone for your generosity! the back of church. For regular members, a Standing Order or Envelope is best as it helps us plan. The funds we raise support the Mission work of St Anne's, from ensuring worship takes place to provision of Playgroup, tea and chat, bereavement support and care of the local community. We receive no funds external to support what we do, we need to raise all we need to continue our work in Queen's Park and beyond. While it is now only one week to Christmas – Advent continues until lunchtime on Christmas Eve! Though our focus in the last week turns more to the joy and hope for the coming of the Christ Child in our midst – Emmanuel!. Thank you First Thank you to everyone who helped with Wreath making on 9 th December – a special thank you to Rhona for all her hard work!!! Thank you too, for all who helped with Christmas Parties on Friday!! Still to come… Carols by Candlelight with Queen's Park Singers— TODAY Sunday 17 th December at 4pm followed by mulled wine and mince pies! Helpers please. Monday Lunchtimes during Advent 18th December at 12noon we will be offering an Advent reflection with Mass in the Church. There will be a weekly theme using music, images and silence. Christ Church School Carol Service We are hosting this event for the school here at St Anne's at 9.30am on Thursday 21 st December. Members of the congregation are welcome to attend and join in the Carol Singing. 24 th of December is both the 4 th Sunday of Advent and Christmas Eve For our prayers— Marco, Irene, Patsy, Jean, Joyce, Guy and Renate, AnneMarie and Marion, Emma, Peter and Rhona, Florret, John and Josephine, Harriet, May, Mavis, Kay, Comfort, Jean, Pearl, Peter, Ruth, John and Cecilia. We remember those who have died recently including Janet, and those whose anniversary of death falls at this time including Lionel Patrick Salmon, Kenneth Timbers, Thomas McNight, Milton McGregor, Fred Hogg, Morgan Johnson, Ed Anderson and Marylou Renault. Services during the week 17th December 2023 Monday 12noon Advent Reflection with Mass Tuesday 8.30am Morning Prayer in Chapel and Zoom Thursday 8.30am Morning Prayer in Chapel 9.30am Christ Church School Carol Service Friday 22nd No Morning Prayer or My Move 2pm Tea and Chat Sunday 24 th 9am Morning Prayer in Chapel and Zoom Advent 410am Sung Mass Christmas 5pm Crib Service 11pm Midnight Mass Eve Monday 25 th 10am Sung Eucharist with Carols Christmas Day Sunday 31 st 9am Morning Prayer in Chapel and Zoom 10am Sung Mass Christmas 2 Office: 020 76043053 website: www.st-annes-brondesbury.org.uk email: [email protected] Public Weekday Morning Prayer will not take place from Friday 22 nd December and will resume Tuesday 9 th January 2024! 12 Church complex is closed from Boxing Day till New Years Day. Admin Office is closed from 22 nd Dec until the 9 th January 2024.	2,016	beginning_of_word	sisters,	remove_one_sentence	<url> http://st-annes-brondesbury.org.uk/wp/wp-content/uploads/2023/12/Service-Sheet-3rd-Sunday-of-Advent-17th-December-2023.pdf </url> <text> St Anne with Holy Trinity, Brondesbury Confidently sharing the love of Christ Third Sunday of Advent 17 th December 2023 Welcome to St Anne's today—it is great to have you with us. St Anne's is the local Church of England parish church and we are a very diverse group of people. We hope that you will feel welcome in our worship today. If you are new, please do say hello—we would love to get to know you. If you are unsure where to find something, or about what is going on, please do ask. We will be happy to help. Our worship style is quite formal, but we hope relaxedas we come to worship God in our midst. All the words for the service will be on the screens at the front however, if you would prefer to have a printed copy in your hands, there are hymn books and service sheets at the back. During Advent we wait for the coming of Christ, not only in the story of the Nativity, but in the hear and now. We wait for the coming of God's Reign on earth, when peace and justice will be a reality. The concepts of Advent are often difficult as they speak of judgement and end times. Equally they talk of new life beyond our understanding. As we come to this Advent Season, let us not be afraid of our waiting, or of the uncertainty it may raise. Rather we are invited in our prayer and meditation to call out 'Come, Lord Jesus, Come!' Please stand as the bell is rung as we sing our opening Hymn 280 – Hail to the Lord's Anointed We meet in the name of God who is (+) Father, Son and Holy Spirit. Amen. The Lord be with you. And also with you. The President will introduce the service As we begin the New Christian Year and the start of Advent we come before God with our prayers of confession When the Lord comes, he will bring to light the things now hidden in darkness and will disclose the purposes of the heart. Therefore, in the light of Christ let us confess our sins. Silence is kept long-suffering and of great goodness: Almighty God, I confess to you, and to these my brothers and <cursor_is_here> O God, forgive me, for I have sinned against you; and raise me to newness of life; through Jesus Christ our Lord. Amen. We sing together. Lord have mercy, Lord have mercy, Christ have mercy, Christ have mercy, Lord have mercy, Lord have mercy. We are reminded of God's forgiveness. Almighty God, who forgives all who truly repent, have mercy upon you, (+) pardon and deliver you from all your sins, confirm and strengthen you in all goodness, and keep you in life eternal; through Jesus Christ our Lord. Amen. We turn to the Advent Wreath which helps us to mark our journey through Advent. There are five candles, one for each week. On this Third Sunday we remember John the Baptist who foretold the coming Christ. We light the pink candle on the third Sunday which represents joy or rejoicing (Gaudete) and reveals a shift in the season of Advent away from repentance and toward celebration. As we turn to the Advent wreath, we sing the Third verse and chorus of Hymn 452 We light the first candle then pray: People of God: return! You are called to be God's own. From the mountains announce the good news. God comes in justice and peace, to all who follow his ways. We are God's children. Lord, make us one in the peace of Christ today and for ever. Amen. The Priest introduces a period of silent prayer before the collect. God for whom we watch and wait, you sent John the Baptist to prepare the way of your Son: give us courage to speak the truth, to hunger for justice, and to suffer for the cause of right, Amen with Jesus Christ our Lord. Liturgy of the Word (please sit as the young people leave us for their lessons. We hear a reading from the Old Testament. "Today this scripture has been fulfilled in your hearing" (Luke 4:21). So declares Jesus at the beginning of his public ministry, after reading the opening verses of this lection (Isaiah 61:1–2; Luke 4:18–19) before a crowd of people gathered in the synagogue at Nazareth. The speaker of Isaiah 61:1–4 has been anointed for a mission of radical proclamation. Their commission is, first and foremost, to bring good news to the poor (61:1). Jesus quotes this passage from Isaiah in the first sermon Luke attributes to Jesus, this verbal correspondence suggests that these verses from Isaiah have something to teach us about the character of the Christian gospel itself. A reading from the prophet Isaiah (Isaiah 61:1-4, 8-11) The spirit of the Lord God is upon me, because the Lord has anointed me; he has sent me to bring good news to the oppressed, to bind up the broken-hearted, to proclaim liberty to the captives, and release to the prisoners; to proclaim the year of the Lord's favour, and the day of vengeance of our God; to comfort all who mourn; to provide for those who mourn in Zion— to give them a garland instead of ashes, the oil of gladness instead of mourning, the mantle of praise instead of a faint spirit. They will be called oaks of righteousness, the planting of the Lord, to display his glory. They shall build up the ancient ruins, they shall raise up the former devastations; they shall repair the ruined cities, the devastations of many generations. For I the Lord love justice, I hate robbery and wrongdoing; I will faithfully give them their recompense, and I will make an everlasting covenant with them. Their descendants shall be known among the nations, and their offspring among the peoples; all who see them shall acknowledge that they are a people whom the Lord has blessed. I will greatly rejoice in the Lord, my whole being shall exult in my God; for he has clothed me with the garments of salvation, he has covered me with the robe of righteousness, as a bridegroom decks himself with a garland, and as a bride adorns herself with her jewels. For as the earth brings forth its shoots, and as a garden causes what is sown in it to spring up, so the Lord God will cause righteousness and praise to spring up before all the nations. This is the word of the Lord Thanks be to God. We hear a reading from the New Testament. Paul's exhortation at the end of 1 Thessalonians captures some of the wisdom he received from Christ, about which he is reminding the congregation to whom he is writing. The use of the imperative verbs throughout this exhortation underscores the urgency with which Paul is writing. Paul's exhortation: "Rejoice!" At the beginning of his letter, Paul reminds the congregation to receive what they have been taught with joy (1:6), so as to live as examples for their neighbours. This joy, signified by the pink candle (Gaudete = rejoice) on the Advent wreath, is meant to spill out beyond the season into the entire Christian life and thus throughout the whole liturgical year. A reading from the first letter to the Thessalonians (1 Thessalonians 5:16-24) Rejoice always, pray without ceasing, give thanks in all circumstances; for this is the will of God in Christ Jesus for you. Do not quench the Spirit. Do not despise the words of prophets, but test everything; hold fast to what is good; abstain from every form of evil. May the God of peace himself sanctify you entirely; and may your spirit and soul and body be kept sound and blameless at the coming of our Lord Jesus Christ. The one who calls you is faithful, and he will do this. This is the Word of the Lord. Thanks be to God. We sing our Gradual Hymn 319 – How lovely on the mountains during which the Gospel is processed – please stand. If last week we met the camel hair wearing, locust and honey eating John the Baptist, this week we do a 180 degree turn and meet a whole different John. The John of John's Gospel is never called the Baptist. Rather, this is John the Witness. While he is described as doing some general baptizing here and there, a careful read of John's story of Jesus' baptism reveals that John does not baptize Jesus. His primary role is not as one who baptizes but one who testifies to the light coming into the world, a very human witness to a cosmic event. God is about ordering a new creation, a new presence of light in the world but it necessitates a fellow human to point to its presence, otherwise, human as we are, we might not see it. That human is John. The Lord be with you. And also with you. Hear the Gospel of our Lord Jesus Christ according to John Glory to you Lord Jesus Christ (John 1:6-8, 19-28) There was a man sent from God, whose name was John. He came as a witness to testify to the light, so that all might believe through him. He himself was not the light, but he came to testify to the light. This is the testimony given by John when the Jews sent priests and Levites from Jerusalem to ask him, "Who are you?" He confessed and did not deny it, but confessed, "I am not the Messiah." And they asked him, "What then? Are you Elijah?" He said, "I am not." "Are you the prophet?" He answered, "No." Then they said to him, "Who are you? Let us have an answer for those who sent us. What do you say about yourself?" He said, "I am the voice of one crying out in the wilderness, 'Make straight the way of the Lord,'" as the prophet Isaiah said. Now they had been sent from the Pharisees. They asked him, "Why then are you baptizing if you are neither the Messiah, nor Elijah, nor the prophet?" John answered them, "I baptize with water. Among you stands one whom you do not know, the one who is coming after me; I am not worthy to untie the thong of his sandal." This took place in Bethany across the Jordan where John was baptizing. This is the Gospel of the Lord. Praise to You, O Christ. We sit to listen to the sermon. After the sermon silence is kept. We stand to affirm our faith in the words of the Nicene creed. We believe in one God, the Father, the Almighty, maker of heaven and earth, of all that is, seen and unseen. We believe in one Lord, Jesus Christ, the only Son of God, eternally begotten of the Father, God from God, Light from Light, true God from true God, begotten, not made, of one Being with the Father; through him all things were made. For us and for our salvation he came down from heaven, was incarnate from the Holy Spirit and the Virgin Mary and was made man. For our sake he was crucified under Pontius Pilate; he suffered death and was buried. On the third day he rose again in accordance with the Scriptures; he ascended into heaven and is seated at the right hand of the Father. He will come again in glory to judge the living and the dead, and his kingdom will have no end. We believe in the Holy Spirit, the Lord, the giver of life, who proceeds from the Father and the Son, who with the Father and the Son is worshipped and glorified, who has spoken through the prophets. We believe in one holy catholic and apostolic Church. We acknowledge one baptism for the forgiveness of sins. We look for the resurrection of the dead, and the life of the world to come. Amen. We sit as we prayer for the Church, the World and for this community. A member of the congregation will lead these After the biddings we pray Lord in your mercy Hear our prayer Rest Eternal Grant unto them O Lord And let light perpetual shine upon them May they rest in peace And rise in glory At the conclusion of the prayers Merciful Father, accept these prayers for the sake of your Son, our Saviour Jesus Christ. Amen. Liturgy of the Sacrament (please stand) Blessed is the one who comes in the name of the Lord. Peace in heaven and glory in the highest. The peace of the Lord be always with you and also with you. Let us offer each other the sign of peace. We share the peace with those around us in a way we are comfortable until the offertory Hymn is announced. We sing Hymn 589 – On Jordan's bank the Baptist cry omitting verse 4 during which a collection is taken. As this bread was scattered and then gathered and made one, so may your Church be gathered into your kingdom. Glory to you, O God, for ever. Wisdom has built her a house; she has mixed her wine; she has set her table. Glory to you, O God, for ever. The Lord be with you, And also with you. Lift up your hearts. We lift them up to the Lord. Let us give thanks to the Lord our God. It is right to give thanks and praise. The preface continues until we sing. Holy, Holy, Holy Lord, God of power and might, heaven and earth are full of your glory. Hosanna, Hosanna, Hosanna in the highest. Blessed is he who comes in the name of the Lord. Hosanna, Hosanna, Hosanna in the highest. After the Consecration : Christ has died: Christ is risen: Great is the mystery of faith Christ will come again At the end of the Eucharistic Prayer we sing Amen. We join in the prayer that Jesus taught his friends to say in our preferred version and language. your kingdom come, your will be done, as we forgive those who sin against us. Our Father in heaven, hallowed be your name, on earth as in heaven. Give us today our daily bread. Forgive us our sins Lead us not into temptation but deliver us from evil. For the kingdom, the power, and the glory are yours now and for ever. Amen. The president breaks the consecrated bread. We break this bread to share in the body of Christ. Though we are many, we are one body, because we all share in one bread. We sing the Agnus Dei. Lamb of God, who takes away the sin of the world, have mercy on us Lamb of God who takes away the sins of the world, have mercy on us Lamb of God who takes away the sins of the world, grant us peace. The Elevation God's holy gifts, for God's holy people. Jesus Christ is holy, Jesus Christ is Lord, to the glory of God the Father. We receive communion, during which we listen to Dona Nobis Pacem. All who would normally receive are welcome to receive here. We receive God's grace in one kind or two. (Please do not intinct (dip). You may also like to come forward for a blessing; and you may wish to light a candle. At the end of communion the priest will lead us in a period of silence, and then a short prayer: Post Communion Prayer We give you thanks, O Lord, for these heavenly gifts; kindle in us the fire of your Spirit that when your Christ comes again we may shine as lights before his face; who is alive and reigns now and for ever. Amen. We listen to notices about our community life. We receive God's blessing for the week ahead. The Lord be with you And also with you Christ the Sun of Righteousness shine upon you, scatter the darkness from before your path, and make you ready to meet him when he comes in glory; and the blessing and the blessing of God almighty, the (+) Father, the Son, and the Holy Spirit, be among you and remain with you always. Amen Go in the peace of Christ Thanks be to God We join in our final hymn 767 – Thou, whose almighty word during which the clergy depart. You are invited to join us for refreshments downstairs. Our Community Life Together and Dates for your Diary Laurence's Larder You can leave your donations, tinned fish or any non-perishable food in the basket at the top of the stairs. You can see updates on this work at www.laurenceslarder.org.uk Finance—St Anne's We are also going contactless! From this week, visitors to St Anne's, or even regulars will be able to donate using a contactless point at Our current monthly target for congregational giving is £2180. In November we raised £1869. Thank you to everyone for your generosity! the back of church. For regular members, a Standing Order or Envelope is best as it helps us plan. The funds we raise support the Mission work of St Anne's, from ensuring worship takes place to provision of Playgroup, tea and chat, bereavement support and care of the local community. We receive no funds external to support what we do, we need to raise all we need to continue our work in Queen's Park and beyond. While it is now only one week to Christmas – Advent continues until lunchtime on Christmas Eve! Though our focus in the last week turns more to the joy and hope for the coming of the Christ Child in our midst – Emmanuel!. Thank you First Thank you to everyone who helped with Wreath making on 9 th December – a special thank you to Rhona for all her hard work!!! Thank you too, for all who helped with Christmas Parties on Friday!! Still to come… Carols by Candlelight with Queen's Park Singers— TODAY Sunday 17 th December at 4pm followed by mulled wine and mince pies! Helpers please. Monday Lunchtimes during Advent 18th December at 12noon we will be offering an Advent reflection with Mass in the Church. There will be a weekly theme using music, images and silence. Christ Church School Carol Service We are hosting this event for the school here at St Anne's at 9.30am on Thursday 21 st December. Members of the congregation are welcome to attend and join in the Carol Singing. 24 th of December is both the 4 th Sunday of Advent and Christmas Eve For our prayers— Marco, Irene, Patsy, Jean, Joyce, Guy and Renate, AnneMarie and Marion, Emma, Peter and Rhona, Florret, John and Josephine, Harriet, May, Mavis, Kay, Comfort, Jean, Pearl, Peter, Ruth, John and Cecilia. We remember those who have died recently including Janet, and those whose anniversary of death falls at this time including Lionel Patrick Salmon, Kenneth Timbers, Thomas McNight, Milton McGregor, Fred Hogg, Morgan Johnson, Ed Anderson and Marylou Renault. Services during the week 17th December 2023 Monday 12noon Advent Reflection with Mass Tuesday 8.30am Morning Prayer in Chapel and Zoom Thursday 8.30am Morning Prayer in Chapel 9.30am Christ Church School Carol Service Friday 22nd No Morning Prayer or My Move 2pm Tea and Chat Sunday 24 th 9am Morning Prayer in Chapel and Zoom Advent 410am Sung Mass Christmas 5pm Crib Service 11pm Midnight Mass Eve Monday 25 th 10am Sung Eucharist with Carols Christmas Day Sunday 31 st 9am Morning Prayer in Chapel and Zoom 10am Sung Mass Christmas 2 Office: 020 76043053 website: www.st-annes-brondesbury.org.uk email: [email protected] Public Weekday Morning Prayer will not take place from Friday 22 nd December and will resume Tuesday 9 th January 2024! 12 Church complex is closed from Boxing Day till New Years Day. Admin Office is closed from 22 nd Dec until the 9 th January 2024. </text>	[ { "content": "<url>\nhttp://st-annes-brondesbury.org.uk/wp/wp-content/uploads/2023/12/Service-Sheet-3rd-Sunday-of-Advent-17th-December-2023.pdf\n</url>\n<text>\nSt Anne with Holy Trinity, Brondesbury\n\nConfidently sharing the love of Christ\n\nThird Sunday of Advent 17 th December 2023\n\nWelcome to St Anne's today—it is great to have you with us. St Anne's is the local Church of England parish church and we are a very diverse group of people. We hope that you will feel welcome in our worship today. If you are new, please do say hello—we would love to get to know you. If you are unsure where to find something, or about what is going on, please do ask. We will be happy to help.\n\nOur worship style is quite formal, but we hope relaxedas we come to worship God in our midst.\n\nAll the words for the service will be on the screens at the front however, if you would prefer to have a printed copy in your hands, there are hymn books and service sheets at the back.\n\nDuring Advent we wait for the coming of Christ, not only in the story of the Nativity, but in the hear and now. We wait for the coming of God's Reign on earth, when peace and justice will be a reality. The concepts of Advent are often difficult as they speak of judgement and end times. Equally they talk of new life beyond our understanding. As we come to this Advent Season, let us not be afraid of our waiting, or of the uncertainty it may raise. Rather we are invited in our prayer and meditation to call out 'Come, Lord Jesus, Come!'\n\nPlease stand as the bell is rung as we sing our opening Hymn 280 – Hail to the Lord's Anointed\n\nWe meet in the name of God who is (+) Father, Son and Holy Spirit. Amen.\n\nThe Lord be with you.\n\nAnd also with you.\n\nThe President will introduce the service\n\nAs we begin the New Christian Year and the start of Advent we come before God with our prayers of confession\n\nWhen the Lord comes, he will bring to light the things now hidden in darkness and will disclose the purposes of the heart. Therefore, in the light of Christ let us confess our sins.\n\nSilence is kept\n\nlong-suffering and of great goodness:\n\nAlmighty God,\n\nI confess to you, and to these my brothers and <cursor_is_here>\n\nO God, forgive me, for I have sinned against you; and raise me to newness of life; through Jesus Christ our Lord. Amen.\n\nWe sing together.\n\nLord have mercy, Lord have mercy, Christ have mercy, Christ have mercy, Lord have mercy, Lord have mercy.\n\nWe are reminded of God's forgiveness.\n\nAlmighty God, who forgives all who truly repent, have mercy upon you, (+) pardon and deliver you from all your sins, confirm and strengthen you in all goodness, and keep you in life eternal; through Jesus Christ our Lord. Amen.\n\nWe turn to the Advent Wreath which helps us to mark our journey through Advent. There are five candles, one for each week. On this Third Sunday we remember John the Baptist who foretold the coming Christ. We light the pink candle on the third Sunday which represents joy or rejoicing (Gaudete) and reveals a shift in the season of Advent away from repentance and toward celebration.\n\nAs we turn to the Advent wreath, we sing the Third verse and chorus of Hymn 452\n\nWe light the first candle then pray:\n\nPeople of God: return!\n\nYou are called to be God's own.\n\nFrom the mountains announce the good news.\n\nGod comes in justice and peace, to all who follow his ways.\n\nWe are God's children.\n\nLord, make us one in the peace of Christ today and for ever. Amen.\n\nThe Priest introduces a period of silent prayer before the collect.\n\nGod for whom we watch and wait, you sent John the Baptist to prepare the way of your Son:\n\ngive us courage to speak the truth, to hunger for justice, and to suffer for the cause of right,\n\nAmen with Jesus Christ our Lord.\n\nLiturgy of the Word (please sit as the young people leave us for their lessons. We hear a reading from the Old Testament.\n\n\"Today this scripture has been fulfilled in your hearing\" (Luke 4:21). So declares Jesus at the beginning of his public ministry, after reading the opening verses of this lection (Isaiah 61:1–2; Luke 4:18–19) before a crowd of people gathered in the synagogue at Nazareth. The speaker of Isaiah 61:1–4 has been anointed for a mission of radical proclamation. Their commission is, first and foremost, to bring good news to the poor (61:1). Jesus quotes this passage from Isaiah in the first sermon Luke attributes to Jesus, this verbal correspondence suggests that these verses from Isaiah have something to teach us about the character of the Christian gospel itself.\n\nA reading from the prophet Isaiah (Isaiah 61:1-4, 8-11)\n\nThe spirit of the Lord God is upon me, because the Lord has anointed me; he has sent me to bring good news to the oppressed, to bind up the broken-hearted, to proclaim liberty to the captives, and release to the prisoners; to proclaim the year of the Lord's favour, and the day of vengeance of our God; to comfort all who mourn; to provide for those who mourn in Zion— to give them a garland instead of ashes, the oil of gladness instead of mourning, the mantle of praise instead of a faint spirit. They will be called oaks of righteousness, the planting of the Lord, to display his glory.\n\nThey shall build up the ancient ruins, they shall raise up the former devastations; they shall repair the ruined cities, the devastations of many generations. For I the Lord love justice, I hate robbery and wrongdoing; I will faithfully give them their recompense, and I will make an everlasting covenant with them. Their descendants shall be known among the nations, and their offspring among the peoples; all who see them shall acknowledge that they are a people whom the Lord has blessed.\n\nI will greatly rejoice in the Lord, my whole being shall exult in my God; for he has clothed me with the garments of salvation, he has covered me with the robe of righteousness, as a bridegroom decks himself with a garland, and as a bride adorns herself with her jewels. For as the earth brings forth its shoots, and as a garden causes what is sown in it to spring up, so the Lord God will cause righteousness and praise to spring up before all the nations.\n\nThis is the word of the Lord Thanks be to God.\n\nWe hear a reading from the New Testament.\n\nPaul's exhortation at the end of 1 Thessalonians captures some of the wisdom he received from Christ, about which he is reminding the congregation to whom he is writing. The use of the imperative verbs throughout this exhortation underscores the urgency with which Paul is writing.\n\nPaul's exhortation: \"Rejoice!\" At the beginning of his letter, Paul reminds the congregation to receive what they have been taught with\n\njoy (1:6), so as to live as examples for their neighbours. This joy, signified by the pink candle (Gaudete = rejoice) on the Advent wreath, is meant to spill out beyond the season into the entire Christian life and thus throughout the whole liturgical year.\n\nA reading from the first letter to the Thessalonians (1 Thessalonians 5:16-24)\n\nRejoice always, pray without ceasing, give thanks in all circumstances; for this is the will of God in Christ Jesus for you. Do not quench the Spirit. Do not despise the words of prophets, but test everything; hold fast to what is good; abstain from every form of evil.\n\nMay the God of peace himself sanctify you entirely; and may your spirit and soul and body be kept sound and blameless at the coming of our Lord Jesus Christ. The one who calls you is faithful, and he will do this.\n\nThis is the Word of the Lord.\n\nThanks be to God.\n\nWe sing our Gradual Hymn 319 – How lovely on the mountains during which the Gospel is processed – please stand.\n\nIf last week we met the camel hair wearing, locust and honey eating John the Baptist, this week we do a 180 degree turn and meet a whole different John.\n\nThe John of John's Gospel is never called the Baptist. Rather, this is John the Witness. While he is described as doing some general baptizing here and there, a careful read of John's story of Jesus' baptism reveals that John does not baptize Jesus. His primary role is not as one who baptizes but one who testifies to the light coming into the world, a very human witness to a cosmic event. God is about ordering a new creation, a new presence of light in the world but it necessitates a fellow human to point to its presence, otherwise, human as we are, we might not see it. That human is John.\n\nThe Lord be with you.\n\nAnd also with you.\n\nHear the Gospel of our Lord Jesus Christ according to John Glory to you Lord Jesus Christ\n\n(John 1:6-8, 19-28)\n\nThere was a man sent from God, whose name was John. He came as a witness to testify to the light, so that all might believe through him. He himself was not the light, but he came to testify to the light.\n\nThis is the testimony given by John when the Jews sent priests and Levites from Jerusalem to ask him, \"Who are you?\" He confessed and did not deny it, but confessed, \"I am not the Messiah.\" And they asked him, \"What then? Are you Elijah?\" He said, \"I am not.\" \"Are you the prophet?\" He answered, \"No.\" Then they said to him, \"Who are you? Let us have an answer for those who sent us. What do you say about yourself?\" He said, \"I am the voice of one crying out in the wilderness, 'Make straight the way of the Lord,'\" as the prophet Isaiah said. Now they had been sent from the Pharisees. They asked him, \"Why then are you baptizing if you are neither the Messiah, nor Elijah, nor the prophet?\" John answered them, \"I baptize with water. Among you stands one whom you do not know, the one who is coming after me; I am not worthy to untie the thong of his sandal.\" This took place in Bethany across the Jordan where John was baptizing.\n\nThis is the Gospel of the Lord.\n\nPraise to You, O Christ.\n\nWe sit to listen to the sermon. After the sermon silence is kept.\n\nWe stand to affirm our faith in the words of the Nicene creed.\n\nWe believe in one God, the Father, the Almighty, maker of heaven and earth, of all that is, seen and unseen. We believe in one Lord, Jesus Christ, the only Son of God, eternally begotten of the Father, God from God, Light from Light, true God from true God, begotten, not made, of one Being with the Father; through him all things were made.\n\nFor us and for our salvation he came down from heaven, was incarnate from the Holy Spirit and the Virgin Mary and was made man. For our sake he was crucified under Pontius Pilate; he suffered death and was buried. On the third day he rose again in accordance with the Scriptures; he ascended into heaven and is seated at the right hand of the Father. He will come again in glory to judge the living and the dead, and his kingdom will have no end. We believe in the Holy Spirit, the Lord, the giver of life, who proceeds from the Father and the Son, who with the Father and the Son is worshipped and glorified, who has spoken through the prophets. We believe in one holy catholic and apostolic Church. We acknowledge one baptism for the forgiveness of sins. We look for the resurrection of the dead, and the life of the world to come. Amen.\n\nWe sit as we prayer for the Church, the World and for this community. A member of the congregation will lead these\n\nAfter the biddings we pray\n\nLord in your mercy\n\nHear our prayer\n\nRest Eternal Grant unto them O Lord\n\nAnd let light perpetual shine upon them\n\nMay they rest in peace\n\nAnd rise in glory\n\nAt the conclusion of the prayers\n\nMerciful Father, accept these prayers for the sake of your Son, our Saviour Jesus Christ. Amen.\n\nLiturgy of the Sacrament (please stand)\n\nBlessed is the one who comes in the name of the Lord. Peace in heaven and glory in the highest.\n\nThe peace of the Lord be always with you and also with you.\n\nLet us offer each other the sign of peace.\n\nWe share the peace with those around us in a way we are comfortable until the offertory Hymn is announced.\n\nWe sing Hymn 589 – On Jordan's bank the Baptist cry omitting verse 4 during which a collection is taken.\n\nAs this bread was scattered and then gathered and made one, so may your Church be gathered into your kingdom.\n\nGlory to you, O God, for ever.\n\nWisdom has built her a house; she has mixed her wine; she has set her table.\n\nGlory to you, O God, for ever.\n\nThe Lord be with you,\n\nAnd also with you.\n\nLift up your hearts.\n\nWe lift them up to the Lord.\n\nLet us give thanks to the Lord our God.\n\nIt is right to give thanks and praise.\n\nThe preface continues until we sing.\n\nHoly, Holy, Holy Lord, God of power and might, heaven and earth are full of your glory. Hosanna, Hosanna, Hosanna in the highest. Blessed is he who comes in the name of the Lord. Hosanna, Hosanna, Hosanna in the highest.\n\nAfter the Consecration :\n\nChrist has died: Christ is risen:\n\nGreat is the mystery of faith\n\nChrist will come again\n\nAt the end of the Eucharistic Prayer we sing Amen.\n\nWe join in the prayer that Jesus taught his friends to say in our preferred version and language.\n\nyour kingdom come, your will be done, as we forgive those who sin against us.\n\nOur Father in heaven, hallowed be your name, on earth as in heaven. Give us today our daily bread. Forgive us our sins Lead us not into temptation but deliver us from evil. For the kingdom, the power, and the glory are yours now and for ever. Amen.\n\nThe president breaks the consecrated bread. We break this bread to share in the body of Christ.\n\nThough we are many, we are one body, because we all share in one bread.\n\nWe sing the Agnus Dei.\n\nLamb of God, who takes away the sin of the world, have mercy on us Lamb of God who takes away the sins of the world, have mercy on us Lamb of God who takes away the sins of the world, grant us peace.\n\nThe Elevation\n\nGod's holy gifts, for God's holy people. Jesus Christ is holy, Jesus Christ is Lord, to the glory of God the Father.\n\nWe receive communion, during which we listen to Dona Nobis Pacem. All who would normally receive are welcome to receive here. We receive God's grace in one kind or two. (Please do not intinct (dip). You may also like to come forward for a blessing; and you may wish to light a candle. At the end of communion the priest will lead us in a period of silence, and then a short prayer:\n\nPost Communion Prayer\n\nWe give you thanks, O Lord, for these heavenly gifts; kindle in us the fire of your Spirit that when your Christ comes again we may shine as lights before his face; who is alive and reigns now and for ever. Amen.\n\nWe listen to notices about our community life.\n\nWe receive God's blessing for the week ahead.\n\nThe Lord be with you\n\nAnd also with you\n\nChrist the Sun of Righteousness shine upon you, scatter the darkness from before your path, and make you ready to meet him when he comes in glory; and the blessing and the blessing of God almighty, the (+) Father, the Son, and the Holy Spirit, be among you and remain with you always. Amen\n\nGo in the peace of Christ\n\nThanks be to God\n\nWe join in our final hymn 767 – Thou, whose almighty word during which the clergy depart.\n\nYou are invited to join us for refreshments downstairs.\n\nOur Community Life Together and Dates for your Diary\n\nLaurence's Larder\n\nYou can leave your donations, tinned fish or any non-perishable food in the basket at the top of the stairs. You can see updates on this work at www.laurenceslarder.org.uk\n\nFinance—St Anne's\n\nWe are also going contactless! From this week, visitors to St Anne's, or even regulars will be able to donate using a contactless point at\n\nOur current monthly target for congregational giving is £2180. In November we raised £1869. Thank you to everyone for your generosity!\n\nthe back of church. For regular members, a Standing Order or Envelope is best as it helps us plan.\n\nThe funds we raise support the Mission work of St Anne's, from ensuring worship takes place to provision of Playgroup, tea and chat, bereavement support and care of the local community. We receive no funds external to support what we do, we need to raise all we need to continue our work in Queen's Park and beyond.\n\nWhile it is now only one week to Christmas – Advent continues until lunchtime on Christmas Eve! Though our focus in the last week turns more to the joy and hope for the coming of the Christ Child in our midst – Emmanuel!.\n\nThank you First\n\nThank you to everyone who helped with Wreath making on 9 th December – a special thank you to Rhona for all her hard work!!!\n\nThank you too, for all who helped with Christmas Parties on Friday!!\n\nStill to come…\n\nCarols by Candlelight\n\nwith Queen's Park Singers— TODAY Sunday 17 th December at 4pm followed by mulled wine and mince pies! Helpers please.\n\nMonday Lunchtimes during Advent\n\n18th December at 12noon we will be offering an Advent reflection with Mass in the Church. There will be a weekly theme using music, images and silence.\n\nChrist Church School Carol Service\n\nWe are hosting this event for the school here at St Anne's at 9.30am on Thursday 21 st December. Members of the congregation are welcome to attend and join in the Carol Singing.\n\n24 th of December is both the 4 th Sunday of Advent and Christmas Eve\n\nFor our prayers— Marco, Irene, Patsy, Jean, Joyce, Guy and Renate, AnneMarie and Marion, Emma, Peter and Rhona, Florret, John and Josephine, Harriet, May, Mavis, Kay, Comfort, Jean, Pearl, Peter, Ruth, John and Cecilia. We remember those who have died recently including Janet, and those whose anniversary of death falls at this time including Lionel Patrick Salmon, Kenneth Timbers, Thomas McNight, Milton McGregor, Fred Hogg, Morgan Johnson, Ed Anderson and Marylou Renault.\n\nServices during the week 17th December 2023\n\nMonday 12noon Advent Reflection with Mass\n\nTuesday 8.30am Morning Prayer in Chapel and Zoom\n\nThursday 8.30am Morning Prayer in Chapel\n\n9.30am Christ Church School Carol Service\n\nFriday 22nd No Morning Prayer or My Move\n\n2pm Tea and Chat\n\nSunday 24 th\n\n9am Morning Prayer in Chapel and Zoom\n\nAdvent 410am Sung Mass\n\nChristmas\n\n5pm Crib Service 11pm Midnight Mass\n\nEve\n\nMonday 25 th\n\n10am Sung Eucharist with Carols\n\nChristmas Day\n\nSunday 31 st\n\n9am Morning Prayer in Chapel and Zoom 10am Sung Mass\n\nChristmas 2\n\nOffice: 020 76043053\n\nwebsite: www.st-annes-brondesbury.org.uk\n\nemail: [email protected]\n\nPublic Weekday Morning Prayer will not take place from Friday 22 nd December and will resume Tuesday 9 th January 2024!\n\n12 Church complex is closed from Boxing Day till New Years Day. Admin Office is closed from 22 nd Dec until the 9 th January 2024.\n</text>\n", "role": "user" }, { "content": "sisters,\n\nI confess with my whole heart my neglect and forgetfulness of your commandments, my wrong doing, thinking, and speaking;\n\nthe hurts I have done to others, and the good I have left undone.", "role": "assistant" } ]

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